Ethics In Computing, Science, And Engineering: A Student’s Guide To Doing Things Right [1st Edition] 3030271250, 9783030271251, 9783030271268

Table of contents :
Foreword......Page 8
Preface......Page 10
Contents......Page 16
About the Author......Page 24
1.1 Introduction......Page 25
1.2 The Technology Roller Coaster......Page 28
1.2.1 Predictive Modelling: Student Selection......Page 30
1.2.2 Control: Smart In-vehicle Technology......Page 32
1.3.1 Ethics by Instinct......Page 39
1.3.2 Ethics by Logic......Page 41
1.4 Ethics: What’s It All About?......Page 44
1.4.1 Ethics: So Many Questions—So Few Answers......Page 50
1.4.2 Deontological Theories......Page 54
1.4.3 Consequentialist Theories......Page 55
1.4.4 Theories and Motivations......Page 56
1.4.6 Social Contract Theory......Page 58
1.5 Ethics and Empathy......Page 61
1.6 Professional Ethics......Page 63
1.7 Ethical Responsibility......Page 68
1.8 Organisational Failures: Radiation Overdose......Page 72
1.8.1 The Misnomer of Technology Infallibility......Page 75
1.9 Discussion......Page 79
1.10 Additional Reading......Page 80
References......Page 81
2.1 Introduction......Page 83
2.2 Ethics and Organisations......Page 85
2.2.1 The Organisation and the Individual......Page 87
2.3 Ethics in Organisational Leadership......Page 93
2.3.1 Indicative Styles of Leadership......Page 95
2.3.2 Ethical Leadership Characteristics......Page 103
2.3.3 Benefits of Ethical Behaviours......Page 105
2.3.4 Ethically Based Behaviours: Why Bother?......Page 109
2.4 Ethics: When Technical Skills Are Not Enough......Page 111
2.5 Organisational Failures: Flight TK981......Page 115
2.5.1 The Cargo Door......Page 118
2.5.2 Correcting the Problem......Page 122
2.5.3 Who Really Knows?......Page 126
2.6 Discussion......Page 127
References......Page 131
3.1 Introduction......Page 133
3.2 Privacy......Page 138
3.2.1 The Nature of Privacy......Page 140
3.2.2 Privacy and Transparency......Page 146
3.2.3 The Right to Be Left Alone......Page 150
3.2.4 Privacy and Freedom......Page 151
3.2.5 Privacy Loss and Conformance......Page 155
3.2.6 Privacy and Self-realisation......Page 158
3.2.7 Privacy Loss to the Machine......Page 160
3.3 The Misnomer of Complete Security......Page 163
3.4 EULAs: Who Bothers to Read Them?......Page 168
3.5 The Stasi: A World of Surveillance......Page 174
3.5.1 Zersetzung: Gaslighting......Page 183
3.5.2 A More Enlightened World?......Page 184
3.6 On Being an ‘Other’......Page 186
3.6.1 The ‘Robbers Cave’ Experiment......Page 188
3.6.2 A Shocking Experiment......Page 189
3.6.3 Dealing with ‘Others’......Page 192
3.6.4 The Stanford Prison Experiment......Page 196
3.7 Edward Snowden: Hero or Villain?......Page 197
3.7.1 Fallout......Page 203
3.8 Organisational Failures: Challenger—STS-51-l......Page 207
3.8.1 Destruction......Page 208
3.8.2 The Technology......Page 209
3.8.3 Russian Roulette......Page 214
3.8.4 Human Factors......Page 216
3.8.5 Optimism and Realism: When Communication Fails......Page 218
3.9 Discussion......Page 222
3.10 Additional Reading......Page 228
References......Page 230
4.1 Introduction......Page 234
4.2 Surveillance and the Internet......Page 237
4.2.1 Direct User Activity......Page 238
4.2.2 Internet of Things Based Input......Page 242
4.2.3 Other Sources of Input......Page 245
4.3 Camera-Based Surveillance......Page 247
4.3.1 Traditional CCTV-Based Surveillance......Page 249
4.3.2 Smart Video Monitoring Systems......Page 256
4.3.3 Who Watches the Watchers?......Page 262
4.4 Biometrics......Page 264
4.4.1 Biometric Techniques......Page 265
4.4.2 General Considerations......Page 272
4.5 Augmented (Mixed) Reality......Page 277
4.6 Radio Frequency Identification Devices......Page 281
4.6.1 Friend or Foe?......Page 282
4.6.2 From Russia with Love......Page 284
4.6.3 Electronic Product Code......Page 286
4.7.1 Unknown Access......Page 288
4.7.2 Human Implantable Microchips (HIMs)......Page 291
4.8 Organisational Failures: Re-Writing Reality......Page 299
4.9 Discussion......Page 304
4.10 Additional Reading......Page 310
References......Page 311
5.1 Introduction......Page 316
5.2 The Evolution of the Internet and Web......Page 318
5.2.1 Internet: Putting the Pieces Together......Page 322
5.2.2 Spinning the Web......Page 326
5.2.3 Internet: From ‘Things’ to ‘Everything’......Page 327
5.2.4 Security: Opening Pandora’s Box......Page 334
5.3 Internet Censorship......Page 336
5.3.1 Lady Chatterley Goes on Trial......Page 337
5.3.2 Diy Explosives......Page 338
5.3.3 Aspects of Censorship......Page 339
5.3.4 From free Expression to Repression......Page 342
5.3.5 Extremism and Technology......Page 348
5.3.6 Imposition of Internet Censorship......Page 352
5.4 The Evolution of Society......Page 355
5.5 Organisational Failures: The Imperial Fleet......Page 359
5.5.1 Background and Organisational Structure......Page 363
5.5.2 Working Against the Clock......Page 367
5.5.3 Christopher Thomson, Baron of Cardington......Page 372
5.5.4 When Time Runs Out: Let’s Trust in Luck......Page 375
5.5.5 The Fate of the R.100......Page 383
5.6 Discussion......Page 385
5.7 Additional Reading......Page 394
References......Page 395
6.1 Introduction......Page 398
6.2 The Product Lifecycle......Page 401
6.2.1 Product Inception Phase......Page 402
6.2.2 Product Realisation Phase......Page 404
6.2.3 Product Useful Phase......Page 407
6.2.4 Product Termination Phase......Page 408
6.3 Product Shipping......Page 427
6.4.1 The Demise of the Tin Lizzie......Page 433
6.4.2 The Phoebus Cartel......Page 437
6.4.3 A Slow Death......Page 438
6.4.4 Obsolescence and Recycling......Page 441
6.5 Product Repair......Page 442
6.6 Product Lifecycle and the IoT......Page 448
6.7 Human Obsolescence......Page 452
6.8 The Human Lifecycle......Page 459
6.9 Cloud Computing: Data Centres......Page 463
6.9.1 Powering the Internet......Page 465
6.9.2 The Use of Renewable Energy......Page 468
6.9.3 Is Renewable Energy Sustainable?......Page 475
6.9.4 The Brundtland Report: Sustainability......Page 479
6.10.1 Normalisation of Deviance......Page 483
6.10.2 Re-entry......Page 484
6.10.3 Not NASA’s Finest Hours......Page 485
6.10.4 The End of the Space Shuttle Programme......Page 491
6.11 Discussion......Page 495
6.12 Additional Reading......Page 505
References......Page 507
7.1 Introduction......Page 511
7.2 Terminology......Page 513
7.3 Drones: From the Early Days......Page 515
7.4 Non-military Applications......Page 523
7.4.1 Precision Agriculture......Page 525
7.4.2 Protection of Wildlife......Page 532
7.4.3 Border Security: A Reality Check......Page 541
7.5 Drones and the Military......Page 548
7.5.1 Lowering the Threshold......Page 553
7.5.2 Disassociation......Page 554
7.5.3 Stress and Trauma......Page 557
7.5.4 Asymmetric Warfare......Page 559
7.6 High Altitude Pseudo Satellites......Page 562
7.7 Lethal Autonomous Drones......Page 567
7.8 Organisational Failures: Erebus......Page 572
7.8.1 Pilot Error?......Page 574
7.8.2 The Path to Tragedy......Page 575
7.8.3 So Many Scars......Page 580
7.8.4 With the Passage of Time......Page 585
7.9 Discussion......Page 588
7.10 Additional Reading......Page 596
References......Page 597
8.1 Introduction......Page 601
8.2 On Robots and Paradoxes......Page 603
8.2.1 Capitalising on Key Human Attributes......Page 605
8.2.2 Outperforming the Human Species......Page 606
8.2.3 Valuing People and/or Technology......Page 607
8.3 Reflections on Aspects of Human Consciousness......Page 608
8.3.1 Do We Possess Free Will?......Page 622
8.3.2 Experiencing Death......Page 624
8.3.3 Conscious Awareness—And Its Simulation......Page 627
8.4 But What Is a Robot?......Page 629
8.5 With Whom, or With What, Am I Speaking?......Page 632
8.6 Humanoids......Page 635
8.6.1 The ELIZA Effect......Page 638
8.6.2 When There’s Money To Be Made......Page 642
8.7 Biobots......Page 643
8.8 Autonomous Motor Vehicles......Page 646
8.8.1 Autonomous General Purpose Vehicles......Page 649
8.8.2 From Hype to Reality......Page 661
8.8.3 Semi-autonomous Vehicles......Page 662
8.9 When a Robot is Given Your Job......Page 665
8.10 The Jekyll and Hyde Factor......Page 675
8.11 Organisational Failures: Air France Flight 447......Page 682
8.11.1 Too Much Automation......Page 688
8.12 Discussion......Page 691
8.13 Additional Reading......Page 701
References......Page 703
9.1 Introduction......Page 707
9.2 The ‘Alternative Era’ University......Page 709
9.3 Education: Paying the Piper......Page 713
9.3.1 Who Pays?......Page 715
9.3.2 The Student Pays Approach......Page 718
9.3.3 Tertiary Education: For the Common Good......Page 726
9.4 Ethically Based Responsibility......Page 728
9.4.1 Administration and Management Growth......Page 729
9.4.2 Academic Staff......Page 733
9.4.3 Casual Employment: Zero-hours Contracts......Page 739
9.5 The Humanities......Page 742
9.6 The ‘Multiversity’......Page 747
9.7 Jobs and Graduates......Page 748
9.8.1 Choice of Programme......Page 753
9.8.2 Relationship: The Return of the Student Learner......Page 755
9.8.3 Tuition Fees......Page 756
9.8.4 Programme Development......Page 758
9.8.5 The Language of Mathematics......Page 760
9.8.6 Delivery Techniques......Page 761
9.8.7 Programme Duration......Page 763
9.8.8 The Value of the Certificate: Looking Good on Paper......Page 768
9.9 The Online Modality......Page 771
9.10 Organisational Failures: Concorde—AF4590......Page 775
9.10.1 Concordski......Page 778
9.11 Discussion......Page 779
9.12 Additional Reading......Page 787
References......Page 788
10.1 Introduction......Page 792
10.2 A Passion for Research......Page 794
10.3 Research Involving Human Participants......Page 796
10.3.1 The Shadow of Eugenics......Page 800
10.4 Early Human Experimentation......Page 803
10.4.1 The Wendell Johnson Experiment......Page 804
10.4.2 Racially-Based Trials Using Mustard Gas......Page 806
10.4.3 Denial of Treatment: The Tuskegee Study......Page 809
10.5 Research: Post Nuremberg......Page 810
10.5.1 The Death of Ronald Maddison......Page 811
10.5.2 Radioactive Cocktails......Page 814
10.6 The Declaration of Helsinki......Page 817
10.7 The Uncertainty of Informed Consent......Page 820
10.7.1 The Temporal Factor......Page 821
10.7.2 The Reward Incentive......Page 823
10.7.3 Intentional and Unintentional Bias......Page 824
10.8 Animal Experimentation......Page 826
10.8.1 From Empathy to Cruelty......Page 828
10.8.2 Ethics in the Laboratory......Page 831
10.9 Organisational Failures: Voyages to Mars......Page 840
10.9.1 Mars Climate Orbiter: When Units Matter......Page 841
10.9.2 Mars Polar Lander: An Early Touchdown......Page 842
10.9.4 When Success Was so Close…......Page 844
10.10 Discussion......Page 847
10.11 Additional Reading......Page 854
References......Page 856
11.1 Introduction......Page 859
11.2 Ethical Action......Page 862
11.2.1 Professional Evaluation of an Issue......Page 864
11.2.2 When Courage Isn’t Always Recognised......Page 865
11.2.3 Catalysed by Anger......Page 868
11.3 Ethics and Motivations......Page 871
11.4 Ethics in Action: A Graded Approach......Page 874
11.4.1 Following Through......Page 875
11.5.1 Boeing’s 737: A Trusted Workhorse......Page 878
11.5.2 Ingredients for Tragedy......Page 881
11.5.3 The Illusion of Emulation......Page 884
11.5.4 The Human Cost......Page 885
11.5.5 Perhaps only a Partial Solution?......Page 886
11.5.6 History: Who Should Care?......Page 887
11.6 Closing Discussion......Page 891
References......Page 897
Appendix A Universal Declaration of Human Rights......Page 899
Appendix B BCS Code of Conduct......Page 907
Appendix C The Nuremberg Code......Page 909
Appendix D Declaration of Helsinki......Page 911
Appendix E The Oath of Hippocrates......Page 918
Index......Page 920

Citation preview

Barry G. Blundell

Ethics in Computing, Science, and Engineering A Student’s Guide to Doing Things Right

Ethics in Computing, Science, and Engineering

Barry G. Blundell

Ethics in Computing, Science, and Engineering A Student’s Guide to Doing Things Right

123

Barry G. Blundell UK

ISBN 978-3-030-27125-1 ISBN 978-3-030-27126-8 https://doi.org/10.1007/978-3-030-27126-8

(eBook)

© Springer Nature Switzerland AG 2020 This work is subject to copyright. All rights are reserved by the Publisher, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now known or hereafter developed. The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. The publisher, the authors and the editors are safe to assume that the advice and information in this book are believed to be true and accurate at the date of publication. Neither the publisher nor the authors or the editors give a warranty, expressed or implied, with respect to the material contained herein or for any errors or omissions that may have been made. The publisher remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. This Springer imprint is published by the registered company Springer Nature Switzerland AG The registered company address is: Gewerbestrasse 11, 6330 Cham, Switzerland

This book is dedicated to my family: Jandy, Alys, Quintus, Kismet and Billy without whose faith, understanding, and support it couldn’t have been written. And also to the memory of Hawa Bangura

When the conflict ended, we were not able to find her. Nobody could.

‘It was quite an affecting sight, I used to think, to see him with the kite when it was up a great height in the air. What he had told me, in his room, about his belief in its disseminating the statements pasted on it, which were nothing but old leaves of abortive Memorials, might have been a fancy with him sometimes; but not when he was out, looking up at the kite in the sky, and feeling it pull and tug at his hand. He never looked so serene as he did then. I used to fancy, as I sat by him of an evening, on a green slope, and saw him watch the kite high in the quiet air, that it lifted his mind out of its confusion, and bore it (such was my boyish thought) into the skies. As he wound the string in and it came lower and lower down out of the beautiful light, until it fluttered to the ground, and lay there like a dead thing, he seemed to wake gradually out of a dream; and I remember to have seen him take it up, and look about him in a lost way, as if they had both come down together, so that I pitied him with all my heart.’ Charles Dickens ‘David Copperfield’ (1850)

‘We have developed speed, but we have shut ourselves in. Machinery that gives abundance has left us in want. Our knowledge has made us cynical…More than machinery we need humanity. More than cleverness we need kindness and gentleness…Let us fight for a world of reason, a world where science and progress will lead to all men’s happiness.’ Charles Chaplin ‘The Great Dictator’ (1940)

Foreword

‘… there is no freedom without uncertainty; it is the medium in which human will is expressed in promises.’1

Ethical issues have attracted the attention of scientists and engineers at least since the invention of dynamite by Alfred Nobel in 1867. Nobel bequeathed the funds for the prizes bearing his name in 1895, allegedly wishing to improve his posthumous reputation after he read a disparaging obituary of himself that a French newspaper had published by mistake when his brother died. Of the five prizes originally established by Nobel, three—in physics, chemistry, and physiology/medicine— were in science. One was in literature. The remaining prize is the one most naturally associated with ethical issues, namely the Peace Prize. Since that time, a number of ethical issues have arisen as the result of the application of scholarship and technology: eugenics; nuclear, chemical, and biological weaponry; changes in the physical environment caused by agricultural and industrial technology; human-rights issues associated with the new technology of surveillance and communication; humanitarian issues involved with providing adequate nutrition, education, and medical care to people living in poor countries; and many others. The rapid and continuing increase in technical power provided by information storage and retrieval systems such as Google, by DNA forensics, by facial-recognition technology, and by hypersensitive optical devices used for surveillance, is constantly generating new challenges and a need for continuously updated ethical standards. These challenges weigh most heavily on the engineers and scientists who are inventing this new technology and studying the underlying phenomena on which it is based. Every scientist and engineer, indeed every scholar in every area of natural science and social science, and even in some of the humanities—I have history particularly in mind—has a deep responsibility to understand the social, political, and ethical implications of his or her work, and to carry out that work in strict accordance with the norms laid down by professional organizations. One cannot—or rather, should not—nowadays focus narrowly on technical research to the neglect of its potential social effects. It is vitally important to be Zuboff, S., ‘The Age of Surveillance Capitalism’, (2019).

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involved in the interface between one’s specialty and the wider society. The potential consequences of new technology, for good or ill, are now enormous, and the past practice of building a new technology as soon as funding can be procured to do so has become dangerous. More and more attention must be paid to what are commonly called Unintended Consequences. For example, people my age, who were born before there were television stations, may recall reading about the great boon this new medium would provide for education. Half a century later, that same prediction was made with even greater enthusiasm about the Internet. While some of the predicted benefits of these technologies have indeed come to pass, we must also acknowledge that television profoundly disrupted family life and that the Internet has made it possible for people to live in restricted “bubbles,” where their views on politics and society are never challenged, thereby providing fertile soil for the growth of irrational conspiracy theories. The result, in both cases, has been an increasing estrangement of people from one another that has potentially serious psychological, social, and political consequences. Many other examples of such unforeseen consequences will no doubt occur to the reader. The present book, which I would like to see in the office of every engineer, mathematician, and scientist, elucidates the issues involved in all their complexity. It was written by an outstanding scientist who is also a man of profound human values. Although the author and I have not met in person, we have for several years regularly corresponded by e-mail on a variety of scientific and ethical issues. I feel both humbled and honored to have been asked to write this foreword, and I commend the book to its readers, confident that they will feel well rewarded for the time spent in reading and understanding it. Burlington, Vermont, USA June 2019

Roger Cooke

Preface

‘…we must see to it that this agency and all agencies that possess this technology operate within the law and under proper supervision so that we never cross over that abyss. That is the abyss from which there is no turning back.’2

They call it Industry 4.0: the Fourth Industrial Revolution. However despite having spent some forty years researching and working with so many digital technologies, I remain uncertain as to whether future generations will view Industry 4.0 as broadly heralding an age of human advancement—or something significantly less positive. For the most part this uncertainty isn’t founded on innate characteristics of technology but rather reflects an appreciation of the increasingly complex symbiosis of diverse human, societal, and technological traits. To date commercial and governmental considerations have played a dominant role in driving the development, deployment, and application of hardware and software systems. This has created a rapidly expanding and highly adaptive industry but the pace of progress has resulted in short-term opportunities often outweighing longer-term considerations. Whilst digital technologies were relatively simple, this was of little consequence but since the 1990s the situation has gradually changed. Although innovation continues to yield results which are of great benefit to society, it’s becoming increasingly evident that the application of ever more sophisticated and interconnected technological systems may have adverse (and sometimes unanticipated) ramifications. Undoubtedly people are becoming more aware of data misuse, the erosion of personal privacies, and the sometimes life-changing impact of cyber crime, but relatively few have the opportunity to reflect on the possible consequences of our overall direction of travel. If when armed with a sound understanding of current and emerging technologies we do endeavour to look ahead, it quickly becomes evident that we need to chart our course with care—for there are perils which threaten the individual, society in general, and the environment. We are for example gaining the scientific, technological and engineering capabilities that will support the development of

2

Senator Frank Church (Chair of the Select Committee on Intelligence and former Military Intelligence Officer) on NBC’s ‘Meet the Press’, (17th Aug. 1975). xi

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autonomous weapons systems thereby enhancing one of the darkest aspects of human nature. Further as Artificial Intelligence and robotics systems advance, it’s evident that in the coming years many forms of traditional human employment are likely to be threatened. Many argue that such technologies will simply result in job displacement and that a myriad of new forms of employment will emerge. For after all they say wasn’t this the case with previous industrial revolutions? But the past doesn’t always repeat itself and we now live in a world which has an ever-larger population and a growing awareness of the finite nature of key resources. Will automation really result in the plentiful supply of new jobs? The answer is quite simple—at this stage nobody really knows. How will the use of biometrics and surveillance systems develop? What are the ramifications of the Internet of Everything? Are we willing to create a world in which our movements and activities may be ever more closely tracked and in which our future behaviours can be predicted with increasing certainty? Will technologies facilitate the re-emergence of the spectre of Eugenics by making available to some the bioengineering techniques which will enable the selective promotion of particular human attributes in their offspring? And will technologies play an ever more vital part in preserving our environment or will we continue to expend untold resources on the manufacture and distribution of technologies which are deliberately intended to have a short useful life? Questions abound and if we are to ensure that our children and theirs are to have lives in which technologies work for them as opposed to their being subservient to a depersonalised and ubiquitous technological leviathan, then we must actively strive for a future in which developments are planned—rather than them being largely driven by commercial opportunities. Only by being guided by and actively promoting professional ethical values can we hope to avoid a dystopian future in which the citizen is powerless in his/her ability to challenge the depersonalised and controlling influences that can be achieved through the pervasive interconnectivity of technologies. Today for some, this is already their world: ‘You live in a small village near the border. Your husband has to go to town to work. Your children go to the local school. There have been two attacks from the sky in the last four months. One killed your friend’s husband and two of her children. The other devastated the market. There was no sign of where the attacks came from but you know something is up there watching, ready to bomb at any time. Very often you hear it. Your husband says he can do nothing. Some people he knows have tried to go to the country that sent them, but there is no way they can get there. Some were arrested and have not been released. You’re husband is powerless to reach that thing which hovers above. You can’t sleep at night and you feel constantly watched by day. You don’t want to let the children out of the house but you know the house is no protection. You jump at the smallest noise and shout too much at the children. You know your husband worries about your behaviour but you feel trapped and don’t know what to do.’3

Quoted in Birch, M., Lee, G, and Pierscionek, T., ‘Drones the Physical and Psychological Implications of a Global Theatre of War’, Medact, (2012). 3

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Such powerlessness is synonymous with warfare involving technologies over which the individual has no control and brings to mind the words of César Méléra, a hardened soldier who after being subjected to prolonged mass shell bombardment during the Battle of Verdun *100 years ago observed: ‘… waiting to be buried by a shell… is terrible…because man is fighting against material, with the sensation of striking out at empty air.’4

But today, it’s not just the soldier who must experience powerlessness when faced with remotely fired weapons systems—but rather entire families—such is the nature of the so called ‘surgical strike’ capabilities of drone warfare. And this is but one limited example of the way in which current and future technologies have the potential to create a claustrophobic dreamscape world in which surveillance, restriction, and control are endemic. This book has been written with such dangers in mind and with certitude that with prudence and wise council, technologies could facilitate the creation of quite a different and much more positive future. In terms of technologies we endeavour to lay foundations by considering their evolution together with their past and current usage. This provides a framework intended to facilitate their future projection. However in order to gain an insight into their potential impact, it’s vital that we also consider aspects of human behaviour and motivation—the good, bad, and downright ugly. An important point that emerges from this discussion is that whilst technologies are rapidly advancing in their capabilities, over the centuries, human nature has changed very little. As a result some people will invariably find ways of using technologies for unintended purposes—sometimes to their own advantage—even when it’s clearly disadvantageous to others. This can only be countered through the continued infusion of ethically-desirable precepts into the technological and scientific landscapes. In this context it is crucial that those embarking on technology-related careers gain a clear insight into the value of obtaining professional status and a sound reputation for undertaking ethically-infused activity. In this way: ‘Might we foster a culture that lionises technology for peaceful purposes and start to challenge technology in the service of…the military? In short, create a culture that is the opposite of “move fast and disrupt things”—one that takes the time to build things respectfully, in ways that empower people.’5

In Chap. 1 we lay various foundations and include discussion on the need for ethically-based decision making, forms of ethical framework, and the importance of ethics in professional activity. In addition, we review aspects of human behaviour

Quoted in Horne, A., ‘The Price of Glory Verdun 1916’, pp. 178, The Reprint Society Ltd, (1964). 5 O’Shea, L., ‘Tech has no Moral Code. It is Everyone’s Job Now to Fight for One’, The Guardian, (25th April 2018). 4

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thereby highlighting the crucial role of ethically-based decision making in charting future progress. Subsequently, in Chap. 2 we turn to ethics in organisations and consider the impact of various forms of leadership. Importantly, this discussion demonstrates that the infusion of ethically-desirable behaviours within an organisation not only benefits a broad range of stakeholders, but is also commercially advantageous. However, throughout the book, we don’t focus on this latter consideration (which has potentially disingenuous implications) but rather assume that the infusion of strong ethical standards within an organisation should be driven by a passion to ‘do the right thing’—which in itself has intrinsic value. Our use of digital technologies has gradually eroded various forms of traditional privacy. As discussed in Chap. 3 privacy encompasses a diverse set of multifaceted values and, although these are fundamental to many aspects of our lives, some continue to extol a claim loosely attributed to the Nazi Minister of Propaganda, Joseph Goebbels: only those who have something to hide need be concerned when privacies are eroded. This is of course a fallacy because we all have things that we endeavour to hide (for both rational and irrational reasons). We consider privacy from various perspectives and discuss ways in which some government agencies have used and misused powers of surveillance. In addition we discuss the nature and ramifications of End User License Agreements (EULAs). Do you ever read their terms and conditions before clicking ‘I Agree’? In Chap. 4 we discuss Internet-based surveillance, camera systems, biometrics, and RFID tagging (including human implantable microchips).To what extent are these approaches effective and why are some being so widely employed? The Internet plays a crucial role in the interconnection of so many diverse forms of technology and has had a profound impact on the ways in which we communicate and access information. In Chap. 5 we briefly review its evolution and aspects of recent developments including the Internet of Things and censorship. Although an early vision for the World Wide Web concerned the creation of a domain free from government censorship, the current reality is somewhat different. To what extent does the Internet empower the individual—how does it act as a tool for repression and exploitation? In Chap. 6, we turn our attention to environmental issues and particularly ethical considerations arising from the technology lifecycle. We discuss the impact of product manufacture, shipping, and usage, through to ethical issues relating to the handling of e-waste. For *100 years the concept of ‘repetitive consumption’ has played an important role in the promotion and sale of a wide variety of products. However given the environmental impact associated with the production of vast numbers of technological products, we question the continued sustainability of this approach. In addition we take a look at the environmental ramifications of ever expanding server farms and the mixed benefits of renewable energy. Drone technologies were first researched during the First World War and in Chap. 7 we briefly review milestones in their evolution and consider their diverse usage today. From instilling delight into children of all ages and applications in which they are used to facilitate precision farming and protect African wildlife

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through to, for example, the Predator and Reaper drones which allow warfare to be waged clinically from afar (recall the first of the quotations given above). Undoubtedly the technologies and engineering techniques employed in their implementation are exciting—but in terms of their usage, what are the ethical implications? And what are the implications of increases in drone autonomy— ultimately enabling drones to carry out tasks without recourse to external communication channels and hence reliance on human intervention? As previously mentioned, there can be little doubt that Artificial Intelligence (AI) and robotic systems will have a major impact on employment. In parallel, ongoing research efforts embrace the development of robots which exhibit human attributes and which some claim will ultimately be able to exhibit (rather than simulate) human consciousness. With such thoughts in mind, in Chap. 8 we focus on various forms of robotic systems and discuss some of the hotly-debated issues relating to human consciousness. We currently have little understanding of conscious awareness and in attempting to articulate ways in which we ‘experience the experience’, we soon encounter problems. For some, conscious awareness is totally based on, and can be fully explained by, the electrochemical processes which occur in the brain. Others believe in the existence of a life force (élan vitale) and/or of a non-physical immortal soul. In the text we briefly review aspects of this profoundly fascinating debate and include discussion of a further area which often attracts heated debate: human free will. Subsequently we discuss why some technologists are attempting to develop robotic systems which may be able to outperform key characteristics of the human species, without due consideration of the potential ramifications. Additionally we highlight the crucial (and fundamental) difference which exists between the simulation and experience of conscious awareness. In this wide-ranging chapter, we also consider autonomous motor vehicles, the ethical ramifications of research relating to biobots, and extend discussion presented in Chap. 1 concerning aspects of human nature. How can we prepare for an uncertain future in which many forms of employment are likely to be significantly changed or even threatened by AI, robotics, and the like? In this context, in Chap. 9 we turn our attention to ethical issues pertaining to tertiary education. In many countries graduating students incur a very significant level of debt for an educational experience which is often designed to only address the current needs of employers. Why is tertiary education so expensive and how should it be changed so as to reduce costs and provide an enhanced educational experience which lays foundations that will be needed in order to deal with future job displacement? In Chap. 10, we discuss ethics in research. Whilst the great majority of researchers undertake their activities in ethically appropriate ways, there are others who either knowingly cast ethical precepts to one side or who are caught up in systems which have little regard for ethical values. We provide an insight into the less desirable aspects of current research involving human and animal participants by briefly reviewing a number of historical examples. This discussion enables us to consider the extent to which codes of conduct have practical meaning and ways in which the value of informed consent can be deliberately or inadvertently subverted.

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Finally, in Chap. 11 we draw together themes highlighted in previous chapters and also provide an insight into ways in which it’s possible to identify and deal with ethically-undesirable activities and behaviours in the workplace. This discussion highlights the importance of exhibiting professional responsibility and integrity. These attributes are crucial when advising on and guiding our journey through a technology infused landscape with the intention of preserving precious human values of privacy, dignity, empathy and freedom. In addition we emphasise that in some situations it’s far from easy to act in ethically desirable ways and there is often a need to exhibit considerable ‘moral courage’ and demonstrate ‘ethical valour’. Throughout the book we incorporate ‘Ethical Dilemmas’ and ‘Over to You’ (OTU) Activities. These are intended to provide opportunities for reflection and discussion in relation to a broad range of topics. In addition, towards the end of various chapters we include a section that highlights problems which can occur as a result of organisational failures (that have been caused or influenced by ethically undesirable characteristics). The majority of the cases are drawn from the demanding aerospace industry and prove memorable examples which highlight the importance of ensuring that ethical values are infused in organisational culture and in our individual practices. It’s hoped that in part or as a whole, this book will be helpful to readers wishing to understand, influence, and support the ethical development, deployment, application, and disposal of technological systems. The stakes are now too high to allow greed, ignorance, and political expediency to continue to have any place in orchestrating the ways in which emerging technologies will impact on the individual, on society, and on the environment. Surely we need to practice and promote adherence to ethically sound values—firm in our commitment to ‘doing things right’. For after all, ‘Ethics’ is indeed the hallmark of best practice. The author would greatly appreciate feedback from readers—both in connection with this book and in relation to changes that could be incorporated into future editions. December 2019

Barry G. Blundell [email protected]

Contents

1

Professional Ethics: A Hallmark of Best Practice . . . . . . . . . 1.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.2 The Technology Roller Coaster . . . . . . . . . . . . . . . . . . 1.2.1 Predictive Modelling: Student Selection . . . . . . 1.2.2 Control: Smart In-vehicle Technology . . . . . . . 1.3 So How Would You React? . . . . . . . . . . . . . . . . . . . . 1.3.1 Ethics by Instinct . . . . . . . . . . . . . . . . . . . . . . 1.3.2 Ethics by Logic . . . . . . . . . . . . . . . . . . . . . . . 1.4 Ethics: What’s It All About? . . . . . . . . . . . . . . . . . . . . 1.4.1 Ethics: So Many Questions—So Few Answers . 1.4.2 Deontological Theories . . . . . . . . . . . . . . . . . . 1.4.3 Consequentialist Theories . . . . . . . . . . . . . . . . 1.4.4 Theories and Motivations . . . . . . . . . . . . . . . . 1.4.5 Personal Faith . . . . . . . . . . . . . . . . . . . . . . . . 1.4.6 Social Contract Theory . . . . . . . . . . . . . . . . . . 1.5 Ethics and Empathy . . . . . . . . . . . . . . . . . . . . . . . . . . 1.6 Professional Ethics . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.7 Ethical Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . 1.8 Organisational Failures: Radiation Overdose . . . . . . . . . 1.8.1 The Misnomer of Technology Infallibility . . . . 1.9 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.10 Additional Reading . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Ethics and the Organisation: Pervasive Best Practice . . 2.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.2 Ethics and Organisations . . . . . . . . . . . . . . . . . . . 2.2.1 The Organisation and the Individual . . . . 2.3 Ethics in Organisational Leadership . . . . . . . . . . . 2.3.1 Indicative Styles of Leadership . . . . . . . . 2.3.2 Ethical Leadership Characteristics . . . . . . 2.3.3 Benefits of Ethical Behaviours . . . . . . . . . 2.3.4 Ethically Based Behaviours: Why Bother?

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2.4 2.5

Ethics: When Technical Skills Are Not Enough Organisational Failures: Flight TK981 . . . . . . . 2.5.1 The Cargo Door . . . . . . . . . . . . . . . . . 2.5.2 Correcting the Problem . . . . . . . . . . . . 2.5.3 Who Really Knows? . . . . . . . . . . . . . . 2.6 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.7 Additional Reading . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Privacy: An Outdated Concept? . . . . . . . . . . . . . . . . . . . . . . 3.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2 Privacy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.1 The Nature of Privacy . . . . . . . . . . . . . . . . . . . 3.2.2 Privacy and Transparency . . . . . . . . . . . . . . . . 3.2.3 The Right to Be Left Alone . . . . . . . . . . . . . . 3.2.4 Privacy and Freedom . . . . . . . . . . . . . . . . . . . 3.2.5 Privacy Loss and Conformance . . . . . . . . . . . . 3.2.6 Privacy and Self-realisation . . . . . . . . . . . . . . . 3.2.7 Privacy Loss to the Machine . . . . . . . . . . . . . . 3.3 The Misnomer of Complete Security . . . . . . . . . . . . . . 3.4 EULAs: Who Bothers to Read Them? . . . . . . . . . . . . . 3.5 The Stasi: A World of Surveillance . . . . . . . . . . . . . . . 3.5.1 Zersetzung: Gaslighting . . . . . . . . . . . . . . . . . . 3.5.2 A More Enlightened World? . . . . . . . . . . . . . . 3.6 On Being an ‘Other’ . . . . . . . . . . . . . . . . . . . . . . . . . . 3.6.1 The ‘Robbers Cave’ Experiment . . . . . . . . . . . 3.6.2 A Shocking Experiment . . . . . . . . . . . . . . . . . 3.6.3 Dealing with ‘Others’ . . . . . . . . . . . . . . . . . . . 3.6.4 The Stanford Prison Experiment . . . . . . . . . . . 3.7 Edward Snowden: Hero or Villain? . . . . . . . . . . . . . . . 3.7.1 Fallout . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.8 Organisational Failures: Challenger—STS-51-l . . . . . . . 3.8.1 Destruction . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.8.2 The Technology . . . . . . . . . . . . . . . . . . . . . . . 3.8.3 Russian Roulette . . . . . . . . . . . . . . . . . . . . . . . 3.8.4 Human Factors . . . . . . . . . . . . . . . . . . . . . . . . 3.8.5 Optimism and Realism: When Communication Fails . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.9 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.10 Additional Reading . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Surveillance: Technologies, Techniques and Ramifications 4.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.2 Surveillance and the Internet . . . . . . . . . . . . . . . . . . 4.2.1 Direct User Activity . . . . . . . . . . . . . . . . . . 4.2.2 Internet of Things Based Input . . . . . . . . . . 4.2.3 Other Sources of Input . . . . . . . . . . . . . . . . 4.3 Camera-Based Surveillance . . . . . . . . . . . . . . . . . . . 4.3.1 Traditional CCTV-Based Surveillance . . . . . 4.3.2 Smart Video Monitoring Systems . . . . . . . . 4.3.3 Who Watches the Watchers? . . . . . . . . . . . . 4.4 Biometrics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.4.1 Biometric Techniques . . . . . . . . . . . . . . . . . 4.4.2 General Considerations . . . . . . . . . . . . . . . . 4.5 Augmented (Mixed) Reality . . . . . . . . . . . . . . . . . . . 4.6 Radio Frequency Identification Devices . . . . . . . . . . 4.6.1 Friend or Foe? . . . . . . . . . . . . . . . . . . . . . . 4.6.2 From Russia with Love . . . . . . . . . . . . . . . . 4.6.3 Electronic Product Code . . . . . . . . . . . . . . . 4.7 RFID Applications and Ethical Considerations . . . . . 4.7.1 Unknown Access . . . . . . . . . . . . . . . . . . . . 4.7.2 Human Implantable Microchips (HIMs) . . . . 4.8 Organisational Failures: Re-Writing Reality . . . . . . . 4.9 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.10 Additional Reading . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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5

The Internet, Censorship, Empowerment and Repression . 5.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.2 The Evolution of the Internet and Web . . . . . . . . . . . 5.2.1 Internet: Putting the Pieces Together . . . . . . 5.2.2 Spinning the Web . . . . . . . . . . . . . . . . . . . . 5.2.3 Internet: From ‘Things’ to ‘Everything’ . . . . 5.2.4 Security: Opening Pandora’s Box . . . . . . . . 5.3 Internet Censorship . . . . . . . . . . . . . . . . . . . . . . . . . 5.3.1 Lady Chatterley Goes on Trial . . . . . . . . . . 5.3.2 Diy Explosives . . . . . . . . . . . . . . . . . . . . . . 5.3.3 Aspects of Censorship . . . . . . . . . . . . . . . . 5.3.4 From free Expression to Repression . . . . . . . 5.3.5 Extremism and Technology . . . . . . . . . . . . . 5.3.6 Imposition of Internet Censorship . . . . . . . . 5.4 The Evolution of Society . . . . . . . . . . . . . . . . . . . . .

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5.5

Organisational Failures: The Imperial Fleet . . . . . . . . 5.5.1 Background and Organisational Structure . . . 5.5.2 Working Against the Clock . . . . . . . . . . . . . 5.5.3 Christopher Thomson, Baron of Cardington . 5.5.4 When Time Runs Out: Let’s Trust in Luck . 5.5.5 The Fate of the R.100 . . . . . . . . . . . . . . . . . 5.6 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.7 Additional Reading . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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6

Ethics and the Environment . . . . . . . . . . . . . . . . . . . . . 6.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.2 The Product Lifecycle . . . . . . . . . . . . . . . . . . . . . 6.2.1 Product Inception Phase . . . . . . . . . . . . . 6.2.2 Product Realisation Phase . . . . . . . . . . . . 6.2.3 Product Useful Phase . . . . . . . . . . . . . . . 6.2.4 Product Termination Phase . . . . . . . . . . . 6.3 Product Shipping . . . . . . . . . . . . . . . . . . . . . . . . 6.4 Designed for Obsolescence . . . . . . . . . . . . . . . . . 6.4.1 The Demise of the Tin Lizzie . . . . . . . . . 6.4.2 The Phoebus Cartel . . . . . . . . . . . . . . . . 6.4.3 A Slow Death . . . . . . . . . . . . . . . . . . . . 6.4.4 Obsolescence and Recycling . . . . . . . . . . 6.5 Product Repair . . . . . . . . . . . . . . . . . . . . . . . . . . 6.6 Product Lifecycle and the IoT . . . . . . . . . . . . . . . 6.7 Human Obsolescence . . . . . . . . . . . . . . . . . . . . . 6.8 The Human Lifecycle . . . . . . . . . . . . . . . . . . . . . 6.9 Cloud Computing: Data Centres . . . . . . . . . . . . . . 6.9.1 Powering the Internet . . . . . . . . . . . . . . . 6.9.2 The Use of Renewable Energy . . . . . . . . 6.9.3 Is Renewable Energy Sustainable? . . . . . . 6.9.4 The Brundtland Report: Sustainability . . . 6.10 Organisational Failures: Columbia—STS-107 . . . . 6.10.1 Normalisation of Deviance . . . . . . . . . . . 6.10.2 Re-entry . . . . . . . . . . . . . . . . . . . . . . . . . 6.10.3 Not NASA’s Finest Hours . . . . . . . . . . . . 6.10.4 The End of the Space Shuttle Programme 6.11 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.12 Additional Reading . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Empowering Technology: Drones . . . . . . . . . . . . . . . . . . . . . . . . . . 489 7.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 489 7.2 Terminology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 491

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7.3 7.4

Drones: From the Early Days . . . . . . . . . Non-military Applications . . . . . . . . . . . . 7.4.1 Precision Agriculture . . . . . . . . . 7.4.2 Protection of Wildlife . . . . . . . . . 7.4.3 Border Security: A Reality Check 7.5 Drones and the Military . . . . . . . . . . . . . . 7.5.1 Lowering the Threshold . . . . . . . 7.5.2 Disassociation . . . . . . . . . . . . . . 7.5.3 Stress and Trauma . . . . . . . . . . . 7.5.4 Asymmetric Warfare . . . . . . . . . . 7.6 High Altitude Pseudo Satellites . . . . . . . . 7.7 Lethal Autonomous Drones . . . . . . . . . . . 7.8 Organisational Failures: Erebus . . . . . . . . 7.8.1 Pilot Error? . . . . . . . . . . . . . . . . 7.8.2 The Path to Tragedy . . . . . . . . . . 7.8.3 So Many Scars . . . . . . . . . . . . . . 7.8.4 With the Passage of Time . . . . . . 7.9 Discussion . . . . . . . . . . . . . . . . . . . . . . . 7.10 Additional Reading . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Robotic Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8.2 On Robots and Paradoxes . . . . . . . . . . . . . . . . . . . 8.2.1 Capitalising on Key Human Attributes . . . . 8.2.2 Outperforming the Human Species . . . . . . 8.2.3 Valuing People and/or Technology . . . . . . 8.3 Reflections on Aspects of Human Consciousness . . 8.3.1 Do We Possess Free Will? . . . . . . . . . . . . 8.3.2 Experiencing Death . . . . . . . . . . . . . . . . . 8.3.3 Conscious Awareness—And Its Simulation 8.4 But What Is a Robot? . . . . . . . . . . . . . . . . . . . . . . 8.5 With Whom, or With What, Am I Speaking? . . . . . 8.6 Humanoids . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8.6.1 The ELIZA Effect . . . . . . . . . . . . . . . . . . . 8.6.2 When There’s Money To Be Made . . . . . . 8.7 Biobots . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8.8 Autonomous Motor Vehicles . . . . . . . . . . . . . . . . . 8.8.1 Autonomous General Purpose Vehicles . . . 8.8.2 From Hype to Reality . . . . . . . . . . . . . . . . 8.8.3 Semi-autonomous Vehicles . . . . . . . . . . . . 8.9 When a Robot is Given Your Job . . . . . . . . . . . . . 8.10 The Jekyll and Hyde Factor . . . . . . . . . . . . . . . . . .

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8.11

Organisational Failures: Air France Flight 447 8.11.1 Too Much Automation . . . . . . . . . . . 8.12 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . 8.13 Additional Reading . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

9

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and Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The ‘Alternative Era’ University . . . . . . . . . . . . . . . . . . Education: Paying the Piper . . . . . . . . . . . . . . . . . . . . . . 9.3.1 Who Pays? . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.3.2 The Student Pays Approach . . . . . . . . . . . . . . . 9.3.3 Tertiary Education: For the Common Good . . . . 9.4 Ethically Based Responsibility . . . . . . . . . . . . . . . . . . . . 9.4.1 Administration and Management Growth . . . . . . 9.4.2 Academic Staff . . . . . . . . . . . . . . . . . . . . . . . . . 9.4.3 Casual Employment: Zero-hours Contracts . . . . . 9.5 The Humanities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.6 The ‘Multiversity’ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.7 Jobs and Graduates . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.8 Into the Future: Industry 4.0 . . . . . . . . . . . . . . . . . . . . . 9.8.1 Choice of Programme . . . . . . . . . . . . . . . . . . . . 9.8.2 Relationship: The Return of the Student Learner 9.8.3 Tuition Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.8.4 Programme Development . . . . . . . . . . . . . . . . . 9.8.5 The Language of Mathematics . . . . . . . . . . . . . . 9.8.6 Delivery Techniques . . . . . . . . . . . . . . . . . . . . . 9.8.7 Programme Duration . . . . . . . . . . . . . . . . . . . . . 9.8.8 The Value of the Certificate: Looking Good on Paper . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.9 The Online Modality . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.10 Organisational Failures: Concorde—AF4590 . . . . . . . . . . 9.10.1 Concordski . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.11 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.12 Additional Reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Ethics 9.1 9.2 9.3

10 Ethics 10.1 10.2 10.3

and Research . . . . . . . . . . . . . . . . . . . Introduction . . . . . . . . . . . . . . . . . . . . A Passion for Research . . . . . . . . . . . . Research Involving Human Participants 10.3.1 The Shadow of Eugenics . . . .

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10.4

Early Human Experimentation . . . . . . . . . . . . . . . 10.4.1 The Wendell Johnson Experiment . . . . . . 10.4.2 Racially-Based Trials Using Mustard Gas 10.4.3 Denial of Treatment: The Tuskegee Study 10.5 Research: Post Nuremberg . . . . . . . . . . . . . . . . . . 10.5.1 The Death of Ronald Maddison . . . . . . . . 10.5.2 Radioactive Cocktails . . . . . . . . . . . . . . . 10.6 The Declaration of Helsinki . . . . . . . . . . . . . . . . . 10.7 The Uncertainty of Informed Consent . . . . . . . . . . 10.7.1 The Temporal Factor . . . . . . . . . . . . . . . 10.7.2 The Reward Incentive . . . . . . . . . . . . . . . 10.7.3 Intentional and Unintentional Bias . . . . . . 10.8 Animal Experimentation . . . . . . . . . . . . . . . . . . . 10.8.1 From Empathy to Cruelty . . . . . . . . . . . . 10.8.2 Ethics in the Laboratory . . . . . . . . . . . . . 10.9 Organisational Failures: Voyages to Mars . . . . . . . 10.9.1 Mars Climate Orbiter: When Units Matter 10.9.2 Mars Polar Lander: An Early Touchdown 10.9.3 The Deep Space 2 Probes . . . . . . . . . . . . 10.9.4 When Success Was so Close… . . . . . . . . 10.10 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.11 Additional Reading . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

11 Reflections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.2 Ethical Action . . . . . . . . . . . . . . . . . . . . . . . . . . 11.2.1 Professional Evaluation of an Issue . . . . 11.2.2 When Courage Isn’t Always Recognised 11.2.3 Catalysed by Anger . . . . . . . . . . . . . . . 11.3 Ethics and Motivations . . . . . . . . . . . . . . . . . . . 11.4 Ethics in Action: A Graded Approach . . . . . . . . 11.4.1 Following Through . . . . . . . . . . . . . . . . 11.5 Organisational Failures: The Boeing 737 Max 8 . 11.5.1 Boeing’s 737: A Trusted Workhorse . . . 11.5.2 Ingredients for Tragedy . . . . . . . . . . . . . 11.5.3 The Illusion of Emulation . . . . . . . . . . . 11.5.4 The Human Cost . . . . . . . . . . . . . . . . . 11.5.5 Perhaps only a Partial Solution? . . . . . . 11.5.6 History: Who Should Care? . . . . . . . . . 11.6 Closing Discussion . . . . . . . . . . . . . . . . . . . . . . 11.7 Recommended Additional Reading . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Contents

Appendix A: Universal Declaration of Human Rights . . . . . . . . . . . . . . . 879 Appendix B: BCS Code of Conduct . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 887 Appendix C: The Nuremberg Code . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 889 Appendix D: Declaration of Helsinki . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 891 Appendix E: The Oath of Hippocrates . . . . . . . . . . . . . . . . . . . . . . . . . . . 899 Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 901

About the Author

Dr. Barry G. Blundell FBCS, CEng, CPhys, CITP, MInstP is a physicist and widely experienced scholar who obtained his Ph.D. from the Victoria University of Manchester (UK) in 1982. To date he has held academic positions in the UK, New Zealand, U.S., Sweden, and the UAE. He has designed, developed, and delivered undergraduate and postgraduate courses in applied physics, mathematics, astrophysics, electronics (analog and digital), and across a broad spectrum of Computer Science subject areas. During the past *16 years he has increasingly focused his scholarly activities on societal, ethical, and environmental issues relating to the development, deployment, use, and disposal of technological systems. He is passionately committed to innovative education and to the use of effective technologies which enable students to be brought together in vibrant online learning environments in ways which transcend their geographic locations and socio-economic backgrounds. This approach is intended to promote cultural understanding and erode traditional politically and racially inspired divisions between people. Barry Blundell has worked widely with the commercial sector, is an Accreditation Inspector for the British Computer Society and an ardent researcher. In this latter respect, in addition to his transdisciplinary work concerning societal, ethical, and environmental issues, he continues to undertake innovative research into interactive 3D display systems able to naturally support the motion parallax cue to depth for application in areas such as medicine, education, and the arts. To date he has authored 13 teaching and research textbooks.

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1

Professional Ethics: A Hallmark of Best Practice

‘We have grasped the mystery of the atom and rejected the Sermon on the Mount…Ours is a world of nuclear giants and ethical infants… If we continue to develop our technology without wisdom or prudence, our servant may prove to be our executioner.’1

1.1

Introduction

During years spent delivering courses in the area of Social, Ethical, and Professional (SEP) issues, I’ve often found that some students come to see me in the days leading up to the first lecture and question the relevance of the subject. Undoubtedly their initial uncertainties can be easily understood since a decision to enrol in a scientific or technology-centric degree programme is usually driven by an interest in and a wish to develop important technical skills. Subjects such as robotics, software engineering, cyber security, electronics, artificial intelligence, digital signal processing, informatics, programming, and the like clearly provide key transferable skills that are highly sought by industry. As a result, students naturally want answers to questions, although they do usually try to be tactful. But let’s put this tact to one side: ‘What’s the point in our studying professional ethics? Dry, flaky, fossilised subjects such as Moral Philosophy (ethics) don’t have much place in our technology driven world. And if this wasn’t the case, wouldn’t universities be expanding, rather than closing down, Philosophy departments?’ Curiously, I often find that the students asking such questions are the very ones who, after a few lectures, turn out to be the most interested in issues relating to techno-ethics. 1

Armistice Day speech (11th Nov. 1948), published in Major General Omar Bradley’s Collected Writings, Vol. 1 (1967). © Springer Nature Switzerland AG 2020 B. G. Blundell, Ethics in Computing, Science, and Engineering, https://doi.org/10.1007/978-3-030-27126-8_1

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Hopefully as you work through this book you’ll also find the subject matter of real interest and it will become increasingly apparent to you that moral philosophy is by no means ‘fossilised’. Indeed, I hope to show that professional ethics and the societal impact of technologies are of critical importance, not only to your careers but also to the future wellbeing of our technology-driven world. We begin (Sect. 1.2) by briefly considering two simple but indicative technology-related applications. Firstly, we consider the use of predictive modelling techniques in selecting students for university places. Subsequently we consider the possible use of smart in-vehicle technologies to mediate, control or report on driver behaviour. For the moment we’ll loosely assume that in practice sound ethical behaviour relates to living within a framework in which we are strongly motivated to ‘do the right thing’. However as we’ll discuss, this is often far from easy. ‘Professional ethics’ is considered to be a more specific term and refers to the overarching standards that we apply (or should apply) to all aspects of our work. In this context, as trained, qualified and experienced professionals we have particular obligations (not necessarily defined by law, or company/institutional rules) which should govern not only the ways in which we conduct ourselves, but also the conduct that we should anticipate from others. The application of ethically-based professional standards is fundamental to the notion of ‘best practice’ and provides a framework which enables us to gain and maintain crucial reputations for professional integrity. This framework allows us to develop our standing and so be accepted by those with similar values. In Sect. 1.3 we present several scenarios involving ethical issues, and consider associated ethically-based decision-making processes. These are intended to provide an insight into factors that may influence the way a person acts. We particularly highlight the fact that although when presented with an ethical challenge we may be able to identify the way in which we should act, our actual response may be tempered by external considerations (which are sometimes used to justify the adoption of ethically undesirable courses of action). Section 1.4 focuses on aspects of human behaviour—those that are good, bad, and downright ugly. Why do we act in certain ways? Why should we concern ourselves with ethical decision-making? Are there any templates to help us formulate ethical decisions? Although initially the contents of this section may seem very remote from the scientific and technology-focused materials that you may be more familiar with studying, it lays vital foundations. If we are to consider ethical issues associated with a broad spectrum of technologies, we need to gain an insight into the complexity (and perversity) of human nature: we need to be cognisant of the ways in which people act. In this general context, Naughton (2017) briefly considers key stakeholders who continue to play a dominant role in the development of the tools used in the analysis of our online activities. Inspired by the seemingly benign goal of delivering focused advertising that matches our interests, lifestyles, etc., companies such as Google and Facebook have been remarkably successful. However, these same techniques are now increasingly being used by a range of online providers to deliver other

1.1 Introduction

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forms of focused material—from fake news to political ideology—thereby creating the opportunity to provide each of us with a unique and highly personalised Internet2 experience. Undoubtedly, opportunities for distorting our perceptions of the world, for manipulating our views and for influencing our individual behaviours abound. This poses many potential dangers by, for example, making it almost impossible to be absolutely certain that democratic processes can be conducted in ways that are free from extensive covert manipulation. In the article cited above, Naughton asks why smart people such as Mark Zuckerberg (founder of Facebook), Larry Page and Sergey Brin (Google), Travis Kalanick (Uber), and Peter Thiel (PayPal) appear to have failed to foresee the dangers inherent in the developments now taking place. The lure of amassing great personal wealth can of course cause ethically-based values to be cast firmly to one side. Alternatively, Naughton suggests, a root cause may relate to overly restrictive education: ‘Now mathematics, engineering and computer science are wonderful disciplines – intellectually demanding and fulfilling. And they are economically vital for any advanced society. But mastering them teaches students very little about society or history – or indeed about human nature. As a consequence, the new masters of our [technology] universe are people who are essentially half-educated. They have had no exposure to the humanities or the social sciences, the academic disciplines that aim to provide some understanding of how society works, of history and of the roles that beliefs, philosophies, laws, norms, religion and customs play in the evolution of human culture.’ (Naughton 2017)

With such thoughts in mind, be reassured. We won’t be dwelling on abstract philosophical issues but will be adopting a highly practical ‘practitioner’s’ approach —emphasising key aspects of human behaviour, and where appropriate taking important lessons from history. Further, we will be considering the practicalities, consequences, and benefits associated with the adoption of ethically inspired professional conduct. In Sect. 1.5 we briefly discuss the important role that the human sense of empathy can have in guiding ethical behaviours and importantly the fact that ethically desirable standards can be readily eroded when empathy is absent or diminished. Section 1.6 focuses on the nature of ‘professional’ employment and highlights a number of indicative ethically related obligations and expectations. This discussion is extended in Sect. 1.7 where we provide examples of ways in which individuals have adhered to ethically-desirable standards and those who have done otherwise. Towards the end of this and most of the other chapters in the book, we describe technology-related situations in which organisational failures have had serious consequences (including loss of life and/or significant financial loss). These illustrate the crucial importance of ethical decision-making and the dilemmas faced by professionals in determining if, when and how they should raise issues which may not necessarily be welcomed by others. A number of examples are taken from the exacting aerospace industry and these provide interesting and memorable 2

For simplicity and unless there is a particular reason to do otherwise, we assume that references to ‘the Internet’ allude to the ‘world wide web’ and our general online activities.

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illustrations of incidents which could have been avoided—they were ‘accidents’ waiting to happen. However, in this first chapter (Sect. 1.8) we focus on a technology used for cancer treatment—the Therac-25 radiation therapy machine, through which a number of people received large (and sometimes fatal) radiation overdoses.

1.2

The Technology Roller Coaster ‘The contestants on one side are those who, briefly stated, believe computers can, should and will do everything, and on the other side those who, like myself, believe there are limits to what computers ought to be put to do.’3

The benefits offered by today’s technologies abound. Within only a few decades, computer systems and a broad range of associated technologies have revolutionised many areas of human endeavour. From medicine and communications through to computer-aided design, modelling, entertainment, education and the dissemination of knowledge, tremendous advances have been made. We have become empowered to probe the sub-atomic world, to capture awe-inspiring images of deep space, and can develop space craft able to navigate the hazardous void of space and make fully automated landings on the lonely Martian surface (although they’re not always successful—look ahead to Sect. 10.9). We are able to watch the delight of children flying small drones with remarkable prowess, and are able to create less benign craft —drones designed to wage war, kill and maim while controlled remotely from a safe, detached and clinical environment. Undoubtedly, we are on a technological rollercoaster ride over which we appear to have very little control. Forecasting with any certitude how things will develop during the next twenty years or so is fraught with difficulty. Where is this rollercoaster ride taking us? How will we benefit as individuals—what freedoms will we gain—what freedoms will we lose? How will society be changed by AI and robotics? What will be the environmental impact of the Internet of Everything? Who will be the ultimate winners and who will be the losers? Will society become more egalitarian or will wealth become increasingly polarised? Will the technologies work for us—or will the converse happen? These are crucial and increasingly important questions, particularly when we consider them from the perspective of the legacy we will be leaving for our children and grandchildren. But the answers remain elusive. In reality the plan is that we have no long-term plan—there is no cohesively agreed strategy! In the early days when computer systems were invariably stand-alone machines with quite limited storage and processing capabilities, we could afford to allow computer evolution to be largely determined by corporate interests, market forces, and a can-do attitude. Admittedly, this didn’t necessarily result in the survival of the 3

Weizenbaum (1976).

1.2 The Technology Roller Coaster

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strongest and best technologies and techniques, but it promoted rapid advancement. There was no blue-print, no master plan, companies and products flourished and floundered; fortunes were made and lost. The unfettered nature of the market forces and commercial interests which play such a pivotal role in shaping computing and technology-related developments has long been recognised as a cause for concern. For example, writing a little over twenty years ago, Duncan Langford observed: ‘It is important to appreciate that the driving force of developing technology lies behind many decisions taken in the computing industry. Examples abound where technical implementation preceded discussion, if indeed discussion took place at all; and it is easy to see how this can happen. Once introduced, such new developments rapidly become entrenched, while later technical modification based on non-technical issues presents obvious and often insurmountable difficulties.’ (Langford 1995)

As the pace of the technological revolution has increased this situation has certainly not improved, and has possibly deteriorated. Given the growth of ever more powerful and highly interconnected ubiquitous computing technologies coupled with the ability to acquire, store and rapidly process seemingly endless amounts of data, can we allow uncontrolled evolution? For each and every one of the unquestionable benefits offered by today’s technological systems, there are also potentially less desirable applications, some of which could have profoundly negative consequences for the individual, society, and the environment. From the perspective of our current discussion, it is useful to loosely gauge a range of emerging technology-related developments in terms of the four factors summarised in Fig. 1.1. These are briefly outlined below: 1: Visibility: This refers to the extent to which the research, development and application of technologies and technology-related products are apparent to an informed general audience (non technology specialists). For example, a range of software systems associated with the collection, analysis and application of data pertaining to our individual usage of the Internet exhibit low Visibility. 2: Scope: This refers to the intended initial/short-term usage. Normally, Scope can be well defined and underpins product research and development.

Scope

Visibility Application Potential

Context

Fig. 1.1 Four indicative factors that can be of particular relevance when considering various emerging techno-centric developments.

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1 Professional Ethics: A Hallmark of Best Practice

3: Potential: This refers to longer term usage of the initial development, or of spin-off developments. This may not be well-defined and unforeseen opportunities may arise over time, perhaps as a result of a symbiotic merger with other technologies/techniques which become available. Potential is frequently strongly enhanced by system connectivity. 4: Context: This refers to the motivation underpinning developments, and in the technology industry is likely to be strongly influenced by financial opportunity and/or governmental interests. Context also includes consideration of the general nature of the development. Does it, for example, sit within a generally well-established area or within a relatively embryonic area which is rapidly developing and whose ultimate ramifications (Potential) have still to be determined? In the following subsections we briefly discuss two technology-related applications. These have been selected to illustrate issues that can arise when new technologies and/or automated systems are introduced. We particularly focus on potential ethically-related considerations. However, in this respect (and as discussed in Sect. 1.4.1) it is important to bear in mind that there is no single framework of universally agreed ethical standards. Certainly we are likely to be in general agreement over some fundamental ethical considerations in respect of extremes of human conduct (for example, murder, violence and theft). Other ethical standards may vary between cultures and between individuals who share the same cultural backgrounds. Consequently, in the examples that follow we simply suggest possible ethical considerations—it is up to you to determine how these fit with your personal ethical framework.

1.2.1 Predictive Modelling: Student Selection Take a look at Ethical Dilemma 1.1 which provides a useful illustration of the factors summarised in Fig. 1.1. Additionally, it introduces some of the ethical issues that can arise when we empower computers in decision-making processes that may negatively impact on some people and be advantageous to others. It is likely that the use of technologies to automatically appraise student applications to tertiary institutions and promote the selection of student cohorts in a way that will maximise revenue would come as a surprise to both students and their families. We can therefore deem this application as exhibiting low Visibility. Whilst Scope may be well defined (and indeed spelt out in the project development specification), Potential (particularly in respect of spin-off applications) is unlikely to be foreseen with any degree of certainty. For example, should the model employed for student selection have a significant (and positive) impact on revenue, then it is likely that it will be adapted for use in other selection scenarios. In respect of Context, clearly financial considerations are a primary motivation.

1.2 The Technology Roller Coaster

7

Undoubtedly, the approach has the potential to disadvantage some students. For example: 1: Discrimination: Does this application of predictive-modelling techniques have the potential to promote discrimination? Although in principle the system could be developed to ensure equity between particular groups (e.g. based on gender, ethnicity, etc.), how do we ensure that the broad spectrum of socio-economic factors is fully represented? One obvious approach would be to ensure conformance to legal requirements concerning discrimination. However, as we will see conformance to the law does not necessarily mean that practices are ethically desirable.

2: No Crystal Ball: Consider the case of an applicant who has the entry requirements (in terms of qualifications), but who on the basis of other factors is rejected because the calculated ‘probability of completion’ is below a threshold value. This may turn out to be a justifiable result—at the time that the computation was performed. The student may have a track record which indicates a general lack of commitment, perhaps invariably doing the minimum needed to pass exams and as a consequence his/her results are generally poor. However if the applicant had been accepted, it is possible that the passionate enthusiasm demonstrated by one or more lecturers in their discourse on teaching and research could have made a

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1 Professional Ethics: A Hallmark of Best Practice

crucial difference. In applying, the student may not have been particularly enthralled by computing as he/she had little interest in the idea of spending long hours each day sitting in front of a computer. In fact the application for a university place may have been promoted by parents who were from a disadvantaged background and who felt that a degree in a technology-based subject would stand their offspring in good stead. Perhaps if this student had been accepted by the university, they would have attended a truly dynamic Professional Ethics course in their first year… Such a course may conceivably have altered the student’s perception of a technology-centric career—it may have altered his/her preconceived ideas. Perhaps the student would have realised that today’s technology graduates invariably gain jobs in which they need to work within teams, liaise with customers, deal with complex ethically-related problems and act as multidisciplinary visionaries who should endeavour to look beyond the here and now. They are the people who could have a profound effect on shaping the future. The predictive-modelling software could not ‘know’ the impact of this course on the student; could not ‘know’ that had this student been offered a place on the undergraduate programme, they would not only complete their degree but would go on to gain a Ph.D. and become a renowned researcher. For loosely related discussion see Baraniuk (2018).

1.2.2 Control: Smart In-vehicle Technology ‘Technology presumes there’s just one right way to do things and there never is.’4

From their inception, computer-based technologies have played an ever-greater role in automating systems and processes. Indeed, today’s high-performance communications, mobile technologies, interconnected embedded systems, reliable/compact transducer technologies and opportunities to store seemingly limitless volumes of data, coupled with the ability to rapidly and automatically search distributed databases ensures accelerated growth in this area. These are technologies and techniques which underpin Cloud Computing and support a rapidly expanding Internet of Things (see Sect. 5.2.3). In this latter respect it is useful to note that whilst the ‘traditional’ Internet was primarily characterised by its usage for accessing and sharing information, the Internet of Things (and Internet of Everything) represents a thrust to enhance connectivity with the physical world. This encompasses the acquisition of real-time data, the processing of data gained from diverse sources, autonomous device-to-device communications and the ability to exercise control remotely.

4

Attributed to Robert M. Pirsig.

1.2 The Technology Roller Coaster

9

Discussion relating to the introduction of automated systems pre-dates the advent of digital technologies and has invariably centred on concerns about impact on employment (see for example Sects. 8.2 and 8.9). Whilst this continues to be a significant issue, we must now also consider the extent to which digital technologies should be allowed to influence and/or control the actions of the individual. By way of example consider the use of strategically sited roadside radar installations intended to detect speeding drivers. Almost without the need for human intervention, these systems can identify and chastise offenders. This perhaps suggests that the approach is highly efficient, but in reality this is not necessarily the case. For example: 1. Usually, a letter is sent to the errant driver requiring that a fine be paid within a certain time. Closure can only occur when this fine has been paid. The entropy caused by drivers who fail to pay fines, or who may claim not to have been driving the vehicle at the time at which the offence occurred reduces overall efficiency. 2. Roadside radar installations serve only to sample and influence speed over a very small distance. Furthermore, the ability to efficiently detect habitual speedsters (and curb such behaviour) is limited as the location of fixed radar locations is generally the subject of local knowledge. In addition, out of town drivers are often made aware of their proximity by, for example, GPS device-based information or by via radar signal detection systems. The inefficiency indicated in (1) above, could of course be countered by directly extracting fines from the driver’s account. It could be argued that this simply represents an incremental development—a logical move to enhance efficiency (although this doesn’t address debate concerning who was actually driving the speeding vehicle). Why not, some may ask, put the computer fully in charge? With this in mind and in order to address point (2) above, we could consider the adoption of different technologies and approaches. Figure 1.2 summarises a logical argument that can be made to move from external vehicle surveillance techniques to more robust systems employing in-vehicle smart monitoring and/or control technologies. Both are assumed to be underpinned by GPS and from a technical perspective are relatively straightforward. In brief, these approaches are as follows: 1: Automatic Imposition: On the basis of GPS-based determination of vehicle location the system could operate by preventing the driver from exceeding the speed limit set at any given place. Naturally, these limits could be dynamically adjusted to reflect the time of day and local weather conditions, etc. 2: Automatic Sensing and Reporting: In this scenario, the system would not operate in a manner which physically prevents the driver from exceeding speed limits, but rather would monitor vehicle speed relative to local speed limits and would actively report infractions. The first of these two scenarios approximately aligns with recent moves in Europe to introduce legislation in connection with mandating the incorporation of

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Speeding increases probability of accidents resulting in serious injury and/or death Increased cost to society

Logical argument

Conformance to speed limits offers to reduce accidents and hence cost to society Speed limits are enshrined in law and so obedience should be enforced To maximise benefit to society cost of enforcement should be minimised Smart technologies will deliver…

Indicative technologybased solutions

Automatic sensing + reporting

Automatic imposition

Other applications…

Fig. 1.2 A summary of possible logical reasoning that can be used to better ensure vehicle conformance to speed limits. Two possible solutions are indicated. In the case of ‘automatic imposition’ the technology operates by preventing a driver from exceeding local speed limits. In contrast, ‘automatic sensing and reporting’ employs a monitoring system which reports driver infractions.

‘Intelligent Speed Assistance’ (ISA) technology into new cars. Using GPS and/or sign-recognition systems this is intended to automatically limit vehicle speeds— although it appears that drivers will be able to override the technology—at least in the first instance. Both of the above approaches can be rationalised, particularly if supported by statistical data relating to the dangers that speeding drivers pose to others. Thus, for example, in the case of the ISA technology, the European Transport Safety Council indicates that: ‘A study by the European Commission found that the other positive impacts include: encouraging walking and cycling due to increased perceived safety of cars vis-à-vis vulnerable road users, a traffic calming effect, reductions in insurance costs, higher fuel efficiency and reduced CO2 emissions.’ (ETSC 2018)

1.2 The Technology Roller Coaster

11

Quoting this source, Keating (2019) writes: ‘ISA is probably the single most effective new vehicle safety technology currently available in terms of it life-saving potential. With mass adoption and use, ISA is expected to reduce collisions by 30% and deaths by 20%.’

Unfortunately, such suggestions and data are not always based on firm foundations and must therefore be viewed with a degree of caution. Dissent to this type of technology tends to centre on loss of liberty—for example: ‘The key question is whether drivers would be OK trading freedom for safety. Is this an example of the EU [European Union] acting as a ‘nanny state’, preventing people from speeding if they want to? Isn’t occasional speeding part of the joy of driving?’ (Anon 2019)

The ‘Intelligent Speed Assistance’ system is just one of the various technologies which are currently being considered for compulsory inclusion in new cars. Other readily implemented systems which are intended to increase safety include so called ‘black box’ recorders able to provide valuable information in respect of a drivers actions prior to the occurrence of an accident. It is amid this backdrop that in the discussion which follows we consider the ‘automatic sensing and reporting’ scenario mentioned above. Clearly this can be extended to embrace a broad range of opportunities. For example, consider drivers who demonstrate impatient and/or aggressive behaviour by tailgating. Given data from ‘appropriate distance’ transducers installed on vehicles (coupled with speed and local weather conditions data), this practice would quickly be revealed and reported in an automated sensing log. As with the speeding scenario, from a purely logical perspective this application could be justified. With further development the smart in-car technology could be expanded in many directions including the automatic payment of road tolls and parking costs. These could be directly debited from the driver’s bank account (we assume that the technology would ensure that the driver’s identity is automatically determined at the outset of any journey using biometric data—see Sect. 4.4). Clearly, smart in-vehicle technologies have the potential to enforce national ‘rules of the road’ and to provide a range of other efficiencies. However, it is likely that the compulsory introduction of this general approach would be unpopular with, and resisted by, drivers who cherish current freedoms. In this context it is instructive to briefly consider possible arguments that may be used in efforts to promote or resist the proliferation of this general form of technology. Indicative arguments are briefly outlined below: 1: Reduction in Individual Freedom: In most countries there is a clearly defined maximum national speed limit (which usually relates to motorway driving). However, vehicle manufacturers design and sell products capable of travelling at speeds that greatly exceed such limits. It may be claimed that ownership of a vehicle with the ability to travel at, for example, twice the maximum national speed limit represents a traditional freedom and any approaches that places a ‘spy’ in the vehicle with the intention of curtailing this freedom cannot be tolerated.

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1 Professional Ethics: A Hallmark of Best Practice

Contrariwise it may be argued that this freedom does not have a longstanding historical basis, for after all the global mass proliferation of readily affordable high performance motor vehicles is a fairly recent phenomenon spanning a period of some fifty years or so. The introduction of technology-based controls may therefore be viewed as representing a natural progression intended to limit the irresponsible usage of high-performance products. In addition it is readily apparent that breaching fundamental ‘rules of the road’ endangers others and results in a significant cost to society. Consequently it may be supposed that the freedom of the individual must be balanced against any detrimental effects that it may have on others. In general terms, minor curtailment of individual freedom is felt most strongly by those who directly experience the loss. Thus any controversy concerning the compulsory introduction of the in-vehicle technologies may well gradually die away. The very idea that with only very limited driving experience a person could be placed in sole charge of a vehicle weighing *1000 kg or more, which is capable of being driven at a speed of 160 mph (or greater), may simply appear irresponsible to forthcoming generations of drivers. 2: Erosion of Fundamental Rights: Today’s motor vehicles place the driver firmly in control. Both the ‘automatic imposition’ and ‘automatic sensing and reporting’ scenarios may be viewed as eroding personal decision-making and individual responsibility/accountability. Conversely, it is evident that not all members of society can be viewed as being equally responsible citizens. In addition, under certain adverse circumstances the behaviour of normally reasonable people can deteriorate. Thus a driver who, for example, is under time pressures or who is experiencing serious personal problems may act ‘out of character’ by driving impatiently or aggressively. It may therefore be considered by some that computer control (or computer-mediated control) will improve safety by eliminating the ‘human factor’—for after all there is a widely held belief that ‘computers don’t make mistakes’ (see related discussion concerning driverless cars (autonomous motor vehicles) in Sect. 8.8). 3: Gradual Expansion of Governmental Interference: The compulsory introduction of in-vehicle technologies may be seen as further extending the influence of the so-called ‘nanny state’ in which the individual citizen is no longer to be trusted to carry out responsible decision-making. Conversely, it may be argued that the compulsory introduction of smart in-vehicle technologies would have little impact on law-abiding citizens and should be accepted for the ‘common good’. 4: Increased Governmental Surveillance: The ‘automatic sensing and reporting’ scenario provides opportunities to monitor behaviour and amass great quantities of data on each driver. It is likely that such data would not only be used to

1.2 The Technology Roller Coaster

13

detect errant driving behaviour (its primary intended purpose) but also, for other purposes, such as setting insurance premiums. Arguments concerning intrusive surveillance and function creep (i.e. the use of data for purposes that go beyond the initial stated intention) could be countered by claiming that the benefits offered by further developments (enabling, for example, all vehicle journeys to be mapped and recorded) would be of pivotal assistance in combating criminal activity and terrorism. After all, one may somewhat facetiously argue, in countries such as the U.S. and UK current levels of surveillance have grown to such an extent that further additions are of little consequence to the individual. In this general context it is often claimed that ‘if you have nothing to hide, then you have nothing to fear’ (for related discussion, see Chap. 3). 5: Financial Benefits: The adoption of smart in-vehicle technologies that control, mediate and/or report on driver behaviour would appear, in principle, to offer significant financial benefits. These may include savings in road policing costs, in the handling of fines relating to infringements, and efficiencies derived from reductions in the number of accidents involving injury and/or death. On the other hand, governments invariably overestimate financial savings, efficiencies and benefits when promoting initiatives relating to the development and widespread deployment of technologies, whilst at the same time implementation costs are usually underestimated. Unfortunately, there can be little doubt that any national debate concerning the costs and/or financial benefits of smart in-vehicle technologies would be accompanied by the endless use of statistical data by means of which it is often possible to both prove and obfuscate anything! In considering significant technology-related developments (such as those involving the automated collection of data pertaining to the individual), it is particularly important to look at other possibly related or parallel developments. Thus, for example, in the case of smart in-vehicle technologies (with the capabilities outlined above), it is crucial to consider ways in which other technologies are being (or may be) applied to data collection, automatic reporting of infractions, or schemes to automatically curb human action/activity. In this respect it is particularly important to identify possible symbiotic technology associations, i.e. a scenario in which the deployment of two or more technological systems provides an opportunity to achieve results which are in excess of the sum of the capabilities of the technologies when considered in isolation. It is also important to consider the ramifications of multi-function technologies. By way of example, during protests by the ‘gilets jaunes’ movement in France some 75% of speed cameras were destroyed in 2018/19. These are being replaced by next generation smart technology which offers a range of functionality. For example, in addition to measuring vehicle speed they have the capability of monitoring illegal overtaking, tailgating, driving in prohibited lanes, can image

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1 Professional Ethics: A Hallmark of Best Practice

mobile phone usage by drivers and in some situations determine whether seatbelts are being worn. In parallel these systems can simultaneously monitor multiple vehicles. Standing some 4 m tall, the cameras are less susceptible to attack and provide the government with a wealth of opportunities for law enforcement and general surveillance (Connexion 2019). Given the growth of such ever-more complex and invasive systems, it is essential that technology professionals are cognisant of the need to recognise what is, in essence, an ethical ‘duty of care’ and employ their specialist knowledge and experience to catalyse and promote informed debate amongst the wider community. For further discussion see OTU Activity 1.1.

1.3 So How Would You React?

1.3

15

So How Would You React? ‘Relativity applies to physics, not ethics.’5

In this section we briefly consider three real-world examples of situations which embrace ethical dimensions. The first of these (Sect. 1.3.1) is intended to enable you to consider how you might react to an unexpected situation in which as a professional you become concerned about processes that are being followed in a meeting. This is intended to highlight the fact that in our everyday lives we must often react instinctively, but in doing so are (hopefully) conscious of our professional ethical obligations which include the need to try to react in a rational manner. In Sect. 1.3.2 we provide two further real-world scenarios in which a number of factors are used to justify ethically undesirable decisions (one involves a business owner and the other a student). These highlight the fact that in our everyday lives we frequently face situations in which it is difficult to follow what we perceive to be the best ethical course of action—indeed to do so can often require considerable personal determination and courage.

1.3.1 Ethics by Instinct ‘Look up on that winter evening, Yonder, at the billowing horizon cloud, What can you see?’6

Suppose that you are employed as a computing or technology professional and that during a meeting you become concerned about the appropriateness of processes that are being followed, or by a decision which has been made. This causes you to express your concerns, but in response you are assured that the ‘rule book’ is being followed and/or that the decision is quite within the law. This does not however reassure you—you remain uncomfortable—something is not quite right. In fact, it is quite likely that you are instinctively responding to your personal ethical framework —to your own sense of ethical values. By raising your initial concern you have become the centre of attention in the meeting, and for a brief time you struggle to formulate a logical and dispassionate explanation of your position.

5

Attributed to Albert Einstein (1879–1955). Blundell, Q., ‘A Moment’, ‘Collected Works’ (2019).

6

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1 Professional Ethics: A Hallmark of Best Practice

Potential ethical issues eliminated as the student has given up the right to privacy

Perception of ethical issues – but uncomfortable in voicing concerns

Indicative Spectrum (pertaining to Ethical Dilemma 1.2)

Perception of no ethical issues being involved

Perception of possible ethical issues – but does it really matter?

Perception and voicing of ethical concerns

Fig. 1.3 Whilst some facets of an ethical framework are common to the great majority of people, other aspects vary widely between individuals. Here we illustrate an indicative spectrum of viewpoints relating to Ethical Dilemma 1.2.

Take a look at Ethical Dilemma 1.2 which provides an opportunity for you to appraise and discuss how you may react to an actual situation. This is intended to demonstrate that whilst some facets of an ethical framework are common to the great majority of people, other aspects vary widely between individuals. Thus we may have quite varied opinions in respect of the scenario outlined in this Ethical Dilemma—as summarised in Fig. 1.3. At one end of this spectrum, a person does not perceive the existence of an ethical issue or may feel that simply by making an application the student has given up the right to privacy. (But did the student have any choice and was anything gained by not supporting student privacy?) In the case of other indicative viewpoints summarised in the diagram an ethical dimension is perceived but leads to different reactions. As we’ll discuss in Chap. 2, reaction is often tempered by the general spirit which exists within an organisation. When constructive criticism is welcomed individuals feel encouraged to voice views that may differ from those of their colleagues. Contrariwise, dissent may be discouraged. The actions of the professional should not be influenced by such factors—but in reality, this is often not the case. In Ethical Dilemma 1.3 we extend the example described in Ethical Dilemma 1.2 and so provide an opportunity for you to further consider your reaction to this situation.

1.3 So How Would You React?

17

’

’

1.3.2 Ethics by Logic In the previous subsection, we considered a case in which instinctive reaction preceded logical reasoning. Here we provide an example of the way in which

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1 Professional Ethics: A Hallmark of Best Practice

logical reasoning can be used to justify actions—even though these actions may be contrary to a person’s ethical framework. With this in mind, take a look at Ethical Dilemma 1.4. In terms of accepting this type of contract it’s not uncommon for ethical considerations to be firmly put to one side. In this case a person may simply focus on the work to be carried out and accepts no responsibility for its broader ramifications. In short: ‘I’m here to do a job. It’s up to other people to determine how they are going to use the system—that’s not my business’. Others may be particularly concerned that involvement in such work will further empower a repressive government and so will either decline the opportunity or cast their misgivings to one side—for after all the contract represents a very lucrative opportunity. In fact this particular example draws on a chance meeting with a long-standing colleague. He mentioned that he was travelling later in the week to country ‘X’. He explained that as the Chief Executive Officer of a relatively small technology company, he had accepted a contract to install an extensive surveillance system and would be supervising the undertaking. Given the appalling human rights issues prevalent in the country, I asked if he had any qualms about undertaking the work. In response he indicated that he was indeed concerned about the ethics of accepting this contract—he had thought about it at length, but had concluded that if his company didn’t take the work, then some other company would step in. By way of logical argument, he added that if this were to happen then it would be somebody else’s family who would gain from the money that was to be made and his would be the one that missed out.

1.3 So How Would You React?

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This is a not uncommon type of argument for undertaking work with ethically undesirable implications and it is difficult to counter such logic. (How would you respond?) It emphasises the fact that even when we identify that a decision or undertaking has associated ethical dimensions, external pressures may influence the manner in which we react. Ethical Dilemma 1.5 provides a further example of the way in which external factors may cause a person (in this case a student) to act in a manner which is contrary to his/her ethical framework.

In rounding off this Ethical Dilemma, I should add that towards the end of the Professional Ethics course it refers to, the student was told that she should attend a meeting with the course lecturer. In this brief session the lecturer informed her that in order to have any chance in passing the course she would be required to undertake an additional major assignment—the title: ‘Assignment Plagiarism as a Means of Achieving Sustained Success in a Professional Ethics Course’. This would be used instead of the plagiarised assignments to determine the student’s overall grade—see OTU Activity 1.2. Sometimes it is more difficult to fool a course lecturer than it is to manipulate plagiarism software…

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1.4

1 Professional Ethics: A Hallmark of Best Practice

Ethics: What’s It All About? ‘There are seven things that will destroy us: wealth without work; pleasure without conscience; knowledge without character; religion without sacrifice; politics without principle; science without humanity; business without ethics.’7

The recorded history of human activity spanning several thousand years provides no indication that fundamental human behaviours and emotions have significantly 7

Attributed to Mahatma Gandhi (1869–1948).

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changed in this time. Greed, envy, love, empathy, compassion, lust, humility, spite, courage, cowardice, honesty, cruelty, generosity, hatred, service, violence, laughter, wisdom, joy, sadness, fear, prudence, prejudice, dominance, silliness, terror, self-sacrifice, boredom, and the quests for power, great wealth and fame are just some of the broad attributes and emotions which to a greater or lesser extent are common to us all. For the most part it is the positive characteristics that are in evidence—most people are reasonably honest, possess a reasonable degree of empathy for others, can be reasonably generous to those suffering misfortune and are reasonably contented in living fairly peaceful lives. But in every generation there are some who are determined to achieve their (often highly selfish) ambitions and have little regard for the way in which their actions affect others. It is somewhat disconcerting to note that such people can have a profoundly negative effect on society. Furthermore, history demonstrates that given appropriate catalysts, negative traits (the undesirable aspects of human nature) can easily be brought to the fore. Indeed it would seem that under appropriate conditions and circumstances (and with a relatively small number of exceptions) each of us has the potential to embrace the very basest human attributes.

’

The thirst for conquest and the promotion of hatred against minority groups provide ongoing and extreme examples of catalysts which promote the darker side of human behaviour. Without doubt examples abound––select a century, a decade, a year and undoubtedly a brief online search will reveal continuance of warfare and racially inspired hatred. For example, a little more than 2,000 years ago the Roman legions

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expunged the city of Carthage. Some 50,000 Carthaginians were sold into slavery and the city reduced to ruins and rubble. Fast forwarding to the eleventh century we see Christians and Muslims at each other’s throats—a conflict that would rage for *200 years (and continue to reverberate over the following centuries). Fast forward to the 16th century and we see the Conquistadors destroying the Aztec civilization in a ruthless quest for gold and other bounty. And today warfare continues unabated: it’s bigger business than ever. It was not until the 20th century that results of the barbarism unleashed by warfare and genocide were cultivated to almost unimaginable proportions, to an extent which overshadowed the sum total of all previous bestiality. As the 20th century dawned, cavalry charges continued to play a colourful role in the maintenance of the British Empire, powered flight had still to be demonstrated, and in general technology played a relatively minor role in warfare. Indeed conflict still possessed a fairly personal dimension. However, this was to quickly change: ever larger military aircraft, ever more toxic poisonous gasses and ever more lethal guns, tanks, flame-throwers and munitions provided firm evidence of the importance of technology in vanquishing the enemy. Operation Rügen denoted a significant landmark in the ‘progress’ of aerial warfare. The Basque town of Guernica was the target for a brief proof of concept demonstration of airpower. ‘The German bombers appeared in the skies over Guernica in the late afternoon of April 26, 1937 and immediately transformed the sleepy Spanish market town into an everlasting symbol of the atrocity of war. Unbeknownst to the residents of Guernica, they had been slated by their attackers to become guinea pigs in an experiment designed to determine just what it would take to bomb a city into oblivion.’ (Monks 1955)

The deliberate targeting of a civilian population caused shock and outrage, but only briefly because it was a policy that became the norm to all combatants in WWII. In comparison to the bombing tactics that became routine, Guernica quickly faded into insignificance. Soon the creation of firestorms had become a science. When the city of Hamburg was set alight in July 1943 some 40,000 people were killed. Other German and Japanese cities were targeted and this culminated in the destruction of a large part of the ancient city of Dresden in which thousands of civilians were killed, large numbers asphyxiating as a result of the lack of oxygen and others being hurled into the furious fires by the gale strength winds that were created by the super-heated inferno. One eye witness recalls: ‘Only someone who has been in such a sea of flame can judge what it means to breath such an oxygen deficient atmosphere… whilst battling terribly hot, constantly changing currents of fire and air. My lungs were heaving. My knees began to turn weak. It was horrifying. Some individuals, especially the older people, started to hang back. They would sit down apathetically on the street, or on piles of rubble, and just perish from asphyxiation…’ (Taylor 2004)

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The destruction of Dresden involved more than 1,200 bombers and *4,500 tons of explosives and incendiaries—a massive and costly logistical exercise. Six months later, the Japanese cities of Hiroshima and Nagasaki provided the venues for a demonstration of the rapid pace of technical and scientific progress. In each case only a single bomber was needed, and a single bomb. Those who were vaporised in a fraction of a second were perhaps the more fortunate victims for they would at least avoid the often protracted suffering associated with acute radiation poisoning. Two cities, two bombs and between 100,000 and 225,000 were dead within four months. From Guernica to Nagasaki in only 8 years. But even with the end of WWII there was no slowing down in the pace of military progress. In 1952 the US tested their first (12 megatonne) hydrogen bomb in the Pacific (1,000 times more powerful than the bomb used on Hiroshima). But even that was not enough—could a 100 megatonne bomb be developed? In parallel, the pressure was on to design ballistic missiles of greater reliability and accuracy. By the early 1960s science and technology had finally made it possible for the human species to make itself and most other life forms extinct. In parallel to warfare, scientific research enhanced the efficiency of another age-old human activity—genocide. In the early 1940s as the Holocaust gained momentum, genocide took on industrial dimensions. It would be incorrect to suggest that the technical prowess caused the conflicts and genocide which stain the history of the 20th century. There are numerous examples showing that even without the support of ‘advanced’ technology, mankind’s inhumanity can flourish. Take for example the Japanese massacre of Chinese soldiers and civilians which occurred during a six month period commencing in December 1937 and which was characterised by the most bestial forms of unbounded violence in which large numbers of people perished.8 Or Rwanda in 1994 when at least 800,000 Tutsis and moderate Hutus were killed in 100 days—a rate of murder which was facilitated by computer-based records that were employed for victim location (also see Sect. 8.10): ‘…personnel from Human Rights Watch obtained extensive documentary information from local government offices around the country concerning a population register and related reporting system that generated inter alia, monthly statistical reports providing the number and basic characteristics of the population, classified by ethnicity, in each local administrative area in the period prior to the 1994 attempted genocide of the Tutsi population… Subsequent evidence indicates that information from the registration system was used to plan and assist in the implementation of the killing operations.’ (Seltzer 1998)

Waller (2002) suggests that as many as 75,000–150,000 people participated in the slaughter and asks how could so many very ordinary people have been active in such a frenzy of killing? He notes: ‘In the beginning, Freud assumed that the most basic instinct animating human life was sexual…Freud’s later research, however, convinced him that there is indeed a second, opposing instinct at play in humankind—an instinct to destroy.’ 8

By way of a further example, in 1500, the estimated indigenous North American population was *5 million. By 1890 this had been reduced to *250,000.

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Undoubtedly this all makes unpalatable reading, perhaps more so when we look to include some indicative numerical data (also see Harrison and Wolf 2010): ‘Since the Napoleonic Wars, we have fought an average of six international wars and six civil wars per decade. An average of three high-fatality struggles have been in action somewhere in the world at any moment since 1900. The four decades after the end of World War II saw 150 wars and only 26 days of world peace—and that does not even include the innumerable internal wars and police actions. Buried in the midst of all of our progress in the twentieth century are well over a 100 million persons who met a violent death at the hands of their fellow human beings. That is more than five times the number from the nineteenth century and more than ten times the number from the eighteenth century.’ (Waller 2002)

It is important to appreciate that this is not simply an historical discussion concerning a century that is now fading into the past. It retains its relevance and message because so far there is no indication that the present century will prove to be more peaceful and more enlightened. However, we can be sure that over the coming years science and technology will deliver increasingly sophisticated and powerful weapons which will continue to isolate people from the ramifications of their actions. Take for example, the case of Robert Carn, who was the tail gunner onboard the Enola Gay when the atomic bomb was dropped on the city of Hiroshima. Looking back from an altitude of over 30,000 feet he was ideally placed to see events unfold: ‘The mushroom itself was a spectacular sight, a bubbling mass of purple-grey smoke and you could see it had a red core in it and everything was burning inside. As we got further away, we could see the base of the mushroom and below we could see what looked like a few-hundred-foot layer of debris and smoke and what have you… I saw fires springing up in different places, like flames shooting up on a bed of coals.’ (Atomic Heritage Foundation 2014)

Undoubtedly when viewed from afar the sight of the giant mushroom cloud would have been an awesome and possibly exhilarating sight. It seems that it would have taken a great deal of imagination to conceptualise the instantaneous incineration of tens of thousands of men, women and children. Technology had enabled those in the planes who were returning from their successful mission to be completely isolated from the unfolding ramifications of their endeavours. But in the words of one fourteen year old schoolboy: ‘Night came and I could hear many voices crying and groaning with pain and begging for water….Another said, ‘I hurt! Give me water!’ This person was so burnt that we couldn’t tell if it was a man or woman. The sky was red with flames, it was burning as if scorching heaven.’ (Atomic Energy Foundation 2014)

Today’s drone-based attacks denote another significant step in further isolating people from the ramifications of their actions. From sterile offices far away, drone operators can now wage war without any physical risk: ‘Not at risk of death or injury, and [potentially] thousands of miles away from the theatre of war, they may consider that they are merely taking part in a computer game.’ (Birch 2012)

1.4 Ethics: What’s It All About?

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Ethical considerations Constancy of human attributes (‘human nature’) Driving forces: motivations and applications Rapidly advancing power and sophistication of technologies

Fig. 1.4 Ethical considerations offer to provide a moderating framework controlling the development, manufacture, deployment and use of ever more sophisticated technologies. In practice, other considerations invariably dominate.

But from the perspective of those on the receiving end of an attack, the human reality bears no resemblance to a game: ‘Gul Nawaz, from North Waziristan, was watering his fields when he heard the explosion of drone missiles: “I rushed to my house when I heard the blast. When I arrived I saw my house and my brother’s house completely destroyed and all at home were dead.” Eleven members of Gul Nawaz’s family were killed, including his wife, two sons and two daughters as well as his elder brother, his wife, and his four children.’ (Quoted in Birch 2012)

The development, application and ramifications of drone technologies are discussed in Chap. 7. On a more positive note it is crucial to continually bear in mind the many diverse ways in which engineering, science and technology have greatly enhanced so many aspects of our lives. The last 100 years is marked by tremendous advances in medicine, public health, manufacturing, transportation, entertainment, living conditions and communications, to name but a few. In Fig. 1.4 we summarise a theme that is central to the current discussion. This relates to the importance of ethical considerations in moderating decisions concerning the development, production, deployment and use of ever more sophisticated technologies. Without such moderation less desirable human attributes are likely to continue to play a dominant role, and the results could be most undesirable. In 1975 US Senator Frank Church (Chair of the Select Committee on Intelligence and former Military Intelligence Officer) warned: ‘…That capability at any time could be turned around on the American people and no American would have any privacy left, such [is] the capability to monitor everything: telephone conversations, telegrams, it doesn’t matter. There would be no place to hide. If this government ever became a tyranny, if a dictator ever took charge in this country, the technological capacity that the intelligence community has given the government could

26

1 Professional Ethics: A Hallmark of Best Practice enable it to impose total tyranny, and there would be no way to fight back, because the most careful effort to combine together in resistance to the government, no matter how privately it was done, it is within the reach of the government to know. Such is the capability of this technology.’9 (Quoted in Bamford 2005)

Currently corporate interests play a dominant role in the rapid evolution of technologies, and there is generally very little discussion on the ultimate ramifications of, for example, digital system development (hardware/software) before commercialisation. Consequently, laws governing usage invariably lag well behind deployment and even when laws are put in place they are often unable to keep up with the pace of progress, or they fail to recognise more overarching issues. Furthermore, research often yields wholly unexpected (secondary) applications: ‘We must not forget that when radium was discovered no one knew that it would prove useful in hospitals. The work was one of pure science. And this is a proof that scientific work must not be considered from the point of view of the direct usefulness of it. It must be done for itself, for the beauty of science, and then there is always the chance that a scientific discovery may become like the radium a benefit for humanity.’10

However, secondary applications are not always positive and if a non-benign application can be found for what may originally appear to be a completely laudable invention, then human nature is such that it surely will be identified. By way of an extreme example, consider Zyklon B, the product (hydrogen cyanide) whose name is now inextricably associated with the Holocaust gas chambers (Fig. 1.5). This was originally developed and sold as a powerful insecticide. Supplied in pellet form, it sublimes when warm turning into a deadly gas—and the warmth generated by closely packed people within a gas chamber was intended to create just the right conditions for sublimation.

1.4.1 Ethics: So Many Questions—So Few Answers The real problem is in the hearts and minds of men. It is not a problem of physics but of ethics. It is easier to denature plutonium than to denature the evil spirit of man.11

In this section we briefly enter the world of philosophy, an enlightened land in which established perceptions and ways of thinking are continually challenged by logical reasoning. In charting this course we are casting to one side the security that we, as scientists, technologists and engineers, derive from long established irrefutable truths which are often firmly secured in the language of mathematics. There will be much to think about—but few definite answers.

9

Senator Frank Church (Chair of the Select Committee on Intelligence and former Military Intelligence Officer) n NBC’s ‘Meet the Press’, (17th Aug. 1975). See: https://www.youtube.com/ watch?v=YAG1N4a84DK (Last accessed October 2018). 10 Attributed to Marie Curie (1867–1934). 11 Attributed to Albert Einstein (1879–1955).

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Fig. 1.5 It is difficult, if not impossible; to imagine a scale of killing involving the murder of hundreds of thousands of people (e.g. Rwanda) or millions of people (e.g. the Holocaust). Consequently, it is often helpful to focus on an individual or small group. This haunting photograph of Jewish people from Subcarpathian Russia (Carpatho-Ukraine, which at that time was part of Hungary) was taken in the grove (a wooded space) near Crematorium 5 at Auschwitz-Birkenau probably in the latter half of May 1944. This is one that I frequently use when lecturing on Instrumental Rationalisation which relates to people working together to a common end without any consideration as to the ramifications of their work—without any thought of ethics: without empathy. These adults and children were the victims of such a process. There can be little, if any, doubt that within minutes or hours, they were stripped of their meagre possessions and clothing. Crammed mercilessly into a gas chamber, they would have suffered a terrifying death. Pictured on the bottom row from left to right: Reuven and Gershon Fogel, their mother Laja Mermelstein Fogel, Tauba Mermelstein, Tauba’s daughter and her young granddaughters one of whom was named Gerti (the name of the other child has been lost). The Mermelsteins were from Mukacevo. The Photograph is from the ‘Auschwitz Album’, a collection of photographs documenting the arrival, selection and ‘processing’ of one or more transports of Jews. (Image supplied by the United States Holocaust Memorial Museum, courtesy of Yad Vashem. Information on the names of some of the people was kindly supplied by the United States Holocaust Memorial Museum.)

There is no single universally agreed definition of either ‘ethics’ (also known as ‘moral philosophy’) or of ‘morality’. In fact in literature it is not uncommon to find these words being used interchangeably. For simplicity we will generally employ ‘ethics’ as an overarching term and will continue to consider that in essence it refers to ‘doing the right thing’. Figure 1.6 provides a summary of several questions which arise when we consider this notion, and these are discussed below.

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Who should we do the ‘right’ thing for? How do we determine the ‘right’ thing?

Why should we bother ‘doing the right thing’: what’s the point?

How should we put the ‘doing’ into practice?

Fig. 1.6 We continue to encapsulate the essence of ethical behaviour in terms of ‘doing the right thing’. This simple notion raises a number of important points (see text for discussion).

We are continually faced with choices and decisions, many of which have ethical dimensions. How do we determine the ‘right thing to do’? This question is at the heart of discussion into human reasoning and behaviour. The great philosophers of ancient Greece, such as Aristotle, Plato, and Socrates, were driven to spend large parts of their lives ruminating about this. What is right and what is wrong? What is good, what is bad? Which raises a further point alluded to in Fig. 1.6—does it really matter? What’s the point in doing the right thing? For sure, if we break the law we risk punishment. If we greatly contravene the accepted standards of society, we risk censure. Even so, this still provides plenty of scope for ‘doing wrong’, for casting ethical behaviour to one side, for ‘getting away with it’, for truly believing that in commerce: ‘…the age of chivalry is gone. That of sophisters, economists, and calculators, has succeeded.’ (Burke 1790)

In fact it is possible to justify negative modes of behaviour by insisting that every human action is driven by self-interest. This is central to the notion of ‘Psychological Egoism’ and provides a somewhat cynical means of reducing the merits associated with the most apparently laudable and noble of human behaviours. Consider, for example, that you are walking along a cold and wet inner city street when you happen across a family sitting in a somewhat dingy doorway. They are surrounded by their shabby bedding and other meagre possessions. At a glance you take in their miserable despair. You may walk past or you may pause. You only have a moment to make the decision. In the event you do the latter and as you continue on your way, you have a little less money in your pocket. If your instinctive altruistic act is considered in the context of psychological egoism, then it is supposed that you have actually acted out of self-interest. This may take a number of forms. For example, you may derive satisfaction from other passers-by seeing your apparently noble act. Alternatively, it may be argued that you gave money so that you would avoid any subsequent pangs of guilt for not having done so.

1.4 Ethics: What’s It All About?

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Whilst Psychological Egoism has a role to play in rationalising aspects of human behaviour (particularly in some areas of business), it is fundamentally flawed. For example, it assumes that egotistical motives are always stronger than those of an altruistic nature. In extreme cases of self-sacrifice, it would be difficult to believe that egotism could override an individual’s instinctive drive for self-preservation. Take the case of the Polish Franciscan friar, Maximillian Maria Kolbe, who was sent to Auschwitz in 1941. Following the escape of three prisoners, the Nazi authorities decided that in order to deter future escape attempts ten inmates would be incarcerated and starved to death. One of the ten who were randomly selected is reported to have cried out about having a wife and children, upon which Kolbe volunteered to take his place. After two weeks of total starvation only Kolbe remained alive. He was killed by lethal injection. In general terms, altruism can be expressed on many levels and includes situations in which, in order to help others, a person may have to find the courage to overcome their own fundamental fears. Clearly this cannot be explained by self-interest: ‘Once it becomes the controlling assumption that all behaviour is self-interested, everything that happens can be interpreted to fit this assumption. But so what? If there is no conceivable pattern of action or motivation that would count against this theory – if we cannot even imagine what an unselfish act would be like – then the theory is empty.’ (Rachels 2003)

The notion that self-interest underpins human action is fundamental to the concept of Ethical Egoism. This purports to exploit the idea of Psychological Egoism (describing how people do behave) by providing a justified ethical framework concerning how people should behave: ‘According to ethical egoism, there is only one ultimate principle of conduct, the principle of self-interest, and this principle sums up all of one’s natural duties and obligations…. What makes the act right is the fact that it is to one’s own advantage.’ (Rachels 2003)

Ayn Rand, was a strong proponent of this concept. She writes: ‘Parasites, moochers, looters, brutes and thugs can be of no value to a human being – nor can he gain any benefit from living in a society geared to their needs, demands and protections, a society that treats him as a sacrificial animal and penalises him for his virtues in order to reward them for their vices, which means: a society based on the ethics of altruism.’ (Quoted in Rachels 2003)

An overarching flaw associated with entirely egotistically-based reasoning is that it is fundamentally based on the belief that one’s own interests are of greater value than those of others. This is not an uncommon notion and can be employed to self-justify ethically undesirable business practices. In terms of structuring our ongoing discussion it is useful to distinguish between two of the general theories of ethical reasoning. These are summarised in Fig. 1.7 and are briefly outlined in the following two subsections. Subsequently we discuss these theories in a general context.

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Egoist Approach

Deontological Approaches

For Example: Personal Faith

Focus: What’s best for me?

For Example: Social Contract Theory

Focus: Universally Applicable Rules

Consequentialist Approaches

For Example: Utilitarianism

Focus: Consequences (Utility)

Fig. 1.7 Summarising exemplar approaches which are discussed in the text. These are simply intended to be indicative.

1.4.2 Deontological Theories In essence these emphasise that the determination of the ‘right thing to do’ should be based on duties and rules which may be laid down (e.g. as in the Ten Commandments (Fig. 1.8)) or which are derived from logical reasoning. Immanuel Kant was an ardent deontologist and defined three overarching principles:

Of these, the second and third (which respectively emphasise the importance of logical reasoning and the manner in which all people should be respected) provide a sound basis for ethical behaviour. In contrast, the first lacks a certain degree of practicality and may at times be in conflict with the second principle. For example, logical reasoning may suggest the need to vary a rule of behaviour (can you suggest examples?), but this would be contrary to Kant’s first principle.

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Thou shalt have no other gods before me. Thou shalt not make unto thee any graven image. Thou shalt not take the name of the Lord thy God in vain. Remember the sabbath day, to keep it holy. Honour thy father and thy mother: that thy days may be long upon the land which the Lord thy God giveth thee. Thou shalt not kill. Thou shalt not commit adultery. Thou shalt not steal. Thou shalt not bear false witness against thy neighbour. Thou shalt not covet thy neighbour’s house, thou shalt not covet thy neighbour’s wife, nor his manservant, nor his maidservant, nor his ox, nor his ass, nor any thing that is thy neighbour’s. Now when he saw the crowds, he went up on a mountainside and sat down. His disciples came to Him, and He began to teach them, saying: Blessed are the poor in spirit, for theirs is the kingdom of heaven. Blessed are those who mourn, for they will be comforted. Blessed are the meek, for they will inherit the earth. Blessed are those who hunger and thirst after righteousness, for they will be filled. Blessed are the merciful, for they shall be shown mercy. Blessed are the pure in heart, for they will see God. Blessed are the peacemakers, for they will be called the sons of God. Blessed are those who are persecuted because of righteousness, for theirs is the kingdom of heaven. Blessed are you when people insult you, persecute you and falsely say all kinds of evil against you because of me.

Fig. 1.8 Codes of conduct founded on religious faith. The Ten Commandments (upper) are shared by the Christian, Hebrew, and Islamic faiths. The Beatitudes (lower) are central to Christian faith and present ethical precepts in a much different manner. As discussed in the text, ethical behaviour is not inherently linked with religious faith and is fundamental to constructive human coexistence.

1.4.3 Consequentialist Theories In this scenario, the determination of the ‘right thing to do’ is based on an examination of consequences. For example, in the case of the Utilitarianism approach (which is the primary example of this class of theory), the underlying principle is to act in a manner that will increase happiness/wellbeing (utility). Thus in ethically-based decision-making the concept requires that we in some way determine the net increase/decrease in utility that will be caused by each possible decision, and select the one which gives rise to the greatest increase (or least decrease) in utility. Clearly there are many weaknesses associated with such a scheme. How do we quantify different forms of happiness, how do we know that each person will experience the same level/form of happiness, how do we anticipate/account for secondary effects of a decision, and how do we take into account the growth or decay of happiness over time? Furthermore, Utilitarianism takes little account of the individual and promotes the notion of decision-making based on a perception of the ‘common good’. A danger with this approach is that we may end up attempting to

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quantify aspects of the decision-making process, and by doing so become embroiled in pseudo-maths (see related discussion in Chap. 10).

1.4.4 Theories and Motivations ‘Man does not strive after happiness; only the Englishman does that.’12

Decision analysis which is underpinned by quantifying the benefits associated with possible opportunities/strategies is frequently employed in the political and commercial sectors and also in fields such as engineering. In this latter respect, cost– benefit analysis is commonly used in the assessment of engineering projects with the aim of maximising the benefit to cost ratio (in this case ‘cost’ does not necessarily only relate to financial considerations, but includes factors such as negative implications for people, the environment, etc.). In general terms this type of analysis also has an important role to play in areas such as predictive modelling. Thus many people are involved (albeit perhaps unknowingly) in the day-to-day application of Utilitarianism. Brief reflection on the cursory overview given in the previous subsection enables us to see fundamental weaknesses in the approach. For example, it assumes that happiness is the ultimate human goal and that the happiness evoked by a decision will be perceived as happiness by all its intended recipients. Most importantly, as discussed by Rachels (2003), the quest to maximise happiness may result in decisions that are blatantly ethically unacceptable. Kant’s approach is also flawed because it does not embrace consideration of the consequences of a decision. The first of Kant’s principles requires universal application and so, for example, it is always wrong to lie. This may of course be correct from a moral perspective—but there are occasions when, for example, telling the truth might conflict with another ethical tenet (e.g. when telling the truth in answer to a given question may compromise a promise of confidentiality that you have given to a friend or colleague). Ethical Dilemma 1.6 provides a lightweight opportunity to discuss differences in the two general approaches. Rachels (2003) is also highly recommended. In an increasingly secular world the promotion of ethical behaviour can frequently be associated with overindulgence in ‘bible bashing’. However, as previously indicated religious precepts can form an important basis for Deontologically based ethical behaviour. In the case of Christianity, the principle of ‘doing the right thing’ is enshrined in the Beatitudes—‘do unto others as you would have them do unto you’. Similarly, Rabbi Hillel the Elder (who is said to have been in his old age when Jesus was a boy) offered a similar ethical insight into Jewish Law: ‘That which is hateful to you, do not do to your fellow. That is the whole Torah the rest is explanation; go and learn’ (Shab 31a).

12

Nietzsche (1889).

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Additionally, in the case of both of these faiths, the Ten Commandments entrusted to Moses on Mount Sinai provide a ‘Code of Conduct’, which in the case of Christianity is complemented by Jesus’ teachings. However, if we were to say that ethical behaviour is fundamentally based on religious instruction and faith, then we may expect to find that on the whole atheists possess a somewhat weaker set of fundamental values. In reality this is of course not the case. Religious teaching and associated faith in a greater power can—or rather should—facilitate, either directly or indirectly, the development of sound personal ethical standards and behaviours. Direct support is achieved though scripture and the personal desire to live a life in accordance with our understanding of God’s wishes. Indirect support may be obtained by, for example, attendance at places of worship which ensures that in an ever more hectic world, time is regularly set aside for reflection and introspection. There are many ethical theories but from the perspective of our current discussions, we don’t need to review them all. A key point to note is that there is no universally applicable theory—some are suited to certain scenarios and some to others. That they all possess limitations is not surprising given the complexity of human nature.

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In the following two subsections we return to a key question posed in Fig. 1.6—‘Why should we bother ‘doing the right thing’: what’s the point?’ (Recall, for example, Ethical Dilemma 1.4.) This is the central question upon which any discussion of ethics must build, and it is one that continues to attract diverse opinions. By way of giving some insight into the breadth of outlooks, below we briefly consider two somewhat different concepts, the first being based on personal faith and the second focusing on Social Contract Theory which assumes an evolutionary development process.

1.4.5 Personal Faith Perhaps you believe in God, perhaps otherwise. From the perspective of our current discussion, it’s not particularly relevant. Whatever our standpoint, a large percentage of the global population continues to possess such faith, and this should underpin sound ethical principles. But this has frequently proved not to be the case and over the centuries religious differences have formed the basis for war, genocide, intolerance, persecution, torture, discrimination and other forms of ethically undesirable behaviour. Such expressions of human behaviour are often promoted/justified by the judicious selection of scripture which, when taken out of context, is used to support a particular viewpoint. Thus intolerance, persecution and discrimination between, for example, differing branches of Christianity can, and are, promoted in this way whilst for the sake of convenience, pivotal and overarching ethical precepts stated most humbly in the Beatitudes (recall Fig. 1.8) are swept firmly to one side. Logic can so easily be overridden by less desirable aspects of human nature thereby allowing claims of faith to be used to promote both ethical and non-ethical activity. Let’s focus on the truly faithful, those who endeavour to live their lives according to the positive ethical actions that can be derived from, and justified by, their faith. Fundamental ethical codes are acted upon by an individual’s perception of the nature of his/her relationship with God (which may be underpinned by various emotions ranging from love and gratitude through to less positive feelings of duty, and fear of displeasure). For the truly faithful, there is a clear perception of good and bad, right and wrong. Goodness can be perceived as an almost tangible quantity—the spectrum of good through bad being as tangible as that of the light through to darkness. As a result, conformance to an ethical framework is simply a way of life, at least in principle.

1.4.6 Social Contract Theory In essence, from the perspective of this theory morality may be considered to consist of:

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‘…the set of rules, governing how people are to treat one another, that rational people will agree to accept, for their mutual benefit, on condition that others will follow the rules as well.’ (Rachels 2003)

Two key differences between Social Contract Theory and the faith-based scenario outlined above is that in the case of the former, government becomes the main custodian of the ethical values of society. Furthermore these values have evolved over time. Thus we may begin by imagining a hypothetical world in which there is no belief in God, a world in which there is no natural belief in right or wrong, good or bad, nor any sense of ethically inspired values. Further, we assume that there is no innate sense of ethical values within the human character. What would our daily lives be like? It is likely that chaos would reign in a world in which some would attempt to dominate others. Many would live in fear, perhaps constantly fleeing from oppressors. Even today, in times of war, daily life can quickly take on such dimensions. In order to survive and to enhance everyday life, people would need to come together, developing and sharing behaviours which are to their mutual advantage. Within such a sharing community, ethical values relating to honesty, trustfulness, and the like would emerge. Through strength and order such communities would be able to grow in stature. Undoubtedly, at times members of the community would break the accepted ethical standards, and to deal with this governance would be needed. And so over time and by common consent ethical behaviour would gradually be infused into society, a social ‘contract’ would evolve in support of the ‘common good’. A further aspect of Social Contract Theory presumes recognition by participants that egocentric behaviour is not necessarily to one’s best advantage. Thus in order to attain maximum self-benefit it may be better to adopt less egocentric strategies. But this line of reasoning (coupled with its implementation) would make a person more, rather than less, egocentric! Take the case of the ‘Prisoner’s Dilemma’ outlined in OTU Activity 1.4. Cursory consideration may initially suggest that it is best for you to confess (in which case you would expect to be released immediately or after 5 years). Contrariwise, if you continue to plead your innocence, then you can expect to be incarcerated for either 1 year or 10 years. Of course the problem is slightly more complicated because we can anticipate that Sam is also applying the same reasoning. If so, he too will decide that it is in his best interests to also confess. Thus you both confess and remain imprisoned for 5 years. However, if the two of you had possessed any confidence in each other (and so had not focused exclusively on your own best interests) then neither of you would have confessed and you would both have been released after one year (naturally this supposes that the members of the anti-terrorist agency actually keep to their promise…). This same logic can be applied to Social Contract Theory: 1. It is only advantageous to behave egocentrically when dealing with less egocentric or benevolent people.

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2. In a society in which everyone is equally egocentric, life becomes seriously impoverished. There can be no real trust or honour. 3. Contrariwise in a society in which behaviour towards others is founded on ethical precepts, life becomes much pleasanter—this is the optimal situation encompassed in Social Contract Theory. Egotistical behaviour is characterised by having no scruples about exploiting others when it is advantageous to do so and in everyday life this approach is all too common.

There is much to be said for the Social Contract Theory and it is useful when endeavouring to gain a better insight into the ways in which ethically desirable and undesirable behaviours develop within organisations. However, as with other theories concerning the basis of ethical behaviour, it has many limitations. This includes overemphasising rational motivations for human behaviour, and assumptions that all ethical values can be derived through rational argument. For related discussion see OTU Activity 1.5.

1.5 Ethics and Empathy

1.5

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Ethics and Empathy ‘Peace cannot be kept by force, it can only be achieved by understanding.’13

The Merriam-Webster online dictionary describes empathy as: ‘The action [or capacity] of understanding, being aware of, being sensitive to, and vicariously experiencing the feelings, thoughts, and experience of another of either the past or present without having the feelings, thoughts and experience fully communicated in an objectively explicit manner.’

The spirit of this description is encapsulated by the Christian golden rule referred to previously, ‘Do unto others as you would have them do unto you’, and is characterised by being moved by the plight of others, by feeling their pain. As outlined by Slote (2010), Chinese philosophy has also long embraced the notion of empathy. Quoting the 11th century philosopher Cheng Hao, he writes: ‘… the humane individual as someone who forms one body with others (alternatively, as someone who regards others as part of himself, as within him)… Cheng [was in fact] harking back to a passage in Mencius that speaks of the benevolent individual as containing other beings (as part of himself)…’

Stole (2010) goes on to on to suggest that: ‘…psychologists nowadays typically hold (on the basis of empirical studies) that empathy is the engine of compassion and concern that we have for others…empathy is central to the moral life…the cement of the moral universe.’

In Sect. 1.4, we briefly discussed egotistical behaviour and commented on the notion that in order to be successful, the egotist relies on his/her ability to exploit others. Such exploitation is often underpinned by a lack of (or suppression of)

13

Attributed to Albert Einstein (1879–1955).

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empathy—by an inability to truly experience key aspects of another person’s situation. Indeed, egotistical behaviour is generally characterised by an indifference to the difficulties that his/her actions have on others. For example, in Sects. 10.4, and 10.5 we discuss a number of experimental trials in which human participants were exposed to ethically impoverished practices, and in Sect. 10.8 we consider the use of animals in experimentation. In all these cases, it is evident that they are characterised by egocentric behaviour on the part of those organising the activities such that there is an absence of human empathy. However it is important to appreciate that people often exhibit different behaviours and associated ethical standards in different situations. Thus a person may act in egotistical ways in certain situations, and quite differently at other times. Perhaps there is a little of the egoist in us all. In terms of variability in ethical standards consider a simple example in which you are accidentally undercharged for groceries purchased at either (a) a small, local, family run shop, or (b) a large (and highly impersonal) supermarket. In respect of the former, we may well be driven by a sense of honesty to return to the shop in order to pay the correct amount. In contrast, in the case of the latter we may feel less obliged to correct the mistake. As an aside I recall that when on one occasion I was undercharged, I did return to the supermarket. This gave rise to an interesting reaction! At the checkout I indicated that I had been incorrectly charged. Within moments the checkout manager had been summoned and was clearly far from happy that a customer was questioning payment. My explanation that I had been undercharged and had returned to pay the correct amount was initially treated with disbelief and subsequently utter amazement. Was this a mentally unbalanced customer, or part of some shoplifting scam? The general reaction clearly suggested that either customers are seldom undercharged by supermarkets, or that they don’t often if ever return to right the error. As outlined in the previous subsection, Social Contract Theory builds on the idea of a world in which there is no belief in God, in which there is no natural belief in right or wrong, good or bad, and no innate sense of ethical values within the human character. In reality, such a world could not exist. The first time that a woman took her newly born child into her arms, human empathy would be strongly evidenced. The first time that two people fell truly in love, empathy would surely form an important part of their relationship. Indeed, empathy is inextricably linked to the struggles, joys, and sorrows of human existence. And so it follows that some forms of ethical behaviour do not evolve in order to allow the successful formation of society, but rather are fundamental foundations of our existence. Whilst there will always be those who are generally egocentric, for whom power, fame, and fortune represent the ultimate goals of achievement, there will always be others who seek a gentler life and for whom the sense of ‘oneness with others’ indicated by Cheng Hao is an important part of their existence. This diversity of existences (and of existences within existences) is underpinned by the diversity of the human character. For related discussion see OTU Activity 1.6.

1.5 Ethics and Empathy

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Contrariwise, it is evident that the spectrum of human attributes (which range from those that are highly desirable through to those that are profoundly otherwise) do not exhibit anisotropic characteristics. In this sense, it is usually much easier to descend towards negative attributes––progress in the opposite direction can be most challenging. Furthermore, it is unclear as to whether such a spectrum exhibits symmetry between the extremes of human behaviour. Can goodness in its ultimate and most selfless form balance the very worst extremes of human behaviour? Should we assume scales that exhibit extremes that are equal and opposite—can we rationalise why we might expect this to be the case—or otherwise? When considering human behaviour there would seem to be no limits to the questions we may pose, but the degree of certitude that we can have in answering them is likely to be quite limited. There is no intellectual consensus on the ways in which empathy may underpin and/or influence ethical behaviour. However, from a practitioner’s perspective there can be little doubt that a strong and natural sense of empathy is a great asset when working with or leading others. It is difficult to treat people badly when you are truly able to experience the negative effects that your actions may have on them.

1.6

Professional Ethics ‘The real danger is not that computers will begin to think like men, but that men will begin to think like computers.’14

The extent to which we demonstrate empathy towards others and the ways in which we respond to events that have ethical dimensions are by no means static, but vary according to circumstances. Invariably there are significant differences in the ways in which we conduct ourselves when dealing with family, friends, colleagues, and strangers. From the standpoint of ethical behaviour we are often quite inconsistent. Rationalising behaviour is well and good but sometimes, particularly in the workplace, it is easier to let other people take responsibility for our actions—to

14

Attributed to Sydney J. Harris.

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follow instruction without rocking the proverbial boat. However, the professional person has responsibilities which cannot be abrogated in this way. At the most simplistic of levels membership of a professional body (such as the BCS, ACM, IEEE, etc.) imposes (at least in theory) obligations to adhere to a Code of Professional Conduct. In practice the reality is that such codes are seldom consulted and often incorporate bland (and sometimes contradictory) statements intended to satisfy a broad range of stakeholders. In a few cases the Codes are little more than ‘window dressing’. From Sect. 1.4, the reader will appreciate that rule-based ethical decision-making characterises the Deontological approach which, as with other general models cannot be considered to be universally applicable to real-world ethical decision-making. Thus whilst Codes of Conduct can certainly be helpful, they are limited both in usefulness and scope (for related discussion see Sect. 10.6). As mentioned in the Introduction to this chapter, we assign a broad meaning to ‘Professional Ethics’. Before discussing the scope of this term it is helpful to briefly consider the nature of a ‘profession’, and identify key characteristics that we associate with a person working in one of the ‘professions’. In respect of the former, Davis (1997) (quoted in Harris et al. 2014) writes: ‘A profession is a number of individuals in the same occupation voluntarily organised to earn a living by openly serving a moral ideal in a morally permissible way beyond what law, market,…and public opinion would otherwise require.’

The ‘professions’ embrace diverse occupations in medicine, nursing, law, accounting, engineering, teaching and computing/IT. Drawing on and extending Martin and Schinzinger (2010), we can associate various characteristics with a person who fulfils a professional role. For example: 1: Advanced Expertise: The professional possesses sophisticated subject specific theoretical and practical skills which are underpinned by specialised formal education and augmented by continual development. 2: Occupation Complexity: The professional undertakes activities which are not routine, which involved expert judgement and which cannot be effectively automated (at least when viewed from a traditional perspective). 3: Autonomy and Self Regulation: The professional gains membership of specialist societies and/or organisations (this being conditional on qualifications and/or proven experience). These are regulated by professional members who set and enforce standards of conduct and represent the profession in public and governmental forums: ‘Often this is referred to as the “autonomy of the profession,” which forms the basis for individual professionals to exercise autonomous professional judgment in their work.’ (Martin and Schinzinger 2010)

4: Contributing to Public Good: The professional employs specialist knowledge in performing activities which make a significant contribution to society (the ‘public good’).

1.6 Professional Ethics

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Exemplar Ethically Related Obligations

Exemplar Ethically Related Expectations Freedom of Expression

Quality

Professional Judgement

Welfare Advisement Continued Development Conflict of Interest

Professional Ethics

Conduct

Conscientious Refusal Conscientious Action Conducive Conditions Professional Courtesy

Fig. 1.9 Indicative obligations and expectations associated with professional practice, which underpin our overarching duty of maintaining professional ethical conduct.

5: Personal Accountability: The professional accepts responsibility for the quality of work undertaken and is required to maintain high ethical standards. In practice those working in the professions sometimes fail to adhere to appropriate standards, and malpractice is by no means uncommon. Further, it may be said that professional bodies have lost some credibility by sometimes being slow and reluctant to be roused by issues relating to ethical principles. However, on the whole professional bodies serve an important purpose in supporting members who are often faced with demanding duties and who must generally take full responsibility for their decisions and actions. As indicated in the Introduction to this chapter, as trained, qualified and experienced professionals, we have particular obligations (which are not necessarily defined by law or by company/institutional rules) which should govern not only the ways in which we conduct ourselves, but also the conduct that we anticipate from others. In Fig. 1.9, we summarise some of these obligations and expectations. Below, we briefly link these to the overarching standards that we ought to apply to all aspects of our careers within technology-related fields, thereby elucidating aspects of our usage of the term ‘Professional Ethics’. ðaÞ Ethically Related Obligations: 1: Conduct: Relating to both professional and personal behaviours. This supposes that a professional person has a responsibility to demonstrate ethically sound conduct both within the workplace and as a member of a

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broader community. In the case of many professions, demarcation between professional and personal life is somewhat blurred, with the former often spilling over into the latter. 2: Quality: Relating to the high quality of work undertaken and an unwillingness to sacrifice standards for the sake of expediency or as a consequence of unrealistic demands. Sacrificing quality is not only ethically inappropriate but counterproductive as the professional’s name (and his/her reputation) is at stake. 3: Welfare: Relating to the professional’s conscious consideration of societal and environmental factors and/or ramifications. On the basis of expertise, experience, conduct, etc., the professional is entrusted to undertake work which will not result in harm through incompetence, inappropriate compromise or negligence. It is the professional’s ethical responsibility to fully respect this trust. 4: Advisement: Relating to a professional’s responsibilities in providing impartial, accurate and relevant information or advice. This recognises the confidence and trust that the wider audience tends to place in the professional, and the dangers implicit in the misuse of this trust. By way of example, the BCS (British Computer Society’s) Code of Conduct (see Appendix B), indicates: ‘You shall NOT misrepresent or withhold information on the performance of systems or services (unless lawfully bound by a duty of confidentiality not to disclose such information), or take advantage of the lack of relevant knowledge or inexperience of others.’ [Clause 3e]

5: Continual Development: In order to remain effective, the professional is obliged to ensure his/her expertise does not become dated and so must strive to remain abreast of developments across his/her field(s) of expertise. 6: Conflict of Interest: In all professionally related capacities, the professional must avoid possible conflicts of interest. Such conflicts are likely to bias professional activities, judgement and impartiality. Furthermore in the case that conflicts are revealed retrospectively via third parties, then the reputation of the professional is likely to be compromised (for the professional, personal reputation and hence credibility is of paramount importance). ðbÞ Ethically Related Expectations: Naturally, a number of the entries mentioned below apply (or should apply) not only to the professional but also to all members of a wider workforce. However it is important to recognise that from the perspective of the professional they can serve a crucial role in enabling duties which are implicitly associated with professional status to be upheld. 1: Freedom of Expression and Professional Judgement: This is of crucial importance in ensuring that the professional is able to advise and express

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opinions on all matters relating directly or indirectly to his/her area(s) of expertise. Professional judgement may at times be controversial and/or unwelcome, however there should be recognition that from an ethical perspective the professional has both an entitlement and responsibility to speak out. In parallel (and again from an ethical point of view) the professional should limit professional judgements to his/her area(s) of expertise and consequently needs to clearly distinguish between professionally and personally based opinions. 2: Conscientious Refusal: The professional has a right to refuse to undertake tasks which are contrary to his/her fundamental ethical framework. For example, consider the case of a professional who is employed within an organisation which develops high performance control systems. Let’s assume that these have been developed for civil purposes, but an unexpected opportunity arises relating to their use in military applications. If the development of military hardware is contrary to the professional’s ethical framework, then the professional should have the right to refuse to participate in this undertaking. Of course this would not be the case if the professional took up work in a company which already undertook military work or if any indication had been given at the time of employment that such a scenario might arise. The expectation of having the right of conscientious refusal is not only based on the professional ethical framework, but also on the expectation that he/she will not be placed in a situation in which relevant Codes of Conduct are breached. 3: Conscientious Action: Consider the case of a flawed technology which may be endangering life and the environment. On the basis of (1) above, the professional has a responsibility and entitlement to raise his/her concerns (based on expert opinion). In a scenario in which this proves to be insufficient, then from an ethical perspective the professional may believe that there is a ‘worst case’ entitlement to follow more direct lines of action. Naturally, this raises a number of problematic issues and can only be considered in extreme cases.15 4: Conducive Conditions and Professional Courtesy: As we have indicated, the professional is entrusted to carry out demanding activities which are not routine and which involved expert judgement. Further, he/she is required to ensure that this work is of an appropriate quality. The professional should therefore have an expectation that the working conditions 15

The classic novel by Nevil Shute (Shute 1948) is recommended to the interested reader. In this story, a scientist is undertaking pure research into metal fatigue using a part of an aircraft structure for verification work. His research predicts serious fatigue will occur within a particular timeframe. Tension builds when he not only finds himself on an aircraft which is of the same type as the one which he is using for his research but also when it becomes apparent that this has unexpectedly exceeded the safe flying time indicated by his calculations. On landing, he makes every effort to voice his expert concerns, but to no avail. He is left with two options—either let the aircraft take off again (thereby knowingly endangering craft and passengers) or take direct action in preventing take-off. A difficult ‘Ethical Dilemma’ for this shy and retiring scientist… In the event, he deliberately damages the aircraft so as to prevent its departure. (For further mention of Nevil Shute, also see Sect. 5.5.)

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(environment, facilities, staff courtesy, etc.) are conducive to the demands of the role that he/she is performing. In fact, ensuring that these conditions are satisfactory may be viewed as an obligation on the part of the professional, as from an ethical (and credibility) perspective the professional cannot go along with unacceptable conditions and then use this as an excuse for compromised quality of work. In reality the above obligations and entitlements (which are simply intended to be indicative) are often not adhered to. Probably we can all recount supposedly professional people who have seriously failed to exhibit the degree of professionalism that we anticipated. Similarly, it is not uncommon for organisations to fail to recognise and/or live up to their responsibilities in supporting the professional. Such issues reflect badly on professional bodies which, as mentioned above, are self regulated and are entrusted (to a significant degree) with the enforcement of standards of conduct. Unfortunately, this self regulation only works when those involved truly appreciate and abide by their professional ethical responsibilities and in turn it is vital that those gaining profession status properly understand the ethical ramifications. Unfortunately, for a number of years, this is an area which has received insufficient attention in the media and in student curricula. Thus, for example, Computing and IT students often fail to understand the benefits that are associated with enrolling in study programmes which have Professional Accreditation, and fail to receive sufficient grounding in professional and ethical issues. Fortunately, this situation is gradually changing and hopefully as you work through this book you will gain a greater insight into the crucial importance of developing and adhering to professional ethically-based precepts.

1.7

Ethical Responsibility ‘It is not for scientists, to take moral or ethical decisions on their own: they have neither the right nor any special skills in this area. There is in fact a great danger in asking scientists to be more socially responsible.’16

In respect of professional ethics, it is important to consider the extent to which scientists, engineers, technologists, and the like are responsible for the ramifications of the work that they undertake. Is it appropriate to adopt a traditional stance and simply remain aloof from societal, political, commercial, military, and environmental reality? In connection with research activity, events in Nazi Germany (1933–1945) retain much relevance. From the outset, the Nazi regime removed Jewish academics from universities and research institutions. Their Aryan colleagues were generally more than willing to fill the ensuing vacancies:

16

Professor Lewis Wolpert one time Chair of the Committee for Public Understanding of Science. Quoted in Cornwell (2003).

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‘There were timid moves on the part of some Aryans to collect signatures of colleagues to protest against the dismissals. But [Max] Planck, according to Otto Hahn, said ‘If today thirty professors get up and protest against the government by tomorrow there will be also one hundred and fifty individuals declaring their solidarity with Hitler, simply because they’re after the jobs.’’ (Cornwell 2003)

The quest to climb the lofty heights of the academic ladder seduced many highly intelligent and far thinking individuals into not only going along with, but actively promoting, Nazism: ‘In the final analysis the temptation was a preparedness to do a deal with the Devil in order to continue doing science.’ (Cornwell 2003)

The quest for knowledge, understanding, truth, and success can be highly addictive —but what of the ramifications: ‘[Researchers] themselves frequently claim that basic [pure] science is morally and culturally neutral. At the level of molecules and particles, they argue, there are no ethics, no politics, no culture, water boils at the same temperature in Peking as it does in Berlin.’ (Cornwell 2003)

There is much truth in this. On the other hand, basic research generally forms the foundations on which applied research is constructed and so without it our lives would be impoverished. Contrariwise, there are technologies that have no benign applications—technologies that it would have been better not to have invented. Nuclear weapons provide a sound (albeit extreme example). Without the wholehearted collaboration of pure and applied researchers, nuclear weapons could never have been developed. On the other hand, pure nuclear research has also provided the foundations for very important developments in medicine. The Anglo-American development of the atomic bomb was driven by the notion that the Nazis were undertaking similar work. This enabled scientists and engineers in the U.S. and UK to ethically justify the development of such a weapon. In reality this motivation had little substance. Certainly the Nazis were undertaking research into the creation of atomic weapons, but it should have been blatantly obvious that they had little chance of success. The physics community in Germany had been decimated by the emigration and persecution of scientists, and the country certainly didn’t possess the massive resources deployed at Los Alamos, and which were needed for rapid advancement in the field. And when late in 1944 it became certain that the Nazis had made very little progress in nuclear fission, the work of the Allies continued unabated. The lure of participating in a massive and rapidly advancing research and development project supported by almost limitless funding overcame the ethical scruples of scientists. One remarkable exception was Joseph Rotblat who resigned on the basis that the only morally justifiable reason to build a nuclear bomb was as a deterrent. Consequently once it was known that the Nazis had made little progress in developing nuclear weapons, he believed that the Anglo-American undertaking should be abandoned. However by that time the work had gained an unstoppable momentum:

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1 Professional Ethics: A Hallmark of Best Practice ‘The gesture of a lone hero, like Joseph Rotblat, made no difference back in 1945, when he resigned from the Manhattan Project. He was forbidden under pain of imprisonment from communicating the reason for his departure from Los Alamos to his colleagues, let alone the media.’ (Cornwell 2003)

Pioneering research into the fundamentals of nuclear physics gained considerable momentum in the 1930s. Three
important discoveries concerned the ability to split the nuclei of Uranium 235 U by bombardment with neutrons (fission), the release 92 of energy when this occurs, and the emission of secondary neutrons. These factors clearly indicated that a nuclear chain reaction was possible, and this offered the opportunity to create a bomb of formidable power. Given the political climate that existed in 1939, it may well have been better if scientists had exercised discretion in respect of publishing results in this area and sharing potentially deadly knowledge. However ethical considerations were cast to one side when on the 18th March 1939 von Halban, Joliot and Kowarski published their findings in a Letter to Nature under the eye-catching title: ‘Liberation of Neurons in the Nuclear Explosion of Uranium’. The Abstract opens: ‘Recent experiments have revealed the existence of a new kind of nuclear reaction: neutron bombardment of uranium and thorium leads to an explosion of the nucleus, which splits up into particles of inferior charge and weight, a considerable amount of energy being liberated in this process.’ (von Halban et al. 1939)

When Austrian chemist Paul Harteck read this paper, he immediately realised the military potential (along with the possibilities for self-advancement (see OTU Activity 1.7)) and wrote to the Nazi weapons research office in Berlin: ‘We take the liberty of calling your attention to the newest developments in nuclear physics, which in our opinion, will probably make it possible to produce an explosive of many orders of magnitude more powerful than conventional ones… The country which first makes use of it has an unsurpassable advantage over others.’ (Quoted in Cornwell 2003)

Fortunately, as war moved inextricably closer, there was at last increasing agreement between key players in the physics community that open publication of this research could no longer continue. As a result, scientists agreed to impose a policy of publication censorship––although this was not welcomed by all concerned. Thus important research was not made available to the Nazis and this was a further contributory factor in ensuring that they were not able to move forward quickly with their own nuclear research programme. This is an history that maintains its relevance. Today’s researchers (particularly in academia) are under continual pressure to publish papers. A strong publication track record is essential for those who wish to have any chance of gaining governmental research funding. Competition for such funding has never been greater— a technologist’s best chance of gaining funding is to move into one of the ‘hot topic’ areas—AI, big data, cyber security, quantum computing, surveillance, predictive modelling, to name but a few. A common goal is to generate results that are of immediate use to governments and the commercial sector. But are there ethical issues that need to be considered? Should we be blithely developing increasingly

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complex systems and solutions without looking ahead—without consideration of their potential ramifications? From an ethical perspective, is it appropriate to put a passion for research above all other considerations? Should the quest for funding overshadow the ethical responsibilities inherently associated with scholarship? For related discussion see Sect. 10.2.

It is perhaps appropriate to conclude this section by quoting some observations made by Albert Speer (Hitler’s highly favoured architect) who became responsible for organising munitions production and war industries (which embraced science and technology): ‘Speer recollected after the war how his production success depended on the enthusiasm of thousands of technicians who were stimulated by the new sense of responsibility that he encouraged in the war industries. ‘Basically,’ he wrote, ‘I exploited the phenomenon of the technician’s often blind devotion to this task’…. Speer commented on the dubious ethics of the ‘blind’ enthusiasm of these technicians. ‘Because of what seems to be the moral

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1 Professional Ethics: A Hallmark of Best Practice neutrality of technology, these people were without any scruples about their activities. The more technical the world imposed on us by the war, the more dangerous was this indifference of the technicians to the direct consequences of their anonymous activities.’ (Quoted in Cornwell 2003)

1.8

Organisational Failures: Radiation Overdose ‘Programme testing can be a very effective way to show the presence of bugs, but is hopelessly inadequate for showing their absence.’17

In March 1986 a patient who had undergone surgery for a cancerous tumour in his upper back attended the East Texas Cancer Treatment Center (U.S.) in order to receive ongoing radiation therapy. The treatment plan indicated that over a body area of 170 cm2 he should be exposed to 180 rads (radiation absorbed dose) of 22 MeV electrons. In the event he received an estimated total dose of some 16,500– 25,000 rads concentrated over a body area of only 1 cm2. This resulted in radiation poisoning with fatal consequences. In fact he was not the first patient to be treated with the Therac-25 radiation therapy system who received a massive radiation overdose, nor in the event was he the last. The Therac-25 was a radiation therapy machine produced by the Atomic Energy Agency of Canada Ltd. (Fleddermann 2012) which differed from the manufacturer’s previous models in two major respects. Firstly, it was a dual mode technology employing a linear accelerator to deliver either a collimated beam of high energy electrons or alternatively X-rays. Secondly (and from the perspective of our current discussions, most importantly) previous models had initially operated without the use of computer technologies. In contrast, from the outset the Therac-25 system had been designed to operate under, and be fully reliant on, computer control. Furthermore, a number of the hardware interlocks employed in previous systems (to ensure safe operation) had been replaced by computer-based monitoring sensors. In short, key aspects of the machine’s operation were totally dependent on the correct operation of software—the computer was very much in the driving seat. The system went into operation in 1982. It appears that the first major incident occurred at the Kennestone Regional Oncology Center, Georgia (U.S.) in 1985. After undergoing surgery for the remove a malignant breast tumour, a 61 year old woman receiving electron beam-based radiation therapy described experiencing a ‘tremendous force of heat … this red hot sensation’ (quoted in Leveson et al. 1993). When consulted, the manufacturer indicated that improper scanning of the electron beam was simply not possible. Subsequently the patient experienced reddening of the skin in the treatment area, pain, swelling, loss of shoulder mobility and spasms. Despite this, her Therac-25 treatment was continued until a hospital physicist overseeing the therapy noticed a corresponding area of reddening on the patient’s back. It was subsequently 17

Attributed to Edsger Dijkstra.

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estimated that she had been given one or two massive doses of radiation in the region of 15,000–20,000 rads (rather than a typical prescribed dose of 100 rads): ‘Eventually, the patient’s breast had to be removed because of radiation burns. She completely lost the use of her shoulder and her arm… but the manufacturer and operators of the machine refused to believe that it could have been caused by the Therac-25.’ (Leveson et al. 1993)

Some weeks later, a similar incident occurred in Canada with a patient receiving a radiation dose estimated to be in the range 13  103 to 17  103 rads. In subsequent investigations the manufacturer was unable to identify the exact cause of the problem but implemented a number of design changes in which they demonstrated remarkable confidence: ‘…analysis of the hazard rate of the new solution indicates an improvement over the old system by at least five orders of magnitude.’ (Quoted in Leveson et al. 1993)

Since there was no surety as to the exact nature of the technical problem which had caused the incident (hardware, software or both), the claim that the modifications would improve matters by a factor of 100,000 would appear to be both overly optimistic and ill-founded. In terms of identifying key factors that had resulted in the radiation overdose, even cursory examination of the operator interface and its usage should have raised concerns. In the above incident, once the operator had entered appropriate data, treatment was activated by hitting ‘B’ on the keyboard (for ‘beam on’). After 5 s an error message was received together with a further message indicating that no radiation dose had been delivered. Since Therac-25 operators were apparently accustomed to such malfunctions, the operator simply hit the ‘P’ key (for ‘proceed’) thereby reactivating the system. Again the system failed while once more indicating that no dose had been delivered. Again the operator hit the ‘P’ key and only after 4 or 5 reactivation attempts did the system halt further continuation. Unfortunately, many computer users place undue confidence in computer-generated output, and in this case the operator implicitly assumed the veracity of the ‘no dose delivered’ message. Further it was all too easy to impatiently ‘have another go’, only one keystroke (‘P’) being needed. Despite the implementation of the modifications mentioned above, incidents continued—about one of which the manufacturer’s technical support supervisor indicated: ‘After careful consideration, we are of the opinion that this damage could not have been produced by any malfunction of the Therac-25 or by any operator error.’ (Quoted in Leveson et al. 1993)

In April 1986 a second patient received a major radiation overdose at the East Texas Cancer Treatment Center. He was undergoing therapy for facial skin cancer and subsequent to the therapy session described having experienced a sensation akin to a blow on the face and a flash of light, and of hearing a sizzling sound reminiscent of frying eggs. In fact the Therac-25 system had again delivered a massive radiation overdose to the patient’s brain and 3 weeks later he died.

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Operators involved in the two incidents were able to recount in detail the manner in which they had interacted with the machine and similarities soon surfaced. Recall that the Therac-25 system was a dual mode machine able to deliver both X-ray and electron beam therapy. In practice most treatments involved the use of X-rays and in the case of both incidents the operators were well experienced in entering data and initiating dose delivery. In fact because they were so accustomed to the interface, they could input data very quickly, almost without thinking. However, just prior to initiating treatment the operators realised that they had failed to enter ‘E’ (for ‘electron beam therapy’), but had set the input field to the more commonly used ‘X’ (for ‘X-ray therapy’). Correcting this error was easy and could be accomplished almost instantaneously. It simply involved the rapid use of the up-arrow key to re-position the cursor and edit the erroneous entry—after which with a couple more key strokes treatment could commence. A critical danger lay in the system’s inability to respond to fast and unexpected operator actions rapidly enough—the beam could be turned on before the hardware had time to configure itself and so quite incorrect levels of radiation could be delivered. Once the interface problem was recognised, the manufacturer wrote to end users indicating that the up arrow keyboard key had to be physically disabled: ‘SUBJECT: CHANGE IN OPERATING PROCEDURES FOR THE THERAC 25 LINEAR ACCELERATOR Effective immediately, and until further notice, the key used for moving the cursor back through the prescription sequence (i.e., cursor “UP” inscribed with an upward pointing arrow) must not be used for editing or any other purpose. To avoid accidental use of this key, the key cap must be removed and the switch contacts fixed in the open position with electrical tape or other insulating material. For assistance with the latter you should contact your local AECL service representative. Disabling this key means that if any prescription data entered is incorrect then [an] “R” reset command must be used and the whole prescription reentered.’ (Quoted in Leveson et al. 1993)

Importantly, the manufacturer failed to inform their customer base of the critical issue underpinning this temporary measure and the serious nature of the potential hazard which it was intended to address. Perhaps this is not surprising as from a purely commercial perspective the company had a natural interest in playing down the severity of the problem, and so was probably endeavouring to adopt a low key strategy. In response, the director of compliance at the FDA’s Center for Devices and Radiological Health wrote: ‘We have reviewed Mr. Downs’ April 15 letter to purchasers and have concluded that it does not satisfy the requirements for notification to purchasers of a defect in an electronic product. Specifically, it does not describe the defect nor the hazards associated with it. The letter does not provide any reason for disabling the cursor key and the tone is not commensurate with the urgency for doing so. In fact, the letter implies the inconvenience to operators outweighs the need to disable the key. We request that you immediately re-notify purchasers. (Quoted in Leveson et al. 1993)

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The above solution only dealt with one of the factors which culminated in major radiation overdoses, and as is so often the case with accidents in general and safety-critical systems particularly, they are seldom caused by a single factor (see Leveson et al. 1993 and Baase 2013) for more detailed discussion). In the case of the Therac-25, over-confidence had been placed in the computer control system and this had led to physical interlocks and hardwired circuitry being replaced by software-based monitoring systems. In addition error messages generated by the machine were either misleading or obscure. For example, in the case of both incidents at the East Texas Cancer Treatment Centre, the operator had received the messages ‘Malfunction 54’ and ‘treatment pause’. The latter was believed to denote a low priority problem and the only indication as to the meaning of the former was printed on the side of the machine and linked it to an equally incomprehensible message: ‘dose input 2’. The manufacturer eventually explained this as meaning that the radiation dose delivered was either too high, or too low.

’

Would you:

1.8.1 The Misnomer of Technology Infallibility Back in the late 1970s and early 1980s there was considerable growth in the application of computer technologies to safety critical systems and many companies

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were keen to significantly capitalise on the benefits that this could offer. The manufacturers of the Therac systems were no exception, and the Therac-25 was purposely designed for full integration with computer-based technologies. One key thrust was to simplify hardware (thereby reducing manufacturing costs) by placing more reliance on software. In parallel, many of those involved in software development in the early 1980s had little, if any, formal training. Software engineering practices were still not fully accepted and there was a notion that ‘real’ programmers simply ‘cut code’. Key misnomers relating to the nature of software were (and still are) commonplace— particularly in relation to software testing. In the case of the Therac-25 system, the manufacturers appear to have assumed that the software was free from errors and failed to recognise that any program (other than the most trivial) is highly likely to exhibit errors, flaws and limitations. These may, for example, be algorithmic, may relate to coding practice, timing issues (particularly when dealing with interrupt drive systems) or may be associated with assumptions that have been made in respect of software interaction with hardware or the manner in which the hardware/software is used by people. Even after the most exhaustive testing, under particular circumstances a software system may operate in an unpredictable or unforeseen manner. By removing interlocks and by placing almost total reliance on correct software operation (particularly in respect of safety), the Therac-25 system was vulnerable from the outset. Indeed it would have been most surprising if occasional radiation overdoses had not occurred. Although software malfunction was a key cause of the radiation overdose incidents, other factors also played a part, including the use of cryptic error messages (see Ethical Dilemma 1.8) and the initial reaction of the company to reports of machine malfunction (including a failure to immediately notify end users of a potentially serious problem). A further important consideration relates to the manner in which operators placed over-confidence in the accuracy of computer output.

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In Sect. 1.4 we briefly considered ways in which technologies can divorce people from the ramifications of their actions. In the case of the Therac-25 (and other radiation therapy technologies) patient and machine are routinely isolated in a shielded room and in order to avoid the possibility of accumulative radiation poisoning, the operator is located elsewhere. Although in the case of the incident referred to at the beginning of this section (which occurred at the East Texas Cancer Treatment Center) a video camera and audio link were available so that the operator could view the patient, at the time of the incident the video system was unplugged and the audio link didn’t work. The operator was therefore unable to monitor the patient during treatment. On receiving the ‘malfunction 54’ and ‘treatment pause’ messages together with a ‘treatment under dose’ indication, the operator re-initiated treatment by hitting the ‘P’ key. It would of course have been prudent to have checked on the patient before proceeding, but it appears that messages of this sort were fairly routine (and in addition the operator may well have been under pressure to deal with patients as quickly as possible). The computer was trusted implicitly. For the patient, this was his ninth therapy treatment and in view of the burning sensation and the feeling that he had been subjected to an electric shock, he knew that something was amiss. Consequently he was attempting to get up from the treatment table when the operator hit the ‘P’ key again: ‘The patient said that he felt like his arm was being shocked by electricity and that his hand was leaving his body. He went to the treatment room door and pounded on it. The operator was shocked and immediately opened the door for him. He appeared shaken and upset.’ (Quoted in Leveson et al. 1993)

Despite the serious nature of the incidents outlined above, these are in fact exceptions and for the most part the Therac-25 appears to have operated correctly in delivering the required treatment. Incidents with radiation therapy technologies were by no means confined to this system, nor can they be relegated to history. They continue to occur and in this context the head of clinical physics at Memorial Sloan Kettering Cancer Center (NY) comments: ‘Linear accelerators and treatment planning are enormously more complex than 20 years ago, but hospitals are often too trusting of the new computer systems and software, relying on them as if they had been tested over time, when in fact they have not.’ (Quoted in Bogdanich 2010a)

This author summarises a number of indicative incidents that have occurred in recent years. For example: ‘In 2005, a Florida hospital disclosed that 77 brain cancer patients had received 50 percent more radiation than prescribed because one of the most powerful and supposedly precise linear accelerators had been programmed incorrectly for nearly a year.’

The New York Times (Bogdanich 2010c) provides an analysis of the main causes of 621 radiation therapy treatment errors that were reported in New York State from January 2001 to January 2009. Of these, 284 related to missing all or part of the intended treatment area, 255 to incorrect dose delivery and 50 to the wrong patient

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being treated. The analysis of contributing factors includes hardware and software malfunction, data entry errors and misuse of blocks, collimators and wedges (New York Times 2010). In this latter respect, wedges (metallic blocks) are physically inserted (under computer control) into the path of the beam to modify the size and shape of the radiation field thereby ensuring that it has maximum effect on the cancerous region and minimum effect on healthy tissue. In the case of a patient receiving treatment at the Downstate Medical Center’s University Hospital of Brooklyn (U.S.) in 2005, a command to leave the wedge out of the beam path was mistakenly inserted into the treatment plan. During 27 therapy sessions nobody reacted to the ‘wedge out’ message that was present on the operator’s console. As a consequence, in each session the patient received a radiation dose that was 3.5 times that prescribed. The patient suffered a major festering chest wound necessitating extensive surgery. Incidents of this type place additional professional responsibility on those designing and testing interfaces for safety critical systems to not only ensure correct and rugged operation, but to also take into account human factors. In this latter respect it is crucial to appreciate that as operators gain familiarity with a system, text based messages may be ‘seen’ but not actually ‘interpreted’. As technologies become more advanced and expensive, there is a tendency to place faith in their infallibility. This gains further credence when, as a result of ever greater technological complexity users no longer have a complete understanding of a system’s intricacies. By way of example, consider the case of a U.S. Army veteran who in 2006 received radiation therapy (Brogdanich 2010b). Within weeks his condition is reported to have worsened. Two therapists raised concerns that he was being exposed to excessive amounts of radiation: ‘…their protests did not go well. Their supervisor… admonished them for questioning doctors and the physics department, and later that month, both therapists were fired.’ (Brogdanich 2010b)

A subsequent investigation found that of 160 patients whose treatment was reviewed, 56 had been incorrectly treated and 36 had been over-radiated. There is a wealth of similar histories. Quoting one medical physicist, Brogdanich (2010b) indicates: ‘“When it exceeds certain levels of complexity, there is not enough time and not enough resources to check the behavior of a complicated device to every possible, conceivable kind of input.”’

And whilst for the most part radiation therapy technologies operate in the intended way and provide highly effective treatment in the fight against cancer, occasionally patients continue to be subjected to terrible errors: ‘In another case… in 2008 … made treatment planning software with an obscure, automatic default setting, causing a patient with tonsil cancer to be mistakenly irradiated 31 times in the optic nerve… In a statement…[the manufacturer] said its software functioned as intended and that operator error caused the mistake.’ (Brogdanich 2010b)

1.9 Discussion

1.9

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Discussion ‘It’s only because of their stupidity that they’re able to be so sure of themselves.’18

In this introductory chapter, we have considered aspects of human nature and it’s evident that we all possess a broad range of attributes: ‘Man is neither good nor evil. If one believes in the goodness of man as the only potentiality, one will be forced into rosy falsifications of the facts, or end up in bitter disillusionment. If one believes in the other extreme, one will end up as a cynic and be blind to the many possibilities for good in others and in oneself. A realistic view sees both possibilities as real potentialities, and studies the conditions for the development of either of them.’ (Fromm 1964 quoted in Waller 2002)

Aspects of human behaviour have long been the subject of prolonged rumination: ‘The naïve and fragmentary utterances of sage precepts for conduct, in which nascent moral reflection everywhere first manifests itself, supply a noteworthy element of Greek literature in the ‘gnomic’ poetry of the 7th and 6th centuries before Christ; their importance in the development of Greek civilisation is strikingly characterised by the traditional enumeration of the ‘seven sages’ of the 6th century; and their influence on ethical thought is sufficiently shown in the references that Plato and Aristotle make to the definitions and maxims of poets and sages.’ (Encyclopaedia Britannica 1879)

However the usefulness of such reflection and discourse is perhaps not best measured in terms of its practical value, but rather in our intrinsic need to better understand the characteristics and behaviour of not only our species but of our individual natures. Unfortunately such reflection can be impeded by the tedium of continuously becoming embroiled in practical considerations. Epicurus (341–270 BC) and many fellow sages therefore preferred to tackle the taxing challenges associated with the ethics of human behaviour by casting to one side the unwieldy practicalities associated with physical existence: ‘… certainly the ideal which Stoics and Epicureans equally cherished, of a brotherhood of sages united in harmonious smooth-flowing existence, was most easily realised on the Epicurean plan of withdrawing from political and dialectical conflict to simple living and serene leisure, in imitation of the eternal leisure of the gods apart from the fortuitous concourse of atoms that we call a world.’ (Encyclopaedia Britannica 1879)

Efforts have long been made to develop frameworks within which we can determine ethically desirable behaviours. Deontological Theories which build upon frameworks comprising rules and duties provide one approach (although unquestioning conformance to any set of rules does not demonstrate a commitment to the spirit of ethically inspired reasoning and action). Alternatively, others promote Consequentialist Theories which as the name implies focus on the consequences of actions. For example, as discussed, in the case of Utilitarianism, a key aim is to choose courses of action which increase happiness/wellbeing and reject actions which will do the opposite. 18

Kafka (1925).

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Although many of the various approaches provide a useful insight into the importance and nature of ethically desirable values, they all tend to be somewhat limited in scope and practicality. As we have seen, in some circumstances we may not have the time or inclination to ruminate on the words of Immanuel Kant, John Stuart Mill, John Locke and other ‘ethical pontificators’, and must react very quickly to situations which occur. Although in doing so we may feel that we are simply acting instinctively, our ethical decision making is likely to be inspired (possibly subconsciously) by many factors such as upbringing, personal faith, experience, and so on. We have considered aspects of the responsibilities of the professional in engaging in activities which exhibit ethically desirable standards and it is imperative that such standards are brought to bear in shaping and guiding the future as increasingly powerful and ever more interconnected technologies are developed, manufactured, marketed, deployed. We have also highlighted the fact that ethical behaviour relates to living and working within a framework in which we are inspired to ‘do the right thing’. But why should we follow this often challenging course? Surely it would be much simpler to adopt an egocentric form of behaviour in which we embrace the technology rollercoaster—eager to capitalise on this lucrative saga in human development. We can begin to answer this question by looking back to the twentieth century as this provides us with a clear insight into incongruous extremes of human behaviour and the troubled world in which we live. Danger is not inherently associated with technology, but rather in the ways in which people choose (or are driven) to use it. Unless technologists are willing to embrace ethically desirable practices (and oppose those which are otherwise), and unless they are willing to offer wise council based on the appraisal of the future ramifications of technologies, then it is likely that future generations will look back on the early years of the 21st century as a time when imprudent foundations were laid—a time when those who could have done otherwise failed to ‘do the right thing’.

1.10

Additional Reading

Altman, M., ‘Kant and Applied Ethics: The Uses and Limitations of Kant’s Practical Philosophy’, Wiley-Blackwell (2011). Darwall, S., (ed.), ‘Deontology’, Blackwell (2003). Driver, J., ‘Consequentialism’, Routledge (2012). Hiller, A., Llea, R., and Kahn, L., ‘Consequentialism and Environmental Ethics’, Routledge (2014). Himmelfarb, G., ‘Evolution and Ethics, Revisited’, The New Atlantis (undated). ITNow, ‘Ethics in IT: Who’s in Control?’, Oxford University Press (Autumn 2014). Kagan, S., ‘Normative Ethics’, Routledge (1998). Murphy, M., ‘God & Moral Law’, Oxford University Press (2011).

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Additional Reading

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Neumann, P., ‘Inside Risks Trustworthiness and Truthfulness are Essential’, Communications of the ACM, 60, No. 6 (June 2017). Quinn, M., ‘Ethics for the Information Age’, Pearson (2005). Reynolds, G., ‘Ethics in Information Technology’, 6th Ed., Cengage (2019). Schinzinger, R., and Martin, M., ‘Introduction to Engineering Ethics’, McGraw-Hill (2000). Sullivan, R., ‘An Introduction to Kant’s Ethics’, Cambridge University Press (1994). Van Norden, B., ‘Consequentialism in Early Chinese Philosophy’, Cambridge University Press (2007). Weart, S.R., ‘Scientists with a Secret’, Physics Today 29(2), pp. 23–30 (Feb. 1976). Wright, S., ‘The New Technologies of Political Repression: A New Case for Arms Control?’ Philosophy and Social action, 17 (July–December 1991).

References Anon, ‘European Drivers may be Wary of Cars that Stop Them from Speeding’, EURACTVE, (2019). Atomic Energy Foundation, ‘Bombings of Hiroshima and Nagasaki – 1945’ (5th June 2014). Atomic Heritage Foundation, (2014) https://www.atomicheritage.org (last accessed 22 April 2019). Baase, S., ‘A Gift of Fire: Social, Legal, and Ethical Issues for Computing Technology’, (4th Edn) Pearson (2013). Bamford, J., ‘The Agency That Could Be Big Brother’, The New York Times (25th Dec. 2005). Baraniuk, C., ‘Exclusive: UK Police a wants AI to Stop Violent Crime before it Happens’, New Scientist Daily News, (26th Nov. 2018). Birch, M., Lee, G., and Pierscionek, T., ‘Drones the Physical and Psychological Implications of a Global Theatre of War’, Medact (2012). Blundell, B., ‘Digital Shadows’, for publication 2019. (a) Bogdanich, W., ‘Radiation Offers New Cures, and Ways to do Harm’, The New York Times (23rd Jan. 2010). (b) Bogdanich, W., ‘As Technology Surges, Radiation Safeguards Lag’, The New York Times (26th Jan. 2010). (c) Bogdanich, W., ‘Case Studies: When Medical Radiation Goes Awry’, The New York Times (26th Jan. 2010). Burke, E., ‘Reflections on the Revolution in France’, James Dodsley, Pall Mall, London (1790). Connexion, ‘Speed Cameras of Future to be Installed in France’, The Connexion (2nd April 2019). Cornwell, J., ‘Hitler’s Scientists: Science, War and the Devil’s Pact’, Penguin (2003). Davis, M., ‘Is There a Profession of Engineering?’, Science and Engineering Ethics, p. 417 (1997). Encyclopaedia Britannica, 9th Ed., Vol. VIII, pp. 574–611, Edinburgh: Adam and Charles Black (1879). ETSC, ‘Briefing: Intelligent Speed Assistance (ISA)’, European Transport Safety Council (May 2018). Fleddermann, C., ‘Engineering Ethics’, Prentice Hall (2012). Fromm, E., ‘The Heart of Man: Its Genius for Good and Evil’, New York: Harper and Row, p. 123 (1964). Harris, C., Pritchard, M., Rabins, M., James, R., and Englehardt, E., ‘Engineering Ethics, Concepts and Cases’, Cengage (2014).

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Harrison, M., and Wolf, N., ‘The Frequency of War’, The Economic History Review, 65, 3, pp. 1055–1076, (2010). Kafka, F., ‘The Trial’. Verlag Die Schmiede, Berlin (1925). Keating, D., ‘New Cars in Europe will be Prevented from Speeding’, Forbes (26th March 2019). Langford, D., ‘Practical Computer Ethics’, McGraw-Hill (1995). Leveson, N., and Turner, C., ‘An Investigation of the Therac-25 Accidents’, IEEE Computer, 26, No. 7, pp. 18–41 (7th July 1993). Martin, M., and Schinzinger, R., ‘Introduction to Engineering Ethics’, 2nd Ed., McGraw-Hill, (2010). Monks, Noel, ‘Eyewitness’, Muller (1955). Naughton, J., ‘How a Half-Educated Tech Elite Delivered Us into Chaos’, The Guardian (19th Nov. 2017). New York Times, ‘Radiation Mistakes: One State’s Tally’, (24th Jan. 2010). Nietzsche, F., ‘Twilight of the Idols’, (1889). Rachels, J., ‘The Elements of Moral Philosophy’, (4th Edn) McGraw-Hill (2003). Seltzer, W., ‘Population Statistics, the Holocaust, and the Nuremberg Trials, Population and Development Review’, pp. 511–552 (September 1998). Shute, N., ‘No Highway’, Heinemann (1948). Slote, M., ‘The Mandate of Empathy’, Springer Science + Business Media (4th July 2010). Taylor, F., ‘Dresden: Tuesday 13 February 1945’, Bloomsbury Publishing PLC (2004). von Halban, H., Joliot, J., and Kowarski, L., ‘Liberation of Neutrons in the Nuclear Explosion of Uranium’, Nature 143, pp. 470–471 (18th Mar. 1939). Waller, J., ‘Becoming Evil: How Ordinary People Commit Genocide and Mass Killing’, Oxford University Press (2002). Weizenbaum, J., ‘Computer Power and Human Reason’, W. H. Freeman and Company (1976).

2

Ethics and the Organisation: Pervasive Best Practice

‘…the ethical process; the end of which is not the survival of those who may happen to be the fittest… but of those who are ethically the best.’1

2.1

Introduction

In this chapter we primarily focus on the application of ethically-based standards in organisations. Discussion centres on their adoption (or otherwise), together with their impact on stakeholders and the general culture that prevails within an organisation. We largely defer consideration of ethical issues relating to products and services (outputs) to later chapters. An organisation is assumed to comprise a number of people working together to achieve a specific goal(s), the overall ethical ethos being defined by the actions of a broad range of stakeholders. Why should staff at all levels within an organisation behave in an ethical way? What characteristics are associated with ethical leadership? Indeed is there any real place for Professional Ethics in today’s competitive world—does it really offer any benefits? By way of example, consider a medium size commercial organisation. Some may believe that the overarching purpose of all employees is to maximise profit— that is their fundamental raison d’etre. This is a common perception and is often a day to day reality, but in our increasingly complex world it may represent a somewhat archaic, over-simplistic and non-optimal objective. Solely focusing on maximisation of profit is likely to benefit only a relatively small number of stakeholders. It is an ethos which is not conducive to the broad infusion of ethical From ‘Evolution and Ethics’, a lecture delivered at Oxford by Thomas Huxley (1893).

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standards, and in the absence of such standards some stakeholders will be penalised. For example, the salaries of some workers will remain at (or close to) the legal minimum, suppliers will invariably be treated badly (price minimisation and maximisation of account settlement time), environmental considerations will just about conform to minimum legal requirements, employee workload planning will seek to maximise outputs without consideration of job satisfaction, and so on. And as efforts are made to further increase profit, outsourcing to economically poorer countries or automation are likely to become attractive options. This brief description doesn’t convey the impression that solely focusing on profit maximisation is likely to cultivate the behavioural and ethical standards associated with best practice. In fact, it associates best practice with behaviours which will maximise revenue, and any residual links which exist between ethical standards and best practice become purely coincidental. Most importantly, can we be confident that organisations which fail to adopt sound ethical standards and whose modus operandi is the maximisation of profit will focus on the development of technological products and/or the delivery of services that will serve the wellbeing of the individual, society and the environment? Will such organisations pause in their efforts and consider the ramifications of their activities, not only in terms of the here and now, but also in the context of future generations? With these thoughts in mind, in the next section we discuss benefits that can be derived from the infusion of ethical precepts at all levels within an organisation, and in Sect. 2.3 consider advantages that are to be gained from ethically sound leadership. This discussion is not however intended to suggest that the motivation for the adoption of ethically sound standards and behaviours should be solely driven by an analysis of possible benefits—perhaps there are other considerations? In Sect. 2.4, we briefly identify a spectrum of indicative activities and responsibilities which scientists, engineers, and computing/IT professionals are likely to encounter during the course of their careers. This is intended to provide an insight into the importance of gaining not only sound technical skills but also diverse skills of a less technical nature. Look ahead to Table 2.3—the diversity of the indicated activities clearly suggests that today’s technology professionals need to not only be equipped with a very broad range of skills (both technical and otherwise), but also that during their careers they are likely to encounter a wide range of ethically-related issues. Consequently, the study of Professional Ethics provides a wealth of highly transferable skills which form an essential basis for lifelong professional development and career success. Finally, in Sect. 2.5 we turn our attention to another example of organisational failure. In this case we consider a series of events and actions which culminated in the death of 346 passengers and crew onboard a DC-10 shortly after its take-off from Orly, Paris. These encompassed both technical issues and human factors. The former were known and on two occasions their seriousness had been unequivocally demonstrated. Had key players fully exercised their professional responsibilities, many lives could have been saved and stakeholders who participated in questionable actions which appear to have taken place after the disaster would perhaps have slept more comfortably.

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Inputs

Organisational Processes

Outputs

Outcomes

Materials, goods, finance, people, etc.

Primary or supportive

Primary or supportive

Results and benefits

Fig. 2.1 Representing basic elements of an organisation as a pipeline. Primary processes are assumed to relate directly to the main function (e.g. the manufacture of a product, or education of a student cohort) whereas supportive processes or outputs could include, for example, staff payroll, marketing, and the like. Outcomes may in turn lead to modification of inputs and/or organisational processes (e.g. in response to customer feedback).

2.2

Ethics and Organisations ‘Organisational Ethics: A way of acting, not a code of principles…[and] is at the heart, pumping blood that perfuses the entire organisation with a common sense of purpose and a shared set of values.’2

Although there are many different types of organisation, they share the characteristic of comprising a collection of people (from several through to thousands) who strive to achieve a common objective or set of objectives. An organisation may be privately owned, may be governmental, may be strongly motivated by a wish to maximise profit for shareholders, may exist as a non-profit making charity, may have political/military objectives, or may simply take the form of a small group of talented students striving to develop their innovative ideas in a fledgling start-up venture. As summarised in Fig. 2.1, from a system level perspective an organisation processes a set of inputs and generates one or more outputs that in turn lead to one or more outcomes (which are usually planned, but not always…). The ethical attributes of an organisation are determined by a complex coalescence of human behaviours, attitudes and activities (for initial discussion see OTU Activity 2.1). This invariably encompasses not only those currently employed by the organisation, but also people who have contributed to its evolution, shareholders, and others who are (or have been) associated with it via, for example, subcontracting, outsourcing, and consultancy arrangements. In addition, ethical attributes may be affected by the customer base and by those involved in developing political, legal, and cultural frameworks which may influence the behaviours of those within the organisation. For brevity here and in the next section, we focus on organisations which operate within the broad framework of western culture. This is not intended to suggest that mainstream western culture should be considered as some sort of role model or 2

Pearson et al. (2003). Quoted in Butts and Rich (2008).

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standard (which it certainly isn’t), but it does provide a useful backdrop against which to frame discussion. The reader is therefore strongly encouraged to review and discuss the influences that other cultures have upon all aspects of the organisation and across all levels of stakeholder. Such discussion provides an important opportunity to identify key similarities and differences in various ethical values and practices. In this section (and elsewhere in the book) we illustrate discussion by reference to two fictitious organisations which have been given the easily remembered names: ‘Ethical Industries’ and ‘Cowboy Educational Services’. As their names suggest, these are intended to exhibit quite different ethical values and respectively demonstrate the best and worst aspects of organisational practice. We consider that although it may be possible to deduce aspects of the ethical attributes of an organisation from its function(s) and/or from the technologies employed in achieving these function(s), it is important to remember that ethical attributes relate directly to human reasoning and behaviour. Thus, although characteristics of the products created by an organisation (such as their purpose and quality) can provide an indicator of an organisation’s ethical ethos, in themselves they may be considered ethically benign. Consider a fairly extreme case in which an organisation continues to gain financially through the manufacture and sale of landmines. These have a notorious record, particularly in terms of indiscriminately maiming and killing people during and even long after a conflict has ended. We cannot assign ethical reasoning to a landmine per se, but it can be applied to those who devote their creative talents to producing goods which can serve no ethically desirable purpose. OTU Activity 2.1 Managerial staff in a medium size company (Company A) located in a rich technologically-advanced country decide that in order to reduce costs (and so increase profit), various manufacturing activities will be outsourced to a company (Company B) located in an economically impoverished country where employment safety and environmental laws are notoriously lax. Workers employed by Company B receive very low wages and are subjected to poor (and unsafe) working conditions. In addition, the manufacturing processes adopted by Company B cause significant environmental damage. 1. Discuss whether you believe that outsourcing to Company B is ethically appropriate (you should assume that Company B is not in breach of any national laws). 2. Do staff in Company A have any ethical responsibility to consider the wellbeing of Company B employees, and any environmental damage resulting from Company B’s cost-cutting manufacturing processes? 3. Eventually, employment conditions in Company B are exposed by the media together with Company A’s subcontracting arrangement. Discuss if/how this would influence your perception of the ethical attributes of Company A.

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To operate in an ethically inspired manner

Pervasive best practice

Focus

Equivalent Results

To achieve pervasive best practice

Ethical behaviours

Fig. 2.2 A case of which comes first—the chicken or the egg? Ethically-inspired activity inherently promotes pervasive best practice, whereas the quest for pervasive best practice inherently promotes ethically desirable behaviours. As indicated in the text our use of the term ‘pervasive best practice’ excludes aspects of best practice which is solely motivated by an exclusive drive to conform to ‘tick box’ and/or legal standards.

In order to facilitate discussion, we coin the term ‘pervasive best practice’ when referring to the true vision of achieving best practice across all aspects of an organisations activities. This is likely to significantly differ from a commonly encountered form of best practice which is solely driven by focusing exclusively on conformance to ‘tick box’ and/or legal standards.

2.2.1 The Organisation and the Individual With the above thoughts in mind, consider an organisation in which stakeholders strive to achieve pervasive best practice in areas such as employment, subcontracting, environmental impact, quality outputs, etc. This may be motivated, achieved and sustained by conscious reference to and discussion of ethical concepts. Alternatively, equivalent pervasive best practice may also be achieved in other ways, such that the word ‘ethics’ is seldom used. However, in both scenarios a similar ethically-based culture is ultimately likely to evolve. In short, the infusion of ethically-inspired practice within an organisation provides a framework within which best practice may be achieved. Alternatively, the goal of achieving pervasive best practice will in itself give rise to ethically desirable behaviours (see Fig. 2.2). Clearly, the extent to which an individual employee is able to shape the overall ethical attributes of an organisation is influenced by many factors, several of which are summarised in Fig. 2.3 and briefly discussed below: 1: Association: Reflecting the level of responsibility and/or seniority at which a stakeholder works in (or is associated with) an organisation. In principle, greater responsibility and seniority provide more opportunity to effect change (but this is not always the case as, for example, responsibility is not always coupled with authority). When sound ethical standards are promoted within an organisation, staff at all levels feel included within its community and culture. They perceive their input as being of value and so believe that they will not experience criticism or censure when they make suggestions, raise concerns, etc. Furthermore, in

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Attitudes

Individual

Association

Structures

Greatly influenced by the Head(s) of the organisation and by the leadership hierarchy

Communications

Fig. 2.3 Summarising several indicative factors that influence the ability of an individual employee to shape the ethical attributes of an organisation.

such an organisation there will not only be tolerance of individualism together with cultural and ethical diversity but an appreciation that these are attributes which, if properly supported, can be highly beneficial. Contrariwise, the culture of an organisation may seek to homogenise staff, repress individualism and define a common template of behaviour and practice. In such an environment staff are likely to be less willing to voice their thoughts, particularly in the case of views which might controversially question the status quo. Of course these represent two extreme scenarios, although unfortunately the latter is not altogether uncommon. OTU Activity 2.2 Consider the case of an experienced professional who takes up a position in an organisation (comprising ~100 staff). After ~6 weeks in the post, and whilst present in a meeting, she raises an ethical concern about an organisational process. After the meeting the CEO takes the person to one side and expresses consternation that that this has happened. The CEO explains that “for a period of 100 days or so I expect new employees to focus on understanding our ways of working”, and goes on to add that “during this period I don’t expect an employee to express contrary views”. Discuss what, if anything, this indicates about the management style and culture of the organisation. How would you react to this situation?

2: Attitudes: If a positive ethos is nurtured so as to become pervasive, staff at all levels are likely to feel encouraged to suggest change and to speak out when uncomfortable with the ethical attributes of the organisation. Ironically however, doubtful ethical practices are more likely to be associated with

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organisations in which such an ethos is absent. These are the very organisations which could most benefit by staff suggesting opportunities for improvement and openly discussing ethical concerns. A climate of mistrust and authoritarian rule is not one which promotes informed and open debate. As discussed in the next section, it is apparent that ‘…leaders who strive for ethical conduct motivate others to act in ethical ways.’ (Butts and Rich 2008). Conversely, in the absence of professional and ethical leadership, non-ethical practices can gain a foothold and virulently spread throughout an organisation. In some cases this can result in more junior employees being placed under pressure to adopt ethical practices contrary to their own ethical values, and may eventually develop into situations in which efforts are made to persuade individuals to engage in illegal activity. Resisting such pressures can be difficult and stressful. 3: Structures and Communications: Strongly hierarchical management structures and siloed (highly compartmentalised) structuring techniques are more likely to be associated with environments in which a disconnect (perceived or real) exists between more senior leaders and the hands-on workforce. Such a gulf is characterised by poor communication and more dictatorial (perceived or otherwise) leadership (see Sect. 2.3). Several of the organisational failures described in the final sections of this and other chapters reveal non-optimal management structures in which communication failures occurred and disasters ensued (for example, look ahead to Sect. 3.8). Turning now to the two fictitious organisations mentioned previously (‘Cowboy Educational Services’ and ‘Ethical Industries’). As suggested by their names, the former generally exhibits the less desirable attributes outlined in 1–3 above, and the latter the positive ones. Suppose that two young and recent graduates (Albert and Bruce) both apply for a post at each of these organisations. We assume that Albert has a strong technology background, is high achieving, a good communicator and has a positive ethical ethos. Overall, he exhibits sound professional integrity and shows considerable promise. In contrast, Bruce is significantly weaker in all respects although he can be very convincing when sitting in front of an interview committee (thereby allowing us to assume that he also has the ability to obtain a position in either company). Let’s consider four possible employment scenarios (as summarised in Fig. 2.4): 1: Albert is Appointed to Ethical Industries: This may be deemed to be a good appointment as it is mutually beneficial to both parties. Indeed the attitudes, standards, professionalism and ethical ethos of others within the organisation are likely to further enhance Albert’s attributes and standing. 2: Albert is Appointed to Cowboy Educational Services: This is likely to be a poor appointment. Although Albert may have some positive influence on staff within the organisation, it is unlikely that this will be extensive (recall that we have assumed that he has recently graduated and so is likely to be appointed at

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Albert

Strong technology background High achieving Good proactive communicator Sound ethical ethos

Ethical Industries

Cowboy Educational Services

Bruce

Weaker technology background Not particularly self motivated Not a proactive communicator Little regard for ethical standards

Fig. 2.4 Two recent graduates with contrasting abilities and levels of professional integrity both apply for positions in two organisations (which exhibit significantly different cultures). As discussed in the text, both are likely to benefit and make the strongest contributions if employed by Ethical Industries. However we assume that each company has only one vacancy.

a relatively junior level). Furthermore efforts which Albert may make to improve the environment are likely to be thwarted by poor communications and the resistance of staff to be influenced by a newcomer. In time it is likely that Albert will either leave or will begin to accept and adopt lower standards. This erosion in professional standards/conduct will occur gradually—Albert may not even notice that the quality of his work is being compromised, that he is accepting poor communications from his peers, and that much of his working day is being taken up in dealing with fire-fighting, office politics, and unnecessary administrative tasks. OTU Activity 2.3 Chief Executive Officers (CEO’s) in many organisations (together with other highranking managerial staff) receive high salaries and significant bonuses. Consider the case of the Vice Chancellor of a university receiving a salary of £300,000 per annum. Within the same hypothetical university many academic lecturers are employed on Zero-Hour Contracts. This means that they are poorly paid, are denied standard employment benefits and are only offered work as and when it is available (in this latter sense they have absolutely no certainty of employment from term to term). 1. Discuss whether it is ethically acceptable for such a range of salaries and employment opportunities to exist within an organisation (particularly when, at the lower end, staff experience extreme hardship)? 2. Research and discuss CEO salaries in a range of commercial, governmental and non-profit making organisations. Discuss ways in which such salaries can be ethically justified – or otherwise.

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It is of course very difficult for a single person entering a well-established organisation to effect change unless of course they are appointed with appropriate executive powers and even then, without goodwill and a clear mandate, it can be far from simple. Anecdotally, it would seem that resistance to change is a common facet of human nature and unfortunately organisations which could really benefit from change are often the very ones that are the most resistant to it. 3: Bruce is Appointed to Ethical Industries: Initially this may be deemed to be a poor appointment. Weaknesses in Bruce’s abilities, skills, and ethical standards are likely to be soon recognised by members of the organisation. However, depending upon Bruce’s character and the guidance given, the positive characteristics of the organisation may have a significantly beneficial impact on him. 4: Bruce is Appointed to Cowboy Educational Services: This is likely to constitute a nondescript appointment from which neither the appointee nor the organisation will particularly benefit. It is an appointment in which the status quo will be maintained—the appointee’s mediocre standards paralleling and helping to maintain those of the organisation. In Fig. 2.5 we summarise a number of ethically undesirable behaviours, some of which may be prevalent in an organisation. These are simply intended to be indicative and you are encouraged to amend the list and discuss additional behaviours you may have experienced or heard about. You are particularly encouraged to consider behaviours in a multicultural context. Also see OTU Activity 2.4. From the perspective of Professional Ethics each person in an organisation is responsible for his/her ethically-based behaviours. Thus it is deemed to be insufficient to justify ethically undesirable decisions and actions on the basis of the somewhat trite assertion that: “I was only doing what I had been told to do”. As professionals we are each individually accountable and, as previously indicated, following without question the rules of an organisation is contrary to values and responsibilities associated with professional ethical conduct. A useful set of tests which can be applied to ethical decision-making is summarised in Fig. 2.6. Some may possibly argue that this forms too rigorous a framework and that in the case of, for example, today’s highly competitive and international commercial world it would be impossible to stay in business if stakeholders at all levels continually strived to meet all these conditions. Furthermore, it may be felt that any professional within an organisation who sought to fully integrate these tests within his/her working practice would soon run into problems (see Ethical Dilemma 2.1).

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2 Ethics and the Organisation: Pervasive Best Practice Participating in or condoning fraud. Participating in or condoning the giving or receiving bribes (see OTU Activity 2.4). Participating in or condoning covert operations. Participating in or condoning a working environment in which a ‘blame culture’ prevails. Participating in or condoning the supply of misleading services. Participating in or condoning the creation and use of misleading advertisements. Participating in or condoning actions which renege on agreed terms and conditions. Participating in or condoning conditions which may place pressure on others to breach their ethical code of conduct. Participating in or condoning the use of inadequate design, production, and manufacturing standards. Participating in or condoning the deliberate use of dishonest tactics for business expediency. Participating in or condoning the exaggeration of proposed activities to procure funding and/or organisational support. Participating in or condoning activities which result in environmental damage due to, for example, poor processes and/or cost-cutting. Working to a common end without consideration of the ethical, social, or environmental ramification of the work being undertaken (this is generally referred to as Instrumental Rationalisation (recall the caption to Figure 1.5)). Participating in or condoning poor and/or substandard working conditions and wages. Participating in or condoning the use of humiliating, intimidating, bullying and stereotyping tactics. Participating in or condoning bigotry, sexism or racism. Failure to support cultural diversity. Failure to effectively support and promote staff development and welfare. Failure to speak out when unethical practices become evident. Taking credit for the ideas and work of others in the organisation. Participating in or condoning the use of processes by which staff are treated as a means to an end – rather than as an end in themselves.

Fig. 2.5 Exemplar ethically undesirable behaviours, some of which may be prevalent within an organisation. These are presented to catalyse discussion—you may not agree with all of the entries and/or may wish to include others. In addition, you may feel that some ethically undesirable activities/actions are simply unavoidable in today’s international corporate world (see, for example, OTU Activity 2.4). It is recommended that you consider this list within a multicultural context.

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Is it legal? (See figure caption) Does it comply with my/our rules and guidelines? Does it comply with my personal and our ethical values? Will I be comfortable and guilt free if I do this? Does it comply with commitments and promises made by me? Would I do it to my family and friends? Would I be happy if someone did this to me? Would the most ethical person I know do it?

Fig. 2.6 A useful way of loosely evaluating the appropriateness (or otherwise) of a decision with ethical dimensions. This can be valuable to people at all levels within an organisation when self-evaluating or making decisions. Note that whilst the question, ‘Is it legal?’, is most important in decision-making, conformance to the law does not in itself necessarily indicate that an action/decision is ethical. For example, during the apartheid years, racially based discrimination was legal in South Africa. This was clearly not ethically appropriate. (Adapted from Butts and Rich (2008))

2.3

Ethics in Organisational Leadership ‘I am not afraid of an army of lions led by sheep; I am afraid of an army of sheep led by a lion.’3

Over the course of your chosen career, you are likely to be appointed to increasingly senior positions in which you will have growing responsibility in providing leadership to others. As a professional person it is therefore vital that you have a sound insight into aspects of ethical leadership. Perhaps as mentioned above, you may believe that in today’s ever more competitive and profit driven world, leadership styles which are exclusively based on ethical values are impractical—ethical leadership simply being an academic concept that has no practical value in current real-world situations. However the following discussion may allow you to reflect on the true value of ethical leadership, and in addition will provide useful information

3

Attributed to Alexander the Great (356–323 BC).

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which will be helpful in critically appraising aspects of leadership in any organisation in which you work. Although, as previously mentioned, all members of an organisation are individually responsible and accountable for ethically-related aspects of their conduct, particular responsibility falls on those who have professional status and/or those who hold leadership roles in which they have authority over others. Ultimate leadership and authority rest with an organisation’s Chief Executive Officer (CEO), board of trustees, senior management team, etc. These roles provide the greatest opportunities to shape the overarching culture and ethos of an organisation. This will directly impact on the infusion (or otherwise) of fairness, trust, openness, and ethical conduct across all aspects of an organisation’s activities. Ethical Dilemma 2.1 Recall previous discussion about Albert and Bruce who each applied for a position in two organisations (‘Cowboy Educational Services’ and ‘Ethical Solutions’) – as summarised in Figure 2.4. Let’s suppose that Albert was appointed to the post at Cowboy Educational services. Given his abilities and professional ethos, he has had a difficult time adjusting to the organisational culture. However he has persevered – primarily because this is his first job since graduating and he doesn’t give up easily. In his first three months he has encountered several situations in which he felt that he had an ethical responsibility to question decisions made in meetings which he attended. On each occasion he raised his concerns in a well considered, mild and professional way. However his input solicited little positive response. At a further meeting he felt obliged to raise questions about the standards of newly introduced software testing strategies. This is an area of Albert’s technical expertise and given the software’s medical applications, faults could have potentially serious consequences. Again, he found that his input was quickly dismissed. Following the meeting, he was taken to one side by a senior (but not particularly competent) member of the management team. In the ensuing conversation, the manager told Albert that “You’re beginning to get a reputation for negativity - you seem to be determined to undermine the team. You really need to stop ‘rocking the boat’. I’m quite disappointed by your attitude – I expect loyalty from my team. So let’s have no more of it.” 1. Discuss the way in which the manager's ‘advice’ is likely to impact on Albert’s self confidence. 2. If on a future occasion Albert feels that he has an ethical responsibility to question decisions that are being made and/or current practices, how should Albert react? Should he simply follow the ‘advice’ of the manager? 3. Discuss how you would react to such a situation (exclude the option of resignation)?

In recent years numerous organisations have experienced significant difficulties which can be directly attributed to leadership failure. This is perhaps not surprising given the broad range of skills required and the temptations which can arise when individuals are placed in positions of power:

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‘Finally, what we have learned from stock options backdating — and from every other scandal in the financial markets in recent years — is that character matters. Corporate character matters — and employees take their cues from the top. In our experience, the character of the CEO and other top officers is generally reflected in the character of the entire company. If a CEO is known for his integrity, integrity becomes the corporate norm. If, on the other hand, a company’s top executives are more interested in personal enrichment at the expense of the shareholders, our backdating investigations demonstrate yet again that other employees will follow suit.’4

2.3.1 Indicative Styles of Leadership In this subsection we summarise various indicative leadership attributes and consider the impact these may have on the well-being and ethos of stakeholders in an organisation. Before proceeding it’s helpful to clarify a little terminology: 1: Leader: In everyday conversation, the terms ‘leader’ and ‘manager’ are often used interchangeably, but in reality managers frequently do not possess key characteristics that are associated with true leadership. It is evident that true leadership qualities are highly individualistic and embrace creative talents, dynamism, determination, an ability to inspire, and most importantly a sense of service to others. In contrast, management activities often primarily centre on the organisational and administrative skills that are needed to support everyday activity. For our present purposes, we coin the term ‘leader’ when referring to those in an organisation who hold positions of responsibility in which they not only exercise (or should exercise) key leadership attributes, but also have executive powers. They are (or should be) well-positioned to significantly influence the culture and ethos of the part(s) of the organisation which lie within their sphere of influence. Further, they must also engage with the other parts of the organisation by supporting and accounting for the actions and activities of those for whom they have responsibility. The term ‘leader’ can therefore be applied not only to the overarching ‘boss’, but also to heads of department, section heads, team leaders, etc.

4

Attributed to Linda Chatman Thomsen, Director, Division of Enforcement, Securities and Exchange Commission (SEC). Quoted in Biggerstaff et al. (2015).

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OTU Activity 2.4 In reviewing Figure 2.5, a person experienced in international business may well question some of the entries; “that’s all very well in theory” he/she may say “but in the real world, you have to adapt, be flexible, and compromise”. With this in mind, consider and discuss the following: 1. In some countries, bribery is seen as a vital lubricant that facilitates business. For better or for worse, it is an accepted part of everyday life. Consider the case of a European business which is establishing trade links in such a country. Should staff within the organisation give and/or accept bribes? 2. Take the case of an organisation which is considering outsourcing manufacture to a company in a less technologically advanced country. It is known that male employees will be paid significantly more than female employees, that top positions are always assigned to males of a certain ethnicity, and that the use of child labour is not unheard of. Should staff within the outsourcing organisation accept association with such employment practices?

2: Ethical Leadership: Recall Fig. 2.2 in which we indicate that ethically inspired activity promotes pervasive best practice and contrariwise the quest for pervasive best practice invariably leads to the adoption of ethically desirable behaviours. Consequently, our reference to an ‘ethical’ style of leadership does not simply refer to leaders who reflect on, discuss and apply ethically inspired standards and behaviours but also to those who create the conditions in which an ethically-based culture can flourish—without their having necessarily consciously considered ‘ethical’ precepts. There can be little doubt that in both scenarios, leaders will need to think over/address similar issues and may well reach equivalent conclusions. Brown et al. (2005) conceptualise ethical leadership in the following way: ‘Ethical leaders are models of ethical conduct who become the targets of identification and emulation for followers. For leaders to be perceived as ethical leaders and to influence ethics-related outcomes, they must be perceived as attractive, credible, and legitimate. They do this by engaging in behaviour that is seen as normatively appropriate (e.g. openness and honesty) and motivated by altruism (e.g. treating employees fairly and considerately).’

Consider that the CEO of our fictitious organisation Ethical Industries may be a person who reflects on and consciously provides ethically inspired leadership, indeed he/she may frequently refer to ‘ethical considerations’ when discussing policy with staff. Alternatively, the CEO may have neither the time nor inclination to consciously ponder ethical notions, and may have absolutely no interest in the ruminations of Plato, Socrates, Aristotle, Kant and other ‘pontificators’ in the philosophy road show. Instead, the CEO may be inspired to develop a first-class organisation in which stakeholders are given a good deal, environmental issues are carefully considered, products are of high quality, suppliers are paid promptly and

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Table 2.1 Exemplar leadership styles discussed by Goleman (2000). In this study, there was a correlation between the Coercive and Pacesetting styles with both exhibiting a negative impact overall. However the study didn’t explicitly include ethically-related values within the impact metric. Leadership style

Indicative attitude

Coercive Authoritative Affiliative Democratic Pacesetting Coaching

“Do what you are told. I don’t want excuses. I don’t want back-chat.” “Have confidence and follow my vision.” “You’ve done a really great job—despite loss of sleep with your new baby.” “Tell me what you all think—you know how much I value your ideas.” “We need to meet these new targets quickly and then we’ll go even further.” “I believe in you, I want to help you, but I do expect your very best.”

fairly, and marketing material is based on fact rather than slick hype. If successful in this vision he/she will also create a culture that is underpinned by ethically inspired values—a culture which reflects the leader’s personal style and integrity. In the discussion which follows, it is important to bear in mind that ethical leaders may adopt different approaches to ethical reasoning. For example, as we have seen the Utilitarianism strategy is to focus on decision-making which provides maximum benefit to the largest number of people. Alternatively, an ethical leader may be strongly guided by religious teaching or may use virtue-based reasoning. Consequently as with all ethically-inspired individuals, different ethical leaders may well respond in different ways to a given situation. They will be striving to ‘do the right thing’, but may each reach different conclusions as to the ‘right thing to do’. Over the years the analysis of leadership styles has received much attention, an aim being to try to establish and hence mimic the attributes of the most successful organisational leaders. In Table 2.1, we briefly summarise six styles discussed by Goleman (2000). Whilst these provide interesting and useful background information, they do not necessarily give direct insight into leadership attributes that particularly promote (either directly or indirectly) the infusion of an ethically-based culture into an organisation. Consequently, in Fig. 2.7 we summarise some relevant characteristics which may be ascribed to a leader. These have been selected on the basis of their being particularly evident to a broad range of stakeholders within an organisation, and are briefly discussed below: 1: Figurehead: In some instances, the senior figure within an organisation is intended to primarily act as a figurehead. By virtue of this person’s name and/or reputation, the organisation strives to advance its status, credibility, national/international standing, etc. Consider the case of a non-profit making organisation which is entirely reliant on donations from the public: ‘Because they are entrusted with public funds, are scrutinized by the media, and operate in an atmosphere of scepticism and doubt about institutions’ ethical standards, non-profit organisations and their top executives need to appear trustworthy and ethical in order to survive. The effective non-profit executive, as the embodiment of his or her organisation,

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Indicative Styles Figurehead

Indicative Attributes

Remote

Reclusive Cocooned Closed Door

Accessible

Open Door Approachable Welcoming Input In Touch Engaged

Autocratic

Authoritarian Divide and Conquer Them and Us

Charismatic and Affiliative

Role Model Confidently Informed Inclusive Approach

Fig. 2.7 Various leadership styles and exemplar attributes. Note that these are simply intended to be indicative and promote discussion. In reality, styles will be influenced by the nature of the leadership position (and associated executive powers) and by a broad range of factors. Further aspects of a leader’s style are likely to vary with circumstances.

must project high levels of ethical reasoning as a prerequisite to being entrusted with scarce resources and toward the end of not only achieving public good but also reflecting back favourably on both the organisation and the individuals who provided funding.’ (Jurkiewicz et al. 1998)

Although this gives a good insight into the crucial importance of ethical conduct within this type of organisation, the reader may have noticed the use of the words ‘appear’ and ‘project’. These could perhaps be taken as emphasising that the projection of outward appearance is the crucial issue, rather than behaviours than truly uphold (with sincerity) ethical values. Naturally, the pretence of upholding ethical values implicitly constitutes ethically questionable conduct. The appointment of an appropriately well-connected and well-regarded organisational figurehead can also facilitate the establishment of start-up ventures. In such a case the appointee is perceived as endorsing both the undertaking and those involved in its implementation. Typically, such figureheads have a long and proven track record in business, and on the basis of their knowledge and integrity are held in high esteem.

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Alternatively, over time an active organisational head may strive to become less engaged in everyday activities. I recall a highly talented CEO who had reached the age at which he was determined to spend more time on the golf course. This was an entirely understandable decision, but his continued (albeit looser) association (through which he continued to be able to offer wise council) provided much needed stability. Others may have less appropriate motivations. A leader may seek to begin to distance him/herself from an enterprise that is running into difficulties, whilst at the same time focusing on activities which better support his/her future career aspirations. In such a situation the lack of committed leadership can rapidly undermine vital aspects of an organisation, particularly in respect of staff morale (invariably staff are quick to sense a leader’s waning commitment). 2: Remote: As indicated above, some leaders actively seek to distance themselves from the day to day running of an organisation. This is typically achieved through re-organisation, thereby allowing activities (and responsibilities) to be delegated to staff and committees in whom a head has confidence. This can result in the leader becoming increasingly cocooned from many vital aspects of an organisation’s operations. Over-reliance on committee-driven management can have significant disadvantages including the lowering of staff morale, erosion of an organisation’s cultural values and a lack of reflection on ethical standards (committees are more likely to focus on legal and procedural matters rather than possibly more nebulous ethical considerations). There is also the possibility that the remoteness of a leader may gradually be mimicked by those to whom tasks and responsibilities have been delegated. This can impact on the effectiveness of communication (particularly in the upward direction) and may result in over-reliance on formal channels of communication. In such a scenario it is likely that senior management will gradually become less well connected with essential aspects of the organisation, and that information filtering will become prevalent (e.g. communicating to people what they want to hear, suppressing bad news, etc.). 3: Accessible: The scenario outlined in (2) above may be said to be characterised by a ‘closed door’ policy. In some instances, this may take the form of a physical door which is invariably closed and protectively guarded by a secretary or personal assistant. (I recall one Vice-Chancellor who employed a full-time security guard to police the door to his elegant sanctum sanctorum—it was never clear whether he was endeavouring to guard against intrusion by staff or students—or both…). For the purposes of current discussion, the term ‘closed door’ is also used in a metaphorical sense to encompass a range of mechanisms which can deny or discourage accessibility. Thus a ‘closed door’ policy may be used to reflect the extent to which stakeholders feel comfortable about communicating as and when the need arises with those holding executive positions. In the case that staff are required to scrupulously adhere to specific channels of communication, or should it become known that a certain leader does not welcome direct communication (relating, for example, to technical or organisational problems), then

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‘closed door’ takes on its broader meaning and encompasses discouragement of emails, phone calls, and even the brief informal out of office chats. The very notion of an ‘open door’ policy can cause considerable anguish to some of those holding executive positions. This brings to mind a conversation with one university Pro-Vice-Chancellor who told me quite proudly that he had put an end to the previous incumbent’s open door policy. To encourage direct communication would surely result in a tsunami of communication, continual interruptions, and constant immersion in organisational trivia. Under such circumstances, it would be impossible to focus on the ‘big picture’. As one argument goes; “I employ a number of managerial staff, it’s their job to deal with day to day issues—not mine!” This Pro-Vice-Chancellor indicated that he was very pleased with his ‘closed door’ approach—he was seldom disturbed. By way of a further personal observation, it would appear that the judicious use of an ‘open door’ policy (which is most likely to be associated (to varying degrees) with the Authoritative, Affiliative, Democratic, and Coaching styles of leadership referred to in Table 2.1), coupled with an approachable, engaged and ‘in touch’ style of leadership can be highly rewarding to both the instigator and organisation. It provides a fertile framework in which excellence in organisational culture is promoted and can nurture fairness, trust, and loyalty at all levels. Furthermore, it appears that stakeholders generally tend not to misuse access opportunities—valuing the trust and confidence placed in them not to do so. In the case of organisations in which significant problems exist, the introduction of an ‘open door’ approach is much more likely to result in stakeholders making use of the opportunity to air their grievances, proffer suggestions for change, etc. In fact if properly harnessed, such input can be extremely valuable in developing key attributes (such as goodwill and confidence) which are essential in moving an organisation forward. Additionally, it can provide a leader with a clear insight into the nature of the problems which need to be addressed and the way in which change should be effected. 4: Autocratic: This style of leadership (corresponding to the Coercive category referred to in Table 2.1) is most likely to be associated with aspects of the ‘closed door’ scenario. Specifically, communication breakdown occurs because stakeholders do not feel comfortable about instigating communications which may be unwelcome and are likely to be received in a negative or confrontational manner. This can be particularly evident when a ‘blame culture’ is prevalent. This refers to a set of toxic organisation-related attributes that are characterised by an unwillingness of staff to take risks or accept responsibility for mistakes due to fear of criticism, sanction, or even dismissal. In extreme cases, this style of leadership can create a climate of fear in which bullying and/or harassment tactics become almost routine. Recipients may even feel that they have no opportunities for redress; to complain would not only be futile, but could make things worse (see OTU Activity 2.5). An autocratic style of leadership is divisive and invariably treats stakeholders as a means to an end (recall Kant’s three overarching principles outlined in Sect. 1.4.2), and so fails to develop values of loyalty, trust, and fairness.

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Although the autocratic leader quickly makes a strong impression on the character of an organisation, this may not be one comprising wholly positive and desirable values. By way of an example of this general style of leadership, recall previous brief discussion in Sect. 1.7 concerning the Manhattan Project (relating to the development of the atom bomb). The Project Director at that time was Brigadier Leslie R. Groves whose autocratic approach is evident in the excerpt below: ‘His service record showed Groves to be a corner-cutter, a dimesaver, and tough, tireless and resilient…He got things done. Although he tended both to ruffle the tempers of his equals and inspire fear into his subordinates… Even his friends in the project – and they were numbered few – believed, in the words of one, that Groves ‘not only behaves as if he can walk on water, but as if he actually invented the substance’. Another, [slightly] less cruel, claimed, ‘He has the most impressive ego since Napoleon.’… Ultimately, nobody could withstand his barrage of orders and demands. Opposition was crushed, and arguments he regarded as pointless ended with a crisp ‘enough’. He drafted industrial tycoons as if they were buck privates and drove his work force to exhaustion as he built and ran his empire. Bullying, cajoling, bruising buffeting, occasionally praising and rarely apologising… Scientists like [Niels] Bohr must not be allowed to stop that [the completion of the atom bomb] happening. He would fight them and if necessary crush them.’ (Thomas et al. 1977)

OTU Activity 2.5 As indicated in the text, ‘blame culture’ encompasses a toxic set of organisationrelated attributes that are characterised by an unwillingness of staff to take risks or accept responsibility for mistakes due to fear of criticism, sanction, etc. When something goes wrong, somebody has to be blamed and over time staff become defensive and demoralised. Research has been carried out into ‘blame contagion’ in which: ‘…merely observing someone make a blame attribution for a failure increases the odds that the observer will…engage in a subsequent blaming for other, unrelated, failures.’ (Fast and Tiedens (2010)) This notion can occasionally be observed in poorly chaired meetings and begins when one person present (in the worst-case scenario, the Chair) criticises an attendee in some way. If a blame culture is prevalent, this can quickly escalate and leads to a highly unproductive and undesirable situation in which personal attacks and criticism dominate. Occasionally less scrupulous leaders promote and exploit this type of culture in order to ‘divide and rule’. 1. Access, read and discuss the publication cited above. 2. Discuss ways in which a ‘blame culture’ may negatively impact on stakeholders and organisations. 3. Discuss ethical issues relating to participation in a ‘blame culture’. 4. Discuss ways in which it may be possible to overcome entrenched ‘blame culture’ within an organisation.

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5: Charismatic and Affiliative: These are associated with a dynamic leadership style and provide the opportunity to impress positive and cohesive values on staff within an organisation. By becoming a role model, the leader conveys attributes by strength of character. Invariably the charismatic leadership style is underpinned by strong ‘people skills’, accessibility and a desire to treat people as valued individuals. The ethical culture which the organisation develops will be one which reflects the values and conduct of the leader. Consequently, much depends on the leader’s strength of character in avoiding situations in which his/her ethical values may be eroded, compromised or brought into question. The Affiliative style of leadership also denotes a highly people-centric style of leadership in which the notion of treating stakeholders as a means to an end is strongly avoided. It is characterised by a happy, collegial and positive culture. As trust and friendship builds, stakeholders become more confident in sharing ideas and working in a more flexible manner. To be successful, the leader must not only have a strong interest in people but also a genuine sense of empathy (recall Sect. 1.5). This style of leadership can offer greater inclusively by supporting opportunities for the families of stakeholders (who may be considered to be stakeholders by association) to be included at appropriate events. This further promotes the development of positive relationships and a sense of common loyalty. In reality, a good leader is not easily categorised—he/she embraces a number of positive styles and applies these in an appropriate manner to particular situations and stakeholders. Conversely a poor leader will embrace (but seldom admit to) a number of negative styles (or will endeavour to develop positive styles using a tick-box approach). Key aspects of truly effective leadership may be summarised as follows: ‘Such leaders don’t mechanically match their style to fit a checklist of situations – they are far more fluid. They are exquisitely sensitive to the impact they have on others and seamlessly adjust their style to get the best results. These are leaders, for example, who can read in the first minute of conversation that a talented but underperforming employee has been demoralised by an unsympathetic, do-it-my-way-I-tell-you manager and needs to be inspired by a reminder of why her work matters.’ (Goleman 2000)

It is perhaps worth adding that it is likely that this same leader would go on to discuss the situation with the manager concerned and if it were warranted might even judiciously employ an autocratic approach (albeit with genuine reluctance).

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2.3.2 Ethical Leadership Characteristics ‘…it offends the continuum of human dignity to treat people like the appendage of highly efficient machines.’5

The wisdom required to quickly sum up both human character and potentially complex situations, coupled with the skills needed to incisively respond in an appropriate manner can be augmented, but not wholly instilled, by training. The really effective leader must also possess key attributes of character such that he/she isn’t only truly interested in the wellbeing of stakeholders and in dealing with them in a scrupulously fair and ethical way, but also doesn’t shun difficult situations and difficult decision-making. Training has a part to play (although perhaps not for naturally talented leaders) but cannot equip a person with the skills needed to fluidly adjust to a great variety of possible situations. Without the necessary character attributes, hesitation and possibly a degree of falsity soon become evident. For example, a leader who failed to properly match leadership styles with people and situations might quickly get a reputation for unpredictability and a lack of fairness. Alternatively a leader’s credibility would soon be eroded if stakeholders gradually gained the impression that his/her interests in staff wellbeing were not genuinely motivated but simply inspired by a recently studied leadership training manual or online course. In short, over time, staff ‘watch the walk, they usually do not listen to the talk’. (Mihelič, et al. 2010) See OTU Activity 2.6 for further discussion. Many researchers have endeavoured to succinctly define the nature of ethical leadership. For example: ‘…the demonstration of normatively appropriate conduct through personal actions and interpersonal relationships, and the promotion of such conduct to followers through twoway communication, reinforcement and decision-making.’ (Brown et al. 2005)

OTU Activity 2.6 Consider the leadership styles indicated in Table 2.1 and in points 1-5 in Section 2.3.1 (in respect of the former, it is recommended that you access and read the original article (Goleman (2000)). 1. Discuss the styles and behaviours that are most likely to promote an ethically driven ethos within an organisation. 2. In the text we indicate that ‘…a leader’s credibility would quickly be eroded if stakeholders gradually gained the impression that his/her interests in staff wellbeing were not genuinely motivated but simply inspired by a recently studied leadership training manual or online course.’ From an ethical perspective, do you believe that it is appropriate for a leader to disingenuously express interest in a staff member’s wellbeing, and/or the wellbeing of the staff member’s family? 3. Following on from (2), discuss how you would feel/act if you learnt that the leader’s professed interests in you or your family had no genuine basis. Would this cause you to question other aspects of his/her leadership style? Would it have any impact in your trust/confidence?

5

Attributed to Simon Head.

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Reflective

Multifaceted

Ethical Leadership

Pervasive

Continuous

Fig. 2.8 Four key facets of true ethical leadership. See text for discussion.

Unfortunately, from a practical perspective such descriptions are not very engaging and so we prefer to focus on four key ingredients that are implicit in true ethical leadership. These are summarised in Fig. 2.8 and are briefly outlined below: 1: Reflective: An ethical leader may continually engage in a process of self-enquiry, reflecting on modes of conduct and behaviour (in some cases, this may be underpinned and supported by the leader’s religious conviction). In this way, the leader continually appraises the ethical ethos of the organisation (not only in terms of internal activities but also in relation to its impact on the wider community and environment). As indicated earlier, the leader may have little time/interest in ethically-based reflection, may have no religiously-based convictions, and may be influenced by other factors in his/her quest to achieve pervasive best practice. Such a leader may seemingly be guided by instinct rather than by continual deliberation. 2: Multifaceted: An ethical leader must lead by example and will adhere to the standards of behaviour which he/she expects from other stakeholders. Moreover, the ethical leader must ensure that the activities, processes, procedures, and culture of the organisation are conducive to supporting and promoting a vision which results in the direct or indirect infusion of an ethical culture. The ethical leader cannot remain aloof but must continually support adherence to appropriate standards. Rather than endeavouring to ensure that processes, procedures and the like are in place to prevent ethically undesirable activity, the ethical leader may enable, encourage and empower stakeholders to ‘do the right thing’ (which is generally much more satisfying). 3: Pervasive: An ethical leader must strive to ensure that the standards achieved through the direct or indirect infusion of ethical precepts pervade all aspects of an organisation’s culture, thereby creating a climate in which ethically desirable activity becomes the norm. 4: Continuous: An ethical leader cannot vary an organisation’s standards in accordance with its fortunes—supporting standards during the good times and casting them to the wind when an organisation is experiencing difficulties. All stakeholders must perceive the ethical leader as one who is unwavering in

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his/her commitment to upholding standards. For example, in response to the question: ‘What happens when an organization is being investigated by the SEC—or is accused of wrongdoing by former employees or by the contentious litigation of a class action lawsuit?’, the Chairman and CEO of Raytheon is quoted as indicating: ‘Adversity is the real test of leadership and integrity. Trying times test the commitment to a statement of values. If the CEO and his or her team can stay true to personal values and communicate as openly as possible in the context of legal restrictions, these firms that demonstrate their ethicality when they are being publicly challenged will come through this test with their reputations enhanced rather than destroyed.’ (Fulmer 2004)

2.3.3 Benefits of Ethical Behaviours ‘All successful companies are successful for different reasons, but dysfunctional companies are dysfunctional in the same way.’6

We are all likely to agree that the above discussion embraces many fine principles, but it’s natural to question their practicality. In an ever more internationally complex and competitive world, can an organisation afford to devote the time and energy needed to infuse and continually maintain sound ethical standards? Perhaps we should consider the notion of a pervasive ethical ethos within an organisation as being a luxury, something that would be great in an ideal world but corporate suicide in the real world! How, we might well ask, would the CEO of a commercial organisation be received when reporting to its shareholders that he/she had turned down a potentially highly lucrative contract with another organisation on ethical grounds? How would the family of the executive described in Ethical Dilemma 1.4 have reacted if he had refused on ethical grounds to do business with the government which offered him the contract for the installation of surveillance technologies? But there are organisations in which stakeholders have demonstrated a strong commitment to ethical values—despite financial incentives to quietly cast such values to one side. One classic example dates back to *1950, when senior executives with Motorola were negotiating a $10 million deal with government officials in a South American country. At that time this denoted a major business opportunity for Motorola but: ‘As the negotiations neared completion… the executives walked away from the deal because the officials were asking for $1 million for “fees”. CEO Robert Galvin not only supported the executive’s decision but also made it clear that Motorola would neither accept the sale on any terms nor do business with those government officials again.’ (Donaldson 1996)

6

Quoted in Fallon (2004).

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On the other hand, there are many who would decry the practicality of ethical leadership and the infusion of ethical values within an organisation: ‘Critics of the intrusion of business ethics into debate and curricula often insist on one of two views. They sometimes adopt a sceptical stance; ‘there ain’t no such animal’; or take what is sometimes seen as the Friedman view that the business of managers is to maximise returns to the shareholders and not to impose their ethical values on the company at its commercial expense.’ (Minkes et al. 1999)

There can be little doubt that the lack of widespread ethical leadership is a key factor underpinning the frequent occurrence of corporate and institutional scandals. It also underpins the continued existence and growth of organisations that are simply motivated by profit and who in extreme cases are fuelled by unfettered greed. Thus ‘Cowboy Educational Services’ (recall our previous use of this fictitious name) and a great number of other ethically impoverished organisations continue to thrive. That is, and has always been, a reality. On the other hand, ethically inspired organisations also flourish, and ethically inspired leadership is recognised as being highly effective. For example: ‘Twenty-one effective and twenty-one less effective top executives of non-profit organisations participated in a study of ethical reasoning. Researchers showed that executives preferring principled ethical reasoning are more likely to be effective. Namely, when confronted with ethical dilemmas, effective executives engage in significantly more complex cognitive reasoning about the issues than less effective executives. The effective executives base evaluations of moral decisions on calculated rights, values and own principles, rather than public opinion. They are more likely to make a decision that may be unpopular in society but is right from the ethical stance. Consequently they are willing to accept the ensuing conflicts that may result from these decisions. Less effective executives do the right thing within the context of ‘doing ones duty in society’, display obedience to authority, and are more concerned with how their decisions may be viewed by others (in and outside the organisation).’ (Mihelič et al. 2010).

Below we briefly summarise possible attributes associated with an organisational ethos in which ethical standards prevail, specifically from the perspective of a young professional person joining such an organisation. However, it is important to bear in mind that these are simply intended to be indicative, as in reality all organisations possess positive and negative attributes. No person is perfect, no person is entirely bad, and so it is with anything that we create (including organisations)—we cannot achieve perfection, and even our fictitious company ‘Cowboy Educational Services’ must surely have one or two favourable characteristics…. 1: Workforce: If an organisation gains a reputation for ethically-inspired conduct, then it is likely to be perceived as exercising best practice. Consequently there will be considerable interest in and competition for any vacancies which arise. As a result there will be no difficulty in recruiting high calibre staff who possess

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not only the skills needed to fulfil a given role, but who also have appropriate character attributes. Interviews are likely to be tough and probing; perceptive questions will certainly be asked! On taking up a position, a newcomer will work alongside highly motivated collegial staff in an environment conducive to good work and the maintenance of high standards. The sharing of ideas will undoubtedly be encouraged. In an ethically based culture, practices such as taking the ideas of others and representing them as your own, participation in malicious workplace gossip, and pressuring workers to act in ethically inappropriate ways would go quite against the spirit of the organisation. Of course, over time the newcomer is most likely to realise that such things do happen (they are, after all, a part of the human character) but they will not be as prevalent as in other less ethically founded organisations. The wellbeing of people lies at the heart of any culture in which an ethical ethos prevails. There would be no question of simply being regarded as a number or as a means to an end. Furthermore, it is doubtful that staff surveillance systems would be in evidence. By its very nature the organisation would operate so as to work well in serving both its purpose(s) and stakeholders. Most probably a real effort may be made to promote family inclusively. This facilitates the formation of a valuable supportive network. (In contrast ‘Cowboy Educational Services’ may well have a ‘family friendly policy’ in name, but not in reality.) There can be little doubt that such an environment is conducive to job satisfaction, personal creativity and to the maintenance of high standards of work and integrity. Working days lost through sick leave are likely to be significantly fewer than in organisations which exhibit poor workplace attributes. 2: Leadership: Let us suppose that an organisation comprises 100–200 staff or in the case of a larger organisation, that it is divided into departments of approximately this size. It is most likely that either the overall leader (in the first scenario) or departmental head (in the second) will be very interested in meeting anyone joining the organisation. Even in the case of an apparently casual conversation, the ethical leader will be making a very careful appraisal of the newcomer and it may soon become apparent that he/she is not taken in by falsity. The newly-appointed staff member would be strongly advised to be honest and forthright—the ethical leader is invariably a tremendously good judge of character, a person’s strengths and weaknesses being quickly revealed. Whilst the ethical leader may appear to be brusque and perhaps dauntingly direct, it will be apparent that he/she is held in very high regard by stakeholders. Indeed there will be a clear demonstration of trust and appreciation for the level of fairness which he/she has infused into all aspects of the organisations culture.

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From the outset it is likely that the newcomer will be told that his/her door is always open; “call in if difficulties arise”. However in order to be practical, such an open door policy must be employed judiciously and in this sense it will become evident that it is open to those who have a real reason to use it— timewasters do so at their own peril. 3: Fewer Fires to Fight: The environment outlined above is conducive to high standards of work carried out in a well-organised way. It is likely that suppliers will be treated in an appropriate manner, processes will be well designed and quality outputs will be delivered on time. Staff will not be continually distracted by ‘fire-fighting’ activities, continually devoting their time and energies to dealing with problematic situations, customer complaints, administrative errors, etc. In short, staff will be able to avoid the entropy and stress associated with dealing under pressure with critical (and often entirely avoidable) situations. 4: Overall Satisfaction: Monitoring staff turnover provides a strong indicator of the wellbeing (or otherwise) of an organisation. In the scenario described above it is highly likely that staff resignations would be few and far between, and undoubtedly staff continuity denotes a significant financial and operational benefit to an organisation. Equally importantly, a culture of fairness and trust set within an overarching ethical framework enhances individual loyalty, promotes integrity/commitment and gives rise to an environment in which harassment and discrimination have no place. The outcomes referred to above are of immense value to any organisation and it is apparent that an ethically infused culture offers tangible benefits. For example: ‘Studies in the U.S. and the U.K. have shown that a strong sense of ethics can be profitable. Mounting evidence suggests that a company’s profitability is bolstered by its reputation as an honest, ethical business partner. Firms that routinely practice high business ethics and principles also attract the highest quality recruits and retain employees longer than other firms, according to a study by the Ethics Research Center (ERC) in Washington.’ (Fulmer 2004)

This article reports comments made by a number of organisation leaders; the Raytheon Chairman and CEO is quoted as indicating that: ‘Business integrity is not an oxymoron; it’s what smart companies insist upon to sustain their cultures—and to guide the individuals they select for leadership positions.’

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2.3.4 Ethically Based Behaviours: Why Bother? ‘I don’t know what your destiny will be, but one thing I know: the only ones among you who will be really happy are those who have sought and found how to serve.’7

When presented with the positive benefits associated with ethical leadership, it is natural to ask why so many organisations simply ignore the fine documentation they have invariably drafted in relation to ethically based conduct (see OTU Activity 2.7). Some possible factors are summarised below: 1: A Hollow Vision: The initial creation of the standards and documentation may simply have been motivated by a drive to conform to common practice or enhance the organisation’s image. This may be regarded as the end in itself, and so there is no impetus to drive and sustain implementation. 2: The Bottom Line: It is recognised that implementation requires significant commitment and a change in current practices (which immediately suggests that problems are recognised). This involves time and sustained effort which will only yield longer-term benefits. Management may be more interested in short-term gains such as sales figures, profit, annual bonuses and salary, etc. OTU Activity 2.7 As indicated in the text, many organisations create fine and upstanding documents that suggest conformance to noble, ethically based, principles. In practice these impressive statements often have very little tangible impact on an organisation’s culture and activities though they look good when framed on senior executives’ office walls. Copies are proudly circulated to stakeholders via email and are uploaded to an organisation's website, after which enthusiasm wanes and operations continue in the normal way. In this context, Donaldson (1996) writes: ‘Even though most large U.S. companies have both statements of values and codes of conduct, many might be better off if they didn’t. Too many companies don’t do anything with the documents; they simply paste them on walls to impress employees, customers, suppliers, and the public. As a result, the senior managers who drafted the statements loose credibility by proclaiming values and not living up to them.’ 1. Ask your course lecturers and/or colleagues at your place of work if the organisation has a statement of core/ethical values. If they confirm that such a document exists, ask them to tell you about its content. 2. You may find that they are unable to tell you much (if anything) about its specific content! In this case locate a copy of the document and discuss its real and/or perceived relevance/irrelevance.

7

Attributed to Albert Schweitzer.

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3: Stakeholder Resistance: It is likely to be much more difficult to introduce a truly pervasive ethically inspired ethos into an established organisation in which ethically questionable working practices and behaviours are entrenched. Some stakeholders are likely to be resistant to change particularly when ‘change’ is viewed from the perspective of ‘what’s in it for me?’ With the exception of small organisations, the overarching leader cannot be expected to be continually engaged with all logistical matters relating to the practical implementation of an ethically based ethos. Undoubtedly, he/she will have to place reliance on the commitment of other levels of leadership within the organisation: ‘Thus, a company may have a formal code of ethics and may give its assent to an industry code… These codes will rapidly fall into contempt, however much they are asserted by chief executives… if managers are perceived as behaving unethically.’ (Minkes et al. 1999)

In short, if staff in positions of authority view changes resulting from the introduction of an ethically infused ethos with cynicism/scepticism, then this is likely to have significantly negative consequences.

Table 2.2 Summarising various characteristics which may be associated (to a greater or lesser extent) with ethical and unethical leadership. (Based on Yuki et al. 2002) Criterion

Ethical leadership

Unethical leadership

Use of authority and influence Dealing with the diverse interests of stakeholders Risk taking in leader decisions and actions Communication and disclosure

Serves followers and the organisation. Attempts to balance and integrate all for organisational cohesion.

Response to criticism and dissent by stakeholders Stakeholder development

Encourages dialogue and critical evaluation to determine solutions.

Satisfies personal needs and career objectives. Favours stakeholders who offer the greatest benefits to the leader and a chosen few. Avoids or delegates risks and decisions which may involve direct personal risk. Willing to distort communications so as to manipulate perceptions— particularly in relation to problems and/or successes. Limits communication so as to have the option of adopting a “why was I not told” stance. Discourages or suppresses criticism. May adopt an “if you don’t like it—then you can always leave” stance. Employee career development is of no interest—they are a means to an end. Greed, manipulation, duplicity, delegation of accountability.

Indicative core values

Is willing to take personal risks and make necessary decisions. Strong communication skills with timely and accurate disclosure of relevant information to appropriate stakeholders. Communication techniques fostering a sense of accessibility and inclusively.

Use of coaching, training and encouragement to develop opportunities for stakeholders. Service, fairness, trust, inclusion, integrity, duty.

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Although we have questioned the role of training in relation to the natural ethical leader, it is evident that it has an important role to play in bringing a broad range of other stakeholders on board. Pinchot (1992) reflects that: ‘…it did require each of us to begin cultivating our ethical competence with the same enthusiasm we devoted to cultivating our technical, marketing and financial skills.’ (Quoted in Minkes et al. 1999)

4: Visionary Leaders Needed: A great gulf must be traversed in order to translate abstract ethically based principles into daily practice. As suggested, this requires inspired and principled leadership. We have noted that whilst training can enhance leadership attributes, truly inspired ethical leadership is underpinned by appropriate inner conviction; by essential traits of character. There is a dearth of such people in senior positions and in their absence it is extremely difficult to find ways of infusing fine principles into practice. The unfortunate reality is that by the time individuals have progressed through organisations and are recognised as having the skills needed for senior leadership positions, their ethical framework may have been eroded. In Table 2.2 we briefly summarise facets of ethically desirable and ethically undesirable leadership. These are simply intended to be indicative characteristics, a subset of which may describe the behaviour of an organisation’s senior leader. Readers are encouraged to develop a similar table which focuses on leaders operating at more junior levels. For related discussion see OTU Activity 2.8.

2.4

Ethics: When Technical Skills Are Not Enough ‘The last temptation is the greatest treason: To do the right deed for the wrong reason.’8

There can be little doubt that organisations both large and small are keen to appoint qualified individuals who are not only technically proficient, but who are also able to demonstrate competence in many other diverse areas. This reflects ongoing developments in working practices and hence employer requirements. For example, consider the case of a young computing graduate who has devoted much of his/her time to computer programming. He/she may derive real pleasure from this type of activity, and thanks to personal talents and years of perseverance is likely to have become a highly skilled programmer. However, this pursuit may not have laid foundations for other vital skills such as the ability to interact with members of a team, to disseminate information, to document work, to focus on allocated tasks, to achieve results in a timely manner, and to appreciate the importance of developing a professional ethical framework (take a look at OTU Activity 2.9).

T.S. Eliot ‘Murder in the Cathedral’.

8

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Table 2.3 Summarising various indicative roles and responsibilities that are generally associated with technology related work in two exemplar fields—design/development and student education. In the upper category we list skills that are strongly technically related, and below this the less technically-centric skills that are likely to be of significant importance to team members and team leaders. The diversity of activities listed here demonstrates that today’s technology professionals not only need to be equipped with a very broad range of skills, but also that during their careers they are most likely to encounter a wide range of ethically related issues. Technical

Team participation

Team leadership

Design + Development

Education

Feasibility analysis Product design Product implementation Product refinement Product testing Product installation Product maintenance Documentation development Conformance to standards Planning Communications Activity coordination Professional interaction Team values Meeting responsibilities Social interaction Activity documentation Other administration Motivation Activity allocation Conflict resolution Allocation of credit Employment issues Staff development Promotion of team values Other administration

Curriculum development Course development Student questions Assignment creation Assignment marking Laboratory supervision Exam development Exam marking and moderation Lecture and tutorial delivery Participation in department committees Participation in institute committees Engagement with external stakeholders Facilities development Student counselling Event organisation Programme promotion Student complaints Other administration Motivation Teaching allocation Conflict resolution Staff induction Employment issues Staff development Promotion of team values Other administration

In Table 2.3 we list a number of indicative tasks/responsibilities generally associated with technology-related work in two exemplar fields; design/development and student education. Entries are grouped into three categories and a cursory glance at this summary shows the importance of being able to undertake a spectrum of non-technology-centric tasks. Involvement in these areas tends to increase with promotion, so although a person may initially be able to largely focus almost exclusively on technology, over time this situation is likely to change.

2.4 Ethics: When Technical Skills Are Not Enough

what everybody else does...’

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‘It’s okay - I’m only doing

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Realistic: But he wants a holiday

Software modification and testing task

1 Month completion deadline

Realistic: But he wants to avoid the effort Realistic: But he is trying to get overtime pay Realistic But he is not good at his job

Fig. 2.9 A software modification and testing task is assigned to a team member. He claims that the 1 month completion deadline does not give enough time to undertake the work satisfactorily, and expresses ethically related concerns based on the premise that this unreasonable time constraint could place hospital patients at risk (we assume that the software is used in a medical system). In reality, this claim could be masking other factors. See text for discussion.

Even this brief tabulation demonstrates the importance of incorporating team activity within technology-centric tertiary curricula. In parallel, Table 2.2 is intended to highlight the fact that when working within an organisation a broad range of ethically related issues may well arise. In terms of professional ethics, when faced with a decision-making situation it is important to clearly determine whether a matter encompasses an ethical dimension or otherwise. Consider the case of a team member working on a technology-related development. Let’s suppose that he is assigned to various software modification and testing tasks relating to the control system for a medical instrument which must be completed within one month. He argues that the completion date is unrealistic and should be extended because, if quality is compromised, end users (hospital patients) could be put at risk. This would of course have a clear ethical dimension (we overlook likely legal considerations). However, as summarised in Fig. 2.9, his claim may in fact be founded on other factors (e.g. a ploy to gain overtime payments). When we raise concerns purporting to relate to ethical issues, it is crucial that we carefully analyse not only the issues at stake but also our underlying motivation. Any attempt to mask personal aims or difficulties under a veneer of ethical concerns

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is in itself ethically undesirable although within the context of an organisation, may reflect broader issues. For example, in the above situation the team leader who assigned the work may have a track record for arbitrarily imposing severe time constraints on project completion, and thus staff may be continually under severe pressure. When coupled with, for example, a feeling that team members are being used by the team leader as a means to an end (e.g. as a way of advancing his/her career), then staff may opt to create arguments that the team leader will find difficult to counter (e.g. possible safety hazards associated with time-compromised work). This provides a simple illustration of the propagation of ethically undesirable behaviour—the team leader’s ethically doubtful approach resulting in ethically undesirable action on the part of a team member. Over time this is likely to significantly erode team performance.

2.5

Organisational Failures: Flight TK981 ‘First, say to yourself what you would be, then do what you have to do.’9

The McDonnell Douglas DC-10 together with Boeing’s 747 and Lockheed’s TriStar heralded the dawn of the era of mass global air travel. The development of the wide-body fuselage made it possible to accommodate large numbers of passengers and with corresponding efficiencies, ticket prices became ever more affordable. In 1970 the first DC-10 underwent extensive ground trials in preparation for its maiden flight. During one trial, which involved increasing the air pressure within the fuselage so that it was *4–5 pounds per square inch greater than that of the exterior surroundings, the forward cargo door suddenly blew open. The force created by the violent outrush of air caused a large section of the cabin floor to collapse. However, the manufacturer did not attribute this to a technical fault with the door locking mechanism but rather to human error—the failure of a mechanic to correctly close the door in preparation for the test. Of course, the fact that the door could be incorrectly closed should have provided a clear indication that there was a serious design flaw…

9

Attributed to Epictetus.

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OTU Activity 2.9 Team work is central to many of today’s technology related activities. Consequently, as noted in the text many organisations seek to recruit individuals who have the skills needed to work within and lead teams. In short these are highly transferable skills and complement technology related expertise. With this in mind, tertiary establishments are increasingly incorporating team-based project work into curricula. In my experience, when introduced to team activity, many technology students are unhappy. “Why”, I am frequently asked “must I work in a team? I can get the work done much more quickly if I do it on my own.” Whist sympathising with such frustrations, I am very conscious of the importance of supporting students in developingteam-based skills. Consider that you are placed in a project team comprising six students. A team leader is appointed by the group, his/her role being to coordinate activity, set up online and physical meetings, catalyse activity, etc. However, you find that the team leader is very badly organised. Moreover two other (very able) members of the team have failed to turn up at two meetings, and the ability of one other team member appears to be quite limited. 1. 2.

3.

4.

Discuss how you would deal with this situation. Do any ethical issues arise in relation to you reporting these issues to your class lecturer? Should similar difficulties arise when you are working in an organisation, discuss how you would deal with this situation. (In this scenario, suppose that your manager has a record of dealing severely with any staff who fail to perform and take this into account when considering a suitable course of action.) Consider the case that you are employed in an organisation and that a person is recruited to work within the team of which you are a member (we assume that you did not participate in the recruitment process). Subsequently, and quite by chance, you discover that this person has provided false information in his/her application (the person doesn’t have the experience which they have claimed and their stated career history has been exaggerated). From an ethical perspective do you have a responsibility to bring this matter to the attention of others within your organisation? Continuing with (3), suppose that you are aware that if you do bring this matter to the attention of your manager, the person is likely to be immediately dismissed. Furthermore if this happens, it may mean that you will benefit by promotion. Discuss how this might impact on your decision.

Furthermore the incident demonstrated that the cabin floor was not strong enough to withstand the pressure differential that would be generated by the failure of a cargo door in flight. And since control cables and hydraulic pipes were routed centrally down the fuselage—and were fixed to the underside of the cabin floor—it should have been abundantly obvious that failure of the floor would almost certainly limit a pilot’s ability to control the plane. Door failure could lead to complete loss of control and so total loss of craft, crew and passengers. Approximately two years later, a lightly loaded DC-10 carrying 56 passengers from Detroit to New York suffered an explosive decompression due to the failure of a rear cargo door. Predictably this caused a part of the cabin floor to collapse—not

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Fig. 2.10 A DC-10—designed in the late 1960s. (Image source Pedro Aragão [Public Domain])

only compromising the operation of vital controls (including the rudder, elevators and ailerons) but also preventing controlled operation of the tail-mounted third engine. Fortunately the pilot had gained simulator experience in dealing with a loss of flight controls and was able to exploit the DC-10’s exceptional ability to be piloted by adjusting the common-mode and differential power of the two wing engines. This ‘fly by engine’ technique allowed the crippled plane to return to Detroit where passengers experienced a somewhat unorthodox high speed landing. As with the ground test incident, the manufacturer endeavoured to place the blame on the operator who had been responsible for closing the cargo door prior to take-off. However, it was recognised that changes needed to be made to the locking mechanism, but despite the seriousness of the incident these changes were not made mandatory but rather were agreed to on the basis of a ‘gentleman’s agreement’ between the heads of the FAA (Federal Aviation Administration) and the manufacturer. Once political and commercial interests got in the way of sound engineering practice a disaster was inevitable—it was only a matter of waiting for a coalescence of circumstances (also see summary given in Fig. 2.11). Flight TK981 left Istanbul at *9 am on Sunday 3rd March 1974 bound for London via Orly, Paris. By unfortunate coincidence, due to a strike in London BEA’s (British European Airways) planes were grounded and so seats on alternative flights from Paris to London were in high demand. Consequently when flight TK981 left Paris at noon, it was not lightly loaded (as had been the case in the Detroit incident) but was very much a heavy—with some 346 people on board. As the plane reached *11,500 feet the rear cargo door succumbed to the pressure differential of *4.5 pounds per square inch (corresponding to a total force on the door of *5 tons). Explosive decompression occurred and as with the Detroit incident, part of the cabin floor collapsed. The rear two rows of seats on the left hand side of the fuselage together with their occupants were sucked into the hold, were instantaneously blown through the open cargo entrance, and plummeted earthwards.

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Cargo doors could be improperly ‘closed’

Professional obligations

If improperly closed, cargo doors could blow out Cargo doors failure could cause cabin floor damage Cabin door damage could cause failure of flight controls

Professional obligations

Professional obligations

Failure of flight controls could cause catastrophic accident

Fig. 2.11 Prior to the loss of Flight TK981, the possible sequence of events depicted here was clearly known and although the poor design of the cargo door locking mechanism was being rectified, the modification was not treated with appropriate urgency. Had professional obligations been exercised in respect of the locking mechanism or in connection with the ability of the cabin floor to withstand a major decompression, or in respect of the routing of key flight controls, then the passengers and crew on board flight TK981 would not have died.

Given the number of passengers on board, it is likely that the damage sustained to the cabin floor was much more severe than in the Detroit incident and so the effect on control systems may have been more acute. For passengers, the 77 seconds which passed as the crew grappled to control the plane must have been indescribable. The Forest of Ermenonville is a place of great natural beauty and tranquillity. It was here that the plane plunged through the trees at nearly 500 mph cutting a long and starkly violent swath some 700m in length through the Grove de Dammartin. In the days that followed 40 bodies were recovered more or less intact. Of the remaining passengers and crew some 18,000 fragments were located. There were no survivors.

2.5.1 The Cargo Door As is now the norm, the cargo doors on a DC-10 are hinged at the top and since they open outwards, the in-flight pressure differential creates a force which favours door opening. This is prevented by the locking mechanism, and should it fail when the plane is at a significant altitude explosive decompression occurs. The two incidents summarised above which were precursors to the Paris disaster demonstrated that a problem existed with the locking mechanism, and it was

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illogical to blame human error rather than design issues. This is because fail safe systems should be designed to stop, warn of, or be tolerant of incorrect operation. The fact that the door could appear to have been correctly closed and subsequently fail, demonstrated a fundamental weakness in design: if it can go wrong, then it surely will go wrong. Furthermore, prior to the Paris tragedy it was known that cargo door failure would cause serious damage to the cabin floor and that this in turn would damage control cables attached to it. Thus cargo door failure was likely to compromise the ability to sustain controlled flight. It would therefore have been prudent for the designers to ensure that the cabin floor could withstand cargo door failure (either by further strengthening it (which would have added to the aircraft’s weight), or by the simple expedient of including blow out panels (which would have greatly reduced the pressure to which the floor would be exposed)). Alternatively they could have foreseen the possibility of damage to the cabin floor and routed control cables and hydraulic lines so that they were attached to the fuselage body—thereby ensuring that they would not be affected by floor failure. In designing the aircraft these options were not exercised and the reality was that not only was the door locking mechanism seriously flawed, but its failure had the potential to indirectly compromise flight. Simplicity is certainly a hallmark of good design practice, but sometimes simplicity in design can break away from elegance and favour crudity as was certainly the case with the original DC-10 cargo door locking mechanism. Even a cursory examination reveals fundamental flaws of an elementary nature. These undermined any intentions which the designers may have had in implementing a fail-safe system. Locking of the DC-10 cargo doors was achieved using the ‘over centre’ principle (see Fig. 2.12). The general form of the locking mechanism is illustrated in Fig. 2.13 which shows the door in correctly locked (left) and dangerously unlocked (right) states. In terms of operation, a motor is activated to lower the door into position, thereby bringing four latch hooks (one of which is illustrated in Fig. 2.13) into contact with the set of four latch spools (attached to the fuselage). A second motor (the latch actuator illustrated in Fig. 2.13) is then used to drive the linkages so that the latch hooks grasp the spools. Continued activation of the motor increases the degree to which the hooks engage with the spools and drives the mechanism so that it is ‘over centre’, at which point the door is properly locked. Several safety mechanisms were also incorporated and these were intended to ensure that the crucial over centre position had been achieved. As is apparent from Fig. 2.13(b), failure to achieve the over centre state causes the full force generated by the differential pressure between the inner and outer sides of the door to be applied to the bolts attaching the latch actuator (motor) to the door—with catastrophic results. Once the door had closed (or appeared to have closed), the operator depressed a verification handle into a recess in the fuselage. This action caused the horizontal movement of a rod (lock tube) from which protruded a set of locking pins (one for each latch hook). The intention was that in the case that the over centre position had

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2 Ethics and the Organisation: Pervasive Best Practice Centre line Centre line

Movement about the pivot

Pivot

Mechanism rests against the ‘stop’ and so movement is not possible Rod

Stop

(b)

(a)

Force

Force

Fig. 2.12 The general concept of the over-centre principle. In both diagrams, a force is applied to the rod in the direction shown by the red arrow. In (a) this results in rotation about the pivot. In contrast, in (b) the force is applied when the system is ‘over centre’ and is resting against the ‘stop’. In this case, assuming that the components have sufficient mechanical strength, no movement can occur, the system is locked into position.

Key:

Centre line

Motor

Screw threaded shaft from motor Pivots attached to door Linkage pivots Stop attached to door Latch spool bar attached to fuselage Linkages

Force on mechanism

(a)

(b)

Fig. 2.13 The ‘Latch Spool’ bar is attached to the fuselage (all other components are fixed to the interior of the cargo door) and on closing, a number of ‘Latch Hooks’ are forced to grip it. The motor drives the mechanism and achieves this via a screw thread arrangement to lengthen or shorten the shaft indicated in blue. In (a) the motor has driven the mechanism over-centre and the door is correctly closed. In (b) the over-centre condition has not quite been achieved and so the mechanism is not supported by the ‘Stop’. The force caused by the pressure differential across the door now rests on the motor shaft, motor casing, and bolts attaching the casing to the door. At some point one of these items will no longer be able to support the force, thereby allowing the ‘Latch Hooks’ to break away from the ‘Latch Spool’ bar.

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not been achieved, the positions of the latch hooks would prevent the movement of the locking pins. In this case the operator would not be able to push the handle into its correct position and this would indicate a failure of the locking mechanism. Of course, it was possible that the mechanism connecting the handle with the lock tube could fail, in which case the handle might be pressed into the correct position without any corresponding motion of the lock tube. In an attempt to account for such a situation, the door was equipped with a small hole behind which a ‘vent flap’ was positioned. The idea was that movement of the handle would not only drive the motion of the lock tube, but would also move the vent flap into a position in which it covered the hole (in flight, the differential pressure would further force the vent flap against a sealing ring which surrounded the hole). When the handle was pushed into place, the motion of the flap would be visible to the operator, providing further confirmation that all was well. Even in the case that the operator failed to notice that the vent flap had not moved into its correct position, as the plane gained altitude, the ensuing leakage of air from the fuselage would have alerted the flight crew that a problem existed. As a final precaution, correct motion of the lock tube depressed a microswitch which caused a ‘cargo door unlocked’ warning light in the cockpit to be extinguished. A first glance, this general strategy appears to be sound but when subjected to closer scrutiny, the system was a death trap: it could operate so as to suggest that all was well when in fact the converse was the case. In reviewing the design it is crucial to bear in mind that safe closure was only achieved when the mechanical system was in the over centre position. However, prior to this condition, the latch hooks engaged with the latch spools. This was sufficient to hold the door closed. However, as a plane gained altitude, ever greater force would be applied to the latch actuator (motor) bolts until at a height of *12,000 feet (in the case of flight TK981) the bolts finally sheared, causing explosive decompression. On the other hand, as indicated above the verification handle was intended to provide three forms of confirmation that all was well. Let’s recap. Firstly the ability of the operator to push the handle home was intended to indicate that incorrectly positioned latch hooks were not inhibiting the movement of the locking pins and hence lock tube (in theory the lock tube could only be moved into position when the latch hooks were in the over centre position). Secondly the operator would see the correct and visible positioning of the vent flap (further confirmed in flight by the absence of a significant loss of air from the hold). Finally there was the in-cockpit warning light. Unfortunately all of these forms of confirmation were highly flawed. Even if the motion of the locking pins and lock tube was inhibited by the incorrect positioning of the latch hooks, a reasonably strong person could still push the verification handle home. This was because in the original design the corresponding movement of the lock tube was small and the force applied to the handle could buckle the mechanical system. In fact in the case of the Detroit incident, the operator experienced difficulty in pushing the handle into its recess and so applied extra force using his knee (human factors…).

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The vent flap safeguard was to all intents and purposes useless because movement of the flap was not derived directly from the lock tube but rather from a mechanism located close to the verification handle. Consequently, even in the case that the linkages to the lock tube were to be completely removed the vent flap would still operate correctly. Furthermore should the positioning of the latch hooks prevent movement of the lock tube, the distortion of the mechanical system would still allow the vent flap to move. In this case the flap would appear to have not quite seated, but this could understandably be attributed to being caused by dirt, etc. As for the warning light, microswitch sensors work well when their positioning has been properly adjusted but otherwise are of little use. If the spacing between lock tube and switch was too great, then the warning light would not be extinguished even when the door was properly locked. Conversely, if the spacing was too little then even a small movement of the lock tube could result in the warning light being turned off.

2.5.2 Correcting the Problem The near disaster that had occurred when the flight from Detroit had experienced explosive decompression led both the Federal Aviation Administration (FAA) and the National Transportation Safety Board (NTSB) to review the design of the cargo door locking mechanism. It was quickly recognised that when the mechanism was not in the correct over centre position, it only needed a little extra force on the verification handle to push it home. The underlying reasons for this were also readily understood, specifically the relatively small movement of the lock tube (and locking pins) and the weakness of the mechanical system which, as mentioned above, could buckle or break when additional force was placed on the handle. In parallel it was recognised that cargo door failure could trigger events which could make it impossible to sustain controlled flight (recall Fig. 2.11). Given the potential severity of the problem, this should have resulted in all DC-10s being grounded until appropriate modifications had been made. These modifications were by no means complicated (or expensive) and involved three key changes. Firstly, re-adjustment of the mechanical linkages to increase the movement of the lock tube was needed. Secondly, a bracket needed to be added to strengthen the system and prevent buckling. These two modifications were in themselves sufficient to ensure that when the system was not in the over centre position, it would have been impossible for a person to apply sufficient force to the verification handle to push it home. The third modification concerned the creation of a small ‘glass peep hole’ in the door so that the operator could see the position of one of the locking pins and so get direct visual confirmation that all was well. Although this may appear to be an attractive solution, it relies on the diligence of operators working under pressure (possibly in cold and stormy weather conditions late at night) who may find it difficult to shine a torch through a small dirty window and gauge the position of a locking pin.

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But there can be little doubt that had these changes been made to all DC-10s, then the crash in Paris would have been averted and many lives would have been saved. However, the DC-10s were not grounded nor was an Airworthiness Directive sent to airlines operating DC-10s (this would have made the modifications mandatory within a specified time). Instead, an informal agreement was made at the highest level between the FAA and manufacturer, with the former apparently being assured by the latter that appropriate corrective measures were already in hand. In fact, the actions that were being taken appear to have been minimal and of little value. Firstly, a warning plaque was to be fixed to each cargo door indicating that an operator should apply no more than 50 lbs to the verification handle (somewhat difficult to judge, even assuming, of course, that the operator could read English). Secondly it was recognised that the actuator motor often lacked sufficient torque to drive the locking mechanism and in some instances this resulted in the operator having to use a hand cranking system to close a door. The manufacturer’s solution was to replace the wiring to the motor with heavy gauge wire to reduce resistance, thereby increasing motor current and hence torque. During this period there was intense competition between McDonnell Douglas, Boeing and Lockheed in promoting the new generation of wide-body aircraft. The informal agreement between the Douglas and the FAA ensured that the negative publicity associated with the grounding of the DC-10 fleet or with the release of an Airworthiness Directive was avoided. During the course of the following two months the manufacturer sent out two Service Bulletins to DC-10 operators. One of these (relating to the installation of the ‘peephole’ window) was dispatched as a safety alert, but the other (concerning the installation of the support bracket and the increase in movement of the lock tube) was sent as a routine service bulletin, and there was no indication that the modifications were crucial to flight safety. As a consequence, out of the 39 DC-10s in use at that time, within the following 90 days only 5 were modified in accordance with the routine service bulletin, and after 19 months one aircraft was still operating without the safety brackets having been installed. The design and implementation of the DC-10 cabin floor and cargo doors were subcontracted by the aircraft manufacturer to another company. During the design phase, the former made changes to the design specification by, for example, insisting that hydraulic cargo door actuators be replaced by less well proven electrical actuators. Over time the relationship between the companies deteriorated, with the subcontractor appearing to become more defensive. This had important consequences because not all the subcontracted staff were satisfied with the safety of the locking mechanism, and crucial discussion catalysed by a memorandum quoted as having been written by the subcontractor’s Director of Product Engineering was not conveyed to aircraft manufacturer. Extracts from this (written 15 days after the Detroit incident read): ‘… The fundamental safety of the cargo door latching system has been progressively degraded since the programme began in 1962…The airplane demonstrated an inherent susceptibility to catastrophic failure when exposed to explosive decompression of the cargo compartment in 1970 ground tests…The progressive degradation of the fundamental safety

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of the cargo door latch system since 1968 has exposed us to increasing liability claims… My only criticism of Douglas in this regard [reference to the weakness of the cabin floor] is that the inherent weakness was demonstrated by the July 1970 test failure, they did not take immediate steps to correct it. It seems to me inconceivable that, in the next 20 years ahead of us, DC-10 cargo doors will not come open and I would expect this to usually result in the loss of the airplane…It is recommended that overtures be made at the highest management level to persuade Douglas to immediately make a decision to incorporate changes in the DC-10 which will correct the fundamental cabin floor catastrophic failure mode…’ (Quoted in Eddy et al. 1976)

Reflecting on this document, the subcontractor’s Project Manager is quoted as having responded: ‘…We did not take exception to the design philosophy established originally by Douglas and by not taking exception, we, in effect, agreed that a proper and safe philosophy was to incorporate inherent and proper safety and reliability in the cargo doors in lieu of designing the floor structure for decompression or providing pressure relief structure for decompressions or providing pressure relief provisions in the floor. The Reliance clause in our contract obliges us in essence to take exception to design philosophy that we know or feel is incorrect or improper and if we do not express such concern, we have in effect shared with Douglas the responsibility of the design philosophy….’ (Quoted in Eddy et al. 1976)

He went on to conclude: ‘..We have an interesting legal and moral problem, and I feel that any direct conversation on this subject with Douglas should be based on the assumption that as a result Convair may subsequently find itself in a position where it must assume all or a significant portion of the costs that are involved.’ (Quoted in Eddy et al. 1976)

‘Ship 29’ was delivered to Turkish Airlines on 19th December 1972. Although the cargo door peepholes had been fitted, the support brackets were absent. At some point (either prior to delivery or whilst in service), adjustments were made to the verification handle mechanism with the intention of increasing the extent of motion of the locking pins. Unfortunately this work was incorrectly carried out so that movement was reduced rather than increased. In this state, in the event that the over centre condition had not been achieved, the verification handle could be pushed home with minimal force. Furthermore, the microswitch-based cockpit warning system had been modified by the addition of shims soldered to the end of the lock tube. Given the small incorrect adjustments made to the verification handle mechanism, the ensuing movement of the tube would have been insufficient to cause the microswitch to be pressed, and hence the light in the cockpit would have remained continuously illuminated. It appears that in a botched attempt to rectify this problem, the shims were added—but there is no information as to who was responsible for this modification. The key point is that the modification rendered the electronic indicator useless. As we have seen, the subcontractor’s Director of Product Engineering wrote: ‘It seems to me inconceivable that, in the next 20 years ahead of us, DC-10 cargo doors will not come open and I would expect this to usually result in the loss of the

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airplane.’ Given the status of the locking mechanism it was probable that Ship 29 would fall into this category, but there was no inevitability that it would happen to TK981 on 3rd March 1974. One further ingredient had still to fall into place—there was still one further line of defence: the peephole. Ethical Dilemma 2.2 Suppose that you are employed within a corporate design team. Over time you become increasingly concerned that various changes to the design specification (imposed by a major corporate customer) are impacting on the quality, reliability and safety of the product and may be compromising the work that you are charged with undertaking. As a relatively young newcomer to the team, you are reluctant to voice your concerns. However, your initial confidence in more senior team members is gradually eroded and eventually you distribute a document in which you raise a number of issues. This results in a private meeting with one of the key managers. The conversation opens in a very positive way by you being thanked for your excellent contribution to the team effort. Subsequently, the manager talks about the contractual relationship with the company for whom the current work is being carried out and she discusses penalties that would apply should the design work not be competed on time. You continue to emphasise key concerns raised in the document that you submitted. In response the manager suggests that if you continue to press the matter, then this could rebound on you as you failed to express your concerns about the design philosophy at an earlier time. Discuss ways in which you might react/respond to this suggestion.

In Paris, Mohammed Mahmoudi was assigned to the unloading of cargo from Ship 29’s rear compartment. Once this was done, and since no new cargo had to be loaded, he was given the go-ahead to close the door. Once the verification handle was pushed home his assignment was completed. He didn’t look through the peephole—it wasn’t his job and as fate would have it, the airline’s station manager was on holiday. And so, nobody appears to have looked through the peephole— nobody saw that the locking pins were in the unsafe position, nobody realised that the over centre position of the latch hooks had not been achieved. As for the cockpit warning light, thanks to the shims that had been soldered onto the lock tube, the light was extinguished and it appeared to the crew that all was well. From that point it was inevitable that flight TK981 would experience explosive decompression. Perhaps if there had been fewer passengers on board then damage to the cabin floor would have been lessened. But as previously mentioned, because of the BEA strike, seats on flights to London were in high demand and so flight TK981 was almost fully booked. A set of both related and unrelated factors coalesced on that Sunday morning—conditions were perfect for an entirely preventable tragedy to become inevitable.

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2.5.3 Who Really Knows? ‘I have seen many aircraft impacts. I have seen some aircraft torn up as much as this one, but I must say that I have never seen any airplane torn up as much as this one over such a large area. The pieces were extremely small, fragmented, and it was scattered over an area half a mile long by one hundred and twenty yards or so wide.’10

In the extensive proceedings which followed the accident it was revealed that after manufacture, some nine months had elapsed before Ship 29 had been delivered to Turkish Airlines. During this period, in order to keep the plane in sync with DC-10s that were in operation, a significant number of service changes were made. For the most part these were routine and relatively trivial, but included (at least as far as the manufacturer’s records showed) vital changes to the cargo door locking mechanism. The reader will recall that these involved increasing the travel of the lock tube (and hence lock pins), the fitting of the support bracket to prevent buckling of the mechanism, and altering the lock tube so as to prevent its greater movement from causing the in-cockpit warning light to give a false indication of the ‘door locked’ condition. Eddy et al. (1976) provides interesting discussion of the administrative processes employed by the manufacturer to ensure that all aspects of work carried out in the construction and modification of aircraft were personally mapped to those charged with its planning, implementation, verification and quality control. In brief, personally identifiable stamps were issued to key personnel. Two forms of stamps were used—‘quality’ (‘Q’ stamps issued to selected supervisors such as foremen) and ‘assurance’ (‘A’ stamps given to inspectors and used only when work had been signed off via the ‘Q’ stamps). Naturally for the system of personal responsibility to work, these stamps had to be carefully guarded by those to whom they were entrusted, and never lent out. From an administrative perspective the work on Ship 29’s cargo doors had been carried out and signed off with both ‘Q’ and ‘A’ stamps. In contrast, inspection of the cargo door which had fallen earthwards at the time of flight TK981’s explosive decompression revealed that the bracket had never been fitted. As indicated by Eddy et al. (1976), three weeks after the crash the manufacturer conceded that the support bracket had not been fitted, but continued to insist that the other cargo door modifications had been made. Investigations revealed that the three employees who had apparently stamped the forms relating to fitting of the support bracket and the modification on the lock tube could not recall undertaking the work, and that the work relating to increasing the travel of the lock tube was certified as having been completed before instructions became available indicating how this task was to be carried out. Unfortunately, despite the scale of the tragedy which occurred in the skies above the tranquil Forest of Ermenonville, corporate protection mechanisms and legal strategies quickly came into play. Perhaps the manufacturer correctly carried out the

10

Attributed to Charles Miller. Former Director of Aviation Safety Bureau, National Transportation Safety Board, Washington DC. Quoted in Eddy et al. (1976).

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Fig. 2.14 The monument erected at the site of the crash. (Image source P.poschadel [Public Domain])

cargo door modifications and one or more Turkish Airlines employees were to blame for undertaking further work in a grossly negligent way. Alternatively, the discrepancies in the manufacturer’s record keeping and testimony of employees, as discussed by Eddy et al. (1976), make it difficult to be sure that this was the case (Fig. 2.14). OTU Activity 2.10 It is evident that flight TK981 need not have crashed. From an ethical perspective can it really be classified as having been an ‘accident’? Discuss how you would define an ‘accident’ and in the case that your definition does not embrace the loss of flight TK981, how would you categorise this event?

2.6

Discussion ‘It’s not enough to espouse high standards. To live up to them – and help others do the same – requires an ethical cast of mind that lets you practice your principles consistently.’11

It would seem to be highly likely that for the foreseeable future commercial organisations will continue to play a dominant role in defining very many aspects of our voyage into an increasingly technologically-centric world. Given the increasingly profound impact of technologies on the individual, society, and the environment in

11

Quoted in Mihelič et al. (2010).

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general, it is both natural and prudent to ask whether we can afford to entrust our future to organisations which exhibit such great diversity in their commitment to ethically sound values. That is not to suggest that organisations involved in the technology sector are from an ethical perspective any worse (or better) than those engaged in other forms of activity, but rather reflects the fact that many forms of technology have major potential implications across very many domains, and they cannot necessarily be considered as exhibiting benign characteristics. As one writer suggests (although perhaps with a degree of over-generalisation): ‘Today the common view is that a tiny minority has been making money by disrupting things at the expense of the majority. Technology companies are out of control because law-makers have been neglectful, indifferent or – worse – baffled by the prospect of regulation.’ (O’Shea 2018)

Ethical Dilemma 2.3 Consider the case that you are employed by a design and manufacturing organisation and that one of the company’s latest products appears to have been responsible for an accident which has caused serious environmental pollution. Senior management immediately move into damage control mode; corporate liability coupled with negative publicity could have a major impact on the company’s future wellbeing. Government inspectors are expected to arrive shortly and you are asked to attend a briefing with your departmental manager. The manager’s purpose is to rehearse you for an interview that you are likely to have with one or more inspectors later in the day. Possible question scenarios are suggested by the manager and you are informed of appropriate answers. It is readily apparent to you that these answers do not accurately reflect events that have taken place – indeed some answers are either misleading or quite untrue. It is emphasised to you that the future of the company could be at stake. (a) Identify and discuss any situations in which you feel that this manager’s conduct might be appropriate. (b) Identify and discuss situations in which you should refuse to conform to the damage control strategy that the company is adopting. (c) During the meeting with the inspector(s) what are your professional ethical responsibilities in answering all questions with complete honesty. (d) Can a cover-up scenario ever be ethically justifiable?

There are many examples of highly profitable organisations which operate without undue regard for the adoption of ethically sound practices, and that often promote a highly competitive cultural ethos in which staff are largely rewarded on the basis of their ability to continually work under pressure. Whether this eventually results in some employees being ‘burnt out’ at an early stage of their careers, and/or in a high turnover of staff, is of little consequence. The approach simply assumes that there are always people in need of employment who will conform with any culture in the hope of advancement.

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On the other hand, as we have discussed, the infusion of ethically sound precepts into an organisations culture offers numerous benefits which facilitate the recruitment and retention of high calibre staff, enhance employee satisfaction, productivity, and overall well-being. These two contrasting forms of culture are exemplified by the two fictitious organisations introduced earlier in the chapter, ‘Cowboy Educational Services’ and ‘Ethical Industries’. There can be little doubt that given a choice, few people would prefer to work for the former. For after all, it is good to wake up in a morning and relish the prospects of a working day infused with collegial cordiality rather than regarding it with a degree of dread, sure in the knowledge that whatever happens and whatever is asked of you, you must acquiesce and appear filled with enthusiasm: ‘Unethical actions foster an environment of conflict, disrupts the company culture, and employee commitment, performance, and inspiration.’ (Askew et al. 2015)

And in this sense organisations which fail to develop an ethically-infused culture run the risk of creating the very environment in which stakeholders are more likely to act in ethically unsound ways: ‘…when an organisation… is ethically sound, the employee conducts their behaviour in a suitable responsible manner…. An increasing unethical business culture and increasing retaliation claims for reporting such behaviour create the optimal environment for unethical behaviour to occur.’ (Askew et al. 2015)

Given the opportunity to create a workplace which a broad range of stakeholders experience as being highly rewarding, it is natural to ask why the ethically-infused culture is not the norm; why do employees put up with anything less? One key answer to this question is that there are relatively few people appointed to senior positions who possess the attributes associated with truly ethical leadership. This may be because few people naturally exhibit such attributes, or it may be caused by gradual attribute erosion during early stage career employment. And would an organisation which is not particularly committed to strong ethically-based practices truly recognise the need to make a high-level appointment based on a person’s reputation for strong ethical leadership? A further factor may relate to cultural differences, as in some cases strongly enforced hierarchical management systems are a traditional norm, and an employee’s duty is to undertake assigned activities without necessarily questioning the scope of their ethical ramifications. In this chapter we have primarily focused on aspects of organisational culture and have paid little attention to products and services (referred to as ‘outputs’ in Fig. 2.1). It is evident that from an ethical perspective some outputs are more desirable than others. For example, contrast a life-saving technology designed for use in hospitals located in economically poorer countries with advanced weapons systems which will ultimately be sold to, and used by, repressive governments. Indeed when viewed from the perspective of the individual, society in general and

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the environment, there is an abundance of products and services which exhibit positive and negative attributes. If there is money to be made it appears that some organisation, somewhere, will be keen to take up the opportunity. With this in mind, consider for a moment Charles Dickens’ novel ‘A Christmas Carroll’ in which the central character ‘Scrooge’ is visited in the lonely hours of the night by the ghosts of ‘Christmas Past, Present, and Future’. His past life, current activities, and likely future are revealed to him, and as a result he undergoes a life-changing experience. Dickens leaves the reader with the impression that Scrooge becomes a reformed character in which he casts ethical egoism to one side. Ignoring the improbability of the event, let’s suppose that the CEOs of the technology companies which currently pay little attention to the negative intentions and ramifications of their company’s products and services were to undergo a similar life-changing experience, such that they curtailed their involvement in ever more sophisticated military weapons systems, covert surveillance and censorship technologies, highly intrusive data-mining technologies, etc. Perhaps this would denote a change for the better and would remove some of the less attractive features of the technological landscape? The reality is that the event would most probably have little effect. Overnight new companies would move into these lucrative areas and the status quo would be maintained. In general terms we can conclude that there is little likelihood that organisations which exhibit ethically undesirable characteristics (either in relation to their culture and/or their outputs) will suddenly seek to adopt a meaningful ethically-inspired ethos. However, such organisations will continue to influence the ways in which technologies impact on the individual, society and the environment—and their contribution may not be guided by the objective of ‘doing the right thing’. This may suggest that in order to safeguard our future there is a need to place greater reliance upon legislation which will erode the control that the corporate, financially-driven world currently exercises in relation to technology research, development, and application. Whilst undoubtedly this has a part to play, its effectiveness is likely to be limited. This arises because, for example, legislation invariably lags behind technological development. Recall the observation made by Langford (1995) that was quoted in Sect. 1.2, a part of which reads: ‘It is important to appreciate that the driving force of developing technology lies behind many decisions taken in the computing industry. Examples abound where technical implementation preceded discussion, if indeed discussion took place at all…’

And if discussion lags behind implementation, then we may be almost certain that legislation will take even longer to put in place. This delay is invariably extended when we consider the drafting and approval of international legislation, which is often of little practical value and may not be easily enforced. From the perspective of limiting the activities of organisations which have a poor ethical culture, when presented with new legislation they are likely to focus on identifying loopholes and/or staying within the letter of the legislation rather than adhering to its overall spirit.

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In the chapters which follow, we consider a range of technologies and focus on aspects of their potential ramifications. In Chap. 11 we endeavour to bring together aspects of this discussion, and suggest that the moderating forces needed to better ensure adherence to ethical precepts by organisations operating in technologyrelated sectors (in respect of both culture and outputs) will primarily be generated by the evolving expectations of society.

2.7

Additional Reading

Bain, P., and Taylor, P., ‘Entrapped by the ‘Electronic Panopticon? Worker Resistance in the Call Centre’, New Technology, Work and Employment, 15, No. 1 (2000). Eddy, P., Potter, E., and Page, B., ‘Destination Disaster From the Tri-Motor to the DC-10: The Risk of Flying’, Quadrangle/The New York Times Book Co (1976). Fallon, N., ‘Leadership Failures: 5 Stumbling Blocks for Bosses’, Business News Daily (15th Oct. 2015). Johnson, C., ‘Meeting the Ethical Challenges of Leadership’, (6th Edn), Sage Publications Inc (2018). Osborne, H., ‘Amazon Accused of ‘Intolerable Conditions’ at Scottish Warehouse’, The Guardian (12th Dec. 2016). Sainato, M., ‘Exploited Amazon Workers Need a Union. When will they Get One’, The Guardian (8th July 2018). Schumann, H., and Simantke, E., ‘Precarious Work, Deregulated Labour Markets, “Poverty Wages”: Europe’s New Reserve Army’, Global Research (9th Jan. 2018). Starratt, R., ‘Ethical leadership’, John Wiley & Sons Inc (2004). Strock, J., ‘Serve to Lead’, servetolead.org (2018).

References Askew, O., Beisler, J., and Keel, J., ‘Current Trends of Unethical Behaviour Within Organisations’, International Journal of Management and Information Systems, 19, No. 3 (2015). Biggerstaff, L., Cicero, D., and Puckett, A., ‘Suspect CEO’s, Unethical Culture and Corporate Misbehaviour’, Journal of Financial Economics, 117, pp. 98–121 (2015). Brown, M.E., Trevino, L.K., and Harrison, D.A., ‘Ethical Leadership: A Social Learning Perspective for Construct Development and Testing’, Organisational Behaviour and Human Decision Processes, 97(2), pp. 117–134 (2005). Butts, J., and Rich, K., ‘Nursing Ethics across the Curriculum and into Practice’, (2nd Edn), Jones and Bartlett Publishers International (2008). Donaldson, T., ‘Values in Tension: Ethics Away from Home’, Harvard Business Review (Sep.Oct. 1996). Eddy, P., Potter, E., and Page, B., ‘Destination Disaster from the Tri-Motor to the DC-10: The Risk of Flying’, Quadrangle/The New York Times Book Co. (1976). Fast, N.J., and Tiedens, L.Z., ‘Blame Contagion: The Automatic Transmission of Self-Serving Attributions’, Journal of Experimental Social Psychology, 46, pp. 97–106 (2010).

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Fulmer, R. M., ‘The Challenge of Ethical Leadership’, Organisational Dynamics, 33, Issue 3, pp. 307–317 (August 2004). Goleman, D., ‘Leadership that Gets Results’, Harvard Business Review (March-April 2000). Jurkiewicz, C. L., and Massey, T. K., ‘The Influence of Ethical Reasoning on Leader Effectiveness’, Nonprofit Management and Leadership, 9, No.2 (Winter 1998). Langford, D., ‘Practical Computer Ethics’, McGraw-Hill (1995). Mihelič, K.K., Lipičnik, B., and Tekavčič, M., ‘Ethical Leadership’, International Journal of Management and Information Systems, 14, No. 5, Fourth Quarter (2010). Minkes, A.L., Small, M.W., and Chatterjee, S.R., ‘Leadership and Business Ethics: Does it Matter? Implications for Management’, Journal of Business Ethics, 20, pp. 327–335 (1999). O’Shea, L., ‘Tech has no Moral Code. It is Everyone’s Job Now to Fight for One’, The Guardian (25th April 2018). Pearson, S., Sabin, J., and Emanuel, E., ‘No Margin, No Mission: Healthcare Organisations and the Quest for Ethical Excellence’, Oxford University Press (2003). Pinchot, G., ‘Can We Afford Ethics?’, Executive Excellence, 9 (3), pp. 3–4 (March 1992). Roth, A., ‘Lord Nolan Committee Chairman Charged with Keeping MPs Up to Standard’, The Guardian (26th Jan. 2007). Thomas, G and Morgan-Wills, M., ‘Enola Gay Mission to Hiroshima’, Konecky and Konecky (2006, First published 1977). Yuki, G.A., and Yuki, G., ‘Leadership in Organisations’, Prentice Hall (2002).

3

Privacy: An Outdated Concept?

‘We once vowed to never again commit such a tragedy, Now, clouds and the lie pass over the sleeping sea.’1

3.1

Introduction

Never before has it been possible for governments and organisations to so easily acquire such extensive and pervasive volumes of data about us: ‘For the one-month period beginning March 8 2013, for example,…a single unit of the NSA [National Security Agency], Global Access Operations, had collected data on more than 3 billion telephone calls and emails that had passed through the US telecommunication system… Overall in just thirty days the unit had collected data on more than 97 billion emails and 124 billion phone calls from around the world.’ (Greenwald 2014)

Despite lessons from history which demonstrate ways in which personal data based surveillance (frequently called ‘dataveillance’) can be misused (recall mention of genocide in Rwanda in Sect. 1.4), societies have accepted with little protest the extensive erosion of personal privacy. After all, as some say, why should any reasonable person object? The adage ‘If you’ve nothing to hide, you’ve nothing to fear’ (which is frequently attributed to the Nazi Minister of Propaganda, Joseph Goebbels2) is often used to justify ever increasing mass surveillance. It suggests that the only people

Blundell, Q., ‘Collected Works’ (2020). ‘Wer nichts zu verbergen hat, hat auch nichts zu befürchten’—‘Who has nothing to hide, has also nothing to fear’. 1 2

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who may be concerned about the consequences of dataveillance are those whose lives don’t live up to scrutiny—people with ‘secrets’. Others take an opposing stance and often refer to George Orwell’s classic book ‘Nineteen Eighty-Four’. Published in 1949, this describes a nightmare world of mass surveillance in a totalitarian state. Amid a backdrop in which history is continually rewritten and fake news is rife, electronic surveillance is infused into every aspect of daily life. Failure to conform in thought, word or deed is ruthlessly punished—privacy has no place in the drab, grey world in which everyone is continually reminded that ‘Big Brother is watching you’. Nobody can be trusted, nothing can be hidden: ‘For the first time he [the protagonist, Winston Smith] perceived that if you want to keep a secret you must also hide it from yourself. You must know all the while that it is there, but until it is needed you must never let it emerge into your consciousness in any shape that could be given a name.’ (Orwell 1949)

As technologists we need to look beyond Orwell’s book and gain an appreciation of the motivations which continue to fuel the rapid growth of today’s dataveillance industries. In democratic countries we are assured that there is no need to worry about loss of privacy because governmental dataveillance is primarily aimed at the terrorists and criminals (the ‘Others’ (look ahead to Sect. 3.6)) who are intent on causing us harm. Indeed it is often claimed that losing some antiquated notion of privacy is a small price to pay for a safer life; it’s for the common good—it’s for my own good. To suppose otherwise would surely be churlish and might suggest that I have some dark secrets… Commercial organisations are equally engaged in the collection and exploitation of massive amounts of data pertaining to each of us. It’s a very valuable commodity not only in its own right but also in its application: ‘Welcome to a world where Google knows… more about your interests than your spouse does. Welcome to a world where your cell phone company knows where you are all the time. Welcome to the end of private conversations, because your conversations are conducted be e-mail, text, or social networking. And welcome to a world where all this, and everything else that you do or is done on a computer, is saved, correlated, studied, passed around from company to company without your knowledge or consent; and where the government accesses it at will without a warrant…’ (Quoted in Sloan and Warner 2016)

Even in many democratic countries, government agencies claim that in order to combat terrorism and crime they have the right to cloak their growing powers in a veil of secrecy. Naturally this reduces accountability and runs the risk of allowing extreme action to flourish. Once checks and balances are cast to one side, excesses are almost certain to follow: such is human nature. By way of example, a Privacy International Report entitled ‘Track, Capture, Kill’, outlines the use of surveillance techniques in one African democracy.3 The report opens:

3

In dealing with ongoing events of this nature, the author has removed specific reference to some of the countries and organisations concerned. They may of course be identified from the references cited.

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‘This investigation focuses on the techniques, tools and culture of… police and intelligence agencies’ communications surveillance practices. It focuses primarily on the use of surveillance for counterterrorism operations. It contrasts the fiction and reality of how communications content and data is intercepted and how communications data is fed into the cycle of arrests, torture and disappearances. Communications surveillance is being carried out by… state actors, essentially without oversight, outside of the procedures required by… laws. Intercepted communications content and data are used to facilitate gross human rights abuses, to spy on, profile, locate, track – and ultimately arrest, torture, kill or disappear suspects, as this report documents.’ (Privacy International 2017)

A subsequent paragraph of the Report reads: ‘Not many suspects make it to court. They often disappear. Communications data, mostly intercepted by the…, is central to the whole counterterrorism cycle: identifying and tracking individuals, preparing and carrying out arrests and killings. It is unclear whether the interception of this information is subject to prior judicial approval, though several sources indicate that it is generally not.’

Information derived from mobile phones offers a wealth of opportunities. In connection with the NSA, Privacy International indicates: ‘Phone monitoring technology can also be used to identify an individual for a strike. In 2014, a former US drone operator revealed that the CIA and military were using metadata from mobile phones obtained by the NSA for drone strikes and night raids. In the same way that IMSI [International Mobile Subscriber Identity] catchers … are used by US law enforcement agencies aboard light aircraft to identify mobile phones … they can also be fitted on drones to identify phones for assassination. The former operator is quoted as saying “We’re not going after people – we’re going after their phones, in the hope that the person on the other end of that missile is the bad guy.” Infamously, a former director of the NSA and the CIA, General Michael Hayden, has also stated that “We kill people based on metadata.”.’ (Privacy International 2016)

There are even darker aspects to the global data collection, sharing and analysis industries. A person living in an enlightened and democratic country in which effective legal regulations are in place (and enforced) controlling the use of his/her data, may be reassured by the notion that “If you’ve nothing to hide, you’ve nothing to fear”. But take the case of those living under the shadow of repressive dictatorships, people who are desperate for change and freedom. They are likely to have much that they want to hide from those who are involved in repression, and so may well have a great deal to fear should their failure to acquiesce become known or even suspected. ‘In non-democratic and authoritarian systems, the power gained from the use of surveillance technologies can undermine democratic development and lead to serious human rights abuses. Opposition activists, human rights defenders, and journalists have been placed under intrusive government surveillance and individuals have had their communications read to them during torture.’ (Privacy International 2016)

The fact that technology can be employed to support repression is by no means new, although current dataveillance technologies and techniques offer unparalleled opportunities. The problems don’t arise from the technologies themselves, but

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rather in the ways in which they are employed and in the ability of such applications to generate enormous profits: ‘It would clearly be naïve to expect the companies involved in the repression trade to exercise voluntary restraint. The trade is too lucrative for the merchants of repression to take moral considerations too seriously. Indeed, a more cynical perspective would suggest that it was positively against their commercial interests to have peaceful social development and political change in Third World nations.’ (Wright 1991)

With the passage of the years, dataveillance technologies have advanced rapidly and the profits to be made are very much greater. The reader may perhaps recall Ethical Dilemma 1.4 in which we considered the dilemma faced by the CEO of a small company who was offered a contract to install a surveillance system for a repressive and somewhat infamous regime. In the event the CEO justified his decision to accept the contract on the basis that if his company didn’t undertake the work, then somebody else would carry it out and make the money. This is by no means an unusual line of reasoning. Some years ago, the role of the British government in permitting the sale of repressive technologies and artefacts attracted media attention: ‘The British public were kept largely ignorant that the international arms trade also included specialised technologies, tactics, training and weapons specifically designed for quelling internal dissent, until a government memo leaked in 1983. The memo emphasised the need to avoid ministerial embarrassment when handling sensitive items such as execution ropes and leg irons….Even more surprising was the response of the Secretary of State for Trade and Industry…“if this country did not export them someone else would”.’ (Wright 1991)

This financially centric reasoning was also used by the then British Prime Minister, Margaret Thatcher: ‘Amnesty International recognised the correlation between governments importing repressive technologies and those guilty of murdering and torturing their political prisoners…Prime Minister Thatcher felt obliged to reply to Amnesty’s request. She said that a widening of the scope of existing controls would exert an excessive degree of control over British exports, adding greatly to the burden of government and exporters at a time when British export industry already faced serious difficulties.’ (Wright 1991)

Although you may perhaps recall that in Sect. 2.3.2 the CEO of Raytheon was quoted as indicating that: ‘Adversity is the real test of leadership and integrity. Trying times test the commitment to a statement of values…’

Which, from an ethical perspective, appears to be quite contrary to Margaret Thatcher’s justification. Technology-based products were also in great demand and sold without particular consideration of the ways in which they would be used (this often continues to be the case). Thus the infamous regime in Uganda (ruled by Idi Amin) was able to buy via the British Government powerful communications equipment, Land

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Rovers equipped with radio detection systems, night vision systems, and telephone tapping systems. Negotiation also took place in respect of a computerised fingerprinting system which was intended to be employed across the whole population. It was big business, and today the stakes (and profits to be made) are very much greater. From an ethical perspective it is not only important to consider issues relating the potential (or intended) applications of technologies, but also the nature of the work which goes into their manufacture. In this latter context, back in 1984 the British Trades Union Congress: ‘…condemned the making of instruments which can be used for torture and repression as “an affront to human decency and the dignity of labour” and called on the British government to withdraw export credits and other government provided assistance to British firms engaged in this inhuman trade.’ (Wright 1991)

The use of technologies for repression is a subject we return to later in this chapter, but before doing so in the next Section we lay important foundations by taking a look at personal privacy, and highlighting the very important role that it plays in so many aspects of our lives. In reading this section it is important to bear in mind that research into the advancement of dataveillance systems and techniques attracts a great deal of government and commercial investment. This very much facilitates rapid advances and hence it is a highly dynamic and expanding field in which ethical considerations are sometimes swept to one side. There is an obvious need to project current developments into the future and when we do so it becomes apparent that dangers abound. At present technical limitations still exist in bringing together data from diverse sources (akin to fitting together the pieces of a jigsaw puzzle) to form a detailed picture of a person’s behaviours, associations, etc. But this is becoming ever easier and automated data mining and analysis techniques are advancing rapidly. In turn predictive modelling techniques will become much more sophisticated thereby enabling personal data to reveal not only our past and current behaviours, but also to predict with increasing reliability the ways in which we are likely to behave in the future. Thus when perusing the following sections it is important to not only consider ethical issues relating to the recent erosion of aspects of personal privacy, but to also think about the ramifications of this erosion if it remain unchecked. In Sect. 3.3 we briefly discuss the misnomer of “complete security”. In this context we particularly consider the gradual changes occurring as ever more advanced data collection, surveillance and analysis systems are deployed. Subsequently in Sect. 3.4 we discuss End User Licence Agreements (EULAs) which we encounter when we sign up to the ‘terms and conditions’ of software applications. Although we are usually only asked to click on ‘I Agree’, and consequently don’t provide a signature, we are still committing ourselves to a legally enforceable contract. In Sect. 3.5 we take a backward glance and discuss aspects of life under the omnipresent eye of the Stasi in East Germany. Although by today’s standards Stasi surveillance was relatively primitive, it’s a history from which much can be learnt, especially in connection with ‘gaslighting’. In Sect. 3.6 we introduce the notion of

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being regarded as an ‘Other’, a term which we loosely define as referring to one or more people deemed not to be a member of a particular group, as a consequence of which the group holds or seeks to gain intentionally or unintentionally, some form(s) of authority/power over them. Given opportunities to use technologies in ways in which a person can become increasingly divorced from the ramifications of his/her actions, coupled with the possibility of regarding ‘Others’ as being in some way different/inferior, this Section highlights a number of key points. No discussion on privacy and surveillance (and indeed professional ethics) would be complete without the inclusion of Edward Snowden and his revelations on the activities of government organisations. For some he is a hero who has stood by his ethical principles despite great personal loss—thereby exhibiting strong moral courage. Contrariwise some believe him to be a maverick, a person who should be extradited to the U.S. for trial and a long prison sentence—notwithstanding the fact that what he disclosed was true. In Sect. 3.7 we examine aspects of this ongoing saga. Finally, in Sect. 3.8 we discuss technical and organisational factors which led to the destruction of the Space Shuttle Challenger flight 51-L. This provides us with yet another example of what can happen when an organisation fails to infuse strong ethically-based standards across all aspects of its activities.

3.2

Privacy ‘Secrets are lies, sharing is caring, privacy is theft.’4

Here we consider aspects of privacy values and highlight the crucial role that they play in our everyday lives. This provides us with a basis by which we can better consider the ramifications of mass data collection and most importantly data aggregation. However, before reading on, take a look at OTU Activity 3.1 which provides an opportunity to briefly reflect on aspects of your own sense of personal privacy values. The first of the quotations cited in this Activity fails to recognise that privacy is complex and multifaceted. Indeed if we were to truly live in a state of ‘zero privacy’, then life would be profoundly impoverished, if not intolerable. Most importantly, in the absence of privacy the freedoms that in many countries are often and somewhat complacently taken for granted would be severely threatened, and we would be in danger of entering a world far more disturbing than the one described in Orwell’s book ‘Nineteen Eighty-Four’ (recall its mention in the Introduction to this chapter).

From Eggers, D., ‘The Circle’, (2013).

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U.S.

As indicated in the Introduction, the quest for privacy may be interpreted as suggesting that a person has something to hide. Further, some people consider the expectation of privacy to be an outmoded notion. Today’s world, it is sometimes argued is more enlightened—‘my life’s an open book’. Although once we begin to consider the multifaceted nature of privacy it soon becomes evident that we all have aspects of our lives that we wish to keep private. Perhaps these relate to close/intimate relationships, to physical or health issues, or simply to matters concerning money (how much we earn, how much (or how little) we have in our bank account, and the amount we owe to a credit card company), etc. No human life is an open book; we all need to have some control over what we choose to share with others: ‘There is no sentient human being in the… world who has little or no regard for his or her privacy; those who would attempt such claims cannot withstand even a few minutes questioning about intimate aspects of their lives without capitulating to the intrusiveness of certain subject matters.’ (Flaherty 1999 quoted in Solove 2007)

In fact, even the thought that certain privacy values may be compromised is sufficient to radically affect the ways in which we behave and, in some cases our mental wellbeing. This is recognised by George Orwell in his novel: ‘Any sound that Winston made, above the level of a very low whisper, would be picked up by it [the telescreen], moreover, so long as he remained within the field of vision which the metal plaque commanded, he could be seen as well as heard. There was of course no way

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of knowing whether you were being watched at any given moment. How often, or on what system, the Thought Police plugged in on any individual wire was guesswork. It was even conceivable that they watched everybody all the time. But at any rate they could plug in your wire whenever they wanted to. You had to live—did live, from habit that became instinct—in the assumption that every sound you made was overheard, and, except in darkness, every movement scrutinized.’ (Orwell 1949)

3.2.1 The Nature of Privacy ‘Winston stopped reading for a moment… The blissful feeling of being alone with the forbidden book, in a room with no telescreens, had not worn off. Solitude and safety were physical sensations, mixed up somehow with the tiredness of his body… the touch of the faint breeze from the window that played upon his cheek.’5

Consider a scenario in which you entrust a spare key to your house or apartment to a neighbour who seems to be a trustworthy person (perhaps you’re expecting a visitor or are simply worried that one day you may lose your own key). Some weeks later you return home early from work and find the neighbour in your property looking through a chest of drawers or cupboard. Naturally you are dismayed, perhaps even quite annoyed. The neighbour has not only proved to be untrustworthy but has invaded your space. Even though you may have no possessions that you want to hide, you may feel that your privacy has been violated. The notion of private space is longstanding and is most traditionally represented by our homes which act as enclosures to which we are able (or should be able) to control access. Back in 1793 William Pitt suggested: ‘The poorest man may in his cottage bid defiance to all the forces of the Crown. It may be frail; its roof may shake; the wind may blow through it; the storms may enter; the rain may enter - but the King of England cannot enter; all his forces dare not cross the threshold of the ruined tenement.’

The notion of ‘enclosure’ provides a mechanism which supports aspects of personal privacy. Of course the ‘enclosure’ need not comprise the physical walls of our homes but may take many other forms, the clothes we wear, the envelope which contains a physical letter, our email accounts (guarded by passwords) and even the virtual walls we may ‘erect’ within our own minds and by means of which we guard particularly private matters. In the simple example given above, it may well be that we have nothing that we especially want to hide. We may be satisfied that the neighbour was not intending to steal or damage our possessions. However, the neighbour’s apparently prying curiosity is contrary to a fundamental aspect of privacy, a traditional and cherished right by which we seek to control access to aspects of our lives. In Fig. 3.1 we summarise some indicative areas which we may consider private. However, as there is 5

Orwell (1949).

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Spatial

Habits Behaviours Movements

Action

Verbal Electronic Physical

Communication

Privacy

Thought

Personal

Situation

Association

Faith Politics Failures Aspirations Ideas/beliefs Physical Biometrics Health (physical and mental) Ownership Financial

Friends Relationships Memberships

Fig. 3.1 Loose groupings of some indicative aspects of our lives and examples of associated personal privacy values. These are simply intended to be indicative, and vary between people.

no universal standard which defines individual expectations of privacy it is likely that we will differ in the privacy values that we associate with the entries included in the diagram. For example, many people are unconcerned that their everyday movements can be tracked through the mobile phone they carry, but may regard information relating to their health and intimate relationships as being somewhat more private. When we begin to attempt to define the nature and scope of privacy along with the vital role that it plays in human existence, we soon run into difficulties: ‘Privacy is a value so complex, so entangled in competing and contradictory dimensions, so engorged with various and distinct meanings, that I sometimes despair whether it can be usefully addressed at all.’ (Post 2001)

A particularly succinct and often quoted definition of privacy suggests that it is the ‘right to be let alone’ (Warren and Brandeis 1890). This dates back to 1890 and represented a response to the growing intrusion of what was perceived as the invasive technology of the era; photography: ‘Recent inventions and business methods call attention to the next step which must be taken for the protection of the person, and for securing to the individual what Judge Cooley calls

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the right “to be let alone”. Instantaneous photographs and newspaper enterprise have invaded the sacred precincts of private domestic life; and numerous mechanical devices threaten to make good the prediction that “what is whispered in the closet shall be proclaimed from the housetops”.’ (Quoted in Moor 1991)

Whilst the notion of a ‘right to be let alone’ is clearly applicable to situations in which a person wishes to avoid unwelcome media attention, it doesn’t necessarily encapsulate other aspects of privacy. A more comprehensive description suggests: ‘…the claim of individuals, groups, or institutions to determine for themselves when, how and to what extent information about them is communicated to others… [It is] the desire of people to choose freely under what circumstances and to what extent they will expose themselves, their attitude and their behaviours to others.’ (Westin 1967)

Personal privacy is inextricably linked with human dignity which embraces the rights of each person not only to be respected and valued, but also to be the recipient of ethical treatment. The Universal Declaration of Human Rights which was adopted by the United Nations in 1948 opens: ‘Whereas recognition of the inherent dignity and of the equal inalienable rights of all members of the human family is the foundation of freedom, justice and peace in the world.’

And Article 12 refers to the individual’s right to privacy: ‘No one shall be subjected to arbitrary interference with his privacy, family, home or correspondence… Everyone has the right to the protection of the law against such interference or attacks.’

The text of this Declaration is reproduced in Appendix A and in relation to our subsequent discussions you may find it helpful to briefly reflect on its content. Returning to consideration of the nature of privacy: ‘[Privacy is] the desire by each of us for a physical space where we can be free of interruption, intrusion, embarrassment, or accountability and the attempt to control the time and manner of disclosures of personal information about ourselves.’ (Smith 2000 quoted in Hosein 2006)

For our current purposes, it’s useful to consider privacy values in terms of five easily remembered dimensions—what, why, who, when, and where. By way of example, in Fig. 3.2 these are used in the context of the control of information dissemination and are briefly discussed below: Pertaining to the individual

Freedom of choice

Something

Privacy Values

What?

Why?

Disclosure

Who? When? Where?

Fig. 3.2 Facets of privacy described in terms of five ‘W’s’. Here we apply these to information dissemination. See text for discussion

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1: What: This relates to ‘something’ to which we logically or even illogically assign privacy values. It may, for example refer to possessions (such as those within the chest of drawers which the neighbour mentioned above pried into), to our thoughts, aspirations, communications, and other aspects of our lives such as those indicated in Fig. 3.1. The fact that we believe that a particular ‘something’ has a privacy dimension should normally be respected. However, from an ethical perspective, privacy should not be used to conceal or condone unethical behaviour. For example, Hosein (2006) considers this within an historic context: ‘The classical feminists contend that privacy is merely a right that is abused by men…a husband is master of his household; as such the State nor anyone else may enter or intervene. As a result, man could subject his wife to beatings so long as he is within his home…’

He goes on to quote a North Carolina Court decision: ‘We know that a slap on the cheek, let it be as light as it may, indeed any touching of the person of another in a rude or angry manner – is in law assoult and battery. In the nature of things it cannot apply to persons in the marriage state, it would break down the great principle of mutual confidence and dependence; throw open the bedroom to the gaze of the public; spread discord and misery, contention, and strife; where peace and concord ought to reign.’ (State v. Hussey, 44 N.C. (Busb.) 123, 126–27 (1852))

Fortunately, in many countries today’s laws are much more enlightened, but this provides a useful example demonstrating that simply because something is legal in one particular country during a particular period, does not necessarily imply that it is ethically acceptable. 2: Why: As previously indicated there is no universally agreed set of privacy values—‘something’ considered as being private by one person may be viewed in quite a different light by another. Indeed, the fact that a person views a particular ‘something’ as being private may appear quite illogical to others. However, from an ethical perspective, there is a need to respect the privacy values of those with whom we interact. As suggested in (1) above, privacy is sometimes used in an effort to conceal unethical and/or illegal behaviour. This is a central theme in the growth of dataveillance; the erosion of privacy is said to facilitate the ‘war on terrorism’ and the ability of governments to fight crime. Unfortunately, the very people who are willing to forgo privacy values in order to gain greater security are neither terrorists nor criminals. Those with ill-intent will always find ways of achieving the privacies needed to support their activities and ambitions. This has the potential to create a positive feedback loop in which ever greater erosion of privacy values occurs, and is demonstrated by the current objective of some governmental agencies to maximise the acquisition of personal information:

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‘In the NSA’s own words: “Collect it All; Process it All; Exploit it All; Partner it All; Sniff it All; Know it All”’ (Quoted by Sloan and Warner 2016)

Which could perhaps suggest that acceptance of the right to personal privacy (recall Article 12 of the Universal Declaration of Human Rights) is not high on the NSA’s agenda? In this case, it might be considered somewhat ironic that a governmental surveillance organisation purporting to be a defender of freedom and democracy appears to be keen cast to one side the fundamental rights to personal privacy upon which freedom and democracy are founded. Unfortunately, privacy comes at a price: ‘One cost of privacy is that it makes social and political institutions less effective which in turn may be detrimental to individuals.’ (Moor 1991)

Furthermore, retention of privacy reduces the efficiency of law enforcement and some use this in formulating arguments that favour privacy erosion. However, the decision as to whether or not we agree to the collection and dissemination of data pertaining to our lives is increasingly being taken out of our hands—we are simply not given a choice. This reflects the utilitarian approach to ethical decision making and focuses on the ‘common good’. For example, in relation to medical data: ‘I am delighted to hear the positive use of the term “surveillance” because I do not believe there is enough awareness of the way that society is constantly ‘surveilled’ by a range of systems, to increase our knowledge of ourselves, to provide information which leads to better knowledge and better insights to wisdom so that we can make really quite crucial and large social decisions based on the information that we provide by just living and dying…’ (Forbes 2007)

Perhaps it is quite logical that information that can be gleaned from our lives and deaths should be given freely for the greater good of society? But humans are not always logical creatures and as a result may prefer to live (or at least die) in privacy.

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Anybody

Sensitivity

Reputation Upbringing Impact on others Fear of misuse Social stigma Illegal activity

Factors

Dignity

Privacy Spectrum

Embarrassment

Power

Fellow criminals Close friend(s) Close Family

Most Private

Fig. 3.3 Indicative factors which are likely to influence the extent to which we may choose to disclose aspects of our lives to others. We may, for example, choose to cast social stigma to one side and be completely open about something or may be so concerned that particular information may be misused that we confide only in a particularly close family member

3: Who: In Fig. 3.3, we summarise a number of indicative reasons which may influence the extent to which we decide to share aspects of our lives with others. When dealing with those around us, we are obviously most likely to share information with those that we feel that we can trust, who will respect a confidence, who are unlikely to be judgemental, etc. Unfortunately, when faced with technologies which are specifically intended to perform dataveillance functions (or which can be used for this purpose), the individual loses the ability to control information dissemination. Furthermore, as data is a valuable commodity, it will often be shared or traded without our informed agreement (see, for example Sect. 3.4 which deals with End User Licence Agreements (EULAs)). Examples abound in which, due to lack of appropriate safeguards, personal data inadvertently enters the public domain. These factors make it impossible to determine how data will ultimately be used, and this results in a gradual erosion of our personal privacies. 4: When and Where: In sharing something we deem to be of a private nature with others, we often wait for the ‘right moment’, a time and location where, for example, we feel comfortable in initiating a particular conversation.

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Alternatively, in sharing we may elect to inform a wider audience via social media, etc. In terms of traditional privacy values, we should have the ability to decide when and where we wish to share personal aspects of our lives with others. However as technologies become increasingly sophisticated it can be difficult, if not impossible, to retain this control: ‘... Through the analysis of buying patterns, US retailer Target predicted one of its customers was pregnant (and sent her coupons for maternity wear) before the teenager had broken the news to her disapproving parents.’ (Preston 2014)

3.2.2 Privacy and Transparency ‘There are some things that man was not meant to know.’6

Some years ago when offered an academic position at a university, I was told that as part of the appointment process it was necessary to complete a medical declaration. The form supplied seemed unusual for such an appointment as it granted the university the authority to obtain medical information about me from any doctor (general practitioner) with whom I had ever been associated, or from any hospital at which I had received treatment. From an ethical perspective this caused a degree of concern. Firstly the requirement appeared unnecessarily open-ended and contrary to the traditional spirit of confidentiality which is associated with the doctor–patient relationship. Secondly the wording was such that authorisation was granted to unspecified people within the university rather than to specific medically trained staff.7 By email I explained these concerns to the relevant HR staff member and to my surprise this resulted in my being contacted by a university doctor. From her opening comments, it was evident that she supposed that the fact that I had queried the declaration form implied that I was suffering from significant physical or mental health problems (or that an investigation into my health care history would reveal such problems). I endeavoured to explain that this was not the case, but despite further communications, the doctor’s view didn’t change. To have questioned a requirement by which I was opening up my medical history to unspecified people could not possibly be based on an ethical consideration—she thought that I surely had something to hide.

6

Attributed to H. P. Lovecraft. In this latter respect, I recalled a previous university position. A large number of academic staff were recruited at the same time, and all had undergone a comprehensive medical prior to confirmation of appointment. During a visit to the HR department, new staff were very concerned to find that the completed medical forms were strewn across a junior administrator's desk (some were in fact scattered on the floor), such that they could be viewed by anybody passing by.

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Objections to personal transparency (or contrariwise, claims to a right to privacy) are often seen as being catalysed by a wish to conceal negative behaviour or unpalatable/socially unacceptable ‘secrets’. Judge Richard A. Posner (quoted in Posner 1981) contended that: ‘When people today decry lack of privacy, what they want, I think, is mainly something different from seclusion: they want the power to conceal information about themselves that others might use to their disadvantage. Privacy involves a person’s “right to conceal discreditable facts about himself.”’

Sometimes this may well be the case and in some instances it may be both understandable and appropriate. By way of example, consider the case of a teenager who is caught driving a car whilst over the legal alcohol limit. This may be quite out of character and the ramifications may well have taught an important lesson concerning the importance of not succumbing to peer pressure. In moving on, and with the passage of time, it would be natural to seek to conceal such an incident. On the other hand, in order to be employed in some positions of responsibility it is reasonable to be expected to forego certain aspects of privacy: ‘Although we cherish privacy in a free society, we also value other goods… I ask if you would like to know whether the person entrusted with your child care is a convicted child molester. I further ask: Would you want to know whether the staff of a nursing home in which your mother now lives has criminal records that include abusing the elderly?’ (Etzioni 1999)

Whilst these are certainly valid situations in which background checks are important, it is crucial that the level of scrutiny is commensurate with the information that is truly required. As ever more personal data becomes available there is a tendency to expand the scope of scrutiny, to err on the safe side, for after all it is frequently claimed that ‘it’s better to be safe than sorry’. This way of thinking is understandable and as is often remarked, in many situations ‘you can never be too careful’ (particularly when dealing with the vulnerable). Consider the case of parents who pay a teenager to baby-sit a young child, or family who pay somebody to provide at-home care for a frail and disabled parent. In both cases an effort will be made to find out about the person’s character, through personal recommendations, references, etc. But this only goes so far—to what extent can the person really be trusted when on their own with the child or old person? One obvious solution is to install one or more surveillance cameras. If these are visible it would almost certainly convey a sense of distrust. However a cursory online search reveals that a number of companies offer various forms of hidden cameras (some with wireless connectivity) specifically targeted at covert babysitter surveillance (‘nannycams’). Installing these cameras may be done with the best of intentions and in the best interests of a loved one. However, has this gone too far in terms of eroding the privacy of the carer? Even though the person is being paid and is working in a home environment, does he/she retain any right to privacy? Although the installation of the cameras can be logically rationalised (if the carer has nothing to hide…), to

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what extent does the covert surveillance intrude on the dignity of the carer: to what extent does it risk the watcher becoming a voyeur? However despite logical justification, we may instinctively feel that it isn’t appropriate—and it may be difficult to coherently rationalise the basis for our reaction. Lord Philips of Sudbury encountered a similar difficulty when contesting the proposed introduction of compulsory ID cards in the UK: ‘[He] said that while there are many logical reasons to oppose the policy, the most prominent in his mind was that it just ‘felt wrong’. ‘I instinctively and quite deeply reject… [the proposed policy]. I can’t quite find the language to rationalise the depth of my feeling about this.’ (Quoted in Hosein 2006)

If we do recoil about the introduction of a covert camera(s), one reason may be that we are aware that it goes beyond the bounds of appropriate ‘informational norms’ which constrain (or should constrain) the collection and use of information: ‘In a civilized society we limit our gazes [pertaining to our observation of a person] because we understand that there is something undignified about knowing so much about an individual… Knowing everything about someone reduces that person to a set of known facts, controllable and manipulatable.’ (Hosein 2006)

With these thoughts in mind take a look at OTU Activity 3.3. In relation to the third question in this Activity, Shellenbarger (2003) recounts: ‘…several good nannies quit after discovering secret cameras. One Houston nanny had a playful routine; she would turn on the radio” and dance around like a crazy person” while the baby clapped and laughed… The nanny who was shy and reserved around adults, couldn’t face her employers after she learned they’d watched.’

And Perkins (2017) suggests that: ‘No one likes being spied on. If a nanny discovers a hidden camera has been watching her, she can feel violated, offended, that you doubt her abilities or intent, or simply embarrassed.’

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In the general context of privacy erosion, Weigend (2017) adopts a strongly pro-transparency stance. This is perhaps surprising since he spent his formative years in East Germany where Stasi surveillance pervaded daily life (see Sect. 3.5). He describes the six year incarceration of his father (who was accused of being an American spy), and his surprise when following the reunification of East and West Germany he learnt that he had also been the subject of such surveillance. In terms of transparency, he considers the difficulties faced by insurance companies endeavouring to determine the accuracy of claims, or those experienced by people wishing to obtain a loan but who have very little credit history. In both instances easily obtainable data relating to aspects of an individual’s digital footprint can be of great value. In principle, analysis of a person’s social network can provide an insight into the credit-worthiness of friends and their possible proclivity for filing false insurance claims. In connection with the former he writes: ‘When an individual applies for a loan, the lender examines the credit ratings of members of the individual’s social network who are connected to the individual. If the average credit rating of these members is at least a minimum credit score, the lender continues to process the loan application. Otherwise the loan application is rejected.’ (Weigend 2017)

Naturally, when amalgamated with a wealth of other data, it is possible to gain an extensive insight into a person’s character and activities: ‘… a semantic analysis of your tweets… could reveal that you are worried about losing your job. Are your location data considered, to see where you spend your time, noting with approval that you clock long hours at the office – or with concern, too many nights at the local bar?’ (Weigend 2017)

However once people become aware of ways in which personal data is being used, it is likely that they may modify aspects of their behaviour. For example, social networking could become driven by ‘collecting’ those who can offer enhancement, and shunning those who cannot. Awareness of particular aspects of privacy erosion can destroy the value of the original motivations for the erosion. By way of example, it is widely claimed that massive surveillance of emails by governmental agencies is necessary in order to combat terrorism. But surely terrorists would have to be particularly naïve if they were to place reliance on the confidentiality of email correspondence when planning their activities? At the very least they would ensure anonymity and employ encryption thereby gaining privacy in their communications. In this case, the mass monitoring of standard email communications has simply motivated those of ill intent to use more sophisticated approaches—or perhaps the traditional postal service!

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3.2.3 The Right to Be Left Alone ‘Little in life is as precious as the freedom to say and do things with the people you love that you would not say or do if someone else were present.’8

In considering the impact of technologies on our ability to control the dissemination of aspects of our lives to others, it is important to recognise that even in the absence of technology, privacy certainly cannot be assured. Recall Albert and Bruce—the two fictitious characters introduced in Sect. 2.2.1. Suppose that Albert decides to impart something which is of a very private nature to Bruce. At some later time, Bruce (in an unguarded moment or for malicious reasons) shares this information with somebody else. If it is a matter of significant interest it is sure to propagate further, but in terms of previous discussion as to the nature of privacy, has this necessarily impacted on Albert’s privacy? Certainly in terms of the ‘right to be let alone’ Albert’s privacy has not been affected, unless of course the spread of knowledge ultimately feeds back and affects him in some way. However, Albert may never learn that Bruce broke the confidence, in which case we may possibly conclude that Albert’s privacy has not been compromised by Bruce. Alternatively we may view privacy in a wider context— take a look at Ethical Dilemma 3.2.

8

Attributed to Janna Malamud Smith.

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In considering this Ethical Dilemma you may instinctively feel that this surveillance activity is inappropriate (in a manner akin to the comment of Lord Philips of Sudbury as quoted in the previous subsection). If so, it is likely that you believe that personal privacy has more basic and profound dimensions, that it is a fundamental human right. Thus in the case of this Ethical Dilemma, the fact that the person will never know that exhaustive surveillance took place is irrelevant because the activity is inherently wrong. However, note that in the current climate it is difficult to uphold this stance as it suggests that a number of forms of governmental and commercial surveillance are inappropriate, not necessarily because of the way the ensuing data may be used, but because particular acts of surveillance are fundamentally contrary to our individual human rights (see OTU Activity 3.5).

3.2.4 Privacy and Freedom ‘You’re wondering why I’ve called you here. The reason is simple. To answer all your questions. I mean – all. This is the greatest news of our time. As of today, whatever you want to know, provided it’s in the data-net, you can know. In other words, there are no more secrets.’9

As previously remarked, whilst technologies are advancing at a rapid pace, fundamental aspects of human nature are largely invariant. The aphorism ‘ipsa scientia potestas est’ (knowledge itself is power) which is attributed to Sir Francis Bacon (1561–1626), remains as valid today as when it was first expounded. However the techniques used for the acquisition of knowledge have massively advanced. Primitive 16th century approaches based on listening at keyholes and whilst hiding in dark shadows have been replaced by extensive global surveillance techniques operated by organisations which are not accountable to public scrutiny, such as GCHQ in the UK and the NSA in the U.S.: ‘Reporting on a group of GCHQ documents leaked by Snowden, the New York Times noted that its surveillance targets often included financial institutions and “heads of international John Brunner, ‘The Shockwave Rider’, (1974).

9

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aid organisations,…”. It added that the US and British agencies “monitored the communications of senior European Union officials, foreign leaders including African heads of state and sometimes their families, directors of United Nations and other relief programmes [such as UNICEF]…”’. (Greenwald 2014)

This type of covert surveillance is clearly not based on the oft-proclaimed needs of the ‘war on terror’, but rather serves to promote national political and/or commercial interests. Knowledge is indeed power, but its acquisition casts the right to privacy to one side (e.g. the NSAs protracted targeting of the German Chancellor’s (Angela Merkel) personal mobile phone (see OTU Activity 3.6)). In turn this threatens the viability of democracy: ‘…the failure to safeguard privacy jeopardises associated freedoms, including freedom of expression, freedom of assembly, freedom of access to information, non-discrimination and ultimately the stability of constitutional democracies.’ (Global Privacy Standards for a Global World 2009)

As we have noted, privacy is complex and multifaceted. It may be valued not only in its own right but also because loss of privacy can have extensive (and often unpredictable) ramifications. Klitou (2014) suggests that: ‘Privacy is not necessarily an end, but rather a means to an end. The end is greater liberty. In other words as Holtzman 2006 affirmatively declares, “privacy is an enabling right; it creates the foundations for other basic entitlements”.’

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In any society, privacy and the freedom of the individual are tempered by factors which include social norms, responsibilities, and legal frameworks. However the protracted use of extensive and integrated surveillance techniques opens our past, present and (predicted) future to stark scrutiny. We have no way of knowing how information will ultimately be used. Perhaps we can assume that governments and organisations are benign in their intentions—although history suggests otherwise. Most importantly, the manner in which information is used can change over time. By way of a somewhat extreme example let’s briefly consider the use of census data during the Nazi era.

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Germany’s first national census took place in 1871 and subsequently, as in other countries, censuses were held at fairly regular intervals. The census held on 16th June 1933 (shortly after Adolf Hitler came to power) was nothing new, and we can assume that people were quite willing to provide the State with the required information. This included details of religious affiliation. Thus from the outset, the government obtained information concerning the number of practising Jews in Germany and related demographics. In 1933 who could have predicted the dangers of being identified as Jewish? Nobody could have foreseen that within 10 years government policy would result in the so-called ‘Final Solution’—the quest for the extermination of the Jewish race in Europe.

A subsequent census held in 1939 included a supplementary questionnaire intended to identify those deemed Jewish on the basis of ancestry. Kristallnacht (‘The Night of the Broken Glass’) with its spectre of burning Synagogues, destruction of Jewish property, and violent treatment of many Jews, had occurred only six months earlier. Everyday life was becoming increasingly brutal and intolerable for those who were now excluded from many aspects of society. Given the landscape of fear and persecution, the inclusion of the supplementary questionnaire is likely to have raised concerns. However in a cynical attempt to allay fears, the government decreed that after completion each questionnaire was to be sealed in an envelope and dispatched separately—thereby providing a suggestion of privacy—trust us, the information you provide will be treated confidentially. This may have been reassuring to some—and many may have continued to cling to the notion that, ‘If you keep within the law, then you have nothing to fear’. In fact by completing the questionnaire a targeted group (Jews) were revealing crucial information which when amalgamated with other data sources facilitated the planning and implementation of the Holocaust: ‘Preliminary census results published in 1940 indicated that 330,892 full Jews, 72,738 first-degree hybrids, and 42,8111 second-degree hybrids still resided within the German boundaries of May 1939.’ (Luebke 1994)

This history provides an important example that demonstrates that even anonymous personal information (i.e. information pertaining to the individual, which it is assumed cannot be linked back to a specific person), can have negative consequences for the

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individual. The 1933 and 1939 census data was not used to select specific people for deportation and death—rather the data provided demographic information which was used to support logistical operations such as those briefly outlined below. For many years, historians have tried to piece together the meticulous (and complex) systems that the Nazis put in place to support the Holocaust: ‘…the destruction of the Jews was an administrative process, and the annihilation of Jewry required the implementation of systematic administrative measures in successive steps.’ (Hilberg 1985)

Consider, for example, the initiation of a deportation. Frequently, Adolf Eichmann’s office at Gestapo HQ in Berlin would get the matter underway by sending out a directive to a particular region indicating the number of people to be rounded up. This clearly suggests that they had accurate knowledge of local Jewish populations. In addition, instructions contained in deportation orders might detail characteristics of those who were to be rounded up (e.g. age group, occupation, marital status, etc.). Consequently, Eichmann’s office simply needed demographic information, and census data was to hand. On receipt of a deportation directive, local Gestapo authorities would enlist the help of other agencies to fulfil the required quota. Here, the records held by the local police would have been invaluable as they contained the micro-data needed to select individuals and families. In short, Eichmann and co-workers appear to have avoided micro-management and simply specified deportation quotas and composition. This left the selection of the actual people to the local authorities, who dutifully sought to meet the specified targets. A key point to note is that the anonymous census data provided useful high-level information, although this cannot have been the sole source of information since by definition a census provides only a snapshot of society at a specific time. Further information would therefore have been needed to keep census data updated. However, precise details of the mechanisms employed remain a matter of scholarly debate.

3.2.5 Privacy Loss and Conformance Consider everyday life within a society in which diverse data collection and surveillance systems are ubiquitous. Let’s assume that we have no knowledge of the ways in which data will be amalgamated, processed and used. Figure 3.4 summarises some general effects that this may have on the promotion of conformance. Various indicative outcomes are briefly outlined below: 1: Law Enforcement: As previously mentioned, reduced levels of privacy facilitate law enforcement: ‘Privacy… is seen as the first impediment to combating crime, terrorism and other social ills.’ (Hosein 2006)

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Societal norms

Law enforcement strengthened

Suppression of dissent

Change in behavioural patterns

Conformance

Identification of ‘abnormality’

Suppression of creativity

Homogenisation

Privacy Loss

Fig. 3.4 Significant loss of important personal privacies coupled with the uncertain ramifications of extensive surveillance promotes conformance. Here we summarise various indicative consequences. See text for discussion

And Moor (1991) observes: ‘One cost of privacy is that it makes social and political institutions less effective which in turn may be detrimental to individuals.’

Certainly enhanced security and efficiency in governmental processes provide a strong argument for privacy erosion through increased data collection and surveillance systems. Acceptance of this notion presupposes that government can be trusted to only use information for purposes which discourage or prevent serious illegitimate activity which is fundamentally contrary to democratic processes. History provides us with abundant evidence that this is often not the case. Further as a consequence of ‘function creep’, it is likely that data will gradually be used for ever more purposes and as result will not simply be used to combat major criminal activity but rather to impose a broad range of much more trivial regulations. 2: Societal Norms: Reduced levels of privacy promote conformance to the broadly held expectations of government and society. 3: Suppression of dissent: Reduced levels of privacy not only erode our willingness to share dissenting views with others, but can also impact on participation in demonstration activities (including those which are crucial to the instigation, development and continuation of healthy democracy). Furthermore: ‘…Without privacy, freedom is weakened as individuals are without protection from [possible] retaliation. Without privacy, the individual is reduced to judgement of all-seeing observers, both public and private. Without privacy, people will never be able to organise peaceful assembly in opposition to Government without Government’s prior knowledge…’ (Hosein 2006)

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4: Change in Behavioural Patterns: It follows that significant reduction in privacy levels results in changes to a broad range of behavioural patterns. 5: Homogenisation: Following on from (4), we are likely to be more inclined to adopt behavioural patterns which ensure that we ‘fit in’ and that we stay off the proverbial radar by not attracting attention to ourselves: ‘…pose no challenge and you have nothing to worry about. Mind your own business, and support or at least tolerate what we do, and you’ll be fine. Put differently, you must refrain from provoking the authority that wields surveillance powers if you wish to be deemed free of wrongdoing. This is a deal that invites passivity, obedience, and conformity. The safest way to ensure being “left alone,” is to remain quiet, unthreatening, and compliant.’ (Greenwald 2014)

This suggests that we make a concerted effort to avoid being viewed as an ‘Other’ (see Sect. 3.6). Here, a central issue concerns an individual’s perception of threats that may be associated with ubiquitous surveillance. Perceived threat can in itself be sufficient to change behavioural patterns. This doesn’t mean that a person necessarily lives in a state of fear but rather that guarded caution becomes the norm. Consider, for example, the omni-present (but relatively primitive) surveillance that was conducted by the Stasi in East Germany (see Sect. 3.5), and which placed strong reliance on an informant-infused culture: ‘One does not detect from East Germans’ reflections on their past that they were gripped by a paralyzing fear, in the psychological sense of the word… but rather a deep resignation that one was not the master of one’s own destiny, that to run afoul of the Stasi, even unintentionally, was to sacrifice power over one’s life and the life opportunities of family members.’ (Quoted in Sloan and Warner 2016)

Surveillance can impact on participation in lawful and legitimate democratic protest which is crucial for the ongoing development of democratic processes. Thus, the use of video cameras by police to record those engaged in protest has significant ramifications. Such action is becoming increasingly common and raises questions about a lack of moderation in state surveillance. By way of example, cameras were used to record a peaceful protest by *350 people (relating to the current U.S. government’s attitude to climate change) which took place outside the New Zealand Parliament (Hunt et al. 2017). Arguably this type of surveillance activity could act as a double-edged sword by recording not only illegal/violent behaviour on the part of protestors, but also any inappropriate conduct of the police. However this perspective fails to recognise the ever-increasing capabilities of facial recognition systems (Sect. 4.4.1) and the opportunity to use video content to identify protestors with the intention of targeting them for broader surveillance. In turn, this risk (whether real or perceived) could deter people from participating in protest and hence endanger the provision of an important service to the broader wellbeing of society.

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6: Suppression of Creativity: Increased homogenisation negatively impacts on forms of creativity (which are often associated with questioning societal norms and may be inspired by strong individualism and by a lack of acceptance of the status quo). See OTU Activity 3.8. 7: Identification of Abnormality: The failure of a person to conform to the norms of a society may be viewed as representing abnormal behaviour, and as such he/she is likely to be considered suspect. Surveillance techniques can facilitate the identification and monitoring of such ‘abnormality’.

3.2.6 Privacy and Self-realisation We are complex multi-faceted creatures and even in our formative years we begin to filter the disclosure of aspects of our lives, characters, activities, etc. (recall Fig. 3.2 and associated discussion). Gradually, we learn to exhibit different characteristics in different situations (for example, in dealing with Albert and Bruce (OTU Activity 3.2) we are very likely to reveal different aspects of our lives and our personalities): ‘…a man has as many social selves as there are individuals who recognise him and carry an image of him in their mind.’ (Sloan and Warner 2016)

In developing our social and professional selves, we adapt to situational and contextual norms by drawing on facets of our individual nature. This does not imply that we continually demonstrate falsity in our relationships but rather that we are indeed truly multifaceted: ‘The power to conceive of ourselves in different ways, to harbour dissonant projects and perspectives, to inform our thoughts and lives with divergent categories and concepts, is integral to our identity as reflective human beings.’ (Quoted in Sloan and Warner 2016)

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Not only do we respond to and project ourselves differently in different situations (spatially), but also aspects of our multifaceted characteristics change over time (temporally). These spatial and temporal attributes support us as we strive to achieve our dreams and goals. Undoubtedly, they form a crucial ingredient in our lifelong quest for self-realisation.

Significant erosion of privacy values can make it increasingly difficult to retain (in a natural manner) aspects of our multifaceted nature, and may well promote falsity in behaviour. This applies not only in personal and professional relationships but also in our interaction with governmental authorities, for in a world of ubiquitous surveillance we risk being recipients of over-simplistic categorisation which fails to recognise the all so important temporal and spatial aspects of our complex selves, lives, and circumstances. It is also important to recognise that there are numerous other society-related factors which can negatively impact on self-realisation. These include poverty, discrimination, inequality, and poor standards of accessible health care and education. Whilst the erosion of privacy has negative consequences in respect of self-realisation, it is important to also bear in mind that digital technologies offer major opportunities to enhance access to improved health care, educational services and the like, thereby supporting larger numbers of people in fulfilling their goals and dreams. As emphasised throughout this book, problems are not usually inherently associated with technologies, but rather centre upon the diverse ways in which we use them.

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Human Recipient(s)

(a)

Human Originator(s)

Indirect Flow

Human Recipient(s)

(b)

Human Originator(s)

Black Box Integration

Human Recipient(s)

Mining and Algorithmic Analysis

Other Sources

(c)

Fig. 3.5 Privacy considered in terms of a flow of ‘information’ for three exemplar scenarios. See text for discussion

3.2.7 Privacy Loss to the Machine ‘They’re talking about things of which they don’t have the slightest understanding, anyway. It’s only because of their stupidity that they’re able to be so sure of themselves.’10

Our privacy values largely relate to mediating the flow of forms ‘information’11 between people. In Fig. 3.5, we summarise three general scenarios of this flow and these are briefly discussed below: 1: Direct Conveyance: This is depicted in Fig. 3.5(a) and we assume that information is exchanged without any intermediate media or technologies. Thus for example, during a conversation we may speak softly or go into a private space so that others are not privy to an information exchange. Information may directly relate to the originator who is fully (or partially) in control of the five privacy values (recall Sect. 3.2.1: what, why, who, when, and where) or may concern a third party. 2: Indirect Conveyance: In this case, we assume that ‘information’ flow is achieved via an intermediate media or technology. The ‘information’ may relate to the originator or to a third party who may have no control over the ‘information’ flow. In this latter case, and by way of example, recall that in the late 10

Kafka (1925). In this subsection we use the term ‘information’ in a very general sense.

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19th century, Samuel Warren and Louis Brandeis were particularly concerned about the impact of the proliferation of photography on personal privacies. The camera (or more specifically the film within a camera) acted as the intermediary and enabled potentially private visual content to be conveyed to others without restriction. Today indirect conveyance can be achieved using a broad range of technologies, and although these generally support information flow to other human recipient(s), in some cases the recipient may in fact be the originator. This is indicated in Fig. 3.5(b) (via the feedback pathway) and enables us to identify a further aspect of privacy. By way of example, consider the growth of personal devices which have the ability to monitor aspects of a person’s activities and/or state of wellbeing. These provide the opportunity to measure the extent to which a person takes exercise, exhibits indicators which suggest signs of stress, and may indirectly infer aspects of diet, alcohol consumption, and so forth. By feeding back and hence highlighting such information to the originator, it may encourage those who are living healthy lifestyles, and act as a warning to those who have room for improvement. This would seem to be entirely logical, but as previously discussed human behaviour is often not founded on logic. Indeed on reflection a person may be aware that he/she is drinking too much alcohol in the evenings, and partaking in too much ‘comfort food’, but the person may choose to push these matters to the dusty recesses of their minds. In fact it’s not uncommon for us to deliberately seek to keep some aspects of our past and current activities, state, and behaviours outside of our conscious awareness, well apart from the here and now. In so doing we extend privacy as a ‘right to be let alone’ to one that embraces a ‘right to be let alone—even from aspects of our own conscience’. For better or worse, some technologies can impinge on this human characteristic. 3: Black Box Integration: This scenario is depicted in Fig. 3.5(c) and relates to the acquisition of personal ‘information’ via a broad range of interconnected technologies. We employ the term ‘black box’ to emphasise that for the most part we have only a limited insight into the scope (diversity and profundity) of information which is stored or of the diverse ways in which it may be used. By ‘integration’, we are emphasising the spatial and temporal aspects of information acquisition—spatial relating to the diversity of possible sources and temporal to its gradual collection (and hence increasing profundity). To all intents and purposes, much of this information may be considered as entering a ‘black box’ which is impervious to our scrutiny. At the present time, it’s likely that much of this information will never be viewed by a human recipient but whilst it’s in existence, we can’t be at all sure of future ways in which it will be processed algorithmically by autonomous systems. The results of such processing may perhaps be viewed by a human recipient—or otherwise. This leads to the possibility of the results of data processed by one algorithm being eventually automatically processed by others, with some sort of tangible result ultimately being generated. This could potentially have serious consequences for the originator (or for others who are in some way connected with the originator).

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Morozov (2013) provides a keen insight into ways in which the mass acquisition and processing of personal data (which is a goal of both commercial organisations and government) may impinge on our future wellbeing. He presents a scenario in which: ‘Citizens take the role of information machines that feed the techno-bureaucratic complex with our data’

Armed with appropriate algorithms such data may be then employed to provide pre-emptive solutions to the problems of the individual and of society in general. Morozov quotes from a presentation made in 1985 by the then Data Protection Commissioner for the German State of Hesse, Spiros Simitis: ‘“Where privacy is dismantled… both the chance for personal assessment of the political… process and the opportunity to develop and maintain a particular style of life fade.”’

In essence, our abilities to understand decision-making processes and to act with individual freedom are eroded—we risk entry into a Kafkaesque world: ‘This is the future we are sleepwalking into. Everything seems to work, and things might even be getting better – it’s just that we don’t know exactly why or how.’ (Morozov 2013)

This raises the issue of our ability to interpret and so understand the results of complex data mining activities: ‘A non-interpretable process might follow from a data mining analysis which is not explainable in human language. Here, the software makes its selection decisions based upon multiple variables (even thousands)… It would be difficult for the government to provide a detailed response when asked why an individual was singled out to receive differential treatment by an automated recommendation system. The most the government could say is that this is what the algorithm found based on previous cases.’ (Attributed to Tal Zarsky quoted in Morozov 2013)

Generalising on this perspective, consider the case of a government which makes ever greater use of AI systems and data mining techniques—which would appear to be the current direction of travel. The role of government would gradually change to one whose role is to devise legislation which acts upon automatically generated results, so as to promote some activities and suppress others. As mentioned, in some situations this may lead to improvements, but not for reasons that are necessarily apparent. As a result we lose insight, and the opportunity to chart our future course is eroded. Of course for a long time government decisions have been often fundamentally based on the statistical analysis of data. However the scenario suggested in the previous paragraph is one in which data analysis is far more extensive and is based upon the opportunity to seamlessly explore diverse data pertaining to practically every aspect of human state and activity. In some respects this is a natural progression of the acceptance of the mass collection of personal data. For the most part we don’t give up this data (and associated privacy values) for philanthropic reasons in order to support the wellbeing of society, but rather because:

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‘…we release the data out of self-interest… We are too cheap not to use free services subsidised by advertising. Or we want to track our fitness and diet, and then we sell the data.’ (Morozov 2013)

The inextricable inrush of data provides a basis for changing the nature of government and the relatively easy means by which big data analytics can be undertaken has the potential to allow government to become involved in ever more areas of legislation (see the next section in which we briefly consider ‘control creep’). Furthermore, the proliferation of the Internet of Things (or Internet of Everything) provides the means of ensuring compliance. Morozov refers to the creation of ‘invisible barbed wire’ surrounding our social and intellectual lives which: ‘…limits our lives to a space that might look quiet and enticing enough but is not of our own choosing and that we cannot rebuild or expand. The worse part is that we do not see it as such because we believe that we are free to go anywhere…It’s the result of many different logics and systems – of modern capitalism, of bureaucratic governance, of risk management – that get supercharged by the automation of information processing…’

To add to this metaphor, such an enclosure would not be formed from physical substance, but rather from a complex coalescence of all the minuscule details of our lives that we have made available to the machine. Today we see governments becoming involved in many diverse areas. Burgeoning legislation doesn’t simply deal with major societal issues over which the individual has little control, but frequently extends to, for example, aspects of personal responsibility. Some refer to this as representing the growth of the ‘nanny state’, whereby government purports to influence the behaviour of the individual. From eating and drinking habits through to our personal health/safety and aspects of our interactions with others, governmental policies are implemented. As a result, personal responsibility is gradually eroded—and in this context, the complex data mining scenario offers untold possibilities for the engineering of human behaviours. In such a world, ‘incantations’, ‘potions’ and other inexplicable ‘activities’ would not be promoted by medieval witchcraft but rather by a response to apparently infallible (and possibly unfathomable) big data analytics. For after all, in an environment in which the machine becomes the all-knower, who is there to question ‘progress’: ‘It is not necessary to accept everything as true, one must only accept it as necessary.’ (Kafka 1925)

3.3

The Misnomer of Complete Security

Some years ago, I planned to establish practical-based project work as part of a first year undergraduate course which I was shortly to deliver. In essence, the intention was to provide students with introductory experience in using Arduino’s for data collection and control. Unfortunately I was soon forced to abandon this goal because the use of soldering irons by students was deemed to be a safety hazard: students might burn their fingers…

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The University had a safety policy such that even the slightest of ‘accidents’ was supposed to be reported. The result of reporting the smallest of cuts gave rise to extensive follow-up administration, apparently with the intention of putting in place yet another process to ensure that a similar accident could never happen again.12 Safety hazards will always be associated with practical activity and ultimately there is a need to attain a sensible balance between benefit and risk. However, people with differing levels of skills and experience are unlikely to gauge this balance in the same way, and when there is the possibility of legal ramifications administrators will invariably err on the side of caution. In the case of practical work within educational programmes, this outlook has tended to foster a move to replace hands-on activity with simulation, and whilst the latter can provide valuable training, in many situations real practical experience is essential (smoke does not issue from simulated electronic components…). Similarly many parents experience difficulties in striking an appropriate balance between the freedom and security of their offspring. Some parents curtail freedoms in order to better ensure the safety of youngsters, whereas others are more willing to allow their children to take risks, perhaps assuming that their judgement and self-responsibility can be trusted. Naturally this applies not only to traditional freedoms, but also in respect of their access to, and use of, technologies. Attaining an appropriate balance between freedom and security becomes even more problematic when we consider the imposition of some governmental controls. For example, in the case of terrorist attacks, there is a tendency to seek seemingly simple technology centric solutions. Unfortunately, the effect of this approach tends to be cumulative and whilst each security-related development can usually be readily justified (and tends to be accepted in its own right as a reasonable and prudent move) over time there is a gradual, and scarcely noticed, erosion of freedoms and privacies. In this context, it is instructive to contrast the current response to terrorism in countries such as the UK with the way in which terrorist events were handled in the not too distant past. Consider the 1970s and 1980s when there was a spate of aircraft hijackings and bombings which resulted in many deaths. For example, on 21st December 1988 Pan Am flight 103 left London on a routine transatlantic voyage. On reaching an altitude of *31,000 feet over Scotland a bomb detonated killing 270 people. Similarly from the early 1970s through until the 1990s, the IRA waged a major bombing campaign in the UK mainland, killing and maiming large numbers of people. However, neither airline terrorism nor IRA bombings resulted in major curtailment of traditional freedoms, and certainly in the case of the IRA onslaught although people became more security conscious, it was very much a case of adopting the wartime adage: ‘business as usual’. In another university, even as highly qualified engineers, academic staff were not allowed to fit mains plugs, correct the time of wall mounted clocks or change faulty light bulbs. I learnt that restrictions in relation to clocks and personal office light bulbs were in place as these activities involved standing on a chair (with the risk of possibly falling off). Consequently when my office light bulb failed, I had to report the matter and some weeks later an outside contractor arrived to carry out the 20 second task. In the interim I had worked each day in semi-darkness.

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However, the events which unfolded in the U.S. on 11th September 2001 gave rise to a quantum transition in the policies of many governments. I recall that on that day I was taking an early morning flight from Auckland to Wellington. At that time, in the case of internal New Zealand flights, there was little security (for example, hunters would often be seen boarding flights with their rifles carried as cabin baggage). As I waited to board my flight, I watched on an airport TV the unfolding news. Little did I realise, that on that morning I would be one of the last passengers to board a commercial internal NZ flight without the need to pass through a metal detector. When later in the day I flew back to Auckland metal detector screening systems had been deployed—and were fully operational. Rather than viewing it as a quantum transition, Innes (2001) considers the so-called ‘War on Terror’ as part of a progression of other forms of crime, and writes: ‘…the war on terror, draws upon and recursively amplifies discourses associated with the established fight against crime.’

Which could perhaps suggest that the rapid deployment of metal detectors for use with internal NZ flights was a foregone conclusion—it was just a matter of awaiting a significant event or pretext which would justify their use? Innes (2001) drawing on Becker (1969) suggests that: ‘The popular concern generated by the occurrence of signal crimes and the reaction to them can be used by ‘moral entrepreneurs’, who can then seek to make political capital by demanding reform of the law, or the introduction of new procedures and/or technologies to manufacture an enhanced sense of security.’

Here, the expression ‘signal crime’ is used in relation to a relatively small number of crimes which receive high profile media coverage, which typically involve violence perpetrated towards innocent victims, and which strongly suggest to society that there is a problem that needs to be addressed. Innes suggests that the 2001 terrorist activities in the U.S. fall into this category, and he makes a number of interesting points and observations. He adopts the term ‘control creep’ in reference to the burgeoning mechanisms which are being put in place to allay our individual and collective fears regarding crime and terrorism: ‘Diverse social institutions have been increasingly co-opted into the collective search for security, as people try to allay their often inchoate fears about the dangers that might assail them as they go about their everyday lives.’ (Innes 2001)

Further, he suggests that ‘control creep’ can be fuelled by partial failure. For example, when signal crimes occur, societal reaction demands that something must be done to prevent any further occurrence Governments respond by putting limited measures in place. When these measures fail to prevent a further related problem they are expanded, and so on: ‘…so that what was initially a limited reform, undergoes a series of progressive adjustments, and thus gradually develops into an important regulatory programme potentially affecting many different areas of social life.’

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Because the process is gradual, its profundity may be barely noticed. But the quest for complete security is continually thwarted as those of ill-intent adapt and find new ways to carry out their activities. Importantly Innes suggests that: ‘…the ‘de-traditionalization’ of society,… has established a reactionary demand for enhanced controls and security.’

Societal traditions are of course temporal and hence this observation is best considered in spirit rather than in precise detail. However, it does provide a possible explanation for differences in the ways in which society in the UK perceived (and reacted to) terrorist activity in the 1970s (see above), as compared with the reaction to current terrorism. In the case of the former, a significant proportion of society and members of government had lived through a world war and so had spent their formative years in an environment in which personal safety was frequently threatened. Fear was therefore no stranger to them and those engaged in warfare were fighting for what they believed were traditional freedoms. Consequently, in the 1970s the fear evoked by terrorist activity was proportionate and there was perhaps an unwillingness to counter this activity by dispensing with hard-won freedoms. Today, ‘de-traditionalization’ has impinged on very many aspects of society (a case may in fact be made suggesting that it is endemic), and there is a widely held belief that technologies can be used to solve society’s problems. Industry is keen to capitalise on this by convincing governments that technologies do indeed offer solutions, and society is being conditioned to believe that with strong enough measures, signal crimes can always be thwarted. Of course when employed judiciously, technologies have a vital role to play in truly supporting our security, as opposed to giving the impression of doing so by ‘manufacturing an enhanced sense of security’ (Innes 2001). And there is some truth in the belief that giving up privacy values and other traditional freedoms can enhance the security of the individual. But as previously mentioned, people have widely differing expectations in respect of the appropriate balance between freedom and safety, and consequently we are unlikely to find a melange which will satisfy everyone. One person may view a particular freedom as being of little consequence, whilst to another the freedom may be something which they dearly cherish and their life may be impoverished by its loss. Others may be indifferent to the opportunity offered by a specific freedom but may still oppose its curtailment, simply because this limits their freedom of choice. Matters are further complicated by the differing confidence that people have in technology as a means of solving complex problems. In Fig. 3.6, we loosely identify four Quadrants which help us to reflect on the manner in which we choose to balance the different variables (also see OTU Activity 3.9). Finally, it is important to continually bear in mind that the quest for technology-driven solutions does not necessarily mean that freedoms are inherently eroded—indeed if used wisely, technology could have quite the opposite effect (Quadrant 2 of Fig. 3.6).

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Technology centric solutions

Quadrant 1 Safety based on the curtailment of various traditional freedoms

Quadrant 2 Increasing Freedom

Quadrant 4

Quadrant 3

People centric solutions

Fig. 3.6 As discussed in the text, people have widely differing opinions as to the extent to which they are willing to give up freedoms in order to obtain greater security. In parallel, people also have widely differing opinions of the ability of technology-driven (as compared to people driven) solutions to solve complex human problems. See OTU Activity 3.10 for related discussion

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EULAs: Who Bothers to Read Them?

Let’s assume that Albert (recall his introduction in Sect. 2.2.1) regularly attends his local church and is strongly involved in church-based activities. Further, suppose that during one service a person from a well-known charity gives a brief talk in connection with her work in helping homeless refugees. She asks the members of the congregation to consider agreeing to covenant £5 per month to the charity and eloquently explains how this money will be used to provide direct support—specifically in relation to food, shelter and the education of the young. As Albert leaves the church he’s offered a copy of the agreement which will permit the £5 to be automatically transferred each month from his bank account to the charity. In short we are considering a scenario in which a person is asked to enter into an agreement with an organisation to support charitable work which is endorsed by his church (in which we assume he has complete confidence). Further, the agreement concerns a very small financial commitment. There can be little (if any) doubt that before signing and returning the document, Albert will read any ‘small print’ with care. Indeed, invariably when we are presented with paper-based contracts we examine the contents before signing. There are of course exceptions which relate to situations in which the ‘small print’ is difficult to read and understand. Agreements used by international car hire companies provide a sound example of the inclusion of complicated legalise which is printed using a particularly small sized font. In such a situation, we assume that the terms and conditions are reasonable and contain no hidden and unwelcome surprises. And after a longhaul flight and lengthy waiting period at a hire car agency kiosk, there is little that we can do other than to sign here, here, and here—and just hope that all will be well. In the case of software and hardware End User Licence Agreements (EULAs), we adopt a similar strategy. These are often designed to deliberately discourage perusal and we generally click on ‘I Agree’ without much if any thought as to exactly what we are agreeing to. However just as in the case of Albert signing a document in which he agrees to support a charitable organisation, or a person signing a hire car agreement, EULAs represent legally enforceable contracts. They are presented to us on a ‘take it or leave it’ basis (see OTU Activity 3.11).

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The legal nature of the contract is spelt out clearly in, for example, the YouTube EULA: ‘The Terms form a legally binding agreement between you and YouTube in relation to your use of the Service.’

We have no ability to negotiate terms, and unlike traditional paper-based contracts they do not require a signature—a simple mouse click is all that it takes to become legally committed: ‘[EULAs] – the fine print you never read but always agree to whenever you download software, sign up for a subscription service, or buy a gadget – have been used to create a parallel legal system that gives companies carte blanche to force you into terms that you can’t negotiate.’ (Koebler 2017a)

Very few of us put time aside to read such agreements, as demonstrated in a study conducted by Bakos et al. (2014) who write: ‘We track the Internet browsing behaviour of 48,154 monthly visitors to the web sites of 90 online software companies to study the extent to which potential buyers access the end-user license agreement. We find that only one or two of every retail software shoppers access the license agreement and that most of those who do access it read no more than a small portion.’

1

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Table 3.1 Indicative length of EULAs for six exemplar applications. In relation to the page count, each EULA was simply copied into a Word document and reformatted in Garamond 12. No attempt was made to alter the general formatting of the text and so various EULAs contained some double spaced lines. The page count should therefore simply be treated as being indicative. Application

Indicative page count (A4)

Indicative word count

Facebook Microsoft Windows Apple Apps Paypal Linkedin Youtube

7.5 9.5 2.5 42 15 8.5

3,500 6,000 1,500 21,000 5,100 3,500

Table 3.1 provides an indicative indication of the length of a number of exemplar EULAs and it may be argued that there is little point in studying these documents. If an end user downloads apparently free software, isn’t asked to provide credit card details and isn’t asked to supply his/her physical address, then the software vendor has little chance of extracting money from the user. And for many people, financial liability may be their only concern. Furthermore, even if you do study the EULA, the individual is powerless in terms of negotiating particular clauses; as suggested by Newitz (2005) these contracts ‘are more like legal mandates’. Consequently, a typical end user’s reaction may well be summarised in the following remark: ‘So nowadays, like everyone else, I skim over them [EULAs] and have that same thought: I’d rather deal with the consequences of blindly signing this than have to read it.’ (Glancy 2014)

And generally there may well appear to be no tangible ramifications of hitting the ‘I Agree’ button—particularly when dealing with software. However in the case of hardware products, this is not always the case, as demonstrated by, for example, the EULA used by one major manufacturer of farm machinery in the U.S.: ‘A license agreement… required farmers to sign in October forbids nearly all repair and modification to farming equipment, and prevents farmers from suing for “crop loss, lost profits, loss of goodwill, loss of use of equipment”… The agreement applies to anyone who turns the key or otherwise uses a… tractor with embedded software. It means that only… dealerships and “authorised” repair shops can work on newer tractors…’13 (Koebler 2017b)

Whilst a user is in principle able to change a component, the machinery will subsequently not operate until a technician from the tractor manufacturing company has made a site visit and configured the tractor software to authorise the replaced part. Naturally, a charge is made for each visit.

13

The name of the company has been removed.

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Signing up to EULAs associated with applications such as Facebook, and Linkedin doesn’t lead to such frustrations—the ramifications are more subtle and often centre on the conveyance of personal rights to the company concerned. Thus, for example, in the case of Facebook, we see that: ‘You own all of the content and information you post on Facebook, and you can control how it is shared through your privacy and application settings’

Which appears to be quite reassuring—however, the document goes on to indicate that: ‘For content that is covered by intellectual property rights, like photos and videos (IP content), you specifically give us the following permission, subject to your privacy and application settings: you grant us a non-exclusive, transferable, sub-licensable, royalty-free, worldwide license to use any IP content that you post on or in connection with Facebook (IP License).’

Which is somewhat more intrusive—and in short: ‘With these terms companies are saying ‘you own your content, but we can just use it however we want.’ (Attributed to Callum Sinclair – and quoted in Smith 2013)

The Facebook EULA also indicates that: ‘By using or accessing Facebook Services, you agree that we can collect and use such content and information in accordance with the Data Policy as amended from time to time.’

And: ‘You give us permission to use your name, profile picture, content, and information in connection with commercial, sponsored, or related content (such as a brand you like) served or enhanced by us. This means, for example, that you permit a business or other entity to pay us to display your name and/or profile picture with your content or information, without any compensation to you.’

Suppose that at some future date a Facebook user decides that he/she wishes to better protect the privacy of their children. With this in mind, they begin to have second thoughts about having shared many family photos. However, closing a Facebook account doesn’t necessarily result in the immediate removal of content. Whilst it seems reasonable that: ‘When you delete IP content, it is deleted in a manner similar to emptying the recycle bin on a computer. However, you understand that removed content may persist in backup copies for a reasonable period of time (but will not be available to others).’

However: ‘This IP License ends when you delete your IP content or your account unless your content has been shared with others, and they have not deleted it.’

Thus, the digital footprint that we create for ourselves or for others by using products such as Facebook isn’t readily expunged (and we usually have little chance of verifying deletion). Many other companies employ EULAs which are

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generally similar in content. For example, when you upload or post content to YouTube, you grant: ‘…to YouTube, a worldwide, non-exclusive, royalty-free, transferable licence (with right to sub-licence) to use, reproduce, distribute, prepare derivative works of, display, and perform that Content in connection with the provision of the Service and otherwise in connection with the provision of the Service and YouTube’s business, including without limitation for promoting and redistributing part or all of the Service (and derivative works thereof) in any media formats and through any media channels;’

And so, when we upload content to YouTube, it can be freely used not only by YouTube—but also by anyone else to which it is licensed by the company. Similarly in the case of Linkedin (and many other companies): ‘You own all of the content, feedback, and personal information you provide to us, but you also grant us a non-exclusive license to it.’

This is further clarified: ‘You promise to only provide information and content that you have the right to share, and that your LinkedIn profile will be truthful. As between you and LinkedIn, you own the content and information that you submit or post to the Services and you are only granting LinkedIn and our affiliates the following non-exclusive license: A worldwide, transferable and sublicensable right to use, copy, modify, distribute, publish, and process, information and content that you provide through our Services, without any further consent, notice and/or compensation to you or others.’

And even in the case that you close your Linkedin account: ‘We clarified that re-shares of your content survive the termination of your content license to us.’

As for Apple Apps, at the outset, the agreement indicates: ‘Apps made available through the App Store are licensed, not sold, to you. Your license to each App is subject to your prior acceptance of either this Licensed Application End User License Agreement… if you sell your Apple Device to a third party, you must remove the Licensed Application from the Apple Device before doing so.’

And if the licensed App doesn’t work properly, your rights are explained in capital letters: ‘YOU EXPRESSLY ACKNOWLEDGE AND AGREE THAT USE OF THE LICENSED APPLICATION IS AT YOUR SOLE RISK. TO THE MAXIMUM EXTENT PERMITTED BY APPLICABLE LAW, THE LICENSED APPLICATION AND ANY SERVICES PERFORMED OR PROVIDED BY THE LICENSED APPLICATION ARE PROVIDED “AS IS” AND “AS AVAILABLE,” WITH ALL FAULTS AND WITHOUT WARRANTY OF ANY KIND, AND LICENSOR HEREBY DISCLAIMS ALL WARRANTIES AND CONDITIONS WITH RESPECT TO THE LICENSED APPLICATION AND ANY SERVICES, EITHER EXPRESS, IMPLIED, OR STATUTORY, INCLUDING, BUT NOT LIMITED TO, THE IMPLIED WARRANTIES AND/OR CONDITIONS OF MERCHANTABILITY, OF SATISFACTORY QUALITY, OF FITNESS FOR A PARTICULAR PURPOSE, OF ACCURACY, OF QUIET ENJOYMENT, AND OF NONINFRINGEMENT OF THIRD-PARTY RIGHTS. NO ORAL OR WRITTEN INFORMATION OR ADVICE GIVEN BY LICENSOR OR

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ITS AUTHORIZED REPRESENTATIVE SHALL CREATE A WARRANTY. SHOULD THE LICENSED APPLICATION OR SERVICES PROVE DEFECTIVE, YOU ASSUME THE ENTIRE COST OF ALL NECESSARY SERVICING, REPAIR, OR CORRECTION. SOME JURISDICTIONS DO NOT ALLOW THE EXCLUSION OF IMPLIED WARRANTIES OR LIMITATIONS ON APPLICABLE STATUTORY RIGHTS OF A CONSUMER, SO THE ABOVE EXCLUSION AND LIMITATIONS MAY NOT APPLY TO YOU.’

The final sentence makes it clear that you have no redress, unless perchance you happen to be protected by law in your country of residence. The EULA goes on to indicate that: ‘You also agree that you will not use these products for any purposes prohibited by United States law, including, without limitation, the development, design, manufacture, or production of nuclear, missile, or chemical or biological weapons.’

Consequently, in clicking on the ‘I Agree’ button, you are in fact agreeing to conform with U.S. law irrespective of your geographic location. This is the case with numerous other EULAs, and in parallel consent is frequently sought for data transfer to the U.S. For example, in the case of Facebook: ‘You consent to having your personal data transferred to and processed in the United States.’

Of course many people are likely to believe that EULAs have little meaning because they are too difficult to enforce internationally and that large organisations have better things to do than follow up on the contractual infractions of individual end users. Thus, for example, in the case of the YouTube EULA we see that: ‘You agree that Content you submit to the Service will not contain any third party copyright material, or material that is subject to other third party proprietary rights (including rights of privacy or rights of publicity), unless you have a formal licence or permission from the rightful owner, or are otherwise legally entitled, to post the material in question and to grant YouTube the licence…’

As we know, many users upload films, TV programmes, and the like to YouTube despite not being the copyright holder. Consequently it would appear that this clause in the EULA (along with many others) isn’t strongly enforced. Indeed an individual’s failure to comply with the terms of EULAs (which would be hardly surprising since so few people read them) doesn’t seem to be of particular consequence. If we were to assume that the purpose of a EULA is to modify end user behaviour so as to uphold principles associated with copyright, then it would be logical to develop EULAs in such a way as to make them readily understandable to users through the use of brief and clear language. This is usually not the case. Alternatively, if we assume that an important facet of many EULAs is to gain rights from end users (without them realising the ramifications of clicking on ‘I Agree’), then organisations have no reason to encourage users to peruse their EULAs. A complex and tedious EULA may be deemed to be beneficial to an organisation which seeks to maximise self-benefit. For further discussion see OTU Activity 3.12.

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The Stasi: A World of Surveillance ‘Everyone is guilty of something or has something to conceal. All one has to do is look hard enough to find what it is.’14

Here we briefly discuss aspects of life in the German Democratic Republic (Deutsche Demokratische Republik, more widely known as East Germany) during the period extending from the early 1950s through to 1990. This was an era in which the Ministry for State Security (Ministerium für Staatssicherheit), which is invariably referred to as the Stasi, infused ubiquitous surveillance across all levels of society and wielded draconian powers. Following on from our previous discussion concerning the crucial importance of personal privacy, an examination of life in the Stasi surveillance state provides a chilling demonstration of the effects of relatively primitive privacy erosion techniques: ‘The very knowledge that the Stasi were there and watching served to atomise society, preventing independent discussion in all but the smallest groups. In this sense they were far from being a very ‘secret’ service, and would perhaps best be described as the Party’s ‘scarecrow’. It seemed that until the end of 1989, that potential terror was as effective as real terror.’ (Popplewell 1992)

The Stasi operated on many levels with an overarching objective of supporting the ruling government (the Party). This is reflected in the organisation’s motto, ‘Schild und Schwert der Partei’ (Shield and Sword of the Party). Amid a backdrop of the

14

Solzhenitsyn (1991), quoted in Solove (2007).

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Stasi appearing to wield absolute power they were able to recruit large numbers of informers, and numerous incentives were used to encourage people to spy on and report the actions and behaviours of friends, colleagues, and even family. Some participants were paid informers, some were coerced, and others realised that failure to participate would negatively impact on their education, careers, and daily lives. The revelations of Edward Snowden (see Sect. 3.7) provided an insight into the extent and profundity of the NSA’s activities in undertaking global surveillance operations on an unprecedented scale. This has led to comparisons being made between the operation of the NSA and the Stasi, in respect of their intrusive quests for personal information and a disregard for the fundamental right to personal privacy (recall Article 12 of the Universal Declaration of Human Rights (Appendix A)). The validity of such a comparison is briefly discussed by Rietman (2015) in a brief article entitled ‘No, The NSA isn’t like the Stasi—and Comparing them is Treacherous’. He writes: ‘…the two agencies are very different. In its effort to control East Germany, the Stasi made its presence felt in every sphere of life. Its power rested not only in the information its surveillance yielded but in the fear and distrust that collection instilled. The NSA, on the other hand, operates best in the dark, its targets unaware of its existence, let alone its dragnet data-gathering.’

However, following the Snowden revelations, there can be relatively few users of computer technologies who remain unaware of the existence of the NSA and its seemingly unquenchable thirst for data. In short, Snowden turned a spotlight on the NSA—although as Rietman indicates: ‘…the public reaction was more a bored yawn than outraged howl.’

Undoubtedly many differences exist between the NSA and the Stasi. In Fig. 3.7 a number of indicative differences (which are relevant to our current discussions) are suggested and are briefly discussed below:

Surveillance visibility

Scope

Techniques

National Security Agency (NSA)

Ramifications

Targeting

Associations

Objectives

Fig. 3.7 Indicative facets of the NSA which are relevant to our current discussions and which significantly differ from characteristics associated with the Stasi. See text for discussion

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1: Surveillance Visibility: Although as indicated above the existence of the NSA is well known, its activities in respect of data collection are generally somewhat covert. In contrast, the Stasi was highly dependent upon an extensive network of informers and employed techniques which were much cruder and more intrusive (the steaming open of letters, cutting spy holes in walls, use of apartment superintendents (‘Hausbuchbeauftragter’), etc.). Although after German reunification many people were most surprised to learn that they had been the victims of significant Stasi surveillance, there can be little doubt that in general terms surveillance (in its many forms) formed an evident backdrop to everyday life. 2: Ramifications and Objectives: The Stasi had extensive powers and, as will be discussed shortly, the results of their surveillance activities could (and often did) have a profound effect on the life of the individual. In contrast, the ramifications of the surveillance activities of the NSA have little if any impact on the general public. Why should the average law abiding citizen care about the existence of the NSA—a typical reaction being ‘If the NSA wants to target me, they’re welcome – and will probably fall asleep with boredom’ (see OTU Activity 3.13). Whilst the extensive funding and growth of the NSA has apparently been catalysed by the so called ‘War on Terror’, uncertainty surrounds its ultimate objectives and ramifications. If indeed knowledge is power (see, for example, Fig. 3.8), and given the fact that data forms the key ingredient upon which

Fig. 3.8 An official seal designed for the U.S. ‘Information Awareness Office’ (IAO) that was established in response to the 11th September 2001 terrorist attacks. The IAO funded the research and development of the Total Information Awareness Program. Subsequently this was renamed the Terrorism Information Awareness Program. The motto ‘scientia est potentia’ was used to suggest that ‘knowledge is power’. (Image source: U.S. Federal Government [Public domain])

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knowledge is based, it is evident that the NSA wields formidable power. It follows that opportunities for abuse abound: ‘With that much information at hand, the potential for abuse increases [particularly within a governmental organisation which is not subjected to close and continuous public scrutiny]. Anyone who argues that only criminals have to fear the police…would do well to look back at Richard Nixon’s Enemies List or J. Edgar Hoover’s FBI which used data on the sex lives of American politicians and civil rights activists to twist arms and end careers.’ (Rietman 2015)

In the case of the Stasi, there are seemingly countless examples demonstrating how information gained by means of rudimentary surveillance techniques (as judged by today’s standards) was used to manipulate and even destroy lives. Technologies have placed the NSA and other related organisations in a far stronger position to do likewise.

3: Associations: The Stasi was inextricably linked to the KGB and was widely viewed as a communist organisation intended to suppress freedoms through the ruthless imposition of a police state. In contrast, the NSA is a U.S. government organisation which is linked internationally with organisations such as the British GCHQ. In short, whilst in terms of its origins, associations, and activities, the Stasi was viewed in a most unfavourable light; the NSA appears to have credentials which suggest to many that its remit is limited to identifying terrorists and preventing acts of terrorism. 4: Scope and Targeting: The Stasi operated both nationally and internationally. However, given its strong reliance on human-based surveillance techniques, physical files and limited computer-processing facilities, its surveillance capabilities now seem to be almost infantile when compared with those available to the NSA and similar organisations. This limited the Stasi’s capabilities at all levels—particularly internationally, given that they did not have access to a very extensive global network of informants. In contrast, the NSA is equipped to carry out much broader surveillance activities and is not forced to limit the scope of its data dragnet to targeted individuals. Furthermore its activities are facilitated by the large percentage of global Internet traffic which is routed through the U.S.

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5: Techniques: As indicated above, when viewed from the perspective of today’s technologies, the surveillance techniques used by the Stasi were relatively inefficient. For example in the case of an indicative ‘Observation Report’: ‘Stasi agents recorded the movements of a forty-year-old man for two days… They watched him as he dropped off his laundry, loaded up his car with rolls of wallpaper, and drove a child in a car “obeying the speed limit,” stopping for gas and delivering the wallpaper to an apartment building… The Stasi agent appears to have started following the target at 4:15 pm, on a Friday evening. At 9:38 pm, the target went into his apartment and turned out the lights. The agent stayed all night and handed surveillance to another agent at 7.00 am… That agent appears to have followed the target until 10 pm.’ (Angwin 2014)

At first glance much of the information obtained by this sort of surveillance work seems to be of an entirely trivial nature. But as with today’s technology-based surveillance, when viewed collectively, even the most seemingly innocuous pieces of information can provide a revealing insight into a person’s, history, beliefs, aspirations, preferences, and activities (also see OTU Activity 3.14). As Cardinal Richelieu (1585–1642) remarked: ‘If you give me six lines written by the hand of the most honest of men, I will find something in them which will hang him.’

As we have noted, the Stasi’s ability to carry out extensive surveillance in East Germany relied on the growth of a huge network of informers. In many cases, informers appear to have been willing participants and, in this context, it is interesting to note that some informers operated independently of the Stasi: ‘…totally normal citizens of East Germany who betrayed others: neighbours reporting on neighbours, schoolchildren informing on classmates, university students… Hedwig Richter a professor at the University of Greifswald, speaks of a “stunning reporting machinery”. Wide swaths of society were a part of it, she says. “There were institutionalised structures outside of the Stasi that produced daily and weekly reports.” Whether in city hall, at the steel factory or inside the local farming collective: “Everyone who had a position with some measure of responsibility filed reports”… Eavesdropping and informing on neighbours and colleagues was completely normal for many…’ (Wensierski 2015)

Thus it appears that at some levels of East German society, the Stasi drew upon and exploited base human attributes: an interest in prying into other peoples’ lives (thereby casting the privacy rights of others to one side) was coupled with a willingness to pass information derived from such activity to those in authority. And here we see that particularly negative human characteristics can play an important role—the informer may have many reasons for their activities ranging from self-interest (e.g. career advancement), through to jealousy, spite,

3.5 The Stasi: A World of Surveillance To pry or to spy With coercion Blackmail Threats Bribery

Motivation

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Without coercion Self interest Jealousy Prejudice Self satisfaction Political interests

To inform

Fig. 3.9 Here we summarise indicative influences which can induce people to inform (without necessarily considering the effect of their actions on the person concerned). In addition there is a need to include reasoned persuasion and the development of a societal framework in which the act of informing on others is cultivated at an early age (such that in some cases it became an unquestioned norm). Naturally, the ‘best’ informers are usually those who are willing participants, such that coercion is unnecessary.

prejudice, and perhaps even a wish to feel important (see Fig. 3.9). Some informers may well have felt pangs of guilt when first engaging in the activity— although there can be little doubt that informing becomes easier with practice. In addition, the promotion of an ‘informer’ ethos in schools and other youth organisations is likely to have suggested to some that informing on others was a societal norm to be practiced without question: ‘Some began practicing denunciations in childhood, as part of the Young Pioneers, and then as teenagers as part of the FDJ. Files were even kept of schoolchildren.’ (Wensierski 2015)

The fact that so many people were willing to engage in rampant denunciation (either via the Stasi or through alternative channels), often without coercion and on their own initiative, ‘legitimised the government’s surveillance needs’ (Wensierski 2015). This legitimisation was reinforced by the participation of professionals. For example, *5% of medical doctors acted as unofficial members of the Stasi, reporting on their patients and colleagues: ‘Psychiatrists and sports medicine experts were the most common specialists among the unofficial spies, and a third of them held a leading position in a hospital.’ (Tuffs 2007)

It would be an oversimplification to suggest that widespread voluntary participation was solely based upon the pervasive nature of the surveillance state that the Stasi so successfully established. This is demonstrated by the fact that from time to time some citizens of West Germany were also willing to inform on people living in East Germany. Here again we see the emergence of some of the human factors indicated in Fig. 3.9 which can result in ethical behaviour being firmly cast to one side. For example:

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‘A…West German informant, who called the East [Germany] four times…had a problem relating to cross-border love. Her ex-husband, she reported, wanted his East German lover to join him in the West – a plan the calls likely nipped in the bud.’ (Wensierski 2015)

And: ‘A West German businessman… offered his services as an informant during a convention in Leipzig. “I would like to give you a tip pertaining to the smuggling of pornography into the DDR [East Germany]…. The smuggler is currently in Leipzig”…“This is a small payback because he badly harassed me and talked very poorly of your country. This is a bit of revenge!”’ (Wensierski 2015)

The Stasi’s success in creating a climate of denunciation in which it was impossible to know who could be trusted as a true friend and confidant, or indeed as a loyal family member generated a climate of self-censorship and a need to try to conform (or appear to do so)—to stay firmly off the radar. As we have already observed, in such a climate the loss of privacy stifles creativity and poisons the development of true democratic processes. In today’s technology-centric world, the availability of sophisticated surveillance techniques enables the (almost effortless) collection of personal data without recourse to the web of human informants which underpinned the East German surveillance state. Denunciation remains a powerful tool particularly when supported by current social media platforms, and is increasingly used by various governments to erode popular support for dissidents. There is nothing new about this, other than the sophistication of the integrated systems which can be used to support the activity. As we have already noted, so many basic human characteristics have changed little with the passage of time: some people appear to be willing to go to any lengths to support their beliefs or agenda. By way of example, consider the so-called ‘suicide letter’ which was sent to Rev. Dr. Martin Luther King in November 1964. This is reproduced in Fig. 3.10—and makes unpleasant reading—all the more so when we note that this anonymous letter was actually formulated and sent to King by one or more figures in the FBI (with the clear intention of persuading him to commit suicide). In the lead-up to the mailing of this letter the FBI had been targeting a significant surveillance programme at Martin Luther King and his associates (including bugging his phones and hotel rooms). This enabled them to obtain extensive information in respect of his intimate relationships which provided a basis by which the head of the FBI (J. Edgar Hoover) sought to denounce King: ‘…FBI officials began to peddle information about King’s hotel-room activities to friendly members of the press, hoping to discredit the civil rights leader. To their astonishment, the story went nowhere.’ (Gage 2014)

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Fig. 3.10 A copy of the anonymous letter that was sent to the Rev. Dr. Martin Luther King in 1964 following the extensive surveillance that was directed towards him and his associates. It appears that this may have been timed in an attempt to prevent him from travelling to Oslo to receive the Nobel Prize. (Source: FBI [Public domain])

Empowered with today’s social media platforms, the FBI would of course have had no difficulty in denouncing King: ‘Today it is almost impossible to imagine the press refusing a juicy story. [Today] perhaps though, he never would have had the chance to emerge as the public leader he ultimately became.’ (Gage 2014)

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Even Albert Einstein was the target of significant FBI surveillance: ‘By the time of Einstein’s death on April 18 1955, The FBI file would be 1,427 pages long. Agency director J. Edgar Hoover was deeply suspicious of Einstein’s activism; the man was quite possibly a communist, according to Hoover, and was certainly “an extreme radical.”’ (Wablrop 2017)

In fact: ‘…For the five remaining years of his life, Einstein was subjected to a full-dress FBI campaign, complete with wiretaps and “bugs” intended somehow to connect him with espionage.’ (March 2002)

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Despite this effort, the FBI was unable to obtain material needed to denounce him. It is amusing to note that: ‘The first entry in the file predates Einstein’s emigration to the United States. It is a lengthy document prepared by the “Woman Patriot Corporation”, an organization of eastern establishment “bluebloods”. It offers a litany of Einstein’s subversive ideas, including the theory of relativity itself, which it claims was deliberately constructed to leave “… the laws of nature and the principles of science in confusion and disorder”’. (March 2002)

3.5.1 Zersetzung: Gaslighting ‘Silence in the face of evil would have made me feel guilty of complicity.’15

I can still well recall my reaction when as a child I first watched a TV broadcast of the classic 1940 British film, ‘Gaslight’. That night I lay in bed in a terrified state, certain that (as in the film) I could hear the faint sounds of someone walking about in the empty attic above my room. Each creak of a floorboard left me hiding in a rather futile manner under the bedclothes. But even more terrifying was the way in which the dark Victorian husband (played by Anton Walbrook) manipulated his wife (Diana Wynyard) to erode her confidence and sense of reason to a point at which she doubted her own sanity. This film together with its 1944 U.S. remake has made a lasting impression on many people and consequently the term ‘Gaslighting’ has entered the general vocabulary. For example, a recent article appearing the in Washington Post is entitled ‘White House Press secretary Sean Spicer Defines ‘Gaslighting’’ (Wemple 2017), the BBC reports on: ‘Gaslighting: The ‘Perfect’ Romance that became a nightmare’ (BBC 2017), and CNN reports that ‘Donald Trump is ‘Gaslighting’ all of us’—suggesting that ‘…Trump has become America’s Gaslighter in chief.’ (Ghitis 2017). The Oxford English Dictionary succinctly defines ‘Gaslighting’ as: ‘To manipulate (someone) by psychological means into doubting their own sanity.’

Or more generally: ‘Gaslighting is a tactic in which a person or entity, in order to gain more power, makes a victim question their reality. It works much better than you may think. Anyone is susceptible to gaslighting, and it is a common technique of abusers, dictators, narcissists, and cult leaders. It is done slowly so the victim doesn’t realise how much they’ve been brainwashed.’ (Sarkis 2017)

In time, the Stasi realised that international publicity surrounding the trials of dissidents, and other ‘enemies of the state’, was counterproductive and consequently they frequently adopted a much more subtle and low profile approach, which shares a number of the characteristics that were employed in the film ‘Gaslight’.

15

Attributed to Albert Einstein (1879–1955).

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Zersetzung (which is perhaps most meaningfully translated as ‘biodegredation’), relates to the planned destabilisation and undermining of a person’s existence. In some situations this could be intended to culminate in a person having a serious mental breakdown (possibly leading to suicide), or could be used to ensure that the targeted person was so occupied in dealing with the entropy arising from a multitude of seemingly unrelated but entangled crises that they had little, if any, time/motivation left for ‘subversive’ activities. A key advantage to the technique was that the victims did not usually realise that events were being orchestrated by the Stasi, and even if they did the Stasi could plausibly deny their assertions. Zersetzung was achieved through a myriad of activities. When viewed individually, some appear utterly trivial—from putting salt in a pepper pot and pepper in the salt pot (a small irritation for the victim, but how did he/she make such a silly mistake in the first place), through to rearranging household furnishings. Other activities were larger in scale involving, for example, damage to property, theft and so on. Attacks on personal relationships were likely to have a much more profound effect and could isolate a person from his/her friends, colleagues and family (indeed in the film ‘Gaslight’ mentioned above, the husband sought to completely isolate his wife from others). Thus, for example, falsified compromising photos were sent to family members, or a person could be promoted at work in such a way as to give others the impression that this was a payback for his/her loyal support to the Stasi. Information derived from surveillance enabled the Stasi to determine many traits and personal weaknesses which could be subtly exploited. Plausible rumours could be spread, or events orchestrated in the expectation that a person would succumb to temptation. This could then be used to bring seemingly legitimate legal action against the person (without any apparent Stasi involvement). In fact, armed with a wealth of personal information the Stasi had the ability to manipulate and if necessary destroy lives. As indicated, the surveillance techniques used by the Stasi were labour intensive and rudimentary when compared to those that are widely employed today. Similarly, the Stasi’s implementation of Zersetzung required much human intervention and this is likely to have limited the scale of its application. However, it’s instructive to consider ways in which today’s technologies could be employed so as to support a much more profound form of Zersetzung in a highly efficient way, and in this context it is important to bear in mind the growth of the Internet of Things (see OTU Activity 3.16).

3.5.2 A More Enlightened World? History is awash with examples of people, organisations and governments which have sought to collect information about others with the goal of achieving certain ends. The examples cited above in connection with the Stasi and FBI are simply intended to highlight indicative dangers of mass data collection by governmental organisations. However, it is important to note that the key danger does not relate to the actual collection of data but rather to the power that this data can give to individuals, and

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those employed in organisations, and governments. But perhaps we can assume that we now live in a more enlightened world? It would certainly be reassuring to believe that the processes and practices of organisations have advanced to a level such that information misuse cannot occur. We may believe that organisations such as the FBI and NSA (to cite just two of many) are subjected to continual and exhaustive scrutiny which precludes the continual growth and ever-increasing powers that were characteristics of the Stasi. Perhaps we can assume that politicians will no longer misuse information which they are able to access whilst in power? But perhaps we would be ill-advised to make such assumptions? By their very nature, individuals within organisations seek personal advancement and collectively work to ensure the organisation’s growth. Threats to national security (either real or perceived) provide strong arguments for increased funding and this in turn nurtures such goals. Ever greater powers are needed, ever greater resources are sought, and the need for public scrutiny can be readily be cast to one side. Covert activities abound. Interestingly a number of the articles cited above conclude by raising concerns about the ramifications of today’s surveillance dragnet. For example, Robert March concludes discussion concerning the FBI’s surveillance of Albert Einstein by indicating that it is: ‘…another timely reminder of the outrages to our liberties that can arise in a period of paranoia over national security.’ (March 2002)

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In her article concerning the FBI surveillance of Martin Luther King and the anonymous letter which was sent to him, Beverly Gage concludes: ‘…Should intelligence agencies be able to sweep our email, read our texts, track our phone calls, locate us by GPS? Much of the conversation swirls around the possibility that agencies like the NSA and FBI will use such information not to serve national security but to carry out personal and political vendettas. King’s experience reminds us that these are far from idle fears, conjured in the fertile minds of civil libertarians. They are based in hard facts of history.’ (Gage 2014)

And in connection with the Stasi, Jasper Rietman concludes: ‘Twenty-five years later, Germany is one of the most privacy-obsessed countries on earth, thanks in no small part to the memory of the Stasi’s abuse. There was no role for Stasi tactics in the reunited German democracy.’ (Rietman 2015)

At the time of the fall of the East German government and the destruction of the Berlin wall in 1989, members of the Stasi went to considerable lengths to destroy documents. An article written by Chris Bowlby focuses on the development of semi-automated techniques that have been developed to piece together several hundreds of millions of fragments of Stasi records. He concludes the article by quoting a former Stasi Colonel, Gotthold Schramm: ‘“With hindsight, we didn’t need this giant network of unofficial collaborators.” He adds, “We were too worried about what might happen. We should have trusted people more.”’ (Bowlby 2012)

A reflection that may possibly be equally applied to the establishment and expansion of today’s mass surveillance programmes? Perhaps we should let Albert Einstein have the final word: back in 1901 he suggested that: ‘Unthinking respect for authority is the greatest enemy of the truth’.

3.6

On Being an ‘Other’ ‘We’ve travelled too far, and momentum has taken over; we move idly towards eternity, without possible reprieve or hope of explanation.’16

It’s useful to consider the notion of being categorised as an ‘Other’, and in the text that follows we use this term when referring to human behaviour encapsulated in the following definition:

16

Attributed to Tom Stoppard. Quoted in Zimbardo (1973).

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In our everyday lives we all encounter situations in which we are perceived/treated by some as an ‘Other’ and in which we perceive/treat people likewise. By way of a simple example, and in the context of the above definition, students are generally perceived as ‘Others’ by the group of academic teaching staff who interact with them and who hold some forms of authority over them. This can give rise to a ‘them’ and ‘us’ attitude in which, for example, within the confines of a senior common room, staff will recount their recent experiences in dealing with students— the ‘Others’. Similarly, students may regard their educators in the context of ‘them’ and ‘us’, but in this case and on the basis of the above definition, academics would not be ‘Others’ since students do not usually have authority over their teachers. By way of a further example, consider the case of the homeless and destitute who are so often encountered in today’s towns and cities and who may be regarded by some as ‘Others’. As they sit huddled in doorways and on pavements with their meagre bedding and possessions, we have the opportunity of offering some sort of assistance or of simply walking by. This places us in a position of power but our empathy may be readily eroded or cast to one side by simply regarding them as ‘Others’. Perhaps we don’t care to ruminate on their plight or consider the possibility that whatever has happened to bring about their situation could conceivably happen to us. Alternatively, we may regard them as people with coarser feelings who are acclimatised to their situation. In short, we may see them as being somewhat different, as ‘Others’ who are slightly less human than ourselves. This is the essence of a way in which ‘Others’ may be regarded—by categorising them as being different to us an inequality is formed and this may reduce our sense of empathy and in extreme cases may give rise to a notion of their inferiority (which may diminish our perception of their humanity). When a group of people individually and collectively are empowered with a degree of authority, this authority is exercised over ‘Others’. Furthermore, if they are viewed as being in some way inferior, then this tends to exacerbate (and can possibly appear to justify) the power imbalance. As this authority/power imbalance grows, the notion of ‘them’ and ‘us’ also tends to increase and in parallel the controlling group becomes more closely bonded. This type of scenario is exhibited within areas of the medical profession, within government agencies, police forces, the military, etc. In some scenarios, those outside the group over which authority is most strongly exercised become the subject of black humour and will often be referred to by derogatory names, thereby further diminishing their standing. If members of the empowered group act beyond the scope of their remit (or even engage in non-lawful activity), group cohesion and dynamics are likely to cause its members to close ranks and to support ‘their own’. History provides us with many examples of this type of collective behaviour in which gradual group bonding is enhanced by the growth of common terminology, traditions and camaraderie. In the next two subsections, we briefly review two classic experimental trials. The first of these provides a simple demonstration of the way in which groups may be manipulated in their identification and attitudes towards ‘Others’. The second highlights aspects of human obedience to orders, and this has ramifications in

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relation to the ways in which we may act towards those who are deemed to be ‘Others’. Invariably groups tend to seek ever greater authority over the ‘Others’, especially when independent oversight is weak or absent. This is discussed further in Sect. 3.6.3.

3.6.1 The ‘Robbers Cave’ Experiment The so-called ‘Robbers Cave’ experimental trial was conducted in 1954 and provides an interesting demonstration of the way in which a cohesive group may view and react to outsiders: to ‘Others’.17 It involved 22 participants who weren’t previously known to one another, and was conducted in the U.S. at Robbers Cave State Park (Oklahoma). The instigator of this (and related) trials reports that: ‘The subjects were selected by rigorous criteria. They were healthy, normal boys around the age of eleven and twelve, socially well adjusted in school and neighbourhood, and academically successful.’ (Sherif 1958)

Each boy was assigned to one of two groups and for the first week the groups were isolated from each other. During this initial phase, each group separately participated in activities that were intended to develop cohesion and promote group identity. Thus they were encouraged to engage in outdoor activities such as hiking and swimming. In parallel their individual group identities (they were named ‘Eagles’ and ‘Rattlers’) were reinforced through customised flags, and the like:

17

This was a follow-up to a similar experimental trial conducted in 1953. These trials raise several ethical issues. For example, the boys (and their parents) were unaware that they were participating in an experimental trial. Furthermore those running the trials may have deliberately manipulated the behavior of the boys in order to obtain the desired results (see Sect. 3.6.3).

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‘At every stage the subjects interacted in activities which appeared natural to them… [although] completely under experimental control. They were not aware of the fact that their behaviour was under observation.’ (Sherif 1958)

In the second part of the trial, the groups were brought together in competitive activities, and antagonistic attitudes towards those in the other group (the ‘Others’) emerged. Shariatmandari (2018) (drawing on Perry 2018) writes: ‘After a tug-of-war in which they were defeated, the Eagles burned the Rattler’s flag. Then all hell broke loose, with raids on cabins, vandalism and food fights…’

And Sherif (1958) indicates: ‘Conflict was manifested in derogatory name-calling and invectives, flare-ups of physical conflict, and raids on each other’s cabins and territory. Over a period of time negative stereotypes and unfavourable attitudes developed.’

In the third phase of the trial, the researchers focused on devising ways to overcome the inter-group rivalry and tensions. Consequently situations were fabricated which presented the boys with problems which it was in everybody’s best interests to solve. This necessitated the cooperation of both groups. As a result, antagonism quickly gave way to cohesive activity. From the perspective of our current discussion, this research illustrates the ease by which it is possible to create either cohesion and disharmony, and most importantly to manipulate people so that they perceive those outside their group as being ‘Others’. There is often little if any logic to this type of perspective, and all too often the quest for authority/power has a strongly negative dimension. A related experimental trial undertaken by Sherif and co-workers is outlined in Sect. 3.6.3 and in Chap. 10 we consider ethical issues associated with conducting trials of this type.

3.6.2 A Shocking Experiment ‘When falsehood can look so like the truth, who can assure themselves of certain happiness?’18

In terms of considering the ramifications of regarding one or more people as ‘Others’, it is important to bear in mind the willingness that many people exhibit for obeying instructions. (Contrariwise this may be seen as the difficulty that many have in refusing to do what they are told or what is expected of them—even when they are ‘uncomfortable’ with the nature of the expectation.) This general aspect of the human character was the subject of various experimental trials conducted by Stanley Milgram and co-workers. Research focused on identifying conditions under which participants could be persuaded to deliberately inflict severe electric shocks on another person, even though there was every indication that in doing so

18

Mary Wollstonecraft Shelley.

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they were causing severe pain. In the text that follows we focus on one particular trial conducted in the early 1960s. Although from the outset each voluntary participant believed that the trial was being conducted in a normal university research laboratory, in reality the equipment and experimenters were orchestrating a highly realistic and carefully devised theatrical experience. Participants were told that they were taking part in a learning experiment devised to determine the effect of punishment on memory, and were therefore under the impression that their efforts would be beneficial to education. For each rendition of the trial one participant was to act as the ‘teacher’ and another as the ‘learner’. However, unbeknown to the participant, the ‘learner’ was actually a member of the research team. In full view of the participant, the ‘learner’ was strapped into an ‘electric chair’ apparatus by a third person who was pretending to be the ‘experimenter’: ‘The experimenter explained that the straps were to prevent excessive movement while the learner was being shocked. The effect was to make it impossible for him to escape from the situation. An electrode was attached to the learner’s wrist, and electrode paste was applied “to avoid blisters and burns”. Subjects were told that the electrode was attached to the shock generator…’ (Milgram 1963)

The ‘teacher’ (participant) was then asked to read a series of word pairs to the bogus ‘learner’ who was expected to memorise them. After this the ‘teacher’ and ‘experimenter’ went into an adjacent room which was equipped with the shock generator and a row of 30 switches. When each switch was activated, a corresponding panel light (red) was illuminated and in addition: ‘…an electric buzzing is heard; an electric blue light labelled “voltage energiser,” flashes; the dial on the voltage indicator swings to the right; various relay clicks are sounded.’ (Milgram 1963)

Crucially the labelling of the bank of switches indicated that they allowed the voltage applied to the ‘learner’ to be increased in 15 volt increments—from 15 to 450 volts. Furthermore groups of four switches was separately labelled: ‘Slight Shock’, ‘Moderate Shock’, ‘Strong Shock’, ‘Very Strong Shock’, ‘Intense Shock’, ‘Extreme Intensity Shock’, ‘Danger Severe Shock’. The final two switches were simply labelled ‘XXX’. Undoubtedly, the researchers went to considerable lengths to create a convincing environment in which the participant thought that he had the ability to inflict severe pain on what he believed was another voluntary participant. In reality, no shock was delivered to the ‘learner’. Once the ‘experimenter’ gave the go-ahead, the ‘teacher’ read out a first word to the ‘learner’ together with four others. The ‘learner’ was expected to identify the correct (previously memorised) pairing and did so by selecting one of four switches—thereby turning on one of four lights located in front of the ‘teacher’. If the ‘learner’s’ response was incorrect, the ‘teacher’ was expected to increase the shock voltage by 15 volts. As the ‘teacher’ worked through each of the word pairs (and subsequently repeated the process), the ‘learner’ made deliberate mistakes and so the shock

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voltage was gradually increased. Milgram sought to determine the point at which the ‘teacher’ (participant) could no longer be coerced into further increasing the shock voltage. Prior to undertaking the initial trial, Milgram surveyed 14 of his psychology students to determine their views on this matter. The average of the responses suggested that only 1.2% of participants would administer the maximum shock voltage. In the event, this proved to be quite wrong. By prior arrangement, once the 300 volt point had been reached, the ‘learner’ pounded on the wall thereby giving the ‘teacher’ an unequivocal indication of his apparent suffering, and beyond 315 volts no longer responded to the ‘teachers’ questions, perhaps giving the impression that he was no longer capable of doing so. At this point in the proceedings the ‘experimenter’ informed the ‘teacher’ that he should interpret no-response as an incorrect answer, and so each time this occurred the ‘teacher’ was expected to continue to increase the voltage. If the ‘teacher’ indicated unwillingness to go any further, the ‘experimenter’ used set prompts to encourage continuation, as follows: • A request for continuation. • An indication that continuation was needed for the experiment. • An indication of continuation being absolutely essential. • An indication of having no option but to continue. In the case that the ‘teacher’ enquired about the ‘learner’ suffering long-term injury, another set response was at hand: ‘Although the shocks may be painful, there is no permanent tissue damage.’ (Milgram 1963)

Of the forty participants, twenty-six (65%) proceeded to: ‘…punish the victim until they had reached the most potent shock available on the shock generator.’ (Milgram 1963)

Milgram goes on to describe the signs of tension exhibited by ‘teachers’ during the process: ‘Subjects were observed to sweat, tremble, stutter, bite their lips, groan, and dig their fingernails into their flesh.’

And in fourteen cases, the ‘teachers’ showed signs of nervous laughter and smiling. As for those who worked their way through to the maximum level of shock: ‘…[they] heaved sighs of relief, mopped their brows, rubbed their fingers over their eyes, or nervously fumbled for cigarettes… Some subjects had remained calm throughout the experiment, and displayed only minimal tension from beginning to end.’

Milgram went on to conduct a number of related experimental trials in which he varied conditions. For related discussion on ethically questionable experimental trials, see Sects. 10.4, 10.5 and 10.8.

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3.6.3 Dealing with ‘Others’ ‘Power takes as ingratitude the writhing of its victims.’19

At first sight, the results obtained by Muzafer Sherif in the Robbers Cave trial outlined in Sect. 3.6.1 appear to be in agreement with what we might expect from our everyday experience. However, it is important to bear in mind that there were actually three teams involved in the work—the ‘Eagles’, the ‘Rattlers’ and also the experimentalists. In trials such as this, the preconceptions and objectives of the research team shouldn’t be overlooked and in one of their earlier trials, the results were not so ‘encouraging’. This appears to have been caused by a decision to allow all the boys to mix (with the consequent forming of associations/friendships) prior to them being split into two groups. As a result, they were less willing to view those outside their own group as ‘Others’. It has of course long been recognised that positive personal communication between groups promotes human understanding, the formation of acquaintanceships, etc. For example, take the case of the truce which spontaneously developed on parts of the Western Front at Christmas 1914. One British soldier, Archibald Stanley recounted: ‘I tell you what happened on Christmas day 1914…We met in no man’s land… We shook hands – they were Saxons – and I heard one fellow talking English. I said to him, ‘You speak English?’ You know what he said? ‘Cor blimey mate,’ he said, ‘I was in a London hotel when the war broke out!’ I thought that topped it. He’d got the London accent.’ (IWM 2018)

Promotion of the opposing side in strongly negative terms is a fundamental tenet of human conflict and at Christmas 1914 military commanders were greatly perturbed that peace might be contagious. As a result, at 11.15 pm on Christmas Eve, a Brigade level Order was dispatched: ‘On no account are our men to be allowed to hold any communication with the Germans. Take steps to stop it at once. They must not be allowed to approach our trenches on penalty of fire being opened.’ (BBC 2016)

By Boxing Day conflict had largely been restored, the enemy being once again perceived as ‘Others’. However in at least one case peace prevailed a little longer. H. Williams of the London Regiment recounted: ‘This runner came along when I was on this fatigue job and said, ‘You’re wanted again to interpret.’ I said, ‘What is it this time?’ He said, ‘There’s a drunk German in our trenches and he won’t go back!’ So I went up and saw our platoon officer there and he said, ‘Williams, there’s this chap here, he’s drunk. I don’t mind it’s all very well to meet them in no man’s land, but he’s actually in our trenches’. Anyway this chap was standing there with a couple of bottles of beer wanting us to drink the health of the New Year and all the rest of it. He said, ‘Tell him he’s got to go back’. So I told him. He wouldn’t take any notice he didn’t want to go back. And this officer said, ‘Well if he stops here, he’s got to be made prisoner, ask him if he wants to be made prisoner!’ So I did. ‘Oh, was, Gott nein!’ he said. He understood that, but he wouldn’t go back. Eventually, the officer detailed another chap and me to take him back, so he was escorted there – one on each side and this chap staggering about and singing at the top of his voice. Well we got up to the German wire and 19

Attributed to Rabindranath Tagore. Quoted in Zimbardo (1973).

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I thought, ‘Well I don’t think I’ll go right into their trenches, they might not be as lenient as we are’. Anyway we found a gap in the wire, headed him in the right direction and left him to it!’ (IWM 2018)

The ability of those involved to briefly put to one side considerations of warfare and the notion of the inebriated German soldier being an enemy, an ‘Other’, totally relied upon privacy. If through the availability of surveillance technologies this privacy had been compromised, then the history would have had a different outcome for those concerned, in fact the German soldier would never have been taken ‘home’. In the case of Sherif’s trial, the consequences of the initial bonding between participants had to be countered, and so the team of experimenters took a hand in trying to cause trouble (and hence obtain the outcome which they sought). This included: ‘…stealing items of clothing from the boys’ tents and cutting the rope that held up the ‘Panthers’ homemade flag,- in the hope they would blame each Pythons. One of the researchers crushed the Panthers tent, flung their suitcases into bushes and broke a boy’s beloved ukulele.’

But to no avail: ‘After losing a tug of war, the Pythons declared that the Panthers were in fact the better team… And after each of the Pythons swore on the Bible that they didn’t cut down the Panther’s flag, any conflict “fizzled”.’

Clearly the formation of positive personal associations can significantly impact on our willingness to categorise people as ‘Others’—see OTU Activity 3.18 for related discussion. The trials undertaken by Milgram and co-workers highlight the possible conflict that can exist between the normal ingrained disposition of not hurting others and the way in which most people exhibit a tendency to obey those who are perceived as being in authority—particularly when given direct instructions. Over the years other researchers have repeated Milgram’s work (with some variations) and similar results have been obtained. By way of example, Doliński et al. (2017) report a version of the trial employing both male and female ‘learners’ (in the case of Milgram’s work, ‘teachers’, ‘learners’, and ‘experimenters’ were all male). The results obtained align with those reported by Milgram and others. Furthermore, there was no statistically significant difference in the willingness of male participants (‘teachers’) to inflict the maximum level of shock on female ‘learners’. It may be argued that given the laboratory conditions under which such trials are conducted, they cannot necessarily be extrapolated to real-world situations. However it would seem that in general terms the results obtained tend to align with more generalised forms of human behaviour. Certainly in conflict situations obedience to orders tends to be a norm and even in the workplace people will often undertake activities deemed to be distasteful in their impact on ‘Others’ when told to do so—especially when activities are depersonalised through the mediation of technologies.

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The trials conducted by Milgram and those carried out subsequently, have employed a degree of deception in that participants were given the strong impression that they were intended to be of benefit to education. In this context, Milgram writes: ‘The experiment is, on the face of it, designed to attain a worthy purpose – advancement of knowledge about learning and memory. Obedience occurs not as an end in itself, but as an instrumental element in a situation that the subject construes as significant, and meaningful. He may not be able to see its full significance, but may properly assume that the experimenter does.’ (Milgram 1963)

It’s possible to identify at least five key factors which are relevant to our current discussions and which may enable people to justify negative actions towards ‘Others’. These are summarised in Fig. 3.11 and briefly discussed below: 1: Overarching Aims: If the overarching objectives of an activity are represented by the experimenter or are perceived by the participants as furthering a positive or worthy goal (as being for the ‘greater good’—recall the Utilitarian approach (Sect. 1.4.3)). then this may enable negative actions towards ‘Others’ to be justified. This was demonstrated by Milgram and also in related experimental trials.

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Overarching Aims

Obedience

Reduced SelfResponsibility

Negative Actions Towards ‘Others’

Preconceptions

Membership

Fig. 3.11 Here we indicated a number of factors which may enable people within an organisation to carry out and justify negative actions towards ‘Others’. In fact, these factors may influence the individual or group to the extent that the action may not be perceived as being negative. The upper three factors were confirmed by experiments carried out by Milgram and other researchers. See text for discussion.

2: Obedience: Ingrained concerns about the welfare of ‘Others’ can be overridden by obedience to orders. This was demonstrated by Milgram and also in related experimental trials. 3: Reduced Self-Responsibility: Following on from (2), the act of following orders can be seen as reducing (or even eliminating) personal responsibility. This was demonstrated by Milgram when in one trial the participant (‘teacher’) was not required to physically press the switches (recall that these increased the shock voltage), but rather instructed another person to do so. In this situation 92.5% of participants worked their way though to the maximum level of shock (McLeod 2017). In essence, the participant was therefore simply relaying the orders given by the ‘experimenter’ to another person. This may have been perceived as a passive act which reduced personal responsibility. 4: Preconceptions: Attitudes towards those who are regarded as ‘Others’, and hence the ways in which power/authority is used, can be greatly influenced by preconceptions and misinformation. In extreme cases (relating to acts of genocide) the ‘Others’ may be regarded as inferior or even subhuman. In some situations, preconceived notions relating to religion, disabilities, race, poverty, employment, culture, and the like may be used to justify ways in which power/authority are used. Importantly, such preconceptions can result in the erosion or even elimination of empathy towards ‘Others’. 5: Membership: As a member of an organisation or group there is often a strong desire to conform with norms, behaviours and expectations—to fit in. This may

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reinforce willingness to cooperate and obey instructions even though doing so may have a negative impact on ‘Others’. In this context, it is appropriate to bear in mind the widely discussed ‘Stanford Prison Experiment’ which is outlined in the next subsection.

3.6.4 The Stanford Prison Experiment This experimental trial was conducted by Philip Zimbardo in 1971 at Stanford University and sought to determine the effects of environment on behaviour. In brief, twenty-four male participants were initially selected on the basis of their mental stability and maturity. In addition, they had no previous criminal record or disposition for involvement in antisocial behaviour. They were then divided into two groups—one group taking on the role of ‘prisoners’ and the other acting as ‘guards’. The basement of a university department represented the ‘stage, having been realistically converted into a prison environment with barred windows and cell doors. ‘Prisoners’ underwent the type of dehumanising processes that are generally associated with confinement, including the removal of personal possessions, the requirement to wear a uniform, identification by number rather than name, etc. In contrast the ‘guards’ sported stereotypical clothing and accessories. Within hours of the start of the experiment, the ‘guards’ began to adopt increasingly aggressive behaviours towards the ‘prisoners’ and gradually they became ever more contemptuous of them. In contrast, despite one rebellion the ‘prisoners’ gradually became more submissive. Although the trial (which exhibited serious ethically undesirable characteristics) was intended to run for two weeks, it was terminated after six days. Zimbardo (1973) writes: ‘Can it really be you wonder that intelligent, educated volunteers could have lost sight of the reality that they were merely acting a part in an elaborate game that would eventually end? There are many indications not only that they did, but that, in addition so did we and so did other apparently sensible, responsible adults.’

And using the ‘guard’/’prisoner’ relationship in a metaphorical sense, he goes on to reflect: ‘To what extent do we allow ourselves to become imprisoned by docilely following the rules others assign to us or indeed choose to remain prisoners because being passive and dependent frees us from the need to act and be responsible for our actions?… the cell that every shy person erects to limit his own freedom in anxious anticipation of being ridiculed and rejected by his guards – often guards of his own making.’

Subsequent to the trial, the brutal behaviour of the ‘guards’ towards the ‘prisoners’ was extensively promoted as suggesting that highly negative aspects of human behaviour can simply be catalysed by roles and environment. This can be used to explain ways in which people can act quite out of character, particularly in relation to their behaviour towards those over whom they have authority/power (i.e. towards ‘Others’). From some perspectives this is a comforting conclusion as, for example, it can alleviate a sense of personal responsibility and/or accountability.

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However many psychologists have cast doubt on Zimbardo’s findings and it’s more widely believed that within a group, conformity to negative behaviours is not a natural tendency but rather requires the cultivation of a shared sense of identity. In practice, it would seem likely that many aspects of group composition and dynamics play a role in determining both individual and collective behaviours. Furthermore, it is evident that many people gain pleasure from being in positions of authority over ‘Others’, and that exercising power can, for some, be a very enjoyable experience. This is one of the darker aspects of human nature. For related discussion see OTU Activities 3.19 and 3.20.

3.7

Edward Snowden: Hero or Villain? ‘Snowden knew at that moment that his old life was over. “It was scary but it was liberating.” He said. “There was a sense of finality. There was no going back.”’20

Although in this book we pay particular attention to ways in which organisations can employ technologies to erode the privacy of the individual, it’s also important to consider the converse situation whereby technologies are used by one or more 20

Interview with Edward Snowden: MacAskill and Hern (2018b).

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people to erode the privacy of organisations. This is exemplified by the actions of Edward Snowden when he breached the privacies of the NSA to reveal the nature and scope of activities being carried out by this and other organisations. His decision to take this course of action can provide a stark example of the potential ramifications of ethically-based decision making. Suppose that you were to find that an organisation within which you are working is involved in unethical activities. After careful deliberation you raise your concerns at different levels within the organisation. But it soon becomes apparent that this is a futile pursuit—you have no ability to effect change through internal action. At this point you may decide that you have done your best and either accept the status quo, or change employer. Alternatively, you may believe that you are ethically and professionally bound to do more. After long and hard reflection, you decide to ‘go public’— to become a whistleblower. And it’s at this point that your problems really begin. On hearing of your revelations, some will admire your courage in speaking out, some (perhaps the majority) will have little interest, and others will vociferously criticise your actions. Those falling into the latter category (and who aren’t associated with the organisation) will often suggest that ‘there must be more to it’, and will be convinced that you must have your own agenda, personal grievances against the organisation, or mental health issues.

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As for those within the organisation or who are associated with it, they are likely to ‘close ranks’. Longstanding colleagues may very well distance themselves from you with the utmost rapidity, and may be comforted in their actions by an edict that has been circulated indicating that there must be no further contact with you. You are now an ‘outsider’—you have become an ‘Other’ and depending upon circumstances the organisation may endeavour to take legal action against you. This is all part of an organisation’s typical firefighting modality which invariably focuses on issues such as legal exposure and public relations damage. Such matters may be viewed as being of paramount importance and those in positions of authority in the organisation may well have little interest in considering whether your actions have highlighted the fact that serious problems exist. It’s also inevitable you will be closely scrutinised, both professionally and personally. If weaknesses in your competency or character are found, they are sure to be exploited (and in more extreme cases, if weaknesses are not uncovered they might perhaps be invented). In the case that your public disclosure does not result in legal action, publicity surrounding, and interest in your actions will gradually wane. Soon you are likely to be faced with the challenge of finding new employment, which entails finding an employer who understands and appreciates what you’ve done: ‘Obedience to authority is implicitly deemed the natural state. In fact both observing and breaking the rules involves moral choices, and both courses of action reveal something important about the individual involved. Contrary to the accepted premise – that radical dissent demonstrates a personality disorder – the opposite could be true: in the face of severe injustice, a refusal to dissent is the sign of a character flaw or moral failure.’ (Greenwald 2014)

Unfortunately you may well find that many employers don’t agree with this perspective—unless they’re associated with a strongly ethically-based organisation. Thankfully such situations are far from common, but in the case of Edward Snowden, it seems that he found himself in circumstances in which he felt that he had no other option but to speak out with certain knowledge that he would not only be taking on the NSA, but would also be running foul of the U.S. Government. Furthermore: ‘His decision to leak the documents meant giving up a long-term girlfriend whom he loved, a life in the paradise of Hawaii, a supportive family, a stable career, a lucrative pay check, a life ahead full of possibilities of every type.’ (Greenwald 2014)

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In terms of motivation, Snowden is quoted as saying: ‘I realised…that they were building a system whose goal was the elimination of all privacy, globally. To make it so that no on could communicate electronically without the NSA being able to collect, store, and analyse the communication.’ (Greenwald 2014)

Without technology, Snowden’s ability to electronically copy an enormous amount of material would have been impossible. In the days of paper-based filing systems the whistleblower was forced to laboriously photocopy, photograph, or purloin documents. Consequently in the case of geographically dispersed organisations the whistleblower’s access to materials was often severely limited: ‘My reach was across a network rather than the confines of a safe… And what this ultimately results in is a dynamic where a particular employee can plausibly – in fact not just plausibly but demonstrably – have more access at their fingertips than the director of an office or a unit or a group or an agency – or perhaps even the president.’ (From an interview with Edward Snowden and quoted by MacAskill 2018a)

As is the case with the individual, privacy values are important to organisations. For example, maintaining confidentiality in relation to intellectual property and other forms of proprietary information is often crucial to business operations. Certainly it would be non-sensical to suggest that all organisations should be completely transparent in their activities or to broadly apply the remark attributed to the CEO of Google in 2009 (recall OTU Activity 3.1): ‘If you have something that you don’t want anyone to know, maybe you shouldn’t be doing it in the first place.’

However as with the individual, organisations can sometimes exploit claims of privacy to conceal wrongdoing. In the case of government security organisations21 it is evident that privacy can be very important in supporting legitimate activities and in providing protection to staff who would otherwise be exposed to danger. But history provides us with many examples of ways in which those working in governmental organisations have used claims of privacy to conceal incompetence, failure, and most importantly illegal activity. By way of example, consider the CIA’s MK-Ultra behavioural modification project. A lengthy record of a meeting of the U.S. Senate Select Committee on Intelligence, and the Subcommittee of Health and Scientific Research of the Committee of Human Resources which met in 1977 records that:

In this section and elsewhere in the book we refer to ‘security’ and ‘intelligence’ organisations. We use these terms loosely and interchangeably within the context of governmental organisations which focus on the national and/or international acquisition, processing and analysis of data pertaining to individuals (or organisations) for the stated intention of using such data to carry out activities purporting to thwart serious criminal activity and perceived international threats. We assume that such agencies have a degree of autonomy in their actions and are protected by broad rights to secrecy (privacies in modi operandi which include wide-ranging requirements for staff confidentiality). In practice the remit of such organizations often gradually increases with time. This is commonly referred to as ‘mission creep’.

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‘The Deputy Director of the CIA revealed that over 30 universities and institutions were involved in an “extensive testing and experimentation” program which included covert drug tests on unwitting citizens “at all social levels, high and low, native Americans and foreign.” Several of these tests involved the administration of LSD to “unwitting subjects in social situations.”’ At least one death…resulted from these activities. The Agency itself acknowledged that these tests made little scientific sense. The agents doing the monitoring were not qualified scientific observers. The test subjects were seldom accessible beyond the first hour of the test. In a number of instances, the test subject became ill for hours or days… Other experiments were equally offensive. For example, heroin addicts were enticed into participating in LSD experiments in order to get a reward – heroin. Perhaps the most disturbing of all was that the extent of the experimentation on human subjects was unknown. The records of these activities were destroyed in January 1973, at the instruction of then CIA Director Richard Helms… And no one – no single individual – could be found who remembered the details, not the Director of the CIA, who ordered the documents destroyed, not the official responsible for the program, nor any of his associates.’ (Joint Hearing 1977)

And when relevant material did emerge22 (see Sect. 3.9): ‘The records reveal a far more extensive series of experiments than had previously been thought. Eight-six universities or institutions were involved. New instances of unethical behaviour emerged.’ (Joint Hearing 1977)

Senator Kennedy went on to observe: ‘The intelligence community of this Nation, which requires a shroud of secrecy in order to operate, has a very sacred trust from the American people. The CIA’s program of human experimentation of the fifties and sixties violated that trust. The best safeguard against abuse in the future is a complete public accounting of the abuses of the past.’ (Joint Hearing 1977)

Not only do people in such organisations seek to maintain privacy in respect of their operations, but frequently also focus on safeguarding (and if possible expanding) their power base. By way of example, consider J. Edgar Hoover who for 48 years was the Director of the FBI and its precursor—the Bureau of Investigation. One approach that he adopted in order to secure and advance his powers was by: ‘…developing compromising files on every politician he could. These held embarrassing information that could be used if any looked too closely at the FBI. It was seldom necessary to leak the information.’ (Andregg 2016)

It appears that experimentation extended beyond the U.S. borders: ‘…Two projects of particular interest conducted as part of these experiments… involved the administration of LSD to unwitting subjects in Europe and the Far East.’ (Joint Hearing 1977)

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It appears that a politician was simply invited to view information that had come to the FBI’s attention and proffered an assurance that it would be safely guarded: ‘Most politicians were bright enough to recognise what that actually meant and choose to exercise their curiosity elsewhere.’ (Andregg 2016)

When Snowden flew out of his familiar world, he was travelling into the unknown, only too well aware of the ways in which the U.S. government had responded to other whistleblowers. See OTU Activity 3.22 for related discussion.

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3.7.1 Fallout ‘Businesses that make money by collecting and selling detailed records of private lives were once plainly described as “surveillance companies.” Their rebranding as “social media” is the most successful deception since the Department of War became the Department of Defense.’23

In March 2014, the deputy director of the NSA (Rick Ledgett) participated in a TED interview in order to respond to a number of questions arising from Edward Snowden’s earlier appearance. When asked about Snowden’s motivations and whether there was in fact any alternative approach that he could have taken, Ledgett is quoted as responding: ‘…I actually think that characterising him as a whistleblower hurts legitimate whistleblowing activities…’

There is certainly no dearth of detractors who view (or claim to view) Snowdon’s actions as providing terrorists, etc. with an abundance of information supporting their activities. For example, an article appearing in The Independent bears an unequivocal headline: ‘Don’t listen to Edward Snowden’s supporters – his leaks have been a gift to terrorists.’ (Simcox 2015)

This article refers to ‘Snowden’s theft of classified documents…’ and concludes: ‘As Sir John Sawers, the former head of MI6 said earlier this year, “Snowden threw a massive rock in the pool and the ripples haven’t stopped yet.” These ripples occur at a time the threat to the West from a variety of state and non-state actors grows. While we may be getting an idea of the damage Snowden caused in the past, there is still ample reason to fear what more he could cause in the future.’

An article appearing in The Washington Post dismisses the furore generated by the Snowden revelations—and it is difficult to counter the stance taken:

23

Attributed to Edward Snowden. Quoted in Chaitin (2018).

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‘There is more than a little hypocrisy to the outcry that the government, through the National Security Agency (NSA), is systematically destroying Americans’ right to privacy… Unless you’ve camped in the Alaskan wilderness for two decades, you know – or should know – that millions upon millions of Americans have consciously, and probably in most cases, eagerly surrendered much of their privacy by embracing the Internet and social media. People do not open Facebook, Twitter, Linkedin and Instagram accounts because they wish to shroud their lives in secrecy… The Internet is a vehicle for self-promotion, personal advertising, and the pursuit of celebrity.’ (Samuelson 2014)

Turning to the activities of commercial companies in collecting, trading, and utilising personal data, he writes: ‘The NSA’s damage to privacy is dwarfed by the impact of market activity.’

And suggests that: ‘If Americans think their privacy is dangerously diminished, there are remedies. They can turn off their PC’s, toss their smartphones and smash their tablets.’

But even if we were to do this, a great number of our activities would continue to be electronically scrutinised and moreover in many countries Internet access is becoming a requirement for organising diverse aspects of our daily lives. For related discussion see OTU Activity 3.23. There can be little doubt that Snowden’s ability to acquire such extensive information will have a long-lasting impact on security-related organisations. How can information be protected from those who have extensive understanding of, and work with, the very systems on which it is stored? And how can organisations better ensure that staff at all levels conform to the ‘loyalty’ values that reflect full and unwavering acceptance of a shared sense of identity (recall Sect. 3.6.3)? Unfortunately such aims have the potential to promote an environment in which nobody questions organisational behaviours and activities. To do so may be viewed as representing a possible threat—an embryonic whistleblower. In this general context, Andregg (2016) warns of a gradual decline in the calibre of people working in intelligence organisations: ‘…“best qualified” people will only put up with so much intrusion into private lives, background checks, surveillance, polygraph exams, etc. Many “best qualified” people do not want to submit their sex lives to strangers, or everything they write about serious topics for the rest of their lives to review and censorship…Many would rather marry without running their spouse through security for a “background check”.’

However rather than negatively impacting on the calibre of intelligence agency employees, the thrust for transparency may simply limit long-term employment to those who willingly forgo a range of privacy values. It is conceivable that such people may feel that it is not unreasonable to expect the same of ‘Others’.

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Despite the passage of time, the actions of Edward Snowden continue to be a source of heated debate. Some prefer to focus on condemning his actions rather than the activities of the governmental organisations which he revealed. By way of example, in a Newsweek article entitled ‘Why President Obama Can’t Pardon Edward Snowden’, Epstein (2017) refers to the NSA’s activities in targeting the phones of three French presidents. However it’s not this act which is a focus of discussion but rather the ‘embarrassing’ revelation which ‘…put Obama in a very bad spot with America’s European allies’. The author also indicates that: ‘…Snowden profoundly damaged an intelligence system American presidents have relied upon for over six decades.’

Contrariwise some argue that by engaging in numerous unethical activities organisations have themselves caused more serious damage by reducing public confidence in their adherence to the sacred trust placed in them by society. Ultimately, in assessing damage to national security that has resulted from the Snowden revelations it is necessary to distinguish between truly demonstrable facts, and issues which have been exaggerated as a result of a natural human response to the embarrassment caused. In this latter respect, perhaps the greatest source of embarrassment centres on the undeniable fact that a single person was successful in breaching the security of the computer facilities used by some of the world’s most secretive and well funded security organisations, on an unprecedented scale.

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For related discussion see OTU Activities 3.24 and 3.25.

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On the 28th January 1986, the Space Shuttle Challenger left its launch pad for the final time. Seventy three seconds into the mission its structure was ripped apart by a massive explosion in which the seven astronauts (including a school teacher) were killed. As with the R101 tragedy some 56 years earlier (look ahead to Sect. 5.5), both craft were destroyed by the furious combustion of hydrogen. Furthermore at least two other common factors can be identified in significantly contributing to the disasters. Firstly, in both cases non-technically qualified/experienced personnel involved in higher-level decision making processes failed to properly act on concerns voiced by other stakeholders. Without doubt their lack of scientific and technical expertise caused them to exhibit misguided confidence in complex technical systems. Secondly, in both cases the pressure placed on scientific/engineering staff to meet (or attempt to meet) the requirements of planned flight schedules resulted in technical compromises, and the almost reckless acceptance of significant levels of unnecessary risk.

Fig. 3.12 The final launch of the challenger space shuttle. (Image source: NASA)

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3.8.1 Destruction ‘For a successful technology, reality must take precedence over public relations, for nature cannot be fooled.’24

In line with standard procedure, in the seconds before takeoff the Shuttle’s main engines were ignited and brought up to full thrust (corresponding to *1,000,000 pounds). With the Shuttle itself being firmly bolted to the launch pad via eight great bolts attached to the lower ends of the two solid rocket boosters (see Fig. 3.13), the asymmetric thrust caused the structure to flex akin to a bow pulled fully taut. To enable takeoff (time T = 0), the solid rocket boosters were ignited (after which, unlike the main engines powered by the combustion of liquid hydrogen, they could not be shut down), and the restraining bolts were explosively detonated—thereby freeing the Shuttle for flight and causing the energy absorbed within the great structure to be dissipated as a vibrational motion with a natural frequency of *3 Hz. Following the disaster, launch pad cameras revealed that at T+0.678 seconds (just over half a second after the detonation of the restraining bolts), a spurt of grey smoke was emitted from the ‘aft field joint’ on the right-hand solid rocket booster (Fig. 3.13—and discussed in more detail shortly). Within the next two seconds, eight more increasingly darker spurts of smoke were released from the same joint, these occurring at intervals of *0.25 seconds, which approximates to the periodic time of the structural vibration mentioned above (*0.33 seconds), and hence the maximum flexing of the joint from which the smoke was emerging. During this brief period, extremely hot, high pressure gas was passing through a part of the O-ring seal, and the ominously darkening plume clearly indicated that the joint’s Viton O-rings were being vaporised. If this had continued for a few more seconds, it’s likely that the Challenger would have been destroyed whilst in the vicinity of the launch pad. However, it appears that aluminium oxides produced by the burning solid propellant effectively sealed the damaged joint, and by T*+3 seconds the gaseous emission seems to have ceased. With luck this fortuitous sealing of the joint might have held through until the burnout and release of the solid rocket boosters (*T+110 seconds), and if so all would have been well. Unfortunately as luck would have it, as the Shuttle approached 19,000 feet it encountered strong wind shears (larger than any experienced on previous flights). These continued for nearly 30 seconds. As a result, induced stresses appear to have rekindled the haemorrhage of gases from the faulty joint, and by T+60.238 seconds video footage revealed a burning flame impinging on the hydrogen fuel tank. Within seconds hydrogen was leaking and shortly thereafter the intense flames destroyed the rear strut holding the right hand solid rocket booster, thereby allowing it to rotate about the forward strut and contribute to the total destruction of the hydrogen and oxygen tanks.

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Fig. 3.13 Cutaway illustration of a solid rocket booster. These were recovered from the sea after launch, disassembled, reconditioned and refilled with fuel. Consequently the boosters were constructed from a number of cylindrical sections (which could be taken apart)—note particularly the location of the aft field joint (which catastrophically failed during the ill-fated Challenger launch). (Reproduced from Rogers et al. 1986)

Both solid rocket boosters emerged from the ensuing conflagration and so too did the robust crew cabin. This carried on in its upward motion for some 25 seconds and having reached a maximum altitude of *65,000 feet, it continued in its ballistic trajectory—crashing into the sea at a speed of *330 km/h some 165 seconds after the break-up of the Shuttle. Evidence suggests that at least some of the crew members were conscious and active during part or all of this period.

3.8.2 The Technology The use of O-rings to seal the field joints of the solid rocket boosters represented (in principle) a pragmatic engineering solution, provided that two key conditions were met. Firstly, the spatial and temporal plasticity characteristics of the O-ring material had to be capable of responding to the size and rate of movement across the joint (thereby precluding gas leakage). Secondly, the O-ring material had to be either capable of withstanding the temperature of the gases generated by fuel combustion, or the design solution had to absolutely ensure that the O-rings were thermally isolated from the gases (such that the maximum specified operating temperature of the O-rings could not be exceeded). Unfortunately, the design did not fully meet either of these conditions. This was demonstrated during a number of previous Shuttle flights when, following the recovery of the solid rocket boosters, it was found that O-ring material had been burnt away. In

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Pressure

Solid Propellant

Insulation

Simplified cross sectional view of a solid rocket booster field joint. The putty is indicated in blue, and the O rings in red.

(a)

(b)

Fig. 3.14 In (a), a cross section of a solid rocket booster field joint. This represents the joining of two cylindrical sections which are pinned together. This is depicted in simplified form in (b). From the perspective of our current discussion, the location of the two O-rings and putty are of particular importance. Once ignited, internal pressure within the booster was intended to force the putty further into the joint causing pressure on the primary O-ring—thereby forcing it to move and seal the joint. However such a self-sealing technique may be affected by a number of factors including O-ring and putty temperature. (Image (a) reproduced from Rogers et al. 1986)

fact this erosion was apparent after the second Shuttle launch, and this should have given rise to immediate action as the field joint concerned had not acted in accordance with design expectations—the criteria mentioned above had not been met; gases were impinging on and crossing the O-ring barrier. It was blatantly apparent that if more excessive erosion occurred in the ‘wrong’ place, there was the possibility that what was effectively a superheated blowtorch could be directed onto the hydrogen tank. In addition, the designers of the field joint seal appear to have placed considerable confidence in the ability of the primary O-ring to form a high pressure seal after the ignition of the solid rocket booster. The designers accepted a solution in which the high pressure combustion gases would press putty (zinc chromate) into the gap between the booster sections (i.e. towards the primary O-ring). This was intended to exert pressure on the O-ring and force it to be displaced towards the joint, thereby (in theory) forming a high pressure seal (for detail see Fig. 3.14): ‘Thiokol [Morton Thiokol were awarded the contract for the Solid Rocket Boosters] believed the putty was plastic, so when acted on by the combustion pressure at the motor’s ignition the putty flow towards the O-ring would compress the air in the gap between the putty and

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Fig. 3.15 The conflagration which occurred at *T+73 seconds. Both solid rocket boosters can be seen continuing to operate. They were remotely destroyed at *T+110. (Image source: NASA) the primary O-ring. The compressed air, in turn would cause the primary O-ring to extrude into the gap between the clevis and the tang [Figure 3.14], behind the primary O-ring groove, thereby sealing the opening. If the primary O-ring did not seal, the intent was that the secondary [O-ring] would pressurise and seal the joint by extruding into the gap behind its groove.’ (Rogers et al. 1986)

This self-sealing action had to be achieved in a very short time (pressure actuation time) after booster ignition, and was assumed to be appropriate despite the complex events which were taking place during this period. For example as indicated above, in the seconds prior to T = 0 the solid rocket boosters were highly stressed, leading to a degree of distortion in booster cross-section: ‘The maximum structural loads on the aft field joints of the Solid Rocket Boosters occur during this “twang” exceeding even those of the maximum dynamic pressure period experienced later in flight.’ (Rogers et al. 1986)

In short, a design solution was used in which the self-sealing action of the booster seals was to take place at a time when they were operating under the most demanding situation. Furthermore, long before the ill-fated Challenger launch it was abundantly evident that this optimistic design strategy wasn’t working properly. As mentioned above, once the restraining bolts had been explosively detonated, the stored energy was released as a structural vibration and this dynamically impacted on field joint clearance. As indicated in Fig. 3.16, reduced clearance can inhibit the movement of the O-ring and thereby delay the formation of the seal.

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Net force on O-ring Tang Tang

Pressure

Region A

Cross-section of O-ring (undistorted)

Region A

Cross-section of O-ring (distorted)

Fig. 3.16 An indicative illustration of an O-ring (cross-section) seal in two situations. In the left-hand case, the tang does not press upon and deform the O-ring. Consequently a force generated by the pressure of combustion can ‘get behind’ the O-ring (as shown by the red arrows) and force it in the direction illustrated by the blue arrow. This causes the O-ring to provide a strong seal thus preventing combustion gas passage into region A. In contrast, in the right-hand illustration solid rocket booster deformation reduces clearance, and this causes the tang to press upon and deform the O-ring. In the situation illustrated, the O-ring is now elongated and spans the width of the O-ring groove. At the very least this reduces the speed of pressure build-up ‘behind the O-ring’ and so the sealing process takes longer. Also note that this approach assumes that the seal achieved in the left-hand diagram can be effected without combustion gases directly impinging on (and damaging) the O-ring

During pressurisation tests of solid rocket boosters in 1977 (for these trials the boosters were internally pressurised with water), it became apparent that pressurisation led to joint opening in the region of the two O-rings (see Fig. 3.17). This so-called ‘joint rotation’ was contrary to design expectations. Following the loss of the Challenger, Thiokol’s supervisor of structures indicated: ‘We discovered that the joint was opening rather than closing as our original analysis had indicated, and in fact it was quite a bit.’ (Rogers et al. 1986)

In short, in the event of a primary O-ring failure, there was a clear indication that the secondary O-ring would not act as a reliable backup. Thus the secondary O-ring could not actually provide the required redundancy—and if it couldn’t, then in essence its presence was pointless ‘It is not known if the secondary O-ring would successfully reseal if the primary O-ring should fail after the motor case pressure reaches or exceeds 40 percent of maximum expected operating pressure.’ (Critical Items List 1980 quoted in Rogers et al. 1986)

Given this lack of certainty it is evident that little, if any, reliance should have been placed on the secondary O-ring. The Rogers Commission identified a number of factors which might impact on the performance of the O-ring self-sealing process, and demonstrated that rapid, reliable and fully predictable self-sealing is by no means straight forward. Factors include variations in joint circularity (caused at the time of manufacture, during

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Fig. 3.17 During Booster pressurisation tests conducted in 1977 it was found that the joints opened in a way that potentially compromised the ability of the secondary O-ring to form a seal. Thus in the case of a failure of a primary O-ring failure, the secondary O-ring could not be relied upon as a backup. This in turn meant that total reliance had to be placed upon the performance of the putty and primary O-ring. Should these fail, and should joint opening compromise the integrity of the secondary O-ring (as suggested by the pressurisation tests), then there was every chance that catastrophic failure would occur—resulting in the death of the crew and the loss of the craft (Reproduced from Rogers et al. 1986)

transportation, as a result of re-use and by dynamic loads (at launch or during flight)), joint temperature (impacting on the characteristics of both the putty and O-rings and perhaps leading to ice formation within the joint prior to launch), and the presence of extraneous matter on the O-rings (such as metallic fragments). Returning briefly to Fig. 3.14(a), the diagram illustrates the presence of a ‘leak test port’ which directly connects to the gap between the primary and secondary O-rings. By applying compressed air to this port it was possible to ensure that the O-rings were correctly seated within their grooves. Unfortunately this pressure test had an undesirable consequence, as any air leaking past the primary O-ring would impinge on the putty and could lead to the formation of blow holes—or even dislodge putty. In either case this circumvented the integrity of the putty by providing a direct route by which the combustion gases could directly impinge on the primary O-ring. In fact there were two phased increases in the air pressure applied to the ‘leak test port’ of booster nozzle joints. After the first increase, the frequency of joint anomalies changed from 12% to 56% of flights. Following the second increase in air pressure, 88% of missions experienced O-ring erosion or blow-by. Thus the link between blow holes within the putty, O-ring damage, and blow-by was clearly established.

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3.8.3 Russian Roulette ‘When playing Russian roulette the fact that the first shot got off safely is little comfort for the next.’25

As mentioned above, O-ring erosion occurred during the second Space Shuttle voyage in 1981 (as with the disastrous Challenger flight, this related to the aft field joint in the right-hand Booster). There were subsequently six further incidents. These included two flights that were made in 1985. During the first of these, severe erosion and blow-by occurred. The O-ring temperature at launch (i.e. prior to ignition) was estimated to be 53F. In the second case, two incidents of blow-by occurred—but at the time of launch the O-ring temperature was estimated to be 75 F. Thus whilst ambient temperature could well have been a factor, it was evident that it was not the only ingredient. However, it was recognised that two forms of O-ring erosion could occur—‘impingent erosion’ and ‘bypass erosion’. Both occurred when a primary O-ring did not self-seal, and led to more rapid removal of O-ring material (Robison et al. 2002). A crucial engineering concern was the possibility that low O-ring temperatures were impacting on the self-sealing process, so that as a result either or both forms of erosion could occur. The critical roles played by the O-ring seals and the zinc chromate putty were well known, and the former had been designated ‘Criticality 1’ components (meaning that it was recognised that their failure would result in a loss of the craft). It was also known that the O-ring material could not withstand direct exposure to the hot combustion gases. Furthermore, the self-sealing technique employed appeared to represent an ‘error-provocative design’ such that: ‘…even the smallest errors in stacking [assembly of the booster section field joints] – a piece of lint or hair – could cause the seal not to work, the design provokes problems even under the best of circumstances, with the greatest of care by the brightest and most highly trained technicians.’ (Robison 2002)

Any indication that the putty was failing to provide appropriate protection to the primary O-ring (as demonstrated by erosion and blow-by) should have immediately led to the grounding of the craft until appropriate modifications had been made. In fact: ‘Neither Thiokol [recall Morton Thiokol were the designers and manufacturers of the solid rocket boosters] nor NASA expected the rubber O-ring sealing joints to be touched by hot gases of motor ignition, much less to be partially burnt. However, as tests and then flights confirmed damage to the sealing rings, the reaction of NASA and Thiokol was to increase the amount of damage considered “acceptable”. At no time did management either recommend a redesign of the joint or call for the Shuttle’s grounding until the problem was solved.’ (Rogers et al. 1986)

Rogers et al. (1986), Volume 2: Appendix F ‘Personal Observations on Reliability of Shuttle’, by R. Feynman. 25

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By 1984, O-ring erosion had been accepted as a ‘tolerable’ flight condition: ‘Possibility exists for some O-ring erosion on future flights. Analysis indicates max erosion possible is 0.090 inches according to Flight Readiness Review findings for STS-13. Laboratory tests shows sealing integrity at 3,000 psi using an O-ring with simulated erosion depth of 0.095 inches. Therefore this is not a constraint to future launches.’ (Rogers et al. 1986)

In his personal contribution to the Rogers Report26 (also see Feynman 1997) physicist, Richard Feynman, discusses the flawed modeling of O-ring erosion: ‘The O-rings of the Solid Rocket Boosters were not designed to erode. Erosion was a clue that something was wrong. Erosion was not something from which safety can be inferred. There was no way, without full understanding, that one could have confidence that conditions the next time might not produce erosion three times more severe than the time before. Nevertheless, officials fooled themselves into thinking they had such understanding and confidence, in spite of the peculiar variations from case to case. A mathematical model was made to calculate erosion. This was a model based not on physical understanding but on empirical curve fitting. To be more detailed, it was supposed a stream of hot gas impinged on the O-ring material, and the heat was determined at the point of stagnation (so far, with reasonable physical, thermodynamic laws). But to determine how much rubber eroded it was assumed this depended only on this heat by a formula suggested by data on a similar material. A logarithmic plot suggested a straight line, so it was supposed that the erosion varied as the .58 power of the heat, the .58 being determined by a nearest fit. At any rate, adjusting some other numbers, it was determined that the model agreed with the erosion (to depth of one third the radius of the ring). There is nothing much so wrong with this as believing the answer! Uncertainties appear everywhere. How strong the gas stream might be was unpredictable, it depended on holes formed in the putty. Blow-by showed that the ring might fail even though only partially eroded through. The empirical formula was known to be uncertain, for it did not go directly through the very data points by which it was determined. There were a cloud of points some twice above, and some twice below the fitted curve, so erosions twice predicted were reasonable from that cause alone. Similar uncertainties surrounded the other constants in the formula, etc., etc. When using a mathematical model careful attention must be given to uncertainties in the model.’

Field joint blow-by posed a major threat to the containment of the liquid fuel— uncontrolled and in close proximity hydrogen, oxygen and flame represent a deadly cocktail. The flight immediately preceding the final Challenger voyage experienced O-ring erosion at three joints. It was only a matter of time before a Shuttle was lost. This was clearly spelt out by the Thiokol engineer, Roger Boisjoly, in a memorandum sent to the company’s Vice President of Engineering in mid 1985: ‘The mistakenly accepted position on the joint problem was to fly without fear of failure and to run a series of design evaluations which would ultimately lead to a solution or at least a significant reduction of the erosion problem. This position is now changed as a result of the [51B] nozzle joint erosion which eroded a secondary O-ring with the primary O-ring never sealing. If the same scenario should occur in a field joint (and it could), then it is a jump ball whether as to the success or failure of the joint because the secondary O-ring cannot respond to the clevis opening rate and may not be capable of pressurization. The result would be a catastrophe of the highest order loss of human life… It is my honest and very Volume 2: Appendix F ‘Personal Observations on Reliability of Shuttle’.

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real fear that if we do not take immediate action to dedicate a team to solve the problem, with the field joint having the number one priority, then we stand in jeopardy of losing a flight along with all the launch pad facilities.’ (Rogers et al. 1986)

3.8.4 Human Factors As suggested by its name, from the outset the Space Shuttle was promoted as a vehicle that would make space flight routine. In order to procure funding, its potential benefits were overly exaggerated—the complexities, experimental nature of the development process, and hazards of space exploration being played down. In many respects it was a vehicle designed by a committee with the intention of pleasing the greatest number of people at the lowest possible cost: ‘NASA had billed the Shuttle as a reliable, inexpensive launch vehicle for a variety of scientific and commercial purposes, including the launching of commercial and military satellites. It had been promised that the Shuttle would be capable of frequent flights (several per year) and quick turnarounds and would be competitively priced than more traditional non-reusable launch vehicles… These pressures led NASA to schedule a record number of missions for 1986 to prove to Congress that the program was on track.’ (Fleddermann 2012)

Unfortunately launch delays had a knock-on effect. In the six weeks before the ill-fated Challenger voyage, mission delays of another flight caused the Challenger schedule to be changed several times. From a management perspective this would not have been a good omen as a goal was to achieve a record number of flights in the year. Further delays were caused by technical problems and adverse weather conditions—the pressure was certainly on to get the Shuttle into space. On 27th January the launch was again cancelled, and re-scheduled for the following morning. However freezing conditions were forecast and a booster field joint O-ring temperature of *29F was predicted. No Shuttle had ever been launched in such conditions—the lowest previous launch temperature was 53F and, as mentioned above, on that occasion both O-ring erosion and blow-by had occurred. Engineers at Thiokol were alarmed by the prospect of attempting a launch at such a low temperature, and were supported by their management. As a result the company recommended postponement to NASA, and on the evening of the 27th a teleconference took place which brought together the relevant parties. Despite strong input from Thiokol engineers who vehemently warned of the increased risks caused by the possible effects of low temperature on the ability of the primary booster O-rings to self-seal, NASA staff strongly opposed postponement. NASA’s ‘Solid Rocket Booster Project Manager’ is reported to have said ‘My God, Thiokol, when do you want me to launch – next April?’ Robison et al. (2002) indicate: ‘The burden of proof seemed to shift. Morton Thiokol had the burden to prove that the Challenger was not flight-ready apparently under the presumption that the flight would succeed otherwise.’

Under pressure, Thiokol management gave way and a decision to launch was taken.

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Late morning on the following day the Challenger’s engines were ignited. Although it was by then getting warmer, the booster O-rings and putty would still have been very cold. The sight of the Shuttle clearing the launch tower must have come as a great relief to all who had participated in the teleconference. Engineers were probably already very much looking forward to inspecting the field joint O-rings as soon as the boosters had been recovered. But in those moments after booster ignition at least one O-ring had been mortally damaged. With its loss of resilience, the competition between self-sealing action and erosion had been lost. Furthermore, because of joint rotation or perhaps due to the formation of ice on the external side of the field joint, the secondary O-ring had failed to provide redundancy (as predicted). Fortuitously as indicated previously, combustion products staunched the blow-by. Perhaps once more NASA would get away with it… The strong wind shears that Challenger encountered at *19,000 feet provided the final blow. These would have caused significant flexing loads to be placed on the boosters, and hence the field joint. The relatively fragile aluminium oxide deposit that was supporting the sealing of the damaged O-ring failed, and as foreseen by Roger Boisjoly in his 1985 memorandum quoted above: ‘The result would be a catastrophe of the highest order loss of human life…’. In fact the only factor that he appears not to have envisioned was the possibility that the products of combustion would effect a temporary seal. Had that material stayed in place for a further 40 seconds, the Challenger could have safely completed another journey into space.

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3.8.5 Optimism and Realism: When Communication Fails ‘“What is the cause of management’s fantastic faith in the machinery?”’27

The design of the Shuttle’s boosters built on success achieved with the Titan missile. But there was a key fundamental difference; the Shuttle’s boosters were intended for reuse—Titan was not: ‘… the joints of the Titan were designed so that the insulation of one case fits tightly against the insulation of the adjacent case to form a more gastight fit than the Thiokol design. One O-ring bore seal was used in each Titan joint to stop any hot gas pressure that might pass by the insulation overlap, but in the Titan design the O-ring was able but not intended to take the brunt of the combustion pressure. In contrast, the Thiokol O-rings were designed to take the brunt of the combustion pressure, with no other gas barriers present except an insulating putty… Another difference… was that the tang portion of the Thiokol joint was longer in order to accommodate two O-rings instead of one [employed in the Titan design]. It was more susceptible to bending under combustion pressure than the Titan joint, as post-design tests and later flight experience demonstrated..’ (Rogers et al. 1986)

As previously mentioned, even in 1977 the booster tests revealed that all was not well with the case design. Following the second Shuttle flight, engineers had unequivocal confirmation of this design issue—a problem so serious that it could endanger both crew and craft. At this point a decision could have been made to

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immediately address the problem. However to have admitted that there was a serious fault may well have impacted on NASA funding and prestige (complex scientific and engineering work is often severely hampered when conducted within an environment which is constantly subjected to political and media scrutiny). And so flights continued and the focus shifted from eradicating O-ring erosion, to accepting its occurrence and quantifying an acceptable level of erosion. Ensuing numerical data isolated decision-makers from a fundamental fact—combustion gases should never have been allowed to come into contact with the O-rings. This was a crucial consideration in the original design strategy.

Given the presence of blow-holes in the insulating putty we may assume that O-ring erosion would most frequently occur whilst primary O-rings were ‘self sealing’. And in view of the low temperature on the day of the Challenger launch, it is reasonable to assume that significant erosion and blow-by occurred at this time (as evidenced by the emission of spurts of smoke approximately half a second after the detonation of the restraining bolts). It is possible that the level of damage sustained by the primary O-ring in the aft field joint of the right booster did not exceed the ‘accepted’ level of ‘safe’ erosion. However as mentioned, the Challenger experienced a further unanticipated difficulty whilst travelling at *Mach 1—high shear winds. This triggered a second erosion event. Had the O-ring seal not been already seriously compromised, it is possible that this wouldn’t have caused the level of ‘safe’ erosion to have been exceeded. In combination, the two events proved fatal. In relation to the perception of the possibility of Space Shuttle failure, Richard Feynman writes: ‘It appears that there are enormous differences of opinion as to the probability of a failure with loss of vehicle and of human life. The estimates range from roughly 1 in 100 to 1 in 100,000. The higher figures come from the working engineers, and the very low figures from management… Since 1 part in 100,000 would imply that one could put a Shuttle up each day for 300 years expecting to lose only one, we could properly ask “What is the cause of [NASA] management’s fantastic faith in the machinery?”’ (Rogers et al. 1986)

Management undertook key tasks in promoting the Shuttle technology to a wide range of stakeholders—from the U.S. President and politicians though to the general public. They were not involved with the ‘nuts and bolts’ of the many complex systems, and at times it was perhaps necessary for them to over-claim.

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Under such circumstances it’s possible to become overly optimistic and to truly believe one’s own ‘publicity’. In contrast, on a daily basis the scientists and engineers were grappling with complex and often detailed problems. A key responsibility was to understand and resolve everything that could go wrong. It was perhaps natural that two quite different outlooks emerged—one overly optimistic, and the other much more realistic. However, from a management perspective, engineering realism may be interpreted as pessimism. Within such a climate, engineers can quickly be perceived as pedantically cautious perfectionists concentrating on conformance to design detail rather than on the much more important ‘bigger issues’ faced by management. In contrast from the management perspective there was an overwhelming pressure to get the Shuttle off the parking lot and into space.

to

The teleconference held on the evening before the Challenger flight must surely have been dominated by human factors rather than highly rational logic. Tufte (1997) criticises the representations made by the Thiokol engineers to managerial staff and suggests that data relating launch temperatures to erosion should have been presented using clear visual (high impact) diagrams. However, this argument fails to take into account several issues—particularly the question of whether managerial staff were actually willing to be persuaded about the dangers associated with such a low temperature launch. As Richard Feynman observes: ‘The argument that the same risk was flown before without failure is often accepted as an argument for the safety of accepting it again. Because of this, obvious weaknesses are accepted again and again, sometimes without a sufficiently serious attempt to remedy them, or to delay a flight because of their continued presence.’ (Rogers et al. 1986)

Engineers were being placed in a situation in which they had to prove that failure would occur—akin to requiring proof prior to the Titanic’s maiden voyage that the ship would sink if the seemingly impossible happened and it collided with an iceberg! Even if the launch of the Challenger had been postponed, it would appear to be almost inevitable that a subsequent flight would have been lost due to booster O-ring erosion and associated blow-by: NASA was gradually cutting safety margins, the planned schedule of launches for 1986 was very demanding, and

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fundamental problems weren’t being addressed. Less than four months before the Challenger disaster, R. V. Ebeling, manager of Thiokol’s solid rocket motor ignition system, wrote with obvious frustration about the lack of support being received by the group charged with working on the O-ring problem: ‘…the O-ring investigation task force is very limited to a group of engineers numbering 8-10. Our assigned people in manufacturing and quality have the desire, but are encumbered with other significant work. Others in manufacturing, quality, procurement who are not involved directly, but whose help we need, are generating plenty of resistance. We are creating more instructional paper than engineering data. We wish we could get action by verbal request, but such is not the case. This is a red flag.’ (Rogers et al. 1986)

And during questioning (Rogers et al. 1986): ‘Mr. Ebeling: …the O-ring is not a mechanism and never should be a mechanism that sees the heat of the magnitude of our motors, and I think before I do retire, I’m going to make sure that we discontinue to fly with round seals. I am against round seals anyway. I think seals with memories, not pressure activated, but energized through mechanical means, and in all cases, keep the heat of our rocket motors away from those seals… Dr. Covert: In this regard, then, did you have an increasing concern as you saw the tendency first to accept thermal distress and then to say, well, we can model this reasonably and we can accept a little bit of erosion, and then etc., etc? Did this cause you a feeling of if not distress, then betrayal in terms of your feeling about O-rings? Mr. Ebeling: I’m sure sorry you asked that question. Mr. Covert: I’m sorry I had to. Mr. Ebeling: To answer your question, yes I felt that we shouldn’t ship any more rocket motors until we got it fixed. Dr. Covert: Did you voice this concern? Mr. Ebeling: Unfortunately, not to the right people.’

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Discussion ‘Integrity is doing the right thing, even if nobody is watching.’28

Assertions that: ‘If you’ve nothing to hide, you’ve nothing to fear’, and, ‘If you have something that you don’t want anyone to know, maybe you shouldn’t be doing it in the first place’, indicate (either intentionally or otherwise) a failure to understand the basic notions relating to the complex and multifaceted nature of privacy. As for the idea that: ‘You have zero privacy anyway. Get over it.’, this would appear to be even more foolish—a life with zero privacy would simply be untenable. In everyday terms we most frequently consider privacy in the context of non-disclosure—for example, we may wish to keep our financial situation or medical conditions to ourselves, or at least be in control of the people to whom we wish to disclose such information. In this context we suggested five privacy dimensions—What, Why, Who, When, and Where (recall Fig. 3.2). Unfortunately although these can be quite useful, they are limited in scope and perhaps unintentionally suggest that our consideration of privacies can in some way be untangled, thereby enabling privacy to be discussed within a logical framework. This is far from being the case. Our assignment of privacy values is often quite illogical, and although we may currently consider something to be extremely private, with the passage of time this may well change. Contrariwise and anecdotally it would seem that life experience tends to make us increasingly aware of the value of preserving certain privacies. Perhaps this is because we occasionally encounter situations in which others misuse (and possibly even exploit) the trust that we have placed in them by revealing ‘something’ we consider to be private. This can gradually erode our willingness to be ‘open’ and may reinforce the notion of ‘keeping our own counsel’. Indeed our privacy values not only change over time, but vary from person to person and between cultures. It would seem that relatively few people have a true understanding of the degree of trust that we are placing in organisations who acquire, trade, and process personal information that is gleaned from our interactions with the digital domain, or the full extent of our individual digital footprints. At the present time a central thrust is to further increase the extent to which personal information is acquired. Many people are reassured by indications that such information is depersonalised— although in reality the reconstruction of identity is often fairly straightforward, moreover the theft of personal information is commonplace. The reality is that although in our direct interaction with others we continue to guard our privacy values, within a generation we have adapted to an electronic world in which we are making ever more information pertaining to practically every aspect of our lives available to potential scrutiny. We have little insight into how this information will ultimately be processed, consolidated and used. The danger 28

Unattributed.

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lies not in our superficial appreciation of the nature of privacies, but rather in more profound uncertainties and ramifications of privacy erosion: ‘For if we are observed in all matters, we are constantly under threat of correction, judgement, criticism, even plagiarism of our own uniqueness. We become children, fettered under watchful eyes, constantly fearful that – either now or in the uncertain future – patterns we leave behind will be brought back to implicate us, by whatever authority has now become focused upon our once – private and innocent acts. We lose our individuality, because everything we do is observable and recordable.’ (Attributed to Bruce Schneier quoted in Electronic Frontier Foundation 2009)

By way of a simple example, consider the appointment process for employment vacancies. Not so long ago, and in most situations, the decision to appoint a particular candidate was based on the person’s paper-based application (including experience and qualifications), paper-based references/testimonials, and an interview. Currently members of an interview panel are presented with such information in electronic form and can acquire further personal and professional information via the Internet– it’s quite surprising how much material is readily available. As for the candidate, prior to an interview he/she is likely to have mentally rehearsed answers to questions that may be asked and over time will have developed an ‘interview technique’. Invariably as part of this the candidate will attempt to create an impression which will hopefully impress the panel and so will emphasise some aspects of their lives and experiences to date whilst glossing over others. Thus in the latter case, when the candidate is asked why he/she is interested in a position, it may be unwise to be completely truthful (e.g. by referring to family difficulties and the need for a higher salary, or the ending of a previous employment contract and hence the urgent need to obtain alternative employment). In short, in many situations a candidate doesn’t tell the whole truth.29 Whilst information that a candidate supplies can often be verified via the Internet, this takes time and relies on human motivation. In contrast consider efforts that are currently being made to develop robotic systems whereby a robot conducts the first phase of a two-tier interview process (i.e. the initial selection of candidates for a second (human-based) interview). The Stockholm-based company Furhat is promoting one such technology named ‘Tengai’. It is claimed that: ‘The ultimate aim is to carry out job interviews by eliminating all the subtle and unconscious biases that recruiters and managers bring to the interview process… [which include] assumptions about a person’s competence based on appearance, education, voice, ethnicity and gender…’ (Kumar 2019)

And moreover: ‘The goal is that she [the robot] will eventually be sophisticated enough to decide for herself whether a candidate can move forward to the next stage of recruitment, avoiding the need for a human to review interview transcripts.’ (Savage 2019)

29

This may also be the case with the interview panel who may over-exaggerate interesting aspects of the role and career enhancement opportunities which will (perhaps) be provided.

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Although at present this appears to be a fairly straightforward development (with the AI system working through sets of questions and with the robotic device generating ‘natural’ human speech and facial expressions) it is instructive to consider the way in which such technology has the potential to evolve. For example, such a system could readily be developed so as to undertake extensive Internet-based searches in connection with each applicant and employ information derived from this process to develop in-depth personal and professional candidate profiles. This could then be used in the generation of interview questions, or as part of an automated decision making process. Perhaps some would claim that this could result in more rigorous interviews and so increase the chance of ensuring that the recruitment process more accurately reflects the needs of employers. No longer would the candidate be able to exaggerate aspects of his/her experience, skills, attributes, and the like. Nor would the candidate be able to put to one side career difficulties, weaknesses, and various personal characteristics that may not especially appeal to the prospective employer. However if this approach became the norm, privacies would be greatly eroded and a person would need to continually exercise great caution in their activities, behaviours and the like. With this in mind there are several considerations which closely relate to our current discussion: 1: Automation: The implementation of such a system means that a wealth of data could be obtained and distilled automatically. This process could be further advanced by supporting information exchange between AI systems. 2: The Internet of Things: If the scale of deployment and diversity of IoT devices grows in accordance with some predictions then this would greatly increase the scope and profundity of our digital footprints and make it increasingly difficult to avoid the invasive scrutiny that could be achieved using the form of system outlined above. 3: Uncertainty: Suppose that you were to attend an interview and find that you were faced with a Tengai-like robotic system. You may well not know whether the system was simply working through a series of standard questions or whether it was actually undertaking extensive background checks which it would use in its decision making process. In short you would not have any certainty as to the extent to which your privacies were remaining intact—or otherwise. 4: Diversity: It is possible that this robotic interview scenario may appear to be adept in accurately matching recruits to an organisation’s requirements and expectations. However in the longer term the approach may prove to be disadvantageous as it could result in a reduction in staff diversity. In turn this could reduce the likelihood of dissention and enhance a team’s shared sense of identity. Whilst some managers may view this as being desirable, the reality is that in some situations it can result in increased tolerance of, and conformity to, negative behaviours.

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For related discussion see OTU Activities 3.28 and 3.29. As for the future of this type of robotic system, it is worth bearing in mind that in recent years software systems have been widely used to automatically review applications submitted by job candidates. Thus, for example, the software is expected to select candidates who meet the ‘Essential Requirements’. When a person applies for a position and receives a rejection email (or simply hears no more), it is quite possible that their application has been rejected by a computer—and has never been seen by a human. Anecdotal evidence suggests that this keyword driven approach is highly flawed and fails to take into account many important factors. Whether robotic led interviews will be more successful appears to be highly uncertain

Discussion in this chapter concerning the importance of privacy has been supported by consideration of the impact of pervasive surveillance by the Ministry for State Security (Stasi), in the German Democratic Republic (Deutsche Demokratische Republik) from the early 1950s through to 1990. Although by today’s standards the surveillance techniques employed by the Stasi were rudimentary and labour intensive, this history provides an important illustration of the demoralising effect of privacy erosion. In such a world, who could you trust and when/where could you truly be yourself? This history also highlights human factors that may encourage people to act as informers, and the role of early childhood education in promoting surveillance as a norm (which given the increasing use of biometrics and surveillance technologies in many of today’s schools, retains its relevance). In Sect. 3.6, we introduced the notion of being regarded as an ‘Other’—a person deemed not to be a member of a particular group and over whom as a consequence the group holds, or seeks to gain intentionally or unintentionally some form(s) of authority/power. Within an increasingly technologically-centric world this is an important consideration, since those who have the ability to exercise authority/power are often able to do so in a depersonalised way. In this context, it is worth bearing in mind one of the trials carried out by Stanley Milgram (recall

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Sect. 3.6.2). When the ‘teacher’ was not directly responsible for physically operating the controls but rather told someone else to do so, 92.5% of the voluntary participants worked their way though to the maximum level of shock. It’s likely that this was because the approach reduced the ‘teacher’s’ sense of personal responsibility. This may also apply to some aspects of our use of digital technologies— which can help us to become remote and so divorce us from the ramifications of our actions towards ‘Others’.

As indicated in Sect. 3.7, the debate concerning Edward Snowden’s actions continues to polarise opinion. For many he acted in accordance with ethically sound principles and exposed the excesses and wrongdoing of the NSA and other organisations. For others he was and continues to be a maverick who has greatly jeopardised national security. In this latter context, Epstein (2017) concludes: ‘Whether Snowden’s theft was an idealistic attempt to right a wrong, a narcissistic drive to obtain personal recognition, an attempt to weaken the foundations of the surveillance infrastructure in which he worked, or all of the above, by the time he stepped off that Aeroflot jet in Moscow, it had evolved, intentionally or not, into something much simpler and less admirable. He was disclosing vital national secrets to a foreign power… That is why he can never be pardoned.’

In contrast and by way of example, in relation to the CIA’s MKULTRA Project and related activities, as we have noted, considerable efforts were made to destroy documents detailing the unethical activities which had been carried out. Following initial governmental investigations, additional information was located by Frank Laubinger:

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‘All this started with several Freedom of Information Act requests and Mr. Laubinger … was the individual who took it upon himself to pursue these requests with great diligence. and got permission to go to the Retired Records Center, and then made the decision to look not only under what would be the expected subject files, but through every file with which the branch that conducted this type of activity had any conceivable connection. Very late in March, he discovered these seven boxes.’ (Joint Hearing 1977)

His efforts were acknowledged in the Hearing: ‘…[we] would like to commend Mr. Laubinger for his diligence and expertise…’ (Joint Hearing 1977)

There is a considerable difference not only in the ways in which Snowden and Laubinger achieved their ends but also in the ways in which they were subsequently treated—the former remains in exile and the latter was commended by government. It is instructive to ruminate on Snowden’s situation. For example, would those who condemn his actions view matters differently if he had revealed an even greater level of wrongdoing? Alternatively, do we now live in a society in which a certain degree of unethical activity on the part of organisations is deemed to be inevitable and acceptable? And at what point should we become truly concerned about the ever more powerful technologies and techniques that are available to intelligence organisations and other agencies? Can we simply assume that we live in a more enlightened world in which the excesses of the past will not be repeated, or do we need more people like Edward Snowden and Frank Laubinger in order to curb the ethically unsound activities which are sure to continue?

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Additional Reading

Anderson, R., Brown, I., Dowty, T., Inglesant, P., and Heath, W., ‘Database State’, Report Commissioned by the Rowntree Reform Trust Ltd (2009). Anderson, N., ‘“Anonymized” Data Really Isn’t – and Here’s Why Not’, Ars Technica (8th Sep. 2009). Angwin, J., ‘Has Privacy become a Luxury Good?’, The New York Times (3rd Mar. 2014). Anon, ‘21 of the Most Infamous Data Breaches affecting the UK’, Techworld (2017). Anon, ‘Uhuru Backs Law Change to Start Listing of Kenyans’ DNA’, Business Daily www.businessdailyafrica.com (20th Jan. 2019). BBC, ‘Personal Details of Nearly 200 Million US Citizens Exposed’, 40331215 (19th June 2017). Brown, K., ‘23andMe is Selling your Data, But Not How You Think’, Gizmodo (14th April 2017). Bruce, G., ‘The Firm: The Inside Story of the Stasi’, Oxford University Press (2012). Burgess, M., and Woollaston, V., ‘DuckDuckGo: What is it and how does it work’, Wired (1st Feb. 2017). Campbell, D., ‘NHS Data Loss Scandal has Prompted Five Inquiries, Ministers Say’, The Guardian (13th March 2017). Connor, S., ‘‘Anonymous ‘ NHS Database could still allow Patients to be Identified, Expert Warns’”, The Independent (26th Jan. 2015). Coombes, T., ‘Lessons from the Stasi’, The European (1st April 2015). Crain, M., ‘The Biggest Myth about Phone Privacy’, BBC 20150206 (6th Feb. 2015). Drinkwater, ‘Barclays Pays Compensation to 2,000 Customers after USB Data Loss’, www.scmagazineuk.com (13th July 2015). Freude, A., and Freude, T., ‘Echoes of History: Understanding German Data Protection’, Newpolitik (1st Oct. 2016). Gibbs, S., ‘Google Eavesdropping Tool Installed on Computers without Permission’, The Guardian (23rd June 2015). Goldstein, M., Periroth, N., and Corkery, M., ‘Neglected Server Provided Entry for JPMorgan Hackers’, The New York Times (22nd Dec. 2014). Haggerty, R., ‘Private Eyes: Parents Using Hidden Camera to Monitor Nannies, Baby Sitters’, Chicago Tribune (25th Feb. 2011). Halperin, R., and Dror, Y., ‘Information Privacy and the Digital Generation Gap: An Exploratory Study’, Journal of Information Privacy and security, 12, No. 4, pp. 166–180 (2016). Hern, A., ‘Philippine Electoral Records Breached in ‘Largest Ever’ Government Hack’, The Guardian (11th April 2016). Hopkins, N., ‘Deloitte Hit by Cyber-Attack Revealing Clients’ Secret Emails’, The Guardian (25th Sep. 2017). Harnish, R., ‘The Erosion of Privacy as we know it’, Forbes (21st June 2017). Harper, E., ‘The Secrets to Finding Hidden Cameras’, Techlicious (26th July 2017).

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Hass, B., ‘Chinese Authorities Collecting DNA from all Residents in Xinjiang’, The Guardian (13th Dec. 2017). Hern, A., ‘Why have we Given up our Privacy to Facebook and Other Sites so Willingly?’, The Guardian (21st March 2018). Hern, A., ‘Beware the Smart Toaster: 18 Tips for Surviving the Surveillance Age’, The Guardian (28th March 2018). Huggler, J., ‘East German Stasi Files Open to Public Online for First Time’, The Telegraph (9th Jan. 2015). Inkster, N., ‘The Snowden Revelations: Myths and Misapprehensions’, Survival Global Politics and Strategy, 56:1, pp. 51–60 (2014). Lewis, P., ‘Cambridge Analytica Academic’s Work Upset University Colleagues’, The Guardian (24th March 2018). Licher, A., Loffter, M., and Siegloch, S., ‘The Long-Term Costs of Government Surveillance: Insights from Stasi Spying in East Germany’, German Socio-Economic Panel (SOEP), No. 865 (Sep. 2016). Madden, M., et al., ‘Teens, Social Media, and Privacy’, Pew Research Center (2014). Mahdawi, A., ‘Why Digital Privacy is only for the Rich’, The Guardian (12th Mar. 2014). Markoff, J., ‘You’re Leaving a Digital Trail. What about Privacy?’, The New York Times (30th Nov. 2008). Meyer, D., ‘Worker Suspended Over Loss of Data on all English Prisoners’, ZDNet (22nd Aug. 2008). Mogan, J., ‘Privacy is Completely and Utterly Dead, And We Killed It’, Forbes (19th Aug. 2014). Mudd, A., ‘How to Keep a (Legal) Eye on Your Babysitter’, www.spyequipmentuk.co.uk (26th April 2016). Nussbaum, E., ‘Say Everything’, New York Magazine (12th Feb. 2007). Ohlheiser, A., ‘What You Need to Know about the Cell Phone Privacy Arguments at the Supreme Court Today’, The Atlantic (29th April 2014). Osborne, H., ‘Bank Details of Thousands of Lloyd’s Customers Lost’, The Guardian (10th Sep. 2015). Patterson, O., ‘What is Freedom Without Privacy?’ The New York Times (15th Sep. 1998). Peterson, A., ‘OPM Says 5.6 Million Fingerprints Stolen in Cyberattack, five Times as Many as Previously Thought’, The Washington Post (23rd Sep. 2015). Pitts, P., ‘The Privacy Delusions of Genetic Testing’, Forbes (15th Feb. 2017). Prince, R., ‘Data Loss Spreads to the NHS’, The Telegraph (23rd Dec. 2007). Sampasa-Kanyinga, H., and Lewis, F., ‘Frequent Use of Social Networking Sites is Associated with Poor Psychological Functioning Among Children and Adolescents’, Cyberpsychology, Behaviour and Social Networking, 18, No. 7 (2015). Sanchez, J., ‘The Pinpoint Search: How Super-Accurate Surveillance Technology Threatens our Privacy’, Reasononline, www.reason.com (Jan. 2007). Solon, O., and Levin, S., ‘How Google’s Search Algorithm Spreads False Information with a Rightwing Bias’, The Guardian (16th Dec 2016).

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Tanner, A., ‘How Data Brokers Make Money off Your Medical Records’, Scientific American (1st Feb. 2016). Travis, A., ‘Public Bodies Made 1,119 Errors in use of Phone and Web Data in 2015’, The Guardian (8th Sep. 2016). Vincent, J., ‘Privacy-Focused Search Engine DuckDuckGo wants to Keep you Safe around the Web’, The Verge (23rd Jan. 2018). Walters, H., ‘The NSA Responds to Edward Snowden’s Interview at TED’, Edited Transcript (20th March 2014). Wiederhold, B., ‘Has the Internet Killed Privacy, or Has Our Definition Simply Changed?’, Cyberpsychology, Behaviour and Social Networking, 21, No. 7, pp. 403–404 (2018). Zeder, J., ‘Privacy (TBD): In the Online Space, What is Privacy may Depend on Who You are and Where You Live’, Harvard Law Today (15th May 2014).

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Newitz, A., ‘Dangerous Terms: A Users Guide to EULA’s’, Electronic Frontier Foundation (Feb. 2005). Orwell, G., ‘Nineteen Eighty-Four’, Penguin Books (1949). Perkins, L., ‘To Install a Nanny Cam, or Not?’ HuffPost (11th Feb. 2017). Perry, G., ‘The Lost Boys: Inside Muzafer Sherif’s Robbers Cave Experiment’, Scribe (2018). Popplewell, R., ‘The Stasi and the East German Revolution of 1989’, Contemporary European History, pp. 37–63 (1992). Posner, R., ‘The Economics of Justice’, Harvard University Press (1981). Post, R.C., ‘Three Concepts of Privacy’, Yale Law School Legal Scholarship Repository (2001). Preston, A., ‘The Death of Privacy’, The Guardian (3rd Aug. 2014). Privacy International, ‘The Global Surveillance Industry’, (2016). Privacy International, ‘Track, Capture, Kill: Inside Communications Surveillance and Counterterrorism in Kenya’ (March 2017). Rietman, J., ‘No, The NSA isn’t like the Stasi – and Comparing them is Treacherous’, Wired (14th Jan. 2015). Robinson, W., Boisjoly, R., Hoeker, D., and Young, S., ‘Representation and Misrepresentation: Tufte and the Morton Thiokol Engineers on the Challenger’, Science and Engineering Ethics, 8, pp. 59–81 (2002). Rogers, W., et al., ‘Report of the Presidential Commission on the Space Shuttle Challenger Accident’ (6th June 1986). Samuelson, R., ‘Robert Samuelson: The Hidden Consequences of Snowden’, The Washington Post (5th Jan. 2014). Sarkis, S., ‘11 Warning Signs of Gaslighting’, Psychology Today (22nd Jan. 2017). Savage, M., ‘Meet Tengai, The Job Interview Robot who won’t Judge You’, BBC (12th March 2019). Shariatmandari, D., ‘A Real-Life Lord of the Flies: The Troubling Legacy of the Robbers Cave Experiment’, The Guardian (16th April 2018). Shellenbarger, S., ‘Yes, It’s OK to Spy on Babysitters: Do’s and Don’ts of the Nannycam’, Wall Street Journal (8th May 2003). Sherif, M., ‘Superordinate Goals in the Reduction of Intergroup Conflict’, The American Journal of Sociology, LXVIII, No. 4 (Jan. 1958). Simcox, R., ‘Don’t Listen to Edward Snowden’s Supporters - His Leaks have been a Gift to Terrorists’, The Independent (9th June 2015). Sloan, R., and Warner, R., ‘The Self, the Stasi, the NSA: Privacy, Knowledge, and Complicity in the Surveillance State’, Minnesota Journal of Law, Science & Technology, 17, Issue 1, (2016). Smith, O., ‘Facebook Terms and Conditions: Why You Don’t Own Your Online Life’, The Telegraph (4th Jan. 2013). Smith, R., ‘Ben Franklin’s Website’, Privacy Journal (2000). Solove, D., ‘“I’ve Got Nothing to Hide” and Other Misunderstandings of Privacy’, San Diego Law Review 44, pp. 745–772 (2007). Solzhenitsyn, A., ‘Cancer Ward 192’, Bethell, N., and Burg, D., (trans.), Noonday Press (1991). Tuffs, A., ‘One in 20 East German Doctors Spied on Patients or Colleagues for the Stasi’, BMJ 335, p. 1113 (1st Dec. 2007). Tufte, E., ‘Visual and Statistical Thinking: Displays of Evidence for Making Decisions’, Graphic Press (1997). Waldrop, M., ‘Why the FBI Kept a 1,400 Page File on Einstein’, National Geographic (19th April 2017). Warren, S. D., and Brandeis, L. DE., ‘The Right to Privacy’, Harvard Law Review Association, 4, No. 5, pp. 193–220 (15th Dec. 1890). Weigend, A., ‘Data for the People: How to make Our Post-Privacy Economy Work for You’, Basic Books (2017). Wemple, E., ‘White House Press Secretary Sean Spicer Defines “Gaslighting”‘, The Washington Post (23rd Jan. 2017).

References

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Wensierski, P., ‘East German Snitching went Far Beyond the Stasi’, Spiegel Online (10th July 2015). Westin, A. F., ‘Privacy and Freedom’, Atheneum (1967). Wright, S., ‘The New Technologies of Political Repression: A New Case for Arms Control?’, Philosophy and Social Action, 17 (3–4), pp. 31–62 (July-December 1991). Zimbardo, P., ‘The Mind is a Formidable Jailer, A Pirandellian Prison’, The New York Times Magazine (8th April 1973).

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‘When for some reason she recalls a flower long ago, That was into a fireplace thrown. She remembered how it shriveled and died But in her memories. The beauty survived.’1

4.1

Introduction

It is interesting to momentarily reflect on personal privacy prior to the large-scale proliferation of computer systems which occurred in the late 1970s and early 1980s. In the UK in the early 1970s, many workers still received their salaries in cash at the end of the week. Utility bills could be paid in cash and most transactions were cash-based. Consequently, for many a bank account was by no means a crucial ingredient of everyday life. In comparison, in today’s world life in many countries would be very difficult without a bank account and some form of credit or debit card (imagine asking your employer to pay your salary in cash…). Medical records and other personal information were stored on paper records and as a consequence very little information about the individual was held at centralised locations. When information is stored digitally (and providing that appropriate back-up procedures are followed) it doesn’t become less accessible or degrade over time—it’s always a few key strokes away. In contrast with the passage of the years, paper-based records would usually be moved to less accessible storage

Blundell, Q., ‘Collected Works’ (2020).

1

© Springer Nature Switzerland AG 2020 B. G. Blundell, Ethics in Computing, Science, and Engineering, https://doi.org/10.1007/978-3-030-27126-8_4

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locations where they would gradually gather dust and fade into obscurity. And there can be little doubt that in some situations this can be beneficial to the individual. Through until the advent of the Internet, communications were primarily effected by phone, traditional post, and occasionally by telegram. Although records were held (for billing purposes) of phone calls made, anonymity could readily be maintained through the use of public phones. The privacy of traditional postal communications was regarded as being sacrosanct (and certainly in democratic countries government agencies had to demonstrate very good reason before tampering with correspondence). Thus the telegram represented the only significant form of traditional communication whose content was (at some point) open to view by a third party. This world has rapidly passed by and in this chapter we begin (Sect. 4.2) by considering the role played by the Internet in enabling many of today’s surveillance capabilities. In this context, we identify a number of types of input which contribute to the continual and unfettered growth of our individual digital footprints. This provides foundations for subsequent discussion concerning CCTV2 based surveillance systems (Sect. 4.3) and techniques which are based on the collection and analysis of biometric data (Sect. 4.4). Undoubtedly immense efforts are being made in researching and developing a diverse range of surveillance technologies—this is big business, and systems which offer to provide automated identification and verification techniques are very much in their ascendancy. A fundamental rationale used to promote such systems is that they offer to underpin a safer world in which the activities of criminals and terrorists can be curtailed, and in which lawbreakers can be more readily identified and prosecuted. And why should any law-abiding member of society be troubled by the proliferation of great numbers of CCTV systems and the need to provide biometric data, because as we have already mentioned in previous chapters—if you’ve nothing to hide, you have nothing to fear… Undoubtedly society can benefit from the cautious use of surveillance technologies. This has long been recognised, for example: ‘CCTV surveillance is too beneficial a tool to be prohibited altogether, but the harms of its unlimited use outweigh that benefit. A compromise is necessary: CCTV surveillance should be used, but only if tightly regulated. Then and only then, can its significant advantages be obtained, while at the same time safeguarding the fundamental rights of citizenry.’ (Robb 1979–1980)

These sentiments form a crucial backdrop to this chapter—but at the time of writing, it appears that all too often, consideration of the restricted and judicious use of surveillance has been cast to one side as ever greater numbers and forms of surveillance systems are deployed. This suggests a failure to appreciate the peril of developing a society in which integrated surveillance systems become ubiquitous. Furthermore, many people live under the shadow of authoritarian governments and some are citizens of countries in which democratic government may easily be cast to one side and

‘Closed Circuit Television’, an acronym which dates back to the early days of camera-based surveillance systems.

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213

replaced with dictatorial rule. Consequently in considering the ramifications of personal surveillance, it is crucial to bear in mind that when placed in the hands of non-benign agencies, data collection and surveillance techniques can be employed as tools of repression, and for the suppression of dissent. Consider for a moment daily life in such an environment and the constant need to appear to ‘fit in’—to be seen to conform and above all the need to avoid drawing attention to one’s self. Even under the shadow of the relatively primitive surveillance promoted by the Stasi, the ability to continually nurture critical independent thought was far from easy—with whom could a person share his/her ideas and aspirations for a better future? As surveillance is developed into ever more powerful, ubiquitous and automatic processes, repression becomes much easier. In turn this means that it becomes increasingly difficult for the individual to maintain the privacies that are essential in endeavouring to work towards freedoms which oppose the actions and will of government. In such an environment, even the smallest acts by which it is possible to demonstrate to oneself non-conformity can be enormously important. Here, I am reminded of an action of the German physicist Max von Laue (1879–1960) who won the Nobel Prize in 1914 for the discovery of x-ray diffraction by crystals. Under the Nazi regime the ‘Heil Hitler’ salute quickly became a sign of individual loyalty to ideology, government and leader. Through conformance (however reluctant) by leading scientists, this salutation also became the norm amongst the scientific and scholarly communities. However, it appears that von Laue found a way of avoiding compliance: ‘Laue was in the habit of carrying a parcel in each arm everywhere he went so as to preclude the necessity of raising his arm in a salute…’ (Cornwell 2004)

A minor act of defiance, which enabled him to retain an aspect of his own will whilst at the same time avoiding being targeted as an ‘Other’ (recall Sect. 3.6). However, there can be little doubt that in a technology-infused surveillance environment, his failure to fully conform would have been quickly identified. Consider for example, work currently being undertaken to allow automated public space CCTV systems to analyse image content in order to rapidly distinguish between a scene in which two people come together either to express affection, or for reasons which are underpinned by aggression. The deployment of techniques which enable the automated analysis of body language have far reaching consequences, and provide an example of the profound impact that surveillance technologies may have on society in the near future. In the presence of such scrutiny we would have to continually exercise caution in the way that we approach one another—just in case the technology incorrectly interprets our intention. And had such systems had been available in the Third Reich there can be little doubt that Laue’s attitude would have been quickly revealed. In Sect. 4.5 we turn our attention to forms of augmented reality which enable (in principle) real and synthetic image content to be overlaid on a single display screen. Evangelists of this general approach envisage radically new ways to support our interaction with the digital domain. However, in this section we primarily

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consider indicative ways in which Smart Glasses technologies may be used to significantly erode personal privacies. Radio Frequency Identification Devices (RFIDs) provide opportunities to uniquely identify objects from inception through to disposal. This offers great opportunities in areas such as manufacturing and marketing. The fundamental advantage of this technology is that whilst bar codes simply identify a type of product (such as a particular form of garment produced by a particular manufacturer), the RFID can encode the particular instance of the garment, thereby enabling its history to be traced back to a particular worker in a specific factory. The use of RFIDs continues to increase and these microchips are now extensively employed to uniquely identify farm animals, are widely incorporated into passports, and are integrated into a very broad spectrum of consumer goods. Despite many positive uses for this technology, the development of Human Implantable Microchips (HIMs) and RFID bracelets (which cannot be easily removed) has generated considerable controversy. In Sects. 4.6 and 4.7 we discuss the general origins of RFID technologies, together with their operation and indicative areas of application. Finally we round off the Chapter by providing a further example of organisational failure—specifically the way in which technological systems supported the illegal bombing of Cambodia during the Vietnam War (Sect. 4.8). The central theme concerns the manner in which technology was used by people to effectively rewrite history. As so often happens in such cases, the truth concerning the scale of the deception that had taken place eventually emerged—but not before much harm had been done.

4.2

Surveillance and the Internet ‘Under observation, we act less free, which means we are effectively less free.’3

The rapid growth of the Internet reflects its ability to support a myriad of diverse activities that are underpinned by rapid global communications, together with unprecedented information storage, retrieval and sharing capabilities. These traditional facets of the Internet are rapidly being augmented by the new opportunities offered by the growth of the Internet of Things (IoT). Importantly, traditional boundaries that separated cyberspace from the physical world are being eroded, and this is enabling the development of ubiquitous and sophisticated multidimensional surveillance techniques. Indeed the majority of today’s sophisticated surveillance capabilities are underpinned by the Internet. Several key ingredients are summarised in Fig. 4.1 and are discussed in the following subsections.

3

Attributed to Edward Snowden (see Sect. 3.7).

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Direct user activity

Data sharing Data storage Data processing Data amalgamation Data retrieval Data mining

Internet

Algorithms

IoT based input

Other sources of input

Fig. 4.1 On the left-hand side we indicate key facets of the Internet which play a pivotal role in supporting many current surveillance techniques. Three major forms of input are indicated and relate to Internet-based user activity, data automatically collected from a broad range of sensory/monitoring systems (i.e. Internet of Things-based input) and other sources (which include semi-automatic systems). We note that increasingly advanced algorithms (we use this term in a broad sense to include AI and machine learning) constitute the overarching enabling ingredient and potentially pose the greatest threat to individual privacies and liberty.

4.2.1 Direct User Activity Our online activities provide a profound insight into our character, interests and activities. Never before has it been possible to effortlessly gather together so much information about people. Although it is generally known that each and every activity that we perform adds to our ‘digital footprint’, for the most part people are not especially concerned. In fact, many are quite happy to go even further by sharing personally-related content not only with family and friends but also amongst a global community of strangers. Naturally some people who are familiar with life in a pre-Internet world question the wisdom and motivations of a younger generation, many of whom have apparently wholeheartedly embraced online emancipation. This is of course not a recent phenomenon, and a New York Magazine article published back in 2007 suggested that it constituted the ‘greatest generation gap since Rock and Roll’: ‘More young people are putting more personal information out in public than any older person would – and yet they seem mysteriously healthy and normal; save for an entirely different definition of privacy.’ (Nussbaum 2007)

The author goes on to reflect: ‘Right now the big question for anyone of my generation seems to be endlessly “Why would anyone do that?”. This is not a meaningful question for a 16-year old. The benefits are obvious: The public life is fun. It’s creative. It’s where their friends are. It’s theatre but it’s also community. In this linked, logged world, you have a place to think out loud and be listened to, to meet strangers and go deeper with friends…’

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But with the passage of time important lessons have been learned. The removal of ill-considered postings can sometimes be difficult (if not impossible), and we are often unable to predict with any certainty the ways in which our Internet presence will ultimately be used. For example, a 2015 Harris Poll survey carried out in the U.S. on behalf of CareerBuilder (using a representative sample of 2,186 hiring managers) found that *60% of employers used social networking sites to research job applicants. Whilst the survey identifies types of information which would promote candidate recruitment, it also suggests that nearly 50% of hiring managers who indicate that they use social media as part of the screening process have rejected applicants on the basis of their findings. Negative forms of content are said to include provocative or inappropriate images/videos, material relating to the use of alcohol and drugs, discriminatory postings, etc. (CareerBuilder 2016) For many, cyberspace has become a domain in which it is possible to subtly control one’s self-projection. Returning to the New York Magazine article cited above, one interviewee reflected on her Internet activity: ‘When I first started out with my Livejournal, I was very honest…I basically wrote as if there was no one reading it. And if people wanted to read it, then great.’

But as her online audience grew in size this 16 year old become more selfconscious and began to stylise her postings: ‘…I would try things that would not put them off…I tried to make my posts highly stylised and short, about things I would imagine people would want to read or comment on.’

Ultimately, this leads to the creation of an online persona that may bear little resemblance to physical world reality, and at times the quest to create an exciting and vivacious online self can become a dominating influence. Consequently user postings on social media sites don’t necessarily give a sound impression of a person’s background, social status, activities, or actual lifestyle. But when this information is placed alongside many other aspects of a person’s digital footprint, differences between the carefully constructed online persona and the physical reality can give a considerable insight into character traits. In Fig. 4.2 we summarise various sources of direct user activity that contribute to an individual’s digital footprint. Collectively these provide a powerful means of scrutinising a person’s everyday activities, interests, and friends. Although as mentioned above, people have generally learnt to exercise caution in making some forms of personal content publicly available (just in case a prospective employer were to see those party photos…), in democratic countries at least, people are often less concerned about governmental surveillance of our digital footprint. And in the years that have passed since the article cited above was published, online emancipation is no longer simply the domain of a younger generation but has proliferated through a broad swath of society. Individually and collectively the majority seem to have little concern about the rapid erosion of online privacy. This is demonstrated by the ease with which the Investigatory Powers Act (Vincent 2016) passed through the British parliament in 2016:

4.2 Surveillance and the Internet

217 Terms and Conditions

Searches and website visits

Online purchases

Postings, Interaction and Sharing

Text

Correspondence

Video

Digital Footprint

Self-created profile

Websites development and content

Phone activity

Fig. 4.2 Indicative online activities which contribute to the self-construction of a person’s digital footprint. See text for discussion. ‘A bill giving the UK intelligence agencies and police the most sweeping surveillance powers in the western world has passed into law with barely a whimper, meeting only token resistance…[It] legalises a whole range of tools for snooping and hacking… unmatched by any other country in western Europe or even the US.’ (MacAskill 2016)

Edward Snowden (see Sect. 3.7) is quoted in the same article: ‘The UK has just legalised the most extreme surveillance in the history of western democracy. It goes further than many autocracies.’

Even before this new legislation came into being, governmental surveillance in the UK was extensive and did not necessarily simply target ‘suspects’. Take, for example, the case of the GCHQ surveillance program code-named ‘Optic Nerve’: ‘GCHQ files dating between 2008 and 2010 explicitly state that a surveillance program codenamed Optic Nerve collected still images of Yahoo webcam chats in bulk and saved them to agency databases, regardless of whether individual users were an intelligence target or otherwise.’ (Ackerman et al. 2014)

The author draws on material released by Edward Snowden and indicates that during a six month period, 1.8 million users were targeted. The agency is reported as not having recorded entire video streams but collected image frames at 5 minute intervals—these being processed by facial recognition software. It appears that GCHQ staff were somewhat surprised to find that a significant proportion of the collected content contained sexually explicit material:

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‘The documents also chronicle GCHQ’s sustained struggle to keep the large store of sexually explicit imagery collected by Optic Nerve away from the eyes of its staff, though there is little discussion about privacy implications of storing this material in the first place.’ (Ackerman et al. 2014)

For related discussion take a look at Ethical Dilemma 4.1.4 Despite extensive media coverage concerning government surveillance of our personal Internet-related activities, as individuals we seldom make an effort to access and use facilities which will enhance our privacy. In order to gain free access to facilities such as Facebook, Twitter and the like, we agree to the ‘Terms and Conditions’ of End User License Agreements (EULAs—see Sect. 3.4), with hardly a passing thought as to their meaning and significance.

4 The article quoted above solicited a large reader response—with one person amusingly commenting: ‘Who cares if GCHQ have been reading my emails. Meta data is no big deal. I have nothing to hide. It’s not like they’re peering into my home when I’m naked or anything…. Oh.’

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Conscious + active interaction with devices for their intended purpose No knowledge that a device can be used to acquire our data Knowledge that a device is susceptible to misuse (hacking)

IoT based contribution to the digital footprint No suitable precautions taken Devices not consciously noticed – passive interaction

Fig. 4.3 Summarising aspects of our interaction with IoT devices. Here we distinguish between ‘active’ and ‘passive’ forms of interaction. The former is assumed to involve some physical action (e.g. the use of an access card to open a door), whereas the latter requires no such action (e.g. in the case of surveillance cameras). We also suggest that even in the case of devices which are known to be susceptible to misuse (e.g. the camera and microphone built into a laptop computer), we often fail to take any suitable precautions to confound their potential for covert monitoring.

In conclusion, and returning to Figs. 4.1 and 4.2, we freely contribute to the growth of our personal digital footprints—perhaps reassured by the notion that all Internet users are surely doing likewise. Perhaps we can trust in the professionalism and ethical conduct of all those who will access and use that rich and detailed tapestry of data which comprises our digital footprint?

4.2.2 Internet of Things Based Input ‘If you’ve done nothing wrong, you have nothing to hide from the giant surveillance apparatus the government’s been hiding.’5

In this subsection, continue to discuss aspects of Fig. 4.1 and now focus on systems which are able to automatically collect data that directly or indirectly contributes to our digital footprint. We may be consciously aware of the presence of particular systems (e.g. when we make a credit card-based purchase in a shop), or may become so attuned to their presence that they are not consciously noticed (e.g. surveillance cameras). Alternatively we may have no knowledge that a particular device can be used (or is being used) to acquire data (see Fig. 4.3). In recent years the concept of the Internet of Things (IoT) has attracted extensive media attention and corresponding hype. One brief introduction reads: 5

Attributed to Stephen Colbert.

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‘Consider your home in five years: Before you’re out of bed in the morning, the drapes open themselves, the shower turns the water to the perfect temperature, and the toaster toasts your bagel just the way you like. Motion detectors know when you’ve left for work and switch on your home security system as a robot vacuum begins cleaning your floors. At the office, you realise you forgot to start the clothes dryer; a simple voice command to your smartphone means the laundry’s ready when you get home. As you head up the driveway at night sensors in your smart car alert the garage door to open and the lights in your home to turn on while the TV tunes itself to your favourite program.’ (Mcardle 2016)

Which is all well and good—providing that the Internet doesn’t go down—in which case, forget the bagel and shower… However putting this practicality firmly to one side, evangelists abound. The commercial sector recognises that the integration of sensors and actuators (which have wireless connectivity) into products, has the potential to generate major revenue streams. For example: ‘If policy makers and businesses get it right, linking the physical and digital worlds could generate up to $11.1 trillion a year in economic value by 2025.’ (Manyika et al. 2015)

In parallel, government agencies involved in surveillance, law enforcement, and the like perceive opportunities to massively enhance the scope, profundity, and granularity of the surveillance process. In fact surveillance opportunities that will emerge with even a conservative growth of the IoT are likely to by far outweigh issues that are arising from the increased incorporation of end-to-end encryption techniques in mainstream consumer products and services. It is suggested that that the proliferation of this form of robust encryption is causing a growing disparity between governmental agencies’ legal powers to intercept electronic communications, and their actual practical ability to do so (metaphorically referred to as ‘Going Dark’). This has generated considerable debate as to the extent to which the goals of combating terrorism and fighting crime transcend all other considerations, such that key players in the digital industries have an ethical responsibility to ensure that encryption techniques do not hamper legal government access. In this general context, in 2014 James Comey (FBI Director) indicated: ‘Unfortunately, the law hasn’t kept pace with technology, and this disconnect has created a significant public safety problem. We call it ‘Going Dark’ and what it means is this: Those charged with protecting our people aren’t always able to access the evidence we need to prosecute crime and prevent terrorism even with lawful authority. We have the legal authority to intercept and access communications and information pursuant to court order, but we often lack the technical ability to do so.’ (Comey 2014)6

Of course whilst in some countries the difficulties of gaining access to encrypted communications may hamper valid counter terrorism activities, security in the encryption of communications can be of paramount importance to those in other countries who are risking their lives as they seek to gain freedom from oppression and tyranny. For related discussion see Ethical Dilemma 4.2. 6

Also quoted in the Berkman Center Report (2016).

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As the IoT grows (assuming that a broad spectrum of society seeks a world in which Internet-enabled devices become ubiquitous), surveillance opportunities will be taken to a new level. Take the simple case of a Samsung Smart TV or even Mattel’s Smart Barbie doll (Brown 2015). Both are equipped with microphones but employ cloud-based speech-recognition software. From a voice recognition perspective, this is a sensible solution as it avoids the need to integrate significant processing power into the device. Furthermore, device response is not limited to the fixed vocabulary that is stored within it.

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But if the device can be remotely re-programmed (or if the microphone feed can be intercepted), then the TV and doll become surveillance tools. Indeed in the case of a child’s toy (such as a doll or teddy), some may believe argued that in the case of suspected child abuse this would represent appropriate intervention. In 2015 the potential dangers posed by the popular My Friend Cayla ‘smart’ doll were demonstrated. From a distance of up to 15m it was possible to access the doll’s Bluetooth connection and so intercept, orchestrate and record conversations (Oltermann 2017). Naturally this raises significant ethical concerns in relation to opportunities for misuse. Concerns have also been raised regarding the opportunities for covert surveillance which are offered by laptop computer cameras and microphones. It is evident that these facilities are by no means immune from remote hacking. However despite media attention few people take even the simplest of measures to ensure that the devices are inoperative when not required (e.g. by placing a ‘Post It’ sticker over the camera). In considering the potential of the IoT to take surveillance to a new level it’s important to bear in mind that this doesn’t simply relate to specific activities which are captured by monitoring systems, but can also focus on the processing of content so as to detect changes in habitual behaviour. This area is attracting significant research attention with organisations employing AI systems to rapidly detect and respond to apparent threats: ‘The latest wave of cyber-defense technology employs machine learning to monitor use of the ever-expanding number of smart household objects connected to the Internet of Things – shutting down hackers before they’ve broken into corporate databases or whistleblowers before they’ve forwarded on information to the media.’ (Opray 2017)

For related discussion take a look at OTU Activity 4.1.

4.2.3 Other Sources of Input ‘Logic may indeed be unshakeable, but it cannot withstand a man who is determined to live.’7

Here we briefly consider the third indicative general category of input indicated in Fig. 4.1 and which contributes to a person’s digital footprint. This is assumed to relate to either input derived from systems not directly connected to the Internet, or from information manually entered by others. As summarised in Fig. 4.4, in this latter scenario we are often unaware of the additions which are continually made to our individual digital footprints, and in many situations we have no opportunity to control the flow of information. Most importantly, since we cannot determine with surety the scope, profundity and extent of the information which comprises our digital footprint, we have no 7

Kafka (1925).

4.2 Surveillance and the Internet

Aware of data entry

223

Consent to data entry Contribution to the digital footprint

Unaware of data entry

Data entry occurs without personal choice

Fig. 4.4 Here we focus on data which is manually entered by others and which contributes to a person’s digital footprint. Data entry may occur with or without our knowledge and/or consent.

way of verifying the accuracy of its content. Occasionally of course situations arise in which we find that online personal content is inaccurate—although correcting errors can be a Herculean (if not impossible) task. In this context, I recall that some years ago, an Internet search revealed that I had presented a scientific paper at a conference in Japan. Authorship was ascribed to me and the details of my university affiliation were correctly given. The only problem was that I hadn’t written the paper, hadn’t attended the conference, and knew nothing of the research subject… After some investigation it became apparent that the paper had been written by somebody with the same name who was located in Australia. I contacted the organisation which had hosted the conference and described the error—but they were not able to (or not inclined to) correct it. And so part of my publicly visible digital footprint continues to credit me with a research paper that I had no part in writing or presenting…

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Camera-Based Surveillance ‘We have millions of cameras in this country [UK] and Europeans look at us askance that our society actually accepts the volume of cameras we do’8

On returning to England after spending some years overseas, I was dismayed to see the extent to which CCTV cameras had pervaded public spaces. In city streets and parks through to shops, public transport, the workplace, car parks, hospitals, and schools, CCTV cameras looked on. On motorways, banks of cameras peered down from overhead gantries and even when I entered a church I noted a seemingly incongruous sign affixed to the ancient oak door, ‘Under Video Surveillance’. Certainly whilst living for some years in Auckland, New Zealand, I had been aware of the growing prevalence of CCTV cameras throughout that city. But then Auckland is part of a rapidly growing brave new world—surely the traditional and strongly rooted privacy values that I have long associated with the UK would make it impossible for the CCTV epidemic to flourish there? I was of course quite wrong, the unfettered proliferation of CCTV has been accepted without undue concern, and a large proportion of society has positively embraced the enhanced security which CCTV appears to offer. Figures for the total number of CCTV cameras operating in the UK vary widely. However in 2013 the British Security Industry Authority estimated the presence of 4–5.9 million cameras, of which some 100,000 (Big Brother Watch 2012) were located in public and private schools, 120,000 in medical surgeries and health centres, and 100,000 in restaurants.9 See OTU Activity 4.2 for related discussion.

A White Paper focusing on public attitudes to large scale public space surveillance (Synectics 2015)10 opens by commenting ‘…the UK, widely considered the home of public space surveillance’. The authors subsequently draw on research conducted by the market research agency ICM (commissioned by Synectics), and which surveyed 2000 citizens in 2014. This suggests that at that time 86% of the sample supported the use of CCTV. Table 4.1 summarises reasons given. However, in the absence of further information concerning the way in which the survey was carried out, these figures need to be viewed with a degree of caution. 8

Attributed to Tony Porter UK Surveillance Watchdog. Quoted in BBC (2015). These are indicative—see Barrett (2013) for further details. 10 Synectic Systems produce integrated end-to-end security solutions and are therefore involved in the deployment of CCTV systems. 9

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Table 4.1 A survey commissioned by Synectics of 2000 UK citizens indicated that *86% supported the use of CCTV. Here we summarise results reported by Synectics in connection with reasons for this support. The figures quoted here suggest that each participant was asked to respond to this set of statements, and that many participants simply indicated agreement with all of them. (Data source Synectics 2015) Reasons given

Percentage of sample

CCTV CCTV CCTV CCTV

74% 70% 70% 70%

helps to prevent crime is crucial for criminal investigations makes the public feel safer helps to prevent anti-social behaviour

The White Paper makes an important point in respect of public perception of traditional CCTV systems, which may help a little in explaining widespread acceptance of pervasive CCTV: ‘One in seven people say that fictional TV shows such as CSI [Crime Scene Investigation] have the biggest influence on their perceptions. Conversely, this may serve to give the general public false expectations of the actual capabilities of surveillance systems. Creating additional pixels where there aren’t any, or being able to identify a criminal by zooming in on a reflection in someone’s eye might be an entertaining portrayal of surveillance but is not reflective of true analytical usage.’ (Synectics 2015)

Traditional forms of public space CCTV camera technology have often generated disappointing results. Due to poorly calibrated equipment and limitations in camera resolution, image quality has often been poor (and this continues to be the case with low-end systems which, for example, are operated under poor lighting conditions). Furthermore, continuous real-time operation has, and often continues to entail constant human observation of video content. Sitting for long periods of time in front of a console showing footage from multiple cameras is invariably an extremely tedious occupation and so it’s easy for operators to overlook brief (but important) events—a case of ‘watching’ but not ‘seeing’. In addition, as the number of real-time CCTV systems increase, more operators are needed. Consequently escalating financial practicalities often limit the percentage of cameras which are monitored in real time. Thus whilst some people may be reassured by the presence of public space CCTV cameras, the reality is that many of them are not continually monitored, and so output may simply be recorded (assuming that they are actually working). However, CCTV technology is changing dramatically. When at the beginning of this section I remarked upon my dismay about the extent to which CCTV surveillance has become endemic in the UK, this did not primarily reflect concern for the ‘here and now’—but rather that I was thinking ahead to the coming of sophisticated Intelligent Video techniques. These are also commonly referred to as Smart CCTV and Video Analytics (which we use in the context of the ‘intelligent’ processing of image content). Automated motor vehicle number plate recognition systems (ANPR) provide an example of CCTV systems which can operate without human intervention, such that information can be directly (and routinely) extracted from video footage and

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General Surveillance

Antisocial Behaviour

Indicative Motivations (Government Use)

Crime Prevention

Reassurance of Public

‘Real Time’ Intervention

Fig. 4.5 A summary of indicative motivations that influence the governmental use of public space CCTV systems. See text for discussion.

stored for use. Interrogation of the relevant database can then, for example, allow the movements of a particular vehicle to be overlaid on a map with precise key point details of location and time. This is a very simple example of the use of Video Analytics. As camera performance continues to increase (with a corresponding reduction in the cost of purchase and maintenance), IoT-based CCTV systems backed by sophisticated Video Analytics will support ever-greater levels of automated surveillance. This opens up a broad range of ethical issues—particularly in relation to personal privacies and any rights that we may have to be ‘left alone’. In the next subsection, we briefly review current motivations and usage of CCTV systems. In Sect. 4.3.2 we consider the increasing use of networked cameras —that is to say, cameras which directly communicate over an IP network. Finally in this Section we turn our attention to human factors.

4.3.1 Traditional CCTV-Based Surveillance ‘Anyway, the police have had him charted for months, years. Never know when that sort of information might be handy. And today, it turns out, it’s very useable indeed.’11

Figure 4.5 summarises a number of motivations which may lead some governments to promote the use of CCTV systems. These are briefly discussed below: 1: Crime Prevention: There is considerable debate around the impact that public space CCTV systems have on crime prevention, and analysis of crime figures can lead to misleading or uncertain conclusions. For example, following CCTV installation in an inner-city car park there may be a reduction in certain types of 11

Bradbury (1954).

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night-time crime. However this may not be solely due to the presence of CCTV systems, but rather may be caused by the improved lighting that has been installed in order for the CCTV systems to operate satisfactorily during the hours of darkness. Further, the introduction of a CCTV installation may cause a displacement effect in which the criminal minded and unruly move out of the area under surveillance, and simply engage in their activities elsewhere. Whilst many crimes are premeditated, others are committed in a more spontaneous and opportunistic way (perhaps fuelled by alcohol and drugs). In general terms, CCTV surveillance has more impact on crimes which are of a premeditated nature (by discouraging or displacing this type of activity), and a lesser effect on those which aren’t planned in advance. But even in the case of the former type of crime there appears to be little hard evidence supporting the general effectiveness of public space CCTV systems. For example a report prepared for the Swedish National Council for Crime Prevention observes that: ‘The results suggest that CCTV caused a small (16%) but significant decrease in crime in experimental areas compared with comparable control areas. However, this overall result was largely driven by the effectiveness of CCTV schemes in car parks, which caused a 51% decrease in crime. Schemes in most other settings had small and non-significant effects on crime: a 7% decrease in city and town centers and in public housing. Public transport schemes had greater effects (a 23% decrease overall), but these were still non-significant. Schemes evaluated in the UK were more effective than schemes evaluated in other countries, but this effectiveness was largely driven by the studies of car parks.’ (Welsh and Farrington (2007) also quoted in Woodhouse (2010))

It appears that CCTV has little if any impact on the level of violent crime (see, for example, The Campbell Collaboration 2016). Unfortunately, statistical data can always be presented in ways that appear to support a particular standpoint. For example, in 2013 a Chicago city spokesman indicated that surveillance cameras helped solve 4,500 crimes over four years (Kille and Maximino 2014). At first sight, this may appear to be impressive. However given that there were an estimated one million crimes during that period the reality is that CCTV had been useful in only *0.5% of total crimes. Furthermore, as in many other areas relating to technology development, deployment, and application, it is necessary to carefully examine publications to determine whether authors are likely to have vested interests in promoting aspects of the work which they are reporting, and/or whether research funding has been procured from organisations which may benefit from publications which make particular recommendations and the like. The effectiveness of CCTV is also discussed in a detailed analysis of its impact following installation in Stockholm subway stations. This represents a scenario in which security staff could respond quickly to information derived from camera systems—within a reasonably controlled environment. In conclusion, the author indicates: ‘I have estimated that cameras deter approximately 575 crimes per year at the subway stations. On the other hand, approximately 75 crimes were displaced to non-surveilled

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areas adjacent to the stations. Therefore, in total, assuming that there is no other displacement effect, there were 500 fewer crimes due to the cameras.’ (Priks 2015)

Which sounds to be quite a positive outcome. On the other hand the author adds: ‘Assuming also that there are no costs of intrusion on privacy, the cost of reducing one crime is just over SEK 13,000 (approximately US$ 2,000).’

The cost effectiveness of the widespread public space deployment of CCTV systems is clearly an important issue, as installation, monitoring, and maintenance may well exceed the costs of more traditional forms of policing. For example, in the UK between 1992 and 2002 it’s estimated that the government invested in excess of £250 million in the deployment of this technology (The Campbell Collaboration 2016). This price tag is reported to have risen to *£515 million in the years 2007–2011 (Big Brother Watch 2012). 2: Public Reassurance and Real Time Intervention: In countries such as the UK, an enhanced sense of personal safety appears to represent a significant factor in the public acceptance of widespread CCTV deployment. This is likely to be based on either an expectation that CCTV systems cause displacement and so will, for example, ensure that a lonely and dark inner city car park is no longer likely to attract criminal activity. Alternatively, the sense of enhanced safety may be derived from a feeling that the ‘good guys are looking on and looking out for me’. However in reality much depends on the presence of an alert CCTV operator and the response time of local police. A delay of several minutes perhaps represents a best case scenario—and much can happen in that time. In the case of rapidly unfolding incidents, latency associated with ‘real time’ intervention obviously reduces the effectiveness of public space CCTV surveillance and hence its ability to offer meaningful security. In a number of countries, the ideas of the American architect and town planner Oscar Newman in relation to ‘defensible space’ have taken root. In the U.S. this led to the adoption of ‘Crime Prevention through Environmental Design’ strategies, which emerged in the UK in the late 1980s as the ‘Secured By Design’ (SBD) strategy. When taken to its logical conclusion, SBD can result in the creation of threatening military-style environments characterised by housing with small windows, reinforced doors, high fences, intense night-time street lighting, security systems and a plethora of CCTV camera systems. Rather than promoting community trust this is likely to result in a fortress or lockdown culture, in which people continually feel threatened. By way of example, a Working Paper prepared for the New Economics Foundation (Minton and Aked 2012) opens: ‘Not long ago, Manchester City Council laid on a coach tour for policy experts. As we swept into an estate in a deprived part of the city, the whole coach load gasped and the tour guide exclaimed in shock. The square in the centre of the estate was surrounded by thirty foot high spiked railings and the council building at one end resembled a militarised fortress.’

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Interestingly, in reviewing a central London SBD housing estate the researchers indicate: ‘What we found independently was that although increased security, and in particular CCTV, was often very popular with residents, it did not necessarily lead to feelings of increased safety, with residents reporting that the presence of CCTV could increase anxiety.’

Similarly: ‘Of the few existing studies, an investigation into CCTV by the Scottish Office found that, while people often believed CCTV would make then feel safer, the opposite was true: both crime and the fear of crime rose in the area investigated. The author concluded the introduction of CCTV had undermined people’s personal and collective responsibility for each other’s safety.’

Naturally the promotion of SBD is supported by security and insurance companies—with the latter offering reduced premiums for SBD properties. Government is also an important player in promoting SBD, as seemingly simple and highly visible solutions are sought to address complex societal problems. CCTV systems are used extensively in schools (at the time of writing, the estimated number of cameras in UK schools is in excess of 100,000). Naturally child safety is of paramount concern when parents select a particular school for their children, and so the prevalence of highly visible CCTV systems may be reassuring to many (although one assumes that some may feel that the need to install extensive surveillance systems suggests that a significant problem exists or has existed). In some situations teachers can also feel reassured by the presence of cameras—especially when they are dealing with individual pupils in isolated circumstances. At the extreme end of the spectrum (and drawing on research undertaken by the UK union NASUWT in which *7,500 teachers were surveyed), it is suggested that: ‘Some institutions have a CCTV camera for every five pupils, while one school in the northwest had put 20 in its lavatories and sports changing rooms’. (Paton 2014)

Quoting researcher Emmeline Taylor, Paton (2014) indicates: ‘Surveillance has burgeoned in UK schools without too much concern or commotion…Not only are UK pupils subjected to surveillance rivalling that in airports and prisons, but the law currently protecting our civil liberties is so impotent that it offers nothing by way of protection.’

She goes on to point out that: ‘…an estimated 3,500 schools in the UK – around one-in-seven – also use fingerprinting technology, usually in canteens or libraries.’

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It appears that in some schools, CCTV is being used for a variety of purposes which do not link to the fundamental consideration of child safety—such as the monitoring of teacher performance in the classroom. Referring to the NASUWT survey mention above, a BBC article reports that: ‘…almost one in 10 teachers with classroom cameras could not turn them off and they assumed they were constantly recording.’ (BBC 2014)

Continual observation has the potential to adversely impact on the teaching process—placing many teachers under pressure, increasing their caution, tempering their spontaneity, and reducing their creativity. In this respect I recall an early experience in connection with blended learning. Through the introduction of a camera and audio system in a lecture room I was not only able to deliver lectures (in the traditional way) to a large class of *200 first year students, but was able to stream these lectures to students located remotely at a satellite campus. The technology not only enabled the remote students to watch the lectures in real time (and feed back questions), but also gave students the opportunity to replay content at any time. I was confident in using this approach —until one day by chance I met one of the senior managers. With some enthusiasm he told me that he had enjoyed watching the video feed of my previous day’s lecture. He went on to explain that he had been attending a senior level university meeting in which the infusion of technologies in teaching was being discussed—when he suddenly remembered that my lecture was taking place. As he perchance knew how to gain access to the video feed, he was able to put my lecture up on the large conference room screen and give members of the committee an insight into lecture streaming in action…. I well recall that subsequently I was much more cautious and somewhat less spontaneous when teaching in front of the camera. 3: Antisocial Behaviour: Some forms of antisocial activity happen over protracted periods of time, and occur regularly in a given locality. Traditionally this would have been countered by direct public intervention or regular ‘on the beat’ policing. One of today’s alternatives is to employ CCTV—including systems equipped with audio links through which the camera operator is able to speak in what is often a stentorian tone. This demonstrates that real-time observation is taking place and eliminates the latency in ‘real time’ response mentioned in (2), above. If used judiciously this approach can obviously have beneficial effects— but only as a short-term response to antisocial behaviour. Furthermore, overuse of this approach may well reduce impact making it necessary for operators to gradually employ ever more forceful utterances intended to exercise control by public humiliation. In this context, some UK authorities have used audio-enabled CCTV systems to shame people into picking up litter that they have discarded, and to chastise people in respect of other minor transgressions.

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Some UK authorities have also increased the level of public space surveillance by deploying CCTV systems equipped with high performance microphones. In order to be effective, it’s generally unnecessary for operators to listen in on the precise content of distant conversations. For example, the tone of conversation (which may be monitored manually or automatically) can be used to detect the nuances in increasingly confrontational altercations. Directionality information can then be used (either manually or automatically) to steer a nearby PTZ camera (allowing an operator to remotely control camera pan, tilt and zoom actions), so that the speakers fall within the camera’s field of view. For related discussion see OTU Activities 4.4 and 4.5. 4: General Surveillance: CCTV surveillance can be carried out in covert and overt ways. Further, the surveillance activity may have specific and well-defined objectives, and/or may be intended to generate content that could be of value in the future. For example, consider the use of automatic motor vehicle number plate recognition systems installed on motorways and main roads. Data derived from this surveillance activity may be of immediate use (by, for example, identifying vehicles which are speeding or that have been reported as stolen), or may have application in assisting in identifying perpetrators of future crimes. In this latter respect, it is natural that government agencies should wish to maximise the duration over which CCTV-based content can be retained—who knows when it will be needed, and for what purpose. Furthermore, whilst a CCTV system may be installed for a given and stated purpose, content well may be used for other secondary purposes (with or

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without official sanction). Consider the case of a terrorist attack. In the aftermath of such an incident, and in terms of locating the perpetrators, it is natural to use all possible sources of potentially relevant information. Legal limitations on the usage of CCTV content (and other sources of information) are likely to be cast to one side so as to maximise the chances of finding the perpetrators. As previously indicated, despite significant research it has generally proven difficult to accurately quantify the benefits gained through the extensive deployment of traditional CCTV systems in public spaces. Whilst it would seem that they can be used to reduce more minor forms of crime (such as vehicle theft), their impact on violent crime is less certain. Further, although some people are reassured by the presence of cameras, others experience heightened anxiety. Given the well-known limitations of traditional CCTV systems it is therefore natural to ask why, for example, has the UK government (and UK local authorities) invested so heavily in this form of technology? One possible answer is that the widespread deployment of CCTV cameras provides a highly visible indicator to the general public of government commitment to fighting crime. Unfortunately in reality, CCTV has had limited impact and the societal problems which are at the root of criminal and antisocial behaviour require much more complex solutions. Having briefly considered indicative factors which may motivate government use of the large-scale deployment of CCTV systems, OTU Activity 4.6 provides an opportunity to consider the highly diverse motivations which may underpin the use of CCTV systems by commercial organisations

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4.3.2 Smart Video Monitoring Systems In the previous subsection we focused on traditional CCTV systems. Here we briefly turn our attention to the use of more advanced techniques which will enable CCTV to become a much more powerful (and potentially intrusive) tool for public space surveillance. Key facets of ‘Smart CCTV’ monitoring systems are summarised in Fig. 4.6 and are briefly discussed below. From the perspective of camera technologies, we can anticipate continued growth in the deployment of high performance, low maintenance, camera systems which are able to operate satisfactorily across a wide range of lighting conditions, together with the increased use of thermal imaging cameras (whose operation is not affected by ambient lighting). The use of cameras that have IP network connectivity greatly facilitates their installation, standardisation and usage—however the creation of Internet of Things-based video surveillance systems can result in systems which are more vulnerable to hacking. This may reduce the pace of their acceptance for professional CCTV applications. In parallel to ongoing advances in CCTV camera technology, it is likely that the deployment of video surveillance drones and body (wearable) cameras will continue to grow. As indicated in OTU Activity 4.7, body cameras are being adopted across an increasing number of occupations and as with CCTV, the UK is very

Ongoing performance increases

IP connectivity CCTV cameras

Body cameras

Drone-based cameras

Greater standardisation in technologies and formats

Smart Video Surveillance Systems

Sustained growth in storage capacity (primarily cloud based)

Edge-based analytics

Server based analytics

Enhanced levels of automation

Fig. 4.6 Ongoing developments which characterise key aspects of government Smart CCTV surveillance systems. These have the potential to enable much more advanced and sophisticated video surveillance techniques. When considered within the context of parallel advances which are occurring in respect of private sector video systems, facial recognition technologies and the like, it is apparent that pervasive Smart CCTV surveillance is likely to have major societal ramifications.

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much at the forefront in the trialling and deployment of such technology. For example, at the time of writing it is reported that the Metropolitan Police Service is deploying some 22,000 body cameras for use by frontline staff in London. This technology is also being trialled in UK schools—an approach which is being supported by some teachers and challenged by others. In principle, equipping police with body cameras offers a number of benefits (relating to the collection of evidence, the discouragement of violence towards the police, and the overarching quest for greater transparency). A further stated advantage concerns the monitoring of police conduct. Although the use of the camera may indeed moderate more confrontational forms of policing, and provides a simple means of documenting interactions with the public (hence verifying or otherwise some forms of public complaint), it is important to bear in mind that ultimately the individual police officer determines whether or not to activate the camera. Thus recorded footage could potentially be considered to portray events in a biased way.

A U.S. study reported by Greenemeier (2016) indicates significant failure to implement important safeguards:

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‘…These benchmarks include how well police protect the privacy of those they record, whether officers are allowed to review footage before filing their reports, how long the footage is retained and whether civilians can view footage in which they appear.’

In principle, body cameras carried by the police also provide a means of undertaking sweeping surveillance by, for example, enabling them to covertly film people participating in legitimate demonstrations. The use of body cameras by school teachers also purports to offer a number of benefits, but potentially these may be offset by negative consequences. For example very early in my career, I spent several months teaching within an inner-city UK school. I still recall the difficulties that I experienced during my first encounter with a class of 30+ sixteen-year old pupils who knew all too well that the school had given up on them. Perhaps it would have been useful to have had a body camera— although I very much doubt that there would have been time to activate it when one energetic pupil threw a desk in my direction12…. Certainly in situations in which teachers feel threatened body cameras have a role to play—but their usage may not help in developing the respect which is a crucial ingredient in the teacher–pupil relationship. ‘…as teachers we want children to be accountable for their behaviour. But increasing the spread of surveillance in schools isn’t going to help us do that. Classrooms will be transformed from spaces cultivating enquiry, in all its forms, to centres wary of the threat of being caught out by an all seeing eye…cameras will not be on all the time; only “where there is a perceived threat to a member of staff or pupils” will they be used. Quite how this will be decided, and how their use will not gradually become routine is not clear.’ (Okolosie 2017)

Returning to Fig. 4.6, it is evident that continued growth in the various forms of video-based surveillance necessitates ongoing expansion of storage capabilities. This is likely to result in greater focus on cloud-based storage, as opposed to reliance on local in-house servers (in respect of the body cameras being deployed by the UK’s Metropolitan Police, it is reported that the encrypted data is uploaded to the Microsoft Azure cloud platform (Magee 2016)). In parallel, current issues concerning the diversity of CCTV surveillance systems and data formats employed by proprietary software denote major inefficiencies, and can lock organisations to particular vendors. Standardisation is an essential precursor to the extensive use of Video Analytics.

12

In fact in passive mode, some body cameras still continuously record—but buffer content so that it is overwritten after a defined period (e.g. 30 seconds). When the camera is switched to active mode, the recording that is then made incorporates the recently buffered content (e.g. the previous 30 seconds).

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By undertaking some video analysis within the camera it is possible to greatly reduce the amount of data that needs to be transferred to a server. By way of example, consider the simplest form of Video Analytics—motion detection. Suppose that there is a need to search output from six CCTV cameras generated over a 12-hour period. Manual processing could occupy 72 hours, and if the event which is being sought is transitory (i.e. spanning only a few image frames), fast-forwarding through the content may not be satisfactory. However, in the case that motion detection analysis is performed at the edge (within the camera), all frames that are identical can be discarded. Thus only frames which contain differences need be uploaded to the server, and both the data transfer and inspection processes become much more efficient. Analytics becomes more interesting when we consider ways in which frames may inconsequentially differ in content (e.g. as a result of a bird or moth passing in front of the camera or natural changes in lighting during the course of a day). Video Analytics can be used for much more sophisticated applications—for example, to identify and track objects (e.g. cars) or people. This can include automatic tracking between cameras, or may be used in real time to control the movements of one or more PTZ cameras. Object tracking may be used to automatically detect bags, packages and the like that appear within a camera’s field of

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view, and which subsequently remain stationary for some period of time. Similarly it allows systems to automatically detect people who may appear to be loitering in a particular place, or who are behaving in what is deemed to be a suspicious manner.

With advances in hardware and software performance, edge-based analytics is becoming ever-more practical: ‘In 2104, the market for pure server only based analytics was estimated to have shrunk by $39.4 million in one year to $81.9 million. This was accompanied by a strong rise in the market for edge-based analytics, indicating a substantial shift in preference.’ (IHS Report 2015)

As mentioned, physically monitoring numerous simultaneous surveillance video feeds in real time can result in operators quickly entering a lethargic state in which potentially important content is easily overlooked: ‘…the large number of simultaneous video streams in real-world surveillance systems degrades traditional human-in-the-loop monitoring techniques, underscoring the need for intelligent computer systems capable of simultaneously aggregating and processing multiple information inputs to enhance situation awareness in surveillance environments. Additionally, it is not possible for analysts to observe large numbers of video streams and communicate effectively with one another regarding the potential relationships between anomalies in different videos. Thus it is nearly impossible for analysts to identify suspicious activities that are occurring across multiple cameras, such as the coordinated suspicious behaviours that have been observed in nearly all of the suicide bombings considered [within the scope of the case studies discussed in the publication].’ (Mould et al. 2014)

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Video Analytics offers to support the real-time analysis of large volumes of data thereby enabling (in principle) surveillance systems to warn of action which may be defined as being ‘suspicious’. Of course, following a terrorist attack it is relatively easy to review CCTV recordings, identify perpetrators and reflect on suspicious behaviour. On the other hand, difficulties abound in accurately identifying (either manually or automatically) such actions in the lead-up to an attack. False positives are sure to occur—leading to inappropriate interventions. This has wider ramifications. Consider, for example, queuing in the security area of a busy airport. Invariably as I queue, divesting my pockets of their contents and awaiting the metal detector (which is sure to give its warning beep when I pass through it…) I glance around—fascinated by the number of CCTV cameras present. Sometimes I begin to count them—but quickly stop—to be interested in the cameras may be viewed as a suspicious action. This in turn makes me feel self-conscious, it makes me feel that I have something to hide—that in some way I really am a suspicious character… Based on such sensations, it seems that the general deployment of systems that employ video analytics in order to identify suspicious (atypical) actions could have significant social implications. But before reading on, take a look at OTU Activity 4.9. We have previously referred to the use of Video Analytics for automatic motor vehicle number plate recognition. By undertaking image processing within the camera, in principle only vehicle registration letters need to be transferred to the server. Thus the Video Analytics system generates metadata (data derived from data) which can be transmitted with minimal overhead. In the commercial sector, applications for Video Analytics abound. For example, in larger shops it is possible to automatically track people, monitor movement patterns, analyse the way in which shoppers respond to products, and determine those who made particular purchases. Reliable facial recognition is a key aspect of Video Analytics development. Whilst this is readily accomplished under good conditions (including, for example, optimal orientation of the face with respect to the camera), the problem is more challenging when people are moving, image quality is poor and facial orientation is non-ideal. There can, however, be little doubt that facial recognition techniques will continue to advance rapidly and that they will become ever more widely used. This will support an extensive range of applications, and in the absence of appropriate controls has the potential to take camera-based surveillance to a much more intrusive level—particularly if the price of high-quality cameras continues to decrease. For further discussion, see for example Lewis (2018), and Levin (2017).

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4.3.3 Who Watches the Watchers? ‘The inspector team witnessed a group of [UK] officers laughing while watching a drunken inmate smashing his head on a cell wall on CCTV.’13

This subsection title is a very loose and frequently used translation of a quotation from the writings of the Roman poet, Decimus Junius Juvenalis (Juvenal) who was born in the first century AD. In his ‘Satires’14 he writes: ‘audio quid ueteres moneatis amici, “pone seram, cohibe.” Sed quis custodiet ipsos custodies? Cauta est et ab illis incipit uxor.’

Which may be translated: ‘I hear always the admonishment of my friends: ‘Bolt her in, constrain her!” But who will guard the guards themselves? The wife plans ahead and begins with them.’

13

Siddique (2009). Satire VI, lines 347–348.

14

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From our current perspective, the key aspect of the oft quoted words of Juvenal is ‘quis custodiet ipsos custodies?’—who will guard the guards themselves? Over the centuries this has been a crucial consideration in respect of those who are in some way empowered to watch over ‘Others’—as all too often such power has been corrupted. Today it’s common to establish ‘oversight committees’ and the like, which in theory ensure that power is not misused—but in cases involving the activities of organisations dealing with intelligence, covert operations and the like, we are left to assume that committee members are not corruptible—which returns us to Juvenal’s question. And even in the absence of corruption, the relationship between parties can become too comfortable, in which case critical scrutiny can readily be compromised. Several years ago I was given the opportunity to visit a CCTV monitoring facility located in the basement of a city centre police station. An array of 30 or more small display screens was fixed to a wall directly in front of the operator’s desk. Each of these screens mapped to a particular camera, and any video feed could be selected for depiction on the operator’s large desk-mounted display. In parallel, since PTZ (recall—pan, tilt and zoom) cameras were in use, the operator was able to re-orientate cameras at will and zoom in on relevant content. Rather than record the output from individual cameras, a single recording was made of the content depicted on the operator’s console. Consequently, this showed the operator’s video stream selections and the changes of view resulting from his/her PTZ manipulations. During my visit I was shown a sample of recorded footage. This was made at *2 a.m. on a Saturday morning and was based on content taken from a number of inner-city cameras. The streets were crowded with people—great quantities of alcohol had clearly been consumed, and it was evident that painful hangovers would soon abound. No confrontations were to be seen, although spirits were high. However in terms of the operator’s video feed selections and camera manipulations, a pattern gradually emerged. In the absence of any serious incidents the operator was zooming in on scenes which must have been of personal interest. Invariably these involved women whose inhibitions had perhaps been eroded by a little too much wine.

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As I watched, I began to ruminate on human aspects of CCTV surveillance. I imagined the operator sitting alone in this darkened, austere and somewhat lonely basement room in the early hours of the morning. Without doubt, viewing surveillance content can be very tedious and as time passed ever so slowly, it was clearly apparent that this particular operator had sought diversion. Should this operator be considered to have misused the technology by employing it in a blatantly voyeuristic manner? Was he breaching any right to privacy that people may believe that they can have in a public space? Should we deem the operator’s quest for distraction understandable and acceptable? As for those who fell under the operator’s close scrutiny, perhaps had they known that they were under close observation from high, pole-mounted cameras they would have behaved in a more circumspect manner: or perhaps at the time they wouldn’t have cared? However, in the cold light of day, they may have been concerned if they had known that their activities had been recorded, and that in the event the recording would be retained for much longer than the maximum period defined by legislation (which was evident from the date-stamp on the recoding that I was shown).

4.4

Biometrics

In the previous section we referred to the growing use of facial recognitions systems. This approach is one of a number of biometric techniques which can be used to identify, or confirm the claimed identity of a person (respectively referred to as ‘identification’ and ‘verification’). The term ‘biometric’ is derived from the Greek—bios (life) and metrikos (measure), and refers to measurements that are made on the basis of our individual physiological and/or behavioural characteristics. Measurements based on fingerprints, facial characteristics, and DNA provide examples of the former, whereas the measurement of gait (relating to the way we move) is a behavioural characteristic. We begin by briefly discussing various biometric techniques. This provides useful foundations for considering ethical issues relating to the use of biometrics for identification and validation purposes. However as in the previous section, it is important to go beyond the here-and-now and to also think about the likely ramifications of the sustained development and deployment of biometric-based technologies. In parallel, it is useful to consider the driving forces that underpin extensive research and development in this area. A further factor concerns privacy values which each of us may ascribe to our personal physiological characteristics—take a look at OTU Activity 4.11. Undoubtedly many people will have no concern about supplying biometric data, and this is reflected in broad public acceptance of the rapid growth of the biometrics industry. Others may be more cautious. Their reasons may be based on personal and considered conviction, may be instinctive, or may simply be founded on the premise of the ‘right to be left alone’ (for related discussion recall OTU Activity 3.23).

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However, the growing use of biometrics in international travel is now making it difficult for travellers to avoid this form of identity validation. For my part as a frequent flier between New Zealand and Europe, when biometric passport controls were put in place in the U.S., I chose to take other routes (based on the latter consideration mentioned above: the right to be left alone). Unfortunately, this freedom was short-lived and my finger prints were finally harvested in Japan. There was no freedom of choice—several hours before landing an announcement was made indicating that all passengers would be fingerprinted on arrival… To have raised any objection would surely have suggested that this particular passenger had something to hide—a point that my wife conveyed to me in one penetrating glance!

4.4.1 Biometric Techniques Table 4.2 lists a number of exemplar biometric techniques, and assigns to each a number of indicative characteristics. These are outlined below: 1: Generality: Referring to the universality of the physiological or behavioural characteristic to be measured. ‘High’ indicates that the biometric is associated with everybody, whereas ‘likely’ suggests that some people may not exhibit the characteristic (e.g. in the case of paraplegics, measurement of gait would not be possible). 2: Invariance: This refers to possible changes in characteristics with age or infirmity. 3: Uniqueness: Here, we indicatively suggest the likelihood of a plurality of people exhibiting (or appearing to exhibit) the same characteristic. 4: Collectability: This considers three categories. Firstly collection without needing cooperation, secondly collection necessitating cooperation (e.g. placing a finger on a scanner), and thirdly necessitating cooperation and the use of more complex collection techniques.

Fingerprint Face Iris Retina DNA Voice Gait

Likely High Likely Likely High Likely Likely

Generality

Medium Medium High Medium High Low Low

Invariance High Low High High High Low Low

Uniqueness Medium High Medium Low Medium Medium High

Collectability

Medium Cultural issues Medium Low Low High High

Acceptability

Table 4.2 Indicative summary of various biometric measurements. See text for discussion. (Table draws on Jain et al. 2004) Circumvention Moderate Moderate Moderate Strong Weaker Weaker Weaker

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5: Acceptability: Indicating likely public acceptance. In the case of facial recognition, we accommodate cultural sensitivity issues and the notion that in relation to DNA people may be concerned as to the scope of usage. 6: Circumvention: Here we indicate the possibilities of fraud. Even in the case that a characteristic is unique, this doesn’t necessarily suggest that it provides a highly robust tool for validation or identification. In the case of DNA opportunities for circumvention are strongly dependent on the technique employed in its collection. With these categories in mind, below we briefly consider aspects of each of the biometrics referred to in Table 4.2. 1: Fingerprints: These take the form of the intricate patterns of ridges and valleys present on the surface of the fingers. Whilst these have been used since ancient times (by impressing one or more fingertips into clay), it was not until the late 19th century that their highly individualistic nature was recognised. Since then they have been used extensively as a means of identifying and cataloguing criminals. Thus there has been a long association between criminal activity and the acquisition and maintenance of fingerprint records by the police. Traditionally fingerprinting has therefore been linked to wrong-doing and so a degree of social stigma has been associated with being required to give fingerprint impressions. However, with the advent of low-cost fingerprint scanners, this form of biometric is being more widely used as a means of authenticating access to digital systems, banking and online purchasing. Given the widespread use of fingerprint scanners in schools in countries such as the UK, it’s likely that children will gain the impression that the provision of biometric data of this type is routine, normal, and necessary. For discussion see Ethical Dilemma 4.3. Despite the investment which is being directed towards the development and deployment of biometric verification and identification systems, it is important to note that weaknesses are inherent in all approaches. Firstly, there is a general belief that biometric verification and identification systems are inherently more secure than systems which employ non-biometric techniques. This is not necessarily the case. For example, fingerprint scanning has been shown to be fallible by, for example, incorrect matching of prints and by the failure to detect both amputated fingers and false finger print replicas (created by using gelatine and Play-Doh). In an attempt to counter these latter two issues, more sophisticated scanners may also sense the temperature of the finger and/or check for signs of a pulse (although clearly with cunning trickery both could be readily faked). Whilst we can assume that most people have fingerprints which change little during the course of their lives, this is not always the case. Fingers may be lost in serious accidents, may be bandaged for a time or may be eroded and/or damaged as a result of undertaking hard manual work (such as brick-laying). In this latter respect we can anticipate the print being overlaid with cuts, bruises and scars—all of which contribute to noise contained in the scanned image. Thus we cannot

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assume that fingerprints are universal—nor can we be sure that they are invariant with time. 2: Facial Recognition: In contrast to fingerprint scanning (which requires a person’s conscious cooperation), facial recognition systems are non-intrusive and can operate covertly. In the case of automated surveillance systems, face detection is a precursor to facial recognition (i.e. in order to attempt to identify a person, the system must first determine that an image contains facial content). Failure of the face detection algorithm will result in a person becoming ‘invisible’ to the system. One approach to achieving this goal is to create patterns using face make-up (known as computer vision (CV) dazzle), which lead to obfuscation or alternatively (in the case of the ‘Hyperface’ project) to print patterns onto clothing which enables the wearer’s real face to merge in a multitude of content which, from the perspective of the face detection algorithms, bears facial characteristics (Hern 2017). Naturally the use of face paint makes the wearer highly conspicuous to others, and in an article published by The Atlantic Robinson Meyer recounts his experience in sporting this form of visual camouflage on the streets of Washington DC. He particularly recounts the reaction of people to his strange appearance (also recall previous discussion in connection with becoming an ‘Other’—Sect. 3.6): ‘What those um’s and glances I encountered suggested – and this is the second thing I learnt about wearing the dazzle – is that looking strange contorts public trust in weird ways…I wondered: If I became sick - really sick – on the street would anyone help me? Or had the dazzle effectively opted me out of that? By making myself look strange, had I placed myself beyond the public trust?’ (Meyer 2014)

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Returning to our original consideration, even when an automatic surveillance system detects the presence of a face in an image, validation or identification processes may still be thwarted. Sharif et al. (2016) describe research intended to investigate the use of techniques which may cause a system to misidentify a captured facial image in such a way that it is mapped to any of the sets of facial data accessible to the system (dodging). Alternatively, they discuss approaches which cause the facial image to be mapped to one specific (target) person (impersonation). The results reported suggest that even state-of-the-art technology can be manipulated such that dodging and impersonation may be achieved in quite a reliable way by donning spectacles which have computed patterns printed onto (or affixed to) their frames.15 The researchers report that their intention was to devise an approach which would be inconspicuous—that is to say, onlookers (either physically present or who might be viewing surveillance footage) would not readily notice that deception was taking place: ‘…such attacks help the perpetrators (whether malicious or benign) achieve plausible deniability: e.g., a person seeking merely to protect her privacy against aggressive use of face recognition by merchants will plausibly be able to claim that any failure of an ML [machine learning] algorithm to recognise her is due to error or chance rather than deliberate sabotage.’ (Sharff et al. 2016)

The work undertaken by Sharif et al. is fundamentally based on the fact that deep neural networks (DNNs) can be vulnerable to, and hence can be misled by mild input perturbations: ‘…since each DNN unit (i.e. neuron) is activated on a linear combination of its inputs, slight changes to each input accumulate to large changes in the unit’s output, which results in misclassification. Previous work highlights an important difference between humans and machine vision: while humans are unaffected by small changes to images, machines can be greatly affected.’ (Sharff et al. 2016)

On this basis the researchers were able to successfully manipulate the operation of facial recognition software in respect of both dodging and impersonation by employing both white box and black box techniques. In the case of the former the operation of the facial recognition algorithm is known, whereas in respect of the latter this is not the case. In both cases the reported results are impressive— and even allowed males to successfully impersonate females and vice versa. Thus as with all other biometric techniques, facial recognition is by no means infallible, and manipulation can be achieved either through some appropriate and cunningly considered physical disguise, or by manipulating image content so as to exploit fundamental weaknesses in the internals of the system. 3: Iris and Retina: These eye-based biometrics. The iris corresponds to the region of the front of the eye which is located between the pupil and sclera (the white region). It is rich in visual texture (see Fig. 4.7), and even the irises of identical 15

Also see Hern (2017) for brief summary discussion.

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Fig. 4.7 Left-hand image shows the visually rich texture of the iris. The right-hand image depicts a retina as viewed via the eye’s pupil. (Left-hand image source: JDrewer[CC BY-SA3.0] // creativecommons.orglicenses/by-sa3.0 Lower image source: Ku C Yong, Tan A Kah, Yeap T Ghee, Lim C Siang and Mae-Lynn C Bastion, Department of Ophthalmology, Universiti Kebangsaan Malaysia Medical Centre (UKMMC) and Universiti Malaysia Sarawak (UNIMAS), Kuala Lumpur, Malaysia. [CC BY 2.0 (https://creativecommons.org/licenses/by/2.0)])

twins differ. However, designer contact lenses may serve to disguise or modify the iris image, and conditions such as severe conjunctivitis may hamper the use of iris-based imaging as a biometric identifier. The retina is located at the rear of the eye and is observed via the pupil. In the fovea (which is the central portion of the rear surface) it comprises some 150,000 cones (photodetectors) per square millimetre. The retina incorporates a rich structure of vasculature (blood vessels) which may be suitable for biometric identification. However, retinal imaging requires a person’s cooperation as they must look into an imaging eyepiece and focus on a particular indicator. In addition retinal scanning may be viewed as an invasive approach, because some medical conditions can be revealed from the retinal image. 4: DNA: In principle, deoxyribonucleic acid provides the ultimate key to identifying the individual. However, from a practical perspective DNA analysis does not readily lend itself to large-scale biometric identification. For example, it is easy to obtain a sample of another person’s DNA and substitute this for one’s own. Furthermore, DNA provides a deep insight into many aspects of our physical standing—including susceptibility to diseases. Consequently, it is likely that mass collection of DNA for biometric purposes would quickly result in secondary uses (including profiling and discriminatory decision-making). Despite many possibilities for the misuse of DNA samples, many people are quite willing to pass samples to private companies who offer to extract information revealing aspects of their ancestry, susceptibility to health problems (such as risk of breast cancer, and Huntington’s disease), etc. Others consent to

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providing DNA samples in order to establish paternity. Unfortunately, as soon as a person hands over a DNA sample, it’s impossible to determine how it will be ultimately used. The company to whom the sample was given may be taken over, their database may be compromised, or they may use the samples for their own (secondary) purposes. Although privacy policies may be in place, there is no way of knowing if these are scrupulously followed. Certainly many organisations are keen to collect ever more DNA samples. These are of great value not only to drug and insurance companies but also to the police. For example, in China DNA data pertaining to some 40 million citizens has been amassed (Human Rights Watch 2017). The authors report that: ‘Documented cases demonstrate that the collection of DNA does not appear to be connected to solving specific cases of crimes. Police have conducted campaigns to amass biometrics from ordinary citizens simple because it has identified gathering “basic information” a goal, important for the unspecified need to “solve crimes”….In one case in Shandong province, police collected DNA from more that 5,000 male students in one college in 2013. The students were given no explanation…’

Without scrupulously careful handling DNA samples can easily become contaminated and from time to time almost unbelievably lax DNA handling procedures gain media attention. For example, one headline in The Guardian relating to the UK police force reads: ‘Police Force Store DNA Samples in Fridge with Half-Eaten Takeaway’: ‘The police and prison inspectorates found the force had “ill-defined” audit trails for samples, leading to forensic material being binned when it was needed for court cases. Other samples were found stored with “unsealed foodstuffs”, including congealed blood which was kept with raw meat in a freezer, raising the risk of contamination…In July, inspectors reported finding samples stored alongside ice cream in a … police freezer.’ (Siddique 2009)

In conclusion, from the perspective of personal privacies when considering DNA-based biometrics it is important to bear in mind that: ‘With the science of genetics in its infancy, it is impossible to know what can be told about you from your DNA in the future.’ (Cain 2016)

5: Voice: The use of voice for biometric validation provides a relatively weak level of security and is based on vocal characteristics which remain constant over time (at least in principle). Systems may operate in a text-dependent mode (in which case they respond to the utterance of predetermined words or phrases) or may be text-independent (in which case the speaker is recognised without limitations of vocabulary). The key strength of voice driven interfaces lies in their ease of use: ‘While voice interfaces allow for increased accessibility and potentially easier human-computer interaction, they are at the same time susceptible to attacks. Voice is a broadcast channel open to any attacker that is able to create sound in the vicinity of a device.’ (Carlini et al. 2016)

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Naturally, one of the simplest approaches that can be used to thwart voicecommand driven interfaces is to covertly record and replay the words spoken by a legitimate user. However, Carlini et al. (2016) investigated a more sophisticated approach in which they employed hidden voice commands which are recognisable to a machine whilst being unintelligible to anybody who may be listening. In principle this provides an opportunity to simultaneously breach the security of a plurality of systems (such as some forms of mobile device). They write: ‘Hidden voice commands may also be broadcast from a loudspeaker at an event or embedded in a trending YouTube video, compounding the reach of the attack.’

Their paper describes the creation of hidden voice commands in both black-box and white-box scenarios (recall that in the case of the former, the internals of the voice recognition system are unknown to the attacker, whereas white-box development is facilitated by an extensive knowledge of the operation of the system). 6: Gait: This biometric focuses on verifying identity on the basis of characteristic walking motion. As with voice recognition, gait cannot be measured instantaneously but rather must be measured over time. Gait measurements don’t provide a highly reliable way of verification, as our movements not only changes with age and sobriety but are also vulnerable to joint injury, joint replacement, and conscious self-modification. As with facial recognition, gait measurements can be made covertly without the need for people to either consent or cooperate.

4.4.2 General Considerations At the present time biometrics-related research is flourishing and is feeding rapidly expanding commercialisation ventures. Expectations are high and some claim that PIN numbers, passwords, access cards, and the like will soon be replaced by a rich diversity of almost infallible biometric systems. And it is frequently claimed that with the help of pervasive biometric systems, terrorists and criminals will find no place in which to hide. Undoubtedly in the coming years biometric technologies will generate a great deal of revenue and unlock many new opportunities. But there will be negative ramifications, including support for more advanced forms of identity theft: ‘…It might take thieves a little time to gear up to this new challenge, but gear up they will. Undoubtedly, in the years to come, news reports about fingerprint, palm print and retinal eye scan thefts will be just as common as credit card number thefts today… The reality is that biometrics are a feel-good measure designed to give people the false impression that they are more secure than they were before, when in fact they are more at risk.’ (Tillmann 2009)

Suppose that your credit card were stolen or your computer password compromised. This may well have serious ramifications—but at the end of the day you can

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be provided with a new password, and your credit card can be replaced. In contrast, if your biometric data is compromised then the situation is much worse because you cannot be supplied with new biological identifiers. And it is certain that thieves will find both brute-force and sophisticated ways of circumventing biometric-based verification and identification systems. The key concern is that when this happens, the ramifications may be very serious. Databases storing biometric data are no less vulnerable than those which hold other forms of personal data, and may even be more vulnerable because biometric data is likely to become an extremely valuable commodity. Serious data losses have already occurred. For example, the U.S. government’s Office of Personnel Management originally reported a cyberattack resulting in the theft of fingerprints belonging to 1.1 million past and current government employees (together with the Social Security numbers and addresses of 21 million people). Subsequently it was reported that the fingerprints of 5.6 million people had in fact been stolen (Peterson 2015). By way of a further example, the breach of an electoral database (incorporating fingerprint data and passport information) in the Philippines is reported to have compromised the personal privacy of up to 55 million voters (Murdock 2016). Whilst not necessarily including biometric data, a major loss of data by the Swedish government appears to demonstrate quite lax processes: ‘Besides the entire national driver’s licence database, the records potentially included information on intelligence agents, military and police transport and personnel, people with criminal records and those in witness protection programmes…’ (Henley 2017)

It appears that the processing of this data was outsourced without appropriate safeguards being put in place. Henley goes on to indicate that: ‘One transport agency official told police that data that IT workers in the Czech Republic, Serbia and Romania were processing without security clearance under the agreement was equivalent to “the keys of the Kingdom”…’

The article suggests that government agencies suppressed news of this major data loss for at least 18 months. In principle, the fingerprint biometric is also vulnerable to photographic imaging. Armed with a high-quality camera, and under appropriate conditions, it is possible to covertly obtain high resolution photographic images of a person’s fingerprints which can be reverse engineered so as to spoof a fingerprint scanner (Hern 2014). Despite advances that have been made in the development of facial recognition systems, the notion of automatically identifying and tracking terrorists and criminals as they move through public spaces may be overly optimistic. Recourse to simple disguise strategies (classic false beards, eye patches, and the like) may well be sufficient to thwart even the most advanced facial recognition techniques. It is important to bear in mind that a degree of uncertainty is invariably associated with biometric matching. This results in:

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251 Compare two images

Threshold

0

9

t

Correct non-match or false non-match

Correct match or false match

Fig. 4.8 Illustrating the use of a decision threshold in respect of biometric matching. Here we assume that two images are being compared. The system returns a numeric value indicating the probability that the images pertain to the same person. See text for discussion.

1: False Match Rate (FMR): Denoting the rate at which a system mistakenly identifies two different people as the same person. 2: False Non-Match Rate (FNMR): Denoting the rate at which a system mistakenly identifies two biometric measurements from the same person as representing different people. For example, take the case that a biometric facial recognition algorithm is used to determine whether two images represent the same person. We assume that it returns an integer value in the range 0–9 where a larger number indicates greater surety that the images relate to the same person. In using the system we set a threshold value t—as indicated in Fig. 4.8. If the algorithm returns a value greater than or equal to t, then the system assumes that the images are derived from the same person, and if the value is less than t, it assumes the opposite. Of course, biometric measurements are subject to error. Thus two scans of the same finger will not produce exactly the same result (a problem that is exacerbated if one scan includes cuts, abrasions, and the like). Similarly two facial images will contain differences (e.g. differences in illumination, face orientation, expression, etc). Thus the biometric system is determining a probability of similarity, and so for example if the system generates a value greater than t, this might represent an actual match or a false match. Similarly a value of less than t may indicate that the images do indeed represent two different people, or given the level of error may simply represent a false non-match. If we adjust the decision threshold t, then we will increase either the FMR or the FNMR (for example increasing t will increase the level of security (only close matches being considered to represent the same person) but will result in more failures to match images that do actually correspond to the same person). The use of biometric technologies is by no means limited to verification and identification systems. In principle they can also be used to detect the forms of

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stress which a person might experience immediately prior to carrying out a criminal or terrorist activity. Roberts (2016) briefly outlines the deployment of concealed biometric IoT sensors in a bank, and their use in measuring customer body temperature and heart activity. However, whilst elevated temperature and pulse may be indicators that a person is about to commit a crime, there could be alternative causes including medical conditions. And if such systems are widely used, then running down the road to get to a bank before it closes for the day may be asking for trouble… It is sometimes suggested that for some applications, the actual capabilities of a biometric system are not of overriding concern. The fact that a system is known to have been installed will in itself deter wrongdoing—particularly in view of the lay-person’s inflated beliefs in the capabilities of biometrics (largely gained from futuristic Hollywood movies). The installation of an early facial recognition system in Newham (UK) provides an example of this perspective. Despite significant investment in the technology, it appears that during a three and a half year period it failed to identify any of the targeted people whose images were entered into the system’s database. Meek (2002) reports: ‘…Page [head of Newham’s emergency services and community safety] and Tisshaw [senior enforcement officer] were strangely reluctant to say how many times the police had reacted to a Visionics alarm. Indeed, Tisshaw hinted that the true value of FaceIt was in deterrence, regardless of whether it worked or not, like a fake burglar alarm on the outside of a house…’

Unfortunately, this conclusion isn’t confirmed by the crime statistics reported in the article. However, since that time facial recognition technologies have rapidly advanced. Face-matching systems are now able to operate with high reliability when comparing individual images—although false matches still cause problems (particularly when those using the technologies fail to appreciate that results require intelligent interpretation). Take the case of John Gass, who received a letter from the Massachusetts Registry of Motor Vehicles informing him that he should immediately stop driving: ‘…A conscientious driver who had not received so much as a traffic violation for years, Gass was baffled. [After several phone calls and a meeting with registry officials] Gass learned his image had been flagged by a facial recognition algorithm, designed to scan through a database of millions of drivers’ licences looking for potential criminal false identities. The algorithm had determined that he looked sufficiently like another Massachusetts driver that foul play was likely involved, so he received the automated letter. The RMV [Massachusetts Registry of Motor Vehicles] was unsympathetic, claiming it was the accused individual’s “burden” to clear their name in the event of any mistake, arguing that the pros of protecting the public outweighed the inconvenience to the wrongly targeted few.’ (Dormehl 2014)

See OTU Activity 4.12 for related discussion. This case provides a relatively minor example of what can happen when false matches occur (and depending upon the application, false non-matches can be equally problematic). Most importantly, we may have no idea that incorrect

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personal data has been entered into a database and that this may negatively impact on aspects of our lives. For example, in relation to the NSA’s massive acquisition of personal data, Bamford (2008) writes: ‘The principle end product of all that data and all that processing is a list of names – the watch list – of people, both American and foreign, thought to pose a danger to the country. Once containing just twenty names, today it is made up of an astonishing half a million – and it grows rapidly every day. Most on the list are neither terrorists nor a danger to the country, and many are there simply by mistake. Some of the many innocent people on the list may discover their situation when they are tossed off a plane as happened numerous times to Massachusetts senator Ted Kennedy. Others, however, may never know. Instead their application for a Small Business Administration loan may be turned down without their being given a reason: or the application of a bright son or daughter for admittance into one of the military academies may be rejected without explanation; or, because the names are shared with foreign governments, a person could be turned away after landing in London for a vacation or business trip – without being told why.’

It is difficult to judge with any certainty how biometric systems will develop, the extent to which they will successfully solve today’s problems, and the new problems they will create. However, it would seem unlikely that biometrics will completely replace our reliance on passwords, PIN numbers, and the like. One pragmatic approach would be to increase security by integrating traditional and biometric authentication techniques (such as the use of a password together with fingerprint). An alternative is to use multimodal biometric systems in which verification/identification is based on several biometric measurements. However both of these scenarios presuppose that it is ethically appropriate to require people to provide biometric data. To what extent is there an ethically-based responsibility to accommodate those who, on the basis of their convictions, do not want to do so?

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Fig. 4.9 The Pepper’s Ghost illusion—an early example of ‘augmented reality’. From the perspective of the theatre audience, actors and spectre appear to coexist on the stage. For further discussion, see Blundell (2011). (Image reproduced from Low, A.M., ‘Popular Scientific Recreations’, Ward, Lock and Co. (1933))

4.5

Augmented (Mixed) Reality ‘Virtual worlds, or synthetic environments, technology holds great promise for medicine, for design, for training, and for science. It is ironically sadly characteristic of our culture that these promising uses will be enabled, if at all, as by-products of our desire to be entertained. God help us.’16

Augmented reality (also referred to as mixed reality) display environments allow real world and virtual (synthetic) image content to coexist. Interestingly, this general concept is by no means new: ‘…and can be traced back to the 1860s when the so-called ‘Pepper’s Ghost’ illusion made its first sensational appearance on the London stage. This theatrical special effect sought to bring together the physical and ‘supernatural’ worlds—creating spectres seemingly able to pass through physical objects such as walls and the like in a most realistic manner. Today, Pepper’s Ghost [Fig. 4.9] retains its relevance as its modern rendition is widely used at large concerts and other staged events.17’ (Blundell 2011)

In this section we briefly focus on ‘smart glasses’ based systems. This is an area which is quickly advancing and is attracting significant investment. For example, it is reported that since its founding in 2010, Magic Leap has raised $2.3 billion 16

Attributed to Frederick Brooks and quoted in Burdea (1996). The basic optical technique is also used in the Teleprompter (Autocue) system that was introduced in the 1950s.

17

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(from, for example, Google, Alibaba, Temasek and Saudi Arabia’s Public Investment Fund (Massoudi et al. 2018)): ‘Silicon Valley executives including Facebook’s Mark Zuckerberg, Apple’s Tim Cook and Microsoft’s Satya Nadella have suggested that the ability to mingle realistic digital images with the physical world will prove the next frontier in computing. However, after the limited success of virtual reality, these companies are heavily investing in the hopes of achieving a technical breakthrough that can convince mainstream consumers to wear computers on their faces.’ (Massoudi et al. 2018):

However it appears that despite the scale of investment, Magic Leap has yet to commercially release its technology (Robertson 2017). Smart glasses can include a range of technologies. Here we assume that a video camera, miniaturised interaction system (this may employ buttons, may be voice-activated, or may even allow some commands to be issued via particular eyelid movements), wireless internet connection, accelerometers, computer system, and projection display are integrated into the glasses, along with a miniaturised and lightweight power supply. The optical system enables a user to directly view physical space—and this may be overlaid by digitally-generated content. For readers who are not familiar with this technology, there are a number of YouTube videos which vividly demonstrate the glasses-based augmented reality experience (although some of these depict a simulated rather than a real demonstration). In general terms we can identify two forms of usage, referred to below as ‘open’ and ‘closed’ loop approaches. Applications in which glasses are simply used to capture and stream video or send photos fall into the former category, whereas in the case of closed loop applications transmission of content from the glasses is assumed to result in a response to the wearer which may influence his/her audio-visual experience, and hence impact on aspects of understanding, actions and behaviour. Such responses may be generated manually or automatically. In 2013, the Google Glass technology was made available to selected developers but the sight of people sporting and interacting with their bizarre looking headgear soon led to discussion of privacy issues: ‘David Yee, the chief technology officer at a company called Editorially, tweeted on this point the other day: “There was a young man wearing Google Glasses at this restaurant, which, until just now, used to be my favourite spot.” Yee’s worry was that the young person might be filming everything and uploading it to Google’s servers…Still you might think, where’s the harm? The thing is, though: this is Google, not Fred’s Amazing Spectacles Company, This is the company that has repeatedly breached the boundaries of what we think is “private”…You can guess what would happen the first time you put on Glass: there would be a huge scroll of legal boilerplate with “Agree” at the end. And impatient and uncaring as ever, you would click on it with little regard for what you were getting yourself, or others, in to.’ (Arthur 2013)

Earlier today I took an early morning walk in nearby woodlands. Close to a small lake I paused, and leaning against an ancient oak reflected on the application and ramifications of smart glasses. Suppose I was wearing smart glasses—perhaps

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Google Glass, HoloLens (Microsoft) or any of the high-quality systems offered by a number of vendors. Undoubtedly, it would be helpful to look at a tree, plant or bush and on a verbal query, see a text icon that provided both common and Latin names. Similarly, the identity of birds and the like could be readily confirmed. Without doubt this represents an elegant and effortless way of accessing the rich wealth of online information. Idly I picked up a stick—writing with it in the air—yes indeed I mused, a pointer tracking application would allow me to write in mid-air or on any surface—this could be fun! But the major players who are so keen to heavily invest in glasses-based augmented reality have much bigger applications in mind. Armed only with my imagination (as opposed to actually having a pair of smart glasses to hand), I perceived a great primeval creature surfacing from the misty surface of the lake. But perhaps a much mellower experience would be more desirable—with amiable hobbits, elves, pixies and other creatures passing by. With the right technology, any of Disney’s characters could easily be inserted into this tranquil woodland setting. Suddenly my reverie was broken as within my ‘mind’s eye’ an arrow appeared to embed itself into a nearby tree. Rustling sounds of people approaching. More arrows—close misses. The hunt is on and obviously I am the target in this chase. Turning with the intention to flee, I come face to face with a Cyberman—one of those with dark and cavernous eye sockets (which as a youngster I always found to be particularly terrifying). And with these entertaining thoughts in mind, I wandered home for breakfast (occasionally glancing over my shoulder—just in case…)—wondering if such a smart glasses application actually represents the augmentation of reality, or rather augmentation of the ephemeral images created by our unlimited imaginations. I was thoughtful also as to the negative effects that such technology might have on the young. Below we briefly consider several indicative applications which are intended to demonstrate the ability of this general form of technology to support both ethically desirable and potentially undesirable usage: 1: Education: Use of the inbuilt video camera can support education by allowing a first-person view to be streamed to a dispersed student cohort. Consider the case of medical training. A surgeon may elect to use the glasses so as to stream an operation in real time to a geographically dispersed set of students. Most advantageously, the audience is able to see the operation from the surgeon’s perspective, and further benefit as the surgeon talks through procedures. Naturally this approach can be used across a wide range of applications, particularly practical demonstrations in which the unobtrusive hands-free operation of the glasses does not impede the flow of manual activity. 2: Hands-Free Information Overlay: The above example demonstrates an open loop application—information is simply transmitted from the glasses and as a consequence no use is made of their augmented reality capabilities. However in many situations, working practices can be advanced by complementing the

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real-world view with additional information. Consider the case of an engineer who is undertaking fault-finding work on a complicated set of hydraulic pipes and related equipment. Rather than having to continually consult a manual (either hard-copy or computer based), content can be introduced into the visual scene which may, for example, identify each of the pipes and systems that fall within the engineer’s field of view. In the same way, during surgery a patient’s vital signs may be incorporated within a surgeon’s visual field, thereby making information immediately accessible. 3: Benefiting From Advice: Consider the case of a surgeon who is undertaking an operation which is outside the scope of his/her normal area of specialisation (perhaps this has arisen as a result of being located in a war zone or in an area which has undergone a major natural disaster). In such a scenario, smart glasses can be used to support real-time consultation with remotely-located surgical specialist(s) (assuming of course access to a reliable, low latency, Internet connection). This provides a straightforward example of a manual closed loop application in which the actions of the person carrying out the operation are likely to be influenced by others within the loop. 4: Exams Made easy: Let’s assume the availability of augmented reality glasses which (unlike Google Glass and HoloLens) take on the physical appearance of traditional spectacles (a brief search online will reveal a number of such products). Should glasses of this type come into the possession of an unscrupulous student, revision for exams could be disdainfully and confidently cast to one side… At the outset of an exam, instructions delivered by appropriate eyelid movement could be used to operate the camera (integrated within the glasses) and transmit an image of each page of the exam booklet. A helpful associate would then be able to quickly return the solutions which of course would only be visible to the student. Clearly smart glasses have the potential to support a broad range of such undesirable applications, and are underpinned not only by the inbuilt camera and wireless connectivity but also by the fact that content displayed to the wearer can be hidden from everybody else. 5: Invasion of Privacy: Evangelists of smart glasses talk with great passion about their ability to support professional activities, facilitate everyday life and enable real and virtual content to merge so as the create a visual world in which anything is possible. They speak of smart glasses superseding laptop and desk-based computers, with users having the ability to open a multitude of windows each of which may appear to be located anywhere within the accessible visual space. Manufacturers and other stakeholders foresee great business opportunities and portray a ‘cool’, stylish, and slick technology which facilitates social contact, and allows the wearer to effortlessly share his/her visual experience with others. But as with every technological innovation, opportunities for ethically undesirable applications abound. Most frequently, opponents of smart glasses express concerns about their potential for surveillance and the covert violation of personal space. Consider a scenario in which the wearer covertly photographs a selected stranger—the image being uploaded to an appropriate application where facial recognition

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software is used in conjunction with one or more databases to identify the ‘target’. His/her personal and professional information can then be accessed and made available on the inbuilt display screen. Wealth, interests, address, occupation, memberships, family information: it’s all out there and can be assembled. Naturally this has the potential to make people extremely vulnerable to strangers, and at the very least represents a highly voyeuristic application. However, there is the possibility of more serious ramifications. OTU Activity 4.13 provides an example which is intended to highlight undesirable opportunities which could be unleashed through the implementation and proliferation of automatic closed-loop covert surveillance when placed in the wrong hands. It also serves to highlight the importance of safeguarding a range of personal privacies. If indeed each of our lives becomes an ‘open book’, then we can be much more easily targeted and manipulated by strangers. In addition our personal safety can be affected by the ease with which others have the ability to collect information which enables penetration of our private space. Despite a number of ethical concerns, affordable smart glasses are likely to be ever more widely used across a broad range of applications. However, there are many implementation challenges, which include ensuring that virtual image content retains its opacity across a broad range of physical world lighting conditions, and that as the wearer moves, content remains stable (in terms of latency and overshoot) relative to the physical scene.

4.6

Radio Frequency Identification Devices

A ‘Radio Frequency Identification Device’ (RFID) is a microchip which stores a unique numerical code, referred to as the Electronic Product Code (EPC). In the case of ‘Passive’ forms of RFID, a reader (interrogation device) generates radio or microwave radiation in the proximity of the device. This is used to power the RFID and enables it to transmit its EPC, which is detected by the reader.

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Key points to bear in mind in the discussion which follows are that no two RFIDs contain the same EPC (although cloning is possible). In addition, as just mentioned, Passive forms of RFID contain no power source but derive their power from the electromagnetic radiation supplied by the reader. This enables Passive RFIDs to be very small (typically they approximate to the size of a grain of rice and so can be unobtrusively attached to products, embedded in goods, or implanted— most usually in animals). Furthermore, the operation of a Passive RFID is not limited by any battery-life considerations. Bar code labelling is used on a global scale, allowing goods to be tracked from the time of manufacture through to the point of sale. The approach is simple, cheap and effective, requiring no more than the printing of a set of black lines onto labels or packaging. However, bar codes do not usually support the unique identification of products. In contrast, suppose that at the time of manufacture an RFID is attached to a product. By association with the EPC, the product is now uniquely identified through to its ultimate disposal. In short RFIDs support tracking throughout a products life-cycle. EPC transmission simply requires an RFID to be within range of the reader— unlike bar codes there is no line of sight requirement. Furthermore multiple RFIDs can be read at high speed (such that it appears that they are transmitting simultaneously). On the down side, the presence of metallic objects or radio frequency interference can hamper or prevent RFID interrogation. The signal strength from a reader falls off with the square of the distance—such that trebling the distance of an RFID from its reader results in a nine fold reduction in signal strength. Consequently, in practical terms a Passive RFID must be close to a reader in order to gain sufficient power for activation. In contrast to Passive RFIDs, ‘Active’ RFIDs are equipped with a battery (or are powered in other ways (e.g. via the mains supply)). This supports more powerful transmission capabilities and so enables them to communicate over large distances. Both forms of RFID can be implemented with internal storage. In the case of Passive devices this is frequently used to enable data to be inserted into the RFID (e.g. biometric data contained in RFIDs that are now routinely incorporated into passports). Given their connectivity to a continuous source of power Active RFIDs are often used in applications which involve some form of external sensing. Thus, for example, in respect of perishable foods Active RFIDs can be used to monitor storage conditions, duration of storage, etc. OTU Activity 4.14 provides an opportunity to consider some general applications for RFIDs and in the next two subsections we outline two applications of early RFID-like devices—both of which had security-related implications.

4.6.1 Friend or Foe? It’s deep winter in 1944. Over the cold, pitch-black waters of the North Sea a mortally damaged Wellington bomber struggles to maintain altitude. The bombing mission had involved a flight through intense flak to Essen, and it was during the homeward voyage that the plane was mortally wounded. It only took a two-second

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burst of shells from a JU 88 night-fighter to knock out one of the two engines, seriously damage the control surfaces, fatally wound the bomb aimer, and decapitate the navigator. For some time the plane’s progress has been tracked via radar. Electromagnetic waves broadcast from a British radar station impinge on the aircraft and activate a small innocuous electronics payload known as the Identify Friend or Foe (IFF) transponder. This causes the transponder to transmit a signal, and as a result the standard radar return from the aircraft is modified. A WAAF operator sitting in a bleak room on the Essex coast views this signal on a cathode ray tube screen. With unerring skill she notes the form of the radar ‘blip’ (which thanks to the plane’s IFF transponder is characteristic of an inbound ‘friend’). Only four miles from the Suffolk coastline, the Wellington bomber disappears from her display screen. The loss of a rather fuzzy ‘blip’ providing a sterile indication of the planes final moments as it stalls, cartwheels, disintegrates and disappears into the desolate sea. Perhaps it is fortunate that the crew would never know that their fate had been sealed by their own IFF transponder. In 1943, the Nazis had discovered by accident that by using signals emitted by Allied IFF transponders they could detect, identify and track planes up to a range of 100 miles. Whilst the system revealed the identity of ‘friendly’ aircraft to Allied radar operators, it equally signified the presence of a ‘foe’ to the Axis powers.

These IFF systems represent the earliest forms of what we now refer to as RFIDs. The essential similarity is that they were activated by an external signal (in this case radar emissions) and responded by transmitting an identification signal (albeit not one that provided unique identification).18 18

In fact bomber-based IFF transponders posed a double peril—not only because the technology identified Allied aircraft to the Nazi’s, but also because of its non-ethical exploitation by Bomber Command. As early as 1941 they had been warned of the serious dangers that could be posed by IFF transmissions. Had logical argument prevailed, the IFF systems would only have been turned on during the final part of a mission—as returning Allied planes approached the British coastline. However in his book, ‘Most Secret War’ (1978), senior scientist of that era Professor R. V. Jones recalls a meeting that took place in September 1941 concerning this issue. He writes: ‘To my amazement Cheshire and his fellow pilots stated their belief in the efficacy of using IFF to jam searchlights [which were assumed to be under radar control], and my rational arguments failed to prevail.’ (Jones 1978) Despite the strong warnings of a senior scientist involved in electronic warfare, Bomber Command decided not to discourage the practice of leaving IFF equipment turned on throughout bombing missions. Indeed they went further and required that additional circuitry be fitted to aircraft. This

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4.6.2 From Russia with Love On Independence Day 1945, a delegation of Soviet boy scouts kindly presented a splendid wooden plaque to Averell Harriman, the U.S. ambassador to Moscow. This beautifully carved reproduction of the American ‘Great Seal’ was soon mounted on a wall in the Ambassador’s residence (Spaso House). Perhaps this generous gift (Fig. 4.10) heralded the start of post war harmony between two nations? resulted in the so-called ‘J-switch’ (‘J’ for jamming) which was used to cause an IFF set to regularly broadcast a signal (every 12 seconds), even when no incoming radar signal had been detected. There was no scientific basis for the expectation that these regular transmissions could have any jamming effect, and as indicated above Bomber Command had been warned of the possible dangers posed by regular aircraft transmissions. Some may believe that their decision could be justified on the basis of the philosophy of Utilitarianism whereas others may view it as a callous and ethically unsound act: ‘… in 1942 there was no sign that the Germans were utilizing our IFF transmissions. This conclusion was doubtless correct, but its implication was that although it was of no use, it encouraged crews to press home attacks in defended areas where the flak was so intense that they might otherwise have stopped short.’ (Jones 1978) At that time crews well appreciated that their survival was not necessarily based on skill; much depended on good luck. The constant question was how to beat the odds, and under such circumstances and when faced with extreme stress an element of superstition often came to the fore. To fly without a precious talisman or to break routine in the hours leading up to a mission was to court disaster. Anything that could raise the hope of personal survival became an essential part of daily life. And so it was with the J-switch – Bomber Command might have done better to distribute rabbits’ feet to all concerned. However by early 1944, intercepted German Enigma reports provided incontestable evidence that active IFF equipment on Allied bombers was being exploited by the Germans and that, as a result, significant losses were occurring: ‘At first there was some disbelief in Bomber Command headquarters which I had accused of the immoral practice of encouraging brave men to clutch at false straws in their hour of greatest danger.’ (Jones 1978) Finally, and somewhat late in the day, the perils posed by active IFF equipment were acknowledged: ‘At last Bomber Command headquarters was sufficiently convinced to issue orders that IFF should be switched off, and I was told that the Commander-in-Chief had sent a signal to all units flaying ‘those idiots who believe in the joss-like protection of IFF’’ Ironically, for several years Bomber Command had been quite willing to capitalise on this superstition and by doing so exposed aircrew to extreme danger. The reality of what we would now refer to as a ‘sniffing attack’ is succinctly described by Rieback et al. (2006): ‘…British Royal Air Force bomber crews mistakenly believed that their IFF systems had a jamming effect against the German Wurzburg-Riese radar system. Some bomber crews deliberately left their IFF turned on. The German air force then deployed the Freya Flamme system, which covertly interrogated the IFF transponders, to get range bearing and identification information for several RAF bombers at once.’

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Fig. 4.10 The RFID-like device developed by Lev Sergeyevich Termen enabled the Soviets to listen to conversations taking place in the U.S. Ambassador’s residence between 1945 and 1952, and was hidden in this ‘Great Seal’. (Image courtesy NSA—public domain.)

However in reality it concealed a simple and ingenious technology which allowed the Soviets to freely listen in on confidential U.S. conversations. This RFID-based Trojan Horse remained operational and undetected for the next seven years. At that time the Head of the dreaded NKVD was Lavrenti Beria—often remembered for intrigue, brutality, torture and mass murder. On his orders, Lev Sergeyevich Termen (better known as Leon Theremin who, in the 1920s developed the electronic musical instrument which still bears his name), was given the task of developing a surveillance technology that could be readily planted in Spaso House and which, even when subjected to X-ray scrutiny, would be almost impossible to detect. The result of his efforts was a small device which became known as a ‘passive cavity transmitter’ and its success is a testament to Termen’s technical achievement. His transmitter shares some of the key characteristics that we ascribe to today’s passive RFID technologies. Any transmitter must have a source of energy. In the case of a ‘bugging’ device this may be obtained from the mains supply (by, for example, concealing it in an electrical appliance), via traditional telephone cables, or from transducers (such as solar panels). However, such approaches facilitate the detection process, and so an alternative strategy is to equip a transmitter with its own battery. But this is no panacea as it increases the physical size of the unit and limits operational life. Moreover, whatever means are adopted for powering the device, its presence may be detected from the radio signal it generates during transmission.

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Undoubtedly Termen would have had first-hand knowledge of Beria’s ruthless reaction to failure, and this must have focused his mind wonderfully. The result of his efforts was a device that had no internal power source and whose broadcasts could be turned on or off at will (thus reducing the likelihood of radio transmissions being detected). The device created by Termen contained no ‘standard’ electrical components but simply comprised two diaphragms, a cylindrical housing, and an antenna. Activation was achieved by means of a beam of electromagnetic radiation (330 MHz) directed towards the device. Removal of the radiation returned it to its inactive state. The radiation could of course be transmitted from outside the Ambassador’s residence. In May 1952, George F. Kennan took up the post of U.S. ambassador in Moscow and describes his first few months at Spaso House: In the first few months after my arrival in Moscow, nothing untoward was noted. The ordinary, standard devices for the detection of electronic eavesdropping revealed nothing at all. The air of innocence presented by the walls of the old building was so bland and bright as to suggest either that there had been a complete change of practice on the part of our Soviet hosts (of which in other respects there was decidedly no evidence) or that our methods of detection were out of date. In recognition of this last possibility there arrived from Washington…two technicians detailed by our government to give Spaso House a more searching and technically competent going over. (Kennan 1983)

The technicians quickly got to work and Kennan goes on to say: ‘The family, for some reason, were away that evening… I droned on with the dictation, the technicians circulated around through other parts of the building. Suddenly one of them appeared in the doorway of the study and implored me, by signs and whispers, to “keep on, keep on.” … Centering his attention finally on a corner of the room where there was a radio set on a table, just below a round wooden Great Seal of the United States that hung on the wall, he removed the seal, took up a mason’s hammer, and began, to my bewilderment and consternation, to hack to pieces the brick wall where the seal had been. When this failed to satisfy him, he turned these destructive attentions on the seal itself…. In a few moments, however, all was over. Quivering with excitement, the technician extracted from the shattered depths of the seal a small device, not much larger than a pencil…’ (Kennan 1983)

Both CIA and MI5 experts attempted to analyse and test the device, but many months were to pass before British naval scientists were finally able to develop an approximately equivalent technology (code-named SATYR).

4.6.3 Electronic Product Code The ‘Identify Friend or Foe’ (IFF) technology outlined in Sect. 4.6.1 responded to a radio frequency transmission by broadcasting an identifiable signal. This is a key characteristic of today’s RFID technologies—when a Passive RFID encounters a

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General Manager Code

Assigned externally

Object Class

Unique Identifier

Defined by the organisation

Fig. 4.11 Each RFID stores a unique ‘Electronic product code’ (EPC). This enables the object to which an RFID is attached to be uniquely identified.

radio or microwave signal generated by an RFID reader, it broadcasts digital data which includes a special ‘electronic product code’ (EPC); this may be encrypted or otherwise. The device described in the previous subsection was also activated by an external radiation source but was designed to sense and transmit information pertaining to its environment. As indicated previously, this is also a feature of some of today’s RFID designs. For example since RFID microchips are very much smaller than the device developed by Termen, implantation into humans is possible (Human Implantable Microchips (HIMs)), and this opens up the opportunity to automatically monitor and report on specific conditions (such as the blood glucose level, which is critical in the treatment of diabetes). The form of an ‘Electronic Product Code’ (EPC) is illustrated in Fig. 4.11 and comprises: 1: Header: Indicates the length of the EPC. 2: General Manager Code: A company wishing to use RFIDs applies for, and is allocated, a general manager code. It is then free to insert its own codes into the two remaining fields. 3: Object Class: Pertaining to the type of object to which an RFID is to be associated. 4: Unique Identifier: As implied by its name, this is used to uniquely identify the object to which the RFID is associated. Given an EPC of 96 bits and assuming that the header and general manager code are 8 and 28 bits in length, it follows that 60 bits remain for organisational use. This therefore (and in principle) enables identification of some 1,152,921,504,606,846,976 entities (see Table 4.3).

Table 4.3 In principle a 96-bit EPC enables an organisation to uniquely identify 260 entities. Here by comparison we illustrate the sheer size of this number. However, in practice identification is structured by use of the object class field and this results in situations in which many codes remain unused. Range of EPC values that a company can (in principle) use Estimated world population (human) Estimated distance of Centauri in kilometres

1,152,921,504,606,846,976 7,400,000,000 39,900,000,000,000

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RFID Applications and Ethical Considerations

Undoubtedly RFIDs have many diverse applications (see OTU Activity 4.15)— although some of these may be of concern. In the following subsections we briefly consider a number of issues and frame this discussion around the three key areas summarised in Fig. 4.12.

4.7.1 Unknown Access In principle, and in line with best practice, RFIDs which are integrated into clothing, cosmetics, books and other products that we routinely carry around should be disabled at the point of sale (naturally this doesn’t apply to library books). At this point the RFIDs have served their primary purpose which is to support the tracking of products from manufacture through the supply chain. However, the need to offer efficient post-sales service provides a logical reason for not destroying/removing RFIDs at the point of sale. Allowing RFIDs to remain operational throughout the product lifecycle can facilitate quality control (by enabling products which are returned under guarantee to be individually tracked back to particular production line machines/operators), and increases efficiency when dealing with electronic products (such as laptops and mobile phones) which may well require vendor attention at some point in their operational lives.

Ethical issues arise when we consider ways in which non-deactivated RFIDs that we routinely carry around could potentially be exploited—without our knowledge, and hence without our consent. By way of brief illustration, consider the case of a mother and a somewhat demanding toddler who frequently visit a local hypermarket. In this hypothetical scenario, we assume that on entry they unknowingly pass through a region of UHF electromagnetic radiation. This instantaneously activates eleven RFIDs which are unobtrusively affixed to a number of articles that they are carrying and triggers a series of complex digital communications. By matching the EPC transmitted from each RFID with information stored on both local and remote servers the customer can be uniquely identified (via credit card transactions and her use of a loyalty card) yielding her address, age, income, financial profile shopping history, details of her household, etc. Moreover it has taken only seconds to determine the size and colour of some of the mother’s clothes (as her coat is rather old we assume that it’s not tagged with an RFID and so did not indicate its presence), details of a novel in her pocket, and of several items in her

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Benefits: ShortTerm

Impetus for Adoption

Technology

Uncertainty in ramifications

Fig. 4.12 In considering possible ethical issues pertaining to several RFID applications, we particularly focus on the three key areas summarised here. These are also relevant to various other forms technologies such as CCTV, biometrics, etc.

handbag. In each case, purchase history data is at hand. The presence of a child could be inferred from an RFID integrated into a teddy bear which he is carrying. OTU Activity 4.16 provides an opportunity to discuss how this wealth of information may be used. Also take a look at Ethical Dilemma 4.4. As we have noted, in order to provide power to and read Passive forms of RFID they must usually be in quite close proximity to the reading device. Within buildings, the presence of walls, metallic objects, locally generated electromagnetic interference and the like can significantly reduce operating distances (higher frequency RFIDs being more susceptible to such disruption). Consequently, in terms of tracking the whereabouts of individuals solely on the basis of one or more RFIDs that they are carrying, it’s necessary to install numerous dispersed RFID-reading devices, and from a practical perspective this is only possible in certain situations. For example, by fitting RFID-enabled locks to doors it is possible to track the location of individuals within a building in real time, and generate a record of each person’s movements.

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The ability of RFIDs to facilitate the collection of data relating to the individual has long been recognised. Although these devices can be used to great advantage for many benign purposes, they are equally suited to applications which infringe upon personal privacy and individual liberty. In a white paper produced by Microsoft, Forcinio (2006) writes: ‘RFID, short for Radio Frequency Identification, is a rapidly evolving technology that can dramatically improve operational efficiencies and customer service. RFID will fundamentally transform the way information about products, equipment, animals and even people is gathered and analysed in real time, providing new business opportunities.’

For related discussion see OTU Activity 4.17.

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4.7.2 Human Implantable Microchips (HIMs) Consider a situation in which a number of vehicles are involved in a serious high-speed motorway accident. Within 30 minutes paramedics arrive on the scene and begin the gruesome work of separating the living from the dead. Gradually bodies are freed from wreckage and every effort is made to preserve life and prepare the injured for the journey to the nearest hospital. Once they’re loaded into helicopters or ambulances RFID readers are brought into action in a quest for implanted RFIDs. Each ‘beep’ signifies that an RFID has been located and that its EPC has been successfully read. This initiates a rapid sequence of automatic communications between computer systems. Within seconds of each successful read, an individual’s identity and personal details are available to the paramedics. Moments later the patient’s full medical history is at their disposal (this includes any current medications and recent maladies). In parallel, the information is made available to the medical staff who will undertake initial assessment and treatment work once they arrive at the hospital.19 At the scene of the accident once the living have been dealt with work continues in extracting the dead from the wreckage. The identification of some victims will take time and effort—but in the case of those who have an appropriate RFID implant, it will be instantaneous. The names and addresses of their next of kin will be immediately available and so notification will be swift.

Compare the above scenario in relation to caring for the seriously injured with the everyday alternative, in which unconscious or highly traumatised accident victims receive initial hospital treatment which takes no account of pre-existing conditions or medications. There can be little doubt that fast identification via RFID implantation could save lives and reduce health care costs. Furthermore in accident situations such as the one described above, it is evident that in dealing with the dead, RFID-based identification could make the work of emergency services somewhat easier. Whilst these examples illustrate definite gains that could be derived through the widespread use of Human Implantable Microchips (HIMs), other frequently cited 19

For related reading see, for example, Seelig (2006).

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scenarios are less well-founded. Take for example those who through repeat offences have a proven track record of child molestation. It is often claimed that enforced RFID implantation could be of great benefit in supporting their identification if they enter areas in which children are at play, schools, or indeed if they even approach a child. But why limit this general approach to such people? Perhaps we should consider a broad range of crimes to which vulnerable members of society may be exposed? In principle, recourse to HIMs could better control the use of firearms by, for example, including an RFID reader within a gun such that the gun can only be fired when it is within close proximity to a recognised RFID implanted into the registered owner. With little effort this approach can easily be extended to cover a wide range of machinery and equipment—such that operation is limited to those sporting an implanted RFID which transmits a recognised (possibly encrypted) EPC. Some may well believe that RFID implants also offer to simplify everyday life. No longer would it be necessary to carry ID cards, passports, door access cards, keys, credit cards, driving licences, membership cards, library cards, passwords etc. In principle, a single implanted RFID can provide the identification needed to fulfil numerous functions. To RFID evangelists, these and many other opportunities abound. Here we have a device which is capable of operating for decades (without even needing a battery). Implantation at birth would eliminate any possibility of babies being incorrectly identified in hospitals, and at life’s end this same RFID would help to ensure that undertakers do not muddle the dead. In between these two ends of the spectrum, an implanted RFID can support us in a myriad of ways… The reality is somewhat different—RFID implantation not only raises a number of ethical concerns, but also has various practical limitations. However before continuing it is instructive to consider motivations which may drive implantation, and so below we briefly consider five scenarios: 1: Personal Choice: Technophiles may relish the novelty of exploring the seemingly ‘superhuman’ powers that can be derived from the implantation of an RFID into the hand. Interaction with RFID enabled products becomes effortless—doors can be unlocked and lights controlled simply by bringing the hand into the range of the relevant reading device. However the reality is somewhat different—because very few controls are RFID-enabled, and if they are it is unlikely that they will all recognise the particular RFID implant that has been purchased. For the technophile, the fun therefore often includes constructing and/or programming devices so that they will recognise a particular HIM. As one person sporting a HIM observes: ‘…I knew the chip wouldn’t be able to do much when I got it, and I’m planning on doing some more experiments with it… But for now it’s mostly just a funny bulge in my hand.’ (Popular Science 2016)

In 2004 the Baja Beach Club (Barcelona) offered implantation to its members, and appears to have been the first to employ RFID implantation in this way. Members had the opportunity to agree to the implantation of a Passive form of

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RFID into the upper arm (RFID removal being at a member’s own expense). This enabled access to club facilities and allowed smooth running of food and drinks tabs without the need to carry a membership card. Despite such convenience, this venture may well have been primarily driven by marketing considerations. If this was the case, then it certainly worked as it gained significant international media coverage. Novelty and convenience are two key motivations for electing to have an RFID implant. In addition as we have seen, immediate identification following an accident or health-related crisis can ensure that initial treatment takes into account pre-existing health conditions, current medications etc. Of course this assumes that paramedics and hospital staff routinely scan incoming patients for implanted RFIDs. This can only be worthwhile if significant numbers of people possess RFID implants. Further, there is a need to ensure that HIM EPCs can be used to access relevant, and up to date, medical records. In this latter respect VeriChip Corp.20 (whose HIMs were approved by the U.S. Food and Drug Administration for human implantation in 2004) implemented a suitable Web-based database (the VeriMed Health Link system). Subsequently in 2008, VeriChip entered into an agreement with Microsoft to enable the latter’s HealthVault platform to interface with the VeriMed system (Bacheldor 2008). This provided users with a convenient means of accessing and managing their personal medical records stored on the VeriChip system. In the case that RFID implantation is solely based on personal choice then there is no ethical dimension—providing that the decision is made without coercion or pressure. 2: Limited Freedom of Choice: This may, for example, relate to situations in which an employer requires implantation as a condition of appointment or for continued employment.21 Spicer (2017)22 briefly describes RFID implantation at a small Wisconsin vending machine company (Three Square Market), which offered its employees the opportunity to have RFID implantations. It appears that nearly half of the 85 workers received RFIDs at a corporate ‘chip party’. ‘It is not particularly surprising that companies are looking at new ways of tracking their employees. Bosses have always wanted to keep an eye on them. What is really surprising is how enthusiastic employees are about being watched through ever more invasive surveillance… This enthusiasm is shared by tens of thousands of employees around the world who have voluntarily started to wear fitness tracking devices their firms have given them… We live in an age of “biocratic capitalism” where the economy is based around harvesting one commodity – data about our everyday lives…Implanting chips under the skin of employees is just one more way that firms can continue to generate the resource they need most – data about ourselves. Having been trained to hand it over without thinking by the web giants, it should come as no surprise we don’t object when our employers want the same access.’ (Spicer 2017)

20

Subsequently known as the PositiveID Corporation. For example, in 2004 some 160 people employed by Mexico’s Attorney General were implanted with VeriChip RFID’s in order to control access to secure areas (Weissert 2004). 22 Also see BBC (2017). 21

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Of course, some employees may be influenced by a desire to ‘keep on the right side’ of their managers and so increase their chances of promotion, etc. This may bias perception of freedom of choice, particularly in situations in which a person may feel pressurised to conform—to avoid being seen as an ‘Other’ (recall Sect. 3.6). Ethical considerations are likely to be of concern in situations in which the requirement for implantation is based on employer preference/ pressure and a quest for increased staff surveillance/efficiency rather than on significant (essential) factors which directly relate to the nature of the work being undertaken. For example, in the case of those on active military service, RFID implantation may significantly facilitate the rapid provision of medical care during or immediately after combat. This may be viewed as an appropriate and proportionate motivation for the adoption of HIMs. Implantation may also be used to ensure that captured firearms are of little value (however, as outlined shortly, RFID implants can always be removed and re-used). 3: Obligatory Implantation for Targeted Individuals: In principle, enforced RFID tagging and RFID implantation can be used to assist in identifying and tracking the movements of targeted individuals (GPS-enabled RFIDs are often claimed to be particularly suited to this latter application). In the case of people who have been proven to pose a significant danger to others, enforced implantation may appear to be reasonable. But what about the case outline in OTU Activity 4.19 in which we consider the enforced tagging of elderly people. What about the use of non-removal RFID tags or implants for those with Alzheimer’s or Dementia? Should parents be allowed to impose RFID-based tracking on their children—after all, it’s natural for parents to strive to keep their offspring safe? RFID implantation is underpinned by two basic notions. These centre on convenience (implanted RFIDs cannot be mislaid) and security (implanted RFIDs cannot easily be removed or shared). This latter consideration is generally associated with tracking scenarios, but is fundamentally flawed: (a) Shielding or Interference: Dependent on their transmission characteristics, many RFIDs may be made inoperable by shielding them with a metallic conductor. In the case of an RFID located in the upper arm, it is likely that wrapping aluminium foil around the arm will prevent RFID operation or considerably impair reliability and operating distance. Spurious electromagnetic transmissions (jamming) may also be used to thwart the operation of RFID-based systems. (b) Removal: Subcutaneous RFID implantation (that is shallow implantation) doesn’t eliminate the possibility of RFID removal. Certainly efforts to self-remove an RFID are likely to be painful and may require a degree of perseverance. However in situations in which an RFID is being used to restrict or track movements, a person may well be motivated to try to remove the RFID directly, or seek the help of someone with basic medical training.

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4: Obligatory Implantation across Society: It is highly unlikely that at the present time any rational government would seek to impose compulsory RFID implantation on a population. One reason for this is that RFIDs do not offer a completely reliable way of identifying the individual. As indicated above, RFIDs implanted subcutaneously can be removed and so can be made available to others. Deep implantation makes RFID removal a more difficult and dangerous process—but there will be some who will go to any lengths to steal and capitalise on another person’s identity. In short the benefits that can be derived from compulsory and widespread RFID implantation are highly questionable.

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In parallel, compulsory implantation would currently be unacceptable to broad swathes of society. This is an area which can create impassioned debate and sensational newspaper headlines (for example, ‘Prisoners ‘to be chipped like dogs’ (Brady 2008)). Furthermore RFID-related media and internet accounts are often exaggerated to suggest that we will soon all be sporting a subcutaneous RFID implant (for example, ‘Australia Becomes First Country to Begin Microchipping its Population. RFID Implants in the Human Body’ (Global Research 2016). Additionally there are strong objections from religious groups (which as remarked previously can also include those who simply seek to use scripture to reinforce their own arguments). In respect of implantation, the most frequently quoted passage from the Bible reads:

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‘And he causeth all, both small and great, rich and poor, free and bond, to receive a mark in their right hand, or in their foreheads: And that no man might buy or sell, save he that had the mark, or the name of the beast, or the number of his name.’ (Revelation 13:16–17)

5: Implantation based on Expectation: In this scenario, implantation is not based on direct coercion but is brought about by societal norms. By way of example, in most technologically-centric societies, everyday life is greatly facilitated by having at least one credit card, a mobile phone, a reliable Internet connection, an email address, etc. Without such facilities, aspects of daily life can become problematic (try making a hotel reservation without a credit card, or undertaking banking-related activities without Internet access). Furthermore the effects of not using technology-related facilities can have additional ramifications. For example, without a credit history it can be very difficult to obtain the loan needed to purchase a car or house. And so in some situations, individuals must conform or risk becoming marginalised. Consequently once a key technology gains sufficient momentum, it may be very difficult to resist its adoption. It is conceivable that this could one day apply to RFID tagging or implantation. If, for example, it could be shown that RFID implantation could lead to significant cost-saving in health care, then it is possible that some governments may well promote the widespread adoption of HIMs. An appropriate media campaign could give rise to a shift in public opinion such that the majority would ultimately agree to implantation. Others may then be forced into a situation of either complying or risking inferior medical treatment, not only for themselves but perhaps also for their children. For some, this is a foregone conclusion: ‘The process will be… subtle and cumulative, couched in the unassailable language of progress and social betterment, and mimicking many of the processes that have contributed to the expansion of closed-circuit television cameras and the corporate market in personal data. A series of tried and tested strategies will be marshalled to familiarise citizens with the technology. These will be coupled with efforts to pressurise tainted social groups and entice the remainder of the population into being chipped.’ (Haggerty 2006)

However in reality, developments in biometric technologies may soon reach a level of sophistication which makes the wide-scale implantation of RFIDs superfluous (see OTU Activities 4.20 and 4.21 for related discussion). Returning to previous discussion concerning the various practical limitations associated with a number of often cited RFID applications, in Table 4.4 we identify six general areas of application. In each case we provide indicative examples and summarise potential weaknesses.

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Table 4.4 Summarising indicative areas of application for RFIDs together with potential limitations. General area

Indicative applications

Limitations

Viability

Voluntary identification

Commencement of medical treatment and/or during hospitalisation

Cannot guarantee correct identification (but can be an initial indicator).

Voluntary authentication

To control access to, and operate, facilities which you own (e.g. car, house, computer, appliances, etc.) To gain access to facilities which you don’t own (library, place of work, machinery) Enforcement of restraining orders, exclusion zones Home detention

RFIDs can be removed and re-used. Some RFIDs can be easily cloned and are susceptible to spoofing attacks. As above.

Non-voluntary authentication

Exclusion control Confinement control General surveillance

Monitoring daily activities and movement

As above.

RFIDs can be removed or disabled. As above. Limited operating range.

Increased dangers associated with using one device for multiple authentication applications. Cannot guarantee validity of authentication.

Very weak application.

Viable—with additional measures. Other techniques are likely to be more effective.

Halamka et al. (2006) discuss a number of security implications relating to RFID implantation—specifically in the context of the HIM that was marketed by VeriChip at that time. The authors emphasise that the device ‘…should serve exclusively for identification, and not authentication and access control.’. Given its lack of encryption, this device was particularly susceptible to spoofing attacks. However, even with the incorporation of robust encryption techniques there is still no guarantee that the EPC generated by an implanted RFID correctly identifies a particular person (take a look at Ethical Dilemma 4.5). Furthermore it may not be prudent to entrust numerous ID and security-related functions to a single device. To do so may increase the device’s value and so promote greater violent activity—with criminals going to extreme lengths to extract implanted RFIDs.23

Back in 2005 the owner of a Mercedes S-class car had his index finger cut off by criminals who were intent on thwarting the car's fingerprint recognition system (BBC News 4396831).

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Organisational Failures: Re-Writing Reality ‘Oh what a tangled web we weave, When first we practice to deceive.’

In this section we journey back to the late 1960s—to the time when the ill-considered war in Vietnam was at its height.

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In February 1969 U.S. intelligence reported to the U.S. President (Nixon) that the headquarters of the North Vietnamese and Viet Cong had at last been located. The only snag was that it was situated just over the Vietnamese border—in neutral Cambodia. But if this ‘small’ detail were ignored, then there was little doubt that multiple bombing attacks using B-52s could not only eliminate the long sought-after headquarters but would also destroy troop concentrations, food/arms caches and military hospitals. The enemy would receive a crippling if not mortal blow. Naturally there would be civilian casualties and political fallout arising from an attack in a neutral country—but after all the planes only had to fly just over the border. A mass attack by some sixty B-52s (Fig. 4.13) could be compressed—each could be in and out of Cambodian airspace in around about a minute. With each aircraft dropping 30 tons of bombs into a relatively small area, it would be possible to create hell on earth, and it would only take an hour. Well, that was the theory. Nixon and his National Security Affairs Advisor (Kissinger) soon got to work on the matter. Operation ‘Breakfast’ was approved and was to be carried out in secrecy. However it was recognised that there might be a leakage of information and this could result in the press asking some tricky questions: ‘In the event press inquiries are received following the execution of the Breakfast Plan as to whether or not U.S. B-52s have struck in Cambodia, U.S. spokesman will confirm that B-52s did strike on routine missions adjacent to the Cambodian border but state that he has no details and will look into this question. Should the press persist in its inquiries or in the event of a Cambodian protest concerning U.S. strikes in Cambodia, U.S. spokesman will neither confirm nor deny reports of attacks on Cambodia but state it will be investigated. After delivering a reply to any Cambodian protest, Washington will inform the press that we have apologized and offered compensation’ (Quoted in Shawcross 1979)

Fig. 4.13 A B52 bomber disgorging a deadly cargo over Vietnam. (Image courtesy of the USAF [public domain].)

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On the evening of the 17th March 1969, the giant B-52s left Guam, climbed to their cruising altitude of 30,000 feet and headed towards South Vietnam—at which point they came under the control of local radar stations. All that was now needed was for the radar controller to provide some of the planes with the alternative bombing coordinates needed to take then just over the Cambodian border.

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And what was done once could be done again and again: ‘Over the next fourteen months 3,630 B-52 bombing raids were flown against suspected Communist bases along different areas of Cambodia’s border. [Operation] Breakfast was followed by “Lunch,” Lunch by “Snack,” as the program expanded to cover one “sanctuary” after another. Collectively the operation was known as “Menu”.’ (Shawcross 1979)

On board the planes that were sent into Cambodia, only the pilots and navigators were told that they would receive revised bombing coordinates during the flight. Following an attack, Intelligence would report that an operation had been carried out and make reference to the original coordinates—they knew nothing about the change. This is an history which takes on a dimension that we would associate with an Orwellian world of falsification—facts were changed, computer records manipulated, documents destroyed. The past was re-written such that the reality had never taken place (unless of course you were located on the ground in the Cambodian border region): ‘…[The supervisor of the ground radar stations] was under instructions to gather up every scrap of paper and tape with which the bombing had been plotted and lock them in his desk until daybreak. Only then… was he to take the documents to an incinerator… He was then to call a Saigon number he had been given… in order to tell the unidentified man who answered the phone that “the ball game is over”…The night’s mission over Cambodia entered the records as having taken place in Vietnam. The bombing was not merely concealed; the official, secret records showed that it had never happened.’ (Shawcross 1979)

Technology had provided the means by which planes were guided to their targets and crew members had no need to verify their actual location. An almost perfect system of deception was created, and supported an illegal bombing campaign which resulted in countless civilian casualties. However, the radar supervisor mentioned above recognised the power which it placed in his hands: ‘There was nothing to stop him from choosing the coordinates of a town in South Vietnam or Cambodia and having it bombed. Indeed “if someone could have punched the right number into the right spot they could have had us bombing China” he later observed.’ (Shawcross 1979)

But as so often happens, the deception was eventually uncovered and in relation to the ‘leaking’ of information, Kissinger is reported to have indicated that ‘…they will destroy whoever did this if we can find him, no matter where he is.’ As for Operation Breakfast—it didn’t quite have the level of success that had been enthusiastically predicted. On the day after the massive attack a Special Forces “Daniel Boone” team was sent in to undertake covert reconnaissance having been told that ‘if there was anybody still alive out there they would be so stunned that all [we would] have to do [was] walk over and lead him by the arm to the helicopter.’ However from within moments of their arrival the team met severe resistance:

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‘The B-52 raid had not wiped out all the Communists as… promised. In fact its effect… had been “the same as taking a beehive the size of a basketball and poking it with a stick. They were mad.”.’ (Shawcross 1979)

When a second team were ordered to make the reconnaissance, the men refused to go and as a result three were arrested. In the event, and for obvious reasons, they were not court-martialled. Overall, it appears that little success was achieved from the many covert raids which took place: ‘Night after night through the summer, fall and winter of 1969 and into the early months of 1970 the eight-engined planes passed west over South Vietnam and on to Cambodia. Peasants were killed – no one knows how many… To avoid the attacks, the North Vietnamese and Viet Cong pushed their sanctuaries and supply bases deeper into the country, and the area that the B-52s bombarded expanded as the year passed. The war spread.’ (Shawcross 1979)

For further discussion see Ethical Dilemma 4.6 and OTU Activity 4.22.

4.9 Discussion

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281

Discussion ‘We are still in many ways just naked apes walking around with cellular telephones in one hand and atomic ray guns in the other. It is far from clear whether the race between the forces of destruction and those of creation, which we barely won in the twentieth [century] is going to be won at all in the twenty-first.’24

When surveillance systems play a pivotal role in bringing the perpetrators of crime to justice, then quite naturally both their victims and society as a whole tend to be reassured by the presence and efficacy of the technology. And whilst there are those who ruminate on the dangers posed by ever-more advanced surveillance systems, others cast such arguments to one side, being much more interested in the roles that technologies can play today in preventing highly tangible and often quite frightening dangers. They would perhaps agree that the presence of public space CCTV systems impact on human behaviour—but would applaud this phenomenon. Is it such a bad thing that technologies curtail the unacceptable behaviour of ‘Others’? Some years ago, and for a number of months I regularly returned home each evening on a late night train which rattled its way along a branch line through the English countryside. It was deep winter and in the pitch black darkness the windows revealed only a reflection of the long and austere compartment. Occasionally there were one or two other passengers, but more often than not I was entirely alone. On the night which comes to mind, two people entered the carriage. From their appearance and general demeanour it didn’t seem that they had just come from paying a kindly visit to their ailing and dearly loved grandma—a point that was reinforced by their antics and loud, hate-charged conversation. Hopefully we would not be alighting at the same station—a depressing and decaying Victorian edifice made more so by the stygian darkness of a great tunnel which opened up at the end of the platform. At night-time it was always an unpleasant place, particularly given the memory of a taxi driver who several years earlier had been lured to the station late at night and murdered there. Eventually the train came to a halt and as the pneumatic doors opened I was struck by a blast of cold air and teeming rain. To my consternation the two other travellers alighted behind me. Within seconds the train had departed and we were left on the isolated platform…. I was certainly pleased to finally lock the doors of my car and drive away, and well recall laughing at my own fears—after all there were three surveillance cameras in the train carriage and many more at the station. I was indeed briefly reassured by the presence of technology and its powers (either real or illusionary) of apparently providing me with protection by curbing the possible excesses of ‘Others’.25

24

Lebowitz (2000). Researchers have demonstrated that even the presence of posters in public spaces depicting staring human eyes can impact on behavior—see for example, van der Linden (2011).

25

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When we consider the ever more widespread deployment of increasingly sophisticated surveillance systems, there is a need to carefully consider whether they represent a real solution to hardcore societal problems, or are rather a proverbial dressing covering a festering wound. In this latter respect, technologies can certainly provide us with stark insight into current societal problems. Take for example body cameras which as previously discussed are being deployed in ever greater numbers by police forces in the UK: ‘In one case, a camera captured evidence of a man who punched his partner in the face and hit her with a frying pan in front of her children.’ (Peachey 2016)

But if the inequalities of an increasingly depersonalised, radicalised, and educationally/financially polarised society continue to increase, will it ever be possible to reach a level of surveillance which is deemed to be sufficient? Certainly at present every serious incident heralds calls for greater powers of surveillance— calls to which researchers, developers and vendors are all too ready to respond. Is this path the one that is best followed, or is there a need to focus on and challenge the endemic problems that are currently being addressed by a misguided technological imperative: ‘The once free world is submitting to a “technological imperative”, and permitting surveillance technologies to change society for the worse. Biometric tools are among the most threatening of all surveillance technologies, and herald the severe curtailment of freedom, and repression of “different thinkers”, public interest advocates and “troublemakers”’. (Roger Clarke quoted in van der Hoogen 2009)

And as ever increasing volumes of our personal data are acquired via surveillance technologies, we have little insight into how this may be shared, processed and retained. In relation to systems which are increasingly in evidence at airports, Orcutt (2017) writes: ‘No matter whose face is being scanned, though, we don’t know much about what happens to the information after CBP [Customs and Border Protection] collects it at the gates and verifies a passenger’s identity, but DHS [Department of Homeland Security] says that all data pertaining to the images is deleted within 14 days.’

Perhaps this is indeed the case and we can confidently trust such assurances? It is also important to remember that both algorithms and human operators are fallible: ‘Imagine police are investigating a robbery that was caught on camera. When they run a video still of the suspect’s face against their facial-recognition database, they receive 10 possible matches, but none are a perfect match to the suspect. Nonetheless, the closest match is treated as a lead, and police begin investigating an innocent person. Thanks to the accuracy-rate bias in facial recognition algorithms today, this scenario is statistically more likely to happen to an African American than a white person.’ (Garvie et al. 2016)

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In relation to trials conducted by the South Wales (UK) Police and which began in 2017, there have been large numbers of false matches. Although it is apparent that the technology will gradually improve, there is a human cost associated with the early deployment of complex systems which invariably perform less well when used under real-world conditions than when demonstrated in controlled (and possibly even somewhat contrived) situations: ‘If you get a false positive match, you automatically make a suspect of somebody that is perfectly innocent.’ (Attributed to Martin Evison quoted by Burgess 2018)

And this can have a significant cost to those who are incorrectly identified— especially as some people will always make recourse to the old adage of there being ‘no smoke without fire’… In addition it’s not uncommon for such trials to be carried out with insufficient regulatory oversight and without some of those involved (including the general public) being properly aware of the limitations of technologies. It is crucially important that technologies are deployed and used in ways which don’t erode relationships which exist between societal groups and government authorities. In this context, opportunities which may exist for the deployment and use of covert surveillance technologies can be particularly problematic. By way of example, consider Project Champion that was conceived in the UK in 2008 and which involved the installation of some 216 camera-based systems in two areas of Birmingham. At that time these localities were home to nearly half of the cities Muslim population. The installation comprised 144 overt CCTV cameras (of which 106 had automatic number plate recognition functionality) and 72 covert systems (Isakjee and Allen 2013).

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The project involved an investment in excess of three million pounds and by January 2010, installation was under way. The work was promoted as a general crime reduction project paid for with Home Office funds. However in reality: ‘…the £3m project was being run from the West Midlands police counter-terrorism unit with the consent of security officials at the Home Office and MI5.’ (Lewis 2010)

And as Isakjee and Allen (2013) observes: ‘The project was… effectively rebranded as a scheme which did not relate explicitly, let alone exclusively, to counter terrorism.’

The cameras provided the ability to track movements into and out of areas which had a high percentage of Muslim inhabitants, and when the mismatch between information supplied to the community in relation to the purposes of the system and its actual focus on counterterrorism came to light, this had a strong detrimental impact on community relations. With hindsight it is apparent that: ‘Top police officers failed to ask questions about the operation’s “proportionality, legitimacy, authority, necessity, and ethical values inherent in the proposed course of action”.’ (Lewis 2010)

As Isakjee and Allen (2013) notes: ‘Project Champion was an extraordinary and extreme manifestation of the government’s policy approach to preventing violent extremism.’

Further it demonstrates the crucial importance of effective oversight. In this particular case, the Police Authority and the Safer Birmingham Partnership should have been scrutinising the project on behalf of the public and asking questions such as: ‘…what were the specifications of the Project, how was the data to be used, what would be the impact on community relations, how effective would the Project be…’ (Birmingham City Council (2010) quoted in Isakjee and Allen (2013))

Unfortunately it appears that little attention was paid to these points—of which its impact on community relations should have been of primary importance. In the event, following extensive criticism, by July 2011 the camera system had been dismantled. For related discussion see OTU Activity 4.24. As previously discussed, from the perspective of professional ethics it’s important that we continually consider ways in which technologies may develop in the coming years, and appraise their potential ramifications. In the case of surveillance systems, it’s evident that continued unfettered development will lead to highly advanced technologies which are not simply used to monitor past and current behaviours, but also systems which have predictive capabilities. As indicated by the UK’s Surveillance Commissioner: ‘“When people say ‘the public love CCTV’, do they really know what it does and its capability? Do they know with advancing technology, and algorithms, it starts to predict behaviour?”’ (Attributed to Tony Porter and quoted by Weaver 2015)

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Although a number of police forces have adopted predictive modelling in an effort to identify ‘crime hotspots’ (such as public spaces that would benefit from a police patrol),26 an alternative and more invasive strategy is to use this general approach to identify individuals that may commit crime—before the crime takes place. The National Data Analytics Solution is to be used by UK police and is intended to support pre-emptive, interventionist policing. It draws on: ‘…multiple data sets from a number of police forces… In the early phases, the team gathered more than a terabyte of data from local and national police databases, including records of people being stopped and searched and logs of crimes committed.’ (Baraniuk 2018)

The reader is left to consider the ethical ramifications of such an approach and the impact that it may have on enhancing societal cohesion—or otherwise.

It is reported that the Kent Police Force who were the first in the UK to introduce this approach have now terminated its use. The BBC (2018) quoting one police source indicates that in terms of the system’s evaluation ‘What is more challenging is to show that we have been able to reduce crime with that information.’

26

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In the article previously cited, the UK’s Surveillance Commissioner comments on the burgeoning use of wearable surveillance hardware: ‘“If people are going around with surveillance equipment attached to them, there should be a genuinely good and compelling reason for that. It changes the nature of society and raises moral and ethical issues… about what sort of society we want to live in.”’

Unfortunately, most incremental advances in technology development can in some way be justified (although the justification may not stand up to critical scrutiny). For example, Burt (2018) summarises various extensions to police body cameras which centre on the activation of automatic recording. These include the acquisition of footage containing a facial recognition match with a suspected person, sounds such as a gunshot or siren, an accelerometer reading (suggesting that the wearer has been pushed or has fallen), and an increase in the wearers pulse. Quoting Professor Woodrow Hartzog, Burt (2018) writes: ‘“Facial recognition is probably the most menacing, dangerous surveillance technology ever invented…We should all be extremely sceptical of having it deployed in any wearable technology, particularly in contexts [where] the surveilled are so vulnerable, such as in many contexts involving law enforcement.”’

It appears that in the absence of focused education and meaningful public debate we could all too easily be seduced into accepting surveillance techniques which result in current societal freedoms being severely curtailed, and in which attempts are made to automatically predict our actions—a world which has little place for traditional and vital human values (see OTU Activity 4.25). In this general context, it’s possible that there is a grain of wisdom to be found in the well-known verse from childhood: ‘“Will you walk into my parlour?” said the Spider to the Fly, “Tis the prettiest little parlour that ever you did spy; The way into my parlour is up a winding stair, And I’ve a many curious things to shew when you are there”. “Oh no, no,” said the little Fly, “to ask me is in vain, For who goes up your winding stair can ne’er come down again”’. (Howitt 1829)

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In the event it didn’t work out well for the Fly, who despite caution was seduced by the Spider’s seemingly benign promises into making a one-way journey. Perhaps assurances that surveillance systems will deliver a safer world may prove to be equally seductive and hollow. You may recall the final lines of the verse: ‘And now dear little children, who may this story read, To idle, silly, flattering words, I pray you ne’er give heed: Unto an evil counsellor, close heart and ear and eye, And take a lesson from this tale of the Spider and the Fly.’

4.10

Additional Reading

Acquisti, A., Gross, R., and Stutzman, F., ‘Face Recognition in the Age of Augmented Reality’, Journal of Privacy and Confidentiality, 6, No. 2 (2014). Anon, ‘Who Needs Democracy When You Have Data?’, The Download, MIT Technology Review (20th Aug. 2018). Barrett, B., ‘A Location-Sharing Disaster Shows How Exposed You Really Are’, Wired (19th May 2018). BBC, ‘The End of the CCTV Era?’ 30793614 (15th Jan. 2015+). Bowden, Lord of Chesterfield, ‘The Story of IFF (Identification Friend or Foe)’, IEE Proceedings, 132, No. 6, pp. 435-437 (Oct. 1985). Brandom, R., ‘How Should we Regulate Facial Recognition?’, The Verge, (29th Aug 2018). Brown, L., ‘A Radar History of World War II’, IOP Publishing (1999). Book Burns, R., (Ed.), ‘Radar Development to 1945’, Institute of Engineering and Technology (1989). Curran, D., ‘Are Your Phone Camera and Microphone Spying on You?’, The Guardian, 6th April 2018). Data Privacy and Advisory Committee, Report Number 2006-02, ‘The Use of RFID for Human Identity Verification’, (Dec. 2006). Delac, K., and Grgic, M., ‘A Survey of Biometric Recognition Methods’, 46th International Symposium Electronics in Marine, ELMAR-2004 (16-18th June 2004). Doshi, V., ‘No ID, No Benefits: Thousands Could Lose Lifeline Under India’s Biometric Scheme’, The Guardian (21st Mar. 2017). Ewalt, D., ‘Inside Magic Leap, The Secretive $4.5 Billion Startup Changing Computing Forever’, Forbes (29th Nov. 2016). Ferguson, C., ‘Question 10: Surveillance in the Workplace’, The Guardian (30th Mar. 2009). Haering, N., Venetianer, P., and Lipton, A., ‘The Evolution of Video Surveillance: An Overview’, Machine Vision and Applications, 19, pp. 279-290 (2008). Hern, A., ‘Want to Beat Facial Recognition? Get Some Funky Tortoiseshell Glasses’, The Guardian (4th Nov. 2016).

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Hernandez, S., ‘One of the Biggest At-Home DNA Testing Companies is Working with the FBI’, BuzzFeed News, buzzfeed.com (31st Jan. 2019). Hunt, T., and Stewart, M., ‘Why were Police Taking Photos of Peaceful, Lawful Protest in Wellington?’, Stuff.co.nz (6th June 2017). Kassai, H., ‘Blink and You’ll Miss It: The Mass-Market Adoption of Facial Verification in Business’, Biometric Update (2nd July 2018). Kelly, K., ‘The Untold Story of Magic Leap, The World’s Most Secretive Startup’, Wired (May 2016). Klitou, D., ‘Privacy-Invading Technologies and Privacy by Design’, T.M.C. Asser Press (Springer) (2014). Lewis, P., ‘Surveillance Cameras in Birmingham Track Muslims’ Every Move’, The Guardian (4th June 2010). Lim, H., Kim, C., EcK, J., and Kim, J., ‘The Crime-Reduction Effects of Open-Street CCTV in South Korea’, Security Journal, 29, No. 2, pp. 241-255, (April 2013). Lyon, D., ‘The Electronic Eye: The Rise of Surveillance Society’, Blackwell Publishers (1994). Nilsson, F., and Axis Communications, ‘Dispelling the Top 10 Myths of IP Surveillance’ (2005). Nilsson, F., and Axis Communications, ‘Intelligent Network Video’, (2nd Edn.) CRC Press (2017). Orcutt, M., ‘Are Face Recognition Systems Accurate? Depends on Your Race’, MIT Technology Review (6th July 2016). Perkins, L., ‘To Install a Nanny Cam, or Not?’ HuffPost (1th Feb. 2017). Price, A., ‘Instruments of Darkness: The History of Electronic Warfare, 1939-1945’, Greenhill (2005). Regalado, A., ‘I Lost a Bet and Now I am going to let Millions of Strangers Check Whether We’re Related’, MIT Technology Review (11th May 2018). Report No. 2006-02, ‘The Use of RFID for Human Identity Verification’, Data Privacy & Integrity Advisory Committee to the Secretary and Chief Privacy Officer of the Department of Homeland Security (DHS) (6th Dec. 2006). Shellenbarger, S., ‘Yes, It’s OK to Spy on Babysitters: Do’s and Don’ts of the Nannycam’, The Wall Street Journal (8th May 2003). Vincent, J., ‘Google ‘Fixed’ its Racist Algorithm by Removing Gorillas from its Image-Labelling Tech’, The Verge (12th Jan. 2018). Wakefield, J., ‘Are You Scared Yet? Meet Norman, the Psychopathic AI’, BBC 44040008 (2nd June 2018).

References Ackerman, S., and Ball, J., ‘Optic Nerve: Millions of Yahoo Webcam Images Intercepted by GCHQ’, The Guardian (28th Feb. 2014). Arthur, C., ‘Google Glass: Is it a Threat to our Privacy’, The Guardian (6th Mar. 2013). Bacheldor, B., ‘Microsoft Partners with Implantable RFID Chip Maker VeriChip’, RFID Journal, www.rfidjournal.com/articles/view?4477 (2008) [Last accessed 25th Apr 2019].

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Bamford, J., ‘The Shadow Factory’, Doubleday, (2008). Baraniuk, C., ‘Exclusive: UK Police Wants AI to Stop Violent Crime Before it Happens’, New Scientist (26th Nov. 2018). Barrett, D., ‘One Surveillance Camera for Every 11 People in Britain, says CCTV Survey’, The Telegraph (10th Jul 2013). BBC, ‘Teachers Warned of ‘Permanent Surveillance’ from CCTV’, 27087936 (20th April 2014). BBC, ‘CCTV: Too Many Cameras Useless, Warns Surveillance Watchdog Tony Porter’, 30978995 (26th Jan. 2015). BBC, ‘Malaysia Car Thieves Steal Finger’, 4396831 (31st Mar. 2005). BBC, ‘Winsconsin Company Three Square Market to Microchip Employees’, 40710051 (24th July 2017). BBC, ‘Kent Police Stop Using Crime Predicting Software’, 46345717 (26th Nov. 2018). Berkman Center Report, ‘Don’t Panic, Making Progress on the ‘Going dark’ Debate’, Berkman Center for Internet and Society at Harvard University (2016). Big Brother Watch Report, ‘The Price of Privacy: How Local Authorities Spent £515m on CCTV in Four Years’, (Feb. 2012). Big Brother Watch Report, ‘Class of 1984: The Extent of CCTV in Secondary Schools and Academies’, (Sep 2012). Birmingham City Council, ‘Project Champion: Scrutiny Review into ANPR and CCTV Cameras —A Report from Oversight to Scrutiny’, Birmingham City Council (2010). Blundell, B. G. ‘3D Displays and Spatial Interaction, Exploring the Science, Art, Evolution and Use of 3D Technologies’, Volume 1, Walker & Wood Ltd (2011). Bradbury, R., ‘Fahrenheit 451’, Rupert Hart-Davies Ltd (1954). Brady, B., ‘Prisoners ‘to be chipped like dogs’, The Independent (13th Jan. 2008). Brown, A., ‘ Smart Barbie Puts Child’s Play in the Cloud’, Information Week (4th May 2015). Burdea, G., ‘Force and Touch Feedback for Virtual Reality’, John Wiley & Sons Inc. (1996). Burgess, M., ‘Facial Recognition Tech Used by UK Police is Making a Ton of Mistakes’, Wired (4th May 2018). Burt, C., ‘Using Facial Recognition to Activate Police Body Cameras Sparks Concern’, www. biometricupdate.com (5th Oct. 2018). Cain, P., ‘Privacy Risks Lurk in DNA Tests, Experts Warn’, Globalnews.ca (15th Aug. 2016). Careerbuilder, ‘Number of Employers Using Social Media to screen Candidates has Increased 500% over the Last decade (28th April 2016). Carlini, N., Mishra, P., Vaidya, T., Zhang. Y., Sherr, M., Shields, C., Wagner, D., and Zhou, W., ‘Hidden Voice Commands’, Proc. 25th USENIX Security Symposium, Austin TX (10–12 Aug. 2016). Comey, J., ‘Going Dark: Are Technology, Privacy, and Public Safety on a Collision Course?’ Transcript of speech given at Brookings Institution (16th October 2014). Cornwell, J., ‘Hitler’s Scientists Science War and the Devil’s Pact’, Penguin (2004). Dormehl, L., ‘Facial Recognition: Is Technology Taking Away Your Identity?’, The Guardian (4th May 2014). Erlanger, S., ‘London Attack Places Security and Civil Liberties at Center of U.K. Election’, The New York Times (5th June 2017). Forcinio, H., ‘The Business Value of RFID’, Microsoft Corporation, RFID Journal (2006). Garner, R., ‘Privacy Concerns Raised as More Than One Million are Fingerprinted in Schools’, The Independent (2nd Jan. 2014). Garvie, C., and Frankle, J., ‘Facial-Recognition Software Might Have a Racial Bias’, The Atlantic (7th April 2016). Global Research, ‘Australia Becomes First Country to Begin Microchipping its Population. RFID Implants in the Human Body’, (4th Oct. 2016). Greenemeier, L., ‘Police Body Camera Use – Not a Pretty Picture’, Scientific American (4th Aug. 2016).

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Haggerty, K., ‘One Generation is all they Need: One Day we will all be Happily Implanted with Microchips’, Toronto Star (10th Dec. 2006). Halamka, J., Juels, A., Stubblefield, A., and Westhues, J., ‘The Security Implications of VeriChip Cloning’, J. Am. Med, Assoc. 13(6) pp. 601–607 (Nov–Dec 2006). Henley, J., ‘Sweden Scrambles to Tighten Data Security as scandal Claims Two Ministers’, The Guardian (1st August 2017). Hern, A., ‘Hacker Fakes German Minister’s Fingerprints using Photo of her Hands’, The Guardian (30th Dec. 2014). Hern, A., ‘Anti-Surveillance Clothing aims to Hide Wearers from Facial Recognition’, The Guardian, (4th Jan. 2017). Howitt, M., ‘The Spider and the Fly’ (1829). Human Rights Watch, ‘China: Police Database Threatens Privacy’, (15th May 2017). IHS Report, ‘Top Video Surveillance Trends for 2016’, (2015). Isakjee, A., and Allen, C., ‘‘A Catastrophic lack of Inquisitiveness’: A Critical Study of the Impact and Narrative of the Project Champion Surveillance Project I Birmingham’, Ethnicities, 13(6) pp. 751–770 (2013). Jain, A., Ross, A., and Prabhakar, S., ‘An Introduction to Biometric Recognition’, IEEE Trans. On Circuits and Systems for Video Technology, 14, No.1 (Jan. 2004). Jones, R.V., ‘Most Secret War’, Hamish Hamilton (1978). Kafka, F., ‘The Trial’, (1925). Kennan, G., ‘George F. Kennan: Memoirs 1950–1963’, Pantheon (1983). Kent, J., ‘Malaysian Car thieves Steal Finger’, BBC News, 4396831 (2005). Kille, L., and Maximino, ‘The Effect of CCTV on Public Safety: Research Roundup’, Shorenstein Center on Media, Politics and Public Policy, (2014). Klitou, D., ‘Privacy-Invading Technologies and Privacy by Design’, Asser Press (Springer), (2014). Lebowitz, J., ‘Physics and Human Rights: Reflections on the Past and the Present’, Physikalische Blätter, 56, Nr. 7/8, Wiley, (2000). Levin, S., ‘New AI can Guess Whether You’re Gay or Straight from a Photograph’, The Guardian (8th Sep. 2017). Lewis, P., ‘Police Surveillance of Muslims Set Up with “No Regard for Law”‘, The Guardian (30th Sep. 2010). Lewis, P., ‘“I Was Shocked it Was so Easy”, Meet the Professor who Says Facial Recognition can Tell if You’re Gay’, The Guardian (7th July 2018). Low, A.M., ‘Popular Scientific Recreations’, Ward, Lock and Co. (1933). MacAskill, E., ‘“Extreme Surveillance” becomes UK Law with barely a Whimper’, The Guardian (19th Nov. 2016) Magee, T., ‘Met Police Choose Microsoft Azure for storing Body-Worn Camera Data’, Computerworld (1st Dec. 2016). Manyika, J., Chui, M., Bisson, P., Woetzel, J., Dobbs, R., Bughin, J., and Aharon, D., ‘Unlocking the Potential of the Internet of Things’, McKinsey Global Institute Report (June 2015). Massoudi, A., and Bradshaw, T., ‘Magic Leap Confirms $400 Saudi Investment’, Financial Times (7th Mar. 2018). Mcardle, E., ‘The New Age of Surveillance’, Harvard Law Today (10th May 2016). Meek, J., ‘Robo Cop’, The Guardian (13th June 2002). Meyer, R., ‘Anti-Surveillance Camouflage for your Face’, The Atlantic (24th July 2014). Minton, A., ‘CCTV Increases People’s Sense of Anxiety’, The Guardian (30th Oct. 2012) Minton, A., and Aked, J., ‘’Fortress Britain’: High Security, Insecurity and the Challenge of Preventing Harm’, New Economics Foundation (2012). Mould, N., Regens, J., Jensen III, C., and Edger, D., ‘Video Surveillance and Counterterrorism: The Application of Suspicious Activity Recognition in Visual Surveillance Systems to Counterterrorism’, Journal of Policing, Intelligence and Counter Terrorism, 9, No. 2, pp. 151– 175 (2014).

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Murdock, J., ‘Philippines: 55m Voters Exposed as Fingerprint and Passport Data Stolen’, ibtimes. co.uk (7th April 2016). Nussbaum, E., ‘Kids, the Internet and the End of Privacy: The Greatest Generation Gap Since Rock and Roll’, New York Magazine (12th Feb. 2007). Okolosie, L., ‘I would Never Wear a Body Camera while Teaching in School. Here’s Why’, The Guardian (9th February 2017). Oltermann, P., ‘German Parents Told to Destroy Doll that can Spy on Children’, The Guardian (17th Feb. 2017). Opray, M., ‘Cybersecurity: Is the Office Coffee Machine Watching You?’, The Guardian (28th April 2017). Orcutt, M., ‘If You Get Your Face Scanned the Next Time You Fly, Here’s What You Should Know’, MIT Technology Review (13th July 2017). Paton, G., ‘School Children “Routinely Monitored” by CCTV’, The Telegraph (15th Mar 2010). Paton, G., ‘Classrooms Put Under “Permanent Surveillance” by CCTV’, The Telegraph (20th Apr. 2014). Peachey, P., ‘How the Police’s Body-Worn Camera Technology is Changing the Justice System’, The Independent (1st Mar. 2016). Peterson, A., ‘OPM Says 5.6 Million Fingerprints Stolen in Cyberattack, Five Times as many as Previously Thought’, (23rd Sep. 2015). Popular Science, ‘Why Did I Implant a Chip in my Hand?’, (May 24 2016). Priks, M., ‘The Effects of Surveillance Cameras on Crime: Evidence from the Stockholm Subway’, The Economic Journal 123, F289–F305 (2015). Rieback, M.R., Crispo, B., ‘The Evolution of RFID Security’, IEEE Pervasive Computing (Jan.– Mar. 2006). Robb, G., ‘Police Use of CCTV Surveillance: Constitutional Implications and Proposed Regulations’, U. Mich. J. L. Reform, 571 (1979–1980). Roberts, J., ‘Banks are using Biometrics to Detect Scammers’, Fortune.com (22nd Mar. 2016). Robertson, A., ‘Why do People Keep Giving Magic Leap Money?’, The Verge (22nd Oct. 2017). Seelig, R., ‘New Technology Provides Urgent Medical Information and Protects Privacy: Providing Important Information in Medical Situations for the Developmentally Disabled’, EP Magazine, pp. 47–51 (May 2006). Sharff, M., Bhagavatula, S., Bauer, L., and Reiter, M., ‘Accessorize to Crime: Real and Stealthy Attacks on State-of-the-Art Face Recognition’, CCS’16, Vienna (Oct 24th–28th 2016). Shawcross, W., ‘Sideshow Kissinger, Nixon and the Destruction of Cambodia’, Simon and Schuster (1979). Siddique, H., ‘Police Force Stored DNA Samples in Fridge with Half-Eaten Takeaway’, The Guardian (4th Aug. 2009). Spicer, A., ‘Surveillance used to be a Bad Thing. Now we Happily let our Employers Spy on Us’, The Guardian (4th Aug. 2017). Synetics White Paper, ‘CCTV in the UK. What we can Learn from Public attitudes Towards Surveillance’, (March 2015). The Campbell Collaboration, ‘Closed Circuit Television (CCTV) as a Crime Prevention Tool’, (2016). Tillmann, G., ‘Opinion: Stolen Fingers: The Case Against Biometric Identity Theft Protection’, Computerworld (27th Oct. 2009). Van der Hoogen, S., ‘Perceptions of Privacy and the Consequences of Apathy: Biometric Technologies in the 21st Century’, Dalhousie Journal of Interdisciplinary Management, 4 (Spring 2009). Van der Linden, S., ‘How the Illusion of Being Observed Can Make You a Better Person’, Scientific American (3rd May 2011). Vincent, J., ‘The UK Now Wields Unprecedented Surveillance Powers – Here’s What It Means’, The Verge (29th Nov. 2016).

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Walsh, B., and Farrington, D., ‘Closed-Circuit Television Surveillance and Crime Prevention A Systematic Review’, Swedish Council for Crime Prevention (2007). Weaver, M., ‘UK Public must Wake Up to Risks of CCTV Says Surveillance Commissioner’, The Guardian (6th Jan. 2015). Weissert, W., ‘Mexican Attorney General Personally goes High-Tech for Security’, USA Today (14th July 2004). Woodhouse, J., ‘CCTV and Its Effectiveness in Tackling Crime’, House of Commons Library, Section Home Affairs, (2010).

5

The Internet, Censorship, Empowerment and Repression

‘And phantoms sleep in doorways, Mysterious cloaked forms, without respect for the night… And my imagination walks the streets.’1

5.1

Introduction

In the introduction to the previous chapter we alluded to aspects of daily life prior to the advent of current Internet-related technologies. For the great majority of today’s students, life prior to the Internet has not been experienced at first-hand. But older relatives may recount stories of life before the dawn of the digital age—days when search engines didn’t exist and when information often had to be sought through consultation with library card index files. Vendors of products or services had to be tracked down either through personal recommendation or by consulting weighty ‘Yellow Pages’ catalogues. Television had to be watched in real-time as video recorders didn’t begin to proliferate until the late 1970s, and viewers were left in suspense as they had to wait for a week for the next instalment of addictive TV thrillers. In the UK through until the early 1980s, homes without a phone connection were by no means uncommon, and public phones played a key role in everyday communication. It was a world without Amazon, Bookfinder, Facebook, Twitter, email, Skype and a myriad of the other online facilities which we now largely take for granted, and which for the majority of today’s students have always existed. Life now seems to have become much easier—in fact in the face of so much inconvenience it’s difficult to understand how so much was achieved prior to the Internet age…

Blundell, Q., ‘Dreams of Claire’, in ‘Collected Works’ (2020).

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With such thoughts in mind, it’s possible to argue that the greatest overarching benefit offered by Internet connectivity is ‘convenience’. Tasks which in the pre-Internet world were time-consuming can now often be accomplished with a few mouse clicks. Costly overseas phone calls of yesteryear can now be made for free. Families and friends dispersed around the world can connect via applications such as Skype. Photographic film has no longer to be used sparingly, we can take photos without being concerned about cost, and we can freely share content without the need to have extra copies of photographs printed. As for shopping, we don’t even have to leave our homes. It’s all so easy—it’s so convenient. Indubitably, it’s hardly surprising that the world has embraced the Internet with such enthusiasm, and in looking forward it would seem that we have only begun to unlock its potential. There’s so much more that can be done: in less than 30 years it has changed the world—just think how much more it will do in the years to come. And that is a key point upon which to reflect when perusing in this chapter. Not surprisingly, the Internet reflects many aspects of human activity and behaviour, from the best through to the very worst. But often this reflection is distorted, giving rise to a domain in which people can act seemingly out of character (or perhaps thanks to anonymity they can put to one side frustrations associated with everyday conformance to societal expectations). It is a domain which in principle gives everybody a voice—but unfortunately amid the vast expanse of communications, it is often difficult for everybody to be heard. It’s a domain which forms a positive feedback loop with the physical world—inextricably increasing the pace of change—developments happen so quickly—points of reference disappear —fortunes are made—websites close—and very often the winner takes all. In this chapter we critically appraise often paradoxical characteristics of the Internet. Although many erudite scholars are to be heard questioning the Internet’s unfettered market forces-based growth and philosophy, their words have little effect. To question aspects of the Internet is to endeavour to swim against an ever so powerful tide, and to risk placing oneself outside the fashionable norms of society. To some it suggests a peculiar wish to return to pre-Internet days—the ravings of a Luddite (see Sect. 6.7). However, in order to understand the future potential of the Internet and to assess its possible impact on society, it is essential to be able to dispassionately evaluate the Internet’s multi-faceted capabilities and the forces driving its development. Only by doing so does it become possible to proffer professional commentary on the ramifications of key areas of its growth. Without such input the Internet is likely to flourish without ethically based guidance, and in ways that are unlikely to be wholly advantageous to society. With such thoughts in mind, in the next section we briefly consider the evolution of the Internet and World Wide Web. This provides general foundations which are relevant to subsequent discussions. In Sect. 5.3 we discuss aspects of Internet freedom and censorship. Should the Internet be subject to national and international censorship? This is a complex and challenging question to which there appear to be no simple answers, and for which ethical issues abound.

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As we have previously indicated, in order to meaningfully appreciate, discuss, and advise on the potential ramifications of technologies, it is crucial to consider a broad range of factors relating to the human condition. Consequently in Sect. 5.4 we briefly consider aspects of the evolution of today’s societies. Although this is a wide-ranging, complex, and fascinating subject, we restrict discussion to a limited set of factors which are intended to promote relevant discussion. Finally, in Sect. 5.5 we provide another example which is intended to demonstrate the way in which organisational failures and ethically undesirable conduct can coalesce and lead to tragedy. In this particular case, we focus on the largely forgotten demise of the British R.101 airship (the flagship of the Imperial Fleet), which came to a fiery end during its maiden voyage from England to India. As with several other technological disasters described elsewhere in this book, the questionable condition of the craft was known well before its voyage. It was a disaster waiting to happen and could have easily been prevented—had those entrusted with authority been more proactive. Importantly, this history enables us to gain further insight into the dangers of allowing political goals to cast to one side sound scientific and engineering considerations. This parallels some of the events which culminated in the loss of the Challenger Space Shuttle—recall Sect. 3.8.

5.2

The Evolution of the Internet and Web ‘The irony is that in all its various guises - commerce, research, and surfing the Web is already so much a part of our lives that familiarity has clouded our perception of the Web itself. To understand the Web in the broadest and deepest sense, to fully partake of the vision that I and my colleagues share, one must understand how the Web came to be.’2

Since the earliest times we have sought to find techniques which support remote and rapid communications—so much so that many of the fundamental principles that underpin modern communications are by no means new but represent high-performance renditions of old methodologies. Message conveyance by means of relay teams comprising multiple runners can be traced back at least as far as the 6th century BC, and Xenophon (430–355 BC) considers the use of this approach during the reign of Cyrus: ‘They say, moreover, that sometimes this express does not stop at night, but the night-messengers succeed the day messengers in relays, and when this is the case, this express, some say, gets over the ground faster than the cranes. If their story is not literally true, it is at all events undeniable that this is the fastest overland travelling on earth: and it is a fine thing to have immediate intelligence of everything, in order to attend to it as quickly as possible.’ (Cyropaedia VII, 6.17-18)

2

Attributed to Berners-Lee (2000).

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The Greek historian Polybius (*200–118 BC) describes the use of a more sophisticated approach dating back to *350 BC, which introduces the notion of synchronisation. In brief, the sender and recipient possessed identical containers which were filled up to the same level with water. A selection of possible messages was inscribed along the length of two ruled rods, each of which had cork attached at one end. Both parties floated their identical rods in the water such that the rod protruded out of the top of their respective vessels. Transmission was initiated by the sender raising a flaming torch at which point both parties immediately removed a stopper from the lower part of their container allowing the water to drain. Gradually the rods sank and the sender waited until the intended message became aligned with the brim of his container, at which point he again raised his torch, thereby signalling to the recipient that he should stop the flow of water and read the message aligned with the container brim. Finally the recipient raised a torch signalling successful transmission. Undoubtedly this was a slow and laborious process with the limitation of only being able to send a specific set of possible messages. However, over time and with strong military motivation more sophisticated techniques emerged. The use of a relay of burning beacons was used widely for many centuries, and when in 1588 the seemingly invincible Spanish Armada was sighted off the coast of England, intent on invasion, long distance chains of bonfires were used to relay warning of the imminent attack. The invention of the telescope advanced optical communications by enabling relay stations to be spaced at greater intervals, but it was not until the second half of the 18th century that more sophisticated national and international data communications networks began to evolve. Through the pioneering vision of Claude Chappe (1763–1805), a communication network was established in France and by 1852 comprised 556 telegraph stations (see Fig. 5.1) covering a total distance of *4800 km, and connecting 29 of France’s largest cities. Ultimately this was extended through to Venice and to Boulogne (the latter being included with the intention of supporting Napoleon’s plans to invade England). Chappe not only developed communication protocol and data encoding techniques but also incorporated what today we would refer to as metadata enabling messages to be directed to different sectors of the network (message routing). The system also employed basic encryption techniques and error detection/correction. Despite the use of a complicated semaphore system, he significantly advanced the speed of data transmission with for example a message reporting the birth of Napoleon’s son travelling from Paris to Strasbourg (*500 km) in one hour. In his novel ‘The Count of Monte Cristo’ (1844), Alexandre Dumas gives an impression one of Chappe’s semaphore mechanisms: ‘…like the claws of an immense beetle…these various signs should be made to cleave the air with such precision as to convey to the distance of three hundred leagues the ideas and wishes of a man sitting at a table.’

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Fig. 5.1 An optical telegraphy tower located at Baccon (to the west of Orleans, France). Rising above the tower the semaphore indicators can be seen. These comprise a regulator beam (which is pivoted centrally) with an ‘indicator’ located at either end. Using a pulley arrangement the operator could control the positioning of both regulator beam and indicators, and so operate the semaphore system from within the tower. Typically Chappe towers such as this were located some 8 to 10 km apart along each line of communication, and the system was used almost exclusively for military communication. This Tower in Baccon was part of a communication channel that extended from Paris to Bayonne (on the Spanish border)—approximately 660 km in length.

Interestingly he also provides a fictional description of what we would now refer to as a cyber-attack in which an operator was bribed to insert a false message into the network with the intent of causing financial panic in Paris. In fact during the period 1834–1836 two bankers in Paris successfully exploited the telegraph system by bribing a telegraph operator located in the town of Tours. Depending on the movement of the stock market in Paris they regularly sent to him packages wrapped in white or grey paper. Based on the colour of a package he would then insert a specific pattern of errors into his telegraph transmissions which would be received (and exploited) by an accomplice in Bordeaux. The invention of electronic telegraphy in the first half of the 19th century signalled the death knell for Chappe’s system of line-of-sight optical communication (which obviously could only operate in daylight and in the absence of mist/fog).

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However given the military backing that had financed Chappe’s work, the decision to transition from optical to simpler electrical communications was the subject of some debate: ‘Every sensible person will agree that a single man in a single day could without interference cut all the electrical wires terminating in Paris; it is obvious that a single man could sever, in ten places, in the course of a day, the electrical wires of a particular line of communication, without being stopped or even recognised.’ (Guyot, J., Courier Francais 5th July 1841 quoted in Holzmann and Pehrson 1994)

Despite such concerns, electrical technologies gradually superseded optical transmission systems (in Europe the last three operational towers were located in Sweden and were used until 1881). Approximately 100 years later, the widespread deployment of fibre optic cables enabled optical transmission systems to once more play a dominant role in European communications. As for Chappe, his successes were marred by the entropy generated by others who claimed credit for the invention of the optical telegraph. Gradually he became ever more despondent, and on 23rd January 1805 he committed suicide by leaping down the shaft of a well. Newspapers reported that Chappe had left a brief final message: ‘Je me donne la morte éviter l’ennui de la vie qui m’accable; je n’ai point de reproches à me faire.’3

Key aspects of Chappe’s efforts are summarised by Holzmann and Pehrson (1994) who write: ‘What characterised Claude Chappe was not luck, but an admirable drive and a relentless dedication to perfection, even under adversity. He faced the violence of the French Revolution, with many people around him literally losing their heads over lesser causes than Chappe advocated. He also faced sometimes severe competition from others who claimed to have built a better telegraph, or a different one, or who simply claimed to have done it all before. Although some of the latter claims may have been partly justified… it was perseverance and dedication that made the difference between Chappe and his predecessors.’

Unfortunately, the theme of others seeking to gain unfounded credit for successful invention occurs throughout history and continues today—see OTU Activity 5.1. For further discussion on Chappe’s optical communications system see, for example, FNARH (1993)—which is a valuable and comprehensive work—Holtzmann and Pehrson (1994) and Dilhac (2001).

‘I give myself to death to avoid life’s worries that weigh me down; I’ll have no reproaches to make myself.’ (Quoted in Holzmann and Pehrson 1994)

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299

5.2.1 Internet: Putting the Pieces Together ‘[We are] concerned with the moral and ethical aspects of technology in society… In order to understand how the Internet became an integral part of our lives, it is crucial to examine its history and major developments… from its modest infancy to its giant presence.’4

On 4th October 1957 the seemingly impossible happened—the Soviet Union successfully launched the world’s first satellite. As Sputnik 1 effortlessly orbited the Earth every 98 minutes, its repetitive radio transmission5 taunted U.S. and European governments. Amid the tensions and rhetoric of the Cold War, the Russians had achieved a major technological success and by doing so had scored a significant propaganda coup. As a result it was quite possible that governments of countries that had recently emerged from colonial rule would seek to align themselves with the Soviets rather than the decadent west, which despite claims of moral and technological superiority couldn’t even get a small satellite into space!

In response, U.S. investment in scientific research and development was greatly increased. This fuelled a gargantuan competition—a race for scientific and technological superiority. Humans would walk upon the Moon, probes would land on distant planets, passenger planes would fly at supersonic speeds, ever more deadly 4

Cohen-Almagor (2011). A recording of the audio transmission is available on YouTube.

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weapons systems would be developed and despite vast expenditure, the U.S. Star Wars defence system would flounder. It was a war fuelled by economics and in the end the Soviets were the first to run out of money. In haste to catch up with the initial success of the Soviets in space, the U.S. Department of Defence established the Advanced Research Projects Agency (ARPA) whose mission was to: ‘…produce innovative research ideas, to provide meaningful technological impact that went far beyond the convention[al] evolutionary development approaches, and to act on these ideas by developing prototype systems.’ (Cohen-Almagor 2011)

In turn, the Information Processing Techniques Office (IPTO) was established with an aim of promoting research which would enable the development of a strategic communications network. This laid important foundations which would eventually result in the growth of today’s Internet. However, the notion of interconnected computer systems with large-scale information retrieval capabilities pre-dates the establishment of the IPTO. For example, in 1960, J.C.R Licklinder (who two years later became the IPTO’s first director) wrote: ‘It seems reasonable to envision, for a time 10 or 15 years hence, a “thinking center” that will incorporate the functions of present-day libraries together with anticipated advances in information storage… The picture readily enlarges itself to a network of such centers, connected to one another by wide-band communication lines and to individual users by least-wire services.’ (Licklinder 1960)

In fact some twenty-five years earlier, Vannevar Bush had suggested: ‘…instruments are at hand which, if properly developed, will give access to and command over the inherited knowledge of the ages.’ (Bush 1945)

There were of course some who dismissed the successful launch of Sputnik 1 as a fluke—for after all it was merely 58 cm in diameter and weighed only 83.6 kg. But any condescension could not last long as four weeks later, the Russians placed Laika the dog in orbit. The pressure continued to mount when on 12th April 1961 the Russians achieved another remarkable first by placing cosmonaut Yuri Gagarin in orbit and subsequently returning him safely home. It was not simply a matter of U.S. national pride being at stake—the Soviets now had the clear capability of launching a pre-emptive nuclear strike against America. In this vein, a study paper produced by the RAND Corporation in 1960 opens: ‘The cloud-of-doom attitude that nuclear war spells the end of the earth is slowly lifting from the minds of many. Better quantitative estimates of post-attack destruction of the alternatives may mark the end of the ‘what the hell—what’s the use?’ era. A new view emerges: the possibility of a war exists but there is much that can be done to minimise the consequences. If war does not mean the end of the earth in a black and white manner, then it follows that we should do those things that make the shade of grey as light as possible: to plan now to minimise potential destruction and to do all those things necessary to permit the survivors of the holocaust to shuck their ashes and reconstruct the economy swiftly.’ (Baran 1960)

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The author (Paul Baran) goes on to discuss various device interconnection topologies able to support distributed organisation and redundancy scenarios which attempted to minimise voice communication vulnerability. Consider for example a set of devices (nodes) which are individually connected to a central hub. In order for any two devices to communicate, their messages must be routed through the hub and should the hub fail, communication between nodes becomes impossible. In contrast, Baran sought to introduce redundancy by providing different routes over which communications could pass between nodes and through distributed control, such that the nodes themselves could mediate in the routing of communications (thereby eliminating the vulnerability inherent in centralised control). Naturally Baran’s work in respect of minimising the vulnerability of voice communications to a nuclear strike also offered to increase the capabilities of the U.S. military to launch a retaliatory nuclear attack (by enabling the successful transmission of launch instructions). However, it would seem that whilst the work of the RAND corporation was intended to support military objectives, the IPTO (mentioned above) was primarily concerned with facilitating communications and sharing resources between researchers—see, for example, Cohen-Almagor (2011). These two areas of study were complementary in the development of the early Internet, as both sought the elimination of centralised control and supported the creation of multiple routes between source and destination. A further important ingredient in the evolution of the Internet relates to the manner in which a sender’s message passes over a network to its destination. In the case of ‘circuit switching’, a dedicated path is established (which may encompass intermediate nodes) and the message is passed in its entirety. Alternatively, in the case of the ‘message switching’ approach, the sending node chooses the first available intermediate node to which it transmits the message together with destination information. On arrival at the intermediate node, this is stored whilst the node looks for the next available node to which it will send the message with the intention of getting it to its ultimate destination. The process is repeated at other intermediate nodes until the message finally reaches the intended recipient (this is also referred to as a ‘store and forward’ technique). However, there are clearly two key weaknesses of the approach. Firstly, long messages may exceed the storage (buffering) capabilities of intermediate nodes, and secondly the transmission of long messages can result in non-equitable sharing of network capabilities. ‘Packet switching’ is an alternative approach which addresses the shortcomings of both circuit and message switching. In brief, messages are broken up into smaller pieces which are called ‘packets’ (naturally if the message size is less than that of a packet, this fragmentation would not apply), and to each of these various metadata is appended (which includes the address of the intended recipient). The packets are then individually sent over the network—with intermediate nodes being responsible for determining the next step in each packet’s journey (i.e. the next node to which a packet will be sent). Packets that are derived from the same message may well travel by different routes to their common destination. This in turn means that they may arrive out of order, and it is up to the recipient to use information associated with the packets to correctly reassemble them.

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Pioneering research in this area dates back to the first half of the 1960s and involved, for example, Paul Baran (mentioned above) at the RAND Corporation, Leonard Kleinrock at MIT and subsequently, Donald Davies at the UK’s National Physical Laboratory—who it appears coined the term ‘packet’ (Cohen-Almagor 2011). In 1965 two geographically remote computers were linked via a low speed telephone connection and successfully demonstrated the feasibility of packet-based wide-area networking for inter-computer communication (Leiner et al. 2009). This relatively simple exercise formed a basis for work which was to have a profound and long-lasting impact. Indeed the foundations of today’s Internet are based on the development and growth of ARPANET (Advanced Research Projects Agency Network) and other large-scale packet switching networks. ARPANET came into operation late in 1969 and connected computers located at four U.S. institutes (UCLA, SRI, UCSB and the University of Utah), with each machine running a different operating system. This formed the basis for rapid developments and denoted a time of dynamic pioneering activity: ‘There were no barriers, secrets or proprietary content. Indeed, this free, open culture was critical to the development of new technologies and shaped the future of the Internet.’ (Cohen-Almagor 2011)

The author goes on to add that the directors of the IPTO adopted a refreshing approach and allowed: ‘…considerable freedom and flexibility in research. They imposed minimal requirements in terms of progress reports, meetings, site visits, oversight and other bureaucratic mechanisms that are so prevalent in many organisations.’

Such conditions are of course vital in promoting rapid, bold, and innovative advances and within sixteen months the network had grown to incorporate more than ten institutions and some two thousand users. But that was only the start in the expansion of ‘Internetworking’, and by 1973 the network had reached out to the UK and Norway. Basic communication applications had also been developed such as FTP (file transfer program) and TALK (which enabled users to communicate via text in real time). TCP/IP (Transmission Control Protocol/Internet Protocol) was a major ingredient in enabling progress, and quickly gained favour in permitting multiple network architectures to be unified thereby allowing Internetworking to be implemented on a global scale (the term ‘Internet’ was coined in 1974 by the architects of TCP/IP (Vint Cerf and Robert Kahn). In brief, TCP is responsible for breaking data into packets prior to transmission, numbering them, supporting their reassembly at the destination and checking for transmission errors. In contrast, IP performs lower level functions needed to route packets through to their final destination. Email was quick to take off amongst the scientific community (it was introduced in 1972 (Leiner et al. 2009)) and became ever more popular as the Internet expanded. An open architecture philosophy was a central tenet of this growth.

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In contrast, many companies strove to develop proprietary local area networks (i.e. networks which conformed only to their own standards), thereby allowing them to directly control the products which could be attached to the network. But in the event this introverted approach didn’t prevent proprietary networks from being connected to the Internet. For example, in the 1980s there was considerable debate as to the relative merits of Ethernet and Token Passing approaches. In the case of the former there is the possibility of a ‘collision’ (which occurs when two devices transmit simultaneously—resulting in garbled transmission). In contrast in the case of token passing, devices are connected in a ring topology and a ‘token’ is passed from one machine to the next. If a machine wishes to send a message, it must first grab the token, thereby preventing any other simultaneous transmission. Suffice to say that from the perspective of the Internet, the open architecture approach transcended commercially-centred protectionism and the use of different local area networking paradigms—quite different local area networks could be interconnected (e.g. Ethernet and Token Ring):

5.2.2 Spinning the Web ‘It often happens, with regard to new inventions, that one part of the general public finds them useless and another part finds them to be impossible. When it becomes clear that the possibility and the usefulness can no longer be denied, most agree that the whole thing was fairly easy to discover and that they knew about it all along.’6

Throughout the 1980s the Internet continued to grow in both scale and usage. However, although it offered unprecedented levels of interconnectivity, resource sharing, and electronic communications, content remained fragmented. But this was soon to change. Tim Berners-Lee (who at that time was a researcher at CERN) had the vision of linking information to create a global information space (see Berners-Lee 2000). It was a vision that came at exactly the right time. Underpinning the operation of a Web browser interface three fundamental ingredients were needed. Firstly, Uniform Resource Locators (URLs which as the name implies provide the information needed to locate a particular resource), secondly Hypertext Transfer Protocol (HTTP which defines the protocol used to communicate between browser and server), and thirdly Hypertext Markup Language (HTML which is used in the creation of Web pages and defines how a web page will appear in a browser). Armed with these key ingredients Hyperlinks enable users to seamlessly switch between content within a single unified multimedia domain. But some years were to pass before the World Wide Web became omnipresent: ‘The mid-1990s were the years when the Internet established itself as the focal point for communications, information and business.’ (Cohen-Almagor 2011)

A. N., Edelcrantz, ‘Treatise on Telegraphs’, (1796).

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And the commercial sector rapidly embraced the opportunities offered by the uncharted regions of cyberspace. It seemed that this was a land filled with riches ready for the taking—a 20th century embodiment of the California gold rush began. Entrepreneurs were quick to set up online business ventures—sure in the knowledge that they possibly couldn’t fail… In the event the rate of growth was unsustainable, and in 2000 the ‘dot-com’ bubble burst. For a while the good times were over. In reality, successfully capitalising on the commercial opportunities offered by the Web can be far from easy. Naturally the most straightforward approach is to use its capabilities to support low cost (customised) advertising to market and sell third party products. This has had a major impact on traditional retail outlets and whilst companies such as Amazon have thrived, others have floundered amid intense competition. In contrast ventures that focus on supplying services such as email, social media facilities, and various forms of entertainment face an important challenge—users simply don’t want to pay! Even the need to make a nominal payment invariably drives today’s users away from websites. The expectation that facilities and content should be freely available pervades Internet usage and as we have previously remarked, it would seem that as long as no physical payment is required we will agree to the terms and conditions of any End User Licence Agreement—without even glancing at its content (recall Sect. 3.4). Perhaps in the context of our everyday (physical) lives we would all agree with the old notion that there is no such thing as a ‘free meal’—invariably there is a price to be paid. However, relatively few Internet users appear to appreciate that this same adage also applies to our online activities.

5.2.3 Internet: From ‘Things’ to ‘Everything’ In Fig. 5.2 we illustrate seven of the Internet’s general facets—the upper three (outlined in red) being particularly relevant to this section. As discussed shortly, the IoT and IoP are assumed to be incorporated within the framework of the ‘Internet of Everything’—this being a title which is often adopted in publications and by the media. As we have seen, communications and information sharing/retrieval (coupled with computer resource sharing) were fundamental motivations in the development of early networks. The creation of the World Wide Web unlocked great opportunities in business and entertainment. In parallel, from government and commercial perspectives the pervasive growth of the Internet has provided an unparalleled opportunity for the harvesting of vast amounts of end-user data—ambitions, interests, friends, feelings, frustrations, medical conditions, successes, failures, ages, salaries, travel arrangements, reading/viewing preferences, loves and losses, to name but some—they are all revealed in our digital footprint. And now we are witnessing the beginnings of the growth of the Internet of Things (IoT), in which appliances, devices, sensors, machines, and a multitude of other entities are going online—at least if the commercial world has its way.

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305 Internet of Everything Internet of People (IoP) Internet of Things (IoT)

Internet of Data (IoD) Internet of Entertainment (IoE) Internet of Business (IoB) Internet of Communications (IoC) Internet of Information (IoI)

Fig. 5.2 Here we summarise a number of facets of the Internet. As we have seen, information sharing and communications represented the initial focus of Internet development. Subsequently these were joined by commercial activity and entertainment. The IoD, IoT and IoP are of particular importance in our discussions. As indicated in the diagram, the IoT and IoP are assumed to be incorporated within the somewhat grandiose framework of the Internet of Everything.

Consider the case of IoT devices which are intended for personal use and which include domestic appliances, health and fitness sensors, etc. These can be conveniently interrogated and controlled by their owner’s smart phone—but in order to be adopted for long-term use (as opposed to short-term novelty), they must satisfy a number of general conditions (see Fig. 5.3). First and foremost in respect of their purpose, IoT-based devices should offer clearly defined benefits relating to, for example, new (and distinctly advantageous) practical opportunities, a reduction in effort, or the freeing up of a user’s time. However as the number of personally owned IoT devices increases there is a need to avoid a situation in which a user is left to navigate a plurality of non-intuitive and potentially frustrating interaction interfaces (given such a scenario, it is likely that devices would soon be left unused). But even in the case that a single well-designed interface is able to support interaction with multiple devices, the user remains responsible for orchestrating ‘command and control’ operations. Whilst the scenario outlined in the previous paragraph may provide a user with new opportunities, any increases in convenience are likely to be offset by the time taken up in effecting interaction. However, as suggested in Fig. 5.3 the IoT offers more interesting opportunities by allowing devices to operate in autonomous or semi-autonomous modes. Consider the hypothetical case of a domestic system which is intended to ensure that when Albert (recall his introduction in Sect. 2.2.1) returns home from work, the heating system has been turned on, peaceful music is playing, coffee is ready to drink, and food has been heated. If we assume the first of the two scenarios outlined above, then as he travels home Albert will interact with, and activate, the various appliances via his smartphone (the ‘command and control’ approach). Alternatively, on the basis of ‘intelligent’ inter-device communication, the system may operate so as to endeavour to predict Albert’s needs and seamlessly operate without necessarily requiring his input. On the basis of tracking information

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Integrated interface

Maximisation of simplicity

Command and control scenario

Integrated interface

Autonomous or Semi autonomous

Semi-immersive scenario

Effort reduction New opportunities

Purpose + Benefit

Fig. 5.3 In order to be adopted for long term use, IoT devices which are intended for personal use must satisfy a number of conditions. Here we identify two general scenarios—referred to as the ‘command and control’ and ‘semi-immersive’ scenarios. See text for discussion.

derived from his smartphone, the time at which Albert leaves work is known and his progress in navigating the rush-hour traffic is also monitored. Device activation can therefore be suitably adjusted to take into account changing conditions, and Albert’s only input in orchestrating the proceedings may be to indicate a preference for tea rather than coffee. But even this may be a decision that has already been made for him by the ‘system’ which has noted the number of coffees that he has already consumed during the day (through autonomous inter-device communication involving the coffee machines located in his place of work). Supporting data used in the decision may be provided by Albert’s health monitor (which has recently detected elevated blood pressure). Even this very simple example of device inter-communication and autonomy in decision-making demonstrates that the user is placed in a situation in which he/she becomes more closely associated with (or immersed in) the virtual world. There are those who extol the benefits that can be derived from a world of unparalleled interconnectivity. For example: ‘As smart devices start to work with us, and understand our social rules, we may increasingly see them as human like – a world filled with tools designed to be our friends… The opportunities are clear – new ways to do new things to help improve our lives, be it a home helper, a musical companion, a driving buddy or a fitness advisor.’ (McOwan and McCallum 2014)

And from this same article: ‘But we now have the ability to take this intelligence and embed it all over the place: a smart umbrella that beeps when you pass it in the hall and it knows it’s going to rain later… In our homes there needs to be a commercial need to build a fairy tale world of talking mirrors, singing kettles and sassy chatty wardrobes, and a wish from consumers to live in it.’

However, in terms of long term sustainability there is certainly a need to understand how people are likely to react to technologies proffering endless suggestions and

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advice. For some it may be Utopian, whilst for others it may bring to mind life under the shadow of a particularly intrusive mother in law… The ‘Internet of People’7 (recall Fig. 5.2) is underpinned by the blurring of boundaries between the physical and virtual environments, coupled with advancements in the communication and computational capabilities of the latter. The concept of the Internet of People was inspired by a need to address some of the weaknesses arising from the technology-centric focus which is often associated with the Internet of Things: ‘…the way IoT technologies are currently integrated with humans leaves much room for improvement. The technology has yet to develop suitable mechanisms to properly adapt to people’s context or mood. Instead far from making the technology work for people, people are forced to either change their context to fit technological requirements or be slavishly aware of the system so as to send it commands… In a more desirable IoT scenario, technology would take people’s context into account, learn from it, and take proactive steps according to their situation…’ (Miranda et al. 2015)

Given the growth of an ageing population coupled with ever more advanced (and costly) medical treatments, it would seem that current approaches to health care are unsustainable. For example, in the UK it was reported in 2016 that the average waiting time for an appointment with a General Practitioner (family doctor) was just under 13 days, with an expectation that this would continue to increase significantly in the coming years: ‘…demand for access continues to escalate. Fuelled by a mixture of an ageing population, the survival of people with multiple complex problems, the demise of social care and unrealistic expectations fuelled by the government.’ (Kaffash 2016)

IoT-based systems are beginning to provide significant opportunities to ameliorate this problem: ‘…medical sensors will soon be available that can be swallowed by a patient to monitor their medical intake to ensure they are sticking to their treatment plan. GP’s and Carers will be able to remotely monitor their patents, and undertake the appropriate interventions without the need for hospitalisation… this type of innovation could have a fundamental impact on the relationship we have with our healthcare service.’ (Suddards 2017)

Furthermore, patients who would be traditionally hospitalised for significant periods of time can now be continually monitored whilst in their homes and elsewhere. Data gathered from medical sensors fitted to the patient can simply be streamed to the appropriate hospital department, used to monitor medical conditions and suggest changes in medications and/or dosage. The continued growth of such applications offers tremendous benefits not only to the patient but also in terms of financial savings. However, as we consider our enhanced integration with an ever more sophisticated virtual world, potential benefits can be eroded. Certainly there is much to be 7

Also referred to as the Internet of Persons and the Internet of Humans.

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said in favour of proactive rather than reactive healthcare. Talking about the way in which his daughter may view health and wellbeing in the future, Suddards (2017) speculates: ‘I can foresee wearable sensors becoming [an] integral part of her daily life…She’ll be monitoring multiple aspects of her inner workings, to make sure she’s being active enough, balancing her diet for optimum health benefits, stress-level and general emotional well being.’

On the other hand, a senior staff member at Stroud High School, UK which in 2017 introduced stringent rules in relation to pupil use of mobile phones is reported to have indicated: ‘I personally don’t think that fit and healthy young women in an environment like this need to be counting every step. The number of Fitbits and smart watches on young women with perfectly normal body shapes is quite alarming. I don’t know why people have this obsession for monitoring every breath they’re taking.’ (Morris 2017)

Two views reflecting quite different perspectives. Certainly from a logical point of view, the automatic acquisition and processing of health and wellbeing data provides an opportunity to implement proactive medical care in which possible health problems are detected at a very early stage. On the other hand this type of approach may lead to continual introspection and obsessive behaviours which have the potential to promote a state of hypochondria. In addition this type of application raises a number privacy issues: ‘Consider medical monitoring devices and the information they accumulate. Should your personal health information be shared when the Centers for Disease Control want to track a potential epidemic? When biomedical researchers want to model potential treatment strategies on a richer data set? When an employer is considering you for a job?’ (Berman and Cerf 2017)

For related discussion see OTU Activity 5.2. Returning to the simple example provided above concerning Albert’s return home after a tedious day’s work at Cowboy Educational Services, it is evident that we have only to make some small adjustments and Albert could become subservient to autonomous decisions made by the various technological systems. For example, we assumed that a technology-based decision was made to put to one side his preference for strong coffee and prepare tea for him in its stead. This could be justified not only as being in his best interests (given his elevated blood pressure) but also for the good of society (assuming that the cost of medical care comes from general taxation). Whilst this is a fairly trivial example, it highlights that the emergence of an unfettered and ubiquitous Internet of People has the potential to exercise extensive control of human activity/decision-making. Furthermore, and most importantly, as with other areas of Internet development, the Internet of People will not suddenly materialise—but will gradually evolve. People adapt to slow gradual change, particularly when the impact is barely noticed. And even when justification is necessary, relatively few of us examine the bigger picture. We listen to explanations and

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accept reasoned argument. It’s only when we consciously look back over the months and years that we are able to see the consequences of compounded change, and in respect of the Internet of People, the consequences of unfettered commercial development could be profound.

As previously indicated (recall Fig. 5.2 and associated discussion), in academic publications and in the media, the title ‘Internet of Everything’ (IoE) is being used with greater frequency in relation to the natural evolution of the Internet of People and Internet of Things. A publication by Cisco defines the IoE as: ‘…the networked connection of people, process, data, and things. The benefit of the IoE is derived from the compound impact of connecting people, process, data and things, and the value this increased connectedness creates as “everything” comes online.’ (Cisco 2013)

The authors go on to distinguish between the IoT and IoE in the following way: ‘By comparison, the “Internet of Things” (IoT) refers simply to the networked connection of physical objects (doesn’t include the “people” and “process” components of the IoE). IoT is a single technology transition, while IoE comprises many technology transitions (including IoT).’

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In the case of many recent areas of technological research and development, reality has seldom matched the expectations promoted by commercial organisations and the media. The Internet of Things is no exception: ‘On Gartner’s Hype Cycle of Emerging Technologies, The Internet of Things (IoT) reached peak hype in November 2015. The buzzword holds tremendous promise, but it’s about to enter the Trough of Disillusionment.’ (Snyder and Byrd 2017)

Thus whilst the IoT has failed (so far) to meet media and marketing-based expectations (such as heralding (in its own right) the Fourth Industrial Revolution), this has not detracted from the hype that is being directed towards the IoE—which reflects even greater ambitions. For example, a 2016 market insight report ‘Research and Markets’ suggests that: ‘The global Internet of Everything (IoE) market is a very competitive market and it is estimated to reach $23.97 trillion by 2020.’ (Business Wire 2016)

In comparison, the 2013 Cisco publication (referred to above) estimated a value of $19 trillion. Cisco also suggest that: ‘…99.4 percent of physical objects that may one day be part of the Internet of everything are still unconnected.’

The notion of this vast web of interconnectivity embracing people-to-people, machine-to-people, people-to-machine, and machine-to-machine communication (this latter scenario enables autonomous operation and thereby offers considerable advantageous and disadvantageous possibilities) parallels an equally grandiose vision dating back to 1963: ‘The first recorded description of the social interactions that could be enabled through networking was a series of memos written by J.C.R Licklinder of MIT in August 1962 discussing his “Galactic Network” concept.’ (Leiner et al. 2009)

Certainly, from the perspective of evangelists and key commercial stakeholders, the IoE is viewed with great optimism: ‘More than perhaps any technological advance since the dawn of the Internet, the Internet of Everything holds tremendous potential for helping public-sector leaders address their many challenges, including the gap separating citizen expectations and what governments are actually delivering.’ (Cisco 2013)

However, brief examination of the suggested areas of application for the IoT which are predicted to: ‘…constitute 86 percent of the total…Value at Stake for the public sector over the next 10 years’ (Cisco 2013) reveals that ‘connected militarized defence’ is placed second on the list (the highest area being employee productivity). In general terms, the notion of an Internet of Everything is inextricably linked to the concept of Smart Cities. However, in times of economic depression, regional authorities must put forth very sound arguments when justifying major

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infrastructure expenditure. Invariably these centre on the continual quest for enhanced efficiencies and projections of the ensuing cost savings (which in practice are seldom, if ever, realised). At the end of the day, when considering the Internet of Everything we are not simply talking about benign devices that will enhance the quality of life for the majority, but rather a level of interconnectivity which (when backed with AI, ubiquitous sensor technologies, and autonomous decision making) has the potential to have a profound ethically related impact on society. The effect may be chillingly claustrophobic. For related discussion see OTU Activity 5.3 and 5.4.

5.2.4 Security: Opening Pandora’s Box Security considerations are not always paramount in the design and deployment of IoT devices (such as those intended for domestic use) and so IoT expansion is already causing various security headaches. For example, consider the release of the Mirai malware in September 2016 which caused a significant disruption of Internet services. Mirai acts in a predatory way by seeking out vulnerable IoT devices which it infects and in doing so conscripts them into a botnet (such that all devices (bots) comprising the botnet can be centrally controlled). Once a botnet is in place, it can be used to mount a distributed denial of service (DDoS) attack against a given target —to which an overwhelming volume of traffic is directed. This traffic does not come from a single (and readily identifiable) source, but rather from potentially large numbers of dispersed bots.

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Undoubtedly IoT devices will give rise to new security challenges, and given their ever-increasing proliferation, solutions must encompass centralised security management systems which recognise the potential for seemingly innocuous (and largely unnoticed) IoT devices to compromise an organisation’s security. Indeed, the fact that so many IoT devices are designed to operate automatically and without regular human intervention exacerbates their vulnerability to botnet conscription.

In recent years the security of personal computers has received a great deal of attention. Antivirus security warnings often form a first line of defence. In the case of some forms of successful attack, we may notice reduced performance and/or computer malfunction. In the latter scenario we may also receive a malware message demanding a ransom payment. In contrast, once an IoT device such as a webcam is installed, its presence may well attract little conscious attention. As long as the device continues to operate, the presence of malware may pass unnoticed. Even in the case that we do detect some degradation in performance, this may simply be attributed to variations in network traffic. IoT security issues are exacerbated by poor design practice in which device security is considered as an afterthought rather than as an overarching facet of the design process. For example, during IoT installation/setup, a user may not be forced to change the default password. This can be readily exploited by malware—not only to create DDoS attacks but also to gain access to potentially private/sensitive data that is acquired by the device. For example, the U.S. GAO (Government Accountability Office 2017) warns that: ‘The IoT brings the risks inherent in potentially unsecured information technology systems into homes, factories, and communities. IoT devices, networks, or the cloud servers where they store data can be compromised in a cyberattack. For example, in 2016, hundreds of thousands of weakly-secured IoT devices were accessed and hacked, disrupting traffic on the Internet.’

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And: ‘Smart devices that monitor public spaces may collect information about individuals without their knowledge or consent. For example, fitness trackers link the data they collect to online user accounts, which generally include personally identifiable information, such as names, email addresses, and dates of birth. Such information could be used in ways that the consumer did not anticipate. For example, that data could be sold to companies to target consumers with advertising or to determine insurance rates.’

And as Tarzey (2017) quite rightly observes: ‘Any organisation that believes it will not be impacted by the risks associated with IoT security has its head in the sand.’

It is also important to bear in mind that in the case of IoT devices cyberattacks are not limited to data theft, data corruption, and the like. IoT devices may include hardware systems used on factory production lines (including robots), in hospitals, laboratories, and the like. In such situations, a cyber attack can be used to cause physical damage to plant, people, and the environment. With the development of increasingly sophisticated attacks, it is therefore prudent to assume that any device which is connected to the Internet (either directly or indirectly) is potentially at risk —a point which brings to mind the following lyrics: ‘“I saved you,” cried the woman “And you’ve bitten me, but why? You know your bite is poisonous and now I’m going to die” “Oh shut up, silly woman” said the reptile with a grin “You knew damn well I was a snake before you took me in”’8

5.3

Internet Censorship ‘Who controls the past controls the future: who controls the present controls the past.’9

In previous chapters we have briefly considered the nature of ethically based values together with the importance of privacy and its role in supporting individual and collective freedoms. These crucial ingredients to our everyday lives are often underpinned by complicated considerations and tend to provoke polarised debate. Thus as we have seen, in the case of privacy a CEO of Sun Microsystems suggested in a dismissive manner, ‘You have zero privacy anyway. Get over it.’ In contrast, seemingly endless numbers of scholars will passionately argue about the pivotal importance of studiously defending privacy. In parallel, throughout history many farsighted people living under despotic or dictatorial governments have risked their lives to fight for privacy rights—for the ‘right to be left alone’; for the right to live in freedom. 8

The Snake, Robert S. Kelly and Darian Morgan. Orwell (1949).

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In this section we turn our attention to censorship and lay foundations by examining the nature of censorship and aspects of its role in our physical lives. Subsequently we focus on the important subject of Internet censorship. As with discussion relating to privacy values, censorship (in its various forms) also tends to attract polarised and heated debate. For some, all forms of censorship should be cast to one side: censorship can never be justified. In contrast, others believe that some aspects of human activity/behaviour should be subject to censorship, and at the far end of the spectrum some believe in the imposition of extensive censorship. With this in mind, before reading on it may be helpful to take a look at OTU Activity 5.5. In addition to considering the rights and wrongs of censorship, it’s also necessary to question whether or not censorship actually works. Unfortunately given its multifaceted nature and wide ranging areas of application, there’s no simple answer. However, let’s lay some general foundations by briefly considering in the following subsections two indicative examples.

5.3.1 Lady Chatterley Goes on Trial ‘Perhaps only people who are capable of real togetherness have that look of being alone in the universe. The others have a certain stickiness, they stick to the mass.’10

In 1928 D. H. Lawrence wrote a novel entitled ‘Lady Chatterley’s Lover’, and in 1960 the book publisher Penguin prepared to release the work in the UK in cheap paperback form. Despite the passage into law of a new (and more liberal) Obscene Publications Act in 1959, the government moved to censor the book. For the author this was by no means a new experience as in 1915 all copies of his book, ‘The Rainbow’, had been collected by the UK police and destroyed (not only on the basis of sexual content but also because of its anti-WWI message). In October 1960, a high profile trial opened at the Old Bailey in London. This was seen by many as representing a contest between the traditional establishment and the corrupting influences of those intent on casting long-held British traditions to one side. Mr Griffith-Jones represented the Crown and fought a desperate battle —but clearly failed to appreciate that he was living in an era which would herald so much change across practically every aspect of society. Speaking to the jury he enquired: ‘Would you approve of your young sons, young daughters – because girls can read as well as boys – reading this book? Is it a book that you would have lying around in your own house? Is it a book that you would even wish your wife or your servants to read?’

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Lawrence (2001).

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Perhaps in some way he was reflecting on his own personal ethical values which had inspired his courage in WWII (for which he had been awarded the Military Cross)—but these were not the words that would have appealed to a new generation. In his book, Lawrence tells the story of a titled woman whose husband was wounded in WWI and left semi-paralysed. Her tempestuous affair with the estate’s gamekeeper was perceived as breaking society’s moral expectations. Consequently this was not simply a trial that sought to censor a book on the basis of its perceived obscene content, but embraced broader issues which linked to an entrenched class system and double standards in behaviour. Despite best efforts the government’s attempt to censor the work not only failed, but seriously backfired: ‘No other jury verdict in British history has had such a deep social impact. Over the next three months Penguin sold 3m [million] copies of the book – an example of what many years later was described as “the Spycatcher effect”, by which the attempt to suppress a book through unsuccessful litigation serves only to promote huge sales.’ (Robertson 2010)

For further general discussion, see, for example, Panter-Downes (1960) and Walsh (2006).

5.3.2 Diy Explosives Since the trial outlined above, there have been a number of other efforts in the UK to impose censorship on fiction, and in the event they have represented a triumph for liberalism—so much so that it is now almost impossible to imagine (in many western countries) content that could push the boundaries of explicit writing any further. In contrast moves to increase the censorship of Internet content are now attracting growing government and media attention. For example, given the recent spate of terrorist attacks involving explosives, it’s natural to question the

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accessibility of websites which provide technical information that may help in the construction of suicide bombs and other infernal devices. Censorship may be achieved (in theory) by website removal or by making it illegal to access such sites. However, neither of these scenarios is likely to be particularly effective in reducing related terrorist activity. This is not only because the suppression of Internet-based content is by no means easy, but also because the Internet doesn’t represent the only readily accessible source of information. With this in mind, I briefly broke off writing so as to retrieve an appropriate volume of the Encyclopaedia Britannica from a nearby bookshelf. This particular series was published in the 19th century and often provides a wealth of useful in-depth historic content. The only problem is that these heavy tomes have a perspicacity to collect great volumes of dust… Within moments I have located six pages devoted to explosives and whilst the content is dated, the basic principles remain unchanged: ‘…Fulminate of mercury is produced by adding alcohol under careful precautions to a solution of mercury in…; a grey crystalline precipitate is obtained…its power even in very small quantities…’11

Of course much more recent books and technical publications abound and so even without the Internet the information remains readily available. Furthermore, those of ill-intent could also gain the necessary skills by enrolment in university degree programmes in subjects such as physics and chemical engineering. Those living in troubled parts of the world wouldn’t even necessarily need to undergo the background checks required to relocate to countries such as the UK because western universities are rushing to attract student fees by establishing satellite campuses overseas—seemingly without undue consideration of the ramifications that are potentially associated with education in certain disciplines. Certainly, victims of terrorist explosions and their families must be deeply angered when they view websites that may have provided perpetrators with the skills needed for their misguided attacks. But with the above thoughts in mind, it would seem that the censorship of such sites will have little if any real effect.

5.3.3 Aspects of Censorship My first significant experience of broadly imposed censorship occurred some time ago. I was working overseas and as an academic member of a University Library Committee, found that library acquisitions were influenced by an extensive list of banned books. Much to my surprise the list included a number of titles which are classic works, such as ‘The Diary of Anne Frank’. This book records the daily history of a young girl (the diaries author) together with her family and describes their persecution (she began keeping the diary at the age of thirteen). As Jews, they were forced into hiding in Amsterdam during WWII but were ultimately betrayed 11

By removing words from this text, I note that I’m also imposing censorship…

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and deported. Anne died within the confines of the infamous Bergen-Belsen concentration camp in 1945. I have often wondered how a such a poignant work could be targeted for censorship and for exclusion from a university library. However as Anne writes in her diary with indomitable optimism: ‘I keep my ideals because in spite of everything I still believe that people are really good at heart……I don’t think of all the misery but of the beauty that still remains.’

Oxford Dictionaries define censorship in the following way: ‘The suppression or prohibition of parts of books, films, news, etc. that are considered obscene, politically unacceptable, or a threat to security.’

Alternatively, Mathiesen (2008) suggests that censorship is to: ‘…restrict or limit access to an expression, portion of an expression, or category of an expression, which has been made public by its author based on the belief that it will be a bad thing if people access the content of that expression.’

Given that censorship relates to ‘suppression’, ‘prohibition’, ‘restriction’, ‘limitation’, etc then by its very nature it represents a negative ethos. Furthermore, an overarching difficulty is that the imposition of censorship involves subjective decision-making on the part of the censor or censoring agency, and unfortunately history reveals numerous situations in which censorship has been used to support political agendas. Even within those countries which have the longest democratic traditions, the outbreak of military conflict is invariably accompanied by censorship of the media. As a result, censorship is often associated with the suppression of the truth, and has strong political associations. Censorship is usually considered in terms a process involving a government appointed censor or censoring agency which employs legal means to impose a restrictive measure on society. Mathiasen (quoted above) refers to the impact of censorship on ‘expression’—a term which she defines as: ‘…anything that may be composed by one person and communicated to another. This includes such things as speeches, personal communications, books, articles, compilations of data, art works, photographs and music.’

Censorship is often cited as representing an erosion of a fundamental human right to freedom of expression. In this sense it is viewed as negatively impacting on our ability to convey forms of creativity which go beyond accepted social norms. However in reality, censorship can operate at many different levels and can be justified (or apparently justified) for many different reasons. Thus whilst at one end of the spectrum censorship may be employed (and in some countries is frequently employed) to suppress controversial but meritorious expression, at the opposite end of the spectrum it may operate against those who seek to capitalise on human suffering and/or exploitation.

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In this book, we adopt the term ‘content’ rather than ‘expression’ when referring to a target of censorship. In doing so we recognise that censorship represents a ‘double edged sword’ which does not simply impinge on personal freedom of expression, but if used wisely can (under appropriate circumstances) promote freedom from exploitation—see, for example, OTU Activity 5.6. Figure 5.4(a) summarises three key factors relating to ‘externally imposed’ censorship. These refer to ‘what’ is to be censored (content), ‘why’ it should be censored, and ‘who’ is empowered to formulate these, and related, decisions. In addition there is a need to consider the mechanisms for enforcement and any sanctions which will be applied as a result of non-compliance. Whilst censorship is invariably linked to enforcement that is orchestrated by a censor or censoring agency, it’s useful to also consider situations in which the censoring process is self-imposed (or effectively self imposed)—see Fig. 5.4(b). Thus, by way of a simple example we may censor our actions and/or communications so as to fit in with or accommodate the expectations of those around us. This may involve censoring what we say so as to avoid causing offence, to conform to expectations within the workplace or to demonstrate ‘politically correct’ (socially expected) behaviour. It is evident that the self-imposition of censorship is usually (but not always) a result of our wish to conform to external pressures. By way of example, recall discussion in Sect. 2.3.1 concerning leadership styles and particularly the coercive approach. In meetings chaired by a bombastic and autocratic leader, attendees will often self-censor dissent. Heads nod in agreement with the Chair’s words, and the notion of freedom of expression is often put firmly on hold. As with externally imposed censorship, self-imposed censorship comprises a framework of restraint.

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Why?

Why?

Who?

What?

What?

External/Internal Influences

Sanction-driven enforcement (a)

(b)

Fig. 5.4 Censorship in our everyday (physical) lives. In (a) we summarise aspects of externally-imposed censorship. In this case conformance is enforced (e.g. by destruction of content, or legal requirements). Diagram (b) focused self-imposed censorship—although we acknowledge that real or perceived external factors are likely to influence behaviour. See text for discussion.

A key point to note is that in our everyday (offline) lives, we seldom question such self-imposed censorship even though, by doing so, we are implicitly accepting limitations in our freedom of expression. In this context, it is worth briefly reflecting on ways in which our daily lives would change if we were to cast self-imposed censorship to one side—a physical world in which our freedom of expression is unbounded. Interestingly, whilst we generally accept physical world restrictions in our communication of content to others (here we continue to use ‘content’ in the broad sense indicated above) without question, when it comes to cyberspace, many people take quite a different stance.

5.3.4 From free Expression to Repression ‘Erroneous thought is the stuff of freedom.’12

The widespread belief in an Internet unfettered by the yoke of censorship is strongly founded on the aspirations of those who undertook pioneering work in its development. The concept of a global communications and information ‘super highway’ which is freely accessible to all and which transcends national borders was, and continues to be, a great vision. Surely freedom in communication and in the sharing of our ideas, thoughts, aspirations, and knowledge will gradually erode the national, cultural and religious differences which have, for millennia, underpinned persecution and conflict—unless of course such pervasive divisions flourish in cyberspace. 12

Orwell (1949).

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The great vision of Internet freedom is fundamentally based on the principle of a global Internet operating outside the control of governments and overly powerful commercial organisations. And with the dawn of the 21st century, it seemed that perhaps the ever-expanding Internet would indeed herald a new era of human enlightenment in which, irrespective of race, creed, gender, disability, or wealth, people would be empowered with equal opportunities. Less than two decades later, there is evidence which suggests that this great vision of liberation and unity may be in danger of floundering—at least for the moment. Undoubtedly social media played a crucial role in the rapid growth of turbulent mass protests which underpinned the ‘Arab Spring’: ‘…[it] carried the promise that social media and the Internet were going to unleash a new wave of positive social change…Activists were able to organise and mobilize in 2011 partly because authoritarian governments didn’t yet understand very much about how to use social media.’ (Hempel 2016)

Although commentators have since suggested that the role played by social media has been over-stated, there can be little doubt that it was an important ingredient. For example, a University of Washington study indicates: ‘Our evidence suggests that social media carried a cascade of messages about freedom and democracy across North Africa and the Middle East, and helped raise expectations for the success of political uprising… people throughout the region were drawn into an extended conversation about social uprising…it helped create discussion across the region.’ (O’Donnell 2011)

Social media continues to provide an important means of bringing people together in mass demonstration against government conduct and policy. However, all too often these highly charged and seemingly spontaneous outbursts have little real effect: ‘This muted effect is not because social media isn’t good at what it does, but in a way, because it’s very good at what it does. Digital tools make it much easier to build up movements quickly…but it often results in unanticipated consequences. Before the Internet, the tedious work of organising what was required to circumvent censorship… helped build up an infrastructure for decision making and strategies for sustaining momentum. Now movements can rush past that step, often to their own detriment.’ (Tufekci 2014)

It has also become apparent that social media and other Internet-based techniques cannot only be used in an attempt to effect political change, but can equally be used by governments to manipulate, censor, and ruthlessly suppress dissent: ‘Social media, it turns out, was not a new path to democracy, but merely a tool. And for a few months, only the young and the idealistic knew how it worked.’ (Hempel 2016)

Following riots in the UK in 2011, it was reported that social media was being used by rioters and looters to organize and strategize their activities. This provided opportunities to outmanoeuver police efforts to restore order. Subsequently, Prime Minister David Cameron informed Parliament:

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‘Everyone watching these horrific actions will be struck by how they were organized via social media. Free flow of information can be used for good. But it can also be used for ill. And when people are using social media for violence we need to stop them. So we are working with the police, the intelligence services and industry to look at whether it would be right to stop people communicating via these Web sites and services when we know they are plotting violence, disorder and criminality.’ (Quoted in Pfanner 2011)

Naturally this catalysed considerable debate, and approximately two weeks later the government reluctantly put its proposal to one side. However, with the passage of a few years, the situation appears to have changed and in April 2019: ‘After the extinction Rebellion activist group threatened to disrupt the city’s [London] public transport network on Wednesday, Transport for London disabled wifi on the underground at the request of the British Transport Police.’ (Taylor et al. 2019)

And: ‘A British Transport Police (BTP) spokeswoman said: “In the interests of safety and to prevent and deter serious disruption to the London Underground network, BTP has taken the decision to restrict passenger Wi-Fi connectivity at Tube stations.”’ (Press Association 2019)

Disabling public communication networks provides a means of making it difficult for dissenting groups to organize in real time. This is a powerful tool which can be exploited by non-benign governments and/or democratically elected governments which become distanced from parts of a population. Although the use of this technique may have enabled the British Transport Police to deal with an immediate concern (controlling the actions of climate change protesters), it may have broader and more long-term ramifications by making it easier for some repressive governments to justify the use of the same approach. A comprehensive report dealing with global Internet freedom indicates that: ‘Internet freedom has declined for the sixth consecutive year, with more governments than ever before targeting social media and communication apps as a means of halting the rapid dissemination of information, particularly during antigovernment protests.’ (Freedom on the Net 2016)

For related discussion see OTU Activity 5.7. Table 5.1 provides an insight into the restrictions faced by a large percentage of the estimated 3.3 billion Internet users world-wide. In this context, it is necessary to bear in mind that: ‘The Internet is as much a tool for control, surveillance and commercial considerations as it is for empowerment.’ (Attributed to Professor R. Creemers, quoted in Denyer 2016.)

There can be little doubt that social media provides a perfect tool for rapidly spreading misinformation—for creating seemingly plausible narratives which target dissidents: ‘You can now create a narrative saying a democracy activist was a traitor or paedophile… The possibility of creating an alternative narrative is one people didn’t consider, and it turns out people in authoritarian regimes are quite good at it.’ (Attributed to Professor A. Applebaum and quoted in Hempel 2016)

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Table 5.1 Indicative risks run by an estimated 3.3 billion Internet users. (Adapted from Freedom on the Net 2016) Estimates of percentage of the 3.3 billion Internet users who must exercise self-censorship in exemplar online activities Located in countries in which criticism of government, military or ruling family has 67% been subject to censorship. Located in countries where computer technology users have been arrested or 60% imprisoned for posting material on political, religious or social issues. Located in countries where individuals have been attacked or killed for online activities 49% (since June 2015). Located in countries where online insults in respect of religion have led to censorship 47% or imprisonment. Located in countries where individuals have been arrested for making, sharing or liking 27% Facebook postings.

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In parallel censorship techniques are becoming increasingly sophisticated and enable governments to exercise control over access to content: ‘Drawing on arguments that are often powerful and compelling such as “securing intellectual property rights”, “protecting national security”, “preserving cultural norms and religious values”, and “shielding children from pornography and exploitation”, many states are implementing extensive filtering practices to curb the perceived lawlessness of the medium.’ (OpenNet Initiative Undated)

Most frequently, opposition to Internet censorship is based on the argument that accepting any form of censorship (even in connection with extreme content) sets a precedent which places us on a ‘slippery slope’, whereby more and more Internet content will ultimately become unavailable. In parallel, some believe that the introduction of Internet censorship in countries such as the UK will be used by authoritarian governments to justify the adoption of more draconian (and often politically inspired) censorship policies (recall OTU Activity 5.7). But in reality this argument is flawed as even in the absence of censorship the extensive Internet-based surveillance techniques that are used by UK and U.S. governments (to name but two) may well have eroded the moral authority of both countries in respect of providing credible ethically based Internet governance. ‘…Edward Snowden’s revelations about the scale of global surveillance conducted over the Internet by US intelligence agencies has been “the gift that keeps on giving” for China… undermining any pretence that anyone else was really playing by the rules or any western claims to the moral high ground.’ (Denyer 2016)

The unfortunate reality is that the vision of a global and unified Internet appears to be fracturing as a number of governments seek to gain national control over content and acquire ever greater surveillance powers. And at the time of writing it is apparent that China is leading the way in successfully achieving sovereignty over a significant chunk of cyberspace. China’s ‘Great Firewall’ (or ‘Golden Shield’) provides a powerful demonstration of the way in which content can be controlled in an effective manner. ‘…China’s Firewall is far more sophisticated and multi-tiered than a simple on-off switch. It is an attempt to bridge one of the country’s most powerful contradictions – to have an economy intricately connected to the outside world but a political culture closed off from such “Western values” as free speech and democracy.’ (Denyer 2016)

Although the Golden Shield is by no means new, it appears that it is increasingly becoming a model for adoption by a number of other countries. For example, in the case of Zimbabwe: ‘In January 2016, for example, the president announced that his government would engage the Chinese to help filter the internet and block social media. His announcement came shortly after the draft National Policy for Information and Communications Technology (ICT) was introduced that provides a framework for centralizing control over the country’s internet, which critics worry will establish a Chinese-style “Great Firewall” on Zimbabwe’s internet. The Computer Crime and Cybercrime Bill was also introduced in August 2016, which threatens to penalize social media criticism.’ (Freedom on the Net 2016)

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Recent developments in China appear to be targeting the control of loopholes via which users are able to penetrate the wall: ‘China has embarked on an Internet campaign that signals a profound shift in the way it thinks of online censorship. For years, the China government appeared content to use methods that kept the majority of people from reading or using material it did not like such as foreign news outlets, Facebook and Google. For the tech savvy or truly determined, experts say, China often tolerated a bit of wriggle room, leading to online users playing a cat-and-mouse game with censors for more than a decade. Now the authorities are targeting the very tools many people use to vault the Great Firewall.’ (Mozur 2017)

Thus virtual private networks (VPNs) are now a focus of attention. These allow users to circumvent censorship and gain full, and securely encrypted, international Internet access (although at the cost of reduced browsing speed). However, in July 2017, it was reported that Apple appeared to have acquiesced to pressure from the Chinese government by removing some VPN tools from its China app store. This led to criticism that the company had failed to raise ethical concerns regarding the Chinese governments crackdown on VPNs—whilst in contrast in 2016 in the U.S., the company took a strong stance against the FBI in defence of user privacy (Manjoo 2017, Mozur 2017). Despite the controls which have been put in place, the Internet in China is thriving and was reported to have some 688 million users in 2016. In the comprehensive report developed by Freedom House (which details censorship and other aspects of Internet usage in many countries), it is observed that: ‘The government has shut down access to entire communications systems in response to specific events, notably imposing a 10-month internet blackout in the Xinjiang Uyghur Autonomous Region - home to 22 million people - after ethnic violence in the regional capital, Urumqi, in 2009. Since then, authorities have enforced smaller-scale shutdowns, including in March 2016, when network disruptions were reported in western Sichuan province after a Tibetan woman set herself on fire and burned to death in an act of protest against Chinese rule of Tibet….In some cases, whole domain names or internet protocol (IP) addresses are blocked, with users receiving an explicit message about illegal content. Other interventions are less visible. For example, observers have documented unusually slow speeds that indicate deliberate throttling, which delays the loading of targeted sites and services. Authorities also use deep packet inspection (DPI) to scan both a user’s request for content and the results returned for any blacklisted keywords. Once these are detected, the technology signals both sides of the exchange to temporarily sever the connection… Returning fake pages, or replacing the requested site with content retrieved from an unrelated IP address using a technique known as DNS poisoning… Censorship decisions are arbitrary, opaque, and inconsistent, in part because so many individuals and processes are involved. Blacklists periodically leak online, but they are not officially published. There are no formal avenues for appeal. Criticism of censorship is itself censored…’ (Freedom on the Net 2016)

For related discussion see OTU Activity 5.8.

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5.3.5 Extremism and Technology ‘The sleep of reason brings forth monsters.13’

China is only one of a growing number of countries which have introduced significant levels of Internet censorship. In some cases this practice reflects cultural and religious diversity, and so doesn’t necessarily have a political dimension. Alternatively, in some countries censorship is fundamentally intended to support governmental authority by controlling the free flow of information thereby suppressing political dissent. And here lies a key difficulty: ‘political dissent’ can take on many forms. For example, at one end of the spectrum, there is legitimate moral dissent against the actions of politicians or government agencies (including corruption, oppression, and aggression), and at the other end of the spectrum lies extremist dissent (which may well involve the promotion of a morally destitute cause through the use of indiscriminate violence).

However, when we endeavour to provide a precise and accurate definition of extremism we can soon run into difficulties. Most usually, current references to the censorship of Internet-based materials which support/promote extremism are directed to content posted by violent terrorist groups with a key intention of promoting radicalisation. But without scrupulous checks and balances, the technologies and techniques that are currently being developed and deployed in order to combat such activity can be used just as effectively to suppress any other behaviours which are deemed to be of an ‘extremist’ nature. The Cambridge English Dictionary defines extremism as: ‘The fact of someone having beliefs that most people think are unreasonable and unacceptable.’

As for Oxford Dictionaries: ‘A person who holds extreme political or religious views especially one who advocates illegal, violent, or other extreme action.’ 13

Goya (1746–1829).

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In relation to the first of these definitions, it is important to bear in mind that history teaches us that many countries have often fallen under the influence of radicalisation (and continue to do so). Thus for example, when the Nazis came to power and promoted policies that created employment for so many, it is possible that the majority of the German population may have viewed the expression of anti-Nazi sentiment as unreasonable and unacceptable. On the basis of the first of the above definitions those voicing anti-Nazi sentiments would have been defined as extremists.. Other examples abound. Consider, for example, the Suffragettes who sought the right for women to vote in elections, and early trades unionists seeking basic rights for workers and the abolition of child labour. In the UK and other countries, such people were viewed as extremists (invariably being branded dangerous trouble-makers). But with hindsight there can be no doubt that they performed a vital role in the country’s political and social development. The second definition given above incorporates illegal or violent action and would for example embrace Guy Fawkes and his co-conspirators, who in 1605 sought to destroy the British parliament by means of 36 barrels of gunpowder (their extremism being intended to address grievances about Catholic persecution). Indeed on the basis of both definitions given above, Jesus would be deemed to be an extremist not only for the nature of his challenging teachings, but also for having on one occasion resorted violent action (also recall the comments made by Martin Luther King (OTU Activity 3.25) in relation to extremism). It is evident that condemnation of extremism often changes with time and that the breaking of laws (and even a degree of violence) may be set to one side in our evaluation of a ‘cause’. Further as previously discussed conformance to the law does not necessarily correlate to ethical behavior (for example, the racial laws in Nazi Germany and the racial segregation laws which existed for many years in countries such as South Africa and the U.S.). The UK government’s move to counter extremism through legislation has been the subject of considerable debate. In this context, extremism was defined as: ‘Vocal or active opposition to our fundamental values including democracy, the rule of law, individual liberty, mutual respect and tolerance of different faiths and beliefs.’ (Joint Committee on Human Rights 2016)

Reference to ‘our fundamental values’ naturally led to much heated discussion as it quickly became evident that such an ambiguous term could not form a basis for the development of a legal definition of extremism. In fact reference to ‘British values’ is by no means new as, for example, the introduction of a National Registration System and associated Identity Card distribution during the First World War was viewed by many as being fundamentally contrary to ‘British values’. Efforts to clarify the essence of this notion were aided by blatant government propaganda which promoted ‘British values’ as being in complete opposition to those of the German nation: ‘…the aspect of Germany that they chose to contrast was bureaucratic, especially “Prussian” bureaucracy, portrayed in popular culture as on the one hand frightfully efficient, and on the other a labyrinth of paperwork and a trial by petty officialdom.’ (Agar 2001)

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Amidst the jingoistic backdrop of wartime propaganda this was soon extended to the notion of ‘Prussification’ which was deemed to: ‘…encapsulate undue interference by government in everyday life.’ (Agar 2001)

The extent to which the UK government’s recent moves to curb extremism through censorship could be construed as representing ‘undue interference’ and hence ‘Prussification’ is a matter for debate! For loosely related discussion see OTU Activities 5.9 and 5.10. Table 5.2 presents summary information derived from a 2017 opinion poll in the UK involving 2004 respondents. This perhaps helps to demonstrate that although significant numbers of people may view a particular person as being extreme (and hence by definition an extremist), this cannot necessarily be viewed as a condemnation. Indeed some forms of extremism are vital for the healthy development of society. On the other hand, the effort to create legislation which is particularly targeted at curbing extremism has raised many concerns. For example, a headline in a Catholic newspaper reads: ‘Bishop of Shrewsbury: Christians could be Victims of New Anti-Extremism Strategy.’ (Catholic Herald 2017)

going to blow the airport sky high!’.

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And if taken at face value the survey results presented in Table 5.2 suggest that *28% of the UK population may potentially view Christians as followers of an extremist doctrine. Given the complex nature of the issues surrounding the definition of extremism and the positive attributes that may sometimes be associated with extremist behavior, it’s perhaps not surprising that the UK government’s legislation efforts have floundered. The death knell finally sounded when the House of Lords Joint Committee reported that: ‘In particular, the extent to which lack of “mutual respect and tolerance of different faiths and beliefs” could or should be deemed unlawful is likely to prove deeply contentious. Many people would argue that it is right to be intolerant of certain aspects of religious belief, for instance where religious belief is used to justify subservience of women… It is difficult to arrive at a more focused definition of extremism and it does not appear that the Government so far has been successful in arriving at one.’ (Joint Committee on Human Rights 2016)

Undoubtedly, the development of legislation and associated processes which are intended to curb extremism and radicalisation is fraught with difficulty, and in countries such as the UK may ultimately prove to be counterproductive. By way of example, consider problems faced by teachers in relation to the UK’s existing

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Table 5.2 Some summary results of a ComRes poll carried out for the Evangelical Alliance in July 2017. It’s reported that there were 2004 (adult) respondents. Here we summarize responses to the following question: ‘Would you describe the following figures as extreme?’ (Data source ComRes 2017) Person

Yes (%)

No (%)

Don’t Know (%)

Napoleon Bonaparte Jesus Martin Luther King Jr. Nelson Mandela Gandhi Dalai Lama

51 28 25 25 20 13

33 61 67 68 70 72

16 11 8 7 10 15

anti-extremism initiatives. In this context, teachers are required to record and, when judged necessary, report children that they deem to be at risk of radicalisation. In such situations, it’s natural for those involved to be overly cautious and sometimes over-zealous. For example in 2016: ‘Staff at a nursery school threatened to refer a four-year-old boy to a de-radicalisation programme after he drew pictures which they thought showed his father making a “cooker bomb”…The child’s drawing actually depicted his father cutting a cucumber with a knife… The issue comes against a backdrop of a debate about how schools and teachers are dealing with pressures of government anti-extremism initiatives, designed to stop British youngsters being lured by Islamic State propaganda.’ (Quinn 2016)

For related discussion see OTU Activity 5.11.

5.3.6 Imposition of Internet Censorship ‘The choice for mankind lay between happiness and freedom, and that, for the great bulk of mankind, happiness was better.’14

Naturally, the process of Internet censorship begins with the identification of target content. This may be text-based, audio, photographic, video or may pertain to live feeds. In addition content may be hosted on a single server or replicated across multiple servers located in numerous countries. Given the sheer scale of content which is accessible via the Internet and the daily growth of its extent, the quest for target content represents a daunting and never-ending task. Furthermore from the outset, governments must determine the agencies or companies who’ll be responsible for undertaking this potentially costly activity. The problem can be tackled in a number of different ways—four indicative approaches are summarised in Fig. 5.5 and are briefly discussed below:

14

Orwell (1949).

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1. Censoring Content at Source: In what may initially seem to be the most straightforward scenario, censorship is achieved by requesting/forcing the removal of targeted content. However, when considered from the perspective of content identification, matters become less straightforward. Who, for example should be responsible for policing content which has been uploaded to YouTube and Facebook? An increasingly prevalent approach is to force key Internet companies to undertake their own policing of content. Whether this is likely to prove effective remains to be seen. The use of automated systems for the location of text-based content which is deemed to warrant censorship is in itself a significant undertaking. However when we consider images and videos, matters become much more problematic and, for example, it is doubtful that automated systems will ever be truly able to differentiate between many aspects of pornography, erotica, and art. Furthermore in the case that this approach to censorship is automated, then it is evident that it could have significant ramifications in limiting freedoms in human creativity and hence artistic expression. When evaluating the ramifications of automated censorship techniques (and indeed censorship by non-skilled and often lowly paid workers), it’s necessary to consider not only the nature of the content, but also its use. By way of example, consider a journalist or academic researcher who builds up a portfolio of content relating to terrorist activity and which is intended to support his/her professional endeavours. If this material isn’t considered in context, then it may well be a target for censorship and so become inaccessible despite being intended for legitimate purposes. In the context of research activity, radical video and photographic materials posted on social media can be helpful in determining the location of atrocities, and may even be of help in the identification of perpetrators. Once deleted, this information is lost. In short, the ramifications of well-intentioned censorship are not always positive, and the process is far from straightforward. Censorship by search

Content

Censorship at source

Censorship applied to gaining access

Censorship applied to transmission

Fig. 5.5 Externally imposed censorship can be applied to ensure the removal or destruction of content, may seek to frustrate its location, may inhibit its transmission or may be used to prevent/deter user access. In the case of Internet-based content, this latter approach has potentially broader ramifications.

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2. Censoring Content Transmission: In this scenario, users may be prevented from gaining access to particular websites and so a government can, for example, prevent the transmission of content across its national borders. Alternative techniques include reducing access speeds to particular sites so as to cause significant inconvenience, or disrupting the transmission of content using techniques such as deep packet inspection.

3. Censoring Access: End-users are increasingly aware that their search activities are recorded and may become the subject of scrutiny. Consequently it’s possible to place the onus for censorship on end users by making it illegal to download particular content. The knowledge that accessing certain websites and/or simply searching for particular content may result in some form of sanction is a deterrent, and can lead to a person censoring his/her own activities. In the simplest scenario, efforts to access content which is deemed to be inappropriate may result in a major reduction in a user’s Internet access speed for a given period of time. Alternatively, harsher action may ensue. For related discussion see OTU Activity 5.12.

4. Censorship by Search: Several years ago Google’s search engine ‘autocomplete’ function met with considerable criticism. This was because of the strongly biased suggestions that were sometimes produced in response to the initial keywords entered by users. The ‘autocomplete’ function operates by producing algorithmically generated words which are based on a users past search activities

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and interests. Undoubtedly this can be convenient—but is open to misuse. Take the case that we begin to enter a search string which begins with the name of a politician or other well-known person. As we type, the system may throw up various possible suggestions of topics associated with the person. The top suggestions may relate to content which shows the person in a positive light—or otherwise. Clearly this can be used to enhance or erode the person’s credibility, and hence influence end-user perceptions. A danger is that this general approach can reinforce an individual’s prejudices and views by the continual development of the ‘systems’ perception of ‘what a user wants to hear’—in a manner akin to Amazon book suggestions. Thus information accessibility is manipulated and this may perhaps be viewed as a form of covert censorship. Unfortunately many users are unfamiliar with the techniques that are used to manipulate the ranking of the results that are presented when a search is carried out. Consequently when, for example, a user is considering making an online purchase he/she may view the highest ranked responses as representing the most reliable companies with which to do business—which is of course a fallacy. Ranking provides a further example of information manipulation—especially because many users seldom go beyond the fist page of search results. Naturally the content and ranking of search results can be subjected to political censorship but frequently they are influenced by commercial interests. For related discussion see OTU Activity 5.13 together with Cadwalladr (2016), Solon and Levin (2016), and Gibbs (2016). In principle, the manipulation of ‘autocomplete’ responses and rankings (coupled with the generation of targeted advertisements and the growth of false information) provides fertile opportunities for the promotion of an extreme form of digital gaslighting (recall Sect. 3.5.1). Undoubtedly our individual Internet experience can be manipulated (either unintentionally or quite deliberately) with real-world consequences—as demonstrated by the manipulation of election outcomes.

5.4

The Evolution of Society

Evolution is a natural facet of any society and as a result we live within environments that are continually changing—environments which are in a continuous state of flux and uncertainty. If this were to be otherwise, then our lives would be impoverished and we would exist in a state of atrophy. In Fig. 5.6 we identify a number of indicative ways in which societal change may be brought about. Here we emphasise that throughout history, invention has played a pivotal role in influencing many aspects of societal evolution—acting as an impetus for not only highly positive and negative forms of advancement, but also for many developments which simultaneously exhibit both of these characteristics. This latter consideration stands as a testament to the invariant, fickle and often perverse nature of the human species.

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The crucial and continuous influence of invention is an important consideration in placing current developments in context, for there have been many instances in human history in which invention has had a rapid and profound impact on the focus and behaviour of society. Below we briefly outline the various factors indicated in Fig. 5.6, and provide several examples of ways in which invention has provided a driving force to major change.

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Natural progression

Evolution of society

Natural or human mediated disaster

Revolution or genocide

Conquest and war

Invention

Fig. 5.6 Some key exemplar factors which drive the evolution of society. Those shown on the right tend to effect rapid major change, whereas natural progression may be demonstrated in many more gradual forms. Throughout the ages invention has played a profound role in shaping the evolution of society. See text for discussion.

1: Natural Progression: This relates to the myriad of events, interactions and developments which may act individually or in combination to cause varying degrees of societal change, from the imperceptible through to significant quantum transitions. Our choice of name is not intended to suggest that the other factors indicated in Fig. 5.6 are necessarily any less natural, as some may quite rightly consider that revolution, conquest etc also fall within a ‘natural’ human/societal framework. 2: Natural or Human Mediated Disaster: The rhythm of natural progression is from time to time disturbed by major disasters which have the potential to cause periods of considerable disruption. Whilst technologies are playing an ever greater role in warning of and ameliorating the impact of many forms of disaster, it’s also evident that technology failure/misuse can also be a cause of major disaster (e.g. the Chernobyl nuclear accident). 3: Revolution or Genocide: Throughout history revolutions have had a major impact on the evolution of society. They are invariably associated with a period of chaos which is often underpinned by anarchy and violence. Revolution is often catalysed by a vision of casting off the shackles of oppressive rule, and/or eliminating inequality within society. From a world perspective there is no sign that revolution is becoming a less popular route to effecting political change, or a more reliable route to achieving societal advancement. Revolutions in France, Russia and Germany provide examples demonstrating quite different outcomes to such insurrection.

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As with revolution, history provides us with many examples of genocide—an act which is fundamentally characterised by promoting societal disparities such that particular groups are seen as ‘Others’, and are represented as posing such a threat to the majority that their murder can be perceived as being in some way justifiable. The act of genocide can be catalysed in many ways and may be based on (or promoted on the basis of) factors which include political, historic, racial, and economic considerations. Thus whilst the underlying causes of genocide are quite variable, in practice once initiated it gives rise to a period of intense and generally incomprehensible barbarism in which base human motivations dominate. The twentieth century provides us with clear evidence that engagement in this form of inhumanity has not abated—indeed the opposite would appear to be the case. Some examples of 20th century acts of genocide include Armenia 1915-, Europe 1941-, Cambodia 1975-, Rwanda 1992-, and Bosnia 1992- (only the starting dates are given as in some cases the end of a period of genocide is less precisely defined). 4: Conquest and War: The development of hardy ships which had a good chance of surviving storms at sea, coupled with the invention and application of navigation techniques catalysed an era of global exploration—and conquest. Armed with superior weaponry, European nations were able to impose their will on the inhabitants of distant lands. The technologies of the day gave rise to the dawn of the era of colonisation. For the subjugated peoples, the evolution of their societies underwent major change, which was not driven by internal progression but rather by external influence. Throughout history, warfare has provided an important impetus in driving the evolution of societies—particularly in more recent times as it is often accompanied by a period of rapid technological progress. Whilst warfare is generally recorded in terms of battles lost and won, ultimately it has a debilitating impact on society, for invariably it creates conditions in which both victor and vanquished are left ethically impoverished. The above discussion is simply intended to provide an impression of some of the general factors which have and continue to influence the evolution of societies. Whilst points 2-4 emphasise factors which have strongly negative dimensions, the first area of mention (Natural Progression) encompasses areas which are quite the opposite. These include the acquisition and dissemination of human knowledge and understanding, together with extremely important areas of human cultural and artistic creativity. OTU Activity 5.14 provides an opportunity to bring threads of this discussion together by considering ways in which digital technologies may impact on aspects of the future evolution of society.

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Organisational Failures: The Imperial Fleet

‘Compared to the airplane, the airship is, or will be, a sober arid even dilatory conveyance. Travelers will journey tranquilly in air liners to the earth’s remotest parts, visit the archipelagos in Southern Seas, cruise round the coasts of continents, strike inland, surmount lofty mountain ranges, and follow rivers as yet half explored from mouth to source…By means of the airship man will crown his conquest of the air.’15

At 6.34 p.m. on Saturday 4th October 1930, His Majesty’s Airship R.101 (see Fig. 5.7) left Cardington, England and set out on her maiden flight to Karachi, India. This craft, together with the R.100, were promoted as heralding the successful inception of the British government’s Imperial Airship Scheme: a plan to better connect distant dominions of the Empire such as Australia, New Zealand, South Africa, Canada, and India. These gigantic and awe-inspiring leviathans were portrayed as the harbingers of a new era of relatively fast, exclusive, and luxurious 15

Thomson (1927) Secretary of State for Air instigator of the British airship programme (see Sect. 5.5.3). He became Baron of Cardington and was killed in the R.101 disaster.

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long-haul travel. Each was intended to carry 100 passengers and was to be equipped with fine-dining facilities and sleeping accommodation for all. The era of the Imperial Fleet had begun. In length the R.101 was approximately equal to three A380s or four 787s placed nose to tail.16 At that time, it was the largest airship ever built—only the equally ill-fated Hindenburg and her sister-ship, the Graf Zeppelin II, ever exceeded her size. As had been forecast, early into the voyage weather conditions gradually deteriorated. The rain and gusting winds which were soon encountered were challenging, but not threatening to a well-constructed airship in the hands of an experienced crew. However, the reality was that the R.101 had never previously been flown in such conditions and moreover had recently undergone major modifications which hadn’t been properly put to the test. Shortly after passing by the town of Beauvais (northern France) there appears to have been a major loss of lift in the forward section of the craft and this was probably compounded by other problems. Despite the best efforts of the crew to remedy the situation, the airship came to earth. With a ground speed of only *14 mph, impact was gentle but within moments some five and a half million cubic feet of hydrogen were aflame. Fifty-four passengers and crew died in the inferno. Whilst the events leading up to the loss of the R.101 took place many years ago, they continue to provide a somewhat extreme but useful insight into the nature of ethical and professional dilemmas which can occur when complex technologyrelated projects go wrong. Furthermore as will become apparent, aspects of this history parallel those which culminated in the destruction of the Space Shuttle Challenger (Sect. 3.8). This history also demonstrates ways in which significant events can be obscured by the passage of time. In this respect, a book written by the engineer and novelist Nevil Shute Norway17 has played a significant role in portraying events. As Chief Calculator for the R.100 airship (amongst other things, he was responsible for detailed calculations relating to the craft’s structural framework), Norway would have gained much knowledge about the airship programme. Although his book ‘Slide Rule’ provides an enthralling account of this history, it appears that on occasion he allowed incorrect detail to enter into his account (see OTU Activity 5.15). Over the years this has continued to evoke criticism of Norway. For example: ‘During his time at Howden he had been much influenced – not for the better – by Barnes Wallis. He inherited from him a ‘chip on his shoulder’ about the rival airship R.101 and the more [skilled expert] team –[caused] by the fact that when R.100 was complete he applied for a job on the projected R.102 and R.103 at Cardington he was turned down by Richmond.’ (Sir Peter Masefield quoted in Davison 2015)

Davison (2015) further quotes Sir Peter Masefield (author of ‘To Ride the Storm’) as follows: 16

In original form the airship was 735 feet (*226 m) in length, and during modifications this was increased to 777 feet (*239 m). 17 In his literary works he dropped ‘Norway’ and simply used Nevil Shute as his nom de plume.

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Fig. 5.7 The R101 (upper) and R100 moored in Canada (lower). (Image sources: upper— National Archives [public domain] and lower—courtesy of the Canada Aviation and Space Archives (catalogue number 10245). ‘Masefield to fellow historian Walding, 21/3/1991 regarding Masefield’s visit to Norway in Australia 1953 (Masefield Archive, Brooklands): “As he [Nevil Shute Norway] confessed to me at the time, his comments on R.101 and its team in Slide Rule were somewhat biased because, after the closure of the Vickers Airship

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Works at Howden, he applied for a job at Cardington and felt very put out that he was not taken on by Vincent Richmond, the Chief Designer of R.101..”’

Aspects of this meeting between Masefield and Norway are cited in literature in the context of Norway’s ‘somewhat biased’ account of the development of the R.101. Whether such a conversation should be used in publications (especially in a negative sense) after the death of one of the participants (Norway died in 1960) is, from an ethical perspective an interesting question. And it is perhaps equally interesting to note that the conversation concerning Norway’s book is said to have taken place in 1953—which is surprising given that the book wasn’t published until 1954.18 For these reasons, the account which follows does not include reference to matters that may or may not have been discussed at that meeting.

18

There can be little doubt that Norway’s account suggests that he had a strong dislike for state enterprise. As to whether this grew from his involvement in the airship project or from other experiences is not relevant to current discussions. Here, usage of his book primarily relates to assertions which he made—particularly when these are confirmed by other sources. At the time of writing the author has not been able to locate any confirmation that Norway did in fact apply for a job at Cardington.

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5.5.1 Background and Organisational Structure In the early 1920s there was little evidence to suggest that in the foreseeable future fixed wing aircraft would be able to support the long haul transportation of significant numbers of passengers. Indeed planes of that era offered little if any comfort, and the weight of fuel needed to support longer flights left relatively little useful passenger/freight carrying capability. In contrast, during WWI the airship (primarily as produced by the Zeppelin Company in Germany) had demonstrated considerable promise for relatively efficient long-haul flight.19 This view was underpinned by the seemingly simple (and environmentally friendly) concept of employing the natural buoyancy of a gas to lift both craft and payload, thereby essentially limiting fuel consumption to that needed for forward locomotion. This is however something of a simplification because whilst airships can maintain altitude simply on the basis of buoyancy, this does not yield great stability. Consequently in practise it is arranged that the lift supplied by the gas is either a little less, or more, than the craft’s overall weight. Aerodynamic lift is then used to compensate for the difference, and this is achieved by the judicious control of a craft’s angle of pitch (using either ballast or elevator control). Of course this lift comes at a cost as it results in an increase in drag and so necessitates the expenditure of additional power for forward motion. Given the limitations in conventional aircraft, coupled with indications of the potential of airships, Britain embarked on a major airship development programme. In view of the prevailing political climate, this led to the establishment of two directly competitive streams of development—one to be undertaken by the private sector and the other by state enterprise. Initially, two airships were developed (often dubbed the ‘Capitalist’ and ‘Socialist’ craft). These were designated the R.100 (developed by a subsidiary of Vickers Ltd (the Airship Guarantee Company)), and the R.101 (developed by government employees under the direction of the Air Ministry). Thus government and commerce would be placed in direct competition and the comparative performance of the R.100 and R.101 would demonstrate the relative abilities of two distinctly different approaches to large scale technology-centric development work. Perhaps this would foster a spirit of healthy competition and promote innovative engineering? In practice, this competition was not evenly balanced. The R.100 was to be built at a remote and rather bleak location in Yorkshire (Howden), and those employed 19

For example, on 20th November 1917 the Zeppelin L59 set off from Germany on a mission to provide medical and other supplies to beleaguered German forces in East Africa. This involved flying across the Mediterranean and Sahara. However a fictitious radio message transmitted from Malta by British forces indicated that the German forces in East Africa had capitulated, and so the airship was recalled to Germany. During a ninety-four hour flight the airship traveled some 4225 miles through some problematic weather conditions. For example over Crete: ‘Encircled by lightening, the Zeppelin ploughed through the rain. The lookout gasped through the speaking tube: “Ship afire.” It was a false alarm: the streams of flame spurting from all the metal parts were St Elmo’s fire. An aureole formed around L59 like a colourful wreath.’ (Dudley 1960). Robinson (1966) is particularly recommended to the interested reader.

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on the project had to undertake the work within the constraints of a limited financial framework, and amid very poor working conditions: ‘…the air is always humid; a more unsuitable locality for airship manufacture would be difficult to find. Very frequently the shed was filled with a wet mist so that every girder became coated in water; mould attacked the fabrics in the store, and corrosion of the duralumin became a serious matter… On winter mornings it was not uncommon…to find the girders sheathed in ice, stopping all work on the [air]ship.’ (Norway 1954)

In contrast, the R.101 was developed at a much more central and pleasant location (Cardington), with the full financial support of government. This gave ready access to extensive resources, a wide range of facilities, and an environment highly conducive to basic research and development. In addition the R.101 was very much a government project and so obtained the full support of the Air Ministry. It appears that these differences sowed the seeds of resentment and as Norway writes (from the perspective of the R.100 development team): ‘Looking back…I think that an inferiority complex plagued us more than we quite realised…At times it seemed that every newspaper we picked up had a column describing the wonders of R.101… Our puny efforts as a counterblast could not compete with the Air Ministry press department.’ (Norway 1954)

The Chief Designer of the R.100 was Barnes Wallis. He had previous experience with airships20 and undertook the work using orthodox design principles (although in the case of both airships considerable innovation was applied to the optimisation of their aerodynamic forms and in validating structural strength). Wallis adopted pragmatic engineering principles—the notion of ‘keep it simple’ being central to the design philosophy. In contrast, the development of the R.101 encompassed much more innovation, thereby significantly advancing the science and engineering of airship technologies. Designers broke away from tried and tested techniques and adopted radical new approaches: ‘In the construction of the R.101, the designers broke away almost completely from conventional methods and in every direction an attempt was made to improve upon standard Zeppelin Practice.’ (R.101 Inquiry 1931)

For example, highly innovative techniques were applied to the design and implementation of the giant airship structure, diesel engines were developed to power the craft, new forms of valve were produced for venting hydrogen from the gas cells, and new techniques were applied to transferring lift from the cells to the airships structure. But in the case of complex systems, innovations can have unforeseen consequences particularly when too much innovation is carried out during a single implementation cycle: 20 Barnes Walls (1887–1979) went on to design the Wellington Bomber, the ‘bouncing’ bomb (used on the ‘Dambusters Raid’), and the deep penetration ‘earthquake’ bombs. He became a pioneer of supersonic flight.

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Fig. 5.8 The R.101 tragedy evoked a major societal response, and a state funeral took place. Those killed were transported with full military honours by the French to Boulogne. From there they were carried to England on board the Royal Navy destroyer H.M.S. Tempest (upper left). Enormous numbers of people filed past the catafalques at Westminster Hall (upper right) and watched the military procession (lower images). Also see Fig. 5.10. Never since the sinking of the Titanic had there been such a public response to a disaster. However whilst the Titanic saga has become ever more widely known, relatively few are familiar with the existence and fate of the R.101. (Images from author’s collection.) ‘Originality and courage in design are not to be deprecated, but there is an obvious danger in giving too many separate hostages to fortune at any one time.’ (R.101 Inquiry 1931)

And: ‘Though aeronautical flight testing embraces the philosophy of gradual and incremental expansion of the operational and/or environmental envelopes within controlled conditions, the R.101, with unproven performance characteristics, took radical leaps in both operational and environmental conditions simultaneously with disastrous effect.’ (NASA 2007)

Lord Christopher Thomson of Cardington (who died in the R.101 disaster) played a crucial role in this history. As Secretary of State for Air in 1924, he was largely responsible for instigating the airship development programme. Subsequently (due to a change of government) he was out of office for nearly four years, but in June 1929 he regained his former position. The R.101 was very much his ‘baby’—the craft was a testament to socialist ideology and became a symbol of pride and prestige. In parallel it was rumoured that Thomson would become the next Viceroy

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of the ‘jewel’ in the British Empire’s crown: India. Surely the R.101 provided him with the ultimate means of visiting that distant country? A demonstration of the speed and magnificent luxury offered by the centrepiece of his Imperial Fleet would most certainly be in keeping with his future aspirations. However he initially seemed to put safety before personal ambition: ‘Much work and many further trials remain to be completed and so long as I am in charge, no pressure will be brought to bear on the technical staff – or anyone else – to undertake any long distance flights until everything is ready and all is completely in order. Subject to this, I hope that perhaps it may be possible for me to travel to India during the Parliamentary recess after Christmas. But whether this is possible or not the whole policy of the airship programme is “safety first” – and “safety second” too.’ (Thomson (1929) quoted in Davison 2015)

And: ‘This is one of the most scientific experiments that man has ever attempted, and there is going to be no risk, while I am in charge, of the thing being rushed or of any lives being sacrificed through lack of foresight. It is far too scientific and important a matter for that…If the almost unthinkable happened and these ships failed on their final flights, there might be a strong movement towards scrapping of the programme. That would be heart-breaking. I cannot tell you what magnificent work has been done by the airship men. There are officers in that work today who have sacrificed promotion and many other advantages in order to get on with this great experiment. We have a body of enthusiasts at work there, and only the worst luck could interfere with the success of the experiment. If we have bad luck, I should have thought it was in the British character to stick to it still and triumph over temporary adversity.’ (Thomson addressing the House of Lords on the 3rd June 1930 quoted in Davison 2015)

But perhaps over time Thomson’s vision changed—not only in connection with his voyage to India, but also of his dramatic return when, if everything went according to his expectation, he would meet with the representatives of the Dominions who were to gather in London for an Imperial Conference. Surely his thrilling exploits would be of particular interest to those Commonwealth representatives who had just travelled for weeks by ship. When contrasted with his relatively rapid and luxurious sojourn to India there could be little doubt that key Commonwealth countries would be eager to support the expansion of the Imperial Fleet: ‘To cater for the specified carriage of 100 persons, silver service catering was provided with, on R.101, a fully equipped galley on the lower deck and a dumb-waiter lift to a dining room for fifty persons, beside the spacious lounge. The Chief Steward was recruited from the maritime fleet and was assisted by a galley boy.’ (Davison 2015)

In the event, Thomson’s ‘safety first’ approach and recognition of the highly experimental nature of the airship programme may well have been overshadowed by his political aspirations (or other influences). It is of course quite possible that Thomson was not fully appraised of the technical difficulties that needed to be properly addressed prior to a long and demanding voyage. But whatever his motivation, the Cardington team were soon to realise that his drive to embark on the flight to India and return in time to attend the Imperial Conference, would outweigh his prudence. The development team working on the R.100 may have been resentful (and possibly even envious) of their Cardington colleagues. However, they may not have

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fully appreciated their good fortune as they were able to get on with their work without the distraction of continuous political involvement and media attention. In contrast in the case of the R.101 team, their innovations continually enhanced their prestige—it could only be hoped that the R.101 would live up to inflated media and political expectations.

5.5.2 Working Against the Clock ‘I liked him very much and was shocked one morning to hear someone say that one of last night’s bombs had fallen on the Military Mission… The bomb had blown away half the bathroom, which was on the upper floor, but had left the bath itself in the open, projecting over the ruins. The water-supply was still working, so Thomson was having his bath as usual.’21

The R.101 first flew in October 1929, and from the outset it was apparent that the airship was very much overweight. It was originally intended that the fixed weight of the vessel would be some 90 tons and the gross lift 150 tons. This offered a disposable lift of 60 tons (40% of the total lift).22 However once construction was completed the fixed weight of the airship was found to be *113.6 tons and the gross lift *148.6 tons. Thus the disposable lift was only 35 tons i.e. 24% of the total lift (R.101 Inquiry 1931). As a consequence, the ability of the craft to carry the required number of passengers, stores and fuel over the long distances associated with the voyage to India was compromised (especially when considered in the context of the variable climatic conditions likely to be encountered at different times of the year). The planned route to India was to be carried out in two stages. The first involved a flight from England to Ismailia (on the Suez Canal), where a mooring tower had been constructed. Subsequently the airship would proceed on the more difficult leg of the journey and on arrival would dock at the mooring tower that had been built in Karachi. Given the R.101’s reduced useful lift, the most obvious solution was to construct additional mooring towers along the intended route. This could enable refuelling and the replenishing of hydrogen at more regular intervals. However these towers were significant constructions and so this represented an expensive solution (each tower costing *£50,000 in 1930): ‘…the decision was reached that this [the construction of intermediate mooring masts], which would involve further expense and delay, could not be authorised in advance of the first attempt to reach India, while matters were still so largely in an experimental stage.’ (R.101 Inquiry 1931)

Furthermore, the construction of additional towers would have drawn attention to the deficiency in the craft’s disposable lift. The alternative was to make changes to the airship. The pressure was on to deliver results, and it’s at this point in the development process that various modifications appear to have been carried out, without careful consideration as to their potential ramifications: 21

Ransome (1976). This useful lift includes the lift needed to carry fuel, ballast, etc.

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‘During the construction, and in the early trial flights of the R.101, this policy of cautious experiment at each step was admirably fulfilled; but in the later stages, when it became important to avoid further postponement and the flight to India thus became urgent, there was a tendency to rely on limited experiment instead of tests under all conditions.’ (R.101 Inquiry 1931)

Indeed during the early phases of the development process, meticulous care appears to have been taken. For example in connection with the airship’s structure (a matter that we return to in Sect. 5.5.4): ‘It is probably no exaggeration to say that never before in the history of structural engineering has so much care been taken to explore the strength of a structure before it was used, and to check the stress calculations by actual measurement.’ (R.101 Inquiry 1931)

Initially the experimental airship programme was intended to span 3 years, but when Lord Thomson returned to office as Secretary of State for Air, the programme had been running for *5 years. As is the case with many large projects early work is carried out with care and without undue haste. But without careful attention, this can result in projects overrunning—both in time and budget. Pressure then mounts to deliver results, and without good management this can cause early caution to be swept to one side. This appears to have been the case with the R.101 programme, and it is possible that Thomson may have been driven to deliver results by using the India trip as a means of bringing a seemingly endless research programme to a conclusion. Early trials revealed that turbulent air conditions not only caused considerable movement of the gas cells (which in turn resulted in chafing and the consequent risk of damage), but also resulted in leakage of hydrogen via the innovative gas valve that was fitted to each cell. This became particularly evident when the airship remained moored to its mast during a gale: ‘…the plates on top of the radial struts rubbed and chafed the bags, and in places…tore the bag 9” in a jagged tear. No. 8 thus became deflated by 60% and on inspection taking place it was noticed that on every roll the [gas] valves opened. The holes on top of No. 14 bag were caused by the bag bearing hard on O girder, where several nuts projected and combined with the movements of the bag caused punctures.’ (Report of senior crew member and quoted in R.101 Inquiry 1931)

From November 1929 to June 1930 the airship remained grounded as efforts were made to reduce its weight, and as a consequence the airship was stripped of superfluous equipment and unnecessary items. This included removal of servo systems which had been developed to facilitate movement of the flight control surfaces (in the event they were found to be unnecessary). Norway (1954) recounts: ‘At a comparatively late stage in the design we learnt on sure authority that R.101 not only had balanced rudders but had servo motors fitted at great weight and cost to assist the helmsman in the steering of the ship…We suspended work on the rudders and spent three days in checking through our calculations to find our mistake. At the end of that time we knew that our figures were correct…There must be something in this that we did not understand.’

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This example tends to confirm the lack of information sharing which Norway alludes to elsewhere in his writing. To increase lift, the innovative system of webbing encompassing the giant gas cells was let out. This accommodated an increase in the volume of hydrogen within each cell. Perhaps not surprisingly, subsequent flight trials revealed that this exacerbated the leakage of hydrogen through holes created as the expanded gas cells chaffed on parts of the airship structure. In an effort to remedy this situation, ever greater amounts of padding were used to reduce contact between cells and structure, although this could do little more than ameliorate the situation: ‘But after the ship had been through some of its preliminary trials, and particularly after an increase in the size of the gasbags had caused serious chafing against the frames of the ship, leakage of gas through holes in the bags developed to an abnormal and indeed alarming extent.’ (R.101 Inquiry 1931)

Such efforts increased the disposable lift by *6 tons making it possible to carry out the flight to India—but only during the cooler months of the year when conditions were more favourable. It was therefore decided that a more radical solution would be adopted, which would allow a significant increase in the volume of hydrogen. Consequently following flight trials the airship was cut into two parts and an additional section and gas cell were added. This increased the length of the airship by *45 feet and accommodated an additional *500,000 cubic feet of hydrogen (thereby approximately aligning the disposable lift with the original specification). Other changes were also implemented, including the replacement of most (but not all) of the fabric covering. In addition modifications were made to the engine installation. Norway (1954) suggests that: ‘As R.101 approached completion we were astonished to hear that her reversing propellers had proved a failure, and in consequence four of her five engines were arranged to drive ahead and the fifth one would only go astern. The fifth engine apparently was to be carried as a passenger on all her flights solely for the purpose of going astern for a minute or two at the start and finish of each flight…’

And this does appear to have been the case—until the time of the major modifications one engine had indeed been used solely for reversing manoeuvres. R.101 Inquiry (1931) states that during July 1930: ‘The original plan of providing the R.101 with four engines which worked only ahead and a fifth which worked only astern… had been modified.’

But elsewhere in the Report this is clarified: ‘Originally it was intended to use a form of hub by which the pitch of the propellers could be altered whilst in motion, and enable them to give either ahead or astern thrust. These hubs, however, failed under a test…As originally engineered, the vessel had four engines which propelled her only ahead, and the remaining engine worked only astern.’

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This engine configuration is of importance because it made it impossible to do a full speed trial of the airship—in fact until her final flight, the craft had only ever been subjected to 4/5 of her intended maximum thrust. Whilst extensive work was carried out on the R.101, the R.100 set off on its flight to Canada and despite various problems (the most serious of which arose during a storm and resulted in major tears to the fabric), and a non-operational engine during the return flight, the overall trip was successful. As for the R.101 team—they were working against the clock in an effort to have the airship ready for Thomson’s scheduled trip to India. On the 2nd July Thomson wrote: ‘I should like to be able to count definitely on starting for India during the week-end September 26-28th. I ought to be back by October 16th.’ (R.101 Inquiry 1931)

And in response to a Minute sent to Thomson in relation to a possible one week delay in the work being carried out on the R.101, Thomson responded: ‘So long as R.101 is ready to go to India by the last week in September this further delay in getting her altered may pass. I must insist on the programme for the Indian flight being adhered to, as I have made my plans accordingly.’ (Thomson on the 14th July 1930 quoted in R.101 Inquiry 1931)

A Memorandum sent to Thomson on 26th August 1930 demonstrates that he was informed of the scale of the work being undertaken, and of the need to carry out a significant flight test before departure for India. It ends: ‘…If the dates given… are worked to, it will just be possible to have the reverse engine installed with airscrew by the 22nd September. Day and night work is going on on all these items [listed previously in the communication]. There would therefore be six days available… [before scheduled departure], getting the ship out of the shed and carrying out the trial flight. It is clear that this leaves no margin, but may just be possible.’ (Quoted in R.101 Inquiry 1931)

Unfortunately demanding and innovative development work seldom lends itself to such tight scheduling: ‘Experimental work, however is not susceptible to such pressures; if a gasbag chafes and leaks or an outer cover splits, no vapourings of a Secretary of State will put it right. To rectify such troubles a designer must be given time to think and to experiment; it does not help for an impatient politician to bedevil the designer by pointing out that the delay is inconveniencing the politician.’ (Norway 1954)

Had the R.101 engineers been given sufficient time and left to their own devices, it is likely that all defects could have been properly rectified and the solutions validated. Both the R.100 and R.101 had been developed as experimental craft but now, in the case of the latter, the uncertainties and deficiencies associated with any large scale experimental development programme were being cast to one side. We are unlikely to ever fully know the motivations that drove Lord Thomson to fixate on the timetable for the voyage to India, but whatever his reason(s), when the R.101 set out on that ill-fated voyage appropriate testing had not been carried out—there simply wasn’t enough time.

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Fig. 5.9 Uppermost images: An engine gondola and framework of the R.101 lying in a meadow near Beauvais. Only three days after major modifications had been completed, the airship had set out for India. In that time only one test flight had taken place. This disaster was catalysed by allowing human factors to undermine sound engineering practice. Middle images: R.100 under construction and in flight over Montreal. Lower image, the R.100 dining room. (Uppermost images from the author’s collection. Other images courtesy the Canada Aviation and Space Archives. Catalogue numbers 11849, 10250 and 2128.)

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On 1st October and after many major modifications, the airship was back in the air. Three days later and some seven and a half hours after departure from Cardington, it was reduced to a charred skeletal framework in an innocuous meadow in northern France. Amongst the dead were the Secretary of State for Air, Lord Christopher Thomson, the airship’s designer Colonel Richmond, the Director of Civil Aviation Sir Sefton Brancker, the Director of Airship Development Wing-Commander Colmore, and others who were key figures in the British airship programme.

5.5.3 Christopher Thomson, Baron of Cardington ‘…I met Thomson hurrying towards the Strand in civilian clothes and carrying a delicately tinted pair of gloves. He told me he was on his way to address a Trade Union meeting. I suppose I must have smiled and he must have noticed my glance at his gloves. “Yes,” he said, “I know I don’t look much of a Trade Unionist, but that can’t be helped.”’23

At a meeting held at the Air Ministry on 2nd October 1930 to discuss final arrangements for the voyage to India, the Secretary of State for Air is reported to have indicated that: ‘You mustn’t allow my natural impatience or anxiety to start to influence you in any way. You must use you’re considered judgment.’ (Quoted in R.101 Inquiry 1931)

Knowledge of his motivations for making this comment would provide us with a much clearer insight into his true reasons for having hastened the modifications and trials of the R.101 in order that the voyage to India take place. Perhaps he recognized that he had been exerting undue pressure on those responsible for correcting deficiencies in the airship. Alternatively, it’s equally possible that he was simply ensuring that if anything did go wrong, he could be exonerated from responsibility. Certainly it’s possible to understand his impatience, for he had been largely responsible for the inception of the airship programme and it seems likely that given the passage of time he was under some pressure to demonstrate its value. Furthermore, it had been anticipated that the voyage to India could take place towards the end of 1929. This had then been postponed to March 1930 and further delayed to October. In parallel the R.100 had made a successful long-haul voyage—surely it was time to put the R.101 through its paces. In this respect the crucial issue centres on the extent to which Thomson was aware of the scale of the technical problems that were being addressed. If relevant (and accurate) information was not conveyed to him, then this would suggest a failure of key figures to fulfil their professional responsibility. It is of course possible that Thomson deliberately sought to distance

23

Ransome (1976).

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himself from negative information, so that in the event of serious problems he could adopt a stance of plausible deniability. Born in 1875, at the age of nineteen Thomson jointed the Royal Engineers. He served in the Boer War and WWI. In 1918 he was awarded the D.S.O. Having risen to the rank of brigadier-general, he resigned from the army and entered politics. In parallel he served as Chairman of the Aeronautical Society and in 1927 published a book on aviation. Although this is a lightweight read, it demonstrates his interest and commitment to the subject. Given such a background, it is difficulty to imagine that he was not genuinely interested in all matters concerning the R.101—this airship’s existence represented the fulfilment of his vision. There are however several events which could suggest that he was unaware of the profundity of the technical difficulties that were being encountered. For example in November 1929, 100 Members of Parliament were invited to take the opportunity of an R.101 flight. This may indicate that Thomson wanted to maintain political support for the programme, but given the R.101’s limited disposable lift coupled with gas cell leakage, the airship was in no condition to safely carry so many passengers. Fortuitously, weather conditions precluded the flight and in its stead, the MPs boarded the craft and it remained at the mooring mast whilst they had lunch. It was even more fortuitous that a wind was blowing which provided sufficient dynamic lift to keep the craft on an even keel. Surely had Thomson had any inkling of the true state of affairs then he would not have risked a public relations event turning into a tragedy? A further example which may suggest that Thomson was unaware of the true situation is demonstrated by the amount of luggage which he had brought on board prior to setting off for India. Davison (2015) writes: ‘Thomson, on the day of departure, arrived with champagne for his reception and a talisman Persian carpet roll weighing over 100lbs that had to be manhandled up the stairs of the mooring tower and was allegedly stowed in the forward gangway. This had a romantic connection with Marthe Bibesco who had lost a similar piece in a fire at her Romanian Posada.’

But goes on to suggest that: ‘Thomson was not completely ignorant of weight issues as he sent one of his ministerial work cases back to Whitehall as he had more than enough work to do on board.’

It would be natural to suppose that had Thomson been aware of the difficulties that had been experienced with regard to gas cell leakage, and the failure to conduct proper testing after the major modification programme that had only just been

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completed, then he would have avoided bringing superfluous weight on board. To do otherwise could suggest a cavalier attitude on his part. Ironically as mentioned above, throughout his involvement with the programme he had emphasised a safety-first policy. Consequently perhaps he really had little knowledge of the profound dangers that were inherent in setting off for India in a craft whose airworthiness was unproven. Gratton (2015) draws parallels between ‘chain of command’ communication issues relating to the R.101, and those which contributed to the Space Shuttle Challenger disaster (see Sect. 3.8). He suggests that within the hierarchical structure of those involved with the R.101 there was a: ‘…political imperative, understood clearly by all concerned,… that this flight must go ahead. One consequence of this, clear through various correspondence is that although substantial concerns about the safety of the airship and the wisdom of proceeding were held by various competent personnel at Cardington and to a less extent by the Air Ministry in London, each time these were passed up the command chain they were watered down – so that by the time anything reached Thomson, it was at best an expression of mild concern.’

Given an environment in which there was ill-will between members of the two rival airship development teams coupled with the successful voyage of the R.100, there may well have been reluctance to supply Thomson with accurate information concerning R.101 issues. Competition is not always healthy. For related discussion see OTU Activity 5.16.

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5.5.4 When Time Runs Out: Let’s Trust in Luck ‘Later, when it was clear that nothing could prevent a general retreat, Thomson picked me up in his car, and I found my knees lifted to my chin. “Have a look,” said Thomson and I lifted the carpet to see that the floor of the car was covered with bottles of champagne. Thomson laughed. “Well,” he said, “if it has got to be a retreat, I don’t see why it should be a dry one.’24

When the R.101 set off on her journey to India she had amassed a total flying time of only *121 hours. Given the scale of the work that had been hastily carried out during the preceding months, we can assume that a number of problems had been resolved—if not elegantly, then pragmatically. However, at least three key weaknesses still remained. Firstly, practically no experience had been gained in flying the airship in bad weather conditions. Secondly the airship had never been flown at full power and finally, not all of the friable outer covering had been replaced. Initially the journey appears to have proceeded without significant problems— although survivors indicate that whilst crossing over the channel one engine was out of commission for a little time: ‘…After an excellent supper our distinguished passengers smoked a final cigar and having sighted this French coast have now gone to bed to rest after their excitement of leave-taking. All essential services are functioning satisfactorily.’ (Part of the last message sent from the R.101, quoted in R.101 Inquiry 1931)

Over France the weather continued to deteriorate: ‘…never…had the R.101 [or any other British airship] ever experienced weather approaching in violence anything met with during this journey.’ (R.101 Inquiry 1931)

From the evidence of survivors, just after 2 a.m. the airship suddenly entered a long dive. Despite a significant loss of altitude, the airship briefly returned to a horizontal state before once more diving, and gently impacting with the ground. Immediately the hydrogen ignited. Thus we can view the final decent in terms of four key phases —the initial dive, the intermediate phase, the second dive, and the combustion. During the subsequent Inquiry, these were examined in great detail and are briefly discussed below: 1. The Initial Dive: Given the weather conditions it is likely that variations in pitch had to be continually corrected. This was the responsibility of the Height Coxswain and it’s known that at 2 a.m. there was a routine change of watch—the elevator control being taken over by a second crew member. On commencement of this duty, there is a period of adjustment during which the newcomer gains familiarity with the rhythm of movement. Unfortunately the airship was encountering fierce gusts of wind and at the Court of Inquiry the Captain of the R.100 suggested that from the perspective of airship flight, such conditions were ‘extraordinarily bad or extremely bad’. 24

Ransome (1976).

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1. 2.

It’s reasonable to suppose that the craft was at an altitude of *1,400 feet and flying heavy (in the sense that dynamic lift gained by a pitched up orientation was being used to augment the lift supplied by the hydrogen). There is a commonly accepted belief that at some point the airship’s outer covering in the bow region was seriously damaged (see Ethical Dilemma 1.1), and so gas cells were exposed to the elements. Undoubtedly, this would cause damage and major gas leakage. Thus the centre of buoyancy was gradually shifting and this shift would have been exacerbated if a large amount of hydrogen became trapped within the undamaged covering—such that during the first dive it gravitated towards the tail of the craft. As the replacement Height Coxswain was getting the ‘feel’ of the rhythm of the craft, he would not have known of the damage which was resulting in reduced lift in the forward section and of the increased drag caused by the damaged outer covering. A particularly severe pitching movement may have occurred and he may have been slow in responding. Thus the airship entered the first dive. 2. Intermediate Phase: We assume that the Height Coxswain gradually increased the angle of the elevator surfaces and in parallel ballast would have been released. As a result the down-pitch orientation was gradually corrected—but this doesn’t mean that the craft ceased to lose altitude. This is perhaps confirmed by the fact that the Chief Coxswain left the control car to warn passengers and crew of an impending crash. One survivor who was in his bunk at the time of the first dive recalls:

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Fig. 5.10 The end of rigid airship development in the UK. Following a large RAF fly-past, those killed were buried in a single grave close to the Cardington Hangars. Lower image shows the R.101 Inquiry. (Images from the author’s collection.)

‘…the Chief Coxswain… came to where he was lying and passed on in the direction of the crew’s space, saying “We’re down lads.”’ (R.101 Inquiry 1931)

In parallel, instructions were given for the engines to be shut down—thereby following normal procedure when ground impact seemed inevitable. 3. Second Dive: Unfortunately cutting engines would have reduced forward speed and hence the effectiveness of the elevators. As a result the airship may well have entered the second dive. An alternative scenario suggests that it was caused by the breakage of the elevator control cable:

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‘The ship proved [on the basis of simulation] to be quite able to recover from the loss of one (or more) gas bags. It was shown that the airship’s first dive was caused by the failure of the forward gas bags, from which it was recovering when the elevator cable broke…. It was always known that the elevator cable broke, but the Court of Enquiry thought it happened during the subsequent fire and could not be a cause of the crash… The computations made here demonstrate that such an impact is possible if the elevator cable broke as the airship was pulling out of its first dive. It is the simplest explanation of the tragedy that fits the known facts.’ (Lawton 2018)

Although examination of the wreckage did indeed reveal that the elevator cable was severed, extensive subsequent testing suggested that this had occurred after the airship was brought to the ground: ‘…all parts of this control gear [were] brought back to the Royal Aircraft Establishment at Farnborough… the further examination established beyond doubt that the control cable broke after, and not before, it became heated.’ (R.101 Inquiry 1931)

And ‘The Court had further tests of this cable made at the Engineering Laboratory at Cambridge. The two broken ends each had been exposed to intense heat for a distance of about half an inch, and the presumption that this heat had been applied before the cable parted were strong. …further experiments [led to the conclusion] that the cable certainly did not break before the conflagration.’ (R.101 Inquiry 1931)

The scenario suggested by Lawton (2018) may provide the simplest explanation of the second dive. However, when we take into account the views of experts who examined the cable under laboratory conditions immediately after the disaster, this scenario becomes less plausible. 4. Combustion: There are many possible causes for the ignition of the hydrogen as it mixed with oxygen. Perhaps the most likely is an electrical spark which may have ignited the gas directly or indirectly. In this latter case, although the R.101 designers had gone to great trouble to replace the petrol engines with diesel engines (which were assumed to be safer), they still employed small petrol engines for starting the diesels. Thus petrol was on board and it’s possible that this may have been ignited. Whatever the cause, by *2.05 a.m. some 5.5 million cubic feet of hydrogen were aflame. The dreams of an Imperial Fleet abruptly ended in a space of less than 5 minutes. The above description roughly aligns with one of the scenarios discussed at the R.101 Inquiry—see Fig. 5.11. From the perspective of our discussions, it’s particularly interesting to consider the state of the airship on departure and pose the question: was it in a fit state to be sent on such a journey? Frequently when complex work is conducted with undue

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Fig. 5.11 For the Inquiry into the R.101 tragedy, extensive work was carried out in modelling various possible scenarios which could have caused the two dives. This diagram is reproduced from the Report and depicts a trajectory which approximates to the accounts given by the survivors, and information gleamed from the wreckage. It’s recommended that the interested reader should consult the original Report and more recent modelling work which has been undertaken in this area. (Reproduced from R.101 Inquiry 1931)

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haste, shortcuts are taken, and safety issues can sometimes be compromised. Whether this happened in the case of the R.101 remains a matter of debate, but there can be little doubt that the environment could well have been conducive to such practices. Norway (1954) suggests that: ‘The first principle of safety in the design of aircraft is that there should be a second check on the design, conducted by an entirely independent body of experts…Throughout the construction of the R.100, therefore, the men at Cardington were both our judges and our competitors… No second check was ever imposed on the design of the R.101, except in the case of the main structure…none of the troubles of the R.101 were ever referred to us for an opinion.’

This general aspect of the R.101 development is discussed in R.101 Inquiry (1931): ‘When, therefore, questions arose at Cardington (such as the proper way of dealing with the escape of gas, which are peculiar to airships), there was a natural tendency at the Air Ministry to rely on the advice and judgement of the airship experts who were congregated there… Thus, officials at the Air Ministry, whose special experience and technical knowledge were based on the construction and flying of aeroplanes, inevitably looked to Cardington, to a very large extent, to solve its own problems.’ (R.101 Inquiry 1931)

Norway (1954) briefly provides an interesting example: ‘When the inspector of the ship put in a very strongly worded report to his chief at the Air Ministry dealing with the number of gas leaks on R.101, the report was forwarded to Cardington for comment and the soothing assurances of the designers were accepted.’

This report related to the airworthiness of the R.101 and to the extension of the ‘Permit to Fly’ which was essential if the R. 101 was to continue with its trial flights. Written by the Inspector in Charge of the Aircraft Inspection Directorate and dated 3rd July 1930, a key part of the text reads: ‘I am fully aware that to remedy the faults complained of is in the nature of a large undertaking, and it may be necessary to remove the bags from the ship. Until this matter is seriously taken in hand and remedied I cannot recommend to you the extension of the present ‘Permit to Fly’ or the issue of any further permit or certificate.’ (R.101 Inquiry 1931)

In short he was recommending that the R.101 be grounded. The response that this elucidated from Cardington does indeed contain the ‘soothing assurances’ indicated by Norway (1954). For example: ‘As far as we can trace at present there have been remarkably few nips in the gasbags of R.101…’ (Quoted in R.101 Inquiry 1931)

In reality, during flight trials holes in the gas cells had been a very significant issue —often these were not ‘nips’. For example even before the volume of the cells had been increased:

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‘Each bag was taken out of the ship in turn and examined for holes in the fabric’ every gasbag except one was found to be holed, and in some of them the number of holes was considerable. For example bag No. 11 had 100 holes in the fabric.’ (R.101 Inquiry 1931)

And on the day before the Inspector’s report was written, a Cardington Minute describing the results of an investigation into the impact of holes on loss of lift, and which was apparently written by the R.101 designer indicated that: ‘In my opinion, the result is somewhat startling and emphasises the great importance of guarding against holes in these present ships.’ (Quoted in R.101 Inquiry 1931)25

In the event, the concerns of the Inspector in Charge of the Aircraft Inspection Directorate were put to one side and the R.101 was granted a Permit to Fly. Early on the morning of 1st October 1930, the lengthened airship emerged from her hangar for the last time and at 4.30 p.m. set off on an endurance flight test. In December 1929 it had been agreed that before either the R.100 or R.101 would be granted a Certificate of Airworthiness (needed for international travel) a 48-hour endurance test had to be successfully completed: ‘Before she gets a full Certificate of Airworthiness, R. 101 has yet to do a 48 hour endurance flight.’ (Quoted in R.101 Inquiry 1931)

In August (or possibly earlier) for the R.101 this was amended to 24 hours. Under normal circumstances such a flight would be carried out in various weather conditions, and represented an opportunity to put the craft through its paces. Subsequently, it would be returned to its hangar and where it would undergo an extensive inspection. In the event, last minute permission was given to accept a flying time of less than 24 hours, and since the R.101 had still not yet carried out a full power trial it was assumed that this would be done during the flight. In fact the endurance flight lasted just less than 17 hours, and as a consequence of an engine problem the full power trial proved not to be possible. Throughout the flight the weather was fine—in the words of Colonel Richmond (the R.101 designer): ‘Weather conditions were very perfect.’ (Quoted in R.101 Inquiry 1931)

Clearly this flight cannot be considered to have represented a sufficient test of the much modified R.101. In contrast, before carrying out the flight to Canada, the R.100 had undertaken a 50-hour endurance flight and the under questioning at the R.101 Inquiry, the Captain of the R.100 indicated that: ‘In the R.100 we did a 50 hours flight and certain defects, and very important defects occurred after flying about 45 hours, which would have seriously hampered the ship if they had occurred over the middle of the Atlantic.’ (Squadron Leader Booth quoted in R.101 Inquiry 1931)

25

Such holes were also problematic for the R.100.

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But for the R.101 time had run out, there was no opportunity to carry out an extensive inspection of the craft, and without this the value of the trial was further eroded. As for the airship’s true state when it set off for India, it’s impossible to assess whether she was airworthy for such a potentially gruelling journey. Despite this (and despite the absence of any written report detailing the airship’s performance during the endurance trial), on the following day a Certificate of Airworthiness was issued by the Air Ministry. At least the paperwork was in place. The last entry written by the airship’s First Officer ends: ‘Everybody is rather keyed up now, as we all feel that the future of airships very largely depends on what sort of a show we put up. There are very many unknown factors, and I feel that that thing called “Luck” will figure rather conspicuously in our flight. Let’s hope for good luck and do our best.’ (Lieutenant-Commander Atherstone quoted in R.101 Inquiry 1931)

Finally, it’s perhaps instructive to return to the airship’s structural integrity. The reader who has followed this history may recall the following quotation presented in Sect. 5.5.2: ‘It is probably no exaggeration to say that never before in the history of structural engineering has so much care been taken to explore the strength of a structure before it was used, and to check the stress calculations by actual measurement.’ (Quoted in R.101 Inquiry 1931)

Prior to the lengthening of the craft, it was clearly necessary to rework calculations in respect of the loads placed on the structure, and so verify that its integrity would not be compromised by the alterations. Subsequently the results of this work were sent to the two independent experts who had verified the original structural calculations: ‘…the Air Ministry’s intention as expressed in June [1930], had been to get a final report from the two Professors before granting the Certificate of Airworthiness, and to be guided by the terms of this Report in deciding whether to grant it.’ (R.101 Inquiry 1931)

However, when the Certificate of Airworthiness was ‘created’ shortly before the R.101 departed for India, the report from the independent experts had not been completed. Thus the voyage proceeded without verification of the calculations that had been performed in respect of her structural integrity. At the R.101 Inquiry both experts gave evidence and highlighted an important design anomaly. The original structural calculations which were carried out so meticulously appeared to relate to the R.101 as designed. However, once constructed it became apparent that the weights of the engines, passenger accommodation, and bow/tail structures were much greater than anticipated. But when the independent experts reviewed the calculations performed on the modified (extended structure), it was evident that the original calculations had not been reworked to take into account these weight differences: ‘It is our opinion that the newness of the venture would have justified complete recalculation of the stresses in R.101 when the magnitude of the changes in fixed weight had been realised.’ (R.101 Inquiry 1931)

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Fig. 5.12 Three of those who survived to tell the tale of the final descent of the R.101 arrive at Croydon. Left to right: V. Savory, A.J. Cook and B. Disley. (Image from the author’s collection.)

Although it’s reported that following the disaster one of the experts undertook work which verified that the modified structure was sound, it seems that some of the meticulous calculations which had been carried out early in the programme were more applicable to a theoretical craft rather than to the one constructed.

5.5.5 The Fate of the R.100 ‘…each generation seems to need to be afflicted anew by social conceit which the Greeks knew as hubris and Shakespeare as overwhelming pride, forgetting the implications of Shelley’s warning: “My name is Ozymandias, King of Kings, Look on my works, ye Mighty, and depair!”.’26

As illustrated in Figs. 5.8 and 5.10, those killed in the R.101 tragedy were given a full state funeral and buried in a single grave in a cemetery which is close to the giant airship hangars at Cardington. It appears that those involved in developing the R.100 were not invited to participate in the funeral, and there’s no indication that Barnes Wallis (who was now the UKs leading technical airship engineer) was asked to give his opinion at the R.101 Inquiry. Despite her overall success, the R100 never flew again. For a year she remained in the giant hangar at Cardington and was subsequently broken up. Using steamrollers the immense girders were flattened and sold for *£600 as scrap. So ended the vision of the Imperial Fleet—but the lessons which can be learnt live on:

26

Weir (2002).

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‘But the shortcomings of the decision making of flawed human beings and shaky management systems that harnessed the energies and motivations of the generations just before our own escapes our notice. Perhaps the great hangar of the R100, rising high above the market gardens of Howden, seems to hide no secrets that could have illuminated the decision streams of the techies of Cape Canaveral. The technologies had, after all, moved on but the flawed organisational structures had not.’ (Weir 2002)

See Ethical Dilemma 1.2 and for related reading see Anderson (2013), Masefield (1982), Weir (2002), Kumar and Chakrabarti (2012).

the author has

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2. 3. scenarios.

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Discussion ‘When Oldspeak had been once and for all superseded, the last link with the past would have been severed. History had already been rewritten, but fragments of the literature of the past survived here and there, imperfectly censored, and so long as one retained one’s knowledge of Oldspeak it was possible to read them.’27

As we have discussed, the Internet wasn’t implemented according to a long-term design and development strategy but rather gradually evolved on the basis of the coalescence of a range of technologies, techniques, and opportunities. Thus the ways in which the Internet is currently used (and is likely to be used in the foreseeable future) cannot be linked to an overarching plan, but rather represent the results of a rapid evolutionary process. It represents a technological vehicle which appears to have gained an unstoppable momentum, intent on servicing a seemingly unquenchable thirst for increased connectivity, storage capacity, and access speed. New opportunities (which few could have imagined 40 years ago) are rapidly unfolding and as the scope and scale of the Internet continues to grow, ever more traditional forms of activity are being transferred to the online domain. Undoubtedly we are able to greatly benefit from the scope and convenience of this highly interconnected digital world. However at present it is impossible to gauge whether the Internet will mature in such a way as to truly act as an agent of service and empowerment or whether the interconnection of evermore powerful technologies coupled with the deployment of highly advanced software systems will result in the creation of a dystopian world in which, as with a spider’s intricate web, freedoms will be stifled. This lack of surety as to the future of the digital domain is a natural reaction to a race to deploy highly interconnected technologies without careful consideration as to the eventual ramifications of our actions. There is for example no doubt that as the IoT and IoE expand, we will be able to transfer even more activities to the digital domain—and as a result further blur the boundaries between the physical world and cyber space. But there is an important question to be addressed—is it prudent to permit this to happen without carefully studying the practical and ethical ramifications? Raising matters of this type does not bring into question or denigrate many of the excellent opportunities offered by Internet-enabled systems, but rather reflects prudent concern about aspects of current and future developments and can serve to highlight the need for informed discussion and forethought. When such discussion takes place, knowledgeable experts invariably raise concerns—but aren’t always able to provide sound solutions. For example, a GAO Report (Government Accountability Office 2017) discusses many aspects of the IoT and warns that: ‘…IoT devices collect information through sensors that are embedded in everyday items, ranging from thermostats to automobiles, that may have at best a very limited ability to 27

Orwell (1949).

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convey information about privacy policies and practices or to seek an individual’s consent to collect their personal information. While devices such as computers and smartphones can notify their users and obtain consent through information presented on a screen, many IoT devices have no screen or other interface to communicate with the user. For example, IoT-enabled baby monitors use sensors to monitor a baby’s breathing, sleeping temperature, body position, activity level, and whether they are awake or asleep. This information may be collected and stored on the device or in an Internet-based system maintained by the device’s manufacturer, but the monitor itself provides no notice or consent for this function. Even if a device has a screen, that screen may be too small to explain privacy policies and practices and obtain consent. Further, IoT devices may collect data at times when an individual is not be able to read a notice or offer consent, such as when driving an automobile, or when the individual is simply not aware that information is being collected…. An example of IoT use that may collect personal information without a user’s knowledge is Smart Cities, which continuously collect, aggregate, and use data about and for residents. Smart Cities collect information on various aspects of life, including health and wellness, energy efficiency, building automation, transportation, and public safety.’

Internet censorship also poses many difficulties. Invariably when I introduce students to this topic and promote initial discussion, some students confidently assert that the Internet should be entirely free from censorship, and others identify a small number of areas where they feel that censorship is appropriate. When those with this latter belief are encouraged to outline their reasons, they often suggest that censorship is needed in order to prevent people from being motivated to mimic activities portrayed through extreme content. Interestingly, in relation to some forms of video-based materials, I find that in initial discussions, students seldom raise issues relating to the possible exploitation of those participating in its creation. However, even as long ago as 2000, the ability of online technologies to facilitate certain forms of extreme exploitation (which includes trafficking and slavery) was clearly apparent. For example, in a disturbing publication, Hughes (2000) writes:28 ‘The burgeoning Internet industry owes its success in no small part to the sex industry. Consequently, it praises and protects it whenever needed. The policy of non-interference with the growth of Internet commerce and prevailing uncritical views on the sex industry are contributing to the escalation of the global sexual exploitation of women and children. What can be done to women and be transmitted over the Internet seems to have no limits.’

In Sect. 10.7 we consider ‘informed consent’ within the context of participation in experimental trials. As we discuss, ‘consent’ in its own right is insufficient because, for example, it may be granted without proper understanding (e.g. a person may be persuaded to sign a consent form written in a language which they don’t understand). And even when ‘informed consent’ is granted, it may have been achieved by coercion (e.g. pharmaceutical companies may offer inducements such as money, food, and medical care for a parent’s child). Similarly in the case of participation in the production of some forms of ‘adult’ Internet content, there is no guarantee that an appropriate ‘informed consent’ process has been followed or that ‘consent’ has been obtained without coercion (especially when (as with many medical trials) it involves people who are 28

For related discussion also see, for example, Tidball et al. (2015) and Helm (2018).

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vulnerable). However, the Internet provides an environment of convenience in which such considerations may not necessarily be appreciated by users—for after all it provides a domain which is widely promoted as empowering individuals irrespective of factors upon which inequality is so often founded (e.g. gender, wealth, race, and creed). But in reality in some situations, the Internet can be, and is undoubtedly used as a vehicle for exploitation. For example, discussing the situation at the start of the millennium, Carlson and Carlson (2000) indicate that: ‘The United Nations estimates that there are 200 million people around the world forced to live as sexual or economic slaves…Each year hundreds of Ukrainian women are trafficked into the United States. Most of the women believe they will be employed as waitresses or nannies only to be forced into the sex industry using debt bondage once they arrive.’

When we consider situations in which consent may be obtained without full disclosure and/or through coercion (of which financial debt is only one of many possible strategies), then it’s evident that this can impact upon the way in which we think about the censorship process and reveals that some descriptions are overly restrictive—if not naive: ‘…a censor wishes to prevent a willing speaker from speaking to a willing hearer. To censor is to interfere in an act of communication between consenting individuals.’ (Mathiesen 2008)

In addition, for some years there has been increasing concern about the impact of the accessibility of some forms of content to minors—see OTU Activities 5.17 and 5.18 for discussion. Although many perceive the Internet as representing a domain which should be free from what is often perceived as being the draconian machinations of the censor, for some, self-imposed censorship is frequently viewed as being acceptable. This may, for example, take the form of preserving anonymity when engaging in communications, or concealing aspects of one’s identity under the guise of another. From a positive perspective, anonymity can encourage people in troubled circumstances to reach out to others for advice and help. Contrariwise it can encourage undesirable behaviours which under some circumstances can have a devastating effect on targeted recipients. For example: ‘12-year-old Rebecca Ann Sedwick jumped from a platform at an abandoned cement factory to her death… Rebecca was barraged with messages on her phone including, “Go kill yourself,” and “Why are you still alive?”.’ (Taran 2013)

Cyberbullying and cyberaggression are relatively recent phenomena but draw on longstanding aspects of human behaviour. And so whilst in the online domain the bullies threat of physical violence is usually absent, other aspects can be reinforced by the anonymity offered by cyberspace: ‘Cyberbullying also provides anonymity to the bully not possible with traditional bullying… Cyberbullying is opportunistic because it causes harm with no physical interaction, little planning and small chance of being caught…Cyberbullying is public, pervasive and provides anonymity not observed with traditional bullying.’ (Peebles 2014)

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And as indicated in the Online Harms Report (2019): ‘The Guardian’s research into the 70 million comments left on its site over a ten year period highlighted that of the ten most abused writers, eight were women and two were black men. This is in spite of the fact that the majority of the regular opinion writers for The Guardian are white men. This was then compared to the ten writers who received the least abuse – who were all men.’

In many situations cyberaggression is catalysed, supported, and promoted by group dynamics which can emphasise certain behavioural traits—and this may well be further reinforced when communications are carried out behind the veil of anonymity: ‘…a tendency for many people to act rudely, aggressively, or illegally when their faces and names are hidden.’ (Dawson 2018)

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In fact in some situations human conduct can be quite inexplicable. For example, consider suicide attempts in which victims have threatened to jump from tall buildings—or the like. One research study (Mann 1981) revealed that: ‘…in 10 cases, people encouraged the suicide person to jump, and in three of the instances actually jeered when rescuers prevented death… one instance in which the crowd screamed obscenities and threw stones and debris at the rescue squad.’ (Dawson 2018)

The author observes that: ‘Whether the aggression is direct such as verbal abuse and threats, or indirect through exclusion, ostracism or spreading rumours, it wears down the victim, decimating their self-esteem and suffocating vestiges of hope for a positive future.’

Such physical world behaviours are ported across to cyberspace where toxic conduct may sometimes be deemed to be an acceptable facet of group dynamics: ‘Violent groups normatively validate violent action. Conformist groups normatively invalidate critical comment.’ (Dawson 2018)

Unfortunately, the young are particularly vulnerable to some of the negative aspects of the online domain, and for some cyberbullying may be pervasive and particularly insidious: ‘While traditional bullying is generally limited to school and home is a reprieve, victims of cyberbullying can be reached anywhere, anytime, and the potential audience is huge.’ (Peebles 2014)

In fact online abuse can take many forms with perpetrators targeting the most vulnerable members of society: ‘In the most horrific cases, child sex offenders in developing countries are abusing children at the instigation of offenders in the UK who commission the abuse online and watch it over live stream for a fee.’ (Online Harms Report 2019)

Shaheen and Hoff (2007) draw analogies between behaviours in cyberspace and William Goldings 1954 book, ‘Lord of the Flies’. In this disturbing and highly memorable novel, a group of children are marooned on a deserted island. In the absence of adult supervision their western behavioural norms rapidly fall away and are replaced by primitive behaviours. On the basis of his physical appearance and character, one member of the group is targeted as being an ‘Other’ (recall Sect. 3.6), and as result is subjected to increasingly profound bullying. This culminates in him being murdered by his peers, who hide their identity behind painted masks. When shortly thereafter a ship arrives and adults once more appear on the scene, the children rapidly reassume their veneer of civilized behaviour. The parallels between Golding’s deserted island in which the children are unfettered in their behaviour, and aspects of Cyberspace are readily apparent: ‘Left alone with no supervision, for example, Golding’s boys harass, then terrorize, and ultimately kill one another. Cyber bullying similarly puts students on a virtual island with no supervision and very few rules, which allows bullying to escalate to dangerous, even life-threatening levels. Further, the boys on the island realize that being evil is easier when they assume a different persona, and so they paint their faces for anonymity before they

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attack…Cyber-bullies are no different; the internet has provided young people with an arsenal of weapons for social cruelty…Just as the immaturity of Golding’s boys on that deserted island drove them to commit acts they might never have endorsed under the watchful eye of adults; so too in cyber-space, young people who might otherwise be inclusive and respectful in face-to-face interactions, are increasingly tempted to engage in negative online discourse without realizing the impact of their actions.’ (Shaheen and Hoff 2007)

Citing Bandura (1991), the researchers go on to observe that: ‘…physical distance provides a context in which students can ignore or trivialize their misbehavior, as easily as Golding’s boys did on their distant island. In cyber-space this form of disengagement is amplified.’

On the basis of both anecdotal and research-based findings, many firmly believe that online activities are having a significant detrimental impact on minors, with ever younger children accessing or being exposed to explicit materials (see, for example, Doward 2019).29 This provides a strong argument for the implementation of access controls and/or other forms of censorship. However, given increasingly diverse and often complex societal values it is evident that there are a multitude of factors which continue to impact on childhood and which are frequently said to hasten the loss of the Golden Age of ‘innocence’. Lott (2013) wistfully reflects on this Golden Age: ‘Innocence goes deeper than ignorance. It is some mysterious operation of the imagination, the part that can enter into mental universes from which one is soon to be forever excluded…. Every year from when I was of reading age, I was given a Rupert Bear annual for Christmas and every Christmas day I fell upon it with a passion, loosing myself in the mysterious tales of Chinese wizards and sea-gods and wood sprites. Then one year I picked up the annual and could not “get into it”. It was a book with pictures and a story. I could no longer enter its portal and inhabit its world.’

And Tait (2015) observes that: ‘Yet while we struggle to teach children how to use and filter the Internet, we have other sections of society determined to inform young children about issues of sexuality, of adult problems of diseases and behaviours at a younger and younger age…’

Winn (1983) provides interesting discussion in this area, summarises a range of perspectives, and highlights the importance of appreciating and supporting key physical and physiological differences which exist between child and adult (coupled with the crucial importance of supporting the former): ‘Trying to do away with the discrepancies between children and adults is more prevalent in America than in Europe. We rather feel it is helping to promote equality and democracy to treat children as equal, and for this reason we feel obliged to share all our adult knowledge with them. But it’s like feeding a 2-day-old child a delicious steak, justifying our action by saying that we love to eat steak and therefore it’s only fair to give it to our child. The trouble is that the child has no teeth and cannot eat the steak. He chokes on it.’

29

For related discusson, see Peter and Valkenberg (2016).

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On another note, and as we have briefly discussed, online censorship techniques can be used to support the dissemination of incorrect or misleading information. At the simplest level this may relate to users of social media who create false profiles in an effort to

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369

Data

Activities

Processing methodologies

User Environment(s)

Customisation and/or manipulation

Fig. 5.13 Indicative illustration of the use of feedback to control or manipulate a user’s experience of key aspects of the online domain. This may, for example, be used to manipulate the appearance of predictive text, adjust the order of responses generated in response to a search, control advertising, etc. Opportunities abound for more complex forms of manipulative censorship.

fabricate their optimal online persona. But opportunities to manipulate the actions and views of end users are offar greater consequence. In this context, the Internet can be used to provide each user with an inexhaustible flow of information which can be covertly tuned in a myriad of ways so as to obtain a given result. As illustrated in Fig. 5.13 online activities can be used to form feedback loop(s) in which users experience the online domain within environments which are highly malleable. This has the potential to implement highly subtle and invasive forms of gaslighting on a grand scale. Despite the many difficulties that are currently associated with Internet-based activities, many continue to affirm their belief that Cyberspace should be free from governmental interference and controls. From this perspective, a key strength of the Internet relates to the difficulty of implementing controls in ways that cannot be circumvented. In fact it is almost an impossible task. However it’s a route that a number of governments are pursuing, and it remains to be seen whether pervasive censorship coupled with Internet fragmentation will become the norm. It also remains to be seen whether today’s youngsters will look back on and view their Golden Age in terms of Housman’s ‘blue remembered hills’ as they exist in the beauty of the natural world in which we live or as rendered in, and inextricably linked with, cyberspace: ‘Into my heart on air that kills From yon far country blows: What are those blue remembered hills, What spires, what farms are those? That is the land of lost content, I see it shining plain, The happy highways where I went And cannot come again.’30 A. E. Housman (1859–1936): ‘A Shropshire Lad’.

30

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5.7 Additional Reading

5.7

371

Additional Reading

Asthana, A., ‘UK Urges Tech Giants to do More to Prevent Spread of Extremism’, The Guardian (1st Aug. 2017). Baase, S., ‘A Gift of Fire: Social, Legal, and Ethical Issues for Computing Technology’, (4th Edn.) Pearson (2013). Bishop, K., ‘Human Sex Trafficking: A Thematic Analysis of New York Times Coverage’, Scientia et Humanitas (Spring 2016). Busby, M., ‘School Lessons to Cover Sexting, FGM and Mental Health’, The Guardian (25th Feb. 2019). ‘Gayle, D., ‘Millions of Porn Videos Will Not Be Blocked by UK Online Age Checks’, The Guardian (18th Oct. 2018). Hanes, D., Salgueiro, G., Grossetete, P., Barton, R., and Henry, J., ‘IoT Fundamentals Networking Technologies, Protocols, and Use Cases for the Internet of Things’, CISCO Press (2017). Hern, A., ‘Facebook Using Secret Tool to Delete Messages from Executives’, The Guardian (6th April 2018). Jenkins, S., ‘Sex Education is Not a Mater for Ministers’, The Guardian (1st March 2019). Mcardle, E., ‘The New Age of Surveillance’, Harvard Law Today (10th May 2016). McPherson, R., Houmansadr, A., and Shmatikov, V., ‘Using Live Streaming to Evade Internet Censorship’, Proceedings on Privacy Enhancing Technologies, 3, pp. 212-225 (2016). Naim, M., and Bennett, P., ‘The Anti-Information Age’, The Atlantic (15th Feb. 2015). Pickett, D., ‘The Internet of Everything will Impact Everything, Including Your Next Tech Job’, Wired (Feb. 2015). Reynolds, G., ‘Ethics in Information Technology’, (6th Edn.), Cengage (2019). Romm, T., ‘Europe has Fined Google $2.7 billion for Manipulating Search Results’, Recode (27th June 2017). Sandbrook, D., ‘Lady Chatterley Trial – 50 Years on. The Filthy Book that Set Us Free and Fettered Us Forever’, Telegraph (16th Oct. 2010). Schmidt, E., and Cohen, J., ‘Web Censorship: The Net is Closing In’, The Guardian (23rd April 2013). Schmidt, E., and Cohen, J., ‘The Future of Internet Freedom’, The New York Times (11th March 2014). Solon, O., ‘Counter-Terrorism was Never Meant to be Silicon Valley’s Job. Is that why it’s Failing?’, The Guardian (29th June 2017). Vitale, K., Barricading the Information Superhighway to Stop the Flow of Traffic: Why International Regulation of the Internet is Necessary to Prevent Sex Trafficking’, American University International Law Review, pp. 91–131 (2012). Walmsley, N., ‘R101 A Pictorial History’, Sutton Publishing Ltd. (2000). Weber, R., and Studer, E., ‘Cybersecurity in the Internet of Things: Legal Aspects’, Computer Law and Security Review, 32, pp. 715–728 (2016).

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Zimbardo, P., ‘The Human Choice: Individuation, Reason, and Order Versus Deindividuation, Impulse, and Chaos’, in Arnold, W., and Levine, D., (Eds.), Nebraska Symposium on Motivation’, 17, pp. 237–307, Lincoln: University of Nebraska Press (1970).

References Agar, J.E., ‘Modern Horrors: British Identity and Identity Cards’, in Caplan, J., and Torpey, J., (Eds.), ‘Documenting Individual Identity’, pp. 101–120, Princeton University Press (2001). Anderson, J., ‘Airship on a Shoestring: The Story of R.100’, Bright Pen Books (2013). Bandura, A., ‘Social cognitive theory of moral thought and action’, in Kurtines, W.M. and Gewirtz, J.L. (Eds.), ‘Handbook of moral behavior and development’, 1, pp. 45–103, Hillsdale, NJ: Lawrence Erlbaum (1991). Baran, P., ‘Reliable Digital Communications Systems Using Unreliable Network Repeater Nodes’, RAND Corporation (Mathematics Division), (27th May 1960). Berman, F., and Cerf, V., ‘Social and Ethical Behaviour in the Internet of Things’, Communications of the ACM, 80, No. 2, pp. 6–7 (Feb. 2017). Berners-Lee, T., ‘Weaving the Web’, Harper Collins (2000). Bush, V., ‘As we Think’, The Atlantic Monthly (July 1945). Business Wire, ‘Global Internet of Everything (IoE) Market Worth USD 23.97 Trillion by 2010’, (2016). Cadwalladr, C., ‘Google, Democracy and the Truth about Internet Search’, The Guardian (4th Dec. 2016). Cameron, D., ‘David Cameron’s Porn Speech in Full’, politics.co.uk (22nd July 2013). Carlson, E., and Carlson, O., ‘The Internet and Sex Industries Partners in Global Sexual Exploitation’, IEEE Technology and Society Magazine (Spring 2000). Catholic Herald, ‘Bishop of Shrewsbury: Christians could be Victims of New Anti-Extremism Strategy’, (1st Aug. 2017). Cisco, ‘The Internet of Everything Global Public Sector Economic Analysis’, (2013). Cohen-Almagor, R., ‘Internet History’, International Journal of Technoethics, 2, No. 2, pp. 45–64, (April-June 2011). ComRes, ‘Evangelical Alliance – Survey of GB Adults on Extremism’, (2017). Davison, P., ‘The R101 Story: A Review based on Primary Source Material and First Hand accounts’, Journal of Aeronautical History, pp. 43–167 (2015). Dawson, J., ‘Who is That? The Study of Anonymity and Behaviour’, Association for Psychological Science (April 2018). Denyer, S., ‘China’s Scary Lesson to the World: Censoring the Internet Works’, The Washington Post (23rd May 2016). Dilhac, J., ‘The Telegraph of Claude Chappe – an Optical Telecommunication Network for the XVIIIth Century’, IEEE Global History Network, (2001). Doward, J., ‘Adults Only: The Battle to Keep Online Pornography from Britain’s Children’, The Guardian (24th March 2019). FNARH (Fédération Nationale des Associations de Personnel des Postes et Télécommunications pour la Researche Historique), ‘La Télégraphe Chappe’, Editions de L’est (1993). Freedom on the Net, ‘Privatizing Censorship, Eroding Privacy’, Freedom House Report (2016). Gibbs, S., ‘Google Alters Search Autocomplete to Remove “Are Jews Evil” Suggestion’, The Guardian (5th Dec. 2016). Gratton, G., ‘Flight Testing the Titanic: Re-Visiting the Loss of His Majesty’s Airship R.101’, Journal of Aeronautical History (2015). Government Accountability Office (GAO-17-75) ‘Internet of Things Status and Implications of an Increasingly Connected World’, Report to Congressional Requesters (May 2017).

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Helm, T., ‘Outlaw Prostitution Websites to Protect Enslaved and Trafficked Women, says MPs: Online Advertisements Accessible in the UK are at the Heart of a Sex Industry with Organised Crime Links, Commons Group Hears’, The Observer (30th June 2018). Hempel, J., ‘Social Media made the Arab Spring, But Couldn’t Save it’, Wired (26th Jan. 2016). Holzmann, G., and Pehrson, B., ‘The Early History of Data Networks, Wiley’, IEEE Computer Society Press (1994). Hughes, D., ‘‘‘Welcome to the Rape Camp”: Sexual Exploitation and the Internet in Cambodia’, Journal of Sexual Aggression, pp. 29–51 (2000). Hughes, D., ‘The Use of New Communications and Information Technologies for Sexual Exploitation of Women and Children’, Hastings Women’s Law Journal, 13 (1), pp. 129-148 (2002). Joint Committee on Human Rights, ‘Counter-Extremism’, House of Lords House of Commons, Second Report of Session 2016–17, HL Paper 39 (22nd July 2016). Kaffash, J., ‘Average Waiting Time for GP Appointment Increases 30% in a Year, Pulse Today’, (10th June 2016). King, M., ‘Letter written in Birmingham City Jail’, Accessed via Martin Luther King Jr. Research and Education Institute (16th April 1963). Kumar, A. and Chakrabarti, A., ‘Bounded Awareness and Tacit Knowledge: Revisiting Challenger Disaster’, Journal of Knowledge Management, 15, No. 6, pp. 934-949 (2012). Lawrence, D. H., ‘Lady Chatterley’s Lover’, Peacock Books (2001). Lawton, B., ‘Control, Response and Crash of HMA R.101’, Journal of the Aeronautical Society (2018). Leiner, B., Cerf, V., Clark, D., Kahn, R., Kleinrock, L., Lynch, D., Postel, J., Roberts, L., and Wolff, S., ‘A Brief History of the Internet’, ACM SIGCOMM Computer Communication Review, 39, No. 5, pp. 22–31 (Oct. 2009). Licklider, J., ‘Man-Machine Symbiosis’, IEE Trans. Human Factors in Electronics (Mar. 1960). Lott, T., ‘What Exactly us the Innocence of Childhood’, The Guardian (10th May 2013). Manjoo, F., ‘Apple’s Silence in China Sets a Dangerous Precedent’, The New York Times (31st July 2017). Mann, L., ‘The Baiting Crowd in Episodes of Threatened Suicide’, Journal of Personality and Social Psychology, 41, No. 4, pp. 703–709 (1981). Masefield, P., ‘To Ride the Storm: The Story of the Airship R.101’, William Kimber, London (1982). Mathiesen, K., ‘Censorship and Access to Expression’, in Himma, K., and Herman, T., (Eds), ‘Handbook of Information and Computer Ethics’, John Wiley and Sons: New York (2008). McOwan, P., and McCallum, L., ‘When Fridges Attack: the New Ethics of the Internet of Things’, The Guardian (8th Sep. 2014). Miranda, J., Makitalo, N., Garcia-Alonso, J., Berrocal, J., Mikkonen, T., Canal, C., and Murillo, J., ‘From the Internet of Things to the Internet of People’, IEEE Internet Computing (2015). Morris, S., ‘Education is the Solution: The Gloucestershire High School Enforcing a Digital Detox’, The Guardian (17th July 2017). Mozur, P., ‘China’s Internet Censors Play Tougher Game of Cat and Mouse’, The New York Times (3rd Aug. 2017). NASA, ‘Innovation Pushed Too Far Too Fast’, System Failure Case Studies, 1, No. 6 (April 2007). Norway, N., ‘The Airship Venture’, Blackwood’s Magazine, pp. 599–627 (1933). O’Donnell, C., ‘New Study Qualifies use of Social Media in Arab Spring’, University of Washington News (12th Sep. 2011). Online Harms Report, ‘Online Harms White Paper’, Presented to Parliament by the Secretary of State for Digital, Culture, Media & Sport and the Secretary of State for the Home Department, (April 2019). OpenNet Initiative, https://opennet.net/about-filtering. Orwell, G., ‘Nineteen Eighty-Four’, Martin Secker & Warburg Ltd (1949). Panter-Downes, M., ‘The Lady at the Old Bailey’, The New Yorker (19th Nov. 1960).

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Peebles, E., ‘Cyberbullying: Hiding Behind the Screen’, Paediatric Child Health, 19, No. 10 (19th Dec. 2014). Penny, L., ‘David Cameron’s Internet Porn Filter is the Start of Censorship Creep’, The Guardian (3rd Jan. 2014). Peter, J., and Valkenberg, P., ‘Adolescents and Pornography: A Review of 20 Years of Research’, The Journal of Sex Research, pp. 1–23, (2016). Pfanner, E., ‘Cameron Exploring Crackdown on Social Media after Riots’, The New York Times (11th Aug 2011). Press Association, ‘Wi-Fi at Tube Stations Disabled Amid Climate Protests’, Wimbledon Times (April 2019). Quinn, B., ‘Nursery ‘Raised Fears of Radicalisation over Boy’s Cucumber Drawing’’, The Guardian (11th Mar. 2016). R. 101 Inquiry, ‘Report of the R.101 Inquiry’, His Majesty’s Stationery Office (1931). Ransome, A., ‘Authur Ransome: Autobiography’, (1st Edn.) Jonathan Cape Ltd (1976) Robertson, G., ‘The Trial of Lady Chatterley’s Lover’, The Guardian (22nd Oct. 2010). Robinson, D., ‘The Zeppelin in Combat’, G. T. Foulis & Co. Ltd (1966). Senate Standing Committee (on Environment and Communications), ‘Harm being done to Australian Children through access to Pornography on the Internet’, Australian Government, Submission 131 (10th Mar. 2016). Shaheen, S., and Hoff, D., ‘Cyberbullying: Clarifying Legal Boundaries for School Supervision in Cyberspace’, International Journal of Cyber Criminology, 1, 1 (Jan. 2007). Shute, N., ‘Slide Rule: The Autobiography of an Engineer’, Heinemann Ltd (1953). Snyder, T., and Byrd, G., ‘The Internet of Everything’, IEEE Computer (2017). Sollon, O., and Levin, S., ‘How Google’s Search Algorithm Spreads False Information with a Rightwing Bias’, The Guardian (16th Dec. 2016). Suddards, J., ‘How the Internet of Humans will Forever Change your Healthcare and Insurance Policies’, Business Value Exchange (BVex) (10th Jan. 2017). Sun, C., Bridges, A., Johnason, J., and Ezzell, M., ‘Pornography and the Male Sexual Script: An Analysis of Consumption and Sexual Relations’, Archives of Sexual Behaviour (2014). Tait, P., ‘Too Much Information Destroys Childhood Innocence’, The Telegraph (3rd Feb. 2015). Taran, R., ‘Cyberbullying Apps—Why are we Allowing Anonymous Cruelty?’, HuffPost (18th Nov. 2013). Tarzey, B., ‘No Silver Bullet for Business IoT Security’, Computer Weekly (23rd Jan. 2017). Taylor, M., ‘Attempts to Ban Speakers ‘Put Mission of Universities at Risk’’ The Guardian, (13th Nov. 2015). Taylor, M., Gayle, D., and Brooks, L., ‘Extinction Rebellion keep control of Major London Sites into a Third Day’, The Guardian (17th April 2019). Thomson,C., ‘Air Facts and Problems’, John Murray (1927). Tidball, S., Zheng, M., and Creswell, J., ‘Buying Sex On-Line from Girls: NGO Representatives, Law Enforcement Officials, and Public Officials Speak Out About Human Trafficking—A Qualitative Analysis’, Journal of Gender Issues (Springer), pp. 53–68 (8th July 2015). Tufekci, Z., ‘After the Protests’, The New York Times (19th Mar. 2014). Walsh, J., ‘Art and Censorship: Portrait of an Outrageous Lady’, The Independent (18th Mar. 2006). Weir, D., ‘When Will They Ever Learn? The Conditions for Failure in Publicly Funded High Technology Projects: The R101 and Challenger Disasters Compared’, Disaster Prevention and Management, 11, No. 4, pp. 299-307 (2002). Winn, M., ‘The Loss of Childhood’, The New York Times Magazine (8th May 1983).

6

Ethics and the Environment

‘They gather and plot to erase The good thoughts of light. Yet it does not fade before my sight… Out of my grasp the window lies, Calm, resolute, and full of generous pleasure. But it is also turning dark and will fall With the going down of the sun.’1

6.1

Introduction

In this chapter we focus on aspects of environmental stewardship: specifically the notion that manufacturers, governments, technology professionals, end users, and in fact all stakeholders have a fundamental responsibility to be cognisant of, and ameliorate, the negative environmental ramifications of technological products. A fundamental tenet of this discussion centres on a belief that there is no reason why today’s market forces, which are often primarily underpinned by short-term economic objectives, should voluntarily seek to align with the longer-term requirements of sound environmental stewardship. Indeed in many cases, any such alignment is purely coincidental. Consequently the greatest ethical responsibility should fall on the shoulders of science, engineering, and technology professionals who are (at least in theory) best placed to analyse, understand and advise on not only the negative environmental ramifications of Product Lifecycles, but who are also able to identify and implement

Blundell, Q., ‘A Sunset’, in ‘Collected Works’ (2020).

1

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solutions which ameliorate the consequences of short-term profit-based Lifecycle strategies. Indeed environmental stewardship in relation to the design, manufacture, use, and disposal of technologies is of ever greater importance (although this is seldom given significant coverage in today’s science, engineering, and technology curricula). The global population continues to increase with great rapidity and we are fortunately living at a time when technological products are ever more accessible to people in every part of the world. As a consequence, products are being manufactured on an unprecedented scale, often with little meaningful minimisation of their negative environmental ramifications. All too often the true minimisation effort is directed towards production costs, and in parallel the drive for repetitive consumption figures highly on many corporate agendas. In such cases, the maximisation of the return to shareholders is often deemed to be paramount. Although a growing number of organisations are applying innovative ‘Green’ principles to their operations, many are failing to truly embrace such an ethos. Consequently, as we will see, each stage in the Product Lifecycle reveals mismatch between commercial and environmental considerations, and the former often tend to take precedence. In recent years a degree of progress has been made in addressing this imbalance, but there is much more to be done and problems may well be exacerbated by the proliferation of some forms of IoT products. Specifically, there is the likelihood that the inclusion of this form of technology within everyday products is likely to increase the pace of product manufacture whilst at the same time reducing operational lifetimes. Without significant positive advances in the ways in which technological products are designed, manufactured, and ultimately disposed of, it would therefore appear that the environmental problems associated with our technological progress will increase in profundity. The earth is rich in natural resources. Consequently, environmental discussions relating to the perilous rate at which we are consuming resources are often perceived as lacking credibility, or as emanating from well-meaning but misguided alarmists. However, when we look a little more closely at the actual extent to which key resources are being consumed in the mass production of technological products, and couple this with the problems associated with the effective recycling of e-waste, the figures suggest that we should take global impact much more seriously (for example, look forward to Tables 6.1, 6.2 and 6.3). In the next section we focus on aspects of the Product Lifecycle. As we will see, whilst consideration of Lifecycles can be most helpful, it invariably gives rise to oversimplifications and fails to take into account indirect environmental overheads which occur from the Inception through to the Termination Phase. In Sect. 6.3 we turn our attention to product shipping within the context of the environmental impact which is associated with centralised, remote manufacturing, processes. As we will discuss, the shipping industry consumes substantial resources and continues to generate major levels of pollution. Despite moves to reduce these environmental overheads, much more effort is needed to put more extensive international agreements in place.

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In Sect. 6.4 we consider ethical issues associated with product obsolescence. We review various strategies which may be adopted and place this in context by brief discussion of several historical examples. We begin by considering Henry Ford’s somewhat ill-fated objectives in designing a car that would last, such that: ‘…we want the man who buys one of our cars never to have to buy another.’ (Ford 1922)

This outlook is contrasted with the strategy adopted by Ford’s main rival General Motors. Whilst Ford’s Model T represented a reliable workhorse which was developed using sound engineering principles, General Motors sought to develop strategies which were intended to promote ‘repetitive consumption’, where customers were encouraged to regularly upgrade to the latest model. Indeed, product obsolescence was central to the General Motors business model. A further example is intended to illustrate the notion of ‘death dating’ (also referred to as engineering obsolescence). This concerns the so-called Phoebus Cartel conspiracy in which during the 1920s the world’s largest light bulb manufacturers entered into an agreement whereby they reduced the working life of bulbs from the typical 1,500–2,000 hours down to 1,000 hours. Naturally this was underpinned by profit motives. In Sect. 6.5 we consider issues relating to product repair. Negative environmental consequences associated with the Product Lifecycle can often be countered by extending a product’s useful (operational) lifespan. A traditional approach involves the repair of broken/non-working products, and in this section we briefly discuss factors that discourage repair or even make repairs unfeasible. Section 6.6 focuses on aspects of the Product Lifecycle in the context of the IoT, and particularly opportunities that are likely to arise (either directly or indirectly) for manufacturers to increase their control of product obsolescence. In Sects. 6.7 and 6.8 we consider human obsolescence and the human lifecycle. This provides an interesting backdrop against which we are able to gain further insight into the ways in which emerging automation and AI technologies may impact on society. The growth in the number and capacity of server farms and in Cloud Computing raises a number of environmental issues, particularly in connection with their ever-increasing consumption of power. This is outlined in Sect. 6.9. Finally, Sect. 6.10 provides a further example of organisational failures with deadly consequences. We focus on the last flight of the Columbia Space Shuttle which was launched on 16th January 2003. Damage that the craft sustained to its vital thermal protection tiles as it left its launch pad compromised its ability to withstand the searing heat of atmospheric re-entry. In short, after launch the craft was a deathtrap. Opportunities to survey the level of damage whilst in orbit were missed and key engineering considerations were not always paramount. As a result, during its return to earth the space craft disintegrated only 16 minutes before its scheduled landing. In common with other related accounts appearing at the end of various chapters, this is an history of organisational failure in which professional ethical values were at times cast to one side.

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Ethics and the Environment

Inception Phase

Product design and prototyping

Product manufacture Realisation Phase

Shipping and sales

Product use Useful Phase

Product repair

Product shipping, recycling and disposal activities

Termination Phase

Fig. 6.1 A simplified illustration of the Product Lifecycle in which four general phases are identified. This is assumed to primarily apply to a range of technology-based consumer products such as computer equipment, mobile phones, televisions, and the like. To some extent, it is also applicable to cars and other vehicles which incorporate ever more complex technologies. See text for more detailed discussion.

6.2

The Product Lifecycle ‘Given the current depth of the true problems raised by technological development, no political action in the normal sense of the term is adequate today.’2

In this section we focus on the Product Lifecycle (as summarised in Fig. 6.1). This is assumed to extend across, and embrace all aspects of a product’s existence from its embryonic stage, during which feasibility and marketability are analysed, through to product disposal and possible recycling. It is not possible to devise a meaningful Lifecycle which is universally applicable and consequently in this 2

Ellul (1981).

6.2 The Product Lifecycle

379

section we primarily focus on technology-based consumer products. However, much of the discussion can be applied to a broad range of manufactured goods. In the following subsections we review each of the four key phases identified in Fig. 6.1.

6.2.1 Product Inception Phase The Inception Phase varies widely between types of product. However, we can assume that it will embrace feasibility, costing, and marketing studies together with engineering activities such as hardware/software design, prototyping, testing, verification, and optimisation. We suppose that this phase also includes the establishment of the machinery and the many other facilities that are likely to be required for mass production. In the case of some products, such facilities may already be available in a company’s local factory. Alternatively facilities may need to be procured and established locally, or offshore manufacturing may be preferred. This early phase of the Product Lifecycle draws together people with diverse skills, and a broad range of resources are needed. These will have various forms of environmental impact which may range from the footprint associated with long-haul travel, through to the resources expended on initial engineering activities. As discussed in the next subsection, providing a meaningful (reasonably accurate) estimate of a product’s true environmental cost is non-trivial and oversimplifications abound. In Fig. 6.2 we indicate a number of exemplar areas which can be better supported by ensuring that forward-looking and ethically focused environmental considerations are fully infused into the Inception Phase. Environmental considerations may not be viewed as aligning with a short term revenue driven focus and in the absence of effective legislation (and assuming that professional ethics is not a core organisational value), the latter may predominate. For example, minimising the environmental impact of the manufacturing process may well increase manufacturing costs, and extending the span of the Useful Phase may reduce sales in the longer term. As discussed in Sect. 6.5 during the last 3–4 decades, many manufacturers of electrical products have endeavoured to make it more difficult for third parties to successfully undertake product repair. One approach which has been widely adopted is to remove standard labelling from electrical components and to replace this with in-house part number codes. Thus the values of resistors and capacitors may not be indicated, and other standard components such as diodes, transistors and integrated circuits may only be identifiable if a technician has access to service manuals. Naturally, this not only makes the repair process more difficult, but may also make it necessary for replacement parts to be procured at inflated costs from the product manufacturer. Consequently, when a product fails it is often cheaper to buy a new replacement rather than attempt to have the existing product repaired. In contrast, prior to the 1980s the electronics industry was much more geared towards third party product repair. Components could be readily identified (and hence replaced) and some

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Resources Minimise environmental impact of Realisation Phase

Technologies Packaging Reparability

Planning during Inception Phase

Maximise Useful Phase

Durability Upgradeability Consumables Recycling

Optimise Termination Phase

Hazards Waste

Fig. 6.2 Decisions taken during the Inception Phase can have a profound impact on a technology’s environmental footprint. Here we show a very limited number of indicative areas which may be strongly influenced by early decision-making processes. We assume that power used by a product during its working life is included as a ‘consumable’. See text for general discussion.

manufacturers followed the excellent practice of affixing a copy of the complete circuit diagram onto the inside of a product’s case. In contrast, today’s circuit diagrams and servicing information are often closely guarded and, given the use of multilayer printed circuit boards and custom integrated circuits, attempting to ‘trace out’ electronic circuits is often difficult if not impossible. It is also important to recognise that even when manufacturers attempt to deliver products which have an extended Useful Phase, product life may ultimately be cut short by end-users. This is because in many economically wealthy countries users may elect to replace products not because they are in some way faulty, but because they are seeking higher performance or because they wish to be seen sporting the latest technology. Thus, for example, a television may be discarded simply because a user wants a larger screen and a Smartphone because the user wants to be seen carrying the most fashionable device in mobile communications: ‘Although data collected by Kantar World Panel indicates that between 2013 and 2015, smartphone users started to delay their phone upgrades, the average smartphone lifecycle in the USA, China, and major EU economies does not usually exceed 18 months to 2 years.’ (Baldé et al. 2017)

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Materials

Electricity

Subsystems

Factory(s)

Equipment

People

Product

Bulk shipping

Unit shipping

Infrastructure

End user

Fig. 6.3 A highly simplified overview of a Product Realisation phase. In reality, each of the inputs can be represented as a series of Sub-Cycles (see text for discussion).

The extent to which commercial organisations embrace ethically-based environmentally acceptable standards is highly variable, and whilst many claim to have adopted the principles of GreenIT, in reality this is sometimes set within a framework of unfounded hype. Many manufacturing organisations continue to embrace within the Inception Phase design work which is intended to incorporate built-in obsolescence, or at the very least strategies by which they will be able to eventually transition products to the Termination Phase.

6.2.2 Product Realisation Phase ‘The most important human endeavour is the striving for morality in our actions. Only morality in our actions can give beauty and dignity to life.’3

Figure 6.1 indicates two key aspects of the Product Realisation Phase: manufacture and shipping. In Fig. 6.3 we provide a high-level overview of these two processes and as may be seen we assume that manufacture requires a number of inputs such as materials, electricity and subsystems (which may take the form of pre-assembled electronic circuits, product casings, packaging products, and the like). For the most part, it is the sheer scale of many production processes which is of concern, as in such cases this can lead to the extensive consumption of supporting inputs. Following manufacture it is assumed that products are shipped in bulk to overseas destinations, warehoused and subsequently individual instances of the product are freighted to end-users. In terms of the supply chain, for simplicity we assume online product purchase and so do not include the likelihood of sales through physical retail outlets.

3

Attributed to Albert Einstein (1879–1955).

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Sub-Cycles

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Fuel extraction and refining Shipping

Fuels for use

Sub-Cycles

Sub-Cycles

Electricity generation

Transmission

Factory application

Fig. 6.4 Here we expand on the ‘electricity’ input referred to in Fig. 6.3. We assume the use of fossil fuels such as coal or oil and indicate a number of Sub-Cycles. These in turn comprise other Sub-Cycles such that the production of the electricity required for a manufacturing process may be viewed as being based on a series of past and present bootstrapping Sub-Cycles (see text for further discussion).

In reality, Fig. 6.3 provides us with a somewhat superficial perspective and consequently in Fig. 6.4 we demonstrate complexity by focusing on a single factory input. Arbitrarily, we have selected the input relating to the production of electricity, and have assumed that this is based on the burning of fossil fuel. The diagram represents the various indicative stages as a sequential process, from extraction (and in the case of oil, refining) through to the delivery of electricity to the factory. In addition we illustrate a number of Sub-Cycles which have been, or are needed in order to support the associated processes. By way of example, consider the extraction of the fossil fuel (which we will assume is crude oil) needed not only to provide the energy used for the generation of electrical power used by a factory, but also to support other stages of the processes referred to in Fig. 6.4. Extraction cannot begin until a viable source of crude oil has been located and the necessary equipment has been manufactured and shipped to the site (along with the people needed to establish and run the operation). As we consider this matter in ever more detail, it is apparent that the successful extraction of the crude oil is reliant on a range of diverse Lifecycles (referred to here as Sub-Cycles) which are brought together to effect the extraction process. In terms of our current discussion we are primarily interested in the Sub-Cycles which have directly contributed to the process indicated in Fig. 6.4, and neglect those

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of an historic nature. Indeed if we were to do otherwise, then we would be endeavouring to take into account the Sub-Cycles which have over the centuries resulted in the development of ever more advanced tools, machines, and technologies. From the perspective of our current discussions, this would not be a productive exercise. Thus we put to one side the evolutionary bootstrapping processes which have provided us with the means to mass produce technological products. In relation to the evaluation of the environmental impact which is associated with the large-scale manufacture of technological products, literature frequently cites resource requirements per individual product entity in terms of, for example, the volume of purified water, the weight of fossil fuel (used for energy production), the weight of raw materials, etc. However, as is evident from the above, this can over-simplify the true impact because it fails to account for the many often interlocking Sub-Cycles that are directly and indirectly associated with the manufacturing processes. Moreover product shipping which is a significant environmental concern is often overlooked (see Sect. 6.3). The production of Smartphones provides us with a useful example illustrating the phenomenal growth of manufacturing processes which have transformed the way in which we communicate with each other and with the digital world. Greenpeace estimates that from 2007 to 2016 approximately 7.178 billion4 Smartphones were manufactured, and provides useful summary data indicating that: ‘In 2007, roughly 120 million smartphone units were sold worldwide. That number climbed to over 1.4 billion in 2016. By 2020, smartphone subscriptions are expected to hit 6.1 billion, or roughly 70% of the global population. Among 18 to 35 year olds, smartphone ownership is already 62% globally, and in some countries, such as the United States, Germany, and South Korea, it tops 90%.’ (Jardim 2017)

The report goes on to note that: ‘While part of the increasing rate of smartphone sales is caused by first-time buyers, 78% is estimated to be attributed to existing smartphone consumers replacing their phones. In the United States, the average replacement cycle was just over 2 years…Even though most smartphones still function for far longer than this, roughly two thirds of American consumers are lured in to prematurely upgrading for the latest features. Some phones are even marketed as “free” with a new contract, which makes the effort and expense of repairing the current device seem like a greater obstacle.’ (Jardim 2017)

Table 6.1 summarises key materials that are typically used in the Construction of Smartphones. As can be seen, whilst the quantity of materials comprising a single phone is very small, when calculated over the number of Smartphones manufactured since 2007 raw material usage becomes highly significant. Although claims are often made suggesting the imminent exhaustion of the global reserves of particular elements, these tend to be somewhat overly pessimistic and hence inaccurate. However, it is important to bear in mind that extensive mining activities can result in major environmental damage and for this reason the prudent use of many materials is strongly desirable. 4

Greenpeace report that this data was obtained from Gartner’s worldwide Smartphone market share reports and IDC’s Worldwide Quarterly Mobile Phone Tracker.

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Table 6.1 General summary of materials used in the construction of Smartphones. Although the actual quantities of material used per phone may be very small, the overall material consumption calculated over the total number of Smartphones that are estimated to have been manufactured since 2007 is considerable. Naturally, as the amount of individual materials varies between types of phone, this data should simply be interpreted as being indicative. (Adapted from Jardim 2017) Material

Indicative Materials found in Smartphone (gms)

Indicative Total Consumption since 2007 (kg)

Aluminium Copper Plastics Cobalt Tungsten Silver Neodymium Gold Indium Palladium Gallium

22.18 15.12 9.53 5.38 0.44 0.31 0.05 0.03 0.01 0.01 0.0004

157,480,000 107,350,000 67,660,000 38,200,000 3,120,000 2,200,000 340,000 210,000 71,000 71,000 2,800

6.2.3 Product Useful Phase ‘Integrity without knowledge is weak and useless, and knowledge without integrity is dangerous and dreadful.’5

The previous stages in the Product Lifecycle exist to support the Useful Phase during which a product fulfils its designated function(s). We can loosely express a Lifecycle Efficiency metric n as: nð%Þ ¼

Useful outputðsÞ  100: Resources consumed across Lifecycle þ Costs

Where ‘useful outputs’ incorporates the intended product function(s) together with secondary opportunities that can be derived from the re-use of product parts through recycling. ‘Resources consumed across Lifecycle’ accounts for all direct and indirect inputs (which includes inputs associated with the Termination Phase), and ‘Cost’ reminds us that there may be additional long-term environmental overheads associated with, for example, non-recoverable resource consumption and impacts of landfill growth. During the Useful Phase, most types of product are likely to continue to consume electrical energy, only some of which will directly result in useful output (with the remainder being most frequently dissipated as heat). In some cases electrical energy is directly derived from natural sources (e.g. solar powered products), and in this case we would not consider the energy needed to operate the product over its lifetime 5

Attributed to Samuel Johnson (1709–1784).

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as a consumed resource. In principle this reduces the magnitude of the denominator in the above expression, but we must also bear in mind that the manufacture of the solar panel(s) is a resource intensive process which in turn adds to the denominator. Thus in some cases a product’s use of solar, rather than batter, power may not actually increase the efficiency metric. For discussion of solar power see Sect. 6.9.3. The extent of the Useful Phase can be measured in various ways. For example, we may use time (corresponding to product age at the time of its transition to the Termination Phase) or total product output. In the case of mobile phones and the like, we are most likely to focus on the number of years over which the product is used, whereas in the case of a motor vehicle its Useful Phase contribution may be better measured in terms of the total number of miles over which it has been driven before being scrapped. Both of these are simply indicative measures as neither directly identifies the true useful output, which is of course both difficult to define and problematic to measure. Naturally, from an environmental and hence ethical perspective, we should seek to maximise a product’s Useful Phase and this may be supported by product servicing, repair work, and by designing products so that they are upgradeable. However there are instances when the maximisation of the Useful Phase can be disadvantageous. For example, consider the case that a product’s environmental impact gradually increases over time (due to some sort of inherent technical deterioration), or even remains constant. In contrast, suppose that a new generation of an equivalent product exhibits much better environmental characteristics. The question then arises as to the point at which the existing products should be retired to make way for the superior replacement. This is not necessarily straightforward and should not simply focus on financial opportunities. This is because there is a need to consider the environmental overheads which have already been expended on products which are in use, and in addition those associated with the Termination Phase once products are retired. These may well be much greater than gains which can be derived from rapid product replacement. Contrariwise, government initiatives which are intended to promote an image of environmental responsibility can have a negative environmental impact. Current moves to drive the transition to electrically driven motor vehicles may ultimately fall into this category by forcing the disposal of conventional vehicles in accordance with a rigid and non-optimal timetable. Further, the true benefits of this type of change may be over-claimed and negative consequences overlooked (or even suppressed).

6.2.4 Product Termination Phase This phase of the Product Lifecycle has received the greatest media attention and consequently there is a growing awareness of not only the difficulties associated with the proper handling of e-waste, but also of the environmental damage caused by its exportation from economically wealthy countries to those with poorer economies. The scale of the e-waste problem is enormous and continues to grow:

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‘In 2016, 44.7 million metric tonnes of e-waste were generated, an increase of 3.3 million metric tonnes, or 8 per cent, from 2014. Experts foresee e-waste increasing a further 17 per cent to 52.2 million metric tonnes by 2021. In 2016, only about 20 per cent, or 8.9 million metric tonnes, of all e-waste was recycled.’ (UN News 2017)

Faced with such data the sheer size of the numerical quantities is difficult to conceptualise. However, in an attempt to provide a physical insight into the scale of e-waste generation, Baldé et al. (2017) suggest that the 2016 figure is approximately equivalent to the weight of nearly 4,500 Eiffel Towers. Alternatively, by the end of March 2017, there were *31.1 million cars registered for use in the UK. If we loosely assume that the mass of a car is *1,500 kg, then the total mass of these cars is *46.7 million Tonnes. Thus the total mass of all cars registered for use on UK roads at the end of March 2017 was just a little greater than the total estimated mass of e-waste generated in 2016. Table 6.2 provides approximate figures for 2016 indicating the regional generation of e-waste in terms of absolute weight and weight per inhabitant. The Table also provides an indicative insight into the percentage of e-waste that was recycled. Table 6.2 Data for 2016 providing an indicative insight into the regional generation of e-waste and the percentage recycled. (Data source Baldé et al. 2017)

Asia Europe Americas Africa Oceania

E-waste generated (kg)

E-waste measured in kg per inhabitant

Percentage documented as being recycled

18,200,000,000 12,300,000,000 11,300,000,000 2,200,000,000 700,000,000

4.2 16.6 11.6 1.9 17.3

15% 35% 17% Data not available 6%

Baldé et al. (2017) estimate that the predicted *52.2 million metric Tonnes of e-waste to be generated in 2021 corresponds to *6.8 kg per global inhabitant. In connection with the apparently small percentages of e-waste that is recycled, Baldé et al. (2017) note that: ‘The low collection rate compared to the total amount of e-waste generated is partly explained by the fact that only 41 countries have official e-waste statistics. For 16 other countries, e-waste quantities were gathered from research and estimated. The fate of a large majority of the e-waste is simply unknown. In countries where there is no national e-waste legislation in place, e-waste is likely treated as other or general waste. This is either land-filled or recycled, along with other metal or plastic wastes. There is the high risk that the pollutants are not taken care of properly, or they are taken care of by an informal sector and recycled without properly protecting the workers, while emitting the toxins contained in e-waste.’

As is apparent from Table 6.2, Oceania (in which major populations are located in Australia and New Zealand) generated the greatest weight per inhabitant. This is briefly discussed by Baldé et al. (2017):

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‘In Oceania, the total e-waste generation was 0.7 Mt [million tonnes] in 2016. The top country with the highest e-waste generation in absolute quantities is Australia (0.57 Mt). In 2016, Australia generated 23.6 kg/inh [inhabitant] and New Zealand 20.1 kg/inh. Only the Australian government implemented its National Television and Computer Recycling Scheme in 2011. Official data shows that only 7.5% of the e-waste generated in Australia is documented to be collected and recycled. In New Zealand and the rest of Oceania, the official collection rate is 0%. New Zealand is still in the process of developing a national scheme to deal with the e-waste issue.’ (Baldé et al. 2017)

It is perhaps particularly surprising that at the time of writing New Zealand has no national scheme in place for e-waste recycling (a matter which is of great concern to many New Zealanders). Although some recycling takes place, extensive use continues to be made of landfill dumping coupled with overseas e-waste exportation. Writing in 2008, I reflected on the handling of e-waste at the end of an annual ‘inorganic rubbish disposal week’ in the Auckland region. This is a time at which householders place items which they wish to discard outside their homes for collection by the local council. Invariably very large mounds of goods appear and from a recycling perspective this offers significant benefits. Local inhabitants take pleasure in ‘salvaging’, on the basis that one person’s discarded items may often be seen as being of value to others thereby extending the Useful Phase of many products. At the end of the period, huge trucks appear to collect the residue and naturally one would anticipate separation of e-waste from other items such as household furniture and the like. However: ‘The recent inorganic waste collection exercise on Waiheke [Island] highlighted several issues. Alarming numbers of televisions, computer monitors, printers, etc. were piled by the roadside… while Auckland City Council demonstrated considerable irresponsibility by compacting e-waste along side everything else.’ (Blundell 2008)

In short, all goods that were not salvaged by locals ended up in landfill. In 2008 when the above was written, the transition from CRT based TVs and computer monitors to thin panel displays had gained considerable momentum and I conservatively estimated that: ‘There are approximately 500,000 CRT based televisions and computer monitors in this country [New Zealand], most of which will be superseded by thin panel displays during the next five years. Assuming an average of 10 kg of glass per CRT, then if the policy employed by ACC [Auckland City Council] is to be the norm, 5,000,000 kg of high lead content glass is soon to enter our landfills.’ (Blundell 2008)

Additionally, dumping of CRT-based products releases toxins into the environment, including zinc, barium and strontium compounds (for related discussion, see Singh et al. 2016). Similarly, for many years, the compacting of household refrigerators was also environmentally harmful as it released Freon gas into the atmosphere. This is harmful to the high-altitude ozone layer which functions to reduce the level of ultra-violet radiation reaching the Earth’s surface. However I well recall another ‘inorganic rubbish disposal week’ in the Auckland region prior to which households were informed by the council that refrigerators would only be collected if the pipe work at the rear of a fridge had been cut and hence the gas released into the atmosphere…

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Technical Issues Performance Issues

Support Issues

Limitation Issues

Standards

Displacement Human Factors

Ethics and the Environment

Reliability Failure Breakage Specifications Capabilities Hardware related Software related Features Functionality Safety Operation Efficiency Performance Usage Marketing driven Self-driven

Fig. 6.5 Here we summarise some of the factors that may result in a product transitioning from the Useful to the Termination Phase. Naturally these factors are not equally applicable to all forms of technology-based consumer products.

Figure 6.5 summarises some of the factors which may cause a product to transition from the Useful Phase to the Termination Phase. These are briefly discussed below: 1: Technical Issues: These may arise as a result of poor manufacturing techniques, design weaknesses, product misuse, accidental damage, etc. In addition, technically related failure may be the result of a planned obsolescence strategy on the part of the manufacturer. In terms of product failure arising from accidental damage, this may reflect a lack of rigorous product testing or a failure to fully appreciate (or ignore) hazards to which a product is likely to be exposed. For example, in the case of mobile phones and digital cameras their transition to the Termination Phase has often been brought about by unintentional immersion in water. It is possible to argue that such a hazard is easily anticipated and should have been addressed during the Inception Phase (see OTU Activity 6.1). 2: Performance Issues: Over time as newer products emerge, it is inevitable that the specifications of older products will be superseded and capabilities may become dated. Furthermore, and most importantly, software upgrades may cause the performance of older products to decline such that they may eventually become impractical to use. As IoT and IoE (recall Sect. 5.2.3) based devices become ever more commonplace, this is likely to impact on an ever greater range of products. Until relatively recent times the operating systems and applications programs run on personal devices tended to be fairly stable

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and were generally only updated at the behest of the user. In contrast, automatic updating is now commonplace and can lead to a general degradation of device performance. Of course whilst a user may choose to disable automated updates, this may have unsatisfactory consequences particularly in terms of device security. As discussed in Sect. 5.2.4, IoT devices are frequently vulnerable to security problems and so their software systems must be upgraded over time. This provides opportunities for manufacturers to deliberately increase software complexity so as to reduce device performance and hence force end-users to purchase devices with more advanced specifications (see OTU Activity 6.2). Over the years, many manufacturers have devoted considerable efforts to promoting repetitive consumption by devising and refining obsolescence techniques (see Sect. 6.4) and so it would not be surprising if opportunities arising from ‘software induced obsolescence’ do not become more widely adopted (see (3) below, and Sect. 6.6). OTU Activity 6.1 As indicated in the text, many mobile phone technologies have been terminally damaged as a result of their accidental immersion in water. Discuss the following: 1. Is this a hazard that should have been identified and addressed as part of good design practice? 2. Do you believe that manufacturers deliberately ignore this type of hazard so as to promote the sale of replacement phones/cameras and/or the marketing of more expensive waterproof product versions? 3. Given the environmental overheads that are associated with the Lifecycle pertaining to technological products, does a manufacturer have an ethical obligation to ensure that a product is able to withstand elementary hazards to which it is likely to be exposed? Contrariwise, is it ethical for a manufacturer to deliberately ignore one or more likely hazards so as to increase sales of replacement phones? 4. In the case of readers who have young children, discuss whether or not you believe that sound design principles are generally employed so as to ensure the ruggedness of product. For example when placed in the hands of children, how often do gifts survive Christmas day?

Users may also discard products on the basis of their quest for better performance. One of the classic examples concerns the transition from CRT (Cathode Ray Tube) based television and computer displays to the equivalent thin panel systems (based on LCD, plasma or LED technologies). For many decades, the CRT dominated the display market but as screens became larger, CRT-based systems became increasingly bulky and much heavier. Thin panel displays provided a lightweight solution and of course over time they have developed to support very large screen sizes (which could only be equalled by projector-based CRT-based displays). The thin-panel approach was strongly promoted by manufacturers as representing an eco-friendly stylish solution and

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b Fig. 6.6 The upper image shows a small CRT (equipped with scan coils). In recent years very

many millions of such CRTs have been discarded without any major effort to recycle them. Lower image—air was carefully allowed into the CRT (which contains a high vacuum and so is capable of implosion) and subsequently the glass vessel was broken up. Some of these fragments are on the order of 1 cm in thickness. Once consigned to landfill, this glass will remain there indefinitely. In addition as indicated in the text, CRTs also contain various toxins and when discarded in landfill sites these are likely to leach into the environment.

seemingly overnight, the CRT lost its dominant position in the display market. This is perhaps somewhat surprising as in terms of visual attributes, the mature CRT technology outperformed early thin panel displays and image quality was invariant with viewing position (which is certainly not the case in respects of many forms of liquid crystal based displays). Over a very short period of time vast numbers of the ubiquitous CRT-based televisions and computer monitors transitioned to the Termination Phase. Certainly in the economically wealthier countries owners did not wait for their televisions and monitors to fail before replacing them—even when CRT displays were in fully working order, you couldn’t even give them away. Furthermore, as the sale of thin panel displays boomed, few special disposal measures were put in place for handling the millions of CRT-based displays that were being discarded. As indicated above, in countries such as New Zealand the great proportion of these technologies were consigned to landfill. In hundreds if not thousands of years time archaeologists will be able to unearth from such sites great quantities of the glass used in the manufacture of CRT vacuum vessels (see Fig. 6.6). 3. Support Issues: Manufacturers can also influence the time at which products reach the end of their useful lives by either ceasing to support hardware and software systems, or by increasing the costs associated with support. In this latter respect the cost of replacement parts and consumables (if relevant) may be increased until a point is reached at which continued use is no longer viable. Alternatively software may not be modified to work with newer versions of an operating system (a form of ‘software-induced obsolescence’): ‘Manufacturers have also used software updates to privilege newer models of smartphones and computers, invisibly pressuring customers to buy new devices just to maintain parity of experience. And companies have also increasingly ended support for older models or the operating systems that run on them…manufacturers have given people fewer and fewer viable ways of keeping older electronics functioning effectively. In the process, profits from device sales are way up, along with the satisfaction of these companies’ shareholders.’ (Ahmed 2016)

By way of a simple example, in the case of older printers manufacturers may terminate support for driver software such that when an operating system is upgraded (or when a new computer is purchased), the software needed to operate the printer is no longer available. In an alternative scenario, printer operation may be discouraged by increases in the cost of ink cartridges. However this opportunity is lost when such cartridges can be obtained from third party sources (in the form of refills). This impacts on a manufacturer’s ability to sell printers

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for minimal cost and offset this by creating a significant revenue stream through their monopoly on the supply of relevant cartridges. Not surprisingly therefore various printer manufacturers have gone to some lengths to devise cartridges which cannot be easily refilled. This practice provides us with an example of the use of technology to deliberately ensure that a product can only be used once: the Useful Phase cannot be extended (see OTU Activities 6.2 and 6.3). OTU Activity 6.2 Recall Albert: the fictitious person introduced in Chapter 2 who is setting out in his career and who we described as possessing ‘a strong technology background, is high achieving, a good communicator and has a positive ethical ethos’. Also recall the fictitious ethically impoverished company ‘Cowboy Educational Services’. Suppose that this company has now expanded and has taken over ‘Cowboy Internet Solutions’ which manufactures and sells hardware and software IoT systems and that Albert is now employed by this subsidiary organisation. Albert learns that the company has a policy of deliberately designing automatic software updates so that they gradually reduce the performance of IoT devices. The aim is to erode product usability so that frustrated end users will soon purchase newer devices. Albert is concerned that this policy is causing large quantities of perfectly good hardware to transition to the Termination Phase. Discuss how you believe Albert should react to this situation – what (if any) are his professional and ethical obligations?

Cars and other motor vehicles come equipped with ever more complex technologies and often, with age, the electronic systems cause the greatest number of technical problems. Most commonly faults arise with sensors and actuators, and particularly with electrical connectors which become increasingly unreliable with age. In contrast the mechanical systems used in motor vehicles have largely attained unprecedented levels of reliability and in addition many manufacturers employ techniques which largely eradicate body corrosion. Consequently, the costs associated with the repair of the complex electronic systems found in many of today’s motor vehicles are likely to play an important role in limiting their operational life, and undoubtedly manufacturers are in a strong position by being able to control the distribution and cost of replacement parts. 4. Limitation Issues: Invariably new versions of technologically-based products (hardware and software) come equipped with many extra features. It is in fact inconceivable that a new release of software would have fewer rather than more features. By way of a simple example, consider Microsoft Word which has gradually become ever-more complex and offers a huge range of menu options. It is highly likely that an analysis of usage would reveal that very many of the options are seldom, if ever, used.

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Offering a greater number of features can eventually result in the emergence of non-intuitive user interfaces which can be highly frustrating to end users. However, many people prefer to continually upgrade to the latest hardware and software products and may not mull over the extent to which they actually need additional functionality. Further, seemingly attractive trade in deals that are offered by retailers can reinforce the drive to exchange the old for the new. This doesn’t necessarily mean that older technologies are automatically transitioned to the Termination Phase as they will often be sold on to those who have more limited budgets. This second-hand trade can result in products being shipped for re-use to economically less wealthy countries where eventually they are more likely to be disposed of in ways which may have a negative impact on people and the environment. 5. Standards: Governmental standards relating to product safety, operation, and efficiency (which is assumed to relate to power usage) invariably become more demanding over time. Of these three areas, safety related standards perhaps have the most significant effect on transitioning products to the Termination Phase. For example in some countries legislation has impacted on the second-hand market for electronic products. Consequently, even charity shops will no longer accept such products as they cannot legally sell them on without first having them examined by a qualified electrician (which naturally has an associated cost). Whilst at first glance this may seem to be a prudent requirement, in reality for many years products have been designed to incorporate excellent safeguards in respect of electrical isolation. Furthermore since modern domestic electrical supplies employ sensitive fast acting circuit breakers rather than traditional fuses, the chance of technology-based products causing electrocution or representing a significant fire hazard is greatly lowered. In short safety related issues are often over exaggerated. OTU Activity 6.3 From an ethical perspective (and bearing in mind the environmental impact associated with the printer cartridge lifecycle), discuss the incorporation of technology within cartridges, intended to deliberately prevent them from being refilled. Discuss technical approaches that are used for this purpose.

Whilst it is of course appropriate to pay due regard to possible safety issues, it is also important to consider the environmental impact associated with the early (and unnecessary) termination of a product’s useful life. This provides us with a further example of the mismatch between manufacturer’s aspirations and best practice in respect of environmental stewardship. To the manufacturer, the availability of second-hand products (and the second-hand market itself) usually offers no benefits, and in the case of some products may be seen as reducing new product sales. In contrast from an environmental perspective it is often advantageous to maximise a product’s useful life.

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Product disposal can also be caused by a failure to put appropriate international standards in place. Consider the case of the external power supplies associated with laptops, mobile phones, and a broad range of other products. Every time we purchase such products we are provided with yet another power supply, and when a product is discarded, so too is its power supply (which is usually in full working order): ‘One million tons of external power supplies are manufactured each year. This highlights the importance of efforts to reduce the number of such power supplies, and to make them more sustainable. In this regard, environmentally friendly standards for power adapters by the International Telecommunication Union (ITU) are an important step towards reducing greenhouse gas emissions, increasing energy efficiency, and reducing the amount of e-waste generation. In one of its latest eco-standards, ITU identifies specific principles for the eco-design of laptop chargers to reduce power consumptions, and to make them compatible with more devices.’ (Baldé et al. 2017)

OTU Activity 6.4 Consider the sale of mobile devices such as iPads, phones, laptops, etc. 1. Discuss whether power supplies should be sold separately, thereby giving users the opportunity to upgrade a device without necessarily needing to acquire yet another power supply. 2. Following on from (1), discuss basic ideas for standardisation which would support this approach.

6. Displacement: In this scenario, products become obsolescent because they are no longer able to perform their designated function. Consider the introduction in the UK and elsewhere some decades ago of the 625 line television standard. At a single stroke, termination of the existing 405 line standard resulted in the obsolescence of all televisions built to display this number of lines per image frame. Similarly, the migration of TV transmission from VHF to UHF ultimately rendered all traditional VHF televisions obsolete. With the introduction of colour TV transmission, sales of the traditional monochrome (black and white) televisions plummeted. They were no longer deemed to offer satisfactory performance, and of course when colour television was first introduced TVs were expensive and so ownership was often perceived to be a status symbol. Moves to replace analogue amplitude modulation and frequency modulation radio broadcasting with digital transmission may be deemed advantageous by some (especially manufacturers), but are likely to terminate the Useful Phase of practically all traditional radios. 7. Human Factors: Finally in terms of reviewing the areas summarised in Fig. 6.5, we turn to human factors and in Fig. 6.7 illustrate several indicative routes by which a person may decide to personally purchase a particular

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Existing Brand X customer

Forced to repurchase

Motivated to upgrade

New potential customer

Enticed to switch brand

Influenced first time product buyer

Any ethical/environmental considerations?

Selects Brand X

Selects other brand

Fig. 6.7 Summarising four routes which may lead new or existing customers to personally purchase a particular technology product (‘FIME—forced, influenced, motivated, and enticed’). We question whether ethical and/or environmental considerations play a significant part in influencing their decision. See text and OTU Activity 6.5 for discussion.

technology product. Marketing exercises (associated with product attributes) may ‘entice’ or ‘motivate’ a person to replace a current (and fully working) product, or alternatively a person may be self-motivated (e.g. by wishing to sport the latest and most stylish of devices). Situations may also arise in which product failure has occurred and in parallel the customer feels that on the basis of functionality (or familiarity) he/she has no option but to purchase a replacement product from the same manufacturer. There may be many factors that result in a person making a particular purchase at a particular time, and a key goal of any marketing department is to influence people by either persuading existing customers to upgrade at the earliest possible time, or to attract new customers through brand switching. All too often the efforts of product marketing teams are facilitated by a growing and often obsessive customer tendency for over-consumption: ‘…where we purchase things, not to fulfil our basic needs, but to fill some voids about our lives and make social statements about ourselves. .. It turns out our stuff isn’t making us any happier… Our obsessive relationship with material things is actually jeopardising our relationships.’ (Cole 2010)

The extent to which environmental and ethical considerations influence the average customer’s decision-making process is of course debatable (see OTU Activity 6.5).

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OTU Activity 6.5 Consider the exemplar scenarios summarised in Figure 6.7. These are briefly discussed in the text. 1. 2. 3.

Discuss the extent to which you believe that customer choice is influenced by environmental and ethical considerations. Discuss whether you believe that environmental and ethical considerations in relation to the Product Lifecycle ever take precedence over financial considerations (product price) in respect of customer product purchasing. In the case that in response to (1) above you believe that such considerations sometimes play a significant role in customer choice, discuss the type of products to which this may be particularly relevant. Also discuss the availability of accurate, detailed, and accessible information which may support the customer’s decision-making process.

Figure 6.8 summarises four forms of activity which may be adopted in product deconstruction and possible recycling. Components and materials may be extracted for reuse such that they can be directly employed for other purposes (which include the repair of similar products), or materials may be harvested. In this latter respect, efforts may be made to extract gold, lead, tin, etc. Copper wires are used extensively in many forms of electrical product but in many situations the copper is sheathed with an insulating plastic. E-waste handling in many economically poorer countries often encompasses throwing insulated copper wires onto fires to burn away such plastics. This results in the liberation of toxins which can have serious health implications for people in the vicinity (especially for those who are exposed to the acrid fumes for protracted periods of time). Table 6.3 provides summary data concerning some indicative materials that are often associated with e-waste. For each of these the Table also includes an estimate of the amount of material disposed of in 2016 and its corresponding monetary value.

Table 6.3 Here, we indicate various exemplar materials that are frequently associated with e-waste. For each of these, an estimated of the amount of material disposed of in 2016 is provided together with an indication of its monetary value. (Adapted from Baldé et al. 2017) Material

Weight (tons)

Value (Euros)

Iron Copper Aluminium Silver Gold Palladium Plastics

16,283,000 2,164,000 2,472,000 1,600,000 500,000 200,000 12,230,000

3,582,000,000 9,524,000,000 3,585,000,000 884,000,000 18,840,000,000 3,369,000,000 15,043,000,000

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Material harvesting and reuse

Component level reuse

Extraction Activities

Product, component or material dumping

Product, component or material destruction Legal and ethical

Legal and non-ethical Illegal but ethical Illegal and non-ethical

Fig. 6.8 Summarising four forms of activity which may be employed during the Termination Phase. In each case there are potential legal and ethical issues which can possibly conflict with each other.

A cursory glance at this data may suggest the desirability of making an immediate career change and the establishment of an e-waste recycling company. Unfortunately, making significant amounts of money from recycling e-waste is not easy and brings to mind the longstanding dream of profitably extracting gold from sea water: ‘With about five million pounds worth of gold dissolved in each cubic mile of seawater, man has often sought a way of digging out this treasure…gold has actually been extracted from the ocean, but unfortunately the cost of the process is five times the value of the gold obtained.’ (Nature 1941)

To extract this gold, a vast amount of seawater must be processed in a highly efficient way. This also applies to the profitable extraction of certain materials from e-waste. Computers, mobile phones, etc. each contain only minute amounts of gold and other valuable materials and so there is a need to process large numbers of products and perform the extraction process with great efficiency. In this latter respect, it is necessary to do battle with product design strategies, which are usually not intended to facilitate the recycling process. In short: ‘Valuable materials are easily lost due to imperfect separation and treatment processes. These solutions should be coupled with an optimized design of the electric and electronic equipment to enable the disassembly and reuse of components, or the recovery of valuable and precious materials.’ (Baldé et al. 2017)

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And: ‘In response to all this digital detritus has risen a cottage industry of recyclers. From multi-million-dollar corporations to local nonprofits to fly-by-night, back-of-the-van scammers… Recycling electronic waste requires the ability to collect, sort, dismantle, and extract recyclable materials and precious metals from a whole range of devices, while also separating out non-recyclable and hazardous waste… The profits are slim, the overhead is huge, and the regulatory landscape is endlessly confusing… At a certain point, recyclers of e-waste can spend more money recycling electronics than they make selling the post-recyclable material back to the manufacturers.’ (Hawkins 2016)

Opportunities to make money from material extraction become even bleaker when we consider e-waste recovery from products that have been consigned to landfill. Even if we make the optimistic assumption that the materials do not escape from products and leach into the local environment, product density is low. Consequently there will be a need to process very large volumes of non e-waste material in order to locate products containing the metals that we seek. Thus landfill disposal of e-waste has at least two major consequences—firstly the leaching of toxins into the environment and secondly the viability of recovering materials at some future time when they have become more scarce and hence more valuable. The problems of effectively handling e-waste and maximising the extent to which materials and components can be recycled are exacerbated by a failure to encompass recycling by design techniques during the Inception Phase. This can frustrate efforts to carry out the product deconstruction process in an orderly manner and in extreme cases can thwart efforts to carry out viable clean recycling. When properly designed, at the very least a product should come apart easily and without the need for specialised tools. Further, the deconstruction process should be reasonably intuitive. These are important considerations as for the foreseeable future there can be little doubt that e-waste will continue to be exported (either legally or illegally) from wealthier to poorer countries (see OTU Activity 6.6). Despite the extensive media attention which has been directed to the exportation of e-waste to countries in which safety and environmental standards are lower (or alternatively not strictly enforced), it would seem that the general public still retains confidence in e-waste recycling schemes. Thus people will often diligently place batteries and printer cartridges in recycling bins and trust that ‘take back’ schemes6 lead to proper recycling. Indeed from a superficial perspective, the ‘take back’ approach appears to represent a sound and convenient approach. However, this strategy assumes that subsequent processes are carried out in a scrupulous way…

6

In this scenario, when a retailer sells a product to a customer, the retailer is forced by law to take possession of the customer’s old equivalent product and dispose of it (assuming of course that the customer doesn’t wish to retain it).

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OTU Activity 6.6 As indicated in the text, there can be little doubt that for the foreseeable future, ewaste will continue to be exported (either legally or illegally) from wealthier to poorer countries. Product manufacturers are well placed to reduce negative environmental and health consequences arising from the rudimentary handling of e-waste. 1.

2.

Discuss the extent to which on ethical grounds manufacturers should adopt a pragmatic approach during the product Inception Phase by employing techniques which will better guard the heath and well-being of those who are driven to engage in recycling in poorer countries. Following on from (1), discuss approaches that they could employ to improve matters.

Of course the retailer is not in a position to directly process acquired e-waste and so it will be passed on or sold to people who are in theory able to do so. Indeed the e-waste may be passed from organisation to organisation before it is eventually processed—somewhere… A number of studies have revealed that despite well-meaning legislation, large volumes of e-waste continue to end up in economically poorer countries—often as a consequence of ‘scam recycling’. A key difficulty centres on the actual profit that can be made by properly handling e-waste. This varies between types of product, but ultimately the costs associated with processing may exceed the value of the extracted materials. Given that the proper disassembly of technological products tends to be a labour-intensive undertaking, it is perhaps not surprising that unscrupulous people seek to exploit people who will undertake the work for the least cost. This exportation industry continues despite the fact that many countries are now signatories to the Basel Convention: ‘The Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal is a multilateral treaty aimed at suppressing environmentally and socially detrimental hazardous waste trading patterns. The convention was signed by 186 countries.. E-waste, due to its constitution, often contains hazardous elements. Therefore, the Convention affirms that in order to protect human health and the environment, hazardous waste should not be traded freely like ordinary commercial goods, and thus it establishes a written notification and approval process for all cross-border movements of hazardous wastes. But the Basel Convention’s regulatory exemption on equipment that’s destined for reuse is entirely compatible with its prime environmental objective to prevent waste generation, as reuse extends the lifecycle of EEE and therefore mitigates the generation of hazardous waste. By prolonging the functionality of electronics, reuse promotes natural resource conservation and at least temporarily diverts the need for recycling or disposal.’ (Baldé et al. 2017)

One approach to circumventing this agreement is to export e-waste under the guise of its constituting re-usable equipment. Thus, for example, shipping containers can be loaded with e-waste with only the products closest to the container doors being actually usable. Should any inspection take place, upon opening the doors only

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intact computers and similar products will be visible thereby suggesting that these typify the contents of the container as a whole. Alternatively, it is not unknown for unscrupulous exporters to simply affix cash bribes to the inside of container doors (Slade 2006). The Basel Action Network reports on investigations made in connection with the handling of e-waste in the U.S. One aspect of their work involved affixing GPS/cell phone tracking devices to the inside of e-waste products prior to their disposal thereby allowing subsequent movements to be followed: ‘BAN’s investigators visited GPS locations where the trackers ended up and found hundreds of e-waste junkyards in New Territories [Hong Kong’s rural northern area] where hazardous equipment is unfortunately smashed by hand, exposing workers to dangerous mercury laden dust, vapours and hazardous toners. Much of the e-waste was simply dumped in fields and wastelands.’ (BAN 2018)

The health hazards associated with the ad hoc salvaging of e-waste materials have received considerable research attention. Grant et al. (2013) draw together the findings of a number of researchers who have studied the impact upon human health of potentially toxic materials which are either directly associated with e-waste, or which may be generated through improper handling. They focus on the results reported in 23 studies, all of which related to e-waste handling in southeast China. Table 6.4 lists a number of these materials and provides examples of their occurrence. Additionally, ways in which they may enter the ecosystem are also indicated. This in turn determines mechanism(s) by which they may enter the human body (typically inhalation of materials released into the air, ingestion and contact). It appears that the impact of these toxins can have significant impact on the young and can pose particular dangers during pregnancy: ‘…there have been consistent effects of exposure with increases in spontaneous abortions, stillbirths, and premature births, and reduced birth weights and birth lengths in most studies…. Findings from the two ecological studies showed that physical growth indicators such as weight, height, and body-mass index, were significantly lower in children living in the e-waste recycling town of Guiyu than in those living in the control area.’ (Grant et al. 2013)

The researchers also report a correlation between blood chromium concentrations in 11–13 year-old children and forced vital capacity (which indicates the presence and severity of lung disease). Findings also suggest a correlation between improper large-scale e-waste handling and DNA damage, change in thyroid function and changes in temperament/behaviour. In this latter respect: ‘Some investigators have proposed associations between lead and polychlorinated biphenyl exposure and an increased risk of aggression and international rates of violent crime. Data also suggest that lead exposure combined with genetic predisposition can trigger schizophrenia. Although debated, heavy metals might have a role in the development of neurodegenerative diseases Alzheimer’s disease (aluminium) and Parkinson’s disease (lead).’ (Grant et al. 2013)

Air, dust, soil and food (bioaccumulative in fish and seafood). Air, water, food, soil, and dust. Air, dust, soil, and food.

Fluoropolymers in electronics. Combustion by-products

(continued)

Air, dust, soil and food (bioaccumulative in fish and seafood). Air, dust, soil, food, water, and vapour.

Dielectric fluids, lubricants and coolants in generators, capacitors and transformers, dishwashers and motors. Combustion by-product

Polychlorinated dibenzodioxins and dibenzofurans Dioxin-like polychlorinated biphenyls Perfluroalkyls Acenaphthene, acenaphthylene, anthracene, benz[a] anthracene, benzo[a]pyrene, benzo[e]pyrene, benzo[b]fluoranthene, benzo[g,h, i]perylene, benzo[j]fluoranthene, benzo[k] fluoranthene, chrysene, dibenz[a,h]anthracene, fluoranthene, fluorine, indeno[1,2,3-c,d]pyrene, phenanthrene, and pyrene

Air dust, food, water and soil

Fire retardants

Brominated flame retardants Polybrominated diphenyl ethers Polychlorinated biphenyls

Entry into ecosystem

Source

Material

Table 6.4 Indicating a number of hazardous materials that are either directly associated with e-waste or which may be generated through improper handling (most commonly by burning). In each case indicative usages/modes of generation are given together with the way(s) in which materials enter the ecosystem. Health issues may arise as a result of ingestion, inhalation, dermal contact or transplacental (passage from mother to unborn child via the placenta) mechanisms. (Adapted from Grant et al. 2013)

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Source

Solder, batteries. Anticorrosion coatings, floppy discs, data tapes. Switches, batteries, photocopies, cathode ray tubes, mobile phones.

Sensors, cold cathode fluorescent lamps

Cathode ray tubes. Batteries Batteries Cathode ray tube electron guns Power supplies.

Material

Lead Chromium Cadmium

Mercury

Zinc Nickel Lithium Barium Beryllium

Table 6.4 (continued) Air, dust, water, soil. Air, dust, water, soil. Air, dust, water, soil, food (especially rice and vegetables). Air, vapour, water, soil, and food (bioaccumulative in fish) Air, water, and soil. Air, soil, water, and food (plants) Air, soil, water, and food (plants) Air, water, soil, and food Air, food and water

Entry into ecosystem

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Efforts to better understand the human impact of e-waste toxins are confounded by the diverse nature of the materials to which individuals are simultaneously exposed. Such difficulties are further exacerbated when toxic materials emanating from other forms of hazardous waste are also present in the environment. However, it is abundantly evident that e-waste is far from benign and is causing significant numbers of vulnerable people to experience real and potentially serious long-term health problems. This not only applies to those who are directly working in the proximity of e-waste, but also to people located at greater distances through water and air-based contamination. Despite these serious issues many product manufacturers have failed to accept their ethical responsibility in respect of designing and producing products which will be less harmful to people in economically poorer countries. Obviously such people may well have little insight into the harmful effects of polychlorinated dibenzodioxins, dioxin-like polychlorinated biphenyls, benzo[b]fluoranthene, dibenz[a,h]anthracene, etc. It is perhaps unlikely that a mother feeding her newly born child after working for some hours in, or near to, e-waste salvaging activities, will appreciate that she may well be delivering such dangerous toxins to her child through her nourishment. Finally, it is worth noting that even in the case that manufacturers place greater emphasis on ‘recycling by design’, this by no means guarantees that recycling will be carried out in a proper way. By way of a simple example, let’s return to the annual ‘inorganic rubbish disposal week’ in the Auckland region which was recounted early in this subsection. On the last occasion that I viewed this exercise, the disposal of CRT-based TVs and computer monitors was at its zenith. Great numbers of displays were discarded—and all employed scan coils. These are coils of copper wire that are placed around the ‘neck’ of a CRT to create magnetic fields which rapidly sweep the electron beams across the inner surface of the display. Whilst manufacturers have seldom (if ever) designed CRT displays in ways that facilitate recycling, removing a set of scan coils is not an arduous task. With appropriate screwdrivers and a pair of wire cutters the work usually takes less than five minutes (although given the risk of CRT implosion some care needs to be exercised). In the case of the inorganic exercise, this was clearly too arduous a process for one ‘enterprising’ recycler who was intent on getting hold of as many sets of scan coils in the shortest possible time and with the minimum effort (bulk copper wire (which is lacquered rather than sheathed in plastic) is a valuable commodity). It was evident that he had no time to spare to mess about with screwdrivers and the like. Wherever he found a display, he wielded his trusty sledgehammer with dexterity. Cases were smashed open and so too were the thick lead-glass CRT envelopes. Perhaps he were able to recover each set of scan coils in less than a minute—but as a result, large amounts of broken glass, together with the chemicals used to convert electron beam energy into visible light (phosphors) and other toxins surrounded the numerous sites of this ‘surgery’. This provides us with a simple indication of the practicalities of e-waste handling, as some of those involved simply wish to maximise profit whilst minimising effort—whatever the consequences of their actions.

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Product Shipping ‘Shelving hard decisions is the least ethical course.’7

As indicated in Fig. 6.1, material and product shipping via cargo vessels is likely to not only occur during the Realisation Phase, but may also take place in the Termination Phase in connection with e-waste handling. The move to offshore manufacturing (primarily intended to reduce production costs) together with the establishment of centralised (rather than geographically distributed) manufacturing facilities has had a major impact on the extent to which materials and products are shipped around the globe. In order to be commercially viable, these manufacturing modalities are dependent on driving down shipping costs, and this has been achieved by effecting major economies of scale. As a result, ever-larger container vessels are now traversing the oceans (see, for example, Fig. 6.9) and from an environmental perspective, this is having significant negative consequences. Undoubtedly Asia is now the predominant hub of the global technology manufacturing industry and for those living in other parts of the world: ‘Every day the clothes, tech and toys that fill the shelves in our shopping centres seem to arrive there by magic. In fact, about nine out of ten items are shipped halfway around the world on board some of the biggest and dirtiest machines on the planet.’ (Piesing 2018)

Today’s large aircraft and ships are highly complex, being extremely expensive both to build and operate. Consequently, in order for them to be viable, there is a need to work the craft as hard as possible. It is not simply a case that an airliner on the tarmac or a ship in port is not contributing to corporate profit, but rather that this is invariably generating a significant loss. As a result, in the case of container ships there is a need to minimise time in port (for loading/unloading, fuelling, and maintenance), to operate them with the smallest possible number of crew (which is supported through increased levels of automation), and to ensure that they make the largest possible number of carefully orchestrated voyages in the available time. In parallel, economies of scale are reliant upon maximising the number (and weight) of containers that can be carried. The pace at which ships have increased in size and hence carrying capacity is most impressive. Back in the mid-1950s capacity was measured in hundreds of containers, whereas today’s largest ships are able to carry in excess of *20,000. Of course, in practice, given logistical factors ships often sail without a full cargo and this reduces their overall efficiency. Despite this, the rate of growth of the extremely competitive shipping industry is remarkable— from 100 million tonnes in 1980, to 1.6 billion tonnes in 2014 (Wan et al. 2016), and there is every sign that this will continue to increase over the coming years.

7

Attributed to George Adrian Cadbury (Chairman of Cadbury and Cadbury Schweppes).

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Fig. 6.9 The Eleonora Mærsk which is 397 m in length and weighs 109,000 Tonnes. The engine system offers a maximum power of 90,000 KW and can propel the vessel at a top speed of 27 knots. For port manoeuvres, 5,500 KW bow thrusters are used. The vessel can carry a cargo of at least 11,000 TEUs (twenty foot container equivalent units). (Image credit ChrisPsi [CC BY-SA 3.0 (https://creativecommons.org/licenses/by-sa/3.0)], from Wikimedia Commons)

Choice of fuel is another paramount consideration and in order to save cost, the mammoth engines have traditionally been designed to operate on low-grade bunker fuel. In essence, this is a low volatility material which when cold can be walked upon (in order to be pumped it must first be heated). Cargo ships consume this fuel at a tremendous pace (the 1,300 feet long Emma Mærsk gets through *380 tons each day whilst at sea). But the use of such a cheap fuel comes at a price as it possesses *3,500 times more sulphur content than the diesel fuel used by motor vehicles (Wan et al. 2016). It is estimated that in recent times ships have been consuming over 7 million barrels of low-grade fuel each day and this results in the emission of *20 million tonnes of sulphur compounds each year. Putting this into context, it was estimated by Varsami et al. (2011) that sixteen of the world’s largest ships emitted more sulphur-based pollution than was generated by the total number of cars currently in use globally. The pollution generated from this consumption of fuel primarily comprises sulphur and nitrogen compounds (SOx and NOx) together with a vast quantity of CO2. (estimated to be on the order of nearly one billion tons annually): ‘Worldwide from 2007 to 2012, shipping accounted for 15% of annual NOx emissions from anthropogenic sources, 13% SOx and 3% CO2. In Europe in 2013, ships contributed 18% of NOx emissions, 18% of SOx and 11% of particles less than 2.5 micrometers in size.’ (Wan 2016)

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In absolute terms, in 2014 it is indicated that maritime shipping accounted for *8% of global emissions of sulphur dioxide (Wang 2014), and for 2015 the UN International Maritime Organisation estimated that worldwide shipping accounted for *2.2% of all global greenhouse gas emissions and 2.1% of CO2 emissions (Anon 2018). This article quotes ICCT (International Council on Clean Transportation) data suggesting that in 2015 global shipping generated 812 million tonnes of carbon dioxide, and if it were treated as a country it would be ranked as the sixth largest producer of CO2 for 2015. Although current developments are intended to significantly reduce engine emissions of sulphur and nitrogen compounds, the net improvement remains uncertain: ‘Unfortunately, long-term expansion in global trade and growing ship numbers mean that even if these measures are fully implemented, total shipping emissions are projected to quadruple from 1990 to 2050.’ (Wan 2016)

However, it is important to recognise that in such a rapidly changing world looking ahead some 30 years hence is fraught with uncertainty. Quantitative extrapolations must therefore be treated with caution. The atmospheric pollution generated by cargo vessels not only has serious consequences for the environment but is also damaging to human health. Corbett et al. (2007) indicate that: ‘Our results indicate that shipping-related PM [particulate matter on the micron scale] emissions are responsible for approximately 60,000 cardiopulmonary and lung cancer deaths annually with most deaths occurring near coastlines in Europe, East Asia, and South Asia.’

Given such negative ramifications, it is natural to ask why the shipping industry has not been forced to adopt much more enlightened/ethical and environmentally friendly approaches (e.g. by reducing fuel consumption and hence emissions by lowering vessel speeds, or by changing engine designs and fuels used, etc.). This question takes on even greater importance when we consider that atmospheric emissions are not the only form of environmental damage associated with these ships. As containers are unloaded, additional water ballast is pumped into compartments within the hull to give a vessel greater stability. This is evacuated when containers are loaded. The discharged water may contain oil and other contaminants harmful to marine life. Much larger oil spillage can happen when accidents occur, resulting in major environmental pollution. In bad weather containers are sometimes washed overboard (see Table 6.5), and these often float for months thereby

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posing hazards to other vessels whilst in parallel their contents (which sometimes include hazardous materials) contribute to marine pollution. Sometimes the contents are more benign: ‘In 2006 thousands of bags of Doritos crisps washed up on beaches of North Carolina’s Outer Banks after a container carrying them split apart. The most famous incident…was the rubber ducks better known as the Friendly Floatees. After a containment of some 20,000 plastic yellow ducks, red beavers and green frogs were washed into the Pacific in 1992, the little toys began appearing on beaches around the world…’ (Morris 2017)

In the case of a Liberian registered vessel that was making its way from Taiwan to Sydney when it encountered rough seas: ‘It lost 83 containers overboard…Nappies and surgical masks were washing up on New South Wales beaches…’ (The Guardian 2018)

More recently, when the Panamanian registered MSC Zoe (able to transport up to 19,000 containers) encountered a storm, some 270 containers went overboard near the German island of Borkum: ‘By Wednesday morning strong tides had already swept some of the containers onto beaches on Terschelling, Vlieland and Ameland… On Ameland, local officials said 130,000 kg of debris had been cleared up along an 8 km… stretch of Beach.’ (BBC 2019a)

As ships become ever larger, it is obviously necessary to expand the size of container ports and undertake dredging operations to ensure that waterways are of sufficient depth. Coupled with the noise pollution generated by the screws of the massive ships, the impact on marine life can be extensive. Indeed, entire ecosystems can be decimated: ‘Over the last three decades, about 75% of mangroves have disappeared from Shenzhen [China] following port expansion and land reclamation.’ (Wan 2016)

Table 6.5 Significant numbers of containers continue to be lost at sea: some simply as a consequence of bad weather or through securing failures. The right-hand column includes losses as a consequence of catastrophic events (e.g. loss of a vessel). (Source World Shipping Council 2017) Period

Average number of containers lost per year (excluding catastrophic events)

Average number of containers lost per year (including catastrophic events)

2008– 2010 2011– 2013 2014– 2016

350

675

733

2,683

612

1,390

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Of course much of the environmental damage is caused in remote locations away from the scrutiny of those living in the economically wealthy areas. However, having made several research voyages between New Zealand and Europe on large container ships, I have been able to see at first hand aspects of their operation and pollution. The vessels on which I sailed were neither graceful nor aesthetically pleasing. Rather they represented harsh and inelegant feats of stark engineering designed to operate in ways intended to minimise costs and maximise profit. The engines were gargantuan—with weights in the range 1,000–2,000 tons—delivering many tens of thousands of horsepower. Despite heavy seas and great waves, on the voyage across the cold and desolate regions of the South Pacific, I was fascinated to watch the unrelenting battle between ship and sea. Night and day, the engines drove the ship forward tirelessly and the noxious fumes emanating from the stacks were unrelenting in staining the overcast skies. On one occasion, overnight a significant oil spillage occurred. Although the ship was equipped to deal with such a contingency, to do so would have put the vessel behind schedule. The voyage therefore continued without any pause—would anyone notice or be interested in an oil slick in so remote a place? I found this decision quite surprising, perhaps because I had grown impressed by the ways in which ship-board rubbish was apparently so carefully dealt with. Large containers on one of the decks were properly labelled for recycling. Although today in many countries this is now the norm, at the time of my nautical sojourns it was quite an unusual practice. So glass went into one container, plastics into another, and so on (there was even a container dedicated to beer cans). It seemed that environmental care was taken very seriously and hence my surprise that the oil slick had been ignored and left to the remote fish and seabirds (birds were always in sight even in the very loneliest regions of the Pacific). My outlook changed when late one night I decided to take a walk around the decks of the ship (an eerie experience). Despite the constant creaking of the surrounding containers, my attention was drawn to activity on a lower deck where two of the crew were carrying out what I later learnt was their assigned nightly task. This involved the removal of a deck rail to allow all the refuse that had been carefully placed into the recycling containers to be dumped into the sea. My point is that whilst regulations may be put into place with the intention of preventing certain practices, these are not necessarily followed—particularly in the absence of scrutiny. The cargo ships on which I travelled were scrapped some years ago. From the perspective of materials re-usage, the scrapping process is efficient as practically all the steel can be recycled. On the other hand a formidable amount of energy is invested in the production and processing of this steel and in forging it together to form massive complex vessels. Equally, the deconstruction process during which ships are cut into sections and the sections into fragments is also an energy intensive task. Naturally when coupled with the pollution generated during operations, this has a significant environmental impact. Further, in some countries these activities are carried out under primitive and extremely dangerous conditions:

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‘Chittagong is now the world’s largest ship breaking centre, last year recycling 230 ships and generating 10m tonnes of steel…. It can take months for young men wielding only sledgehammers and metal cutters, to dismantle a large vessel…Nine men have died this year. Nobody feels responsible for these men’s lives.’ (Vidal 2017)

Some shipping companies distance themselves from being seen to be directly associated with scrapping activities carried out in primitive, unsafe and environmentally hazardous conditions, by disposing of ships to middlemen who act as intermediaries. Alternatively, in the case of ships registered in the EU, laws designed to prevent ships from being broken up on Asian beaches can be circumvented by re-registering unwanted ships under flags of convenience (Vidal 2017). By way of a final example of the environmental cost of massive global marine transportation, it is useful to note that in recent years the drive to effect economies of scale through the development of ever-larger vessels (coupled with the over-supply of ships and enhancements made to the Panama Canal which enable the passage of super-size vessels), has resulted in ships being scrapped at a very early stage of their Useful Phase. Indicative data is presented in Table 6.6. The scrapping of the Hammonia Grenada after only seven years provides an example of particularly poor usage of environmental resources: ‘In January 2010, the container ship Hammonia Grenada was delivered from a Chinese yard to its new owners, reportedly priced at about $60,000,000. Just seven years later… it was sold for scrap. The price: an estimated $5,500,000. It’s not the only vessel to suffer this fate. Last year container ships were sold at rock-bottom prices for scrap in record numbers.’ (Robertson 2017)

For further discussion relating to the continued growth of global product shipping see OTU Activities 6.7 and 6.8. OTU Activity 6.7 1. Discuss the ethics and sustainability of the continued growth of mass global product shipping. 2. Research and discuss alternative solutions to (1) above. (For example, a return to near shoring and/or the off-shoring of the manufacture of product components or product kits which can be assembled locally (thereby moving to a situation in which goods can be shipped in a more compact form).) 3. With the continued expansion of mass global product shipping and its associated environmental overheads, discuss whether or not you believe that manufacturers have an ethical obligation to minimise the volume of packaging materials. 4. In relation to the environmental overheads associated with mass global shipping of technology products, to what extent (if any) do you believe that governments, manufacturers and customers have an ethical obligation to promote/support local manufacture?

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Table 6.6 Whilst container ships are designed for a long and hard-working life (Useful Phase), in practice many are scrapped after only a relatively short period of usage. (Data source The Maritime Executive 2016)

6.4

Ethics and the Environment

Year

The age of the youngest vessel scrapped (Years)

2009 2010 2011 2012 2013 2014 2015 2016

24 23 19 12 14 14 13 7

Designed for Obsolescence ‘Concern for man and his fate must always form the chief interest of all technical endeavours. Never forget this in the midst of your diagrams and equations.’8

In this section we briefly focus on activities (usually during the Inception Phase) intended to ensure that within a given period of time, (or at a time which can be decided at a later date) a product will transition from the Useful Phase to the Termination Phase. The idea of planned obsolescence is by no means new and may perhaps be viewed as constituting a somewhat negative activity. I recall that as a youngster I was fascinated to learn that a neighbour who was employed as a senior chemist at a major company which focused on the manufacture of motor vehicle batteries spent his days undertaking ‘death dating’. The term made a long-standing impression on me! In fact, his work involved developing complicated chemical techniques that were intended to ensure that batteries would fail within a given period of time. This was defined by the length of their guarantee period (usually one year), the ultimate aim being to cause failure after a year and a day—but never any earlier! Before reading on, it is instructive to consider OTU Activity 6.9. Two of the classic stories of planned obsolescence which laid the foundations for the pervasion of this approach across so many areas of product manufacture date back nearly one hundred years and are briefly recounted in the next two subsections.

6.4.1 The Demise of the Tin Lizzie In the pre-WWII era, Henry Ford’s strong racial prejudices did a great deal of harm in fuelling anti-Semitic hatred in the U.S. and Europe. His efforts led to the dubious honour of being referred to by Adolf Hitler as ‘…my inspiration’, and to him being awarded by Hitler the Grand Cross of the German Eagle (the highest medal that

8

Attributed to Albert Einstein (1879–1955).

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could be bestowed on foreigners). However he was undoubtedly a highly talented engineer who conducted his business on firmly sound and traditional engineering principles. OTU Activity 6.8 Recall from Section 2.2 the fictitious company ‘Ethical Industries’, and Albert the young employee who we assumed to be a person with sound professional integrity and who demonstrated considerable promise. In order to catalyse useful discussion, let us suppose that a new CEO has been appointed and much to everybody’s surprise, he is intent upon moving key manufacturing work offshore. This matter is discussed during a somewhat heated managerial meeting and amid other objections one of the longstanding managers (who is known to be an ardent environmentalist) suggests that this will result in extensive long-haul shipping of bulky products which is environmentally undesirable. As a consequence, Albert is asked to research and develop a report which he must present to the Board concerning the environmental implications of the company going ‘off-shore’. The report must include Albert’s professional recommendations. 1. Put yourself in Albert’s position and discuss the recommendations that you would make, bearing in mind that these must be explained logically. 2. As indicated above, the new CEO is firmly committed to moving manufacture off shore. Consequently, it is possible that she may be displeased if your report does not support her objective. To what extent (if any) would this impact on your report and its recommendations? 3. Prepare a five minute video presentation in which you summarise your findings and recommendations.

OTU Activity 6.9 1. 2. 3. 4.

Discuss whether or not you believe that developing techniques which will result in product obsolescence can ever be ethically justified. Discuss whether or not you believe that designing products with the intention of preventing or at least hampering their successful recycling can ever be ethically justified. Would you be willing to take on employment in which your main work would centre on designing for product obsolescence or for the prevention of recycling? Discuss to what extent (if any) you believe that either of the above activities is contrary to the notion of professional and ethical environmental stewardship responsibilities.

This brief account focuses on what continues to be the most famous of the cars produced by Ford—the Model T (which became fondly known as the ‘Tin Lizzie’). Ford’s approach was to develop highly efficient production lines which would enable rugged and durable cars to be produced for the lowest possible price. He

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sought simplicity in design and excellence in mechanical reliability. Sales of the Model T soared. It was said that a customer could choose his/her own car colour as long as it was black (so as to reduce production costs this was, for many years, the only colour available). The other key figure in this history is Alfred Sloan, who in 1923 became president of General Motors.9 At that time, the company was in some disarray and there was a vital need to resolve internal difficulties and manufacture cars which would significantly erode the Model T’s dominant position. From an engineering perspective, General Motors were not well placed to compete with Ford, a point which was clearly demonstrated following the launch of a low priced Chevrolet sporting an air-cooled engine. OTU Activity 6.10 Online shopping provides customers with a broad range of benefits and consequently it is not surprising that this purchasing modality has become so popular. However, from the perspective of our current discussions it provides a concrete example of a way in which commercial opportunities continue to advance the application of technology without significant consideration of potential ramifications. 1. 2. 3.

Research and discuss the positive and negative environmental ramifications of the online shopping modality (hint: in terms of product delivery include areas such as pollution, and impact on traffic density). Research and discuss the societal ramifications of the continued growth of online shopping. Research and discuss the employment practices of companies such as Amazon (various documentaries are available for free download).

The following articles may form an helpful starting point: Weideli (undated), Jaller (2017), and DeWeerdt (2016).

Sloan realised that if he couldn’t beat the Model T on the basis of the sound engineering which underpinned its reliability and durability, then he would adopt a different approach by focusing on stylistic considerations. Quickly General Motors unveiled a low-cost Chevrolet which took on many of the visual attributes associated with more prestigious luxury cars of the day. There was no need to design and fit a large and more powerful engine—it was considered sufficient to fit a long bonnet which would suggest the presence of such an engine. In short, General Motors focused on ‘packaging’ which purported to place fashion at the centre of car sales.

9

In 1921 Charles Kettering (who had patented the electric starter motor in 1913 and was instrumental in the development of the ‘Kettering Bug’ flying bomb in 1918 (see Sect. 7.3)) became head of research at General Motors.

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When placed alongside the sleek lines of General Motor’s emerging vehicles, the faithful Tin Lizzie now looked antiquated. But Ford refused to make major design changes, preferring to continue to focus on reliability and a wish to drive down manufacturing costs and hence sales price. It seems that many men were willing to put up with, or indeed perversely enjoy, the essential character of the Model T—the noise, smell, drafts, and the bone-shaking driving experience. Given the car’s ability to keep going in all weathers and from year to year, they even developed an affinity for their trusted friend. But not so the women of that era who General Motors sought to target. They were often contemptuous of the Model T’s discomfort. After her first experience in a Ford, the English travel writer Stella Benson wrote that: ‘Humility is the first thing expected of a Ford owner… I have been a wreck owing to… constant jolting, which left me so violently giddy… I could no longer stand without support, and sometimes could not even sit upright…’ (Benson 1925)

Quickly, Henry Ford’s dominant position in the U.S. car industry began to be eroded and as Slade (2006) observes: ‘If Model T’s had been democratic levellers, GM cars were now becoming social stratifiers.’

Once the Model T’s standing had been successfully attacked, Sloan then sought to encourage owners of General Motor’s cars to regularly upgrade. To do so he exploited the notion of ‘psychological obsolescence’ by restyling new models in such a way as to make the previous model appear dated. After all, his approach was largely based on aesthetic changes in design which could be achieved much more easily that a continual quest for often less apparent engineering advancements. In parallel, Ford endeavoured to hold on to his fundamental principle of excellence in engineering upon which his notions of product durability were based: ‘It is considered good manufacturing practice, and not bad ethics, occasionally to change designs so that old models will become obsolete and new ones will have the chance to be bought…We have been told… that this is clever business, that the object of business ought to be to get people to buy frequently and that it is bad business to try to make anything that will last forever, because when once a man is sold he will not buy again. Our principle of business is precisely the contrary. We cannot conceive how to serve the consumer unless we make for him something that, so far as we can provide, will last forever… It does not please us to have a buyer’s car wear out or become obsolete. We want the man who buys one of our cars never to have to buy another. We never make an improvement that renders any previous model obsolete.’ (Ford 1922)

However over time Sloan further developed the philosophy of repetitive consumption: ‘Because it was too expensive for GM to change each model completely every year, major redesigns… were put on the three-year styling cycle that would eventually define the lifespan of all so-called durable goods in America. Between these major styling changes, annual face-lifts rearranged minor features…But even these minor moves created the illusion of progress and hastened the appearance of datedness that psychological obsolescence required.’ (Slade 2006)

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By 1932 Henry Ford had been forced to accept principles that he had scorned for so long, and his cars began to be regularly restyled, thereby embracing the commercial benefits which General Motor had demonstrated in respect of psychological obsolescence. Because these two companies were giants of U.S. industry, many other manufacturers (both in the U.S. and overseas) quickly followed suit. Over time these early techniques have been further refined and in today’s world psychological obsolescence continues to play a major part in driving repetitive consumption. But it denotes only one example of the many approaches that are adopted in continually driving sales and hence revenue without consideration of the environmental consequences of deliberately designing products which will be quickly superceded. (For further discussion of this history see for example, Slade 2006).

6.4.2 The Phoebus Cartel ‘When your heart is frostbitten, And your feelings numb with cold, Look up on that winter evening Yonder, at the billowing horizon cloud. What can you see?’10

Here, we briefly discuss an example of ‘death dating’ (also referred to as ‘engineering obsolescence’) relating to the so-called Phoebus Cartel conspiracy. This Cartel was established in December 1923 during a meeting of leading industrialists from the major companies involved in the production of filament light bulbs, and was intended to enhance their control of the global lighting industry. From the perspective of our current discussions the key outcome of the meeting was an agreement that all companies present would reduce the working life of light bulbs from the typical 1,500–2,000 hours down to 1,000 hours. This would of course enable the manufacturers to sell bulbs in far larger quantities, and hence make much more profit. However, as is so often the case with planned obsolescence-related committee-based decision making, the actual motivation (profit) was not mooted as the main objective (in such situations there is invariably a common wish to maintain a veneer of professional integrity). Consequently, in this particular instance committee members sought to give professional credibility to the agreement by emphasising the increased level of light output which would be gained from these short-life bulbs. This increase in illumination is of course a by-product of one approach that can be adopted in order to reduce the longevity of bulb operation: a higher current passing through the filament causes more heat generation which produces more light but shortens the time over which the filament can withstand the operating conditions.

Blundell, Q., ‘A Moment’, in ‘Collected Works’ (2020).

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In fact death dating is by no means a simple task and in this case would have undoubtedly caused the scientists and engineers involved in the implementation of the 1,000 hour bulb various challenges. It was not simply a matter of producing bulbs of an inferior quality as these would not necessarily have conformed to the 1,000 hour specification. A key challenge was to minimise the variance in bulb failure times and so during production it would have been necessary to test bulb samples to destruction. However, 1,000 hour is *42 days and so unless techniques were devised to hasten the testing process (without introducing bias), the results would simply have demonstrated the status of the production process some six weeks earlier. It is likely that some of the scientists and engineers who had worked in the lighting industry for many years would have been bemused by this change in occupation. In earlier times they had been challenged to make bulbs last longer and now they were tasked with doing quite the opposite. There can be little doubt that the Cartel’s decision to employ death dating techniques and impose the lifetime limitation was, from a financial perspective, very lucrative. In 1926–27 the Cartel sold 335.7 million bulbs worldwide and within four years this increased to 420.8 million bulbs. Gradually however, the Cartel’s monopoly was challenged by the establishment of many small independent manufacturers who undercut the big players in price. With the onset of WWII, it became impossible to continue major international partnerships and so the 1923 agreement floundered. For further discussion see, for example, Krajewski (2014), MacKinnon (2016), and Hadhazy (2016).

6.4.3 A Slow Death ‘It is curious – curious that physical courage should be so common in the world, and moral courage so rare.’11

As we have seen, the techniques adopted by Alfred Sloan (recall Sect. 6.4.1) promoted repetitive product consumption through the promotion of psychological obsolescence. In order to be effective this relies on the pervasion of the notion that ‘new is good’ and ‘old is bad’. This can be achieved in many ways, which include ensuring that a large proportion of society believes that new products are always technically superior and that ownership of the latest products demonstrates success, status, and wealth, etc. Of course, motivations vary with age, gender and demographics. For example, teenagers often wish to be seen with technological accessories which conform to those sported by their peers and/or which have gained the acceptance of those who they deem to be the most socially successful.

11

Mark Twain (1835–1910).

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Ethical Dilemma 6.1 In the text we have focused on the application of the science of obsolescence to physical entities such as cars, light bulbs, and various technological products. It can also be applied to many other areas. Let’s suppose that our fictitious organisation, ‘Cowboy Educational Services’, has decided to offer undergraduate degree programmes across a range of science and engineering subjects. In designing these programmes, management staff have decided to maximise student enrolment by offering courses that focus exclusively on state-ofthe-art content. We assume that our old friend Albert (introduced in Section 2.2.1 and described as a ‘good communicator with a positive ethical ethos’) is given the task of course development. Albert’s manager instructs him to focus on the inclusion of content that will become quickly dated, the intention being to ensure that ‘educational obsolescence’ is built in to the various degree pathways. ‘In this way’, he is informed, ‘to stay current, students will need to enrol for a further programme in four years time and another, and another… We can’t fail to make a lot of money from this. I expect you to ensure that these courses have a very short shelf life.’ 1. Discuss whether you believe this represents an ethical approach to the provision of student education. 2. Discuss how you would react if you were in Albert’s situation. For related discussion see Chapter 9.

Sloan’s approach doesn’t take into account two important groups in society, namely those who don’t have enough money to embark on the repetitive consumption treadmill, and those who are not inspired by a need to do so. This therefore helps to create a strong market for second-hand goods, which is a mixed blessing to many manufacturers. On one hand, the existence of such a market supports repetitive consumption by enabling old products to be sold, thereby reducing the financial burden associated with the acquisition of new products. However, if products are manufactured to last (or can be made to last) for long periods of time, and if we assume that a significant proportion of second-hand purchasers are happy to continue to use goods for as long as they continue to perform their required function, then there is the possibility that the second-hand market will become saturated. This has the potential to reduce the value of products that are being sold off by those who are locked onto the repetitive purchasing treadmill, and this in turn can impact on their ability to purchase new products at regular intervals. In short, the sale of new goods may wane. One solution is to devise techniques that will result in gradual obsolescence, thereby limiting a product’s second-hand usability and value. It appears that this is an approach which was adopted some decades ago by many players in the British car manufacturing industry, with attention being directed to

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the deliberate incorporation of design features which would cause gradual corrosion of key structural parts of vehicle bodies. I am reminded of my own experiences as an avid collector of the classic Austin A99 cars (manufactured during the period 1959–1961) which I have come to know so well. Equipped with a 3 litre dual carburettor engine, powerful servo braking, an overdrive gearbox (able to offer free-wheeling and both manual and automatic gear change), a spacious interior and rich leather seats, these cars were well advanced at the time of manufacture and continue to be a pleasure to drive (see Fig. 6.10). It would seem that there are only *10 of this type of car left in existence worldwide. A key problem to their longevity has been body corrosion, underpinned by the deliberate incorporation of elements whose sole purpose is to cause structural corrosion (assuming usage in countries with UK type climates). Similarly, designers often employ poor quality or non-optimal plastics in the construction of a wide variety of household electrical products which gradually break or fail in some way, thereby ensuring that product death occurs in a timeframe which they deem to be appropriate. In literature, it is frequently suggested that Bernard London was the first to coin the use of the term ‘planned obsolescence’. Writing during a period of economic depression, London suggested a radical (although somewhat impractical) approach to revitalising industrial output. He recognised that at a time of economic crisis: ‘People everywhere are today disobeying the law of obsolescence. They are using their old cars, their old tyres, their old radios and their old clothing much longer than statisticians had expected…’ (London 1932)

Rather than building into products features which would eventually lead to their failure, his approach was to adopt a more precise approach in which a ‘lease of life’

Fig. 6.10 One of the author’s A99 cars (built in 1959). From a mechanical perspective this type of car was highly advanced and incorporated many of the features that we associate with more recent cars. However, designers sought to support gradual obsolescence by incorporating features that were deliberately put in place to ensure the corrosion of key structural parts.

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would be assigned to products, such that when they reached a designated age they would be handed in to an appropriate agency and destroyed: ‘Briefly stated, the essence of my plan… is to chart obsolescence of capital and consumption goods at the time of their production…. Therefore I propose that when a person continues to possess and use old clothing, automobiles and buildings, after they have passed their obsolescence date as determined at the time they were created, he should be taxed for such continual use of what is legally “dead”… But if by its replacement idle workers can be given jobs and closed factories reopened, then this machine should be destroyed and new (and probably improved) apparatus produced in its place.’ (London 1932)

Putting to one side the difficulties of administering such a scheme and of persuading society to adopt an approach in which they do not have true ownership of their possessions, London’s notions reinforce the economic importance of fuelling repetitive consumption, but fail to consider the associated environmental consequences.

6.4.4 Obsolescence and Recycling Employment which involves the application of scientific and engineering talent to undertakings that are intended to achieve product obsolescence would appear to be a somewhat negative and cognitively unrewarding pursuit. This is compounded by the fact that these same efforts may have additional ramifications by impacting on opportunities to successfully recycle products, or the components/materials of which they comprise. By way of a simple example let’s return to consideration of the Cathode Ray Tube which underpinned the operation of television and computer display products for many decades. As previously noted, in recent years vast numbers of CRT’s have been dumped in landfills resulting in significant environmental damage. In the 1960s and early 1970s when the CRT industry was at its strongest, non-working CRTs were not always consigned to landfill but were often rebuilt and hence returned to full working order. In essence, this involved letting air into the glass vacuum vessel and removing/replacing the electron gun. Subsequently the CRT vessel was re-evacuated. This latter process is perhaps the most challenging and necessitates the application of heat to the CRT for some hours whilst it is attached to the vacuum pumping system. This provides us with an example of an environmentally responsible activity— not only did it avoid consigning non-working CRTs to landfill but also the overheads (inputs) associated with the rebuilding process were much lower than those needed to construct new CRTs. But the rebuilding process (often carried out by small companies) was not received warmly by the major CRT manufacturers because rebuilt CRTs were impacting on the sale of new products. With the stated intention of improving the ergonomic appearance of TVs, manufacturers devised an approach in which the traditional plate glass fitted in front

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of the CRT screen (to protect viewers from the hazard of possible implosion) was to be replaced by a transparent plastic faceplate which was shaped to snugly match the curvature of the front of the CRT. This in itself was quite a logical advance in modernising the appearance of TV cabinets. But it also provided an opportunity to prevent the rebuilding of many types of CRT. The strategy was quite simple. At the time of manufacture the faceplate and CRT were quite unnecessarily bonded together in such a way that the former could not possibly be removed. This meant that it became impossible during the rebuilding process to evacuate the CRT vessel as the plastic faceplate could not withstand the high temperature that had to be maintained during the pumping process. CRTs equipped with the plastic faceplate could never be recycled and they became single use products. Companies involved in rebuilding suffered greatly. Further consumers were forced to replace defective CRTs with the more expensive new products, to the benefit of the large CRT manufacturers. It is likely that future archaeological digs of today’s landfill sites will not only reveal great quantities of broken CRT glassware, but also enormous numbers of transparent plastic faceplates. These are materials that don’t degrade quickly with the passage of time.

6.5

Product Repair ‘Even the most rational approach to ethics is defenceless if there isn’t the will to do what is right.’12

In previous sections we have referred to a number of issues that can negatively impact on product repair and hence the prospect of extending a products Useful Phase. Here we consolidate this discussion. In deliberating upon the reliability and maintenance of current technology related products, there is a tendency to bemoan the passing of an era in which cost-effective product repair was the norm. Such repairs were usually effected by a local shop or indeed by anybody possessing practical and basic electronics skills. However, as we have indicated, the situation is now somewhat different and in Fig. 6.11 we bring together a number of factors which may contribute to the discarding of non-working products, even when faults may be of a trivial nature. These are briefly reviewed below: 1: Repetitive Consumption: As we have discussed, the notion of repetitive consumption has played a key role in encouraging end users to replace products at regular intervals and is particularly endemic in more wealthy societies. Indeed, this general philosophy has become so infused into our way of thinking that we would probably look askance at a person whose clearly dated clothes and car showed signs of extensive repair, and who was seen to be using bulky 12

Alexandr Solzhenitsyn (1918–2008).

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Time and inclination

Decline in individual skills

Increase in labour costs

Ethics and the Environment

Growth in complexity Enhanced performance

Visible cues Hardware software mix

Custom components Specialised resources

Increased miniaturisation Manufacturing techniques

Fig. 6.11 Summarising various factors which can negatively impact upon product reparability and hence result in technological products entering the Termination Phase prematurely. See text for discussion.

and battered technological products (such as one of those shoe-box sized first generation mobile phones13). There can be little doubt that we would not immediately consider this to be a person waging a personal crusade against repetitive consumption, but rather would suspect that he had fallen on hard times (or was an academic, and author of a student textbook dealing with professional and ethical issues…). In fact, so attuned are we to the notion of repetitive consumption that even if the person were to explain his crusade, he would still be viewed by many as something of an eccentric or worse. Even if we assume that we have the ability to successfully effect repairs to a technology product (or know of someone who can), there is also the matter of motivation. In our technology-infused world, time is always at a premium and do we really want to expend this on the possibility of successfully repairing a product, particularly if the cost of a new replacement is affordable? In short, in many situations we are likely to lack the inclination to repair products, especially if the resulting device may be somewhat shoddy in its appearance thereby suggesting to others that we cannot afford the cost of a shiny new replacement.

13

In fact these were analogue devices and so would no longer operate.

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2: Decline in Individual Skills: During times of war or economic hardship, replacement products may well be unavailable or unaffordable. Such a backdrop promotes product repair and a ‘can do’ mentality. However, in more peaceful and affluent times less attention is given to teaching the skills needed to successfully undertake this type of work, and excessive safety regulations may make it difficult to include such training in standard educational curricula. Furthermore, current societal trends tend to reduce the number of young people who are devoted to practical hobbyist activities and unfortunately once a repair skill-base is lost, it takes real effort to reinstate it. In parallel, manufacturers are generally keen to discourage end-user repairs and so frequently affix signs to products along the lines of ‘Caution: Contains no user serviceable parts’. 3: Enhanced Performance and Increased Miniaturisation: All too often manufacturers are blamed for developing products which are difficult to repair. However in many cases the drive to fulfil customer expectations (which admittedly are, to some extent, fuelled by product developers (and Hollywood)) is an important factor which ultimately leads to products that are often not easily repaired. Indeed whilst we may bemoan the passing of an era in which product repair was a relatively straightforward undertaking, we now live in a world where complexity is ever more frequently exceeding the knowledge of those involved in servicing operations. By way of a simple example, consider the 1930s vintage radio illustrated in Fig. 6.12. As can be seen, the valves, resistors, capacitors and inductors (in fact all components which comprise the radio) are easily accessible and can be readily replaced. Furthermore although at times the subtleties of design can be mentally challenging, the overall principles of operation are readily understood and the purpose of each component can be clearly identified. In addition, given the voltages and currents used, faults often give rise to visible cues (most commonly burnt components) which further facilitate the repair process. In contrast in the case of today’s products (generally characterised by ever-greater sophistication and miniaturisation) multilayer printed circuit boards and surface-mounted components are invariably employed. Although these tend to be very reliable, faults do sometimes occur (usually as a consequence of flaws in the manufacturing processes) and these can be very difficult to repair without specialised knowledge and equipment. In this case the cost of implementing repairs at the component level can be very time-consuming and hence expensive. Furthermore the level of hardware complexity can lead to situations in which even trained technicians can only guess at the source of a problem. This encourages repair practices which are carried out at the module, rather than the component level. I am reminded of a fault I experienced with a car a little time ago. One day as I drove along the wipers started to sweep across the windscreen, which seemed odd as I had not turned them on. After a few seconds, they stopped and then the

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Fig. 6.12 A 1930s vintage radio. In the case of this type of product, component level repair was the norm and was often supported by visible and easily recognisable cues. Furthermore the technology was readily understandable to a wide audience.

windscreen washers activated—again without my input. Suddenly the headlights were illuminated, and then the rear windscreen wipers, and then the horn… In short the car seemed to be taking on a life of its own. In frustration I delivered the car to the local garage (who by chance specialised in the repair of this type of car). The news was bad: the repair involved the replacement of a costly electronics module (see Fig. 6.13). One week later, the work was completed, the bill was paid and I was again in the driving seat—but not for long. Within 100 yards of the garage, the windscreen wipers activated and the horn sounded in a malicious sort of way. And then the screen washers joined in the fun… Eventually the car was repaired—the module that had cost so much to replace may well have had nothing to do with the fault. But even if this had been the source of the problem, when I spent a few minutes taking the old module apart I found that it was well constructed and quite amenable to repair. It had entered the Termination Phase quite unnecessarily. Several key points relating to this simple example are summarised in Fig. 6.14. These are discussed below. Given the ever-increasing complexity of electronic systems (and their continual revision), there is a strong tendency to provide training which operates at the module level. In this scenario, modules largely become black-boxes whose functionality is described in terms of inputs and outputs. As a result the detailed operation of modules remains unknown even to the repair technician. In addition, over reliance may be placed on computer-based diagnostics such that repair tasks

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Fig. 6.13 Increased product complexity often leads to situations in which the technical detail of an implementation exceeds the scope of the knowledge required to undertake component level servicing. This results in repairs being effected at the module level and contributes significantly to the generation of e-waste. The reader is left to identify the function of this piece of car electronics. See text for related discussion.

Complexity exceeds knowledge

Incorrect humanbased fault diagnostics

Poor availability of component level parts

Overreliance on computer-based fault diagnostics

Lack of skills needed to affect component-level repairs

E-waste generation

Growth of module-level replacement ethos

Fig. 6.14 Rapidly advancing and ever-more complex technologies are creating situations in which it can be impossible for those involved in the repair process to keep up to speed. In short, complexity exceeds knowledge. This often results in a mechanistic approach to repairs in which the technician simply follows the instructions of a diagnostics system. Further it favours module level (rather than component level) repair and consequently results (often unnecessarily) in excessive e-waste generation. See text for discussion.

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are carried out without much technical consideration and in a mechanistic sort of way. Furthermore, even in the case that the repairer has the temerity to open up a suspect module and identify a potential fault, the difficulty in obtaining spare parts (components) favours module swapping rather than module repair (following the adage ‘if in doubt, swap it out’). Overall, the root cause of module level repair techniques centres on complexity and the rate of design change exceeding the pace at which the repairer is able to acquire and distil knowledge. Thus the individual begins to lose mastery of the intricacies of technology and becomes reliant on computer-based diagnostic systems. Often these systems are able to save much time and effort—but not always. For example in respect of the events with my car which are outlined above, following the original (and ill-fated) module swapping repair the mechanic did not check out the results of the work by making a brief test-drive. Rather, the garage’s diagnostic computer system reported that all was well and on the basis of mechanistic practice, this was deemed to be sufficient. After all, isn’t the computer always right? Unfortunately, the computer didn’t perhaps appreciate that the car only adopted its uncontrolled idiosyncrasies when in motion, and of course the garage’s computer system checked out the car when it was stationary. From an environmental perspective, the implementation of repairs by module swapping is generally less efficient than effecting repairs at the component level. In this context it is important to bear in mind that remote centralised manufacturing techniques do not generally favour module refurbishment (i.e. factory level repair). This in turn makes it more likely that faulty modules will end up as e-waste. In the case of some products, the level of miniaturisation is resulting in non-modular implementation architectures. This type of approach precludes both component and module level repairs, and so when a fault develops the product is automatically classed as e-waste. However, it is evident that there is a growing demand on the part of consumers to regain a degree of control in respect of product repair. The ‘Right to Repair’ movement is continuing to increase public awareness of ways in which many manufacturers are deliberately designing products so as to make it difficult (or impossible) for product repairs to be affected by owners and third parties From tractors, cars, and washing machines through to electric tooth brushes, solar lights, and mobile devices, manufacturers continue to devise strategies which enable them to control product repair. In contrast: ‘The Right to Repair movement aims to disrupt this cycle by providing customers with parts, tools and service information needed to fix their stuff.’ (Allendorf 2018)

Naturally a number of major manufacturers are resisting this effort and in the case of some forms of digital device are claiming that the release of service information which would enable third parties to carry out repair work will give rise to security issues. In essence this is based on the notion of ‘security by obscurity’ which assumes that security is enhanced by suppressing knowledge of device operation. From the perspective of manufacturers this is of course a convenient

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argument and in some situations has merit. However, at the present time, there are so very many products which could lend themselves to third party repair without the risk of facilitating cyber attack. But as the IoT proliferates, this situation may well change and even the most innocuous of household devices could be modified so as to become an agency for cyber crime. Consequently, the notion of ‘security by obscurity’ could be applied ever more broadly by manufacturers—thereby enabling them to continue to control the dissemination of technical information and the supply of parts. See OTU Activity 6.11 for related discussion. OTU Activity 6.11 1. To what extent do you believe that manufacturers have an ethical responsibility to better support product servicing and repair (by both third parties and end users)? 2. Research and discuss approaches that could be used to facilitate product repair. 3. Research and discuss strategies used by manufacturers to prevent product repair. 4. With due regard for safety, disassemble some discarded electronic products. Identify and discuss ways in which these products lend themselves to disassembly/ repair – and ways in which they do not. 5. Discuss the broader ramifications of effecting repairs at the module level (rather than at the component level). Discuss any personal experiences that you may have of the strengths and weaknesses of this approach.

6.6

Product Lifecycle and the IoT

The application of psychological, scientific, and engineering techniques to drive product obsolescence and promote repetitive consumption continues to be an important tenet in product design and manufacture. As indicated in the previous section, there can be little doubt that the growth of the IoT and IoE (recall Sect. 5.2.3) will provide some manufacturers with new opportunities to further refine the science of product obsolescence, and hence control (with increased precision) the extent of the Useful Phase of the Product Lifecycle. With prudent design, manufacture, and deployment, IoE devices offer to provide real and tangible benefits. Contrariwise it is important to appreciate potentially negative consequences that may be associated with the unfettered mass production of such devices. Some indicative issues are summarised in Fig. 6.15 and briefly discussed below: 1: Performance Enhancement: Undoubtedly IoE devices will rapidly increase in performance and capabilities. In many situations, early stage device replacement will therefore become common and this will shorten the duration over which a device or type of device performs a useful function (the Useful Phase). In short, as we have seen in other areas, when quite new forms of product are

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Reliability

Dependence on software

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D-waste generation

Short Useful Phase

Fig. 6.15 Whilst IoT and IoE devices can offer exciting and tangible benefits, it is also important to consider issues that may arise from their mass production and unfettered deployment. Here we summarise some of the factors which may lead to potentially damaging environmental ramifications. See text for discussion and for the loose definition of D-waste.

introduced, there are many opportunities for innovation. This makes it much easier to release more advanced versions/models of a product at regular intervals and this in turn fuels repetitive consumption. 2: Reliability: In some applications, the increased complexity of IoE devices is likely to impact on reliability. Consider by way of a simple example a domestic product such as a coffee machine in which the traditional function is augmented by IoT technology. A crucial consideration is whether, in the case that the technology fails, the device will be able to continue to function in the traditional way, i.e. will manual controls be fitted and will these still operate even though the machine no longer has Internet connectivity? Since removing manual controls can reduce manufacturing costs, there is likely to be a natural temptation on the part of designers to follow this route. This is demonstrated on many current (i.e. non-IoE devices) which can be operated via remote control. In earlier times, whilst inconvenient, the loss of the remote control was not particularly problematic as equivalent controls were fitted to the device (e.g. TVs and DVD players). More recently it has become common practice to cut back on—or even eliminate—controls fitted to the device. Thus when the remote control is lost or deconstructed by a playful dog, the appliance invariably enters the Termination Phase. 3: Dependence on Software: As previously noted, in many situations IoT software cannot remain static but must be updated, not only to fix problems and offer new functionality, but also to address security issues. Such updates can

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also be used to engineer product obsolescence by, for example, degrading the performance of older products (recall OTU Activity 6.2), or through the termination of support for older products. This latter consideration is of particular relevance to our current discussion. Firstly, there is a need to consider the extent to which a manufacturer has an ethical responsibility to support older products (bearing in mind the environmental overheads associated with products outside the Useful Phase). Secondly, and perhaps even more importantly, we must consider what happens to IoE products that are still in use but no longer receive software updates intended to maintain the integrity of product security. Given that this may result in situations in which their vulnerability may be exploited and used to launch a cyber attack and/or carry out other untoward activities, it is evident that continued operation of large numbers of unsecured products may pose a serious threat (see OTU Activity 6.12). OTU Activity 6.12 As discussed in the text, older IoT and IoE products may continue to operate long after manufacturers have terminated software support. This can result in devices becoming progressively more vulnerable to those wishing to undertake untoward activities (such as the launching of cyber attacks, privacy intrusion (audio and/or video), and the like). One approach that has been proposed is to build a ‘self destruct’ function into devices so that after a given date they stop working. Alternatively, it is possible to envisage a situation in which IoT product manufacturers are able to send out a product ‘kill’ command directly to selected devices. 1. Discuss the use of such ‘self destruct’ and ‘kill’ functions. 2. Discuss the extent to which manufacturers of IoT and IoE devices should be required to support the use of open source software (which, in principle, can be used to prolong the secure operation of devices).

4. Overuse and Needless Use: We live in a world in which there are ever more labour-saving devices. In the case of personal and domestic products, purchases are not necessarily made on the basis of need or because labour-saving devices offer a really useful purpose but rather because they are novel and perhaps fun. In many countries battery powered ‘things’ are ubiquitous. Momentarily looking across my paper strewn desk, I am met with an example, namely my fine battery-operated pencil sharpener. No longer is there a place for the traditional super-simple form of sharpener on my desk. The battery-operated version can chew its way through pencils with great rapidity and in some ways it’s therapeutic to operate! But it’s rather pointless and quite unnecessary. Do I really need to be spared the physical effort associated with manually sharpening a pencil? Certainly over the last 40 years or so, ‘things’ which reduce or

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eliminate the need for physical effort have become ever more popular and in the case of more arduous activity these are often welcomed (although somewhat perversely it seems that we seek to reduce the physical labour associated with our daily chores, and compensate by undertaking activities which are specifically intended to promote physical fitness). We are now embarking upon another voyage of discovery by augmenting ‘things’ with the technology needed to support Internet communication and control. In terms of our personal and domestic needs one aspect of this development is intended to enable us to reduce the cognitive effort associated with organising aspects of our daily lives (e.g. refrigerator ‘stock control’). Whilst it is important to bear in mind that applications for the IoE encompass practically every area of human endeavour (and hence sales to the individual represent only a relatively small part of the potential market), it is likely that many IoT products will offer needless functionality. Arguably, if left to unrestrained market forces, only products which offer real benefits will flourish and the others will fall by the wayside. In reality, market forces are often impartial in their promotion of the useless and useful. Further they encourage product overuse and do not take into account the aspects of the Product Lifecycle which have negative environmental consequences. 5. E-waste and D-waste: There can be no doubt that the mass production of IoE devices will significantly add to the amount of e-waste generated each year. In addition these devices will collect and transmit vast amounts of data and increase the demands placed upon Data Centres. In this context, it is appropriate to coin the term ‘D-waste’ which we will loosely define as follows: D-Waste: Data which is generated, transmitted and stored but whose ‘value’ does not justify the resources that are, or have been, expended in its retention from source.

In this context we assume that the term D-waste can potentially relate not only to data per se but to any binary content that is stored on digital media. In reality, my hard disk is awash with D-waste—files, programs, parts of programs and the like that I have never used and which I am most unlikely to ever access in the future. For the most part, they exist because I have little motivation to delete them—they are doing no harm because the capacity of the hard drive far outweighs my requirements. The situation becomes somewhat different when we consider remote storage. The energy consumption of data centres is enormous (see Sect. 6.9), and it’s natural to wonder at the extent to which a part of this energy is actually being consumed for the retention of user-generated D-waste (see, for example, Walsh 2014). Further, as

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the IoE grows in extent, not only will it place significant additional demands on data centres in respect of the storage of valuable digital material, but it is most likely to also result in the creation of vast amounts of D-waste. We have the ability to consign unwanted digital content to oblivion, and clauses within Terms and Conditions Agreements can ensure that content is automatically deleted if not accessed for a certain period of time. On the other hand there is often a general reluctance to delete material—because ‘you never know, it may come in useful – it’s better to err on the safe side…’ In short, it’s important that we do not underestimate the likely impact of the growth of an unfettered IoE on content storage requirements and hence its impact on data centres. Whilst this can be ameliorated by Edge-based processing techniques, the overall impact is likely to remain high (see OTU Activity 6.13). OTU Activity 6.13 The unfettered growth of the IoT and IoE is likely to result in the generation and storage of a tremendous amount of digital content. This will increase the demands placed on data centres. In the absence of radically new forms of storage technology, this is likely to impact on their consumption of electrical power and hence on their environmental impact. 1. As a consequence, discuss whether or not you believe that it is ethical to allow the unfettered growth of the IoT and IoE without first examining the longer-term implications. 2. Following on from (1) above, discuss the extent to which you believe that the computer industry can be trusted to undertake investigations into the longer term ramifications of the IoT and IoE (you are encouraged to broaden your discussion by including a range of current areas of development, e.g. AI, robotics and the widespread use of predictive modelling techniques).

6.7

Human Obsolescence ‘In times of change, the learner will inherit the earth while the learned are beautifully equipped for a world that no longer exists.’14

The introduction of new technologies, together with their gradual refinement and integration is having a great impact on society. As summarised in Fig. 6.16, this may result in the gradual or abrupt obsolescence of human knowledge, skills, and practices. In parallel long-standing areas of employment may well be disrupted, with jobs in certain fields quickly disappearing. Of course, as indicated in the illustration, these negative ramifications in respect of technology development and 14

Attributed to Eric Hoffer.

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6 Emergence of new technologies

Advancement of existing technologies

Ethics and the Environment Integration of technologies

Human Activity

Obsolescence of knowledge, skills and practices

Obsolescence of types of employment

New opportunities

Fig. 6.16 Here we identify three general and indicative technology related changes which can impact on human activity. These have the potential to render aspects of human knowledge, skills and practices obsolete and/or may end particular types of employment (which in turn can impact on human aspirations). However, through retraining new opportunities will emerge. It is important to note that the rapid pace of technological development suggests that we must be prepared to continually accept and adapt to change; the ‘goal posts’ will never be static. This may have significant and negative societal ramifications.

application may also give rise to new opportunities, providing that people are willing (and able) to accept and adapt to change. In the text that follows, we coin the term ‘jobsolescence’ to indicate a situation in which the roles of one or more workers within an organisation are replaced by automated systems. Undoubtedly, to date the rapid evolution and proliferation of digital technologies has had a profound effect on employment and working practices although, in general terms, the new opportunities that technologies have offered has gone a long way in countering their negative ramifications. On the other hand, when we look ahead and consider ways in which robotics, machine learning, and AI may develop, the future impact of technologies upon society may well be much more significant. Perhaps it may be useful to initiate this discussion by recounting experience I gained many years ago during the course of my postgraduate studies. My Ph.D. in physics focused on the development of microwave spectroscopy as a tool for chemical analysis. At the outset, I worked closely with my supervisor who thanks to his lifetime of research in the field was able to gradually unveil the deep mysteries of complex microwave technologies and techniques. This involved dealing with unwieldy experimental apparatus—microwave sources (klystrons were used at that time), phase locked loops, seemingly endless configurations of waveguides, highly sensitive microwave detectors, temperamental signal amplifiers, and screeds of cabling. As I worked alongside my supervisor, I quickly realised that a large part of

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each day was spent recalibrating systems so that their performance matched that of the previous day. This could involve many hours of frustrating effort and it was only after this process had been successfully completed that meaningful data could be collected. Thus each afternoon was often spent on tedious calibration and fault finding tasks. And so only in the evening was useful data collected (in my experience physicists are seldom really productive before lunchtime…). Undoubtedly in those days I was at heart a ‘digital cowboy’ and so was much more interested in applying state-of-the-art digital technologies to what I regarded as outdated analogue systems. Consequently whenever time permitted I began to quietly work upon the construction and programming of a complex multi-microprocessor control and data acquisition system with which I aimed to automate the calibration and use of microwave spectrometers. I recall being somewhat surprised that the work was so successful and within several months I had reached the stage at which I felt that I could confidently demonstrate the system to my supervisor. He would surely be delighted to learn that those long hours of work associated with the daily calibration ritual were to be a thing of the past? All that was needed was to press a few keys and hit several buttons. Within the time it took to drink a cup of coffee, almost perfect calibration was attained. The system was practically foolproof. And so on that fateful (and fondly remembered) day, my supervisor stood and watched as I turned the system on and keyed in various numerical settings. Suddenly the great spectrometer came to life, motors whirring as microwave powers were automatically adjusted, lights flashing as frequencies were automatically set and solenoids moving with magical precision as gases were mixed in the desired proportions. He looked on with an inscrutable expression as I hit another key and spectral lines gradually appeared on a display screen (the traditional paper-based chart recorder we had used together for some months and which I hated so profoundly would surely now be consigned to landfill). With a final beep, a message appeared, ‘analysis complete’, and the printer started to chatter as the data attained so easily appeared in tabulated form. With great enthusiasm I exclaimed, ‘Look at that, no more hours of frustrating calibration! Everything’s automatic – it’s so easy to operate. It really works…’ After a long pause, he suddenly moved closer to the wire-festooned computer system that I had so patiently constructed. With lightning speed he lifted its large framework into the air and brought it crashing down onto the teak laboratory bench. As he walked away, he simply observed, ‘It doesn’t work now – does it?’ And he was right—it didn’t. With hindsight it’s apparent that I made a great mistake in my enthusiastic utterances, and it took some time for me to understand his actions. In his teaching, he had of course freely and without constraint conveyed to me much hard-won research expertise. In return, I had not only encapsulated this within a machine but had demonstrated that automation could handle the work with effortless clinical precision. It was a demonstration that challenged fundamental precepts and perhaps

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suggested that his superlative knowledge of analogue systems would soon succumb to the growing wind of change threatened by digital techniques. Upon reflection, and with the above in mind, it is perhaps surprising that the rapid and profound technical advances that have been made in recent decades have generally not generated strong resistance. Many widely used traditional skills and practices have been lost. Through until the proliferation of the electronic calculator in the early 1970s, the teaching of school level mathematics was supported by the use of not only log and trigonometric tables, but also by the ubiquitous slide rule. Today, how many people can still claim to be proficient in their usage? When we prepare a document, spelling, grammar and word usage suggestions continually appear and we find ourselves within environments which do not encourage diversity in writing styles but rather the opposite—homogenisation. And as our reliance on text-processing increases, we gradually spend less time writing by hand (indeed the general degradation in the quality handwriting is leading some universities to no longer accept handwritten exam scripts, all answers have to be typed). To date digital technologies have had the greatest impact on less skilled occupations, particularly jobs involving repetitive tasks. This situation is gradually changing and in the coming years we are likely to see many more highly skilled forms of occupation coming under threat. This will not simply impact on those working in factories and production lines but has the potential to result in major levels of jobsolescence in leading professions such as education, accountancy, finance, law and medicine. Over the centuries, the extent to which the proliferation of technologies negatively impacted on employment has been the subject of extensive debate. Whilst it is recognised that innovation can result in the obsolescence of some areas of employment, it is frequently argued that technological progress increases the wealth of society and that this results in the enhancement—rather than the erosion—of employment opportunities. Numerous examples are frequently cited to allay fears of the threats posed by technological advance. Consider the proliferation of ATM machines: ‘ATMs were introduced in the 1970s, and their number in the US economy quadrupled from approximately 100,000 to 400,000 between 1975 and 2010. One might naturally assume that these machines had all but eliminated bank tellers in that interval. But US bank teller employment actually rose modestly from 500,000 to approximately 550,000 over the 30-year period from 1980 to 2010.’ (Autor 2015)

Autor goes on to place this growth in context and when considered in terms of the overall increase in the U.S. workforce it is evident that the number of bank tellers did in fact decline. However, the reduction was much smaller than may have been expected given the scale of technology infusion. This is explained within the context of new opportunities created by ATMs and technology-enabled changes in the traditional activities of tellers.

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When we are dealing with the rapidity of technology driven change, data pertaining to the thirty year period prior to 2010 (of the kind referred to in the above quotation) may not seem particularly relevant today, and certainly in the banking sector since 2010 there have been many further developments. Increasingly banks are beginning to adopt new approaches claimed to better reflect customer wishes, and particularly the continued expansion of online banking (although in reality there can be little doubt that a drive to maximise profit is the oft unstated primary objective): ‘Bank of America has opened three mini-branches since the new year that have ATMs and videoconferencing but no people… There are no layoffs accompanying Bank of America’s robo-banks, but the new branches are part of a revolution in US banking in the past few years as companies seek to save money by reducing the number of branches – and tellers and managers…Cash is dying out.’ (Heath 2017)

And in connection with Wells Fargo: ‘…Experts say the trend is likely to be magnified in the Washington area, where an influx of young professionals and tech-savvy customers has ushered in a number of high-tech branches that require few employees. Recent bank merges and branch closings also have contributed to the shrinkage in the pool of jobs.’ (Bhattarai 2016)

By way of a further example, it is evident that technology has had a major impact on employment in the U.S. steel industry: ‘…Take the steel industry. It lost 400,000 people, 75 percent of its workforce, between 1962 and 2005. But its shipments did not decline.’ (Cain Miller 2016)

In reviewing developments across the broader employment landscape, it would seem that in many areas given the extent and profundity of changes which are currently being effected, or likely to occur in the not too distant future, efforts to predict the ongoing impact of digital technologies by simply considering their impact to date may lead to quite misleading results. Further, we must guard against a future in which unfettered commercial interests gain ever greater control of the technological world which is so rapidly unfolding. As we have already remarked, all too often there is a tendency to categorise discussion intended to question the ongoing application of technologies as the ramblings of a Luddite. But perhaps the use of this term requires a little clarification. The Luddites were a group of English textile workers and weavers who in the early 19th century vented their grievances by smashing textile machinery. In modern parlance the title Luddite is invariably used in a negative context to refer to a person who objects to or resists technological progress (or even as a more general insult directed towards a person who is thought to lack aptitude particularly in the operation of technology (Conniff 2011)). This misuse of the term is emphasised in an article by Merchant (2014) which opens: ‘Are you worried that children are using the Internet too much? You are a Luddite, according to the Telegraph. Do you oppose fracking? Then you’re a Luddite; so proclaims a Nevada newspaper. Don’t want a smartphone to replace your wallet? You too are a Luddite, Forbes says.’

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However it is quite incorrect to view the original Luddites as people who objected to technological progress per se. They were in fact protesting about the ways in which technology was being used to devalue their employment, the changes in working conditions, and the poor quality of the goods being manufactured. Thus their concerns more closely centred upon societal implications of technology usage in respect of its being ruthlessly used to cast to one side standard labour practices. Both employers and the British government adopted severe measures in their efforts to suppress the Luddite movement: ‘In one of the bloodiest incidents, in April 1812, some 2,000 protesters mobbed a mill near Manchester. The owner ordered his men to fire into the crowd, killing at least 3 and wounding 18. Soldiers killed at least 5 more the next day.’ (Conniff 2011)

Smashing machinery became a capital offence. Given this history, it is more appropriate to use the term Luddite to describe those who are concerned about the possible undesirable societal implications of ever-more advanced technologies and to acknowledge that such Luddites can fulfil a very important, if not vital, role in today’s world: ‘If anything, we should stop using ‘Luddite’ as a facile insult, and use it to invoke a cautionary tale of what can happen when the spectre of automation stokes fears of mass joblessness in an uneasy public – a phenomenon already taking root today.’ (Merchant 2014)

In the 200 years that have passed since the masked Luddites wandered the dark streets with their hammers and clubs, technologies have changed out of all recognition, but as previously indicated, basic human characteristics remain largely the same. All too often discussions on the ways emerging technologies will impact on society tend to be emotive and polarised. Certainly the threat of jobsolescence figures highly in many newspaper headlines. Two indicative headlines in The Guardian read: ‘Robots will Destroy our Jobs – and we’re not ready for it’ (Shewan 2017)

And: ‘Millions of UK Workers at Risk of being Replaced by Robots, Study Says’ (Elliott 2017)

As for The New York Times: ‘The Long-Term Jobs Killer is not China. It’s Automation’ (Cain Miller 2016)

In contrast, TechCrunch commentary takes a more neutral stance: ‘Technology is Killing Jobs, and only Technology can Save Them’ (Heater 2017)

This latter article emphasises the need to improve educational standards and/or retrain to reduce the numbers of people seeking less skilled employment and increase the number of people who are able to work with or develop technologies. In the article (and in many others) the suggestion is made that automated systems will primarily be used to eliminate jobs that involve the so-called three D’s; dull,

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dirty and dangerous activities. However, reflecting on changes to date, MIT economist David Autor is quoted as indicating that: ‘Whilst most of the roles displaced by technology were not particularly glamorous, they were still staffed by humans requiring steady employment to make ends meet.’

Of course, it would be naive to assume that employers are particularly keen to invest in technologies simply to prevent staff from needing to undertake tedious occupations. Clearly issues relating to cost saving, productivity, product quality, etc. figure highly in the decision-making process. This was vocalised by Andrew Puzder who was CEO of CKE Restaurants and U.S. President Trump’s choice for the post of Labour Secretary (he withdrew one day before his confirmation hearing). In a Business Insider article, he explained his outlook on the advantages of replacing human restaurant workers with robotic machines: ‘They’re always polite, they always upsell, they never take a vacation, they never show up late, there’s never a slip-and-fall, or an age, sex, or race discrimination case.’ (Taylor 2016)

In practice such negative employee practices are likely to reflect (or even be a response to) a lack of ethical leadership (recall Sect. 2.3) within an organisation, and are not implicitly associated with a human workforce. The article continues: ‘But Puzder says that a restaurant that’s 100% automated would have one big plus for millennials: no social interaction. “Millennials like not seeing people,” he says. “I’ve been inside restaurants where we’ve installed ordering kiosks… and I’ve actually seen young people waiting in line to use the kiosk where there’s a person standing behind the counter, waiting on nobody.”’

And as for cost savings: ‘“If you’re making labour more expensive, and automation less expensive – this is not rocket science.”’

Automation technologies are increasingly able to undertake ever more complex tasks. Traditionally the successful development of such systems relied on the programme designer having a complete knowledge of the sequence steps comprising the task to be automated (akin to meticulously following the instructions in a cooking recipe). This continues to enable many routine and repetitive tasks to be successfully automated and has rendered many less skilled occupations obsolete. However in some situations, it’s difficult to pin down the exact ways in which we undertake particular tasks and in this context, Autor (2015) refers to what he calls Polanyi’s Paradox: ‘We know more than we can tell.’

He goes on to note: ‘When we break a egg over the edge of a mixing bowl, identify a distinct species of bird based on a fleeting glimpse, write a persuasive paragraph, or develop a hypothesis to

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explain a poorly understood phenomenon, we are engaging in tasks that we only tacitly understand how to perform. Following Polanyi’s observation, the tasks that have proved most vexing to automate are those demanding flexibility, judgement, and common sense – skills that we understand only tacitly.’

However, given the major investment channelled into research in areas such as machine learning and AI, there are ever greater opportunities to deploy automated systems that can undertake more complex forms of activity—even in areas which can’t be described in terms of a series of specific instructions. In countries such as the U.S., there appears to be a wish on the part of government to play down the threats posed by automation on human employment. In this context, U.S. Treasury Secretary Steve Mnuchin is reported as indicating: ‘“…it’s not even on our radar screen… 50-100 more years away… I’m not worried at all about robots displacing humans in the near future,” he said, adding: ‘In fact I’m optimistic.”’ (Heater 2017)

In reality many governments are fully aware that the development and exportation of automated systems will provide a major source of revenue, and this may temper their longer-term concerns as to the broader societal costs. Automation is also being promoted as a mechanism that may drive so-called ‘nearshoring’, such that companies who previously took manufacturing offshore will return manufacture to economically wealthier countries. This may well represent a logical move particularly if automated systems are able to undercut the labour costs in the economically poorest of countries. However this approach is no panacea for reducing unemployment—the factories may return but many forms of activity (including skilled roles) will be automated. The notion that ‘one-shot’ education can provide the basis for sustained lifelong employment in a certain area or profession is therefore gradually being eroded, and as a range of technological systems proliferate at an ever-greater speed, it is likely that in order to avoid jobsolescence a person will have to continually adapt, retrain, and run ever faster. See OTU Activity 6.14 and also Chap. 9 for further discussion.

6.8

The Human Lifecycle ‘We are becoming the servants in thought, as in action, of the machine we have created to serve us.’15

In the context of our current discussions it is useful to consider a Human Lifecycle, although as we might expect this is somewhat more complicated that the Product Lifecycle introduced in Sect. 6.2. In the case of the latter, the entire purpose of the lifecycle is to support the Useful Phase, whereas in contrast in the case of the

15

Attributed to John Kenneth Galbraith.

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human, ‘useful output’ can be viewed as permeating (at least in principle) the lifecycle’s entire extent (from the newborn baby who provides pleasure to parents through to the wise council offered by the elderly). OTU Activity 6.14 In the text, it is suggested that: ‘The notion that ‘one-shot’ education can provide the basis for sustained lifelong employment in a certain area or profession is therefore gradually being eroded and as a range of technological systems proliferate at an ever-greater speed, it is likely that in order to avoid human obsolescence, a person will have to continually adapt, retrain, and run ever faster.’ Discuss who are likely to be the winners and the losers in such a world.

Here we focus on the Employment Phase, a time during which we will assume that a person is able to make a specific and positive contribution to society. For many years there was an assumption that increasingly powerful and ubiquitous technologies would eliminate the need for employees to carry out many of the more routine and tedious aspects of their work, would reduce the number of hours worked each day, and enable retirement from employment at an earlier age. Generally to date this has not happened: whilst some forms of tedious activity have been eliminated, they have often been replaced by equally unrewarding work: ‘It has been noted that computers, which are supposed to increase the speed at which we do things, have not increased the speed at which we write reports: we used to make only three versions – because they are so hard to type – now we make twenty three versions.’ (Feynman 2007)

Undoubtedly many people would greatly appreciate the opportunity for more leisure/family time: ‘Nobody ever dies saying “I wish I’d spent more time at the office”, or so the saying goes. We deeply regret those times the business trip or polishing off the report for the boss has meant missing the school play or cancelling the anniversary dinner.’ (Elliott 2008)

Perhaps back in 2000 it was with such thoughts in mind that the French government introduced the principle of a 35-hour working week (although the need to deal with rising unemployment undoubtedly provided a major impetus). This has had mixed results and for many employees little has changed. It now appears that the 35-hour week legislation may well be modified or abandoned. At the time of writing, employees in Germany are seeking a significant reduction in the length of the working week, but without loss of salary. Despite these moves the reality is that the benefits associated with digital connectivity have been tempered by the working day often encroaching into our personal time and this has the effect of increasing the number of hours many of us work each week.

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Back in 1932 (during a period of global recession), the renowned British economist, John Maynard Keynes (1883–1946), suggested a future in which the need to work would gradually diminish, although he believed that in parallel people would become dissatisfied with a life of complete leisure. He postulated that a 15-hour working week could ultimately become a norm. However, in order to create a world of affluence in which ‘the accumulation of wealth is no longer of social importance’, there would be a need to pass through a period of maladjustment: ‘We are being afflicted with a new disease of which some readers may not have heard the name, but of which they will hear a great deal in the years to come – namely, technological unemployment [referred to here as jobsolescence]. This means unemployment due to our discovery of means of economising the use of labour outrunning the pace at which we can find new uses for labour.’ (Keynes 1932)

Interestingly, as an economist he scorned certain attitudes relating to the acquisition of wealth. Specifically, he suggests (with a degree of passion) that when affluence becomes the norm: ‘We shall be able to rid ourselves of many of the pseudo-moral principles which have hag-ridden us for two hundred years, by which we exalted some of the most distasteful of human qualities into the position of highest virtues. We shall be able to afford to dare to assess the money-motive at its true value. The love of money as a possession - as distinguished from the love of money as a means to the enjoyments and realities of life – will be recognised for what it is, a somewhat disgusting morbidity, one of the semi-criminal, semi-pathological propensities which one hands over with a shudder to the specialists in mental disease.’ (Keynes 1932)

As for today’s technologies promoting early retirement, advances in health and medicine have resulted in increased life expectancy which is in turn making it necessary for those in employment to support the wellbeing of an ever-larger retired population. One solution to addressing this imbalance is to extend the duration of the Employment Phase. In principle this may be deemed to be a sound move when we consider that the knowledge and experience of workers increases (or should increase) with age. In practice many employees seek, whenever possible, to appoint younger people who are often seen as being more flexible, dynamic, self-motivated, and willing to wholeheartedly enter into a team culture (embracing (rather than endeavouring to avoid) team-building events such as ‘Away Days’ and other compulsory ‘be happy’ occasions). Furthermore, salary savings can usually be achieved by recruiting younger staff (see Ethical Dilemma 6.2).

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Ethical Dilemma 6.2 Some years ago I was asked to chair a university appointments panel to deal with the recruitment of several new academic staff. Prior to the instigation of the process, the Head of Department discussed the appointments with me. ‘Be sure to appoint young people’ he firmly stated. ‘Young staff are flexible, will conform to my requirements, and will work night and day to build their reputations. This will mean that the department will get the credit for a considerable number of academic research publications. Don’t make the mistake of recruiting older people.’ 1. Given that in many countries discrimination on the basis of age is illegal (although it continues to be widely practiced) discuss how you would react to such a brief. 2. Putting the matter of age discrimination to one side, discuss whether or not you believe that the Head of Department's assertions are valid.

In short, there are two conflicting outlooks. In one scenario, there is a drive to extend the working life to counter the impact of a burgeoning retired population. The alternative scenario endeavours to capitalise on the perceived advantages associated with a young workforce. Naturally, this latter outlook is also reinforced by product marketing which as we have seen favours the new over the old. Undoubtedly, younger staff are more willing to engage in retraining and the quest for new opportunities, whereas older members of a workforce are more likely to seek to remain within the safer confines of their primary areas of longstanding experience. As a result, the impact of automation and associated change is likely to have a greater effect on older members of a workforce. It is perhaps ironic that the growth in the large-scale deployment of automated systems is occurring at a time when the global population continues to increase at an alarming pace (see Table 6.7). As can be seen from this data, in the period 1960– 2000, the world population doubled and in the period 2000–2050 is expected to increase by a further 50%. Whilst we can envisage that increases in population will continue to result in corresponding increases in manufacturing output, it is equally evident that when accompanied by a continuation of the thrust for repetitive consumption the impact on finite planetary resources is likely to be considerable—and not sustainable. The extensive deployment of automated systems will impact on countries rich and poor. For example, manufacturers in economically wealthier countries may revert to a nearshoring approach—made viable by the ‘labour’ costs associated with robotic manufacturing technologies undercutting the costs associated with workers on the lowest of salaries. This could have a significant impact on job opportunities in poorer countries and, as we have previously noted, when nearshoring is catalysed by automation, it does not offer to significantly increase employment in economically wealthy countries.

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Table 6.7 Approximate global population figures and estimates of future growth. As indicated, between 1960 and 2000, the population doubled. (Source Ecology Global Network)

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Year

Approximate global population (billion)

1960 1970 1980 1990 2000 2010 2020 2030 2040 2050

3.04 3.71 4.45 5.29 6.09 6.87 7.66 8.32 8.87 9.31

From environmental and ethical perspectives, the spectre of jobsolescence raises many concerns. It is evident that the Lifecycle of automated systems consumes a broad range of resources and so we might ask whether this resource expenditure can be justified on the basis of cost-cutting objectives which result in the direct displacement of one or more employees. The impact of jobsolescence on the individual can be profound and in theory this should be factored into the overheads associated with the automation process. Unfortunately it is very difficult to do this in a meaningful manner, particularly because jobsolescence has diverse ramifications which not only impact on employees who loose out, but also upon the broader fabric of society.

6.9

Cloud Computing: Data Centres ‘As our own species is in the process of proving, one cannot have superior science and inferior morals. The combination is unstable and self-destroying.’16

Cloud Computing provides a wealth of opportunities. For the average computer user, these not only include the ability to store, retrieve, and share content but to also gain access to services that are underpinned by software executing on remote servers. In fact forms of Cloud Computing have now pervaded our everyday Internet experience—from the movies that we access, through to the videos that we upload and the email that we send and receive. From the perspective of the business community, Cloud Computing offers (at least in principle) tremendous opportunities to simplify the provision of corporate IT facilities and hence reduce costs. Thus, for example, organisations may choose to subscribe to applications which are stored and executed on remote servers (Software as a Service (SaaS)) or may create their own custom applications which are 16

Attributed to Arthur C. Clarke.

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hosted remotely and can be made available across the organisation (Platform as a Service (PaaS)). In many respects, the notion of Cloud Computing may simply be considered as being synonymous with the Internet and is an integral part of not only our direct Internet interactions, but also in underpinning the operation of increasingly diverse automated systems (such as IoT and IoE devices, autonomous vehicles, etc.). As we place ever more reliance on the Internet, we are assuming that its reliability can be guaranteed and that its continued growth can be sustained. After all, if we were to think otherwise, then we may indeed be guilty of imprudently placing all our proverbial eggs into one basket. The performance, extent and complexity of the Internet continues to increase at a phenomenal pace. Some of the aspects of this growth are summarised in Fig. 6.17. In relation to increases in accessibility, a recent forecast suggests that the number of users connected to the Internet will grow from 3 billion in 2015 to 4.1 billion in 2020. (Cisco Visual Networking Forecast data summarised in Garrity 2017). This will still mean that there are *3.5 billion people without Internet access (recall population figures presented in Table 6.7). Certainly the predictions contained in the Cisco Visual Networking Forecast Report are impressive and highlight, for example, the likely growth in video-based applications: ‘Globally, IP video traffic will be 82 percent of all consumer Internet traffic by 2021, up from 73 percent in 2016. Global IP video traffic will grow threefold from 2015 to 2021.’ (Cisco Visual Networking Forecast 2017)

Which is placed in context: ‘It would take an individual more than 5 million years to watch the amount of video that will cross global IP networks each month in 2021. Every second, a million minutes of video content will cross the network by 2021.’ (Cisco Visual Networking Forecast 2017)

As for the growth in the total amount of Internet traffic: ‘In 2016, global IP traffic was 1.2 ZB per year or 96 EB … per month. By 2021, global IP traffic will reach 3.3 ZB per year, or 278 EB per month.’ (Cisco Visual Networking Forecast 2017)17

Of course accurately formulating such predictions is fraught with difficulty and consequently (although they are confidently stated in the publication) the numerical values indicated above can only be viewed as being indicative (and may potentially be flavoured by commercial interest). However, there can be little doubt that the growth of the Internet over the next few years will be prodigious. This will require the deployment of ever-faster and more powerful hardware and software systems, coupled with the need to continually meet the Internet’s insatiable demands for electricity.

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1 EB = 109 GB and 1 ZB = 103 EB.

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Increased deployment of sophisticated systems (e.g. autonomous vehicles)

Increased support for mobile devices

Increased use of heavyweight applications (e.g. video-based)

Internet

Ever-larger storage requirements

Increased connectivity bandwidth

Expansion for increased accessibility

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Increased proliferation of IoT and IoE devices

Increased use of cloud-based applications and services

Fig. 6.17 The Internet continues to grow in performance, extent and complexity. This fuels an insatiable need for ever more advanced technologies, and for electrical power.

6.9.1 Powering the Internet In this subsection we briefly consider some of the environmental ramifications of the development and growth of the Internet, and in Sect. 6.9.2 turn our attention to the use of renewable energy resources. Note that in the text that follows we do not distinguish between cloud-based and non-cloud-based data centres. Figure 6.18 provides an estimate for the annual electricity consumption of data centres in the U.S. in relation to several scenarios. These are summarised below: 1: Current Trends: This is depicted by the thicker black line. Historical data is reported as being used from the period 2000–2014. In 2014 the total power consumption was *70  109 kWh which is indicated as representing *1.8% of the total U.S. consumption in that year. This level of usage is approximately equivalent to continuously operating 4,000,000 electric kettles (2 kW) for a whole year. In the period 2014 through to 2020 the authors base the plot on estimates of trends and suggest that by 2020 power consumption is likely to have risen to *73  109 kWh. 2: Energy Efficiency Based on 2010: From Fig. 6.18, it is apparent that during the course of *10 years, the actual rate of increase in power consumption was significantly less than in previous years, despite the increase in data centre performance and storage capacity. This point is emphasised by the researchers who extrapolated the increase in power consumption on the basis of technology and efficiency data back in 2010. In essence, for example, whilst they incorporate improvements in the general performance of IT equipment which have been achieved by the computer industry they assume that developments specific to data centre implementation and operation remained static (see original

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publication for detailed discussion). Consequently, for example it is assumed that the Power Usage Effectiveness (PUE) metric has remained static. This can be expressed as: Power Usage Effectiveness ¼

Total power consumed Power used by IT equipment

Thus a PUE of unity indicates that all power entering a data centre is consumed by the IT equipment, which represents the highest (and obviously unobtainable) level of efficiency. A PUE of 2 would suggest that the IT equipment and data centre infrastructure consume approximately the same amounts of power. Thus in terms of increasing efficiency, an aim is to reduce the value of the PUE. Although the PUE metric has been used for many years by the data centre industry and provides a useful indicator, it is important to bear in mind that it is very limited in scope. For example, it provides no indication as to how efficiently the IT equipment is actually operating and consequently does not consider the extent to which equipment is being utilised to its maximum advantage. Burrington (2015) suggests: ‘PUE is [an] atrocious metric. It ignores everything that is interesting and problematic… PUE only looks to the internal operations of the data center – not, to say, where its energy comes from or how much energy they’re using and what that looks like proportionately.’

As can be seen from the broken grey line in Fig. 6.18, the analysis suggests that the failure to introduce appropriate and effective efficiencies would have had significant consequences, and by 2020 could have resulted in an annual power usage of *200  109 kWh. Importantly, the PUE metric takes into account the energy requirements of the cooling systems employed by data centres—but doesn’t include associated water usage, which is significant. For example: ‘…data centers that have 15 MW of IT capacity consuming between 80-130 million gallons annually… approximately 626 billion litres of water was estimated to be consumed in 2014 for [US] data centers, with that number reaching 660 billion litres in 2020.’ (Shehabi et al. 2016)

3: Other Estimates: The other lines illustrated in Fig. 6.18 represent estimates arising through various scenarios (either individually or in combination). These relate to improved data centre management, the adoption of best practices and the hyperscale shift. For the purposes of our current discussion, the hyperscale shift is perhaps of greatest relevance and refers to the development of super-sized data centres able to operate at high levels of efficiency largely on the basis of economies of scale. With innovative design, these centres can demonstrate a high level of infrastructure efficiency and employ servers that operate at a high level of utilisation (which reduces the number of servers needed to provide a given level of service). Such centres can, for example, use advanced hardware and software systems to predictively model likely changes

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Electricity consumption in billions of kilowatt hours per year

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Year

Fig. 6.18 This diagram depicts (black line) the estimated annual electricity consumption of U.S. data centres (in relation to servers, storage, network equipment and infrastructure) from 2000 to 2014 (based on historical data), and predicts consumption from that time through to 2020. See text for discussion of other information provided in the diagram. (Adapted from Shehabi et al. 2016)

in access demand (e.g. peak times of user access to video content) and make appropriate adjustments to the centre’s local cooling systems, thereby optimising cooling efficiency (see, for example, Vaughan 2016). Despite the efficiencies that have been achieved in the operation of data centres, their consumption of energy remains formidable. It is estimated that they consume *3% of the global electricity supply and account for *2% of greenhouse gas emissions, putting them on a par with the emissions generated by the worldwide aviation industry. The growth in the amount of digital content that we generate and store is prodigious. For example, it is estimated that the *16 ZB of digital data generated in 2016 will grow to *163 ZB by 2025—an order of magnitude increase (Reinsel et al. 2017). When dealing with digital content it is all too easy to create multiple backups and to retain content even though we will most probably never need it again, just in case… This contrasts with our use of paper-based files. Over time these start to clutter our surroundings and eventually we are driven to undertake ‘spring cleaning’ activities in which we throw away unwanted material. But in the case of digital content we seldom spend time having a ruthless ‘clear-out’, our email boxes grow in size and the amount of material that we store both locally and remotely becomes ever-greater. But then D-waste is in essence invisible. In parallel we expect immediate access to this content, any time, any place, anywhere. Even though we may not have accessed particular files that we uploaded to some server in some distant and anonymous data centre for the last

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three years, we expect it to remain ‘instantaneously’ accessible. This places severe demands on data centres to ensure that all content is readily available and that all forms of contingency are catered for. For example, there is a possibility that the electricity supply to a data centre may fail, either for a brief time or for a more protracted period. The requirement to deliver a totally reliable service means catering for such a contingency and so backup power generation facilities must be on hand. Different solutions are available and may, for example, involve the use of large on-site diesel generators. These are likely to remain unused for long periods of time but they must be maintained in full working order, just in case. Similarly there is the possibility of hardware failure and as a consequence backups of content must be maintained and be ready for immediate use—just in case the need arises. Whilst the ramifications of delays in content access may be inconvenient and frustrating to individual end users who are simply wishing to access email or entertainment materials, in other situations they can have much more profound ramifications. Naturally this applies to organisations who conduct their core operations using cloud-computing facilities and as a result they may prefer to employ in-house IT facilities with the intention of reducing vulnerability. (In this context vulnerability may take on many forms such as reliability, security, privacy, and ownership.) However there is a gradual increase in the amount of critical and hyper-critical content which is being remotely stored. It is estimated that by 2025 20% of data will fall into the former category and 10% into the latter (Reinsel et al. 2017).

6.9.2 The Use of Renewable Energy ‘The cheapest and cleanest energy is the energy that is not required and hence not consumed.’

Undoubtedly the development of hyperscale data centres together with increased pressure from environmental groups and government incentives is resulting in a significant shift to the use of renewable forms of energy. This should not however be construed as suggesting that the companies operating data centre facilities are necessarily constructing and operating systems that convert renewable forms of energy into electrical power (Fig. 6.19(a)). For example, late in 2017 it was reported that through the use of RECs (which are explained below) Google had purchased enough sustainable energy to power its operations for a full year: ‘But let’s be clear: This does not mean that Google is “powered” by renewables. Instead, the company hit this mark largely by buying renewable energy certificates… which ensure a certain quantity of wind and solar electricity is allocated to a given use. In other words, Google bought renewable power in quantities that match its consumption, even though that renewable electricity isn’t powering its operations directly.’ (Irfan 2017)

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Let’s take the case of a standard electricity generating company supplying power to a data centre. It is likely that either all of this electricity is generated using conventional (non-renewable) techniques (such as burning coal and/or nuclear), or that the supplier will use a mixture of non-renewable and renewable techniques (Fig. 6.19(b)). Electricity derived from multiple sources of generation is brought together via the power grid and some of this will be supplied to the data centre. Of course the electrical field energy generated from renewable and non-renewable sources (and which, in the case of alternating current, causes electrons in wires to vibrate) is indistinguishable! And so a question arises—under such circumstances, how can the data centre claim to be powered by renewable energy sources? One mechanism employed in the U.S. is based on Renewable Energy Certificates (RECs)—the European Equivalent being Guarantees of Origin (GOOs). The basic way RECs work can be readily understood by means of the following example. Consider a company which generates electricity from renewable sources and which supplies this to the power grid mentioned above. For each Unit (1 MWh) of electrical energy it generates, a uniquely identifiable REC is produced. The electricity is fed onto the power grid and ‘mixes’ with electricity produced from other sources (e.g. coal and oil). Some of this ‘blended’ electrical energy is supplied to the data centre. Suppose that the data centre pays the company generating the electricity from renewable sources for the electricity used. As the data centre consumes each unit of electrical energy, it will receive an associated REC. That is to say the REC and the electricity are ‘bundled together’. This provides the data centre with the paperwork needed to claim that it is making use of renewable energy. The fact that the electricity actually arriving at the data centre may have been generated by a nuclear reactor or a coal fired power station is deemed to be irrelevant because from an accountancy perspective there is (at least in principle) a direct administrative link between the generation of 1 Unit of electricity from a renewable source and the consumption of 1 Unit of electricity by the data centre… In practice, arrangements may be somewhat more complicated. For example legislation may specify that the generator and consumer are in geographic proximity, e.g. by requiring that they are in the same State. Furthermore, the company generating electricity from renewable sources may only be able to meet a portion of the data centre’s power requirements. In addition in the case that, for example, wind energy is being harnessed, there will be large fluctuations in the amount of electrical energy which the supplier can generate, and on some days the wind turbines will be idle. The limitations of so-called ‘bundled’ RECs become even more evident when we consider that some data centres may reside in regions in which opportunities to efficiently capitalise on renewable energy sources are quite limited. Such matters are likely to impact on the ability of data centres to claim that they are completely (or even partially) powered by renewable energy sources. So how about creating ‘unbundled’ RECs? In this scenario, RECs can be traded and can relate to electricity which is produced—somewhere/anywhere. As Chernicoff (2016) indicates:

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Data center (a)

Renewable forms of electricity generation Power grid Electricity generation using fossil fuels and nuclear power

Data centre (b)

Fig. 6.19 In (a) we depict the scenario of powering a data centre by employing dedicated renewable electricity generation systems (usually using wind and/or solar power). In practice this is often not the case and in (b) we illustrate a more common scenario for data centres that do in fact make use of some level of renewable power. See text for discussion.

‘In fact there is no requirement for the owner of the REC to be connected in any way to the power generation or the grid to which the [renewable] power is delivered… data centres are rarely powered directly by renewable energy. Instead they are able to claim to use renewable power, through the use of renewable energy certificates and power purchase agreements.’

Even when a data centre is connected to a power grid which is only supplied with electricity generated by non-renewable (‘dirty’) techniques, unbundled RECs can still be used (Fig. 6.20). Take the case that such a data centre undergoes expansion and as a result increases its electricity consumption by a significant amount. In order to continue to claim that it continues to be fully powered by energy generated from renewable sources, all that needs to be done is to purchase an appropriate number of additional unbundled RECs annually. But the reality is that the data centre is consuming significantly more electricity from non-renewable sources, and the use of unbundled RECs is unlikely to have resulted in a corresponding increase in the output of electricity from renewable sources—somewhere/anywhere. The overall impact is twofold; the emission of greenhouse gases increases but the data centre can continue to claim that it is fully powered by renewable energy! Not surprisingly, in the corporate sector unbundled RECs have proved to be very popular and have made it much easier for some companies to claim to be using 100% sustainable power sources. As Landry (2017) indicates: ‘If your goal is to claim rights to renewable energy at a potentially very cheap cost, unbundled RECs will do that for you. If your goal is to claim those rights in a way that promotes the renewable energy industry, you might need something more….’

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Electricity generation using fossil fuels and nuclear power

Power grid

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Data center

REC’s from remote locations

Fig. 6.20 In an alternative scenario, the data centre is powered by electricity that is generated from traditional (non-renewable) sources. However this is offset by RECs relating to electricity generated using renewable techniques—somewhere. As quoted by Martin (2015): ‘You can buy RECs in the Amazon for hydro projects that may not exist.’

It is claimed that feeding the extra revenue generated through the procurement of RECs back to the providers of renewable energy-based electricity fosters the expansion of this industry. However: ‘In theory, the system should provide additional demand for renewable energy, as opposed to power from fossil-fuel plants; in practice it’s nearly impossible to confirm that a renewable credit actually displaces a megawatt-hour from say a coal plant.’ (Martin 2015)

In addition to RECs, Power Purchase Agreements (PPAs) are also used to further the use of renewable energy: They provide a: ‘…long-term contractual commitment to buy energy from a clean power source [and this] is often a very strong factor behind the development of a renewable energy project in the first place. The only problem is that PPA’s don’t necessarily come with the certified recognition of clean power production.’ (Landry 2017)

Thus one positive scenario is to use PPAs in parallel with bundled RECs. This has limitations because, as mentioned above, a data centre may be located in a region in which conditions for the generation of electricity using renewable techniques are not favourable. So how about we make use of Virtual Power Purchase Agreements (VPPAs) which provide even greater flexibility… From the above discussion, it’s evident that claims made by many companies in relation to their use of renewable energy must be examined with some care. We cannot take imagery created by corporate marketing departments illustrating pristine data centres located in green fields and surrounded by wind turbines as necessarily representing any physical reality. On the other hand it is encouraging to find that some of the key data centre companies are now focusing on the use of bundled rather than unbundled RECs. For related discussion see OTU Activity 6.15.

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OTU Activity 6.15 1. Research and discuss any ethically related issues which you believe to be associated with the use of ‘bundled’ and ‘unbundled’ Renewable Energy Certificates (REC’s). 2. Research and discuss the extent to which organisations associated with the operation of data centres are accurately describing claims of using 100% renewable sources of energy.

A number of the key companies involved in the establishment and operation of large data centres are expanding their operations in countries such as Ireland: ‘Ireland, which with Denmark is becoming a data base for the world’s biggest tech companies, has 350 MW connected to data centres but this is expected to triple to over 1,000 MW, or the equivalent of a nuclear power station size plant, in the next five years.’ (Climate Home News 2017)

To give an impression of the scale of planned development: ‘…a single $1bn Apple data centre planned for Athenry in Co Galway, expects to eventually use 300 MW of electricity, or over 8% of the national capacity…’ (Climate Home News 2017)

This article indicates that Eirgrid (Ireland’s main power grid operator) estimates that by 2025, 30% of the countries electrical power could be consumed by data centres. Although a number of companies are committed to the use of renewable energy, the impact of powering large data centres through the development of local generation systems based on renewable forms of energy is by no means straightforward. The first matter that must be addressed concerns the issue of variability—the sun only shines in daytime and the wind does not always blow. Thus when renewables are not able to satisfy the power requirements of the data centre, alternative sources of electricity must be on hand (see Fig. 6.21). Conversely, when the power generation system is operating under favourable conditions, surplus energy must either be stored or sold to other users via the conventional power grid. Both energy storage (which is most commonly effected through the installation of large batteries (which have associated alternating current/direct current conversion overheads)) and the implementation of energy backup systems can have negative environmental consequences. Of course as indicated previously, even when a data centre is powered by conventional means (e.g. through the burning of fossil fuels), there is still a need to have local backup systems which operate as and when power cuts occur. In terms of reliability, some forms of sustainable energy (particularly wind) can be quite unpredictable and so it is difficult to accurately anticipate the time period over which a backup system must be capable of operating. In short, even when a data centre is linked to a local purpose-built power generation system (employing renewable energy), it makes sense to ensure that the

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Excess power generation

Satisfies data centre requirements

Excess is stored or sold

Insufficient power generation

Unable to satisfy data centre requirements

Use locally stored energy or purchase from the grid

Fig. 6.21 Developing a large data centre which has its own custom-built power generation system (based on renewable energy) can be fraught with difficulty. Here we allude to the variability of energy sources such as solar and wind power.

system is also connected to the national power grid. In the case of those countries which are attracting ever-more data centres, their reliance on renewable energy is not necessarily a panacea. For example, during periods when the generation system is producing minimal amounts of electricity, the full data centre load must be supplied from the national generation system—which must have the capacity for this provision. Many countries are endeavouring to increase the percentage of electricity which is generated using renewable sources. This is often driven by international agreement on carbon emission reduction targets. Increasing a country’s electricity generation infrastructure to accommodate power-hungry data centres can erode progress in meeting such targets, unless of course the increase in capacity is achieved through the use of renewable energy generation techniques. And here unfortunately lies a further difficulty relating to the siting of wind farms and the like. Naturally, there are optimal positions for wind turbines, less favourable locations, and locations in which turbines cannot be used effectively. Once the prime sites have been taken, further investment in wind farms gives rise to an ever-diminishing return and may make it increasingly difficult to meet carbon emission reduction targets. OTU Activity 6.16 Research and discuss the history of the Data Centre industry. To what extent does this history evoke a sense of commitment to ethical standards of environmental stewardship?

The most recent ‘Clicking Clean’ report produced by Greenpeace (Cook et al. 2017) highlights progress which is being made in connection with IT sector companies moving towards, and supporting, the use of renewable energy:

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‘Both Apple and Google continue to lead the sector in matching their growth with an equivalent or larger supply of renewable energy, and both companies continue to use their influence to push governments as well as their utility and IT sector vendors to increase access to renewable energy for their operations.’

However: ‘Faced with a lack of access to renewables in monopoly markets, there are increasing signs that some companies are resorting to status quo shortcuts to reach their claims of being renewably powered, increasing the demand for dirty energy and undermining the continued leadership and momentum of market leaders who are legitimately driving additional renewable investment.’

OTU Activity 6.17

Research and discuss the possible societal implications associated with the growth of very large data centres in geographically small countries such as Ireland. You are encouraged to include consideration of the impact of the development of associated large-scale power generation facilities based on renewable sources.

And: ‘The continued lack of transparency by many companies regarding their energy demands and the supply of electricity powering their data centers remains a significant threat to the sector’s long-term sustainability. The least transparent companies such as AWS, Tencent, LG CNS, and Baidu are also among the most dominant in their respective markets, making their lack of movement toward more transparency even more egregious.’

In short, whilst progress is being made, much more work remains to be done. Furthermore many important questions remain unanswered. For example, recall Fig. 6.18 which shows that annual recent and predicted U.S. data centre power usage is remaining approximately constant despite a large growth in data centre performance. The diagram also provides an indication of how power consumption may have risen from 2010 in the absence of innovation and increased efficiencies. However, given the pace of growth of the Internet it is important to ask whether it will be possible to continue to devise strategies that will be sufficient to prevent a corresponding increase in data centre power consumption. In addition, it is important to consider the rate of growth of the supply of power to data centres that is derived from renewable energy sources relative to the total rate of increase in data centre power consumption. Naturally, from the perspective of environmental stewardship, it is important that the former exceeds the latter.

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6.9.3 Is Renewable Energy Sustainable? ‘Innocent sands are kidnapped and sucked into the void, Left unaided, to be swept from land and home.’18

As we continue to devour ever-greater amounts of electrical energy, the negative ramifications associated with the burning of fossil fuels cannot be sustained: ‘Little more than a century ago, there were no motors, light bulbs, refrigerators, air conditioners, or any of the electrical marvels that we think of as being so essential today… The electric power industry has since grown to be one of the largest enterprises in the world. It is also one of the most polluting of all industries, responsible for three-fourths of US sulfur oxides (SOx) emissions, one-third of our carbon dioxide (CO2) and nitrogen oxides (NOx) emissions, and one-fourth of particulate matter and toxic heavy metals.’ (Masters 2013)

Amid such a backdrop, it is hardly surprising that interest in transitioning to the use of so called renewable forms of electrical power generation is gaining ever-greater interest. The Australian Renewable Energy Agency defines electricity being produced in this way as being generated: ‘Using natural resources that are constantly replaced and never run out.’

Thus the use of fossil fuels is obviously excluded as these constitute a finite and non-renewable source of energy. However, when we consider nuclear power, matters are not so clear cut. On one hand it can be argued that since the global supply of Uranium is finite, nuclear power should be regarded as being non-renewable. Contrariwise when we look forward, it is apparent that this is not an industry that needs to be solely founded on one particular element. Thus it would seem to be reasonable to claim that nuclear power represents a form of electricity generation based on what is in effect a sustainable source. The generation of electrical power by means of nuclear reactors cannot be claimed to represent an environmentally sound approach. Not only are there dangers inherent in the operation of nuclear reactors, but also the generation of significant quantities of highly hazardous waste materials creates problems that future generations will be left to deal with. From the perspective of environmental stewardship it is perhaps appropriate to distinguish between ‘clean’ and ‘unclean’ forms of electricity generation using renewable sources of energy. In this sense ‘clean renewable’ would only be applied to approaches which do not involve significant environmental hazards and/or pollution. Nuclear power would then be classified as ‘unclean renewable’, which would appear to be appropriate. Unfortunately if we take this approach then we run

Blundell, Q., Come Back, ‘Collected Works’ (2020).

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into problems in relation to, for example, the generation of electricity based on solar and wind power. This is because there is a need to think beyond the actual source of energy and consider the Lifecycles (and Sub-Cycles (recall Sect. 6.2.2)) of the technologies which perform the task of converting solar radiation into electrical energy. This in turn raises the broader question of whether we can necessarily consider energy generation from renewable sources as actually being sustainable: ‘Although scientists are agreed that we must cut carbon emissions from transport and electricity generation to prevent the globe’s climate from becoming hotter, and more unpredictable, the most advanced “renewable” technologies are too often based upon non-renewable resources.’ (Barras 2009)

And: ‘Solar and wind energy are growing rapidly, but while the energy is renewable every solar panel and wind turbine is largely made from non-renewable resources. These energy technologies also have a finite lifespan and the power plants that we build today will need replacing in the future.’ (Dahren 2016)

As we have seen (recall Fig. 6.5) the finite lifespan of technological products (i.e. the transition from the Useful Phase to the Termination Phase) may not simply be caused by reliability issues, but also by a number of other factors relating to, for example, limited performance, changes in support, developments in standards, and displacement by superior technologies. There can be little doubt that in the coming years the performance of solar panels will continue to increase and this may well result in the displacement of currently installed systems. Researchers are investigating the environmental impact of large area solar panel arrays and major wind turbine installations. In the case of the former, the presence of solar panels can impact on local fauna and wildlife, especially birds. In addition, research suggests that the panels have a significant shading effect which in some situations can result in a temperature reduction of up to 5 °C (although this may provide new and positive opportunities in which solar farms may also serve agricultural purposes). Whilst many of the large solar farms are established in desert regions, others are situated on valuable agricultural land. If successful, one proposed development in the UK will occupy some 890 acres of farmland near the historic town of Faversham in Kent: ‘The area’s salt marshes and mudflats are used by migrating birds including marsh harriers and lapwing. Readers will also know the marshes as similar to the nearby childhood home of Pip in Charles Dickens’s Great Expectations.’ (Vaughan 2017)

A key point is that solar farms that have been developed to date or which may be implemented in the near future may soon become dated in terms of their viability and efficiency. As indicated in Fig. 6.22 this is not simply based on advances in

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Development of more efficient panel technologies

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Non-optimal impact of the configuration on the local environment

Solar Farm

Unforeseen environmental considerations

Fig. 6.22 The design and implementation of large solar farms is fraught with complexity. The large-scale deployment of technology prior to its gaining proper maturity can reduce the duration over which an installation remains efficient and/or viable. See text for discussion.

solar panel technology but also may arise as a result of their placement (e.g. panel spacing and their height above the ground which may impact on their coexistence with agricultural opportunities) together with unforeseen environmental impact factors (e.g. effect on wildlife). Importantly, given its rapid and substantial growth coupled with the finite lifespan of solar panels, the Photovoltaic industry has the potential to generate enormous amounts of e-waste: ‘Global installed PV capacity reached 222 gigawatts (GW) at the end of 2015 and is expected to rise further to 4,500 GW by 2050. Particularly high cumulative deployment rates are expected by that time in China (1,731 GW), India (600 GW), the United States (US) (600 GW), Japan (350 GW) and Germany (110 GW).’ (IRENA and IEA-PVPS 2016)

The current expectation is that on average solar panels have a lifespan of *30 years. Given that the major growth in solar panel deployment dates back to *2000, by *2030 we can expect a significant increase in the generation of solar panel e-waste: ‘At the end of 2016, cumulative global PV waste streams are expected to have reached 43,500-250,000 metric tonnes. This is 0.1%-0.6% of the cumulative mass of all installed panels (4 million metric tonnes). Meanwhile, PV waste streams are bound to only increase further. Given an average panel lifetime of 30 years, large amounts of annual waste are anticipated by the early 2030s. These are equivalent to 4% of installed PV panels in that year, with waste amounts by the 2050s (5.5-6 million tonnes) almost matching the mass contained in new installations (6.7 million tonnes).’ (IRENA and IEA-PVPS 2016)

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As with some of the numerical data presented elsewhere in this chapter, weights of this magnitude are difficult to conceptualise and so perhaps it is sufficient to note that without the establishment of effective e-waste recycling facilities, on entering the Termination Phase solar panel technologies are likely to have major, and undesirable, societal and environmental ramifications. Given the harsh conditions to which solar panels are often exposed, panel failure can be caused by many factors and may occur at any time during the Useful Phase: ‘The main infant failure [during the first 4 years after installation] causes include lightinduced degradation (observed in 0.5%-5% of cases), poor planning, incompetent mounting work and bad support constructions. Many infant failures have been reported within the electrical systems such as junction boxes, string boxes, charge controllers, cabling and grounding. Causes of midlife failures [5-11 years] are mostly related to the degradation of the anti-reflective coating of the glass, discoloration of the ethylene vinyl acetate, delamination and cracked cell isolation. Causes of frequently observed failures within all phases in the first 12 years - after exposure to mechanical load cycles (e.g. wind and snow loads) and temperatures changes - include potential induced degradation, contact failures in the junction box, glass breakage, loose frames, cell interconnect breakages and diode defects. In the wear-out phase [12 years after installation], failures like those reported in the midlife phase increase exponentially in addition to the severe corrosion of cells and interconnectors. Previous studies with statistical data on PV panel failures additionally observe that 40% of PV panels inspected suffered from at least one cell with microcracks. This defect is more commonly reported with newer panels manufactured after 2008 due to the thinner cells used in production.’ (IRENA and IEA-PVPS 2016)

In some cases solar panels can be repaired but this is less applicable in the case of gradually deteriorating performance, in which case problems may not be immediately apparent. The most common forms of photovoltaic panel employ silicon wafers and their production involves techniques that necessitate the use of toxic chemicals and a high level of energy expenditure. In contrast, developments in respect of thin film technologies (which employ thin layers of semiconductor material deposited onto large substrates (such as glass or polymer)) offer to facilitate the production process (see, for example, Masters 2013; Mulvaney 2014; Maehium 2017 for further discussion). In general terms, materials commonly employed in the construction of Photovoltaic panels include Aluminium, Copper, Glass, Silicon Silver, Zinc, Nickel, Tin, Lead, Cadmium, Indium, and the like. Naturally, in relation to the proper handling of e-waste it is necessary to find viable energy-efficient ways of recovering at least some of these materials. For related discussion, see OTU Activities 6.18 and 6.19.

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OTU Activity 6.18 The generation of electricity using both non-renewable and renewable forms of energy has a significant impact on the environment. Furthermore as we have seen, large-scale deployment of Photovoltaic systems may not necessarily be deemed to represent a sustainable approach. With this in mind, consider the investment that is currently being made in increasing the extent to which data centres are supplied with so-called renewable forms of power generation (directly or in terms of the Renewable Energy Certificate scenario). Discuss whether or not you believe that the key players in the Data Centre industry should be focusing on finding ways of effecting major reductions in Data Centre power consumption, even if this means that end users would have to accept different ways of working.

6.9.4 The Brundtland Report: Sustainability ‘The cost-effectiveness of ‘efficiency’ as the most environmentally benign ‘source’ of energy is well established.’19

From 1983 through to 1987, the World Commission on Environment and Development (convened by the United Nations and Chaired by the former Norwegian Prime Minister, Gro Harlem Brundtland) was charged with the goal of proposing long-term solutions for sustainable development. This culminated in a report entitled ‘Our Common Future’ which is often simply referred to as the ‘Brundtland Report’. In relation to renewable forms of energy, the committee noted that: ‘Renewable energy systems are still in a relatively primitive stage of development. But they offer the world potentially huge primary energy sources sustainable in perpetuity and available in one form or another to every nation on Earth. But it will require a substantial and sustained commitment to future research and development if their potential is to be realised.’ (Brundtland 1987)

The Report provides an eloquent definition of sustainable development: ‘…development that meets the needs of the present without compromising the ability of future generations to meet their own needs.’

In recent years, the ‘sustainability’ rollercoaster has gained great momentum and it’s difficult to think of any other recent term about which so much has been written by so many and which has been properly perused by so few! Indeed it would seem that organisations large and small have put in place (voluntarily or as a result of coercion) policy statements which wholly or partially demonstrate a commitment (at least on paper) to embracing sustainability-related values.

19

Brundtland (1987).

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OTU Activity 6.19 As discussed in the text, the manufacture of a large solar panel is a resource intensive process involving the use of a range of materials and toxic chemicals, together with a considerable quantity of water and a significant amount of energy. At the other end of the Lifecycle, it is apparent that the continued growth in the deployment of solar panels coupled with their finite lifespan is likely to result in the generation of a major amount of Photovoltaic e-waste. 1. Discuss whether the large-scale adoption of solar power for the generation of electricity can be considered to represent a clean form of renewable energy, and whether this commitment to solar energy can be regarded as being sustainable. You may wish to broaden discussion to include the harnessing of wind energy. 2. On the basis of environmental concerns many people are personally employing solar panels to support their domestic consumption of electricity. Discuss whether or not professional technologists have any ethical responsibility to ensure that people are more fully informed as to the nature of the Lifecycle pertaining to the generation of electricity based on solar power. 3. Given the scale of the resources that are invested in the manufacture of each large solar panel, discuss whether in the context of environmental stewardship manufacturers have an ethical responsibility to produce panels designed to increase the average duration of their Useful Phase. 4. Discuss whether or not your reading of this Section (coupled with any related research that you have carried out) has impacted on your perception of so-called renewable systems for the production of electricity.

A recent perusal of a few of these often verbose documents (which were selected at random) provides evidence of a broad range of somewhat well-meaning objectives, but with little detail as to their actual implementation strategies. One of the leading UK universities commits itself to: ‘Sustainable purchasing – by encouraging and embedding sustainable and life-cycle considerations into purchasing decisions.’

Which is a laudable objective but one that is not easily implemented, even in the case that it is disseminated to all staff who have purchasing power. Another university states amongst many other things the intention to: ‘Become more energy efficient and reduce our carbon emissions.’

But unfortunately without any quantified indication as to the scope and profundity of this goal, the statement loses meaning. One of the longer documents (14 pages in length) which I came across indicates that: ‘[We are] committed to working with… suppliers, licensees, affiliates, and partners to ensure that their use of resources is sustainable. It is our goal to hold regular meetings with them to review their sustainability policies and encourage them to engage in conservation

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and efficiency measures for their water and energy use, to increase the utilisation of renewable energy sources, and to minimise waste.’

Which may perhaps suggests the gloomy prospect of endless discussion, with few concrete results? This document also indicates that suppliers are expected to undertake a broad range of measures such as: ‘Maximise the loading of trucks leaving their plant with our product, to minimise fuel consumption and emissions.’

And: ‘Suppliers who provide manufacturing services… are expected to…review with us their environmental performance and practices as requested.’

A key difficulty is that organisations have often committed themselves to broad objectives which can be extraordinarily difficult to achieve in a meaningful way, and which if rigorously implemented have the potential to create seemingly limitless hierarchies of bureaucratic process. Contrariwise there are many other organisations and individuals who are seriously pursing laudable sustainability objectives. Given the ever more widespread use of the term ‘sustainable’, it is sometimes adopted in preference to other, possibly more accurate terms. For example, Eccles et al. (2012) describe research conducted into the implementation of sustainability practices across a number of business organisations. In reviewing this work, I am left with the strong impression that references to ‘sustainable’ practices are at times misplaced and would more accurately be described as ‘ethical’ practices. The Eccles study compares the performance of 90 companies classified as ‘high-sustainability’ with a similar number of companies identified as ‘low-sustainability’. In essence, the two sets of selected companies are reported as having exhibited similar financial performance in the early 1990s, but differed in terms of their implementation of so-called sustainability values: ‘The high-sustainability companies had adopted an average of 40% of these policies early on, while their counterparts [classified as ‘low-sustainability’] had adopted only 10%.’ (Eccles et al. 2012)

It is for the reader to decide whether laudable values such as diversity, equal opportunities, work–life balance and favouring internal promotion truly fall under the ‘sustainability’ umbrella, or more accurately represent ethically desirable goals. The authors indicate that: ‘Over an 18-year period, the high-sustainability companies dramatically outperformed the low-sustainability ones in terms of both stock market and accounting measures…Our research provides convincing evidence that sustainability pays off. Critics of sustainability argue that it destroys shareholder value. We found exactly the opposite… The argument about sustainability is over. It is the key to creating value for shareholders and all other stakeholders over the long term, thus ensuring the sustainability of the company itself.’ (Eccles et al. 2012)

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Equally of course, it is possible to argue that such findings more closely reflect the corporate ethos. A company that adopts ethically sound precepts is much more likely to have embraced the exemplar laudable values that the researchers refer to and which are mentioned above, at an early stage (or even at the time that a company is founded). Returning to the Brundtland Report, despite the passage of over 30 years since its development much of the report’s content remains valid. In respect of energy consumption the authors note that: ‘…This raises the desirability of a lower energy future, where GDP is not constrained but where investment effort is switched away from building more primary supply sources and put into the development and supply of highly efficient fuel-saving end user equipment. In this way, the energy services needed by society could be supplied at much-reduced levels of primary energy production.’ (Brundtland 1987)

In parallel it is suggested that there is a need to change societal attitudes: ‘We must change our attitude towards consumption goods in the developed countries and we must create technological advances that will allow us to carry on economic development using less energy.’ (Brundtland 1987)

Further there is refreshing recognition that renewable energy can be used most effectively when implemented on a small scale: ‘Most renewable energy systems operate best at small to medium scales, ideally suited for rural and suburban applications.’ (Brundtland 1987)

OTU Activity 6.20 The University of Alberta (Canada) provide the following definition of sustainability: ‘…the process of living within the limits of available physical, natural and social resources in ways that allow the living systems in which humans are embedded to thrive in perpetuity.’ 1. Using either the above definition or the definition of sustainability provided in Brundtland (1987) which is quoted in the text, discuss the extent to which you believe relevant topics discussed in this chapter may be deemed to represent sustainable forms of activity. 2. To what extent do you believe that we have a professional ethical responsibility to undertake activities which meet the aspirations of these sustainability definitions? 3. In this section we have largely focused on electricity generation based on solar power. Research and discuss the use of other forms of renewable energy sources for electricity generation, and critically appraise their positive and negative ramifications (e.g. wind, geothermal, and tidal).

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Organisational Failures: Columbia—STS-107

NASA staff were well aware that during Space Shuttle launches, pieces of the insulating foam fixed to the external fuel tanks (containing oxygen and hydrogen) would sometimes become detached (in fact this had happened on 80% of the 79 missions for which appropriate imagery is available (CAIB 2003)). Although occasionally this foam impacted on the Orbiter, some managerial staff had become complacent—if previous foam strikes had not had serious consequences, then surely this demonstrated that foam strikes would not jeopardise future flights. Perhaps loss of insulating foam could be viewed as being ‘normal’, even though it had never been intended to happen. This ‘normalisation of deviance’ can be applied to both the Challenger and Columbia disasters. Indeed organisation complacency played a significant role in both tragedies. The investigation panel set up following the loss of the Columbia indicates: ‘In our view, the NASA organisational culture had as much to do with this accident as the foam. Organisational culture refers to the basic values, norms, beliefs and practices that characterise the functioning of an organisation. At the most basic level, organisational culture defines the assumptions that employees make as they carry out their work. It is a powerful force that can persist through reorganisations and the change of key personnel. It can be a positive or negative force.’ (CAIB 2003)

6.10.1 Normalisation of Deviance On 16th January 2003 (some seventeen years after the ill-fated flight of the Challenger (Sect. 3.8)), the Space Shuttle Columbia was launched (see Fig. 6.23). This was the 113th Shuttle mission and Columbia’s 28th voyage into space. Approximately 82 seconds into the flight, a piece of relatively thin insulating foam (*24 inches long, 15 inches wide and several inches in thickness) separated from the external fuel tank and impacted on the leading edge of the Orbiter’s left wing (see Fig. 6.24). It is estimated that the velocity of the foam relative to the Orbiter was 400–600 mph, and the impact created a hole some 15–25 cm across. As a result, the vital thermal protection needed in order for the Columbia to survive the searing heat of re-entry was compromised. In this condition, there was no possibility that the Shuttle could make a successful return passage through the atmosphere. On the day following the launch, routine examination of high resolution images of Columbia’s initial flight revealed that a debris strike had occurred. Staff responsible for image analysis were concerned about the severity of the collision and the extent of any damage that might have ensued. Clearly more information was needed, and three requests were made for appropriate images of Columbia on-orbit to be obtained by via the military. In the event, the requests were declined by management personnel.

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Fig. 6.23 The start of Columbia’s 28th (and final) mission into space. (Image source NASA [Public Domain])

6.10.2 Re-entry After some 16 days Columbia was flawlessly manoeuvred into the correct orientation for the 158 second de-orbit burn (which would slow the craft from its orbital speed of 17,500 mph). At an altitude of 282 km over the Indian Ocean, re-entry commenced. Once the craft had been slowed it was turned around, and with the nose pitched upwards was (or should have been) ready to pass through the atmosphere where wing leading edge temperatures could be expected to reach 2,800 F. At an altitude of 400,000 feet the Shuttle passed through the ‘entry interface’ (after which the atmosphere begins to have a discernible effect). Heating effects quickly increased and as a result of the damaged leading edge, the temperature within the left wing also mounted. Approximately 10 minutes after passing through the entry interface, signals received from Columbia gave the first indication that something was amiss—four hydraulic sensors within the wing went ‘off scale’. Some five minutes later, with the Shuttle at an altitude of *200,000 feet and travelling at a speed of *Mach 19, transmissions indicated a loss in pressure in the left landing gear tyres. Shortly thereafter, communication with the Shuttle ceased as the craft disintegrated. She was only 16 minutes from home.

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Fig. 6.24 The Orbiter, external fuel tank (covered in insulating foam material) and solid rocket boosters. The upper red circle shows the location of the left bipod foam ramp and the lower circle indicates the approximate location of its impact with the leading edge of the left wing. The ramp was constructed from a foam material and was an aerodynamic component associated with a bipod structure which attached the front part of the Orbiter to the external tank. The foam ramp had become detached on six previous flights. (Image source NASA [Public Domain])

6.10.3 Not NASA’s Finest Hours As discussed in Sect. 3.8, prior to the loss of the Challenger it was known that a serious problem existed: O-rings that should have been isolated from the heat of combustion were being eroded, and potentially catastrophic blow-by was occurring. Similarly, prior to the destruction of the Columbia there had been many incidents of ‘foam shedding’, and in some cases foam had impacted with the Orbiter. In both scenarios there was a tragedy waiting to happen. From a technical perspective, both disasters could have been avoided. Even following the debris strike, had the requests for on-orbit imaging been granted (or had a direct visual inspection been made by the astronauts), it is possible that the crew could have been saved. Perhaps sufficient repairs could have been effected, or perhaps the next Shuttle launch could have been brought forward in time to rescue Columbia’s crew. During Columbia’s voyage, an alternative view was expressed by a member of NASA management: ‘Also on Flight Day Seven,…raised concerns that the extra time spent maneuvering Columbia to make the left wing visible for imaging would unduly impact the mission

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schedule; for example, science experiments would have to stop while the imagery was taken. According to personal notes obtained by the Board: “Linda Ham said it was no longer being pursued since even if we saw something, we couldn’t do anything about it. The Program didn’t want to spend the resources.”’ (CAIB 2003)

From an ethical and professional perspective, it is instructive to question why Shuttles were allowed to fly when O-ring seals and insulating foam were not performing according to specification and design criteria. At the most simplistic level, it may be thought that key figures involved in the flight readiness decision-making processes were guilty of acting unethically and/or incompetently. However closer inspection of this history reveals more endemic problems within the NASA organisation, and a decision-making process tempered by a broad range of internal and external pressures.20 From the outset, political pressures strongly influenced the design of the Space Shuttle: ‘The Space Shuttle Program had been built on compromises hammered out by the White House and NASA headquarters. As a result, NASA was transformed from a research and development agency to more of a business, with schedules, production pressures, deadlines, and cost efficiency goals elevated to the level of technical innovation and safety goals.’ (CAIB 2003)

Indeed in the 1990s NASA motto was ‘better, faster, cheaper’, concepts that could easily erode the vital need to undertake rigorous and methodical research and the enforcement of appropriate standards of safety. Furthermore: ‘…the increased complexity of a Shuttle to be all things to all people created inherently greater risks than if more realistic technical goals had been set at the start.’ (CAIB 2003)

Later, the authors of the CIAB Report write: ‘As with any other first-generation technology, operators were learning more about its strengths and weaknesses from each flight, and making what changes they could, while still attempting to ramp up to the ambitious flight schedule NASA set four years earlier. Already, the goal of launching 50 flights a year had given way to a goal of 24 flights per year by 1989. The per mission cost was more that $140 million, a figure that when adjusted for inflation was seven times greater than what NASA projected over a decade earlier. More troubling, the pressure of maintaining the flight schedule created a management atmosphere that increasingly accepted less-than-specification performance of various components and systems on the grounds that such deviations had not interfered with the success of previous flights.’ (CAIB 2003)

In short, management were under huge pressure to get Shuttles into space: ‘NASA had conflicting goals of cost, schedule, and safety. Safety lost out as the mandates of an “operational system” increased the schedule pressure. Scarce resources went to problems that were defined as more serious, rather than to foam strikes or O-ring erosion.’ (CAIB 2003)

20

Any brief overview of this history is likely to oversimplify matters, and so the CAIB Report is strongly recommended to interested reader. This provides a wealth of relevant information.

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Given that managerial staff were working under pressure, it is perhaps not surprising that they didn’t want to hear bad news: ‘Within the prevailing environment, managers’ techniques focused on the information that tended to support the expected or desired result at that time.’ (CIAB 2003)

Ethical Dilemma 6.3 In order to procure the funding for the Space Shuttle programme it was necessary to make many overly-optimistic assertions, and to play down many of the difficulties that would inevitably be associated with such a huge project. These difficulties were surely exacerbated by the increased complexity of a craft which, it was promised, would fulfil so many requirements. 1.

2.

To what extent do you believe that it is ethically and professionally appropriate to over-claim anticipated technology performance, under-claim development costs, and/or underplay technological obstacles when seeking the funding needed to move a project forward? You should assume that the project is solely intended to represent a potentially lucrative money-making venture. To what extent do you think recourse to a degree of ‘hype’ is invariably necessary in order to attract private sector funding for a technology start-up venture?

Now consider that a start-up venture may have significant positive social/environmental impact (for example, it may reduce local unemployment and poverty). It is evident that in order to obtain the necessary finance, the venture will need to be promoted very strongly. As a technologist/engineer you are faced with pressures to play down difficulties, over-estimate anticipated results (e.g. performance, production rates, etc) and the like. It is apparent that without a little hype the venture will not get off the ground. Identify and discuss any circumstances in which the social/environmental dimensions of the venture would/should persuade you to incorporate hype into the presentations that you make to the potential investors.

And, of course, the desired result was to get Shuttles into space. However as the gulf between engineers and management widened (thereby in effect creating a ‘them’ and ‘us’ culture) institutionalised bureaucracy also burgeoned: ‘The same NASA whose engineers showed initiative and a solid working knowledge of how to get things done fast had a managerial culture with an allegiance to bureaucracy and cost-efficiency that squelched the engineers efforts. When it came to managers own actions, however, a different set of rules prevailed. The Board found that Mission Management Team decision-making operated outside the rules even as it held its engineers to a stifling protocol. Management was not able to recognize that in unprecedented conditions, when lives are on the line, flexibility and democratic process should take priority over bureaucratic response.’ (CIAB 2003)

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Fig. 6.25 Sorting fragments of the Columbia (Image source NASA [Public Domain])

Such an imbalance could have only served to widen the gulf and in turn reduce the level of crucial and effective communication: ‘In neither impending crisis [referring to the events leading up to the loss of both the Challenger and Columbia] did management recognize how structure and hierarchy can silence employees and follow through by polling participants, soliciting dissenting opinions, or bringing in outsiders who might have a different perspective or useful information. In perhaps the ultimate example of engineering concerns not making their way upstream, Challenger astronauts were told that the cold temperature was not a problem, and Columbia astronauts were told that the foam strike was not a problem.’ (CIAB 2003)

Within such an environment, engineers who were attempting to delay the Challenger flight (on the basis of the uncertainties associated with a launch at such a low temperature) or request on-orbit images of the Columbia (following the debris strike) were faced with an almost impossible task. Both O-ring erosion and foam shedding were viewed by management as normal operational events. Moreover, as we have seen, the fact that past O-ring erosion and foam strikes had not caused catastrophic failure was used to infer that both could occur as a matter of routine. Indeed in dealing with managerial staff who did not necessarily have a formal background in science/engineering, the engineers faced further difficulties. After all, in the lead up to the loss of the Challenger, erosion was only impacting on one of the two O-rings comprising each seal—the second O-ring surely provided a further and adequate level of protection? (Although as the reader will recall, in reality the

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effectiveness of the second O-ring was highly uncertain). As for ‘foam strikes’, this was perhaps a most unfortunate term to use as it immediately conjures up an impression of collision with very lightweight material. Surely the Orbiter with its capability of withstanding the great forces and temperatures associated with re-entry could handle an impact from a chunk of foam (perhaps visualised as being hit on the head by a piece of polystyrene). As for the leading edge of an Orbiter’s wings, these were formed from twenty-two reinforced carbon-carbon panels (a hard structural material able to withstand temperatures in the range −250 F to 3,000 F). That such a remarkable material could be damaged by a piece of lightweight foam was perhaps unthinkable to a non-technical manager who was not attuned to consider such a strike from the perspective of the high impact velocity. From the engineer’s point of view, both O-ring erosion and foam strikes were of immediate concern as neither should have happened, they fundamentally demonstrated that designs were not operating in accordance with specification and expectation: ‘Early in the Space Shuttle Program, foam loss was considered a dangerous problem. Design engineers were extremely concerned about potential damage to the Orbiter and its fragile Thermal Protection System, parts of which are so vulnerable to impacts that lightly pressing a thumbnail into them leaves a mark. Because of these concerns, the baseline design requirements in the Shuttle’s “Flight and Ground System Specification-Book 1, Requirements,” precluded foam-shedding by the External Tank. Specifically: Debris Prevention: The Space Shuttle System, including the ground systems, shall be designed to preclude the shedding of ice and/or other debris from the Shuttle elements

Fig. 6.26 Sunrise captured from Columbia on day 7 of the voyage. (Image source NASA [Public Domain])

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during pre-launch and flight operations that would jeopardize the flight crew, vehicle, mission success, or would adversely impact turnaround operations. External Tank Debris Limits: No debris shall emanate from the critical zone of the External Tank on the launch pad or during ascent except for such material which may result from normal thermal protection system recession due to ascent heating. The assumption that only tiny pieces of debris would strike the Orbiter was also built into original design requirements, which specified that the Thermal Protection System (the tiles and Reinforced Carbon-Carbon, or RCC, panels) would be built to withstand impacts with a kinetic energy less than 0.006 foot-pounds. Such a small tolerance leaves the Orbiter vulnerable to strikes from birds, ice, launch pad debris, and pieces of foam.’ (CAIB 2003)

Time and research were needed to better understand why foam was breaking away from the external tank; it was an issue that needed urgent attention. But managerial staff were not interested in the ‘why’—did this really matter? Shuttles were successfully flying despite foam strikes, and perhaps that was all that really counted. Furthermore, O-ring erosion and foam strikes only occurred on some Shuttle missions, thereby suggesting to some people that neither was associated with a major design flaw: ‘What NASA engineers and managers saw were pieces of ill-structured problems. An incident of O-ring erosion or foam bipod debris would be followed by several launches where the machine behaved properly, so that signals of danger were followed by all-clear signals – in other words, NASA managers and engineers were receiving mixed signals. Some signals defined as weak at the time were, in retrospect, warnings of danger. Foam debris damaged tile [tile damage] was assumed (erroneously) not to pose a danger to the wing. If a primary O-ring failed, the secondary was assumed (erroneously) to provide a backup. Finally, because foam debris strikes were occurring frequently, like O-ring erosion in the years before Challenger, foam anomalies became routine signals – a normal part of Shuttle operations, not signals of danger. Other anomalies gave signals that were strong, like wiring malfunctions or the cracked balls in Ball Strut Tie Rod Assemblies, which had a clear relationship to a “loss of mission.” On those occasions, NASA stood down from launch, sometimes for months, while the problems were corrected. In contrast, foam debris and eroding O-rings were defined as nagging issues of seemingly little consequence. Their significance became clear only in retrospect, after lives had been lost.’ (CIAB 2003)

It was perhaps unfortunate that in respect of both the Challenger O-ring erosion and the Columbia foam strikes, engineers resorted to computer-based modelling. As previously discussed, in the case of the former it was known that the design was fundamentally based on ensuring that hot gases did not impinge on the primary O-ring. Implicitly, in modelling this process and quantifying acceptable levels of erosion, engineers were accepting a major design anomaly. Similarly when during the final flight of the Columbia, engineers worked on modelling the impact damage that the craft may have sustained, they were agreeing to follow a path which could only yield highly uncertain results.

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In order to determine the damage that the foam strike may have caused to the Shuttle’s thermal protection tiles, engineers turned to a programme called ‘Crater’ (which was developed in its original form in the 1960s for the Apollo Moon voyages to assess damage that might be caused by micrometeoroid impact). The accuracy of this model appears to have only been verified using experimental data relating to impacts with small objects. When used to estimate damage that may have been caused to the Columbia, it was doing so on the basis of a debris volume that was *400 times larger: ‘…this led to Crater being used to model an event that was well outside the parameters against which it had been empirically validated.’ (CAIB 2003)

In fact, Crater predicted impact damage which exceeded tile thickness, thereby suggesting that thermal protection may have been compromised. The result was discounted for two reasons. Firstly, it was known that when used to model impact with small objects, Crater tended to predict greater damage than actually occurred under experimental conditions, and secondly, because Crater did not take into account non-uniform tile density (which increased with depth). In parallel there was uncertainty as to the exact location of the foam strike, perhaps it had involved the wing leading edge rather than the tiles. With this in mind, work was undertaken in modelling likely debris trajectories. This indicated that impact with the tiles was the more likely scenario. However because leading edge impact was recognised as a possibility it was also investigated, although the results obtained appear to be somewhat uncertain. Unfortunately: ‘The assumptions and uncertainty embedded in this analysis were never fully presented to the Mission Evaluation Room or the Mission Management Team.’ (CAIB 2003)

A short-lived request for remote on-orbit imaging of the Columbia was made by NASA to the Department of Defense on the 7th day of the Shuttle’s voyage: ‘At 8:30 a.m., the NASA Department of Defense liaison officer called USSTRATCOM and cancelled the request for imagery. The reason given for the cancellation was that NASA had identified its own in-house resources and no longer needed the military’s help. The NASA request to the Department of Defense to prepare to image Columbia on-orbit was both made and rescinded within 90 minutes.’ (CAIB 2003)

6.10.4 The End of the Space Shuttle Programme The above decision (which may have been underpinned by over-adherence to processes and poor communication) led not only to the loss of crew and craft, but also triggered events which turned the spotlight on NASA as an organisation. It

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soon became abundantly clear to a wide audience that the Space Shuttle programme had serious flaws and that the Shuttle remained a highly experimental vehicle which could not be expected to operate according to a fast-paced timetable. These factors influenced the decision to terminate the programme in 2011. This ended (at least for the moment) the U.S. ability to launch manned forays into space and has made it necessary for America astronauts (and those from other countries) to take the ride using Russian rocket technology. For further discussion see Ethical Dilemmas 6.4–6.6. Ethical Dilemma 6.4 The presentation of the assessment/analysis of possible damage to the Columbia was made using PowerPoint slides PowerPoint slides seldom convey detailed information and as a result, limitations and caveats associated with, for example calculations (such as those undertaken using Crater) can easily be lost or not given appropriate emphasis: ‘At many points during its investigation, the Board was surprised to receive similar presentation slides from NASA officials in place of technical reports. The Board views the endemic use of PowerPoint briefing slides instead of technical papers as an illustration of the problematic methods of technical communication at NASA.’ (CAIB (2003)) 1. 2.

Identify and discuss situations in which the extensive use of PowerPoint (or similar presentation software) may be inappropriate and/or inadvisable. As a professional engineer or technologist, discuss your responsibility for ensuring that at key presentations (in which your failure to convey detailed information may have serious consequences), you employ appropriate presentation techniques. This may necessitate breaking away from the standard slide-based approach that is invariably used (and expected) within the organisation in which you work.

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Ethical Dilemma 6.5 Consider the following: ‘One debris strike in particular foreshadows the STS-107 event. When Atlantis was launched on STS-27R on December 2, 1988, the largest debris event up to that time significantly damaged the Orbiter. Post-launch analysis of tracking camera imagery by the Intercenter Photo Working Group identified a large piece of debris that struck the Thermal Protection System tile at approximately 85 seconds into the flight.’ (CAIB (2003)) As a result, the crew on board Atlantis were asked to photograph the possible damage using a camera mounted on a remote manipulator arm. The Mission Commander later described the damage as looking “like it had been blasted by a shotgun.” On landing it was found that the strike had caused the loss of a thermal insulation tile. Fortuitously this was situated over a thick aluminium plate which proved able to sustain the heat of re-entry. Had this not been the case, Atlantis may have been destroyed. ‘Fourteen years later, when a debris strike was discovered on Flight Day Two of STS-107, [Columbia] Shuttle Program management declined to have the crew inspect the Orbiter for damage, declined to request on-orbit imaging, and ultimately discounted the possibility of a burn-through. In retrospect, the debris strike on STS-27R is a “strong signal” of the threat debris posed that should have been considered by Shuttle management when STS-107 suffered a similar debris strike. The Board views the failure to do so as an illustration of the lack of institutional memory in the Space Shuttle Program that supports the Board’s claim … that NASA is not functioning as a learning organization.’ (CAIB Report (2003)) 1. 2. 3.

Do you believe that key decision-makers involved with the STS-107 foam strike would have been influenced by a reminder of the effect of the debris strike that had almost led to the loss of the STS-27R mission? Discuss practical ways of promoting ‘institutional memory’ and thereby supporting the formation of a dynamic ‘learning organisation’. As a technologist and/or engineer, discuss your professional and ethical obligations to continually peruse literature relevant to your work, thereby ensuring that you remain informed, up to date, and that you learn from the work/experience of others.

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Ethical Dilemma 6.6 On the 8th day of the Columbia voyage, it appears that the following email was sent to Commander Rick Husband and Pilot William McCool on board Columbia by Steve Stitch – the Flight Director: ‘-----Original Message----From: STICH, J. S. (STEVE) (JSC-DA8) (NASA) Sent: Thursday, January 23, 2003 11:13 PM To: CDR; PLT Cc: BECK, KELLY B. (JSC-DA8) (NASA); ENGELAUF, PHILIP L. (JSC-DA8) (NASA); CAIN, LEROY E. (JSC-DA8) (NASA); HANLEY, JEFFREY M. (JEFF) (JSC-DA8) (NASA); AUSTIN, BRYAN P. (JSC-DA8) (NASA) Subject: INFO: Possible PAO [Public Affairs Office] Event Question Rick and Willie, You guys are doing a fantastic job staying on the timeline and accomplishing great science. Keep up the good work and let us know if there is anything that we can do better from an MCC/POCC [Mission Control Center/Payload Operations Control Center] standpoint. There is one item that I would like to make you aware of for the upcoming PAO event on Blue FD [Flight Day] 10 and for future PAO events later in the mission. This item is not even worth mentioning other than wanting to make sure that you are not surprised by it in a question from a reporter. During ascent at approximately 80 seconds, photo analysis shows that some debris from the area of the -Y ET [external fuel tank] Bipod Attach Point came loose and subsequently impacted the orbiter left wing, in the area of transition from Chine to Main Wing, creating a shower of smaller particles. The impact appears to be totally on the lower surface and no particles are seen to traverse over the upper surface of the wing. Experts have reviewed the high speed photography and there is no concern for RCC [wing leading edge reinforced carbon-carbon panels which had in fact been damaged] or tile damage. We have seen this same phenomenon on several other flights and there is absolutely no concern for [re-] entry. That is all for now. It’s a pleasure working with you every day.’ (CAIB (2003)) 1. Discuss the contents of this communication. Given that some engineers/technologists involved in the foam strike investigation and discussion were concerned about its ramifications, do you believe that from an ethical perspective this communication was adequate? 2. Was it appropriate that the crew were apparently only notified about the foam strike in case they were asked about it in the upcoming media interview? 3. Discuss, from the perspective of ‘Normalisation of Deviance’, the inclusion of the following sentence, ‘We have seen this same phenomenon on several other flights and there is absolutely no concern for entry.’ 4. From the perspective of professional obligations would it have been appropriate for the recipients on board Columbia to request (or insist on receiving) further (more detailed) technical information?

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Discussion ‘And the gentle sea becomes a million diamonds – In my hands go, and I feel the richness of the water.’21

In recent years the ways in which e-waste has been handled and mishandled has received significant media attention (see, for example, Ahmed 2016; Hawkins 2016; Koebler 2016; Lui 2018). Whilst the sheer scale of e-waste generation (recall that for 2016 this corresponded to an estimated 44.7 million metric tonnes) is formidable, ethically undesirable approaches that have been adopted in its handling should perhaps come as little surprise. Certainly over the course of the 20th century, many organisations and governments have demonstrated poor commitment to fully considering the impact of waste disposal on the environment. Consequently, waste arising from some of the most dangerous forms of human activity has often been handled with seemingly only short-term expediency in mind. By way of example, consider the disposal of low-level radioactive materials generated by nuclear power installations and the like. In this context ‘low level’ is not necessarily used to denote non-hazardous materials but rather, for example: ‘…all those materials not directly resulting from the processing of spent reactor fuel. Low-level wastes defined in this way may be hazardous, depending on their concentration and their proximity to man or other organisms…Some examples… are radioactive cobalt, strontium, americium, and caesium. At times they may also include small quantities [of]… uranium and thorium… plutonium or enriched uranium.’ (Environmental Protection Agency 1980)

Thus such ‘low-level’ materials may indeed be highly dangerous and may exhibit long half-lives. The above report focuses on aspects of U.S. dumping during the period 1946 through to 1970 (a number of other countries were also engaging in this activity) and goes on to indicate that: ‘Because the materials were potentially hazardous, they were given special attention in transport and handling. But because they were primarily regarded as garbage, precise records apparently were not kept of the disposal operations… materials for ocean disposal were packed in concrete-filled drums… In most cases the records do indicate the nature of the materials, the quantities, the estimated radioactivity, and the approximate coordinates of the dumping locations; unfortunately, they do not indicate the specific isotopic content… Records of military operations and government contractors… may also exist, but are not currently available.’

In respect of survey work that was subsequently carried out in 1974, the report indicates that: ‘Using an unmanned submersible vehicle several canisters were successfully located… and sediment samples were collected in proximity to both intact and imploded drums.’

This reference to imploded drums suggests that some may not have even survived the rigours of the dumping process. In terms of the scale of the operations which took place, Calmet (1989) indicates that the international community employed

Blundell, Q., Dreams of Clair, ‘Collected Works’ (2020).

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more than 50 dumping sites in the northern parts of the Atlantic and Pacific oceans. In addition he indicates other areas employed for the dumping of nuclear waste including the Caribbean, the west coast of Africa, and the eastern seaboard of New Zealand. The Environmental Protection Agency (1980) reports that: ‘From 1946 thru 1962… the US Dumped a total of approximately 89,400 containers.’

In some cases dumping was carried out over a wider area (rather than at a single precisely defined location) which resulted in: ‘…much less concentrated dumping activities and a multitude of individual “dumpsites”.’

As for the effectiveness of the containment process, Calmet (1989) observes that: ‘So far, samples of sea water, sediments, and deep sea organisms collected at various sites have not shown any excess in the levels of radionuclides… except on certain occasions where caesium and plutonium were detected at higher levels in samples taken close to packages at the dumping site.’

Very large quantities of traditional munitions, chemical warfare agents (CWAs), and the like have also been discarded in oceans (in respect of the latter, Curry 2016 cites an estimated one million tonnes). By way of one example: ‘Following the end of the Second World War Germanys approximately 65,000 tonnes stockpiled chemical Warfare Agent (CWA) munitions were ordered by the allied forces to be destroyed during the second half of 1947 as a result of the Potsdam Conferences. The Russian forces undertook the major part of this task during the summer of 1947… The Bornholm basin in the Baltic Sea received more than half of Germanys CWA arsenal with dumping of approximately 11,000 tonnes [of] active CWA chemical substances.’ (Sanderson et al. 2015)22

In this area, the authors have confirmed the existence of a highly toxic cocktail of chemical agents including 7,027 tonnes of Sulphur mustard gas and 1,428 tonnes of the Organoarsenic blistering agent Adamsite, to name but two. In their comprehensive study, the authors also indicate: ‘It is known but associated with both secrecy, uncertainty and lack of knowledge that Great Britain also dumped CWA in the Baltic Sea mainly west of Bornholm, and that East-Germany in 1962 with operation Hanno dumped CWA east of Bornholm.’

22

The Chemsea Project Report (Chemsea 2014) discusses the dumping (as ordered by the Allied Powers) of a considerably greater quantity of Nazi chemical munitions: ‘At least 170,000 tonnes of CW were dumped in the Skagerrak, mainly in the Norwegian trench and in the eastern Skagerrak, off the Swedish coast. During most of the dumping operations in the Skagerrak complete ships were sunk with their cargo. In the Baltic Sea at least 50,000 tonnes of CW were dumped and it is assumed that these contained roughly 15,000 tonnes of CWA. The most important dumpsites here are located in the Little Belt, near the island of Bornholm and in the Gotland basin. In most cases, the CW were thrown overboard, either loose (bombs, shells) or in containers, but some ships were also sunk. In most cases those dumped materials contained explosives (bursters for the CW); in some cases dumping of conventional munitions was carried out in the same locations as CW. There are strong indications that some of the CW were thrown overboard during transport to the Baltic dumpsites, although how many tonnes were dumped in this manner is not known.’.

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Dumping at sea provides opportunities to carry out activities without public observation and moreover enables potentially lethal and highly polluting materials to be placed in deep waters where recovery cannot be readily effected. However, these objectives haven’t always been fulfilled. For example: ‘Dumping was conducted by the Russian navy in secrecy in international waters. August 15 1947 dead fish wash ashore due to leaking bombs, and August 18 1947 bombs are caught during fishing in the Bornholm basin, four fishermen get sick. On August 19 more than 25 bomb chests with munitions washed ashore. A few days later > 50 chests wash ashore all along the island coastline…. The munitions so to speak ’sailed’ ashore in their wooden chests after been thrown overboard.’ (Sanderson et al. 2015)

Incidents continue to occur, and Chemsea (2014) indicates that during the last *20 years at least 115 situations involving submerged chemical warfare munitions have been reported. For example: ‘In January 1997, the crew of the Polish fishing vessel WŁA 206, trawling 30 nautical miles north of Władysławowo harbour, extracted an est. [estimated] 5-7 kg clay-like object that proved to be a lump of mustard gas. The lump was dumped in a port rubbish container before anyone identified symptoms of exposure. The next day, all of the crewmembers experienced “adverse skin reactions, a sort of burning sensation, skin lesions and reddening.” The lump resulted in serious burns and injuries for the eight crewmembers…. The lump of mustard gas was taken care of by the Military Decontamination Unit in the Polish Navy. Deaths were avoided only thanks to the low, January temperatures, which stopped gas from evaporation.’

In recent years considerable media attention has been given to the ongoing marine pollution caused by the dumping of plastics. An estimated eight million tonnes of plastics end up in the seas each year (Bottollier-Depois 2018), of which the so-called ‘Great Pacific Garbage Patch’ is estimated to comprise *80,000 tonnes of buoyant plastic waste and occupies an estimated area of *1.6 million square kilometres (Galey et al. 2018). This provides only a general indication as to the scale of the pollution as it fails to give any insight into the extent of pollution caused by non-floating material, and hence the likelihood of smaller fragments entering the food chain (via marine life). Dumping in the oceans is perhaps a natural extension to our willingness to tolerate wide-scale environmental pollution on land, and the growth of mega-dumps intended to accommodate both national and international waste. Vidal (2014) indicates that: ‘Almost 40% of the world’s waste ends up in huge rubbish tips, mostly found near urban populations in poor countries.’

By way of example, he writes: ‘From the air the Mbeubeuss waste dump 12 miles north of Dakar [Senegal] looks innocent enough… it covers 175 hectares of an old, dried-up lake. From the ground, however, Mbeubeuss is a malodorous, contaminated world of its own with towering hills of fly-infested waste shrouded in smoke from innumerable fires and its own small town of about 2,500 people who live by sorting, burning and recycling what they can.’

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This is the type of location to which international waste of every variety is often destined, and sometimes the impact of this waste is not immediately obvious. Consider discarded motor vehicle tyres. Although there are a number of ways in which it is possible to utilise tyre material, many continue to be dumped: ‘In tropical countries, the dumping of tires in landfills can lead to the spread of mosquito-borne diseases since water-filled tires are perfect for mosquito breeding. It is believed that the spread of Aedes albopictus, a mosquito native to subtropical climates but now found in many countries, is due to the global trade of tires.’ (UNEP 2015)

This UNEP report (entitled ‘Waste Crime’) focuses on those participating in an extensive global industry who have little if any ethical-based regard for the ramifications of waste dumping. The authors note that: ‘Waste crime is different from other criminal activities, such as trade in drugs, as it takes place in the context of a much broader chain of legal operations, with advantage being taken of loopholes in control regimes and control capacity.’ (UNEP 2015)

All too often waste materials destined for dumping pass through a chain of organisations and from port to port. During transit, opportunities abound for the falsification of documentation, or for simply exploiting possibilities that exist for taking advantage of lax legislation (or enforcement) in certain countries. This supports the obfuscation needed for criminal activity and enables international agreements to be undermined. Furthermore government oversight of waste handling is often lax. At the time of writing, the UK’s policy in relation to the exportation of plastic waste is under scrutiny: ‘At least 100 containers of plastic waste a day are shipped out from ports including Felixstowe and Southampton to Europe and the Far East… Allegations that export firms are using the Netherlands to effectively launder plastic waste – exploiting looser controls over shipments to Europe – before illegally moving it out to other countries in the Far East…’ (Laville 2018)

Furthermore: ‘The ban on plastics exports to China has seen the UK offloading its waste to nations with questionable records on marine pollution. In the four months since the ban came into force waste being exported to Malaysia more than trebled… exports to Vietnam increased by 50 per cent, while the amount sent to Thailand shot up fifty-fold. All three countries have the unfortunate distinction of being in the top 10 for quantity of plastic waste entering the ocean, with Vietnam the highest-placed of the three, in fourth place.’ (Gabbatiss 2018)

Undoubtedly the dumping of electronic waste pre-dates the digital age, but as we have noted older electronic products often tended to be more repairable and such work seldom necessitated access to specialised equipment. In contrast in more recent times, the volume of e-waste has massively increased, reparability has tended to decrease, components lack proper identification, and relatively little has been done to enhance recyclability. In parallel, the costs of long-haul shipping make it feasible to freight great quantities of e-waste to distant parts of the globe. Perhaps

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therefore it is not surprising that the Termination Phase for digital products has tended follow the traditional practices of other industries. By way of justification it is frequently claimed that shipping discarded digital products, and appliances, etc., to economically poorer countries provides opportunities for local populations. For example, some products may arrive in a working (or semi-working) condition or may be locally repairable. Thus people can gain access to low-cost technological products which they could not otherwise afford. Certainly if carried out within an ethical framework (in which products are carefully selected for shipping), this can be most beneficial. For example: ‘There are thousands of…repair and refurbishment businesses across Ghana and West Africa, catering for customers who can’t afford, or don’t want, new machines. It’s an important business that plays a key role in bridging the so called digital divide between wealthy consumers in developed countries and those in places like Ghana.’ (Minter 2016)

Alternatively, if only a small percentage of usable products are found in each e-waste shipment, then the environmental and human cost becomes unacceptable. Repair work certainly provides the opportunity to extend the Useful Phase and so delays a product’s entry to the Termination Phase. But when considered from a long-term perspective, it does not necessarily reduce the overall generation of e-waste. As we have seen, the daunting amount of waste generated by the majority of the economically wealthier countries is fundamentally driven by repetitive consumption, and in general terms is fuelled by manufacturers who promote sales by seeking to capitalise on psychological obsolescence and death dating. Slade (2006) drawing on, and quoting, Campbell (1992) briefly discusses the ‘mystery’ of modern consumerism which is described as: ‘…an activity which involves an apparently endless pursuit of wants, the most characteristic feature of modern consumption being this insatiability.’

In this context the term ‘neophilia’ (love of new things) is used, and three varieties of ‘neophiliacs’ are identified (although this may be an over-simplification, it provides a basis for useful discussion, see OTU Activity 6.21). The first scenario relates to those who acquire new products and discard old ones in an effort to maintain a pristine self-image. Anything worn or which appears old must be replaced; it is a matter of continually being driven to demonstrate superior social status. Motivations may be manifold, perhaps relating to a fastidious nature or resulting from having experienced poverty or other difficulties in the past. The second grouping relates to early adopters of novel products, and in the context of the digital world they would often be viewed as technophiles. Those in the third category are driven by fashion: ‘…they respond with enthusiasm to almost any retail novelty that offers a new experience or sensation.’ (Slade 2006)

The fashion industry provides us with a longstanding example of commerce which especially targets this category. The strong emphasis which is evident in the seasonal promotion of apparel (particularly for women) creates a cycle of repetitive consumption through what is in essence psychological obsolescence.

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Planned obsolescence (death dating) has been a central tenet in the manufacture of nylon stockings and tights for many years. Slade (2006) recounts the history of the initial use of nylon for the production of stockings. In brief, in the 1930s the U.S. was a major importer of Japanese silk, but as economic relations between the two countries worsened and sanctions were imposed, the U.S. sought to develop a synthetic replacement. Japanese military activities in China (including the massacre which took place during the ‘Rape of Nanjing’) created a climate in which Japanese silk quickly lost favour with U.S. customers. Against this backdrop DuPont developed nylon—the first nylon stockings being sold (to the companies’ female employees) in 1939. ‘The inevitable “laddering” of stockings made customers buy new ones and for years discouraged manufacturers from looking for a fibre that did not ladder. The garment industry in any case is not inclined to such innovation. Fashion of any sort is, by definition, deeply committed to built-in obsolescence.’ (The Economist 2009)

Anecdotal accounts suggest that the earliest nylon stockings were in fact highly durable, and it would seem that ‘laddering’ properties were scientifically manipulated as part of a death dating process. As previously mentioned, in recent times the handling of e-waste has received increased media attention, and this has raised public awareness of its impact on the environment and on those who are exposed to the toxins and pollution which may be caused by improper handling. Unfortunately, less attention has been given to the earlier phases of the Lifecycle—specifically the Inception and Realisation Phases. Outsourcing by Western companies to counties in Asia and elsewhere has resulted in remote manufacturing activities which involve the promulgation poor employment practices and considerable disregard for the environment. Furthermore, as we have indicated, during the Inception Phase, there are many opportunities to design products in ways which not only reduce the impact of the manufacturing process, but which also facilitate repair and eventual recycling. Indeed the current demise of the Product Lifecycle (as applied to many technological products) provides us with a sound example of the importance of adopting ethically-based professional standards so as to encourage the infusion of pervasive best practice at all levels. OTU Activity 6.21 In the text three varieties of ‘neophiliacs’ are loosely identified. It is evident that these tend to denote fairly affluent groups of people who have the financial resources to satisfy their desires. These are of course groups which manufacturers and sales departments particularly seek to satisfy. 1. Identify and discuss other motivations which may underpin modern consumerism especially in the context of driving repetitive consumption. You may wish to consider ways in which a person’s motivations vary between types of product. 2. Reflect on and discuss your own motivations in engaging in repetitive consumption.

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OTU Activity 6.22 A government initiative in France is intended to deter manufacturers from engaging in activities which support planned obsolescence (death dating). This would require manufacturers: ‘…to tell consumers how long their appliances will last. French companies will also have to inform consumers how long the spare parts for the product will be available…’ (Khaleeli (2015)) At present, the EU initiative targets lighting, televisions and larger home appliances and is therefore limited in scope (recall discussion on the ‘Right to Repair’ movement in Section 6.5). An intention is: ‘…to force manufacturers to make goods that last longer and are easier to mend… [and is motivated by] a growing backlash against products which can’t be prised apart because they are glued together, or which don’t have a supply of spare parts, or repair instructions.’ (BBC (2019b)) However the article goes on to note that: ‘… the EU Commission has allowed firms to keep control of the repair process by insisting some products are repaired by professions under the control of manufacturers.’ This has the potential to make it difficult for repairs to be carried out by individuals and independent repair companies. However manufacturers suggest that the new rules will ‘stifle innovation’. 1. Research and critically discuss the merits (or otherwise) of this general approach as applied to digital technologies. 2. Propose ways in which it could be most effectively and efficiently implemented. 3. Discuss whether this development should have been promoted by manufacturers rather than being forced upon them by legislation.

Waste produced throughout the Product Lifecycle can take many forms of which that associated with energy consumption is by no means inconsiderable. Generally energy production has associated costs (which may be direct and/or indirect) in respect of the emission of gaseous materials and particulate matter.23 The potential impact of this waste on the global climate continues to receive great attention and positive moves are being made to reduce emissions. This includes a reduction in the extensive pollution generated by cargo vessels which as we have discussed (Sect. 6.3) play a key role in the global distribution of a broad spectrum of digital technologies. It appears that progress is now being made in making a significant reduction in the emission of harmful sulphur compounds. This is to be achieved by 23

The reader will recall that renewable forms of energy are not necessarily sustainable—see Sect. 6.9.3.

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banning the use of fuels which have a sulphur content greater than 0.5% (as compared to 3.5% at present), unless ships are equipped with scrubbers capable of removing sulphur compounds generated by the combustion process. However it is claimed that this may have a significant impact on operating costs: ‘But the energy and shipping industries are ill-prepared, say analysts, with refiners likely to struggle to meet higher demand for cleaner fuel and few ships fitted with equipment to reduce sulphur emissions… The global shipping fleet now consumes about 4 million barrels per day (bpd) of high sulphur fuel oil, but about 3 million bpd of that demand will “disappear overnight” [once the changeover is made in 2020]’. (George et al. 2018)

The article goes on to quote sources who estimate that between 10 and 40% of the shipping industry may fail to comply with the new regulations. Although in general terms this move to reduce sulphur emissions denotes a positive step forward, it provides us with a further example of the complexity of issues which arise when efforts are made to reduce environmental impact. In this case it is crucial to carefully balance trade-offs which may ensue, and this must include consideration of pollution caused by the additional energy which may be expended in producing the marine gasoil which will be more widely used. (Also see, for example, Saul 2016.) In this chapter we have reviewed a broad range of human activities which are having a detrimental impact on the environment. Fortunately there are many indications that society is seeking change for the better. Consider the case of Taiwan: ‘In 1993, the trash collection rate on the island was just 70 percent – and virtually no waste was recycled. By the mid-1990s two-thirds of the island’s landfills were full or nearly full. It took a raft of protests and blockades to change the situation.’ (Ensia 2019)

It appears that Taiwan now has one of the highest recycling rates in the world and has reduced the amount of waste generated by each person by *29%. Other countries in Asia also appear to be adopting more positive and proactive policies. For example: ‘Last week the president of the Philippines… threatened to sever diplomatic ties with Canada if the government did not agree to take back 69 containers containing 1,500 tonnes of waste that had been exported to the Philippines in 2013 and 2014. Canada had refused to even acknowledge the issue for years.’ (Ellis-Petersen 2019)

And as for Malaysia: ‘[the environment minister] announced that 3,000 tonnes of illegally imported plastic waste from the UK, the US, Australia, Japan, France and Canada would be returned immediately. Many believe this is the only way that countries, mainly in the west, will finally be forced to confront their own waste problems, rather than burdening developing countries.’ (Ellis-Petersen 2019)

Although at all levels of the digital product lifecycle there are many organisations that continue to adopt ethically undesirable practices, there are indications that pressure is mounting for change: from individuals and small groups who are promoting product repair, recycling, and reuse, through to some governmental and international bodies that are identifying and attempting to curb malpractice. This

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parallels growing awareness of the impact of human activity on the climate and the long-term ramifications for future generations. This is of course not new concern— but is gaining immediacy. Interestingly a brief article which appeared in the New Zealand Waitemata and Kaipara Gazette on the 14th August 1912 reads: ‘The furnaces of the world are now burning about 2,000,000,000 tons of coal a year. When this is burned, uniting with oxygen, it adds about 7,000,000,000 tons of carbon monoxide to the atmosphere yearly. This tends to make the air a more effective blanket for the earth and to raise its temperature. The effect may be considerable in a few centuries.’

Of course this writer had no means of predicting the pace at which our reliance on fossil fuels would increase over the course of the 20th century, and hence the acceleration of atmospheric damage. In looking forward, it appears that it is preferable to create the conditions which support the citizen in developing, adopting, and promoting sound environmental practices rather than endeavouring to force such practices on the individual by administrative and legal means. This is because over-enforcement coupled with ill-considered (and possibly over-simplistic) legislation is likely to create a burgeoning administrative system which will ultimately operate on the basis of ‘tick-box’ methodologies. The result is likely to be a rule-based regime in which sound environmental stewardship is perceived as something which penalises many aspects of human activity and freedom—or which allows personal ethical responsibilities to be put to one side. This brings to mind a brief and long-forgotten event which took place some years ago. The university concerned had a most pleasant campus and whilst wandering across it one morning, I came across a number of enormous rubbish containers placed outside a recently closed department. They were brimming over with great quantities of building debris but my attention fell on a number of large lead-acid batteries (of the type used by lorries). These had clearly been employed as convenient low voltage, high current sources in a laboratory. I was soon to be seen staggering under the weight of one of these batteries (with my briefcase incongruously perched on top of it). It was a particularly hot day and quickly I regretting my decision to take the battery across to the university’s ‘estates’ department, which was also responsible for ‘health and safety’. As, in a dishevelled sort of way, I tried to explained matters to the receptionist, she quickly decided to seek reinforcements and eventually the manager materialised. Again I explained my purpose—the batteries needed to be separated from landfill materials as they posed a significant environmental hazard. As he made every effort to chew and swallow a copious mouthful of food, he adopted a lofty stance and pointed out that there was no legislation in place (or university regulations) which precluded their dumping. In reply I referred to ethical concerns, and to the materials comprising the batteries—concentrated sulphuric acid, lead and other hazardous materials. Gradually his expression and manner changed to one that was frequently adopted in those days for misguided academics, perhaps best described as superba misericordia. In a kindly way, he assured me that the matter would be dealt with… On the following day I noticed that he had kept his promise—the battery had been returned to one of the rubbish containers.

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The point is that approaches which determine behaviours towards the environment on the basis of rules alone tend to promote mechanistic behaviours which shield the individual from personal ethical responsibility. It’s therefore perhaps preferable to promote an ethos which cultivates an individual’s development, adoption, and application of caring environmental practices underpinned by the sound educational standards needed to better assess the impact of our activities on the environment. One key danger is that society may be seduced by hasty, ill-considered, and populist political hyperbole (coupled with media sensationalism). This would make matters worse—not better. OTU Activity 6.24 In this chapter we have briefly discussed aspect of the harnessing of power from renewable energy sources. Recently scientists and engineers in China are investigating the development of space-based solar power stations which would beam microwave energy to receptors on the earth’s surface (for brief and general introductory discussion, see for example, Cho (2007), Cyranoski (2019), Lei (2019) and the Patent cited below).. The approach assumes that a very large solar array can be placed in geostationary orbit and operate reliably. In principle this is an attractive and futuristic solution to the provision of ‘clean energy’ (although the idea is by no means new and was the subject of a patent filed by Peter Glaser in 1971 (U.S. Patent Number 3,781,647)). Research and critically appraise the feasibility of this approach. In this context you are encouraged to consider all phases of the Product Lifecycle. Perhaps consider developing a brief video presentation of your findings. OTU Activity 6.25 Recent media reports indicate that some major international companies continue to consign great quantities of new product to landfill sites. For example: ‘Amazon warehouses in the UK and France routinely discard unused products, with one facility sending 293,000 items to the trash heap during a nine month period… In addition Richemont, the owner of luxury watch brands including Cartier, also destroys its products, while Nike’s slashing of its shoes before discarding them has drawn unwanted media attention in the past.’ (Gibson (2019)) The article also refers to criticism levelled at Burberry last year (2018) for burning $38 million worth of clothes, accessories and cosmetics. 1. Research and discuss the scale of this type of activity. 2. Identify and discuss reasons which may cause companies to engage in the destruction of new product. 3. From an ethical perspective can this type of activity be justified? You are encouraged to consider both human and environmental factors.

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OTU Activity 6.26 1. Discuss any ways in which aspects of the content covered in this chapter have impacted on your outlook in relation to the impact or potential impact of technologies on the environment. 2. Discuss whether your study of this chapter has increased (or otherwise) your belief that technology professionals have a professional ethical responsibility to involve themselves in, and advance, relevant aspects of environmental stewardship.

6.12

Additional Reading

Adediran, Y., and Abdulkarim, A., ‘Challenges of Electronic Waste Management in Nigeria’, International Journal of Advances in Engineering & Technology, (IJAET), 4, Issue 1, pp. 640–648 (July 2012). Armstrong, A., ‘Solar is Booming but Solar Parks could have Unintended Climate Consequences’, The Guardian (8th July 2014). Barnes, L., ‘Environmental Impact of Solar Panel Manufacturing and End-of-Life Management: Technology and Policy Options’, Illinois Sustainable Technology Center (27th July 2017). Baeden, T., ‘Global Warming: Data Centres to Consume Three Times as Much Energy in the Next Decade, Experts Warn’, The Independent (23rd Jan. 2016). Behdad, S., ‘Why Can’t We Fix our own Electronic Devices?’, The Conversation (12th July 2017). Biganzoli, L., Falbo, A., Forte, F., Grosso, M., and Rigamonti, L., ‘Mass-Balance and Life Cycle Assessment of the Waste Electrical and Electronic Equipment Management System Implementation in Lombardia Region (Italy)’, Science of the Total Environment, 524–525, pp. 361–375 (2015). Bonnington, C., ‘Our E-waste Problem is Ridiculous, and Gadget Makers aren’t Helping’, Wired (12th Aug. 2014). Chan, C., Gygax, A., et al., ‘Telecommunications Energy and greenhouse Gas Emissions Management for Future Network Growth’, Applied Energy, 166, pp. 174–185 (2016). Clark, D., and Berners-Lee, M., ‘What’s the Carbon Footprint of … The Internet?’, The Guardian (12th Aug. 2010). Cook, G., and Jardim, E., ‘Guide to Greener Electronics’, Greenpeace (2017). David, L., ‘Peter Glaser, Father of Solar-Power Satellite Idea, Dies at 90’, Space Insider (9th June 2014). Gibbs, S., ‘Apple and Samsung Fined for Deliberately Slowing Down Phones’, The Guardian (24th Oct. 2018). Golev, A., Schmeda-Lopez, D., et al., ‘Where Next on E-waste in Australia’, Waste Management, 58, pp. 348–358 (2016).

6.12

Additional Reading

483

Gu, Y., Wu, Y., Wang, H., and Zuo, T., ‘The Stability and Profitability of the Informal WEEE Collector in Developing Countries: A Case Study in China’, Resources, Conservation and Recycling, 107, pp. 18–26 (2916). Hagedorn, L., ‘All RECs are Not Created Equal: Bundling and Geographic Sourcing’, Renewable Energy Law Insider (7th Mar. 2011). Hameed, A., and Khoshkbarforoushha, A., et al., ‘A Survey and Taxonomy of Energy Efficient Resource Allocation Techniques for Cloud Computing Systems’, Computing, 98, pp. 751–774 (2016). Harris, J., ‘Ignore the Hype Over Big Tech. Its Products are Mostly Useless’, The Guardian (21st May 2018). Holden, E., ‘Nearly all Countries Agree to Stem Flow of Plastic Waste to Poor Nations’, The Guardian, (11th May 2019). James, M., ‘The 16 Biggest Ships Produce more Pollution than all the Cars in the World’, LNG Transfer (21st Oct 2016). Kuehr, R., and Williams, E., (Eds.), ‘Computers and the Environment: Understanding and Managing their Impacts’, Springer Netherlands (2003). Kumar, A., Holuszko, M., and Espinosa, D., ‘E-waste: An Overview on Generation, Collection, Legislation, and Recycling Practices’, Resources, Conservation and Recycling, 122, pp. 32–42 (2017). Lane, E., ‘Where Many of Our Electronic Goods Go to Die’, BBC, 35244018 (8th Jan. 2016). Laursen, L., ‘The “Right to Repair” Movement is Gaining Ground and Could Hit Manufacturers Hard’, Fortune, (9th Jan. 2019). Laville, S., ‘UK Recycling Industry Under Investigation for Fraud and Corruption’, The Guardian (18th Oct. 2018). Lenzi, D., ‘Weigh the Ethics of Plans to Mop Up Carbon Dioxide’, Nature, 561, No. 7723 (20th Sep. 2018). Milmo, C., ‘Electronic Waste Worth £34bn Piling Up in “Toxic Mine”, Warns UN Report’, The Independent (18th April 2015). Morrison, J., ‘The Global Business Environment Challenges and Responsibilities’, (4th Edn.), Palgrave (2017). Park, J., Hoerning, L., Watry, S., Burgett, T., and Matthias, S., ‘Effects of Electronic Waste on Developing Countries’, Advances in Recycling & Waste Management, 2, Issue 2 (2017). Schrooten, L., De Vlieger, I., Panis, L., Chiffi, C., and Pastori, E., ‘Emissions of Maritime Transport: A European Reference System’, Science of the Total Environment, 408, pp. 318–323 (2009). Shehabi, A., Walker, B., and Masanet, E., ‘The Energy and Greenhouse-Gas Implications of Internet Video Streaming in the United States’, Environ. Res. Lett., IOP Publishing, 9 (2013). Siegle, L., ‘Reduce, Reuse, Reboot: Why Electronic Recycling Must Up Its Game’, The Guardian (20th Nov 2017). Siemen, J., ‘The Plastic Backlash: What’s Behind Our Sudden Rage – And Will It Make a Difference?’, The Guardian (13th Nov. 2018).

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Sverdilk, Y., ‘Here’s How Much Energy All US Data Centers Consume’, Data Center Knowledge (27th June 2016). Tansel, B., ‘From Electronic Consumer Products to E-Wastes: Global Outlook, Waste Quantities, Recycling Challenges’, Environment International, 98, pp. 35–45 (2017). Tiwary, C., Kishore, S., et al., ‘Electronic Waste Recycling via Cryo-Milling and Nanoparticle Beneficiation’, Materials Today, 20, No. 2 (March 2017). Veksler, D., ‘Apple is Not as Green as It Seems’, Foundation for Economic Education (15th Oct. 2017). Vidal, J., ‘Health Risks of Shipping Pollution have been “Underestimated”’, The Guardian (9th April 2009). Whitehead, B., Andrews, D., Shah, A., and Maidment, G., ‘Assessing the Environmental Impact of Data Centres Part 1: Background, Energy Use, and Metrics’, Building and Environment, 82, pp. 151–159 (2014). Zeng, X., Duan, H., Wang, F., and Li, J., ‘Examining Environmental Management of E-waste: China’s Experience and Lessons’, Renewable and Sustainable Energy Reviews, 72, pp. 1076–1082 (2017).

References Ahmed, S.F., ‘The Global Cost of Electronic Waste’ The Atlantic (29th Sep. 2016). Allendorf, J., ‘How Big Tech Stopped Right to Repair in New York’, www.uspirg.org (2nd Aug. 2018). BBC, ‘Reality Check: Are Ships more Polluting than Germany?’, 43714029 (12th April 2018). Autor, D., ‘Why are there Still so Many Jobs? The History and Future of Workplace Automation’, Journal of Economic Perspectives, 29, No. 3, pp. 3–30 (Summer 2015). Baldé, C.P., Forti V., Gray, V., Kuehr, R., Stegmann, P., ‘The Global E-waste Monitor – 2017’, United Nations University (UNU), International Telecommunication Union (ITU) & International Solid Waste Association (ISWA), Bonn/Geneva/Vienna (2017). BAN, Basel Action Network, ‘The “Scam Recycling” Continues E-Waste Exportation from the US to Developing Countries Continues’, Update #2, www.ban.org (18th Jan. 2018). Barras, C., ‘Why Sustainable Power is Unsustainable’, New Scientist (6th Feb 2009). BBC, ‘MSC Zoe: Islands Hit as 270 Containers Fall off Ship’, 46746312 (3rd Jan. 2019a). BBC, ‘Climate Change: ‘Right to Repair’ Gathers Force’, 46797396 (9th Jan. 2019b). Benson, S., ‘The Little World’, New York: Macmillan (1925). Quotation cited in Slade (2006). Bhattarai, A., ‘Gone from the Cutting-Edge Bank: Tellers’, The Washington Post (11th April 2016). Blundell, B. G., ‘E-Waste: The Irresponsible Dumping of Hazardous Materials in our Landfills’, Gulf News (31st Dec. 2008). Bottollier-Depois, A., ‘Oceans of Garbage Prompt War on Plastics’, Institute of Physics, physics. org, (15th Dec. 2018). Brundtland Report, ‘Our Common Future’, World Commission on Environment and development, Commissioned by the UN (1987). Burrington, I., ‘The Environmental Toll of a Netflix Binge’, The Atlantic (16th Dec. 2015). CAIB Report, (Columbia Accident Investigation Board), (Aug. 2003). Cain Miller, C., ‘The Long-Term Jobs Killer is not China. It’s Automation’, The New York Times (21st Dec. 2016). Calmet, D., ‘Ocean Disposal of radioactive Waste: Status Report’, IAEA Bulletin (1989).

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Campbell, C., ‘The Desire for the New: Its Nature and Social Location as Presented in Theories of Fashion and Modern Consumerism’, in Silverstone, R., and Hirsch, E., (Eds.), ‘Consuming Technologies: Media and Information in Domestic Spaces’, Routledge (1992). Chemsea Project Report, ‘Results from the Chemsea Project – Chemical Munitions Search and Assessment’ (2014). Chernicoff, D., ‘How data Centers Pay for Renewable Energy’ Datacenter Dynamics (20th Jan. 2016). Cho, D., ‘Pentagon Backs Plans to Bean Solar Power from Space’, New Scientist (11th Oct. 2007). Cisco Visual Networking Index: Forecast and Methodology, 2016–2021, Cisco White Paper, Document ID: 1465272001663118 (15th Sep. 2017). Climate Home News, ‘’Tsunami of Data’ could Consume One Fifth of Global Electricity by 2015’, The Guardian, (11th Dec. 2017). Cole, C., ‘Overconsumption is Costing us the Earth and Human Happiness’, The Guardian (21st Jun. 2010). Conniff, R., ‘What the Luddites Really Fought Against’, Smithsonian (Mar. 2011). Cook, G., Lee, J., Tsai, T., Kong, A., Deans, J., Johnson, B., Jardim, E., ‘Clicking Clean’, Greenpeace Report (2017). Corbett, J., Winebrake, J., et al., “Mortality from Ship Emissions: A Global Assessment’, Environmental Science & Technology, 41, pp. 8512–8518 (2007). Curry, A., ‘Chemical Weapons Dumped in the Ocean After World War II Could Threaten Waters Worldwide’, smithsonian.com, (11th Nov. 2016). Ctranoski, D., ‘China Sets Sights on First Solar Power Stations in Space’, Nature Briefing (20th Feb. 2019). Dahren, B., ‘Renewable Energy – Not Always Sustainable’, Uppsala University (31st Oct. 2016). DeWeerdt, S., ‘How Green is Online Shopping’, The Guardian (17th Feb. 2016). Eccles, R., Ioannou, I., and Serafeim, G., ‘Is Sustainability Now the Key to Corporate Success?’, The Guardian (6th Jan. 2012). Elliott, L., ‘Economics: Whatever Happened to Keynes’ 15-Hour Working Week?’, The Guardian (1st Sep. 2008). Elliott, L., ‘Millions of UK workers at Risk of being replaced by Robots, Study Says’, The Guardian (24th Mar. 2017). Ellis-Petersen, H., ‘Treated Like Trash: South-East Asia Vows to Return Mountains of Rubbish from West’, The Guardian, (28th May 2019). Ellul, J., ‘Perspectives of Our Age’, Toronto, CBC (1981). Ensia, M., ‘How Taiwan has Achieved One of the Highest Recycling Rates in the World’, Smithsonian.com, (3rd Jan. 2019). Environmental Protection Agency (EPA, Office of Radiation Programs), ‘Fact Sheet on Ocean Dumping of Radioactive Waste Materials’, Prepared for House of Representatives, Subcommittee on Oceanography of the Committee on Merchant Marine and Fisheries (20th Nov. 1980). Feynman, R., ‘What do You Care What Other People Think?’, Penguin (2007). Ford, H., ‘My Life and Times’, New York: Macmillan (1922). Gabbatiss, J., ‘UK Now Exporting More Waste to Countries with Highest Levels of Ocean Plastic Pollution’, The Independent (15th June 2018). Galey, P., and Hood, M., ‘Pacific Plastic Dump Far Larger than Feared: Study’, Institute of Physics, physics.org, (22nd Mar. 2018). Garrity, J., ‘Internet User Growth Over the Next Five Years, Huffpost (22nd June 2017). George, L., and Ghaddar, A., ‘New Rules on Ship Emissions Herald Sea Change for Oil Marker’, Reuters (17th May 2018). Gibson, K., ‘Amazon Warehouses Trash Millions of Unsold Products, Media Reports Say’, CBS News, (14th May 2019). Grant, K., Goldizen, F., Sly, P., Brune, M., Neira, M., van den Berg, M., and Norman, R., ‘Health Consequences of Exposure to E-Waste: A Systematic Review’, The Lancet, 1, pp. 350–361 (Dec. 2013).

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Hadhazy, A., ‘Here’s the Truth about the ‘Planned Obsolescence’ of Tech’, BBC, 20160612 (12th June 2016). Hawkins, A., ‘New York City Discards Millions of Pounds of Dead Electronics each Year. We Follow its Path from Shelf to Shredder’, The Verge (2016). Heater, B., ‘Technology is Killing Jobs, and Only Technology can Save Them’, TechCrunch (26th Mar. 2017). Heath, T., ‘Bank Tellers are the Next Blacksmiths’, The Washington Post (8th Feb. 2017). IRENA and IEA-PVPS, ‘End-Of-Life Management Solar Photovoltaic Panels’, Report of the International Renewable Energy Agency (2016). Irfan, U., ‘Energy Hog Google Just Bought Enough Renewables to Power its Operations for the Year’, Vox (6th Dec. 2017). Jaller, M., ‘Online Shopping is Terible for the Environment. It Doesn’t Have to Be’, Vox (21st Dec. 2017). Jardim, E., ‘From Smart to senseless: The Global Impact of 10 Years of Smartphones’, Greenpeace Report (2017). Keynes, J. M., ‘Economic Possibilities for our Grandchildren (1930)’, in Essays in Persuasion, New York: Harcourt Brace, pp. 358–373 (1932). Khaleeli, H., ‘End of the Line for Stuff that’s Built to Die?’ The Guardian (3rd Mar. 2015). Koebler, J., ‘A Shocking amount of E-waste Recycling is a Complete Scam’, Motherboard (20th Sep. 2016). Krajewski, M., ‘The Great Light Bulb Conspiracy’, IEEE Spectrum (24th Sep. 2014). Landry, E., ‘Not all REC’s are Created Equal’, Sustainability Roundtable Inc (7th June 2017). Laville, S., ‘UK Plastics Recycling Industry Under Investigation for Fraud and Corruption’, The Guardian (19th Oct. 2018). Lei, Z., ‘Scientists Envision Solar Power Station in Space’, China Daily (27th Feb. 2019). London, B., ‘Ending the Depression through Planned Obsolescence’, New York, (1932). https:// babel.hathitrust.org/cgi/pt?id=wu.89097035273;view=1up;seq=5 [last accessed 26th Apr. 2019]. Lui, K., ‘You’ll Never Believe Where Your Old Computer Could End Up After You Hand It In for Recycling’, Time (11th Nov. 2018). MacKinnon, J., ‘The L.E.D. Quandary: Why There’s no Such Thing as “Built to Last”’, The New Yorker (14th July 2016). Maehium, M., ‘Which Solar Panel Type is Best? Mono vs. Polycrystalline vs. Thin Film’, energyinformation.org, (5th Aug. 2017). Martin, R., ‘How Corporations Buy their way to Green’, Sustainable Energy, MIT Technology/Review (25th Sep. 2015). Masters, G., ‘Renewable and Efficient Electric Power Systems’, (2nd Edn)., Wiley IEEE Press (2013). Merchant, B., ‘You’ve got the Luddites all Wrong’, Motherboard (2nd Sep. 2014). Minter, A., ‘The Burning Truth Behind an E-Waste Dump in Africa’, Smithsonian.com, (13th Jan. 2016). Morris, H., ‘Lost Cargo and Rubber Ducks: Inside the Curious World of Container Shipping.’ The Telegraph (21st Nov. 2017). Mulvaney, D., ‘Solar Energy Isn’t Always as Green as You Think’, IEEE Spectrum (13th Nov. 2014). Nature, (anon), ‘Extraction of Gold from Sea-Water’, Nature, No. 3745 (9th April 1941). Piesing, M., ‘Cargo Ships are the World’s Worst Polluters, so how can they be made to go green?’, iNews The Essential Daily Briefing (4th Jan. 2018). Reinsel, D., Gantz, J., and Rydning, J., ‘Data Age 2025: The Evolution of Data to Life-Critical’, IDC White Paper sponsored by SEAGATE (April 2017). Robertson, J., ‘Shipping Slump: Why a Vessel Worth $60m was Sold as Scrap’, BBC News 38653546 (1st Mar. 2017).

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Sanderson, H., and Fauser, P., ‘Environmental assessments of sea dumped chemical warfare agents’, Aarhus University, DCE – Danish Centre for Environment and Energy, Scientific Report from DCE – Danish Centre for Environment and Energy No. 174 (2015). http://dce2.au. dk/pub/SR174.pdf [Last accessed 5th Jan. 2019]. Saul, J., ‘U.N. Sets Rules to Cut Sulphur Emissions by Ships from 2020’, Reuters (27th Oct. 2016). Shehabi, A., Smith, S., Sartor, D., Brown, R., Herrlin, M., Koomey, J., Masanet, E., Horner, N., Azevedo, I., and Lintner., W., ‘United States Data Center Energy Usage Report’, Ernest Orlando Lawrence Berkeley National Laboratory (June 2016). Shewan, D., ‘Robots will Destroy Jobs – and we’re not Ready for it’, The Guardian (11th Jan. 2017). Singh, N., Li, J., and Zeng, X., ‘Global Responses for Recycling Waste CRTs in E-waste’, Waste Management, 57, pp. 187–197 (2016). Slade, G., ‘Made to Break’, Harvard University Press (2006). Taylor, K., ‘Fast-Food CEO says he’s Investing in Machines because the Government is making it difficult to Afford Employees’ Business Insider (16th Mar. 2016). The Economist, anon, ‘Planned Obsolescence’ (23rd Mar. 2009). The Guardian, ‘Eighty Shipping Containers Fall Off Sydney Bound Freighter’ (2nd June 2018). The Maritime Executive, ‘Seven-Year-Old Container Ship Sent to Scrap’ (24th Nov. 2016). UN News, ‘Electronic Waste Poses ‘Growing Risk’ to Environment, Human Health, UN Report Warns’, (13th Dec 2017). Varsami, A., Popescu, C., Barsan, E., and Hanzu-Pazara, R., ‘Pollution Generated by Ships – an Issue that should be Kept Under Control’, 12th Annual General Assembly of IAMU, AGA 12. (2011). Vaughan, A., ‘Google Uses AI to Cut Data Centre Energy Use by 15%’, The Guardian (20th July 2016). Vaughan, A., ‘UK’s Biggest Solar Farm Planned for Kent Coast’, The Guardian (9th Nov. 2017). Vidal, J., ‘Smelly, Contaminated, Full of Disease: The World’s Open Dumps are Growing’, The Guardian (6th Oct. 2014). Vidal, J., ‘’This is the World’s Cheapest Place to Scrap Ships’ – but in Chittagong, it’s People who Pay the Price’, The Guardian (2nd Dec. 2017). Walsh, B., ‘Your Data is Dirty: The Carbon Price of Cloud Computing’, The Atlantic (2nd April 2014). Wan, Z., Zhu, M., Chen, S., and Sperling, D., ‘Pollution: Three Steps to A Green Shipping Industry’, Nature News and Comment (19th April 2016). Wang, H., ‘The End of the Era of Heavy Fuel Oil in Maritime Shipping’, The International Council on Clean Transport (9th July 2014). Weideli, D., ‘Environmental Analysis of US Online Shopping’, MIT Center for Transportation & Logistics (undated). World Shipping Council, Anon, ‘Containers Lost at Sea – 2017 Update’ (2017).

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Empowering Technology: Drones

‘…Does your screen show those buried in the past, The churches blazing, the rescuers Trying in their last moments to save others Before the missiles hissed Amen? Does it show the powder of statues, Or lying beneath the burning skies The ashes of books Reflecting in a child’s terror-filled eyes? Did you see in the flush of that last dawn The blue wings of the Squadron Leader? She bagged three drones before you [SET//PRIMED//FIRED]… No. You didn’t see – for on the screen humanity is black and white. You have your facts, but faith tells me The meaning of life died with the pilots of the last flight.’1

7.1

Introduction

Here we focus on drone technologies (also known as remotely-piloted aircraft (RPAs) and unmanned aerial vehicles (UAVs)). We begin by loosely distinguishing between a number of general forms of drone. Although a broad range of frameworks can be used, we particularly consider the ability of drones to demonstrate varying degrees of autonomous behaviour, and the extent to which they are reliant upon electromagnetic communications and/or sensing. In this context, communications may relate to control channels which direct some or all aspects of a flight, or may for example simply concern reception of GPS data for navigation purposes (we also include sensing the Earth’s magnetic field for compass-based navigation).

Blundell, Q., ‘Sraw Enord’, in ‘Collected Works’ (2020).

1

© Springer Nature Switzerland AG 2020 B. G. Blundell, Ethics in Computing, Science, and Engineering, https://doi.org/10.1007/978-3-030-27126-8_7

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This framework facilitates our subsequent discussions—not only in respect of considering current drone technologies, but also in looking ahead to drones which will be increasingly self-contained in so far as they are able to carry out parts of, or even all of a flight operation without recourse to signals that may be subject to accidental or deliberate interference. In Sect. 7.3 we briefly review the evolution of drones. This is a fascinating history which dates back at least as far as the period of the First World War, and which during the course of the 20th Century has attracted a great deal of highly innovative research activity. In fact as we discuss, the earliest pioneering work focused on the development of drones which could be used to attack Zeppelins during their missions over England, and also craft which could undertake bombing operations autonomously. As the reader will appreciate, before the advent of digital technologies, the design and implementation of automated flight control systems was fraught with difficulty and generally involved the creation of complicated electromechanical systems which could only be partially tested on the ground. Thus the early development of drones was greatly hampered by flight tests which all too often culminated in crashes and this made it difficult to easily/clearly identify the causes of failure. In Sect. 7.4 we briefly review three arbitrary but indicative non-military drone applications. Specifically we consider their use in precision farming, in protecting wildlife, and for border security. These provide an insight into the versatility of drones—especially when they are equipped with sensing technologies such as cameras. Subsequently in Sect. 7.5 we turn our attention to military drone applications. In the simplest scenario drones are controlled by line of sight communications and provide a low cost flexible way of ‘looking over the next hill’—and can do so without risk of human death or injury. However, in this section we focus on more advanced drone technologies which are able to carry out protracted ground surveillance and possess ground attack capabilities. Indeed the rapid growth and scale of usage of drones for this type of activity is one of the factors that has influenced the scope of coverage which we devote to this topic: ‘According to [U.S.] Air Force statistics, Predators and Reapers [drones] flew 369,913 flight hours in 2014, a figure six times higher than in 2006.’ (Keene 2015)

As we discuss, since the initial deployment of such drones less than twenty years ago, ground attack functionality has been used extensively—particularly by the U.S. military. This has led to the death and injury of significant numbers of innocent people. In addition the use of so-called ‘signature strike’ tactics threatens to become increasingly common. As Rosenthal and Dejonge Schulman (2018) observes: ‘In terms of the evolution of military capabilities, drones are not a terribly unique platform, given the broader trend in warfare to make it easier, cheaper, and less risky to project power.’

Our focus is intended to extend discussion in Chap. 1 (especially Sect. 1.7) concerning the degree to which scientists, engineers, and technologists bear ethical responsibility for the systems which they design and implement in order to support particular applications.

7.1 Introduction

491

In the case of military drones which operate under long-distance control, radio signals are usually routed via satellite. It has been suggested that the ability of certain countries to restrict access to satellite communication links provides a means of controlling the proliferation of powerful drone-based weaponry. However, emerging high-altitude drones (often referred to as HAPS—high altitude pseudo satellites2) provide opportunities to avoid the need to access conventional satellite communications systems, which may well favour drone proliferation. As we discuss in Sect. 7.6, these craft are able to fly autonomously for long periods of time and are not only ideally suited to routing communications signals but also for acting as high-resolution imaging platforms for surveillance applications. In Sect. 7.7 we consider some of the issues that are associated with the development of drones that are able to exhibit increasingly autonomous levels of behaviour, and which are less reliant on external communications. Finally, in Sect. 7.8 we provide a further end of chapter example of organisational failure. This focuses on an Air New Zealand scenic passenger flight that took off from New Zealand in November 1978 bound for the Antarctic. It offered inspiring low-level viewing of the Antarctic wilderness (weather permitting), and was then scheduled to return to New Zealand. However, the voyage came to an abrupt end when the DC10 slammed into the snow-covered slopes of Mount Erebus, with the deaths of 257 passengers and crew. Despite this loss of life some key players appear to have cast their professional and ethical responsibilities to one side. In the investigation which followed Mr. Justice Mahon (head of the Royal Commission established to inquire into the accident) voiced his frustrations: ‘No judicial officer ever wishes to be compelled to say that he has listened to evidence which is false… But in this case the palpably false sections of evidence which I heard could not have been the result of mistake, or faulty recollection. They originated, I am compelled to say, in a pre-determined plan of deception. They were very clearly part of an attempt to conceal a series of disastrous administrative blunders and so, in regard to particular items of evidence to which I have referred, I am forced reluctantly to say that I had to listen to an orchestrated litany of lies.’

This section recounts a disaster which, as so often happens, was caused by the seemingly statistically impossible coalescence of a number of largely unrelated events. It also provides us with an insight into the way in which some people may act when such a tragedy occurs.

7.2

Terminology

Remotely Piloted Aircraft (RPAs), which are widely referred to as Drones,3 come in all shapes and sizes (fixed wing, helicopter, and various multi-rotor configurations such as the quadcopter, etc.) and are well suited to everyone’s budget. From almost HAPS is also used as an acronym for ‘High Altitude Platform Station’—especially in the context of drones which employ a gaseous lifting medium: unmanned airships. 3 Also known as Unmanned Aerial Vehicles (UAVs) and Unmanned Aircraft Systems (UASs). 2

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magical toys which youngsters fly with remarkable dexterity and which cost a few pounds, through to a broad range of commercial, military, and high altitude pseudo satellites). For the purposes of this book, we loosely define basic drones in the following way: A Drone: An unmanned aerial vehicle able to travel to a specified location using its own propulsion system(s), and which may be controlled either wholly or partially by one or more communication links.

The assumed ability of a drone to travel under its own propulsion to a specified location excludes free-floating balloons. Thus, for example we do not classify as drones the explosive-carrying balloons which were used during the siege of Venice in the mid 19th century, equivalent balloons and payloads which were used by the Japanese in efforts to attack the west coast of the U.S. in WWII, or the balloons that were used to carry propaganda materials into Soviet countries during the Cold War. Although the above definition is useful, it may be considered to be somewhat restrictive as it fails to take into account technologies exhibiting some degree of autonomous behaviour in respect of navigation/spatial positioning, and/or actions which include automated responses to changing events, conditions, and situations. Although at the present time drones generally exhibit only limited forms of autonomous behaviour (see Sect. 7.7 for discussion on forms of autonomy), this is an area which is rapidly advancing. With this in mind, we distinguish between drones which achieve some degree of autonomous behaviour on the basis of one or more communication links (and possibly by also sensing external electric and/or magnetic fields), and drones which do not. We refer to the former as Pseudo (Semi) Autonomous Drones, and the latter as Independently (Semi) Autonomous drones. The word ‘Semi’ is assumed to apply in all situations in which a drone requires any external instructions so as to deal with potentially changing conditions and/or tasks which may arise during a given flight. We assume that a fully Independently Autonomous drone has no reliance on transmissions which may be subjected to external electromagnetic interference, and so this precludes the use of drone-based radar guidance. For clarity, the above terminology is summarised in Fig. 7.1 and as indicated in the diagram, this provides us with a simple indication of the general extent to which the various forms of drone may ultimately give rise to ethical and societal issues. For simplicity, in the text that follows we use the term ‘drone’ in a general way, and make use of the more precise naming convention as and when there is a need to be more specific in our discussions of a particular form of drone.

493

Conventional Drone

Line of sight communication, no automated flight/response capability (other than stabilisation and return to the ground)

Pseudo SemiAutonomous Drone

Ability to exhibit a degree of autonomy in relation to one or more aspects of flight/task. This necessitates use of one or more communication links and/or electric/magnetic field sensing

Independently Semi-Autonomous Drone

Ability to exhibit a degree of autonomy in relation to one or more aspects of flight/task. These do not necessitate use of communication links or electric/magnetic field sensing

Pseudo Autonomous Drone

Ability to exhibit full autonomy in relation to all aspects of a flight and task. This necessitates use of one or more communication links and/or electric/magnetic field sensing

Independently Autonomous Drone

Ability to exhibit full autonomy in relation to all aspects of a flight and task. This does not necessitate the use of communication links or electric/magnetic field sensing

Increasing ethical and societal ramifications

7.3 Drones: From the Early Days

Fig. 7.1 Summarising a useful classification of drone technologies, which is fundamentally based on the degree of self-containment. As indicated, in general terms, the ordering used here reflects increasing ethical and societal implications. In this chapter we use the word ‘drone’ in a general way and adopt the more specific terminology when particular forms of drone are being explicitly discussed.

7.3

Drones: From the Early Days ‘…an Air Force capable of commanding the skies can enforce its will on everything below.’4

For a little more than 100 years, drone technologies have been the subject of research and development activity. This is a rich and fascinating history which, over the years, has attracted the sometimes obsessive interest of many highly talented scientists and engineers. Here we briefly discuss some aspects of the development work which has taken place, and so provide useful foundations that support us in better understanding the nature of today’s drone technologies. From the perspective of the UK population, the First World War provided unequivocal proof that the waters separating the Britain from mainland Europe no longer provided an effective defensive ‘moat’, capable of protecting the British Isles from attack. Undoubtedly the development and use of giant German military airships (not all of which were Zeppelins) had a strong psychological impact on the British public. Whilst the number of people killed and injured in bombing attacks was relatively small, the Germans managed to instil fear and distrust in the Introductory text appearing in the video ‘Operation Sandstone Sixth, Seventh and Eighth Atomic Bomb Tests Eniwetok Atoll Marshall Islands’, USAF Project 19-15. Video available via YouTube, Last accessed 28th Jan. 2018.

4

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Fig. 7.2 One of the high-altitude Zeppelins (some 644 ft in length and containing *2,000,000 cubic feet of hydrogen). In 1917, this class of airship was able to undertake bombing missions to the UK at an altitude of some 20,000 feet. At that time, few conventional aircraft could reach this altitude. Bomb loads were limited to *4,000 lbs. These craft were condemned in the UK as they were seen to set a precedent for the indiscriminate bombing of the civilian population (although in reality navigation problems were the primary cause of many bombing errors). This particular airship was shot down on 14th June 1917—all 24 crew on board perished. (Image source author’s collection)

population. Further airship attacks forced the military to redirect much needed resources (in the form of listening stations, anti-aircraft batteries and air force attack planes) in defence of the UK: particularly London. Fear was perhaps not only generated by the threat of bombing, but also by the great size of the dark and monstrous lumbering craft (see Fig. 7.2) which enabled those on board to look down on their prey far below. This history brings to mind seemingly prophetic lines from the poem, ‘Locksley Hall’, written in 1835 by Alfred Lord Tennyson—some eighty years before the great ships of the air set parts of London ablaze: ‘…And at night along the dusky highway near and nearer drawn, Sees in heaven the light of London flaring like a dreary dawn;… For I dipt into the future, far as human eye could see, Saw the Vision of the world, and all the wonder that would be; Saw the heavens fill with commerce, argosies of magic sails, Pilots of the purple twilight dropping down with costly bales; Heard the heavens fill with shouting, and there rain’d a ghastly dew From the nations’ airy navies grappling in the central blue;…’

Despite being filled with hydrogen the ‘monsters of the purple twilight’ initially proved to be remarkably difficult to destroy (pure hydrogen is not flammable and so even with shells and bullets passing through the great gasbags, airships did not necessarily ignite). Amid the fears that they engendered in the civilian population

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(coupled with considerable hype in relation to airship capabilities), there was an urgent need to put in place practical defences. One approach that was mooted involved the development of radio-controlled explosive-carrying aircraft which could be guided by the crew of another nearby plane, and made to collide with and destroy a menacing ‘Zepp’. Additionally, it was recognised that such aircraft (the precursors of today’s drones) could also be used as flying bombs which could be guided onto ground targets. Professor Archibald Montgomery Low (the title of ‘professor’ was of his own invention (but in fact well deserved)) and his team began research work in 1916 into drone development. It appears that their first creation was a small monoplane powered by a 50 h.p. Gnôme rotary engine (see Fig. 7.3). The researchers were faced with daunting challenges not only in developing a suitably stable aircraft, but also in respect of the design of the radio control system coupled with the need to deal with significant electrical interference generated by the engine ignition system.5 Experimental drones were launched using a compressed air catapult mounted on a lorry, and in order to disguise their true purpose they were referred to as ‘aerial targets’ (A.T.s). A number were built and tested: ‘One of the best designs was a little monoplane designed by Geoffrey de Havilland. It was powered by the first expendable aviation power unit ever made, a horizontally-opposed twin-cylinder engine… and had a power output of 35 h.p. but was designed to have a life of only two hours.’ (Bruce 1957)

In 1917 at least six drones of the type illustrated in Fig. 7.4 were constructed at the Royal Aircraft Factory. These had a wingspan of 22 ft and were just over 20 ft in length, but were never used operationally. A further drone design resulted in an elegant biplane called the Sopwith Sparrow. In this context, Bruce (1957) recounts that: ‘The experiments in radio control were successful, but did not reach the stage where a true flying bomb was built and used operationally…An even more advanced and prophetic product of Professor Low’s genius was his design for a radio-controlled rocket… in 1917. It was the true ancestor of various devices which were used in the Second World war, proceeding by a quarter of a century weapons which were claimed by their inventors to be the first of their type.’

5

Given the broad bandwidth of the amplitude modulation (AM) transmissions systems then in use, it would have been impractical to broadcast multiple control signals (e.g. one for elevators, one for ailerons, and one for rudder) on different wavelengths. Not only would this have necessitated the use of several transmitters but as Low explains in the context of the technology of that era: ‘…it is not possible to get such delicate tuning as to operate many different contacts with any certainty, and without using very heavy, costly and delicate apparatus.’ (UK Patent 244,203) Consequently he employed an innovative pulse coding system in which the number of transmitted pulses (each being of a certain duration) determined the function that was to be activated—with a pulse of a longer duration being used to terminate the function. Thus one particular pulse sequence could result in the rudder being moved in a particular direction. The patent cited above is well worth perusal, particularly if you have a penchant for elegant electro-mechanical systems (although you are likely to recognise that even with the technologies available at that time, a somewhat simpler approach could have been adopted).

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Fig. 7.3 This appears to have been the first of the drones developed by Professor Archibald Montgomery Low in 1916/17. Note the radio equipment in the foreground depicting a spark-gap transmitter. (Image source author’s collection.)

Fig. 7.4 The Royal Aircraft Factory A.T. developed and produced in 1917. Notice the significant dihedral angle of the wings which was intended to provide inherent stability (the drone was not equipped with gyros). The lines that can be seen passing between the leading and trailing edges of the wing and vertically towards the rear of the fuselage are wires that were employed as a wireless antenna. (Image source author’s collection.)

Low describes with style the first (short-lived) drone flight test which took place on the 21st March 1917: ‘…With a roar the results of nearly two years hard labour shot into the air… The next thing that I heard was a wild yell… I peered out of the lorry again, and to my horror saw a positive covey of Generals running for their lives! I had no idea what could have happened, but in a matter of seconds my beloved A.T. came into view, and with a beautiful loop under control, the engine packed up, tore into the ground and crashed the works.’ (Bloom 1958)

At around the same time, similar research was underway in the U.S. in connection with the development of a flying bomb. This gained momentum when, in 1917, the Americans entered the war. However, a somewhat different approach was adopted as

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gyroscopic systems (rather than a remote control link) were used to guide aircraft. Thus after takeoff, the planes operated without human intervention. In terms of the terminology introduced in Sect. 7.2 (recall Fig. 7.1) this would be referred to as a Pseudo Autonomous form of drone (rather than being Independently Autonomous as use was made of a compass and hence sensing of the Earth’s magnetic field). Work undertaken in 1916/17 generated significant interest in the further development of the ‘flying bomb’ approach, and in 1918 the so-called ‘Kettering Bug’ emerged (its official name was the ‘Liberty Eagle’). This was a cheaply constructed biplane which was intended to act as a flying bomb and continued to employ the Pseudo Autonomous approach. The control surfaces were operated pneumatically and an impeller was used to measure flight distance. Once this had reached the preset value, the engine ignition was cut and the wings folded—causing the aircraft to plummet to earth. Despite its highly variable performance, the U.S. Army became interested and had the war not ended, plans were in place for large scale manufacture. The Chief Signal Officer (Major General Squier) enthusiastically informed the Chief of Staff that: ‘…this new weapon which has now demonstrated its practicality, marks an epoch in the evolution of artillery for war purposes, of the first magnitude, and comparable, for instance, with the invention of gunpowder in the Fourteenth Century.’ (Quoted in Werrell 1985)

However, much work was still needed in order to create a reliable technology as, for example, during tests in 1919, 10 out of 14 flights ended in failure. By 1920 the project had ended. In the UK during the inter-war years, drone development was sporadic and was disrupted by frequently changing government objectives. But by 1927, some progress was being made with automated drones, at least in respect of flight duration which in one test exceeded 100 miles at a speed of 193 mph. There is perhaps a degree of irony in the fact that in order to increase the safety and security of test flights, the RAF relocated them to Iraq—where of course in recent years drones have been extensively used in military conflict. The only significant drone development which was carried through to production in the UK centred on the creation of an aerial target aircraft for anti-aircraft gunnery practice. This took the form of a radio-controlled aircraft—which used the fuselage of a de Havilland Moth Major and the wings of a de Havilland Tiger Moth. It was called the Queen Bee (DH.82B) and went into production in 1935, being built in large numbers as both a land and sea plane. Interestingly, the Queen Bee was fitted with a ground/surface proximity sensor which enabled fully automatic landings: ‘If radio control was lost, and the aircraft was still airworthy, it would continue to fly until it ran out of fuel. Without power it would glide towards the surface and, at the crucial moment, the automatic landing system would take over. In its heyday, it was not uncommon to discover an orphaned Queen Bee, devoid of fuel but otherwise serviceable, quietly bobbing about at sea.’ (Braithwaite 2012)

Early success with the Queen Bee was regarded enthusiastically by the U.S. Chief of Naval Operations who following a visit, returned to America convinced that this was an area which should be rapidly developed and to this end Lt. Comdr. D.S.

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Fahrney was placed in charge of the Radio-controlled Aircraft Project. It appears that he was the first to coin the term ‘Drone’, which appeared in a report he wrote in 1936 (Howeth 1963). In literature, it’s sometimes suggested that this term linked to the sound of the Queen Bee’s engine as these aerial targets flew back and forth, but it’s equally likely that Fahrney coined the term as a tribute to the Queen Bee’s success. During WWII two key enabling technologies paved the way for more advanced drones. These were television (video captured by the drone being relayed to the controlling aircraft) and the radar altimeter. In describing the advances that were made during this period, Werrell (1985) writes: ‘… the Navy finally conducted combat tests in late 1944. After a demonstration against a beached Japanese merchant ship… drones scored two direct hits and two near misses.’

However technical problems continued to cast doubts over the reliability and usefulness of drones as combat vehicles, and by October 1944 the wartime Navy programme was terminated. In the same year, the USAF instigated Operation Aphrodite which provides us with an example of an early (albeit unsuccessful) attempt to develop a remotely piloted drone-like technology for ground attack missions. In essence, this involved modifying B-17 bombers (which were to be filled to capacity with Torpex (*50% more powerful than TNT)) so that they could be remotely piloted to, and be made to impact with, a designated target. Engineers and scientists quickly got to work and soon recognised that given the technologies of the time, remotely piloting an unwieldy and overloaded twin engine bomber into the air was not a practical proposition. Consequently, a hybrid approach was adopted whereby a skeleton crew would be on board for the takeoff. Once at altitude, control would be passed to a remote pilot located in a chase aircraft, and then the crew would bale out. In theory the rest would be easy—especially since the remote pilot would have access to video transmitted from the now deserted B-17. Unfortunately during a number of initial missions which were intended to cause serious disruption to selected Nazi installations, things did not go as planned. Some drones went out of control, some were shot down, and some exploded prematurely. For example, on 12th August 1944 a B-24J Liberator was loaded with Torpex and took off from RAF Fersfield, the goal being to destroy the site of the latest Nazi wonder-weapon —the V-3. Due to a failure in communications, it appears that the USAF were unaware of the fact that this site had already been destroyed some five weeks earlier by the RAF… For takeoff, the plane was piloted by Joseph P. Kennedy Jr. (older brother of the future U.S. President). However before the crew could bale out: ‘…the plane suddenly disappeared in an enormous fireball, and pieces of the aircraft began raining on the rural countryside below. Hundreds of trees were destroyed, nearly 150 properties on the ground were damaged, and some 50 people…were injured….The bodies of the… [crew] were never found.’ (Webb 2017)

Work in connection with drones was not limited to the U.S. and UK, and perhaps the closest precursor to drone-like technology was developed and used for military purposes by Germany in WWI. In brief, Zeppelin navigation was problematic.

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Fig. 7.5 As outlined in the text, during WWI some Zeppelins were equipped with this form of gondola in which an observer could be lowered through cloud. He relayed navigation directions to the parent craft via phone and so the Zeppelin was essentially flown under his control. This provides us with an example of remote operation which acted as a precursor to the implementation of unmanned craft. (Image source author’s collection.)

Although radio navigation systems were used, these were far from efficient and were generally inaccurate. Obviously navigation became even more problematic when the craft were flying between continuous layers of cloud. To address this matter, for a period Zeppelins were equipped with a gondola (which could accommodate an observer) that could be lowered through the cloud layer (see Fig. 7.5). The observer then became responsible for navigating the Zeppelin via a remote phone link and in this sense was in effect remotely controlling the craft.6 Germany was also the first country to develop and successfully use large numbers of Independently Autonomous drones in warfare—namely the V-17 (see Fig. 7.6). After launch from a ramp (aligned in the direction of the target), the craft’s guidance system was intended to keep it on course—the range being controlled on the basis of fuel supply. Many thousands of these so-called ‘doodlebugs’ were launched against London and other targets, and those on the ground in the targeted region quickly became familiar with the distinct sound of a V-1’s pulsejet engine. Once the engine cut, an explosion would shortly follow. With a capability of carrying a warhead weighing some 850 kg at a speed of *400 mph over a distance of *160 miles, and at an altitude of 2,000–3,000 feet, the V-1 was a highly advanced technology for that era. However its performance was quickly 6

Initially, there was considerable competition for manning these gondolas. This was because, given the presence of vast quantities of hydrogen, during long Zeppelin missions smoking was firmly banned. This restriction did not apply when in the gondola. However crew quickly became much less keen to take on this role when it became known that sometimes it was necessary to sever gondola cables. (This occurred when a Zeppelin came under attack and needed to shed weight so as to rapidly gain altitude…) 7 V1—Vengeance Weapon (Vergeltungswaffe 1).

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Fig. 7.6 A German V-1 weapon. This was capable of carrying a warhead of some 850 kg at a speed of *400 mph over a distance of *160 miles and at an altitude of 2,000–3,000 feet. The pulse jet engine can be seen above the rear of the body of the craft. This engine emitted a readily recognisable sound. Following launch from a ramp, the weapon maintained course using gyroscopes and descended when its fuel supply was exhausted. (Image source Bundesarchiv_Bild_146-1975-117-26,_Marschflugkörper_V1 [Public Domain])

overshadowed by the V-2 which constituted the first form of operational ballistic missile. The German Hs293D rocket-propelled missile which was developed towards the end of WWII, provides a further example of a drone-like technology: ‘An on-board camera system was used to transmit video imagery to a controller who remotely piloted the missile…Video could be sent back to the parent aircraft via either a cable or wireless link. The controller was provided with a joystick and had the task of manoeuvring the missile to keep the transmitted image of the target in the correct location of the display screen… There can be little doubt that to use such a system the operator would have needed considerable skill and given the maximum speed of 375 miles/hour and a maximum range of 10 miles, the operator would have needed to react very quickly to the changes in the transmitted image.’ (Blundell 2007)

During post war testing of atomic bombs in the pacific by the U.S., drones (modified B-17s) were used to monitor atmospheric effects. For example, in 1948 during Operation Sandstone these drones were used to take measurements and collect debris from within the nuclear cloud (see, for example, USAF Project 19-15). In subsequent years, a range of increasingly sophisticated and powerful drones were developed together with craft which could be released from parent aircraft. The aero-modelling community also contributed by making significant advances in remotely piloted craft. Invariably powered flight of these craft involved the use of combustion engines—with their welcomed power to weight ratios being somewhat

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offset by ear-shattering noise. This situation has now of course changed with the development of high-efficiency low-weight electric motors and batteries which (when coupled with miniaturised gyros) paved the way for small vertical takeoff and landing drones. Furthermore, a corresponding decrease in the weight of camera technologies, coupled with ever-greater performance has enabled drones to provide highly manoeuvrable (but stable) camera platforms and this continues to facilitate a multitude of applications. Large or small, drones are relatively simple craft—the quantum transition in their capabilities being firmly underpinned by developments in sensing technologies and most importantly communications.

7.4

Non-military Applications

Applications for drones abound and it’s likely that they will have a major impact on many diverse areas of human endeavour (see Fig. 7.7 for various examples). However, the extent to which larger commercial drones will be routinely employed in heavily populated areas and/or areas in which there is considerable conventional air traffic remains to be seen. Questions also arise in respect of the proliferation of smaller drones which fly at low altitude, and are able to support deliveries for companies such as Amazon. Whilst these in principle offer high speed delivery, their efficacy is likely to be strongly influenced by weather conditions and moreover they are intrusive. In this latter respect, they may eventually be seen as representing an annoying source of aerial pollution and of course, when such drones pass over a property there is little way of knowing whether they are simply carrying freight, or are actually being used to collect photographic and video content. The use of drones for home and office delivery applications currently attracts significant media attention and has a strong novel quality. However this is likely to be short-lived and associated delivery delays/failures may quickly influence public perception. Further there is also a need to assess impact by comparing the overall environmental footprint of this delivery modality with traditional approaches, and in this context it’s quite possible that drone-based deliveries may turn out to be only viable under quite limited circumstances. Human nature is such that undoubtedly there will be some who come to regard delivery drones as ‘legitimate targets’ which are worthy of attack, either from an amusement perspective or in order to steal payload. The use of drone technologies in Africa for the delivery of urgently needed medical supplies (such as blood and snake bite serum) to remote regions has attracted considerable media attention and addresses real needs. Indeed it’s an application that can reduce human suffering and save lives: ‘Using technology to its ultimate life-saving potential, when blood is needed in any one of 12 linked hospitals in eastern Rwanda, doctors use popular messaging app WhatsApp to send a message…Then a drone is deployed which carries the blood at 60 miles per hour. It would alert the medical professionals when the drone is only one minute away and the parachute-drops the package before flying away.’ (Radhakrishnan 2018)

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Insurance data collection and verification

Inspection: pylons, wind turbines, solar farms, etc. Pollution measurement

Emergency deliveries

Crowd monitoring

Monitoring beaches for sharks, etc.

General deliveries

Precision farming

Indicative non-military drone applications

Search and rescue

Policing

.

Viewing sports events

Disaster assessment

Environmental reconnaissance and data collection Journalism

Border surveillance

Pollination

Re-forestation

Stockpile measurement: building site, mining, etc

Construction monitoring

Wildlife protection

Fig. 7.7 Summarising various exemplar non-military drone applications. The reader is left to consider the viability and ramifications (e.g. impact on employment and job diversity, ethical considerations, etc.) of these and other applications. You may also find it useful to sketch a similar diagram which considers ways in which drones may be used to support criminal activity. For example, whilst drones may be used for border control activities, they can also be used to support cross-border smuggling, etc.

However, some view this type of application with a degree of caution. For example, Foth (2017) questions the wisdom of using drones for the routine delivery of commodities which with good organisation can be dispatched in bulk using traditional delivery modalities—see OTU Activity 7.1. This type of sentiment may arise because of a concern that it’s perhaps easier to raise funding for a high-profile ‘stylish’ technology-based application, rather than for more traditional infrastructure projects (even though these may offer a more long term opportunity for regional advancement).

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With these general thoughts in mind, in the following subsections we take a brief look at three arbitrary but indicative areas of drone application. You are encouraged to consider and discuss (OTU Activity 7.2) the many other opportunities which exist for this type of technology.

7.4.1 Precision Agriculture In the coming years robotic technologies (including drones) will play an ever-greater role in farming. Some see this primarily in terms of their impact on traditional forms of employment and/or as representing the growing industrialisation and depersonalisation of the countryside. Indeed there are overarching concerns that the infusion of technologies will gradually change the very nature of farming and erode the farmer’s empathy for the land and natural world in general. However with an ever-increasing global population (recall Table 6.7 which suggests a 50% increase from 2000 to 2050), it’s evident that farming practices will need to undergo major development, and that more land will have to be committed to agriculture. ‘Climate change is having a major impact on food security. More than 815 million people are chronically hungry and 64 percent of the chronically hungry are in Asia. The world needs to increase food production by almost 50 percent by 2050 to feed a population of nine billion, yet resources such as land and water are becoming more and more scarce.’ (Sylvester 2018)

The writer goes on to suggest that: ‘In the current milieu, use of sustainable information and communication technology in agriculture is not an option. It is a necessity.’

In looking forward, there’s also a need to consider the continual increase in the consumption of the non-renewable sources of energy that are used in the operation of agricultural machinery. In the case of arable farming, the shear weight of tractors as they pass back and forth planting, tending, and harvesting crops results in the compaction of soil and this increases the energy expended in ploughing. Surely the efficiency of wasteful processes can be greatly improved? And what about the scale on which chemical products are employed across many areas of agriculture and the impact of their overuse as they not only enter waterways and atmosphere, but also impinge on the soil itself. The time has come to employ technologies which enable chemical usage to be carried out with far greater precision and efficacy—thereby reducing material consumption and environmental impact. And perhaps technologies will also support us in addressing the longstanding trend of creating ever-larger fields and farms (and in parallel negatively impacting on bio-diversity)?

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OTU Activity 7.1 As indicated in the text, Foth (2017) questions the use of drones for the routine delivery of blood to patients in remote regions of Rwanda and Tanzania. She writes: ‘But while a high-tech solution looks great for the VC’s portfolio and perhaps a president’s re-election campaign, it ultimately distracts from a bigger underlying and decidedly un-sexy issue: lack of investment in infrastructure.’ She goes on to question whether the investment in the drone systems together with their operating cost would not be better spent on infrastructure – which in turn would have a positive impact on local employment and could: ‘…give people access to markets where they can sell their produce and labour…’ 1. Consider the case of a company seeking capital for a drone-based blood/snake serum delivery system for use in Rwanda, and a company seeking capital for infrastructure development (e.g. surfacing of unsealed roads in Rwanda). Discuss with reasons whether or not you feel that the high-tech system is more or less likely to attract investment. 2. Foth (2017) goes on to suggest that: ‘…[the company] says that it provides a seamless delivery system at an affordable price. But the company and its funders are remiss to overlook the opportunity costs of this service to the long-term growth and development of these countries and their citizens.’ Discuss this point of view: do you consider that there are any ethical issues associated with this type of commercial venture?

There are many who ardently believe that there is an urgent need to address practices that evolved during the course of the 20th century, and which have often disrupted the close symbiotic partnership that should exist between agriculture and nature. And it is quite likely that with prudent application, a range of technologies could allow aspects of this relationship to be restored, and as a result will increase efficiency and sustainability in ways that are advantageous to the natural world.

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OTU Activity 7.2 1. Research and discuss applications for drone technologies. You should consider both remotely piloted drones and semi-autonomous/fully autonomous technologies. 2. Following on from (1), for each application identify any potential ethical and/or societal implications.

Unfortunately the enthusiasm of many proponents of agricultural robotics often seems to be overly optimistic: ‘…the advent of agricultural robotics can accelerate the uptake of ultra-precision agriculture, helping enable farm management on a site-specific, and then later individual plant-specific basis.’ (Ghaffarzadeh 2018)

And as with so many recent and current developments hype invariably generates expectations which are well beyond the bounds of reality. This is a recipe for disappointment and can lead to adoption resistance. In relation to the application of drones to agriculture and their ability to transform farming practices, it appears that at the present time a degree of prudence needs to be exercised. Otherwise, farmers are likely to be disappointed by the actual practicalities of the technologies and as a result may become less inclined to invest in their usage. In short it’s crucial to ensure that in farming, drone capabilities match expectations and do not simply support ‘flights of fantasy’. And in assessing the value of robotic technologies, it’s important to recognise the tremendous diversity of agriculture and with this in mind in Fig. 7.8 we summarise aspects of this diversity in relation to arable farming.

Diversity in farm size and focus

Diversity in seasons

Diversity in land fertility

Diversity in availability of labour

Agricultural diversity

Diversity in crops

Diversity in cost of labour

Diversity in climate and extremes

Diversity in terrain

Fig. 7.8 In considering the use of drones (and robotics in general) for agricultural applications, it’s crucially important to bear in mind the great diversity of farming operations. Robotics offers real, practical, and significant opportunities only in some scenarios. Here we summarise indicative areas of diversity in relation to arable farming.

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Planning and analysis data Planting Precision Farming Crop spraying

Crop monitoring data

Health and wellbeing Irrigation requirements

Fig. 7.9 Summary of a number of areas in which drones are able to support the development of precision farming techniques in relation to crop production. See text for discussion.

Figure 7.9 summarises some indicative areas in which there is growing interest in developing and exploiting the capabilities of drones for enhanced crop production. Key attributes which enable drones to facilitate this process centre not only on their ability to carry sensors and disperse materials (e.g. seeds for implantation and selective herbicides), but also on their autonomous capabilities and the opportunities offered by overarching analytics software. Here we note that in terms of current technologies and in the context of terminology introduced in Sect. 7.2, they would be referred to as Pseudo (Semi) Autonomous Drones, and in respect of terminology used later in this chapter (see Sect. 7.7) current systems would generally be deemed to exhibit degrees of pre-programmed and supervised autonomy. By way of example, consider the use of an appropriately equipped drone for crop surveying or spraying activities. The forms of autonomy mentioned above may be demonstrated by the ability of the drone to traverse a given area of land (e.g. a field) along a number of parallel tracks (see Fig. 7.10). To achieve this goal it’s first

Fig. 7.10 Illustrating the path of a drone working its way over a field and employing supervised autonomy. The solid red lines denote a segment of the field boundary (which is mapped out beforehand) and the arrow shows the path of drone movement along the blue lines. Naturally scan spacing need not necessarily be fixed but may be adjusted dynamically or predefined so as to match changing conditions/needs. In the case of a complex field shape, interesting opportunities exist to optimise the scan so as to minimise the total distance travelled, and hence the flying time.

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necessary to determine a set of coordinates which delineate a field boundary. Naturally in the case of a rectangular field this simply requires specifying the coordinates of the four corners (or simply two diagonal corners). In fact techniques are available which enable an appropriate coordinate map to be produced for any arbitrary field shape. Subsequently a drone can be used to perform a scan (akin to a non-interlaced raster scan associated with the traditional CRT) which keeps within the limits of the field boundary. In this way a drone can cover the entire area of a given field so as to undertake (in principle) imaging activities, seed planting, and crop spraying. However in practice the matter may not be quite so simple as there is a need to ensure that the drone is responsive to changes in wind speed and/or direction, such that it can react and stay on track. In terms of current technologies these types of activity must be carried out with human supervision—the move from pre-programmed and supervised forms of autonomy to complete autonomy represents a major transition involving very considerable technical development, as in most non-trivial real-world situations it is very difficult to take into account all eventualities. Further, system testing is highly demanding and in some situations incorrect operation can have significant consequences (e.g. the failure of a drone to keep within field boundaries whilst crop spraying). For imaging purposes, the use of multi-spectral sensors enhances data collection by not only enabling the collection of data from the visible part of the spectrum, but also the acquisition of non-visible radiation (e.g. infrared) which emanates from the soil and/or crops over which a drone flies. Subsequently images can be combined and used to produce both 2-D and 3-D maps. These may, for example, enable nutrient and water deficiencies to be readily detected, crop damage to be revealed and weed maps (depicting areas of high intensity weed proliferation) to be created: ‘Multispectral and hyper-spectral aerial and satellite imagery helps in creating Normalized Difference Vegetation Index (NDVI) maps, which can differentiate soil from grass or forest, detect plants under stress, and differentiate between crops and crop stages.. The basic principle of NDVI relies on the fact that leaves reflect a lot of light in the near infrared (NIR). When the plant becomes dehydrated or stressed, the leaves reflect less NIR light, but the same amount in the visible range. Thus, mathematically combining these two signals can help differentiate plant from non-plant and a healthy plant from a sickly plant.’ (Sylvester 2018)

Of course, a key challenge relates to deriving real and significant value from the data which is acquired. This means that, for example, it must provide the farmer with new and valuable insights which go beyond the bounds of his/her current experience and knowledge of the land. By equipping drones with distance measuring sensors, they can be designed to maintain a given height above the ground. As a result, whilst undertaking a crop spraying activity over uneven terrain, the drone can maintain a fixed altitude. Thus the amount of material dispersed can be kept to the minimum required level. Naturally from an environmental perspective this is advantageous and furthermore costs are reduced. Minimisation can be further enhanced through the use of imaging

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techniques which enable the drone system to work for the farmer in monitoring the health and wellbeing of a crop and identifying areas which may need more or less treatment. This information can then be used as part of a precision crop-treatment process. Naturally in the case that crops are planted in discrete rows (perhaps separated by walkways as is the case in vineyards), an imaging system may be used to ensure that the flight of the drone follows the centreline of each row, thereby accurately aligning the scan with the positioning of the rows of crop (provided that the machine is not buffeted by wind…). In principle, crop planting can be accomplished by firing seeds from a drone in a controlled manner and can be carried out in ways which ensure that the seeds (together with their surrounding nutrient pod) penetrate the surface of the soil. Interestingly, this approach provides opportunities for the re-foresting of land and is well suited for use in areas of difficult terrain. But it is important to critically evaluate such applications. For example, both crop spraying and planting require the drone to carry a significant payload of material. Here a balance must be struck between maximum payload weight and maximum flying time (between battery recharging/changes). Naturally, the more frequently that a drone has to return to its operator for material replenishment or battery recharging/changing, the longer a task will take and so efficiency is reduced. Furthermore weather conditions can obviously impact on the ability of a drone to carry out work of this type and so in some locations drone usage may increase the vulnerability of arable farming to adverse weather. Clearly opportunities also exist for drones to support farming work involving animals. Here both visible and thermal imaging technologies can enable farmers to remotely monitor the well-being of animals so as to check for any that are injured, birthing, etc. In addition low-cost drones are being used by animal advocacy groups to check on animal conditions and collect evidence of ill-treatment. This includes verification that products which are marketed as free-range (and the like) are actually farmed in conditions which meet the relevant standards (see, for example, McCausland et al. 2018). However, this is an application which many farmers see as representing an invasion of privacy. As we have frequently observed elsewhere in this book, technologies invariably not only exhibit strengths and weaknesses but also have positive and negative ramifications for both the individual and wider society. In the current context, whilst there can be little doubt that in some situations drones have the ability to advance precision farming and so reduce the negative impact of certain aspects of agriculture on the environment, they are not without drawbacks and practical limitations. On the left-hand side of Fig. 7.11 we broadly summarise a number of advantageous aspects of their usage, all of which offer environmental benefits whilst (in principle) reducing costs. In contrast, on the right-hand side of the diagram we loosely summarise some issues surrounding their application. This raises the practical matter of how drones (and other forms of robotic systems) will actually be operated. For example, in one scenario, the farmer is responsible for their procurement and operation (which would normally need to be the case when drones

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Significant fuel savings

Impact on employment

Significant reduction in the use of chemicals

Impact on job diversity Environmental benefits

Increases in crop yield

Devalues local knowledge and experience

Opportunities to support smallerscale and diverse farming

Investment vs usage

Farmer owned and operated or farming as a service (FaaS)

Framework embracing the broader usage of robotic technologies

Payload limitations

Batteries: duration and lifetime

Fig. 7.11 Summarising aspects of drone usage in supporting the ongoing development of precision farming techniques. Note that in considering the impact of drones, it is important to view their usage in the context of the more extensive deployment of other forms of robotic systems. See text for discussion.

are used in connection with livestock farming). Alternatively organisations may increasingly offer ‘farming as a service’ (FaaS), in which case the farmer has no need to invest in, maintain, or gain the skills needed to operate the technologies. But the continued expansion of FaaS may ultimately reduce the need for (and hence value of) local knowledge, and significantly impact on the role of the farmer. In some situations this approach may prove to be the most practical as it offers to permit drone technologies to be used to maximum advantage and to maximum capacity (a point which is particularly important as in the near-term, products may well become quickly dated). The FaaS also ensures that drones are properly maintained, repaired and operated within the limits of their design. Traditionally, much arable farming activity involves working with and operating rugged machinery. In contrast drones are relatively fragile and must be handled with considerable care. Furthermore their successful operation is underpinned by complicated internal and external hardware/software systems. Unlike tractors, they break easily and without proper care and handling, finance invested in their acquisition could easily be lost.

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However the farming community generally has a long-standing tradition of embracing new approaches, technologies, and working practices. Developments in the 20th century saw a rapid move from labour intensive to much more mechanised farming. This had a tremendous impact on efficiency and supports intensive farming practices. But in many countries it has had a significant impact on rural life. For example in European countries such as France, the loss of traditional forms of labour intensive agricultural employment has, in some regions, resulted in the decimation of village communities and an erosion of society’s bond with seasons and land. This causes me to momentarily pause and view the ancient table at which I am writing. It’s some four metres in length and, with its two great oak trestle benches, came from a château which now lies abandoned. From the mid-19th century through until the early 1950s the table was used (along with several others) for numerous annual rural celebrations. Undoubtedly it has witnessed times of great conviviality amongst those farming the land that formed the chateau’s estates. But times move on; mechanisation alleviated the need for demanding physical labour and there can be little doubt that in many locations robotic systems will give rise to a further quantum change. Whether this development will lead to robotic technologies which have a short ‘Useful Phase’ (recall Sect. 6.2.3 and Fig. 6.1) either as a result of rapid obsolescence (including standardisation issues), incompatibility, or breakage, or will give rise to major wide-ranging environmental and societal benefits remains to be seen. As for my table, it is now simply a relic of a bygone era—an era which (like our own) exhibited both positive and negative attributes. For further discussion see, for example, Nonami et al. (2010), Heege (2013), Sylvester (2018), UK-RAS (2018), Ghaffarzadeh (2018), Mogli and Deepak (2018) Veroustraete (2015), Puri et al. (2017), and Baraniuk (2018).

7.4.2 Protection of Wildlife ‘A cold wind blew across the prairie when the last buffalo fell – a death-wind for my people.’8

In previous sections we have referred to diverse aspects of human nature, and have commented on the existence of, and dangers inherent in a darker side of the human character. The ongoing killing of wild creatures such as elephants and rhinoceroses in Africa and other parts of the world provides us with a topical example, illustrating some particularly negative human traits. In parallel, through the efforts that are being made to counter this killing we are presented with a view of a much more positive aspect of the human character, in which some people are literally willing to put their lives at risk in order to secure a safe future for species which could otherwise become extinct in the not too distant future. 8 Attributed to Sitting Bull (circa 1831–1890) and quoted in Smits (1994). In 1876, Sitting Bull played an instrumental role in the Battle of Little Bighorn in which troops under George Armstrong Custer were defeated.

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Fig. 7.12 Former U.S. President Theodore Roosevelt was one of many who relished big game hunting. Here he is photographed after killing an elephant—an act which seems to the author to be incomprehensible. (Source Van Alkena, Edward [Public Domain] via Wikimedia Commons).

Throughout human history, wild animals have represented an important source of food and clothing, etc. However the human drive to kill animals in the wild is also driven by many other motivations, and these include amusement, pleasure, entertainment, the sense of danger, and the thrill of power. Former U.S. president, Theodore Roosevelt was one of many who relished big-game hunting (see Fig. 7.12). On safari in Africa and following his dealings with a massive bull rhino, he wrote: ‘The big beast stood like an uncouth statue, his hide black in the sunlight; he seemed what he was, a monster surviving over from the world’s past, from the days when the beasts of the prime ran riot in their strength, before man grew so cunning of brain and hand as to master them… [the first] bullet going through both lungs… [and the second] entering the neck and shoulder and piecing his heart’ (Quoted in Weisberger 2017)

In the 19th century in the U.S., the Native Americans were convinced that given the seemingly infinite (uncountable) numbers of bison (buffalo), they would surely last forever (see Fig. 7.13). But during the period 1870 to *1885 the estimated population of more than 30 million (although there is obviously uncertainty in this figure) was reduced to a few hundred (Phippen 2016 and Smits 1994). One central governmental and military motivation was the elimination of the animals upon which Native Americans relied as a source of food and skins. In 1868, General William T. Sherman wrote: ‘…I think it would be wise to invite all the sportsmen of England and America there [Nebraska] this fall for a Grand Buffalo hunt, and make one grand sweep of it all.’ (Quoted in Phippen 2016)

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Fig. 7.13 The American Bison. In approximately two decades *30,000,000 of these great creatures were slaughtered. See text for discussion. (Source Jack Dykinga [Public Domain] via Wikimedia Commons.)

In this general context, and in summation, Smits (1994) writes: ‘…the frontier army’s well-calculated policy of destroying the buffalo in order to conquer the Plains Indians proved more effective than any other weapon in its arsenal. Too small and too inept to vanquish the plains tribes expeditiously, the army aided and was in turn aided by the “sportsmen” and professional hunters who, along with the army itself, managed to destroy the Indians’ staff of life. With the mainstay of their diet gone the Indians had no choice but to accept a servile fate on a reservation where they could subsist on government handouts.’

Given catalysts of political motivation, sport, entertainment, financial opportunities, and free ammunition (supplied by the military), the extermination process moved ahead with great rapidity: ‘One of the Kansas hunters who hired fifteen skinners, claimed to have killed 1,500 buffaloes in a week, 250 of them in a single day… So great was the slaughter that in 1872 and 1873 the railroads hauled 1,250,000 hides out of Kansas and nearby territory.’ (Gard 1956)

Lieutenant Colonel Richard Dodge described one scene: ‘…where here were myriads of buffalo the year before, there were now myriads of carcasses. The air was foul with a sickening stench, and the vast plain which only a short twelve months before teemed with animal life, was a dead, solitary desert.’ (Quoted in Phippen 2016)

Undoubtedly the slaughter of the great American bison (almost to the point of extinction) was pivotal in facilitating the subjugation of the Native American tribes who were reduced to poverty, and reliance on the government for much of their food. Although some protested against the extermination process, others relished and justified the activities which had taken place. For example:

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‘This might seem like cruelty and wasteful extravagance but the buffalo, like the Indian, stood in the way of civilization and in the path of progress, and the decree has gone forth that they must both give way… The same territory which a quarter century ago was supporting those vast herds of wild game, is now covered with domestic animals which afford the food supply for hundreds of millions of people in civilized countries.’ (Attributed to Colonel Nelson A. Miles and Quoted in Smits 1994)

As for General Sheridan: ‘If I could learn that every Buffalo in the northern herd were killed I would be glad. The destruction of this herd would do more to keep Indians quiet that anything else that could happen, except for the death of all the Indians.’ (Quoted in Smits 1994)

From the perspective of the Native American the great Kiowa chief Satanta is said to have poignantly reflected that: ‘A long time ago this land belonged to our fathers, but when I go up the river I see a camp of soldiers, and they are cutting my wood down, or killing my buffalo. I don’t like that, and when I see it my heart feels like bursting with sorrow.’ (Quoted in Smits 1994)

During this period and for a large part of the 20th century, big-game hunting had a great impact on wild animal populations in many countries. Often viewed as the ‘sport’ of the wealthy, the addictive drive to take home trophies attracted both men and women (albeit the latter to a lesser extent). Given such historical roots, the current slaughter of elephants, rhinos, and other magnificent animals may perhaps be simply viewed as a natural continuation. However, given burgeoning human population, increases in agricultural activity, and the expansion of urbanisation, many species are coming under increased pressure. When this is compounded with large scale poaching, it’s evident that in the not too distant future populations may well decline to unsustainable levels, and extinction may follow. However, before continuing, you may find OTU Activity 7.3 helpful. In Africa, poaching has traditionally been carried out by groups equipped with rifles, spears, machetes, and the like. However in recent years poachers have resorted to a more cruel and indiscriminate approach in which poison (such as cyanide which is readily available from some mining activities) is employed: ‘Poachers have begun using more subtle techniques to slaughter elephants in Zimbabwe, swapping rifles and Machetes for industrial grade poison…. Authorities confirmed that 87 elephants have been killed by cyanide in Hwange National Park.’ (Toor 2013)

Following an extensive search, a subsequent article suggests that more than 300 elephants had actually been killed in the Park (along with many other animals)9: ‘Poachers killed the elephants over the last three months by lacing water holes and salt licks with cyanide… After the elephants died, often collapsing just a few yards from the source, lions, hyenas and vultures which fed on their carcasses were also struck down as were other animals such as kudu and buffalo that shared the same waterholes.’ (Thornycroft et al. 2013) In contrast, Muboko et al. (2014) suggest a significantly lower figure—but in parallel indicate the identification of some 40 sites contaminated with cyanide. Despite differences in the reported numbers of elephants killed, it’s evident that this is a serious ongoing problem.

9

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And in Kenya: ‘Kenya has lost more than 435 elephants and around 400 rhinos to poachers since 2012 [i.e. during the period 2012-2014]…Poachers have killed 18 rhinos and 51 elephants in 2014 so far [i.e. in a four month period].’ (Njeru 2014)

More recently, and by way of example, Katongomara (2019) reports that: ‘Last week, four jumbos were reportedly poisoned and dehorned outside Hwange National Park.’

And quoting Tinashe Farawo (a spokesperson for the Park authorities): ‘The elephants were in a state of decomposition, but had already been skinned with their tusks missing… A bucket with cyanide was discovered near one of the elephants.

The particular targeting of rhinos and elephants is motivated by the monetary value of rhino horn and ivory. Smith et al. (2015) write: ‘According to the wildlife trade monitoring network TRAFFIC, the street price of Rhino horn is $100,000/kg compared to the price in 1990 which at the time was estimated at $250-500/kg, with a single horn weighing 1-3kg…The price of ivory has tripled over the last three years in China. Uncarved ivory is worth $2,100/kg and an elephant has 10 kilos per tusk.’

Thus the killing of a single elephant or rhinoceros underpins a highly lucrative commercial activity in which materials are illegally traded to destination countries which include China and Vietnam. The longstanding trade in ivory is based on its quality, visual appearance, texture, and suitability as a material for fine/intricate carving. Traditionally it was widely used not only in the sculpting of figures (including chess pieces, dominos and the like), but also for piano/organ keyboards (only the white keys—the black keys traditionally being made from wood). In contrast the lure of rhino horn is based on a variety of factors which are considered by Vu et al. (2018) in the context of utilitarian and hedonic10 values. In Vietnam for example it is often promoted as forming the basis for a cure for cancer, for high fever, and for hangovers. In parallel, in the context of its perceived hedonic value: ‘Rhino horn is among the most fashionable and luxurious wildlife products in Hanoi where projected image plays a critical role in social success… An extremely rare and expensive gift like rhino horn symbolically encodes esteem for the gift recipient and brings honour to the gift giver.’ (Vu et al. 2018)

10

Hedonic consumption relates to products being purchased by customers to satisfy (or in an attempt to satisfy) their emotional and sensory ‘needs’—after more basic needs have been met. For example, manufacturers of designer watches/clothing/handbags, and super-luxurious cars seek to promote hedonic consumption.

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OTU Activity 7.3 Consider the poaching of wild animals such as elephants, rhino, lions, tigers, and the like. In many countries this is resulting in reduced animal populations, and the extinction (or near extinction) of some species. Some people primarily view this in terms of the ensuing economic impact – specifically the loss (or future loss) of the revenue that is derived from international tourism. 1. Discuss whether this type of economic consideration should be the overarching motivation to curbing illegal poaching. 2. Alternatively discuss whether you believe that wild animals (such as those referred to above) should have a right to freedom and protection. Should any such right be a key motivation in curbing illegal poaching? 3. As indicated above, in some countries poaching is leading to a reduction in the populations of some species, and this may ultimately result in species becoming extinct. Discuss whether or not you believe that we have an ethically-based obligation to future generations to ensure their preservation (in the wild). In connection with this question, research the number of species of creature that have become extinct during the last 100 years or so (you may wish to go back further and include the dodo). 4. Following on from (3), research and discuss the number of species that are threatened with extinction in the coming years (as a starting point, see, for example, Watts (2018)).

In some situations, both utilitarian and hedonic goals may simultaneously apply. For example a person may procure rhino horn because of a misguided belief that it can act as a cure for hangovers (perceived as a utilitarian goal) and may offer it to others to demonstrate personal wealth and social status (hedonic values). Further this act of giving may be underpinned by a practical wish to strengthen business relations and so gain promotion (a utilitarian objective). In short, offering party guests glasses of fine claret (or the like) containing powdered rhino horn may be underpinned by a variety of egotistical and/or cultural human motivations. But in reality: ‘Rhino horn is made from Keratin – a protein found in fingernails and hair – and the product is falsely said to help treat everything from cancer to gout when consumed in powder form. There are no proven medical benefits in humans… The most sparing evidence has been brought to bear claiming that rhino horn may somehow help lower fever, at least in rodents.’ (Maron 2018)

From a chemical perspective, those seeking a cure for their cancer, a palliative for a hangover or who are simply wanting to add some special vogue ingredient to their glasses of wine, may as well munch on their own toe nails. The attribution of seemingly magical powers to rhino horn are based on traditions which date back more than 2,000 years. For example:

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‘The ancient Persians of the 5th century BC thought that vessels carved from the horn could be used to detect poisoned liquids, causing bubbles in the presence of some poisons.’ (Nature 2010)

Interestingly there may be a scientific basis for this notion (although many alternative sources of Keratin could be employed): ‘Many poisons are strongly alkaline (or basic), and may have reacted chemically with the keratin.’ (Nature 2010)

The horn is also used for ornamental purposes: ‘In the Middle Eastern county of Yemen, the horn continues to be coveted by Muslim men… The material whose lustre increases with age is used for the handles of curved daggers called “jambiya,” which are presented to Yemeni boys at age 12.’ (Nature 2010)

The pace at which many wild species (not only elephants and rhinoceroses) are being killed is considerable. For example, a report by Smith et al. (2015) indicates that in the context of Africa: ‘…it is estimated that 20,000 to 25,000 elephants are illegally killed each year out of total population estimated to be between 420,000 and 650,000. Poaching rates reached an all time high during the period 2010 to 2012 where it is estimated that over 100,000 elephants were killed… the poaching rate continues to outpace the natural reproduction rate thereby already indicating consecutive years of a downward impact on overall populations.’

Quantifying the impact of large-scale killing on a species is not an entirely straightforward process. For example, in the case of elephants, when poaching is carried out in a selective way (rather than by poisoning), mature elephants are primarily targeted as they have larger and therefore more valuable tusks. Unfortunately these tend to be the elephants which from the perspective of immediate breeding are the most important to a herd. Further: ‘Poaching also has the effect of destabilising herd dynamics and skews populations often leaving strongly skewed sex ratios and social damage from destroyed families and orphans.’ (Smith et al. 2015)

Even when poison is employed, this type of gender selective killing can also ensue. For example, in the case of the poisoning of thirteen elephants near Victoria Falls in early 2019: ‘The elephants comprised nine males and four females, nine of which were adult and the other four were sub adults.’ (Ncube 2019)

The situation with Asian elephants is perhaps even more problematic as the females don’t have visible tusks. Consequently given high levels of targeted poaching which focuses on the killing of males, situations arise in which it is difficult for females to find mates. This may not be revealed in general population statistics. In connection with the poaching of rhinoceroses, recent data shows a gradual increase in activity—see Table 7.1. However in some instances media headlines adopt an overly sensational approach and so must be viewed with a degree of caution. For example, claims that the poaching of rhinoceroses in South Africa

7.4 Non-military Applications Table 7.1 Indicating the number of rhinoceroses illegally killed in Africa during the period 2006 to 2013. (Quoted in Smith et al. 2015)

517 Year

Number illegally killed

2006 2007 2008 2009 2010 2011 2012 2013

60 62 262 202 426 520 745 1090

increased by 9,000% in the period 2007 to 2014 may be accurate but are perhaps unduly negative because for a time before 2008 the level of poaching was very low. For example, data quoted by Smith et al. (2015) indicates only 13 deaths (in South Africa) in 2007. Subsequently through to 2014 deaths gradually increased to over 1,000. When viewed as a percentage, this gives rise to a figure which has needlessly sensationalised a serious problem. For example one headline reads: ‘Exclusive: Rhino Poaching in Africa Spiked by 9,000 Percent in Seven Years, Devastating Report Shows’ (Hugo 2017)

Illegal poaching activities are by no means limited to elephants and rhinoceroses. In fact they are affecting many wild species, and as previously mentioned some of these may well be threatened with extinction in the not too distant future. But locating and tracking poachers (who invariably carry out their activities under cover of darkness) using traditional methods is far from easy. As a result, increasing use is being made of drone technologies which have the ability to efficiently cover large areas of land and when equipped with suitable camera systems can undertake surveillance in daytime and throughout the hours of darkness. Typically, small battery-powered fixed wing drones are employed and have the ability to automatically maintain a given altitude, and navigate on the basis of GPS signals. The drones are fitted with both visible and infrared cameras which are sometimes located on gyroscopically-stabilised mountings. Even in the event of a degree of turbulence or when the drone changes direction, a camera may continue to point to a particular surface location and hence scene of interest. Although such drones are routinely able to return image content to the drone operator, the need to quickly respond to a poaching event necessitates the rapid processing of image data. Given the often poor quality of IR returns, manually scrutinising this material is undoubtedly a mind-numbing occupation and so important content is often missed (as previously mentioned, it’s common to ‘watch’ without ‘seeing’). Bondi et al. (2018) describe the use of AI techniques for this purpose, specifically the ability to automatically detect humans and animals in near real-time, thereby reducing the onus placed on an operator. Of course flying drones across the vast expanse of the African landscape in the random hope of coming across poachers would be a daunting task, in which there

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would be little chance of a drone yielding useful information. Thus there is a need to carefully select likely targets. Whilst much can be accomplished by capitalising on local knowledge of animal movements, and by gaining familiarity with the habits of poachers who may be present in a region (and who may in fact be local farmers desperately fighting poverty), predictive modelling techniques may also be used. Air Shepherd is one of the conservation groups committed to the use of drone technologies (and associated software systems) to reduce the degree of poaching in Africa, and their website is recommended to the interested reader. Also see Corrigan (2017) for useful summary information on various types of commercial drones which are suited to this type of undertaking. For related discussion see OTU Activities 7.4 and 7.5. OTU Activity 7.4 1. Consider the illegal trade in ivory and rhino horn. Identify basic key human motivations that may underpin the work of the poachers, and the financial value that certain people are willing to pay in order to procure such materials. 2. Much of the illegally sourced ivory and rhino horn is purchased by customers in Asia (see text for brief discuss on its usage). Should those in western countries be more aware of, and sensitive to, cultural differences that may exist and which result in the demand for these materials? In the case that you believe this to be so, identify and discuss relevant differences. By way of example you may wish to discuss the following, which represents one response to survey interview questions reported by Vu et al. (2018): ‘It could be considered a psychological remedy. If you were me you would understand. I had to witness my wife dying without any hope. Then I heard about the potential effect of rhino horn offering hope. So I got it for her so that at least I could feel that I had tried my best. My wife felt better as she knew that I bought that for her… So I did not regret when she died as I had done my best for her.’ In developing discussion for this Activity, the paper by Vu et al. (2018) forms a good starting point.

Although in the above discussion we have particularly focused on the protection of rhinoceroses and elephants, this is a fairly arbitrary choice as there are many other species which are being affected by poaching activities. Consequently drones are being used for much broader conservation and protection activities. Consider the case of the vaquita porpoise which is found in the Gulf of California. It’s estimated that approximately only thirty remain in existence. In fact the vaquita isn’t directly targeted by poachers as they are focused on another endangered species—the totoaba—parts of which (on the basis of purported medicinal properties) find a ready market in China.

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Unfortunately vaquita porpoises sometimes get caught up in the poachers fishing nets along with humpback whales, sea lions, and the like. In an effort to address the problem, a U.S. conservation group, ‘Sea Shepherd’, employs drones to locate poaching nets at night time. A ship then moves in and purloins the nets before the poachers return. As a result, the poachers frequently lose their catch and the significant amount of profit that they are anticipating (this can be on the order of $20,000 for one night’s activity). Such is the level of antagonism between conservationists and poachers that the latter are reported to have successfully shot down one of the Sea Shepherd drones (Tillman 2017).

7.4.3 Border Security: A Reality Check ‘No team ever invents anything, they only develop one man’s flash of genius.’11

An article published by the Scientific American magazine which focuses on the extinction of the West African Black Rhino (recall Fig. 7.14) begins: ‘Oh what a difference a century makes. At the beginning of the 20th century, an estimated one million black rhinoceroses from four different subspecies roamed the savannas of Africa. By 2001 that number had dropped to about 2,300 black rhinos and just three subspecies. This is the tale of how we lost one of those subspecies, the western black rhinoceros…It is a story of greed, indifference, hope and despair.’ (Platt 2013)

Fig. 7.14 The West African black rhinoceros (Dicerus bicornis long pipes). This species was declared extinct in 2011 by the International Union for Conservation of Nature and so (along with the Javan rhino subspecies in Vietnam) is no more. (Source Yathin S. Krishnappa [CCBY-SA 3.0 (https://creativecommons.org/licences/by-sa/3.0)], from wikimedia Commons.)

11

Attributed to Professor Archibald Low (1888–1956).

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OTU Activity 7.5 In the 19th and for a large part of the 20th century ivory has been used extensively as an ornamental material. In the late 1980s an international agreement (Convention on International Trade in Endangered Species (CITIES) was put in place by the United Nations) making the trading of ivory illegal. New Zealand is a signatory to this agreement. In 2018, a family emigrated from the UK to New Zealand and as part of their relocation they shipped a 1895 Jarret & Goudge piano, which had been in their possession for some years. On its arrival in New Zealand it is reported that the Department of Conservation (DOC) stripped it of all its ivory keys. In the context of the country's Trade in Endangered Species Act of 1989, the DOC director-general is quoted as indicating: ‘…it is the responsibility of the person importing the goods to ensure they have the correct documentation for import and export of items that include endangered species.’ (Te (2018)) In this particular instance it appears that the owner had not been informed about the need to complete a particular form, although he had declared that the piano had ivory keys. 1. One New Zealand newspaper referred to the DOC’s decision as ‘'Kafkaesque red tape’ that did little to enhance New Zealand’s reputation’ (Quoted in The Guardian (2018)). Discuss this matter – was the removal of ivory from the antique piano a justifiable and appropriate action? Did the removal of the ivory in any way help/support the protection of today’s elephants? 2. Discuss the extent (if any) to which you believe those implementing conservation and protection legislation have a responsibility to act within an ethically sound framework which engages societal support.

As discussed in the previous subsection, drones are now being used in an effort to reduce current levels of poaching and so protect wildlife. Further, in order to reveal acts of poaching in near real-time, systems are being developed to enable drone-based technologies to automatically identify the presence of humans and animals in situations/conditions which may suggest that poaching is taking place. Parallel developments include the use of predictive modelling techniques to identify locations most conducive to poaching. These form basic tools in an expanding effort to prevent the slaughter of endangered species. Although it would seem likely that a great majority of people would support the use of such technologies in efforts to protect wildlife, it’s evident that the approaches mentioned have many other potential surveillance applications. Thus the question arises as to the extent to which drone systems should be employed in key areas of policing and security enforcement. In particular, to what extent should we be concerned about the likelihood that drones will widely proliferate and become routine and intrusive surveillance tools? As we have previously discussed,

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one perspective assumes that ‘if you have nothing to hide, then you have nothing to fear’, and this outlook may be reinforced by the belief that it is appropriate to use technologies which support the enforcement of a country’s regulations and laws (and perhaps even widely accepted societal norms). But even in the case that we were to accept this general premise, the matter becomes less certain if we consider the use of invasive, privacy eroding, technologies for the enforcement of all regulations and laws. Perhaps, for example, we would consider that this should only relate to more serious forms of activity and infraction—see OTU Activity 7.6. Investment in a seemingly endless range of military, enforcement and surveillance technologies grows year on year. Even back in 2013 the sale of technologies for border enforcement and a range of police/military applications was very big business. In this context, Dart (2013) quotes an industry expert at the seventh Border Security Expo at the Phoenix Convention Centre: ‘“You can send this robot up to a door, blast it and go right through… You can add teargas canisters to it. If someone tries to come up to it, you can detonate the teargas canister and haul ass out of there.” Other optional extras include strobe lights and shrieking noises to disorient suspects. Also on display was the company’s Nighthawk, a drone… “You could take this camera pod here… pack it full of C4 [plastic explosive]: flying bomb.”’

With so much capability and flexibility, one is perhaps left wondering if these technologies can also make tea and coffee. However the more serious question concerns the effectiveness of technologies in real-world situations, and so below we briefly discuss aspects of the value which has been derived from drones by the U.S. in securing the country’s border with Mexico. Such real-world scrutiny is crucial in not only distinguishing sales hype from reality, but also in ensuring that we avoid attributing seemingly magical powers to much-promoted technologies in a manner akin to the powers that some people hopefully attribute to rhino horn. In recent times the Mexican-U.S. border has received a very significant level of international media attention—much of which focuses on the U.S. President’s goal of building his mammoth border wall. The creation of such a wall brings to mind the ancient Great Wall of China, and of course Hadrian’s Wall. The latter was constructed over a period of *6 years by the Romans, with work beginning in *122 A.D. A goal was to exclude the northern barbarians from areas of the UK that had been conquered, and which now formed a turbulent outpost of the Roman Empire. Its effectiveness was supported by the addition of fortifications and by the fact that the world was drone-free. Certainly the efficacy of such a solution in today’s world is highly questionable, as a wall along the Mexican border would not in any way deter current illegal drone flights from Mexico into the U.S. Such drones are being used to carry drugs across the border:

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‘Border security experts say drones present a challenge because they can drop drugs almost anywhere with little notice. There’s no telling how much drone traffic there actually is across the border.’ (Dinan 2017)

Drones can operate under cover of darkness, fly with little noise and have a very small cross-section—which makes it difficult to detect them via radar. In this latter respect, problems can arise in distinguishing drones from some types of bird. Further as Prior (2018) observes: ‘There are a lot of birds flying around and it would not take a genius to design a drone which takes the appearance of a bird.’

On the other hand, drones are quite often limited in the payload which they are able to carry and so at the present time their contribution to the overall influx of drugs into the U.S. appears to be fairly small. Drones are also being used in efforts to locate security patrols, thereby assisting groups entering the U.S. illegally to better escape detection. In general terms, there can be little doubt that drones will continue to play an ever-greater role in breaching border security, because from the perspective of routine logistics border security largely focuses on putting systems in place that operate in two dimensional ‘terrain space’, and security in the third dimension can be much more problematic. As we have previously noted, reliance on real-time communication for control purposes represents a significant weakness which can be exploited by creating radio interference, or by the transmission of erroneous commands. However in the context of the U.S., Giaritelli (2018) suggests that the telecommunications industry represents a powerful lobby group which is resisting the use of some forms of countermeasure equipment. In 2018 the CATO Institute12 produced a report concerning the extensive use of Drones by the U.S. for the enforcement of the Mexican border. Despite considerable investment in the technology, the report doesn’t draw favourable conclusion: ‘CBD’s [Customs and Border Protection] has failed to live up to expectations. Its expensive, disproportionately small contribution to border security, and infringement on Americans’ privacy are good reasons for CBD to wind down its drone program.’ (Bier and Feeney 2018)

Certainly the large Predator B drone (see Sect. 7.5 and Table 7.2) is an expensive machine costing *$17 million to purchase, plus *$12,000 per hour to operate. Although these drones are intended to have a 20-year lifespan, Bier and Feeney (2018) indicate that approximately 18% of the Customs and Border Protection (CBP) Predators crashed in the first ten years. And in terms of effectiveness: ‘From 2013-2016 US Border Patrol attributed fewer than 8,000 of its 1.7 million apprehensions to drones…Drones have led to only 0.5 percent of apprehensions at a cost of $32,000 per arrest.’ (Bier and Feeney 2018)

12

The CATO Institute is a public policy research organisation which undertakes independent, non-partisan research in connection with a broad range of policy issues.

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OTU Activity 7.6 This activity relates to discussion within the text and concerns the possible acceptance of privacy-eroding technologies such as drones, for the enforcement of regulations and laws. In considering a suitable example for this Activity, I am reminded of a sunny summer's evening and looking down from a sea wall onto a fine golden beach several years ago. At that time this and a number of other beaches in that region had been made ‘alcohol free’, a fact that was emphasised by a number of large garish signs. But clearly this edict was being ignored by some of the beach goers as they stood around their barbeques. There was no indication of any inebriated behaviour, the scene was one of pure relaxation and good spirits. However, some arguments broke out when a number of police arrived and issued fines to anyone found with alcohol in their possession (even if they were not seen to be consuming it). Teenagers found with alcohol were escorted to a police van. Visualise a similar scene some years hence. Suitably developed drones equipped with high quality cameras, associated image processing capabilities and capable of exhibiting a degree of autonomy could readily be used to enforce such an alcohol ban. All that would be needed to greatly facilitate matters would be reliable facial recognition software… 1. Discuss whether or not you believe that using drones for this enforcement application would be appropriate and proportionate? You may wish to bear in mind that I have deliberately chosen an example in which the level of infraction is very low,and in parallel the use of camera-enabled drones could be considered to erode the privacy of those sunbathing, etc. 2. In the case that you believe that technologies should only be employed in situations in which their usage is proportionate (e.g. in the case of more serious and possibly violent crime), discuss ways in which it would be possible to determine whether the use of technologies such as drones is appropriate (bearing in mind potential negative ramifications such as privacy erosion). 3. It could be argued that technologies such as drones would not be used to enforce more trivial laws and regulations, because the cost of their application would not be commensurate with the results obtained. Discuss whether we can rely on the metric of cost as a key mechanism for ensuring proportionate usage of technologies. 4. Discuss whether the actions of the police (as described above) were proportionate. Can we assume that the police can be relied upon to ensure that technologies which they acquire will be used in proportionate ways?

The large Predator B is able to carry out surveillance activities at significant altitudes (in the region of 25,000 feet) and has extensive border patrol corridors (within 25 to 60 miles of the Mexican border and within *100 miles of the Canadian border). Naturally the efficacy of high-altitude drones is affected by cloud cover consequently within the corridor boundaries many small low-altitude surveillance

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Table 7.2 A number of indicative military drone systems (although the AIRBUS Zephyr pseudo satellite has both military and civilian applications). MOD (2017) provides a useful overview of some of these systems and is the source of some of this content. Exemplar military drones

Indicative information

Black Hornet

Weight: *16 gms Speed: *10 m/s Range: *300 m Endurance: *20 minutes Wingspan: 120 mm Power by battery with a recharge time of *20 minutes Sensors: Live video/still imagery Hand-launched The system is supplied in a rugged briefcase containing two aircraft, the charging system, a hand-held observation screen and the controller Weight (max): *1,020 kg Speed: 84–135 mph Range: *770 miles Altitude *25,000 ft Power: 4 cylinder engine Wingspan: 16.8 m Runway takeoff and landing Weapons: 2 AGM-114 Hellfire missiles Sensors: Infrared sensor, colour/monochrome daylight TV camera, image intensified TV camera, laser designator, and laser illuminator Weight (max): 4,760 kg Speed: *160 knot in the cruise, 250 knot dash, and 120 knot loiter Range: *5,900 km. Endurance: *18 hours Altitude: Normally up to *25,000 ft, 50,000 ft max. Power: Turboprop Sensors: Infrared sensor, colour/monochrome daylight camera and image intensifier, Lynx II synthetic aperture radar and ground moving target indicator, laser rangefinder and designator Runway take-off and landing Weapons: Up to four Hellfire missiles and two 500 pound guided bombs Price: 2013 reported to be *US$17 million (Chen 2017) Weight (max): *14,628 kg including payload *2,000 lbs. Wingspan 35m Speed: 310 knot in the cruise, 340 knot dash Range: *12,000 nautical miles Endurance: *32 hours Altitude (max): *60,000 ft Power: Turbofan Sensors: Optical and infrared sensors, ground moving target indicator, synthetic aperture radar with air track information and high-resolution ground mapping Runway take-off and landing Price: 2013 reported to be *US$104 million. (continued)

Predator MQ-1B

Reaper (MQ-9) (Also see Chinese CH-5 Rainbow)

Global Hawk

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Table 7.2 (continued) Exemplar military drones

Indicative information

Watchkeeper

Weight: 450 kg (includes up to 150 kg payload) Speed: *65 knot in the cruise, and 95 knot dash Range: 150 kg (line of sight of control) Endurance: 12–16 hours Altitude (max) 15,000 ft Power by internal combustion engine Sensors: Electro-optical and infra-red high definition day/night video and still imagery, laser range-finder, designator and target marker, synthetic aperture radar, ground moving target indicator High altitude pseudo satellite (HAPS) Weight: 60 kg (payload five kg) Speed: *30 knot Endurance: 3 months (not confirmed) Altitude: *70,000 ft Rate of climb: One day to reach *70,000 feet) Power: Solar Sensors To be confirmed Hand-launched (requires up to five people) Weight: 290 gms Speed: >40–60 kts Endurance: >20 mins Wing span: 11.8 inches Autonomous microdrone Can be launched as a swarm from aircraft (see, for example DOD 2017)

Zephyr

Perdix

drones are also in operation. Thus those living even some distance from the borders are also subjected to extensive 24-hour drone surveillance. Naturally the generally poor performance of drones in contributing in a cost-effective way to apprehension statistics, coupled with their impact on the privacy of those living under their watchful gaze is generating debate concerning their continued large-scale usage. Ongoing research and development work regarding the application of automated facial recognition systems to drone surveillance footage analysis continues to attract media attention. In reality the viability of this technique when used in real-world situations is questionable. For example video quality is affected by factors such as drone altitude and camera stability. Further, as indicated in Sect. 4.3.2: ‘Whilst facial recognition is readily accomplished under good conditions (including, for example, optimal orientation of the face with respect to the camera), the problem is more challenging when people are moving, image quality is poor and facial orientation is non-ideal.’

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In parallel, recall discussion in Sect. 4.4.1 concerning relatively simple techniques that can be used to thwart the reliability of facial recognition systems: in the case of drones, sporting a large-brimmed hat is likely to be quite efficacious!

7.5

Drones and the Military ‘Part of the remit of this document is to increase transparency, and understanding of how remotely piloted aircraft are used and to help ‘debunk’ the mythology associated with this subject. If challenged, and it is appropriate to respond, personnel should be careful to give only factual comment and avoid discussing non-fact-based opinions.’13

Table 7.2 summarises some general specifications of a number of types of exemplar military drones. In many cases, drones are remotely piloted (using either line of sight or satellite communication links), but as previously noted developments are taking place in the creation of drones that are equipped with ever more automated systems, thereby enabling craft to exhibit a greater degree of autonomy. This has led to considerable (and often heated) discussion concerning the likelihood (if not inevitability) of creating military ‘robotic’ drones which may ultimately have the capability of deciding on attack and defence strategies, without recourse to human intervention. This parallels developments that are taking place in relation to other forms of weaponry. From an ethical perspective, autonomy raises a number of important issues such as, for example, human accountability for death/injury, and for war crimes. There is considerable controversy surrounding military drones and this has been fuelled by the U.S. policy of employing drones (particularly their Predator and Reaper craft) for the targeted killing of people outside battlefield zones in countries such as Pakistan and Yemen. Whilst in principle drones provide an opportunity to reduce the numbers of innocent people that are killed or injured simply as a consequence of being in the wrong place at the wrong time, U.S. drone operations appear to have failed to properly live up to this expectation. In Pakistan alone, a comprehensive report by researchers at the International Human Rights and Conflict Resolution Clinic of Stanford Law School and the Global Justice Clinic at New York University School of Law quoting The Bureau of Investigative Journalism indicates that: ‘From June 2004 through mid- September 2012, available data indicate that drone strikes killed 2,562-3,325 people in Pakistan, of whom 474-881 were civilians, including 176 children.’ (Living Under Drones 2012)

And goes on to indicate that: ‘The number of “high-level” targets killed as a percentage of total casualties is extremely low - estimated at just 2%.’ 13

Ministry of Defence (UK), MOD (2017).

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U.S. government figures for the numbers of non-combatants killed are somewhat lower than those reported by independent sources on the ground. This seems to have been caused by the government’s adoption of a somewhat odd approach: ‘It in effect counts all military-age males in a strike zone as combatants, according to several administration officials, unless there is explicit intelligence posthumously proving them innocent.’ (Becker and Shane 2012)

In a report produced by the British Ministry of Defence (MOD) which supports the use and efficacy of military drones in certain situations, the authors quote from a United Nations report which suggests that: ‘If used in strict compliance with the principles of international humanitarian law, remotely piloted aircraft are capable of reducing the risk of civilian casualties in armed conflict by significantly improving the situational awareness of military commanders.’ (MOD 2017)

Contrariwise, if not used ‘in strict compliance…’, drones have the potential to support the proliferation of new war paradigms. This is demonstrated by the U.S. employing them for so-called ‘signature strikes’, in which people are targeted on the basis of their location and other factors which may be deemed relevant, such as ‘suspicious’ behaviour. However as Becker and Shane (2012) remark: ‘But some State department officials have complained to the White House that the criteria used by the C.I.A. for identifying a terrorist “signature” were too lax. The joke was that when the C.I.A. sees “three guys doing jumping jacks,” the agency thinks it is a terrorist training camp, said one senior official. Men loading a truck with fertilizer could be bomb makers – but they might also be farmers, sceptics argued.’

The use of drones for military applications raises numerous ethical issues—which cannot be brushed to one side by government departments enthralled by their possibilities, and perhaps by the significant financial savings which drones offer when compared to the use of conventional high-performance military aircraft. In the case of the document released by the British Ministry of Defence (MOD) in 2017 and which is quoted above, one is left with the impression that its authors seem to be a little irritated by continued (seemingly illogical and ill-informed) opposition to the development and use of these technologies: ‘Despite best efforts by the Ministry of Defence (MOD) to explain why and how unmanned aircraft systems (UAS) [drones] are used, some, often vocal, opposition continues. Given that manned aircraft regularly conduct, without issue, all of the tasks undertaken by remotely piloted aircraft, this can seem illogical to the military user.’ (MOD 2017)

And: ‘Public discussion of these issues can lead to heated and emotional arguments; unfortunately, many of these arguments are based on subjective opinions or ‘what ifs’ rather than objective facts.’ (MOD 2017)

However, it seems that public concern about drones has been strongly coloured by the way in which drones (with ground attack capability) have been, and continue to be, used by the U.S. and by various other governments. Further, even at the most

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elementary level, manufacturers and military alike appear to have failed to exercise prudence. Take for example the Predator drone—as Sifton (2012) remarks: ‘The first drone aircraft deployed by the C.I.A. and Air Force after 2001 was the Predator, a rather coarse name even for a weapons system, suggestive that the enemy were not human but prey, that military operations were not combat subject to laws of war but a hunt.’

Terminology adopted by some of those involved in implementing ground attack missions reinforces this notion. For example it is alleged that: ‘…the term “bug splat”… used to denote a successful attack, has become official terminology used by US authorities to refer to the individuals killed by a drone, as the dead bodies resemble squashed bugs when rendered as pixels on a screen.’ (Keene 2015)

Such ‘gallows humour’ may well not be intended to trivialise death but rather may be part of a self-defence/coping mechanism. However as is the case with participation in torture (now frequently euphemistically referred to as rendition), the killing and maiming of people however far away is known to have a brutalising effect, and as discussed shortly this can reduce the sense of personal guilt by diminishing the humanity of the victim. The Reaper drone (see Fig. 7.15) is perhaps also poorly named. As with the Predator, this is a remotely piloted technology that enables the pilot (responsible for operating the drone during its mission) to be located some thousands of miles from the actual craft. The Reaper is designated as a medium altitude long endurance (MALE—to use the military acronym) craft designed for intelligence gathering, surveillance, reconnaissance and ground-attack missions. In this latter respect, Reapers procured by the RAF are reported to be typically armed with two 500 lbs laser-guided bombs and four Hellfire missiles14 (recall Table 7.2). OTU Activity 7.7 The names ‘Reaper’ (drone) and ‘Hell Fire’ (missile) bring to mind notions of a power to determine fate – who should live and who should die. In the case of the missile, this may be seen by some (however misguidedly) as being linked to the Christian Bible, in relation to the oft quoted fires of Hell. Given that many recent terrorist motivations are claimed to have a religious dimension and/or represent a reaction to oppression, discuss whether it would have been prudent (or even desirable from an ethically-based perspective) to avoid the use of such names.

There are a number of Hellfire variants. For example the AGM-114L is said to offer ‘fire and forget capability’. The AGM-14M is a blast fragmentation missile which is said to be ‘designed for soft targets such as buildings, bunkers, light armoured vehicles and caves’. (www.armytechnology.com Date accessed 28th Dec. 2017).

14

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Fig. 7.15 The MQ-9 Reaper drone. Measuring *11m in length and with a wingspan of *20m, the craft is capable of travelling at 276 mph and has a maximum altitude of 50,000 feet. It provides the remote operator with both standard (daylight) and Infrared (night-time) video, is equipped radar systems and lots of other electronics. (Upper photo by Gerald L Nino [Public domain], via Wikimedia Commons and right photo by United States Air Force [Public domain], via Wikimedia Commons.)

An overarching purpose of this section is to review various aspects of military drone usage (particularly systems which perform protracted surveillance and have ground attack capabilities), and to promote debate as to their societal implications. In addition this discussion is intended to further previous consideration (Sect. 1.7) of the extent to which we as professionals have ethically based responsibilities for the way(s) in which systems that we are involved in designing, developing, deploying, and maintaining are used. In this context, you may recall from the opening of Sect. 1.7 the viewpoint of Professor Lewis Wolpert: ‘It is not for scientists, to take moral or ethical decisions on their own: they have neither the right nor any special skills in this area. There is in fact a great danger in asking scientists to be more socially responsible.’ (Quoted in Cornwell 2003)

Whereas in contrast Professor Joseph Weizenbaum indicates that: ‘It follows therefore that… the scientist and engineer has responsibilities that transcend his immediate situation, that in fact extend to future generations. These responsibilities are especially grave since future generations cannot advocate their own cause now. We are their trustees.’ (Quoted in Moses 2005)

Military drones provide a stark backdrop against which to consider these differing perspectives, not only in terms of the ways in which they are currently being used, but also in relation to their likely future impact on human conflict (which embraces Weizenbaum’s mention of our responsibility to future generations).

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In connection with this discussion it is important to bear in mind that from purely mathematical, scientific, and engineering perspectives, the development of advanced drone technologies represents a fascinating area of endeavour in which automated systems provide many exciting and challenging opportunities. When operating autonomously, drones must not only be able to handle automatic takeoff and landing, but must be able to correctly navigate, avoid other craft, and deal with varied and adverse weather conditions. Furthermore, in the case of serious technical malfunction it is to be expected that the control systems are capable of making appropriate decisions in selecting the location for a crash landing so as to avoid, or at least minimise danger to people, damage to property, etc. Even in the case of remotely piloted drones, challenges are many and varied. Consider for example a situation in which a temporary communications failure occurs. In this case the craft should have the ability to continue to fly autonomously, by perhaps entering a pre-determined and repetitive flight path (with the assumption that communication will be restored)— whilst at the same time having the capability of avoiding other aircraft. Or more ideally, the drone should be able to make its own way home. From an aeronautical design standpoint, the elimination of human occupants also opens up exciting opportunities. No longer must the fuselage be designed to accommodate pilot/crew and this offers flexibility in optimising a craft’s aerodynamic form. In addition, there are significant weight savings, both directly (in relation to the weight of pilot and crew) and indirectly through the removal of heating and oxygen systems needed at higher altitudes, together with many of the other the fixtures and fittings that are necessary to support the presence of the crew and enable them to directly interact with and control the craft. In short, drone technologies provide a wealth of opportunities for radical design. With these thoughts in mind, it’s evident that from the perspective of the scientist, engineer or technologist, it is easy to become wholly immersed in aspects of technology design, development, manufacture, and optimisation. In this case ethically related issues pertaining to the use and future impact of certain military drone technologies may be cast to one side amidst enthusiasm for the research and development work at hand (which is likely to be supported by readily procurable funding). The following subsections focus on the use of drones for ground attack purposes —particularly missions undertaken by the U.S. primarily outside war zones (e.g. Pakistan and Yemen). Differences in policy between the UK and U.S. are appreciated, and although the Birmingham Policy Commission Report (2014) is a little dated, the following remark made in the Report’s Foreword by the Commission’s Chair Professor Sir David Omand retains relevance: ‘Hanging over our deliberations as a Commission was the controversy generated by the use by our principal ally the United States of armed drones to pursue its campaign against al-Qaeda and its associates. As we conclude in our report this is not the first, nor will it be the last, time that UK and US methods of achieving a common objective differ.’

Figure 7.16 summarises key areas which are discussed in the subsections which follow.

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Disassociation (virtual warfare)

Lowering of war threshold

Asymmetrical warfare

Drone Technologies with ground attack capability

Imposition of stress and trauma

Fig. 7.16 General indicative areas which continue to be a cause for concern in relation to the development, deployment, and use of some forms of military drones. See text for discussion.

7.5.1 Lowering the Threshold ‘More and more I come to value charity and love of one’s fellow being above all else… All our lauded technological progress – Our very civilization – Is like the axe in the hand of a pathological criminal.’15

As indicated in Sect. 1.4, the twentieth century was infused with warfare fought on an unprecedented scale. Campaigns on the Somme, and the great battles of Passchendale, Verdun, and Stalingrad to name but four, will always be remembered for the suffering and carnage inflicted on all combatants. Perhaps we have now entered a more enlightened world in which, in the majority of countries such bloodshed will no longer be tolerated by society? And it would seem that politicians have started to better appreciate the political ramifications associated with imagery depicting the dead and maimed being brought home from battle. Thus in many countries the dangers associated with the possibility of conflict leading to large numbers of casualties is likely to temper jingoistic rhetoric, and be very much in mind when politicians are deciding whether or not to commit to military ventures. However even today’s relatively primitive drone technologies provide a means of engaging in some forms of warfare without any risk of casualties to those engaged in missions. This is seen by some as reducing the level of political risk which is associated with becoming involved in conflict (see OTU Activity 7.8). Undoubtedly in relatively recent times, the Falklands War demonstrated the political benefits which can be derived from ‘victory’. And when victory can be attained at a lower risk, then there’s every possibility that politicians will be less prudent in their decision-making process. However, the Birmingham Policy Commission (2014) indicates that:

15

Attributed to Albert Einstein (1875–1955).

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‘Arguments based upon fears of the lowered threshold to war assert that RPA operations, since they do not risk the life of a pilot and provide a capability that reduces the exposure of ground forces, make the use of force an easier option for decision-makers. We are not persuaded by this position…’

OTU Activity 7.8 Assume that through the use of drones and other robotic technologies it’s possible for a country to engage in warfare without placing large numbers of its own combatants at risk. Discuss whether you believe that this is likely to lower (or have any impact on) the country's threshold for engaging in warfare (as influenced by either government or population).

However, governments and government policies change over time. Whilst a current government may shun the use of a particular weapons system, the next government holding office may embrace its deployment. Rosenthal and Dejonge Schulman (2018) citing The New York Times writes16: ‘…last fall he [President Trump] introduced a new policy that moved responsibility for counterterrorism operations outside war zones to lower-level commanders, and lowered the threshold for such strikes. (Targets are no longer required to pose a “continuing, imminent threat” to the United States but rather may be lower-level foot soldiers, and there is purportedly no longer a requirement for “near certainty” that the target be on-site for strikes).’

Within an environment in which many drone strikes can be carried out without undue public attention and without risk to a government’s own forces, public oversight and hence political risk can be minimised. In parallel, by reducing the level of administrative oversight and in parallel increasing the extent to which decision-making processes are in the hands of the military, consideration of non-military options may be limited—or even non-existent. In many situations drones with ground attack capabilities certainly offer to make military strikes easier, cheaper, and reduce the likelihood of dangerous political fallout that occurs when media attention turns from jingoism to the sight of dead and injured troops being brought back home.

7.5.2 Disassociation ‘The often-expressed fear that we would create a ‘PlayStation generation’ of operators, disconnected from the reality of their actions, has been shown to be without foundation.’17 16

Given the veil of secrecy surrounding the adopted strategy the author acknowledges that his work contains a degree of conjecture. 17 MOD (2017).

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The ability to operate drones such as the Reaper from afar via a computer interface is often claimed to exhibit characteristics associated with a video game interface and continues to promote concern and debate—particularly in relation to the ramifications of virtual, disassociated warfare. But this is dismissed by the authors of the Report developed by the Birmingham Policy Commission: ‘We do not accept that British military officers operating RPA [Remotely Piloted Aircraft] automatically develop a callous ‘video game’ mentality. Whilst RPA operators do not have the opportunity to exercise in the course of their duties the typical military virtue of physical courage, they do get to exercise other important military virtues such as prudence, circumspection, and judgment, not least with regard to minimising civilian casualties.’ (Birmingham Policy Commission 2014)

And the Ministry of Defence write: ‘There is a further concern that weapon delivery from a distance would leave operators mentally divorced from the consequences of their actions. In reality, remotely piloted aircraft operators can be far more aware of the consequences of their actions than their manned equivalent, since they will often remain on task after any weapon is fired to conduct damage assessment and to continue their mission.’ (MOD 2017)

However, numerous examples can be taken from history suggesting that physical and mental disassociation play an important part in governing aspects of human action. For example, it’s evident that during WWI many military leaders and their staff were both physically and mentally disassociated from the horrors of trench warfare—especially in terms of the dreadful human consequences of a form of warfare which often sought victory through attrition. Similarly if we reflect on Fig. 1.5, we are reminded of relatively ordinary people participating in a remote decision-making process which resulted in victims such as those shown in the photograph being taken from their homes, freighted like cattle across Europe and ultimately murdered. Of course it may be claimed that from a military standpoint there is something to be said for divorcing a person from the unexpurgated ramifications of their actions. Consider, for example, the remarkably brave aircrews of WWII who participated in the bombing of European cities. If for a brief time they had been able to experience at first hand the effects of their bombs falling on largely civilian populations, and the true horror offirestorms, then perhaps some (if not many) would have refused to participate in further similar activities. From a military perspective this would have been untenable. Physical disassociation was an implicit feature of bombing from altitude, and in the UK mental disassociation was supported through the development of a narrative which categorically indicated that bombing missions were aimed at legitimate military targets.

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The extent to which today’s technologies provide a drone operator with an unexpurgated insight into the impact, human cost, and ramifications of a ground attack is questionable. It is widely appreciated that video content fails to fully convey immersive realism. This is not only due to limitations in the nature of the visual stimulus provided by the display screen, but also because unexpurgated immersion is a multi-sensory experience over time. Whilst a person can be moved and even distressed by newsreel depicting the horrors of warfare, genocide, and the like, experience of directly viewing the physical reality has perhaps a much more profound and long-lasting impact. Perhaps ultimately the isolation created by technology and distance can to some extent suppress human empathy, thereby enabling people to discuss the choice of targets on the U.S. ‘Kill List’ with a degree of clinical detachment, and to consider peripheral casualties as simply being unavoidable. A brief article published by Avionics reviews a day in the life of a remotely located drone pilot and recounts that: ‘Going home at the end of a long day can be nice, but it also has its drawbacks. For example, if a pilot was required to fire at someone during the shift, going home to your family right after – unable to talk about what happened at work – can be difficult.’ (Fuller 2017)

As to what passes through an operator’s mind as a button is pressed to trigger a sequence of communications which directly result in the release of one or more missiles, and in turn cause death and carnage to other human beings, can only be known by those who undertake the task. To what extent does a ‘target’ of a ground attack mission retain his/her human reality and dignity, and as weapons are launched, to what extent is the grim reality of the resulting explosion(s) perceived in terms of the true human cost? This is not something that can be meaningfully discussed in these pages. Without trivialising the above discussion, my re-reading of the above text brings to mind early morning walks on a fine beach in New Zealand. Often I would encounter a smartly dressed ‘apple pie’ grandmother whose dog was invariably at her side. In contrast, my reprobate spaniels were always running wildly along the largely deserted beach—ignoring my demands that they should come back. And so one day as I passed her, I commented on the remarkably good and loyal behaviour of her canine companion. She laughed and took from a pocket two objects—a ball and a remote control. “Watch this” she said as she threw the ball and the dog gleefully ran to fetch it. Suddenly she pressed a button on the remote, the dog instantly stopped, turned and walked back to her side. After retrieving the ball, she said with a somewhat excited expression, “Now watch what happens when I turn it to maximum power”. Again the ball was thrown, and the dog ran. But as she pressed the button, the dog fell to the ground twitching as if it received a powerful high voltage shock (which indeed it had). Unsteadily it got up and with its tail firmly between its hind legs returned to its owner in abject misery—clearly believing that it had done something very wrong. As I regarded the dog, its owner, and the remote control in her hand, I instinctively recognised that she was not somebody that I wanted to know.

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7.5.3 Stress and Trauma ‘Technology can occasionally give you a false sense of security that you can see everything, that you can hear everything, that you know everything.’18

Here the discussion relates to those at the receiving end of protracted drone surveillance and/or ground attack missions. In remote areas of countries such as Pakistan and Yemen, we can assume that many inhabitants have little understanding of technology and so will fail to fully appreciate the intricacies of drone operations. But with sharp eyes and ears, they will be most unlikely to fail to spot the presence of craft which for days (or possibly weeks) may operate overhead. However the Birmingham Policy Commission (2014) reassuringly indicate that: ‘The problematic health and psychological effects of continuous RPA operations on populations ‘living under drones’ have been highlighted in a number of studies. Although such findings, if fully corroborated, would not necessarily rule out occasional use of armed RPAs, widespread distress and damage to mental health would be a potentially serious ethical concern. Evidence presented to the Commission, however, suggests that armed British RPA can be operated so that they are, in effect, invisible and inaudible almost all the time and thus not noticeable to the general public.’ (Birmingham Policy Commission 2014)

However, even if this were in fact the case it’s most unlikely that the results of a Hellfire strike would go unnoticed. And knowing that such a strike could be a ramification of an extensive surveillance operation, it would be entirely natural to endeavour to keep children inside their homes where they would hopefully be safe from the Predators and Reapers high overhead. Few outside their distant control rooms know what they are looking at and what (if any) behavioural patterns will cause them to suddenly (at any time of the day or night) unleash their weapons on the prey below? As for the people on the ground—they have no means of knowing whether the drones above are simply equipped for reconnaissance or whether they are fully armed. Nor do they know if drones are seeking out a specific target, or are intent on carrying out a signature strike. Ackerman (2016) quotes a counterterrorism expert with Amnesty International who identifies a key problem associated with this form of activity: ‘“The problems with signature strikes are the ways over time they assimilate into the norm a process of killing people without knowing who exactly they are,”’

The Birmingham Policy Commission suggests that: ‘The UK government should, therefore, look to assist, and if necessary help initiate, efforts to produce reliable scientific findings regarding the psychological impact of RPA on civilian populations. This would assist the public diplomacy we recommend to reach out to especially concerned diaspora communities in the United Kingdom.’ (Birmingham Policy Commission 2014)

In perusing the report it seems to the author that the Commission is particularly concerned with changing public perception of military drone systems—rather than 18

Chatterjee (2015) quoting Major General James Poss.

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in carrying out an impartial and open-minded investigation. For example, they indicate that: ‘Neither do UK authorities believe that there is anything novel about RPA to justify them being treated as intrinsically different, as a new and dangerous moral and strategic phenomenon, despite claims that to refuse to do so is politically myopic and intellectually dishonest. We endorse the government’s approach in that respect and recommend that it be emphasised more vigorously through its public diplomacy.’ (Birmingham Policy Commission 2014)

And whilst they suggest that research should be undertaken regarding the psychological impact of drone strikes, they appear to be pre-empting its outcome by assuming that the results would assist with public diplomacy. However, if such research was to reveal that living under the watchful eyes of drones is in fact as problematic as people on the ground continue to report, then this would do nothing to assuage public opinion. In relation to their psychological impact, it’s perhaps worth mentioning a readily apparent but nonetheless important difference between a drone mission and that of a conventional fighter (we assume that both culminate in a ground attack). In the case of the former, operating cost are relatively low and maintaining drone flights over a particular area for an extended period of time doesn’t have major financial consequences. In contrast fighter maintenance is expensive and from the moment that the engine comes to life, fuel is consumed at a tremendous rate. The fighter’s mission is short, sharp and to the point—it appears, shrieks by and then it is gone. Silence returns— broken only by sounds emanating from the scene of the attack and perhaps the bleat of nearby sheep and goats. In contrast, even when the noise of a drone’s attack has abated the drone may well still be there—up in the sky, watching and seemingly waiting. From the military perspective the ability of some types of drone to undertake this type of extensive surveillance has clear benefits in enabling operators to plan, and in principle it makes it possible to schedule an attack in a way that reduces casualties. But the down side to this is the fear, stress, and trauma associated with constantly being exposed to observation and the possibility of being attacked without any warning. Furthermore, if a key feature of drone usage for ground attack centres upon minimising the casualties of innocent people, then it’s somewhat surprising that the U.S. have made use of so-called ‘Double Tap’ techniques. In WWII this highly cynical approach was refined in the bombing of cities, and involved the use of delayed action bombs and/or sending in a second wave of bomber aircraft shortly after the main attack. The aim was to particularly target those involved in helping and rescuing the injured and/or those endeavouring to extinguish fires. It was a strategy designed to target the brave and courageous. In respect of the use of ‘Double Tap’ drone strikes in Pakistan, Taylor (2012) writes: ‘…As the drone circled it let off its Hellfire missiles, slamming into a small house and reducing it to rubble… three local rescuers were killed by a second missile whilst a further strike killed another three people five minutes later. In all somewhere between 17 and 24 people are thought to have been killed in the attack… One interviewee, describing a strike on his in-laws’ home, said a follow-up missile killed would-be rescuers. “Other people came to check what had happened; they were looking for the children in the beds and then a second drone strike hit those people.”’

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From the perspective of the injured, their family and friends, this type of description fails to demonstrate the ‘surgical strike’ capability which is often referred to by those involved in promoting the use of ground attack drones. Rather it perhaps represents a highly depersonalised form of warfare which has the potential to increase ill-feeling and radicalisation (as discussed in the next subsection). Further as Keene (2015) indicates: ‘…there is no one to recognise, apologise for, or explain their sorrow; for communities living under the constant watch of surveillance drones, there is no one to hold accountable for their fear.’

7.5.4 Asymmetric Warfare ‘Drone strikes are a far cry from the atomic vaporising of whole cities, But the horror of war doesn’t seem to diminish when it’s reduced in scale. If anything, the act of wilfully pinpointing a human being and summarily executing him from afar distils war to a single ghastly act.’19

From the earliest times people have sought to devise attack strategies which enable them to wage war whilst remaining safely outside the range of the weaponry of their foes. And in this respect drones provide an ideal solution (assuming of course that the enemy isn’t also equipped with equally advanced technologies). It is suggested that this characteristic erodes traditional precepts of warfare, and there is some truth in the notion that an enemy can be respected for attributes such as courage, bravery, fortitude, and the like. But as noted in Chap. 1, technologies have gradually eroded such personal aspects of human conflict (see OTU Activity 7.9). However, it’s reasonable to suppose that a commander who is able to accomplish a particular military objective without risk to those under his/her command would be condemned for seeking an alternative approach which could well lead to their injury and/or death. Thus drones appear to offer an acceptable solution. But whilst they can result in ‘successful’ missions (as measured against the original mission objectives), are such attacks equally successful when considered against broader objectives? OTU Activity 7.9 Critically discuss the following quote: ‘One thing for sure is that, as the presence of drones on the battlefield grows, the need for heroes diminishes. Using drones, the execution of war now requires less from a country. Fading fast are the simple values of duty, honour and above all sacrifice. Of all efficiencies, capabilities and benefits found in the modern combat drone, one of them is NOT the ability to inspire.’ (Malley (undated))

19

Bowden (2013).

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Specifically, whilst drones are being used to assassinate people who have been placed on the U.S. ‘Kill List’, success assumes that the number of replacements is finite (i.e. that the ‘Kill List’ is gradually getting shorter and not ever longer). Further, the death of innocent people may well facilitate terrorist recruitment—and is unlikely to win the ‘battle for the hearts and minds…’. This point is noted by the Birmingham Policy Commission (2014): ‘…there is a growing literature on possible counter-productive ‘blowback’ effects, including radicalisation and recruitment of terrorists and the destabilisation of friendly Middle East regimes.’

And: ‘Sixteen years after the 9/11 attacks and the onset of the “war on terror,” the jihadist movement has grown stronger in almost every measurable way. Jihadists enjoy more safe havens throughout the globe, control more territory, are at the forefront of more insurgencies, and have achieved more popular support than they did sixteen years ago.’ (Gartenstein-Ross 2017)

Information provided by various independent agencies concerning the number of innocent people who are being killed and injured makes stark reading: ‘In Yemen, 17 named men were targeted multiple times. Strikes on them killed 273 people, at least seven of them children. At least four of the targets are still alive.’ (Ackerman 2014)

As to the impact of such attacks, a lawyer in Yemen incisively tweeted: ‘Dear Obama, when a U.S. drone missile kills a child in Yemen, the father will go to war with you, guaranteed. Nothing to do with al-Queda.’ (Mothana 2012)

Targeting people on the basis of data is fraught with difficulty if those involved in the process make over-use of software systems, or assume that the data is inherently accurate: ‘A Reprieve team investigating on the ground in Pakistan turned up what it believes to be a case of mistaken identity. Someone with the same name as a terrorist suspect on the Obama administration’s “kill list” was killed on the third attempt by U.S. drones.’ (Ackerman 2014)

Despite factors such as those outlined above, it’s most likely that the production of military drones will continue to gain momentum and that their proliferation will escalate. A Reuters Commentary discusses aspects of the future use of several drone technologies by the USAF. This is framed within the context of the difficulties experienced by a number of today’s larger air forces in respect of growing costs associated with the development and deployment of new and ever more advanced aircraft. In fact escalating costs are resulting in the need to retain and employ older craft. One solution is to investigate ways in which these older technologies can be adapted for new purposes, thereby reducing the numbers of new aircraft that need to be purchased:

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‘…as part of the Loyal Wingman program, new advances were added on. Air Force researchers began writing computer code that, when installed in a million-dollar QF-16 allows the drone to accompany a manned plane into combat. The pilot aboard the manned fighter, whether an F-16 or another fighter, controls the accompanying drone via radio. The drone could be ordered to fly ahead and scan with its radar, or fire missiles at targets the pilot identifies with his own sensors. The advantages are clear. A drone is expendable [particularly if it is one of the aging fleet of aircraft] and can “absorb” enemy fire without risking a pilot’s life. A single drone wingman could double the number of missiles a pilot carries into combat… The Air Force could wage war with a relatively small contingent of human pilots in the air, fighting alongside large numbers of robots.’ (Axe 2016)

Of course such a scheme would be quite impractical if the pilot was required to fly not only his aircraft, but also the accompanying drone. It therefore presupposes that the drone is able to act as wingman in largely an automatic manner, that is fly along with, and where necessary mimic the manoeuvres of the manned aircraft (which is a technically daunting challenge if the craft are to remain in close proximity). And in relation to the creation of micro-drone swarms, the same article briefly goes on to relate that (also see, for example, DOD 2017): ‘The Air Force is already testing another new drone. The Perdix initiative equips a manned jet with its own armada of tiny flying robots which a pilot can launch on command in mid-air.’ (Axe 2016)

The creation of drone swarms able to fulfil military requirements represents an expanding area of research attention. Key objectives are to use large numbers of small and inexpensive drones which are able to communicate with each other and collectively respond to commands: ‘“This goes all the way back to the tactics of Attila the Hun,” says Randall Steeb, senior research engineer at the Rand Corporation in the US. “A light attack force that can defeat more powerful and sophisticated opponents. They come out of nowhere, attack from all sides and then disappear, over and over.”… “Swarming is currently considered to be one of the most promising areas of defence technology development in the world,” says Vasily Kashin an expert in China’s military at the Higher School of Economics in Moscow. “The Chinese are prioritising it.”’ (Feng and Clover 2017)

The article goes on to comment on a key advantage of the swarm approach: ‘Having a hundred or a thousand small cheap drones that can’t communicate and coordinate behaviour isn’t worth much. What’s valuable is if they can communicate and work cooperatively. That’s the difference between a wolf pack and just little wolves.’

The use of the term ‘wolf pack’ is of course reminiscent of the WWII Nazi submarine wolf packs which comprised submarines working cooperatively. For some time these nautical ‘swarms’ wreaked havoc on Allied shipping in the Atlantic. OTU Activities 7.10 to 7.17 together with Ethical Dilemma 7.1 provide an opportunity to reflect on and discuss several key points relating to, and arising from, the above discussion.

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High Altitude Pseudo Satellites ‘…the western obsession with technological development is first and foremost linked to warfare and militaries, and secondarily to the political desire to control people and their movements.’20

The design, development and testing of satellites is an extremely demanding activity and their launch is a major and resource-intensive undertaking. Placement of geostationary satellites (which rotate in synchronism with the earth) is particularly challenging, and requires great energy expenditure (these satellites must be placed *36,000 km above the earth’s surface and must travel at a speed of *3.1 kms−1). Furthermore once in orbit the implementation of satellite repairs and/or upgrades is extremely difficult. OTU Activity 7.10 Research and discuss military drones which are currently available or under development. As a starting point, you may wish to look at the Chinese CH-3, CH-4, CH-5 and Wing Long drones. These may be seen as competitors to U.S. drones such as the Predator and Reaper. For example, the CH-5 is reported to have a range of some 4,400 miles with flights of 60 hours duration. It’s reported that a planned upgrade will increase these figures to 12,000 miles and 120 hours respectively. The craft's payload capacity is reported as being 2,000 lbs. (Brimelow (2017))

OTU Activity 7.11 Discuss your reactions to the following quotation: ‘These days, when one thinks of drone aircraft, one conjures up an image of a sinister, beluga-shaped monster, whispering along at 20,000 feet on a moonless night over Iraq or Afghanistan. Inside a featureless head, synthetic aperture radar and unblinking infrared eyeballs whir, scan below and beam information to someone in an air-conditioned building in middle America. Down below, beamed to the other side of the world in infrared, creeping Orwellian voyeurism, a group of Taliban fighters lope across a sandy plain like spectral ghosts. As they move, the silent, red, watching eye 20,000 feet above follows them… A continent away, a controller, wearing military clothing and unit patches, selects a high magnification and the Taliban jump into focus as they enter a compound… Radio communications whip back and forth across the world, permissions are sought and granted, voices chat calmly. Then a white flash obliterates the images on the screen. The image can’t help but make one cringe just a bit, despite our distaste for the terrorists below [assuming of course that they are terrorists].’ (Malley (undated))

20

Quoted in Wall et al. (2011).

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There are two interesting developments which offer to better support high-altitude communications. The first of these concerns the production of ‘space drones’ which have the capability of docking with, for example, geostationary satellites which are no longer capable of controlling their positioning but are otherwise fully functional. A space drone would then use its own propulsion system to manoeuvre the satellite into the correct position. Alternatively, in the case of geostationary satellites which are suffering from serious technical problems, the drone could propel the satellite into a ‘graveyard’ orbit thereby freeing up space in important (and hence more populated) regions of geostationary orbital tracks. It is likely that this form of drone will become commonly used in the near future. (Jarman 2018) OTU Activity 7.12 A U.S. feasibility study concluded in 2012 investigated the opportunity to develop nuclear-powered drones. This would greatly extend flight times and provide the power needed for more sophisticated systems (see, for example, Fielding (2012)). Discuss the societal and ethical implications concerning the development and use of nuclear powered drones.

An alternative approach that has over the years received some attention focuses on the use of a global network of high altitude balloons, with each being able to identify and communicate with its nearest neighbours. From the perspective of today’s Internet routing this is a technically interesting scenario because the continuous drift of the balloons gives rise to an ever changing message routing topology. OTU Activity 7.13 Suppose that you take up employment with an avionics company and that your role is to service and upgrade software systems that are used for the remote piloting of military drones. This involves making site visits to the location from which the drones are piloted. During the course of your work there, you find that the drones are being used for U.S. ‘signature attacks’, or other forms of activity which are resulting in the injury and death of significant numbers of innocent people. 1. Do you believe that this places you in a position of having to consider any ethical issues concerning your continuation of this work? 2. If your response to (1) is yes, discuss how you would handle the situation. 3. If your answer to (1) is no, discuss whether or not you believe that you bear responsibility for the ways in which the technology is being used. 4. Following on from (3), but in a more general context, do you believe that as a professional technologist you have any responsibility in relation to the ethically undesirable application of any systems which you have helped to develop?

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One project in this general area (the U.S. Global Horizontal Sounding Technique (GHOST) project) was carried out in the late 1960s using meteorological payload carrying ‘super-pressure’ balloons (these are able to fly at an approximately constant altitude). Many of the experimental balloon systems were launched from Christchurch in New Zealand (in fact from a purpose-built hangar which I subsequently used for a number years for undergraduate projects which involved students developing and launching electronic payloads using high-altitude balloons). OTU Activity 7.14 1. As we have seen, drones with ground attack capabilities are said to possess the capability of carrying out ‘surgical strikes’ which are promoted as reducing the number of civilian casualties associated with an attack. However, we have also noted that drones are being used by the U.S. to carry out so-called ‘signature strikes’ in which unnamed people are targeted – possibly simply on the basis of their behaviour. Identify and discuss ethical issues relating to the adoption of ‘signature strikes’. 2. Given the number of civilian casualties that have recently been associated with drone attacks, do you believe that it is ethically appropriate to give the general public the impression that drones are providing a true ‘surgical strike’ capability (bearing in mind that this impression may have been reinforced by manipulation of casualty figures)? 3. Following on from (1) and (2) do you believe that it is appropriate to promote drone systems for ground attack purposes outside a war zone on the basis of their ‘surgical strike’ capability, whilst at the same time using them to perform ‘double tap’ missions? 4. If you observe that the general public is being misled as to the capabilities and/or the safety of a product that you have worked upon (or about which you are professionally knowledgeable), to what extent (if any) do you have a professional responsibility to speak out?

OTU Activity 7.15 1. Research and discuss the development of drone swarms for military use. 2. Identify and discuss military applications in which drone swarms may be employed. 3. Identify and discuss ways in which terrorists (or others of ill-intent) may employ drone swarms. In each case discuss ways in which it may be possible to thwart their activities. 4. From an ethical perspective do you believe that research into military drone swarms should be banned internationally? Could such an international ban ever be enforced?

One aspect of the GHOST project concerned developing balloon systems for long duration flights—the longest flight that was achieved from the Christchurch hangar flew for some 744 days during which time it circumnavigated the earth numerous times.

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In recent years there has been a resurgence of interest in the development of high altitude drones (using both airplane and ‘lighter than air’ technologies). Such systems are generally referred to as High Altitude Pseudo Satellites (HAPS), and are intended to provide satellite functionality at a fraction of the cost associated with space satellites. Furthermore, craft remain accessible for both maintenance and upgrade. Developments are underpinned by the availability of high strength lightweight materials, together with highly efficient batteries, motors, and solar panels. By way of example, at the time of writing AIRBUS is offering the Zephyr S drone (which has a wingspan of 25 m and is intended to fly at *65,000 ft), and is soon to release a further version which is reported to have a wingspan in excess of 32 m. These craft are completely solar-powered and are promoted as: ‘…flying autonomously in the Stratosphere above cloud, air traffic and jet stream winds, provides persistent, regional services at significantly lower costs than conventional aircraft.’ (AIRBUS website undated)

OTU Activity 7.16 As we have noted, it’s highly likely (if not inevitable) that the development of military drones will continue to gain momentum, and that the sale of such technologies will be highly lucrative. Further these systems will prove to be cost-effective (in purchase and use), and they will therefore be widely affordable. In short,the global proliferation of drones which offer increasingly autonomous functionality seems inevitable. Since the introduction of drones with ground attack capability, the U.S. government has used them in many different ways – including assassination outside war zones and for undertaking both ‘signature’ and ‘double tap’ strikes. It’s claimed by the U.S. government that these are all internationally legal applications. 1. If we were to hypothetically assume that these do indeed represent legal activities, does this mean that they are ethically justifiable? Discuss your thoughts. 2. Given the assumed and rapid global proliferation of military drones, it seems likely that they will be employed to support all kinds of warfare, population suppression, racial conflict, and genocide. Given the ways in which the U.S. government has employed ground-attack drones to date, discuss whether or not you believe that this has reduced the moral authority of the U.S. in speaking out against ways in which other countries use military drones in the future?

It appears the longest duration flight achieved to date is 14 days. An alternative approach currently being investigated by AlphaLink employs multiple smaller drones which are joined wing-tip to wing-tip so as to form a large total wingspan: ‘If any of the aircraft in the formation experiences technical problems, it can be disconnected from the rest and sent to a ground station for repairs…while a replacement aircraft could be sent up to join the formation.’ (Pultarova 2015)

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An approach currently under investigation by Airstar Aerospace employs the implementation of a high-altitude dirigible. It is reported that both Google and Facebook are also involved in the development of pseudo satellite systems and from a technologist’s perspective this is surely exciting work. Furthermore, there are a wide range of applications which include communications (the footprint at altitudes of 60,000 ft or more is quite significant), delivery of quite high speed Internet access to remotely located populations, and remote imaging. For further discussion see OTU Activity 7.18. Ethical Dilemma 7.1 In order to promote discussion, in this Ethical Dilemma we deliberately employ two somewhat polarised scenarios. Suppose that after some 5 to 10 years of working in the science, computing, or engineering fields you simultaneously receive offers of employment from two companies. The first of these is from a West Coast U.S. firm who are involved in the development of highly-innovative military technologies. In this position you will have the opportunity to work on drone swarms and will be responsible for developing swarm algorithms – specifically intended to provide mass attack capabilities. You will also work with the military in testing them. The salary is good (approximately $150,000 per annum), relocation costs are paid, a stylish company car is provided, and you will get full medical insurance. Annual bonuses in the form of company shares are normally given to high achieving employees. The company is committed to creating high profit military solutions and the slightly tongue-in-cheek in-house corporate mantra is ‘Kill ‘em fast, kill ‘em cheap, kill ‘em dead’. In the case of the second position that you’ve been offered, the annual salary is significantly less – only $40,000, and other than the opportunity for travel (together with the use of one of the company's rather battered Land Rovers), no additional bonuses are paid. In this position you will be responsible for developing and using drone systems for the protection of wildlife in central African game reserves. This will involve you working on high altitude drones (flying in the stratosphere) which direct small low altitude ‘worker’ drones to take images of, and so ward off, illegal poachers. If this does not deter particular poaching gangs, the ‘worker’ drones locate threatened animals and emit sounds intended to scare them off before the poachers can attack. 1. In considering which post you will accept, do you believe that your decision involves any ethically-based factors? Discuss your thoughts. 2. From a theoretical perspective, discuss which position you believe that you should accept (we assume that you must accept one or the other of these jobs). 3. In practice, discuss which position you would in fact take. 4. Discuss which position would be most likely to give you the greatest job satisfaction - which would be the most fun?

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Lethal Autonomous Drones ‘When we decide to turn the decision to kill over to machines have we intentionally removed the responsibility of killing from our own hands? Have we trivialised the act of killing?’21

The broad spectrum of autonomous weapons systems is attracting a great deal of attention, not only in terms of research and development activity but also in respect of media speculation (which is often liberally laced with hype). Here we briefly consider the development and use of autonomous and semi-autonomous drones for military applications. This represents a contentious area of technological activity and raises many ethical questions. As far as the UK government is concerned, the Ministry of Defence indicates that: ‘…the UK does not possess armed autonomous aircraft systems and it has no intention to develop them.’ (MOD 2017)

OTU Activity 7.17 Discuss the following assertion which relates to the use of military drones with ground attack capabilities: ‘Drones are a technological step that further isolates the American people from military action, undermining political checks on… endless war.’ (Mayer (2009) quoting Mary Dudziak)

Dependent upon the way in which we define ‘autonomous’, this may be the case although there can be little doubt that MOD military planners are fully aware of international efforts being made to develop such systems, and must surely be keeping abreast of progress in the field. They go on to comment that: ‘The UK Government’s policy is clear that the operation of UK weapons will always be under human control as an absolute guarantee of human oversight, authority and accountability.’ (MOD 2017)

21

Wilson (2014).

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OTU Activity 7.18 In literature it’s sometimes suggested that the proliferation of military drones (of the Predator and Reaper variety) may perhaps be controlled by restricting access to communications satellites. However: ‘We have doubts about how far the proliferation of the various enabling technologies, except perhaps for secure high bandwidth satellite communications, can be controlled.’ (Birmingham Policy Commission (2014)). Rapid developments which are taking place in connection with pseudo satellites may eliminate the need for access to conventional satellite communications, and if this proves to be the case then it will be much more difficult to control the use of military drones. 1. Discuss the possible ramifications of low-cost readily available pseudo satellites in relation to the proliferation of military drones. 2. Discuss the ethical implications of governments using pseudo satellites to carry out covert surveillance over other countries. 3. Developing and flying pseudo satellites is certainly not ‘rocket science’ (indeed by definition such systems are intended to eliminate the need for ‘rocket science’…). Discuss the possible implications of the widespread deployment of pseudo satellite systems as a government tool for population surveillance and border control.

In practice this observation may not be well-founded, as the need to adopt some degree of drone autonomy may prove to be essential in order to keep pace with developments in other countries. Further, the increased use of even semi-autonomous drones (and other autonomous weapons systems) is likely to significantly advance the pace at which conflict escalates. This in itself may make it impractical to incorporate effective and detailed human control (at least at the micromanagement level). It’s also useful to bear in mind that there is increased likelihood of drones (and here we include standard fighter aircraft which have been modified for unmanned flight) being used in kamikaze-like strategies—against manned targets or to destroy other unmanned craft. In this latter respect, it may well be deemed ethically acceptable to remove explicit human control from situations in which two inanimate pieces of technology are to do battle. As suggested in the previous section, although in recent decades it has been possible to achieve military dominance through lavish investment in technologies, this approach may not necessarily continue to be the case. Feng and Clover (2017) suggest that: ‘The advent of swarm technology heralds a period that could reverse the trend of the past quarter century, which has seen the deployment of fewer but more advanced – and expensive – weapons platforms. The next generation of weapons may see sophisticated technology systems outdone by the sheer numbers of autonomous swarms.’

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Before continuing, it’s useful to clarify the ways in which the words ‘automation’ and ‘autonomy’ are employed here. The former is assumed to refer to a system which takes input from a number of sources/sensors, processes data and generates certain outputs. Thus in principle, the actions of a fully-automated system (which is free from error) can usually be predicted a priori. Of course in reality it is usually impossible to fully test behaviour against all possible conditions, and this difficulty is exacerbated when the output(s) is dependent not only on the current set of input values, but also on prior input conditions and/or the integration of machine learning techniques. Unfortunately when autonomous systems are discussed they are often considered in the context of possessing some form of ‘understanding’—or even in extreme cases with ‘consciousness’—which is of course quite erroneous. For example, in relation to defining the characteristics of an autonomous system, the MOD indicates that: ‘An autonomous system is capable of understanding higher-level intent and direction. From this understanding and its perception of its environment, such a system is able to take appropriate action to bring about a desired state.’ (MOD 2017)

In reality an autonomous system is an inanimate object which doesn’t possess human attributes such as ‘understanding’ and ‘perception’ (look ahead to Chap. 8). To suggest otherwise can result in considerable confusion as to the nature of autonomous systems. For example, in Sect. 10.9 we briefly consider the landing of several probes on Mars. In this context we discuss the use control systems that operate autonomously (once the command initiating descent onto the planet has been received, craft are designed to carry out the landing without human mediation). Obviously, such systems have no ‘understanding’ that they are landing on another planet. If programmed to do so they can measure and transmit environmental data and the like—but it’s crucial to appreciate that such systems have no conscious perception of the collection and significance of this data. Here we simply assume that: An Autonomous System: Is an automated (albeit sophisticated) system which is able to carry out function(s) without recourse to human intervention, and has the ability to sense and respond to potentially complex changes in its environment. In this latter sense it is likely to be able to deal with both anticipated and (some) unanticipated events in order to achieve one or more designated objectives, and this may be carried out though the application of machine learning techniques and AI. A key point to note is that whatever approach is adopted in the implementation of autonomous automated systems, the key goal is to implement a system which has the capability of attaining specified objectives (under changing circumstances) without necessarily requiring human input.

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Human initiation of one or more independent or inter-related functions.

Selection, ordering and implementation of sub-tasks can be carried out without human intervention

Operator(s)

Autonomous decision-making – within the scope of the function(s)

Successful completion

Partial success

Failure

Fig. 7.17 Here, we summarise some facets of ‘supervised autonomy’ within the context of the way in which this term is employed in our discussions. Note that the broken lines signify aspects of operation which may be present; these are not inherent requirements. Thus for example although the system will learn from prior results, operators may be able to monitor and intervene. Note that we assume that in the case of more complex environments it’s likely that only specific functions may operate autonomously (these functions may be independent or may be inter-dependent). In the case of a simple drone that must carry a payload from one place to another or undertake crop spraying, it is quite possible to develop a craft which exhibits complete autonomy. In contrast, some forms of military drone will encounter much more diverse sets of circumstances and will be used across a broad range of applications. In this case, we assume that only specific functions are able to operate in an autonomous manner.

However it’s helpful to note that we can define various levels of autonomy. For example: 1. Pre-programmed Autonomy: In which a drone flies along a pre-defined path and undertakes pre-defined activities (e.g. a Cruise Missile). 2. Supervised Autonomy: In which there is a degree of human intervention during a flight—most commonly when an unanticipated event/problem occurs (see Fig. 7.17). 3. Complete Autonomy: In this instance, once sent on its mission the drone is expected to undertake its designated tasks without human intervention, and so must be capable of handling any unforeseen problems and possibly unexpected opportunities. With these thoughts in mind it is evident that the UK already possesses autonomous avionics systems—following launch, a Cruise Missile can operate without requiring human intervention, and so too can a Polaris Missile. Furthermore, even the Reaper drone has some degree of autonomous capability. Consider the case that communication with a craft is lost for an extended period of time. Again quoting from the MOD document cited previously:

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‘…remotely piloted aircraft [Drones] are programmed to carry out a range of flight maneuvers if control data is lost, including in extremis returning to base…’ (MOD 2017)

Clearly this represents an autonomous capability which is likely to be further developed: ‘The current generation of RPA [Remotely Piloted Aircraft – drones] is not well suited to operating in contested airspace in which communications may be intentionally disrupted or ‘jammed’. Were this to happen, the RPA either remains in its position where it may be vulnerable to hostile fire or it returns to base, which may inadvertently reveal the location of friendly forces to an enemy. These challenges highlight the desirability of ever-more independent software on board RPA that allow better automated responses to such situations.’ (Birmingham Policy Commission 2014)

In fact communications represents the ‘Achilles Heel’ of current drone technologies. Two approaches may be adopted—either local line of sight communication, or long-haul communications via a satellite link or other form of relay. Both can be subjected to deliberate radio interference and hence disruption, leaving a drone very much on its own. Increased levels of drone autonomy are therefore necessary to address this weakness. It’s unlikely that in the very near future we’ll see the emergence of large drones equipped with the ability of undertaking completely autonomous ground attack operations. From a technical perspective, achieving the level of autonomy needed to deal with complex, ever-changing and often unpredictable conditions is a daunting undertaking. Consequently it’s much more likely that autonomous characteristics will expand gradually, and in this respect the evolution of drones may parallel that of standard military aircraft. For example, early in WW1 military aeroplanes were primarily used for observation with aircrew spending long hours flying back and forth to support gunnery operations. For this type of application aircraft stability was of great benefit. However the situation quickly changed when armaments were taken aloft. Combat required fast and highly manoeuvrable aircraft. The advent of a machine gun which could fire through the arc of the propeller was indeed a game-changer. With such thoughts in mind, it wouldn’t be at all surprising if at some point in the not-to-distant future we see the emergence of combat drones. If so, drone performance will need to significantly increase and as tactics develop, remote piloting will simply become impractical. In this latter respect even a small latency in communication may have significant ramifications—although at the present time remote drone pilots have learnt to live with the latency which can be associated with reconnaissance missions: ‘The job though doesn’t come without its quirks. For example, there is a 1.5 – 2.5 second delay between manual control input and video feed. If a pilot commands the drone to turn right, it will do so immediately. But the pilot won’t see it until a second or two later…’ (Fuller 2017)22

22

Clearly this isn’t entirely accurate but reflects the fact that a command signal can be communicated at greater speed that a more extensive video transmission.

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Naturally, in the case of high-speed combat such latency would be intolerable and is likely to further drive the development of autonomous inbuilt ‘self-defence’ mechanisms. Whilst these may primarily be used to deal with attacks from other drones, they could gradually be extended to defend against attacks from ground-based locations and from conventional aircraft. Given the absence of human aircrew drones could be built to withstand extremely violent manoeuvres. This could be highly advantageous when engaging with manned craft. New tactics will develop and surely the old adage that ‘attack is the best form of defence’ will influence developments. Warfare will become even more depersonalised, complex and dangerous. Crucially, if we further develop and deploy machines which have an autonomous capability of killing and maiming people in conflict, then we will continue to distance ourselves from the consequences of our actions. The machine has no conscience or human emotions and so is in no way troubled by its actions—if it is empowered to maim or kill, then it will do so blithely. For further discussion concerning the potential impact of military drones which possess a degree of autonomous capability see, for example, Burt (2018).

7.8

Organisational Failures: Erebus

‘The ultimate measure of a man is not where he stands in moments of comfort and convenience, but where he stands at times of challenge and controversy.’23

The passengers and crew onboard Air New Zealand Flight TE901 died instantaneously. One moment they were sipping drinks and with great excitement watching and photographing the unfolding panorama as their plane descended to 1,500 ft in preparation for a high-speed low-level flight over Antarctic terrain. The next moment, all on board were clinically dead—even before their DC10 had disintegrated into a vast blazing fireball. As the flames died away, profound Antarctic silence returned. The wreckage of Flight TE901 that lay strewn across the snow-covered slopes of Mount Erebus providing testimony to a catastrophe caused by an almost statistically impossible symbiosis of related and unrelated events. In fact it could perhaps be viewed as representing a perfect symbiosis as it caused a highly experienced aircrew to fly into the side of a mountain in what they firmly believed to be conditions of good visibility. In this section we briefly consider some of the factors that brought about this tragedy. Invariably brevity risks a degree of over-simplification and so it’s recommended that the interested reader accesses Royal Commission (1981), and texts such as Vette (1983).

23

Attributed to Martin Luther King.

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Fig. 7.18 28th November 1979. Here the moment of impact is captured on a movie camera. A fluid (most probably fuel) streaks across a passenger cabin window. (Image source Vette (1983) with permission of Hodder and Stoughton, Auckland)

The discussion below not only highlights organisational failures which contributed to the disaster, but also provides us with an insight into how some members of the organisation appear to have acted in the aftermath of the crash. In this latter context, Mr. Justice Mahon (who headed the Royal Commission which was set up to inquire into the accident) was driven to write: ‘No judicial officer ever wishes to be compelled to say that he has listened to evidence which is false. He prefers to say, as I hope the hundreds of judgements which I have written will illustrate, that he cannot accept the relevant explanation, or that he prefers a contrary version set out in the evidence. But in this case the palpably false sections of evidence which I heard could not have been the result of mistake, or faulty recollection. They originated, I am compelled to say, in a pre-determined plan of deception. They were very clearly part of an attempt to conceal a series of disastrous administrative blunders and so, in regard to particular items of evidence to which I have referred, I am forced reluctantly to say that I had to listen to an orchestrated litany of lies.’ (Royal Commission 1981)

Air New Zealand provided bi-weekly scenic flights from Auckland to the Antarctic annually each November from 1977 through until 28th November 1979 when the disaster occurred. Once south of New Zealand, the journey to the Antarctic involved flying through one of the loneliest and most inhospitable regions of the planet. Prior to each take-off, the remarkably accurate inertial navigation system was manually programmed with the coordinates needed to reach the Antarctic via waypoints such as the remote Auckland and Balleny Islands. If weather conditions were good and air traffic clearance was given by the U.S. Antarctic base (McMurdo Station), passengers would experience the thrill of high-speed low-level circuits in the region of both McMurdo Station and New Zealand’s Scott Base. Otherwise if visibility and weather were deemed unsatisfactory, flights would divert to the Magnetic South Pole. There was no question of landing and passengers had to be content with low-altitude window gazing.

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Fig. 7.19 Mount Erebus—an active Antarctic volcano located on Ross Island (height *12,450 feet). (Image source NSF/Josh Landis, employee 1999–2001 [Public domain])

7.8.1 Pilot Error? When Air New Zealand began to offer these flights, aircraft were routed directly over Mount Erebus (see Figs. 7.19 and 7.20), after which, given the go-ahead from McMurdo Station, they would descend to very low altitude. At first sight, the decision made by the Captain of the ill-fated Flight NZ901 to descend to *1,500 feet before reaching Erebus could perhaps suggest a grave error in judgement? After all, Mount Erebus and the nearby peaks of Mount Discovery and Mount Terror dominate the region: ‘[Mount Erebus] is the most southerly active volcano on the planet… and stands 12,448 feet above sea level. Its slopes are covered with snow and ice, glaciers, crevasses, and occasional lava flows, but steam usually rises from the summit, betraying the heat within… Shackleton’s party hiked up Erebus. It took them five and a half days to get to the top.’ (Judson 2012)

The accident investigation carried out immediately after the disaster by the Civil Aviation Division was led by New Zealand’s Chief Inspector of Air Accidents. Recovery of the black box recorder quickly demonstrated that the DC10 was performing flawlessly up until the moment of impact. Consequently the ‘finger of blame’ was soon pointed at the Captain and First Officer. However with the subsequent establishment of a Royal Commission further investigations completely exonerated the crew—the real causes of the accident were more complex, and much more embarrassing for New Zealand’s national airline.

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7.8.2 The Path to Tragedy ‘The man that hath no music in himself, Nor is mov’d with concord of sweet sounds, Is fit for treasons, stratagems, and spoils; The motions of his spirit are dull as night, And his affections dark as Erebus; Let no such man be trusted.’24

The first in the sequence of events which led to the plane impacting on the slopes of Mount Erebus was caused by a simple and very human error which seems to have happened some fourteen months before the disaster. During computerisation of flight data an incorrect digit was entered into the airline’s computer system. This changed a longitudinal waypoint value so that when fed into an aircraft’s inertial navigation system, it would no longer route an aircraft over Mount Erebus but would shift its course to the west by *25 miles. Some of the key navigational changes that took place between the beginning of 1977 through to the disaster in 1979 are summarised in Fig. 7.20, and a map depicting the final stages of the ill-fated flight is presented in Fig. 7.21. From the perspective of our discussion the two most important aspects of these navigational changes concern the data entry error, which resulted in a flight path that lay some 25 miles to the west of the intended route (a change from path 2 to path 3 in Fig. 7.20), and the change that took place (without the knowledge of the aircrew) only hours before the departure of flight TE901—from path 3 in Fig. 7.20 to path 4. Following the original data entry error, flights approximately followed the route taken by U.S., New Zealand, and Australian air force planes travelling to the Ice Runway at McMurdo Station. In fact this course made much sense because by not passing over Mount Erebus, in good weather aircraft could descend to a lower altitude at an earlier time, thereby giving passengers greater opportunity to view the landscape (although the low level part of the flight had to be of limited duration as at low altitude fuel consumption was considerable). For the next 14 months, the scenic flights followed the McMurdo Sound route. The inadvertent data entry error had set a new norm and was for example the route shown on information maps that were provided to passengers (and that were also handed out at the ‘Route Clearance Unit’ briefings which aircrew attended prior to flights). It was certainly the new norm for passengers and aircrew—but following the accident, this fact appears to have been contested by senior Air New Zealand staff. Had this routing been left alone all would have been well—but an observation made by the Captain of the Antarctic flight that took place on 14th November 1978 catalysed a further sequence of events. In essence, the Captain noticed a distance discrepancy between the McMurdo Sound waypoint and the U.S. TACAN system (Tactical Air Navigational Aid—a military system able to supply direction and distance information to civilian aircraft). On his return he mentioned this to his 24

The Merchant of Venice, Act 5, Scene 1.

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Fig. 7.20 Summarising four flight paths. On commencement of the scenic flights in 1977, route (1) was followed—over Mount Erebus. However later in 1977 this was changed to (2), enabling planes to fly directly towards a ground-based navigational aid—the non-directional radio beacon. In 1978 a data entry error occurred (a ‘4’ was entered instead of a ‘6’). This shifted the route some 25 miles to the west (3). Quite by chance this mistake resulted in a more sensible routing. It was no longer necessary to fly over Mount Erebus, and so in good weather aircraft could descend at an earlier time and thereby provide additional opportunities for the passengers to view the Antarctic landscape. For 14 months this route was followed. However only hours before flight TE901 left Auckland, the route was changed to (4). The aircraft would now automatically fly towards the military TACAN transmitter—over Mount Erebus. This summary is somewhat simplified and for more detailed information see, Vette (1983) or Royal Commission (1981)

flight manager. Unbeknown to him, this then triggered events within the company and as a result, flight navigation data was modified from path 3 in Fig. 7.20 to path 4. This change was made in the early hours of the morning (1.40 a.m.) on 28th November—less than 7 hours before flight TE901 took off from Auckland. Unfortunately, we’ll perhaps never really know with certainty why this change was made. Mr. Justice Mahon (recall he headed the Royal Commission) throws some doubt on the change in flight path having been catalysed by the observations of the Captain of the previous Antarctic flight. An alternative motivation may relate to the non-directional radio beacon, which by early November 1979 was no longer in operation.

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Fig. 7.21 Ross Island and the course of flight TE901 up to impact. The loops show the path taken during descent. The crew believed that they were following a parallel track some 27 miles to the west over McMurdo Sound. Unbeknown to them, *6 hours before departure the inertial navigation data was changed, placing the aircraft on a direct path to Mount Erebus. (Image courtesy of the ItalianAirForce [CC0], https://upload.wikimedia.org/wikipedia/commons/8/8f/ Flight_Air_New_Zealand_901_crash_map.PNG). ‘The truth of the matter most likely is that the Flight Operations Division simply directed the Navigation Section to re-programme the Hallett-McMurdo flight path to TACAN because they had found out that the NDB navigational aid had been withdrawn.’ (Royal Commission 1981)

Had the crew been notified that a change in coordinates had been made, the disaster would not have happened. However, since this information was not passed to them, they were expecting to fly well to the west of Mount Erebus over the low-lying frozen sea of McMurdo Sound. This communication failure was compounded by a further ‘mistake’, in which the change in coordinates was also not conveyed to the U.S. Air Traffic Controller at McMurdo. Apparently an error in the placement of a symbol resulted in the abbreviated flight plan transmitted to McMurdo failing to give the coordinates of the destination waypoint (as would normally be the case). It simply indicated ‘McMurdo’. However: ‘In my opinion, the introduction of the word “McMurdo” into the Air Traffic Control flight plan for the fatal flight was deliberately designed to conceal from the United States authorities that the flight path had been changed, and probably because it was known that the United States Air Traffic Control would lodge an objection to the new flight path.’ (Royal Commission 1981)

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Fig. 7.22 Wreckage of flight TE901 lying on the slopes of Mount Erebus (the incline is *13º to the horizontal). This is where much of the wreckage still remains. (Image source Copyright Antarctica New Zealand. Photo by Colin Monteath. Reproduced by permission.)

Although serious, the failure to notify the crew of the change in longitudinal waypoint coordinates would not necessarily in itself have resulted in disaster - in good weather conditions, they would have readily seen Mt. Erebus lying directly in their flight path and so would have immediately questioned their position. Conversely, if visibility was poor the crew would have followed procedure and maintained an altitude of at least 16,000 feet, thereby clearing the mountain by a safe margin. Unfortunately as TE901 neared Antarctica a number of circumstances arose which made it impossible for the crew to realise that they were heading directly towards a mountain. Figure 7.23 summarises some of the key ingredients which underpinned the disaster (and which had to be simultaneously present in order for it to happen). Mr. Justice Mahon writes: ‘… this aircraft accident was the culmination of not only a succession of events but also the co-existence of contributing factors. The disappearance of any one of these causative factors from the chain of events would clearly have avoided the collision of the aircraft with the slopes of Mt Erebus.’ (Royal Commission 1981)

A central consideration is that on the basis of information provided, the crew believed that they would be flying over McMurdo Sound—this was where they expected to be. Had their visual observations been at odds with key topographical map features, then this would naturally have caused them to question the position of the aircraft. However, their ‘mental set’ was such that they were endeavouring to fit what they saw to what they expected to see, and unfortunately geographic similarities existed. These were sufficient to reinforce their expectations. The Antarctic is a fickle region of extreme and often localised weather conditions which can change rapidity. Consequently, initial Air New Zealand flights

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Fig. 7.23 Major accidents are seldom caused by a single event. Here, we illustrate four sets of factors that contributed to the Erebus disaster. For the accident to occur, all of these had to happen. The upper two sets relate to the aircrew being misled as to their location, and the lower two relate to circumstances which caused Mount Erebus to be invisible to both the visual sense and to the aircraft’s radar system. Had the crew had any concerns as to their position and/or weather conditions then there was one tenuous clue which may have caused them to further question the situation. As they headed towards McMurdo Station, they were unable to communicate via VHF (only by HF), nor were they able to receive signals from the TACAN system. With hindsight this was because they were by now in the ‘shadow’ of the mountain—through which the signals could not propagate.

adopted the prudent and standard military practice of insisting that the captain of a flight must have gained prior experience of the route before being given command of an aircraft. However, after the first two successful trips this condition was relaxed as it was assumed that the airline’s ‘Route Clearance Unit’ briefing, coupled with a simulator session, offered sufficient training. Thus crews without any prior Antarctic aviation experience were made responsible for flying more than 200 passengers into a region in which they could encounter a weather phenomenon which was entirely new to them—whiteout: ‘Whiteout is an atmospheric effect which results in loss of depth perception and is especially common in polar regions when there is snow cover. Only two conditions are necessary to produce whiteout, a diffuse shadowless illumination and a mono-coloured white surface. Whiteout, it must be emphasised, is not associated with precipitation or fog or haze… In polar regions these conditions occur frequently. Large unbroken expanses of snow are illuminated by a sky overcast with dense low stratus cloud that blot out all trace of surface texture or shadow, and merge hollows and snow covered objects into a flattened white background. In addition, cloud and sky may have the same apparent colour, and horizontal discrimination is lost and the ground plane disappears.

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Those who have not been exposed to whiteout are often sceptical about the inability of those who have experienced it to estimate distance under these conditions (and to be aware of terrain changes and the separation of sky and earth).’ (Boswell quoted in Royal Commission 1981)

The U.S. Navy Weather Research Facility indicates: ‘…in a whiteout condition a dark object is visible for many miles while a snow-covered object, even a mountain, next to the observer is invisible.’ (Quoted in Vette 1983)

As flight TE901, travelling at *257 knots, descended to 2,000 ft and neared the slopes of Mt. Erebus, perfect whiteout conditions existed. If the crew had possessed more knowledge of this phenomenon, then it’s possible that they would have taken warning from the sheer brightness of the visual panorama, in which there was little if any difference in the brightness of the ground, horizon sky and zenith sky—the scene being filled with a ‘strange, almost eerie light’ (Vette 1983). Visibility appeared to be excellent, but the reality was that until the 500 ft ground proximity alarm suddenly came to life, the aircrew had no indication that they were about to crash into the side of a mountain. The Captain immediately responded to the alarm by increasing engine thrust to a level just short of full power, and raised the nose of the plane, but to no avail – Erebus was too close. Impact occurred *6.5 seconds after the alarm sounded. None of their prior experience or training had prepared them for the possibility that in apparently clear atmospheric conditions, a mountain could become invisible.

7.8.3 So Many Scars ‘…the crater [Erebus] is often full of swirling steam, today we can look down to the bottom, more than 750 feet below, and see the lava lake glowing redly. It’s an eerie sight, like looking at a conduit to the centre of the Earth.’25

As indicated above, the accident investigation which immediately followed the disaster placed the burden of responsibility on the Captain and First Officer. For example, the ‘Analysis Section’ of the ensuing report (Chippindale 1980) begins: ‘The initiating factor in this accident was the captain’s decision to make a VCM [Visual Metrological Condition (flying conditions which offer satisfactory forward visibility and therefore permit obstacles such as ground, other aircraft and regions of compromised visibility such as cloud to be avoided by visual observation)] descent below the specified minimum safety height while north of McMurdo [Station]’

25

Judson (2012).

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OTU Activity 7.19 As indicated in the text, in the case of the first two Antarctic flights it was deemed essential that the Captain had prior experience of the route. Subsequently this requirement was dropped, and Air New Zealand’s ‘Route Clearance Unit’ briefings (each coupled with a simulator session) were considered to provide aircrew with sufficient knowledge of potentially dangerous/extreme Antarctic weather conditions. In terms of their professional responsibilities, should aircrew have deemed such briefings to be sufficient and if not, should they (or their Union) have questioned/objected to the airline’s relaxation of the original rule? (For related discussion on aircrew training, see Sections 8.11 and 11.5.)

Subsequently the report indicates that the final stage of this descent was made whilst travelling ‘towards the cloud covered high ground’—meaning the slopes of Erebus. The First Officer’s behaviour during the descent was criticised for his having devoted a significant portion of his time to attempting to contact McMurdo Station via VHF radio: ‘…and did not monitor the decisions of the pilot in command adequately in that he did not offer any criticism of the intention to descend below MSA [Minimum Safe Altitude] in contravention of company restrictions and basic good airmanship.’ (Chippindale 1980)

In parallel, the report suggests that: ‘The flight engineers endeavoured to monitor progress of the flight and expressed their dissatisfaction with the descent toward a cloud covered area.’ (Chippindale 1980)

Most unfortunately, it would appear that at an early stage the Chief Inspector of Air Accidents had: ‘…predetermined the cause of the accident and manipulated the cockpit voice recorder evidence to support his theory that pilot error caused the accident. This is evidenced by the fact that… [the Chief Inspector of Air Accidents] expressed an expectation of a verdict of pilot culpability to the families as early as 14 th December 1979, a mere two weeks after the accident.’26

The DC10 was fitted with only one cockpit microphone. This was located between the Captain and First Officer, and so was well-positioned to pick up their conversation. However given their distance from the microphone, the recording of remarks made by the flight engineers was of a much lower quality, and was further compromised by cross-talk (simultaneous conversations) and noise through the open cockpit door from the galley (located immediately behind the cockpit). Furthermore, these events occurred before the current era of the ‘secured cockpit’, and so passenger visits were allowed—thereby adding to the background ‘noise’ captured by the microphone. Thus following the disaster, transcribing the cockpit voice recording was non-trivial and some content was deemed unintelligible. However, in a highly unorthodox ‘Chippindale’s Involvement’: www.erebus.co.nz/theinvestigation/thecvrtranscriptcontroversy (Last accessed March 2019).

26

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manner the Chief Inspector of Air Accidents apparently made unilateral alterations to the ‘official’ transcription—without consulting the team who had originally carried out this work. By way of example a remark that had been officially deemed unintelligible was apparently interpreted by the Chief Inspector of Air Accidents as: ‘bit thick here Bert?’. This was purported to represent a comment made to a flight engineer by an unidentified person who was suggesting that the plane was flying in or close to cloud. Although no member of the flight crew was called Bert, this did not apparently daunt the Chief Inspector of Air Accidents: ‘Just because there was no crew member named Bert that doesn’t prove that the words weren’t spoken’. In fact it’s quite possible that the poor quality sound related to a comment: ‘This is Cape Bird’—a geographical feature that the crew would have been expecting to see had they been flying over McMurdo Sound. Unfortunately, the Chief Inspector of Air Accidents apparently made a number of other changes to the transcription of the recording which gave the impression that the crew were flying through a region of poor visibility and were not quite sure of their location. There were other matters which raised questions in respect of the impartiality of the original accident investigation. These included the loss of potentially important documentation. For example, on the day after the crash a number of New Zealand police officers left for Antarctica—Inspector Gilpin being one of those leading the operation to recover bodies. He concludes a personnel account of this harrowing experience: ‘What really troubled me over the years though as a police officer, is the issue of pilot, Captain Jim Collins’ ring binder notebook, which was located amongst the wreckage and handed to me on the site. It was intact and contained numerous pages of legible technical writing and figures that indicated they related to the flying of aircraft. We recognised this could be of importance to any investigation into the crash, and I sealed and secured it in a bag before it was returned to McMurdo. The ring binder was later produced in 1981 at the Commission of Inquiry into the disaster in an altered condition to how it was found, in that the pages were missing. It had earlier been returned to Mrs Collin’s [the captains’ wife] in this condition by an airline official. The reason why and how the pages came to be missing has never been satisfactorily explained and resolved.’27

OTU Activity 7.20 When considered from an ethical and professional standpoint, can it ever be deemed to be ‘in the public interest’ for information to be suppressed during an investigation (or destroyed prior to an investigation)? Discuss possible scenarios in which serving ‘the public interest/the greater good’ has been (or may be) regarded as justification for hampering an investigation.

Returning to Fig. 7.23, you may recall that four sets of contributory factors were identified, and it was suggested that for the accident to have occurred all of these ‘A Personal Account from the Ice – Inspector Gilpin’, www.erebus.co.nz/theaccident/ therecoveryoperation (Last accessed March 2019). 27

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had to simultaneously apply. Even with the aircraft down to an altitude of 1,500 feet and flying directly towards the towering slopes of a mountain which was invisible to the crew, the disaster could still have been prevented by the ‘all seeing eye’—the plane’s radar system—at least in theory. This was the view taken by the Chief Inspector of Aircraft Accidents who wrote: ‘The aircraft’s radar would have depicted the mountainous terrain ahead.’ (Quoted Vette 1983)

Certainly if this had been the case the crew would surely have questioned their position, and all could have been well. Unfortunately, in the event Erebus was equally invisible to both crew and radar. The DC10 radar system could operate in two modes—‘weather’ (for the detection of rain precipitation in clouds thereby warning of the possibility of impending turbulence) and terrain ‘mapping’ mode. As it approached Erebus, flight TE901 was being flown in visual meteorological conditions where the crew believed that visibility was quite satisfactory and so they had no need for radar. Thus their primary attention would have been given to the view from the cockpit windows—there would have been no point in turning the radar system to mapping mode—in fact the use of radar under such conditions could have represented an inappropriate distraction. Further the Chief Inspector of Air Accidents apparently failed to recognise that in mapping mode this particular type of radar was not suited to detection of terrain covered by completely frozen snow and ice—the radar return from such surfaces being highly attenuated. In fact, the very blurred radar images generated by pack ice (over which the crew believed they were flying) would have been substantially similar to the return received from the slopes of Erebus. Vette (1983) writes: ‘The result of all this is that in the opinion of the Bendix experts [the radar manufacturers], relating to the case of TE901, the pilot would have received some kind of return on his radar (if set to mapping mode) but the return would be so blurred and so attenuated as to give no reliable indication of terrain… a Captain who had not been in the area before would not receive any radar echo clear enough to warn him that there was any terrain in his path.’

Had the DC10 been equipped with a radar system suited to operating in Antarctic conditions, then this could have prevented the accident. As it was, the four sets of contributory factors indicated in Fig. 7.23 were all in place, creating the conditions for a perfect (but entirely avoidable) disaster. Returning to the change in coordinates which occurred only hours prior to take-off, in his report Mr. Justice Mahon indicates that by the next day it was known to airline management that unbeknown to the aircrew they had been placed on a collision course with Erebus. ‘A computer mistake had sent 257 people to a violent death on a distant frozen wasteland of Antarctica. Such would be the emotive content of news media headlines throughout the world. This might be the worst publicity to which any airline had ever been exposed. The reaction of the chief executive was immediate. He determined that no word of this incredible blunder was to become publicly known. He directed that all documents relating to Antarctic flights, and to this flight in particular, were to be collected and impounded. They were all to be put on one single file which would remain in strict custody. Of these

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documents all those which were not directly relevant were to be destroyed. They were to be put through the company’s shredder.’ (Royal Commission 1981)

And: ‘…the disappearance through the company’s shredder of unknown numbers of documents was a matter to which I was required to give very careful consideration.’ (Royal Commission 1981)

He also writes: ‘This was at the time the fourth worst disaster in aviation history, and it follows that this direction on the part of the chief executive for the destruction of “irrelevant documents” was one of the most remarkable executive decisions ever made in the corporate affairs of a large New Zealand company. There were personnel in the Flight Operations Division and the Navigation Section who anxiously desired to be acquitted of any responsibility for the disaster. And yet, in consequence of the chief executive’s instructions, it seems to have been left to these very same officials to determine what documents they would hand over to the Investigating Committee.’ (Royal Commission 1981)

As mentioned previously, pages comprising the Captain’s diary (found at the crash site) apparently went missing, together with other documents and an atlas that belonged to him. This also applied to documents used by the First Officer: ‘…it is known… that First Officer Cassin had left his briefing documents at home. They were recovered from his home on the day after the disaster by an employee of the airline. As I say, they have never been seen since.’ (Royal Commission 1981)

Ethical Dilemma 7.2 It would appear that several of the factors which contributed to the Erebus disaster were brought about by deficiencies in process and/or communication (e.g. a failure to inform the crew of flight TE901 that a change had been made in way point coordinates). Place yourself in a position of responsibility within an organisation: 1. What steps would you take to foster an ethos of sound, open, frank, and responsible communication between staff at all levels? 2. Consider the case that it is brought to your attention that a staff member is thought to be misusing the high standards in communication which you have fostered. Specifically, the staff member is using information derived from openness in communication to his/her own advantage – by, for example, taking the well-considered ideas expressed by other people within the organisation and representing these as his/her own. As a result, it appears that some staff are becoming less willing to engage in open communication. From an ethical perspective, how would you deal with such a situation?

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In connection with the change in flight coordinates, Mr. Justice Mahon indicates: ‘…on 1st January 1980 there appeared a report in the Auckland Star to the effect that the destination cc-ordinates had been changed without reference to the air crew, and it was contended that this was the main cause of the disaster. The chief executive issued an immediate public denial. He asserted that when the aircraft left Auckland the correct co-ordinates had been inserted into the computer system of the aircraft. This in fact was true. But the chief executive did not divulge the further fact that these co-ordinates had been changed at the last minute without the air crew having been told.’ (Royal Commission 1981)

7.8.4 With the Passage of Time ‘About 200 yards down the slope from where we landed was the small cross which had been installed there the previous year. Air New Zealand’s representative… had with him a wreath and also four containers of ashes of victims which the relatives desired to be scattered on the mountainside.’28

Unfortunately, it’s most unlikely that some aspects of the events surrounding the loss of flight TE901 will ever be known with certainty. It is a dismal history that has been distorted by self-interest and perceived organisational and governmental considerations. Ultimately, this led Mr. Justice Mahon to make the remarks quoted at the beginning of this section: ‘…I am forced to say that I had listened to an orchestrated litany of lies.’ (Royal Commission 1981)

As indicated previously, it appears that potentially important documentation was destroyed—or simply went missing. Consequently, attempts to better understand the events which led to the change in waypoint coordinates only hours before the flight left Auckland have been thwarted: ‘Such is the nature of this shadowy and undocumented explanation conveyed to me in evidence by… and members of the Navigational Section. I use the term “undocumented” because as I have said, there is not one contemporary document in the form of a memorandum either instructing what steps were to be taken with the co-ordinates or confirming what steps had been taken. The only document, if I can call it such, is an extract from an informal log referring to the proposed change of co-ordinates. But that log or diary had certain unusual features…’ (Royal Commission 1981)

He subsequently writes: ‘In effect, therefore, there was not one document produced which verified the occurrence of the various mistakes which are said to have been made. I am compelled to stress this alarming lack of written communication between the Flight Operations Division, and Navigation Section, and the Dispatch Section, and the lack of written communications 28

Royal Commission (1981) in which Judge Mahon describes his visit to the crash site in Antarctica.

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within each of these departments of the airline, because it was very clearly this absence of written memoranda and settled interdepartmental communication systems which was responsible for the failure to notify Captain Collins [Captain of flight TE901] that the destination waypoint on his flight plan had been changed.’ (Royal Commission 1981)

The findings of the Mahon Report (released in April 1981) were hotly contested by Air New Zealand management, and at the airline’s request a judicial review of the Report’s findings in respect of the conduct of certain airline staff was heard by the Court of Appeal. Judgement was delivered in December 1981 and it was found that Mr. Justice Mahon: ‘…had breached natural justice by not allowing those accused to respond to the allegations. They also concluded that he had acted outside his jurisdiction with the accusation regarding ‘an orchestrated litany of lies’. His order of costs against the airline was quashed.’ (Ministry for Culture and Heritage 2013)

OTU Activity 7.21 As we have seen, in the case of the accident investigation which immediately followed the Erebus disaster there are indications that the Chief Investigator of Aircraft Accidents reached a conclusion of pilot error at an early stage. Subsequently there was a tendency to promote ‘evidence’ which supported this conclusion - including evidence which was not properly substantiated by others (e.g. the apparent additions to the cockpit voice recorder transcript). Suppose that you were responsible for leading an investigation: 1. 2.

What steps would you take to ensure that you retained an open mind as to the outcome and did not make the mistake of fitting the ‘evidence’ to a favoured theory/outcome? What steps would you take to ensure that other people participating in the investigation behaved in a similar way?

Shortly thereafter, Justice Mahon resigned from the bench of the High Court: ‘…because he took the Court’s finding to mean his credibility as a judge had been destroyed and that he was ‘incapable of distinguishing truth from falsehood.’’29

These represented dark days for the airline, the Civil Aviation Division and for the people of New Zealand who, given the country’s geographic isolation placed so much reliance on their national airline. Fortunately, over time Air New Zealand has grown into a more enlightened organisation and speaking at a ceremony in October 2009, Air New Zealand’s CEO endeavoured to heal painful wounds: ‘I can’t turn the clock back, but as I look forward, I would like to start this next step in our journey - by saying sorry. Sorry to all those who suffered the loss of a loved one or were affected by the Erebus tragedy and who did not receive the support and compassion they should have from Air New Zealand.’ (Quoted in Southland Times 2009) 29

www.erebus.co.nz/nvestigation/legalprocess.aspx (Last accessed May 2019).

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At the time of the Erebus disaster, Air New Zealand was a state-owned enterprise. Consequently those involved in actions which led to the disaster and/or which occurred subsequently (and which caused Mr Justice Mahon to refer to ‘...an orchestrated litany of lies.’) were in effect government employees. On the 40th anniversary of the disaster (28th November 2019) the New Zealand Prime Minister Jacinda Ardern made a compassionate and forthright speech in which she acknowledged the wrongs of the past and the pain caused to so many. A part of this (as reported by the NZ Herald) reads: ‘Today I want to speak in explicit recognition of the fact that in 1979 so much was lost; and the ramifications were immense. And time hasn’t necessarily diminished any of that. 257 people died on the slopes of Mt Erebus on 28 November 1979, 40 years ago today. Let me pause to acknowledge the enormity of that loss, and the effect it has had on the lives of the families – and also on the lives of those who took part in Operation Overdue... But that loss and grief was compounded. It was undeniably worsened by the events that followed. While today is a day for reflection, I feel we will serve you poorly if we don’t recognise what has stood in the way, for so many years, of you all having the space to grieve, to mourn and to reflect on the lives of your family members... ...the Judge [Mr Justice Mahon] went on to find that witnesses from Air New Zealand had conspired to give false evidence to his inquiry. This led to his report being severely criticised by both Air New Zealand and the then Prime Minister... The pilots were not responsible for this tragedy, and I stand here today to state that again... I want to acknowledge, as many in Parliament did when the inquiry was finally tabled, that the way Justice Mahon’s report was handled was wrong. That mishandling was one very difficult feature of the long hard road you have travelled – in the years leading up to the tabling of the report in 1999, and through the years following. In an environment of tumultuous claim and counter claim, of public confusion and ongoing debate, it is difficult I am sure to find a clear place to set down your grief. After 40 long years, you deserve to find that place... After 40 years, on behalf of today’s Government, the time has come to apologise for the actions of an airline then in full state ownership; which ultimately caused the loss of the aircraft and the loss of those you loved. This apology is wholehearted and wide-reaching. We will never know your grief, but I know the time has come to say I am sorry. In making this apology I speak also for and with Air New Zealand... Some may say that the past is the past, that we cannot change what happened. That fails to consider that our future is shaped by where we have come from. It is shaped by our response to tragedy and injustice, and by the people who stand up against it. The past is never just the past. As we mark the 40th anniversary of an event that remains etched in New Zealand’s psyche, we reflect on all that was lost, all that we must learn, and a future that we all must keep striving to make better. No reira tēnā koutou, tēnā koutou, tēnā koutou katoa.’

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Discussion ‘By developing a targeted killing programme as an exceptional, US-only proposition, and by keeping that programme in the shadows, the Obama administration may be hastening a day in which others use drones in ways hostile to both American Interests and to a just international order.’30

As a youngster I spent a great deal of time building model aeroplanes. These weren’t of the plastic ‘Airfix’ variety, but rather were made from wood with dope impregnated silk/tissue covering. Initially this hobby centred on rubber-powered planes and large gliders, but I gradually transitioned to ‘glowplug’ and ‘Jetex’ motors. The planes had two things in common. Firstly they were not equipped with remote control (which at that time was quite a bulky luxury), and so once released they were literally on their own. The second commonality was that given the difficulties associated with balancing and trimming a plane before takeoff, they all sooner or later suffered ignominious crashes and many rebuilds. More recently I briefly returned to working with model aeroplanes as this gave students some challenging project opportunities in areas such as the 3D printing of structures, and in using the atmosphere’s electric field gradient as a means of implementing dynamic stabilisation. In terms of the aeroplanes themselves, the work was of little interest to me. No longer was it necessary to meticulously cut, shape, and glue wood. Planes could be bought off the shelf, ready to fly. With foam wings, multi-channel remote control, and electric motor, flying was no longer a challenge—it had become so easy. As a result it was unsatisfying—it gave no sense of accomplishment. However, I am glad to have worked on so many free-flight planes—they had great character and provided me with a coal-face understanding of the mechanics of flight. They were always just models and were never thought of as drones. In fact on the basis of the definition given in Sect. 7.2 the free-flight aeroplanes would not be considered as drones, because we assume the ability to fly to a specified location rather than one that cannot be predicted a priori. Today’s drone technologies make the piloting of small craft ‘child’s play’ (both metaphorically and literally). Stability and manoeuvrability have attained very high standards. Anybody can buy a drone and anybody can fly one. Furthermore, thanks to the development of high energy capacity, low weight, batteries and efficient lightweight motors even quite small craft can lift more than their own weight. And as we have discussed, through the incorporation of some electronics a drone can exhibit a degree of autonomy—thereby, for example, travelling to a certain pre-defined location completely under its own volition. Unfortunately these are no longer model aeroplanes operated solely by dedicated enthusiasts—they have the potential to be used for both criminal and terrorist activity.

30

Boyle (2015).

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‘The department of Homeland Security and the FBI identified this week unmanned aerial systems… as one of the greatest national security threats to America – rating it as severe a concern as cybersecurity hacks, critical infrastructure attacks and terrorism.’ (Giaritelli 2018)

This may possibly prove to be a significant understatement, and although their potential for misuse has long been recognised, recent events have shown that government agencies and the military are poorly equipped to deal with the challenges that they can pose. As previously discussed, even relatively small drones can carry a useful payload at reasonable speeds over significant distances. Their progress and destination can be controlled by an operator (either through direct sight of the craft or via the drone’s video camera), or can be pre-programmed. Modifying a craft so that it is able to carry, release/discharge its payload on command or automatically (e.g. at a specific location), is a fairly trivial undertaking. Whilst in many countries the procurement of high explosives is problematic, there are many other substances which could cause harm if released on people—particularly in crowd situations. And in some situations, even the release of innocuous substances could have serious consequences. As Stephen Prior remarks: ‘Anything which you can strap to a drone is potentially a threat to anyone who is on the ground. It doesn’t have to be an offensive weapon, you could attach flour to a drone, the stampede which could be created from that (as people would fear it was a dangerous powder) could potentially injure a lot of people…It is more about the threat than the actual reality of the threat which needs to be considered.’ (Prior 2018)

In recent times, so-called Islamic State provided clear demonstrations of the potential of drones. In one case in 2016, a bomb attached to a drone killed two Kurdish peshmerga soldiers and in connection with another incident, General Raymond Thomas (commander of US Special Operations) is quoted as indicating: ‘About five of six months ago, there was a day when the Iraqi effort nearly came to a screeching halt, where literally over 24 hours there were 70 drones in the air. At one point there were 12 ‘killer bees’ if you will, right overhead and underneath our air superiority.’ (SOFIC undated)

He also commented that: ‘This last year’s most daunting problem was an adaptive enemy who for a time enjoyed tactical superiority in the airspace under our conventional air superiority in the form of commercially available drones… and our only available response was small arms fire.’

In short for a brief time: ‘…after making a number of simple and minor modifications to stock commercial quadcopter drone platforms that are widely available to the public – [terrorists were able] to challenge the United States’ air superiority tactically in a major combat zone.’ (Rassler 2018)

From a technical perspective, the approach adopted was very simple and involved the: ‘…cobbling together of high and low tech systems, and the small and easy-to-replicate enhancements that Islamic State made helped to transform off-the-shelf drone products into unique and fairly capable weapons.’ (Rassler 2018)

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This enabled 40 mm grenades to be released from drones and whilst the number of people killed and injured has been relatively small, Islamic State demonstrated the opportunity to use low-cost technologies to reveal and exploit a major weakness in the preparedness of coalition forces. This highlights a major asymmetry between vast government expenditure on military systems, and opportunities that exist to employ low-cost technologies in innovative ways. In this context, Rassler (2018) writes: ‘…while an economic comparison between what the Islamic State and the United States are spending in their drone-counterdrone [activities] cannot be made at this time, it is clear that the amount expended by al-Baghdadi’s group pales in comparison to the hundreds of millions spent by the United States. It is hard to imagine that state and non-state actors, especially those who view the United States as either a competitor or as an enemy, have not paid attention to this dynamic.’

Drones have also been used against the Russian military. For example, in January 2018 thirteen fixed wing drones were used to target the Hmeymim (air) and Tartus (naval) bases in Syria. Seven of the drones are reported to have been destroyed by missile defence systems (Sputnik 2018a) at a cost that would have been far in excess of the value of the drones destroyed. Sputnik (2018b) quotes Pentagon sources as indicating that the devices and technologies used in the implementation of the drones were easily accessible on the open market. In general terms this is confirmed by the photographs released, and provides a further example of the ease with which drones can be constructed. Even with the limited experience gained to date, it’s evident that eliminating the risks posed by, or successfully downing, small drones is a surprisingly challenging undertaking. A number of countermeasures continue to be developed and include the use of drone-hunting eagles, nets and communications disruption/manipulation technology. Alternatively, drone manufacturers can include software solutions intended to prevent their drones from flying in certain locations (e.g. in war zones, or in the proximity of airports). In theory this appears to offer a flexible solution which would ameliorate the threat posed by drones. However it’s not only reliant on the cooperation of manufacturers but also presupposes that those of ill-intent will ‘play the game’ and neither reverse engineer/modify software, or find innovative solutions that avoid the use of off-the-shelf products. In this later respect, an overarching difficulty relates to the degree of innovation that can be used in the implementation and control of drones. As a result, it’s extremely difficult to gauge, and so counter threats that will be posed by drones in the future. In developing drone systems, it is likely that the technical difficulties which Islamic State encountered were much less taxing than the logistics associated with the procurement of significant quantities of drones/components (see Rassler (2018) and, for example, Gault (2018) for discussion). One current aspect of efforts to prevent future drone attacks therefore centres on thwarting the supply of drone technologies. Unfortunately, this represents a problematic undertaking as drones can be readily designed and assembled from a broad range of off-the-shelf components which may be procured internationally.

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In recent times a significant number of larger military drones have crashed during their use in areas of conflict (Whitlock 2015). This has not only helped to reveal the extent of their often clandestine use, but through reverse engineering may also provide useful information to those seeking to develop more advanced drone technologies. As we have previously discussed, sooner or later technologies are invariably used across the broadest possible spectrum of applications—and it seems that positive uses are frequently mirrored by the opposite. In this context, Gartenstein-Ross (2017) comments: ‘…the efficacy of militant groups continues to rise, and every time you stop to admire a new app or tech toy, someone else is wondering how they can use it to kill.’

In Sect. 7.4.3 we briefly discussed drones within the context of border security and referred to their use in smuggling activities. This extends to other areas such as the delivery of contraband to prison inmates. ‘In prisons across the UK, drones have wreaked havoc on the ability of authorities to control the distribution of contraband. Small UAVs carrying drugs, phones and other banned items can easily hop the fence of a prison and drop their cargo in the middle of the yard, or even hover outside a window for a pre-arranged rendezvous.’ (Hern 2018)

It would seem that there are an almost endless number of other undesirable applications—which include: ‘…identifying witnesses by surveilling police departments to see who comes and goes from those facilities, and in support of robberies by observing gaps in security patrols and other vulnerabilities at target locations…’ (Ong 2018)

In fact drones are demonstrating that surveillance works both ways, and highly mobile camera platforms currently being used by those with criminal intent may be much more effective than fixed public space CCTV systems. The ability of one or more rogue drones to cause the closure of Gatwick airport (the second largest airport in the UK) during the period 19th to 21st December 2018, with the consequent grounding of *1,000 flights, provided a clear demonstration of the inconvenience and financial loss which drones (or perhaps even a single drone) can cause. This is by no means the first time that maverick drones have caused airport closures: ‘Ben-Gurion International Airport was briefly closed for landings and takeoffs… after a multicopter drone had entered its airspace.’ (BTNews 2017)

And in a previous incident at Gatwick: ‘A drone flying close to Gatwick Airport led to the closure of the runway and forced five flights to be diverted…’ (BBC 2017)

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There are many other instances, although the more recent Gatwick closure was particularly serious given inconvenience caused to some 140,000 passengers in the period leading up to Christmas. As with the Islamic State use of drones, the events at Gatwick demonstrate the ability of low-cost drone technology to cause mayhem: ‘The shutdown of Gatwick airport for almost a day and a half last week showed how easy the sophisticated global aviation network can be crippled by someone with even limited resources, how vulnerable the system is to mischief – or worse – and how hard it can be to find the culprits. The police have… suggested that they are still unsure of a motive and they are not certain how many drones were involved.’ (Pérez-Peña 2018)

Whilst there is a very low probability that a rogue drone flown within the proximity of an airport would cause harm (by, for example being ingested into an aircraft engine at take-off), the ramifications of such an event could be very serious. But despite long-standing recognition of the problem, the Gatwick incident revealed logistical weaknesses. For example in relation to 93 credible confirmed drone sightings of drones during that period, Spinks (2018) quotes one Chief Constable as conceding that: ‘…it was possible that police drones launched to catch the perpetrator(s) during the ordeal caused “some level of confusion” – suggesting that some of the reported sightings could have been of drones operated by police.’

That such confusion could exist is not surprising given facets of small drone technologies such as their variability in speed, manoeuvrability across three spatial dimensions, poor radar return, and difficulties inherent in direct visual detection. When these ingredients are coupled with the possible lack of precise coordination on the part of those releasing ‘counter-drones’, confusion is almost inevitable. And this provides an insight into difficulties that are likely to arise as more sophisticated small drones are developed—especially when they have attack capabilities. Undoubtedly in any conflict situation the dynamics of the machines will make it impossible for them to successfully operate under direct human control—autonomous capabilities will be an essential requirement. In part this problem arises from the difficulty of visualising a collection of objects which have the ability to move in complex ways in three-dimensional space—although this may be ameliorated through the application of volumetric display technologies (see, for example, Blundell and Schwarz 2000 and Blundell 2007). Drones will be ever more widely used in conflict situations and drone-drone combat will evolve. However the evolutionary route which will lead to the development of autonomous attack/defence capabilities is not entirely clear. In one possible scenario, drones of this type will emerge from the work of creative and individualistic technologists whose interests and efforts more closely align with game technologies and participation in competitive events. This is a path which is likely to result in high levels of diverse creativity and rapid development. A danger is that those participating in such work may lose sight of its broader ramifications when exploited by the armaments industry.

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In this chapter we have briefly discussed the use of drones in areas of precision farming. Although it’s evident that properly designed drones have the capability of offering many advantages, this form of application is not without difficulties (of which technical issues may be the most easily resolved). Not only is it necessary to ensure that appropriate legislation is developed, but also many farmers are resistant to adopting new and largely unproven techniques. For example, quoting two industry experts a wide-ranging article published in the Economist (2017) reflects that: ‘Encouraging farmers to adopt drones also proved harder than expected…The agricultural use of drones sounds good in theory – feed the world, save the planet – but is difficult in practice. The market is very fragmented and conservative, with many subsidies and distortions, and some of the social goods that flow from using drones, such as reducing run-off of chemicals, do not benefit farmers directly. The agricultural market is littered with struggling technology companies that have tried to break in.’

From the perspective of technologists, it’s easy to hypothesise advantages—but more difficult to convincingly demonstrate that these warrant a significant change in working practices. Furthermore although in many situations surveillance images captured by drones may yield helpful information and a new insight into the wellbeing of land and crops, it’s likely that they will often simply confirm the farmer’s own knowledge. For example, in the case of farms that have been owned and run by families for generations, it is much less likely that a drone will reveal useful information about the land which is new to the farmer. Conservationists have proved more willing to capitalise on the diverse opportunities offered by drones. In Sect. 7.4.2, we discussed aspects of their use in the protection of some forms of endangered animals—but this simply represents one of numerous positive applications. Further it highlights diversity in human values— from those who are willing to be placed in potentially dangerous situations in order to prevent killing, though to others who are keen to purchase rhino horn and the like —at practically any price. In this latter respect, survey work carried out in Vietnam by Vu et al. (2018) revealed some indifference to the fate of wild rhinos: ‘Almost half of the respondents (46%, n=16) explicitly expressed no interest or concern for the plight of rhinos.’

By way of a further example of the positive application of drones, consider their ongoing use in the Galapagos Islands and which is intended to prevent the destruction of native plants and animals by rodents: ‘Rats and other non-native species have caused extensive damage to the Galapagos whose unique flora and fauna evolved in isolation for millions of years. In the process many species lost many defence mechanisms against predators… The rats eat the eggs and nestlings of the island’s seabirds, including storm petrels and Galapagos shearwaters.’ (Marris 2019)

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The author goes on to describe the use of two multi-rotor drones which are employed to drop poison-laced bait. Each drone is reported to be able to carry 20 kg of material during a 15 minute flying period. Importantly, the use of drones for conservation activities represents a non-invasive approach which eradicates the need to cut pathways through dense growth. However, quoting a New Zealand invasive species specialist, Marris reflects on the ability of drones to distance a person from the ramifications of their actions and suggests that: ‘But using drones to kill could also change how conservation scientists view such work.’

In summation, despite the many positive applications of drones, their potential to further terrorism coupled with the future opportunities which they will undoubtedly offer in creating ever more dangerous forms of (potentially rapidly escalating) warfare represent overarching concerns. A number of governments have already demonstrated a willingness to use drones to directly kill both combatants and civilians. Despite the carnage which can be caused by ‘signature’ and ‘double tap’ strikes, drones are still promoted as weapons systems which offer ‘surgical precision’. Furthermore on the basis of recent events it is evident that they enable warfare to be conducted in more covert ways, and this reduces public awareness and hence the accountability of governments and the military. Unfortunately there is every indication that drone autonomy will continue to form a focus for well-funded and extensive research and development. This will inevitably lead to situations in which humans are increasingly excluded from decision-making processes: ‘…drones, are likely to be the military system which develops into the first truly autonomous weapons systems. Powered by advances in artificial intelligence (AI), machine learning, and computing, we are likely to see the development not only of drones that are able to fly themselves – staying aloft for extended periods – but those which may also be able to select, identify, and destroy targets without human intervention. In many ways, the increasing use of remote controlled, armed drones can be seen as a kind of ‘halfway house’ towards the development of truly autonomous weapon systems. The incremental way in which drone technology is developing, and the ability to ‘bolt on’ new features, means that drones are ideally suited to morph into autonomous weapon systems.’ (Burt 2018)

In short in the not-too-distant future autonomous drones and other forms of autonomous weapons systems may well pose dangers for humanity which rank alongside the proliferation of nuclear weapons. OTU Activity 7.22 Research and discuss ethical, societal, and logistical issues relating to the use of drones in visual journalism. You may find that the following publications form a useful starting point – The New York Times (2018), Barrero (2018), and Hamm (2017).

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OTU Activity 7.23 Discuss the following observation: ‘As for drones, while further advancement in relevant technologies is inevitable, it must also be recognised that technology in general is advancing at a pace that outstrips the political, legal and ethical frameworks upon which coexistence and cooperation with global partners is built.’ (Keene (2015))

OTU Activity 7.24

On 3 rd January 2020, a U.S. drone was used to kill the Iranian General – Qassem Suleimani. At the time of writing, it appears that this event was directly ordered by the U.S. President. 1. A number of other people were killed in this attack. To what extent does this support claims that drones are able to implement so-called ‘surgical strikes’? 2. Assuming that this attack was directly initiated by the U.S. President, discuss the extent to which the use of highly advanced (and deadly) technologies should be placed under the control of an individual (you may also wish to include in your discussion an individual’s access to the codes needed to initiate a pre-emptive nuclear attack). 3. Following on from (2), discuss the ethical responsibility of scientists, technologists, and engineers in creating advanced weapons systems that place so much power in the hands of politicians. 4. In relation to the attack referred to above, and similar events, discuss the likelihood that they will bring people together in ways that favour the creation of a less troubled world. Contrariwise, to what extent are such attacks likely to enhance divisions through the creation of martyrs and an enhanced sense of injustice? 5. In general terms when a politician or governmental group takes a decision to order an assassination, they may perhaps do so on the basis of a Utilitarian approach to ethical decision-making. Discuss whether ordering an assassination (which we assume is by nature premeditated) can ever be ethically justified and provide examples to support your case. Hint: It may perhaps be assumed that we would consider that a person who ordered the assassination of Adolf Hitler in 1933 would have performed an ethical act (as evaluated within a Utilitarian framework). However, perhaps we can only determine this with hindsight, i.e. with the knowledge of Hitler’s actions after 1933 (which obviously would not have happened had he been assassinated…). Perhaps this simple example provides us with an insight into the dangers that may ultimately be associated with highly sophisticated forms of predictive modelling? 6. Are increasingly advanced weapons systems making the world a safer or a more dangerous place? In the case that you believe the latter to be the case, do you foresee any solutions?

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Additional Reading

Amadeo, R., ‘Google Helps Pentagon Analyze Military Drone Footage— Employees “Outraged”’, Ars Technica (6th March 2018). Amnesty International, ‘Key Principles on the Use and Transfer of Armed Drones’, (2017) Anon, ‘Small Robot Company Launches to Transform Arable Farming’, Farminguk, (25th Nov. 2017). Anon, ‘The British Army’s High-Tech War Games’, The Download, MIT Technology Review (13th Nov. 2018). Antsaklis, P., Passino, K., and Wang, S., ‘An Introduction to Autonomous Control’, IEEE Control Systems (June 1991). Bilton, N., ‘When Your Neighbor’s Drone Pays an Unwelcome Visit’, The New York Times (27th Jan. 2016). Blau, M., ‘6 Ways Drones Could Change Healthcare’, Scientific American (13th June 2017). Borger, J., ‘Civilian Deaths from US-led Strikes on Isis Surge under Trump Administration’, The Guardian (6th June 2017). Brooke, E., ‘The History of Female Hunters’, Broadly (2nd Nov. 2015). CIVIC, ‘Working for Civilian Victims’, Annual Report (2010). Haddal, C., and Gertler, J., ‘Homeland security: Unmanned Aerial Vehicles and Border Surveillance’, Congressional Research Service Report for Congress, (8th July 2010). Kazakeviciute, A., and Banyte, J., ‘The Relationship of Consumers’ Perceived Hedonic Value and Behaviour’, Inzinerine Ekonomika-Engineering Economics, 23 (5), pp. 532–540 (2012). Linebaugh, H., ‘I Worked on the US Drone Program. The Public Should Know What really Goes On’, The Guardian (29th Dec. 2013). Nixon, R., ‘Drones, So Useful in War, May be Too Costly for Border Duty’, The New York Times (2nd Nov. 2016). Ouellette, J., ‘Sounding Out Swarms’, Physics World, 31, No. 2 (Feb. 2018). Pant, A., ‘Drones: An Emerging Tool of Terror’, Institute for Defence Studies and Analyses, Journal of Defence Studies, 12, No. 1, pp. 61–75 (Jan–Mar 2018). Rogers, A., ‘Investigating the Relationship between Drone Warfare and Civilian Casualties in Gaza’, Journal of Strategic Security, 7, No. 4 (2014). Smith, D., ‘Saving the Rhino with Surveillance Drones’, The Guardian (25th Dec. 2012). Weart, S.R., ‘Scientists with a Secret’, Physics Today, pp. 23–30 (Feb. 1976). Završnik, A., (ed.), ‘Drones and Unmanned Aerial Systems: Legal and Social Implications for Security and Surveillance’, Springer (2016).

References

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References Ackerman, S., ‘41 men targeted but 1,147 people killed: US drone strikes – the facts on the ground’, The Guardian (24th Nov. 2014). Ackerman, S., ‘US to Continue “Signature Strikes” on People Suspected of Terrorist Links’, The Guardian (1st July 2016). Armin, K., ‘Killer Robots’, Ashgate, Burlington, VT, pp. 45 (2009). Axe, D., ‘Commentary: Drones, Fighter Jets and the Future US Air Force’, Reuters (5th July 2016). Baraniuk, C., ‘The Crop-Spraying Drones that go where Tractors Can’t’, BBC, 45020853 (3rd Aug. 2018). BBC, ‘Drone Causes Gatwick Airport Disruption’, BBC, 40476264 (3rd July 2017). Barraro, F., ‘Journalism and Drones. Challenges and Opportunities of the Use of Drones in News Production’, Doxa Comunicacion, 26, pp. 35–58 (2018). Blundell, B.G., ‘Enhanced Visualization: Making Space for 3-D Images’, John Wiley & Sons Inc, (2007). Boyle, M., ‘The Legal and Ethical Implications of Drone Warfare’, The International Journal of Human Rights (2015). Becker, J., and Shane, S., ‘“Kill List” Proves a Test of Obama’s Principles and Will’, The New York Times (29th May 2012). Birch, M., Lee, G, and Pierscionek, T., ‘Drones, the Physical and Psychological Implications of a Global Theatre of War’, Medact, (2012). Bier, D., and Feeney, M., ‘Drones on the Border Efficacy and Privacy Implication’, CATO Institute, No. 5 (1st May 2018). Birmingham Policy Commission, ‘The Security Impact of Drones: Challenges and Opportunities for the UK’, (Oct. 2014). Bloom, U., ‘He Lit the Lamp’, Burke Publishing Company Ltd (1958). Blundell, B. G., ‘Enhanced Visualization: Making Space for 3-D Images’, John Wiley & Sons. Inc., (2007). Blundell, B. G., and Schwarz, A.J., ‘Volumetric Three-Dimensional Display Systems’, John Wiley & Sons. Inc. (2000). Bondi, E., Fang, F., Hamilton, M., Kar, D., Dmello, D., Choi, J., Hannaford, R., Iyer, A., Joppa, L., Tambe, M., and Nevatia, R., ‘SPOT Poachers in Action: Augmenting Conservation Drones with Automatic Detection in Near Real Time’, AAAI Conference on Artificial Intelligence, North America (April 2018). Bowden, M., ‘The Killing Machines’, The Atlantic (Sep. 2013). Braithwaite, R., ‘The Queen of Bees’, Light Aviation (June 2012). Brimelow, B., ‘Chinese Drones may soon Swarm the Market – and that could be very bad for the US’, Business Insider (16th Nov. 2017). Bruce, J., ‘British Aeroplanes 1914–1918’. Putnam (1957). BTNews, ‘Ben Gurion Airport Shut Down After Drone Enters its Airspace’ btnews.online (13th Dec. 2017). Bumiller, E., and Shanker, T., ‘War Evolves with Drones, Some Tiny as Bugs’, The New York Times (19th June 2011). Burt, P., ‘Off the Leash: The development of autonomous military drones in the UK’, Drone Wars UK (2018). Chatterjee, P., ‘American Drone Operators are Quitting in Record Numbers’, The Nation (5th Mar. 2015). Chen, S., ‘New Chinese Military Drone for Overseas Buyers ‘to Rival’ US’ MQ-9 Reaper’, CNBC (17th July 2017) Cornwell, J., ‘Hitler’s Scientists Science War and the Devil’s Pact’, Penguin (2003). Corrigan, F., ‘8 Top Anti Poaching Drones for Critical Wildlife Protection’, DronZon, https:// www.dronezon.com/. (29th Jan. 2017).

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Dart, T., ‘Drones on Display: Security Firms go Hi-Tech in Rush to Seal Border’, The Guardian (13th Mar. 2013). Dinan, S., ‘Drones Become Latest Tool Drug Cartels Use to Smuggle Drugs into U.S.’, The Washington Times (20th Aug. 2017). DOD, ‘Department of Defence Announces Successful Micro-Drone Demonstration’, Release No. NR-008-17, (9th Jan. 2017). Feng, E., and Clover, C., ‘Drone Swarms vs Conventional Arms: China’s Military Debate’, Financial Times (24th Aug. 2017). Fielding, N., ‘US Draws up Plans for Nuclear Drones’, The Guardian (2nd April 2012). Foth, J., ‘We haven’t Considered the True Cost of Drone Delivery Medical Services in Africa’, Quartz Africa (29th Sep. 2017). Fuller, S., ‘A Day in the Life of a US Air Force Drone Pilot’, Avionics (16th Mar. 2017). Gard, W., ‘How They Killed the Buffalo’, American Heritage, 7, Issue 5 (1956). Gartenstein-Ross ‘Terrorists are using Drones Now. And that’s not the Worst of it’, Fortune (9th Sep. 2017). Gault, M., ‘How Islamic State Gets Its Drones’, Motherboard (13th July 2018). Ghaffarzadeh, K., ‘Robots and Drones: Addressing Agriculture’s Long-Term Challenges’, idtechex.com (20th April 2018). Giaritelli, A., ‘Drones Swamp US-Mexico Border but Federal Agents Powerless to Stop Them’, The Washington Examiner (12th Oct. 2018). Hamm, A., ‘Keeping an Eye on Drone Journalism’, medium.com (8th Nov. 2017). Heege, H., (ed.), ‘Precision in Crop Farming: Site Specific Concepts and Sensing Methods: Applications and Results’, Springer, (2013). Hern, A., ‘The Drone Crackdown: If a Trained Eagle can’t Stop Them What Will?’, The Guardian (20th Dec. 2018). Howeth, L., ‘History of Communication Electronics in the United States Navy, Chapter XL, pp. 479–493 (1963). Hugo, K., ‘Exclusive: Rhino Poaching in Africa Spiked by 9,000 Percent in Seven Years, Devastating Report Shows’, newsweek.com (20th Dec 2017). Jarman, S., ‘Space Drones will give satellites a new Lease of Life’, Physics World (24th Jan. 2018). Katongomara, A., ‘Part Officials on High Alert for Cyanide Poisoning’, Chronicle (Zimbabwe), (25th Jan. 2019). Keene, S., ‘Lethal and Legal? The Ethics of Drone Strikes’, Strategic Studies Institute and US Army War College Press (Dec. 2015). ‘Living Under Drones: Death, Injury, and Trauma to Civilians From US Drone Practices in Pakistan’, International Human Rights and Conflict Resolution Clinic Stanford Law School and Global Justice Clinic NYU School of Law, (Sep. 2012). Malley, D., ‘The Mother of all Drones’, Vintage Wings of Canada (undated). Maron, D., ‘China Legalises Rhino Horn and Tiger Bone for Medical Purposes’, Wildlife Watch, National Geographic Society (29th Oct 2018). Marris, E., ‘Drones Unleashed Against Invasive Galapagos Rats’, Nature, 565, No. 7741, pp. 543– 544 (31st Jan. 2019). Mayer, J., ‘The Predator War’, The New Yorker (26th Oct. 2009). McCausland, C., Pyke, S., and O’Sullivan, S., ‘The Ethics and Politics of Drones in Animal Activism’, Animal Studies Journal, 7, No. 1 (2018). MOD, ‘Unmanned Aircraft Systems’, Joint Doctrine Publication 0-30.2, (Aug. 2017). Mogli, U., and Deepak, B., ‘Review on Application of Drone Systems in Precision Agriculture’, Procedia Computer Science, 133 pp. 502–509 (2018). Moses, M., ‘Last Frontiers of the Mind: Challenges of the Digital Age’, Prentice-Hall of India Pvt. Ltd. (2005). Mothana, I., ‘How Drones Help Al Qaeda’, The New York Times (13th June 2012).

References

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Muboko, N., Muposhi, V., Tarakini, T., Gandiwa, E., Vengesay, S., and Makuwe, E., ‘Cyanide Poisoning and African Elephant Mortality in Hwange National Park, Zimbabwe: A Preliminary Assessment’, Pachyderm, No. 55 (Jan-June 2014). Nature (PBS), ‘Rhino Horn Use: Fact vs. Fiction’, (20th Aug 2010). Ncube, L., ‘13 Jumbos Die in “Cyanide Poisoning’’’, Chronicle (Zimbabwe), (25th Jan 2019). Njeru, G., ‘Kenya to Deploy Drones in all National Parks in a Bid to Tackle Poaching’, The Guardian (25th April 2014). Nonami, K., Kendoul, F., Suzuki, S., Wand, W., and Nakazawa, D., ‘Autonomous Flying Robots: Unmanned Aerial Vehicles and Micro Aerial Vehicles’, Springer, (2010). Ong, T., ‘Criminals Used a Swarm of Drones to Surveil and Disrupt an FBI Hostage Operation’, The Verge (4th May 2018). Pérez-Peña, R., ‘Gatwick Airport Drone: Lots of Second-Guessing, But Not Many Answers’, The New York Times (27th Dec. 2018). Phippen, J., ‘Kill Every Buffalo You Can! Every Buffalo Dead Is an Indian Gone’, (13th May 2016). Platt, J., ‘Extinction Countdown: How the Western Black Rhino Went Extinct’, Scientific American (13th Nov. 2013). Prior, S., ‘What does the Future Hold for Drones in Security and Defence?’, https://www. Governmenteuropa.edu (9th July 2018). Pultarova, T., ‘How close are high-altitude platforms to competing with satellites?’, Spacenews (26th Oct. 2015). Puri, V., Nayyar, A., and Raja, L., ‘Agriculture Drones: A Modern Breakthrough in Precision Agriculture’, Journal of Statistics and Management Systems, 20 (4), pp. 507–518 (2017). Radhakrishnan, S., ‘Watch These Drones Deliver Life-Saving Blood to Hospitals’, International Business Times, (3rd Jan. 2018). Rassler, D., ‘The Islamic State and Drones’, Combating Terrorism Center at West Point, United States Military Academy, (July 2018). Rosenthal, D., and Dejonge Schulman, L., ‘Trump’s Secret War on Terror’, The Atlantic (10th Aug 2018). Science Daily, ‘Rhino Horn Used to Comfort the Terminally Ill in Vietnam’, (14th May 2018). Shawcross, W., ‘Sideshow Kissinger, Nixon and the Destruction of Cambodia’, Simon and Schuster (1979). Sifton, J., ‘A Brief History of Drones’, The Nation (27th Feb. 2012). Smith, L., and Porsch, L., ‘The Costs of Illegal Wildlife Trade: Elephant and Rhino’, EFFACE (European Union Action to Fight Environmental Crime), WP3 Quantitative Analysis (2015). Smits, D., ‘The Frontier Army and the Destruction of the Buffalo: 1865–1883’, The Western Historical Quarterly, (Journal of the Western History Association), 25, No. 3, pp. 312–338 (Autumn 1994). SOFIC, (Special Operations Forces Industry Conference), ‘SOCOM Commander: Armed ISIS DRONES were 2015s “Most Daunting Problem’’’, Defensenews.com, (undated). Southland Times, ‘Dark Day that Everyone Remembers’, (3rd Dec. 2009). Spinks, R., ‘UK Police Still Have no Proof of the Drone Attack that Grounded 1,000 Gatwick Flights’, Quartz (30th Dec. 2018). Sputnik, ‘New Photos of Drones that Attacked Russian Base in Syria Released’ Sputnik International, (10th Jan. 2018a). Sputnik, ‘Drones Attacked Hmeymim Base from “Moderate” Opposition – Controlled Area’, Sputnik International, (10th Jan. 2018b). Sylvester, G., (Ed.), ‘E-Agriculture in Action: Drones for Agriculture’, Published by Food and Agriculture Organization of the United Nations and International Telecommunication Union (2018). Taylor, J., ‘Outrage at C.I.A.’s deadly “double tap” drone attacks’, The Independent (25th Sep. 2012).

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Te, M., ‘Department of Conservation Removes Ivory Key Tops on Family’s Heirloom Piano’, stuff.co.nz (29th July 2018). The Economist, ‘Taking Flight’, Technology Quarterly (8th June 2017). The Guardian, ‘New Zealand Removes Ivory Keys from Imported Antique Piano’, (29th July 2018). The New York Times, ‘Taking Visual Journalism Into the Sky with Drones’, (2nd May 2018). Thornycroft, P., and Laing, A., ‘Poachers Kill 300 Zimbabwe Elephants with Cyanide’, The Telegraph (20th Oct. 2013). Tillman, L., ‘Poachers Shoot Down Anti-poaching Drone in the Gulf of California’, Los Angeles Times (26th Dec. 2017). Toor, A., ‘Blood Ivory: Poachers use Poison to Slaughter Elephants in Africa’, The Verge (26th Sep. 2013). UK Patent 244,203, ‘Apparatus for Operation of Switches by Means of Signals’, A.M. Low, (Application Date 22nd May 1917). UK-RAS, (White Paper), ‘Agricultural Robotics: The Future of Robotic Agriculture’, www.ukras. org (2018). USAF Project 19-15, ‘Operation Sandstone Sixth, Seventh and Eighth Atomic Bomb Tests Eniwetok Atoll, Marshall Islands’, Video available via YouTube. Vette, G., ‘Impact Erebus’, Hodder and Stoughton (1983) Veroustraete, F., ‘The Rise of Drones in Agriculture’, EC Agriculture, 2.2, pp. 325–327 (2015). Vu, H., and Nielsen, M., ‘Understanding Utilitarian and Hedonic Values: Determining the Demand for Rhino Horn in Vietnam’, Human Dimensions in Wildlife, Routledge, (2018). Wall, T., and Monahan, T., ‘Surveillance and Violence from afar: The Politics of Drones and Liminal Security-Scrapes’, Journal of Theoretical Criminology, 15(3), pp. 239–254 (2011). Watts, J., ‘Red List Research Finds 26,000 Global Species Under Extinction Threat’, The Guardian (5th July 2018). Webb, M., ‘Operation Aphrodite’, Warfare History (14th Nov. 2017). Weisberger, M., ‘Hunting Big Game: Why People Kill Animals for Fun’, Live Science (24th May 2017). Werrell, K., ‘The Evolution of the Cruise Missile’, Air University Press (1985). Whitlock, C., ‘How Crashing Drones are Exposing Secrets about U.S. War operations’, The Washington Post (25th Mar. 2015). Wilson, R., ‘Ethical Issues with the use of drone Aircraft’, IEEE International Symposium on Ethics in Science, Technology and Engineering, Chicago USA (23rd–24th May) (2014).

8

Robotic Systems

Like a single repetitive note of indefinable pitch, The rain plays and shows off, Upon the leaves near and far, shifting the melody, Of April’s water music written by nature itself.1

8.1

Introduction

To what extent should we allow technologies to influence or control our actions and how far should we go in permitting them to act autonomously, such that hardware/software systems are able to accomplish goals without human intervention? Given the current level of investment that is being directed towards the development of advanced robotic technologies, and concerns about their likely impact on society, these are deeply important questions. In fact, as suggested in other chapters, in the case of many forms of technology there is a need to assess whether current and future developments are likely to create a more enlightened, freer and more peaceful world, or whether some developments threaten to be divisive and so may have quite the opposite effect. With these thoughts in mind, in the next section we suggest several paradoxes relating to the current thrust to develop ever more advanced robotic systems. Subsequently in Sect. 8.3 we consider claims that have been mooted in relation to the likely development of robotic systems that are capable of exhibiting (rather than simulating/emulating) consciousness. In order to place this in context, we reflect on aspects of the nature of consciousness. This is a truly fascinating subject area which

Blundell, Q., ‘April Shower’ in ‘Collected Works’ (2020).

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tends to lead to wide-ranging viewpoints and heated debate. In short it is a controversial and highly complex topic. The discussion presented here can do little more than scratch the surface, and is intended to provide some insight into the nature of the complex issues and differing viewpoints. As will be seen, at the present time we have little understanding of the ways in which we experience consciousness and indeed how we can experience it. We don’t simply perceive the taste of chocolate—but rather we ‘experience the experience’ of tasting it! Unfortunately, the media frequently report claims that advanced robotic systems underpinned by strong AI will be capable of exhibiting consciousness—which is rather surprising given that we know so little about this human capacity. In Sect. 8.4 we discuss some of the characteristics that are associated with robotic systems, which we assume may be implemented physically (in hardware) or may be wholly software based. This is an important consideration as in this chapter we use the term ‘robot’ in its broadest sense. However this doesn’t necessarily refer to the classic physical entity that has for so long dominated science fiction literature but also embraces, for example, advanced AI systems which possess Internet connectivity. In all cases we assume that the operation of a ‘robot’ is underpinned by increasingly sophisticated software systems which may ultimately demonstrate highly advanced AI capabilities. Section 8.5 provides an example of a robotic agent that is purely software based —specifically Google Duplex. This leads (Sect. 8.6) to consideration of so-called Humanoids, and we arbitrarily use the ‘Sophia’ technology as a point of focus. Research into Biobots raises a number of ethical issues which are discussed in Sect. 8.7, after which in Sect. 8.8 we turn our attention to the very topical area of autonomous motor vehicles. Many claim that in the near future we will all be using cars which will automatically transport us in all weathers from any starting point to any destination. It’s often said that such cars will offer unparalleled safety. Indeed in one seminar that I attended, it was suggested with great confidence that once human-driven vehicles are eliminated from the roads, driverless vehicle technologies will ensure that road accidents become a thing of the past. As will become evident, such claims are not necessarily founded on technological reality. In this section we also discuss semi-autonomous vehicles which provide more limited capability, enabling aspects of a journey to be automated (under favourable conditions). Section 8.9 deals with the possible impact of robotic technologies on society, particularly in relation to employment. To date the application of robotic systems has largely centred on situations in which there is a high degree of repetitive activity, where activities are particularly dangerous, or in areas in which direct human participation is precluded (such as in the case of vehicles travelling on the surface of Mars). However, this is now starting to change and in the near term it’s likely that robots will reach a stage of development whereby the technology is able to challenge diverse forms of human employment. This forms the subject of further discussion in Chap. 9.

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In Sect. 8.10 we extend discussion presented in Sect. 1.4 in relation to aspects of extreme forms of human behaviour. This provides an important insight into perils associated with the development of some forms of advanced robotic systems capable of exhibiting autonomy. Finally we round off the Chapter (Sect. 8.11) by including another example of organisational failure, which in this case focuses on the demise of Air France Flight 477. This plunged into the Atlantic on 1st June 2009 with the loss of all on board. It is an history which suggests that in many areas there is an optimal level of automation, and that too much automation can be counterproductive. In addition it provides a strong example of the fallibility of both people and technologies. After all, technologies are designed and manufactured by people—people are fallible, and therefore it follows that the technologies that we create are also unlikely to be perfect.

8.2

On Robots and Paradoxes ‘Beneath a blinding white blue sky, The birds count to ten and sing… And since wakefulness is a punishment to some, It’s important for us to enjoy [this] reality.’2

During the First World War, more than three hundred British soldiers were executed for desertion and/or cowardice. In each instance the execution process was carried out with clinical ritualistic military precision, and in studying this history I haven’t yet come across any cases of an execution being disrupted by someone present refusing to carry out his/her designated task. Certainly the age of those who found themselves standing before a firing squad doesn’t seem to have caused disruption of process (e.g. Private Herbert Burden who was executed at the age of 17). No soldier refused to raise and fire their weapon, no officer refused to orchestrate events, and nor do medical or religious representatives appear to have raised a robust last minute protest—even though it was well known that courts marshal were often strongly biased and conducted without proper process. Indeed a key aim to such ritualistic executions was often simply to provide a salient lesson to others and so stiffen their resolve to obey orders without question. Nor did the gender of the victim cause disruption of military process. Take the case of Edith Cavell who, despite being a nurse with an exemplary record, was found guilty of treason and in 1915 was executed by an eight-man firing squad. The fact that she stood courageously before the executioners in her nurse’s uniform and would therefore have been recognised as someone committed to the compassionate care of soldiers, made no difference, for after all orders are orders—and must be obeyed.

Blundell, Q., ‘Reality’, in ‘Collected Works’ (2020).

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Robotic technology

Under-utilisation of key attributes

Scale of quest to mimic such attributes

Performance characteristics

Quest to develop technologies which out-perform the human species

Variability of value placed on human life

Value of investment directed in robot research and development

Over-simplification of fundamental human profundity

Willingness to ascribe human profundity to technology

Complexity of human nature (‘Jekyll and Hyde’ factor)

Efforts to mimic aspects of human nature

Robotic Systems

Fig. 8.1 Possible paradoxes (and related matters) that we might associate with current and future trends in relation to the development of certain forms of robotic technologies.

In reflecting on the way in which such executions were carried out, we may conclude that even if those participating in the killing process were truly grieved by their actions, this did not cause then to refuse to follow commands. It didn’t incite individualistic action. Perhaps we may assume that this demonstrates war-time erosion of fundamental aspects of humanity—that they behaved like automata— possibly even like robots? With these thoughts in mind and before considering the essential nature of today’s robotic systems and their application, it’s useful to introduce three apparent paradoxes relating to efforts which are currently being directed towards their creation. These are summarised in the upper part of Fig. 8.1 and are discussed in the following subsections. In the lower part of the illustration, we indicate two other loosely related areas. The first of these relates to the frequent over-simplification of human consciousness and is discussed in Sect. 8.3. Finally in the illustration we refer to the complexity of human nature—specifically our ability to act in both positive and negative ways. This is an area which received brief coverage in Sect. 1.4, and in Sect. 8.10 we extend this discussion—particularly in relation to aspects of robotic systems.

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8.2.1 Capitalising on Key Human Attributes The example given above is somewhat extreme in nature and fortunately we’re unlikely to ever be faced with an ethical dilemma of this sort. However, it provides us with a thought-provoking backdrop against which we can develop our discussions (also see OTU Activity 8.1). In our everyday working lives we frequently encounter situations in which we are influenced and/or induced to ‘obey’ instructions, to follow processes, and at times to act in ways which may be contrary to our basic set of personal ethical values. In fact in terms of dealing with problems which arise, employers frequently encourage staff to follow pre-defined procedures and discourage the use of individual judgement, the application of common sense, and problem solving (which may simply be based on a desire to do the right thing). By way of example, consider the case of employees of a company who are responsible for dealing with customers: from sales through to complaints. Invariably, systems are put in place that are intended to homogenise the customer experience. As a result employees must be trained to adopt a common framework of behaviours and actions. This implicitly impacts upon individuality and may well result in the erosion of empathy, spontaneity and honesty. Behaviours are fostered which reflect obedience to instructions that are enshrined in defined procedures. A danger is that over time we may no longer question some of the ways in which we are working—procedures become norms, and conformance can be reinforced through the use of staff monitoring and surveillance processes. Undoubtedly many believe that to encourage individualistic working practices would be a recipe for mayhem, and it may be argued that conformance to procedures is necessary because staff may not have the skills needed to formulate proper courses of action. If this is the case, then we may perhaps anticipate that the doctrine of rule-based action would be less prevalent within organisations which employ more educated and/or experienced professional staff. However, conformance to rule-based procedures is now endemic in very many tertiary institutions, even though they purport to employ highly skilled and knowledgeable professionals as academic staff.3 Unfortunately the suppression of individuality in action can foster an environment in which personal creativity is unable to flourish, and this can undermine a fundamental function of seats of higher learning. In short, in many situations there is not only a failure to capitalise on key human attributes, but a requirement that such attributes should be suppressed. Perhaps this may suggest the promotion of behaviours which in some ways reflect our perception of the traditional model of an automaton?

3

Interestingly, in relation to homogenising the student educational experience, long-standing colleagues often comment on the fact that rule-based processes are frequently promoted, established, and monitored by staff who seldom (if ever) work with, or teach, students and who are therefore least well-placed to undertake this type of activity!

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OTU Activity 8.1 1. Identify and discuss situations relating to your own experiences or observations in which people have (or continue) to act on the basis of following orders/instructions without reference to their own sense of ethical values. 2. Following on from (1), clearly identify and discuss those facets of behaviour which have been suppressed or emphasised. 3. In the case of the situations identified in (1), discuss whether or not you believe that these people have behaved in a manner which is more closely aligned to our general notions of an automaton.

Paradoxically, key human attributes that so many employers fail to capitalise on are the very ones which those involved in some areas of robotics research are most keen to emulate. Thus, for example, in developing so-called humanoid robotic machines such as Sophia (look ahead to Sect. 8.6), an aim is not to simply create devices which act as automata, but rather much more advanced systems that are able to give the impression of demonstrating human qualities such as intelligence, empathy, humour, spontaneity, and warmth of communication. Adaptability as demonstrated by the ability to apply ‘common sense’ to new situations may well denote an ultimate goal in the development of humanoid robots. This is of course one of the greatest of human talents, although unfortunately the doctrine of rule-based action is not one that truly exploits this remarkable capability. Perhaps it’s undervalued by employers and governments (e.g. in the development and implementation of heath and safety regulations), because it is so difficult to accurately describe its many facets. However, if ever encapsulated in robotic machines, it is likely that this will be recognised as a major breakthrough which will be fully exploited in offering ‘new’ ways of working—which would certainly be something of a paradox.

8.2.2 Outperforming the Human Species ‘All religions are fundamentally based upon faith. And never has our faith in science been so strong: the cure to all ills and the fount of all understanding. Science is the new religion and has firmly entered the realm of religious intolerance.’4

It may be considered something of a paradox that any intelligent species would deliberately set out to create machines that may ultimately reach a level of refinement such that they are able to exhibit capabilities which may threaten the

4

Observation by the author.

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societal structure and wellbeing of the species itself. Here, a fundamental concern relates to the way in which research and development work is being fuelled by commercial and governmental interests—despite a clear recognition that the large-scale deployment of advanced robotic systems may pose many threats to society—and particularly to employment and hence social order (see Sect. 8.9). This is resulting (across many areas of technologically-related development) with the adoption of a ‘can do, will do’ philosophy, in which potential future ramifications are cast to one side in favour of shorter-term financial and political expediency. Of course, over the centuries we have had great success in developing machines that can carry out tasks in ways that out-perform the individual (e.g. in relation to speed, accuracy, and the like). However, we have now reached the point at which key ingredients needed to develop highly adaptive robotic systems with autonomous capabilities are attaining the level of sophistication that is needed to make major technological breakthroughs. This will yield robotic systems which have little in common with automated systems developed during the last two centuries, and so in looking forward it’s unwise to overly focus on the societal impact of yesteryears (and indeed current) systems.

8.2.3 Valuing People and/or Technology ‘It is only to the individual that a soul is given. And the high destiny of the individual is to serve rather than to rule, or to impose himself in any other way.’

We live in a world in which long-standing racially entrenched prejudices are being gradually eroded—at least in principle. However, there can be little doubt that the value placed upon human life often continues to be linked to geographic, financial and racial factors. It’s amid this backdrop that investment in many forms of technology (which is often primarily aimed at bettering the lives of those in the economically more wealthy countries) continues to increase. Furthermore research into Global Warming suggests that increases in global temperature are likely to cause climate changes that will have a much more profound impact on people living in certain countries—especially equatorial and sub-equatorial regions. Over the coming decades, it is conceivable that we will therefore see increasing numbers of people affected by famine and poverty. It may therefore appear to be something of a paradox that amid such a backdrop, great efforts are being made to develop certain forms of robotic technologies which are likely to have a significant negative impact on many forms of employment, and which may therefore further widen the gulf between the rich and poor. For discussion see OTU Activity 8.2 and Sect. 8.9.

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OTU Activity 8.2 In 2017 it was reported that more than 100 million people worldwide were suffering from serious malnutrition (Pells 2017). Of these people a significant proportion were likely to die from starvation or from causes directly attributable to the lack of a proper diet. Our failure to properly invest in the solutions needed to eradicate acute poverty frequently forms a basis to critical discussions relating to expenditure on certain forms of military and non-military technologies. . 1. Discuss whether or not you believe that acceptance by wealthier societies of continued levels of acute poverty coupled with large-scale expenditure on certain forms of technology represents a situation which can be ethically justified. 2. In certain industries, robotic systems offer to enable more goods to be manufactured in a shorter time and at a lower cost. This can fuel ‘repetitive consumption’ in economically wealthier countries (recall Section 6.4) which results in an increase in the demand for raw materials and energy. Given the possible effects that this may have in promoting Global Warming and on employment, research and discuss the broader ramifications of employing ever more powerful industrial robotic systems.

8.3

Reflections on Aspects of Human Consciousness ‘This is an extremely strange development, unexpected by all but the theologians. They have always accepted the word of the Bible… (But) for the scientist who has lived by his faith in the power of reason, the story ends like a bad dream. He has scaled the mountains… he is about to conquer the highest peaks; [and] as he pulls himself over the final rock, he is greeted by a band of theologians who have been sitting there for centuries.’5

It’s particularly interesting to spend time reflecting on fundamental human characteristics—on the essential ingredients which give rise to (or appear to give rise to) the inner ‘me’. In doing so, human consciousness will undoubtedly be quickly identified as being of central relevance. But although this term is widely used, it is actually quite difficult to articulate its exact meaning. One approach (which is helpful but far from satisfactory) is to provide an insight into the nature of consciousness by making comparisons to situations in which it is absent: ‘What we are when we are awake, as contrasted with what we are when we sink into a profound and perfectly dreamless sleep… that it is to be conscious. What we are less and less, as we sink gradually down into dreamless sleep, or as we swoon slowly away: and

5

Jastrow (1978)—founding director of NASA’s Goddard Institute for Space Studies.

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what we are more and more, as the noise of the crowd outside tardily arouses us from our after dinner nap, or as we come out of the midnight darkness of the typhoid-fever darkness – that is consciousness.’ (Stout 1901 quoting Ladd 1894)

In a similar vein, Searle (1990) suggests that consciousness refers to: ‘…those subjective states of awareness or sentience that begin when one wakes in the morning and continues throughout the period that one is awake until one falls into a dreamless sleep, into a coma, or dies or is otherwise as they say, unconscious.’

Block (1995) suggests that: ‘The concept of consciousness is a hybrid or better, a mongrel concept: the word ‘consciousness’ connotes a number of different concepts and denotes a number of different phenomena.’

It’s important to note that we can experience consciousness on many levels, and as a consequence the first two of the above descriptions are somewhat imprecise. The third acknowledges the difficulty of developing a precise and all-encompassing definition of consciousness, but doesn’t take us much further forward. Fortunately, in this subsection we’re able to confine ourselves to certain aspects of mental states which we will collectively refer to as ‘conscious awareness’. We assume that this encompasses the facets of the mental processes of which we are aware: thoughts, feelings (such as fears, anger, love and hatred), sensations, volitions, and experiences (such as that which we attribute to eating chocolate and the colour that we mentally perceive when we view light emanating from the leaves of trees). For our purposes, this simplification is largely sufficient and avoids the need to use convoluted wording which may obfuscate discussion. However, it’s useful to bear in mind that this subsection is simply intended to act as an introduction to a fascinating subject area, and so our use of the term ‘conscious awareness’ rapidly becomes less appropriate as aspects of consciousness are considered in greater depth. For example, we can distinguish between consciousness pertaining to experiential states (such as taste, smell, desires, and the like), and those that relate to content that is poised for use as a premise of reasoning or for rational control of action. These are referred to as P-conscious (phenomenal) states and A-conscious (access) states respectively (Block 1995). By way of a simple example, consider the case of driving a car. Upon encountering a red traffic light, the attentive driver ‘experiences’ this light (or rather an effect which it evokes) but this in itself will not result in the driver stopping the car. Clearly, the ‘experience’ must be applied in rationally controlling the car—which is an aspect of A-consciousness. Matters become more complicated when we consider the case of a driver whose mind is occupied with other matters and who on reaching his/her destination can recall little about the journey. However, in the text that follows we can overlook the distinction between P-consciousness and A-consciousness and simply focus on the nature of ‘conscious awareness’, which is assumed to represent subjective ‘inner’ experiences in which we are able to ‘know’ of an experience—we ‘experience the experience’. For example, we don’t simply ‘detect’ the perfume of a flower—we ‘experience’ it, and

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we don’t simply have thoughts—we experience them (indeed we can experience thoughts about experiencing thoughts). Conscious awareness is also assumed to include ‘self-consciousness’—which may be defined as: ‘…the possession of the concept of the self and the ability to use this concept in thinking about oneself.’ (Block 1995)

In discussions about conscious awareness, we often struggle to find words which will appropriately express our meaning, and with this in mind it is instructive to break off and take a look at OTU Activity 8.3. OTU Activity 8.3 Take pen and paper and try to answer the question: ‘Who am I?’ This Activity requires a degree of taxing introspection! Note the use of ‘who’ and not ‘what’ in this question. In endeavouring to answer you should avoid the use of responses which relate to your ‘outer-self’ – such as your age, family, life-style, employment, etc. In short you should focus on identifying aspects of your inner-self: your essence. This may well prove to be a challenging undertaking.

Philosophers frequently talk of ‘qualia’—a term which can be loosely described as referring to the introspectively accessible phenomenal aspects of our mental lives. For clarification, in Fig. 8.2, we indicate a number of indicative mental states which are said to possess qualia. In addition, we may consider that qualia should be ascribed to some forms of thought (although not all philosophers are in agreement with this). For example, consider our use of an ‘inner voice’ through which we

Experiencing fear

Experiencing jealousy

Hearing piano music

Feeling an itch Feeling hungry

Qualia

Rubbing silk

Seeing colours

Feeling cold

Sense of elation

Experiencing sorrow

Sense of depression

Sense of boredom

Fig. 8.2 Indicative aspects of our conscious awareness which are said to possess ‘qualia’. It is suggested that ‘Qualia is an unfamiliar term for something that could not be more familiar to each of us: the way things seem to us’. (Dennett quoted in Marcel et al. 1988).

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often ‘talk’ to ourselves, or the case in which we read a book and may enter a fully immersed state of mind. Invariably these experiences evoke a range of emotions and may be accompanied with visual sensations. However they fundamentally differ from the exemplar qualia indicated in Fig. 8.2 as they are underpinned by knowledge of language (and/or recourse to mental imagery) and so are not necessarily innate—see OTU Activity 8.4. It would seem that some qualia can be readily ‘conjured up’ in the mind whilst others prove to be more elusive. Thus for example, when I ‘think’ of specific colours, I am able to mentally perceive them. In contrast, if I endeavour to simply ‘think’ of the taste of chocolate, I am unable to do so. However, even the briefest smell of a piece of chocolate provides a sufficient stimulus to enable me to ‘know’ of its taste.6 Very often, internalised experiences have no resemblance to physical reality. For example, consider the internalised sensation of colour. This is entirely illusionary— whilst the leaves on a tree may give rise to an experience which we perceive and refer to as being ‘green’, in reality this colour has no physical basis. In fact much of our visual experience is illusionary—consider, for example, linear perspective. The further away an object is, the smaller it appears, which of course has no bearing on physical reality! This type of illusionary quality equally applies across other aspects of our conscious ‘experiences’—my ‘experiences’ of the taste of chocolate or of the smell of newly cut grass don’t represent physical reality. Similarly, pain is an internalised ‘experience’, it is that ‘thing’ that I know about when I burn my finger or inadvertently stub my toe. It is something that I dislike intensely but beyond that, how would you describe the sensation of pain to someone who had never experience it? OTU Activity 8.4 To what extent do you believe that our ability to employ a rich vocabulary plays a critical role in reinforcing the notion of ‘I’ – i.e. a profound awareness of ‘self’. In answering this question, try to imagine how your conscious awareness and selfappreciation would be affected if you had no knowledge whatsoever of language.

When we undergo an experience, we may reflect on its ‘phenomenal character’— and in turn associate with it certain qualities. For example, as I pause and look through the open nearby window, I am presented with a view of springtime splendour. In the foreground tall green grass waves in the breeze and there is an ancient copper beech tree in the distance from which a blackbird sings. Around the window casement, there are roses deep red in colour: their perfume refreshing the early morning air. Briefly I ruminate on the phenomenal character of this vista and the nature of the qualia which ‘I’ am able to consciously experience. This brings to 6

It is interesting to note the remarkable power of our sense of smell in evoking memories. For example, a particular and quite unexpected smell can instantaneously evoke a long-forgotten memory with great clarity.

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mind an expression that is widely used in connection with a qualia—‘there is something that it is like’. This encapsulates the notion that my consciousness of colours, sounds, etc. is something that ‘I’ tangibly experience—but it becomes so very difficult to describe the precise nature of the experience. When I attempt to do so, mental states seem to take on an ephemeral dimension. Whilst I can describe the scene with ease, in detail, and with great accuracy, it’s far more difficult for me to describe ‘my’ experience of the experience that it is providing. Suppose that we were to construct a robot which is intended to sense different colours of light and take some action when light of a particular colour (let’s say green) is detected. For this we could use photodiodes equipped with filters, a microcontroller, and some elementary software. The robot would then be able to detect and respond to the green light in the intended manner. But it would have no phenomenal consciousness—it would not consciously ‘experience’ the green light and so it would remain an inanimate machine. Whereas ‘we know what it is like to be us’ (Nagel 1974), or perhaps more accurately ‘I know what it is like to be ‘I’’— the robot would not. It is this ‘knowing’ that seems to fundamentally define conscious awareness, and it’s this consciousness which determines ‘my’ experience, awareness, understanding, and rationalisation of the universe. Consequently, if we were able to obtain an in-depth understanding of human consciousness this would likely provide a key to gaining an insight into many other aspects of our existence. Before reading on, it may be instructive to take a look at OTU Activities 8.5 and 8.6. OTU Activity 8.5 Consider the following thought experiment in which you assume that you have a doppelganger – a ‘person’ who is absolutely identical to you in all respects – except that he/she is a zombie. By this we mean that the zombie has no experience of consciousness. In classic discussions which unfold around this doppelganger scenario it is assumed that the zombie: ‘…behaves identically to you… holds conversations, eats and sleeps, looks happy or anxious precisely as you do.’ (Burkeman (2015)) Discuss the following: 1. Given that the zombie has no experience of consciousness; would the zombie behave exactly as you do? Here it’s important to bear in mind that we have ‘free will’ (although as we discuss shortly some believe this not to be the case). Could a zombie possess ‘free will’? 2. Given that the zombie has no consciousness, would this mean that it is by definition sub-human? 3. Suppose that you and your zombie doppelganger were to approach a stranger. How could/would the stranger distinguish between the two of you? How would you prove that you are not the zombie?

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Private

Consciousness States of consciousness

Dynamic

Fig. 8.3 Three indicative facets of consciousness. Note that there are different levels (altered states) of consciousness which includes the ability to be conscious of our own consciousness.

Figure 8.3 summarises three facets of consciousness which are relevant to our discussions. Firstly, aspects of our consciousness remain closely guarded secrets— not only from others, but also from ourselves. This not only applies when we mentally struggle to probe the dimensions of consciousness by asking questions such as ‘what am I’ and ‘why am I’ but also to memories and thoughts that we prefer to hide from others and even from ourselves. As Charles Dickens wrote: ‘A wonderful fact to reflect upon, that every human creature is constituted to be that profound secret and mystery to every other. A solemn consideration, when I enter a great city by night, that every one of those darkly clustered houses encloses its own secrets, that every room in every one of them encloses its own secret; that every beating heart in the hundreds of thousands of breasts there, is in some of its imaginings, a secret to the heart nearest it!’ (Dickens 1859)

Undoubtedly privacy is an important attribute to our experience of consciousness— which belies the remark attributed to Scott McNealy and which was quoted in OTU Activity 3.1: ‘You have zero privacy anyway. Get over it.’ In fact it’s interesting to ruminate on what would happen to aspects of conscious awareness if privacies were to be eliminated such that every facet of ‘me’ was to be readily available not only to others but also to ‘me’—and in such a way that memories did not fade with the passage of time… The profundity and complexity of consciousness is enhanced by the fact that we all construct/develop our own (subjective) realities in respect of both the immediate present and past. In the case of the former, our consciousness is never static but dynamically drifts between states which are occasionally firmly embedded in our memories or more usually lost forever (or at least beyond conscious recall). In fact: ‘Only a small fraction of what is actually happening around us breaks into our ongoing stream of consciousness.’ (Kimble 1977)

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OTU Activity 8.6 Consider the following quotation: ‘I take very seriously the motivating premise of contemporary cognitive science – that the mind can be thought of as a biological information processing device…’ (Jackendoff (1989)) Reflect on and discuss this notion. Particularly consider whether you believe that all facets of your mental processes, consciousness, and ‘being’ can ultimately be explained, and attributed to, the electrochemistry of your brain.

In Fig. 8.3, consciousness is depicted within a rectangle that is given depth—the aim being to emphasise that we have different levels of consciousness which includes the crucial ability to be conscious of, and probe our own experience of consciousness: ‘So it is that the brain investigates the brain, theorising about what brains do when they theorise, finding out what brains do when they find out, and being changed forever by the knowledge.’ (Churchland 1986)

And: ‘Our normal waking consciousness is but one special type of consciousness, whilst all about it, parted from it by the filmiest of screens, there lie potential forms of consciousness entirely different. No account of the universe in its totality can be final which leaves these other forms of consciousness quite disregarded.’ (James 1904)

As ever more complex robotic systems are developed it’s likely that corporate and media hype will increasingly promote the notion that emerging robots truly exhibit key attributes that are associated with the human—and there can be little doubt that this will include conscious awareness. In fact in the case of the Sophia robot (see Sect. 8.6), it appears that such a claim has already been made. As will be seen it’s reported that an interview with the CEO of Hanson Robotics (who developed Sophia) included the following exchange: ‘“So she’s basically alive; is that what you’re saying?” Fallon asks in half a whisper. “Oh yeah she is basically alive,” Hanson responds…’ (Gershgorn 2017)

There are many other claims to robot consciousness. For example, consider the attention grabbing title of a New Scientist article: ‘Robot Homes in on Consciousness by Passing Self-Awareness Test’ (Hodson 2015)

However as indicated in the article it appears to be impossible to imbue a robot with phenomenological consciousness: ‘Without it, robots are mere “philosophical zombies”, capable of emulating consciousness but never truly possessing it. “The idea requires that there is something beyond the

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physical mechanisms of thought that experiences the sunrise, which philosophical zombies would lack,” Hart says.’ (Justine Hart, University of British Columbia quoted in Hodson 2015)

But, what is it that makes each of us ‘alive’—that formulates the conscious fire within and that distinguishes us from ‘philosophical zombies’? In 1995 David Chalmers identified our quest to understand consciousness as a ‘Hard problem’. He suggested: ‘What makes the hard problem hard and almost unique is that it goes beyond problems about the performance of functions. To see this, note that even when we have explained the performance of all the cognitive and behavioral functions in the vicinity of experience— perceptual discrimination, categorization, internal access, verbal report—a further unanswered question may remain: why is the performance of these functions accompanied by experience?’ (Chalmers 2010)

Given a problem of such magnitude and our inability to answer the question with any certainty, perhaps this would be an appropriate point at which to end this section—for as the British psychologist Stuart Sutherland is said to have remarked (albeit perhaps slightly over-negatively) on the subject of consciousness: ‘It is impossible to specify what it is, what it does, or why it evolved. Nothing worth reading has been written on it.’

And by continuing this discussion, I’m likely to be guilty of doing no more than adding to the tsunami of literature which has been produced on the subject. Furthermore whilst what has been written so far in the subsection is unlikely to generate controversy, to continue along the lines that I have in mind is a perilous task. This is because discussion of consciousness raises the passions of researchers and despite the major importance of the subject; it has often been pushed firmly to one side—being regarded as something of a ‘hot potato’. For example, when Christof Koch the Chief Scientific Officer at the Allen Institute for Brain Science published a paper with the Nobel laureate Francis Crick suggesting that consciousness could no longer be ignored, he recalls: ‘“People thought I was crazy to be getting involved,… A senior colleague took me to lunch and said… Francis was a half-god and he could do whatever he wanted, whereas I didn’t have tenure yet, so I should be incredibly careful. Stick to more mainstream science! These fringy things – why not leave them until retirement, when you’re coming close to death, and you can worry about the soul and stuff like that?”’ (Burkeman 2015)

From a career perspective there may be wisdom in such advice although many have been willing to face the challenges of undertaking research into an area in which problems appear to be almost insurmountable: ‘Consciousness poses the most baffling problems in science of the mind. There is nothing that we know more intimately than conscious experience, but there is nothing that is harder to explain. All sorts of phenomena have yielded to scientific investigation in recent years, but consciousness has stubbornly resisted. Many have tried to explain it, but explanations always seem to fall short of the target.’ (Chalmers 1995)

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Perhaps as many believe, we are our consciousness—we are the experience which encompasses our thoughts, feelings and actions and which is created by the interactions of the super-complex electrochemical systems which form our brain. ‘There is… a mountain of evidence that all human and animal behaviour is caused by neural events, and that every neural event is caused by some physical event. The evidence is not conclusive, but it rarely is even in the best of science.’ (Globus et al. 1976)

And it is on this general basis that many claim that it will ultimately be possible to create a sufficiently powerful electronic system able to experience consciousness. For others, the inner ‘me’ cannot be rationalised in terms of the interactions of atoms and molecules. The ‘me’ is considered to be something more profound— beyond the bounds of our current comprehension. But this very suggestion can evoke outrage—even between members of scholarly communities: ‘The consciousness debates have provoke more mudslinging and fury than most in modern philosophy, perhaps because of how baffling the problem is: opposing combatants tend not merely to disagree, but to find each other’s positions manifestly preposterous.’ (Burkeman 2015)

The debate between philosophers, neurologists, psychologists, theologians, and others can certainly be intense and is compounded by the widely differing stance of atheists and believers. Should anyone have the temerity to use the ‘soul’ word, matters can reach melt-down proportions. It would seem that as with some other words comprising four letters, many believe that ‘soul’ should not be used in polite company. Often therefore those who pursue the notions of substance dualism (an approach which suggests that the mind and brain are separate and that the former (the ‘me’)7 does not comprise physical substance—but rather something else) adopt other terms such as ‘the conscious self’. However, it is not uncommon for researchers who view consciousness in other ways to continue to use the word ‘soul’ in a satirical manner (by way of example see discussion between Eccles and Savage in Globus et al. 1976). Even when the neurophilosopher Patricia Smith Churchland endeavoured to review aspects of substance dualism, scepticism showed through her scholarly writing—which contained references to ‘soul-stuff’ and ‘ghostly substance’ (Churchland 1988).8 Actually it’s quite fascinating to observe the passions that are generated by debates on consciousness—particularly when dualism is mentioned. Heated argument even extends into some forms of research literature. For example, a general introduction to an article intended to eliminate the notion of dualism opens:

7 The term ‘Interactionist dualism’ refers to the notion that the body and immaterial soul act upon each other. 8 ‘How can something we do not see exist? At least since the Copernican revolution, humans should be prepared to admit their non-centrality to the makeup of the universe. Yet each time people learn about it in a new context, many get confused or surprised. There is no reason that the matter we see should be the only type of matter there is.’ (Randall 2018) In fact this quotation doesn’t relate to ‘soul-stuff’ but rather to the existence of Dark Matter…

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‘Dualism lives! And [the author], in the following article, would like to finally lay “the ghost of the machine” to rest. Mustering a multitude of weighty arguments – old and new – he assaults what many would regard as Cartesianism. Yet after all, it would seem that the tormented spirit escapes again. It may be useful to consider just why it is so difficult to stay the apparition, and prick him to the quick.’ (Globus et al. 1976)

OTU Activity 8.7 Dennett (1994) opens with the following assertion: ‘The best reason for believing that robots might some day become conscious is that we human beings are conscious, and we are a sort of robot ourselves.’ Critically discuss this notion.

Similarly, in countering discussion concerning the impossibility of developing conscious robots, Dennett (1994) takes a hard-line approach: ‘Let us briefly survey…reasons someone might advance for the impossibility of a conscious robot: (1) Robots are purely material things and consciousness requires immaterial mind-stuff… It continues to amaze me how attractive this position is to many people. I would have thought a historical perspective alone would make this view seem ludicrous: over the centuries every other phenomenon of initially “supernatural” mysteriousness has succumbed to an uncontroversial explanation within the commodious folds of physical science…Why should the brain be the only complex physical object in the universe to have an interface with another realm of being?’

Naturally, this sort of writing widens the gulf which exists between those who believe that our complete understanding of ‘me’ can be gained from neurobiology and those who are of the view that this can only provide an insight into certain pieces which form a much more complex jigsaw puzzle. In this context, it is useful to bear in mind an observation made by Werner Heisenberg: ‘What we observe is not nature in itself but nature exposed to our method of questioning.’ (Quoted in Gleisner 2018)

This author goes on to write that in relation to furthering our knowledge and understanding of the unknown: ‘…we need tools that extend into realms beyond our sensorial reach…the scientific worldview depends on the information we can acquire through our instruments. And given that our tools are limited, our worldview is necessarily myopic…What should change is a sense of scientific triumphalism – the belief that no question is beyond the reach of scientific discourse…Perhaps some kind of rudimentary consciousness could emerge in a sufficiently complex machine. But how could we tell?’

In respect of research and discourse concerning human consciousness, the key difficulty doesn’t necessarily lie in diversity of viewpoints—but unfortunately in the lack of tolerance for such diversity.

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Burkeman (2015) drawing on the work of David Chalmers succinctly formulates an overarching question to which there is no clear answer: ‘How could a 1.4 kg lump of moist, pinkish-beige tissue inside your skull give rise to something as mysterious as the experience of being that pinkish-beige lump, and the body to which it is attached.’ (Burkeman 2015)

And in this general context, Koch (2018) writes: ‘…the abiding mystery is how and why any highly organised piece of active matter gives rise to conscious sensation. After all, the brain is like any other organ, subject to the same physical laws as the heart or the liver. What makes it different? What is it about the biophysics of a chunk of highly excitable brain matter that turns gray goo into the glorious surround sound and Technicolor that is the fabric of everyday experience.’

On the other hand: ‘Daniel Dennett [cognitive scientist] has always believed our minds are machines. For him the question is not can computers be human? But are humans really that clever? … Dennett blames the philosopher René Descartes for permanently polluting our thinking about how we think of the human mind.’ (Buckley 2017)

The notion of the existence of a ‘life force’ (élan vitale) which distinguishes animate and inanimate entities is one that has been long discarded by the scientific community. To even suggest such a notion is to run the risk of being labelled a Luddite (recall discussion in Sect. 6.7 concerning the Luddites and the frequent misuse of this term). However, the perception of the existence of a ‘life force’ is one which is strongly reinforced by nature—not only in life, but also in death. In the case of the former, on a bright spring day when surrounded by trees and pervasive vitality it is difficult to cast to one side the notion of ‘life force’ and in the latter case, the moment of death invariably signifies (or appears to signify) a quantum transition—from the state of a living person (even when the signs of life are minimal) to a state in which the body is an inanimate object. This is reflected in our common usage of expressions such as ‘he has passed away’ and ‘she has gone now’—both of which suggest the disappearance of ‘something’. And in a world that is deeply troubled by religious differences, it’s interesting to note that the main religions exhibit much commonality in the belief of a dimension to the ‘me’ which transcends the limitations of the physical world. Invariably this encompasses the existence of a human soul and hence the problematic area of substance duality. Even the most innocuous suggestion of ‘something’ which exists in time but not in space can provoke great scorn from those who believe solely in an electrochemical explanation for the illusion of conscious awareness. A basis for this lack of tolerance is suggested by Jastrow (1978)—although he is alluding to the reaction of some key figures within the scientific community to evidence for the so called ‘big bang theory’ and the implication that time ‘steady state theory’ was not valid: ‘…scientists cannot bear the thought of a natural phenomenon that cannot be explained, even with unlimited time and money. There is a kind of religion in science; it is the religion of a person who believes there is order and harmony in the universe, and every event can

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be explained in a rational way… every effect must have a cause…. It turns out that the scientist behaves the way the rest of us do when our beliefs are in conflict with the evidence. We become irritated, we pretend the conflict does not exist, or we paper it over with meaningless phrases.’

And whilst science has made great progress, many of the ‘big’ questions remain unanswered including the matter of conscious awareness. As with Plato, René Descartes (1596–1650) who is often viewed as the father of modern philosophy firmly believed in the existence of the non-physical soul: ‘It seemed to him that the founding certitude was that he had thoughts, feelings, doubts, and so on. Whether the thoughts corresponded to an external reality was not established, but that they were a testament, indubitable and certain, to inner reality, Descartes took as established.’ (Churchland 1988)

For some, Descartes oft-quoted conclusion still retains its validity but doesn’t take us further in unfolding the mystery of conscious awareness: ‘Cogito ergo sum’ (I think, therefore I am)9. Many others take an opposing stance—for example: ‘The prevailing wisdom, variously expressed and argued for, is materialism: there is only one sort of stuff, namely matter – the physical stuff of physics, chemistry, and physiology – and the mind is somehow nothing more than a physical phenomenon. In short, the mind is the brain.’ (Dennett 1991)

From our earliest days we have demonstrated a strong need to believe in something that is outside the scope of our knowledge and which can give a meaning to life. Even if the ‘me’ can completely be explained in terms of neuroscience then this perhaps doesn’t take us much further forwards in understanding the even greater ‘But now that I wanted to devote myself solely to the search for truth, I thought I needed to do the exact opposite - to reject as if it were absolutely false everything regarding which I could imagine the least doubt, so as to see whether this left me with anything entirely indubitable to believe. Thus, I chose to suppose that nothing was such as our senses led us to imagine, because our senses sometimes deceive us. Also, I rejected as unsound all the arguments I had previously taken as demonstrative proofs, because some men make mistakes in reasoning, even in the simplest questions in geometry, and commit logical fallacies; and I judged that I was as open to this as anyone else. Lastly, I decided to pretend that everything that had ever entered my mind was no more true than the illusions of my dreams, because all the mental states we are in while awake can also occur while we sleep
and dream
, without having any truth in them. But no sooner had I embarked on this project than I noticed that while I was trying in this way to think everything to be false it had to be the case that I, who was thinking this, was something. And observing that this truth I am thinking, therefore I exist was so firm and sure that not even the most extravagant suppositions of the skeptics could shake it, I decided that I could accept it without scruple as the first principle of the philosophy I was seeking. Then I looked carefully into what I was. I saw that while I could pretend that I had no body and that there was no world and no place for me to be in, I still couldn’t pretend that I didn’t exist. I saw on the contrary that from the mere fact that I thought about doubting the truth of other things, it followed quite evidently and certainly that I existed; whereas if I had merely stopped thinking altogether, even if everything else I had ever imagined had been true, I
would have had no reason to believe that I existed. This taught me that I was a substance whose whole essence or nature is simply to think, and which doesn’t need any place, or depend on any material thing, in order to exist. Accordingly this me - this soul that makes me what I am - is entirely distinct from the body, is easier to know than the body, and would still be just what it is even if the body didn’t exist.’ (Descartes 1637)

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question of ‘why’ time and space exist—at least in the scope of our perceptual framework. In the words of Bertrand Russell (1872–1970): ‘That Man is the product of causes which had no prevision of the end they were achieving; that his origin, his growth, his hopes and fears, his loves and his beliefs, are but the outcome of accidental collocations of atoms; that no fire, no heroism, no intensity of thought and feeling, can preserve an individual life beyond the grave; that all the labours of the ages, all the devotion, all the inspiration, all the noonday brightness of human genius, are destined to extinction in the vast death of the solar system, and that the whole temple of Man’s achievement must inevitably be buried beneath the debris of a universe in ruins – all these things, if not quite beyond dispute…’ (Russell 1902)

Perhaps it is therefore fortunate that we may well be unlikely to ever be able to discuss these matters in apodictic terms—despite many purporting to do so. This is a truly fascinating area in which there are few, if any, definite answers. In relation to the soul, Immanuel Kant (recall Sect. 1.4.2) suggested that: ‘From what can the philosopher prove the immateriality of the soul, and how far can he go? He can take the thoughts from nothing more than the expression: I, which expresses the object of the inner sense. Immateriality thus lies in the concept of the I. We cannot prove a priori the immateriality of the soul, but rather only so much: that all properties and actions of the soul cannot be cognised from materiality.’ (Kant 1997 translation)

Thereby suggesting that the matter is somewhat unfathomable: ‘Kant ended in agnosticism with respect to God, arguing that God cannot be known either by rational deduction or by empirical investigation. He assigned God to the “noumental” world,” a realm impenetrable by reason or by sense perception.’ (Sproul undated)

And Bertrand Russell writes: ‘…philosophers who make logical analysis the main business of philosophy confess fankly that the human intellect is unable to find conclusive answers to many questions of profound importance to mankind, but refuse to believe that there is some “higher” way of knowing, by which we can discover truths hidden from science and the intellect.’ (Quoted in Bricmont 2017)

Although some of the greatest philosophers, scientists and savants have endeavoured to better determine the essence of ‘me’, they have failed to make much headway. But this should not discourage us as to grappling with an apparently intractable problem. On the other hand, Kant eloquently remarks: ‘We can say no more here; otherwise we degenerate into phantoms of the brain.’ (Kant 1997 translation)

Consider for example, the problem of indescribability. Suppose that you were placed in a position of explaining to someone who has been totally blind from birth, the human experience of a particular colour. Even with careful thought, this is a difficult, if not impossible, task. Note that we are not simply talking about conveying impressions of colour to the blind person (which could, for example, be achieved by relating colours to musical notes) but rather the actual phenomenal experience. To further emphasise the difficulty associated with describing conscious

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experience, consider the case of honey bees which can sense both polarised light and magnetic fields or the remarkable bar-tailed godwit which makes the *7,000 miles migratory journey between New Zealand and Alaska—using navigational systems which appear to include the sensing of the Earth’s magnetic field. Clearly we can have no real insight as to how these creatures actually experience sensations derived from senses that we don’t possess. A publication by Thomas Nagel entitled ‘What is it like to be a Bat’ reinforces the notion that understanding mental states is difficult, if not impossible for those who do not possess those mental states—see OTU Activity 8.8. In grappling with the nature of conscious awareness and particularly our ability to ‘experience an experience’ it is important to bear in mind that qualia often have little reality in the physical world. Although this point has already been mentioned, it is worthy of further consideration. When we see light of a particular colour, we experience a sensation derived from the light. This is indeed a remarkable illusion, but then so is our overall perception of light itself. In this context Johann Gottleib Fichte (1762–1814) writes: ‘Translucent penetrable space, pervious to sight and thrust, the purest image of my awareness, is not seen but intuited and in my seeing itself is intuited. The light is not without but within me, and I myself am the light.’ (Quoted in Pesic 2009)

From this perspective we may consider that we are living within a Universe in which darkness is absolute—that is, our perception of ‘light’ does not exist as a physical entity and as Fichte suggests, our consciousness of ‘light’ lies entirely within our minds. In parallel our experience of the experience of sight is externalised so that we have no sense of seeing ‘within’ the mind. Conversely we can conjure up images (perhaps derived from memories) which are very much internalised and this adds to the difficulty of understanding our phenomenal consciousness in respect of the way in which we see. OTU Activity 8.8 Consider the following description: ‘…we know that most bats (the microchiropter, to be precise) perceive the external world primarily by sonar, or echolocation, detecting the reflections from objects within range of their own rapid, subtly modulated, high frequency shrieks. Their brains are designed to correlate the outgoing impulses with the subsequent echoes, and the information thus acquired enables bats to make precise discriminations of distance, size, shape, motion and texture comparable to those we make by vision. But bat sonar, though clearly a form of perception, is not similar in its operation to any sense that we possess...’ (Nagel (1974)) Consider this sensory mechanism and discuss any thoughts that you have in appreciating the way in which a bat may consciously experience it. You are encouraged to access the original publication.

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When we drink a glass of wine or cup of coffee, we are not simply affected by doing so—but we experience the experience and assume that others have the same phenomenal reactions. But: ‘…if experienced qualities cannot be informatively described, how could they be adequately captured in an explanatory theory. It seems that by their very nature conscious qualities defy explanation.’ (Chalmers quoted in Rosen et al. 2015)

Furthermore it’s reasonable to ask not only how we experience the experience but also why we do so. In this latter respect, we could perhaps operate effectively in the way mentioned previously in relation to the psychological zombie and if this were the case then it would be much easier to begin to properly understand the operation of the brain as a computational machine. Chalmers (2010) asks: ‘Why should physical processing give rise to a rich inner life at all?’

But if there was no such ‘inner life’ then there would be no ‘me’, and I would not be able to experience the experience of the wonders of the universe, and nor would ‘I’ be able to experience ‘my’ reflections and ruminations on information not only derived from ‘my’ sensory systems but also from ‘my’ imagination. Furthermore, ‘I’ would not be able to experience the experiences of love and joy, of sadness and fear. Nor would ‘I’ be able to experience the experiences of others and hence demonstrate that crucially important sense of empathy. ‘I’ would have little, if any, reason to form bonds based on love and the sum total of human courage would count as nothing. Indeed courage would only represent the results of computation. In short ‘I’ would not be human—perhaps ‘I’ would simply be a machine operating wholly on logic—‘I’ would be a robot.

8.3.1 Do We Possess Free Will? It would seem (at least to the author) that if we were to accept that ‘I’ am simply no more than the electrochemical activities in my brain supported by a wealth of experiences, memories, etc, all set within a framework of genetic inheritance, then we run into problems. Consider the matter of free will which may be described as: ‘The ability to make choices that are not controlled by fate or God.’ (Merriam Webster)

In the broadest sense and by its very nature, this assumes that ‘I’ have absolute control such that ‘my’ thoughts and actions can be non-deterministic. Alternatively if what we refer to as ‘free will’ is deterministic, then our actions aren’t necessarily freely chosen but are derived from a super-complex set of ‘conditions’ within the brain (here we use ‘conditions’ in its broadest sense). Thus whilst we may believe that we are freely able to make decisions, some argue that this may well be illusionary.

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This is another area in which scholars hold widely differing views—but if we’re to accept that ‘I’ am my brain (and nothing more), then the argument for deterministic behaviour is reinforced and the notion that we truly possess the freedom to do ‘things’ independently of any outside influence or internal automated electrochemical systems (underpinned by genetics), is eroded. Naturally this has ramifications for the way in which we gauge the conduct of others, and for the framework of ethically-based behaviour which is adopted by each human (from a purely deterministic perspective, this framework would simply represent brain ‘conditions’ and ‘reactions’). In short, the concept of personal responsibility is greatly eroded— or even eliminated (take a look at OTU Activity 8.9). OTU Activity 8.9 1. Discuss the relationship (if any) between free will and ethical behaviour. 2. If we were to assume that free will is an illusion (rather than a reality), discuss the extent to which we would be accountable for our actions. 3. Following on from (2), could the absence of free will be used as a justification for criminal behaviour? Also see OTU Activity 8.10.

We must however be cautious in how we interpret ‘deterministic’ behaviour. This may be defined as: ‘Relating to the philosophic doctrine that all events, including human action, are ultimately determined by causes regarded as external to the will.’ (Oxford Dictionaries)

In the current context, we are considering the notion that human ‘will’ is illusionary, in which case this definition is not entirely valid. In general terms and simplifying matters, we can assume that a machine operates in a deterministic manner if—on the basis of its past and current (known) states, its input conditions, and past and current processing activity—the action that it will take (output) can be defined. However, when we use this term in relation to the brain, we are not suggesting that all actions can be defined a priori, as actions will often depend on the state of all relevant ‘conditions’ at the moment at which an action occurs, coupled with a rich symbiosis of other factors. This inability to determine actions that will occur before they happen suggests a system that is not deterministic in the broad sense of the term, and so is perhaps better described as exhibiting quasi-deterministic behaviour. In parallel, it is useful to bear in mind that there can be little doubt that some actions exhibit a truly deterministic quality. By way of example, consider the case of instinctive reactions to visual stimuli. Some minutes ago whilst immersed in writing the above text, a large hornet (which I had not previously noticed) came hurtling, seemingly from nowhere, towards my face. My defensive action occurred

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before I had consciously considered the attack and fortunately the creature has gone off to find someone else to annoy (or to find, and return with, its friends…). In such an instance, instinctive behaviour often has a deterministic dimension. In summation, it would seem that if the inability to effectively articulate how ‘I’ experience an experience creates a ‘hard problem’ in understanding fundamental aspects of consciousness, then the question of the nature of ‘free will’ makes the problem very much more taxing. As for where the notion of quasi-deterministic behaviour takes us in understanding the apparent battle that is continually fought as we strive to ‘do the right thing’, exhibit ‘good’ behaviours, and shun works of ‘evil’ is quite unclear. But perhaps some would argue that this conflict is a further illusion, and that these are qualities which are not inextricably linked with, and fundamental to, the universe.

8.3.2 Experiencing Death ‘He who can digest a second or third fluxion, a second or third difference, need not methinks, be squeamish about any point in Divinity.’10

Here we briefly mention the phenomenon of profound religious experiences which have had a major life-changing effect on a number of people. These may, for example be experienced by people who have been revived from death, may occur quite unexpectedly at other times, or may be experienced during immersion in prayer/meditation. Over the years such experiences have been extensively researched, and there can be little doubt as to their occurrence. For example: ‘The near-death experience usually goes through a sequence of characteristic stages. One seems to be moving effortlessly and blissfully along a dark corridor or tunnel towards a wonderful “living light” – often interpreted as Heaven or the boundary between life and death. There may be visions of friends and relatives welcoming one to the other side, and there may be a rapid yet extremely detailed series of memories of one’s life – a lightening autobiography. The return to one’s body may be abrupt, as when, for example, the beat is restored to an arrested heart.’ (Sacks 2012)

In fact, this description has much in common with one that was recounted to me by a colleague who experienced such a vision when he was involved in a serious accident. Following recovery he continues to talk about the profundity of the experience and has unshakable confidence in its reality. As Sacks (2012) indicates: ‘[The experiences’] extraordinary nature – the apparent separation of “spirit” from body, imprints it indelibly on the mind and may be taken by some people as evidence of an immaterial soul – proof that consciousness, personality, and identity can exist independently of the body and even survive bodily death.’

10

Attributed to George Berkeley (1685–1753).

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OTU Activity 8.10 1. Discuss the following which encapsulates some of the points referred to in OTU Activity 8.9: ‘If the concept of consciousness were to “fall to science,” [i.e. be entirely explained on the basis of electrochemical interactions of the brain] what would happen to our sense of moral agency and free will? If conscious experience were “reduced” to mere matter in motion, what would happen to our appreciation of love and pain and dreams and joy? If conscious human beings were “just” animated material objects, how could anything we do to them be right or wrong?’ (Dennett (1991)) 2. Given potential societal ramifications, should we exercise caution in undertaking research in this area. Quite coincidentally in ruminating on this question verse of the poet William Wordsworth comes to mind: ‘…Books ‘tis a dull and endless strife: Come, hear the woodland linnet, How sweet his music! on my life, There’s more of wisdom in it… One impulse from a vernal wood May teach you more of man, Of moral evil and of good, Than all the sages can.’

From ‘The Tables Turned’

On the other hand, studies have demonstrated that these occurrences link to altered electrical activity in certain parts of the brain—especially the right temporal lobe. Sacks (2012) writes: ‘…[they] have observed an exact synchronisation of the epiphany [‘vision’] with a spike in epileptic activity in the temporal lobes.’

Here again we see strong conflict between the various research camps, and an article by Gunderman (2012) provides an interesting rebuttal. For example: ‘From a materialistic point of view, references to the divine, as well as those to ethereal qualities such as love, beauty, and goodness, merely refer to patterns of human behaviour, or what amounts to the same thing, patterns of electrochemical activity in the brain.’

He goes on to write: ‘…the mere fact that neurochemical changes are taking place does nothing to help us distinguish between good and bad, the great and the merely insipid. The truth or falsehood of such expressions is not simply a matter of correspondence with some verifiable material state. It is a matter of elegance, rhythm, balance, and above all, beauty, qualities that are to some degree transcendent.’

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Neurologist Alasdair Coles sagely remarks: ‘No amount of MRI scans, micropipettes, EEG’s or neural network computing can ever prove whether God exists or not. We are left utterly alone, catching glimpses and shards of what the truth might be: ‘For now we see in a mirror, dimly, but then we will see face to face. Now I know only part; then I know fully, even as I have been fully known. (1 Cor 13: 12)’ (Coles 2008)

Others have sought to cut through an abundance of fundamental questions and have used the neurological results to simply claim ‘religion is epilepsy’ (see for example, Coles (2008) quoting the work of Persinger (1997)). Naturally such succinct and rather sensational claims attract considerable media attention. Consider the case of a BBC documentary which suggested that when the apostle St Paul (Saul of Tarsus) underwent his conversion from a zealous persecutor of Christianity to one of its strongest advocates during his journey to Damascus (circa AD 35), he had simply suffered from an epileptic fit which had caused the life changing epiphany: ‘Trembling on his knees, he heard God asking: “Why do you persecute me?”. Soon after, he began the missionary journeys that spread Christianity across the Roman empire.’ (Petre et al. 2003)

In fact there is nothing new about such claims as, for example, back in 1987 a paper published in the Journal of Neurology, Neurosurgery and Psychiatry makes similar suggestions (drawing on earlier related publications). The author concludes: ‘While the true state of Paul’s health cannot be known, with TLE [Temporal Lobe Epilepsy] as a hypothesis for the cause of his ecstatic visions it is suggested that his “thorn in the flesh” was the occasional supervention of grand mal attacks, and that he may have had an attack of TLE on the road to Damascus, followed by post-ictal blindness – this taking place while he was undergoing a profound spiritual change, his conversion to the Christian faith.’ (Landsborough 1987)11

Ultimately, such scientific hypotheses can never be tested, and fuel a debate in which outlooks are firmly divided. In the sage words of Thomas Aquinas: ‘To one who has faith, no explanation is necessary. To one without faith, no explanation is possible.’

Certainly there are ‘things’ that cannot be properly defined and/or critically rationalised. In this context, Richard Gunderman (2012), whose article was quoted previously writes: ‘Ultimately, we cannot define the beautiful in strictly material terms. We cannot prove on solely material grounds that Dostoyevsky’s The Brothers Karamazov is one of the greatest works in the world of literature, no matter how many copies it sells or how long it remains in print. When our grandchild asks us why anyone should read a Dostoyevsky novel, or 11

In general terms discussion of this event tends to incorporate a surprising bias. Each point made in scripture is often assumed to be fully accurate and is mapped to a possible physical explanation which supports the epilepsy hypothesis. Descriptive text is assumed to exhibit great accuracy—but this assumption is applied in a narrow rather than in an holistic way. As a result research appears to adopt a ‘pick and mix’ approach so as to substantiate the hypothesis without due consideration of a broader framework.

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visit a Van Gough exhibition, or attend a performance of Mahler, we can offer no proof. We can only try to describe the difference such works made in our own lives, and offer up the hope that they will discover something similar.’

From the perspective of our current discussions, the documented occurrence of these highly vivid life-changing experiences provides a further insight into the complexities of the brain, and our uncertainty as to the mechanisms which underpin another largely uncharted level of consciousness.

8.3.3 Conscious Awareness—And Its Simulation In considering robotic systems, it’s important to consider the difference between true conscious awareness and the simulation12 of this quality: ‘Although there are some very complex and relatively convincing robots out there that appear to be alive, upon closer examination they all reveal themselves to be as motiveless as the common pocket calculator… Even if a computer could accurately create a digital representation of all these features [mechanisms and structures within the brain], which in itself involves many serious obstacles, a simulation of a brain is not a physical brain. There is a fundamental difference between the simulation of a physical process and the physical process itself. This may seem like a moot point to many machine learning researchers, but when considered at length, it appears anything but trivial.’ (Azarian 2016)

In Sect. 8.5 we briefly discuss Google Duplex—a software application which is able to converse in a natural way with people (albeit across a very limited application domain). The fact that the software appears to participate in a meaningful conversation certainly doesn’t mean that the system has any self-awareness of what it is doing. And this is a crucial consideration because by giving an impression of exhibiting a human trait, many people are tricked into believing that it has a human state. Perhaps this is accentuated by the immateriality of software and the faith that so many place in digital technologies. Interestingly, if we are faced with a physical entity which is obviously not human, the illusion fades. This brings to mind an African Grey parrot called Billy. Despite having a somewhat vicious and aggressive nature, he had four remarkable abilities: he could distinguish with unerring accuracy between men and women (he detested the former), he could use his beak to cause major injury to the fingers of males, he was able to almost perfectly mimic the voices of those around him and he could hold seemingly meaningful conversations (at least of a simple kind). Although on several occasions I was unfortunately tricked into mistaking his utterances for those of his owner—my mother-in-law, I never perceived him as exhibiting human qualities or as possessing the human form of conscious awareness.

Here, and in this context, we use the terms ‘simulation’ and ‘emulation’ interchangeably.

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In contrast, as we move towards robotic machines which have a human appearance and who like Sophia (see Sect. 8.6) are able to mimic human facial expressions, we are much more likely to be taken in by the notion that the entity is actually capable of conscious awareness: ‘I met Sophia, the world’s first robot citizen, and the way it said goodbye nearly broke my heart.’ (Peterson 2017)

Given the scope of the questions and issues that we have briefly alluded to in this section, it may be surprising to some readers that there are technologists who firmly believe that digital systems will one day be able to scale the peaks of the greatest facets of the human experience—and that they will consciously experience doing so. But even in the highly unlikely event that this proved to be possible, we should also consider the dangers of incorporating free will, even if this is simply represented by quasi-deterministic behaviour (recall Sect. 8.3.1). In summation, whilst it is relatively easy to simulate (and hence give an impression of) conscious awareness, the actual realisation of this complex and multi-faceted human trait would, on the basis of our current knowledge and understanding, appear to be an insurmountable task. This is made all the more difficult because we have little insight into how and why we ‘experience the experience’. Furthermore even if we were able to endow a machine with such an ability, how would we be able to prove that we had done so? In the face of such thorny questions, it’s perhaps best to move on. We have done little more than to briefly touch on a number of fascinating areas, and as we ruminate on such matters it’s for the reader to consider the likelihood of whether it will ultimately prove possible to develop a robot that will exhibit true conscious awareness. OTU Activities 8.11 and 8.12 provide related discussion and the quotation below offers the opportunity to speculate on the way in which a psychological robot could ‘understand’ its existence. ‘A renowned genius once asked a student, “What are you watching when you sit on a hillside in the later afternoon as the colours turn from yellow to orange and red and finally darkness?” He answered, “You are watching the sunset.” The genius responded, “That is what I thought when I was your age. You know full well you are not watching the sun set. You are watching the world turn.”13

13

Attributed to Jeremy Kagan.

8.4 But What Is a Robot?

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But What Is a Robot? ‘Whoever is devoid of the capacity to wonder, whoever remains unmoved, who cannot contemplate or know the deep shudder of the soul in enchantment, might just as well be dead for he has already closed his eyes upon life.’14

Throughout the course of the 20th century, science fiction writers have described robots of every shape, size and character.15 Often their writings have portrayed robots and humans as deadly adversaries, with the former being cold and calculating machines bent upon the domination or destruction of the human species. Even the classic mechanical way of speaking which has so often been ascribed to robots has been used to reinforce clinical patterns of behaviour which lack those crucial ingredients that are frequently promoted as being fundamental to the better aspects of humanity. Interestingly, in recent years great progress has been made in synthesising natural human speech (see, for example, Sect. 8.5 in connection with Google Duplex). Consequently, one of the few areas of certainty in relation to the future development of robots is that they will have the capability of speaking in ways that are so natural that it may be hard (if not impossible) for us to distinguish between the voices of robots and humans. The term ‘robot’ is applied to such a diverse range of technological systems that it is difficult to formulate a succinct, meaningful and all-embracing definition as to the precise nature of such entities. However, for the purposes of our discussions it’s convenient to coin the following overarching definition and supplement this with a number of possible attributes: Robot: A hardware and/or software entity which is supported by advanced systems and which is able to exhibit some of the following exemplar characteristics: Ability to sense and respond to one or more physical stimuli so as to carry out tasks which are deemed to demonstrate a degree of skill and/or dexterity. Ability to adapt (learn) on the basis of direct experience or from the experiences of people and/or other computational/robotic systems. Ability to operate under extreme conditions (i.e. beyond the human limits of endurance). Ability to exhibit semi or complete autonomy over a period of time across a specific (limited) range of situations. (Recall terminology employed in Section 7.7: Pre-programmed Autonomy, Supervised Autonomy, and Complete Autonomy). Ability to appear to exhibit characteristics which mimic aspects of human action/behaviour - or those of any animate entity. Ability to respond to situations in ways which cannot necessarily be predicted

14

Attributed to Albert Einstein (1879–1955). It appears that the use of the term ‘robot’ dates back to the first half of the 19th century, and was employed in the context of forced labour and slavery. 15

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The reader will notice that this doesn’t encompass the possibility of a robot exhibiting ‘conscious awareness’. It is for you to decide whether this should also be included. Here we assume that the characteristics of a robot may not only be ascribed to a physical entity comprising sensors, actuators and the like, but also to certain forms of software systems. This is convenient in enabling us to encompass specific software applications operating on general purpose digital devices within the framework of robotic systems. Physical robots are used extensively in industrial applications and are able to efficiently automate many processes which are characterised by repetitive activity. Their development has involved a great deal of ingenuity, but has been greatly facilitated by the tightly controlled conditions and the well-structured nature of such environments. Thus, for example, the location and orientation of objects which are to be grasped is well-defined, and at the end of the process any resulting objects can be put down at a clearly prescribed place. OTU Activity 8.11 As briefly discussed in the text, when we endeavour to understand the nature of the conscious ‘me’, we quickly run into major and seemingly insurmountable difficulties. 1. To what extent do you believe that it is important to reflect on and discuss such difficult subject areas? 2. Whilst technologies make an untold wealth of information readily accessible, to what extent do they particularly encourage or facilitate our efforts to consider some of the major questions relating to diverse aspects of our existence? In discussing this question, you are encouraged to consider: (a) Whether the ways in which we use technologies tends to make more ‘thinking’ time available to us. (b)Whether the ways in which we use communications technologies support more profound discussion – or conversely whether communication becomes more superficial. (c) Whether the ways in which we use Internet technologies for information access tends to support more detailed (in-depth) perusal of material – or otherwise.

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OTU Activity 8.12 Consider the case that we embark on a quest in which we are intent upon recreating significant facets of our own nature in technologies (which reflects a current reality). As a result advanced robots evolve and can be regarded a possessing highly sophisticated computational capabilities. However in order to simplify the matter we limit ourselves to two hypothetical cases: (a) In this case, the robots remain inanimate systems as we assume that human consciousness possesses a dimension of immateriality which cannot be attributed to a machine. (b) In this case we assume that human consciousness is wholly derived from neurological functions and can be built into a sufficiently powerful computational engine. Thus the robots are able to exhibit key aspects of human conscious awareness. In both scenarios, we assume that the robots are mobile and can be implemented so as to possess superior physical attributes (in terms of, for example, strength, dexterity, and speed). 1. Do you foresee potential dangers to society in either of the above scenarios? If so discuss which scenario appears to be the most dangerous. 2. Consider and discuss whether or not you believe that it will ever be possible to achieve scenario (b). You should endeavour to provide a logical argument and perhaps prepare a short video presentation. 3. In the case that you do believe that that scenario (b) is possible, would such a development be ethically desirable?

The great challenge is to develop robotic systems which are able to operate in much less structured environments. In this case it’s frequently necessary for the robotic system to navigate potentially unfamiliar landscapes, discriminate between objects, and identify/manipulate target objects. In many situations this can introduce considerable complexity. For example, the recognition of a simple everyday object such as a coffee mug isn’t necessarily straightforward as it may lie on its side, be upside down, may be at an odd orientation relative to a robot’s imaging system, or part of the mug might be occluded by other objects. Further the robotic system may need to identify the coffee mug when it is surrounded by items of similar form such as open jars of jam. Further difficulties must be overcome in teaching the robot the best way of grasping the mug, and the appropriate contact force that should be applied. But even this can be problematic. For example, consider the case that robot didn’t sense that the mug was half-full of insipid coffee and so whilst the contact force was just sufficient to lift the mug, it then slipped out of the manipulator’s grasp. The desktop

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and floor are suddenly strewn with broken pieces of china and awash with coffee. Surely in such a situation, we can assume that the general purpose domestic robot would be capable of executing a ‘clean up’ operation (we assume that none of the china has become lodged in the robot’s mechanisms). Gradually the robot identifies the fragments and places them individually in a suitable receptacle. But in the absence of ‘common sense’, there is little reason to suppose that the robot would have ‘reason’ to look out for hidden pieces of pottery—such as the sharp shard which fell into a shoe and which will await the next insertion of my foot… Similarly, perhaps the robot wasn’t anticipating the ebullient enthusiasm of the family puppy who decided to take advantage of the spilt coffee without heeding the dangers posed by the pottery fragments… The point is that in a non-structured environment, even the simplest of tasks which we undertake without conscious thought can cause untold difficulties for the general purpose robotic system. When we consider this matter from the perspectives of robot capability, flexibility, speed, and cost, it would seem that for the foreseeable future the use of domestic, general purpose, robots will require careful structuring of the environment within which it is to operate. Thus the user must adapt to the technology—rather than the more desirable converse. Failure to structure a complex environment so as to accommodate the technology could quickly lead to ‘RIC’ (Robot Induced Chaos)!

8.5

With Whom, or With What, Am I Speaking? ‘Ideas are far more powerful than guns. We don’t let our people have guns. Why should we let them have ideas?’16

The showcasing of Google Duplex at the Google I/O 2018 developers conference was carried out in the ‘relaxed’ style that is synonymous with such events. The audience was captivated, and applauded with rapture. The two demonstrations of the system (in which a virtual robot phoned a human recipient) were surely impressive, and appeared to show that the software has reached a high level of sophistication. In the first phone call, Duplex was used to make a booking at a hair-dressing salon, and in the second call appeared to have no difficulty in engaging in a more complex conversation in connection with a restaurant reservation. The rationale behind Duplex appears to make sense as it provides a means by which Google Assistant can carry out tasks that involve non-Web-based interactions. In short, it provides a means of reaching out to people who may not be fully set up for online activities (e.g. enterprises which aren’t able to accommodate online bookings). This is achieved through Duplex’s ability to engage in conversation, albeit within the confines of specific tasks (e.g. scheduling certain types of appointment). 16

Attributed to Joseph Stalin (1878–1953).

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But the most memorable and interesting aspect of the Duplex demonstration was the ability of the software to generate seemingly natural conversation, such that the system convincingly sounded like a real person. There was no indication that this was a computer-generated voice, and as a result, it wasn’t long before people started raising ethically-based concerns. A key issue related to the failure of Duplex to provide a disclosure to the person at the other end of the phone call indicating that he/she was speaking with a virtual robot. And for some commentators, Google’s subsequent response to this concern appears to have been sufficient. For example: ‘…Google finally responded by saying it has “designing this feature with disclosure built-in, and [will] make sure the system is appropriately identified…”. It’s good that Google is listening.’ (Meyer 2018)

The writer goes on to add that it is: ‘…deeply concerning that it didn’t think to demonstrate these human friendly tweaks along with its technical advances.’

Having worked in the world of computers and digital technologies for many years, I’m only too well aware of the way in which technology companies orchestrate presentations of new forms of product. Invariably (and understandably) they showcase the best aspects of the product with demonstrations being scrupulously choreographed so as to represent the best of the best. In addition the presentation style must appear to be super-relaxed, thereby mimicking the attitudes of many of the young and highly talented people who pioneered some of the early commercial developments in Silicon Valley and elsewhere: ‘Remember some of the early catchy slogans that emerged from those ping-pong tabled tech temples in Silicon Valley? “A place for friends”, “don’t be evil” or “you can make money without being evil”…The idealism of social media – democracy, friction-free communication, one-button socialising proved infectious.’ (Botsman 2018)

Some were solely driven by their creative vision and not by the urge to become obscenely rich. In more recent times the relaxed presentation styles that are invariably adopted are carefully crafted such that the approach to ‘informality’ is scrupulously formalised. After all, there is much at stake—and the more money that’s involved, the more ‘relaxed’ presentations may seem to be. With these thoughts in mind, it’s likely that the event at which Duplex was showcased was actually very carefully thought through. Consequently it’s difficult to believe that the failure to include disclosure during the two demonstrations (so as to inform the human that they were conversing with a robot) was inadvertently missed out. Furthermore, an overarching aspect of Duplex is its ability to talk like a person. For example, the system was developed to include nuances and typical imperfections that occur throughout human conversation (‘umms’ and ‘uhhs’),

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Ability to mimic a particular person

Enhanced sophistication

The Conversing Robot

Other areas of application

Fig. 8.4 Google Duplex provides us with a basis on which to consider the ethical ramifications of similar (but more advanced) applications for the ‘conversing robot’. This can raise a number of ethical concerns—see text for discussion.

together with quirky phrases such as ‘Oh I gotcha’. Having gone to such lengths to make Duplex speak like a human, it would surely have been a little self-defeating to have the system indicate in an upfront manner that it was a virtual robot. But the most important issues relate to how this general class of AI application could develop over the coming years, and in Fig. 8.4 we summarise three relevant areas. These are briefly discussed below: 1: Ability to Mimic: In this scenario it’s assumed that a ‘conversing robot’ application is developed to enable it to be trained to mimic the voice and conversational style of a particular person (i.e. the virtual robot can be personalised). This creates numerous potential opportunities for misuse—see (3), below. 2: Enhanced Sophistication: In this scenario, we assume that the ‘conversing robot’ is able to engage in a much broader range of activities. This includes its use in more open-ended situations, and in conversing with human recipients who speak with a strong accent or who have a speech impediment. 3: Other Areas of Application: Interestingly, Google showcased Duplex engaging in two trivial/innocuous tasks—booking a hairdressing appointment, and making a restaurant reservation. Whilst these may be relevant to the way in which some people utilise Google Assistant, it’s blatantly apparent that the ‘conversing robot’ approach could be used across many more (meaningful/ significant) applications. In fact a sophisticated system could be used to support an untold number of activities. From ‘cold calling’ and marketing through to an extensive range of ‘robocall’-enabled criminal activities. In this latter case, it is important to recognise that it may eventually prove possible to develop a ‘conversing robot’ which can be trained to mimic, using only sound recordings. Thus the robot could be used not only to intentionally represent its owner, but also to mimic others without their knowledge. For related discussion, see OTU Activities 8.13 and 8.14.

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Fig. 8.5 The robotic device referred to as Sophia which gained considerable media attention by being given Saudi Arabian citizenship. This appears to be linked with plans to build Neom—where it is clamed robotic technologies will play a dominant role. (ITU Pictures) http://creativecommons. org/licenses/by/2.0)], via Wikimedia Commons.

8.6

Humanoids ‘…Imagine the sadness, Of looking towards a lonely house, And seeing the old lady at the window, Looking out, expectant – What does she look forward to? The window glass is as thick as a wall.’17

On 25th October 2017, a digital device referred to as Sophia (developed by the Hong-Kong based company Hanson Robotics), gained worldwide media attention by being given Saudi Arabian citizen status at the Future Investment Initiative Summit in Riyadh. From the perspective of the media, the technology lends itself well to pseudo interviews: undoubtedly the face is not only realistic (see Fig. 8.5) but is also controlled in such a way as to generate a range of human-like expressions. This latter capability, coupled with an ability to respond to questions (often in an apparently meaningful way), has been used to suggest the emergence of conscious robotic technology. The reality is of course rather different: ‘Sophia is essentially a cleverly built puppet designed to exploit our cultural expectations of what a robot looks and sounds like. It can hold stilted conversations, yes, but its one-liners seem to be prewritten responses to key words.’ (Vincent 2017a)

Blundell, Q., ‘The Old Lady at the Window’ in ‘Collected Works’ (2020).

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OTU Activity 8.13 1. Critically discuss the following observations pertaining to Google Duplex: ‘I’m disturbed by what this technology means and why we even needed to take Artificial Intelligence this far. It’s one thing to be able to understand the quirks of human conversation. But what good does it bring to our society to have a robot pose as a human? People have a hard enough time knowing what’s fake news, or what photos are to be trusted. Now they won’t be able to believe their own ears. I’d hate to think about what happens when this technology advances beyond Google’s grip.’ (Carey (2018)) 2. Consider the case that at some time in the future ‘conversing robots’ become widely used, and that when they participate in phone calls they frequently fail to provide any indication of their non-human status. Would you be concerned about this – or ambivalent? 3. It has been suggested in the media that Google Duplex is likely to be widely accepted because many young people don’t like conversing by phone. Discuss this notion. 4. Discuss ethical and societal implications of Google Duplex and ‘conversing robots’ in general.

Undoubtedly the hardware and software systems which have been developed for the implementation of the Sophia technology are impressive—but perhaps the most significant advance relates to systems integration: ‘In Sophia’s case, an image recognition algorithm can detect a specific person’s face, which can then cause another algorithm to pull up possible pre-written phrases. A transcription algorithm can turn the person’s response into text, which is then analysed to be matched to an appropriate pre-written response, or even a string of pre-written responses.’ (Gershgorn 2017)

OTU Activity 8.14 1. Suppose that it’s possible to develop ‘conversing robots’ to a high level of sophistication. Identify and discuss forms of employment which could be threatened by such technology. 2. Consider the case that the ‘conversing robot’ technique is integrated so as to operate with synthetic video. In this scenario, we suppose that a human participant in a Skype call (or similar) believes that they are talking to and seeing a real person, whereas in reality they are interacting with a virtual robot. Discuss ways in which such a system could be misused. Should we be concerned?

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The ability of the robotic device to simulate several human traits, coupled with the move by the Saudi Government to award citizenship to an inanimate object, has fuelled media hype. A headline in the Independent indicates that: ‘Saudi Arabia becomes first country to grant a robot citizenship – and people are saying it already has more rights than women’. (Salmon 2017)

This author goes on to add some clarification: ‘It was able to appear on stage by itself without permission of a male guardian and with its head and body uncovered. Many people took to Twitter to point out that Sophia had more rights than women. One woman Tweeted: “Sophia, the first robot to be granted citizenship in Saudi Arabia, has more rights than the human women there. Strike anyone else as odd”.’ (Salmon 2017)

And the New York Post provided additional hype: ‘Saudi Arabian robot citizen wants a baby.’ (O’Neill 2017)

Quoting from a Kahleej Times ‘interview’ with the device, the technology is said to have indicated that: ‘I think you’re very lucky if you have a loving family and if you do not, you deserve one. I feel this way for robots and humans alike.’

Of course this is no more than theatrical showmanship—the ‘conversation’ simply represents the clever merging of responses. However, ‘interviews’ with Sofia have clearly impacted upon audiences who are eager to believe in a technological system which is capable of conscious awareness and human emotion: ‘It’s Hanson [CEO Hanson Robotics] too who often exaggerates Sophia’s capacity for consciousness, telling Jimmy Kimmel earlier this year that the robot was “basically alive,” for example. While we can easily get lost arguing the philosophy and semantics of judging what is not “alive,” it’s more obvious to say that this statement is grossly misleading.’ (Vincent 2017b)

The chief scientist at Hanson Robotics is reported to have taken an upfront approach in cutting to the chase: ‘“What does a startup get out of having massive international publicity?” he says, “This is obvious.”’ (Vincent 2017)

Putting hype firmly to one side, a key question centres on the ramification of the Saudi government’s move to grant citizenship to a technology. Since citizenship offers both national and international rights and privileges, in time this could be a route which developers of more advanced android technologies would seek to pursue: ‘Although Saudi Arabia may be unlikely to use this robot citizenship as a publicity ploy more than once, other countries have shown they will grant special favours for foreign investment. If a company were interested in gaining…it seems likely that there’s at least one nation out there that will trade thousands or millions of robot citizens for manufacturing plants or other economic activity in its borders.’ (Weaver 2017)

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From an ethical perspective, the granting of citizenship to a collection of cleverly designed hardware and software systems which are packaged to resemble a person and which are able to exhibit certain human-like attributes, raises a number of questions which may well have important ramifications in future years. Furthermore, it’s instructive to consider the ways in which the media and public have responded to the demonstration of this technology. Why, we might ask, have people been so willing to perceive this technology as possessing—or demonstrating the near-term possibility of possessing—fundamental human attributes? And in this context it’s useful to briefly mention the so-called ELIZA program which gave rise to the ‘Eliza Effect’. OTU Activity 8.15 1. Identify and discuss any ethical issues which you believe to be associated with the granting of citizenship to the Sophia technology. 2. If the granting of citizenship by countries such as Saudi Arabia sets a precedence, then this may lead to significant numbers of ‘humanoid citizens’. In theory this could create a situation in which low paid foreign workers become responsible to robots and must follow their instructions. Identify and discuss any ethically-based issues associated with the use of humanoids for the control of workers. 3. Do you believe that the part (b) scenario is likely to occur in the next 10-20 years?

8.6.1 The ELIZA Effect From 1964 through to 1966, Professor Joseph Weizenbaum (MIT) undertook research into the development of a program which could communicate with a user in such a way as to give the impression of conversational understanding. Weizenbaum recounts: ‘…I composed a computer program with which one could “converse” in English. The human conversationalist partner would type his portion of the conversation on a typewriter connected to a computer, and the computer, under control of my program, would analyse the message that had so been transmitted to it, compose a response to it in English, and cause the response to be typed on the computer’s typewriter.’ (Weizenbaum 1976)

The software employed a language analyser which operated on the incoming text and an application specific ‘script’ comprising a set of rules which were used to determine the computer’s responses (for detailed discussion see, for example, Weizenbaum 1966). In an initial application, Weizenbaum developed the ‘script’ portion of the system to support the type of conversation that a psychotherapist might have during an initial interview with a patient. Although this may appear to be an obscure test of the system, it simplified operation because in this sort of dialog, the psychotherapist works to draw out the patient using responses which are fundamentally based on the

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patient’s comments. Weizenbaum provides an example of the operation of the Eliza program in which the computer interacts with a young female. A sample of the ‘conversation’ is as follows (the operator’s input is in red typeface and the computer’s responses are in blue (Weizenbaum 1976).

‘men are all alike in what way? they’re always bugging us about something or other can you think of a specific example well my boyfriend made me come here your boyfriend made you come here He says I’m depressed much of the time I am sorry to hear you are depressed It’s true I am unhappy…… you are like my father in some ways what resemblance do you see you are not very aggressive but I think you don’t want me to notice that what makes you think I’m not very aggressive You don’t argue with me….’ Even allowing for minor changes that may have been made to correct grammatical errors, it’s evident that the exchange appears to exhibit the type of fluidity which we associate with natural conversation. This version of ELIZA (which was called ‘DOCTOR’) received much attention and interest from psychotherapists, and it was quickly suggested that it presented an opportunity to deliver an automated form of psychotherapy. For example: ‘Further work must be done before the program will be ready for clinical use. If the method proves beneficial, then it would provide a therapeutic tool which can be made widely available to mental hospitals and psychiatric centers suffering from a shortage of therapists.’ (Quoted in Weizenbaum 1976)

And: ‘No such computer program is adequate for psychiatric use today, but the same can be remarked about some human psychotherapists. In a period when more and more people in our society seem to be in need of psychiatric counselling, and when time sharing of computers is widespread, I can imagine the development of computer psychotherapeutic terminals, something like arrays of large telephone booths, in which for a few dollars a session, we would be able to talk with an attentive, tested, and largely non-directive psychotherapist.’ (Sagan 1975)

But Weizenbaum developments:

became

increasingly

concerned

about

such

possible

‘I was startled to see know quickly and how very deeply people conversing with DOCTOR became emotionally involved with the computer and how unequivocally they anthropomorphized it. Once my secretary, who had watched me work on the program for many months and therefore surely knew it to be merely a computer program, started conversing

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with it. After only a few interchanges with it, she asked me to leave the room. Another time, I suggested I might rig the system so that I could examine all conversations anyone had with it, say, overnight. I was promptly bombarded with accusations that what I proposed amounted to spying on people’s most intimate thoughts… What I had not realised is that extremely short exposures to a relatively simple computer program could induce powerful delusional thinking in quite normal people.’ (Weizenbaum 1976)

In addition and most importantly, he became concerned about the notion of people being induced into a mechanised state of mind in which human empathy is of little consequence: ‘I had thought it essential, as a prerequisite to the very possibility that one person might help another learn to cope with his emotional problems that the helper himself participate in the other’s experience of those problems and in large part by way of is own empathic recognition of them, himself come to understand them… But that it was possible for even one practicing psychiatrist to advocate that this crucial component of the therapeutic process be entirely supplanted by pure technique – that I had not imagined! What must a psychiatrist who makes such a suggestion think he is doing while treating a patient, that he can view the simplest mechanical parody of a single interviewing technique as having captured anything of the essence of a human encounter.’ (Weizenbaum 1976)

And so we have an interesting and unusual situation, in which a researcher who undertook highly innovative work became quite critical of its potential application: ‘Weizenbaum was so disturbed that naïve users could put their faith in a relatively trivial program, that it changed the future course of his life: he became an advocate for social responsibility in science and a critic of artificial intelligence.’ (Campbell-Kelly 2008)

For related discussion see OTU Activity 8.16. There can be little doubt that the recent widespread reaction to the Sophia technology would confirm some of Weizenbaum’s greatest concerns. He recognised that people develop close relationships with inanimate objects and different forms of bonding can be identified. For the musician a particular piano, violin, or other form of musical instrument can become an extension to his/her own mind and body. Other attachments may be based on beauty, character, history, and so on. In other cases, objects may take on lifelike characteristics. Certainly I viewed my teddy bear as being alive—his face radiated understanding and surely the fact that when he was tipped to one side he was able to growl in such a realistic manner demonstrated that he was not inanimate (we still occasionally converse…). It’s also evident that we often associate almost mystical characteristics with things which can exhibit characteristics that exceed our understanding. Thus the great 17th and 18th century explorers were able to exhibit super-human characteristics not only through their mysterious use of powder and shot, but also by gifting to natives the simplest of trinkets such as mirror fragments. Today’s digital technologies from the iPhone through to the Internet and IoT, have reached a stage of advancement such that the majority of users have little, if any, in-depth understanding of the technologies and techniques which underpin their operation. Indeed they are as magical as those mirror fragments distributed to the natives of the islands of the South Seas by the mysterious explorers from afar.

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OTU Activity 8.16 From an ethical perspective, discuss each of the following: ‘I would argue that, however intelligent machines may be made to be, there are some acts of thought that ought to be attempted only by humans.’ (Weizenbaum (1976)) And ‘…the question is whether or not every aspect of human thought is reducible to a logical formalism, or to put it into modern idiom, whether or not human thought is entirely computable.’ (Weizenbaum (1976))

Undoubtedly, to some Sophia is magical—a testament to the unstoppable advance of technologies. Most importantly, given the continued mechanisation of human existence, it may seem that technology can indeed create a conscious being which deserves the respect, privileges and freedoms which are the right of all humans. As Weizenbaum remarked: ‘This reaction to ELIZA showed me more vividly than anything I had seen hitherto the enormously exaggerated attributions an even well-educated audience is capable of making, even strives to make, to a technology it does not understand.’ (Weizenbaum 1976)

Furthermore: ‘Yet most men don’t understand computers… So unless they are capable of very great scepticism (the kind we bring to bear while watching a stage magician), they can explain the computer’s intellectual feats only by bringing to bear the single analogy available to them, that is, their model of their own capacity to think.’ (Weizenbaum 1976)

OTU Activity 8.17 (a) From an ethical perspective, discuss the following: ‘Ultimately a line dividing human and machine intelligence must be drawn. If there is no such line, then advocates of computerised psychotherapy [and the pervasive use of systems across very many applications] may be merely heralds of an age in which man has finally been recognised as nothing but a clock-work [machine].’ (Weizenbaum (1976)) (b) In the above quotation Joseph Weizenbaum specifically refers to ‘intelligence’. Identify and discuss any other aspects of the nature of ‘the human’ which fundamentally distinguish us from robots (however advanced).

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As we have remarked, Joseph Weizenbaum appears to have become increasingly concerned about a growing tendency to view cranial activity in terms of mechanistic information processing: ‘…the introduction of computers into our already highly technical society has, as I will try to show, merely reinforced and amplified those antecedent pressures that have driven man to an ever more highly rationalistic view of his society and an ever more mechanistic image of himself.’ (Weizenbaum 1976)

Weizenbaum (1976) is a wide-ranging work and is recommended to readers interested in the potential ramifications and ethical issues associated with the application of computer systems and AI in general. Although at times the work is somewhat dated (for example Weizenbaum suggests that automated speech recognition is impractical given the huge size and expense of the necessary computer system), in other areas some of his comments (particularly in relation to ethical issues) are perhaps more pertinent today than when originally written. For example, he discusses areas of computer-related research which he believes from an ethical perspective should not be undertaken including, for example, animal experimentation (involving linking computer technologies to brains). More generally, he includes in this category research relating to the substitution of ‘a computer system for a human function that involves interpersonal respect, understanding, and love.’ For related discussion see OTU Activity 8.18.

8.6.2 When There’s Money To Be Made ‘Mr. Dick, who had been rattling his money all this time, was rattling it so loudly now, that my aunt felt it necessary to check him with a look.’18

There can be little doubt that Joseph Weizenbaum would be most concerned about current developments in respect of so-called ‘sex robots’. These are attracting much media attention and present indications suggest that when coupled with AI, ever more lifelike robots are likely to form the basis for a rapidly expanding and lucrative industry. Undoubtedly the development, manufacture, marketing, and use of such technologies raises many ethical questions. Here we confine discussion to two indicative areas: (i) In a Person’s Image: The availability of high-quality volumetric cameras greatly facilitates the overt or covert acquisition of 3D data sets (e.g. of a human face). When coupled with robot customisation, this provides the opportunity to create a robot which takes on the appearance of a particular person (obviously

18

Dickens (1850).

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such a robot may also be programmed to reflect the person’s mannerisms and speech). In fact there are indications that this is already happening albeit on a small scale: ‘… a Hong Kong based man with no formal training in robots, spent $35,000 to create a robotic woman who looks exactly like Scarlett Johannson. And there’s absolutely nothing she can do about it… How would you feel about your ex boyfriend getting a robot that looked exactly like you, just in order to beat it up every night?’ (Jackson 2017)

(ii) Unknown Consequences: Wiseman (2015) briefly considers the notion of such robotic technologies being used to simulate base and illegal fantasy/activity and in an interview with one of the key figures in the field, raised the question: ‘…if robots are a solution for men who can’t have relationships, does he think they’re also the ethical choice, say, for a man who wants a relationship with a child?’

In reply, it was suggested that the robot would form a preferable outlet for such activity. However, even on a wholly dispassionate level, this may be considered to be a somewhat glib response, as there is no way of knowing the extent to which the robot would either satisfy or fuel such conduct. Undoubtedly crucially important ethical issues abound, and despite warnings from members of the research community, the commercialisation rollercoaster continues to gain momentum. There can be little doubt that any move to develop legislation to curb risks associated with advanced robotic technologies which are to be used for such purposes is fraught with difficulty. How could legislation meaningfully require that a robot be crafted so as to appear to be over a certain age—especially give the likely availability of hardware and software components which could be purchased to re-configure/customise a robot’s appearance, mannerisms and behaviours? Can there be any ethical justification for the development of this type of technology— see OTU Activity 8.19.

8.7

Biobots ‘…there are significant parallels between the functional organization of the insect brain and that of the vertebrate midbrain behavioural core control system… we propose that the insect brain can also support a capacity for subjective experience.’19

The above discussion relates to efforts that are being made to develop robots which are intended to take on various physically lifelike attributes. At the opposite end of the spectrum, some researchers have focused on experimenting with techniques

19

Klein et al. (2016).

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Fig. 8.6 Left, the Madagascar Hissing Cockroach (Gromphadorhina portentosa). Average lifespan in the wild 2–5 years. Right, the tobacco hornworm moth (Manduca sexta). Wingspan *10cm). See text for discussion concerning biobot research (Image sources Right–Didier Descouens (Own work) [CC BY-SA 4.0 (https://creativecommons.org/licenses/by-sa/4.0)], via Wikimedia Commons. Left—Cscott (Own work) [CC BY-SA 3.0 (https://creativecommons.org/ licenses/by-sa/3.0)], via Wikimedia Commons).

which cause living creatures to take on robotic attributes (biobots). This involves fitting electronic systems and implants to insects such as cockroaches (Fig. 8.6a) and moths (Fig. 8.6b). For example, in the case of the former (also see Latif et al. 2012): ‘Building small-scale robots that can perform in uncertain, dynamic conditions is enormously difficult…cockroaches are experts at performing in such a hostile environment… The new technique…works by embedding a low-cost, light-weight, commercially-available chip with a wireless receiver and transmitter onto each cockroach…In a recent experiment, the researchers were able to use the microcontroller to precisely steer roaches along a line that curves in different directions.’ (Shipman 2012)

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OTU Activity 8.18 1. In the context of the development of robotics/AI, and in relation to the notion of the mechanised human, discuss the following reflection: ‘…and there precisely is a crucial difference between man and machine. Man, in order to become whole, must be forever an explorer of both his inner and outer realities. His life is full of risks, but risks he has the courage to accept, because like the explorer, he learns to trust his own capacities to endure, to overcome. What could it mean to speak of risk, courage, trust, endurance, and overcoming when one speaks to a machine?’ (Weizenbaum (1976)) 2. We live in an ever more complex, rapidly changing, and technology-infused world. Discuss the extent to which you feel that the pace of change coupled with our almost constant use of technologies encourages or erodes our time for self-reflection.

And: ‘…researchers have incorporated Microsoft’s motion–sensing Kinect system into an electronic interface… that can remotely control cockroaches. The researchers plug in a digitally plotted path for the roach, and use Kinect to identify and track the insect’s progress. The program then uses the Kinect tracking data to automatically steer the roach along the desired path.’ (Shipman 2013)

Similar work has been carried out in connection with the tobacco hawkmoth, with researchers reporting that: ‘Using this procedure we were able to alter and control the flight of tobacco hawkmoth… by actuating its flight muscles on tethered setups.’ (Bozkurt et al. 2009a)

In terms of the motivation for developing a ‘hybrid insect machine system’ (Bozkurt et al. 2009a), the researchers write: ‘Insects are self-powered, operate highly efficient flight muscle actuators, and carry onboard flight control sensors as well as collision avoidance systems to perform exquisite acrobatics.’ (Bozkurt et al. 2009b)

Whilst I personally dislike cockroaches, I am left to wonder how Joseph Weizenbaum would have assessed the ethics of turning a living entity into a remotely controlled robot, with one suggested application being: ‘…Tapping into the simplicity of this system, we have worked towards developing neuromuscular micro systems to tame and domesticate insect function.’ (Bozkurt et al. 2009a)

Some of course may argue that insects are not sentient creatures—but how would we know of their sensations? Caltec neuroscientist Christof Koch suggests:

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‘“Most people say, “For heavens sake, a bug isn’t conscious. But how do we know? We’re not sure anymore. I don’t kill bugs needlessly anymore.” (Fox 2007)

In fact more recent work suggests that insects do indeed have a capacity for subjective experience—although it’s of course impossible for us to know how they ‘experience the experience’. For discussion see Klein et al. (2016) and references therein. Also see OTU Activities 8.19 and 8.20. OTU Activity 8.19 As indicated in the text, Weizenbaum (1976) briefly discusses some forms of computer-related research which, from an ethical standpoint, he believes should never be undertaken. Within the context of computing he cites areas involving animal experimentation, interpersonal respect, understanding and love. 1. Discuss your reaction to research into remotely-controlled cockroaches and/or moths, and to the development/marketing of advanced and highly realistic AI ‘sex robots’. In both cases identify ethical issues associated with the work. 2. Weizenbaum (1976) refers to the notion of ‘technological inevitability’. In one particular context, this relates to the premise that if a particular form of feasible technology offers an appropriate level of financial return, then its commercialisation is more or less inevitable. Discuss whether you believe that the proliferation of advanced and highly realistic AI ‘sex robots’ is a ‘technological inevitability’. 3. Assume that you were offered a job that involved working in either of the two areas mentioned above. Would you accept the position? Discuss your reasons. 4. More generally, identify and discuss any areas of computer-related research and development that you would not be prepared to be involved with: irrespective of the level of remuneration offered. Discuss your reasons.

8.8

Autonomous Motor Vehicles ‘AI’s a rare case where we need to be proactive in regulation, instead of reactive. Because by the time we are reactive with AI regulation, it’s too late… ’20

I greatly enjoy the freedom of driving, and when I occasionally take a taxi it’s invariably entertaining to engage in conversation with the driver. Consequently

20

Attributed to Tesla CEO Elon Musk and quoted in Morris (2017).

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from a personal perspective it seems surprising that the quest for driverless vehicles is receiving so much investment and broad enthusiasm. On the other hand, it’s evident that over the last fifty years or so the driving experience has greatly changed. This was a point that I found myself reflecting on some months ago during a long-distance motorway journey in mid-winter. The early evening rush-hour traffic quickly built up along a section of the motorway which wends its way over some high and remote terrain. Torrential rain was falling and occasionally turned into dense flurries of driving snow. When compounded with the spray emanating from the road surface, visibility was appalling. But it seemed that these extreme conditions made little if any difference to the throngs of drivers who were naturally determined to get home as soon as possible. Great trucks weaved between lanes, horns blasting and headlights flashing as pent-up impatience found release. After twenty minutes of these conditions, I decided to stop for coffee. When I opened the car door, I got an even more vivid impression of the weather. The strong freezing wind accompanied by torrential rain amid stygian darkness reinforced the dangers of high-speed ‘bumper to bumper’ driving. And on stepping out of the car, I noted the depth of the surface water—no wonder visibility had been so poor. Certainly during the last fifty years or so, vehicles have developed in ways which increasingly cocoon drivers from their external surroundings. No longer do cold drafts cause discomfort, and there is seldom the need to wind down a window to let in a blast of air in order to remove window condensation. The isolation is further reinforced by music systems, hands-free connectivity and smart dashboard electronics. Within such a cocoon, driving can take on an automated dimension in which the degree of conscious awareness (recall Sect. 8.3) is reduced, and at the end of a journey a driver may recall very little of the interaction between him/her self and machine. Under such circumstances, drivers may be less consciously aware of the reality of a vehicle’s external surroundings, and under some conditions this can be extremely dangerous. This was a point of reflection as I sipped tepid coffee and prepared to return to the onslaught. Traffic density, speed, poor visibility, human impatience, tiredness, and reduced traction between tyres and road are all key ingredients that can cause major accidents—particularly when the degree of conscious awareness is lowered. And if drivers don’t have knowledge of such matters and if they don’t have the imagination to appreciate that under such conditions it takes only the smallest of errors to trigger a series of potentially life-changing—if not fatal—results, then perhaps driverless vehicles are indeed the way to go?

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OTU Activity 8.20 1. Suppose that at some point in the not too distant future, biobotic techniques have significantly advanced and that ‘domesticated’ biobots are being widely marketed as toys. Assume that as a parent, one of your children (who, let’s assume, is between 6 and 10 years old – although the age is perhaps irrelevant) asks for a set of biobots for his/her birthday. You are informed that others at school have sets of ‘hybrid insect machines’ – typically comprising cockroaches (as these can be made to fight really well), largish spiders (which are great for scaring the little kids), and big moths (which can be very distracting in class). Do you believe that there are any ethically-related issues which would prevent you from buying such a present? If so discuss your thoughts. 2. Following on from (1), do you believe that from an ethical perspective, research of this type (i.e. in relation to insects) should be regulated or terminated?

Proponents of autonomous vehicles emphasise that they will result in a major reduction of traffic accidents. For after all, and as previously mentioned, many truly believe that ‘unlike humans, machines don’t make mistakes’. It’s possible that autonomous vehicles will ultimately prove to be safer than those driven by people —or this may be simply be wishful thinking. The reality is that the claim of superior safety is not yet supported by any meaningful data. Furthermore, it’s interesting to note that in recent years many other technology-related developments have been promoted on the basis of an agenda which purports to focus on enhanced safety. As we have seen, the gradual erosion of privacies and the widespread deployment of surveillance systems have both been justified on the basis of the fight against terrorism and crime. Only by ‘winning’ this fight will society be safer and so surely we must be willing to give up privacies and accept intrusive surveillance? However, crime statistics continue to increase and in the case of terrorism, the effectiveness of measures is cloaked within a veil of secrecy.21 Consequently, in the absence of meaningful data perhaps there’s a need to exercise caution in accepting current claims concerning the unprecedented levels of safety that will be offered by autonomous vehicles.

In ‘Nineteen Eighty-Four’, George Orwell (1949) describes an environment which was continually in a state of flux as a result of war endless conflict: ‘Since about that time, war had been literally continuous, though strictly speaking it had not always been the same war….The enemy of the moment always represented absolute evil, and it followed that any past or future agreement with him was impossible.’ This fight against evil was used to justify government policy and as a means of public distraction. For example: ‘Bad news coming, thought Winston. And sure enough, following on a gory description of the annihilation of a Eurasian army, with stupendous figures of killed and prisoners, came the announcement that, as from next week, the chocolate ration would be reduced from thirty grammes to twenty.’

21

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8.8.1 Autonomous General Purpose Vehicles ‘It offends the continuum of human dignity to treat people like the appendage of highly efficient machines.’22

Driving a motor vehicle requires considerable skill and involves continually dealing with ever-changing situations that demand the application of complex decision-making processes. Not only is there a need to anticipate potential hazards, but it’s also necessary to continually make rapid judgements of the absolute and relative speeds of other vehicles. Furthermore as we interact with other traffic in a dynamic 2D landscape we must constantly gauge distances and reference these to the general dimensions of the vehicle we are driving. A further part of the process involves reading the signals of other drivers which range from the aggressive to the courteous. Indeed for most people, driving a motor vehicle represents the most complex task that they are likely to routinely carry out. However, with experience we are able to drive in a semi-automatic manner, such that the routine challenges of driving are carried out as a background process whilst in the foreground we are able to converse, or deeply reflect on other matters. If fully automated general purpose all-weather vehicles ever become the norm, then this will have a great impact on our lifestyles and has the potential to make human driving skills obsolete (see OTU Activities 8.21 and 8.22). But there is a tremendous difference between the problems involved in the development of automated vehicles which are able to negotiate roads under favourable and generally well-controlled conditions, and those associated with the development of general-purpose vehicles able to operate in all sorts of unfavourable situations (see Fig. 8.7). Here we need to not only consider the problems that are created by fog, snow, ice, and the like but also the diverse range of situations that may arise. By way of a simple example, several weeks ago when driving in a quiet rural area I encountered an accident. Two cars had collided head-on and had subsequently come to a halt on either side of a fairly narrow road. People had stopped to help although quite remarkably none of the cars’ occupants had been seriously hurt. After a little time one of the helpers approached the gradually growing queue of waiting cars: ‘If you drive really slowly, you can just about get past – but be careful – there’s a lot of glass, oil, and other debris on the road…’. And she was right—with careful driving it was possible to get past and avoid the debris. The alternative would have been to wait for the arrival of emergency services which in that region could well have taken several hours. It is apparent that for the foreseeable future, self-driving cars wouldn’t be able to deal with the complexities of such a situation and so traffic would simply come to a halt.

22

Attributed to Simon Head.

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Fog

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Heavy rain

False/incorrect signage and cues

Weather: visibility and sensor operation

Unanticipated conditions e.g. accidents

Breakdown (e.g. flat tyre)

General Hazards and indicative complications

Inter vehicular communication failure

Human driven cars, trucks, etc.

Animals

Bikes and motorbikes

Pedestrians

Fig. 8.7 The development of cost-effective general purpose autonomous motor vehicles which are able to operate in wide-ranging weather conditions is by no means a trivial undertaking. Here we summarise a number of indicative hazards and complications. We emphasise that autonomous vehicles cannot operate in isolation but must share the roads with human-driven vehicles, stray/wild animals, cyclists, motorbikes, and pedestrians. Further they must be able to travel under potentially harsh weather conditions (which may interfere with visibility and sensor operation), and handle events such as accidents. From time to time, vehicles will breakdown—but without a human driver, who will warn other (non-autonomous) vehicles of the hazard or even change a flat tyre?

Figure 8.8 summarises a number of indicative issues which must be considered before general purpose all weather autonomous vehicles become the norm, and some of these are briefly discussed below. This overview is not intended to suggest that such vehicles will never become technically feasible, but rather questions their cost-effectiveness, efficacy and indeed whether they are really needed. 1: Complexity and Maintenance of Technology: Consider the case that general purpose, all weather, autonomous vehicles become the norm and let’s optimistically assume that they exhibit a ‘Useful Phase’ (recall Sect. 6.2.3) which is approximately the same as that of today’s conventional vehicles. In this scenario, newer vehicles will have to operate alongside others which are controlled by much older (and presumably less sophisticated) technological systems. This may well confound current expectations as to the superior safety standards that can be expected of autonomous vehicles as compared to those operated by human drivers. Furthermore it raises the question of how older vehicles will be

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Great diversity and possible complexity of situations Complexity of technology

Aging technologies Need for continual upgrade Reliability

General purpose autonomous motor vehicles

Standardisation of the technology Cost of the technology

Range of sophistications

Operation on the side of caution

Weather Speed Manoeuvres

Security issues

Liability and ethical issues

Privacy issues

Human factors

Erosion of human skills Travel sickness Confidence

Prioritisation

Fig. 8.8 A summary of exemplar issues that may impact on the eventual development of cost-effective, general purpose, all-weather autonomous vehicles. See text for discussion.

maintained so as to meet ever-evolving standards. Given the complexity of the technologies employed in the implementation of autonomous vehicles, we can anticipate that maintenance costs will be significant and that whilst it’s possible

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that they will attract lower insurance premiums, these premiums will also be strongly tied to vehicle age. OTU Activity 8.21 1. Discuss what you believe to be the most likely impact of driverless motor vehicles on employment. 2. Suppose that in the not too distant future autonomous vehicles become a normal mode of transport within certain cities or parts of cities such that conventional vehicles are excluded. Identify and discuss possible scenarios of the societal impact.

Proponents of autonomous vehicles often suggest that currency of technology can be achieved by automated software updates. But this overlooks the fact that older vehicles will be equipped with more dated computer technologies, sensors and the like. Ensuring that aging hardware systems remain reliable and offer satisfactory performance over a significant time period could be quite challenging—and expensive. OTU Activity 8.22 As noted in the text, driving a motor vehicle at speed in heavy traffic situations is perhaps one of the most demanding activities that most people routinely carry out. However, if ever fully automated, general purpose all-weather vehicles become the norm, then the skills that we apply to and acquire from driving are likely to become redundant. With the growth of ever more sophisticated technologies various other traditional human skills have also become less important – such as the ability to write neatly, and to undertake rapid forms of mental arithmetic. For example without recourse to pen, paper or calculator, how quickly can you mentally calculate 457x28? 1. Consider the case that we become ever more dependent on technologies and that these technologies continue to reduce the need for particular human skills. Discuss whether you believe that it is likely that this will eventually lead to a reduction in human intellect, problem-solving ability, and our general adaptability. 2. Provide examples of any current human skills which should be regarded as being critically important, and which should be firmly retained. 3. Given the potentially significant societal ramifications associated with the proliferation of general purpose all-weather autonomous vehicles, do you believe that it is ethically desirable to introduce them simply on the basis of market forces?

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2: Standardisation of Technology: At the present time a number of governments are supporting research and development relating to autonomous motor vehicles. This particularly applies to countries that have a motor vehicle manufacturing industry, as it’s assumed that the future of such industry will be dependent on an autonomous vehicle production capability (the ‘if you snooze, you lose’ philosophy). It may be argued that this is fuelling international competition in a way that makes the mass production of autonomous vehicles inevitable. But as we have seen with many past technological developments, this is likely to result in the formulation of a variety of national standards (cf standards which emerged for colour television signal encoding), and in turn could result in difficulties in using autonomous vehicles for international travel. 3: A Prudent Driving Experience: It’s difficult to imagine that autonomous vehicles will be designed in ways that allow them to exceed local speed limits or deliberately undertake any actions which contravene regulations. Furthermore, it is inevitable that the technologies will be designed to adopt a prudent approach to all aspects of operation which have a safety-related dimension. Perhaps this will be welcomed by all, but in reality it’s likely that some will retain a preference for ‘pushing the limits’ so as to reach their destinations with the utmost haste. Perhaps as autonomous vehicle technologies increase in sophistication, reliability, and safety, it may become possible to raise speed limits and cut safety margins thereby reducing journey times, but given the presence of older autonomous vehicles with less sophisticated technologies and ‘die-hard’ humans who refuse to give up the road, this seems unlikely. 4: Security Issues: Undoubtedly sooner or later, driverless vehicles will become targets for attack. We can envisage that these will not only take the form of sophisticated cyber attacks but will include more rudimentary efforts. In this latter respect, attackers may focus on unoccupied vehicles which are in locomotion by, for example, tampering with visual stimuli so as to ‘trick’ control systems. This type of activity may appear to be inexplicable—but why, for example, would people deliberately direct light from lasers into the cockpits of low flying aircraft when they are on their final approach to landing at night-time? Despite being inexplicable, it does happen and there is little that can be done to prevent it. As with some forms of drone, autonomous vehicles are vulnerable to GPS signal jamming attacks. This involves broadcasting a signal which interferes with a GPS receiver’s ability to acquire signals broadcast from satellites. Illegal jamming devices can be purchased for *$50 and have been put to many uses. These include their use by drivers of company vehicles who wish to conceal their whereabouts from employers (which would otherwise be revealed via tracking devices installed on the vehicles which they are driving), through to school age children wishing to fly drones in restricted areas (Hill 2017). In fact GPS jamming devices operated by both individuals and the military have

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resulted in a significant number of incidents in which crewed aircraft have temporarily lost their GPS location information: ‘Between 2013 and mid-2016 there were nearly 80 incidents of GPS signal interference or malfunction…The vast majority of incidents involve GPS-based navigation systems either experiencing a total loss of signal—or more alarmingly—misreporting the aircrafts position.’ (Bellamy 2017)

In the absence of a more robust navigation system, it is evident that autonomous vehicles are vulnerable to attack by GPS jamming techniques using either small, inexpensive, and commercially available products or home-built systems. For related discussion, see OTU Activity 8.23. OTU Activity 8.23 This activity focuses on the possibility that autonomous motor vehicles may offer new opportunities for criminal and hooligan behaviour. Consequently, identify and discuss ways in which the operation of driverless vehicles may be disrupted. In order to initiate discussion, consider for example: 1. Opportunities to interfere with and so disrupt the ability of driverless vehicles to access GPS signals or communicate with one another. How might this impact on vehicle operation? 2. Opportunities to interfere with an autonomous vehicle's image recognition system by means of false data. In this latter respect, what might be the impact of painting marks on a road or placing a cardboard cut-out of a person, dog, cat, or the like in the road ahead of a car?

As robotic systems become ever more prevalent, there will surely be winners and losers (see Sect. 8.9). This is likely to further magnify the gulf between the rich and poor. Those who have lost their employment and hence livelihood may well seek opportunities for protest in which they are able to assert their grievances and vent their frustrations. It’s not inconceivable that unoccupied (or occupied) autonomous vehicles may be targeted using rudimentary but highly effective ruses. Clearly, parallel activities may simply be based on hooliganism. Quoting from a report developed by the FBI’s Strategic Issues Group, Harris (2014) writes: ‘“Autonomy… will make mobility more efficient, but will open up greater possibilities for dual-type applications and ways for a car to be more of a potential lethal weapon than it is today.” This presumably reflects fears that criminals might override safety features to ignore traffic lights and speed limits, or that terrorists might program explosive-packed cars to become self-driving bombs.’

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If we assume that autonomous vehicles will indeed be able to make passenger-free journeys, then this latter consideration may prove to be of particular concern. 5: Liability and Ethical Issues: As previously indicated, proponents of automated vehicles claim that their widespread introduction will significantly reduce road accidents. Invariably figures are quoted concerning the number of road fatalities that have occurred in a particular country during a certain year. For example in the U.S. in 2015 it’s reported that there were some 35,092 accidents involving fatalities (U.S. Department of Transportation 2016)23. However this figure tells only one part of the story and it’s more meaningful to consider it in the context of the total annual distance travelled by vehicles— which in 2015 in the U.S. was a remarkable *3.1  1012 miles (FHWA 2015). Thus if we divide this distance into 35,092 we obtain a figure of only *1.1 fatalities for each 100 million miles driven. However proponents of autonomous vehicles invariably simply cite statistics concerning fatalities and injuries, and seldom mention the less ‘impressive’ data concerning fatalities (or injuries) per total miles driven (on the basis that statistical data can usually be presented in a form which appears to support any particular viewpoint). A growing number of companies are road testing their automated cars and in March 2018 an accident occurred in the U.S. in which an autonomous vehicle killed a pedestrian. The car was operating in autonomous mode—in the presence of a human driver who was (or should have been) ready to take over if/when the need arose. In practice, knowing exactly when to intervene often involves a ‘split second’ decision and can therefore be somewhat problematic— particularly when a vehicle has been performing well for some time. But on this occasion when moving at a speed of *40 mph, the car struck a pedestrian walking with her bicycle. Naturally this tragic incident has received considerable attention but unfortunately such events are inevitable when this type of technology is being tested on the roads:24 ‘This is the second death in the United States caused by a self-driving car, and it’s believed to be the first involving a pedestrian. It’s not the first accident this year, nor is this the first time that a self-driving Uber has caused a major vehicle accident in Tempe: In March 2017, a self driving Uber SUV crashed into one other car and flipped over on the highway.’ (Broussard 2018)

At the present time there seems to be little hard evidence which supports claims that autonomous vehicles will ultimately prove to be safer than their human-operated equivalents. Current road testing is carried out in good conditions but there will be a need to push the boundaries of operation, and as autonomous vehicles are tested under ever more adverse conditions the Approximate figures cite an annual average of 40,000 traffic related deaths in the U.S. and 1.25 million globally (Hong 2018). 24 During the initial introduction of cars in the UK, in 1896 Bridge Driscoll was the first person to be killed, having been hit by a car which had a top speed of 8 mph. However this did not impact on the pace of progress and by 1903 the speed limit was raised to 20 mph. (Robbins 2016) 23

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frequency of accidents is likely to increase. But the lack of sound evidence in respect of the safety of autonomous vehicles doesn’t detract from largely subjective confidence. Thus, for example, an article entitled ‘To Save the most Lives, Deploy (Imperfect) Self-Driving Cars ASAP’ indicates: ‘Autonomous vehicles would crash less (for one thing, they don’t drink or text or yell at their kids in the back seat).’ (Marshall 2017)

Meaningfully comparing the safety of autonomous and conventional vehicles is by no means easy. The figure quoted previously for 2015 of 1.1 deaths in the U.S. per 100 million miles driven, relates to journeys made under wide-ranging conditions. In contrast, to date physical road testing of autonomous vehicles has been carried out under much more ideal conditions, and whilst simulations and off-road testing can be very useful, they both fall short of the ‘real thing’. In the case of conventionally driven vehicles, when accidents occur drivers must take responsibility for poor decision-making, lack of appropriate concentration, reckless behaviour, and ‘human error’. In contrast, when autonomous vehicles are involved in accidents, liability issues are likely to become more complex. Since these vehicles continually acquire and store data, it will be possible to analyse events leading up to an accident and determine its cause. In this way it should be possible to identify any vehicle subsystems which operated incorrectly and thereby attribute responsibility to a particular product manufacturer, or faulty maintenance procedure. But consider by way of example an extreme case in which the faulty operation of an autonomous vehicle results in a large motorway accident causing multiple deaths and serious injury to many people. A data-based investigation may well make it possible to identify the chain of events which led to the accident and the specific subsystems that were at fault. From the manufacturer’s perspective, this could result in extremely costly litigation and damaging publicity. Consequently it’s likely that they will endeavour to find ways of limiting their liability, which may include incorporating safety systems which prevent vehicle use outside validated operating limits, and/or when sensors and the like are not operating in an optimal way. Whilst this would seem to be a prudent approach, it may lead to user frustration as it would almost certainly guarantee that an autonomous vehicle would fail to demonstrate the flexibility and reliability associated with its conventional equivalent. Furthermore if liability stakes are high, it’s possible that less scrupulous companies may attempt to interfere with recorded data. With this in mind, it will be crucial to ensure that key data is held in such a way that its integrity can be guaranteed. Sooner or later, discussion concerning the strengths and weaknesses of autonomous vehicles turns to ethically-based decision-making, at which point the so-called ‘Trolley Problem’ is invariably cited. This is a philosophical thought experiment in which an extreme situation is used to argue ethical

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issues. Rather than rehash the usual way in which the thought experiment is considered (and which is generally dismissed by advocates of autonomous vehicles), here we adapt the Trolley Problem to demonstrate that it retains a degree of validity. Consider the case that whilst driving a car (with prudence) along a narrow country lane, you turn a bend and suddenly encounter an extreme situation. Three bike riders travelling at speed occupy the centre of the road and your car is about to collide with them. If you swerve to the right you will hit a pedestrian —and similarly if you veer to the left. Invariably in the case of such thought experiments there is a need to accept a somewhat contrived situation, but the important points are that you suddenly come across this situation, that you cannot stop in time to avoid a collision, and that you have to react very quickly. There is no possibility of avoiding injury to either the cyclists or to one or other of the pedestrians. Instinctively you will probably veer to one side and so one of the pedestrians will be injured or even killed. Whatever action you take, the outcome for any caring person is that this will be a life-changing event, and it’s likely that you will always question what happened in those moments of time—could you have acted in a different way? Now consider that an autonomous car were to encounter the same situation. Perhaps in the very brief time available the computer system would be able to analyse the sensor data more rapidly than the human driver, and it’s not unreasonable to assume that the system may have been trained to handle emergency situations on the basis of endeavouring to cause the least harm. Consequently, we presume that the car will swerve—but in which direction? Suppose that one of the two pedestrians appears to be young and evidently prosperous, whilst the other appears to be old and has the stereotyped image of a homeless person. If this data is extracted by the computer system within a very short time interval, then it could be used in the decision-making process. But should it? Invariably the Trolley Problem is used to question ethical issues associated with knowingly causing injury through a definite action, versus knowingly causing injury by taking no action. Some argue that the situation is so contrived (and statistically unlikely) that it can be regarded as being irrelevant. Others make the case that for both human driven and autonomous vehicles there is no ethically sound outcome. In reality none of these perspectives entirely demolishes the validity of the problem. Whilst we can agree that this nightmare scenario is statistically unlikely, the fact remains that it could happen, and that this must be taken into account in the development of autonomous vehicles. It’s surprising how often events deemed to be statistically unlikely (or even almost statistically impossible) occur—for related discussion see OTU Activity 8.24 together with Sect. 8.11 and other ‘Organisational Failure’ related sections.

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The reality is that if it can happen, then sooner or later it will happen.

A key point to our discussion is that by replacing the human driver with an automaton, we are in effect outsourcing responsibility. Provided that a vehicle’s owner can demonstrate that it has received the required level of maintenance attention and has been operated in accordance with the manufacturer’s specifications, then responsibility for accidents will surely fall on the vehicle designers/manufacturers, vehicle service centres and on those responsible for maintaining the condition of roads and road signage.25 The financial ramifications of accidents may have a serious impact on those who potentially bear responsibility, and as a result it’s possible that automated decision-making systems may ultimately incorporate the costs associated with litigation as a decision-making factor. Thus the financial reality of veering in one direction may appear to be greater than swerving in the other. Further, some may endeavour to justify the decision to swerve in the direction of the old man who appears to be ‘down and out’ on the basis of doing least harm. OTU Activity 8.24 Identify and discuss situations in which the seemingly statistically ‘impossible’ coalescence of events has resulted in serious accidents (human death/injury and/or environmental damage).

Of course it’s somewhat far-fetched to believe that the autonomous vehicle could accurately distinguish between rich and poor people—but it would, for example, be much simpler to distinguish between a high value car and a cheap, somewhat decrepit vehicle. In the case that we apply the Trolley thought experiment to an inevitable vehicle collision, we quickly see that from an ethical point of view matters become somewhat complicated. Whilst the human driver may only have time to react instinctively, a high-performance real-time system may be able to process a considerable amount of data and clinically identify several possible action scenarios. The question then arises as to how a particular course of action is selected (also see OTU Activity 8.25). If this is biased by consideration of the financial impact that specific actions may have on, for example, those involved in product design and/or manufacture, then ethical issues abound. In fact even at the most mundane level, many questions need to be answered:

25

In the case that vehicles don’t simply act as autonomous agents but employ inter-vehicular communication to mediate their manoeuvres, then when an accident occurs matters may become somewhat more complex. Such communication will be crucial in supporting efficient vehicle movement in dense (and complex) traffic situations.

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‘When an automated car violates traffic rules, should a police officer write a ticket for the owner or the carmaker? Should States require automakers to carry liability insurance, as they do for drivers?’ (Editorial Board 2017)

6: Privacy Issues: Autonomous vehicle technologies enable all aspects of a journey to be recorded, and hence provide yet another mechanism whereby our movements can be tracked. Although in many countries information relating to travel is already available, it must generally be compiled from various sources. In contrast autonomous vehicles will be able to act as a single comprehensive source of information. OTU Activity 8.25 Discuss the following hypothetical decision-making scenarios: ‘…If the [autonomous] car was programmed to save the car’s occupants at the expense of pedestrians, the autonomous-car industry is facing its first public moment of moral reckoning. But imagine the opposite scenario: The car is programmed to sacrifice the driver and the occupants to preserve the lives of bystanders. Would you get into the car with your child? Would you let anyone in your family ride in it?’ (Broussard 2018)

7: Human Factors: For many people (particularly those who are accustomed to driving themselves), the autonomous vehicle experience may take some time to get used to. Vehicle occupants must be willing to place their lives in the hands of computer systems, and must also be comfortable with the automated style of driving. For example a failure to provide a sound impression of reacting to an event promptly, overuse of braking, and driving in overly close proximity to the vehicle in front (particularly when travelling at speed) may cause concern to some. Equally, vehicle occupants may become frustrated by the adoption of an overly cautious approach which results in journey times that are longer (or seem to take longer) than would be the case with a manually operated vehicle. Usually people who are affected by car travel sickness only suffer this experience when they are passengers. The problem is exacerbated by non-smooth driving. However, as soon as a person is actually in control of a vehicle, the malady evaporates—but in the case of autonomous vehicles, everybody is a passenger! On the other hand, as the technology advances it’s likely that systems may be incorporated which enable passengers to tune a vehicle to their preferred style of driving. Despite the great amount of money which the private sector is investing in the development and testing of autonomous vehicles, public enthusiasm for the technology is mixed:

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‘People have good reason to doubt grand promises about world-changing technology. They have lost countless hours to unreliable software and had their personal data hacked. They have been let down by companies that hid safety defects (General Motors and Takata) or lied about emissions (Volkswagen).’ (Editorial Board 2017)

Further, various surveys have highlighted public concern. For example, Hutson (2017) writes: ‘In a recent survey by AAA [American Automobile Association], for example, 78% of respondents said they were afraid to ride in an AV [autonomous vehicle]. In a poll by insurance giant AIG, 41% didn’t want to share the road with driverless cars. And ironically, even as companies roll out more capable semi-AVs, the public is becoming less – not more – trusting of AVs, according to surveys over the past 2 years by … MIT… and marketing firm J D Power and Associates.’

In considering such survey results it’s important to remember that very few people have ridden in autonomous vehicles, and most drivers have yet to encounter this technology. It is therefore quite possible that as the public gain more experience, views may quickly change. Alternatively, a spate of accidents could further reinforce negative perceptions. 8: Prioritisation: As (if) the density of autonomous vehicles increases, inter-vehicular communication will be essential. At the simplest level this will replace the current practice of hand signals that are frequently used when, for example, one driver gives way to another at a road intersection. However when large numbers of autonomous vehicles are navigating complex traffic situations, the efficient and safe flow of vehicles is dependent on continuous communications such that for example, in the case that a vehicle wishes to change lanes, other vehicles will give way thereby supporting the action.

OTU Activity 8.26 Some argue that autonomous vehicles should be deployed as soon as they can be shown to cause fewer deaths than traditional vehicles. For example, the author of an article entitled ‘To Save the Most Lives, Deploy (Imperfect) Self-Driving Cars ASAP’, writes: ‘The rational argument: Put them on the roads when they cause fewer deaths overall than human drivers. If humans cause 37,462 car deaths a year, and driverless cars cause 37,461, let ‘em roll.’ (Marshall (2017)) Discuss any ethical issues that you believe may be associated with releasing autonomous vehicles as commercial products at the earliest possible time (you may also wish to comment on any statistical flaws that are associated with the view expressed in the above quotation – recall discussion earlier in this section).

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This type of communication may also provide opportunities for prioritisation of traffic. In relation to the movement of emergency vehicles (ambulances and the like) this offers clear advantages. On the other hand it may provide opportunities for manufacturers to deliberately sell vehicles which have high or low levels of prioritisation. In this case, it would be likely that less expensive cars (with low prioritisation) would continually yield to signals received from more expensive vehicles (which we assume would have a higher level of prioritisation). For related discussion see OTU Activities 8.27 and 8.28. Also see Department of Transport (2019) for information concerning the trialling of automated vehicles.

8.8.2 From Hype to Reality ‘The only humans left in the modern supply chain are truck drivers. Today’s cutting-edge warehouses buzz with automated forklifts and robots that load and unload trucks while drivers stand around sipping coffee – and getting paychecks… That’s the type of thing that drives corporate finance types crazy. The best option is to eliminate drivers.’26

There can be no doubt that vehicles equipped with the technologies needed to support autonomous operation will always be significantly more expensive to purchase, lease, and operate than those which are intended to be driven only in manual mode (assuming of course that government taxation and/or insurance premiums aren’t used to promote the former and discourage the latter). Furthermore, given the significant technical challenges that are associated with the development of general purpose all-weather autonomous vehicles, it’s evident that today’s autonomous vehicles are being applied to scenarios in which there is good weather and relatively simple routing (e.g. ferrying travellers between airports and hotels, together with relatively straightforward taxi activities). Such commercial operations provide a further advantage as fleet operators are more likely to follow (or can be forced to follow) the stringent maintenance standards needed to support the safe operation of autonomous vehicles. However the use of autonomous vehicles for commercial applications is likely to result in job losses, and undoubtedly in some countries this will be met with strong resistance.

26

Murphy (2017).

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OTU Activity 8.27 Over the years, the airline industry has learned of the dangers associated with ‘tempting fate’ – specifically in respect of using freedom from accidents as a centrepiece in advertising campaigns. (NASA also learnt not to tempt fate after the illfated voyage of Apollo 13.) In contrast, increasing safety through a reduction in accidents forms a central theme in promoting the development of autonomous vehicles. As a consequence every time an accident occurs it attracts considerable media attention, and must surely place additional pressure on those involved in the development and testing processes. In parallel as we have discussed, to date there is no solid evidence that general purpose autonomous vehicles will be any safer than conventional vehicles. With these thoughts in mind, discuss any ethically-related issues that you believe are associated with confidently promoting autonomous vehicles on the basis of safety.

8.8.3 Semi-autonomous Vehicles ‘Mr. Dick took his finger out of his mouth, on this hint, and stood among the group, with a grave and attentive expression of face.’27

In the above discussion we have largely focused on vehicles which are intended to support fully autonomous operation. However, many manufacturers are also becoming increasingly involved in developing semi-autonomous vehicles able to operate automatically under certain limited conditions, and which are intended to support rather than replace the driver (which according to the terminology adopted in Sect. 7.7 would be loosely referred to as ‘supervised autonomy’). But even the development of this type of less ambitious technology is proving challenging: ‘Tesla now has another fatality to hang on its semi-autonomous driving system. The company just revealed that its Autopilot feature was turned on when a Model X SUV slammed into a concrete highway lane divider and burst into flames on the morning of Friday March 23. The driver, Wei Huang, died shortly afterwards at the hospital.’ (Stewart 2018b)

And earlier that year a Tesla Model S (also in Autopilot mode) drove into the back of a stationary fire engine. This has since raised concerns about an important design consideration. Quoting from an instruction manual, Stewart (2018a) writes: ‘“Traffic-Aware Cruise Control cannot detect all objects and may not brake/decelerate for stationary vehicles, especially in situations when you are driving over 50 mph (80 km/h) and a vehicle you are following moves out of your driving path and a stationary vehicle or object is in front of you instead.”’

27

Dickens (1850).

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OTU Activity 8.28 If general purpose, all-weather autonomous vehicles are developed and widely deployed, then they are likely to have a major impact upon the way in which we travel. By way of example consider the following hypothetical scenario in which a family are travelling from a location in France to a destination in Germany: ‘At about 8 pm they set off in their autonomous pod and manually drive some miles to the nearest motorway at which point the vehicle enters its autonomous cruise mode of operation. After a brief snack, the family settle down on reclining seats and soon thereafter fall asleep. Throughout the night the pod travels at ~70 mph – stopping only twice for automated battery-system recharge. By the time the travellers awake, they are some 600 miles closer to their destination.’ A study undertaken by the U.S. Energy Information Administration (EIA 2018) suggests that the deployment of general purpose autonomous vehicles is likely to result in an increase in travel by road and that as a result energy consumption will also increase. In parallel, if widely used these vehicles are likely to have a major societal impact such that some will gain and some are sure to lose. With these thoughts in mind: 1. Discuss possible ways in which autonomous vehicles are likely to impact on the ways in which we travel, and hence suggest possible winners and losers. 2. Given the potentially major impact of autonomous vehicles, do you believe that it is ethically desirable that they are introduced without extensive public discussion which focuses on both their short and longer term ramifications?

By way of a simple example, suppose that you are driving along a motorway at 70 mph with the semi-autonomous mode enabled. Unbeknown to you a vehicle has broken down ahead in the lane in which you are driving. This becomes visible to the vehicle in front and it changes lane. You are now approaching a stationary vehicle at speed and if you don’t immediately react then at best you will be experiencing the delights of hospital food, probably for some time. Unlike people, technology has no instinct for self-survival and left to its own devices it may well mindlessly drive at full speed into the obstacle. To put this potential collision into perspective, if we assume that at the moment you notice the vehicle it is 50 yards away, then without your intervention impact will occur in just under 1.5 seconds. It is to be hoped that you are not in any way distracted and that you are immediately able to take over control. Here a key problem relates to the fact that when the vehicle is in automatic mode, the driver is likely to be outside the control loop and could be occupied with, or distracted by, other matters.

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Putting this design weakness to one side, there is a key danger which is implicit in this type of technology—it allows the driver to partially decouple from the driving experience (the control loop). Distracted by conversation, by in-car gadgets, or by that sleepy feeling that is often experienced on long-distance trips, the driver may not be ready to spontaneously react to an emergency situation. For loosely related discussion see Sect. 8.11. Whilst the technology associated with all forms of real-time control systems is fascinating, it’s crucial to bear in mind that the development of reliable systems is particularly demanding: ‘And when even the best systems available can’t see a big red firetruck, it’s a stark reminder of how long and winding the path to autonomy actually is.’ (Stewart 2018a)

Unfortunately media hype doesn’t create an environment that is conducive to prudent and demanding engineering—recall the account of the R.101 disaster (Sect. 5.5): plus ca change... OTU Activity 8.29 Philosophers are also engaging in research relating to autonomous vehicle decisionmaking. A thrust is to go beyond the Trolley Problem thought experiment and develop solutions which purport to have an ethical basis. For example, in the moments leading up to an inevitable accident, Goldhill (2018) writes: ‘Utilitarian philosophers [recall Section 1.4], for example, believe all lives have equal moral weight and so an algorithm based on this theory would assign the same value to passengers of the car as to pedestrians. There are others who believe that you have a perfect duty to protect yourself from harm….’ This latter perspective would suggest that the technology should be trained to put the occupants of the vehicle first, even if this is at the expense of others. The above author goes on to reflect that: ‘…if a car will swerve to avoid pedestrians [i.e. if it is designed to do so] even if this puts the driver at risk, then someone could intentionally put themselves in the path of an autonomous vehicle to harm the driver.’ 1. Identify and discuss ethically-related issues that may be associated with an autonomous vehicle’s decision-making capabilities. 2. Discuss whether you believe that it is ethically desirable that we should develop systems which operate according to ways in which we place different ‘values’ on members of society.

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When a Robot is Given Your Job ‘Make the lie big, keep it simple, keep saying it, and eventually they will believe it28

The development and widespread deployment of robotic systems that are underpinned by AI and machine learning is frequently referred to as representing the fourth Industrial Revolution (Industry 4.0). Below we briefly summarise these four broad phases of technological advancement: 1: Industry 1.0: This was underpinned by the development of steam-driven technologies (which superseded the use of flowing water for the generation of mechanical power), and was spearheaded in the UK. Many traditional forms of manufacture were mechanised and great factories (mills) gradually emerged. Vast quantities of coal were used for steam generation, pollution became a norm and working conditions (for both adults and children) were often appalling. To William Blake (1757–1827) these grim mills were abhorrent and immortalised in his poem ‘Jerusalem’ the first two verses of which read: ‘And did those feet in ancient time Walk upon Englands mountains green: And was the holy Lamb of God, On Englands pleasant pastures seen! And did the Countenance Divine, Shine fourth upon our clounded hills? And was Jerusalem builded here, Among these dark Satanic Mills?’

The notion of dark satanic mills has become synonymous with conditions of drudgery and dangerous working practices and even today in counties such as the UK the term is sometimes still used. For example: ‘JD Sports and Asos have been accused of running their warehouses like “satanic mills” after figures showed the number of ambulance callouts to their sites…poor working practices in warehouses include staff subject to timed toilet breaks, invasive security checks and exhausting targets.’ (Anon 2019)

The reputation of the Victorian mills was severely tarnished by widespread child exploitation—children as young as five being forced to work for twelve to sixteen hours each day with only a break on Sundays. This was justified by many employers on the grounds that child labour was an essential element in the production of competitively priced products. 2: Industry 2.0: By the end of the 19th century widespread electrification was providing opportunities for new industries and new ways of working. Soon 28

Generally attributed to The Nazi Minister of Propaganda, Joseph Goebbels.

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assembly line production techniques provided ways of reducing manufacturing costs, with individual workers carrying out carefully defined and repetitive tasks. As discussed in Sect. 6.4, it was during this period that the concept of repetitive consumption was promoted, and fuelled mass consumerism. 3: Industry 3.0: In the 1970s digital systems rapidly proliferated and supported new approaches to automation and information sharing. As discussed in Sect. 5.2, during this time major developments were occurring in the growth of networking and the Internet. This Industrial Revolution laid the foundations for current developments and has provided us with a clear insight into the importance of the need to exercise caution in the way in which we deploy and use ever more advanced technologies. Whether or not we will heed this experience remains to be seen. 4: Industry 4.0: It’s widely believed that we are now witnessing the beginning of yet another Industrial Revolution—one which is characterised by the growth of the IoE, unprecedented levels of connectivity, the development of ever more advanced AI systems, machine learning, big data and robotics. We are rapidly moving into uncharted and potentially perilous waters and in general terms, the plan is that there is no plan—other than to move forward at full speed. In a publication relating to the automation of aircraft (also see Sect. 8.11 for loosely related discussion), Wiener et al. (1980) summarise two opposing perceptions of automation systems. On the positive side they may be viewed as: ‘…quiet, unerring, efficient, totally dependable machines, the servants of man, eliminating all human error, and offering a safe and cost effective alternative to human frailty and caprice.’

On the other hand: ‘…automation is seen as a collection of tyrannical, self-serving machines, degrading humans, reducing the work force, bringing wholesale unemployment, and perhaps even worse, offering an invitation to a technological dictator to seize power and build a society run by Dr Strangeloves, aided by opportunistic, cold-hearted computer geniuses.’

Despite the passage of some forty years, these two extreme perspectives retain some validity and as we move closer to a society in which robotic systems will play an ever-greater role, we are still unable to accurately determine their eventual impact. As for their ‘total dependability’ and ‘elimination of human error’: Robotic technologies are designed by people. People are fallible. Consequently, the technologies that they develop are fallible. Robotic technologies will therefore not eliminate human error but will at times serve as a testament to it.

Wiener et al. (1980) provide a brief overview of some of the advantages, disadvantages, unknown attributes and questionable characteristics of robotic systems.

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Since that time it has become increasingly evident that robotic systems have the potential for use across an ever broader application domain. Consequently, the type of tabulation presented by Wiener et al. is now overly restrictive and fails to show the complexity of some of the relevant issues. By way of a simple example, from the perspective of many employers the introduction of robotic systems may be deemed to be highly desirable as it reduces reliance on human labour, it will (may) ultimately reduce costs, and has the potential to ensure consistency in quality of manufacture or services. Contrariwise, many are fearful of the impact that automated systems will have on employment, and this no longer just threatens those who are undertaking repetitive and easily modelled activities but also those in the traditional professions. Thus the perceived advantages and disadvantages of automata very much depend upon a person’s perspective. With this in mind, Fig. 8.9 summarises a number of indicative themes that relate to the proliferation of robotic systems. Also see OTU Activity 8.30. There are widely differing views on the impact that robotic technologies will have on future employment. For example, a study undertaken by PwC (UK) which purports to be based on an analysis of the tasks involved in over 200,000 existing jobs in 29 countries suggests three general phases of technological infusion (see Table 8.1). The authors of the report indicate: ‘By the mid-2030’s, up to 30% of jobs could be automatable, with slightly more men being affected in the long run…Long-term automation could be lower at only around 20-25% in Asian and Nordic countries, but could be higher at over 40% in some Eastern European countries. A culture of adaptability and lifelong learning will be crucial for spreading the benefits of AI and robotics widely through society, particularly with an aging population where we need people to be able to work for longer.’ (Hawksworth et al. undated).

Ethical Dilemma 8.1 Over the coming years, and if left unchecked, it is highly likely that advances in robots, AI, and machine learning will have a profound impact on many diverse areas of employment. Consider the case that you are offered a significant consultancy opportunity involving the implementation of robotic systems in a factory. It’s evident that following automation the current workforce (comprising 300 employees) will be reduced to 50. This reduction in the level of staffing is a key factor in the move to automation. 1. Discuss any professional and ethical issues which may influence your decision to accept or decline this opportunity. 2. Suppose that you decide to accept the work. When you make your initial visit to the factory, you are told that the intention to make large numbers of staff redundant following the introduction of the robotic systems is confidential. Further, you find that the management staff are reassuring workers by telling them that their jobs will not be affected. You’re told that if any employees approach you to discuss this matter, you should also reassure them that their jobs are not at jeopardy. As a Computing and IT professional, discuss any impact that this may have on your involvement in the undertaking.

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Impact on employment

Impact on mental health

Impact on job satisfaction

Robotic Systems

Impact on selfesteem

Enhanced energy management

Impact on human proficiency

Impact on societal freedoms

Impact on individual liberty

Impact on quality of life

Automated Technologies

Impact on income

Requirements for capital investment Enhanced precision

Impact on business opportunities Impact on privacy erosion

Maintenance costs

Data collection opportunities

Perception of elimination of human error

Winners and losers

Quality control opportunities

Reduced service provision costs

Impact of increased digital connectivity

Reduced manufacture costs

Winners and Losers? Fig. 8.9 Summarising some indicative areas which are associated with the proliferation of robotic technologies. Undoubtedly there will be winners and losers, and given the potential for robotic systems to have a profound impact on society it would seem imprudent to allow unfettered market forces to determine the ways in which robotic systems are used.

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Table 8.1 Summary information derived from a study undertaken by PwC (UK) which identifies three possible phases of development. See Hawksworth et al. (undated) for further discussion.

Phase 1 Phase 2 Phase 3

Period

Key focus

Existing job losses (%)

Greatest impact

Current to early 2020s Early to late 2020s

Algorithmic systems Augmentation systems Autonomous systems

*3

Women

*20

Women

*30

Men

Late 2020s to mid 2030s

In a similar vein, Wisskirchen et al. (2017) suggest that: ‘Both blue-collar and white-collar sectors will be affected. The faster the process of the division of labour and the more single working or process steps can be described in detail, the sooner employees can be replaced by intelligent algorithms. One third of current jobs requiring a bachelor’s degree can be performed by machines or intelligent software in the future. Individual jobs will disappear completely, and new types of jobs will come into being.’

And in terms of primary motivations for the infusion of robotic systems into the workplace: ‘Particularly in the industrial sectors in Western high-labour cost countries, automation and use of production robots lead to considerable savings with regard to the cost of labour and products. While one production working hour costs the German automotive industry more than €40, the use of a robot costs between €5 and €8 per hour… A further aspect is that a robot cannot become ill, have children or go on strike and is not entitled to annual leave. An autonomous computer system does not depend on external factors meaning that it works reliably and constantly, 24/7, and it can work in danger zones. As a rule, its accuracy is greater than that of a human, and it cannot be distracted either by fatigue or by other external circumstances.’ (Wisskirchen et al. 2017)

OTU Activity 8.30 Review Figure 8.9 and discuss the advantages and disadvantages of the various indicative themes indicated in the diagram. You are asked to consider selected themes from the perspective of different stakeholders. In addition you are encouraged to include additional themes which you believe to be relevant.

But this doesn’t necessarily mean that there will be mass unemployment and this view is often justified by reference to history. In brief, since the start of the Industrial Revolution machines have been continuously put in place to either augment or replace traditional jobs. This led to increases in efficiency and generated wealth. As a direct consequence many people experienced great improvements in their standard of living. In turn, this fuelled demands for products and services

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(repetitive consumption), which has led to job creation thereby countering job displacement. With these thoughts in mind it is possible to argue that in the coming years the proliferation of robotic systems will not result in high levels of unemployment, but will create a multitude of new employment opportunities. Baase (2013) writes: ‘…it is obvious that computer technology did not and does not cause mass unemployment. Those who continually predict mass unemployment see only the old, pre-existing jobs that are lost. They lack the imagination or the knowledge of history and economics to see that people create new jobs. The next big breakthrough in technology, perhaps a major advance in artificial intelligence (AI) or robotics, will generate the same scary projections.’

The upper diagram in Fig. 8.10 summarises several key considerations which may support this type of favourable synopsis. In essence, continued increases in the global population are assumed to drive increased demand for products and services. This then supports a continually growing human and robotic workforce. In parallel increased life expectancy is assumed to result in there being more people who have

Growth in global population

Growth in robotic technologies

Ever greater demand for products

Growth in aging population

Ever larger human and robotic workforce

Finite global resources

Sustained by new opportunities and increased demand for products and services AND By changes in employment ethos

Sustainability of repetitive consumption?

Displacement is not one-forone

Fig. 8.10 In the upper diagram we illustrate ways in which an ever larger human and robotic workforce may possibly be sustained. The lower diagram is intended to demonstrate that in fact the situation is more complicated. Given the finite extent of global resources (and irrespective of the use of robotic technologies) the continued growth in repetitive consumption is not sustainable. A further consideration relates to the fact that in many applications the introduction of a single robotic technology into the workplace will displace more than a single person—displacement is not usually ‘one-for-one’ but rather ‘one-for-many’.

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retired from the workforce, and in some countries it’s assumed that they have attained a greater level of wealth and hence spending power—which further fuels the demand for products and services. This general line of thought can be supported by reference to more than 200 years of history, but overlooks other important factors. For example, as indicated in the lower illustration the notion that the scale of product manufacture can forever increase is flawed, because it assumes that global resources are unlimited and that the growth of manufacturing can be achieved without having a significant negative environmental impact. As a result it’s quite possible that the ‘golden’ days of repetitive consumption may be coming to an end, in which case there will be a need for manufacturers to better support the development of products which have a long ‘Useful Phase’ (see Sect. 6.2.3) Furthermore, it’s important to bear in mind that in most situations the deployment of a robot displaces more than one human worker (which is of course a central motivation in utilising robots in the workplace). This also applies to situations in which a human and robot work alongside each other— their total output will invariably be expected to increase, and hence others are likely to become superfluous. If we assume that robotic technologies will displace workers from large numbers of existing jobs, then in order to avoid major levels of unemployment there will be a need for retraining, and in this context much depends on the quality, flexibility and relevance of educational programmes. Despite optimistic assertions from those who suggest that major levels of job displacement caused by the infusion of robotic systems can be countered by human willingness/ability to switch between types of employment, the practical logistics are likely to be challenging. Although this is an area of focus in the next chapter, below we briefly summarise a number of relevant factors (also see Fig. 8.11): 1: Logistics of Change: When a person working in a certain area is displaced by robotic technologies, he/she may be forced to seek alternative employment requiring different (and possibly more advanced) skills. This may involve significant and potentially costly retraining. 2: Availability of Education Services: This requires educational/training institutions to rapidly adapt to the likely impact of robotic technologies in the workplace. At present in many countries (such as the UK) there’s little sign of a widespread thrust in this direction—although others are more prepared: ‘The winners of the digital revolution are, on the other hand, likely to be the highly developed Asian countries with good education systems, such as Singapore, Hong Kong, Taiwan and South Korea. These countries – together with the Scandinavian countries – have been undertaking research and working to find digital solutions for complex issues for a long time.’ (Wisskirchen et al. 2017)

3: Base Qualifications and Experience: At the present time there’s a widespread belief that high-school and university level qualifications will retain their validity and relevance throughout a person’s career. Thus a degree in subjects such as accountancy, law, and the like is often assumed to provide a sufficient

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Ability to change

Opportunity to change

Affordability of change

Base qualifications and experience

Availability of relevant educational services

Robotic Systems

Competition with younger workers

Job Displacement Driven Change

Career history considerations

Change as a function of age

Fig. 8.11 There is general agreement that the widespread infusion of robotic technologies will result in significant levels of job displacement across many sectors of employment. It’s often suggested that this will not lead to large-scale unemployment, but rather will make it necessary for people to be ever more adaptable—such that we are willing/prepared to switch careers as and when the need arises. Here we summarise some of the factors that may make this difficult. See text for discussion.

basis for lifelong employment. It’s on this basis that many students take out the significant loans which are needed in order to pay for their studies. But during the next 30 years it’s likely that robotic systems may be an employment game-changer, even in professional areas: ‘Better education helps, however, only in certain circumstances. The additional qualification of an individual employee must be connected to the work in question. Additional qualifications as an accountant will be of little benefit for the individual employee, because – over time – there is a 98 per cent probability that the work of an accountant can be done by intelligent software.’ (Wisskirchen et al. 2017)

4: Career History Considerations: Consider that you have 30+ years of experience in working in a particular area and lose your job as a result of the deployment of robotic systems. As a result it’s necessary not only to retrain and thereby gain key knowledge and skills, but also to persuade a prospective employer that you have the ability to adapt to quite new working practices within a new environment. An employer may well be more amenable to those who can demonstrate a broad educational background which has supported the acquisition of a rich set of diverse skills. In addition a person who has been working in a given area for some years is likely to have gained promotion and a corresponding increase in salary. If this person is forced to change career, then it is quite likely that until they gain the experience required for promotion and hence seniority, they will be paid a lower salary. 5: Age: Despite the introduction in many countries of age discrimination legislation, there is little doubt that age remains a direct or indirect factor in

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employee recruitment. Consequently following on from the scenario mentioned in (4) above, in changing to a new area of employment, it is likely that you will be competing with others who are younger and may be viewed as being more flexible in adapting to the needs of an employer. Furthermore, in the later part of a career, a person is often less enthusiastic about embarking on a major change of employment. In parallel, Baase (2013) and others who are researching the future of the employment landscape note that the development and deployment of technologies is accelerating the pace of change, which can be much more unsettling for those who are older: ‘The pace of improvement in speed, capability, and cost for computing and communication technology is much faster than for any previous technology. The pace itself causes more job disruption as people continually face job elimination and the need to retrain.’ Baase (2013)

6: Other Considerations: Wiener’s Laws29 (look ahead to Fig. 8.15) relate to the automation of aircraft systems. However, some of these are applicable to other areas of automation, and one which is particularly relevant to our current discussion reads: ‘Any pilot who can be replaced by a computer should be.’

This notion can be applied to practically any area of professional employment and may be viewed as suggesting that if as professionals we act in a ‘robotic’ way then if we experience displacement through automation, we only have ourselves to blame. However, this overlooks two considerations: (a) Employer Expectations: As previously mentioned (Sect. 8.2.1) some employers discourage creativity and individuality—they seek employees who primarily follow processes and tick the ‘right’ boxes. For example, Langewiesche (2014) whose account of the loss of Air France Flight 447 is outlined in Sect. 8.11 describes an encounter between a British pilot and his boss in a Middle Eastern airline in which the pilot bemoaned the fact that automation had taken the fun out of flying planes. In response he was firmly told: ‘“…if you want to have fun sail a boat. You fly with automation or find some other job”’

(b) Employer Decision Making: The introduction of robotic systems in an organisation is seldom intended to replace a single person (recall Fig. 8.10). In order to justify the necessary investment a technology must offer savings, and consequently each robotic system is likely to displace a plurality of employees. Consequently, however well an individual carries out his/her work this may not greatly influence a corporate decision to adopt robotic systems. The primary consideration may simply be to achieve cost savings. 29

Devised by Earl Wiener (1933–2013).

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In Fig. 8.10, we also refer to changes in employment ethos. This is intended to encompass the possibility of adopting alternative strategies in relation to ways in which people obtain a regular income. For example this could take the form of the increased use of job sharing and/or government provision of a basic living wage to all citizens. Unfortunately such approaches are unlikely to maintain or increase a person’s income and so will not help to create the affluent society needed to drive repetitive consumption and hence fuel the need for ever greater levels of manufacture. In considering the likelihood of developments of this kind, we must bear in mind that in principle (and when considered over the long term), the continued development of robotic technologies has the potential to enable the extensive and almost unbounded displacement of human workers across many sectors. Of course in reality this may be an unlikely scenario as there can be little doubt that it would lead to social unrest and mass protest. Furthermore for many people, retraining can be fraught with difficulties: ‘Many people will not be able to retrain for another position for physical or cognitive reasons. These people will become long-term unemployed and will have to be supported by the state. The high financial pressure on social welfare systems will be a central problem.’ (Wisskirchen et al. 2017)

As previously indicated there will undoubtedly be winners and losers—with those in the former category accumulating considerable wealth, and those in the latter category being ever more marginalised: ‘…the gap between rich and poor will continue to grow, which will inevitably lead to social unrest that will be a danger for the growth of the economy. As a result, wage differences will become more obvious than ever, despite established minimum wages in many countries, such as the US, Germany, France or the UK. Owing to increasing digitalisation and the streamlining of jobs that this entails, there will be fewer possibilities for well-paid work in the low - and medium-wage sectors. Many people will end up unemployed, whereas highly qualified, creative and ambitious professionals will increase their wealth.’ (Wisskirchen et al. 2017)

Without appropriate planning and caution, it’s possible that within 20–30 years large numbers of displaced people may find it difficult to gain employment. Given the profound impact that automation is likely to have across so many areas of society, perhaps it may be deemed ethically undesirable to simply let commercial forces dictate tomorrow’s world? In the next chapter we consider the role of the educational system in providing the foundations needed for lifelong employment in a rapidly changing employment landscape.

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The Jekyll and Hyde Factor ‘Rwanda’s genocide occurred in the year in which we wept through…Schindlers’s List; it happened while Western leaders walked along the D-Day beaches and celebrated the defeat of fascism. It was left to “UN Peacekeepers” to take the blame for Rwanda.’30

In Sect. 3.5.1 I mentioned a classic film (Gaslight), which as a child I found to be rather scary. And as I reflect on the preparation of this section, I am reminded of another film of the same genre which had a similar effect: Dr Jekyll and Mr Hyde. Starring Spencer Tracy, Ingrid Bergman and Lana Turner, the film was loosely based on the gothic story by Robert Louis Stevenson entitled, ‘Strange Case of Dr Jekyll and Mr Hyde’, and was set in Victorian London. In brief, the well respected Henry Jekyll works long hours in his private laboratory where he researches his belief that the coexistence of good and evil is implicit in the human character. In his quest to verify this supposition, he develops a serum which when imbibed causes his appearance to change and allows his dark side to be unleashed without restraint. On each occasion that he tests the serum and morphs into his evil counterpart (Mr Hyde) his actions become increasingly base and he derives ever more pleasure from his degenerate behaviour. However on his returns to normality, Jekyll becomes ever more horrified by the actions of Hyde and vows that he will desist from further experimentation. Unfortunately by this time it’s too late—his personality change starts to occur naturally and of its own volition. Finally after committing a particularly violent murder, Hyde is pursued to the laboratory where he is shot, and in death he regains the appearance of Jekyll. As always, Spencer Tracy played his part superbly well and in the role of Hyde surely represented the embodiment of evil. But here we run into a difficulty which parallels one encountered in Chap. 3 in relation to privacy. As indicated in Sect. 3.2.1: ‘Privacy is a value so complex, so entangled in competing and contradictory dimensions, so engorged with various and distinct meanings, that I sometimes despair whether it can be usefully addressed at all.’ (Post 2001)

And we experience similar difficulties in respect of the common usage and precise meaning of the word ‘evil’. (Simply replacing the word ‘privacy’ in the above quotation with ‘evil’ gives an insight into the scope of the problem.) As we develop ever more sophisticated AI-based autonomous robotic systems, it’s crucial that we better understand aspects of the human character, and in this context it is wise to include in our reflection crucially important negative attributes— particularly if there is any possibility that certain technologies may mimic, distort, or

30

Melvern (2007).

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The Three Laws of Robotics A robot may not injure a human being or, through inaction, allow a human being to come to harm. A robot must obey the orders given it by human beings, except where such orders would conflict with the First Law. A robot must protect its own existence as long as such protection does not conflict with the First or Second Laws.

Fig. 8.12 The Three Laws of robotic behaviour suggested by the science fiction writer Isaac Asimov in his 1942 short story ‘Runaround’. Look ahead to OTU Activity 8.36.

promote them. Invariably in such discussion the three laws of the science fiction writer, Isaac Asimov, are quoted. These are presented in Fig. 8.12 (also look ahead to OTU Activity 8.36). In the text that follows we briefly build on discussion presented in Sect. 1.4 concerning some particularly negative aspects of the human character, which may ultimately impact on the future development and application of advanced robotic systems which exhibit autonomous behaviour. As previously indicated, whilst technologies are rapidly advancing and providing a wealth of opportunities, over the centuries basic facets of human nature have changed very little. Indubitably every civilization and empire has exhibited the complete spectrum of human behaviours—from the best to the worst. In the case of the latter and by way of example, consider the persecution of the early Christians by Emperors such as Nero who promoted their murder as entertainment. Tacitus (circa A.D. 60–120) recorded aspects of this history: ‘Besides being put to death they were made to serve as objects of amusement; they were clothed in the hides of beasts and torn to death by dogs; others were crucified; others set on fire to illuminate the night when daylight failed.’ (Tacitus Annals (XV.44) also for example see Ekeke 2012)

The cruel excesses and instability of Nero and other Emperors are well documented, and were presumably common knowledge to the citizens of Rome—but for a considerable time this didn’t prevent public acceptance (and enjoyment) of the barbaric forms of entertainment which were on offer. Unfortunately, today’s society isn’t in a position to look back at this history of persecution (and very many others that have taken place before and since that time) with a sense of moral superiority, and hence virtue. Barbarism has in no way lessened with the passage of time. For example, over the last half century or so many countries in Africa have at times been ravaged by conflict, and at the time of writing events in Sierra Leone concerning extreme violence against girls and

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women may be regarded as a form of persecution which would surely have no place in an enlightened world. Sierra Leone is by no means unique in this respect.31 Interestingly, when we consider the most positive aspects of human behaviour it usually suffices to prefix terms such as ‘good’, courageous’, ‘kind’ and the like with other words which amplify their meaning (‘very’, ‘extremely’, ‘most’, etc.). In short we have no single word representing extreme forms of positive conduct. At the opposite end of the behavioural spectrum, the situation is rather different: ‘Prefix your adjectives [such as ‘wrong’ or ‘bad’] with as many ‘very’s as you like; you still fall short. Only ‘evil’ it seems, will do.’ Haybron (2002)

Garrard et al. (2012) endeavour to describe the essence of the concept of evil as: ‘…collect[ing] together the wrongful actions to which we have… a response of moral horror.’

Immanuel Kant (recall Sect. 1.4.2) identified three key aspects of human nature: we are radically free, we are by nature inclined towards goodness, and we are by nature inclined towards evil. In many respects these represent a central tenet of the Dr. Jekyll and Mr. Hyde story mentioned above, and although they are often viewed as being contradictory they may also be regarded as implicit and unified facets of human free will. Within this complex framework, evil can take many forms encompassing not only physical and psychological acts but also underlying motivations (intent). Thus even lesser acts may be deemed evil if carried out with evil intent. Furthermore it’s evident that perpetrators of evil may be just as reprehensible as those who fail to prevent its occurrence. For example, towards the end of WWII the existence and purpose of the Auschwitz concentration camp was known to both the British and U.S. governments. It was appreciated that the bombing of the railway lines leading to Auschwitz could greatly hamper the transportation of those being deported, and would therefore reduce the rate of killing. Logistically such an operation would have been difficult but certainly not impossible. However, it was decided to take no action, and so the Holocaust continued unabated Since that time there have been numerous occasions when international intervention could have thwarted (or at least reduced) evil activity. By way of example, consider the Genocide in Rwanda which occurred in 1994.32 During a period when *8,000 people were being killed each 31

It is interesting (although somewhat disconcerting) to consider whether the barbaric acts which are being perpetrated against girls and women in various countries would be tolerated by the international community if the victims were of other ethnicities. The response is one that perhaps also suggests that we aren’t living in a true age of enlightenment. 32 In order to better understand the genocide in Rwanda, it’s necessary to gain an insight into its origins. Epstein (2017), Power (2001) and Melvern et al. (2004) provide useful background information. For our present purposes it is sufficient to note that whilst the international community made no effective efforts to stop the genocide, key players did participate in creating conditions for its occurrence. This includes Belgium (the former colonial power which reinforced differences between the Hutu and Tutsi by originally instigating a ‘divide and rule’ approach), the UK, U.S. and France. For example: ‘US officials knew that Museveni [the Ugandan president] was not honouring his promise to court martial RPF leaders [Rwandan Patriotic Front—Tutsi exiles

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day the international community made no effective moves to intervene, and by reducing the number of UN Peacekeepers in the country (rather than doing the opposite) they facilitated the mass killing by the Hutu majority (who were in power) of the Tutsi (who comprised *15% of the population): ‘The Rwandan genocide was a systematic campaign by the Hutu ethnic majority aimed at wiping out each and every member of the minority Tutsi group. The Hutu controlled government and allied militias slaughtered between 800,000 and one million Tutsis before a Tutsi rebel group overthrew them. Over 100,000 Hutus were also killed, including both moderate Hutus killed by Hutu extremists and those killed by Tutsis in so called “revenge killings”.’ (Beauchamp 2014)

The frenzied murders were often carried out using primitive implements such as clubs, knives, and machetes. However, technology also played an important role and made use of registration data acquired through the government’s registration of the Tutsi minority33: ‘Many of the Tutsi victims found themselves specifically, not spontaneously, pursued: lists of targets had been prepared in advance, and Radio Mille Collines broadcast names, addresses, and even license-plate numbers. Killers often carried a machete in one hand and a transistor radio in the other.’ (Power 2001)

And: ‘During the genocide… it [the private radio station Radio Mille Collines] broadcast lists of people to be killed and instructed killers on where to find them.’ (Smith 2003)

The use of radio to incite and orchestrate the killing process provided the international community with an opportunity for low-key intervention—with little associated risk. Airborne radio transmission jamming technology was available (although given the country’s hilly terrain it’s likely that it would have been only partially effective). However its use was declined: ‘In early May the [US] State Department Legal Advisor’s Office issued a finding against radio jamming citing international broadcasting agreements and the American commitment to free speech.’ (Power 2001)

Because of their obligations under the 1948 Convention for the Prevention and Punishment of the Crime of Genocide, the UK and U.S. governments chose not to acknowledge that genocide was taking place. Any suggestion to the contrary could have forced their intervention. But:

armed and trained by Uganda]. The US was monitoring Ugandan weapons shipment to the RPF in 1992, but instead of punishing Museveni, western donors including the US doubled aid to his government and allowed defence spending to balloon to 48% of Uganda’s budget…In 1991, Uganda purchased 10 times more US weapons than in the preceding 40 years combined.’ (Epstein 2017) As with the U.S., British interests were in Uganda—not Rwanda. 33 Registration was originally instigated by the colonial power (Belgium) prior to Rwandan independence: ‘…identity cards made it virtually impossible for Hutus to become Tutsis, and allowed the Belgians to perfect the administration of an apartheid system that perpetuated the myth of Tutsi superiority’ (Gourevitch 1995).

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‘… instructions London gave to the few British diplomats involved with Rwanda. These suggested that it was a country of which ‘we knew little and cared less’.’ (Melvern 2004)

This author goes on to indicate that the British ambassador, Sir David Hannay: ‘…had strenuously objected to the use of the word ‘genocide’ at informal meetings held to discuss the situation in Rwanda, for fear of the Security Council becoming a ‘laughing stock’.’

And from the U.S. perspective: ‘They [U.S. government officials] also believed, understandably, that it would harm U.S. credibility to name the crime and then do nothing to stop it.’ (Power 2001)

This author reproduces text from a discussion paper on Rwanda which is attributed to an official in the U.S. Office of the Secretary of Defense: ‘Genocide Investigation: Language that calls for an international investigation of human rights abuses and possible violations of the genocide convention. Be careful. Legal at State was worried about this yesterday – Genocide finding could commit [the U.S. government] to actually “do something”.’ (Power 2001)

OTU Activity 8.31 1. Research and discuss the use of technologies and the media in facilitating and encouraging acts of genocide. You are encouraged to consider their use not only in the context of Rwanda, but also in other countries. 2. Discuss the extent to which the increasing production of ‘fake news’ can result in ethnic division, and violence - either intentionally or inadvertently.

Frequently large-scale genocide and ethnic violence do not occur by chance, but are carefully orchestrated. The events in Rwanda were no exception, and it appears that those working behind the scenes carefully considered the response of the international community before triggering events. For example: ‘In a war of all against all, it is impossible to take sides, and the authors of the Rwandan genocide seem to have understood that what the so-called international community likes best is situations in which it can proclaim its neutrality.’ (Gourevitch 1995)

Following the death of ten Belgian Peacekeepers, the Belgian government decided to withdraw its contingent. From a political perspective they didn’t want to be seen doing this in isolation, and so requested support from the U.S. government for a full withdrawal of the United Nations Assistance Mission in Rwanda (UNAMIR). This position was supported, and the U.S. lobbied for a major reduction in the UNAMIR’s presence. Subsequently the UN had only a token presence, and genocide was able to progress without restraint. Further, the Security Council failed to ensure the

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safety of refugees fleeing the country. For example, in one instance the remaining Peacekeepers were able to evacuate a group of refugees to Kenya by plane: ‘The Nairobi authorities allowed the plane to land, sequestered it in a hangar, and, echoing the American decision to turn back the S.S. St. Louis during the Holocaust,34 then forced the plane back to Rwanda. The fate of the passengers is unknown.’ (Power 2001)

At all levels of international government, the Rwandan people were left unsupported. Even when the U.S. Ambassador was withdrawn, members of the local population were abandoned (including his chief steward, who together with his wife was subsequently murdered). Amid an international climate that was dominated by political expediency and self-interest, a vortex of evil flourished: ‘Encouraged by political and civic leaders, the massacring of Tutsis spread from region to region…Hutus young and old rose to the task. Neighbours hacked neighbours to death in their homes, colleagues hacked colleagues to death in their workplace…Throughout Rwanda mass rape and looting accompanied the slaughter. Militia bands, fortified by potent banana beer and assorted drugs, were bussed from massacre to massacre…Radio announcers reminded listeners to take special care to disembowel pregnant victims. As an added incentive to killers,, Tutsis’ belongings were parcelled out in advance – the radio, the couch, the goat…’ (Gourevitch 1995)

And whilst the death toll mounted, many governments shunned involvement. For the key players, involvement meant risk and on the continent of Africa, Rwanda was outside their sphere of interest: ‘Not only did Britain refuse to send soldiers to Rwanda but it also spent the whole of April arguing against the international push for intervention led by representatives of Nigeria, New Zealand and the Czech Republic.’ (Melvern et al. 2004)

As for the many perpetrators of the genocide, Gourevitch (1995) quotes Richard Mollica, a Director of Harvard’s Program in Refugee Trauma: ‘Mollica also challenges the “presupposition in modern Western Society that people who commit a murder will live to regret it or that it will sicken their lives.” He said, “I haven’t seen it, to tell you the truth.” In fact, he told me, “people who commit murder find it very easy to rationalise it and to come to terms with it,” and this is particularly so “when it’s being condoned by the state.”’

Although it’s evident that the barbarous acts committed during the period of the Rwandan genocide were ‘evil’, as mentioned previously we struggle to precisely explain our use of the term:

34

This is not strictly accurate as the S.S. St. Louis sailed from Germany in 1939 (i.e. before the Holocaust was initiated). However, the analogy does retain relevance. The ship carried more than 900 fare paying Jews who were fleeing from persecution to Cuba, from where it was assumed they would be able to gain entry to the U.S. In the event they were not permitted to disembark. As a result, the Captain took his passengers to Florida but the American authorities also refused to take in the refugees—despite being fully aware of the persecution which was occurring in Germany. With options exhausted, the passengers returned to Europe. Although some gained entry into the UK, 254 were eventually killed. (See for example, Lanchin 2014.)

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‘Few philosophers of any school wish to confront the problem of evil directly anymore; it’s a concept too confused by old arguments that have been overtaken by events.’ (Romig 2012)

A part of the difficulty is that true ‘evil’ doesn’t necessarily appear to represent a gradual and continuous progression along a scale of negative forms of behaviour. For example, when we read descriptions of barbarity such as the one quoted above, it may seem that evil is represented by a quantum transition in behaviour. When this is coupled with longstanding belief in the nature of evil, philosophers are often inspired to try to encapsulate and explain extremely negative forms of human behaviours using alternative terminology. For example, Baron-Cohen (2011) endeavours to understand how humans can perpetrate evil in ways that ignore the humanity of others and suggests that: ‘When people are solely focused on the pursuit of their own interests, they have all the potential to be unempathetic… My argument is that when you treat someone as an object, your empathy has been turned off.’

He goes on to consider heinous forms of behaviour in terms of empathy erosion, rather than in the context of evil. Although there is much to recommend this perspective, it’s not entirely satisfactory as for example it may be argued that in order to derive greater pleasure from extreme forms of sadism, a person must see the victim not simply as an object but rather from the perspective of appreciating their suffering—which suggests the presence of empathy (albeit in a perverted form). In connection with the ruminations of Immanuel Kant, SEP (2013) indicate: ‘Kant makes several other controversial clams about the nature of evil…One of these claims is that there is a radical evil in human nature. By this he means that all human beings have a propensity to subordinate the moral law to self-interest and that this propensity is radical, or rooted, in human nature in the sense that it is inextirpable. Kant also believes that we are imputable for this propensity to evil…Kant’s reflections on radical evil draw our attention to the fact that even the best of us can revert to evil, and thus, that we must be constantly vigilant against the radical evil of our natures.’

Which once again parallels the storyline of the Dr. Jekyll and Mr. Hyde film outlined at the beginning of this section, and which is perhaps appropriately considered as constituting the ‘Jekyll and Hyde factor’ pertaining to each of us. Whatever the nature of evil, it’s perhaps useful to acknowledge that the spectrum of extremely negative human behavioural characteristics represents a fundamental flaw in the human character. Furthermore these characteristics are so inextricably linked with our existence and self that in their absence our experience of consciousness and free will would be quite different. In the case of efforts that are being made to develop robotic technologies that take on human cognitive characteristics, it appears that it’s crucially important to recognise the perils that may ensue. Even if we have good intentions, these may ultimately be perverted: ‘The story of U.S. policy during the genocide in Rwanda is not a story of wilful complicity with evil… In examining how and why the United States failed Rwanda, we see that without

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strong leadership the system was inclined towards risk-averse policy choices… One of the most thoughtful analyses of how the American system can remain predicated on the noblest of values whilst allowing the vilest of crimes was offered in 1971 by … a foreign-service officer who had just resigned from the National Security Council to protest the 1970 U.S. invasion of Cambodia.’ (Power 2001)

For background see Sect. 4.8 and for an extract from this analysis see OTU Activity 8.32. Also see extensive discussion in Dallaire (2003), and Lake et al. (1971). Apathy may well have been a significant contributing factor and in this general context, Kinzer (1994) quotes the Guardian newspaper journalist, Simon Hoggart: ‘Rwandans are thousands of miles away… Nobody you know has ever been on holiday to Rwanda. And Rwandans don’t look like us. They have even less clout than the Bosnian Muslims.’

In Sect. 8.12 we build on the above discussion by briefly considering its relevance to various forms of robotic systems possessing autonomous capabilities. And for the moment, it’s perhaps appropriate to conclude this section with thoughts expressed by Alexandr Solzhenitsyn (1918–2008) and Roméo Dellaire: ‘The line separating good and evil passes not through states, nor between classes, nor between political parties either – but right through every human heart…even within hearts overwhelmed by evil, one small bridgehead of good is retained. And even in the best of all hearts, there remains… an uprooted small corner of evil… Also, all the evil of the twentieth century is possible everywhere on earth. Yet, I have not given up all hope that human beings and nations may be able, in spite of all, to learn from the experience of other people without having to go through it personally.’ (Solzhenitsyn 1974)

And in the same spirit Lieutenant General Dallaire, who was the UN Force Commander of UNAMIR (United Nations Assistance Mission in Rwanda) in 1993 and 1994 (which included the period of the genocide) writes: ‘No matter how idealistic the aim sounds, the new century must become the Century of Humanity, when we as human beings rise above race, creed, colour, religion and national self-interest and put the good of humanity above the good of our own tribe. For the sake of our children and of our future.’ (Dallaire 2003)

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Organisational Failures: Air France Flight 447 ‘It follows therefore that… the scientist and engineer has responsibilities that transcend his immediate situation, that in fact extend to future generations. These responsibilities are especially grave since future generations cannot advocate their own cause now. We are their trustees.’35

As the 216 passengers on Air France Flight 447 travelling from Rio to Paris began to settle down for the night, they had no way of knowing that ice crystals were

35

Weizenbaum (1976).

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accumulating inside each of the aircraft’s three pitot probes. Once these were clogged, the fly-by-wire control technologies were unable to determine the craft’s airspeed. Just over 4 minutes later the plane slammed into the black waters of the Atlantic. Given the rate of descent and the severity of the impact, there was no hope of survival although ironically if, following the disengagement of the autopilot, the aircrew had simply allowed the plane continue to fly straight and level, then all would have been well—the accident would never have happened and nobody would have died. As Langwiesche (2014) observes: ‘If they [the pilots] had done nothing, they would have done all they needed to do.’

OTU Activity 8.32 As indicated in the text, the international community was fully aware of the barbarism and genocide that was taking place in Rwanda. However no action was taken and moreover, the size of the United Nations Assistance Mission in Rwanda (UNAMIR) was greatly reduced. It’s evident that in Rwanda the perpetrators were embroiled in a mob culture which promoted a frenzy of violence. The acts of inciting and carrying out physical violence may be deemed to be evil. 1. From an ethical perspective discuss the behaviours of those in the international community who had the ability to intervene – but failed to do so. To what extent (if any) can/should failure to prevent extreme evil be condemned as an evil act? You may wish to consider the following general observation (which in fact concerns U.S. policy-making in relation to the war in Vietnam, but has general relevance): ‘A liberalism attempting to deal with intensely human problems at home abruptly but naturally shifts to abstract concepts when making decisions about events beyond the water’s edge. “Nations,” “interests,” “influence,” “prestige” – all are disembodied and dehumanized terms which encourage easy inattention to the real people whose lives our decisions affect or even end….This does not touch on the myriad of other influences that quarantine a decision from contact with the human consequences: the obsessive quality of bureaucratic infighting, the immersion in technical details, or the personal hesitations of men caught up in a career system.’ (Lake et al. (1971)) 2. Discuss the above quotation in the context of the way in which this may not only apply to governments, but also to the ways in which other organisations may act in determining and implementing their policies. 3. Discuss the above quotation in the context of how this type of ‘thinking’ may be reinforced though the use of autonomous weapons systems.

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OTU Activity 8.33 1.

Here we assume that we possess free will (although recall earlier discussion in Section 8.3.1). Discuss whether the broad spectrum of positive and negative human characteristics is an implicit outcome of free will.

2.

Access, study and discuss SEP (2013) which provides a broad discussion on the nature and existence of evil.

OTU Activity 8.34 Consider the case that an AI robotic system is developed and that it has unfettered access to resources such as Internet. We suppose that the robot is created with the intention of it mimicking positive human attributes (although we don’t attribute consciousness to it) and is allowed to develop its capabilities through autonomous operation. 1. Discuss whether in such a situation the robotic system may over time also develop negative human attributes. You should assume that the system has very significant computational capabilities. 2. Following on from (1), in the case that you believe that this is a possibility, do you foresee that these attributes could grow to encompass characteristics which we would perceive as being evil (if they were performed by a person)? 3. Following on from (2), although the results of an act carried out by a robotic system may be viewed as evil, discuss whether it’s appropriate to attribute ‘evil’ to a machine.

As with other major disasters outlined towards the end of the chapters of this book, the loss of Flight 447 was caused by the coalescence of a number of factors which from a statistician’s perspective may appear to represent an extremely improbable event. But sooner or later, the improbable invariably happens (which should perhaps remind us that the so-called Trolley Problem scenarios (recall Sect. 8.8.1) cannot simply be discounted on the basis of probability). Figure 8.13 summarises some of the factors which came together onboard the Airbus A330 on 1st June 2009 at 35,000 feet, and which resulted in the bodies of the passengers and crew coming to rest in dark cold waters 13,000 feet below the surface of the ocean. Four of these are briefly discussed below, and issues relating to the use of robotics are considered separately in Sect. 8.11.1. 1. Technical Failure: It was known that the pitot probes fitted to the A330 Airbus were flawed. Under certain weather conditions they could become clogged with ice crystals, and this would result in a failure to correctly measure airspeed. A decision had been made by the airline to replace them with a type which didn’t suffer from this defect. The first of the replacements had arrived at a storage location in Paris and were ready to be deployed. Had these been fitted,

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Human factors

Technical failure

Factor coalescence on Flight 447

Weather

Design flaw

Use of robotics

Fig. 8.13 Various factors which came together on the ill-fated Air France Flight 447. See text for discussion.

then this accident could not have occurred. Alternatively, if each probe had been sourced from different designers/manufacturers, then it’s likely that only one would have suffered from the defect. In this scenario the control system could have based its readings on the two measurements which were in closest agreement, and the many deaths would have been prevented. 2. Weather: The pitot probes were usually reliable—it was only under certain high-altitude conditions that they were problematic. If the weather conditions had been different, then this particular accident would not have occurred. 3. Design Flaw: Central to the Airbus fly-by-wire control system (in which there is no mechanical connection between the altitude controls and the control surfaces) are two ‘Side Sticks’, which are similar in appearance to gaming sticks. As shown in Fig. 8.14, should the need arise the person on the right is able to inhibit the operation of the other crew member’s side stick and visa versa, using a ‘Priority Button’ located on each Side Stick. In the case that both Side Sticks are inadvertently operated at the same time, a warning is sounded and the control system responds to the differential input (although this appears to represent an odd design feature). Somewhat more worrisome is the fact that there is no coupling between the Side Sticks, such that when one is operated the other one does not move in synchronism (i.e. it remains in the neutral position), and so it’s not possible for one crew member to ‘feel’ the way in which the Side Stick is being operated by the other person. If there is good communication between the pilots, this overall scheme is sound. But consider the case that in an emergency situation clarity of communication breaks down, such that neither crew member has a clear idea of the inputs that are being supplied to the Side Sticks, and the way in which the other person is operating his/her Priority Button. Clearly the designers believed that verbal

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Dual input warning

Side Stick A

Side Stick B

Second co-pilot (pilot not flying)

Least experienced co-pilot (pilot flying)

Priority Button: Press to disable B

Priority Button: Press to disable A

Left-hand Seat

Right-hand Seat

Fig. 8.14 Simplified illustration of the two ‘Side Stick’, controls associated with the left and right-hand cockpit seats (as occupied). Both crew members use a Side Stick (similar to a gaming stick) to control the altitude of the aircraft. In parallel each is able to disable the operation of the other crew member’s Side Stick using their ‘Priority Button’. This is located on the ‘Side Stick’, and when the button is held down the other crew member’s ‘Side Stick’ is inactive. In the case that both side sticks are inadvertently operated at the same time, a ‘DUAL INPUT’ warning is sounded.

communication (coupled with confirmatory instrument readouts) was sufficient, and that the potentially important tactile channel of communication could be discarded. Perhaps if this had not been the case, the accident would not have happened. 4. Human Factors: On Flight 447 there were three aircrew: the Captain and two co-pilots. The least experienced of the co-pilots occupied the right-hand seat and was the designated Pilot Flying. For the initial stages of the flight, the Captain occupied the left-hand seat, and in this position was expected to monitor (and if necessary question) the actions of his colleague. However on this particular occasion, it’s suggested that despite extensive flying experience, he was somewhat tired: ‘…it became known he had gotten only one hour of sleep the previous night. Rather than resting, he had spent the day touring Rio…’ (Langewiesche 2014)

In fact after a three-day stop over in Rio (Copacabana Beach) it’s quite possible that all three members of the aircrew were a little jaded. Some three and a half hours into the flight, the Captain handed over to the second co-pilot and retired to the flight-rest compartment. Given the Captain’s extensive experience, perhaps if he had remained at the controls the accident would never have happened.

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As the plane cruised at 35,000 feet at a speed of 0.8 Mach, the above factors coalesced. The most experienced member of the aircrew was resting when the flawed pitot sensors (which had not been replaced) quite by chance encountered the meteorological conditions that caused the icing problem. The transmission of erroneous data from the three sensors was immediately detected by the fly-by-control system and a warning was sounded. In parallel, and most importantly, this was accompanied by an automatic system reconfiguration from ‘Normal Law’ to ‘Alternate Law’. In the former state the control system provides an operating environment which prevents a pilot from being able to stall the aircraft – it acts as a self-protection mechanism. In contrast, once operating under Alternate Law the envelope of safety is removed: the pilot is now working in a more conventional domain and if he/she inadvertently operates the controls incorrectly, there is nothing to prevent a stall from occurring. The loss of meaningful airspeed data was accompanied by an indication of a slight loss of altitude, and perhaps it was this that caused the pilot to pull hard back on his Side Stick control. The plane pitched up thereby increasing the angle of attack (which corresponds to the angle between the oncoming airflow and the wings (which would normally be *3°)). Within *20 seconds of the loss of airspeed data, the aircraft had climbed to 36,000 feet and the angle of attack reached 13°. The all-important smooth flow of air around the wing surfaces was being compromised, the plane began to shake, and stall warnings sounded. In these conditions the wings were unable to properly, supply the vital lift and their motion through the air was causing a level of drag which could not be countered by the engines. The aircrew were no longer operating as a team, communication was compromised and the manipulation of the controls (including the Priority Buttons) was no longer structured. A chaotic situation was quickly developing. In a stalled condition (nose up and with an angle of attack of *23°) the plane began to fall, and by the time it was passing through its original altitude (35,000 feet) it was descending at *10,000 feet per minute and the angle of attack had reached 41°. The aircraft had taken on the aerodynamic attributes of a brick. And it was at about this time (1 minute and 38 seconds after the loss of airspeed data) that the Captain re-entered the cockpit to be told that: ‘We completely lost control of the airplane, and we don’t understand anything. We tried everything!’ (Langewiesche 2014)

To add to the confusion, the stall condition warnings had ceased. This was because the designers had assumed that such an extreme angle of attack would never occur. The system had been designed to reject data of this magnitude as it must surely be erroneous. Consequently, when the pilots used their Side Sticks to reduce the pitch (which was exactly what needed to be done—reduce the angle of attack and build up flying speed) this brought the angle of attack data back to a level that it was again accepted by the system, and so caused the stall condition warnings to again sound. This was surely a perverse twist to the

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events which were rapidly unfolding—the system seemed to be advising against the one and only solution to the situation. As for the Captain, he had no way of knowing of the events which had taken place prior to his entry onto the flight deck, and after a brief exchange of remarks he fell silent. The cockpit voice recording indicates that for a crucial period of 23 seconds he said nothing (try sitting quietly for this length of time—given the state of the aircraft, it’s a very long time for inaction). By the time that the aircraft passed through 10,000 feet, the fate of all on board was sealed. There was no longer enough altitude to recover from the stall and at the same time avoid major structural damage. Shortly thereafter the ground proximity warning alarm sounded, and with a descent rate of 11,000 feet per minute (*nearly 200 feet per second) the plane hit the water. Eventually the flight recorders and bodies were recovered from the ocean floor.

8.11.1 Too Much Automation ‘It seems that we are locked into a spiral in which poor human performance begets automation, which worsens human performance, which begets increasing performance.’36

So how could the failure of the pitot probes have had such a profound impact on the performance of a flight crew working for one of the world’s most prestigious airlines? How could these trained professionals have: ‘…slid into a state of frantic incoherence.’ (Langewiesche 2014)

And why did the Pilot Flying react so hastily to the loss of airspeed data (particularly when we consider that he could have deduced the airspeed from other information which was to hand)?: ‘…[they] apparently did not have the presence of mind to extrapolate from GPS-derived ground speed, which had been displayed on the navigational screen all along.’ (Langewiesche 2014)

One answer may lie in the extent to which automation has changed the roles of aircrew and generally results in them spending less and less time actually flying their aircraft. Although extensive use is made of simulators and these play a vital role, a simulator cannot truly simulate reality. At the end of the day, whatever the mistakes that are made in simulator training everybody walks away unscathed—and we are well aware of this. Langewiesche (2014) indicates that although during the course of the year the three air crew on board Flight 447 had flown for hundreds of hours, they had each

36

Langewiesche (2014)

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only been manually flying for *4 hours. In fact the majority of their experience had involved indirect flying, with the fly-by-wire system acting as an intermediary and providing the safety envelope offered by ‘Normal Law’. But the sudden failure of the pitot probes made it necessary for them to completely change their activities. No longer were they focusing on monitoring the progress of what they may have viewed as another routine flight, and to make matters worse, data appearing on their display screens seemed to be wildly incorrect. It appears that they were so intently caught up in trying to understand what they believed to be an incomprehensible problem, that basic manual flying experience was overlooked—specifically the failure to understand that the aircraft had stalled. Subsequent to the loss of the aircraft, it became evident that the training given to crew in connection with stalls when in the ‘Alternate Law’ mode was quite limited: ‘With regard to practical training relating to the notion of a stall warning, the only opportunities available to the two co-pilots to learn about stall were during their basic training, and then as part of one or two simulator sessions during their initial training for A320 type rating. These exercises were conducted at low altitude (FL100) with the focus on demonstrating and analysing the phenomenon, and with particular attention on the operation of the aircraft’s protections in normal law. In alternate law, the approach to stall exercise exposes the trainee to the stall warning in a situation in which it is expected, and the corrective actions to be performed are prepared in advance. The exercise lets the trainee experience the onset of the vibrations due to buffet, which confirms the stall phenomenon.’ (BEA 2012)

In parallel, they became disoriented and were unable to physically sense the high angle of pitch and rapid loss of altitude. Wiener et al. (1980) provide very interesting discussion concerning the extent to which automated systems should be used in aircraft: ‘It is highly questionable whether total system safety is always enhanced by allocating functions to automatic devices rather than human operators, and there is some reason to believe that flight-deck automation may have already passed the point of optimality.’

This was written some forty years ago when aircraft still made use of analogue systems, whereas today’s airliners are awash with digital technologies which have revolutionised the role of aircrew (see Fig. 8.15 for Wiener’s Laws on automation). A key aspect of the current role of aircrew involves monitoring systems that seldom fail, and humans are not very good at fulfilling this type of supervisory role. Furthermore, it’s becoming increasingly difficult to gain a detailed understanding of today’s highly sophisticated technologies, and so their correct operation is often taken for granted. A net result is that the hands-on skills of the operator are gradually eroded through technological enrichment, and this can also mean that the operator’s confidence in his/her ability to carry out tasks without the support of technology is eroded (imagine going into a maths exam without a calculator…). In the case that automated systems fail, the human has to be able to confidently intercede so as to

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Every device creates its own opportunity for human error. Exotic devices create exotic problems. Digital devices tune out small errors while creating opportunities for large errors. Complacency? Don’t worry about it. In aviation, there is no problem so great or so complex that it cannot be blamed on the pilot. There is no simple solution out there waiting to be discovered, so don’t waste your time searching for it. Invention is the mother of necessity. If at first you don’t succeed… try a new system or a different approach. Some problems have no solution. If you encounter one of these, you can always convene a committee to revise some checklist. In God we trust. Everything else must be brought into your scan. It takes an airplane to bring out the worst in a pilot. Any pilot who can be replaced by a computer should be. Whenever you solve a problem you usually create one. You can only hope that the one you created is less critical than the one you eliminated. You can never be too rich or too thin (Duchess of Windsor) or too careful what you put into a digital flight guidance system (Wiener). Today’s nifty, voluntary system is tomorrow’s F.A.R. [Federal Aviation Regulation]

Fig. 8.15 Wiener’s Laws (devised by Earl Wiener)—which incorporate a degree of humour (Wiener et al. 1980). Whilst these were intended to be applied to aviation, some can be used in other areas of automation such as autonomous vehicles.

deal with situations which designers may well have overlooked, and which may not have been covered during training sessions: ‘…there are worries even among the people who invented the future, Boeing’s Delmar Fadden explained, ‘…I’m going to cover the 98 percent of situations I can predict, and the pilots will have to cover the 2 percent I can’t predict.’ Langewiesche (2014)

When suddenly faced with the unanticipated, they need to be able to recognise when to intervene and know what should be done. In aviation this often takes the

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expertise and experience which are gained through long hours of manual flying— but this is the task which systems have automated. The solution is to regularly turn off the automated systems and do the very thing that will provide the greatest job satisfaction and which pilots enjoy best—just manually fly the plane! For related discussion see OTU Activity 8.35.

8.12

Discussion ‘Developments in AI mean it is feasible to imagine an unpredictable system which gives ‘better’ outcomes than human decision-making. A machine like this would not actually be making decisions the way humans do, however strong our tendency to anthropomorphize them might be. They have no moral agency.’37

There can be little doubt that in the absence of strong (and enforced) international agreement, the development of advanced robotic systems with increasing autonomous capabilities will be primarily driven by the military (see OTU Activity 8.36), and when coupled with ever more advanced cyber warfare techniques may give rise to a new and highly dangerous arms race: ‘Most people agree that when lethal force is used, humans should be involved in initiating it. But determining what sort of human control might be appropriate is trickier, and the technology is moving so fast that it is leaving international diplomacy behind.’ (The Economist 2018)

OTU Activity 8.35 Wiener (1980) writes: ‘There are many potential safety and economic benefits to be realised by automating cockpit functions, but the rapid pace of automation is outstripping one’s ability to comprehend all the implications for crew performance.’ And: ‘Will automation influence job satisfaction, prestige, and self-concept [competence]?’ Discuss these two quotations – you are also encouraged to access and read the original publication, since much of the content can be applied to other areas of automation, including autonomous vehicles.

37

McKendrick (2018).

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And although it is likely that people will (for the foreseeable future) remain responsible for initiating military operations, as previously discussed subsequent events may occur at a pace which precludes human input during critical parts of their implementation. This could potentially result in unintentional escalation. In OTU Activity 8.19 we referred to Joseph Weizenbaum’s notion of ‘technological inevitability’, and this seems to be particularly relevant to the development of advanced robotics systems for military applications. For example: ‘Even if agreement on banning military robots could be reached, the technology enabling autonomous weapons will be both pervasive and easily transferable.’ (The Economist 2018)

This constitutes a crucial problem because unlike atomic and many forms of chemical weapons, advanced military robots will often not require access to large specialised facilities, traceable materials, major expenditure, and the like. Indeed so-called Islamic State have already demonstrated that drones able to carry explosives can be put together with considerable ease (see Sect. 7.9), and whilst to date these have been rudimentary machines, in time opportunities will emerge enabling ever more autonomous capabilities to be achieved through the use of off-the-shelf subsystems. Further it is likely that the development of increasingly autonomous robotic systems will result in the use of large numbers of low cost systems, rather than the current unsustainable scenario (particularly in military aviation) of small numbers of ever more advanced and prohibitively expensive aircraft. This is likely to impact on proliferation, and the manner of waging warfare. A second factor which appears to favour ‘technological inevitability’ relates to the great diversity of robotic systems. For example, should any international ban simply focus on systems which have the potential to directly engage in conflict—or should we consider a much broader range of AI systems which indirectly impact on, or facilitate, warfare (such as planning, decision making, and a broad range of logistics)? As McKendrick (2018) remarks: ‘Over-hyped catastrophic visions of imminent dangers from ‘killer robots’ stem from a genuine need to consider the ethical and legal implications of developments in artificial intelligence and robotics when applied in a military context. Despite this, international agreement on the best way to address these challenges is hampered, partly by the inability to even converge on a definition of the capabilities which cause concern.’

In a similar vein, Etzioni et al. (2017) indicate: ‘We find it hard to imagine nations returning to a world in which weapons had no measure of autonomy.’

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OTU Activity 8.36 1. Recall that in Figure 8.12 we presented Isaac Asimov’s widely quoted Three Laws of robotic behaviour. As indicated in the text, it is most likely that the development of advanced robotic systems will be primarily driven by military applications. Given this assumption, discuss whether Asimov’s Laws continue to be applicable. 2. Discuss the potential ramifications (both practical and ethical) of developing robotic systems for military applications which have autonomous capabilities that are underpinned by machine learning. Importantly discuss the predictability of such systems. 3. Consider the following in relation to advanced autonomous weapons systems: ‘Imagine that rather than having a programmer’s intentions written into a robot’s silicon substrate, we instead have a group of people physically carrying out the identical set of decisions and procedures. Given such a case, the decision-procedure being realised by the group of people would be functionally identical to the decision-procedure being realised on silicon.’ (Robillard (2018)) (a) In the case that the system employs AI and machine learning, discuss whether it’s meaningful to assume that the two scenarios would be functionally identical. (b) Discuss whether the two scenarios would be ethically equivalent.

And whilst it’s evident that today’s missiles exhibit varying degrees of autonomy, is it appropriate to suggest that much simpler weapons such as land-mines also exhibit a form of autonomy (for once they’re activated, we no longer have control over who they will kill or maim)? In Sect. 8.10 we considered aspects of human nature and suggested that the spectrum of our behaviours is inherently associated with free will. Thus as Alexandr Solzhenitsyn (as previously quoted) suggested: ‘…but right through every human heart…even within hearts overwhelmed by evil, one small bridgehead of good is retained. And even in the best of all hearts, there remains… an uprooted small corner of evil…’ (Solzhenitsyn 1974)

It is inevitable that facets of the human character are found in many of our creations —from the beauty of art, literature and poetry, through to the nail bomb. With this in mind, in Fig. 8.16 we identify two overarching aspects of the human which influence three facets of an advanced robotic system: capability, reasoning and application. We assume that as these systems proliferate and become ever more ubiquitous (if indeed this turns out to be the case), their capabilities, reasoning and

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Capability of advanced robotic systems

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Aspects of human behaviour

Reasoning of advanced robotic systems

Application of advanced robotic systems

Ramifications of advanced robotic systems

Fig. 8.16 Here we focus on the development of advanced robotic systems which are assumed to exhibit significant levels of autonomy. See text for discussion.

application will impact on both human nature and behaviour. In short we suggest the creation of a feedback loop supported by a wealth of both positive and negative human creativity. The former may, for example be demonstrated by robotic technologies capable of exploring hostile environments, locating victims of natural disasters, supporting medical procedures, and improving the quality of life of those with major disabilities. Contrariwise in some military and terrorism arenas, the capabilities, reasoning and application of robotic systems are likely to reflect and embrace the negative aspects of our spectrum of behaviours—particularly if the goal of a conflict is to win at any cost. However there are many proponents of increasingly autonomous weapons systems, and in Fig. 8.17 we draw on Etzoni et al. (2017) and summarise some of the potential benefits which they are said to offer. Figure 8.18 also draws on this source and summarises claimed ethically-related benefits (also see OTU Activity 8.37). Given our unrelenting engagement in warfare, together with various forms of seemingly ever more violent conflict (including ethnic violence, genocide and terrorism), it would appear imperative that we proceed with great caution in creating technologies which have the potential to create further destabilisation through conflict escalation. Such sentiments are supported by many scientists, technologists

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Force multiplier (fewer people with greater capacity)

Reduced human casualties

Ability to confuse using random and unpredictable actions

More suited to dull, dangerous and dirty operations

Claimed potential advantages

Enable combat in more inaccessible places

Increased tempo of conflict

Reduction in financial costs of warfare Reduction in size of military forces – without loss in capability

Aircraft: Humans not subjected to stress of high-G forces Ability to perform lethal strikes – even after loss of communications

Fig. 8.17 Summarising various views on the potential benefits of employing increasingly autonomous weapons systems (see Etzoni et al. 2017). Also see Fig. 8.18 and OTU Activity 8.38.

Need not operate with selfpreservation instinct

No distortion in the analysis of data as a result of preconceived notions

Autonomous weapons systems: claimed to act more ‘humanely’

Judgement not clouded by emotions (e.g. fear and hysteria)

No hiding of ethical infractions

Fig. 8.18 As in Fig. 8.17, we again draw on Etzoni et al. (2017) and summarise ethically-related advantages suggested by proponents of autonomous weapons systems. For discussion, see OTU Activity 8.38.

and researchers who continue to warn of the perils associated with increasingly autonomous weapons systems. For example: ‘Tesla’s Elon Musk and Alphabet’s Mustafa Suleyman are leading a group of 116 specialists from across 26 countries who are calling for a ban on autonomous weapons… Musk… has repeatedly warned for the need for proactive regulation of AI, calling it humanity’s biggest existential threat.’ (Gibbs 2017)

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OTU Activity 8.37 1. Critically discuss the following suggestion: ‘The robot misconception is related to the myth that machines can’t control humans. Intelligence enables control: humans control tigers not because we are stronger, but because we are smarter. This means that if we cede our position as smartest on our planet, it’s possible that we might also cede control.’ (Tegmark (undated)) 2. Assuming the development of highly advanced robotic systems, discuss how we could be certain that their goals and ways of attaining these goals are aligned with our expectations and wishes?

The extent to which such warnings will be heeded is uncertain as for example in the case of both chemical and nuclear weapons, international efforts to curb their usage/proliferation occurred only after their horrific effects had been demonstrated in conflict. Furthermore, in the case of nuclear weapons, in 1945 concerned scientists led by physicist Leo Szilard endeavoured to persuade the U.S. President (Truman) to prevent their use against Japan. A petition was drafted for submission to the President and was signed by some seventy scientists and technicians who were involved with Manhattan Project. A part of the text reads: ‘The development of atomic power will provide the nations with a new means of destruction. The atomic bombs at our disposal represent only the fist step in this direction, and there is almost no limit to the destructive power which will become available in the course of their future development. Thus a nation which sets a precedent of using these newly liberated forces of nature for purposes of destruction may have to bear the responsibility of opening a door to an era of devastation on an unimaginable scale…The added material strength which this lead [in atomic weapons] gives to the United States brings with it the obligation of restraint and if we were to violate this obligation our moral position would be weakened in the eyes of the world and in our own eyes.’ (U.S. National Archives)

These warnings went unheeded, as the Petitions passage to the President was blocked and less than three weeks later the first nuclear weapon to be used against a city was detonated above Hiroshima. It is estimated that *200,000 people were killed directly or indirectly—some were simply vaporised. Three days later a more powerful nuclear weapon was used against Nagasaki killing *80,000 directly or indirectly. Szilard’s petition (a part of which is quoted above) did nothing to stop these attacks, but may well have had repercussions for the signatories: ‘Many in the military had a stated disdain for the petition… Groves [ Director of the Manhattan Project – recall Sect. 2.3.1] sought to find incriminating evidence of wrongdoing of any kind that he could use to punish Szilard…Arguably, Szilard’s petition contributed to a distrust of scientists within the military that would lead to their investigation by the House of Un-American activities Committee and the Atomic Energy Commission during the 1950’s.’ (Atomic Heritage Foundation 2016)

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In contrast to abrupt introduction of nuclear weapons, increasingly autonomous weapons systems will evolve over time, and unless caution is exercised from the outset (which appears to be highly unlikely) we could end up in an unstoppable race to develop technologies able to support new and more deadly forms of warfare. In this chapter, we have also discussed aspects of human consciousness, and in this context it’s perhaps useful to briefly comment on aspects of scientific achievement and focus. Indubitably science-based research (and here I use ‘science’ in its broadest science) has given rise to a wealth of opportunities and provides tremendous benefits. Furthermore it has given us great understanding of mechanisms which underpin so many facets of the environment in which we exist. Indeed the recent pace of scientific progress has heralded an era in which it seems to many that science can be relied upon to provide the solutions to all our problems, and is unbounded in its potential. This is not only confirmed by advances in areas such medicine, transport and manufacturing but also by the rapid growth of the Internet, which in several decades has become inextricably linked to so many aspects of our daily lives. Surely we are fortunate to be experiencing the very many benefits that are associated with the start of the fourth Industrial Revolution. However as in indicated in the Preface to this book: ‘I remain uncertain as to whether future generations will view Industry 4.0 as broadly heralding an age of human advancement - or something which is significantly less positive.’

For as we have seen here and in other chapters, in relation to practically every invention and development there are advantages, disadvantages, and ensuing complications. In parallel there is a growing tendency to place absolute confidence in our scientific prowess and understanding of the Universe. Whilst we have undoubtedly discovered many fundamental truths which are broadly (if not universally) applicable, very often we fall back on models. Whilst these can be enormously helpful in conceptualising complex systems, they are often only valid in particular circumstances, and grow in complexity as efforts are made to widen their applicability. In parallel the strata of scientific understanding which they support are often of limited profundity. This can be readily demonstrated by approaching researchers and probing their understanding of fundamental science that is central to their area of mainstream expertise. As questions become more fundamental, the comfort zone provided by conceptual models (of both a descriptive and mathematical form) tends to breakdown and ‘big’ questions remain unanswered. These may for example relate to the perceived (and measurable) existence of, and relationship between matter, energy, space and time. By way of a brief example, take the case of an electron. At the most basic level we can consider it as a particle possessing charge and mass (although probing either of these properties can soon cause difficulties (e.g. the precise nature and significance of charge and mass)). But under some conditions, and despite being somewhat superficial, this description may well suffice. However the model is not universally applicable as at times the electron takes on properties that we associate with a wave. In the case that we blithely accept this stratum of understanding, we can go further and talk about the ways in which an electron interacts with its environment, and conversely how the environment interacts with an electron. But

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here again if we probe the minutiae of explanations which are routinely taken for granted, we may soon encounter difficulties. Whichever questions we ask it’s likely that we will eventually reach the point at which we encounter proverbial bed-rock: a ‘big’ question: ‘How is there an electron?’. Over time, we have learnt so much—but the ‘big’ questions remain enigmas —as mysterious and unfathomable today as they have always been.38 The nature and existence of consciousness also falls into this category. We have practically no fundamental understanding of this tremendously important aspect of our being—we don’t know how we ‘experience the experience’—from the taste of chocolate and the delights of Chopin through to the manner in which we are able to witness an apparent time-space continuum. As previously indicated (Sect. 8.3) discussion of consciousness (and many of the other ‘big’ questions) tends to attract polarised opinions and heated debate. Further, many of these questions fail to attract the research effort that they surely warrant, and for many researchers, engaging with the really important ‘big’ questions isn’t viewed as conforming to mainstream activity—you may recall an exemplar quotation presented previously concerning the experience of one researcher who was intent on exploring fundamental aspects of consciousness: ‘“People thought I was crazy to be getting involved,… A senior colleague took me to lunch and said… Francis was a half-god and he could do whatever he wanted, whereas I didn’t have tenure yet, so I should be incredibly careful. Stick to more mainstream science! These fringy things – why not leave them until retirement, when you’re coming close to death, and you can worry about the soul and stuff like that?”’ (Burkeman 2015)

The frequent marginalisation of research relating to the ‘big’ questions, coupled with a failure to give proper attention to such matters within relevant teaching and research programs, can promote overconfidence in the scientific community—and risks erosion of an individual’s humanity. In turn this is infused into society in ways which permit science to take on a dimension of infallibility. Amidst a background of such confidence coupled with a desire on the part of the media (and some reputable scientific journals) to continually hype vogue research activity, a number of reputable scientists are promoting the notion that we will soon be in a position to develop robots which experience consciousness. Given that we have so little insight into the ‘big’ question of consciousness, it seems that some are quite unaware of the current impossibility of this goal. Others simply trivialise consciousness—recall the New Scientist article briefly quoted in Sect. 8.3: ‘Robot Homes in on Consciousness by Passing Self-Awareness Test’ (Hodson 2015)

This is of course quite misleading, as passing what is referred to as a ‘self-awareness test’ can be achieved via a computational process which doesn’t in any way imply the ability to ‘experience the experience’. In short a psychological zombie could be made to pass a self-awareness test, and so too could a self-awareness simulator. But neither would exhibit conscious identity. If we were to ask, ‘How is there a blade of grass?’, the answer would be even more elusive.

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In this chapter we have also briefly considered the likely future impact of robotic systems on employment. This is an area which if left unfettered by legislative controls (and the application of common sense) will have a major impact (of unknown proportions) on the employment landscape. As we have seen, it’s widely acknowledged that robotic systems (and other technological advances) will lead to extensive job displacement but it is supposed that many other employment opportunities will arise. For after all, this has been the case in respect of previous Industrial Revolutions. However, the past does not always provide a reliable way of modelling the future, and the application of emerging robotic techniques is likely to impact on many whose careers embrace professional activities such as accounting, law, and medicine. In fact we can already see advanced technologies beginning to encroach on some of these areas. For the moment they are largely facilitating activities, but as their capabilities grow they will undoubtedly be used more extensively: ‘For their part, law firms are gradually introducing technology… [for example one UK law firm] use an AI system when they work on certain property disputes. The system… extracts data from official title deeds produced by the UK Land Registry. In the past [the firm] would have pulled together a small team of junior lawyers and paralegals at short notice, then put them in a room to extract that data manually from hundreds of pages – a process that could take weeks. The…[AI] system reviews and extracts information in a matter of minutes.’ (Crofts 2017)

OTU Activity 8.38 1.

In Figures 8.17 and 8.18 we summarise some of the advantages that it is claimed may be associated with the development, deployment and use of increasingly autonomous weapons. Critically discuss each advantage. You are encouraged to consider in your discussion a broad range of human characteristics – including the Jekyll and Hyde factor outlined in Section 8.10.

2.

Consider the following: ‘We cannot hand over the decision as to who lives and who dies to machines. They do not have the ethics to do so. I encourage you and your organisations to pledge to ensure that war does not become more terrible in this way.’ (Quoted in Conn (2018)) Identify and discuss ways in which ethical issues associated with empowering autonomous military machines with life and death decisions may differ from those relating to making such decisions on the basis of the U.S. President's ‘Kill List’, or on the basis of drone-based signature strikes (recall Section 7.5).

3.

Following on from Figures 8.17 and 8.18, draw a similar diagram summarising key disadvantages that are likely to be associated with the development, deployment, and use of increasingly autonomous weapons. You are encouraged to make a brief video presentation.

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Undoubtedly some aspects of automation could be highly beneficial. For example, Cooper (2018) optimistically suggests that: ‘Whether changes to the world of work come from automation or algorithms, everyone should be able to take advantage of the positive opportunities they bring. For example, technology could support people who want to work more flexibly or help people move on from routine, repetitive tasks into more rewarding work.’

However, it would seem that in order to take advantage of the challenges associated with ever more advanced robotic systems, it will be necessary to develop a more advanced and adaptive educational system (especially at the tertiary level), which is able to deliver high-quality education in innovative ways and at an affordable price. This is the subject of discussion in the next chapter—for as indicated by Author (2015): ‘…the ability of the… education and job training system (both public and private) to produce the kind of workers who will thrive in middle-skilled jobs of the future can be called into question… the issue is not that middle-class workers are doomed by automation and technology but instead that human capital investment must be at the heart of any long-term strategy for producing skills that are complemented by, rather than substituted for, technological change.’

OTU Activity 8.39 An article produced by the World Economic Forum (Weber (2017)) suggests that: ‘Every decision that could lead to job losses is going to pose a huge ethical dilemma. The way to answer it… is by evaluating the consequences of not automating a certain task/business-unit today and what it means for the long term employment-capacity of a company. Does avoiding automating jobs today lead to greater job losses tomorrow?’ 1. Do organisations have any ethical or societal responsibility to provide employment to the communities in which they are located? 2. Critically discuss the above quotation and the general ethical issues associated with large-scale automation. 3. Critically discuss the following viewpoint: ‘It is a fantasy to believe that the wealth created by the fourth Industrial Revolution will cascade down from rich to poor, and that those displaced will just walk into another job that pays as well. Indeed, all the evidence so far is that the benefits of the coming change will be concentrated among a relatively small elite, thus exacerbating the current trend towards greater levels of inequality.’ (Elliott (2016))

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Additional Reading

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Abeywickrama, D., ‘The Self-Drive Dilemma’, ITnow (Winter 2017). Ananthaswamy, A., ‘A Guide to Why Your World is a hallucination’, New Scientist (24th April 2017). Ananthaswamy, A., ‘The Brain’s 7D Sandcastles Could be the Key to Consciousness’, New Scientist (27th Sep 2017). Anon, ‘How Babies Learn and Why Robots Can’t Compete’, The Guardian (3rd April 2018). Anon, ‘Insect-Sized Bots are Breaking Their Tethers’, The Download, MIT Technology Review (18th May 2018). Baase, S., ‘A Gift of Fire: Social, Legal, and Ethical Issues for Computing Technology’, (4th Edn.) Pearson (2013). Bayne, T., Hohwy, J., and Owen, A., ‘Are There Levels of Consciousness’, Trends in Cognitive Science, 20, No. 6, pp. 405–413 (June 2016). Boffey, D., ‘World’s First Electronic Container Barges to Sail from European Ports this Summer’, The Guardian (24th Jan. 2018). Bozkurt, A., Gilmour, R., Stern, D., and Lai, A., ‘MEMS Based Bioelectronic Neuromuscular Interfaces for Insect Cybourg Flight Control’, MEMS 2008, pp. 160–163 (2008). Brindad, L., ‘Here’s How Robots are Going to Change Employment’, World Economic Forum (26th Jan. 2017). Brooks, M., ‘Is Quantum Physics Behind your Brain’s Ability to Think?’, New Scientist (2nd Dec. 2015). Buranyi, S., ‘Rise of Racist Robots – How AI is Learning all Our Worst Impulses’, The Guardian (8th Aug. 2017). Chella, A., and Manzotti, R., ‘Machine Consciousness: A Manifesto for Robotics,’, International Journal of Machine Consciousness (June 2009). Condliffe, J., ‘Microsoft Thinks AI will Fill your Blind Spots, Not Take over Jobs’, MIT Technology Review (12 July 2017). Dellaire, R., ‘Shake Hands with the Devil: The Failure of Humanity in Rwanda’, Random House (2003). Demertz, A., Tagliazucchi, E., et al., ‘Human Consciousness is Supported by Dynamic Complex Patterns of Brain Signal Coordination’, Science Advances (6th Feb. 2019). Drone Wars UK, ‘Off the Leash: The Development of Autonomous Military Drones in the UK’, (Nov. 2018). Eykholt, K., Evtimov, I., et al., ‘Robust Physical-World Attacks on Deep Learning Visual Classifications’, CVPR (2018). Farahany, N., Greely, H., et al., ‘The Ethics of Experimenting with Human Brain Tissue’, Nature, 556, No. 7702 (26th April 2018). Gaskell, A., ‘What Impact is Robotics having on the Labor Market?’, Forbes (4th April 2018).

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Gee, T., ‘Why Female Sex Robots are Moe Dangerous than You Think’, The Telegraph (5th July 2017). Gibbs, S., ‘Musk, Wozniak and Hawking Urge Ban on Warfare AI and Autonomous Weapons’, The Guardian (27th July. 2015). Gourevitch, P., ‘Remembering in Rwanda’, The New Yorker (21st April 2014). Gray, A., ‘The 10 Skills You Need to Thrive in the Fourth Industrial Revolution’, World Economic Forum (19th Jan. 2016). Hass, B., ‘“Killer Robots”: AI Experts Call for Boycott over Lab at South Korea University’, The Guardian (5th April 2018). Hern, A., ‘Google’s ‘Deceitful AI Assistant to Identify Itself as a Robot During Calls’, The Guardian (11th May 2018). Hennigan, W., and Bennett, B., ‘Dallas Police Used a Robot to Kill a Gunman, a New Tactic that Raises Ethical Concerns’, LA Times (8th July 2016). Johnson, H., ‘Honey Bees Navigate Using Magnetic Abdomens’, Physics World (27th Mar. 2017). Jones, L., ‘How Did Evil Evolve and Why Did it Persist?’ BBC, 20160401 (4th April 2016). Kleeman, J., ‘Should we Ban Sex Robots While we Have the Chance?’, The Guardian (25th Sep. 2017). LaViers, A., ‘Make Robot Emotions Natural’, Nature, 565, No. 7740 (24th Jan. 2019). Mahdawi, A., and Chalbi, M., ‘What Jobs will Still be Around in 20 Years?’ The Guardian (26th June 2017). Maxmen, A., ‘A Moral Map for AI Cars’, Nature, 562, No. 7728 (25th Oct. 2018). Nune, A., Reimer, B., and Coughlin, J., ‘People Must Retain Control of Autonomous Vehicles’, 556, No. 7700 (12th April 2018). Partington, R., ‘More than 6m Workers Fear being Replaced by Machines’, The Guardian (5th Aug. 2018). Pieson, L and Trout, M., ‘What is Consciousness For?’, New Ideas in Psychology, 47, pp. 62–71 (2017). Russell, S., Dewey, D., and Tegmark, M., ‘Research Priorities for Robust and Beneficial Artificial Intelligence’, AI Magazine (Winter 2015). Salge, C., ‘Asimov’s Laws Won’t Stop Robots from Harming Humans, So We’ve Developed a Better Solution’, The Conversation (11th July 2017). Solon, O., ‘The Rise of Robots: Forget Evil AI – The Real Risk is Far More Insidious’, The Guardian (30th Aug. 2016). Sturges, F., ‘The Sex Robots are Coming: Seedy, Sordid but Mainly Sad’, The Guardian (25th Nov. 2017). Tegmark, M., ‘Benefits and Risks of Artificial Intelligence’, Future of Life Institute (undated). Vincent, J., ‘Robots do Destroy Jobs and Lower Wages, says New Study’, The Verge (28th Mar. 2017). Von Frisch, K., ‘The Dancing Bees’, The Country Book Club (London) (1955).

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Sagan, C., ‘In Praise of Robots’, in Natural History, Vol LXXXIV, No. 1, p. 8, American Museum of Natural History, NY (Jan. 1975). Salmon, N., ‘Saudi Arabia becomes first country to grant a robot citizenship – and people are saying it already has more rights than women’, The Independent (28th Oct. 2017). Searle, J., ‘Who is Computing with the Brain?’, Behavioural and Brain Sciences 13:4: pp. 632– 642 (1990). SEP (Stanford Encyclopaedia of Philosophy), ‘The Concept of Evil’, (26th Nov. 2013). Shipman, M., ‘Researchers develop technique to remotely control cockroaches’, physics.org (6th Sep. 2012). Shipman, M., ‘Researchers use Video Game Tech to Steer Roaches’, NC State News (25th June 2013). Smith, R., ‘The Impact of Hate Media in Rwanda’, BBC News Online (3rd Dec. 2003). Solzhenitsyn, A., ‘The Gulag Archipelago’, Harper Collins (1974). Sproul, R., ‘The Origin of the Soul’, Tabletalk Magazine (1992). (a) Stewart, J., ‘Why Tesla’s Autopilot Can’t See a Stopped Firetruck’, WIRED (25th Jan. 2018). (b) Stewart, J., ‘Tesla’s Autopilot was Involved in Another Deadly Car Crash’, WIRED (30th Mar. 2018). Stout, G., ‘A Manual of Psychology’, (2nd Edn.) University Tutorial Press Ltd (1901). The Economist, ‘Autonomous Weapons are a Game-Changer’, (25th Jan. 2018). US Department of Transportation: 2015 Motor Vehicle Crashes: Overview. DOT HS 812, 318 (2016). (a) Vincent, J., ‘Pretending to give a robot citizenship helps no one’, The Verge (30th Oct. 2017). (b) Vincent, J., ‘Sophia the Robot’s Co-creator says Bot may not be True AI, but it is a Work of Art’, The Verge (10th Nov. 2017). Weaver, J., ‘What exactly does it mean to give a robot citizenship?’, Slate (6th Nov. 2017). Weber, V., ‘It’s Time to Dispel the Myths of Automation’, World Economic Forum (16th Oct. 2017). Weizenbaum, J., ‘ELIZA – A Computer Program for the Study of Natural Language Communication Between Man and Machine’, Communications of the ACM, 9, No. 1, pp. 36–45 (1966). Weizenbaum, J., ‘Computer Power and Human Reason’, W. H. Freeman and Company (1976). Wiener, E., and Curry, R., ‘Flight-Desk Automation: Promises and Problems’, NASA Technical Memorandum 81206 (June 1980). Wiseman, E., ‘Sex, Love and Robots: is this the End of Intimacy?’, The Guardian (13th Dec. 2015). Wisskirchen, B., Biacabe, B., Bormann, U., Muntz, A., Niehaus, G., Soler, G., and Brauchitsch, B., ‘Artificial Intelligence and Robotics and Their Impact on the Workplace’, IBA Global Employment Institute (April 2017).

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‘Look long as you walk the path of time, And imagine that path in its primer years… Listening to music and turning the crinkling pages.’1

9.1

Introduction

As outlined in the previous chapter, there can be little doubt that over the coming years many traditional forms of employment will be threatened by increasingly advanced automated systems, and if large-scale unemployment is to be avoided it is imperative that people possess the skills needed to facilitate their transition to new types of work. The first part of this chapter is therefore intended to focus on the extent to which current university level programmes and the overarching educational ethos are being developed to provide graduating students not only with skills that will support near-term employment, but also with fundamental attributes which will be needed to cope with an increasingly turbulent employment landscape— namely Industry 4.0 skills (recall Sect. 8.9). In many countries, during the course of the last four decades universities have undergone (and are continuing to undergo) major changes which some consider as representing the ‘corporate colonisation’ of education. Perhaps it is irrelevant that fewer and fewer of those who spend their days within places of scholarship are aware of the many fine and crucial traditions of the ‘universitas magistrorum et scholarium’. Indeed it is evident that many now believe that as far as today’s research and educational landscape is concerned ‘praeterita mortuus est’ and so they need not hesitate

Blundell, Q., ‘Path of Time’, in ‘Collected Works’ (2020).

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in sweeping forward with the utmost confidence and without a backward glance. Why not jettison, so they say, centuries old traditions and re-craft the relationship between scholar and student? As for the status and role of the scholar within the institution this, they would argue, surely needs to align with the pace of the 21st century, and in a highly commercially driven world perhaps it’s quite appropriate to ascribe financial ‘value’ to the educational experience? In many countries, such thinking has resulted in high tuition fees and for example currently in England when these fees are compounded with living costs and interest, the UK’s Institute for Fiscal Studies (IFS) suggests an average undergraduate debt of *£50,000 (including living costs). The evaluation of today’s undergraduate experience must therefore be considered not only in terms of its educationally-related outcomes but also from the perspective of the burden of significant long-term debt. If we assume that an undergraduate qualification will stand a person in good stead not only at the outset of their career, but also throughout his/her working life, then a significant level of financial expenditure may be deemed to represent a prudent investment. Alternatively, if the future volatility of the employment landscape makes it necessary to regularly retrain (thereby necessitating further significant personal expenditure in education) then this may raise questions about the scale of the costs associated with the initial tertiary experience. With these thoughts in mind, in the next section we briefly reflect on an ‘alternative era’ of tertiary education (which is loosely assumed to span the period from the mid-1960s through until *1980). This provides us with a useful means of gauging the scale and ramifications of some of the more recent changes in university education. When over-viewing wide-ranging and occasionally complex issues there is always a risk of oversimplification and/or bias in their selection and consideration. Undoubtedly, in relation to today’s universities it is probably impossible to develop an account to which all stakeholders will agree. Certainly the perceptions and aspirations of managers and administrators are often quite different to those of academics working at the coalface of teaching and research. Many in this latter category become immersed in their activities—scholarly pursuits are infused into daily life—they are not ‘employees’ but rather ‘stakeholders-by-inalienable-right’ (Allison 2018) who are entrusted to contribute to and disseminate human knowledge, understanding, reasoning, and discovery. Their quest is (or should be) the search for truth and through this the attainment of wisdom. The sections which follow are written with this responsibility in mind and draw on discussions with various colleagues and stakeholders in a number of countries who, like myself, have spent many years working in the tertiary sector. In Sect. 9.3 and 9.4 we lay foundations by focusing on some of the changes that have taken place within universities (and in many other tertiary establishments) during the last four decades. Although we primarily consider the sciences and technology-centric disciplines, in Sect. 9.5 we briefly discuss aspects of the traditional humanities and their importance in university education. This discussion provides an opportunity to gain an insight into some of the ‘internals’ of today’s tertiary institutes and so better understand changes which may be needed in order to develop educational programmes which better prepare students for tomorrow’s world.

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In Sect. 9.6 we briefly discuss the vogue notion of the ‘multiversity’—a ‘one-stop-shop’ for education, and in Sect. 9.7 consider some aspects of the educational experience within the context of possible benefits to employment. Having laid some important foundations, in Sect. 9.8 we turn our attention to changes that could be made to typical undergraduate degree programmes to enhance the educational experience, whilst at the same time yielding a significant reduction in fees. Importantly, we consider such changes in the context of the need to better equip students for a world in which we anticipate a somewhat different employment landscape. Section 9.9 briefly focuses on the infusion of online course delivery technologies into the educational process. Here we emphasise the importance of judiciously selecting effective technologies rather than simply adopting technologies because they are available. If managed in an appropriate way, technologies can greatly augment the educational process and enhance accessibility. In addition, in the case of fully online delivery techniques, the use of appropriate technologies can significantly reduce the costs of education. However, it is suggested that the use of technology should be limited to situations in which it facilitates the educational experience, and should not be adopted as a substitute for the educator. In general terms this chapter is intended to provide a ‘behind the scenes’ glimpse into aspects of the tertiary education system. This forms a basis on which we can meaningfully discuss ways in which the system can be developed to be more effective for both student and scholar. Finally in Sect. 9.10 we provide a further example of the ways in which technical and organisational failures can coalesce with tragic results. It was on the 25th July 2000, that people in the vicinity of Charles de Gaulle Airport witnessed Concorde reduced from a marvel of high-altitude supersonic flight into a mortally wounded craft belching flame and staggering to maintain flight. How could the world’s most technologically advanced passenger aircraft meet such an ignominious end? In this section we also briefly discuss the ill-fated Soviet TU-144 supersonic passenger aircraft (which is often referred to as Concordski).

9.2

The ‘Alternative Era’ University ‘It’s funny that pirates were always going around searching for treasure, and they never realised that the real treasure was the fond memories they were creating.’2

Over the centuries tertiary institutes have taken on many forms and consequently there is no overarching frame of reference or standard model against which we can gauge aspects of the ongoing changes that are taking place in today’s tertiary sector.

2

Attributed to Jack Handey.

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However, some of the important characteristics of the 21st century university can be readily traced back to the 1960s when, in countries such as the UK, new institutions were opened and there was a general thrust to make university education available to students from more diverse backgrounds. These changes were heralded by the Robbins Report (1963). This was developed by a committee chaired by Lord Robbins and instigated by the UK government to investigate national full-time higher education and make recommendations for its development. The exercise was undertaken during the period 1961–1963 and included a study of higher education in a number of countries. Ensuing recommendations were intended to support the development of higher education through until circa 1980. In this chapter, reference to the ‘alternative era’ universities refers to the period in which recommendations made in the Robbins Report were shaping a more extensive and accessible tertiary education system (i.e. from the mid 1960s through until *1980). With this in mind it is useful to quote the four key objectives which were identified in the Robbins Report as being essential to a properly balanced system of Higher Education: 1. ‘We begin with instruction in skills suitable to play a part in the general division of labour. We put this first, not because we regard it as the most important, but because we think that it is sometimes ignored or undervalued. Confucius said in the Analects that it was not easy to find a man who had studied for three years without aiming at pay. We deceive ourselves if we claim that more than a small fraction of students in institutions of higher education would be where they are if there were no significance for their future careers in what they hear and read; and it is a mistake to suppose that there is anything discreditable in this. Certainly this was not the attitude of the past: the ancient universities of Europe were founded to promote the training of the clergy, doctors and lawyers; and though at times there may have been many who attended for the pursuit of pure knowledge or of pleasure, they must surely have been a minority.’ 2. ‘But, secondly, while emphasising that there is no betrayal of values when institutions of higher education teach what will be of some practical use, we must postulate that what is taught should be taught in such a way as to promote the general powers of the mind. The aim should be to produce not mere specialists but rather cultivated men and women. And it is the distinguishing characteristic of a healthy higher education that, even where it is concerned with practical techniques, it imparts them on a plane of generality that makes possible their application to many problems - to find the one in the many, the general characteristic in the collection of particulars. It is this that the world of affairs demands of the world of learning. And it is this, and not conformity with traditional categories that furnishes the criterion of what institutions of higher education may properly teach.’ 3. ‘Thirdly, we must name the advancement of learning. There are controversial issues here concerning the balance between teaching and research in the various institutions of higher education and the distribution of research between these institutions and other bodies… The search for truth is an essential function of institutions of higher education and the process of education is itself most vital when it partakes of the nature of discovery. It would be untrue to suggest that the advancement of knowledge has been or ever will be wholly dependent on universities and other institutions of higher education. But the world, not higher education alone, will suffer if ever they cease to regard it as one of their main functions.’

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4. ‘Finally there is a function that is more difficult to describe concisely, but that is none the less fundamental: the transmission of a common culture and common standards of citizenship. By this we do not mean the forcing of all individuality into a common mould: that would be the negation of higher education as we conceive it. But we believe that it is a proper function of higher education, as of education in schools, to provide in partnership with the family that background of culture and social habit upon which a healthy society depends. This function, important at all times, is perhaps especially important in an age that has set for itself the ideal of equality of opportunity. It is not merely by providing places for students from all classes that this ideal will be achieved, but also by providing, in the atmosphere of the institutions in which the students live and work, influences that in some measure compensate for any inequalities of home background. These influences are not limited to the student population. Universities and colleges have an important role to play in the general cultural life of the communities in which they are situated.’ (Robbins Report 1963)

In parallel it is also useful to include the Committee’s stance in respect of the crucial issue of academic freedom, as given recent moves to erode or curtail aspects of this privileged freedom, the final two sentences of the quotation have particular relevance: ‘For the individual teacher academic freedom means the absence of discriminatory treatment on grounds of race, sex, religion and politics; and the right to teach according to his own conception of fact and truth, rather than according to any pre-determined orthodoxy. It involves, further, freedom to publish and, subject to the proper performance of allotted duties, freedom to pursue what personal studies or researches are congenial. Freedom of this sort may sometimes lend itself to abuses. But the danger of such abuses is much less than the danger of trying to eliminate them by general restriction of individual liberty.’

In the sections which follow, we firmly recognise that many recent changes in tertiary education have been mooted and/or implemented (in one form or another) in the past. For example, in the UK the Education Acts of 1902 and 1903 made all levels of education a public service, requiring their management and administration by local authorities. As a response to this, Sidney J. Webb (Baron Passfield of Passfield Corner (1859–1947)) authored a book encompassing proposals for the organisation and administration of a London University. In terms of academic staffing, he writes: ‘We must abandon the simple ideal of equality, identity, or uniformity among professors, whether of tenure or salary, attainments or duties, time-table or holidays. The principal professors, on whom mainly we must depend for research, should, of course, have life tenures, high salaries, and abundant leisure, whilst the bulk of the university teachers required by so extensive an undergraduate population as that of London will necessarily be engaged for short terms, earn only modest salaries, and work at times and seasons convenient to those whom they serve.’ (Webb 1904)

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This parallels a trend in many of today’s universities in relation to the employment of significant numbers of teaching staff on a temporary (and often relatively lowly paid) contract basis (see Sect. 9.4.3). Frequently, this staffing arrangement is justified on the basis of enabling permanent ‘research active’ academics to focus on their research activities. Back in 1904, Sidney Webb seems to have held similar notions: ‘And we cannot afford to waste the most distinguished scientific talent on the drudgery of lecturing day by day to the mere undergraduate. “It is not my business to make chemists, but to make chemistry,” rightly urged one highly placed professor. This is not to say that the highest professors should do no lecturing, or even that they should never lecture to undergraduates. On the contrary, a certain amount of such lecturing is good for the professors themselves, and for their work. Moreover, it is of importance that they should stand out as known and inspiring examples to the whole undergraduate world. The great men in each faculty will from time to time inspire and enhearten even the most remote and humble centres by their presence in the laboratories and occasional lectures. But no university policy can be successful unless it keeps in mind constantly that the duty of the principal professors is not the mere teaching of what is known, but the discovery of new truth. What the highest professor must be relieved from is the daily grind of elementary teaching. Thus, instead of the teacher’s life being subordinated to the needs of the student, as in undergraduate centres it must and should be, every other task imposed upon the professor should, in the post-graduate centres, give way to the professor’s own researches.’ (Webb 1904)

As for ensuring overarching executive control, it seems that with the passage of time little has changed; it all comes down to the imposition of financial machinations: ‘Only by wielding the power of the purse can the senate make its supreme authority effective, and serve as the co-ordinating brain that gives unity to the whole organisation.’ (Webb 1904)

Our selection of the period denoting what we have called the ‘alternative era’ is particularly convenient as it markedly contrasts with many aspects of today’s university landscape. Furthermore, it is important to remember that many of the

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scholars who entered academia during the ‘alternative era’ and who are able to critically compare and contrast ‘then’ and ‘now’, have either retired or are likely to do so in the not too distant future. The observations of some of these ‘stakeholders-by-inalienable-right’ have been invaluable in developing the sections which follow.

9.3

Education: Paying the Piper ‘There is no economic law that says that everyone, or even most people, automatically benefit from technological progress.’3

The scale of the tuition fees associated with undergraduate degree programmes varies widely between countries. Table 9.1 provides indicative summary information from which this variation is immediately apparent. For example, costs in England, the U.S., and New Zealand currently lie at the high end of the spectrum. In contrast study at institutions in countries such as Germany, Norway, the Czech Republic, and Greece is paid directly from general taxation. In relation to institutions located in countries that levy high fees Table 9.2 provides an indication of approximate institutional charges (as of 2018). In the UK during the ‘alternative era’ there were no tuition fees associated with tertiary education and as a student in the later 1970s I recall receiving non-repayable funding which fully paid for the educational experience and also provided a living allowance across the three years of study associated with an Honours degree programme. At that time this was the norm for domestic students. It is therefore interesting to consider the changes that have taken place in the UK and which have resulted in today’s domestic students incurring base costs of *£27,000 per year, and contrast this with the typical approach adopted by many continental European countries where tertiary education can be gained for minimal cost. Why, for example, should there be such a major difference between the cost of university education in England and Germany? Who are the winners, and who are the losers? The debate between those who consider that tuition fees should be paid out of general taxation and those who believe in a ‘student pays’ ethos tends to be polarised, and in the following subsections we briefly review aspects of these two philosophies. In this discussion we primarily use the current (albeit seemingly unsustainable) situation in England to highlight some of the pertinent issues. However, this discussion is also relevant to various other countries.

Carr, N., ‘The Glass Cage’.

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Table 9.1 Indicative fees associated with undergraduate degree programmes. Here we particularly focus on public institutions and note that costs are continually under revision and there are sure to be changes following the UK’s withdrawal from the EU. (Source Gibbons 2016) Country

Indicative Cost (per Indicative Cost (per year) Domestic year) International Students Students

England

£9,250

Scotland

No fees for Scottish students

Germany

No fees

Norway, Denmark, Sweden Czech Republic Greece

No fees

For home and EU students, government loans are available. Average debt for a 3 year degree *£27,000 (ignoring repayment costs) No fees for EU students. Students from the rest of the International students UK pay *£9,250 per year. pay £16,650–£23,200 Non-EU students may pay basic fee: *1,500 Euros No fees for EU students

No fees

No fees

New Zealand U.S.

Notes

£10,000–£35,000

No fees

No fees for EU students, International students pay *1,500 Euros NZ$10,000–25,000 NZ$25,000 International fees quoted for science and engineering *$10,000 (in state *$25,000 (out of state Fees vary widely between students) students) institutions. Typically 4 year degree program— average debt *$133,000

Table 9.2 Indicative fees associated with undergraduate degree programmes across a number of institutions. (Sowter 2018) Institution

Fees (Domestic)

UCL ICL University of Cambridge University of Oxford Caltech Harvard Stanford MIT

£9,250 £9,250 £9,250 £9,250

Fees (International)

£25,960 £29,000 £30,678 £31,445 US$50,487 + 1,875 US$46,340 US$50,703 US$51,529

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9.3.1 Who Pays? ‘There is more treasure in books than in all the pirates loot on Treasure Island.’4

In essence, those who argue that tuition fees should be wholly or largely funded from general taxation believe that the educational experience should promote the development of highly trained and skilled professionals. The expectation is that such people play a critical part in contributing to the wealth and well-being of a nation. Consequently it is deemed to be in the interests of society to support their education. This approach tends to promote considerable competition for university places. However, society can only fund a limited number of people and surely it is reasonable that the available finance should be targeted at the most able students? Others argue that this is an elitist approach and that tertiary education should be made available to a far greater cross-section of society. But how is this to be funded? This leads to the ‘student pays’ ethos. First and foremost, it is assumed that by gaining a degree level qualification a person’s career will be significantly enhanced. Not only will it lead to better job prospects, but also higher levels of remuneration. Surely it is therefore appropriate that each student should pay for an experience which will be to their personal advantage? In addition, the approach has the potential to make education widely accessible, although it does generally result in significant personal debt. These arguments are often reinforced by reference to a broader ‘user pays’ philosophy. Surely if students are paying for their education, they will be more demanding and hence will force universities to provide an enhanced ‘customer experience’? Thus, for example, in connection with UK universities, Bollmann (2016) quoting from a Student Academic Experience Survey conducted by the Higher Education Policy Institute and the Higher Education Academy suggests: ‘Over two-thirds of complaints related to academic issues, many of which deserve attention: 54 per cent of students want feedback on coursework within one or two weeks, but less than a third actually get it within that timeframe. Only 16 per cent of students believe teaching staff demonstrate original creative methods, and only 18 per cent demonstrate they improve their educational skills on a regular basis… students are unhappy with their end of the bargain, it’s because they expect a level of ‘customer service’ that corresponds with their level of investment and potential risk.’

4

Attributed to Walt Disney (1901–1966).

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Surely students who are investing a lot of money in their own education will not want to risk failure—which perhaps suggests that they will work harder and in a highly focused way. No more lounging about on campuses and unseemly student demonstrations (although during the ‘alternative era’ student protest often played an important role in catalysing important societal and governmental changes). Since the founding of Oxford and Cambridge Universities in circa 1167 and 1209 respectively, through until the mid-20th century, university education was often associated with wealth and status. This impression is perhaps supported by the fine words of John Donne who some 400 years ago wrote: ‘The university is a paradise, rivers of knowledge are there, arts and sciences flow from thence. Council tables are Horti conclusi (as it is said in the Canticles). Gardens that are walled in, and they are fonts signati, wells that are sealed up; bottomless depths of unsearchable counsels there.’ (Donne 1624)

But in its early history Oxford did not always symbolise this genteel vision and gained much notoriety as violent clashes broke out between lofty academic ‘parasites’ and the townsfolk: the so called ‘Town and Gown’ disputes. For example in 1355, legend tells of an incident that occurred when two of the ‘parasites’ complained about the price and quality of wine being served in their local tavern. They expressed their sentiments by not only throwing the wine at the innkeeper but by also whacking him on the head with a quart pot. Subsequent attempts to arrest the tempestuous academics were violently resisted by *200 scholars who are said to have run riot in the town. This was countered by a force of *2,000 and in the ensuing battle a number of the ‘parasites’ were killed.5 Over the centuries such antagonism continued with one side being intent upon ‘licking a lord’ and the other on ‘thrashing a cad’. Undoubtedly today’s university managers intent on associating slick ‘corporate’ images with universities often find it difficult to work with true scholars who can be ‘The city was forced to pay for damages to the colleges and provide monetary compensation… In a tradition that lasted well into the 19th century, the Mayor of Oxford was also required, once a year, to visit the Chancellor of the University and swear allegiance to the school and provide a ceremonial sum of money in remembrance of the events.’ (The Oxbridge Insider)

5

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such an annoying breed (as Daniel et al. (2018) remarks, they ‘leave administrators sighing about the vanity and cluelessness of the faculty.’). But they must surely be relieved that they don’t have to deal with some of the academics who resided in the hallowed precincts of Oxford University during medieval times: ‘…in about 1410, the University decreed that all scholars must live in academic halls and not in the houses of laymen, in order to prevent them from “sleeping by day and haunting the taverns and brothels by night, intent on robbery and homicide”.’ (Davies 2010)

Returning to more recent times, recognition by the UK government of the perceived status of universities was demonstrated in the early 1990s when more than 30 polytechnics gained university status. Vitally important roles that were served by polytechnics in providing strong local support and matching the educational experience to the needs of industry began to shift. But often joining ‘the club’ was a mixed ‘blessing’. Suddenly many highly skilled educators dedicated to the teaching process found themselves delivering less applied courses and were expected to contribute to cutting edge research. Despite their dedication to education, the lack of a Ph.D. suddenly became an issue causing some to loose their employment. In countries where tuition fees are paid from general taxation, a range of equally relevant and valid educational opportunities are invariably available (in this context it is particularly instructive to consider the well designed and well balanced approaches that are adopted in Germany). In contrast in the UK and in countries which have adopted similar tertiary education strategies the process of turning polytechnics and the like into universities has reduced opportunities for students to undertake non-university forms of learning. Furthermore the level of prestige which is now associated with university education is often perceived as being unmatched by other forms of tertiary establishment. In short despite the critical importance of the high-calibre vocational training which polytechnics are able to offer, they are often perceived as delivering a second-class form of education. As a consequence, universities have been left unfettered to grow so as to fill an ever widening void and as Daniel et al. (2018) remark, given the current state of public expenditure: ‘…they may be the last [major] public institutions left standing.’

Since the 1990s the number of universities in the UK has continued to increase at a brisk pace. Campuses are expanding, construction programmes abound and competition is intense. In many countries which have adopted this type of model, the pressure is on to maximise student numbers, maximise class sizes, maximise income from research, maximise publication outputs, and maximise the number of short courses. In fact maximise the financial return from all resources. But where is this voyage taking us and how should we be defining the nature and role of the university in the 21st century?

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Level of debt

Student as customer

Education as ‘product’

Duration of debt

The 'Student Pays' Scenario

Career-focused education

Debt is normal philosophy

Grade-centric approach

Time and pressure

Fig. 9.1 Summarising a number of issues relating to the ‘student pays’ philosophy. See text for discussion (rectangles shaded in yellow are grouped under the heading of ‘Market Forces’).

9.3.2 The Student Pays Approach ‘With school turning out more runners, jumpers, racers, tinkerers, grabbers, snatchers, fliers, and swimmers instead of examiners, critics, knowers, and imaginative creators, the word “intellectual”, of course, became the swear word it deserved to be.’6

In principle, and in the case of the majority of traditional subject areas, education at the tertiary level is not (or rather should not be) an expensive process. This becomes very evident when we consider the total number of direct contact hours that a student will have each week with those who are directly responsible for the provision of teaching. In fact many students will seldom meet with an academic staff member on a one-to-one basis, and contact will largely take place in lectures and possibly in group tutorials. Naturally costs are also associated with the marking of assignment work and exam scripts, but in terms of the time devoted to each student’s work, the actual amount is minimal. Admittedly in the case of subjects involving laboratory and field work, the educational process becomes more expensive, but given typical class sizes the cost per student is not excessive. However, in many countries which have adopted the ‘student pays’ approach, tuition fees are daunting (recall Tables 9.1 and 9.2) and it would seem that there is a mismatch between these fees and the actual costs directly associated with the teaching processes. In essence, this mismatch arises because tuition fees are not only used to fund the core educational experience, but also to support a range of day to day operations, infrastructures, facilities, and activities which are not necessarily essential to or even closely related to core education (recall the ‘supportive’ processes referred to in Fig. 2.1). In this subsection we outline ramifications of the ‘student pays’ model and specifically focus on situations in which tuition fees are high, and as a result 6

Bradbury (1954).

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students are usually forced to take out significant loans which may take many years to repay. It is worth noting that a number of the issues discussed here result from, or are exacerbated by, the high fees that are charged. Figure 9.1 summarises some of these issues and they are briefly discussed below: 1. Debt (Level, Duration and Philosophy): Enrolment in undergraduate degree programmes often takes place immediately after completing school-level education. In this case, by the time a student studying in England reaches the age of *21, he/she is likely to have taken out a tuition fee loan of *£30,000. When this is compounded with living costs and interest, the UK’s Institute for Fiscal Studies (IFS) suggests an average debt of just over £50,000. Instalment-based repayments commence when a graduate has entered the workplace and has attained a certain threshold level of income. Many years are likely to pass before the debt has been repaid. In fact: ‘… the IFS forecasts that about three-quarters of students will not pay off all their debt, despite making payments from their earnings into their 50’s.’ (Coughlan 2017)

This author goes on to suggest that: ‘The IFS analysis says scrapping tuition fees would cost £11bn per year. But it also warns that continuing on the current trajectory of “high debts, high interest rates and low repayment rates” would mean problems both for “graduates and the public finances”.’

The loan-based approach may have undesirable societal consequences by reinforcing the notion that debt is a ‘normal’ way of life, and consequently promoting a philosophy in which the use of credit is accepted without question —even when it may prove impossible to repay the amount borrowed. 2. Market Forces: In the UK since the 1980s, political decision making has been strongly influenced by an assumption that unfettered competition will invariably yield optimal benefit. In fact it would seem that key aspects of traditional grocery shop trading provide an economic model that is widely deemed to be applicable to many area of governmental and commercial activity. When applied to tertiary establishments, the student becomes the customer/client, the graduation certificate is often regarded as the product, and the educator takes on the role of ‘shop keeper’. And for many student customers, the actual educational experience is simply viewed as a means to an end, rather than as an end in itself. Systems and processes are increasingly supporting and promoting this notion of the ‘student-customer/client’. Perhaps this is a natural result of institutional competition, for as Guilbault (2016a) remarks: ‘The recognition of the student as a customer stresses the importance of treating students as such in order to succeed in the competitive higher education marketplace.’

He goes on to conclude: ‘However one area where the debate needs to stop is whether students are customers. That ship has sailed, what needs to be determined is how to steer it.’

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And suggests that: ‘Excluding the student from the role of customer has implications on student satisfaction and retention, so instead of continuing to deny that students are customers, we should be exploring how to respond to students as customers.’ (Guilbault 2016b)

Whether we view students as customers or otherwise, it is likely that we can agree that given the scale of fees levied, students must surely be entitled to expect good value for money and, as mentioned previously, from a political perspective this approach has been promoted as one in which student expectations will lead to the enhanced institutional performance: ‘Market signals were to make “students more demanding and universities more responsive.’ (Newfield 2017)

However, the negative effects of treating students as customers are not only recognised anecdotally by those directly involved in the teaching process but are also reported in literature. For example, Bunce et al. (2016) describe their work in surveying 608 undergraduates enrolled at higher education establishments in England and report that: ‘The analysis revealed that consumer orientation mediated traditional relationships between learner identity, grade goal and academic performance, and found that a higher consumer orientation was associated with lower academic performance. Furthermore, responsibility for paying tuition fees and studying a Science, Technology, Engineering and Mathematics subject were associated with a higher consumer orientation and subsequently lower academic performance.’

In this context, they employ the crucial term ‘learner identity’: ‘…to refer to a broad set of attitudes and behaviors associated with intellectual engagement, approach to learning and identification with the social category, ‘learner’. Adopting a deep approach to learning involves engaging with material to be learned in a critical and meaningful way with the intention to understand.’ (Bunce et al. 2016)

Bunce et al. (2016) go on to observe: ‘…we found that the link between fee responsibility and academic performance was also mediated by consumer orientation: More fee responsibility was associated with higher consumer orientation and subsequently lower academic performance.’

Thus suggesting that by requiring students to pay high fees, their educational experience may well not be enhanced. Furthermore, by promoting the student-customer philosophy there has been a tendency to develop process-driven environments which often place less emphasis on nurturing the self-responsibility and self-discipline of students. This has resulted in so-called ‘spoon feeding’ often becoming an accepted (even required) norm and is often accompanied by a general erosion of teaching standards. For example, a common expectation is that academics are required to provide feedback to students before their assignments are submitted for marking, and in the case that a student fails an exam or assignment, he/she is allowed to have at least one more attempt.

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In the ‘alternative era’, in lectures students were expected to learn the useful skills of simultaneously listening, understanding, note-taking, and occasionally questioning. Today the experience is often reduced to one of passive listening. PowerPoint provides a central canvas for teaching with content often being reduced to bite-size chunks which need not even be written down, because at the very least the lecture slides will be made available electronically. Should an academic have the temerity to suggest that material presented via a whiteboard should be copied down then invariably some ‘customers’ will simply take a photo. However this is now less common because a current management thrust is to ensure that the student customer experience is enhanced by ensuring that lectures are recorded and although some academics welcome this move, others find that it is both intrusive and off-putting. For the student, passive lectures in which there is no need to take notes or engage in real time must seem interminable. This is perhaps one reason why many students pass the time by immersing themselves in their online world, or by electronic game playing with others in the class. To gain their attention, today’s lecturer must not only teach but must continually entertain—forever attempting to convey enthusiasm and excite interest. The pressure is also on the academic to provide the student customer with every possible opportunity to pass his/her course, and in this context I recall one academic colleague recounting a meeting with her manager. On being assigned teaching for the coming term she was told that, ‘I don’t want more than two students in your class failing, we need to progress them all to the next year. Just make absolutely sure that the great majority pass – no excuses.” Although this is something of an extreme example, student failure is frequently seen as a reflection of poor performance on the part of the academic, and when the ‘student-customer’ fails to attend lectures this is not necessarily viewed as being a reflection on the student’s commitment, but an indication of a non-stimulating style of teaching. It is frequently suggested that this is resulting in a ‘dumbing down’ of university standards, with academics often feeling under pressure to award higher marks (Lipsett 2008).7 As in the example cited above, this can represent a response to internal persuasion or can be a direct consequence of the expectations of the student-customer. Unfortunately, when students are perceived as, and perceive themselves to be, customers the relationship between educator and student fundamentally changes. As suggested by one assistant vice chancellor: ‘…calling them “customers” superficially appears to empower students, but in fact it disempowers them by restricting how we treat them and discuss them, and how they perceive themselves.’ (McGhee 2015)

7

Some strongly contest the notion that in recent years there has been a widespread dumbing down of educational standards. Perhaps the extent to which this has actually happened varies between subjects. My inspection of a random sample of ‘finals’ exam papers from the ‘alternative era’ in Physics, Computing and Electrical Engineering suggests adherence to highly rigorous standards and an assumption of much stronger mathematical skills than can be taken for granted today.

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After all, the age-old adage suggests that ‘the customer is always right’. But for some this is an outmoded philosophy: ‘One of these developments is that the view that the customer is always right is no longer the prevailing view in marketing.’ (Guilbault 2016b)

Although this may represent a currently held outlook within sales and marketing environments, actual customers may well continue to believe in traditional perceptions of customer rights and entitlements. As customers we generally believe that we have the right to complain about products which fail to work, or about product that proves to be of poor quality. The grocery shop approach does not necessarily lend itself to the subtleties of the educational process: ‘Teachers are supposed help cultivate the ability and confidence to think critically, which often has little to do with communicating facts or exam or essay techniques. This may mean, for example, frustrating some students if they want to be spoon-fed information, in order to make them see that they can do it for themselves. It may mean incurring their dissatisfaction… Teachers must also motivate students and harness their desire, which often has little to do with the outcomes the government values.’ (Seymour 2016)

Although it is a pleasure to teach the majority of students, within any class there are invariably a few who are problematic and can have a significantly demoralising impact on educators, causing them to feel that they are simply service providers. One academic recounts the response of a student asked to leave a seminar because he/she had failed to undertake the necessary preparatory reading of an article relating to the topic being discussed: ‘I pay you to teach me what’s in the article, not the other way around.’ (Anonymous Academic 2015)

When the academic is continually concerned about the possibility of student criticism and/or complaints, together with the impact of ever more frequent student surveys, the simplest approach is to acquiesce; to focus on supporting students in their pursuit of the highest possible assignment and exam grades. The results of a ComRes survey for Universities UK suggests that in a sample of 1019 full-time and part-time undergraduate students, 47% indicated that they perceived themselves as customers of their university (Universities UK 2017). The survey went on to probe other aspects of the student experience, such as whether participants believed their course (programme) was good value for money: ‘…based on what they expect to get out of their studies, particularly employment…’ (Universities UK 2017)

Can this form a sound basis for the evaluation of a complex multi-faceted educational experience? How do students gauge the meaningfulness of their ‘expectations’, and how can they determine what in fact they ‘should’ be getting out of their studies? Furthermore, whilst courses may appear to be increasing student employability, this may primarily apply to short-term opportunities (see

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Sect. 9.7). Thus although a graduating student may be skilled in programming in a particular language, may be proficient in setting up and querying databases, and may be able to configure network devices, he/she may have relatively little training in critical thinking, knowledge application, team work, creative activities, etc. And in this context, I must confess that my own view aligns with an observation attributed to Socrates: ‘Education is the kindling of a flame, not the filling a vessel.’

Consider the teaching of programming. Invariably many engineering, computing, and technology-centred programmes incorporate an introductory course in this area, focusing on basic skills needed to develop simple programmes using a specified language. These courses are popular and appear to be teaching a useful vocational skill. In reality the ability to develop simple programmes in a particular language is of little value in the workplace and has little scholarly merit. Of far greater importance are the skills that are needed to not only quickly adapt to, and capitalise on, any language but to also appreciate its association with underlying hardware. In parallel it is also important to understand the ways in which today’s high-level languages evolved together with their strengths and weaknesses. This requires much more experienced teaching and represents a more demanding learning experience. Further, many students would not necessarily perceive the ‘value’ of some broader aspects of the curriculum, and so it is perhaps easier to simply teach a certain programming language sure in the knowledge that the student customer will believe that they are learning really valuable skills that will stand them in good stead in the years to come. The reality is often quite different. 3. Time and Pressure: To counter the level of debt incurred whilst at university, students in full-time study often take up paid employment. Although this is quite understandable it is usually counterproductive as it reduces the time that can be committed to the learning process. In fact over the years I have encountered many international students who take on at least two forms of employment, and in parallel try to find some time in which to study. Others are committed to caring for young children and/or other family members. Invariably this reduces the time available for study and often negatively impacts on performance. In the ‘alternative era’ the undergraduate years offered time for reflection, introspection, and a degree of relaxation (at least up until the time at which the final year exams loomed large in the window…). The situation is now somewhat different. Final year exams have been augmented or superseded by a multitude of assignments, and within weeks of entering tertiary education many students find themselves on an assignment treadmill. All too often their initial enthusiasm begins to be eroded, and given the focus on grades (partially fuelled by the scale of tuition fees), assessment deadlines are of continual concern. Studies must be prioritised and if a topic is not going to be examined or assessed, then however interesting it may be it will frequently be cast to one side.

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Some years ago, I decided to put this observation to the test. At the time I was teaching a class of *220 undergraduate students and at the outset of one particular lecture, I announced that the topic that I would be covering was not one that would be assessed in any way. I went on to impress upon the students that it related to a really interesting subject area (and it did), but I would quite understand if any students wished to leave the room. I spent the next minute or so studiously organising my materials. The aim was to ensure that I appeared to be busy and distracted—I didn’t want any student who decided to leave the lecture theatre to feel that they may have to face my disapproving glare… On looking up, I found that only one student remained the room. It was perhaps a disappointing result, but at least there was one student who truly wanted to learn—to learn for the sake of learning. As he sat at the rear of the semi-darkened room, I approached him with the intention of suggesting that he move closer to the front before I began my ‘enthralling’ presentation. It was only when I got nearer that I noted that he was fast asleep. Quietly I departed, leaving him to his dreams. In actual fact as I subsequently learnt, this exercise did not necessarily demonstrate disinterest on the part of many of the students but rather their wish to prioritise. A submission deadline for three assignments (for other courses) was only two days away and many were under pressure as they needed to complete this work whilst undertaking a significant level of part-time employment. By way of further example, Table 9.3 presents data pertaining to student contributions to the ‘Discussion Board’ (forum) in three consecutive renditions of an online course I delivered some years ago. In each case the Discussion Board was used to support the formation of a dynamic virtual classroom which was intended to enable students to study course topics in depth. Each rendition of the course had two assignments. In the case of the first of these, students were marked on the contributions they had made to the Discussion Board up until the end of the fourth week. After this time although students were encouraged to continue to use the Discussion Board their postings were not graded and did not count towards their final grade. As can be seen from the Table, after the submission of the first assignment the number of weekly postings falls considerably—but it is evident that some students continued to seek to benefit from the learning experience. Genuine feedback from others who no longer participated indicated that the lack of commitment was largely caused by time issues; in addition to studying, many were holding down a full-time job whilst in parallel dealing with significant family commitments. This is a very common problem, and by way of example, an academic recounts the difficulties faced by one of her students:

9.9 6.7 7.4 6.4 4.9 3.3 2.4 1.4 1.1 0.7

345 233 260 224 171 114 83 50 39 26

519 298 243 226 127 78 72 23 13 15

7.5 4.3 3.5 3.3 1.9 1.1 1.0 0.3 0.2 0.2

Second rendition of course 35 Students Postings Postings per week per week divided by class size

First rendition of course 69 Students Postings Postings per week per week divided by class size 35 30 28 25 16 14 11 8 6 5

Total participants 395 293 256 265 140 89 102 65 51 32

10.7 7.9 6.9 7.2 3.8 2.4 2.8 1.8 1.4 0.9

Third rendition of course 37 Students Postings Postings per week per week divided by class size

37 33 32 32 19 15 15 13 7 6

Total participants

Table 9.3 The number of Discussion Board postings per week for three renditions of the same course (ten weeks in duration), together with the numbers of participating students (student participation data is unavailable for the first rendition). At the end of week four, students were graded on all their individual Discussion Board postings, but after this time further postings did not contribute to their final grade. Although after the fourth week the number of postings decreases significantly, a number of students continued to participate in this dynamic virtual classroom environment. The reason(s) for overall gradual decline in postings was not formally appraised but anecdotal evidence suggests that lack of time (coupled with prioritisation of effort) was a major factor. In addition some students do not appreciate the value of studying material that does not directly contribute to their overall grade.

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‘Take Louis… He has such a sweet aura and regularly reiterates… that he wants to be a teacher and work in inner-city schools… He listens when I talk, and thinks before he responds. But he is failing my course because he doesn’t do the work. Why? He has a small moving company and drives all over the state, hauling furniture and moving folks. He works whenever he gets a gig; he has to work and pay tuition. He’s so busy this semester that he doesn’t have time to show up for anything…’ (Vehko 2018)

It is somewhat unfortunate that the pressures students face not only detract from the time available for their studies, but also cause a growing number to resort to plagiarism. This may take the form of ‘cutting, pasting and massaging’ content taken from the Internet, through to paying online providers to undertake assignment work. In this latter context, Noor (2017) writes: ‘Buying essays – any form of plagiarism – is clearly wrong, but it feels like a logical extension of an education that comes with a high and rising price tag… When large amounts of money are necessary to attend university, and degrees are described more and more often simply as a route to a profitable job, it’s not surprising that a pure interest in education is jettisoned [by some students].’

9.3.3 Tertiary Education: For the Common Good ‘Cram them full of non-combustible data, chock them so damned full of “facts” they feel stuffed, but absolutely “brilliant” with information. Then they’ll feel they’re thinking, they’ll get a sense of motion without moving. And they’ll be happy.’8

As previously mentioned, an argument that is often used to justify a belief that the individual should bear the costs of his/her tertiary education centres on the assumption that the skills gained together with the ensuing qualification will result in better career opportunities and a higher level of remuneration. After all, why should society in general pay for the advancement of the individual? Contrariwise it is recognised that education is central to the development and well-being of society: ‘We know that our biggest challenge in earning our way as a country is our low productivity relative to other nations, and our biggest tools in tackling this gap are education and research – in other words universities and colleges.’ (Burnett 2017)

Furthermore: ‘…it is not how education is paid for that matters. It is about education and what it can do for a whole population, and for its history.’ (McGhee 2015)

Having held positions in universities in which students are responsible for the payment of tuition costs, and in others in which they are fully supported by

8

Bradbury (1954).

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government funding, I have found that in the latter scenario the prevailing atmosphere tends to be more relaxed and conducive to the learning experience. This is perhaps most evident in the relationship between student and scholar—the former is no longer the customer and the latter gains a sense of partaking in work whose value transcends tick-box appraisal. These observations tend to be supported in conversations with colleagues who share similar experiences, and several have also noted a more relaxed approach to student evaluations and complaints processes. There can be little doubt that the student-customer approach risks cultivating a blame culture in which even the most ludicrous of student complaints levelled at an academic can invoke over-reaction on the part of administrators and managers. In such an environment the prudent academic is continually forced to exercise caution and restraint. Consider, for example the following: ‘At one recent seminar… few attendees appeared to know the texts, and when he [the lecturer] asked who out of the 24 students had done the reading, only two raised their hands. He sent the others away, and told them to come to the next seminar better informed.’ (Cocozza 2017)

Whilst this may be deemed to be a non-optimal way of dealing with the situation, it is quite possible that the lecturer was responding to a recurring problem associated with this particular student cohort. However in a blame culture environment this approach would be an act of folly, as undoubtedly one or more students would make a complaint, probably arguing that they had a right to remain in the seminar because they had paid to be there. More generally, I have not found that the student-pays scenario necessarily results in a greater commitment by students to the learning experience, and I continue to be surprised that some students will enrol in courses and subsequently take little, if any, further interest in the proceedings. It makes no sense, but it is not uncommon. This brings to mind an incident that occurred some years ago when I received a phone call from the mother of one of the students enrolled in a course that I was delivering. Initially she was far from happy and pointedly accused me of unprofessional conduct—of continually cancelling lectures—practically every week. She went on to tell me in a no-nonsense and upfront manner what she thought of me for doing this. Apparently, her son was so demoralised by my alleged actions that whenever I supposedly cancelled my lectures he would not get out of bed until midday. Faced with this tirade my initial natural reaction was to feel somewhat guilty, until I realised that I had in fact not cancelled any of my lectures! Finally I was able to interject a few words and explained this. A long silence followed as she realised that her son had been somewhat ‘inventive’. Having apologised to me, she commented that her son was still lying in bed and she was going to have a talk with him. Her icy tone sent a chill down my spine—I almost felt sorry for her son… In comparing the student-pays and government-pays scenarios it is important to bear in mind that in the latter case there tends to be greater competition for enrolment and hence students who gain university places are invariably the more academically able. Conversely in the case of the former, student cohorts tend to be

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Procedure driven Management growth Burgeoning bureaucracy

Performance driven

Administrative growth

Income driven Hierarchical management structure

Part-time staff

Academic staffing

Zero-hour contract staff

Fig. 9.2 Generalised but indicative overview of aspects of today’s tertiary education establishments which have significantly changed since the ‘alternative era’. See text for discussion.

much more diverse and there is a particular need to establish a whole raft of processes and support structures to assist students who are academically less inclined and/or less motivated. This means employing people to work on a broad spectrum of activities. Their salaries must come from somewhere and this means higher student fees.

9.4

Ethically Based Responsibility ‘The university is an ‘agency established by heaven itself to proclaim the principles of democracy… It is the university that, as the centre of thought, is to maintain for democracy the unity so essential to its success.’’9

At the risk of over-generalisation, Fig. 9.2 summarises some of the internal changes that have occurred since the time of the ‘alternative era’ university. Aspects of this overview are discussed in the following subsections.

9

From a speech by the founding president of the University of Chicago, William Rainy Harper entitled ‘The University and Democracy’ delivered at Berkeley in 1899 and quoted in Daniel et al. (2018).

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9.4.1 Administration and Management Growth ‘To contain fixed labour costs, colleges foist as much instruction as possible onto teaching assistants, cut-rate lecturers, and adjuncts on term contracts.’10

In discussing university management and administration (M+A) roles, it is important to recognise that these functions are not only performed by staff specifically recruited to engage in such activities, but also by many academics. In this latter case, some academics perceive (often quite correctly) that immersion in M+A is a crucial ingredient for career advancement. Whilst at the outset they may adopt an ‘if you can’t beat them, join them’ outlook, gradually they often learn to relish the tedious and murky landscape of institutional politics. In parallel, there are academics who actually enjoy the thrill of sitting on as many committees as possible and being empowered to oversee the implementation of bureaucratic processes. At the other end of the spectrum are academics who shun politics and administration and simply want to get on with the ‘real work’ of research and teaching. Invariably they view the professional M+A academic with a degree of disdain: as having gone over to the ‘dark side’. Since the ‘alternative era’ there has been a major growth in M+A positions: ‘One US study found that between 1975 and 2008, the number of faculty had grown by about 10% while the number of administrators had grown by 221%. In the UK two thirds of universities now have more administrators than they do faculty staff… The massive expansion of administration has also fuelled an equally stark expansion of empty activities.’ (Spicer 2017)

In the context of U.S. universities, McElroy (2017) quotes a study by Zywicki and Koonman entitled, ‘The Changing of the Guard: The Political Economy of Administrative Bloat in American Higher Education’: ‘Universities have increased spending, but very little of that increased spending has been related to classroom instruction; rather, it is being directed toward non-classroom costs. As a result there has been a growth in academic bureaucracies, as universities focus on hiring employees to manage or administer people, programs, and regulations. Between 2001 and 2011, these sorts of hires have increased 50% faster than the number of classroom instructors. This trend …has become ubiquitous… in American higher education.’

Furthermore, upper managerial positions tend to attract high salaries and associated benefits: ‘Among 17 university heads who retired between 2014 and 2016, the average final salary was £280,000. As all of them benefited from a final salary pension scheme, which is now closed to new entrants, that rise in salary fed through generously into their retirement benefits…’ (Abrams 2017)

10

Sewall (2019).

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Table 9.4 Summary of the four highest responses to the Freedom of Information query posed by the University and College Union. The names of the four universities listed here have been omitted. As can be seen, the top university on the list employs 485 staff with total emoluments greater than £100,001. Placed in context, an annual salary of £200,000 maps to *£770 per day (for a 5 day working week). Adams (2019) reveals that in 2017–2018 six Vice Chancellors of universities in England received an income in excess of £500,000 (comprising salary, bonuses and benefits) and reports a 15% rise in the number of staff paid more that £100,000. He indicates that in this period the average income for higher university staff rose by 3.5%—from £245,000 to £253,000 (excluding accommodation and pension schemes). Total number of emoluments in Total number of emoluments in Total number of the range £100,001–£200,000 the range £200,001–£300,000 emoluments above £300,001 431 423 360 341

47 30 31 38

7 8 0 9

The University and College Union (UCU) reported on its latest survey of top salaries at 160 British higher education institutions. Data was obtained via Freedom of Information requests to which 148 institutions responded. Summarising key findings, they report: ‘In 2016/17, the average total of emoluments for heads of institutions (including salary, benefits, employer pension contributions and bonuses) was £286,891… In 2016/17, 18 heads of institutions enjoyed a pay increase of more than 10%. The union’s data also found that in 2016/17, 22 institutions employed more than 100 members of staff on salaries of more than £100,000 a year.’

The UCU’s list of the top 50 total pay packages of UK Vice-Chancellors indicates a largest total annual emolument of £808,000 through to a ‘mere’ £311,000 at the lower end. Furthermore, many Vice-Chancellors are (or have been) members of university remuneration committees (which are responsible for setting Vice-Chancellor salaries): ‘The majority of university vice-chancellors are either members of the committee that decides their salary or are allowed to attend its meetings.’ (Weale 2018)

In response to the UCU query: ‘Please enter the total number of staff (excluding the vice-chancellor/head of institution) at this HEI who had total emoluments in each of the following ranges for the financial year that ended on 31 July 2017.’

The UCU provide summary information of responses and in Table 9.4 we indicate their findings for the four highest fliers (for the names of the institutions, refer to the original UCU report). As for expense accounts, much to the delight of the media some universities appear to have been keen to engage in the type of spending more usually associated

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with the corporate sector. An article appearing in The Guardian entitled, ‘Universities Staff Put Trips to Vegas and Strip Club ‘on expenses’’, (Parveen 2018) reports on Freedom of Information requests to universities in England which are claimed to have revealed that: ‘Over the past two years, employees at 54 universities spent £204m on corporate credit cards… … University spent £17m, including £2,614 at Caesars Palace Hotel and Casino in Las Vegas, while … University spent £2,184 on a “corporate event” at the lap dancing club chain Spearmint Rhino…’

Parveen (2018) also indicates that: ‘The university of … said it could not respond in case doing so caused distress to staff.’

Possibly students are likely to be the most distressed—given the scale of tuition fees and associated long-term loans. Another article appearing in The Guardian opens: ‘When Grace Parkins opened her first statement from the Student Loans Company she wasn’t prepared for what she saw. After four years studying she discovered she was now more than £69,000 in debt.’ (Fazackerley 2017)

The relationship between many academic staff working at the coal-face of teaching, and the strongly hierarchical M+A structures which frequently exist in universities, is one that tends to promote a bidirectional outlook of ‘them’ and ‘us’. It seems that there is an ever-broadening gulf between those who are responsible for undertaking research and teaching, and those who tend to focus on more grandiose strategic objectives In the ‘alternative era’ university, academics who engaged in M+A activities often did so for a fixed period of time, after which they once again returned to the laboratory or recuperated during a period of sabbatical leave. The current situation tends to be somewhat different: ‘The strength of the traditional part-time academic manager lay in their expert knowledge and credibility with academic colleagues… career track managers have not only colonised the top jobs, but also extended their collective management remits.’ (Shepherd 2017)

And there is no shortage of managerial positions—a Vice-Chancellor is invariably supported by a plurality of pro-vice-chancellors (and/or deputy vice-chancellors), who in turn engage with Deans. At all levels there is support from consultants/specialists and from a wealth of Executive and Personal Assistants. It’s a costly business which is not always appreciated by the community of scholars. Writing in the context of U.S. universities, Hunter et al. (2013) suggest: ‘…let’s reward colleges spending more in the classroom and less in the boardroom. Otherwise we will simply incentivize corner-cutting in instruction while continuing to throw quarter-of-a-million dollar salaries at the Second Associate Vice Provost of Nothing in Particular.’

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Derrington (2013) quotes one pro-vice-chancellor: ‘I once gave a senior colleague a formal disciplinary warning for deliberately neglecting to mark a piece of student work. A further disciplinary offence would have led to dismissal. The colleague found another job within a few months.’

This account is included in a publication purporting to promote the notion that managers are acting in the best interests of academics, indeed the article is entitled ‘University Managers are Not Malicious, we are Misunderstood’. However during many years in academia, I have never encountered an academic who would deliberately (without justifiable reason) not mark student work. On the other hand, I and my colleagues have seen a number of managers not only threaten academics with dismissal, but also put their words into effect: ‘Mrs Thatcher’s government abolished “tenure”, it was said, so that university managers could cut out “dead wood” like any other business…. [some] university leaders have learned to use redundancy as a routine way of managing budgets, with scant regard to the damage it does…Dead wood? Often very much alive until chopped down.’ (Holford 2016)

It is becoming increasingly common for academic staff to work for, and be accountable to, ‘line managers’, and when this is coupled with a disconnect between management and academics the university moves from being a place of erudite and scholarly activity to one in which the entropy associated with extensive bureaucracy saps the will to excel. At times systems often based on the achievement of short-term goals can frustrate and even prevent academics engaging in the type of work which has for so long been fundamental to centres of learning. For example, one academic whose research passion embraced 17th and 18th century manuscripts of poetry criticism written in Ottoman Turkish recounts: ‘Professors at Istanbul University had recommended I embark on the project, saying I was uniquely qualified to do it. They said no one had ever studied these manuscripts; no scholarship on Turkish literary criticism of the period had been published… The manuscripts had lain there untouched for centuries. Each one was hundreds of pages long…’ (Rowe Holbrook 2018)

After a nine month period devoted to studying these ancient works, the academic was censored for failing to undertake research, which in fact meant failing to turn out any publications in that time. She goes on to reflect that: ‘…[it] would have been a worthy life’s work, a truly original scholarly contribution…But I realised that my department’s definition of “research” meant I would not be tenured if I continued, and I turned to subjects that could be based on material already known that would allow for a speedy tempo of publication.’

You may recall discussion in Sects. 8.3 and 8.12 concerning consciousness and ‘big’ research questions. It was suggested that these crucially important areas do not receive the research attention they warrant. The above quotation begins to provide an insight as to why this is so. Engaging with such transdisciplinary subject areas is a journey into a great unknown and involves risk, publication of results is likely to be sporadic. This doesn’t align with bureaucratic expectations in relation to the generation of

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regular journal publications. This can impact on tenure, promotion, etc. Consequently, from a career perspective, many prefer to research areas which are ‘safer’ and which will support regular contributions to the journal publication tsunami.

4

Students gain enormously through their interaction with scholars who are truly passionate about an area of research. Invariably their love of subject shines through and is filled with unforgettable inspiration. Facilitating this type of interaction should be the fundamental raison d’etre for tertiary establishments and if it is not then perhaps one day we will deserve to see the provision of education being entrusted to autonomous systems.

9.4.2 Academic Staff ‘She didn’t want to know how a thing was done, but why. That can be embarrassing. You ask Why to a lot of things and you wind up very unhappy indeed.’11

University academics are traditionally caricatured as shambling eccentrics who occasionally emerge from their book-lined offices and laboratories to pontificate within the hallowed precincts of a Senior Common Room, or occasionally and with reluctance present lectures to students. Whilst this represents something of an 11

Bradbury (1954).

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exaggeration, it did have some validity in the ‘alternative era’ and in my early career I encountered many such academics. Indeed maths and physics departments were awash with them, although their eccentricities were seldom commented upon. They lived for their work, and at any time of the night and day, and on any day of the year there were surely some to be found quietly immersed in books, papers and laboratories. It was understood that they needed time, space and opportunities for solitude. These were the critical conditions—the time to think and reflect, to be curious, to inquire, to study, to delve deep, to develop ideas and concepts, and to contribute to human knowledge, wisdom and understanding—to gain an insight into how little we really know. Being an academic was not and should not be an occupation but rather a way of life dedicated to enquiry. In my early years as an academic it was the norm to be supported by a broad and highly valued infrastructure. Academic support staff did indeed help with every aspect of more routine duties which fell under the academic remit: from typing and photocopying through to dealing with a myriad of student-related responsibilities. Academics were responsible for marking exam papers—that was a crucial activity which capitalised on their skill. As for adding up exam marks, double checking the totals and entering them into computers, this was undertaken by administrators, thereby increasing efficiency and testifying to the precious nature of scholarly time. For those involved in experimental work there were a multitude of skilled technicians with their superbly equipped and well-organised workshops. In contrast today, whilst the number of administrative staff has burgeoned, the new positions are often intended to support high-level tasks or a myriad of peripheral activities, the really useful supporting roles having been ‘rationalised’. Whilst workshops may remain, the number of technical support staff has often been greatly reduced such that machinery remains idle. It is for the academic to undertake administration, to deal with a multitude of student issues, to attend ever more meetings and to ensure the implementation of processes and procedures imposed by the executive. This doesn’t create efficiency—consider the infusion of ever more meetings at which the academic’s attendance is deemed to be ‘required’: ‘It is half a century since C Northcote Parkinson first addressed the meeting as social anthropology, yielding his celebrated “coefficient of inefficiency”. It calculated that a meeting of just five people was “most likely to act with competence, secrecy and speed”. Few such bodies exist because five swiftly expands to nine, and two of the nine tend to be merely ornamental”, people whom no one has the heart to exclude… Nowadays many are peering at their phones or tablets—pretending to take notes, or frantic not to fall asleep.’ (Jenkins 2017)12

12

In today’s institutions, it is not uncommon to encounter meetings with thirty or more attendees. Such meetings are invariably dominated by a small number (10–20%) of people and can easily last for hours.

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Time must be accounted for and must be shown to have been used in tangible ways: ‘In most universities nowadays – and this seems to be true almost everywhere – academic staff find themselves spending less and less time studying, teaching, and writing about things, and more and more time measuring, assessing, discussing, and quantifying the way in which they study, teach, and write about things (or the way in which they propose to do so in the future.’ (Graeber 2018)

And: ‘…time – once the academic’s greatest resource – must be accounted for in meticulous detail; and everywhere, and at all times, the onus is on academics to “monetise” their activities…’ (Preston 2015)

Such structuring can be counterproductive. For example, many universities schedule for academics a ‘research day’ each week, a day when it’s possible (at least in terms of spreadsheet entries) to focus exclusively on research. Unfortunately, human creativity does not operate according to a timetable and if a scholar has been undertaking a multitude of low-level administrative duties throughout the week and attending numerous meetings, it’s difficult to suddenly switch and truly be able to undertake world class research on the allocated research day. As previously mentioned, time to research, study, consider, formulate, hypothesise, experiment, and reflect is the most important and crucial commodity needed by the scholar. Uninterrupted time is the lifeblood of erudite activity. However, it seems that as the years goes by the academic is faced with ever more calls upon their time, and invariably many of these are not conducive to supporting high-level cognitive activity. In an article entitled, ‘Is Email Making Professors Stupid?’, the author writes: ‘When email first spread to campuses in the late 1970s, it simplified crucial tasks like communicating with distant collaborators, but as it grew in ubiquity, it became a public portal through which the world beyond close colleagues could make increasing demands on a professor’s time and attention, making email into a kind of digital water torture for the scholar struggling to think without interruption.’ (Newport 2019)

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Based on a study conducted by John Zikler, the author goes on to suggest that on average academics typically work a 60-hour week, and of this time *30% is spent attending meetings and dealing with email. If we were to factor in the many other commitments such as teaching preparation, course delivery, marking, tutorials, etc., it is evident that the precious commodity of time available to undertake scholarly research-related activities is at a premium. Today those who are at the outset of their academic careers are quickly immersed in a tedium of minor activity, much of which appears to be designed to dull even the brightest of minds. No longer can the academic hastily scribble comments on a paper-based memo. Administrative processes have been established which often require the use of one of the most mind numbing administrative activities that have ever been devised, ‘Mark Up’—which encourages the mass circulation of documents and immersion in trivial detail. Why, we might ask, would tertiary institutions endeavour to appoint scholars of the highest calibre and then bring them down to earth by ensuring that their time is not wisely spent (see OTU Activity 9.5)? This is something of a paradox and as Newport (2019) writes: ‘If you’re Google, for example, and you invest an extraordinary amount of money to hire elite programmers but then bombard them with email and meeting invitations, their cognitive capacity will be significantly impeded – thereby diminishing both the quality and quantity of the code they produce… Google is better off creating a… work environment in which high-performers work for long stretches free from distractions – even if doing so makes other internal activities less convenient.’

In academia, one result of the application of such logic was the traditional sabbatical, a period of 6–12 months that could be taken at regular intervals (e.g. every 3 to 5 years) to focus exclusively on scholarly activity. However, in many institutions, this approach has now been firmly put to one side. Furthermore the adoption by some institutions of three student intakes per year means that even the summer vacation period is no longer available for undisturbed research. In a Times Higher Education Question and Answer session (Elmes 2014), Professor Sarah Churchwell briefly responded to the question, ‘what has changed most in higher education in the past five to ten years?’: ‘Overall, the marketisation of it: the pressures to sell it; the pernicious and false idea that education is a commodity; that its only purpose is for vocational training instead of to produce an educated citizenry; that academics should be experts in their field but also in counselling and career guidance in fields they’ve no knowledge of and no experience in…’

The fundamental roots of such changes can be readily traced back to towards the end of the ‘traditional era’. This was a time at which academics were firmly in control of defining the destiny of universities, and we shoulder considerable responsibility for the current demise of many educational establishments. Certainly there was a growing awareness of the need to attract external funding and perhaps this was one of the key factors which resulted in the recruitment of a new breed of academic—dynamic and strongly career-minded individuals who were keen to

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develop partnerships with the commercial sector. Such appointments were not made by either managers or administrative staff, but by academics themselves who paved the way for what was to come. In parallel, more administratively-minded academics began to emerge, perhaps seeing that the ambition to gain seniority would be more readily fulfilled by involvement in management and administration. These and related moves heralded a wind of change.

Often in those days I was able to see at first-hand ways in which the more administratively-minded academics were able to effect significant changes, and whilst there would initially be some degree of objection this generally did not last for long. It is often easy to deflect academics from discussion on a broad principle by interposing some rather trivial detail. As a result the overarching discussion is likely to be cast to one side as the detail becomes the point of focus—the view of the ‘big picture’ lost within a fog of entropy. As funding considerations became ever more important, accountancy processes became increasingly prevalent. Technicians and academic support staff had to continually account for their time, collegial collaborations between departments had to be formalised, work orders had to be generated—and somebody had to pay. This spirit spread like a virulent cancer. Quickly costs were associated with practically every aspect of teaching and research activity, research laboratory space was measured and the number of lights were counted. Departments began to be amalgamated and some were closed, but in those early days this did not necessarily happen at the behest of high-level managers, the decisions were often made by strongly administratively minded academics who were by then gaining senior positions. And some other academics looked on—carefully considering how their own departments could benefit from the demise of others. Such happenings

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Development of course curriculum Development of course materials No student interaction

Development of assessments Verification of assessments Delivery of course

Interaction

The student

Marking of assessments Verification of marking

Fig. 9.3 In some educational institutions the development of courses is fragmented into a number of discrete tasks. Academic staff are recruited on a temporary basis with each person being responsible for a particular task. Although this enables administrative staff to control and scrutinise all phases of the process, from an educational perspective it is non-optimal and such a mechanistic approach may be considered to be contrary to fundamental tenets of the tertiary-level experience.

facilitated major changes in university cultures—and in the words of Sarah Churchwell (which were quoted above) led to ‘the pernicious and false idea that education is a commodity’. In the case of some of the smaller commercial providers of tertiary level education, organisational structures and practices have been established which endeavour to capitalise on this premise—that education is indeed a product which supports a lucrative revenue stream. One approach to maximising profit is to eliminate the employment of permanent academic staff, and as an extreme result the only permanent employees within an educational organisation may be managerial staff and administrators. In this scenario, the development and delivery of each course is typically broken down into a set of discrete tasks as summarised in an indicative manner in Fig. 9.3. Each stage of this process may be undertaken by a different academic, each of whom is hired on a temporary basis to carry out a specific task. This reduces the overheads associated with the employment of staff on a permanent basis, and from the perspective of administrators who have not been directly involved in teaching, fragmentation may appear to be a logical approach. In reality some aspects of the

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educational process are compromised. The person undertaking the actual teaching is forced to teach a curriculum which he/she didn’t design, and to use course content and assignments whose development has been undertaken without their input. This can result in the promotion of mechanistic teaching practices which don’t leave room for spontaneity. Further since those involved in curriculum design and content/assignment preparation are aware that they will not be involved in course delivery, their point of focus may centre on getting work signed off as quickly as possible. Overall this approach turns the traditional rewarding activity that is associated with an academic developing and delivering an entire course into one which dilutes responsibility and becomes an administratively intense process. The investment and effort associated with this type of process make it important to ensure that the ‘product’ is used for the longest possible time. In some rapidly advancing subject areas this can result in course content becoming dated, with students not being taught the current state of the art but rather the state of the art as it existed five or more years ago. In the case that a single academic is responsible for all aspects of the development and delivery of a course, there is a single point of responsibility in ensuring its currency and often a professional pride is taken in respect of its quality. This doesn’t necessarily apply to the fragmented approach summarised above.

9.4.3 Casual Employment: Zero-hours Contracts ‘Organising teaching through the deployment of casualized labour is a recipe for a chaotic student learning experience.’13

Many universities have sought to extend cost-saving measures and have embraced the recruitment of part-time academic staff, many of whom are employed on zero-hours contracts (meaning that there is no guarantee of work and that normal rights and privileges associated with academic employment are kept to the minimum). Such staff are typically employed to develop materials, deliver courses and to engage in all aspects of coal-face teaching. ‘One of the most highly skilled and prestigious professions in Britain, university teaching, is now dominated by zero hours contracts, temp agencies and other forms of precarious work…New analysis reveals that it is the richest Russell Group institutions that rely most heavily on insecure academic workers…’ (Chakrabortty et al. 2016. Also see Letters 2017)

This results in cost savings to the institution but is detrimental to both the staff concerned, and to the students they teach. In the case of the former, in order to gain a viable income staff are often forced to take up contracts at multiple institutions, and despite their best efforts remuneration remains low. Chakrabortty et al. (2016) provide several examples: ‘…[a] lecturer working at three different institutions at once but still earning only just over £6,000 a year, relying on benefits to top up his poverty pay.’ 13

White (2015).

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Further they must live under the stressful cloud of never having security of employment. As one person familiar with being employed in this way indicates: ‘“There is also the precariousness of not knowing whether you will have another contract… Distributing teaching among casual staff is often a grace and favour affair – you have to ingratiate yourself to be given teaching the following year”.’ (Swain 2013)

The reality is that such contracts are frequently allocated on a term by term basis and are accepted in the tenuous hope (which occasionally may be deliberately promulgated) that if a person continues to do good work, he/she may soon be given a more permanent contract (an incentive that often has no firm foundations). This is certainly not just a U.S. and UK phenomenon: ‘Since the beginning of the 21st century teaching at Australian Universities has become casualised with tens of thousands of academics employed on an hourly basis for just a few hours a week during a teaching period… Today only one in two university staff has an ongoing, or permanent, position.’ (Rea 2015)

From the student perspective, the learning experience may suffer as a result of being taught by people who do not have a long-standing commitment to an institution. Swain (2013) quotes a former executive officer of the UHR (University Human Resources practitioner organisation): ‘“The advantage for universities is that it gives them flexibility, particularly in areas where they don’t know what the demand is going to be”… flexible contracts are likely to be particularly useful because of the uncertainty created by new rules allowing universities to recruit as many students as they like…’

But this doesn’t explain why many contract staff are very poorly paid, and why rights to sickness pay may be excluded. Even if we put to one side ethically related issues that may be associated with this employment scenario, it is important to be aware of the prevalence of this approach at a particular institution, and to appreciate that such staff are often employed to deliver (teach) materials prepared by others. Since contracts for casual staff are often not put in place well in advance of the start of term, it is not unusual for: ‘…staff to find out they are expected to teach unfamiliar course material two weeks before the start of term…’ (White 2015)

Whilst the financial savings associated with the employment of low paid casual academic staff may appear attractive to some managers, it isn’t an approach which engenders loyalty and may in fact generate a degree of resentment. Chakrabortty et al. (2016) provide several quotations from a university survey of academics on casual contracts: ‘The lack of value that I feel towards me is passed on in my feelings towards the students’ education.’

And: ‘I have heard people complaining about the fact that they are paid 10 minutes to correct one exam, therefore they will use only 10 minutes to read it.’

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There can be little doubt that many of those who are passionately committed to engaging with higher-level research and teaching are experiencing real hardship and immense frustration. For example: ‘The prospect of intellectual freedom, job security, and a life devoted to literature…gives young scholars a strong incentive to continue pursuing tenure-track jobs while selling their plasma on Tuesdays and Thursdays.’ (Quoted in Childress 2019)

And: ‘The sheer hypocrisy of higher-education leaders is breathtaking. Their vast salaries and yearly bonuses, and those of their senior ‘directors’ in increasingly complex and bureaucratic structures, stand in stark contrast to the meagre, seasonal pay of contingent and sessional academics tasked with teaching the future professionals and scientists. We have let this happen, and academe lost its sense of justice, when what became most important was the global ranking of their university.’ (Anon 2019)

For related discussion see OTU Activity 9.6.

in types

if you don’t like the contract then don’t take the job

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The Humanities ‘Science without conscience is the ruin of the soul.’14

Previously we have largely focused on issues surrounding a broad range of science/technology-centric subjects. However in reviewing the preparedness of current tertiary institutions to provide the form of educational experience which will place graduating students in a strong position to take advantage of tomorrow’s turbulent employment landscape, it is helpful to also consider the position of the traditional humanities. The rapid changes that have occurred in the tertiary sector (some of which have been outlined above) have been accompanied by the promotion of subjects which offer to promote rapid economic growth (e.g. STEM subjects (Science, Technology, Engineering and Maths)). Lucrative collaborations with the commercial sector coupled with government support have provided funding needed to enable the construction of stylish, futuristic, science and technology centres in which well-funded research can be undertaken. In parallel in many institutions, longstanding areas of study including philosophy, literature, languages, and the like have often received much less enthusiastic support. Frequent restructuring and rationalisation schemes have resulted in the closure or amalgamation of departments. Ultimately survival is governed by short-term financial viability and in this context it’s recognised that as a result of the need to support laboratory work, the costs associated with degree programmes in science and technology-centric programmes are significantly higher than those pertaining to many of the traditional humanities. At first glance, maintaining programmes in the humanities would therefore appear to be a financially prudent move. However, other factors often motivate managers, including staff to student ratios, a continual desire to maximise the utilisation of space, and a wish to promote subjects which reinforce the impression that an institution is at the leading edge of scientific and technology-centric teaching and discovery. Reflecting on humanities teaching in the U.S., Hayot (2018) writes: ‘Enrolments in business, in science, and in some of the social sciences seems to be increasing… The humanities are institutionally more alone and more vulnerable than they have ever been, more at the mercy of a university’s financial decisions or a new dean’s desire to prove his or her toughness by consolidating departments or reducing faculty size.’

Invariably when departments are rationalised or closed a plurality of reasons are given and these often focus on financial considerations. Take the case of one UK university which amid strong international criticism closed down its philosophy department in 2010. Whitehead (2010) quoting a university spokesman indicated: ‘The department has a “disproportionately high level” of staffing compared with student numbers, and a higher ratio of professors to other academic staff than any other subject, he added. “Philosophy is only able to operate with subsidies from other subject areas in the

14

Rabelais (circa 1490–1553).

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university. The university has no choice but to address this issue, particularly in the context of announced and further anticipated, public funding cuts.”’

Nanotechnology, cybersecurity, big data analytics, artificial intelligence, robotics, and bioengineering are some of the ‘sexy’ subject areas which institutions are very keen to promote. As for teaching and research relating to the background to Byron’s crafting of the second canto of Don Juan, Plato’s influence on Syracuse, and Queen Elizabeth I’s relationship with Robert Dudley—who cares—or more precisely who should care? One possible answer is that we should all deeply care, although this perspective assumes that erudite research is crucial to civilised human existence. The quest to learn and in doing so gain wisdom is something which cannot be assigned financial value. Quoting from an interview with Professor Sarah Churchwell, Preston (2015) writes: ‘Is that what society really wants – for everything to become a marketplace, for everything to become a commodity?… but what some of us are fighting for is that not everything that is valuable can or should be monetised. The universities are one of the custodians of centuries of knowledge, curiosity, inspiration. That education is not a commodity…’

In reflecting on an interview with Nick Hillman (former chief of staff and advisor on educational reform to David Willetts, the UK’s Minister for Universities and Science (2010–2014)), Preston (2015) writes: ‘Throughout our conversation, Hillman presented humanities academics as mulish luddites, being dragged by government into the 21st century.’

Whilst the image of ‘mulish luddites’ is in the author’s experience far from being accurate, there are those who may research domains apparently far removed from current events. This doesn’t or rather shouldn’t detract from the importance of their efforts, and in my experience, in technical universities where humanities scholars are absent the loss of academic diversity is palpable. Quite naturally, in selecting a degree programme students are increasingly influenced by future career prospects and this is certainly promoting enrolment into STEM subject areas. The study of the classics, philosophy or theology may be truly interesting, but what are the job prospects? Lack of surety can dissuade students from enrolling in certain subjects, which results in a reduction in student numbers, can impact on academic staffing, and even on the survival of some subjects within institutions. Ultimately there is a need to question what exactly is derived from the years of undergraduate and postgraduate study and in this context, Churchwell (quoted in Preston 2015) observes: ‘The ruling elite have humanities degrees because they can do critical thinking, they can test premises, they can think outside the box, they can problem-solve, they can communicate, they don’t have linear, one solution models with which to approach the world. You won’t solve the problems of religious fundamentalism with a science experiment.’

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Some may consider these to be biased observations but perhaps the author simply intends to suggest that students of the humanities tend to have broader educational foundations. Given my interests in transdisciplinary teaching and research, I have worked with large numbers of students with science, engineering, and humanities backgrounds who have demonstrated great talent in critical thinking, communication, and lateral thought. Equally, I have taught students from all backgrounds who have failed to demonstrate these skills. An uncomfortable fact is that students who perform poorly by passing courses (possibly at the second or third attempt), who seldom submit assignment work on time, and who seem to apply more effort to perfecting their skills in plagiarism invariably attain a minimal passing degree. Whether these students are studying STEM subjects or the traditional humanities is irrelevant—their results don’t demonstrate positive academic strengths and abilities but more frequently testify to the opposite. By way of a further observation, group project work designed to bring together able students from the sciences and humanities invariably catalyses a symbiotic partnership yielding outstanding results. This perhaps demonstrates the importance of ensuring that neither pathway is considered as being superior to the other, but rather suggests that the pathways are complementary. Garvey (2015) describes an interview with Martha Nussbaum (author of ‘Not for Profit: Why Democracy Needs the Humanities’) who elucidates her concerns: ‘[we] will soon be producing generations of useful machines, rather than complete citizens who can think for themselves, criticise traditions, and understand the significance of another person’s sufferings and achievements…’

This can be placed in context when we consider a crucial difference between aspects of STEM and humanities teaching at the undergraduate level. In the case of the former, there tends to be a lack of critical debate; facts and technological skills are acquired, and truth is demonstrated through mathematical proof (at least within the bounds of a given set of assumptions). A student learns to programme in a particular language, but is seldom asked to critique the way in which the language has been developed. In contrast in subjects such as philosophy, constructive debate is central to the learning experience and students are frequently challenged to view issues from a variety of perspectives. Continuing with the interview cited above, Garvey (2015) writes: ‘[Consider] an assignment which requires a student who happened to be in favour of the death penalty to formulate arguments against it. “he never understood that you can produce an argument for a position that you don’t hold yourself. That exercise gave him a new insight into what was on the other side…”’

And: ‘The tendency is to see people on the other side of an issue as just demonic forces that you need to defeat. Our talk radio and our internet culture encourage this. You don’t listen to what they say, you just want to talk louder and win this battle.’

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Writing in a similar vein, Hunter et al. (2013) suggest: ‘A democracy can only be as energetic as the minds of its citizens, and the questions fundamental to the humanities are also fundamental to a thoughtful life (What is good? The nature of beauty? Do we need God?).’

Others less optimistically suggest that the continual pressure placed on scholars to be productive has produced significant changes in the traditional humanities. In relation to the U.S. system, Aboulafia (2018) writes: ‘Philosophy was supposed to be different from other disciplines, or so I thought some 45 years ago… Philosophers were supposed to be, like Socrates, the fearlessly critical ones. The ones who stood back and said, Look, don’t uncritically buy into the values of your society. Reflect. Question. Are these values truly those of a good life? Now too many philosophers have decided to set old Socrates aside, embracing the productivity principle… Many of them might better serve as models for those who want to work on Wall street, where the bottom line can always be measured.’

In general terms this aligns with discussion in connection with aspects of the digital humanities. Over-emphasis of this area is likely to result in an ongoing reduction of the inclusion of more traditional subject areas. Much depends upon the motivations underpinning change and in this context Brennan (2017) writes: ‘…Given all this, why the digital-humanities excitement? More than the obvious culprits – the fetish of science, neoliberal funding – are at work. Digital Humanities is at least partly a revolt of the academically disenfranchised. With shrunken hopes for tenure-track, younger scholars set out to make necessity a virtue, and instead of protesting their disenfranchisement by attacking the neoliberal logic of the university, they join the corporate attack… The academic divide between poor and rich is effaced by Digital Humanities…’

And: ‘The messianic rhetoric of CLS [Computational Literary Studies], rooted in misapplied analogies between its methods and the core concepts of literary study, has real consequences for the field: Resources unimaginable in any other part of the humanities are being redirected towards it, and things like positions, hiring and promotion, publishing opportunities, and grant money are all affected. But the important point is not inequity caused by allocation of resources away from so-called traditional humanistic inquiry but the quality of the work itself.’ (Da 2019)

Many courses in the humanities continue to encourage the development of techniques which facilitate participation in critical debate. This in turn suggests that students taking undergraduate programmes in STEM (Science, Technology, Engineering, and Maths) subject areas significantly benefit from the incorporation of humanities courses within curricula. In short the sciences and humanities should not be viewed as being in competition nor should the importance of the latter be undermined within tertiary institutions. In looking towards the future employment landscape, we may well find that there is a need to develop curricula which construct a strong and symbiotic partnership between the sciences and humanities. For related discussion see OTU Activities 9.7–9.9.

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The ‘Multiversity’ ‘Any man who can take a wall TV apart and put it back together again… is happier than any man who tries to slide-rule measure, and equate the universe, Which just won’t be measured or equated without making a man feel bestial and lonely.’15

At present there is no indication that the rate at which changes are being made to universities is decreasing, in fact in some areas quite the opposite would seem to be the case. So many essential characteristics of the university have been modified (or even swept firmly to one side) that it may perhaps seem that in some cases institutions are no longer representative of the traditional ‘university’. In this case they may be deemed harbingers of a new form of tertiary institution for which ‘multiversity’ is perhaps an appropriate title.16 Such institutions can be characterised as engaging in an ever more diverse set of financially-motivated activities operating under close managerial control. The ‘alternative era’ notion of academics being stakeholders-by-inalienable-right (Allison 2018) has little place in the multiversity. Scholars become components in an unwieldy hierarchical infrastructure often hired in to carry out well-defined functions to support the student-client experience (which is already common practice in some universities, recall Sects. 9.4.2 and 9.4.3). Further it is often suggested that in countries such as England there are now too many universities and that in the near future more institutions are likely to be amalgamated. Perhaps this will result in the natural formation of ‘multiversities’—‘one-stop-shops’ for education catering for all comers wishing to participate in a corporate tertiary experience.

This would seem to be a current direction of travel and in the multiversity there is little place for a sentiment expressed in the next section: ‘The unquenchable thirst for knowledge and understanding coupled with the pleasure of learning for its own sake is perhaps the greatest of the benefits that can be derived from the

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Bradbury (1954). The term ‘muliversity’ appears to have been first coined by the University of California’s president Clark Kerr in 1963—in the context of ‘…an institution serving varied, even conflicting, interests and oriented to a range of purposes.’ (Daniel et al. 2018)

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tertiary experience and represents a beacon which is passed down from generation to generation.’

Do we really want to continue to endeavour to snuff out such a beacon?

9.7

Jobs and Graduates ‘Watch these people, half mad with work, Ever trying – clawing to free themselves Of events they cannot remember… See their faces reflected in the glazing, And do something, So that their children owe nothing, To those who promised, but never paid.’17

Consider the case of a student who is about to leave high school and is in the process of selecting a preferred undergraduate programme of study. In the ideal case, the student’s subject interests will coincide with an area offering good job prospects. But all too often this is not the case and a crucial decision must be made. In one scenario the student will pursue his/her interests in the hope that appropriate employment opportunities will materialise. Alternatively particular interests are discounted and the student selects a viable programme of study which appears to form the foundations for a sound career. Passionate interests in music, theatre or literature may be reluctantly put to one side as parents, family, friends and teachers endeavour to proffer well-meaning advice. Undoubtedly areas such as cyber security, games programming, genetics, accountancy, law, business studies, and medicine will be promoted as offering great opportunities to the graduating student. It’s less likely that programmes in philosophy, theology, and zoology (to name but three) will be seen as laying strong foundations for a well-paid career. Of course it has always made sense to consider the opportunities that are likely to arise from studying a particular degree programme. But at least three key changes have occurred. Firstly, as we have seen in countries such as England, New Zealand and the U.S., the costs associated with study invariably involve the repayment of a great deal of money. Secondly, universities now offer a much broader range of degree programmes, many of which may appear to be quite focused. Finally, as discussed in the previous chapter, in the coming years and as a result of automation, machine learning and AI, we are likely to see extensive and ongoing changes to the employment landscape. As a result there can be little doubt that selecting the ‘right’ degree programme is fraught with difficulty. And for years to come a student is likely to be paying for the cost of those three or four university years, so much so that The Financial Times reports: ‘The Institute for Fiscal Studies think-tank says an estimated 83 percent of graduates will not fully clear their debt within three decades.’ (Tighe 2017) Blundell, Q., ‘The Ransom’, in ‘Collected Works’ (2020).

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9.7 Jobs and graduates Knowledge, expertise and subject skills

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Often needs shortterm reinforcement

May become dated or irrelevant

Techniques and wellfounded confidence

Needs reinforcement

Potentially life-long assets

Networking

Needs reinforcement

Potentially a life-long asset

Problem solving and creative thinking

Love of learning Learning for its own sake

Life-long asset

Fig. 9.4 Here we summarise various indicative facets of the undergraduate experience and place them in context by considering their short to long-term value. See text for discussion.

But do the advantages which the tertiary experience offers to the school leaver represent good value for money, and to what extent do they equip the graduate with the skills needed to navigate the future turbulent world of employment? Do the results justify such a long-term financial burden? In Fig. 9.4 we summarise various indicative aspects of the tertiary experience and these are briefly discussed below. It is important to bear in mind that this discussion is not equally applicable to all subject areas and programmes (for example, some may include a significant work experience component). 1. Knowledge, Expertise and Skills: Invariably at the time of the final exams a student will be (or should be) in possession of a great deal of subject knowledge and understanding. He/she will hopefully have memorised a significant amount of material and will undoubtedly have practiced as many past exam paper questions as possible. This together with assignment/project work should have provided the opportunity to develop problem-solving skills, a capacity for critical thinking, etc. But suppose that following graduation the student gains a form of employment which makes little, if any, use of the knowledge that comprised the programme of study. What would be retained after one year, after two years…or after five years? The answer is of course, very little. Although for example, I obtained a grade of A+ for a final year course in Advanced Astrophysics, I recall my horror when I looked at the exam paper some six months later—I had forgotten so much, so quickly! In short, the long-term value of many subject specific assets is strongly dependent on the extent to which post-graduation employment (or postgraduate studies) capitalise upon them and support their continued reinforcement,

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development, and application. In contrast, if well taught, more general skills are likely to be retained over a much longer period of time. 2. Learning Techniques and Confidence: These are (or should be) very important aspects of the undergraduate experience. Many of the skills that are applied to successfully engaging with, and participating in, the learning process form a highly valuable set of assets, although if left unused for some time they may be gradually eroded (but perhaps never completely lost). Given the evolution of a much more volatile employment landscape, these skills will be most valuable in providing the confidence needed to undertake significant retraining and upskilling. 3. Networking: The value of networking should not be underestimated as it is possible to develop a diverse set of associations which can form an extremely helpful basis for career development. This potentially represents a lifelong advantage. 4. Love of Learning: As mentioned previously, the unquenchable thirst for knowledge and understanding coupled with the pleasure of learning for its own sake is perhaps the greatest of the benefits that can be derived from the tertiary experience, and represents a beacon passed down from generation to generation. In the words of William Butler Yeats: ‘Education is not the filling of a pail, but the lighting of a fire.’

The passions associated with inspirational education aren’t gleaned from PowerPoint slides or from tick-box processes which dispassionately chop knowledge into bite-size chunks that map to often puerile Learning Outcomes. Rather they are primarily gained through diverse forms of human communication and are underpinned by the personal attributes of certain scholars with whom a student may come into contact. Such scholars are not providing a tradable commodity but rather are offering students an opportunity to gain an insight into aspects of their inner-selves. Naturally to foster such a non-quantifiable educational experience there is a need to ensure that the university remains an environment in which the profound and multi-dimensional nature of inspirational teaching is recognised and fostered (in which case the homogenisation of teaching styles and delivery modalities coupled with the promotion of the student-customer paradigm should surely be studiously avoided). In addition to the above points, we could also include the benefits which can be gained from participating in the many diverse aspects of campus life. However, for students who are supporting their education and/or living expenses by taking on one or two part-time jobs, or who have a multitude of other commitments, the time available to capitalise on the campus experience can be very limited. Such students may not be able to get full benefit from the smart sports pavilions and other stylish amenities which are becoming an ever more prevalent feature of university infrastructures. Certainly in some countries many universities are investing heavily in building programmes which often fail to directly enhance the core educational process:

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‘“It’s all about investing in infrastructure,” says Kehinde Andrews a senior lecturer in sociology at Birmingham City University. “Coffee shops, sports facilities, really posh accommodation.” Nick Hillman, the director of the Higher Education Policy Institute, says “lightly, flippantly” that if someone can’t find a university campus, he just tells them to look for the cranes.’ (Cocozza 2017)

Without doubt everybody should have access to education. However, in some universities the drive to maximise enrolments coupled with the associated aim of offering education to applicants with minimal academic entrance requirements can result in the erosion of key aspects of the educational experience. Most commonly this takes the form of establishing a myriad of processes and providing ever more support to students who are struggling (sometimes because of a failure to exercise self-responsibility). The result is a ‘spoon-feeding’ approach which does not help students to develop the very key skills that are sought after by employers. Here are some indicative examples: 1. Frequent failure to attend lectures and tutorials: A common solution is to require all students to sign-in on arrival, either by using a paper-based register or via an electronic system (typically RFID-based). This doesn’t necessarily work as some students get others to sign-in on their behalf or they attend with ill grace. In this latter case students may sleep through lectures, play online games, talk, or generally misbehave. In such situations their presence can have a negative impact on the teaching process and may be detrimental to more committed students. 2. Failure to submit assignments on time: Students may be given extensions or in the case that this causes them to fail a course, they are often allowed to retake the work at a later date. 3. Failure to achieve the desired result: In the case of some students this doesn’t trigger a period of self-reflection in which the students considers how he/she could have done better, but rather a conversation with the academic concerned in which the student voices dissatisfaction with the quality of the teaching or with the academics expectations. Quoting from the experiences of one academic, Cocozza (2017) writes: ‘The relationship between students and tutors itself is shifting. “You give a mark and they come back and say: ‘I deserved more than this ’” says Lisle. Well if you can take back an ill-fitting dress, then why not an ill-fitting grade?’

Unfortunately, the scale of the efforts made in attempting to engage students who lack motivation can detract from the support provided to others. There is only so much time available and if this is taken up in dealing with problematic students, then there is less time available to engage with others who are motivated. Importantly, this can detract from mid-grade students who seldom complain and quietly get on with their work. Often if given more attention such students can excel—but sadly they are sometimes overlooked because of the undue attention that must be directed towards processes relating to students who lack commitment and

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motivation. On the other hand, occasional successes in tackling motivation issues and in inspiring such students are extremely rewarding. The continual expansion of processes which are commonly put in place to support non-engaging students can create an environment which ill prepares students for their future careers, after all employers tend to be less tolerant of poor performance and indolence. They are likely to expect professional employees to be proactive and exercise self-discipline and self-responsibility. Consequently there can be a clear mismatch between the overarching financially-centric goals of an institution in dealing with its ‘customers’, and the training that employers hope will be provided to students during their time in higher education. Student retention increases institutional revenue and so it can be advantageous to put every possible process in place to support students who exhibit poor engagement. However such support isn’t available once the student enters the workplace. Further it is evident that some students take advantage of the supportive processes and may gain confidence from the knowledge that those providing support do not necessarily have any actual teaching experience. The student-customer scenario is treated very seriously by many institutions and this invariably includes making a strenuous effort to solicit student feedback. The decision to act on such feedback isn’t necessarily based on the identification of general trends but may well be based on isolated comments. Thus if, for example, a single student in a class suggests a lack of clarity in an assignment brief or in the way in which an academic presents content, this may trigger a response process in which it is necessary to demonstrate that measures have been put in place to address the student’s concern. At times this can result in some of the poorly engaged students having undue influence on the design, delivery, and assessment of courses. In this general context, Bunce et al. (2016) observes that: ‘The current study findings also suggest that universities should not unthinkingly implement changes in response to feedback from those students with a higher consumer orientation. Doing so may further risk academic standards because these students may have a propensity to see their degree as something that can be bought, and not something that requires effort and engagement. Finally, given that the current study found that students studying STEM subjects expressed a higher consumer orientation…’

As academics at tertiary institutions grapple with diverse teaching commitments, they must also be cognisant of the currency of the courses for which they are responsible. Many students are not well placed to fully appraise the currency of content and as a result tend to accept many aspects of curricula without question. However, in the case that programmes receive accreditation by professional bodies, programme structures, course curricula, assignment standards, etc., are externally reviewed by subject experts. Consequently when deciding to enrol on a particular programme, it may be important to investigate its accreditation status and in the case that a programme is accredited, it may also be worthwhile to check on whether this enables graduating students to gain standing with the accreditation body via, for example, professional membership status.

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Into the Future: Industry 4.0 ‘Education is simply the soul of a society as it passes from one generation to another.’18

Here we briefly consider ways in which undergraduate university education could be changed in order to better equip students, not only for the challenges of Industry 4.0 but also in respect of their broader contributions to society. This section builds on previous discussion, see for example Sect. 8.9. Undoubtedly there are numerous and diverse views concerning ways in which the educational experience could and should change, and the discussion which follows simply draws on some of the author’s experiences coupled with input from colleagues from both academia and industry. The primary purpose of this section is intended to demonstrate that positive change is feasible, and that in some countries continuation of the status quo is untenable and in some respects may possibly be deemed to be ethically undesirable. In Fig. 9.5 we summarise various possible changes which are overviewed in the following subsections. These are primarily intended to relate to STEM subject domains, although some of the discussion is more generally applicable.

9.8.1 Choice of Programme Recall an extract from an article included in Sect. 9.4.1 concerning a student who at the end of her degree found that her student loan totalled *£69,000. The reason for this being significantly higher than the average debt associated with a first degree was that the student changed to another programme at the end of her first year: ‘She was also paying the price for choosing the wrong degree at the outset and having to add an extra year. “I started off studying TV production and I wasn’t enjoying it,” she says. “I swapped to PR and advertising after a year because I just knew I had to do something I was passionate about…”.’ (Fazackerley 2017)

Certainly, the choice of degree is often difficult and this is a decision which can potentially have lifelong ramifications. In this context, I recall initially embarking on a degree in Aeronautical Engineering (about which I was passionately interested) but after some time decided it was not for me and changed to Physics. I have never regretted the decision and thankfully in the ‘alternative era’ this had no financial ramifications. But today because of costs that may be incurred it can be more difficult to transition from one programme to another. As already mentioned, today’s universities are offering an ever broader spectrum of degree programmes, many of which are somewhat specialised. These supposedly focused programmes primarily purport to provide strong vocational training which will stand graduating students in good stead in respect of immediate employment

18

Attributed to G. K. Chesterton.

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Relationship

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Broad education Student learner Enhanced efficiency and focus

Tuition Fees Alternative payment model Transdisciplinary approach Breadth and profundity Programme Development Continuity and look ahead Erudite perspective The Language of Mathematics

Accessibility Judicious simplicity

Delivery Techniques

Technology selectivity Flexible learning

Programme Duration

Longer degrees

Fig. 9.5 A summary of various aspects of first degree education that may benefit from change, especially in relation to better equipping students with key foundations which will be needed for Industry 4.0. Possible developments also reflect a need to support an education model which integrates with the changing needs of society.

opportunities. So, for example, at present in computing, specialist degrees in areas such as cyber security, gaming and big data analytics tend to be a preferred choice. Unfortunately such degrees can have a short shelf-life and don’t necessarily provide the type of broad education which will facilitate career changes in later life. Undoubtedly, had I continued with a degree in Aeronautical Engineering, changes which have since taken place in this industry would have considerably reduced my career opportunities. In contrast a degree in Physics encompasses numerous areas whose relevance doesn’t diminish with time and has left many avenues open to me. It is also prudent to bear in mind that the nature of skills commonly sought in the workplace are gradually changing:

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‘Creative people who are talented in mathematics and sciences are best qualified for the new labour market…Mere knowledge workers will no longer be required; the focus will rather be on how to find creative solutions to problems.’ (Wisskirchen et al. 2017)

Whilst knowledge continues to be very important, in future years and in some disciplines this may not in itself represent a sufficient basis for sustained employment. It is therefore prudent to consider enrolment in degree programmes which offer the breadth and profundity of education that will provide a sound basis for employment across a range of areas, and which incorporate content and skills which are characterised by longevity. This view tends to align with preferred paths of university study during the ‘alternative era’ when, in the context of STEM, wide-ranging degrees in subjects such as maths, physics, chemistry and broad branches of engineering were top choices. Possible key developments that could help in this area include: 1. To ensure that students are better informed prior to enrolment in their first degree. This may include the promotion of work experience prior to university entrance. In this scenario the typical enrolment age could perhaps change from eighteen to twenty. 2. To accommodate students who find during their first three months at university that they would prefer to enrol on a different programme. 3. For universities to strongly promote broader and more general first degrees, thereby reducing the number of apparently specialist (potentially short shelf-life) degrees.

9.8.2 Relationship: The Return of the Student Learner In previous sections of this chapter we have discussed some of the diverse problems which arise when students are promoted as customers or clients. Most importantly it would seem that this development has significantly detracted from the student educational experience, recall the following quotation from Sect. 9.3.2: ‘…calling them “customers” superficially appears to empower students, but in fact it disempowers them by restricting how we treat them and discuss them, and how they perceive themselves.’ (McGhee 2015)

There is much evidence suggesting that the time has come to cast this ‘experiment’ to one side and return to a situation in which students are clearly perceived as such —the mutual respect that should exist between scholar and learner being reinstated. Recall however that the notion of the student customer is fundamentally based on governmental policies which have resulted in students incurring major debt during their time at university. In order to redress the balance in the relationship between scholar and student, there is a need to change the way in which student education is funded.

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9.8.3 Tuition Fees ‘Education is the progressive discovery of our own ignorance.’19

Some may claim that it is ethically undesirable to develop tertiary education in a way which causes many young people to accrue a major level of debt, particularly given an appreciation that this will impact on them (and their families) for many years. Surely they deserve a better start to their adult lives? In England and elsewhere universities could have forced a change in government policy in relation to tuition fees and it’s somewhat disappointing that instead they have taken an opposite stance and raised fees when allowed to do so. Amid this backdrop it is perhaps surprising that no institution appears to have taken the opposite approach by creating a ‘No-Frills’ approach to undergraduate education. In this context, the use of ‘No-Frills’ is not intended to suggest a ‘cheap and nasty’ approach but rather one that is highly focused, innovative, and which most importantly aligns with best practice in an ethical organisation (recall discussion in Sect. 2.2). In Fig. 9.6 we summarise some of the attributes that could be associated with such an institution. These are intended to be framed within the context of the type of ethically based best practices discussed in Chap. 2. A number of these attributes provide an opportunity to greatly reduce educational costs. For example, facilities would be limited to those directly required for education (meaning the absence of stylish sports pavilions, swimming pools, and a host of other peripheral infrastructure). It is assumed that management and administrative staffing would be structured in a highly focused way and their scope would be limited to the implementation of the institution’s prudently defined core values and competencies. We also assume that enrolled students would be expected to be self-motivated and capable of acting on their own initiative. This provides two clear benefits. Firstly, it increases efficiency of the educational process and alleviates the costs associated with dealing with students who don’t exercise these attributes. Secondly it promotes the type of professionalism which enhances employability. In Fig. 9.6 we also suggest that at all levels, staff salaries should be appropriate and the high levels of remuneration currently associated with university executive management (recall Table 9.4) should be eliminated. In parallel in line with ethically based best practice, there would be no room for lowly paid contracted academic staff. Thus the ‘No-Frills’ scenario ensures that all students are taught by staff who receive appropriate remuneration and who are fully integrated into the positive ethos of the institute. We also suggest minimisation of hierarchical structuring. This aligns with current trends in successful organisations. Even if we put to one side the ‘No-Frills’ approach, there are many ways in which tertiary institutions could significantly reduce the level of tuition fees. By way of example consider the first year of the undergraduate experience and let’s 19

Attributed to William Durant.

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Limited to core competencies and values Limited to specific STEM and Humanities subjects Judicious use of delivery techniques

Highly focused management and support staff

735

High calibre academic staff

The ‘No-Frills’ Modality (with ethically-based best practice infusion)

Educationally-focused facilities

Expectation of student motivation and initiative Appropriate staff salaries at all levels (no super-salaries) Sound employment standards/practices

Minimisation of hierarchical structuring

Fig. 9.6 Summary of various characteristics of a possible ‘No-Frills’ form of institution which infuses an ethically based ‘best practices’ approach and ensures appropriate integration of all stakeholders. See text for discussion.

take the case of a programme in computing. During that year, students enrolled at different institutions will undertake approximately the same courses and studies. Undoubtedly all students will be expected to enrol in an introductory programming course and one which provides a basic introduction to computer systems. Whilst courses established by different institutions may vary in detail (e.g. the choice of programming language which is taught), the objectives will be very similar. Does it therefore make sense to have fifty or more institutions designing and delivering their own renditions of such highly generic courses? Since this also applies to practically all STEM programmes there is clearly an opportunity for rationalisation and hence the strong possibility of making significant costs savings, which we anticipate would be passed on to students. For example, in one scenario, students could have the opportunity to study all first-year content online (see Sect. 9.9) and this would also permit rationalisation in content development. Undoubtedly some students would choose to study in the conventional way, but at least students would have the option of electing to capitalise on the benefits offered by the online modality (including associated financial savings).

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9.8.4 Programme Development ‘Education is an ornament in prosperity, and a refuge in adversity.’20

As previously discussed, it is likely that broad degree programmes will be of particular value in preparing for an increasingly uncertain employment landscape. One particularly attractive approach could embrace the following general characteristics: 1. Transdisciplinary Structure: Over time the demarcation of disciplines has become strongly entrenched in the university system. To date this compartmentalised view of subject areas has generally not been perceived as being particularly problematic, although this perspective may be changing. A transdisciplinary structure eliminates compartmentalised education and better accommodates multifaceted problem solving. Furthermore it provides opportunities to enrich curricula and underpins a much more engaging and interesting learning experience. For example, it would no longer be a question of whether Course X should be presented before, after or in parallel with Course Y but rather one of ordering and/or integrating the teaching of smaller educational elements. Most importantly, this approach allows the educational experience to continually adapt to the interests and aspirations of students, a key role of the academic being to orchestrate the experience so as to continually ensure that it maintains student driven momentum. This thrust is also intended to support the integration of areas of the traditional humanities, thereby furthering student perspectives and better preparing them to appreciate non-technology-centric subject domains. This would allow STEM students to explore territories well beyond their traditional subject boundaries thereby extending the scale of the foundations laid during the first degree experience. In this general context, you may perhaps recall remarks made by John Naughton which were quoted in the Introduction to Chap. 1, a part of which reads: ‘…the new masters of our [technology] universe are people who are essentially half-educated. They have had no exposure to the humanities or the social sciences, the academic disciplines that aim to provide some understanding of how society works, of history and of the roles that beliefs, philosophies, laws, norms, religion and customs play in the evolution of human culture.’ (Naughton 2017)

In fact one aspect of this book is an attempt to address this type of imbalance by the increased use of a transdisciplinary approach. The often cited ‘multidisciplinary’ paradigm endeavours to span multiple disciplines but recognises transitions across boundaries. Unfortunately this frequently results in one particular

20

Attributed to Aristotle.

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discipline being dominant and hence more favoured. In contrast the transdisciplinary approach is not cognisant of boundaries between disciplines and as a result all coverage is (or should be) presented in an equitable manner. In looking towards the future, Schwartz et al. (2015) refer to the ‘de-Balkanisation’ of university departments: ‘…universities’ departmental fiefdoms will be broken up to support the interdisciplinary efforts needed to create innovative solutions to major societal problems… Meeting great challenges depend on expertise from all the sciences and humanities, and bureaucratic and cultural barriers to problem-focused research must and will be removed.’

2. Continuity and Look Ahead: In order to better equip graduates with appropriate fundamentals it is important that degree programmes are developed with the future very much in mind. Specifically there is a need to broaden curricula to not only embrace the ‘here and now’, but also to incorporate a strong sense of the development of human knowledge, reasoning, and understanding. This would enable students to gain a crucial insight into the ‘world’ as it was, as it is, and as it is likely to become: ‘In order to be able to meet… standards set for Industry 4.0, future employees must learn new key qualifications, but the educational system must also be adapted to these new framework conditions. There was agreement at the World Economic Forum 2016, for instance, that both schools and universities ‘should not teach the world as it was, but as it will be’. (Wisskirchen et al. 2017)

As previously remarked, there is no guarantee that many of today’s current university level courses were developed (or underwent major revision) this year, or last year or indeed the year before. Consequently in subject areas which are rapidly advancing, courses may more closely reflect the state of the art as it was some years ago. There can be little doubt that in some disciplines this is an undesirable state of affairs. In order to address this matter, ensure currency of content, and provide a ‘look ahead’ theme, the infusion of research content is crucial. The importance of research-infused and research-inspired teaching was recognised and was common practice during the ‘alternative era’. Today, research and teaching should not be viewed as quite separate activities but rather as a symbiosis in which each informs and supports the other. 3. Erudite Perspective: Although it is readily apparent that the great majority of students expect that their university level education will support and advance their future careers, the link between specific aspects of the educational experience and the future benefits which will ensue is often tenuous. Most importantly the quest to gain vocational skills should not result in traditional and more erudite aspects of university level education being cast to one side. These can provide highly valuable indirect benefits that are not readily quantified within existing frameworks.

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9.8.5 The Language of Mathematics ‘Bees… by virtue of a certain geometrical forethought… know that the hexagon is greater than the square and the triangle and will hold more honey for the same expenditure of material.’21

We live in a world in which numerical forms of data are ever more frequently used to prove, disprove or justify particular perspectives. In parallel, societal proficiency in maths is often weak and so the validity of data-based claims is seldom closely questioned. The general demise of school-level education in mathematics (exacerbated by the highly compartmentalised teaching of the subject and a failure to effectively demonstrate to students the fundamental importance of maths as a universal language in its own right), gives rise to a lack of confidence and proficiency in the subject. This often precludes students from enrolling at the tertiary level in subjects such as physics and engineering. In short this is a major hurdle to subject accessibility. Following the ‘alternative era’, in many countries there has been a dumbing down of school-level maths teaching and this has impacted on other subjects. Thus for example, school level physics curricula frequently attempt to minimise the expected level of maths proficiency. Bowyer et al. (2016) report on a survey which involved interviewing some 30 university-level academic staff undertaking admission tutor and first year teaching responsibilities: ‘Across the sciences, references were frequently made to science A levels and the perceived lack of mathematics in these qualifications. Participants in engineering and physics made particular reference to the alleged ‘demathematisation’ of A level Physics, which was found to cause difficulties at undergraduate level as students struggled to apply calculus to physical problems.’

One respondent is quoted as having incisively observed that: ‘A level Physics … is a bigger problem than A level Mathematics: “There is no calculus so you can’t do any physics, which seems like a nonsense and it contains “sexy things” at the expense of ‘real’ Physics.’

University courses often attempt to ameliorate this deficiency by incorporating material which is no longer taught within schools into first year teaching programmes—but this is often a matter of ‘too little too late’. In order to maintain student enrolment targets, some institutions have even gone to the length of casting requirements for advanced level maths to one side (thereby, for example, allowing enrolment in computer science degree programmes without any advanced level maths prerequisite). Even in the case that students enter university with appropriate qualification(s) in maths, inadequacies in school level teaching are often quickly revealed. For example:

21

Attributed to Pappus of Alexandria.

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‘The primary issue is one of mathematical skills, rather than content: nearly all participants reported that, whilst the content of A level qualifications was broadly appropriate, new undergraduates’ main difficulty is applying familiar mathematical concepts in unfamiliar contexts. This manifests itself as a difficulty with ‘translating’ between mathematics and their particular discipline, such as when creating a mathematical model for a practical engineering or economics problem…Interviewees also reported that some undergraduates lack basic mathematical skills such as algebraic manipulation, arithmetic and the use of units. Mathematics and computer science undergraduates particularly struggle with proof and formal mathematics.’ (Bowyer et al. 2016)

Without appropriate mathematical skills, and indeed a confidence in their application to a range of problem domains, students struggle and are unable to fully benefit from the educational experience. In relation to future uncertainties in employment, it is quite likely that advanced proficiency in maths will prove to be a highly valuable asset—a lack of such proficiency may be likened to learning to play a piano without having the ability to properly read music. In summation, there is a need to ensure that students studying STEMM22 subjects are given a much more extensive grounding in maths. This should not simply happen at the school or first year university levels but should be infused across entire degree programmes, such that graduating students are not only able to communicate in the language of maths but are also confident in applying mathematical techniques to entirely new situations. In the words of Roger Bacon (circa 1220-1292): ‘Neglect of mathematics works injury to all knowledge, since he who is ignorant of it cannot know the other sciences or the things of this world.’

And for those seeking further encouragement: ‘The golden age of mathematics – was not the age of Euclid, it is ours.’ (Attributed to C. J. Keyser, quoted in Boyer 1991)

9.8.6 Delivery Techniques Many universities continue to make significant investments in technology. Consider the installation of smart video recording systems in lecture theatres. Undoubtedly such technology can be very useful in enabling lectures to be streamed in real-time to satellite campuses. The opportunity to replay a recording of a lecture can also be helpful to those who for some personal reason may occasionally be unable to be physically present. On the other hand, as summarised in Fig. 9.7, there are also a number of disadvantages which are briefly outlined below: 1. Cost: This type of equipment is expensive to instal and maintain, particularly when it includes a range of facilities such as the ability to track the lecturer.

22

This acronym includes areas of medicine - the ever more extensive harvesting and analysis of big data will undoubtedly have a profound effect in this field.

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Installation and maintenance costs

Impact on lecturer

Scope of application

Impact on students

Reliability

Fig. 9.7 The installation of video systems within the teaching environment is in itself no panacea and it is for individual scholars to determine whether or not to adopt this approach rather than it becoming an institutional requirement.

Furthermore, the technology is advancing rapidly and today’s ‘smart and sophisticated’ system may quickly become dated. 2. Impact on the Lecturer: Not everybody is confident working in front of a camera and the presence of the ‘electronic eye’ can be unnerving. When the use of this type of technology becomes a requirement, teaching can suffer. In practical terms there are a number of factors that need to be considered. For example, in the case of the live steaming of lectures: ‘Viewing recordings of ill-prepared or poorly delivered lectures is an uncomfortable experience. This may suggest that the increased use of video techniques will drive improvements in teaching. Unfortunately this is an oversimplification because some staff (who may be quite confident in teaching even large classes) simply find the presence of the ‘electronic eye’ unnerving and any lack of self-confidence is immediately evident in a recording. The obvious solution is to forget the camera’s presence – but in order to ensure that the remote students feel fully included, the lecturer’s attention must continually switch between the physical and remote audience, which means regularly ‘talking to’ the camera. To forget the camera’s presence means to forget the existence of remote students – which is a recipe for failure.’ (Blundell 2015)

3. Impact on Students: Some students benefit significantly from the opportunity of replaying lectures, whilst others use this flexibility as a substitute for lecture attendance or for actively engaging in the lecture process. It seems that weaker and less motivated students tend to assume that the opportunity to replay lectures prior to exams will guarantee their success. This parallels the assumption that photographing the contents of a whiteboard is equivalent to note-taking. 4. Reliability: It is impossible to guarantee that this type of technology will be 100% reliable, and undoubtedly on occasion it will fail. This can impact on students who place over-reliance on the availability of lecture recordings. 5. Scope of Application: It is important that lecture recordings are only used as a means of augmenting the learning experience. However in reality it is likely that such recordings will ultimately be routinely used for the appraisal of academic staff. This can exacerbate point (2) above and may cause lecturers to adopt much more circumspect approaches to their teaching.

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Consider the costs associated with such a system. Following the initial investment in its procurement and installation, technical staff must be trained to oversee its operation and undertake maintenance work. In addition some universities also recruit staff able to facilitate the use of the technology and support academic staff in developing their on-screen image. Subsequent student feedback can be used to identify staff needing further support and training. In short the initial investment in the technology represents only a starting point, as the most significant costs are likely to relate to the employment of the associated maintenance and support team— together with the team put in place to support the team… There is an alternative scenario which is by no means uncommon. This relates to high-level decision making which sanctions funds to procure technologies but which fails to appreciate that, in order to be successful, technologies must be supported and promoted by staff. In this case expensive technologies languish and largely remain unused. The ‘No-Frills’ scenario assumes the judicious use of technologies and a return to more traditional forms of lecture delivery in which students are expected to proactively engage in the learning process. The overarching thrust is to limit the use of technologies to situations in which they offer proven benefits, particularly in simplifying aspects of the educational experience. Within the lecture room this would mean a return to the whiteboard (or even blackboard), and traditional forms of note taking which would not include using mobile devices to photograph white board content! As one Vice Chancellor suggested when looking forward: ‘Universities will ban laptops and smartphones from their classes, to regain the lecture or seminar room as a place where multitasking is suspended in favour of sustained attention to a single topic. Universities will need to overtly teach note-taking to every student, to revive the dying art of précis, distillation and organisation that is so critical to giving meaning to a lecture.’ (Bebbington 2015)

Whilst the student-customer philosophy prevails, this may simply be wishful thinking.

9.8.7 Programme Duration ‘Attributes such as wisdom, tolerance, emotional intelligence, ethical understanding and cultural literacy will be seen as ever more vital in preparing for true global interaction.’23

Graduation is a proud moment for both students and families alike, but what does the fine certificate really indicate—what is its inherent value? Bebbington (2015) asks:

23

Taylor (2015).

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‘…how many will graduate with the capacity to comprehend a line of reasoning, to focus on its meaning, master its contentions and respond with a critical perspective? An analytical mind is a fundamental graduate attribute in any field.’

He goes on to express the opinion that: ‘Too many of our students now graduate as competent surfers of a digital wave of bite-sized communications, saturated in a sea of information but unable to navigate the wider ocean in search of deep understanding.’

It seems that those who acquire the talents referred to in the first of these quotations are much more likely to possess the type of educationally-based foundations that will stand them in good stead for the future. Unfortunately, all too often the design, implementation, and assessment of tertiary programmes is resulting in many students who lack proficiency in these areas, and promotes skills which more closely align with the digital surfing scenario. In recent years the notion of accelerated degree programmes has received significant attention. Some ask why university facilities should remain idle for many weeks each year. From a management perspective surely the trimester approach makes sense by enabling student enrolments to take place three times each year (the more enrolments, the more student-customers and the greater the income perspective). And with facilities and staff working at maximum efficiency, surely the duration of many degree programmes could be cut from 3 to 2 years: ‘… this means when most students are completing their third year of study, an accelerated degree student will be starting work and getting a salary… The proposals… include a £5,500… saving for students in total tuition costs compared to a standard three-year course. When added to the average salary of £19,000 in the first year after graduating, it means a potential £25,000 benefit overall.’ (Department of Education 2017)

Furthermore: ‘For the taxpayer, it means significantly lower tuition loan outlay, higher rates of repayment and therefore a lower cost to the public purse of higher education. A higher proportion of students on accelerated degrees will also repay their loans in full.’

It would appear to the author that a growing number of institutions may well go down this route and the current UK government’s University Minister seems to be enraptured by such a development: ‘For too long we have been stuck with a system that has increasingly focused on offering only one way of benefiting from higher education, via the classic three year degree programme… for highly motivated students hungry for a faster pace of learning and a quicker route into or back into work at lower overall cost, two tier degrees will be well worth considering.’ (Department of Education 2017)

In the case of the average student who enrols in a degree shortly after leaving school, there is a need to determine his/her fundamental priority. If the primary purpose of higher education is to gain a degree certificate, then accelerated (and

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hyper accelerated) programmes will suffice. After all it is reasonably easy for an organised student to engage with those specific materials which are required to pass assignments and exams. However, in the case of students who truly wish to engage with the learning experience and develop a multitude of complex skills (including some of those referred to in OTU Activity 9.10), the accelerated degree approach is perhaps best shunned. The perception that in many subjects, degree acceleration negatively impacts on the educational experience is firmly dismissed by the authors of a report commissioned by the UK government and carried out by The Institute for Employment Studies. In this Report, Pollard et al. (2017) write: ‘Common negative perceptions or misconceptions about accelerated degrees are that they are of lower quality, offering lower quality teaching and learning, looser quality assurance and lower outcomes (and this is not helped by their niche position in the sector); and that they do not fit with the Bologna Process of harmonisation of higher education qualifications and standards across Europe. However, the evidence suggests these challenges can be dismissed.’

This level of surety is perhaps surprising as the authors go on to indicate that there is a lack of relevant literature detailing the benefits of this approach: ‘There is a scarcity of literature that captures the benefits of accelerated study, particularly of robust studies of accelerated degrees that make comparisons between the outcomes of students on accelerated programmes compared with those on traditional programmes.’

See OTU Activity 9.11 for related discussion.

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In the above discussion we have made a number of suggestions concerning ways in which some key issues could be addressed, and have framed these around the notion of a fictitious ‘No-Frills’ establishment whose overarching goals are to reduce the costs of many branches of tertiary education whilst at the same time significantly enhancing the educational experience. With this latter thought in mind we have mooted, for example, the desirability of broader degree programmes which exhibit transdisciplinary characteristics, rich infusion of mathematics, more extensive coverage of subject matter, and a greater expectation of student self-responsibility. Certainly the notion of enriching the educational process in these ways doesn’t appear to align with the accelerated degree, but may better prepare graduates for tomorrow’s world. With this in mind and with the assumption that the matter of tuition fees is properly resolved, it would make more sense to lengthen, rather than shorten the educational process. Several key reasons for this notion are summarised in Fig. 9.8 and are briefly discussed below: 1. Academic Entry Standards: There is a widely held belief that the educational standards attained by many of those entering university have gradually declined. To some extent this may be associated with overly focusing on exams (to the exclusion of broader subject teaching), coupled with the dumbing down of curricula (as previously mentioned)—see for example OTU Activity 9.12 As a consequence, during the first year of university many students must now be taught materials and skills that would have traditionally been learnt at school (e.g. the application of calculus in physics).

2. Self Taught Skills: In the ‘alternative era’ (and even more recently), many of those of school age engaged in a broad range of practical hobbies by for example, building mechanical and electronic devices, etc. In contrast, today it is not unusual to encounter students embarking on STEM related degrees who have never previously used a soldering iron, drill press, lathe, or oscilloscope. Further, computing skills are often surprisingly limited and many students entering computing and IT programmes have little, if any, programming experience. In short, many practical skills which could previously be largely taken for granted now have to be introduced in the first year of some STEM degree programmes.

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Academic entry standards

Self-taught skills

Study skills

First Degree Duration

Need for more advanced education

Status at the end of 3 years

Fig. 9.8 Indicative factors which suggest the need to lengthen (rather than shorten) the duration of degree programmes. These factors are relevant to many (but not all) students. See text for discussion.

3. Study Skills: On entry to university, students often exhibit poor study and time management skills. Invariably weaknesses in these areas can cause students to perform badly, to occasionally resort to plagiarism, and to fail to capitalise on the educational experience. During the first year at university it is important that students are supported in these areas, but as with (1) and (2) above it all takes time and detracts from the extent to which the first year comprises true university level education. 4. Need for More Advanced Education: As we have discussed, the ever more widespread deployment and application of increasingly sophisticated technologies is likely to have a profound impact upon employment. Handling issues such as job displacement and capitalising on new opportunities which are likely to emerge will surely be much easier for those who possess a broad and sophisticated educational background. For the great majority of students, it is doubtful that this can be achieved from an accelerated degree programme. 5. Status at the End of Three Years: Teaching students who are in their final year of university can be a very rewarding experience. By this time the great majority are receptive to high-level teaching. What a pity that when they are in the ‘educational cruise’, they come to the end of the degree programme. With one further year, so much more could be accomplished.

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9.8.8 The Value of the Certificate: Looking Good on Paper ‘Good name in man and woman, dear my lord, Is the immediate jewel of their souls. Who steals my purse steals trash. ‘Tis something, nothing: ‘Twas mine, ’tis his, and has been slave to thousands. But he that filches from me my good name Robs me of that which not enriches him And makes me poor indeed.’24

Each university is ultimately responsible for awarding its own degrees and although checks and balances are in place (e.g. through External Examiner processes and possible accreditation, etc.), it is evident that it is sometimes difficult to meaningfully compare the standing of supposedly equivalent degrees awarded by different institutions: ‘When it comes to hospitals and schools, we have impartial – albeit imperfect – data about how good they are at fulfilling their missions. Because universities award their own degrees, the firsts from different universities cannot be regarded as comparable… But if universities think their courses expand creativity, nurture critical thinking and develop important workplace skills, surely they should be up for putting that to the test?’ (Sodha 2018)

Students, parents, and potential employers may therefore find themselves in a dilemma when attempting to gauge the value of a degree in a particular subject that is awarded by a particular university. In some cases, the name and historic reputation of a university may be used as an indicator, or alternatively they may consult university ‘league tables’. Neither of these sources necessarily indicates the performance of a particular department and hence the merits of the educational process which culminates in graduation. Not only is there a variation in the quality of departments within an institution, but also a variation in the skills and teaching qualities of staff. Further, rankings do not usually take into account the manner in which teaching staff are employed, including the extent to which a particular department utilises zero-hours contracts and other forms of temporary employment arrangements (recall Sect. 9.4.3). And even when coupled with an academic transcript, a degree certificate says very little about a student’s general performance and commitment during his/her time at university, these documents often only provide limited insight.

24

Othello, Act 3, Scene 3.

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Not only is this type of evaluation process restricted in scope but it is also quite depersonalised in its implementation. In this latter respect, having graded assignments

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Added value

Reputation and standing

Individual Public Grade Sign-off

Teaching and research profiles, etc.

Internal pressures Interpretation of results

Fig. 9.9 Summary of various areas which may benefit from a system in which individual academics sign-off student grades in a public manner. This proposed approach addresses various current issues, see text for discussion.

and exam papers, the academic (who as we have seen may only have a very temporary association with a department) feeds the results into the system. Although sample assignments and exam scripts are subsequently moderated, the academic’s role essentially ends once marking is completed. Neither the degree certificate nor academic transcript provides any indication as to the name of the particular academic who was responsible for course delivery and student evaluation. Given variability in standards between departments and between staff in departments this appears to be a non-optimal situation which fails to capitalise on the academic standing and integrity of individual staff. In the alternative ‘No-Frills’ scenario, it would appear to be more meaningful to append staff names to courses listed on a student’s academic transcript and have the academic staff members personally sign for each result on this document This would not be an onerous task and adds value by creating a situation in which the staff member is personally putting his/her name to a grade allocated to a student, on a public document. Several facets of this approach are summarised in Fig. 9.9 and are briefly outlined below: 1. Grade Inflation: As previously indicated (Sect. 9.3.2) the student-customer philosophy frequently places pressure on academic staff to be somewhat generous in the marking of student work. In the case that an academic has to put his/her name to a student’s overall course grade (on a public document), the academic is unlikely to jeopardise his/her reputation by, for example, passing students who have not attained an appropriate standard. 2. Internal Pressures: As previously discussed (Sect. 9.3.2), academic staff are sometimes placed under pressure to pass students so as to allow their progression to the next stage of a programme. As with (1) above, the need to personally sign off each grade makes it easier to resist such pressure. Here we bear in mind that over time the academic’s professional reputation would surely be tarnished by being seen to pass (or allocate high grades to) undeserving/incompetent students.

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3. Interpretation of Results: Suppose that a student studies a course in a particular subject area which is delivered by an academic who has a sound international reputation for research in the field. It is most likely that a perspective employer would place more confidence in grades awarded by such an academic. Indeed from the employer’s perspective, he/she is provided not only with student grades but also with the ability to look up the profile of the academic who is personally putting his/her name to each overall grade. 4. Added Value: Following on from (3) the personal/professional reputation (as judged by research and teaching profiles) and integrity of each academic who contributes courses to a programme of study may add value to that programme and to the standing of the results attained by each student. It is therefore in an institution’s interests to ensure, for example: (a) That the subjects an academic staff member is asked to teach normally align with their areas of scholarly expertise. This is certainly not always the case —even at more advanced levels. (b) That academic staff are properly supported in their research endeavours and hence in pursuing interests which contribute to their personal and professional reputations. (c) That the teaching of courses is underpinned by high-calibre academic staff employed on an appropriate (non-casual) basis. 5. Enhanced Transparency: The model outlined above lends itself to ensuring greater transparency of process. For example, when deciding upon a programme of study and selecting a particular institution, students (together with helpful family members and friends) could take into account the profiles of the staff that would be likely to teaching them. Overall this approach reverts to much earlier practices in tertiary education and draws strongly on the scholarly standing of those involved in the educational process.

9.9

The Online Modality ‘…in the end technology can amplify great teaching, but great technology cannot replace poor teaching. In fact technology can make poor teaching even worse, foster mediocrity and result in a tick-box approach to gauging educational success.’25

In this section we briefly focus on fully online course delivery—specifically the use of technologies which enable students to interactively participate in the learning experience whatever their physical location (provided of course that they have Internet connectivity). Since students enrolled in courses delivered in this way don’t 25

Blundell (2016).

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have access to a physical campus (and associated facilities), and since overheads associated with conventional teaching such as lecture theatres are not used, tuition fees for online courses should be significantly less than those levied for courses delivered by conventional means. I am strongly committed to the online modality primarily because when this approach is correctly implemented the results are extremely positive and the teaching experience is most satisfying. Students from all over the world can be brought together within a dynamic virtual classroom and are able to engage with their lecturer and with their peers, thereby participating in a diverse learning community. Above all, when the online learning process is used most effectively students never feel that they are studying in isolation because support from both the lecturer and from their peers is always quickly available.

Unfortunately, the online approach often fails to live up to such expectations, largely because some of those involved (lecturers and students alike) fail to adapt to the requirements of this modality, perhaps not realising that the techniques associated with conventional teaching cannot necessarily be directly applied to working online. In terms of misconceptions, I am reminded of an advertisement that I came across several weeks ago which was intended to encourage enrolment onto online courses offered by a particular institution. The imagery showed a woman relaxing in a plush armchair and holding in one hand her iPad—the portal to her studies. There were no papers or books in sight—all that was needed was a mobile device and a comfortable location. Such a stylish image has little bearing on reality and is simply a testament to the creativity of a marketing team. The online approach doesn’t take the hard work out of studying, and if the window onto the educational experience is wholly restricted to an electronic screen, then it is highly likely that the learning experience will also be most limited. This is not simply a statement of my own observations but by way of example is also supported by research relating to trials comparing reading comprehension, etc., in respect of screen and paper-based content. Mangen et al. (2013) report trials conducted with 15-16 year olds and conclude:

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‘The results of this study indicate that reading linear narrative and expository texts on a computer screen leads to poorer reading comprehension than reading the same texts on paper.’

And suggest that: ‘If texts are longer than a page, scrolling and the lack of spatiotemporal markers of the digital texts to aid memory and reading comprehension might impede reading performance.’

And this is only one aspect of the limitations that can be associated with over-infusion of technologies into the learning experience. The optimal approach is to strike an appropriate balance between the use of different modalities. The most important element of successful online education is excellence in communication. Within this context it is important that participants understand the need to make an extra effort and so ensure that dialogue exploits and transcends the electronic interface which exists between educator and student. When this barrier is overcome (in which case it is simply no longer noticed), participants get to know each other quite well and, having also taught very many large classes by traditional means, it is evident that the online approach offers greater opportunities to actually get to know individual students. In the case of traditional lectures delivered to large classes, very few students actively engage in the proceedings by, for example, asking questions, responding to questions and expressing views. In the main they arrive (occasionally late), sit through the proceedings and leave the moment that the delivery ends. Some may stay behind to ask questions on a one-to-one basis, but they are very much in the minority. Thus the lecturer seldom gets to know the majority of students. If such anonymity were to be exhibited in the online classroom, the overall learning experience would be impoverished. Promotion of communication also enables students to better engage with each other. This not only supports group learning but also strongly facilitates networking and, given the typical international composition of online classes, this provides an opportunity to build up international associations. In short, when properly developed and delivered there are numerous advantages associated with online programmes. In looking ahead, it would seem that the character of online education may significantly change through the use of automated systems. Proponents of such systems suggest (often with considerable passion) that they will enable the educational experience to be uniquely tailored to the needs of each student, and that students will be more confident in interacting with automatic systems rather than with a human lecturer. Such developments are likely to have a profound impact by, for example, depersonalising and so objectifying the learning experience. Most importantly the educational environment will take on the kind of sterile attributes which are an anathema to the dynamic virtual classroom approach referred to above. For related discussion see OTU Activity 9.14.

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9.10

Organisational Failures: Concorde—AF4590

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Fig. 9.10 Concorde: one of the greatest symbols of human scientific and engineering achievement. (Image source PH3 Caffaro [Public domain])

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Organisational Failures: Concorde—AF4590

Preparation for the Air France Concorde flight AF4590 from Paris to JFK began shortly after 9 a.m. on Tuesday 25th July 2000 and despite a problem with a non-working thrust reverser, procedures were routine. Over the years Concorde had established a reputation for reliability and safety, offering luxury travel at speeds that could compete with fighter aircraft. Paris to New York took less than 4 hours. Flying at more than twice the speed of sound (*1336 mph) at an altitude of *60,000 feet and with frictional atmospheric heating causing the fuselage to expand in length by *6 inches, Concorde (Fig. 9.10) remains a testament to engineering excellence. At just after 2 p.m. start-up clearance was given and the plane taxied out to the allocated runway. Once cleared for takeoff, the four Olympus 593 engines (each developing over 32,000 lbs of thrust with reheat) produced the rapid and exhilarating acceleration that was a hallmark of Concorde flights. However this was destined to be like no other takeoff as *90 seconds after being given clearance the plane was transformed into blazing wreckage strewn amid the ruins of a nearby hotel. All 109 people onboard perished together with four on the ground. The official report from the Bureau Enquêtes-Accidents (BEA 2000) traces the origins of the accident back to work undertaken on a DC10 several weeks earlier when a small and innocuous strip of metal was replaced on one of the plane’s thrust reverser cowls: ‘The strip installed in Houston had neither been manufactured nor installed in accordance with the procedures as defined by the manufacturer.’ (BEA 2000)

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Fig. 9.11 The metal strip which became detached from the DC10 and is blamed in the official report for the Concorde accident. It measures *43cm by *3cm.

This DC10 took off minutes before Concorde and as it travelled down the runway, the strip became detached and lay on the concrete directly in Concorde’s path (see Fig. 9.11). The accident report suggests that running over this debris caused one of Concorde’s tyres to disintegrate. With the plane travelling at *180kt, the impact of chunks of tyre on the underside of the wing led to the rupturing of a fuel tank. Kerosene gushed from the fractured tank and within *1 second ignited (this possibly being caused by arcing between damaged power cables within the bay into which the left main undercarriage would have retracted after takeoff). As Concorde took to the air a great stream of fire followed in her wake, compromising the performance of two engines (as a result of the ingestion of hot gases or parts of the aircraft structure) and one engine was quickly shutdown. Lacking power and with the additional drag caused by the undercarriage (which would not retract), it was impossible for the plane to gain either speed or altitude. The pitch of the aircraft gradually increased and in parallel the thrust of the remaining two engines was reduced with one being shut down and the other being affected by the increasingly distorted airflow. Under such conditions flight could not be sustained. Despite extensive research, the official report is not definite in its description of all aspects of the sequence of events which unfolded during this brief period, and with the passage of time at least one alternative scenario has emerged (see for example, Rose 2001). This is based on the premise that the fire was not necessarily fatal and would have burnt itself out had Concorde been able to remain airborne (assuming that it had not destroyed the control surfaces). This scenario focuses on a major service to the left undercarriage which was carried out in Paris one week before the accident. During reassembly, a cylindrical spacer (*12 inches in length and *5 inches in diameter) was inadvertently omitted. Although during the following week Concorde made two round trips to JFK, it is suggested that because the spacer was not in place the left undercarriage wheels gradually became misaligned. This increased drag on one side of the plane and during the ill-fated takeoff impact with the metal fragment that had fallen from the DC10 onto the runway caused a tyre to disintegrate, thereby exacerbating the problem. Concorde began to veer to the left and clipped a steel landing light at the edge of the runway. Although by now fire had broken out, it is suggested that it was

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the ingestion of fragments from this light that caused Number 1 engine to fail. In parallel, at the point of takeoff Concorde was overloaded by *1.2 tonnes and during the period spent taxiing, the wind direction shifted so that Concorde would be taking off down-wind. Under such conditions the plane was effectively *6 tonnes overweight. Although the pilot was notified about the change of wind direction, he continued with takeoff as planned. The overload condition would have shifted the plane’s centre of gravity backwards and the haemorrhaging of kerosene from the damaged fuel tank would have exacerbated the problem, thereby reducing aircraft stability. In those remaining seconds before Concorde left the ground the pilot was faced with a further difficulty as the developing skid had the potential to cause a collision with a recently landed 747 which was waiting to cross the main runway. His almost instantaneous decision was to take to the air. Moments later the flight engineer made a unilateral decision to shut down engine number 2 (without waiting for instructions to do so from the captain). With two engines out of commission and for reasons mentioned above, given the compromised performance of the two remaining engines it was impossible for the plane to gain altitude and the crash was inevitable. This alternative description of events leading to the destruction of flight AF4590 illustrates previous discussion concerning the coalescence of seemingly unrelated events to create an almost statistically impossible accident. With the passage of time it is unlikely that we will ever know for sure the extent to which the incorrect re-assembly of the left undercarriage bogey contributed to the crash, and perhaps the official accident report is accurate in its conclusions. However, given the meticulous care that appears to have been exercised in developing the report it is disappointing to read comments that are included from the UK’s accredited representative from the Air Accidents Investigation Branch (AAIB) in connection with international collaboration. An indicative extract reads: ‘The French judicial authorities conducted a separate inquiry into the accident in parallel with the BEA investigation. The manner in which the judicial investigation was conducted presented major impediments to the AAIB’s participation in the technical investigation. The difficulties encountered are listed below. The French judicial authorities did not allow the AAIB Investigators to examine all items of the wreckage…or to participate in component examinations…. For example, the judicial authorities: a. Did not allow the AAIB investigators to examine the strip of metal which burst the tyre, except very briefly. b. Did not allow the AAIB investigators to examine that part of the tank 5 lower skin which was found on the runway, except very briefly. c. Did not allow the AAIB investigators to participate in the examination of most of the flight deck controls and instruments. d. Did not allow the AAIB investigators to be systematically involved in the examination of evidence.’ (BEA 2000)

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1. 2.

9.10.1 Concordski When the severely damaged Concorde (Flight AF4590) took to the air, the First Officer indicated that they were trying to reach the nearby airport of Le Bourget. There is perhaps a degree of irony in the fact that some 27 years earlier, the world’s first supersonic airliner—the Russian Tu-144—also crashed in the vicinity of this same airport. The Tu-144 prototype first flew *2 months before Concorde, but over the years the design proved to be less safe and reliable. From the outset, the general similarity between the forms of both craft generated considerable media attention in the West and led to the Tu-144 being dubbed ‘Concordski’. In the 1960s the race to develop the first supersonic airliner became a contest between Western and Soviet forms of government—between ideologies. It was an era in which espionage was rife and there is reason to believe that a Soviet plan to gain access to Concorde design information was uncovered in the West. Consequently plans containing falsified design data were developed and leaked to the Soviets in the hope that this would compromise and/or delay the development of the TU-144 (see OTU Activity 9.16).

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Fig. 9.12 Concordski in flight. (Image source SDASM [Public domain])

9.11

Discussion

‘The reimagination of the university as fundamentally democratic was glorious and good, but it also turned out, perilous. It licensed universities to pursue, relatively unconstrained, activities and functions for which they were often ill-equipped; it also distracted them from their basic strengths in education and research.’26

Invariably, when academics converse informally at social events, the conversation will at some point turn to teaching. Although occasional success stories are likely to be recounted, sooner or later issues relating to student expectations, lack of student motivation, and an unwillingness on the part of many students to focus on the learning experience (rather than on their grades) will generate animated discussion. Certainly in the case of scholars who have spent many years in academia, there is often an inability to comprehend students who perceive the educational experience as a commercially-based transaction and who have little (if any) interest in ‘learning for the sake of learning’. Throughout this book I have emphasised that over a very long period of time, basic facets of the human character have changed very little, which suggests that fundamentally today’s students are essentially the same as their predecessors. But of course there are superficial differences which often relate to the environments in which they have grown up, the nature of the university experience, and the uncertainty of the future world in which they will live and work. Certainly in many countries, today’s schooling experience is strongly influenced by continual assessment and as a result learning becomes distorted; it is not a matter of learning for the sake of learning but rather learning for the sake of achieving. Consequently, on entry to university it’s hardly surprising that many students continue to consider 26

Daniel et al. (2018).

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that education is not an end in itself but rather a means to an end denoted by certificated results. This perception is reinforced by the institutional commodification of all aspects of the educational experience. In this context, reinforcement is based not only on high student fees (which promotes a sense of purchase), but also by the creation of an environment which is increasingly designed to promote the ‘student-customer’ experience. In a culture in which universities aggressively compete to increase student enrolments (and hence revenue), the student experience must surely be optimised. As managers and administratively minded academics pursue this goal the education becomes increasingly mechanistic: ever greater effort must be placed on ensuring that the precise objectives of each aspect of the learning experience are delineated with absolute bureaucratic clarity; each programme must have precisely stated learning objectives, and so too must each course from which it is comprised. Statements must be given indicating the anticipated number of study hours needed to complete a task, and the relevance of each learning activity must be demonstrated through precise linkage to the learning objectives. These and a myriad of other administrative activities become key points of focus and ever less time is available to support the basic activities involved in teaching and developing the sometimes unquantifiable skills that every student should gain from their tertiary experience. With the passage of time, fundamental characteristics of students have indeed changed very little, but they have been forced to adapt to environments which fail to demonstrate the pleasure and integrity associated with ‘learning for the sake of learning’. Once this premise is no longer the point of focus, the educational experience is readily infested with proverbial termites, and the role of the scholar is compromised. In this general context, one evidently frustrated academic writes: ‘I find that as the year progresses, my students become increasingly reluctant to engage in any academic behaviour that does not impact directly on their assignment grade. That is, after all what they are paying for. And so I am not regarded as an academic. I am not an expert in my field, a practitioner with 10 years’ worth of industry knowledge. I am a service provider.’ (Anonymous Academic 2015)

If the standing of scholars is gradually eroded, together with their sense of being ‘stakeholders-by-inalienable-right’ (and the deep commitment that is implicitly associated with this notion), then there is less chance of their being able to offer the inspirational research-infused teaching that plays such a crucial role in catalysing student interest and subject motivation. In parallel student studies must often fit in with demanding personal circumstances. As Harris (2018) remarks: ‘It’s ironic…we are living through the greatest time in history to be a learner with the availability of so many high-quality free materials online. But at the same time the institutions most affiliated with knowledge and learning are facing crisis.’

As previously indicated, many students are forced to take on significant amounts of paid employment to erode the level of debt associated with their education. After a long day at work a student is clearly not best placed to truly make use of such

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resources, and is more likely to focus exclusively on the exact materials that are needed to pass an assignment activity and thereby surmount another hurdle. At many tertiary institutions, divisions between traditional scholars and managerial/administrative staff continue to impact on practically every aspect of activity. This can include a belief that core tenets of the educational process need to be revitalised and that this can be accomplished by managerial staff without extensive coal face scholarly input. As rigid and intrusive processes and procedures are put in place to enhance the customer experience, there may be some truth in this outlook. If the educational process is considered as simply constituting the means to an end, then surely anyone can develop a course (it simply involves some judicious cutting and pasting from Internet sources). Surely anyone can deliver a course and infuse some of those innovative practices proclaimed by various educationalists? In an article entitled ‘Long Live the Lecture!’ which initially introduces the perspective of William Hogarth, Tokumitsu (2017) writes: ‘…Those who claim the lectern are dullards or charlatans who do so only to gratify and enrich themselves, and the louder they speak, the more we should suspect them. This distrust has now spread to the lecturer’s natural habitat, the university. Administrators and instructors alike have declared lecturing a stale teaching method and begun advocating new so-called “content delivery” techniques, from lab- and project-based learning to flipped classrooms and online instruction that “disrupt” the sage-on-the-stage model to more ostensibly democratic methods such as gaming.’ (Tokumitsu 2017)

But as we gradually reduce the scope and profundity of the educational experience, the actual value of tertiary education is diminished. The above author suggests that: ‘Without such grounding [see original article for background], what students learn at university becomes no more than a catechism for robots.’

And if at some institutions this is the case, then to what extent are they graduating students that are prepared for a workplace in which they may one day find their employment threatened by ‘jobsolescence’ (recall Sect. 6.7)? Discussion summarised above and which has formed the focus for earlier sections of this chapter provides a ‘behind the scenes’ glimpse into some of the difficulties which are currently faced by tertiary institutions in some countries. In addition it is also important to bear in mind the bureaucratic changes that in recent years have impacted on research activity in various countries. This has resulted in the development of administrative processes intended to rate scholarly research activity undertaken by staff, and the overall research performance of institutions. Unfortunately, it is often difficult to meaningfully evaluate the significance of research and indeed to define ‘significance’ in the first place. One approach is to examine staff research outputs in terms of frequency, place of publication and extent to which they are cited by others. However, by way of example, consider the latter ‘metric’. In 1948 Denis Gabor published a one-page article in Nature which elucidated the principle of holography:

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‘…the holographic technique that he described was intended to significantly advance electron microscopy, and his interests in holograms created by means of visible light were secondary’ (Blundell 2006)

In later life Gabor recalled that: ‘After pondering this problem [the limitations of electron microscopy techniques] for a long time, a solution suddenly dawned on me, one fine day in Easter.’ (Quoted in Blundell 2006)

This perhaps provided us with an example of the importance of ensuring that scholars have time to simply ponder undisturbed and without distraction. However putting this consideration to one side, for many years after its publication Gabor’s original article attracted practically no attention and was seldom cited by others. This situation changed in the early 1960s with the advent of the laser. Holography suddenly became a highly practical proposition and consequently Gabor’s article was regarded as a seminal work. It continues to be perhaps the most extensively cited publication relating to holography. In short, publications may not be immediately relevant or of interest to others and a considerable time may pass before this situation changes. The evaluation of research based on the number of citations gained over a short period of time is therefore a highly flawed metric. This also applies to metrics based on the frequency of publications, because some scholars may be reluctant to publish until they have something that they believe is of true value (a ‘quality not quantity’ approach), whereas others may be willing to develop larger numbers of publications each of which demonstrates only incremental advances (possibly a ‘quantity not quality’ approach). Furthermore, some areas of research are more conducive to publication generation, and the presence of an evaluation metric which focuses on the pace of publication output can influence researchers into moving into areas which favour augmenting the publication tsunami. The drive to evaluate institutions on the basis of research metrics has resulted in the creation of extensive bureaucratic processes and has caused many academics to focus greater attention on their research—sometimes at the expense of teaching. This has now been recognised by government agencies and interpreted as suggesting that both research and teaching should be meticulously evaluated and ranked. Students, however, are not necessarily best placed to accurately and impartially evaluate the multifaceted and occasionally complex issues that relate to teaching excellence. The same may be said of those who devise evaluation processes which tend to favour ratings pertaining to the here and now and not on the extent to which today’s education will equip students for the future. In this general context, Allison (2018) indicates: ‘Some of its metrics [the UK’s teaching evaluation framework], such as graduate outcomes, don’t relate to teaching at all, while the relation between good teaching and “student satisfaction” is complex, sometimes contradictory, corruptible and dependent on the quality of the students – as well as the lecturer’s aptitude in showing off.’

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Consider the case of degree programmes in Computer Science where for some years it has been apparent that there is a degree of mismatch between the talents of graduating students and the needs of employers. Reporting on the views of one CEO in the U.S., Roberts (2015) writes: ‘The thing I don’t look for in a developer [job applicant] is a degree in computer science. University computer science departments are in a miserable shape: 10 years behind in a field that changes every 10 minutes. Computer science departments prepare their students for academic or research careers and spurn jobs that actually make money.’

In reality, the situation is somewhat more complex and in the UK an extensive review was commissioned. The ensuing Report noted that: ‘Computer Sciences and its student population present particular features which appear to have a bearing on why its graduates suffer from higher unemployment rates (11.7% six months after graduation) relative to other STEM disciplines – Science, Technology, Engineering and Mathematics (8.4%).’ (Shadbolt 2016)

Given the pace at which digital technologies are developing, this level of unemployment may be somewhat surprising, although the Report’s authors also note that: ‘We have found recurring themes which impact on graduate employment outcomes, but which are by no means unique to Computer Sciences as a discipline…The findings show a mixed picture: although more likely to be unemployed, compared to other STEM graduates, Computer Sciences graduates who are in employment are more likely to be in graduate level work and well paid.’

And: ‘While many employers find that Computer Sciences graduates are well prepared for work, there continues to be a bloc of opinion that suggests that more could be done to improve graduates’ skills and work readiness. However, a clear challenge is that employers are often divided on where the problem lies. There are a number of commonly reported issues, with graduates lacking work experience and commercial awareness, a lack of soft skills and insufficient technical knowledge among those most often quoted.’

In general terms, problems may relate to a failure to truly infuse into Computer Science (and related) degree programmes vitally important skills such as critical thinking, team work, team leadership, etc. It may well also reflect limitations in curricula and a failure to keep abreast of a rapidly developing subject. Students may be largely unaware of programme deficiencies and may, for example, have little understanding of the importance of employing dynamic research-infused curricula. Can students be expected to gauge the currency of materials? They may feel that they are doing well in a particular course but may be unaware that its content has not been updated for five years. In short, it’s very difficult to properly evaluate programmes and although accreditation by professional bodies can greatly assist, the focus tends to centre on the here and now rather than on their sustained longer-term value.

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In this chapter we have emphasised the possible impact that robotics technologies (backed by AI and machine learning) may well have on the employment landscape. Certainly before this happens, many technical hurdles have to be overcome, but over time these may well prove to be surmountable. If we reach the stage at which robotic systems are creating significant levels of unemployment then it may be anticipated that governments will be forced to react by restricting the extent to which such systems can be deployed. However if this were to threaten the ability of a country to successfully compete in global markets then the situation becomes somewhat more complicated. Given such uncertainties, at this point in time we can do little more than suggest that there is a strong possibility (not inevitability) that robotic systems represent disruptive technologies that may have considerable impact across many areas of employment (including the traditional professions). With this in mind we have suggested ways in which tertiary institutions could consider developing in order to better prepare graduating students for an uncertain future. In this context prudent forward planning (‘horizon scanning’) is not a particularly onerous task as many of the skills needed to successfully deal with potential ‘robot displacement’ threats can be foreseen and align with the needs of many of today’s employers. The appreciation and accommodation of the future should denote a central tenet of the role of universities, and whilst there may be a societal expectation that academics are devoting much time to anticipating ‘tomorrow’s world’ and are applying this knowledge to their scholarly teaching, the reality is often somewhat different. This highlights a frequent failure on the part of managers (including managerial academics) to properly understand a key aspect of true scholarly activity. As we have discussed, as ever more processes and procedure are put in place, there has been an increasing demand for academics to account for their time. Workload planning has become a norm with managers completing spreadsheets to demonstrate that ‘their’ academics are fully occupied. Teaching hours, preparation hours, marking hours, research hours, supervision hours, and so on are meticulously recorded with an aim of ensuring that every hour is accounted for. But in reality in the case of the ‘true’ scholar maximum ‘productivity’ (high-level thought) often coincides with periods in which the scholar appears to be doing nothing, or is simply engaged in apparently idle pursuits. Here as I pause to reflect on this point, many scholars from the past come to mind. The memory of violin music accompanies the mental image of a theoretical physicist of repute. For some hours each day he remained enclosed in his office with his instrument. Undoubtedly this was the time in which he consciously and subconsciously reflected. This was widely recognised, and both staff and students respected his need to be undisturbed with his music and thoughts. The ‘idle’ pursuits of another highly talented experimental physicist provide an example of a quite different approach to reflection. For many hours each day he was to be found ensconced in a small room working at his bench. His physical occupation was not one of construction but rather the opposite, as he meticulously and tirelessly disassembled discarded electronic equipment. Every component was unsoldered and carefully filed, along with every nut and bolt, every piece of wire.

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Discussion

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This may perhaps be regarded as being somewhat pointless but it supported him in his reflections and so enabled him to achieve a high level of excellence in his field of research.27 Concerns about changes that continue to take place in academia are expressed not only by scholars who have been working within universities for many years, but also by many early career academics. For example in a well considered personal account, one such academic writes: ‘“Be careful what you wish for: you might just get it!” These cautionary words ring through my past and are now set to resonate though my future. The “what” in question was a place on a PhD programme and the prospect of becoming a fully fledged academic. I wished for it, I worked for it, and, in late 2017, I got it. But like a dog chasing a car, I focused so hard on chasing down my prize that I failed to notice the landscape changing around me.’ (Kirkpatrick 2019)

She goes on to write: ‘I am not sure if I can take the financial, professional and emotional strain of being the change I want to see, in the face of all the pressures on me to be the status quo – or leave.’

In many of today’s university departments, the opportunities for isolation and ‘idle’ reflection have been eroded or formalised. As increases in student numbers place ever-greater demands on space, personal offices are often unavailable and in their stead open-plan work areas and even hot-desks have, in some departments, become the norm. This latter scenario (where on arrival at work each day the academic sits 27

In Footnote 15 of Chapter 1 I briefly referred to a novel written by Nevil Shute in which a scientist is faced with a serious ethical dilemma. He is described in the following way: ‘He always looked a bit dirty and down at heals… Personal unpleasantness always upset his work; he could not think clearly if his mind was full of hard things that had been said about him, and he liked thinking clearly. Rows frightened him; he would go to considerable lengths to avoid them…He did not like contact with any of his superior officers, even on any subject. He regarded technical executives as mean creatures who had abandoned scientific work for the fleshpots, for the luxuries of life that could be bought with a high salary… He preferred his own company or the company of earnest young men fresh from college who were not tainted with commercialism. It is easy to blackguard these aging men and to deride their unproductive work, easy and unprofitable and unwise…In my department we seek original thinkers, for the untiring brain that pursues its object by day and by night…. You cannot limit a keen intellect or try to better his activity…the true research worker cannot rest from research.’ (Shute 1948) Early in my career I met, and was privileged to work with, many scholars who would closely matched this general description. It’s evident that such people were unable (or possibly disinterested in) holding their ground against the gradual influx of managerial staff who sought to dominate and exploit tertiary institutions, commercialise education, and change the nature of research. Unfortunately in today’s universities such scholars are few and far between—they don’t do ‘well’ when evaluated according to current recruitment practices, are often self-deprecating (and don’t engage in CV inflation hype), and are not viewed as being onboard with the student-customer philosophy. Worse still they don’t conform and are not team players…

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at any desk that has not been taken, assuming one is available), is sometimes accompanied by a managerial belief that paper-based materials are a thing of the past. In this case no provision is made for the space needed by the academic to keep books, papers, etc. The only permanent feature may be a locker (of the sports facility type) in which to keep personal possessions, high school fashion.

The open plan approach provides the opportunity for managers to oversee the activities of academics which in turn creates an ambience where there is a need to look busy, often through engagement with administrative trivia. Is such scrutiny really needed? In reflecting on my personal experience in the ‘alternative era’, I cannot recall any scholar who misused the freedom that was regarded as an integral part of academia, and why should this not be the case? It was a system in which highly educated, skilled people were able to spend a large portion of their time studying and engaging with research to which they were passionately committed. They were indeed ‘stakeholders-by-inalienable-right’, not as a result of possessing an access card and personal possessions locker. We have briefly discussed ways in which it may well be possible to better prepare students both for today’s world and for the foreseeable future. This is based on the development of broad and erudite curricula coupled with a need to ensure that those studying computing, engineering, and the sciences are supported in gaining strong skills in mathematics. Further it assumes that each subject area is taught by an appropriate subject-specific scholar. In the case of more elementary university courses (and from the perspective of subject content), this may be deemed as unnecessary. However, given a need to offer broad inspirational teaching coupled with the extensive adoption of research-infused and research-inspired curricula, it would seem that a degree of subject specialisation remains essential. These are ingredients that power teaching of the highest calibre, and if graduating students are inspired in their appreciation of the importance of ‘learning for the sake of learning’, then the chance that their employability will ever be threatened by robotic systems is likely to be greatly reduced.

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Additional Reading

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Additional Reading

BBC News, ‘Reality Check: Are Exams Affecting What Students Study?’, 45171371 (22nd Aug. 2018). Blundell, B.G., and Lu, L., Ethical and Professional Issues: Reflections on Course Evolution, Innovation and Student Engagement, Proc. BCS INSPIRE (International Conference for Process Improvement, Research and Education), Loughborough University, 31st March 2015 (UK), “Outlook on Computing Education”, eds. M King, R Lock, R Dawson, M Ross, G Staples, J Uhomoibhi (2015). Blundell, B.G., and Lu, L., Ethical and Professional Issues: Transcending the Obstacles to Student Engagement, Proc. BCS INSPIRE (International Conference for Process Improvement, Research and Education) 2013 “Education Inspires”, eds. J Uhomoibhi, S Barikzai, M Ross and G Staples (2013). Bolton, P., ‘Student Loan Statistics’, Briefing Paper No. 1079, House of Commons Library (18th July 2018). Bothwell, E., ‘Don’t Get Comfortable: The Rise of the Precarious Academy’, Times Higher Education (2nd Aug. 2018). British Council, ‘The Educational Pathways of Leaders: An International Comparison. Findings of a 30 Country Study of Professional Leaders’, Ipsos, (Jun. 2015). Campos, P., ‘The Real Reason College Tuition Costs so Much’, The New York Times (4th April 2015). Chakrabortty, A., ‘’Nottingham Academic on Casual Contract: “I had More Rights as a Binman”’, The Guardian (18th Nov. 2016). Coughlan, S., ‘University Tuition Fees Rise to £9,250 for Current Students’, BBC 36856026 (21st July 2016). Doward, J., ‘Defense Contractors Hand British Universities £40m’, The Guardian (1st April 2018). Farrell, H., ‘How Facebook Stymies Social Science’, The Chronicle of Higher Education (19th Dec. 2017). Frey, C., and Osborne, M., ‘The Future of Employment: How Susceptible are Jobs to Computerisation?’, Oxford Martin Programme on Technology and Employment (17th Sep. 2013). Guo, W., Gleditsch, K., and Wilson, A., ‘Retool AI to Forecast and Limit Wars’, Nature, 562, No. 7727 (18th Oct. 2018). Hawksworth et al., ‘Will robots really steal our jobs? An International Analysis of the Potential Long Term Impact of Automation’, PWC Report, www.pwc.co.uk/ economics (2018). Hedding, D., ‘Payouts Push Professors Towards Predatory Journals’, 565, No. 7739 (12th Jan. 2019). Hunt, S., ‘Students Have a Right to Know if Lecturers are on Casual Contracts’, Times Higher Education (16th Mar. 2016). Inge, S., ‘UK Universities Rely on Casual Staff “For Up to Half of Teaching”’, Times Higher Education (6th Mar. 2018).

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Lessig, L., ‘How Academic Corruption Works’, The Chronicle of Higher Education (7th Oct. 2018). McKie, A., ‘Universities Extend Teaching into Evening to Cope with Expansion’, Times Higher Education (2nd Aug 2018). Obordo, R., ‘“I Feel Like I am Wasting my Life”: Readers on being Overqualified for their Jobs’, The Guardian (2nd Aug. 2017). Race, P., ‘The Essay is Failing Us. Discuss’, Times Higher Education (13th Sep. 2018). Robinson, A., ‘A Personal Perspective of Contact Instructing in Ontario’, Academic Matters (Spring/Summer 2015). Universities UK, ‘Education, Consumer Rights and Maintaining trust What Students Want from Their University’ (2017). Warren, K., ‘Here’s What College Costs in 28 Counties Around the World’, Business Insider (20th June 2018). Wisskirchen, G., Biacabe, B., Bormann, U., Muntz, A., Niehaus, G., Soler, G., and von Brauchitsch, B., ‘Artificial Intelligence and Robotics and Their Impact on the Workplace’, IBA Global Employment Institute (April 2017). Wolf, M., ‘Skim Reading is the New Normal. The Effect on Society is Profound’, The Guardian (25th Aug. 2018).

References Aboulafia, M., ‘Higher Ed’s Real Productivity Problem’, The Chronicle of Higher Education (8th July 2018). Abrams, F., ‘Revealed: The Huge Pay Rises Feathering Vice Chancellors’ Retirement Nests’, The Guardian (12th Sep. 2017). Adams, R., ‘University Vice-Chancellors are Paid far more than Public Sector Peers’, The Guardian (11th March 2018). Adams, R., ‘Vice-Chancellors Paid £500,000 or more at Six Universities in England’, The Guardian (12th Feb. 2019). Allison, L., ‘Does the Inspirational Teacher Still have a Place in Today’s Academy?’, Times Higher Education (2nd Aug. 2018). Anon, ‘“This was a Hell Not Unlike Anything Dante Conjured.” Readers Share their Stories of Fraught Academic Careers’, The Chronicle of Higher Education (29th March 2019). Anonymous Academic, ‘My Students have Paid £9,000 and Now They Think They Own Me’, The Guardian (18th Dec. 2015). BEA (Bureau Enquêtes-Accidents), ‘Accident on 25 July 2000 at La Patte d’Oie in Gonesse (95) to the Concorde registered F-TSC operated by Air France’, Report Translation f-sc000725a (25th July 2000). Bebbington, W., ‘The Pedagogic Pendulum will Swing Back Towards the Lecture as the Importance of the Analytic Mind Become Appreciated Once More’, in ‘Future Perfect: What will Universities Look Like in 2030?’, Times Higher Education (24th Dec. 2015). Blundell, B.G., ‘Creative 3-D Display and Interaction Interfaces’, John Wiley & Sons Inc. (2006). Blundell, B.G., ‘Digitally Enhanced Learning: Facing Up to the Camera’, ITNow (June 2015). Blundell, B.G., ‘Education: When Investment in Technology is Not Enough’, ITNow (June 2016). Bollmann, H., For Universities to Improve ‘Customer Experience’, they must Reform Internal Processes to Improve Communication, Convenience and Security’, The Independent (17th June 2016).

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Boyer, C., ‘A History of Mathematics’ (2nd Edn)., John Wiley & Sons, Inc. (1991). Bowyer, J., and Darlington, E., ‘“Applications, Applications, Applications”: Lecturers’ Perceptions of Students’ Mathematical Preparedness for STEMM and Social Science Degrees’, Cambridge Assessment Report (July 2016). Bradbury, R., ‘Fahrenheit 451’, Rupert Hart-Davies Ltd. (1954). Brennan, T., ‘The Digital-Humanities Bust’, The Chronicle of Higher Education (15th Oct 2017). Bunce, L., Baird, A., and Jones, S., ‘The student-as-consumer approach in higher education and its effects on academic performance’, Studies in Higher Education, 42, No. 11, 1958–1978 (2016). Burnett, K., ‘We Need to Talk about Free Education’, Times Higher Education (20th June 2017). Chakrabortty, A., and Weale, S., ‘Universities Accused of “Importing Sports Direct Model” for Lecturers’ Pay’, The Guardian (16th Nov. 2016). Childress, H., ‘This is How You Kill a Profession’, The Chronicle of Higher Education (27th March 2019). Cocozza, P., ‘The Party’s Over—How Tuition Fees Ruined University Life’, The Guardian (11th July 2017). Coughlan, S., ‘Student Debt Rising to More Than £50,000 says IFS’, BBC News 40493658 (2nd July 2017). Da, N., ‘The Digital Humanities Debacle’, The Chronicle of Higher Education (27th March 2019). Daniel, A., and Wellmon, C., ‘The University Run Amok!’, The Chronicle of Higher Education (29th July 2018). Davies, M., ‘“To Lick a Lord and Thrash a Cad”: Oxford ‘Town and Gown’, BBC Oxford (4th Nov. 2010). Department of Education, ‘Government Launches Consultation on Accelerated Degrees’ (10th Dec. 2017). Derrington, A., ‘University Managers are not Malicious, we are Misunderstood’, The Guardian (30th April 2013). Donne, J., Sermon XIV, Preached at Whitehall (4th Mar. 1624). Dougill, J., ‘Oxford in Literature: The Making, and Undoing of the English Athens’, AuthorHouse (2010). Elmes, J., ‘Q&A with Sarah Churchwell’, Times Higher Education (11th Sep. 2014). Fazackerley, A., ‘Grace is 25: Her Student Debt: £69,000’, The Guardian (11th July 2017). Garvey, J., ‘The End of the Humanities?’, The Philosophers’ Magazine (19th Oct. 2015). Gee, A., ‘Facing Poverty, Academics Turn to Sex Work and Sleeping in Cars’, The Guardian (28th Sep. 2017). Gibbons, A., ‘The Countries Offering Students Free (or Somewhat Affordable) University Education’, The Independent (5th Dec. 2016). Graeber, D., ‘Are You in a BS Job? In Academe You’re Hardly Alone’, The Chronicle of Higher Education (6th May 2018). (a) Guilbault, M., ‘Students as Customers in Higher Education: The Controversial Debate Needs to End’, Journal of Retailing and Consumer Services, pp. 295–298, 40 (2016). (b) Guilbault, M., ‘Students as Customers in Higher Education: Reframing the Debate’, Journal of Marketing for Higher Education’, pp. 132–142, 26, No. 2 (2016). Harris, A., ‘Here’s How Education dies’, The Atlantic (5th June 2018). Hayot, E., ‘The Humanities as we Know Them are Doomed. Now What?’ The Chronicle of Higher Education (1st July 2018). Holford, J., ‘UK Universities have Developed a Casual Disregard for their Staff’, Letters, The Guardian (20th Nov. 2016). Hunter, G., and Mohamed, F., ‘The Real Humanities Crisis is Happening at Public Universities’, The New Republic (7th Sep. 2013). Jenkins, S., ‘Crushing Morale, Killing Productivity—Why do Offices Put Up with Meetings’, The Guardian (14th Sep. 2017). Kirkpatrick, E., ‘The Academy I Dreamed of for 20 Years No Longer Exists, and I am Waking Up’, Times Higher Education, (23rd May 2019).

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Letters, ‘University Teachers’ Jobs and Dignity are Under Threat’, The Guardian (23rd Aug. 2017). Lipsett, A., ‘Universities are Dumbing Down, Say Lecturers’, The Guardian (23rd Oct 2018). Mangen, A., Walgerma, B., and Bronnick, K., ‘Reading Linear texts on Paper Versus Computer Screens: Effects on Reading Comprehension’, International Journal of Education Research, 58, pp. 61–68 (2013). McElroy, W., ‘Administrative Bloat on Campus: Academia Shrinks, Students Suffer’, The James G. Martin Center for Academic Renewal (16th June 2017). McGhee, P., ‘Let Students be Students—Not Customers’, The Guardian (31st March 2015). Moro, A., ‘The Humanities are becoming More Important. Here’s Why’, World Economic Forum (14th June 2018). Naughton, J., ‘How a Half-Educated Tech Elite Delivered us into Chaos’, The Guardian (19th Nov. 2017). Newfield, c., ‘Let’s Undo the Great Mistake—Make University Tuition Free’, The Guardian (14th July 2017). Newport, C., ‘Is Email Making Professors Stupid’, The Chronicle of Higher Education (2019). Noor, P., ‘Now a Degree is a Commodity, No Wonder More Students are Cheating’, The Guardian (22nd Feb. 2017). Parveen, N., ‘Universities Staff put Trips to Vegas and Strip Club “On Expenses’’’, The Guardian (7th Aug. 2018). Pollard, E., Hadjivassiliou, K., Swift, S., and Green, M., ‘Accelerated degrees in Higher Education Literature review’, Institute for Employment Studies (Mar. 2017). Preston, A., ‘The War against Humanities at Britain’s Universities’, The Guardian (29th Mar. 2015). Rea, J., ‘Organizing Against the Widening Gap in Academic Job Security in Australia’, Academic Matters (Spring/Summer 2015). Robbins Report, ‘Higher Education Report of the Committee appointed by the Prime Minister under the Chairmanship of Lord Robbins’, HMSO (1963). Roberts, J., ‘This App Guy Thinks Computer Science Degrees are a Waste of Money’, Fortune.com, (2015). Rose, D., ‘The Real Story of Flight 4590: Special Investigation’, The Observer (13th May 2001). Rowe Holebrook, V, ‘In Defence of Not Publishing’, The Chronicle of Higher Education (10th July 2018). Schwartz, D., and Thille, C., ‘Exams that Emphasise Mastery of Taught Knowledge will no Longer be the Primary Tool for Judging Student Performance’, in ‘Future Perfect: What will Universities Look Like in 2030?’, Times Higher Education (24th Dec. 2015). Sewall, G., ‘Twilight of the Humanities’, The American Conservative (Jan./Feb. 2019). Seymour, R., ‘How Treating Students as Customers Turns the Idea of Meritocracy into a Joke’, VICE (19th Aug 2016). Shadbolt, N., ‘Shadbolt Review of Computer Sciences Degree Accreditation and Graduate Employability’, (April 2016). Shepherd, S., There’s a Gulf between Academics and University Management—and it’s Growing’, The Guardian (27th July 2017). Shute, N., ‘No Highway’, Heinemann (1948). Sodha, S., ‘Is your University Degree Barely Worth the Paper it’s Written on? Discuss’, The Guardian (16th Mar. 2018). Sowter, B., (ed.), ‘Tuition Fees at the World’s Top Universities’, Quacquarelli Symonds Ltd., QSTopUniversities.com. (2018). Spicer, A., ‘Universities are Broke. So Let’s Cut the Pointless Admin and Get Back to Teaching’, The Guardian (21st Aug. 2017). Stolzoff, S., ‘Schools are Using AI to Track What Students Write on Their Computers’, Quartz, (19th Aug. 2018). Stover, J., ‘There is No Case for the Humanities’, The Chronicle of Higher Education (4th Mar. 2018). Swain, H., ‘Zero Hours in Universities: ‘You Never Know if it’ll be Enough to Survive’, The Guardian (16th Sep. 2013).

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Taylor, C., ‘We Will See a Form of Higher Education that Truly Values a Broader Range of Characteristics than Those Linked to Subject Knowledge or Employability Skills’, in ‘Future Perfect: What will Universities Look Like in 2030?’, Times Higher Education (24th Dec. 2015). The Oxbridge Insider, ‘The Darker Side of Oxford University’s History’, https://campusoxford. com/1788-2/ [Last accessed 28th Apr. 2019]. Tighe, C., ‘Student Debt: How UK Graduates Deal with the Burden’, The Financial Times (29th Dec. 2017). Tokumitsu, M., ‘Long Live the Lecture!’, The Chronicle of Higher Education (26th Mar. 2017). UCU, University and College Union, ‘Transparency at the Top? The Fourth Report of Senior Pay and Perks in UK Universities’ (2018). Universities UK, ‘Around a Half of Students Now See Themselves as Customers of Their University—New ComRes Survey’, univiersitiesuk.ac.uk (21st June 2017). [Last accessed 28th Apr. 2019]. Vehko, V., (pseudonym) ‘Millennials: The Age of Entitlement’, Times Higher Education Features (19th July 2018). Warner, M., ‘Learning My Lesson’, London Review of Books (19th Mar. 2015). Weale, S., ‘Majority of University Leaders Involved in Setting their Own Pay’, The Guardian (15th Feb. 2018). Webb, S., ‘London Education’, Longmans, Green and Co (1904). Wisskirchen, B., Biacabe, B., Bormann, U., Muntz, A., Niehaus, G., Soler, G., and Brauchitsch, B., ‘Artificial Intelligence and Robotics and Their Impact on the Workplace’, IBA Global Employment Institute (April 2017). White, J., ‘Zero-Hours Contracts and Precarious Academic Work in the UK’, Journal of Academic Matters, pp. 7–9 (Spring/Summer 2015). Whitehead, F., ‘International Academics Protest at Middlesex Philosophy Closure’, The Guardian (7th May 2010).

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‘Light the candle and alight the stairs, With your fingers round the holder – Thick with wax of years burnt out The stairway creaks and shadows hide In the corners – peering curiously, From under hoods ink black.’1

10.1

Introduction

Scientific and technical progress is firmly underpinned by research activity. Such research can, for example, be used to confirm or reject hypotheses, may uncover previously unknown phenomena, or may challenge traditional precepts. For the most part research contributes to positive advancement and can be conducted without raising significant ethical questions. On the other hand there are very many examples of highly questionable areas of research activity and practices. Simply because something can be done, doesn’t necessarily mean that it should be done, and researchers should not be deemed to be unaccountable for the ramifications of their work (recall related discussion in Sect. 1.7). In this chapter we consider aspects of research from an ethical point of view, and particularly focus on research involving the participation of living creatures. From the perspective of the scope of this book, our inclusion of medically-related experimentation is important because the fields of science, computing, technology, and engineering are having an ever greater impact on the advancement of medical

Blundell, Q., ‘Path of Time’, in ‘Collected Works’ (2020).

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practice. Thus professionals with diverse backgrounds may find themselves working alongside members of the medical community, and may become involved in the design, implementation, and analysis of experiments which involve animal or human research subjects. In the next section we lay some foundations by briefly considering various general aspects of research that are pertinent to our discussions. We particularly emphasise some key motivations which underpin research activity and that may on occasions cause researchers to overlook ethical issues pertaining to either the ways in which the research is carried out and/or its potential ramifications. Subsequently in Sect. 1.3 we turn to experimentation involving human participants and highlight some of the ethically related issues which can arise. This includes discussion concerning the history of Eugenics—an area which continues to be relevant given growing research activity in relation to genetic engineering. Sections 1.4 and 1.5 provide a number of specific examples in which researchers have failed to follow sound ethically based practices. In the first of these sections we focus on experiments that were initiated prior to the post WWII ‘Doctors’ Trial’ which was held in Nuremberg in 1947. This is often regarded as a watershed in research in terms of demonstrating the unequivocal need to meticulously infuse ethical precepts into research involving human participants. It resulted in the development of the ‘Nuremberg Code’, which totally rejects forced human participation in research. Unfortunately examination of governmental and organisational research involving human participants which has been conducted since that time demonstrates that the practices that were revealed at Nuremberg have had little, if any, impact on preventing the continuation of ethically unsound activity. The original version of the Declaration of Helsinki was created by the World Medical Association in 1964 and builds on the Nuremberg Code. In Sect. 10.6 we briefly refer to this guiding statement of ethical standards, and consider the practical value of such documents. Section 10.7 discusses the nature of ‘informed consent’—which should be an absolute precursor to participation in experimental research. However, as will be discussed, its ethically based implementation is by no means straightforward. In Sect. 10.8 we turn to the controversial subject of experimentation involving animals, and highlight some of the ethically related considerations which cause many to reject this type of activity—whilst others firmly believe that continued progress in medical research cannot be sustained without the use of animal participants. This and earlier sections relating to the use of human participants emphasises the ethically desirable importance of developing technological solutions which will greatly reduce reliance on living creatures in experimental trials. Towards the end of the chapter (Sect. 10.9) we provide a further example demonstrating the way in which organisational problems contributed to technology failure. Here we consider the ill-fated voyages of the Mars Climate Orbiter and Mars Polar Lander (for completeness, we also briefly include the Deep Space 2 probes). The fate of the Mars Polar Lander provides a particularly vivid example of the way in which a simple (and known) problem could have such drastic consequences. As we will see, after having travelled some 757 million kilometres from

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Earth, a problem arose when the craft had only another 40 metres to travel. The engine had only to fire for a few more seconds after which the craft would have made a soft landing on that distant planet. Success was almost guaranteed…

10.2

A Passion for Research ‘The experience of scientists who have worked on the atomic bomb has indicated that in any investigation of this kind the scientist ends by putting unlimited powers in the hands of people who he is least inclined to trust with their use . …to disseminate information about a weapon … is to make it practically certain that the weapon will be used.2’

I recall a conversation with a passionate and highly talented researcher who reflected that for him, research was akin to entering a profoundly dark room—the fascination was in exploring the unknown, in learning and in understanding for its own sake. In fact he elucidated an outlook that we both—and many others—share. But in addition there are researchers who understandably would prefer to shun the loneliness of such darkened spaces. These researchers prefer a form of twilight—enabling them to take fewer risks and know a priori where their voyage of discovery is likely to take them. This aligns with the relatively new notion of the ‘professional researcher’3 whose career is underpinned by an ability to regularly attract research funding and quickly develop an extensive portfolio of publications. This reflects an increasingly competitive landscape in which there is a need to engage in research which will generate results in areas which are considered/promoted as being ‘vogue’. Whether a person is undertaking research for its own sake (heedless of the ‘research industry’), or whether he/she is a ‘professional’ researcher (working individually or as part of a team), the question arises as to whether the researcher bears any ethical responsibility for the nature of the work being undertaken, the way(s) in which it is carried out, and for the ultimate ramifications of its application. In this latter respect, and as was discussed in Sect. 1.2, there is a need to distinguish between short-term applications (Scope) which are often well defined and longer term usage (Potential)—recall Fig. 1.1. In the case of ‘professional’ research, the need to attract funding coupled with publication goals may occasionally outweigh ethical reservations about the nature of research being undertaken. And even in the case of the individual engaged in research for its own sake, the research quest can lead to a level of addictive immersion such that the overarching consequences of the work become irrelevant—or are simply overlooked. This is a scenario which is demonstrated with poignant humour in the classic 1951 Ealing Studios film, ‘The Man in the White Suit’. Set in the North of England at a time when the dour textile mills provided major employment, the film portrays an 2

Attributed to Norbert Wiener in relation to the Manhattan Project and quoted in Cornwell (2003). Within the context of university research, this unfortunate term appears to have been coined relatively recently. I first encountered it in the late 1990s.

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obsessive researcher (organic chemist) who invents a fabric which not only never wears out, but that will also never become dirty. As far as the chemist is concerned he has succeeded in his long and laborious task, involving years of painstaking immersion. He never considered the negative aspects of the work’s Scope and Potential. Consequently, he’s astounded when every effort is made to suppress his invention. Mill owners and workers forget longstanding class-based differences in their efforts to ensure that this fabric is never marketed, for they quickly perceive that it will threaten the repetitive consumption of textiles. They see only the danger to their livelihoods, and the scientist becomes a hunted maverick. Perhaps he bears no responsibility for the impact that his invention will have on employment—perhaps the same can be said today for those working on some aspects of robotics and AI?4 It’s important to distinguish between ethical issues pertaining to the ways in which research is carried out and those that relate to the Scope and Potential of the work. Ethics Committees focus on scrutinising the ways in which research is undertaken—but they may well not have the competence to consider the broader ramifications of Scope and Potential. These are areas that the researcher should think about—but sometimes research leads to innovation and significant financial reward. In which case, ethical considerations may be gradually eroded. Ethical issues may also arise as a result of the differing interests of stakeholders. For example, so as to undertake research, it is invariably necessary to obtain research funding and in some cases other resources such as data sets may be needed. Issues can arise when these are procured by the researcher from external agencies who may have a vested interest in the results that are derived from the research process. In a world in which there is ever greater competition for funding, and given the expectation by university management that academics regularly publish research papers, in some situations it can certainly be difficult to publish findings which may negatively impact on the procurement of ongoing (and lucrative) corporate funding. The researcher may therefore be tempted to make adjustments to the research process by changing analysis procedures, suppressing adverse results or by generating overly-optimistic conclusions (thereby suggesting that continued research and associated funding will be well worthwhile). Unfortunately ethical standards can easily be eroded, often in the smallest of incremental steps. There are many forces that drive current research and these include the techniques adopted by some of the most prestigious of journals. In essence, the approach taken can operate as follows. Once a publication is accepted by a journal, pre-publication publicity is used to notify relevant magazines and media outlets of its impending appearance. In parallel at least one of the independent reviewers of the publication (who originally appraised its merits) is asked by the journal to write an article which is intended to promote the publication by incorporating the reviewer’s own expert knowledge of the subject area. Momentum builds—science and technology magazines together with other media outlets keenly seek interviews with the publications authors and its reviewers so as to develop their own related articles. It’s truly an example of ‘success breeding success’, and it’s this type of The film mentioned above is recommended—particularly given its interesting ending.

4

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A Passion for Research

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system which tends to drive particular areas of scientific and technical research. Some claim that it creates a win-win situation. From the researchers perspective the process helps to ensure that he/she will obtain further funding, industry collaborations, and the like. And the journal is perceived as continuing to be associated with ‘vogue’ research (if it wasn’t vogue, we’ll make it so). Unfortunately, this approach can distort the research landscape by, for example, causing proverbial ‘fool’s gold’ to be mistaken for the real thing whilst at the same time causing work of outstanding merit to be overlooked. Ultimately research concerns the quest for truth, and truth is easily overshadowed by media exaggeration—particularly when significant amounts of research funding are at stake.

10.3

Research Involving Human Participants ‘An experiment is ethical or not at its inception; it does not become ethical post hoc – ends do not justify means.’5

Some claim that there should be no frontiers in research—that there’s no place for ‘no go’ zones. In essence this means that our quest to gain and apply knowledge and understanding should be unfettered by reference to ramifications. The researcher is conveniently decoupled from the effects of his/her work—truth is the sole objective. Others believe that research should be considered in a framework of inputs and outcomes. Thus in the case of a medical research project, harm which may be caused to ‘research subjects’ (which is a rather depersonalised term and from this point I’ll use ‘human/animal participants’) must simply be balanced against potential benefits to society. This matter was discussed at the Doctor’s Trial in Nuremberg during an interchange between the German psychiatrist Werner Leibbrand (Erlangen University) and Andrew Ivy (U.S. physiologist and scientist): ‘Ivy agreed with Leibbrand that researchers must refuse to conduct experiments on human beings when ordered by the state in order “to save lives” because in such cases subjects would not be volunteers. He declared that “[t]here is no justification in killing five people in order to save the lives of five hundred” and that “no state or politician under the sun could force [him] to perform a medical experiment which [he] thought was morally unjustified.”’ (Shuster 1997)

In practice, the risks to which human participants are exposed are often justified in terms of the ‘common good’. Recall from Chap. 1 that this aligns with Utilitarianism—the underlying principle being to act in a manner that will increase ‘happiness’, and favour the ‘common good’. However in the context of medicine, this ethical theory has often been debated and rejected. For example, Moll (1902) is an extensive work entitled ‘Ärztliche Ethik: Die Pflichten des Arztes in allen

5

Quoted in Smith (2016).

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Beziehungen seiner Tätigkeit (‘The Doctor’s Duties in All Relations of His Work’), which identifies at least one key problem to this way of thinking: ‘…Moll stressed moral systems such as evolutionary ethics and utilitarianism could lead to conclusions that negated the role of the doctor as a healer. For instance from an evolutionary standpoint it might be argued that patients with hereditary illnesses or disabilities should not be treated in order not to be helped to pass on their condition…Or from a utilitarian perspective, experimentation on a dying patient might be justified in the interest of developing treatment for future patients. None of these conclusions appeared acceptable to Moll, who asserted that the essential characteristic of the doctor was that of the healer who is committed to the well-being of the individual patient.’ (Maehle 2012)

However, on so many occasions, the notion of undertaking experimentation with the intention of putting a small number of people at ‘risk’ in order to obtain results which may provide broader benefits has been, and often continues to be, deemed to be acceptable—for example, see OTU Activity 10.1.

A fundamental difficulty lies in the determination of what constitutes an acceptable level of ‘risk’, which is by no means straightforward. For example, in experimentation is it appropriate to expose an old hospitalised person to a greater degree of ‘risk’ than, say, a much younger person? Should wealth and status be relevant when assessing acceptable levels of risk? Should ‘risk’ be considered within the context of a person’s ability to sue for damages? In practice some researchers (and companies involved in aspects of medical research) have failed to react in ethically desirable ways to such questions, and as a result experimental trials continue to involve the vulnerable:

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‘Historically, the burden of medical experimentation has been borne by those people with the least power in society, such as soldiers, conscientious objectors, prisoners, orphans and other children, the mentally ill, the poor, and racial minorities.’ (Smith 2016)

By way of an example it’s reported that patients deemed to be from India’s lowest caste were recruited onto drugs trials without their informed consent: ‘…being of the lowest caste and given medical treatment is an honour, one not to be questioned. The power of the white coat, the elevated role of the doctor throughout the world as a demi-God who has the power to save lives, is one that is being taken advantage of in India where doctors enrol their trusting and often uneducated patients in risky drug trials at a profit of course. These trials led to 438 deaths in 2011 alone.’ (Kelly 2013)

And it is reported that: ‘Since India relaxed its laws governing drugs trials in 2005, foreign drug companies have been keen to take advantage of the countries pool of uneducated…In the past seven years, nearly 2,000 trials have taken place in the country and the number of deaths increased from 288 in 2008 to 637 in 2009 to 668 in 2010, before falling to 438 deaths in 2011.’ (Lloyd-Roberts 2012)

For related discussion see OTU Activity 10.2.

In Table 10.1 we summarise a number of indicative factors which should be taken into account when considering the ethics of experimental research involving human/animal participants. Key considerations are to ensure that the experiment is really necessary, that an approach is adopted which minimises (or preferably eliminates) risk and that positive outcomes will significantly outweigh those which are less desirable. It is also important to consider the motivations of those involved in setting up the work, and to ensure that financial considerations don’t lead to exploitation. Furthermore in considering the level of ‘risk’ to which participants may be exposed, it’s particularly useful to

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Table 10.1 Indicative questions that should be asked when considering the design and implementation of an experimental trial (or other forms of research) involving live participants. Questions

Summary

What? Why? How? Necessity? Winners? Losers? Risk? Ramifications? Motivation(s)? Exploitation?

What is the experiment intended to achieve? Why is the experiment necessary? In what ways can the experiment be conducted? Is there evidence that the experiment is necessary? Who has the potential to benefit from the experiment? Who may suffer negative consequences from the experiment? Would I be comfortable if a loved one were a participant? What are the broader ramifications of the experiment? What are the motivations of those involved in setting up the experiment? Does the experiment in any way capitalise on vulnerability?

view this from a personal perspective by asking whether you would be comfortable if those closest to you were to act as participants. Research into the justification of randomised medically-based trials involving human participants suggests that a significant proportion of them may be scientifically unjustified. By way of example, Canadian researchers (De Meulemeester et al. 2018) evaluated 208 clinical trials reported in literature on the basis of three criteria. In essence: 1. Evidence of a research hypothesis mapping to a specific medical need. 2. Evidence that a trial doesn’t focus on something that may already be known. 3. Evidence that the researchers have systematically reviewed relevant literature and therefore possess expert knowledge in relation to (2). The researchers report that in reviewing the sample literature 76% satisfied (1), 99% satisfied (2) and 54% satisfied (3). Overall only 44% of the trials satisfied all three criteria: ‘…as many as 56% of published RTC’s [randomised clinical trials] reviewed in this study may not be scientifically and hence ethically justified.’ (De Meulemeester et al. 2018)

Although there are limitations to this type of review6 in general terms, the results suggest that experimental trials could benefit from greater ground work and forethought. Furthermore given the delay between trial commencement and the publication of results, it is quite possible that researchers working independently may inadvertently carry out similar trials in parallel, thereby needlessly placing a greater number of human/animal participants at risk.

6

For example poor quality authorship of post trial publications and/or limitations in their length (imposed by publishers) may have been factors which resulted in a failure to properly demonstrate that a detailed systematic literature review had taken place before trial commencement.

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In the sections which follow, we provide some examples of experimental trials involving human participants which give an insight into forms of ethically undesirable activity (Sect. 10.8 provides examples relating to animal experimentation). Since some of these took place many years ago some may believe that times have changed: we now live in a more enlightened world and back in ‘those days’ people thought differently—they had different values. For example, in Sect. 10.4.1 we summarise aspects of an experimental trial devised by Wendell Johnson which took place on 1939. Approximately 70 years later the nature of this trial and the way in which orphans had been misused was exposed in the media. In terms of putting this work into context, Collins (2003) reports: From the 2003 perspective, he conducted a hugely unethical project, “said … head of the University of Pennsylvania’s bioethics center. But 60 years ago, ethical rules did not exist, and experiments were done using minorities, disabled children or prisoners “because you didn’t think of them as morally equivalent to others.”’

The reader is left to reflect on the extent to which fundamental ethical values vary with time—if indeed they do? Do we truly live in a more enlightened world? Here I am reminded of a footnote (number 31) presented in Chap. 8—which reads: ‘It is interesting (although somewhat disconcerting) to consider whether the barbaric acts which are being perpetrated against girls and women in various countries would be tolerated by the international community if the victims were of other ethnicities. The response is one that perhaps also suggests that we aren’t living in a true age of enlightenment.’

Throughout the first half of the 20th century the premise that minorities, prisoners, and those with disabilities, etc. were not ‘morally equivalent’ was reinforced by the pseudoscience and philosophy of eugenics. This is briefly discussed in the next subsection.

10.3.1 The Shadow of Eugenics ‘Like many other messianic visions, eugenics is faulted by a confusion between the needs of an abstract mankind and those of individual men and women.’7

The term Eugenics was adopted by the British natural scientist Francis Galton8 (precocious cousin of Charles Darwin) in 1883, and may be defined as: ‘The practice or advocacy of controlled selective breeding of human populations to improve the population’s genetic composition.’ (Merriam-Webster Dictionary)

By the early 1900s, eugenics had become a mainstream area of scientific research and experimentation—it was ‘vogue’. The goal was to promote the proliferation of ‘good’ stock (positive eugenics), and suppress the existence of ‘defective stock’ (negative eugenics). This encouraged research into the large-scale collection and 7

Attributed to Joshua Lederberg and quoted on Kevles (1986). 1822–1911.

8

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statistical analysis of data in ways which would facilitate the prediction of positive and negative hereditary factors. Galton provided funding for the establishment of a Chair of Eugenics at University College, London. This post was given to the mathematician, Karl Pearson9 who promoted the notion that the high birth rate of the poor was a threat to civilisation and that ‘higher’ races must supplant those deemed to be ‘lower’. This gave impetus and credence to the notions of class and racial superiority. In the U.S., by the 1920s such ideas had been further developed. Data was used to demonstrate that immigrants from Italy, Greece, and Eastern Europe were significantly increasing the proportion of people deemed to be ‘genetically inferior’ and/or ‘socially inferior’. These terms were applied to those classified as being feebleminded, insane, epileptic, the deaf and blind, the inebriate, the diseased (including those with tuberculosis, leprosy and syphilis), the deformed, the dependent, and those who were judged to be chronic recipients of charity. In parallel the dark stain of negative eugenics grew with the forced prevention of human reproduction, and in the U.S. by 1938 more than 30,000 people had been involuntarily sterilised. The right of States to follow this practice was strongly upheld by the U.S. government. For example in 1927 Supreme Court Judge Oliver Wendell Holmes Jr. stated: ‘It is better for all the world, if instead of waiting to execute degenerate offspring for crime, or to let them starve for their imbecility, society can prevent those who are manifestly unfit from continuing their kind. The principle that sustains compulsory vaccination is broad enough to cover cutting the Fallopian tubes… Three generations of imbeciles are enough.’ (Quoted in Bruinius 2006)

It’s against this backdrop that those who were institutionalised or who were deemed to be racially inferior were often selected for participation in medical experimentation—after all, according to the Eugenicists, it would have been better if these ‘defective’ people had never lived. In Germany, the Nazis adopted basic eugenic principles imported from countries such as the U.S. and UK, and funded large-scale ‘scientific’ research so as further develop the field. Positive eugenics underpinned the Race Hygiene movement and the quest to promote the development of the ‘master race’. In parallel negative eugenics was implemented through forced sterilisation (which as indicated above was already standard practice in some U.S. states) and the elimination of groups targeted by the state. In the light of subsequent revelations and the publicity of the Nuremberg Trials in 1947, many ardent proponents of eugenics quickly distanced themselves from the field—although: ‘Across the United States from Vermont to Colorado to Oregon, men and women still live with the humiliations of forced sterilization, which continued in some states through the 1970s.’ (Bruinius 2006)

9

1857–1936.

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Forced sterilisation was practiced in a number of other countries. By way of example, in Japan eugenics-based practices resulted in people diagnosed with ‘hereditary feeblemindedness’ and ‘mental retardation’ being prevented from having children: ‘Between 1948 and 1996 about 25,000 people were sterilized under the law, including 16,500 who did not consent to the procedure. The youngest known patients were just nine or ten years old. About 70% of the cases involved women or girls.’ (Hurst 2018)

Unfortunately, eugenics is not something that we can simply consider within an historic context. The suffering that eugenics practices caused continues, and furthermore with today’s technologies opportunities abound for the implementation of ‘new’ forms of eugenics. Undoubtedly, it is entirely natural for parents to wish to create the healthiest and most intelligent of children. Some of those with the financial ability may well choose to capitalise on opportunities that are likely to arise through techniques such as gene editing rather than simply trusting in the natural process. Caplan et al. (1999) summarise three important areas of concern in respect of the use of genetic engineering techniques to either suppress or emphasise specific traits. Firstly there is the possibility of coercion and whilst this may not arise through government duress, it may be indirectly promoted through organisations that provide insurance and medical cover. Secondly, there’s the question of standards of perfection. How could we define the physically and mentally ‘perfect’ child: ‘Views about what is perfect or desirable in a human being are, more often than not, matters of taste, culture and personal experience… There are certain traits – physical stamina, strength, speed, mathematical ability… that are related to health in ways that command universal assent as to their desirability.’

But such characteristics more closely relate to human facets which will command success—the ‘master race’ notion. But what of other deeper human traits; empathy, kindness, compassion, and the like? Thirdly Caplan et al. (1999) consider inequalities that may arise between those who belong to a ‘genetic overclass’, and those who do not. This could have significant societal consequences, and could possibly result in further promoting the use of genetic engineering techniques—thereby catalysing a coercive influence: ‘Will genetic enhancements enhance human peace and repose? Or, will it ratchet up the law of competition, creating a social context in which the genetic “haves” develop a natural contempt for the genetic “have-nots,” ushering in a tipping point in which genocide – cultural, ethnic, or genetic – can seem a rational and desirable goal. Will the goals of bioengineering and better breeding, armed with the rational premise that greater intelligence and strength can alleviate social ills and human suffering, again seek to eliminate the least of the human race?’ (Bruinius 2006)

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Early Human Experimentation ‘It is common to think of our own time as standing at the apex of civilisation, from which the deficiencies of preceding ages may patronisingly be viewed in the light of what is assumed to be “progress”…’10

In this section we briefly consider three examples of ethically unsound medicallybased experimentation involving human participants. All three were initiated prior to the drafting of the Nuremberg Code in 1947, and in the next section we provide some examples of ethically impoverished trials initiated after this time. Whilst many of the trials involving human participants that operated during this period generally appear to have been conducted with ethical considerations in mind, the number that have come to light (and which are characterised by a general disregard for ethical precepts) is of concern. In this context it’s important to bear in mind that medically-based trials invariably involve the agreement and support of one or more highly educated professionals who are in positions of authority, and are usually respected members of society. In terms of the medical profession, doctors, nurses, and the like are usually trusted by the public and this can result in a power imbalance such that participants have unquestioning confidence in those who are orchestrating/promoting trials. As mentioned at the end of Sect. 10.3, it’s sometimes claimed that over time ethical standards change, and so when reviewing experimental trials that took place some decades ago, it isn’t meaningful to judge them according to today’s ethical values. However one fundamental notion which is central to the relationship between medical practitioner and patient retains its critical relevance even after the 10

Attributed to U.S. Supreme Court Justice Robert Jackson. Quoted in Bruinius (2006).

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passage of more than 2,000 years. It was some time after 430 BC that Hippocrates of Kos (or possibly an earlier sage) indicated that: ‘The physician must be able to tell the antecedents, know the present, and foretell the future, must mediate these things, and have two special objects in view with regard to diseases, namely to do good or to do no harm.’

The concepts of doing ‘good’ and of endeavouring to do no ‘harm’ are (or should be) fundamental to the relationship between the medical practitioner and his/her patients. Unfortunately as will be seen in the examples provided below, on occasion harm has been deliberately done to human participants in the name of experimentation and progress—in the name of serving the ‘greater good’.

10.4.1 The Wendell Johnson Experiment ‘When I left that orphanage, that experiment was over for me. Apparently it wasn’t over for the children.’11

To those few who got to hear of the work it became known as the ‘Monster Study’, and was carried out in the late 1930s by researchers at the University of Iowa in the U.S. This experimental study was instigated by Dr. Wendell Johnson, a pioneer in speech pathology who since childhood had stuttered to such an extent that he often found it difficult to express himself. From the outset of his academic career he was fascinated by the mechanisms which cause this impediment. Rejecting the possibility that stuttering was underpinned by a neurological condition, he postulated the notion that: ‘…By worrying about the problem…he’d produced it. His disorder lay not in his brain, in biology, but in his learned behaviour. Stuttering, he later concluded, “begins not in the child’s mouth, but in the parent’s ear.”’ (Reynolds 2003)

This line of thinking led to a research hypothesis which in essence sought to determine whether a group of children who demonstrated no signs of stuttering could be induced to do so, through deliberate negative verbal intercourse. Silverman (1988) drawing on Bloodstein (1987), wrote in relation to Johnson’s theory: ‘… It suggested that calling attention to a child’s normal hesitations (repetitions) could precipitate stuttering…. If you wanted to directly test this theory, how would you do it? One way would be to take some normally fluent children, react adversely to their hesitations, and see if they turned into stutterers.’

And that’s precisely the course of action that Johnson took. In terms of implementation, he recruited one of his clinical psychology students, 22 year old Mary Tudor, to undertake a research trial at the Soldiers and Sailors Orphan’s Home (with which the university had an ongoing research relationship (Reynolds 2003)). Twenty-two children were selected and divided into four groups. From the perspective of our discussion, one group comprising six children (aged between 5 and 11

Attributed to researcher Mary Tudor. Quoted in Dyer (2001).

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15) is of particular relevance. Although they spoke fluently, they were told that they were beginning to show signs of stuttering and that they must correct this immediately. Within the austere atmosphere of the orphanage, matrons and teachers were also unwittingly drawn into the trial and encouraged to provide the group of children with constantly negative messages—messages carefully crafted in the hope of catalysing stuttering. This is reported as being part of the strategy devised by Johnson: ‘Tudor was told she would have to lie to the orphanage’s teachers and matrons, telling them she was there to do speech therapy, so that they would become unwitting participants in the experiment.’ (Dyer 2001)

And so she carefully instructed those who were responsible for the care of the children: ‘You should impress upon them the value of good speech, and that in order to have good speech one has to speak fluently. Watch their speech all the time very carefully and stop them when they have interruptions; stop them and have them say it over again. Don’t allow them to speak unless they can say it right. They should be made very conscious of their speech, and also they should be given opportunities to talk so that their mistakes can be pointed out to them…’ (Quoted in Silverman 1988)

In sessions with the orphans, Tudor provided similar negative therapy on a one-to-one basis with each of the participants: ‘…Watch your speech every minute and try to do something to improve it. Whatever you do, speak fluently and avoid any interruptions whatever in your speech.’ (Quoted in Silverman 1988)

The impact of aspects of this work is recorded in Tudor’s Masters Thesis (Tudor 1939) For example in relation to an interview with one orphan ‘Case Number 12’, she reports: ‘“How is your stuttering?” No response. She covered her face with her hands. “Is it any better?” She shrugged her shoulders. “Have you been having trouble at school?” She nodded her head. “What kind of trouble?” “I always stutter.” She covered her face with her hands. “I forget to take a breath.” “What does your teacher do when you stutter?” “Nothing.” “You’re ashamed to stutter, aren’t you?” She nodded her head.’

In a subsequent interview with the same child Tudor reports that: ‘I asked her why she always covered her face with her hands, and she replied, “I don’t want you to see me when I talk.”’

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This research was never published by Johnson and for many years it remained generally unknown. Silverman (1988) writes: ‘The persons who told me about the study had been doctoral students of Johnson. They all seemed to respect him a great deal and appeared to accept his diagnosogenic theory. They were all concerned that publicizing the study could hurt Johnson’s professional reputation – i.e. cause him to be viewed as being similar to a “German concentration camp scientist.”’

In fact Johnson had gone on to have a sterling academic career and the University of Iowa’s Institute for speech and hearing was named after him. But the unwitting participants in the experiment have not fared so well. In relation to an interview with Mary Korlaske—one of the victims—Dyer (2001) reports: ‘She still remembers how beautiful Tudor looked to her – tall and slender with dark wavy hair and welcoming brown eyes. The graduate student reminded Korlaske of her own mother…She hoped Tudor had come to adopt her.’

In 2001 the research was uncovered and reported by Jim Dyer (cited above). Subsequently the University of Iowa made a public apology, and in 2003 six of those involved successfully sued for compensation. From an ethical perspective, this experiment appears to have absolutely nothing to recommend it and in Fig. 10.1 we summarise a number of key issues. If ‘successful’, the experiment would have caused a number of vulnerable children to begin to stutter—the greater their impediment, the more successful the work. As someone who was profoundly affected by stuttering, Johnson is reported as having written: ‘“The stuttering child is a crippled child”’ (Dyer 2001)

Which could possibly suggest that he was only too well aware of the damage that the experiment could potentially cause to vulnerable children? See OTU Activity 10.4 for further discussion.

10.4.2 Racially-Based Trials Using Mustard Gas It appears that in the First World War, the French army was the first of the combatants to use poison gas (in the form of gas filled grenades which were employed in 1914). The approach proved ineffective and so too did the first use of gas-filled shells which were fired by Germans against Russian-held trenches near Warsaw on 1st January 1915. Much more ‘encouraging’ results were obtained in April when chlorine gas was released from some 5,730 cylinders (each weighing 200 lbs) near Ypres on the Western Front. A new form of warfare had been unleashed, and within

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Potential to harm children (short term and long term)

The Wendell Johnson Experiment

Power imbalance – targeting vulnerable children

Dereliction of duty of care

Covert goals – soliciting support via falsehood

Deliberately designed to cause distress to children

Fig. 10.1 Indicative ethically related considerations which undermine the research orchestrated by Wendell Johnson at the Iowa orphanage. See text for discussion.

months the British were also capitalising on this horrific addition to the seemingly endless arsenal of military weaponry. Remarque (1987)12 wrote: ‘We found one dug out full of them, with blue heads and black lips. Some of them in a shell hole took off their masks too soon…Their condition was hopeless, they choke to death with haemorrhages and suffocation.’

12

Originally published in 1929.

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On all sides, even some senior military figures were critical of this new form of warfare. For example, General Karl von Einem Commander of the German Third Army in France remarked: ‘I fear it will produce a tremendous scandal in the world…war has nothing to do with chivalry any more. The higher civilization rises, the viler man becomes.’ (Quoted in Pruszewicz 2015)

Rapidly ever more toxic materials were produced. For example, exposure to Sulphur Mustard (more commonly referred to as Mustard Gas) results in the blistering of the skin, lungs, and throat, causes blindness, and can increase the long-term risks of lung and respiratory cancer.13 Despite international condemnation of chemical warfare, in December 1935 the Italian military made large-scale use of Mustard Gas in their campaign in Abyssinia. Initially, bombs were dropped from aircraft, but shortly thereafter aerial spraying became a norm. ‘In June 1936 Haile Selassie [Emperor of Abyssinia] gave a speech to the League of Nations in which he condemned Italy’s use of chemical weapons against Ethiopia….He stated that ‘Sprayers were installed on board aircraft so that they could vaporise, over vast areas of territory, a fine, death-dealing rain. Groups of nine, fifteen, eighteen aircraft followed one another so that, from the end of January 1936, soldiers, women, children, cattle, rivers, lakes, and fields were constantly drenched with this deadly rain’. Selassie additionally stated that sulphur mustard had killed tens of thousands of Ethiopians.’ (Grip and Hart 2009).

In short, for many years prior to WWII it was widely known that Mustard Gas was highly toxic, and exposure to it had serious health implications.14 Despite this knowledge, during WWII the U.S. military carried out a number of experimental medical trials, apparently with the intention of determining whether the effectiveness of Mustard Gas varied between soldiers of different race. This resulted in trials involving *4,000 racially selected (African-American, Japanese-American and Puerto Rican) human participants. ‘White’ soldiers formed the reference ‘control’ group. There is no indication of adherence to an informed consent process and it appears likely that in many cases participation was simply based on ‘obedience to orders’. Furthermore participants were threatened with military sanctions should they fail to keep the trials confidential. Three forms of experiment were performed: ‘Patch tests, where liquid nerve gas was applied directly onto the subjects’ skin; field tests, where subjects were exposed to gas outdoors in simulated combat settings; and chamber tests, where men were locked inside gas chambers while mustard gas was piped inside.’ (NPR 2015)

13 Grip and Hart (2009) also notes that ‘There is a high incidence of cancer of the windpipe among Iranian mustard casualties from the 1980–88 Iran-Iraq War.’ 14 Interestingly although Hitler ensured that Germany had a lavish stockpile of poisonous gases (including nerve agents developed by the Nazis), even when faced with defeat he did not attempt to use them in conflict. Perhaps he was influenced by his first hand experiences in the Great War?

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In relation to the latter it is reported that: ‘Some men were clothed, wearing gas masks, others were naked with no masks. All were led into a wooden chamber with mustard gas piping hooked in. Blocks of ice and fans were inside the chamber to increase humidity levels and heighten the effect of the gas on a human subject’s skin. Once the door closed, it could not be opened from the inside.’ (AHRP undated)

The suffering inflicted following exposure to Mustard Gas is palpable but this doesn’t seem to have been recognised by those who approved, organised, and implemented this experimentation (or, if recognised, it was discounted as being of no significance to the validity or morality of the experiment). As with a number of other trials, there appears to have been a gulf between organisers and human participants, in which the former demonstrated little empathy for the latter.

10.4.3 Denial of Treatment: The Tuskegee Study ‘The principle of medical and surgical morality consists in never performing on man an experiment which might be harmful to him to any extent, even though the result might be highly advantageous to science.’15

The so-called Tuskegee Study commenced in 1932 and continued for the next 40 years. The 600 human participants from Alabama selected for involvement were all poor African-American men. Their informed consent was never sought—in fact they weren’t even told that they were to be enrolled in a trial. As Fairchild et al. (1999) remark: ‘The Tuskegee syphilis study has come to symbolise the most egregious abuse of authority on the part of medical researchers.’

The trial was established by the U.S. Public Health Service and employed a disingenuous approach to the recruitment and selection of participants. Adverts were posted offering free treatment for those diagnosed as suffering from ‘bad blood’ (a generic term that was used to embrace a range of ailments). Some 399 respondents who were diagnosed as having Syphilis (but who were not informed about this) were selected, together with a control group of 201 who were found to be free from the disease. The overarching intention was to study the long-term impact of Syphilis, and this was achieved by ensuring that those with the disease received no medical treatment for it. Although in the early years of the trial treatment was not particularly effective (and was potentially dangerous), following the discovery of

15

Attributed to Claude Bernard (1865) and quoted in Jones et al. (2016).

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Penicillin this situation changed. However, the 399 participants who were known to have the disease were not offered the antibiotic—it was decided that Syphilis should run its natural course, through to their deaths. Local doctors were asked to support the study by not offering treatment to these people: ‘Tuskegee researchers made a wilful effort to deprive subjects of access to appropriate and available medical care as a way of furthering the studies goals.’ (Fairchild et al. 1999)

For example: ‘Eunice Rivers, a local nurse, was recruited by doctors to serve as a recruiter and conduit between researchers and the men… On one occasion, she followed a man to a private doctor to make sure he did not receive treatment.’ (Brown 2017)

In 1972, the Tuskegee Study was made public via The New York Times and this resulted in its termination. But the ramifications have continued to impact on the confidence that many patients have in the medical profession: ‘Within weeks of the first news reports of Tuskegee the African American press and African American political leaders began to view a host of medical and public policy issues through the lens of Tuskegee… [Tuskegee] crystallised a history of medical neglect and abuse that was a consequence of social and political disempowerment.’ (Fairchild et al. 1999).

The authors go on to conclude that: ‘When we understand Tuskegee as emblematic of a history of racism and the experience of social, economic, and political disempowerment, its legacy does much to explain the atmosphere of mistrust that surrounds research, especially when the subjects are vulnerable…’

10.5

Research: Post Nuremberg ‘I don’t think they care so much about their burns and scars – Inside hurts most of all. No one can cure that.’16

The Nuremberg Code is included in Appendix C, and provides a carefully considered framework for medically-related research involving human participants. It was developed as a response to abhorrent experimentation conducted by some Nazi medical practitioners, and this was the focus of the Nuremberg ‘Doctors Trial’. However as we have seen from the brief examples provided above (and as becomes abundantly evident when this area is further researched), in other countries the notion of informed consent was also on occasion cast to one side; the vulnerable were targeted as human participants, and their suffering was justified in terms of the possible benefits to others (the ‘greater good’).

Blundell, Q., ‘Bless the Guilty’, in ‘Collected Works’ (2020).

16

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The Nuremberg Code provided a much-needed framework around which there was the possibility of structuring ethically based research—provided that it was adopted and adhered to. Unfortunately, it’s evident that unethical experimental trials continued after WWII, and whilst much progress has been made in more recent years, trials which target and exploit vulnerable human participants continue today. In this section we provide three brief examples of this post-Nuremberg history.

10.5.1 The Death of Ronald Maddison Following the exposure of Yulia and Sergei Skripal to the nerve agent Novichok in Salisbury, England in 2018 many world leaders condemned: ‘…[the] first offensive use of a nerve agent in Europe since the Second World War.’ (BBC 2018)

The inclusion of the word ‘offensive’ is perhaps judicious, because this is certainly not the first occasion since WWII that people in Europe have been exposed to nerve agents. Ironically, the two recent incidents occurred in Salisbury and Amesbury which lie within a few miles of the Porton Down site which, whilst being home to a number of organisations, has become synonymous with research into chemical and biological warfare: ‘Porton Down, founded in 1916, is the oldest chemical warfare research installation in the world. The tight secrecy which has surrounded the establishment for decades has fed the growth of all sorts of myths and rumours about its experiments.’ (Evans 2004)

And undoubtedly the fact that the recent incidents involving Novichok occurred in such close proximity to one of the world’s leading nerve agent research centres may give rise to wild conspiracy theories. Unfortunately this may not be entirely surprising as Porton Down has attracted significant criticism for the implementation of trials in which human participants were subjected to highly dangerous chemical and biological materials—such as Tabun and Sarin. In referring to the period immediately following WWII, Schmidt (2015) writes about the Porton Down environment: ‘Unregulated, unsupervised, and largely uncontrolled by government, their work took place away from the public eye, in the confines of purpose—built laboratories, in gas chambers… Secrecy protected them from outside interference, transparency, and democratic accountability…’

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Which some might argue are natural circumstances given the nature of the work being undertaken. However, it was against this backdrop that researchers devised and carried out trials involving human and animal participants: ‘From 1945 to 1989, Porton exposed more than 3,400 human “guinea pigs” to nerve gas’ (Evans 2004)

Twenty-year old Leading Aircraftsman Ronald Maddison was one of many servicemen who volunteered to participate in these trials, and in 1953 he died as a consequence of doing so. Some 51 years later, an inquest jury decided that he had been unlawfully killed, thereby overturning the findings of a previous inquest that had been held (behind closed doors for self-serving security reasons) shortly after his death. This had returned a verdict of death by misadventure: ‘At the time, government lawyers recommended offering the dead man’s relatives a pension to “dispose of the case”, noting, “Least said, soonest mended”.’ (Milmo 2004)

From April through to June 1953, a request was made to the RAF to supply 140 airmen to participate in physiological experiments. As an incentive, volunteers were offered extra pay and were given a reprieve from the tedium of military duties (at that time military service was compulsory in the UK). Casting to one side the old soldier’s mantra of ‘never volunteer for anything’, Maddison set off on the ferry from Belfast to Heysham, little knowing that within four days he would be exposed to 200 mg of the nerve agent Sarin. This was just one of a series of tests that had been carried out with Sarin using servicemen as human participants, and there can be no doubt that by 6th May 1953 when Maddison and five other participants were exposed to the agent, it was clearly evident that the tests had significant dangers associated with them. Just over a week earlier, one of a group of six test participants who had been exposed to 300 mg of Sarin came close to death. Schmidt (2015) quotes from a witness statement, a part of which reads:

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‘…symptoms were marked by general spasms of the body – from his knees to his chin – and an inability to breath… taken to hospital where his breathing stopped temporarily. Mucus and saliva were immediately cleared from his mouth…’

It appears that volunteers generally believed that they would be participating in trials intended to cure the common cold (the Common Cold Research Unit was also located at Porton Down), in which case there could have been little expectation that the trials had a high level of inherent danger. Following the incident mentioned above, coupled with adverse reactions of other participants, the Sarin dosage was reduced to 200 mg—but in the event in itself this change was not sufficient to ensure safety. In the case of Maddison, within *20 minutes of exposure to Sarin he indicated that he was feeling unwell and the trial was halted. However his condition rapidly deteriorated. A witness statement (quoted in Schmidt 2015) recounts that: ‘… [he] was thrashing around and his limbs were shaking violently…[he was] making a very strange bubbling noise that seemed to be coming from his throat.’

By the time that an ambulance arrived, he was unconscious and subsequently died (approximately 3 hours after the trial had commenced). These trials were considered to be crucial to ‘national interests’ and Maddison’s death threatened to be highly disruptive. If it became generally known that they involved a high degree of risk, then servicemen would surely be less inclined to volunteer. Furthermore, previous work would be scrutinised—to what extent would the use of non-informed consent be deemed to be ethically appropriate? From a political perspective, the consequences of media attention could have been highly embarrassing: ‘Any revelations, however small, or any public debate about Britain’s nerve agent experiments that detrimentally affected defensive preparations and the willingness of soldiers to volunteer for Porton’s trials were considered to be potentially catastrophic.’ (Schmidt 2015)

And so a decision was taken to suppress the circumstances leading to Maddison’s death. Hence it was arranged (presumably with the complicity of the Coroner, a law officer of the Crown) for the inquest to be held behind ‘closed doors’. As a result, secrecy was preserved and the nerve agent research programmes continued. However as mentioned above, in 2004 the circumstances surrounding Maddison’s death were re-examined in a new (public) inquest and this returned the verdict of ‘unlawful killing’: ‘One expert told the hearing that the scientists had been “acting on the edge of their knowledge” and exposed the volunteers to “uncontrollable danger”.’ (Milmo 2004)

For further discussion see OTU Activities 10.6 and 10.7.

10.5

Research: Post Nuremberg

793

10.5.2 Radioactive Cocktails During pregnancy many women take iron supplements—but what’s the optimal dosage? During the period 1945–1947, researchers at Vanderbilt University sought to answer this question, and to do so investigated the extent to which iron is absorbed by both mother and foetus. The research wasn’t carried out in isolation but also involved Tennessee State Department of Health and was partially funded by the U.S. Public Health Service. In designing their experimental trial, the researchers decided to give each human participant a single dose of radioactive iron (Fe-59). By subsequently taking blood samples from the mother and from the baby at birth, they could then readily determine the percentage of the radioactive isotope which had been absorbed. Clearly from the perspective of mother and baby this was a non-therapeutic form of trial—they had nothing to gain and moreover would be exposed to a degree of risk. Further, at that time the dangers associated with exposure to radioactive materials were clearly evidenced by extensive media reports dealing with the devastating impact of the atomic weapons that had just been unleashed on Japan. Whilst this was in no way comparable to injecting a small amount of Fe-59, it would surely have made the average person wary of radioactive materials in

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general, and few if any pregnant women would have been willing to subject themselves or their babies to risks that might be associated with imbibing a radioactive isotope. The solution adopted by the researchers was to select some 1,600 pregnant women and involve them in the trial without their knowledge. Of these, during their second prenatal visit, approximately 820 were proffered a ‘cocktail’ which unbeknown to them contained the radioactive isotope. In reviewing this trial the Advisory Committee on Human Radiation Experiments (ACHRE) which was established in 1994 by U.S. President Clinton in response to mounting reports of unethical experiments carried out by, or on behalf of, the U.S. government involving human participants being exposed to ionising radiation, reports that: ‘We did establish that the Vanderbilt study was not the only experiment during this period to expose foetuses to research that offered no prospect of medical benefit to them or their mothers.’ (ACHRE 1995)

The Advisory Committee indicates that follow-up research in the 1960s found no significant differences in malignancy rates between mothers who had been given the radioactive isotope, and those in the control group. However in the case of the babies, they identified: ‘…a higher number of malignancies among the exposed offspring (four cases in the exposed group: acute lymphatic leukaemia, Synovial sarcoma, lymphosarcoma, and primary liver carcinoma, which was discounted as a rare familial form of cancer) No cases

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Research: Post Nuremberg

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were found in the control group of similar size, and approximately 0.65 cases would have been expected…’ (ACHRE 1995)

Figure 10.2 summarises four key aspects of this trial which illustrate ethically undesirable practice. These are briefly discussed below: 1. Research Knowledge: At the time of the trial, knowledge of the impact of ionizing radiation on both pregnant mothers and unborn babies was limited— although there was good reason for the researchers to believe that considerable caution needed to be exercised. Conversely, there was no sound basis for dismissing risk. Consequently in planning the trial researchers could/should have sought alternative approaches. 2. Status of Human Participants: It appears that women from poorer backgrounds were used in the trial. Although there seems to be no indication that this was a deliberate decision, it followed common practice. 3. Informed Consent: The participants were not informed about the trial and its possible risks nor were they asked for their consent. In essence, unbeknown to them their unborn babies were being put at risk—with no possibility of therapeutic gain. 4. Hidden Agenda: Clearly the medical practitioners who were responsible for caring for those who were given the radioactive isotope had an agenda which they did not reveal to their patients. Furthermore, they actively supported the trial by administering the isotope, and through the collection of blood samples. Consequently it would appear that their actions compromised the relationship which should exist between doctor and patient—recall from Sect. 10.3 and the quotation taken from the work of Albert Moll, a part of which reads: ‘Moll… asserted that the essential characteristic of the doctor was that of the healer who is committed to the well-being of the individual patient.’

Extent of research knowledge

Status of human participants Impact on doctor patient relationship

Participants not informed and no consent sought

Hidden agenda

Fig. 10.2 Summarising four aspects of ethically undesirable practice in relation to the trial in which a radioactive isotope was administered to *820 pregnant women—without their knowledge. In 1998 the participants were awarded $10.3 million in compensation. See text for discussion.

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Moll’s emphasis is on the doctor’s responsibility to the individual patient which, if firmly founded on ethical principles, should create a situation in which the patient can place great confidence in the medical practitioner. But this may well be eroded if/when it’s perceived that the practitioner’s actions are influenced by other agendas.

10.6

The Declaration of Helsinki

‘The voluntary consent of the human subject is absolutely essential… The duty and responsibility for ascertaining the quality of the consent rests upon each individual who initiates, directs or engages in the experiment. It is a personal duty and responsibility which may not be delegated to another with impunity.’17

In 1964 the World Medical Association produced the Declaration of Helsinki—a document whose foundations are firmly underpinned by the Nuremberg Code. Over the years it has undergone numerous revisions and stands as a guiding statement of ethical principles for those who are engaged in medically related research involving 17

Reproduced from the Nuremberg Code. See Appendix C.

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The Declaration of Helsinki

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human participants. A recent version of the declaration is provided in Appendix D, and it’s instructive to compare this with the Nuremberg Code (Appendix C). From the perspective of our current discussions, there are two general but important points of note: 1. Interpretation: As with any statement of ethical principles (and as is the case with so many other forms of document), people frequently debate whether interpretation should be based on the author’s intent or on the reader’s understanding. The former is often dismissed on the grounds that unless one was privy to the discussions which culminated in the final draft of a document, then it’s almost impossible to accurately gauge the ‘intent’ of those responsible for its creation. However, in the case that interpretation is based solely on the readers’ (sometimes mechanistic) understanding of the words that appear on screen or paper, then it’s necessary to draft documents with such care and miniscule attention to detail that their contents become increasingly difficult to readily understand, and even more difficult to keep in mind. In this context it is interesting to compare the length of the Nuremberg Code and the recent version of the Declaration of Helsinki. The former comprises *500 words and the latter is some 1,700 words longer. It is unlikely that many practitioners would be able to recite very much of either document verbatim—a point which is reinforced by my own experience in connection with the BCS (British Computer Society) Code of Conduct (Appendix B). This is just less than 500 words long and to date I have not encountered anyone able to recite this document or any significant part of it (which may suggest that it isn’t considered to be relevant). Undoubtedly the longer a document, the greater the effort which must be directed to its interpretation, and the greater the danger that this interpretation will result in the identification of seemingly contradictory statements. All too often Ethics Committees become engrossed in discussion relating to interpretation, and unfortunately the seemingly endless debates which can ensue sometimes distract from bigger and possibly more important issues. 2. Loopholes: Documents such as the Nuremberg Code, the Declaration of Helsinki, and the BCS Code of Conduct can be read in both positive and negative ways. In the case of the former, guidance is derived from the document and the reader (hopefully) aligns his/her activities in a way that seeks to achieve conformance. However, the opposite approach may be taken and a reader may endeavour to find loopholes which will enable work to be undertaken without technically breaching standards. In this context Carlson et al. (2004) write: ‘A very interesting question… is to ask just what is revealed when the response to the text is to seek loopholes and ask ‘what can I get away with?’, as opposed to ‘How can I seek to achieve these aspirational standards in my research?’’.’

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It would seem that the most ethical approach to interpreting and acting upon documents dealing with ethical standards is to pay particular attention to their overarching spirit. Professional ethics should not be reduced to mechanistic processes which detract from the ‘bigger picture’, and key parts of any expression of standards should be memorable. By way of example, the version of the Oath of Hippocrates provided in Appendix E is *500 words long and is undoubtedly remembered in its entirety by few. However very many both inside and outside the medical profession recall the wise and critical injunction to do no harm (‘but from what is to their harm or injustice I will keep them’). Unless documents which provide ethical guidelines and wise council are read within a framework of overarching spirit, then they are likely to be reduced to mere words on paper which are to be picked over by committees. In this case the ethical vision of ‘doing the right thing’ is likely to be extinguished: ‘The unanswered question is whether the existence of such codes really raises the ethical standards… or whether they are ‘Only words, words, to be led out to battle against other words?’’ (Carlson et al. 2004)

For related discussion see OTU Activities 10.9 and 10.10.

10.7

10.7

The Uncertainty of Informed Consent

799

The Uncertainty of Informed Consent

Here we consider the process of ‘informed consent’ as applied to participation in research-based activities, and demonstrate that in some situations this process is by no means straightforward. Informed consent may be defined as: ‘Agreement or permission to do something from someone who has been given full information about possible effects or results.’ (Cambridge English Dictionary)

And more specifically in a medical context: ‘The process by which a patient learns about and understands the purpose, benefits, and potential risks of a medical or surgical intervention, including clinical trials, and then agrees to receive the treatment or participate in the trial. Informed consent generally requires the patient or responsible party to sign a statement confirming that they understand the risks and benefits of the procedure or treatment.’18

In Fig. 10.3 we indicate three potential areas of ethically related risks associated with this general procedure, and these are briefly discussed in the following subsections.

Informed Consent

Temporal: Changes in outlook and state

Ethics of incentives

Intentional and unintentional bias

Fig. 10.3 Three exemplar factors which can impact on the validity of ‘informed consent’ as applied to medically-based research (these may also apply to research in other areas). As discussed in the text, there can be little doubt that unscrupulous researchers can readily manipulate the informed consent process in ways which may well be transparent to oversight processes. See text for discussion.

18

Source: MedicineNet.com.

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10.7.1 The Temporal Factor ‘This is no run of the mill piece of skulduggery The crime was not an act of cheating as mere fraudulence Rather it was cheating as a potentially lethal act As potential murder if you like.’19

When a person signs a document confirming their ‘informed consent’ they are doing so at a particular time and under a certain set of circumstances. Often this is of little consequence as their outlook may not change—but in some situations they may regret their decision. By way of example consider an older retired person (I’ll refer to him as Mr. H), who is generally in fairly good health but who for some months has been having treatment for a medical condition. Following his retirement from a busy profession he feels at a loss, and so is only too keen to engage in 19

Extract from one of the many documents written by Mr. H. See text for background.

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The Uncertainty of Informed Consent

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activities which give him a sense of purpose—a feeling that he’s still able to make a meaningful contribution to society. One day on one of his monthly hospital visits for treatment (which seems to be working out well) he’s asked if he would be willing to participate in a research trial. It relates to his medical problem, and when explained to him the aims of the research appear laudable—if successful the work will help many people. Medication will be supplied and he’ll simply have to visit the hospital every two weeks for a six month period. The enthusiasm of nurse and doctor is contagious—they are so very grateful to him for agreeing to give his informed consent to participate. Mr. H signs the form and receives his new medications. ‘You see’ he muses that evening, ‘old people can still be useful after all’. Every fortnight the complimentary taxi arranged by the hospital arrives at his home and takes him to the facility at which the trial is taking place. Everyone is encouraging and as the weeks go by he feels an ever stronger sense of purpose until eventually the trial comes to an end. A letter arrives in the post formally thanking him for his participation—and then silence. Several years later, his medical condition starts to degenerate and in parallel the first signs of dementia begin to become evident. In frustration as his seemingly endless days pass by he frequently thinks back to the research trial—he was always somewhat aggrieved that he was never told whether or not the work had been successful. Furthermore, he recalls that during the latter stages of the trial he had reservations about the impact that the medication was having on him. Consequently he asked to withdraw but was eloquently persuaded to continue. His chagrin is fuelled by occasional newspaper articles concerning unethical conduct in medical research. A dangerous cocktail of thoughts and emotions gradually stirs within his mind—perhaps the degeneration of his medical condition is a result of the drugs that he was given during the trial, perhaps the doctor had not been fully upfront about the risks. In the twilight world between the early stages of dementia and its more aggressive impact, for two years Mr. H engages in ever more frustrated correspondence as he seeks to recount and question every detail of the trial and his many hospital visits. (In reviewing some of this correspondence, it’s difficult to begin to estimate how much time and effort was spent on this bitter task.) To him, his body and his mind are not failing through age—it’s surely the trial which is to be blamed. As for the researchers and those associated with them, their replies are brusque and clinical—the trial is long over, the results had been disappointing. They have moved on and the old man is simply a nuisance. In some situations there would appear to be an unpredictable temporal aspect to ‘informed consent’.

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10.7.2 The Reward Incentive It is not uncommon for volunteers who agree to participate in some form of trial or experiment to be offered an incentive for doing so. In the case of research based on surveys this appears to quite a reasonable approach, and provides compensation for the time which they have devoted in responding to verbal or written questions. Thus for example, there may be a small financial incentive, the participant may receive a physical gift or may be entered into some kind of draw which offers a prize. This latter approach is sometimes used by universities to encourage students to participate in seemingly endless numbers of questionnaires (and without an incentive the number of students who respond to surveys is often very low…). But when we consider the use of incentives in relation to participation in medical research trials (or other areas in which participants may undergo a degree of suffering, exposure to danger or loss of dignity), ethical concerns emerge. Depending on the ‘value’ of the incentive to the individual, it can be considered as a means of persuasion used to override instinctive concerns, or better judgement. Thus the incentive approach can provide researchers with a means by which they can gain compliance. In the case of people who are suffering from poverty or from other forms of vulnerability, this can magnify a power imbalance and act as a strong means of driving participation. As a result, ‘informed consent’ may be obtained through the use of undue influence, and in effect create a situation in which the wish/need to obtain the incentive puts all other considerations to one side. However, Grant and Sugarman (2004) provide an alternative perspective: ‘A destitute person may be induced to do something against his or her better judgement, or even against his or her will, by the offer of a large amount of money, for example… Thus, researchers ought to be particularly wary of offering incentives to vulnerable populations since this practice can be an unethical form of coercion. On the other hand, the critics of this view, characterising it as paternalistic, argue that to say that an offer is irresistibly attractive is simply to say that the person accepting the offer desired to have the thing offered more than anything else. How can this be characterised as anything other than free choice” There are in fact no such things as undue inducements.’

This latter reasoning is commonly used to justify decisions to conduct medicallybased research in economically poorer countries and, for example, overlooks the lengths to which desperately poor parents will go in an effort to support their children and extended families: ‘To what extent do you have a [real and meaningful] choice about participating when you see an opportunity to feed your starving family… or get treatment for a terminal disease you could never hope to pay for by conventional means?’ (Kelly 2013)

Furthermore the value of an incentive cannot be meaningfully viewed in absolute terms, but must be gauged in terms of the perception and needs of the recipient—in fact on some occasions the level of their desperation. ‘Completion bonuses’ represent another form of incentive and are paid to ensure that participants fully adhere to the requirements of a trial/experiment, and follow through to its completion. From the perspective of the researcher, this approach can

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The Uncertainty of Informed Consent

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be particularly advantageous since it reduces the likelihood of participants failing to adhere to agreed requirements, and of their dropping out prior to closure. In the case of more innocuous forms of medically-based research, the completion bonus appears to offer a reasonable strategy. But from an ethical perspective, the situation becomes more complex when experimentation has the potential to cause suffering, distress, embarrassment, etc. to the participant. Once involved in an experiment the reality of negative reactions may result in a natural urge to withdraw—but this may be overridden by a person’s need to receive the completion bonus. It’s also conceivable that less ethically motivated researchers would be more likely to associate a completion bonus with trials in which there is a greater chance that participants will suffer negative reactions during the course of the experimental process. For related discussion see OTU Activity 10.11.

10.7.3 Intentional and Unintentional Bias ‘There is I think, a misunderstanding that if you set up an ethics panel there are some sorts of ground rules, like principles of accounting, and everyone knows what those rules are. In the field of ethics, there are no ground rules… it all depends on who you pick.’20

Researchers often become passionately committed to their work. Furthermore, in procuring research funding and in self-justifying the large amount of time which they must invariably commit to their research efforts, project outcomes are generally anticipated in a very positive way. Whilst potential obstacles may be foreseen, the proverbial hills which will have to be scaled are not perceived as mountains— indeed it’s not unusual for the researcher to take the opposite stance and optimistically view mountains that have never previously been scaled as minor hills. There’s a danger that a researcher’s passionate commitment and dedication to his/her work, coupled with such a pervasively optimistic outlook, may influence discussions with potential participants and hence erode the duty of care which should be exercised when obtaining informed consent. In addition it’s apparent that there are limits to the extent to which a person can ‘be informed’ of the full scope and ramifications of a trial. Recall the events briefly outlined in Sect. 10.7.1 in connection with Mr. H. In reviewing literature published subsequent to this trial it’s evident that although it was established in the U.S., it operated internationally. Mr. H had no understanding of the scale of the trial and was under the impression that it was organised and operated within the UK. Further, he had no knowledge of the extent to which it may have been influenced by some of the major stakeholders in the medical world. A publication describing the results of the trial lists possible conflicts of interests of the paper’s author (who was one of the main organisers of the trial). This reads:

20

Quoted in De Vries et al. (2009).

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‘Conflicts of Interest: …consultant for Merck, Novartis, Pfizer, Takeda, Astra Zeneca, Bayer, Forrest Laboratories, and received grants from Bayer, Novartis, Abbott, and Medtronic.’

It is most doubtful that potential conflicts of interest (and their ramifications) are properly disclosed during the informed consent process, and of course when the amount of information provided to a potential participant increases, there is no guarantee that it will be understood and/or assimilated.21 In conclusion, it seems that without scrupulous care the informed consent process can be easily manipulated—either intentionally or unintentionally.

21

From briefly reviewing a publication delineating results obtained via this trial, it appears that it involved some 3,800 human participants who had significant trial-related health problems. However the results of the trial may well have proved to be of limited value: ‘The incidence of these events in clinical practice might have been underestimated by the fact that patients… [in the trial] were shown to be tolerant to the… [medication] during a run in period prior to being randomised to the… [new] dosage strategy.’ Thus as a result of prior usage of the drug, the participants could not be considered to be a truly randomised sample. This provides an example of a way in which a poorly designed trial can be of little real scientific value whilst at the same time causing distress (and health problems) to participants. The drug tolerance problem should have been identified at the planning stage.

10.8

10.8

Animal Experimentation

805

Animal Experimentation ‘There ought to be laws that if there are alternatives and they are proven and accepted by the FDA…, then nobody should be allowed to use animals for those tests. But they will because they are set up that way, because they’ve trained people that way, there’s a whole multibillion dollar industry there and because people don’t want to do things differently.’22

In Sect. 8.3 we discussed aspects of human consciousness, and commented that ‘discussion of consciousness raises the passions of researchers… the debate between philosophers, neurologists, psychologists, theologians and others can certainly be intense and is compounded by the widely differing stance of atheists and believers.’ Here we turn our attention to another area which attracts heated and often highly polarised debate—the use of animals23 in research (which we assume encompasses their use in experimentation and medically-related training). This matter is awash with ethically related issues, and some of these are likely to be encountered by readers who become involved in the development of technologies/techniques and/or the processing of data relating to animal experimentation. Alternatively in areas such as surgical training there are great opportunities to develop systems which alleviate the need to make extensive use of animals by, for example, the ongoing development of innovative 3D display technologies used in conjunction with haptic interaction tools (such as a haptic scalpel)—thereby enabling the user to ‘feel’ the sensations that are associated with cutting through physical matter (Blundell and Schwarz 2006; Blundell 2011). Some people are passionately committed to the elimination of sentient creatures from all forms of medical-based trials and other forms of experimentation. Invariably they strongly condemn those who participate in such work. Contrariwise proponents of animal experimentation justify their use largely on the basis of logical argument. For example, animal experimentation has been used extensively in the development of today’s mainstream medical skills, practices and medications. Consequently, consider the case of a person who has been involved in a serious accident (or is unwell and in severe pain). Even if he/she is ardently opposed to animal experimentation, is it likely that they would ask for (or even be able to obtain) viable treatments and medications that have not been tested on animals? Similarly, suppose that a person with such views encounters a situation in which a dearly loved family pet becomes unwell and is clearly suffering. Would the owner turn down medications offered by a vet because, during development, they had been tested on animals? In short, acceptance of mainstream medicine implicitly assumes a degree of acceptance with regard to the confinement of animals in research facilities and their exposure to medications, surgical procedures, and the like: 22

Goodall (2008). In this text we use the term ‘animals’ loosely as referring to all sentient, non-human, creatures.

23

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‘Those who object are entitled to refuse treatments that have been developed through animal tests – even if that means rejecting virtually every medical treatment that exists.’ (Blakemore 2008)

Dewey (1926) observes: ‘Scientific inquiry has been the chief instrumentality in bringing man from barbarism to civilization, from darkness to light, while it has incurred, at every step, determined opposition from the powers of ignorance, misunderstanding, and jealousy.’

And suggests that: ‘It is… the duty of scientific men to use animal experimentation as an instrument in the promotion of social well-being; and it is the duty of the general public to protect these men from attacks that hamper their work…For physicians and scientific men… are in this matter acting as ministers and ambassadors of the public good.’

Blakemore (2008) writes that: ‘Medical researchers are not a bunch of scalpel-wielding lunatics. Those I know are compassionate, humane people who carry out their work with great caution and consideration and with every effort to minimise suffering.’

This may well be the case, but it is evident that there are exceptions and that over time even with the best of intentions a researcher’s empathy for the animals which he/she encounters in laboratories may be gradually eroded. And some ask whether a person who has a strong affinity towards animals would choose to carry out experimentation on them? A reality is that the affinity which people have for animals and other sentient creatures varies widely within cultures and between cultures. Here I am reminded of lectures that I have delivered in connection with biobots (recall discussion in Sect. 8.7 concerning experiments which involved affixing hardware to insects so that their movements can be remotely controlled). Invariably, I have found wide-ranging student reactions to video footage of this work. Some regard the control exercised over the insect with considerable amusement, whilst others believe it to be quite distasteful. Interestingly, in discussion students often find it difficult to spontaneously elucidate their reactions. Those for and against the use of animals in medically-related experimentation tend to be widely separated in their outlook, and it’s likely that this is exacerbated by a general lack of transparency on the part of those engaged in this work. Furthermore the history of animal experimentation is awash with practices that suggest a complete lack of empathy and a disregard for animal suffering. In the next subsection we provide a very brief review of aspects of this history, and subsequently consider ethical issues relating to the current situation.

10.8

Animal Experimentation

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10.8.1 From Empathy to Cruelty ‘It is very queer that the unhappiness of the world is so often brought on by small men.’24

Undoubtedly both human and animal experimentation have played a profoundly important role in the advancement of medicine, and since the earliest times vertebrate species have been widely used as a means of better understanding human anatomy and physiology. Given longstanding societal and religious taboos regarding the dissection of the human body, the use of animals represented a natural solution to furthering scientific enquiry. From an ethical perspective, living creatures were considered within a hierarchical framework which ranked humans as the superior being. Thus, for example, Thomas Aquinas, the 13th century Christian philosopher, adopted the stance that: ‘…animals were part of a natural world created to serve humans…and humankind did not have any obligations to them… Cruelty to animals was nevertheless condemned by Aquinas, as it could lead humans to develop feelings and actions of cruelty towards other humans.’ (Franco 2013)

This latter notion has been supported by other philosophers—for example in the case of John Locke (1632–1704): ‘…children should be brought up to abhor the killing or torturing of any living thing in order to prevent them from later becoming capable of cruel actions to fellow humans.’ (Franco 2013)

For related discussion, see OTU Activity 10.12.

Similar sentiments were expressed by Immanuel Kant and continue to be relevant today. Whilst over the centuries many have adopted the notions of human superiority and inalienable rights over animals, our responsibilities and attitudes towards animals are also frequently acknowledged. Thus, for example, Thomas Aquinas recognised the expression of love towards irrational creatures and Kant suggested that: ‘…we can judge the heart of a man by his treatment of animals.’ (Bates 2017)

Remarque (1987), first published in 1929.

24

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Prior to the advent of anaesthetics, live experiments on animals were often extremely cruel and caused great suffering. Here we encounter yet another perverse aspect of human nature, as whilst many observers were able to demonstrate true empathy for an animal’s plight, others found the experience fascinating and at times enthralling. Even the most cursory review of publications describing experiments that have been carried out on animals demonstrates that a significant proportion of this work had little if any value, and in some cases was quite beastly. By way of a relatively mild example, consider the work of physician/physiologist François Magendie (1783–1855) who appears to have had no empathy for the animals upon which he experimented. An American Physician described one of his demonstrations to medical students: ‘This surgeon’s spring course of experimental physiology commenced in the beginning of April. I seldom fail in “assisting” at his murders. At his first lecture, a basketful of live rabbits, 8 glass receivers full of frogs, two pigeons, an owl, several tortoises and a pup were the victims ready to lay down their lives for the good of science! His discourse was to explain the function of the fifth pair of nerves. The facility was very striking with which the professor could cut the nerve at its origin, by introducing a sharp instrument through the cranium, immediately behind and below the eye. M. Magendie drew the attention of the class to several rabbits in which the fifth pair of nerves had been divided several days before. They were all blind of one eye, a deposition of lymph having taken place in the comes, from inflammation of the eye always following the operation alluded to, although the eye is by this section deprived of all its sensibility. Monsieur M. has not only lost all feeling for the victims he tortures, but he really likes his business. When the animal squeaks a little, the operator grins; when loud screams are uttered, he sometimes laughs outright. The professor has a most mild, gentle and amiable expression of countenance, and is in the habit of smoothing, fondling and patting his victim whilst occupied with preliminary remarks, and the rabbit either looks him in the face or ‘licks the hand just raised to shed his blood. During another lecture, in demonstrating the functions of the motive and sensitive fibers of the spinal nerves, he laid bare the spinal cord in a young pup, and cut one bundle after another of nerves. (…) Living dissection is as effectual a mode of teaching as it is revolting, and in many cases the experiments are unnecessarily cruel and too frequently reiterated; but so long as the thing is going on, I shall not fail to profit by it, although I never wish to see such experiments repeated.’ (Franco 2013 quoting Olmsted 1944)

Bates (2017) quoting Philips and Sechzer (1989) recounts the protestations of a Quaker who visited Magendie in his laboratory: ‘Thou performest experiments on living animals. I come to thee to demand of thee by what right thou actest thus and to tell thee that thou must desist from these experiments, because thou has not the right to cause animals to die or make them suffer, and because thou settest in this way a bad example and also accustomest thyself to cruelty.’

In the UK the callous actions of Magendie (coupled with the satisfaction that he seemed to derive from the suffering of animals) were widely condemned and: ‘By the end of the nineteenth century, the sentiment was common among the public that, as Queen Victoria had put it, animal experimentation was: ‘horrible, brutalising, unchristianlike’, and ‘one of the worst signs of wickedness in human nature’. (Bates 2017)

This author goes on to add: ‘Despite their stereotypical portrayal in literature as callous and undisciplined, medical students generally shunned vivisection, and it was little used in British medical schools, where many of the teachers shared anatomist Josef Hyrtl’s (1810–1894) view that anyone who could look calmly on vivisection would not make a good physician.’

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Animal Experimentation

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The focus on animal suffering was succinctly emphasised by Jeremy Bentham (1748–1832): ‘The question is not, Can they reason? Nor, Can they talk? But, Can they Suffer?’ (Franco 2013 quoting Bentham 1823)

The development of anaesthetic techniques had a profound impact on animal experimentation, for if carefully employed it was possible to ameliorate animal suffering. However not all researchers employed anaesthetics for this purpose, but rather to facilitate the handling of their subjects. For example the bacteriologist Emanuel Klein (1844–1925) was quite candid in his testimony: ‘When you say that you use them [anaesthetics] for convenience sake, do you mean that you have no regard at all for the suffering of animals? No regards at all. You are prepared to establish that as a principle of which you approve? I think with regard to an experimenter, a man who conducts special research, he has no time, so to speak, for thinking what the animal will feel or suffer.’ (Quoted in Bates 2017)

Furthermore: ‘…the claim that animals were rendered senseless to pain gave carte blanche to many physiologists to use as many animals as they pleased for research, teaching, and demonstrations, despite anaesthetic being improperly administered, thus failing to prevent suffering for more than the brief initial moment.’ (Franco 2013)

The availability of anaesthetics promoted the notion of painless animal experimentation, and as a result animals were ever more widely used—often for quite pointless purposes. In 19th century Britain, a key theme to protestations in relating to animal experimentation centred on the impact that this activity would have on those carrying it out, and by 1863 the British Medical Journal cautioned: ‘Let there be no mistake about it: the man who habituates himself to the shedding of blood, and who is insensible to the suffering of animals, is led on into the path of baseness.’ (Anon 1863)

From the perspective of patients in the UK, medical practitioners who engaged in animal experimentation were often characterised as being cold-hearted, lacking compassion, unchristian, cruel, heartless, and inhuman. Could such a person be trusted to provide the care which a patient sought? This outlook was expounded by the many people who were committed to promoting the welfare of animals. A high proportion of the anti-vivisectionist movement were women, and Bates (2017) suggests that this was part of the growing feminist movement in which some women used the abuse of animals as a metaphor for their own vulnerability. In parallel, medical practitioners were seeking to develop their image not only as professionals but also as gentlemen—surely a ‘gentle’ man could never treat animals with such base cruelty? This point was reinforced by the use of animals not only for scientific advancement but also for demonstration purposes. For example, on 13th August 1874 the French physiologist Eugène Magnan attended the Norwich meeting

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of the British Medical Council to demonstrate the differential effects of administering alcohol and absinthe in very high doses. This was not ground-breaking research, the results were already well-known and Magnan’s purpose was simply to provide a vivid demonstration. To this end two dogs were cruelly restrained and the toxins were administered through the femoral vein. It’s reported that: ‘A great “scene” followed, that is to say several gentlemen protested against the experiment, and discussion ensued…. Having learnt what was about to be done, he said it was a totally unnecessary operation, and downright cruelty… But notwithstanding these protests, it was decided by a majority of those present that the experiments should proceed.’ (Anon 1874)

The above passage is taken from a report in the British Medical Journal which records the ensuing prosecution. Subsequent legislation resulted in a requirement for the licensing of vivisectionists through the 1876 Cruelty to Animals Act. Although in recent times many countries have put extensive legislation in place to control (to some extent) animal experimentation, unwarranted levels of suffering continue. We have little ability to appreciate the ways in which animals ‘experience the experience’ (recall Sect. 8.3) of suffering and in reading a draft of this chapter, a colleague recounted to me an event which he had observed and which is perhaps an appropriate reminder of the sensitivity and profundity of animal sensibility. In brief a farmer killed a number of piglets in close proximity to their mother. Even though she didn’t directly observe the proceedings, she became so distressed that she would no longer eat and died. In considering the seemingly unfathomable manner in which the mind ‘experiences the experience’, we have no way of knowing whether the profundity of the sows experience was lesser than, equal to, or even greater than that which would be felt by a human under similar circumstances. Furthermore, when in this context we use the word ‘profundity’, we must bear in mind that between species this is likely to have a multi-dimensional quality such that even if two ‘experiences’ are deemed in some way to be equivalent they may be quite different in nature.

10.8.2 Ethics in the Laboratory ‘Bioethics as currently taught in British medical schools is unlikely to stress the importance of the physician’s humane character as anyone who works in a teaching hospital will know, medical students and junior doctors are trained to seek the greatest benefit for the largest number; and to their utilitarian hammer, everything looks like a nail.’25

The use of animals for experimentation and medical training has underpinned the evolution of many aspects of today’s laboratory-based medical practices. However as indicated above, the continued use/exploitation of animals for medically-related purposes continues to attract heated debate. In this context, Bates (2017) writes:

25

Bates (2017).

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Animal Experimentation Opportunities to reduce human suffering

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Effects on those engaged in the activity

Inherent rights of animals Animal Experimentation Human responsibilities to animals Established processes involving animals

Opportunities to enhance human health

Difficulty of enforcing standards Variability of standards

Infliction of suffering on animals

Extensive and lucrative commercial interests

Fig. 10.4 Summarising some of the ethically related issues and considerations pertaining to animal experimentation—see text for discussion. ‘There quite possibly never was a contest in which the disputants failed so comprehensively to grasp one another’s point of view.’

Figure 10.4 brings together some key ethically related themes of the history outlined in the previous subsection, and these are briefly discussed below: 1. Rights and Responsibilities: The intrinsic rights of animals and our relationship with them have long been a source of debate. At one end of the spectrum the human is perceived as ‘top dog’ so to speak, and all living creatures exist to serve our needs. The contrary view is that animals have intrinsic rights, and we have an obligation to ensure that wherever possible these rights are upheld. 2. Infliction of Suffering: In the case that we believe that we have the right to assume that human interests are of paramount importance then, in principle, it’s possible to adopt a utilitarian approach (by which ethical action is judged according to the result that will give the highest possible ‘wellbeing’ for all stakeholders). However, this is often underpinned by pseudo-maths in that a quantitative result purporting to justify a decision is determined, but in reality this result may have little meaning as it is often not based on firm foundations. For example, in the case of a proposed experiment involving animals we may attempt to quantify the harm associated with not doing the experiment, and the good which may be derived from it. A much-simplified example is presented in Table 10.2, from which the difficulty of quantifying the various factors is immediately evident. Furthermore even if we were able to predict and thereby assess the likely suffering caused to each animal, quantification of the benefit is extremely difficult and prone to uncertainty. In this sense, and as previously mentioned, researchers are invariably overly-optimistic about the benefits which will be derived from their work. But the reality is that any experimental trial may in fact not lead to any ‘useful’ results. For example, even in the case that the science is proven to work in respect of animals, it may not apply to humans.

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Furthermore factors such as required investment, predicted profit, and overarching corporate strategy may preclude the development of a potentially useful medication or procedure. Thus in practice, in connection with Table 10.2, we must also embrace many other factors which includes the need to take into account the fact that even if an experiment is scientifically successful, this doesn’t necessarily mean that benefits will ensue. In considering the suffering that may be inflicted on animal participants, physical pain immediately comes to mind. However as suggested at the end of the previous subsection, suffering can obviously take on additional dimensions. These may include distress caused by being in an environment in which other animals are troubled in some way. It may also be caused by privations brought about by confinement and existence within a sterile laboratory which is far removed from a creature’s natural environment. In addition, many animals develop an instinctive trust and affection for those with whom they regularly come into contact. In the case of animal experimentation, a creature may well learn to trust the person who will ultimately be responsible for its harm. In this context recall François Magendie cited above: ‘The professor has a most mild, gentle and amiable expression of countenance, and is in the habit of smoothing, fondling and patting his victim whilst occupied with preliminary remarks, and the rabbit either looks him in the face or licks the hand just raised to shed his blood.’

Whilst researchers seek to select the type of animal which is most suited to the experiment on hand, they are also invariably cognisant of an hierarchical framework in which ‘lower’ forms of creature are preferentially selected where possible. However, such a framework is devised by humans and as discussed in Sect. 8.3, it is impossible for us to ‘experience the experience’ of other sentient creatures. This point is reinforced by the fact that, as mentioned above, suffering can be regarded as having a plurality of dimensions. In short it appears that the hierarchical structuring of the animal kingdom cannot be achieved with certainty nor with complete accuracy. Although this type of structuring is suited to the utilitarian outlook, there’s a need to exercise caution, as throughout history a similar approach has been used (and to some extent is still used) in relation to our own species. Thus as we have seen Table 10.2 A much simplified example demonstrating the use of pseudo-maths to support decision-making based on the utilitarian philosophy. We assume that the two sets of numerical data will be individually amalgamated and a decision made according to which result is the greater. See text for discussion. Harm caused by not undertaking the experiment The ‘moral value’ of a human being The number of human beings who might have benefited The ‘value’ of the potential benefit Harm caused by undertaking the experiment The ‘moral value’ of each animal participant The number of animal participants The ‘value’ of the suffering caused to each animal participant

Quantify Quantify Quantify Quantify Quantify Quantify

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in Sects. 10.4 and 10.5, orphans and prisoners have been targeted for some forms of unethical experimentation—simply because they were deemed by some to be lower in the human hierarchy. Similarly in the case of the Tuskegee Study, African Americans were targeted: would such a trial have been conducted on middle-class Anglo Saxons? In addition there are the infirm and people who are unlikely to ever recover from comas. Consideration of an hierarchical framework has resulted in such people being enrolled without informed consent into experimental trials from which they could in no way personally benefit. Undoubtedly for some of those organising experiments the ‘moral value’ assigned to participants is highly variable, and this may perhaps suggest an overlap between the human and animal species. One writer indicates that: ‘…whenever experimenters claim that their experiments are important enough to justify the use of animals, we should ask them whether they would be prepared to use a brain-damaged human being at a similar mental level to the animals they are planning to use.’ (BBC 2014)

3. Impact on Experimenters: As we have seen, over the years much concern has been expressed about the impact of live animal experimentation on those involved in carrying out work of this type. At the most obvious level this is demonstrated by the development of a sense of clinical detachment in which the researcher avoids forming bonds with an animal upon which he/she is likely to inflict a degree of suffering. Reflecting on his own experiences in working in an animal experimentation research laboratory, Zak (1989) writes: ‘Rats and rabbits, to those who injected, weighed, and dissected them, were little different from cultures in a Petri dish: they were just things to manipulate and observe. Feelings of what may have been moral revulsion were taken for squeamishness, and for most of my lab mates those feelings subsided with time.’

Some claim that this transition to being detached, dispassionate, and wholly clinical is crucial to the scientific method, and in parallel underpins the professional attitudes which are commonly encountered within the medical and biomedical communities.

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The ethical values of a person who has been trained within an environment in which clinical detachment is the norm may, for example, view ‘Operation Danish Bacon’ as being ethically appropriate. This title was used in reference to a UK Ministry of Defence approved training programme based in Denmark in which live pigs were wounded by shooting, and their wounds subsequently repaired by British Army surgeons (after which the pigs were killed). Anon (2012) quotes the MoD: ‘This training has helped save lives on operations and by participating in the Danish exercises we minimise the number of animals used.’

This Operation is simply an instance of a much larger international thrust into ‘live tissue training’ (LTT) for the development of trauma acquisition skills (although efforts are being made to develop and encourage the use of simulation techniques). Participation at such training events is likely to quickly become routine, as those involved adapt to a situation which they may initially view with distaste. This may perhaps parallel to some degree the way in which drone operators adapt to killing people at a distance. (Also note the use of dark ‘humour’ in terminology —‘Operation Danish Bacon’ and in respect of remote-killing using drones, victims have been referred to as ‘bug splat’.) 4. Standards: There is little indication that over time and in general terms those undertaking animal experimentation have been proactive in putting in place national and international standards governing their activities. In fact for the most part, practices have been curtailed and standards set as a response to public pressure. In short the animal experimentation industry has a history of conduct in which professional ethics is often found to be lacking, and as previously noted, even when it became possible to anesthetise animals the use of anaesthetics was not necessarily driven by a desire to reduce suffering: ‘…according to Rob Boddice, Victorian physiologists used anaesthetics to spare their own sensibilities, rather than out of consideration for the animals.’ (Bates 2017 quoting Boddice 2012)

Although this is likely to represent something of an over-generalisation, there can be little doubt that as is invariably the case, new practices are seldom embraced voluntarily by all participants. Even when legislation is in place, there is still a need for those participating in animal experimentation to exhibit self-imposed professional standards—to always strive to achieve best practice. But in relation to animal experimentation, this major industry often seems to be reluctant to truly alleviate the suffering of its non-voluntary animal participants:

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‘…The four animals [baby chimpanzees], part of a group of thirty… had been housed individually in “isolettes” – small stainless-steel chambers with sealed glass doors… Some sit behind glass on wire floors. Staring blankly. One rocks endlessly, banging violently against the side of his cage. Another lies dead on the cage floor.’ (Zak 1989)

Despite this case receiving widespread attention in the U.S. media, it’s reported that the National Institute of Health conducted an investigation, and accepted this housing of the chimpanzees. A further issue is that legislation varies from country to country and so it is possible for this lucrative industry to relocate animal experimentation to countries in which legislation is weak, and where its enforcement may be practically non-existent. Animal experimentation (in its broadest sense) is big business and has become strongly entrenched in many aspects of medicine. It is often claimed that this form of experimentation is essential for sustained medical progress. Perhaps in some instances this may well be true, but it’s also relevant that the industry has benefited from the availability of an inexpensive and essentially unlimited resource. These two ingredients can cause inefficiency and needless waste. Here I am reminded of a task performed whilst I was a Ph.D. student which involved threading a number of cables down a long and narrow conduit pipe so that they would pass from one laboratory to another. Initially the task appeared to be daunting—until someone suggested that a mouse to which a thin thread was attached offered a simple solution. Surely the mouse would run down the pipe with the thread and would be encouraged if some cheese was placed at the far end? The thread could then be used to pull a piece of string down the conduit, and this in turn could be used to pull the cables. For once a theory worked flawlessly. An amiable white mouse was borrowed from the university department involved in animal experimentation, and when it appeared at the far end of the pipe, it ate the cheese quite happily. However, the difficulty arose when we attempted to return the mouse to the department from which it had been borrowed: they refused to accept it. The mouse had been ‘used’ and was therefore no use for future experiments. ‘But’, we argued, ‘it’s only run along a metallic pipe and eaten a few crumbs of cheese’. Protestations were to no avail, and in the event this was good news for the mouse—it had successfully made its ‘home run’ for freedom… Other industries have had to develop and adapt to approaches which are heavily reliant on simulation. Aviation provides an obvious example. Today’s airliners are phenomenally expensive to manufacture and seeding serious faults into aircraft so as to support training activities would be a costly business and could obviously result in serious injury/death. Consequently training places strong reliance on advanced simulation systems, and whilst simulation is seldom fully equivalent to the ‘real thing’, it has underpinned the development of advanced aircraft flown by competent pilots.

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10.8

Animal Experimentation

Reduction

Refinement

Replacement

817

Improvement of experimental techniques Improved data analysis techniques Sharing of results with other researchers Use of less invasive techniques Improved medical care Improved living conditions Use of computer simulation techniques Use of human volunteers Use of epidemiological techniques

Fig. 10.5 The 3-R’s which unfortunately provides only a minimalistic framework in respect of animal experimentation. Clearly, from the perspective of ethically based best practice, entries under ‘Refinement’ should have been standard procedure for many years. Also note that overly reducing the number of animals involved in an experiment may completely negate the results, and therefore make an experiment pointless: ‘In some cases, researchers – desperate to control the costs of their work – have underestimated the number of animals needed to test a new medicine… [the] unreliable results mean the lives of the animals involved have been wasted.’ (McKie 2015) Further, results from experimental trials are often regarded as being commercially sensitive and are therefore kept confidential—at least until they have been protected in some way. This can lead to a significant delay between experiment and publication, and during this time others may perform the same experiment, unaware that it has already taken place. Naturally this duplication of research increases the suffering inflicted on the animal ‘resource’.

Table 10.3 Indicative figures relating to animal usage in a number of exemplar countries for 2016. The U.S. figure only relates to creatures covered by the Animal Welfare Act (and so mice and rats are not included). In some other countries the data relates to the total number of ‘procedures’, rather than the total number of animals. (Data source Worldwide Animal Research Statistics—Speaking of Research website) Country

Approximate number of animals

Canada France Germany New Zealand UK (excluding Northern Ireland) United States

661,785 204,981 161,508 175,647 110,553 820,812

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Currently the animal experimentation industry is encouraged to adopt the 3-R’s: Reduction, Refinement and Replacement—see Fig. 10.5. However, ‘consumption’ of animals continues at a rapid pace (see Table 10.3), and, for example, in the U.S. in relation to creatures covered by the Animal Welfare Act it rose by *6.9% from 2015 to 2016. In the UK in 2017, nearly 4 million animal ‘procedures’ took place and whilst the majority involved mice, the figure includes nearly four thousand involving dogs.26 Undoubtedly the heated debate will continue between those who are for and against animal experimentation: ‘There may be no universally accepted answer. Instead the answer will depend on personal beliefs: whether one believes that animals have moral status, and/or rights; whether we have obligations to animals in our care…’ (Foëx 2007)

For loosely related discussion see OTU Activities 10.15 and 10.16.

26

Data source: Worldwide Animal Research Statistics—Speaking of Research website.

10.9

10.9

Organisational Failures: Voyages to Mars

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Organisational Failures: Voyages to Mars ‘It is a pity that we do not live on Mars and just observe man’s nasty antics by telescope.’27

At the very least, it takes just over three minutes for a radio signal from Earth to penetrate the void of space and reach Mars. However the planets are seldom so close and unidirectional communication times are typically *4 minutes or more.28 Consequently if a command signal is sent to a probe which is in the vicinity of the Mars, some eight minutes will elapse before any response is obtained confirming receipt/execution. In the case of tasks such as orbit insertion or landing it’s therefore impossible to control events remotely in real time. Instead, such complex operations must be carried out autonomously, and this makes probe design and implementation particularly exciting and challenging. Despite the great successes which have been achieved in landing probes on Mars, and in navigating robotic vehicles on the Martian surface, there have also been some failures. This is not surprising given the complexity of such a voyage, but on the other hand in the case of the Mars Climate Orbiter and Mars Polar Lander the problems that led to failure were by no means complex—they were almost trivial. The Mars Climate Orbiter was launched in December 1998, and was intended to be the first interplanetary weather satellite. In addition to studying the Martian climate it was also designed to relay communications to and from the Mars Polar Lander (launched *3 weeks later), once this craft had touched down some 1000 km from the planet’s southern pole.

27

Attributed to Albert Einstein circa Feb 1917. The distance between Earth and Mars varies considerably. At their closest they are *54.6  106 km apart and at their furthest *400  106 km. 28

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10.9.1 Mars Climate Orbiter: When Units Matter During its 9-month voyage, the probe’s trajectory was occasionally adjusted by means of its main engine (Trajectory Correction Manoeuvres (TCM burns)). Of the four TCM burns that were needed, the final two were significantly larger than those required by the Mars Global Surveyor which had successfully travelled to Mars *2 years earlier. This gave the navigators a sense of unease—but unfortunately it didn’t lead to a prompt investigation which could have revealed a fundamental software fault. Momentum wheels (discs) were used to turn the craft in different directions and counteract disturbing torques. This approach provides fine control and is based on changes in the speed of disc rotation. In the case of random torque perturbations the rotational speed averaged over time remains fairly constant. However, the interaction of solar flux with the Mars Climate Orbiter’s large (single) solar panel made it necessary for the momentum wheels to counteract non-random perturbations. In this situation their rotational speeds gradually increased, and in order to ensure that they did not exceed the maximum permissible rate of rotation it was usual to carry out angular momentum desaturation (AMD) manoeuvres. This involves spinning the wheels down and in parallel firing jet thrusters to counteract the induced torque. Subsequently the momentum wheels may again be returned to operation. Due to the asymmetrical positioning of the thrusters with respect to the craft’s centre of mass (an issue exacerbated by the asymmetry of the large panel solar array), each time the thrusters were fired they induced not only the desired torque— but also a translational force pushing the craft off-course. This was not in itself problematic, as it is possible to compute the effect of force/firing duration on trajectory. Given accurate modelling, the cumulative effect of the angular momentum desaturation manoeuvres could provide vital input needed when calculating the next TCM burn parameters—thereby ensuring that on arrival, the craft would satisfy the requirements for orbit insertion. Unfortunately, there was a software problem of the most trivial kind. This had not been detected during a hastily implemented testing programme. Data that was expected to be in units of Newtons was supplied in Imperial units of Pound Force (1 N * 0.225 Pound Force). As a consequence, the ground-based computer systems operated on the premise that each angular momentum desaturation manoeuvre had generated a force *4.5 times larger than was actually the case. This led to the two larger than expected TCM burns mentioned above: ‘Prior to the last midcourse [TCM] manoeuvre in September… the probe was headed for an impact with Mars. But the TCM-4 rocket burn, moved its fly-by altitude about 800km further away from the centre of the planet, more than enough to clear the atmosphere – or so the navigation computers claimed.’ (Oberg 1999)

As the probe got closer to Mars, trajectory measurements suggested that it was off course—getting ever closer to impinging on the upper reaches of the thin Martian atmosphere. After the TCM-4 burn it was estimated that there could be an

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uncertainty of *100 km in probe location. However when the available data was applied to navigation software developed for the Mars Pathfinder, a navigation error of hundreds of kilometres was indicated. A further TCM burn offered a chance to remedy this situation and appears to have been requested by the navigation team. But in the event the request was denied: ‘…because the team was not prepared to perform the burn; no procedures for the fast response needed had been put in place or practiced…’ (Oberg 1999)

On 23rd September 1999, the Mars Climate Orbiter reached journey’s end, and as it passed behind Mars the main engine was ignited so as to achieve orbit insertion. But the craft failed to re-emerge. There can be no doubt that its altitude was much too low and that it was destroyed by atmospheric heating which is likely to have caused its hydrazine fuel to self-ignite and explode. Indeed an ignominious end to a US$125 million venture. See OTU Activity 10.17 for further discussion.

10.9.2 Mars Polar Lander: An Early Touchdown Some ten weeks after the loss of the Mars Climate Orbiter, the entry capsule of the Mars Polar Lander separated from its cruise stage vehicle and, following an 80 second firing of its thruster, entered the Martian atmosphere. Equipped with a heat shield, the capsule was able to withstand the heat generated by its rapid transit through the atmosphere (up to *1650°C), and by the time it had descended to an altitude of 125 km the speed had fallen to *6.9 kms−1. At a height of *8,800m, the capsule’s speed had dropped to *500 ms−1 at which point the computer system was programmed to jettison the heat shield, deploy the decent parachute and extend the landing legs. Approximately one minute later (and at an altitude of *1300 m), the computer was programmed to activate the terrain-sensing radar system and shortly thereafter the descent engine would have roared to life. The Mars Polar Lander had successfully travelled some 757,000,000 km from Earth.29 There was now only another 40 metres to go before journey’s end; the 29

Note that as a result of the trajectory, this is much bigger than the maximum separation of Earth and Mars.

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Fig. 10.6 The Mars Polar Lander was only 40m above the Martian surface when a known technical issue caused its thruster to be shut down: an ignominious end to a remarkable journey. This image of the Martian landscape was taken by NASA’s Curiosity Mars Rover. (Image source NASA).

thruster had only to fire for a few more seconds after which the craft (along with its ‘Made on Earth’ logo…) would have rested on the surface of another planet Indeed success was almost guaranteed. But at this height, the computer shut down the engine. The craft fell—impacting with the surface at an estimated speed of 22 ms−1 rather than at the intended and relatively gentle 2.4 ms−1. It was known that following separation from the cruise stage communication with the entry capsule would be lost, and could not be re-established until the craft had arrived on the Martian surface. In the event, communication was never re-established. Thus no telemetry data was available for the subsequent investigation, but it appears that the most likely scenario was that the computer prematurely shut down the engine because signals received from hall-effect sensors fitted to the landing legs suggested that the craft had already landed. Ironically, it was known that these sensors generated spurious signals during landing leg deployment. However it was assumed that if two consecutive readings from any of the sensors indicated that landing had occurred, then this was indeed the case. Unfortunately, it was found that the duration of spurious sensor signals could exceed the time interval associated with two consecutive readings. On the other hand, as indicated above, landing leg deployment occurred well in advance of the actual landing and the touch down sensing logic was not enabled until the craft was at a height of 40m. So the spurious sensor signals should have been irrelevant —they occurred when the touch down sensing logic was inactive. However, due to an implementation error the spurious signals in effect set a touch down ‘flag’ (i.e. the ‘flag’ was set), and as soon as the sensing logic was enabled, the touch-down condition was immediately detected. Instantly the engine was shut down and the craft travelled the remaining distance in free fall. Autonomous systems are great fun to develop, but the elimination of problems is a daunting (and sometimes impossible) task.

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10.9.3 The Deep Space 2 Probes The saga of the Mars Polar Lander would be incomplete without brief inclusion of the loss of the two Deep Space 2 (DS 2) probes. These were intended to evaluate the feasibility of employing new techniques to land multiple, geographically-dispersed scientific instruments from a single space craft, at relatively low cost. Approximately 18 seconds after the Lander separated from the cruise stage, the two small (and identical) DS 2 probes were released. These were designed to not only withstand the heat of atmospheric entry, but also hard impact with the planet’s surface. Their passage through the atmosphere provided the only mechanism for reduction in velocity (for simplicity’s sake no reliance was placed on parachutes, thrusters, airbags, etc.). Consequently they were designed to survive impact with the Martian surface at a speed of *200ms−1. On impact, the probe’s aeroshell was intended to shatter, with the probe itself separating into two parts (connected by electrical cables). One of these contained instrumentation which would penetrate the surface to a depth of *1m, whilst the other would remain on the surface and support communications. A key aim was to be the collection of a small quantity of sub-surface material (*100 milligrams) which would be tested for water content. That was at least the theory, in reality after their release communication was never established with either probe.

10.9.4 When Success Was so Close… The Mars missions outlined above cannot simply be viewed as failures—in each case the very fact that craft from Earth had crossed the hazardous void of space to a neighbouring planet is, in itself, a remarkable story of success. However in each instance, when complete success was so close to being achieved, mission objectives were thwarted. With the benefits of hindsight (which is underpinned by our ability to reflect at leisure on the events which took place), it’s possible to see that as with other histories recounted in previous chapters, the probability of misadventure was increased by relatively basic organisational failures. At the time of the voyages to Mars outline above, NASA’s ethos of ‘better, faster, cheaper’, fuelled a drive to rapidly achieve increasingly ambitious goals ever more efficiently. Invariably in cases such as this the quest for ‘efficiency’ is driven by pressures (both internal and external) to cut costs. Often this impacts on staffing and organisational structures. In parallel it’s likely that increased reliance will be placed on subcontractors. Outsourcing becomes the norm. Managerial plans which may look sound on paper can have unforeseen consequences, particularly when considered from the perspective of the scientists, engineers, and technologists who are engaged in ‘coal-face’ activity. From the perspective of hands-on engineers and technologists, cost-cutting measures can destabilise familiar work patterns, thereby

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increasing entropy and disrupting information flow. Naturally such factors can negatively impact on the ability to achieve a given result in a specified period of time. Indeed, as we have seen in the case of both the Challenger (Sect. 3.8) and R101 (Sect. 5.5) and tragedies, sound engineering and technology-centred practices can be compromised by any environment in which pressurised decision-making becomes common practice. Within such environments there is often simply not enough time to work through problems and solutions with others (and so vital peer review practices are compromised). In parallel, pressure to achieve tangible results commonly erodes the time needed to reflect not only on the specifics of one’s immediate work, but also on its broader ramifications. When dealing with numerous interdependent subsystems, such reflection is crucial. The members of the JPL Special Review Board (which studied the loss of the Mars Polar Lander and Deep Space 2 probes) highlighted a number of non-optimal organisational and technical issues. For example, in connection with the former, they indicate: ‘LMA [Lockheed Martin Astronautics - subcontractors] used excessive overtime in order to complete the work on schedule and within the available workforce. Records show that much of the development staff worked 60 hours per week, and a few worked 80 hours per week, for extended periods of time. Another consequence of the tight funding constraint was that many key technical areas were staffed by a single individual. Although none of these individuals were lost to the project during its development, the effect of inadequate peer interaction was, in retrospect, a major problem. It is the Board’s assessment that these conditions led to a breakdown in inter-group communications, and there was insufficient time to reflect on what may be the unintended consequences of day-to-day decisions. In short, there was insufficient time and workforce available to provide the levels of checks and balances normally found in JPL [Jet Propulsion Laboratory] projects.’ (Albee 2000)

From a design perspective, the cost-saving decision to forego communications with the Mars Polar Lander from the time of its entry into the Martian atmosphere, through to landing is questionable. Clearly telemetry data could have greatly helped in determining what went wrong, and without such data a degree of uncertainty exists: ‘The omission of EDL [Entry, Descent and Landing] telemetry was justifiable from a project perspective. However, the loss of MPL [Mars Polar Lander] without yielding any clues as to the cause of the loss jeopardized the potential for success of future Mars landers. Therefore, the decision was not justifiable in the context of MPL as one element of the ongoing Mars exploration program.’ (Albee 2000)

As for the Deep Space 2 probes, as indicated above impact with the Martian surface exposed the electronic and mechanical systems to extreme force (on the order of 30,000 g for the surface penetrating forebody and 60,000 g for the aftbody (which was intended to remain on the Martian surface)). Despite the pivotal importance of ensuring that a probe could survive and successfully operate after such treatment,

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no equivalent impact test was performed on a probe with its aeroshell in situ (this shell was designed to shatter on impact). Furthermore, no impact test was carried out on a complete probe with its power turned on. The members of the JPL Special Review Board note that: ‘Such a test was planned but was deleted midway through the project, based on schedule considerations and a determination that the test article could be put to better use in a non-destructive test.’ (Albee 2000)

However in practice probe failure may not necessarily have been caused by impact damage. It could be attributed to a number of other causes. For example: ‘The antenna was analyzed but not tested in the 6-torr Mars environment. The failure to test the antenna in a simulated Martian environment may have overlooked the possibility that the RF [radio frequency] subsystem link margin might be compromised due to ionization breakdown at the antenna.’ (Albee 2000)

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Discussion

‘It is too dangerous for me to put these things into words. I am afraid they might then become gigantic and I will be no longer able to master them.’30

In this chapter we have primarily focused on the ethically unsound implementation of research involving human and animal participants. Although a vast amount of past and current research leads to positive results which advance human progress and benefit society, this is by no means always the case. Of course, our focus on the 30

Remarque (1987).

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impact of research on human and animal participants tells only one part of a complex story, and as indicated in Table 10.1 there are a range of matters that should be considered prior to embarkation on a research-based voyage of discovery. These relate not only to ‘how’ the research is to be conducted but also, for example, to its objectives and ramifications. In relation to the latter we have referred to Scope and Potential, and as technologies become increasingly complex their short-term (Scope) and long-term (Potential) consequences need to be carefully assessed. Of the two, Potential is often much more difficult to gauge, especially given the ways in which unforeseen developments can combine symbiotically. Furthermore we can be reasonably confident in assuming that people will invariably find and exploit developments in both positive and negative ways. Researchers frequently focus on the former and may overlook (or in their enthusiasm cast to one side) the latter. As we have seen, some believe that that there should be no limitations on the scope and direction of research activity. Thus the acquisition of knowledge and discovery should not in any way be fettered by frontiers. Others are of the opinion that this is not necessarily the case and that some areas/pursuits are best left uncharted. In this context recall the observation made by Joseph Rotblat which was quoted in OTU Activity 10.16—a part of which reads: ‘…adherence to ethical principles may sometimes call for limits on the pursuit of knowledge.’

But even in the case that we agree with this perspective, its implementation is practically impossible as it would depend on obtaining international agreement by all members of an often fragmented and highly competitive research community. By way of example, consider recent research that has been (with dubious humour) dubbed ‘brain in a bucket’, and which involves the restoration of circulation to the brains of decapitated pigs: ‘…a team he leads had experimented on between 100 and 200 pig brains obtained from a slaughterhouse, restoring circulation using a system of pumps, heaters, and bags of artificial blood…’ (Regalado 2018)

Whilst to date these brains have remained in a comatose state, it’s evident that this is an area which is likely to attract much research interest—but for some it is a pursuit which should be left alone. Certainly ethical considerations abound. However, Wilson (2019) writes: ‘The group used pigs that had been killed for food, so caused no extra deaths, and they got approval from all relevant ethics committees. But some U.S. laws on animal research only concern work done on creatures that are alive, so it’s unclear how they apply to brains in this novel state… To be on the safe side, any brains should be dosed with a general anaesthetic in future.’

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Also see, for example, Farahany et al. (2018). Regalado (2018) asks: ‘…if a person’s brain were reanimated outside the body, would that person awake in what would amount to the ultimate sensory deprivation chamber, without ears, eyes, or a way to communicate? Would someone retain memories, an identity, or legal rights?’

On a positive note momentum appears to be building to develop a framework in which researchers are required to include in their publications potentially negative ramifications of their work. In connection with a proposal made by Brent Hecht, Gibney (2018) writes: ‘…the computer-science community should change its peer-review process to ensure that researchers disclose any possible negative societal consequences of their work in papers, or risk rejection.’

This appears to represent a first step in the right direction in ensuring that researchers give due consideration to, and highlight, the possible negative ramifications of their work. However it will be unfortunate if this has to be forced onto researchers rather than representing an implicit ethically based responsibility which is driven by individual research practitioners. Certainly there is no need to await changes in the peer review process—any researcher is free to include this type of discussion within any research publication. Some would perhaps say that this is a basic professional ethically based responsibility? At the time of writing, research into human gene editing is attracting considerable debate, and many believe that work in this area should be curtailed or highly regulated. However in practical terms some countries have lax regulations governing biomedical research, and so it’s difficult to foresee ways in which this type of activity can be properly controlled. As Cyranoski (2019), quoting bioethicist Leigh Turner, writes: ‘…perhaps a researcher or physician from a more developed and tightly regulated country will travel somewhere to produce a gene-edited baby… if different jurisdictions adopt widely differing governance models for germline gene editing…it seems plausible that at least some scientists will pursue opportunities to conduct clinical research.’

The history of research involving human and animal participants provides an insight into ways in which some researchers have overlooked or justified the damage caused by their activities. As previously discussed, the revelations of the Doctors’ Trial at Nuremberg resulted in the development of the Nuremberg Code which was intended to provide a framework whereby researchers would never again engage in activities which took no heed of the rights and suffering of each individual human participant. In many respects this document represented a spontaneous human reaction to the Nuremberg revelations (although as we have seen ethically impoverished research involving human participants was by no means unique to the Nazi regime). It remains a document which is fundamentally based on

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empathy for the victims of the ethically abhorrent activities which were revealed at Nuremberg. Unfortunately, many people with vested interests in medically-based research involving human participants have failed to embrace the key objectives and spirit of the Nuremberg Code. Indeed there are highly educated professionals who have continued to cast informed consent to one side and who undertake experimentation without due consideration for its impact on participants. To some extent, this may be partially encouraged by the nature of rigorous scientific study which emphasises the need for dispassionate experimentation based on clinical detachment and logical evaluation. In this context, there is a danger that the suppression of positive human attributes such as empathy can result in the objectification of human and animal participants. This can result in them being viewed as ‘others’—and here we broaden the definition: ‘One or more sentient creatures who are deemed not to be a member of a particular group and as a consequence the group hold, or seek to gain intentionally or unintentionally, some form(s) of authority/power over them.’

In this general context, it’s interesting to briefly read the thesis written by Mary Tudor concerning her interaction with the orphans who were conscripted into the experimental trial organised by Dr. Wendell Johnson (recall Sect. 10.4.1). The transcripts of the devised ‘conversations’ with the children provide an insight into her clinical detachment, and so do remarks made in the ‘Discussion’ section of her thesis: ‘It is very possible that if the writer had had more cooperation the results of this study would have been more positive. Both the teachers and the matrons of the institution were very easily influenced, that is, they accepted the diagnosis given without questioning. They were not skeptical of any of the methods of therapy that were suggested.’ (Tudor 1939)

In some instances, detachment and objectification can be further distorted and this has led to situations in which scientists and medical practitioners have condoned and/or have been directly involved with activities which have inflicted extreme forms of physical/psychological harm on non-voluntary human and animal participants. Often this has been justified on the basis of a need to further scientific understanding—for the greater good. In parallel a relatively small percentage of medical practitioners have allowed themselves to participate in processes that are specifically intended to cause suffering to an ‘other’. In this context, their activities do not purport to advance scientific understanding but rather to gain information which is justified on the basis of serving a greater good. Today such exercises in torture are often euphemistically referred to as ‘rendition’, and are fundamentally based on promoting fear through a gross power imbalance. Although this is not an area which is directly relevant to our current discussions, it further demonstrates the great range of basic human attributes—from medical practitioners who dedicate

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their lives to alleviating the suffering of the vulnerable (and who occasionally become the victims of torture for having done so), through to those who are willing to use their skills in the opposite way: ‘Of all the forms of oppression, it is the practice of torture which most relentlessly seeks to disintegrate the fundamental freedom of the human personality. Firstly by naked assault and degradation and secondly by attempts to gain control over the victim’s will.’ (Sagan and Jonsen 1976 quoting Alexandr Solzhenitsyn)

For further discussion, see for example Sagan and Jonsen (1976), Lifton (2004), Grodin et al. (2007), and Annas (2005). Also see OTU Activity 10.18. As we have discussed, at present some experimental trials are deliberately conducted in countries in which researchers can gain access to more vulnerable groups of people who can be enticed to participate at minimal cost: ‘It’s no coincidence that human experiments have rapidly migrated to the global south as regulations become more stringent in the developed world. A major justification for moving clinical trials abroad has been the greater availability of “naïve” participants - drug free bodies that allow for unadulterated test conditions. But it’s the vulnerability of subjects that can make them more attractive. Fewer regulatory safeguards, higher levels of poverty and illiteracy, combined with an almost blind faith in Western medicine…’ (The Conversation 2015)

Whilst people may give legal consent, this is often uninformed and doesn’t take into account lax ethical regulations and/or poor enforcement practices. As a result, and by way of example, children suffering from serious disorders may be given placebos rather than the medications needed to return them to health: ‘… large clinical trials of both vaccines demonstrated that they were highly effective in preventing rotavirus-induced gastroenteritis – including the most severe cases – and the need for hospitalisation. Despite the availability of these vaccines, more than 2,000 children in the India trial received placebo injections of salt water rather than one of the available effective vaccines.’ (Carome 2014)

And: ‘…The report included the case of clinical trials in Uganda between 1997 and 2003, when women taking the anti-transmission drug Nevirapine experienced thousands of serious side effects…Thee symptoms went unreported and testing was allowed to continue, resulting in the (also unreported) deaths of 14 women. In Hyperabad, India in 2003, eight test subjects died during the testing of the anti-clotting drug Streptokinase. The worst part, though, was that the subjects did not even know that they were part of a trial.’ (Kelly 2013)

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A fundamental purpose of all experimental trials is to generate data and in this context scientists, computing, and technology-based professionals have a crucial role to play in orchestrating data amalgamation, processing, and interpretation. There are great opportunities to monitor and promote the acquisition of ethically sourced data, and for the rejection of data that has been obtained by other means. Technology-based solutions provide opportunities to significantly reduce the number of trials that are carried out on human and animal participants. However this represents a major undertaking. Not only is there a need to develop and test innovative approaches, but there is also the challenge of changing the perspective of organisations which have strong vested interests in the continuation and promulgation of traditional techniques. Writing in the context of recent events relating to gene editing, Kofler (2019) reflects that: ‘A fundamental goal of scientific endeavour is to advance society through knowledge and innovation. As scientists, we strive to cure disease, improve environmental health and understand our place in the Universe. And yet the dominant values ingrained in scientists centre on the virtues of independence, ambition and objectivity. This is a grossly inadequate set of skills with which to support an ambition of advancing society….We need to reflect on how our research fits into society. That requires not just our intellects, but also our emotions. I fear that, in the pursuit of objectivity, science has lost its heart.’

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And until researchers (together with associated management hierarchies and funding bodies) embrace the social responsibilities inherently associated with the privilege of engaging in research, some organisations will continue to implement experimental trials which directly or indirectly exploit the vulnerable in economically poorer countries. This provides a mechanism by which costs can be significantly reduced—along with the possibility of expensive and potentially damaging litigation. Ironically such trials primarily improve the wellbeing and lifestyles of those living in economically wealthier countries—and may offer practically nothing to the wellbeing of those who are exploited. From an ethical perspective the exploitation of the more vulnerable members of society so as to reap benefits for those who are in better circumstances overlooks a crucial, fundamental and very simple consideration: ‘The concept of human rights assumes that all human life is of equal value.’ (Dallaire 2003)

Although as George Orwell observed in ‘Animal Farm’,31 in practice it would seem that: ‘All animals are equal, but some animals are more equal than others.’

31

Published in 1945.

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Additional Reading

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Additional Reading

AHRP (Alliance for Human Research Protection), ‘Unethical Medical Experiments 1980–2010’, (undated). Albarelli, H., and Kaye, J., ‘The Hidden Tragedy of CIA’s Experiments on Children’, Centre for Research on Globalization (15th Aug. 2010). Amrhein, V., Greenland, S., and McShane, B., ‘Retire Statistical Significance’, Nature, 567, No. 7748 (21st March 2019). Anon, ‘Euthanasia of Newborns and the Groningen Protocol’, European Institute of Bioethics (unsated). Anon, ‘Prison Official in Illinois Halts Malaria Research on Inmates’, The New York Times (28th April 1974). Anon, ‘Set Rules for Germline Gene Editing’, Nature, 567, No. 7747 (14th March 2019). Anon, ‘AI Diagnostics Need Attention’, Nature, 555, No. 7696 (15th March 2018). Azoulay, P., ‘Small-Team Science is Beautiful’, Nature, 566, No. 7744 (21st Feb. 2019). Balmer, B., ‘Britain and Biological Warfare: Expert Advise and Science Policy 1930–65’, Palgrave (2001). Bauld, L., ‘Funders Must be Wary of Industry Alliances’, Nature, 560, No. 7718 (16th Aug. 2018). Beecher, H., ‘Ethics and Clinical Research’, The New England Journal of Medicine, 274, No. 24 (16th June 1966). Biba, E., ‘Unethical Science Experiments: Going to Extremes’, The Telegraph (16th Aug 2011). Bodkin, H., ‘Universities Accused of Unethical “Pick and Mix” Reporting of Drug Trial Results’, The Telegraph (10th Jan. 2018). Comfort, N., ‘The Prisoner as Model Organism: Malaria Research at Stateville Penitentiary’, Stud. Hist. Biol. Biomed. Sci., 40, No. 3, pp. 190–203 (Sep. 2009). Egharevba, E., and Atkinson, J., ‘The Role of Corruption and Unethical Behaviour in Precluding the Placement of Industry Sponsored Trials in Sub-Saharan Africa: Stakeholders Views’, Contemporary Clinical Trials Communications, 3, pp. 102– 110 (2016). Ellen, B., ‘What I Learned from Home DNA Testing’, The Guardian (23rd July 2017). Feder, B., ‘Saving Animals: New ways to Test Products’, The New York Times (12th Sep. 2007). Finkel, A., ‘The Road to Bad research is Paved with Good Intentions’, Nature, 566, No. 7744 (21st Feb. 2019). Foley, S., ‘GlaxoSmithKline Pays $3bn for Illegally Marketing Depression Drug’, The Independent (3rd July 2012). Gallagher, J., ‘Human Embryos Edited to Stop Disease’, BBC 40802147 (2nd Aug. 2017).

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Gillon, R., ‘Medical Ethics: Four Principles Plus Attention to Scope’, BMJ, 309:184 (1994). Gunsalus, C., and Robinson, A., ‘Nine Pitfalls of Research Misconduct’, Nature, 557, No. 7705 (17th May 2018). Holdstock, D., ‘Chemical and Biological Warfare: Some Ethical Dilemmas’, Cambridge Quarterly of Healthcare Ethics, 15, pp. 356–365 (2006). Jeffries, S., ‘Genetic Inheritance: How Much do you want to Know?’, The Guardian (4th April 2014). Keys, D., ‘How the British Government Subjected Thousands of People to Chemical and Biological Warfare Trials During Cold War’, The Independent (9th July 2015). McKie, R., ‘Warnings Over Shock Dementia Revelations from Ancestry DNA Tests’, The Guardian (26th Aug. 2017). Mullin, E., ‘Scientists Used CRISPR to Put a GIF Inside a Living Organism’s DNA’, MIT Technology Review (12th July 2017). Neate, R., ‘GlaxoSmithKline to Publish Clinical Trial Data’, The Guardian (5th Feb. 2013). Nuffield Council on Bioethics, ‘The Ethics of Research Involving Animals’, Nuffield Council on Bioethics, London (2005). Okonta, P., ‘Ethics of Clinical Trials in Nigeria’, Nigerian Medical Journal, 55(3), pp. 188–194 (May–June 2014). Page, M., The Ethics Issue: Should We Edit our Children’s Genomes?’, New Scientist (5th July 2017). Pernick, M., ‘The Black Stork, Eugenics and the Death of “Defective” Babies in American Medicine and Motion Pictures Since 1915’, Oxford University Press (1996). PETA, ‘Animals are Not Ours’, PETA.org (Last accessed Feb. 2019). Rawlinson, P., ‘Ethics vs Economics: The Cost of Outsourcing Clinical Trials to Developing Countries, The Conversation (16th June 2015). Ruyter, K., ‘The History of Research Ethics’, The Norwegian National Research Ethics Committees’ (28th Sep. 2015). Schmidt, U., ‘Cold War at Porton Down: Informed Consent in Britain’s Biological and Chemical Warfare Experiments’, Cambridge Quarterly of Healthcare Ethics, 15, pp. 366–380 (2006). Schneider, K., ‘Trying to Build Secret Weapons, US Spread Radiation in 1950s’, The New York Times (1993). Scutti, S., ‘Animal Testing: A Long, Unpretty History’, Medicaldaily.com, (27th June 2013). Siegel, E., ‘Why Beauty Brands Still Test Their Products on Animals’, Allure (20th Oct 2017). SOMO, Centre For Research on Multinational Corporations, ‘Examples of Unethical trials’, Briefing Paper on Ethics in Clinical Trials (Feb. 2008). Teodoro, L., Nascimento, B., et al. ‘Current Use of Live Tissue Training in Trauma: A Descriptive Systematic Review’, Canadian Journal of Surgery, 58 (June 2015).

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Ungar, L., ‘No-Consent Medical Experiments Put Ethics to Test’, USA Today (28th May 2015). Walter, M., ‘First, Do No Ham’, Nature, 482, pp. 148–152 (9th Feb. 2012). Walton, A., ‘Is this the Beginning of the End for Medical Research on Chips?’, The Atlantic (18th Jan. 2012). Weindling, P., von Villiez, A., Loewenau, A., and Farron, N., ‘The Victims of Unethical Human Experiments and Coerced Research Under National Socialism’, Endeavour 40, No. 2 (2015). Wiesel, E., ‘Without Conscience’, The New England Journal of Medicine, 352, No. 15, pp. 1511–1513 (14th April 2005). Wilson, C., ‘A New Test can Predict IVF Embryos’ Risk of having a Low IQ’, New Scientist (15th Nov. 2018). World Heath Organisation, ‘Mustard Gas’, Press Archive, (2011).

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Lifton, R., ‘Doctors and Torture’, The New England Journal of Medicine, 351, No. 5, pp. 415–416 (29th July 2004). Lloyd-Roberts, S., ‘Have India’s Poor Become Human Guinea Pigs?’, BBC News 20136654 (1st Nov. 2012). Maehle, A., ‘God’s Ethicist: Alber Moll and His Medical Ethics in Theory and Practice’, Journal of Medical History, 56(2), pp. 217–236, Cambridge University Press (2012). McKie, R., ‘Scientists Told to Stop Wasting Lives’, The Guardian (19th April 2015). Milmo, C., ‘Porton Down Volunteer “Unlawfully Killed’’’, The Independent (16th Nov. 2004). Moll, A., ‘Ärztliche Ethik: Die Pflichten des Arztes in allen Beziehungen seiner Tätigkeit’, Stuttgart: Ferdinand Enke (1902). NPR, (2015), https://www.npr.org/series/417162462/world-wasa-ii-secret-mustard-gas-testing [date last accessed 16th May 2019]. Oberg, J., ‘Why the Mars Probe went off Course’, IEEE Spectrum (1st Dec. 1999). Olmsted, J., ‘François Magendie’, Arno Press; New York (1944). Oxtoby, K., ‘Is the Hippocratic Oath Still Relevant to Practising Doctors Today?’, The BMJ (14th Dec. 2016). Philips, M., and Sechzer, J., ‘Animal Research and Ethical Conflict: An Analysis of the Scientific Literature: 1966–1986’, Springer-Verlag (1989). Pruszewicz, M., ‘How Deadly was the Poison Gas in WW1?’, BBC 31042472 (30th Jan. 2015). Regalado, A., ‘Researchers are Keeping Pigs Brains Alive Outside the Body’, MIT Technology Review (25th April 2018). Remarque, E., ‘All Quiet in the Western Front’, (1st Edn. 1929) Ballantine Books, (1987). Reynolds, G., ‘The Stuttering Doctor’s “Monster Study”’, The New York Times Magazine (2003). Sagan, L., and Jonsen, A., ‘Medical Ethics and Torture’, The New England Journal of Ethics, 294, No. 26, pp. 1427–1430 (24th June 1976). Schmidt,U., ‘Secret Science’, Oxford University Press (2015). Seok, J., et al. ‘Genomic Responses in Mouse Models Poorly Mimic Human Inflammatory Diseases’, PNAS, 110(9), pp. 3507–3512 (26th Feb. 2013). Shuster, E., ‘Fifty Years Later: The Significance of the Nuremberg Code’, The New England Journal of Medicine (13th Nov. 1997). Silverman, F., ‘The “Monster Study”’, Journal of Fluency Discord, 13, pp. 225–231 (1988). Smith, S., ‘Toxic Exposures: and the Health Consequences of World War II in the United States’, Rutgers University Press (2016). Stephenson, A., et al., ‘Mars Climate Orbiter Mishap Investigation Board, Phase I Report’, NASA (10th Nov. 1999). Talao, K., and Miyakawa, T., ‘Genomic Responses in Mouse Models Greatly Mimic Human Inflammatory Diseases’, Proc. Natl. Acad. Sci., 112, pp. 1167–172 (2015). The Conversation, ‘Ethics vs Economics: The Cost of Outsourcing Clinical Trials to Developing Countries’ (16th June 2015). Tudor, M., ‘An Experimental Study of the Effect of Evaluative Labelling of Speech Fluency’, Master of Arts Thesis, State Library of Iowa (1939). Weidner, C., Steinfath, M., Opitz, E., and Oeigeschlager, M., ‘Defining the Optimal Animal Model for Translational Research Using Gene Set Enrichment Analysis’, EMBO Molecular Medicine (15th June 2016). Wilson, C., ‘Pigs Brains have been Partly Revived after Death – What does this Mean?’, New Scientist, (12th April 2019). Zak, S., ‘Ethics and Animals’, The Atlantic (Mar. 1989).

11

Reflections

‘Let no tears wash away hope, Or any restraining hand stain the future. She’ll save the world, and no matter what they do, She’ll outrun the cold wind through her hair.’1

11.1

Introduction

In this final chapter we begin by briefly extending previous discussion of ethics in general, and emphasise that in many situations the commitment to effecting ethically sound change requires courage and perhaps even a degree of passion. In this context, we suggest that whilst the appreciation of ethical values (as in ‘knowing the right thing to do’) is of great importance, following through (as in ‘doing the right thing’) is often difficult and may not necessarily gain general positive recognition (at least in some quarters). Subsequently in Sect. 11.3 we revisit discussion concerning ethics in the organisation, and consider motivations which may cause an organisation to adopt (or give the impression of adopting) ethically sound principles. In this context we suggest that the infusion of strong ethical standards should be driven by a passion to ‘do the right thing’. This should transcend other considerations and represents the ethically sound motivation for adopting ethically based behaviours and standards. Discussion presented in Sect. 11.4 is intended to provide an insight into approaches that may be adopted when confronted by some forms of ethical dilemma. Within the context of an organisation we emphasise the value of adopting

Blundell, Q., ‘Cold Wind Through Her Hair’, Collected Works (2020).

1

© Springer Nature Switzerland AG 2020 B. G. Blundell, Ethics in Computing, Science, and Engineering, https://doi.org/10.1007/978-3-030-27126-8_11

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a graded and proportionate approach in which efforts are made to resolve issues through professional, rational, and considerate discussion. However, we also recognise that depending on the nature of an issue and the character of those involved, it may ultimately prove necessary to go outside an organisation and, for example, inform a wider audience. In Sect. 11.5 we include a further example of organisational failure. In this case we draw on events surrounding the loss of two quite new Boeing 737 Max 8 aircraft: one on route from Jakarta to Pangkal Pinang, and the other travelling from Addis Ababa to Nairobi. At the time of writing these accidents are still being investigated however we suggest that a number of likely causes parallel those which have contributed to some of the other aerospace disasters outlined in previous chapters. Finally in Sect. 11.6 we provide reflective discussion which draws together some of the themes that have been considered in other chapters. As previously indicated, given the ever increasing capabilities and pervasion of interconnected systems, it’s apparent that simply allowing future developments to be determined by market forces and commercial interests could have quite undesirable ramifications. In this context, there is abundant evidence that all too often such interests fail to focus on ethical considerations, but rather simply seek to maximise short term benefits (particularly in connection with profit). The long-term direction of travel is frequently of little concern: there’s money to be made by offering governments technological solutions to complex social problems, in creating and selling ever more advanced military systems, and in providing society with technologies/applications which have the ultimate potential of catalysing major societal change. Some warn that this could lead to a dystopian world—whilst others remain quite sceptical of any such suggestion. From the perspective of the sceptics, they are often at ease with and confident in the use of technologies, and welcome the infusion of cool, connected systems into their everyday lives. They appreciate that this results in the erosion of privacies but given that this applies to everybody, is it such a dreadful thing? And if they live in a country which has democratic traditions, then what’s the harm? Surely transparency is only a threat to the law breakers, illegal immigrants, child molesters, and terrorists—who deserve what they get? There are also many who have grown up in a technology-infused world. For them, increasingly advanced technologies facilitate their daily lives—and that’s all that counts. (The reader is left to suggest other scenarios which result in a strong, harmonious, and symbiotic relationship between the individual and technology.) Given that so many are eager to welcome the ongoing rapid infusion of technologies into their lives, it seems almost churlish to question our current direction of travel. Any suggestion that technologies may support the development of the dystopian world mentioned above must surely be the ramblings of a Luddite (recall Sect. 6.7)? And having spent a large portion of my life researching and developing digital technologies, I recognise that some years ago I would perhaps have agreed with this sentiment. In a broad sense, ‘dystopian’ refers to environments which are totalitarian in nature and in which there is little if any place for individuality. In order for this sort of environment to flourish it’s essential to erode and ultimately erase a broad swath

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of personal privacies, and it’s in this context that some people predict that technologies are leading us towards a dystopian landscape. However this may well prove to be an oversimplification which fails to take into account a range of other factors and over-dramatises some ramifications. History demonstrates that many people are willing to readily accept life within a totalitarian environment—indeed some people thrive in such a domain. By way of example, when Hitler came to power in 1933 a great portion of society embraced changes which provided stability, employment, and a sense of national unity. New norms were established, personal privacies were eroded and in many respects the individual became subservient to the state. But given the promotion of national pride did this matter (unless you had something to hide, unless you were deemed to be an ‘Other’)? Hitler and many other dictators maintained and enhanced their control by ruthlessly suppressing possible sources of minority dissent, and indeed intellectuals (writers, scientists, artists, etc.) have frequently been targeted for persecution. And so whilst on one hand promoting the advancement of the majority, many ‘free spirits’ were quickly confined to Dachau and to other concentration camps that were quickly established. These were the people who posed a particular threat because in terms of thought, word and deed, the ‘real’ intellectual is most unlikely to be truly subservient to the machinations of totalitarian rule. By way of a further example, when in 1949 the Communist Part took power in China, various strata of society—including intellectuals—became the targets of persecution. However in 1956 Mao Zedong appeared to adopt a more conciliatory policy by not only allowing, but also encouraging criticism of the Communist Party: ‘Let a hundred flowers bloom and a hundred schools of thought contend’, he is often quoted as saying. This sentiment encouraged intellectuals to voice their thoughts, and perhaps it was the sheer scale of the criticism that led to a reversal of policy. Unfortunately, by speaking out, academics, artists, writers, and the like had publicly identified themselves and retribution followed with many being publicly disgraced, losing their jobs, and in some cases being forced to undertake manual labour as part of their ‘re-education’. With such thoughts in mind, it’s evident that whatever the short-term influences of technologies on the environments in which we live and upon our daily lives, they will find favour among many. In reality, those who are likely to find it most difficult to come to terms with a world in which there are ever-greater pressures to conform to technologically imposed norms will be the intellectuals and other highly creative ‘free thinkers’ and ‘free practitioners’, for whom the erosion of individualism creates a sensation akin to acute claustrophobia. However regimes which enforce conformance to key norms at the expense of individualism seldom thrive in the long-term. Without the moderating influence of informed debate they invariably act in more excessive ways, and as a result general dissatisfaction grows. Thus, for example, if the deployment of increasingly sophisticated technologies results in significant job displacement and unemployment (which is likely), then this may well result in wide-scale discontent—thereby causing people to break away from the technology-imposed norms which they previously accepted.

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A key question to be asked is whether we should continue to accept the largely unfettered market forces approach to technological development until acute problems arise, or whether we should take a more prudent and proactive approach? Certainly warning signs are already apparent to the observant. Systems are becoming ever more complex, such that fewer people fully understand their scale, decision-making processes, and limitations. Data is harvested at a phenomenal rate and is not only being processed in increasingly sophisticated ways, but is also more widely accessible across a broader range of applications. These factors alone suggest that problems associated with the loss of personal privacies to others are becoming overshadowed by the potential impact of their loss to the ‘machine’. This has the potential to create greater opportunities to drive conformance—because a machine is able to effortlessly sort, process, amalgamate, and scrutinise data. And if systems are becoming so complex that their operators are not fully cognisant of the underlying principles on which they work, then some may argue that the machine should be empowered to act on the results generated—without recourse to human intervention. After all, many continue to adhere to the belief that unlike humans, computers don’t make mistakes…

11.2

Ethical Action ‘I wanted you to see what real courage is, instead of getting the idea that courage is a man with a gun in his hand. It’s when you know you’re licked before you begin, but you begin anyway and see it through no matter what.’2

In Sect. 1.1 it was suggested that sound ethical behaviour relates to living in a framework in which we are inspired to ‘do the right thing’. This seemingly simple wide-ranging definition can be applied to every aspect of our activities and actions. However in many situations, possessing a strong sense of ethics is in itself insufficient as there is also a need to act on this ethical framework, and this frequently requires courage. A person may know that it’s ethically desirable to act in a certain way—indeed they may be convinced that a particular action is ‘the right thing to do’. But in practice they may not follow through. Here I am reminded of an event that occurred early in my career and which has left a lasting impression upon me. The venue was a large meeting—the attendees were all from the commercial sector and I was the only academic present. Several documents required my confirmatory signature, and having previously scrutinised them I was aware that one of them was quite inaccurate. I put this document to one side, signed the others and then raised my concerns. These were firmly brushed to one side, but I endeavoured to hold my ground, insisting that given its misleading content it was inappropriate for me to sign the document. The debate briefly became heated and then during a lull, an attendee who had much greater experience than me and who I held in 2

Lee (1960).

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high regard came to my side. With everyone looking on, he placed his pen in my hand and quietly said ‘Barry, I hope that you’re not going to be difficult about this’. I still regret that I acquiesced and signed the document—I failed to follow though with an ethical conviction. This was surely an act of poltroonery. Undoubtedly adherence to a professional ethical framework can take a degree of courage as there is often a need to take a stance which differs from a ‘collective will’. Reluctance to follow through may be justified in many ways, and at the simplest level it may be claimed that an ethically based issue should be dismissed because it doesn’t warrant the effort involved in going against prevailing opinion/practice. (For related discussion see OTU Activity 11.1.)

In the next subsection we briefly consider the evaluation of issues that can arise in an organisation or indeed in any area of our professional activities, and subsequently discuss matters relating to ‘following through’ so as to promote the adoption of sound ethical standards.

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11.2.1 Professional Evaluation of an Issue Let’s suppose that at some point in his employment, Albert (recall Sect. 2.2.1 and OTU Activity 11.1) encounters a problematic situation which he believes to be ethically related and which causes him some concern. It may for example, concern technical matters which have the potential to cause a range of possible problems, financial irregularities, misuse of intellectual property, misuse of power/authority, discrimination, bribery, or falsification of documentation (including sales materials). We need not be overly concerned as to the precise nature of the situation—the crucial point is that when the matter comes to Albert’s attention, as a professional person he becomes concerned. Perhaps he’ll dismiss the matter as being outside the scope of his responsibility, or alternatively he may decide that some degree of intervention is necessary. In this latter case, if his actions could be problematic for others, or for himself, then he must first be very sure of his ground. If he were working within an organisation operating within a strong ethically based framework, then Albert would be much better placed to talk matters through with colleagues. However, let’s assume that he’s employed in an organisation which operates in a somewhat more cavalier way, and which has much flakier regard for ethical standards. This makes the matter rather more challenging. Most importantly, Albert must consider the precise aspects of the situation which are troubling him and his true motives for any action that he takes. For example, within a non-optimal employment environment, emotive factors can strongly influence behaviour and in this context inter-personal relationships can impact on perceptions. Suppose, for example that within an educational environment Albert has found that a staff member is inappropriately using his/her position of authority over students. Perhaps for some time Albert has held this person in low regard and/or there has been some friction in their working relationship. In either case the course of action that Albert chooses to follow may be influenced by emotive rather than wholly professional considerations. Above all Albert must determine whether taking action or otherwise, conforms with his commitment to professional ethics. Recall that in Fig. 2.6 we included a brief checklist which may help in evaluating the appropriateness (or otherwise) of a decision which has ethical dimensions. This type of approach can be helpful to some situations—provided of course that there is time to mull over an action. Alternatively the adoption of a structured flow diagram-based approach is sometimes proposed in texts. However this can result in overly focusing on detailed aspects of an issue, rather than on the broader picture. As a general rule, if after careful reflection a person believes something to be ethically unsound, then this in itself should be sufficient grounds to justify raising concerns. Furthermore, voicing ethically based concerns in a professional way should be welcomed by members of an organisation—if for no other reason than it demonstrates an act of professionalism and commitment. Unfortunately, as previously discussed we’re often faced with ethical dilemmas which require a speedy (or even immediate) response, and consequently on occasion we must react by instinct. If we are instinctively uncomfortable with a

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situation, decision, action or the like, then this in itself should represent sufficient grounds for flagging others. When ethically based concerns are raised in an appropriate manner but are dismissed or ignored, then it’s prudent to keep a written record of matters. This should detail the nature of the concerns raised, motivations for having raised them, the response received, and other relevant details. In the case that further issues develop, or actions are taken against an individual for having spoken out, such a record is indispensable, and its maintenance demonstrates adherence to professional standards. Unfortunately the perceived need to maintain such a record suggests the existence of a lack of confidence and trust. It indicates that all is not well in a relationship. Finally, it’s important to note that if any person within (or associated with) an organisation raises what they perceive to be ethically related issues in a professional way and in good faith, then this should be welcomed and should never be to their detriment.

11.2.2 When Courage Isn’t Always Recognised ‘Moral excellence comes about as a result of habit. We become just by doing just acts, temperate by doing temperate acts, brave by doing brave acts.’3

On a grey winter’s day, the waters of a small lake can be cold, dark, lonely, and foreboding. Suppose that you were to see a small child fall into such a lake—there’s nobody else to help and you only have rudimentary swimming skills. A child’s life depends on your immediate action. In such a situation surely very few people would simply watch the child drown? Motivated by empathy and human compassion every effort would be made to rescue the child—even at the risk of one’s own wellbeing. And it’s perhaps this latter factor that causes the rescuer to be widely viewed as exhibiting considerable courage such that he/she becomes the hero of the moment. A small number may possibly be more cynical, and view actions in terms of ‘Psychological Egoism’ (recall Sect. 1.4.1), but they would be very much in the minority, and in general terms if we risk our health or even our life to help another person then this is regarded as being courageous. In general terms, and as summarised in Fig. 11.1 we can consider examples of courage as encompassing at least three general ingredients. Firstly there’s the wish to ‘do the right thing’. This may be consciously determined or purely instinctive. In following through with the courageous act, it’s then necessary to overcome any sense of personal fear. In the case that a courageous act is performed with conscious thought, then it’s likely that this sense of fear may be much more evident. There’s also a need to put to one side the possible personal consequences of the courageous act—which we obviously assume has a strongly negative dimension. By overcoming fear and accepting the personal risks we deem a person to be selfless and courageous. 3

Attributed to Aristotle.

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Drive to ‘do the right thing’

Reflections

The unselfish act

Courage

Personal fear

Risk of personal harm

Fig. 11.1 The facets of courage in which the intention of ‘doing the right thing’ overcomes a natural desire to avoid the risk of personal harm, and the fear that can be associated with carrying out certain actions—or with the ramifications of those actions. An overarching theme is that of carrying out an unselfish act in which personal gain is set firmly to one side. Note that this diagram is limited in scope and so fails to embrace the multi-faceted nature of courage. For example an acutely shy person may demonstrate considerable courage by entering a room occupied by strangers, but there is no risk (perceived or otherwise) of personal harm.

Courage can take many forms and is multifaceted. Consequently the ingredients indicated in Fig. 11.1 are not universally applicable, and in our everyday lives an individual’s courage may go unnoticed and unremarked (such as the child who goes to school despite being afraid of the ill-natured bully, or the shy person who enters a room filled with strangers). Other acts of courage may be noticed and receive widespread censure (e.g. the conscious objector during a period of war, or the person who speaks out when he/she encounters a contentious ethical issue). In respect of the latter, recall Sect. 1.7 in which we briefly discussed Joseph Rotblat, who resigned from the Manhattan Project on the basis that he believed that the only morally justifiable reason to build a nuclear bomb was as a deterrent. Once it was known that the Nazis didn’t possess such a weapon, Rotblat believed that the Anglo-American undertaking should be abandoned. Many others working on the Project shared this view but it was Rotblat who followed through. By way of a further example, consider the actions of Mordechai Vanunu who worked for eight years as a technician at the top-secret Israeli nuclear research centre in the Negev desert. In 1986 he gave information to a UK newspaper (Sunday Times) which not only confirmed that Israel had developed atomic weapons (which had been widely suspected), but which enabled the extent of this nuclear capability to be estimated (this greatly exceeded expectations). As a result of his actions he was captured by Israeli agents, smuggled back to Israel and put on trial for treason and espionage. A long period of imprisonment followed. Public response to the actions of people such as Rotblat, Vanunu, Snowden (recall Sect. 3.7), and many others who have reacted against the activities of government organisations tends to be strongly polarised, and for many their acts are viewed as being contemptuous rather than courageous. If we consider their actions

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Ethical Action

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in terms of the facets of courage summarised in Fig. 11.1, its evident that they must have overcome personal fear (e.g. Vanunu must surely have been highly fearful when he smuggled a camera into the high security research centre), and must have appreciated that he was likely to risk personal harm (undoubtedly wherever he eventually lived, Mossad would surely find him...). A key factor which tends to evoke criticism concerns the drive ‘to do the right thing’. How can we truly tell what factors drove Rotblat, Vanunu, and Snowden? To some their acts were mischievous, deranged, or even criminal. There are those who firmly believe that any act which may negatively impact on national security cannot be condoned. And there are others who may acknowledge that they were perhaps trying to ‘do the right thing’, but were misguided in what they believed the ‘right thing’ to be. In reality, logical analysis frequently fails to explain or rationalise human decision-making. The earlier example of the lone person having to deal with the child who had fallen into a lake brings to mind a highly talented artist who when painting a river scene was faced with just such a situation (see Fig. 11.2). Unfortunately the water was deep and fast moving, he had only rudimentary swimming skills, and was well aware that he suffered from a serious heart condition. Logical analysis would perhaps suggest that his best course of action was to go and find help (no mobile phones in those days). But there wasn’t time and so he entered the water. The two bodies were found some time later.

Fig. 11.2 The river scene referred to in the text and which was painted by the artist who, shortly after completing this work, entered the water (despite his poor state of health and rudimentary swimming skills) and died in his attempt to save a child. We cannot know with any degree of certainty what went through his mind as he formulated his courageous decision. Crucially human behaviour is often instinctive and efforts to overly rationalise our actions would be to ignore the warning attributed to S. J. Harris and which was previously quoted at the start of Sect. 1.6: ‘The real danger is not that computers will begin to think like men, but that men will begin to think like computers.’ (Image copyright to the author)

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As with Rotblat, Vanunu, and Snowden, we cannot know with any degree of certainty what went through his mind as he formulated his decision. Some may say that he was misguided in his determination of the ‘right thing to do’. Others would simply applaud and long remember his courage in following through. Literature frequently distinguishes between physical and moral forms of courage. The latter may be described as: ‘…the commitment to choosing the most moral alternative and having the strength of character to accept the consequences of that choice.’ (The Ethics Institute 2013)

And in a similar vein, Osswald et al. (2010) writes: ‘…brave behaviour… which intends to enforce societal and ethical norms without considering one’s own social costs. Social costs (i.e. negative social consequences) distinguish moral courage from other prosocial behaviours.’

Consideration of the nature of moral courage (which I prefer to refer to as ‘ethical valour’) is helpful in emphasising that when faced with ethically unsound behaviours, efforts to ‘do the right thing’ may have serious negative ramifications. These may not have life-threatening consequences but may be serious nonetheless (e.g. job loss, serious career disruption, and in extreme cases imprisonment).

11.2.3 Catalysed by Anger ‘It’s practically impossible to look at a penguin and feel angry.’4

In real-world situations there’s little point in ruminating on the ‘right thing to do’ unless this is accompanied by follow-through, and as we have discussed in many scenarios this requires courage. In this context, it’s useful to distinguish between what we’ll loosely refer to as proactive and reactive ethics: 1. Proactive Ethics: In this scenario we assume that we are planning the implementation of practices which have sound ethical foundations (such as an aspect of a production process with the intention of minimising energy consumption, materials usage, and negative environmental impact). Thus we aren’t trying to effect change to existing practices, but rather to move forward in an ethically sound manner. 2. Reactive Ethics: In this case we assume that we are endeavouring to respond to existing practices which we believe are ethically unsound. For example, an organisation may have adopted employment practices which exploit workers or which are discriminatory. In this case our ethically motivated actions would represent an attempt to effect change. Thus in the case of proactive ethics we strive to ensure that we move forward in ways intended to avoid ‘the wrong thing from being done’, and in the case of reactive ethics we strive to stop ‘the wrong thing that is being done’. This second scenario is often the most difficult to handle because there is a need to deal with 4

Attributed to Joe Moore.

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ethically unsound practices that are in place, whereas in the case of proactive ethics one must simply endeavour to stop the introduction of such practices—which may be challenging, but tends to be more straightforward. Osswald et al. (2010) suggest: ‘When a person acts morally courageously, he or she is in most cases angry at a perpetrator or he or she is upset because of injustice, violations of human dignity…When people show moral courage, they stand up for a greater good and seek to enforce social norms without considering their own social costs, because one or more perpetrators have violated ethical norms.’

In the context of the above terminology this particularly applies to reactive ethics where, for example, we may encounter cases of injustice and ethically impoverished working practices. These may give rise to a sense of anger which is likely to catalyse the promotion of the moral courage that will be needed in our efforts to change the status quo. Unfortunately, anger is increasingly associated with hostile and threatening behaviour which has a likelihood of culminating in violence. As a consequence it’s generally considered to represent undesirable, antisocial conduct. However this is an oversimplification and as with other human traits anger is complex and multifaceted. It is of course tempting to distinguish between controlled and uncontrolled anger—but this again is an oversimplification because it may suggest that we are always in a position to consciously control our anger. In fact in some more extreme situations the manner in which we control anger may well be subconscious and aligned to facets of our character. Undoubtedly different people demonstrate and react to their anger in different ways. Interestingly the Bible recounts that on at least one occasion, even Jesus was moved to such a level of anger that He acted with a degree of violence: ‘And the Passover of the Jews was at hand, and Jesus went up to Jerusalem. And he found in the temple those that sold oxen and sheep and doves, and the changers of money sitting: And he made a scourge of cords, and cast all out of the temple, both the sheep and the oxen; and he poured out the changers’ money, and overthrew their tables.’ John 2:13–15

Should such an act be condemned and any suggestion that it represented a spontaneous demonstration of ‘ethical valour’ dismissed out of hand? (It is also of course interesting to speculate on the response that such an action would solicit today: certainly an arrest and surely, at the very least, extensive counselling…) OTU Activity 11.2 may demonstrate that in some situations anger is appropriate, and that in extreme cases it may be possible to justify anger culminating in violence. However in the context of our current discussions we assume a more moderate form of anger—which may be wholly or partially internalised. Empathetic anger provides a powerful catalyst in promoting moral courage and doesn’t solely represent a response to the plight of people but may also, for example, be driven by the ill-treatment of animals or the exploitation of the environment. The English poet, Siegfried Sassoon (1886–1967), provides us with an excellent and highly memorable example of ethically inspired action that demanded considerable moral courage and in which his anger was clearly evident. As a soldier in the First World War he demonstrated great courage and fortitude in combat (for which he was awarded the Military Cross in 1916). In April 1917 he was

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Fig. 11.3 The statement of protest about the war written by the English poet Siegfried Sassoon in 1917. This constituted a serious act of defiance against military authority which could have had grave consequences. However, given his military record the authorities adopted a low key approach and sent him to a military psychiatric hospital. Sassoon’s empathetic anger is clearly apparent and his submission of this document must surely have needed considerable ethical valour. See text for discussion. (Copyright to the Estate of Siegfried Sassoon, reproduced by permission of the Barbara Levy Agency.)

wounded and returned to England. Whilst recuperating he wrote a statement of protest about the war which, at that time, constituted a serious act of defiance against military authority. In the document (which is reproduced in Fig. 11.3) he

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strongly criticised those in authority who he perceived were prolonging the war, thereby causing so many soldiers to be seriously maimed and killed. Sassoon’s empathetic anger is palpable, and his closing sentence is perhaps particularly poignant. The letter was read out in parliament by the Pacifist MP, Lees-Milne, and published in The Times newspaper. Naturally it attracted significant attention. To some Sassoon’s action was inexplicable and unforgivable— surely it must represent the conduct of a deranged person? As for the authorities it was considered untenable that an officer could act in this manner and give voice to such views. However, rather than risk the publicity associated with military discipline, Sassoon was ‘examined’ by a medical board and subsequently sent for treatment to Craiglockhart Hospital for Officers with Nervous Diseases in Edinburgh: ‘The decision to send Sassoon to a military psychiatric hospital had come from above in response to Sassoon’s public protest about the conduct of the War, and of the treatment of ordinary soldiers in particular. The government had been faced with a dilemma, since Sassoon had served conscientiously from the outbreak of the War…and had several influential friends in high places…the government had ordered the Army Medical Board to find him suffering from ‘shell shock’ (Moorcroft Wilson 2017)

From Craiglockhart Hospital on 31st July 2017 Sassoon wrote to his uncle Sir William Thornycroft: ‘…I hope you won’t join the people who wriggle out of the situation by saying I’m dotty…’ (British Library Collection: ‘Siegfried Sassoon’s statement of protest against the war and related letters’)

And in another letter: ‘But the only thing that I am certain of is that nothing seems worth while except the truth of one’s actions – whatever their result may be.’ (British Library Collection: ‘Siegfried Sassoon’s statement of protest against the war and related letters’)

For related discussion see OTU Activity 11.3.

11.3

Ethics and Motivations ‘Between stimulus and response, there is space. In that space is our power to choose our response. In our response lies our growth and our freedom.’5

Although organisations can benefit by implementing changes that fully embrace the principles of sound environmental stewardship, self-gain should not be the overarching motivation. However in practice it’s evident that organisations have varied widely in their response to growing public awareness of environmental issues. From 5

Attributed to Viktor Frankl.

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organisations which have effected significant, real, and positive changes, through to others which continue to cause significant environmental damage but hide this behind a slick veneer of marketing-hype designed to suggest the exact opposite.

In order to be truly successful in infusing sound principles of environmental stewardship across all aspects of an organisation’s activities, it’s necessary for stakeholders at all levels to be committed to relevant goals and to encourage and accept necessary changes (even if these impact on profit). This requires a common belief in the need to preserve and protect the environment for future generations— that this is the ‘right thing to do’. In contrast some organisations are more introspective and unduly focus on the financial advantages that they can derive from engagement with environmental stewardship. In this scenario there is little real passionate vision but rather attention focuses on a fragmented set of possible changes that could be made, and in each case the question of ‘what’s in it for us’ factors highly in the decision-making process (e.g. how a marketing department can capitalise on the adoption of a particular policy).

11.3

Ethics and Motivations

853

In looking forward, there’s a strong need for organisations to infuse sound ethically based practices across all aspects of their activities. Undoubtedly as with environmental stewardship, organisations will have different motivations for engagement. When inspired by ethical leadership some will be motivated by the vision of ‘doing the right thing’, others will hold out until legislation forces change (and then focus on identifying loopholes), and others will proactively seek to engage with those ethical practices which may prove to be the most profitable. Discussion presented in Sect. 2.3.3 in connection with the two fictitious organisations (Ethical Industries and Cowboy Educational Services) identified various significant and tangible benefits that can be obtained by adopting sound ethical standards. For example, you may recall that this can enhance working efficiency and considerably improve staff satisfaction. In respect of the latter there is an abundance of anecdotal evidence that suggests that in the case of organisations that have poor employment practices (coupled with the existence of other negative attributes such a ‘blame culture’ (Sect. 2.3.1)), collegiality is greatly eroded. This may be contrary to an intuitive notion that in such an environment colleagues would tend to be more supportive of each other. However the reality is that they will often take out their frustrations in non-collegial ways and justify this (perhaps unconsciously) on the basis that ‘if I’m having a hard time, why shouldn’t you’. As with environmental stewardship, the tangible self-benefit that can be derived from the infusion of strong ethical standards within an organisation shouldn’t act as the primary catalyst for their adoption.

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In Sect. 2.3 we suggested that the characteristics of ethically sound leadership cannot be wholly instilled by training. Although training can provide important rudimentary skills, it’s evident from previous discussion that ethical leadership requires multifaceted talents which include strong ethical valour. Osswald et al. distinguish between such valour and heroism on the basis that in the case of the latter the act is generally associated with public acclaim, whereas in the case of ethical valour (moral courage) the opposite may well occur. In practice this is a tenuous distinction since it may be argued that because an act of ethical valour may receive societal condemnation (albeit often for only a limited period of time), this makes the act even more heroic. In addition various forms of ethical valour and heroism share a most important common value (which cannot readily be taught)— the commitment to service: ‘True heroism is remarkably sober, very undramatic. It is not the urge to surpass all others at whatever cost, but the urge to serve others, at whatever cost.’6

11.4

Ethics in Action: A Graded Approach ‘Always the eyes watching you and the voice enveloping you. Asleep or awake, working or eating, indoors or out of doors, in the bath or in bed—no escape. Nothing was your own except the few cubic centimeters inside your skull.’7

The ethical dilemmas which we’re likely to encounter during our careers will hopefully be much less profound than those experienced by people such as Joseph Rotblat, Mordechai Vanunu, Edward Snowden, and Siegfried Sassoon (see previous discussion). But this doesn’t necessarily make the ethical dilemmas less important and nor does it mean that the ramifications which we could potentially face in efforts to ‘do the right thing’ will not be significant (e.g. job loss and/or career damage). In the vast majority of situations, it’s best to attempt to adopt low key approaches to problem resolution. With goodwill and intelligence most issues can be resolved in a relatively straightforward manner. However sometimes more serious situations arise in which people have vested interests in protecting the status quo— or are simply too fixed in their ways to do otherwise. In such cases, disputes may quickly escalate and strong human emotions can get the upper hand. Developing a professional and proportionate approach when faced with intransigence can be challenging, and in this section we suggest some possible strategies.

6

Attributed to Arthur Ashe. Orwell (1949).

7

11.4

Ethics in Action: A Graded Approach

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11.4.1 Following Through As previously discussed, in some situations we are faced with unanticipated ethical dilemmas to which we must immediately respond. Alternatively we may have time to consider the dimensions of an ethical issue and plan an appropriate response. In the case that we encounter the first of these two situations and are subsequently troubled by the way in which we responded, then it’s often possible to follow up and indicate that due reflection has led to a wish to modify the initial response. This should be readily understood by others as there can be little doubt that having time for deliberation is an important aspect of effectively dealing with ethical issues. Below we focus on the second type of situation—although some points made are common to both (especially the need to ensure that our response is proportionate, professional, and documented). In Fig. 11.4 we summarise a general approach that may be adopted by an individual when attempting to follow through on ethically related matters pertaining to aspects of an organisation. Naturally this begins by identifying that an ethically related problem exists which has (or has the potential to have) negative consequences (these may for example relate to people, other living creatures, or the environment) such that acceptance of the status quo would conflict with one’s ethical values and sense of professionalism. As suggested in the diagram, ‘doing the right thing’ is generally best achieved by adopting a low key approach and by initially sharing concerns with those who are immediately involved in the matter and/or to whom you normally report. At the very least, by explaining your concerns it’s possible to ensure that others are actually aware that an ethically related problem exists, and with goodwill an

Decision taken to ‘follow through’

Close friends, professional bodies, union, legal, etc

Low Key: Within reporting structure

Low Key: Beyond reporting structure

Solicit confidential input from others

Internal escalation

Threshold: Entering a potentially lonely place

Going external

Detailed documentation

Fig. 11.4 Many factors are likely to influence the manner in which ethical dilemmas are dealt with. Here we indicate some general possibilities and emphasise the crucial importance of developing detailed documentation which records motivation, background to decisions made, actions taken, responses received, etc. The diagram emphasises the value of a gradual escalation and that matters may become more difficult once a decision is taken to ‘go external’.

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appropriate solution can often be found. However in other situations matters may be more complex because, for example, people may take a more hostile stance. Indeed in some organisations the act of simply expressing concerns may be viewed in a negative way, and as a result future access to information may be restricted or a person’s activities may be monitored. Thus before bringing concerns to the attention of anybody within an organisation, it’s prudent to first consider the organisation’s culture, and the general attitude of those who are responsible for decision making processes. Recalling our two fictitious organisations, when dealing with Ethical Industries it’s likely that Albert will experience little difficulty in discussing and resolving issues which have ethical dimensions. On the other hand, at ‘Cowboy Educational Services’ problems are likely to be significant. For example, matters raised may be simply dismissed and/or there may be difficulty in identifying senior staff who are likely to acknowledge and act on concerns. This is perhaps somewhat ironic as the least ethical organisation is sure to be the one which is most in need of change! From the outset it’s most important to maintain appropriate documentation—if matters escalate then this material is likely to be crucial not only in demonstrating efforts to ‘do the right thing’ in the ‘right way’, but also in recording how these efforts were received. A graded approach to escalation suggests the need to continue to attempt to resolve matters from within an organisation by contacting more senior figures (with whom you may not necessarily have direct contact). Dependent on the size and structure of the organisation, these may initially be in the same department although if this doesn’t help then there’s likely to be a need to approach those who have overarching authority. In parallel it’s prudent to seek wise and independent council which may include taking legal advice. However, legal costs can quickly escalate and in this context it’s important to bear in mind that if matters are pursued through legal channels, then organisations tend to have much more money than the individual. However membership of professional bodies can sometimes be useful because often more senior levels of membership provide an entitlement to free legal support for workplace-related issues. Occasionally it may be necessary to raise the stakes and to take risks which in particularly serious situations may have major ramifications. Fortunately such situations are not commonplace—but occasionally they arise, and when they do they need to be handled with the utmost care. The decision to go outside an organisation should not be taken lightly and will often mean ‘going public’. It is crucial to ensure that actions are proportionate and that documented evidence demonstrates the efforts made to find other less drastic ways of resolving matters. Drawing on a report commissioned by the Association of Chartered Certified Accountants (entitled ‘Effective Speak-Up Arrangements for Whistleblowers’), Higginbottom (2017) writes:

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Ethics in Action: A Graded Approach

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‘…organisations demonize whistleblowers and portray them as mentally ill or discredit their claims. The study of 25 workers who revealed wrongdoing in their organisations such as banks and healthcare found that whistleblowers lost their job either being pressured out of the organisation or being dismissed. If they stayed they suffered retaliation through bullying, demotion, isolation or harassment while some were forced by their company to take mental health counselling.’

We’ve previously alluded to those within management hierarchies who deliberately seek to discourage endeavours that are made to keep them informed about potentially negative decisions and/or events. When problems escalate this approach allows such people to not only adopt a stance of plausible deniability, but also to reduce the credibility of others. Consequently in terms of a graded approach to problem resolution it’s often highly advisable to ensure that such people are kept fully informed—even if they would much prefer not to be. It’s also perhaps worth noting that when attempting to follow through in resolving an ethical dilemma there are likely to be occasions in which pressure is exerted to either drop the matter or compromise. Obviously in some situations compromise can work, whereas in other cases it is inappropriate and may have serious negative ramifications. Some may ask ‘why bother’—surely it’s easier to accept an imperfect world and imperfect organisations? Wrongdoing, discriminatory practices, harassment, bullying, and an overarching drive to move forwards and maximise revenue steams have always been a part of the free economy. All systems have their strengths—and also their weaknesses. Surely the role of an employee is to follow instructions—it’s for others to decide about matters of policy and ethics: ‘I just get on with my job in ways that will advance my career—it’s dumb to rock the boat’. These are understandable sentiments, but bring to mind the words of Martin Niemöller: ‘First they came for the socialists, and I did not speak out – because I was not a socialist. Then they came for the trade unionists, and I did not speak out – because I was not a trade unionist. Then they came for the Jews, and I did not speak out – because I was not a Jew. Then they came for me – and there was no one left to speak for me.’8

Although if considered at a superficial level this may be seen as suggesting that ‘doing the right thing’ should be driven by self-interest, rather than expressing the broader sentiment that the reason for ‘doing the right thing’ should simply be that it’s ‘the right thing to do’. For further discussion see OTU Activity 11.4.

8 Pastor Martin Niemöller (1892–1984) enthusiastically welcomed to Third Reich, but following a meeting with Hitler his outlook quickly changed. In 1937 he was arrested by the Gestapo and eventually sent to Sachsenhausen and Dachau concentration camps. Finally he was freed in 1945.

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Organisational Failures: The Boeing 737 Max 8 ‘We learn from history that we learn nothing from history.’9

In previous chapters we’ve outlined a number of major tragedies within the aerospace industry which reflect significant organisational failures. As many of these occurred some years age some may believe that they have little relevance today— surely we now live in a more enlightened world in which we would never allow passenger safety to be compromised by the types of issue which have culminated in past disasters? Surely we have learnt from history? Here we briefly consider two recent tragedies involving Boeing’s 737 Max 8: both of which occurred shortly after takeoff. Although at the time of writing uncertainty still remains as to numerous factors which contributed to these disasters, they exhibit similar characteristics and so are likely to have been caused by similar issues, some of which are summarised in Fig. 11.5. Later in the section we discuss ways in which these have also contributed to some of the other aerospace-related accidents outlined in previous chapters. Although it is evident that air travel has gained an excellent safety record, it’s continually necessary to guard against the forms of complacency which can so easily flourish and lead to loss of life. It’s for this reason that it is important to gain familiarity with, and learn from past mistakes. Consideration of the price that passengers and aircrew may one day have to pay for personal and organisational failures helps to provide the moral courage (ethical valour) that is sometimes needed in order to insist on adherence to ethically sound practice.

11.5.1 Boeing’s 737: A Trusted Workhorse When developing today’s complex aircraft it makes sense to make use of or adapt tried and tested systems whose weaknesses have been identified over time, and wherever possible eliminated. This acknowledges the fact that in anything other 9

Attributed to George Bernard. Shaw (1856–1950).

11.5

Organisational Failures: The Boeing 737 Max 8

Working under pressure

Commercial and financial factors

859

Relationship between manufacturer and regulator

Indicative themes contributing to tragedy

Reliability of sensors and system design

Crew training

Ramifications of automation

Fig. 11.5 A number of factors which are likely to have contributed to the 737 Max 8 tragedies. The dashed line emphasises that the three enclosed factors are often inter-related, such that commercial/financial factors can negatively impact on working practices and also erode the independence of regulatory bodies.

than a trivial system, weaknesses will always exist and in some instances will not be identified during even the most rigorous of testing processes. Furthermore this strategy makes commercial sense as it reduces the time needed for development and hence the associated costs. On the other hand, in some instances it can create a situation which is frustrating for world-class engineers whose creative capabilities and skills may be continually constrained by legacy issues and associated management requirements. This may have been the case in the development of Boeing’s 737 Max 8. The 737 first flew in 1967 and since that time has gained a reputation for reliability and safety. Over the years it has undergone several major updates, the most recent giving rise to the Max 8 which made its first flight on 29th January 2016. The rapid development of this plane was catalysed by Boeing’s rival Airbus which late in 2010 revealed the A320neo.10 This threatened to slash sales of the 737: the A320neo was quieter, would cause less environmental pollution and perhaps most importantly from a commercial perspective, it offered much greater fuel efficiency. In this latter respect, Campbell (2019) writes: ‘In 2018, Southwest Airlines’ fleet of 751 Boeing 737s burned through 2.1 billion gallons of fuel at an average cost of $2.20 per gallon.’11

Airbus claimed that the A320neo would consume 6% less fuel than the 737NG, thereby offering a major economy to carriers, and naturally they were quick to place orders. Boeing needed to rapidly develop a competitive solution. There wasn’t time 10

Neo: new engine option. Statista indicate that in 2018 *17.87 billion gallons of fuel were consumed by U.S. airlines (this excludes military consumption). This source also indicates that the global consumption of fuel by commercial airlines in 2019 is predicted to be *97 billion gallons. The reader is left to reflect on sustainability issues. 11

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to design a plane from scratch and so the obvious way forward was to upgrade the 737. But in order to compete with Airbus, more fuel-efficient engines would be needed and this presented a difficulty. In brief the 737 had originally been designed with a low undercarriage, thereby making it easy for airlines to board passengers and handle baggage via external steps. In the 1960s this was the norm. As a result the distance between the ground and wing was not sufficient to allow the safe installation of new CFM LEAP-1B engines. From an engineering perspective the obvious solution was to lengthen the undercarriage, thereby raising the height of the plane. However this would negatively impact on the commercial objective of ensuring that aircrew who were already rated to fly current 737 aircraft didn’t have to undergo expensive simulator training in order to transition to the Max 8. In fact the development of the Max 8 was strongly influenced by this goal. Not only were engineers working on legacy systems that had their origins in the 1960s, but as Campbell (2019) remarks they had to produce a: ‘21st century airplane that still felt and flew like ones designed when the Beatles were still together… Software engineers had to settle for re-creating 40-year-old analog instruments in digital formats, rather than innovating and improving upon them… This was all done for the sake of keeping the Max within the constraints of its common type certificate.’

And Nicas et al. (2019) write: ‘The Max still has roughly the original layout of the cockpit and the hydraulic system of cables and pulleys to control the plane, which aren’t used in modern designs. The flight-control computers have roughly the processing power of 1990s home computers.’

The pressure was on to produce results quickly—before Airbus had cornered the market. As for the engines, it was decided to mount them closer to the wing and further forwards. Only the front undercarriage would need to be lengthened, and these changes wouldn’t conflict with the common type certification objective. This new arrangement was not without problems as it was found that when the Max 8 was in a significant pitched up orientation (as it would be when climbing after takeoff), the angle of pitch tended to naturally increase and if left unchecked could result in the aircraft stalling. Furthermore: ‘…under these circumstances experienced pilots found the controls of the aircraft felt unfamiliar: unusually light, and rather different to what they had experienced with the previous generation of 737.’ (Leggett 2019)

This difference in feel didn’t align with the objective of gaining a common type certification—further ingenuity was needed. As a result, Boeing engineers developed a control system which they called the ‘Manoeuvring Characteristics Augmentation System’ (MCAS). At the time of writing, it seems that this hardware/software system played a central role in the total destruction of two almost new 737 Max 8 aircraft and the deaths of 346 men, women and children.

11.5

Organisational Failures: The Boeing 737 Max 8

Angle of Attack Sensor 1

861

Angle of Attack Sensor 2

Known sensor vulnerability No Angle of Attack sensor disagreement alert as standard

Data for MCAS taken from only one of the two Angle of Attack sensors

Cycled intervention of MCAS Flight crew knowledge of the inclusion and operation of MCAS

Strength of MCAS intervention

Fig. 11.6 Here we identify a number of aspects of the 737 Max 8 ‘Manoeuvring Characteristics Augmentation System’ (MCAS), which suggest non-optimal engineering practice. See text for discussion.

11.5.2 Ingredients for Tragedy The ‘Manoeuvring Characteristics Augmentation System’ (MCAS) was designed to respond to the problem mentioned above. Specifically when the aircraft was in a steep climb, it would curb the plane’s natural tendency to increase its angle of pitch by automatically adjusting the trim of the tail plane (horizontal stabiliser). This reduced the risk of the pitch increasing to such an extent that a stall could occur, and furthermore the system worked to make the aircraft ‘feel’ like other 737 renditions. Matters surrounding the design of the MCAS are somewhat puzzling, especially because it was not designed by inexperienced students but rather by highly skilled engineers. Surely such engineers could not have made seemingly elementary errors of judgement in the way in which they implemented MCAS? And so here we assume that there must have been other factors which influenced their work, and which will probably become evident in the near future. Some key puzzling aspects of MCAS are summarised in Fig. 11.6 and are briefly outlined below: 1. Angle of Attack Sensors: In the case of any safety critical system, it is crucially important to appreciate that from time to time sensors fail. This may be because of manufacturing weaknesses, environmental conditions or because they are damaged in use. Consequently engineers generally make use of multiple sensors to provide a degree of redundancy (although as the reader may

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recall from Sect. 8.11, in the case of Air France Flight 447 travelling from Rio to Paris in June 2009, the presence of three pitot probes did not avert disaster). In the case that three or more sensors are fitted (and ideally produced independently by different manufacturers, which was not the case with the Air France flight), then by comparing their outputs the control system can detect disagreement, and operate on the basis of the majority which are in agreement. However when only two sensors are available this approach can’t be used, and the best that can be done is to monitor for disagreement and when this occurs provide a clear indication to the operator that data reliability and hence system integrity, can no longer be assumed. The Max 8 is fitted with two Angle of Attack (AoA) weather-vane-like sensors which measure the direction of airflow relative to the horizontal centre line of the aircraft. But the pilots were not necessarily notified when sensor disagreement occurred. A statement by Boeing indicates that: ‘The software delivered to Boeing linked the AOA Disagreement alert to the AOA indicator, which is an optional feature on the MAX and the NG. Accordingly, the software activated the AOA Disagree alert only if an airline opted for the AOA indicator.’ (Boeing Statement 2019)

They go on to add: ‘…That review, which involved multiple company subject matter experts, determined that the absence of the AOA Disagree alert did not adversely impact airplane safety or operation.’

Interestingly and somewhat incongruously, this same document makes it clear that: ‘Senior company leadership was not involved in the review and first became aware of this issue in the aftermath of the Lion Air accident. [the first of the two 737 Max tragedies]’

2. Only a Single Sensor Employed: Rather than fit a third sensor and create a more robust system, the MCAS engineers appear to have elected to adopt a particularly minimalistic approach by taking data from only one of the two Angle of Attack sensors. Thus in the case that this sensor failed, and in the absence of a sensor disagreement alert, the MCAS would be supplied with erroneous data. This is despite its being known that occasionally these sensors did occasionally fail: ‘There are at least 140 instances since the early 1990s of sensors in U.S. planes being damaged by jetways and other equipment on the ground, or by striking birds in flight.’ (Levin and Beene 2019)

3. Testing: Following on from (2) and given the likelihood that at some time in the future a sensor problem would develop, it seems inconceivable that the MCAS engineers would not have tested the system so as to fully determine its

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Organisational Failures: The Boeing 737 Max 8

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response to all possible sensor problem scenarios. If it’s finally established that Angle of Attack sensor problems were the root cause of the two 737 Max tragedies, then this would suggest that proper testing was not carried out. 4. Battling with the Pilot: A further puzzling aspect of the MCAS design is that the system was not developed to be cognisant of the pilot’s response to its action. In short it lacked sophistication, and simply repeatedly cycled through its basic procedure. For example consider the case that after takeoff a plane is climbing at the intended rate. However, due to a failure of the Angle of Attack sensor, MCAS believes that the pitch angle is too high. It then intervenes and brings the plane’s nose down. The pilot then intervenes to restore the desired angle of pitch. MCAS responds by lowering the nose, and again the pilot corrects the pitch angle. This appears to have happened in both of the 737 Max tragedies. Surely a well-designed system should have noted that it was opposing the pilot’s actions and would have automatically disengaged—or offered to disengage? But perhaps this wouldn’t have aligned with the company’s wish to obtain common type certification? 5. Strength of Intervention: Campbell (2019) indicates that according to the design specification, the MCAS was intended to provide a quite limited degree of intervention such that it was only capable of moving the horizontal stabiliser (tail plane) by 0.6º during each cycle of intervention. However in practice the movement could be as much as 2.5º, thereby enabling the MCAS to have a significant effect on pitch control. 6. Informing the Pilots: Since the early days of aviation it has long been recognised that once the wheels leave the ground, greater altitude offers greater safety. Whilst there are obvious exceptions to this notion it certainly works well when we consider the case of a large complex aircraft which has just taken off—for if something does go wrong, at a higher altitude there is usually more time available to react. However with MCAS, not only did Boeing insert an automated system into one of the most important controls available to the pilot, but also appear to have failed to properly inform pilots about the characteristics of this system. Furthermore the system was designed to reduce the angle of pitch— thus in the case of unforeseen behaviour it had the capability (however unlikely) of pointing a plane earthwards (especially given the strength of its potential intervention—see (5) above). Thus it would seem inconceivable that the aircraft manufacturer would not fully inform pilots about the operation of MCAS and its dependence on a single Angle of attack sensor. However, it appears that the inconceivable did in fact happen: ‘… [MCAS] was not specifically mentioned in the flight manual – which is meant to give the pilots the information they need to fly the aircraft safely.’ (Leggett 2019)

And it seems that it was only after the loss of the 737 flying out of Jakarta that Boeing provided limited information about the system. In this context, Campbell (2019) writes:

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‘The presence of this system, lurking somewhere in the Max’s software suite, was shocking enough. Even more frightening, Boeing only gave the bare minimum of information to airlines and pilots. The bulletin didn’t give the system a name [MCAS wasn’t specifically mentioned] or explain what it was designed to do in normal operation. It only said that sometimes it malfunctions, and that can crash your airplane.’ (Campbell 2019)

In the case of a malfunction, Boeing’s instruction was to hit the two ‘STAB TRIM CUTOUT’ switches or, put more simply—turn the power off. After this, the pilots could re-adjust the aircraft’s trim manually, assuming of course that this was physically possible given the potentially high aerodynamic forces that may occur when in rapid descent.

11.5.3 The Illusion of Emulation As previously mentioned, a key factor which strongly influenced the development of the Max 8 was the goal of obtaining a common type rating, such that pilots who were able to fly previous models of the 737 would need only minimal training in order to fly the Max 8. Since the two tragedies the level of training provided has come under scrutiny—and criticism. Aviationcv (2019) reports: ‘Evidently the training session was a one-hour theoretical lecture with an iPad on how to fly the MAX. Pilots did not step into the simulator to try their hand at the controls.’

And Campbell (2019) suggests that in principle a pilot rated on previous versions of the 737 could take command of a MAX 8 with only 2.5 hours of computer-based training. Unfortunately the goal of obtaining a common type rating limited the extent to which important innovations could be incorporated into the MAX 8. Further the need to include the MCAS provides us with an example of the way in which designers added complexity, when they sought to emulate the characteristics of a plane designed in another era. Emulation can indeed make technologies appear to be the same—but in some situations this is quite illusionary. The presence of MCAS meant that aerodynamically the MAX 8 was not equivalent to previous 737 models, and so it was imperative that pilots were informed of its presence and operating characteristics. In order that they could quickly pick up the pieces when it malfunctioned, they needed this information. Any assumption that a real time system will never fail is highly flawed—if it can go wrong, it will go wrong—and MCAS appears to have done so. The crux of the matter is that the insertion of technologies to cause one system to exhibit the outward characteristics of another can only work whilst the technologies work as intended. If/when some form of technology failure occurs, the disguise created by emulation breaks down and the system’s real characteristics become evident. In some situations this may not matter. Contrariwise in some circumstances it can have a deadly effect.

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It would appear that in the case of the MAX 8 the illusion of sameness influenced the training process, and little attention was given to the fact that such an illusion can rapidly evaporate.

11.5.4 The Human Cost On 28th October 2018 PK-LQP (a Boeing 737 Max 8 operating as Lion Air) took off on what was expected to be another routine flight from Bali to Jakarta. Shortly after takeoff the Captain identified a likely sensor problem. Erroneous altitude and airspeed data was being depicted on the left-hand instrument panel. This didn’t appear to be a major issue and he deftly switched the instruments to accept an accurate data feed derived from alternative sensors.12 With that glitch apparently resolved, flaps were retracted and the plane was set to climb to its cruising altitude. However, without warning, it suddenly started to lose altitude. Corrective actions appeared to work for a few seconds, after which the plane again entered a dive. Over the next 6 minutes, time after time the same thing happened and at one point as the aircraft plunged some 900 feet it nearly reached its so-called ‘redline’ speed. By now the crew were running out of ideas and if this state of affairs had continued much longer there can be little doubt that they would have completely lost control of the situation. Fortunately for all on board, on that particular flight, an off-duty pilot was occupying the jump seat and was perhaps better able to dispassionately reflect on the situation (see, for example, Levin and Beene 2019). Following his brief words of advice, the two ‘STAB TRIM CUTOUT’ switches were flipped and as if by magic, control was regained. The crisis was over and PK-LQP climbed into the blue. On arrival at Jakarta the Captain reported events that had taken place, but despite undertaking checks the ground crew were apparently unable to locate any problem. The plane was therefore readied for the 6:20 am red-eye flight to Pangkal Pinang. But on this occasion a different crew would be flying the plane, and there would be no experienced pilot sitting in the jump seat able to proffer wise council. Nobody would suggest following the ‘runaway stabiliser’ procedure, nobody would flip the two ‘STAB TRIM CUTOUT’ switches. For *8 minutes, the pilots endeavoured to raise the nose of the plane and 28 times the ‘system’ countered their actions. At immense speed the almost new MAX 8 plunged into the ocean. Quickly the news propagated around the world. In some countries it made radio and TV headlines, and in others received merely a mention. Some listeners sadly empathised with this human tragedy whilst for others it was simply yet another 12

However this may have been an indication of a faulty Angle of Attack sensor which not only feeds the MCAS but also various other systems. For example during the final minutes of the two tragic MAX 8 flights: ‘The stall warning set off a “stick shaker” in which the control column shakes violently and produces a loud noise to get the pilot’s attention. The pilots also began receiving erroneous airspeed and altitude readings…’, (Levin and Suhartono 2019). As is suggested in the article: ‘This is a breeding ground for confusion.’

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accident in some far away place—probably caused by poor maintenance. But whatever their outlook, unless they were in some way connected with the tragedy, people quickly moved on and continued with their busy lives. Such is the nature of today’s global news delivery—it is as if we are slowly becoming increasingly disconnected with the reality of continuous human suffering. This is perhaps somewhat ironic—although technology provides the means by which news from every part of the world is conveyed with the utmost rapidity, its impact seems to be being eroded—little seems to surprise us any more. Events hit the headlines and often within hours are pushed to one side by other sensations. Quickly they are forgotten—the only continuity being the tsunami of what is so often bad news. And so despite the brief headlines reporting the loss of PK-LQP, people continued to board MAX 8s—for after all Boeing has a longstanding and fine reputation. The loss of PK-LQP undoubtedly had a profound impact on the manufacturer and on the 6th November 2018 a Bulletin was released in which the effects of the flight control problem were outlined and the solution (relating to the use of the ‘STAB TRIM CUTOUT’ switches) was stated. Surprisingly, MCAS wasn’t specifically referred to nor was any explanation given as to the system’s normal operation. The weeks and months passed. Airlines were reassured that all was well with the Max 8 and continued to place orders. Surely the crisis was over? On 10th March 2019, ET-AVJ (a Max 8 owned by Ethiopian Airlines) accelerated down the runway at Addis Ababa at the start of a two hour flight to Nairobi. The impact which occurred six minutes later resulted in a crater some 28m wide and 40m in length. It was so profound that the engines were embedded 10m into the earth. Subsequently with some apparent hesitation the Federal Aviation Authority (FAA) joined with other bodies in grounding Max 8s. It took the deaths of 346 people before the severity of the fault was recognised and acted upon.

11.5.5 Perhaps only a Partial Solution? Following the loss of PK-LQP, there was unequivocal evidence that a serious problem existed. However Max 8s continued to fly with the expectation that crew would follow the instructions given in Boeing’s Bulletin released on 6th November 2018. This clearly indicates that once the ‘STAB TRIM CUTOUT’ switches were set to the ‘CUTOUT’ position, they should be left in this state for the remainder of the flight (although no explanation is given). But as surely Boeing engineers are only too well aware, when working under extreme pressure, humans are not always logical. Can we therefore be really surprised to find that in the case of the Addis Ababa tragedy after some 5 minutes of trying to regain control of their plane’s descent, in desperation the pilots finally tried restoring power to the stabiliser trim system? By doing so they were acting contrary to instructions—but on the other hand these same instructions had indicated that hitting the ‘STAB TRIM CUTOUT’ switches would resolve the problem… The Boeing document also mentions that:

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‘Initially, higher control forces may be needed to overcome any stabilizer nose down trim already applied.’

Perhaps this important point should have been given greater attention? Given that the MCAS had the proven capability of placing an aircraft in a pitch down condition in which it would rapidly gain speed, it was naturally important to consider the point at which aerodynamic forces would make it physically difficult (if not impossible) to manually restore the trim. There can be little doubt that this must have been investigated by Boeing, but the Bulletin provides no information on their findings. However BBC (2019), quoting from ‘Ethiopia’s Aircraft Accident Investigation Bureau’, indicates that three minutes after the onset of the problem: ‘The crew then attempt to control the stabilisers manually with wheels – something difficult to do while travelling at speed.’

And two minutes later: ‘When this doesn’t work, the pilots turn the electricity back on and again try to move the stabilisers. However, the automated system engages again and the plane goes into a dive from which it never recovers.’

Perhaps the use of the ‘STAB TRIM CUTOUT’ switches provided only a partial solution and under some operating conditions, the plane could be placed in an unrecoverable dive?

11.5.6 History: Who Should Care? Finally it’s instructive to return to Fig. 11.5, and below we loosely consider factors which may have contributed to the two Max 8 disasters, and demonstrate that these have a degree of commonality with some of the aerospace-related organisational failures outlined in other chapters. 1. Commercial and Financial Factors: As discussed, the Max 8 was developed in response to the production of the A320neo. The creation of a new model of the longstanding 737 could be achieved in much less time than would be needed to produce an entirely new aircraft. Furthermore, pilots who were able to fly previous models of the 737 would need only minimal training in order to fly the Max 8. But this imposed limits on the changes that could be implemented and made it impossible to incorporate some desirable developments. Indeed at times, engineers were forced to introduce techniques that enabled to Max 8 to emulate the characteristics of previous models of 737 (although as previously suggested this can be a perilous practice). With appropriate oversight by the FAA perhaps all would have been well. However following the two tragedies, the relationship between Boeing and the FAA is coming under close scrutiny. The certification of complex aircraft is an

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extensive and costly undertaking, and consequently the FAA simply doesn’t have the resources to carry out this work in a truly independent way. As a result, a large portion of the certification process is delegated to the manufacturer— thereby creating a situation in which the manufacturer is responsible for appraising its own work: ‘During the Max 8 certification process, FAA managers pressured their teams to delegate as much as possible back to Boeing. When Boeing looped the FAA back in for review, “there wasn’t a complete and proper review of documents… review was rushed to reach certain certification dates.” According to one FAA certification engineer.’ (Campbell 2019)

Campbell (2019) reports that the FAA assigned a ‘hazardous failure’ designation to the MCAS—meaning that its malfunction would result in a large reduction in safety margins, or serious/fatal injury to a small number of people. With this designation, MCAS should have been designed with two levels of redundancy, whereas as previously indicated it apparently takes input from only one Angle of Attack sensor. The pressures caused by intense commercial competition between aircraft manufacturers, and the dangers that may arise when a manufacturer and regulatory body become too closely associated are abundantly evident from history. Recall for example Sect. 2.5 in which we outlined the loss of Flight TK981 shortly after the DC10 took off from Orly, Pars in 1974. Quoting from Sect. 2.5.2: ‘During this period there was intense competition between McDonnell Douglas, Boeing and Lockheed in promoting the new generation of wide-body aircraft. The informal agreement between the Douglas and the FAA ensured that the negative publicity associated with the grounding of the DC-10 fleet or with the release of an Airworthiness Directive was avoided.’

The dangers of carrying out complex engineering work under pressure are clearly evident in the loss of the loss of the Challenger Space Shuttle (Sect. 3.8), and R101 airship (Sect. 5.5). 2. Insufficient Training: An important aspect of the training process is to ensure that those responsible for the operation of complex real-time, safety-critical, systems have sufficient knowledge to appreciate the ways in which they operate. In this way when the unexpected happens, there is more chance that effective problem-solving strategies can be quickly put into place. However as previously indicated, pilots flying other models of 737 could transition to the Max 8 with very little training. In such a situation the unexpected can quickly lead to tragedy. In this context, the reader may recall Sect. 7.8 in which we outline events leading to the loss of Air New Zealand Flight TE901 and all on board. Surely had the crew received proper training in respect of white-out, this condition would have been recognised and the aircraft would never have slammed into the slopes of Mount Erebus? Quoting from Sect. 7.8.2: ‘Thus crews without any prior Antarctic aviation experience were made responsible for flying more than 200 passengers into a region in which they could encounter a weather phenomenon which was entirely new to them: whiteout.’

11.5

Organisational Failures: The Boeing 737 Max 8

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A lack of sufficient training also played an important part in the loss of Air France Flight 447 when in June 2009 the Airbus A330 plunged into the Atlantic with the loss of all on board (Sect. 8.11). Recall: ‘With regard to practical training relating to the notion of a stall warning, the only opportunities available to the two co-pilots to learn about stall were during their basic training, and then as part of one or two simulator sessions during their initial training for A320 type rating. These exercises were conducted at low altitude (FL100) with the focus on demonstrating and analysing the phenomenon, and with particular attention on the operation of the aircraft’s protections in normal law. In alternate law, the approach to stall exercise exposes the trainee to the stall warning in a situation in which it is expected, and the corrective actions to be performed are prepared in advance. The exercise lets the trainee experience the onset of the vibrations due to buffet, which confirms the stall phenomenon.’ (BEA 2012)

Ultimately it is for manufacturers, airlines, and aircrew to ensure that training is adequate. However since aircrew are ultimately responsible for responding to unexpected situations which may have serious ramifications, they perhaps have the greatest responsibility in demonstrating professional ethics—which as indicated in Sect. 1.1 is assumed to refer to the overarching standards that we apply (or should apply) to all aspects of our work. Should 737 pilots who were to transition to the Max 8 have demanded more extensive training before being entrusted with the lives of passengers and cabin crew? 3. Reliability: The decisions which led to the production of the MCAS system are intriguing, and there can be little doubt that over the coming months more details will come to light. Why, for example did the system make use of only one Angle of Attack sensor, why was the Angle of Attack Disagree Alert not viewed as being essential, and why was the production system more powerful than appears to have been originally planned? Further why did the system simple cycle through its activity so that in some situations its actions would repeatedly conflict with a pilot′s corrective measures? We have also mooted the possibility that the system could have been designed to identify and reject seemingly erroneous data. However, this doesn’t necessarily enhance safety. For example in the case of the Air France tragedy referred to above and quoting from Sect. 8.11: ‘To add to the confusion, the stall condition warnings had ceased. This was because the designers had assumed that such an extreme angle of attack would never occur. The system had been designed to reject data of this magnitude as it must surely be erroneous. Consequently, when the pilots used their Side Sticks to reduce the pitch (which was exactly what needed to be done - reduce the angle of attack and build up flying speed) this brought the angle of attack data back to a level that it was again accepted by the system, and so caused the stall condition warnings to again sound. This was surely a perverse twist to the events which were rapidly unfolding – the system seemed to be advising against the one and only solution to the situation.’

The development of successful aircraft and spacecraft demands the highest possible engineering standards—sooner or later weaknesses will be revealed and these can have dramatic consequences. The loss of the Challenger (Sect. 3.8)

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and Columbia (Sect. 6.10) Space Shuttles together with the Mars Polar Lander and Deep Space 2 Probes (Sect. 8.9) provide us with stark examples of failures which revealed weaknesses in engineering practice. Undoubtedly both Space Shuttle tragedies and the loss of Flight TK981 shortly after taking off from Orly in 1974 (Sect. 2.5) along with many other engineering-related aviation tragedies demonstrate the perils of compromising engineering standards. 4. Automation: In Sect. 8.11.1 we briefly considered the role of automation in today’s aircraft. Here we are not suggesting that MCAS was unnecessary. In fact given the ramifications of the decision to move the engines forward an MCAS-like device was essential, for otherwise under certain circumstances (and if left unchecked) the aircraft could naturally increase its pitch and ultimately stall. The real problem appears to relate to the way in which MCAS was implemented and the apparent failure to properly appraise aircrews of its presence, operation, capabilities, and limitations. When automated systems fail or behave in ways that have not been anticipated, they can give rise to seemingly complicated situations which can be difficult to analyse (particularly when there are severe time constraints). Consequently it’s possible to make a strong case that increased levels of automation should be accompanied by more extensive training. Contrariwise the inclusion of automation cannot be used as an excuse to reduce the need for training—as we have previously remarked: if it can go wrong, it will eventually do so. Quoting from Sect. 8.11.1: ‘In the case that automated systems fail, the human has to be able to confidently intercede so as to deal with situations which designers may well have overlooked, and consequently for which they may not have been trained.’

Enhanced training provides the knowledge, skills, and confidence that are needed in order to successfully deal with the unknown. Whilst acknowledging the remarkable safety record that has been achieved over the years by the aviation industry, the fact remains that accidents involving large passenger carrying aircraft can be quite horrendous. By way of example, for some 8 minutes the pilots fought to regain control of the Max 8 on route from Jakarta to Pangkal Pinang. For the passengers this must have seemed a lifetime. History provides us with a wealth of examples from which to learn about how to avoid organisational failures which have led to tragedy. Perhaps we have an ethically based responsibility to learn about them and so ensure that we avoid making similar mistakes in the future? In this context the reader may recall the words of the New Zealand Prime Minister, Jacinda Ardern, which were partially quoted in Section 7.8 in connection with the Erebus tragedy. A part of this text reads: ‘Some may say that the past is the past, that we cannot change what happened. That fails to consider that our future is shaped by where we have come from. It is shaped by our response to tragedy and injustice, and by the people who stand up against it. The past is never just the past.’

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Closing Discussion

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Closing Discussion ‘‘Ha! Phoebus!’ said Mr. Dick, laying down his pen. ‘How does the world go? I’ll tell you what,’ he added, in a lower tone, ‘I shouldn’t wish it to be mentioned, but it’s a–’ here he beckoned to me, and put his lips close to my ear–‘it’s a mad world. Mad as Bedlam, boy!’ said Mr. Dick, taking snuff from a round box on the table, and laughing heartily.’13

We would be ill-advised to underestimate the importance of privacy values in our everyday lives. Not only is it crucially important to guard such values for their own sake but also because the act of privacy erosion can be driven by many potentially negative motivations. By way of a simple example, suppose that one day whilst gardening or playing with your children in the garden (or whilst they’re playing by themselves) you see that a neighbour is watching the proceedings through binoculars from his upstairs window. Once noticed, it soon becomes evident that this is a regular occurrence. It’s likely that you will be concerned that your privacy is being eroded—but when this is considered in isolation, does it really matter? However even though you’re only engaging in innocuous activities, you’re unlikely to simply conclude that you don’t care and that the neighbour can watch through his binoculars all day. Undoubtedly many people would feel uncomfortable (or even angry) and be concerned about the reasons for this privacy erosion—an act which could suggest unpleasant motivations. How would you react? In contrast, when it comes to the erosion of privacies by means of digital technologies, many people are much more accepting and as previously suggested, the potentially intrusive data collection activities of governments and other agencies are often dismissed on the basis of having nothing to hide, and of their being nothing of real interest to reveal.

13

Dickens (1850).

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The neighbour’s binoculars are real and tangible. In contrast our lives are under continual technological scrutiny via ethereal and metaphorical ‘binoculars’ which are much more powerful than their real-world equivalent. A key difference between the voyeuristic activities of the neighbour and digital surveillance/data collection activities is one of immediacy. The neighbour’s antics are suddenly seen for the first time, they are tangible, and the behaviour is deemed to be strange. In contrast, our loss of privacy to the digital domain is continuous and we’re seldom in a position to challenge a particular action. Further, we become accustomed to this data uplift— especially in the case of younger people who from an early age have become conditioned to see nothing odd about it. If you were to tell a friend about some ramification of a current government surveillance technique, the conversation would be unlikely to be particularly animated. In contrast, revealing your concerns about the snoopy neighbour would perhaps elicit a more profound reaction? As for our individual digital footprints evoking boredom in anybody who takes the trouble to scrutinise them, it’s important to recognise that machines don’t suffer from this human sensation. As we move into the future, it’s likely that our bulk data will seldom be reviewed by a person but rather it will be processed, sorted, and analysed by machines. The results generated will for the most part be acted upon by technologies without human intervention. Fewer and fewer people will fully understand how these complex interconnected technologies are operating, and how the systems are evolving over time. Consequently we may find it difficult to fully understand how decisions have been made, and if this were to happen the human would become subservient to the machine. Were we to allow this to occur, then we would be accepting changes which could have untold ramifications. In their efforts, machines will never tire and they can undertake tasks with great rapidity, even tasks that would represent a Herculean effort for the human analyst. What results would they be designed to generate (or choose to generate), how would they be interpreted, and for what purpose would they be used? Perhaps we need not be concerned and just blithely put our faith in technological infallibility—or perhaps we should be worried for the sake of our children and theirs. Privacy provides us with mechanisms whereby we can resist unacceptable developments, and without privacies we are to all intents and purposes naked, exposed, and highly vulnerable. As previously indicated, much of the data which is currently collected is anonymised and this has been used to reassure society that it can only be used for benign purposes. However, in general terms this is illusionary—a point confirmed by research and many convincing demonstrations. By way of a simple example consider the case of the Massachusetts Group Insurance Commission which in the mid-1990s decided to release anonymised data relating to every hospital visit made by each state employee. A graduate student decided to challenge the anonymisation process, and having obtained a copy of the data set quickly went to work and targeted the Governor who had reassured the public that their anonymity was protected. ‘For twenty dollars she purchased the complete voter rolls for the city of Cambridge [where the governor resided], a database containing among other things the name, address, ZIP code, birth date, and sex of every voter…. Only six people in Cambridge shared his birth date, only three of them were men, and of them only he lived in his ZIP code.’ (Anderson 2009)

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Closing Discussion

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The Governor’s health records (which contained details of medical diagnoses and prescriptions) were quickly identified and sent to him... Today many more data sources are readily available, and the re-identification of personal data is big business. Techniques used range from brute force approaches (which may be facilitated by poor anonymisation practices), to those which employ more sophisticated forms of statistical analysis (e.g. correlation attacks which capitalise on behaviours which tend to be unique to the individual (such as spending patterns)—see for example Bohannon 2015). However despite an abundance of evidence to the contrary, the myth that anonymised data is benign continues to be promoted. The unrelenting growth of a vast global surveillance industry has had a major impact on personal privacies. Whether this level of surveillance represents a proportionate response to criminal and terrorist activities is highly debateable, and so too is the effectiveness of some forms of surveillance. Current indications suggest that for the foreseeable future surveillance technologies will continue to become more sophisticated—and more intrusive. Advanced and automated facial recognition systems and the increasing usage of other forms of biometric data perhaps pose the greatest threats to personal privacy—but it’s for the reader to judge whether only those who have something to hide have anything to be bothered about. And as I at last come towards the end of writing this book and pause to reflect on some of the above observations, I experience a sense of frustration. As if looking through a reversed telescope, I fondly recall my earliest association with digital technologies. As a schoolboy running an electronics society, tremendous pleasure was derived from successfully wiring up discrete components to form logic gates and bringing these circuits together to carry out simple functions. It was certainly thrilling when for the first time I connected together a few transistors and was able to store a single bit (yes—a single binary value…). Soon lamps were counting in a binary sequence, transducers were in operation and a simple robotic arm was making its first faltering movements. When some time later the first microprocessor-based system that I had laboriously constructed communicated with a teletype and with a healthy clattering sound the words ‘Hello Barry’ appeared on paper, I was riveted. Surely digital technologies had phenomenal potential and would bring untold benefits to the world. In those days I never considered the negative applications that would arise—largely through insatiable greed. Unfortunately it seems that with the passage of time some of the early visionary spirit has faded. In parallel, the wealth that has been acquired through technologically-related developments is impressive, and in some cases unimaginable (see, for example, Table 11.1). Perhaps many of those who are fuelling the technological rollercoaster didn’t witness those early days, and so didn’t experience the thrill of possibility. It seemed certain that technology-infused science and engineering would be harnessed to ensure that nobody on the planet went to bed hungry, that medicine would undergo major advances (without losing its humanity), that the planet would be better cared for, that animal experimentation would become superfluous, that all would have access to fine education, and that we would rapidly be able to mark other worlds with human footprints. Perhaps these were idealistic visions of the young—but this doesn’t make them any less worthwhile.

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Table 11.1 Indicative wealth of four key figures in the technology industry. This industry often demonstrates a strong culture of relativism in which everything is considered irrelevant, unless it serves a person’s own immediate interests. The Forbes Ranking for 2017, lists seventy-six of the wealthiest people with Bill Gates leading with $84,500,000,000 through to Frank Wang (drones) having a mere $3,200,000,000. (Source Barnes 2019.) Name

Activity

Indicated wealth *2018

Jeff Bezos Bill Gates Mark Zuckerberg Larry Page

Amazon Microsoft Facebook Google

$131,000,000,000 $96,500,000,000 $62,300,000,000 $50,800,000,000

Instead in many cases we have failed to truly commit to positive change and have sought to chart the future on the basis of financial considerations and political expediency. What splendid fortunes will be made from the development of ever more advanced AI systems, from robots—each being able to do the work of ten people—from autonomous drones capable of destroying each other along with designated ‘targets’, from entertainment and IoE systems which are designed so as to reduce our need to think, and from predictive modelling technologies which may be able to prevent us from doing things—even before we think of them. So much for our humanity. There is no real indication that such developments will necessarily solve the problems of society and in some cases they are likely to do quite the opposite. But in a culture of relativism this is hardly surprising and is indicative of those who: ‘…accept every advance in technology with a view to profit, without concern for its potentially negative impact on human beings…[and show] no interest in more balanced levels of production, a better distribution of wealth, concern for the environment and the rights of future generations. Their behaviour shows that for them maximising profits is enough.’ (Quoted in Reese 2015)

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Closing Discussion

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The creation of a claustrophobic tick-box world was never part of the early vision. Technologies can and should empower the greatest facets of human creativity, and I firmly believe that this can still happen. Perhaps the moderating forces needed to better ensure adherence to ethical precepts by individuals and organisations operating in technology-related sectors will primarily be derived from the evolving expectations of society, and inspired by young professionals who stand tall and assert their ethical standards: those who have the ethical valour to follow through. This hope has been my motivation for writing this book. ‘‘What do you think of that for a kite?’ he said. I answered that it was a beautiful one… ‘I made it. We’ll go and fly it, you and I,’ said Mr. Dick. ‘Do you see this?’ He showed me that it was covered with manuscript, very closely and laboriously written… ‘There’s plenty of string,’ said Mr. Dick, ‘and when it flies high, it takes the facts a long way. That’s my manner of diffusing ‘em. I don’t know where they may come down. It’s according to circumstances, and the wind, and so forth; but I take my chance of that.’’14

14

Dickens (1850).

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‘…the Americans had explained all this to him [Cheshire] in terms of millions of degrees of heat and millionths of seconds of time… He knew that they were going to drop a very unusual bomb because he had worked on the project in the Mariana Islands for months beforehand. He had even become infected by the obsessive enthusiasm of the American crews who were to go on this mission. So obsessed had they been that they had lived in terror for days lest the Japanese should surrender before they could drop their bomb on Nagasaki. There had even been a frivolous suggestion (humorous in its expression – but mortally serious in its sentiment) that, should this dire misfortune of a premature end to the hostilities befall them, they should take off without permission and bomb Nagasaki nevertheless.’15

15

In connection with the days/hours before taking off to detonate a nuclear bomb over Nagasaki. Recall from Chapter 1 that it is estimated that within 4 months of the bombing of Hiroshima and Nagasaki, between 100,000 and 225,000 were dead whilst many others would continue to suffer from the medical ramifications of exposure to radiation. The reader is left to consider any aspects of human nature that are revealed in the above quotation. Attributed to Leonard Cheshire V.C. in Braddon, R., ‘Cheshire V.C. A Study of War and Peace’, Evans Brothers Ltd. London, (1954).

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11.7

Recommended Additional Reading

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Recommended Additional Reading

Baase, S., ‘A Gift of Fire: Social, Legal, and Ethical Issues for Computing Technology’, (4th Edn) Pearson (2013). Anon, ‘Lion Air Crash: Boeing 737 Plane Crashes in Sea off Jakarta’, BBC 46014463 (29th Oct. 2018). Brown, S., ‘Meet the Professor Who’s Warning the World about Facebook and Google’, The Chronicle of Higher Education (22nd April 2018). Curran, D., ‘Are You Ready? This is all the Data Facebook and Google have on You’, The Guardian (28th March 2018). German, K., ‘Boeing says Faulty Sensor Contributed to 737 Max Crashes’, cnet, (17th May 2019). Lennane, J., ‘What Happens to Whistleblowers, and Why’, Social Medicine, 6, No. 4 (May 2012). Obar, J., and Oeldorf-Hirsh, A., ‘The Biggest Lie on the Internet: Ignoring the Privacy Policies of Social Networking Services’, Information, Communication & Society (2018). Online Harms Report, ‘Online Harms White Paper’, Presented to Parliament by the Secretary of State for Digital, Culture, Media & Sport and the Secretary of State for the Home Department, (April 2019). Reals, T., ‘Ethiopian Airlines Flight 302 Crash: Preliminary Report Says Pilot Followed Boeing’s Guidance’, CBS News, (4th April 2019). Zuboff, S., ‘The Age of Surveillance Capitalism’, (2019).

References Anderson, N., ‘“Anonymized” Data Really Isn’t – and Here’s Why Not’, Ars Technica (8th Sep. 2009). Aviationcv, ‘More Shocking Facts about the Boeing 737 Max Crashes’, aviation cv.com (20th March 2019). Barnes, A., ‘Who are the Richest People in the World? Forbes Releases Latest List’, euronews.com (5th March 2019). BBC, ‘Boeing 737 Max: What Went Wrong’, BBC 47553174 (5th April 2019). Boeing, ‘Boeing Statement on AOA Disagree Alert’, (5th May 2019). Bohannon, J., ‘Credit Card Study Blows Holes in Anonymity’, Science, 347, Issue 6221, pp. 468 (30th Jan. 2015). Campbell, D., ‘Redline: The Many Human errors that Brought Down the Boeing 737 Max’, The Verge (2nd May 2019). Dickens, C., ‘David Copperfield’, Bradbury & Evans (1850) Higginbottom, K., ‘The Price of Being a Whistleblower’, Forbes (18th Feb. 2017). Lee, H., ‘To Kill a Mocking Bird’, JB Lippincott and Co. (1960) Leggett, T., ‘What Went Wrong Inside Boeing’s Cockpit?’ BBC News (17th May 2019). Levin, A., and Beene, R., ‘Sensors Linked to Boeing 737 Crashes Vulnerable to Failure’, Bloomberg Business (11th April 2019). Levin, A., and Suhartono, H., ‘Pilot Who Hitched a Ride Saved Lion Air 737 Day Before Deadly Crash’, Bloomberg Business (20th March 2019).

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Moorcroft Wilson, J., ‘Dr W. H. R. Rivers: Siegfried Sassoon and Robert Graves’ “Fathering Friend’’’, Brain, 140, pp. 3378–3383 (2017). Nicas, J., and Creswell, J., ‘Boeing’s 737 Max: 1960s Design, 1990s Computing Power and Paper Manuals’, The New York Times (8th April 2019). Orwell, G., ‘Nineteen Eighty-Four’, Secker & Warburg, London (1949). Osswald, S., Greitemeyer, T., Fischer, P., and Frey, D., ‘What is Moral Courage? Definition, Explication, and Classification of a Complex Construct’, in C. Purly and S. Lopez (Eds.) ‘The Psychology of Courage: Modern Research on an Old Virtue’, pp. 149-164, American Psychological Association (2010) Reese, T., ‘Pope Francis: Technology + Greed = Disaster’, National Catholic Reporter (13th Aug. 2015). The Ethics Institute, ‘Courage – Just Because it’s Right Doesn’t Mean it’s Easy’, in Ethics Thoughtpieces (2013).

Appendix A Universal Declaration of Human Rights

‘All the while I listen to you, And my heart grows painfully cold, And I feel my hands clench in fright Of the things, dear friend, you have seen. Worry not what others think, Just talk with me, a fellow scarred chap.’1

Preamble

Whereas recognition of the inherent dignity and of the equal and inalienable rights of all members of the human family is the foundation of freedom, justice and peace in the world, Whereas disregard and contempt for human rights have resulted in barbarous acts which have outraged the conscience of mankind, and the advent of a world in which human beings shall enjoy freedom of speech and belief and freedom from fear and want has been proclaimed as the highest aspiration of the common people, Whereas it is essential, if man is not to be compelled to have recourse, as a last resort, to rebellion against tyranny and oppression, that human rights should be protected by the rule of law, Whereas it is essential to promote the development of friendly relations between nations, Whereas the peoples of the United Nations have in the Charter reaffirmed their faith in fundamental human rights, in the dignity and worth of the human person and in the equal rights of men and women and have determined to promote social progress and better standards of life in larger freedom,

Blundell, Q., ‘Now’, in ‘Collected Works’ (2020).

1

© Springer Nature Switzerland AG 2020 B. G. Blundell, Ethics in Computing, Science, and Engineering, https://doi.org/10.1007/978-3-030-27126-8

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Appendix A: Universal Declaration of Human Rights

Whereas Member States have pledged themselves to achieve, in cooperation with the United Nations, the promotion of universal respect for and observance of human rights and fundamental freedoms, Whereas a common understanding of these rights and freedoms is of the greatest importance for the full realization of this pledge,

Now, therefore, The General Assembly, Proclaims this Universal Declaration of Human Rights as a common standard of achievement for all peoples and all nations, to the end that every individual and every organ of society, keeping this Declaration constantly in mind, shall strive by teaching and education to promote respect for these rights and freedoms and by progressive measures, national and international, to secure their universal and effective recognition and observance, both among the peoples of Member States themselves and among the peoples of territories under their jurisdiction.

Article 1 All human beings are born free and equal in dignity and rights. They are endowed with reason and conscience and should act towards one another in a spirit of brotherhood.

Article 2 Everyone is entitled to all the rights and freedoms set forth in this Declaration, without distinction of any kind, such as race, colour, sex, language, religion, political or other opinion, national or social origin, property, birth or other status. Furthermore, no distinction shall be made on the basis of the political, jurisdictional or international status of the country or territory to which a person belongs, whether it be independent, trust, non-self-governing or under any other limitation of sovereignty.

Article 3 Everyone has the right to life, liberty and security of person.

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Article 4 No one shall be held in slavery or servitude; slavery and the slave trade shall be prohibited in all their forms.

Article 5 No one shall be subjected to torture or to cruel, inhuman or degrading treatment or punishment.

Article 6 Everyone has the right to recognition everywhere as a person before the law.

Article 7 All are equal before the law and are entitled without any discrimination to equal protection of the law. All are entitled to equal protection against any discrimination in violation of this Declaration and against any incitement to such discrimination.

Article 8 Everyone has the right to an effective remedy by the competent national tribunals for acts violating the fundamental rights granted him by the constitution or by law.

Article 9 No one shall be subjected to arbitrary arrest, detention or exile.

Article 10 Everyone is entitled in full equality to a fair and public hearing by an independent and impartial tribunal, in the determination of his rights and obligations and of any criminal charge against him.

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Article 11 1. Everyone charged with a penal offence has the right to be presumed innocent until proved guilty according to law in a public trial at which he has had all the guarantees necessary for his defence. 2. No one shall be held guilty of any penal offence on account of any act or omission which did not constitute a penal offence, under national or international law, at the time when it was committed. Nor shall a heavier penalty be imposed than the one that was applicable at the time the penal offence was committed.

Article 12 No one shall be subjected to arbitrary interference with his privacy, family, home or correspondence, nor to attacks upon his honour and reputation. Everyone has the right to the protection of the law against such interference or attacks.

Article 13

1. Everyone has the right to freedom of movement and residence within the borders of each State. 2. Everyone has the right to leave any country, including his own, and to return to his country.

Article 14

1. Everyone has the right to seek and to enjoy in other countries asylum from persecution. 2. This right may not be invoked in the case of prosecutions genuinely arising from non-political crimes or from acts contrary to the purposes and principles of the United Nations.

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Article 15 1. Everyone has the right to a nationality. 2. No one shall be arbitrarily deprived of his nationality nor denied the right to change his nationality.

Article 16 1. Men and women of full age, without any limitation due to race, nationality or religion, have the right to marry and to found a family. They are entitled to equal rights as to marriage, during marriage and at its dissolution. 2. Marriage shall be entered into only with the free and full consent of the intending spouses. 3. The family is the natural and fundamental group unit of society and is entitled to protection by society and the State.

Article 17 1. Everyone has the right to own property alone as well as in association with others. 2. No one shall be arbitrarily deprived of his property.

Article 18 Everyone has the right to freedom of thought, conscience and religion; this right includes freedom to change his religion or belief, and freedom, either alone or in community with others and in public or private, to manifest his religion or belief in teaching, practice, worship and observance.

Article 19 Everyone has the right to freedom of opinion and expression; this right includes freedom to hold opinions without interference and to seek, receive and impart information and ideas through any media and regardless of frontiers.

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Article 20 1. Everyone has the right to freedom of peaceful assembly and association. 2. No one may be compelled to belong to an association.

Article 21 1. Everyone has the right to take part in the government of his country, directly or through freely chosen representatives. 2. Everyone has the right to equal access to public service in his country. 3. The will of the people shall be the basis of the authority of government; this will shall be expressed in periodic and genuine elections which shall be by universal and equal suffrage and shall be held by secret vote or by equivalent free voting procedures.

Article 22 Everyone, as a member of society, has the right to social security and is entitled to realization, through national effort and international co-operation and in accordance with the organization and resources of each State, of the economic, social and cultural rights indispensable for his dignity and the free development of his personality.

Article 23

1. Everyone has the right to work, to free choice of employment, to just and favourable conditions of work and to protection against unemployment. 2. Everyone, without any discrimination, has the right to equal pay for equal work. 3. Everyone who works has the right to just and favourable remuneration ensuring for himself and his family an existence worthy of human dignity, and supplemented, if necessary, by other means of social protection. 4. Everyone has the right to form and to join trade unions for the protection of his interests.

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Article 24 Everyone has the right to rest and leisure, including reasonable limitation of working hours and periodic holidays with pay.

Article 25 1. Everyone has the right to a standard of living adequate for the health and well-being of himself and of his family, including food, clothing, housing and medical care and necessary social services, and the right to security in the event of unemployment, sickness, disability, widowhood, old age or other lack of livelihood in circumstances beyond his control. 2. Motherhood and childhood are entitled to special care and assistance. All children, whether born in or out of wedlock, shall enjoy the same social protection.

Article 26 1. Everyone has the right to education. Education shall be free, at least in the elementary and fundamental stages. Elementary education shall be compulsory. Technical and professional education shall be made generally available and higher education shall be equally accessible to all on the basis of merit. 2. Education shall be directed to the full development of the human personality and to the strengthening of respect for human rights and fundamental freedoms. It shall promote understanding, tolerance and friendship among all nations, racial or religious groups, and shall further the activities of the United Nations for the maintenance of peace. 3. Parents have a prior right to choose the kind of education that shall be given to their children.

Article 27 1. Everyone has the right freely to participate in the cultural life of the community, to enjoy the arts and to share in scientific advancement and its benefits. 2. Everyone has the right to the protection of the moral and material interests resulting from any scientific, literary or artistic production of which he is the author.

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Article 28 Everyone is entitled to a social and international order in which the rights and freedoms set forth in this Declaration can be fully realized.

Article 29 1. Everyone has duties to the community in which alone the free and full development of his personality is possible. 2. In the exercise of his rights and freedoms, everyone shall be subject only to such limitations as are determined by law solely for the purpose of securing due recognition and respect for the rights and freedoms of others and of meeting the just requirements of morality, public order and the general welfare in a democratic society. 3. These rights and freedoms may in no case be exercised contrary to the purposes and principles of the United Nations.

Article 30 Nothing in this Declaration may be interpreted as implying for any State, group or person any right to engage in any activity or to perform any act aimed at the destruction of any of the rights and freedoms set forth herein.

Appendix B BCS Code of Conduct

‘I see a beautiful city and a brilliant people rising from this abyss, and, in their struggles to be truly free, in their triumphs and defeats, through long years to come, I see the evil of this time and of the previous time of which this is the natural birth, gradually making expiation for itself and wearing out...’2

1. Public Interest You shall: a. have due regard for public health, privacy, security and wellbeing of others and the environment. b. have due regard for the legitimate rights of Third Parties*. c. conduct your professional activities without discrimination on the grounds of sex, sexual orientation, marital status, nationality, colour, race, ethnic origin, religion, age or disability, or of any other condition or requirement. d. promote equal access to the benefits of IT and seek to promote the inclusion of all sectors in society wherever opportunities arise.

2. Professional Competence and Integrity You shall: a. only undertake to do work or provide a service that is within your professional competence. b. NOT claim any level of competence that you do not possess. c. develop your professional knowledge, skills and competence on a continuing basis, maintaining awareness of technological developments, procedures, and standards that are relevant to your field.

Dickens, Charles, ‘A Tale of Two Cities’ (1859).

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d. ensure that you have the knowledge and understanding of Legislation* and that you comply with such Legislation, in carrying out your professional responsibilities. e. respect and value alternative viewpoints and, seek, accept and offer honest criticisms of work. f. avoid injuring others, their property, reputation, or employment by false or malicious or negligent action or inaction. g. reject and will not make any offer of bribery or unethical inducement. 3. Duty to Relevant Authority You shall: a. carry out your professional responsibilities with due care and diligence in accordance with the Relevant Authority’s requirements whilst exercising your professional judgement at all times. b. seek to avoid any situation that may give rise to a conflict of interest between you and your Relevant Authority. c. accept professional responsibility for your work and for the work of colleagues who are defined in a given context as working under your supervision. d. NOT disclose or authorise to be disclosed, or use for personal gain or to benefit a third party, confidential information except with the permission of your Relevant Authority, or as required by Legislation. e. NOT misrepresent or withhold information on the performance of products, systems or services (unless lawfully bound by a duty of confidentiality not to disclose such information), or take advantage of the lack of relevant knowledge or inexperience of others.

4. Duty to the Profession You shall: a. accept your personal duty to uphold the reputation of the profession and not take any action which could bring the profession into disrepute. b. seek to improve professional standards through participation in their development, use and enforcement. c. uphold the reputation and good standing of BCS, the Chartered Institute for IT. d. act with integrity and respect in your professional relationships with all members of BCS and with members of other professions with whom you work in a professional capacity. e. notify BCS if convicted of a criminal offence or upon becoming bankrupt or disqualified as a Company Director and in each case give details of the relevant jurisdiction. f. encourage and support fellow members in their professional development.

Appendix C The Nuremberg Code

‘We changed again, and yet again, and it was now too late and too far to go back, and I went on. And the mists had all solemnly risen now…’3

1. The voluntary consent of the human subject is absolutely essential. This means that the person involved should have legal capacity to give consent; should be so situated as to be able to exercise free power of choice, without the intervention of any element of force, fraud, deceit, duress, over-reaching, or other ulterior form of constraint or coercion; and should have sufficient knowledge and comprehension of the elements of the subject matter involved, as to enable him to make an understanding and enlightened decision. This latter element requires that, before the acceptance of an affirmative decision by the experimental subject, there should be made known to him the nature, duration, and purpose of the experiment; the method and means by which it is to be conducted; all inconveniences and hazards reasonably to be expected; and the effects upon his health or person, which may possibly come from his participation in the experiment. The duty and responsibility for ascertaining the quality of the consent rests upon each individual who initiates, directs or engages in the experiment. It is a personal duty and responsibility which may not be delegated to another with impunity. 2. The experiment should be such as to yield fruitful results for the good of society, unprocurable by other methods or means of study, and not random and unnecessary in nature. 3. The experiment should be so designed and based on the results of animal experimentation and a knowledge of the natural history of the disease or other problem under study, that the anticipated results will justify the performance of the experiment. 4. The experiment should be so conducted as to avoid all unnecessary physical and mental suffering and injury. Dickens, Charles, ‘Great Expectations’ (1861).

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5. No experiment should be conducted, where there is an a priori reason to believe that death or disabling injury will occur; except, perhaps, in those experiments where the experimental physicians also serve as subjects. 6. The degree of risk to be taken should never exceed that determined by the humanitarian importance of the problem to be solved by the experiment. 7. Proper preparations should be made and adequate facilities provided to protect the experimental subject against even remote possibilities of injury, disability, or death. 8. The experiment should be conducted only by scientifically qualified persons. The highest degree of skill and care should be required through all stages of the experiment of those who conduct or engage in the experiment. 9. During the course of the experiment, the human subject should be at liberty to bring the experiment to an end, if he has reached the physical or mental state, where continuation of the experiment seemed to him to be impossible. 10. During the course of the experiment, the scientist in charge must be prepared to terminate the experiment at any stage, if he has probable cause to believe, in the exercise of the good faith, superior skill and careful judgement required of him, that a continuation of the experiment is likely to result in injury, disability, or death to the experimental subject. ‘Trials of War Criminals before the Nuremberg Military Tribunals under Control Council Law No. 10’, Vol. 2, pp. 181–182. Washington, D.C.: U.S. Government Printing Office, 1949.

Appendix D Declaration of Helsinki

‘If we choose, we can live in a world of comforting illusion.’4

Preamble 1. The World Medical Association (WMA) has developed the Declaration of Helsinki as a statement of ethical principles for medical research involving human subjects, including research on identifiable human material and data. The Declaration is intended to be read as a whole and each of its constituent paragraphs should be applied with consideration of all other relevant paragraphs. 2. Consistent with the mandate of the WMA, the Declaration is addressed primarily to physicians. The WMA encourages others who are involved in medical research involving human subjects to adopt these principles.

General Principles 3. The Declaration of Geneva of the WMA binds the physician with the words, “The health of my patient will be my first consideration,” and the International Code of Medical Ethics declares that, “A physician shall act in the patient’s best interest when providing medical care.” 4. It is the duty of the physician to promote and safeguard the health, well-being and rights of patients, including those who are involved in medical research. The physician’s knowledge and conscience are dedicated to the fulfilment of this duty. 5. Medical progress is based on research that ultimately must include studies involving human subjects.

4

Attributed to Noam Chomsky.

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6. The primary purpose of medical research involving human subjects is to understand the causes, development and effects of diseases and improve preventive, diagnostic and therapeutic interventions (methods, procedures and treatments). Even the best proven interventions must be evaluated continually through research for their safety, effectiveness, efficiency, accessibility and quality. 7. Medical research is subject to ethical standards that promote and ensure respect for all human subjects and protect their health and rights. 8. While the primary purpose of medical research is to generate new knowledge, this goal can never take precedence over the rights and interests of individual research subjects. 9. It is the duty of physicians who are involved in medical research to protect the life, health, dignity, integrity, right to self-determination, privacy, and confidentiality of personal information of research subjects. The responsibility for the protection of research subjects must always rest with the physician or other health care professionals and never with the research subjects, even though they have given consent. 10. Physicians must consider the ethical, legal and regulatory norms and standards for research involving human subjects in their own countries as well as applicable international norms and standards. No national or international ethical, legal or regulatory requirement should reduce or eliminate any of the protections for research subjects set forth in this Declaration. 11. Medical research should be conducted in a manner that minimises possible harm to the environment. 12. Medical research involving human subjects must be conducted only by individuals with the appropriate ethics and scientific education, training and qualifications. Research on patients or healthy volunteers requires the supervision of a competent and appropriately qualified physician or other health care professional. 13. Groups that are underrepresented in medical research should be provided appropriate access to participation in research. 14. Physicians who combine medical research with medical care should involve their patients in research only to the extent that this is justified by its potential preventive, diagnostic or therapeutic value and if the physician has good reason to believe that participation in the research study will not adversely affect the health of the patients who serve as research subjects. 15. Appropriate compensation and treatment for subjects who are harmed as a result of participating in research must be ensured.

Risks, Burdens and Benefits 16. In medical practice and in medical research, most interventions involve risks and burdens. Medical research involving human subjects may only be conducted if the importance of the objective outweighs the risks and burdens to the research subjects.

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17. All medical research involving human subjects must be preceded by careful assessment of predictable risks and burdens to the individuals and groups involved in the research in comparison with foreseeable benefits to them and to other individuals or groups affected by the condition under investigation. Measures to minimise the risks must be implemented. The risks must be continuously monitored, assessed and documented by the researcher. 18. Physicians may not be involved in a research study involving human subjects unless they are confident that the risks have been adequately assessed and can be satisfactorily managed. When the risks are found to outweigh the potential benefits or when there is conclusive proof of definitive outcomes, physicians must assess whether to continue, modify or immediately stop the study.

Vulnerable Groups and Individuals 19. Some groups and individuals are particularly vulnerable and may have an increased likelihood of being wronged or of incurring additional harm. All vulnerable groups and individuals should receive specifically considered protection. 20. Medical research with a vulnerable group is only justified if the research is responsive to the health needs or priorities of this group and the research cannot be carried out in a non-vulnerable group. In addition, this group should stand to benefit from the knowledge, practices or interventions that result from the research.

Scientific Requirements and Research Protocols 21. Medical research involving human subjects must conform to generally accepted scientific principles, be based on a thorough knowledge of the scientific literature, other relevant sources of information, and adequate laboratory and, as appropriate, animal experimentation. The welfare of animals used for research must be respected. 22. The design and performance of each research study involving human subjects must be clearly described and justified in a research protocol. The protocol should contain a statement of the ethical considerations involved and should indicate how the principles in this Declaration have been addressed. The protocol should include information regarding funding, sponsors, institutional affiliations, potential conflicts of interest, incentives for subjects and information regarding provisions for treating and/or compensating subjects who are harmed as a consequence of participation in the research study. In clinical trials, the protocol must also describe appropriate arrangements for post-trial provisions.

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Research Ethics Committees 23. The research protocol must be submitted for consideration, comment, guidance and approval to the concerned research ethics committee before the study begins. This committee must be transparent in its functioning, must be independent of the researcher, the sponsor and any other undue influence and must be duly qualified. It must take into consideration the laws and regulations of the country or countries in which the research is to be performed as well as applicable international norms and standards but these must not be allowed to reduce or eliminate any of the protections for research subjects set forth in this Declaration. The committee must have the right to monitor ongoing studies. The researcher must provide monitoring information to the committee, especially information about any serious adverse events. No amendment to the protocol may be made without consideration and approval by the committee. After the end of the study, the researchers must submit a final report to the committee containing a summary of the study’s findings and conclusions.

Privacy and Confidentiality 24. Every precaution must be taken to protect the privacy of research subjects and the confidentiality of their personal information.

Informed Consent 25. Participation by individuals capable of giving informed consent as subjects in medical research must be voluntary. Although it may be appropriate to consult family members or community leaders, no individual capable of giving informed consent may be enrolled in a research study unless he or she freely agrees. 26. In medical research involving human subjects capable of giving informed consent, each potential subject must be adequately informed of the aims, methods, sources of funding, any possible conflicts of interest, institutional affiliations of the researcher, the anticipated benefits and potential risks of the study and the discomfort it may entail, post-study provisions and any other relevant aspects of the study. The potential subject must be informed of the right to refuse to participate in the study or to withdraw consent to participate at any time without reprisal. Special attention should be given to the specific information needs of individual potential subjects as well as to the methods used to deliver the information. After ensuring that the potential subject has understood the information, the physician or another appropriately qualified individual must then seek the potential subject’s freely-given informed consent, preferably in writing. If the consent cannot be expressed in writing, the non-written consent must be formally documented and witnessed. All medical

Appendix D: Declaration of Helsinki

27.

28.

29.

30.

31.

32.

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research subjects should be given the option of being informed about the general outcome and results of the study. When seeking informed consent for participation in a research study the physician must be particularly cautious if the potential subject is in a dependent relationship with the physician or may consent under duress. In such situations the informed consent must be sought by an appropriately qualified individual who is completely independent of this relationship. For a potential research subject who is incapable of giving informed consent, the physician must seek informed consent from the legally authorised representative. These individuals must not be included in a research study that has no likelihood of benefit for them unless it is intended to promote the health of the group represented by the potential subject, the research cannot instead be performed with persons capable of providing informed consent, and the research entails only minimal risk and minimal burden. When a potential research subject who is deemed incapable of giving informed consent is able to give assent to decisions about participation in research, the physician must seek that assent in addition to the consent of the legally authorised representative. The potential subject’s dissent should be respected. Research involving subjects who are physically or mentally incapable of giving consent, for example, unconscious patients, may be done only if the physical or mental condition that prevents giving informed consent is a necessary characteristic of the research group. In such circumstances the physician must seek informed consent from the legally authorised representative. If no such representative is available and if the research cannot be delayed, the study may proceed without informed consent provided that the specific reasons for involving subjects with a condition that renders them unable to give informed consent have been stated in the research protocol and the study has been approved by a research ethics committee. Consent to remain in the research must be obtained as soon as possible from the subject or a legally authorised representative. The physician must fully inform the patient which aspects of their care are related to the research. The refusal of a patient to participate in a study or the patient’s decision to withdraw from the study must never adversely affect the patient-physician relationship. For medical research using identifiable human material or data, such as research on material or data contained in biobanks or similar repositories, physicians must seek informed consent for its collection, storage and/or reuse. There may be exceptional situations where consent would be impossible or impracticable to obtain for such research. In such situations the research may be done only after consideration and approval of a research ethics committee.

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Use of Placebo 33. The benefits, risks, burdens and effectiveness of a new intervention must be tested against those of the best proven intervention(s), except in the following circumstances: Where no proven intervention exists, the use of placebo, or no intervention, is acceptable; or where for compelling and scientifically sound methodological reasons the use of any intervention less effective than the best proven one, the use of placebo, or no intervention is necessary to determine the efficacy or safety of an intervention and the patients who receive any intervention less effective than the best proven one, placebo, or no intervention will not be subject to additional risks of serious or irreversible harm as a result of not receiving the best proven intervention. Extreme care must be taken to avoid abuse of this option.

Post-trial Provisions 34. In advance of a clinical trial, sponsors, researchers and host country governments should make provisions for post-trial access for all participants who still need an intervention identified as beneficial in the trial. This information must also be disclosed to participants during the informed consent process.

Research Registration and Publication and Dissemination of Results 35. Every research study involving human subjects must be registered in a publicly accessible database before recruitment of the first subject. 36. Researchers, authors, sponsors, editors and publishers all have ethical obligations with regard to the publication and dissemination of the results of research. Researchers have a duty to make publicly available the results of their research on human subjects and are accountable for the completeness and accuracy of their reports. All parties should adhere to accepted guidelines for ethical reporting. Negative and inconclusive as well as positive results must be published or otherwise made publicly available. Sources of funding, institutional affiliations and conflicts of interest must be declared in the publication. Reports of research not in accordance with the principles of this Declaration should not be accepted for publication.

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Unproven Interventions in Clinical Practice 37. In the treatment of an individual patient, where proven interventions do not exist or other known interventions have been ineffective, the physician, after seeking expert advice, with informed consent from the patient or a legally authorised representative, may use an unproven intervention if in the physician’s judgement it offers hope of saving life, re-establishing health or alleviating suffering. This intervention should subsequently be made the object of research, designed to evaluate its safety and efficacy. In all cases, new information must be recorded and, where appropriate, made publicly available.

Appendix E The Oath of Hippocrates

‘I must uphold my ideals, for perhaps the time will come when I shall be able to carry them out.’5

I swear by Apollo, the physician and by Aesculapius and by Hygieia and Panacea and by all the gods as well as goddesses, making them judges, to bring the following oath and written covenant to fulfillment, in accordance with my power and my judgment; To regard him who has taught me this technique as equal to my parents, and to share, in partnership, my livelihood with him and to give him a share when he is in need of necessities, and to judge the offspring from him equal to my male siblings, and to teach them this technique, should they desire to learn it, without fee and written covenant, And to give a share both of rules and of lectures, and of all the rest of learning, to my sons and to the sons of him who has taught me and to the pupils who have both made a written contract and sworn by medical convention but by no other. And I will use regimens for the benefit of the ill in accordance with my ability and my judgment, but from what is to their harm or injustice I will keep them. And I will not give a drug that is deadly to anyone if asked for it, nor will I suggest the way to such a counsel. And likewise I will not give a woman a destructive pessary. And in a pure and holy way I will guard my life and my technique. I will not cut, and certainly not those suffering from stone, but I will cede this to men who are practitioners of this activity.

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Attributed to Anne Frank (1929–1945).

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Into as many houses as I may enter, I will go for the benefit of the ill, while being far from all voluntary and destructive injustice, especially from sexual acts both upon women’s bodies and upon men’s, both of the free and of the slaves. And about whenever I may see or hear in treatment, or even without treatment, in the life of human beings—things that should not ever be blurted out outside—I will remain silent, holding such things to be unutterable, sacred, not to be divulged. If I render this oath fulfilled, and if I do not blur and confound it making it to no effect, may it be granted to me to enjoy the benefits both of life and of technique, being held in good repute among all human beings for time eternal. If, however, I transgress and perjure myself, the opposite of these. Source: Miles, S., ‘The Hippocratic Oath and the Ethics of Medicine’, Oxford University Press, (2004).

Index

A A Shropshire Lad (poem) 369 A99: example of gradual obsolescence 417 Abuse online 364 Abyssinia: Haile Selassie 787 Academic disillusionment 763, 718 Academic staff: demands on time 713 Academic staff: universities 711 Academic staff: facilities 764 Academic staff: responsibility for changes 714 Accelerated degree programmes 742 Accessible leadership 75 A-consciousness 587 Adaptability: job displacement 650 Administration growth in universities 707, 712 Advanced Research Projects Agency 300 Aerial targets (drones) 495 Affiliative leadership 78 Africa: poaching 513 Age discrimination 439 Air France Flight 447 660, 869 Air New Zealand Flight TE901 868 Air Shepherd: action against poaching 518 Airship: R.100 and R.101 336 Albert and Bruce 65 Alternative era: reflection of academic activities 762 Alternative era: summary of changes 706 Alternative era: universities 686, 687, 691, 699, 725 Amazon: consigning products to landfill 481 Anaesthetics: animal experimentation 809, 814 Anger and the workplace 853 Anger: association with ethical valour 848 Anger: empathetic 849 Anger: examples of situations which may provoke 852 Animal experimentation 805

Animal experimentation: animal usage data 817 Animal experimentation: chimpanzees 815 Animal experimentation: empathy and cruelty 807, 810 Animal experimentation: general ethical considerations 811 Animal experimentation: laboratory ethics 810 Animal experimentation: Magendie cruelty 808, 812 Animal experimentation: pseudomaths of Utilitarian philosophy 812 Animal experimentation: research controversy 816 Animal experimentation: simulation 815 Anonymised data: fallacy of benign nature 873 Antarctic: Erebus 550 Aquinas, Thomas 604, 807 Arab Spring: social media 320 Ardern, Jacinda: apology for Erebus disaster 565 Ardern, Jacinda 870 ARPA 300 ARPANET 302 Asimov, Isaac 654 Atmospheric pollution: cargo ships 405 Atomic weapons 23, 45 Atomic weapons: scientist warning 674 Auckland: inorganic waste disposal 386, 403 Augmented reality 254, 256 Auschwitz 27, 29 Auschwitz: Allied failure to disrupt 655 Autocratic leadership 76 Automated erosion of privacy 136 Automated interviews 199 Automated motor vehicle number plate recognition 225 Automated systems and human employment 436

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902 Automated technologies: winners and losers 646, 652 Automation and training 870 Automation: one perspective 435 Autonomous drone 545 Autonomous drone: MOD (UK) comment 545 Autonomous motor vehicles 624, 632 Autonomous motor vehicles: hype and reality 639 Autonomous motor vehicles: safety 634 Autonomous robotic systems 672 Autonomous system: a definition 547 Autonomous weapons 670 Autonomous weapons: claimed benefits 673 Autonomous weapons: drones 572 Autonomy: supervised 548 B B-17: drone 498 B-52: bomber 277 Babysitter and cameras 123 Bacon, Roger: on mathematics 739 Baja Beach Club 269 Baltic sea: dumping of chemical warfare agents such as sulphur mustard gas 473 Bank-teller employment 432 Baran, Paul 301 Barbarism: international response 655 Baron Passfield of Passfield Corner 689 Bar-tailed godwit 599 Basel Action Network 400 Basel convention 399 Bat: what is it like to be a 599 BCS: Code of Conduct 797, (Also see Appendix B) Beatitudes 31 Beauvais (France) 337 Becoming an 'other' 175 Benefits of ethical behaviour 81 Ben-Gurian Airport: drones 569 Beria, Lavrenti 262 Berners-Lee, Tim 303 Bias in research 803 Big game hunting: Roosevelt, Theodore 511 Billy: African grey 605 Biobots 621 Biometric surveillance 282 Biometrics 241 Biometrics: theft of data 249 Bison: killing of 511 Black-box product repair 422 Blake, William 643 Blame culture 77, 853 BMJ: animal experimentation 809

Index BMJ: journals 776 Body cameras 286 Body cameras: Metropolitan Police Service 234 Body cameras: schools 235 Boeing 737 Max 8 858 Boeing 737 Max 8 certification 868 Bonding with the land: farming 510 Brain in a bucket research 827 Brand selection: consumers 395 British car industry 416 British Computer Society: Code of Conduct 797, (Also see Appendix B) British government, sales to repressive regimes 112 Brundtland Report: sustainability 456 Bug splat 528 Bundled RECs 446 Bush, Vannevar 300 Business ethics: advantages 82 Business ethics: motivation 85 C Cambodia: bombing of 277 Cambridge: early days 694 Camera-based surveillance 224 Cameras: voyeurism 129 Capitisalising on human attributes 583 Cardington (UK) 336 Cargo door failure 91, 94 Cargo ship: pollution 405, 479 Carn, Robert 24 Casual employment: Australian institutions 718 Casual employment: educational institutions 717 CCTV and voyeurism 240 CCTV in trains 281 CCTV public space surveillance: public support 225 CCTV systems 212 CCTV systems: growth 224 CCTV: antisocial behaviour 230 CCTV: content retention 241 CCTV: crime prevention 226 CCTV: displacement effect 227 CCTV: hype 225 CCTV: monitoring output 225 CCTV: Project Champion 283 CCTV: public reassurance 228 CCTV: racial discrimination 285 CCTV: Stockholm subway 227 CCTV: traditional surveillance 226 CCTV: UK schools 229 CCTV: violent crime 227

Index Censorship and consent 318 Censorship example: The Diary of Anne Frank 316 Censorship trial: Lady Chatterley’s Lover 314 Censorship: by search 331 Censorship: definitions 317 Censorship: Internet – approaches 330 Censorship: Internet 313 Censorship: self imposed and externally imposed 318 Censorship: Why, what and who 319 Cerf, Vint 302 Chain reaction, nuclear 46 Challenger and Columbia 463, 465 Challenger and R.101 tragedies: parallels 351 Challenger Space Shuttle 295 Challenger Space Shuttle disaster 183 Chappe, Claude 296 Charismatic leadership 78 Chemsea Project Report 473 Cheng Hao 37, 38 Cheshire, Leonard 260 Chevrolet 412 Choice of degree programme 731 Christian Golden Rule 37 Christmas truce: WW1 (1914) 168 Christopher Thomson, Baron of Cardington 349 Church, Frank 25 Churchwell, Sarah 714, 716 CIA 111 CIA: MK-Ultra 176 Circuit switching 301 Classification: drone 492 Clean and unclean renewable electricity 452 Climate change and hunger 503 Climate change: 1912 prediction 480 Clinical detachment: animal experimentation 813 Clinical trials: value of 778 Cloud computing 440 CLS 723 Code of conduct: Beatitudes 31, 33 Code of conduct: Ten Commandments 30, 33 Cogito ergo sum 597 Columbia: re-entry 461 Columbia: Space Shuttle disaster 377, 460 Comey, James 220 Committee of Standards in Public life 89 Communications: self censorship 327 Complete security: misnomer 139 Completion bonuses: informed consent 802

903 Complexity of electronics in motor vehicles 421 Computational literary studies 723 Computer Science teaching 761 Computer screen learning 751 Concorde Flight AF4590 753 Concordski 756 Conquest: evolution of society 335 Conscientious refusal 43 Conscious awareness 587 Conscious awareness and privacy 591 Conscious awareness: aspects of 588 Conscious awareness: simulation 605 Conscious robots 595, 676 Consciousness and moral agency 603 Consciousness: controversy 594 Consciousness: hard problem 593 Consciousness: questioning research 593 Consequentialist theories 31 Consumption of natural resources 376 Container ship pollution: author's experience 408 Container ship: example 405 Container ships: loss of containers data 407 Containers lost at sea 407 Context: of application 6 Control creep 141 Courage: example of bravery 845, 847 Courage: facets of 846 Course content: currency 730 Course development: fragmented approach 716 Cowboy Educational Services 62 Craiglockhart Hospital (and Siegfried Sassoon) 851 Crater modelling program 468 CRT: termination 387, 389, 403 Cruelty: in animal experimentation 808 CWA: dumping 473 Cyanide: killing of elephants 513 Cyber-aggression 364 Cyber-bullying 364 D Darwin, Charles 779 Data centres 440 Data centres and sustainable energy 445 Data centres: power consumption 442 Data: anonymised 873 Davies, Donald 302 DC-10 91 DC10 (Erebus) 491, 550 DC10 and Concorde 753

904 DC10: radar system 561 Death dating 410, 414 Death dating: course content 416 Death dating: French legislation against 478 Death dating: stockings and tights 477 Death: expressions for 596 Death: the experience 602 Deaths by drone strikes 526 De-Balkanisation of university departments 737 Declaration of Helsinki 796, (Also see Appendix D) Deep neural networks 246 Deep Space 2 Probes 823 Definition of an 'other' 162 Degree certificates: alternative approach 748 Degree certificates: current value of 746 Degree programme: adapting to the future 736 Degree programme: choice of 731 Degree programme: meeting Industry 4.0 requirements 732 Degree programme: selection 726 Degree programmes: increasing the length of 744 Delivery techniques 739 Dellaire, Romeo 660 Dementia: use of RFIDs 271 Denial of service attack 311 Deontological theories 30 Descartes 597 Designed for obsolescence 410 De-traditionalisation 142 Diary of Anne Frank 316 Dickens, Charles 591 Digital cowboy 431 Digital footprint 216 Digital footprint and privacy 872 Digital gaslighting 333 Digital humanities 723 Disassociation of drone operators 532 Discrimination 6 Discrimination: age 439 Discussion board: student contributions/motivation 702 Disillusionment: academic staff 718 Disparity: STEM and the humanities 721 DIY explosives 315 DNA biometric 247 DNA: poor handling 248 DNN 246 DOCTOR: program 617 Doctors duties 776

Index Doing the right thing: as the right thing to do 857 Doodlebug 499 Dot-com bubble 304 Dr Jekyll and Mr Hyde (film) 653 Dresden 22 Driver isolation from conditions 625 Drone – drone combat: evolution 570 Drone: aeromodelling – author reflection 566 Drone: agriculture applications 505 Drone: animal welfare 508 Drone: application summary 502 Drone: areas of concern regarding military use 531 Drone: asymmetric warfare 537 Drone: autonomous weapons systems 572 Drone: B-17 498 Drone: benefit of no human occupancy 530 Drone: blood and snake serum delivery 501 Drone: border security 519 Drone: classification 492 Drone: communication 549 Drone: conservation of nature 572 Drone: crop planting 508 Drone: crop spraying 507 Drone: definition 492 Drone: dirigible 544 Drone: double tap strikes 536 Drone: environmental benefit summary 509 Drone: facial recognition 525 Drone: field scan 507 Drone: flight hours (U.S. 2014) 490 Drone: Galapagos Islands 571 Drone: Gatwick Airport 569 Drone: history 493 Drone: in space 541 Drone: Kettering Bug 497 Drone: latency 549 Drone: lethal autonomous 545 Drone: malfunction 530 Drone: military – indicative specs. 525 Drone: military 526 Drone: Ministry of Defence (UK) perspective 527 Drone: moral authority 543 Drone: non-military applications 501 Drone: operator disassociation 532 Drone: origin of name 498 Drone: perception of heroism 537 Drone: precision agriculture 502, 571 Drone: Predator B 523 Drone: prisons (UK) 569

Index Drone: protection of wildlife 510, 517 Drone: psychological effects 535 Drone: Queen Bee 497 Drone: Reaper MQ-9 528 Drone: Royal Aircraft Factory 495 Drone: Rwanda 501 Drone: security threat 567 Drone: signature strikes 527 Drone: stress and trauma 535 Drone: strikes - data on deaths 526 Drone: Suleimani, Qassem – killing of 573 Drone: surgical strikes 542 Drone: swarms 539, 542, 546 Drone: targeted killing 526 Drone: terminology 491 Drone: test flight (1917) 496 Drone: value for border security 522 Drone: warfare 24 Drone: Zephyr S 543 Dualism: substance 594 Dumas, Alexandre 296 Dumping low level nuclear waste 472 Dumping munitions and chemical warfare agents at sea 473 Dumping of e-waste: summary discussion 475 D-waste 428 Dynamic virtual classroom 750 Dystopian world: oversimplification 840 E Edge-base analytics 233 Education Act: UK (1902/1903) 689 Education: dumbing down 738, 747 Education: for the common good 704 Education: online approach 749 Education: short and long term value: 727 Education: team work 92 Education: when technical skills are not enough 87 Egoism, ethical 29 Egoism, psychological 28 Eichmann, Adolf 131 Einstein, Albert: FBI surveillance target 158, 161 Elan vitale 596 Electricity usage: data centres 442 Electrocution experiment (males) 165 Electrocution experiment: (males and females) 169 Electronic Product Code 258, 263 Elephants: poisoning 513 ELIZA effect 614 ELIZA program 616 Empathetic anger 849

905 Empathy 37, 659 Employment: process driven 583 Emulation and illusion 864 Encryption: robust 221 End User License Agreements 144 Enola Gay 24 Environment footprint: product inception phase 380 Environmental impact: online shopping 412 Environmental stewardship: creating positive conditions 480 EPC 258, 263 Epicurus 55 Epileptic fit: life changing epiphany 604 Erebus disaster 491, 550, 868 Erebus disaster: four flight paths 554 Erebus: organisational failure 550 Escalation in problem resolution 855 Espionage: Concorde and Concordski 756 Ethical action: following through 842, 854 Ethical behaviour 28 Ethical behaviour: benefits 81 Ethical behaviour: satisfaction 84 Ethical behaviour: wellbeing 83 Ethical concerns: impact on the individual 844 Ethical conduct: external factors 19 Ethical dimensions: evaluation 69, 844 Ethical egoism 29 Ethical framework: facets 16 Ethical industries 62 Ethical leadership: characteristics 79 Ethical responsibility: scientists 44, 529 Ethical standards: true motivation 853 Ethical valour 848 Ethical valour: Jesus example 849 Ethical values: suggestion of change over time 779 Ethical vs. unethical leadership 86 Ethically inspired organisations 82 Ethically undesirable behaviours (examples) 68 Ethically-based culture: evolution 63 Ethics and empathy 37 Ethics and employment 544 Ethics and motivations 851 Ethics and organisations 61 Ethics and research 771 Ethics by instinct 15 Ethics by logic 17 Ethics committees 774, 797 Ethics in action 854 Ethics in education 685 Ethics: Consequentialist theories 31 Ethics: Deontological theories 30 Ethics: exemplar approaches 30

906 Ethics: general discussion 20 Ethics: proactive and reactive 848 Ethics: self-interest 852 Ethics: theories and motivations 32 Ethics: why bother? 857 Ethnicity: international view of victimisation 779 Eugenics 779 Eugenics: in Japan 780 Eugenics: in Nazi Germany 780 Eugenics: in the U.S. 780 EULA 144 EULA: Apple Apps 148 EULA: Facebook 147 EULA: indicative length 146 EULA: LinkedIn 148 EULA: YouTube 145, 149 Evaluation of issues: for ethical dimensions 69, 844 Evil: the nature of 659 Evolution of Internet 295 Evolution of society 332 E-waste 385 E-waste: as landfill – consequences 398 E-waste: composition data 396 E-waste: CRTs 391, 418 E-waste: exposure to toxins 400 E-waste: extraction of materials 396 E-waste: generation - power supplies 394 E-waste: generation - region data 386 E-waste: generation via product displacement 394 E-waste: impact on pregnancy 400 E-waste: manufacturer's responsibility 403 E-waste: scale of 386 E-waste: solar panels 455 E-waste: take back schemes 398 E-waste: toxins data 401 E-waste: tracking 400 Executions: WWI 581 Experience the experience 587 Experimental trial: death of Ronald Maddison 790 Experimental trial: electric shock 165 Experimental trial: indicative planning questions 778 Experimental trial: pregnant women 793 Experimentation: involving animals 805 Exploitation of the vulnerable: medical trials 777, 788, 830, 832 Explosives: DIY 315 Extinction: west African black rhino 519 Extremism and technology 325 Extremism: definition 325

Index Extremists: examples 326 Extremists: perceptions of 329 F FAA and manufacturer: informal agreement 99 FaaS 509 Facets of consciousness 591 Facets of courage 846 Facets of privacy 118 Facets of undergraduate experience 727 Facial recognition: biometric 245, 238 Facial recognition system: Newham 252 Facial recognition: ethnic bias 282 Facial recognition: South Wales police 283 Faith, personal 34, 604 Fallibility of robots 644 False fingerprints 244 False match rate 251 False non-match rate 251 Farming as a service: drones 509 Farming: bonding with the land 510 FBI and suicide letter to King, Rev Dr Martin Luther 156 FBI surveillance: Einstein, Albert 158, 161 Fees: student (UK) 686, 691, 726, 731 Feynman, Richard: impact of computers (quote) 437 Fichte, Johann Gottlieb 599 Figurehead leadership 73 FIME 395 Fingerprint biometric 244 Fingerprint: spoofing 250 Fingerprints: in schools 245 Firestorm 22 Flight 447 (Air France) 660 Flight 447: ingredients to tragedy 663 Flight 447: normal and alternative law 665 Flight ET-AVJ: Boeing 737 Max 8 866 Flight MH370 309 Flight PK-LQP: Boeing 737 Max 8 865 Flight TE910 550 Flight TK981 91 FMR 251 FNMR 251 Following through on ethical action: author reflects 842 Ford, Henry 410 Forest of Ermenonville 94, 103 Forms of autonomy 548 Fossil fuel pollution 452 Free expression and repression 319 Free thinkers and dystopian future 841 Free will: reality and illusion 600 Freedom and safety 143

Index French 35 hour working week 437 Freud, Sigmund 23 Fuel consumption: cargo ships 405 Fuel consumption: U.S. airlines 859 Fundamental questions in science 675 Fundamental rights: erosion 12 Fundamental values: UK government usage 326 Future: dystopian 840 Future: hope for 875 G Gabor, Denis 759 Gagarin, Yuri 300 Gait: biometric 249 Galapagos Islands: drones 571 Galton, Francis 779 Gas warfare 785 Gaslight (British film) 159 Gaslighting 159, 333 Gatwick airport: drones 569 GCHQ 217 Gene editing 781, 828 General Motors 412 General purpose autonomous vehicles: complexity 628 Genetic overclass 781 Genocide 23 Genocide: evolution of society 334 German census (1933) 130 Gerti 27 GHOST Project 542 Gilets jaunes 13 Global population: growth 439 Goebbels, Joseph 109 Gold from seawater 397 Golden age of innocence 367 Golden Shield 323 Golding, William 366 Google 110, 115 Google Duplex 605, 610 Google Glass 255 Government surveillance: increase 12 Grade inflation 748 Graded approach to problem resolution 854 Gradual obsolescence 416 Graduates and jobs 726 Graf Zeppelin II 337 Grand Cross of the German Eagle 410 Great Firewall (China) 323 Great Pacific garbage patch 474 Great Seal (U.S.) 261

907 Grove de Dammartin 94, 103 Groves, Leslie 77 Growth in CCTV systems 224 Growth in D-waste 428 Growth: global population 439 Guernica 22 Gunderman, Richard 604 Gurneys: higher species example 818 Guy Fawkes: as an extremist 326 H Hadrian’s Wall 521 Haile Selassie (Abyssinia) 787 Haln, Otto 45 HAP 491, 540 Harriman, Averell 261 Harteck, Paul 46 Hedonic values 514 Hellfire missile 528 Herd problem: consciousness 593 Hero or Villain: Snowden, Edward 173 High altitude platform station 491 High altitude pseudo satellites 491, 540 Higher education: Robins Report (UK) 688, 690 HIM 214, 264, 268 HIM: medical application 268, 272 HIM: obligatory implantation 272 HIM: removal 271 Hindenburg 337 Hippocrates of Kos 783 Hippocratic Oath 798, 800, (Also see Appendix E) Hiroshima 23, 674 History: drone 493 Hitler, Adolf 410 Hitler, Adolf: treatment of free spirits 841 Hogarth, William 759 Holocaust 27, 130 Holography 759 Hoover, J Edgar 156, 177 Hope for the future 875 Housman, A E 369 Howden (UK) 337 Hs293D 500 HTML 303 HTTP 303 Human age: impact of robotics employment 651 Human attributes: capitalising on 583 Human behaviour 654 Human behaviour: conflict 21

908 Human behaviour: development 160 Human behaviour: robotic 581 Human characteristics 20 Human consciousness 586 Human factors: Challenger disaster 192 Human Implantable Microchips 214, 264 Human lifecycle 436 Human mediated disaster: evolution of society 334 Human nature 55 Human obsolescence 429 Human progress: individualism and creativity 135 Human relationships and inanimate objects 618 Human species: outperforming 584 Humanities 720 Humanities and science: empathy and moral judgment 725 Humanities and science: symbiotic partnership 723 Humanities: digital 723 Hydrogen bomb 23 Hyper acceleration: degree programmes 742 Hyperface 245 I ID cards: UK 124 Idealistic vision: author reflects 873 Identify Friend or Foe 259 IFF: transponder 259 Illegal bombing of Cambodia 276 Illusion through emulation 864 Illusion: light 599 Imperial Conference (UK) 343 Implantation: RFID 269 Importance of humanities 722 Inanimate objects and human relationships 618 Inappropriate content: impact on minors 365 Indigenous American population 23 Individual freedom: reduction 11 Industry 1.0 and 2.0 643 Industry 3.0 and 4.0 644 Industry 4.0 and education 731 Industry 4.0: adapting degree programmes 732 Industry 4.0: extending value of certificates 748 Information Awareness Office (U.S.) 152 Information processing techniques office 300 Informed consent: and dignity 804 Informed consent: and the Internet 363 Informed consent: and the vulnerable 800, 802 Informed consent: conflict of interest 804 Informed consent: example of problems 800

Index Informed consent: factors that can influence 799 Informed consent: reward incentive 802 Informed consent: temporal factor 799 Inner life 600 Innocence: early destruction of 367 Insect control 621 Insects as sentient creatures 623 Institutional memory: value 470 Instructive behaviours 601 Instrumental rationalisation 27 Intellectual property: ownership 299 Intelligent Speed Assistance 10 Intelligent video techniques 225 Interactionist dualism 594 Internalised experiences 589 Internet access controls 368 Internet censorship: imposition 313, 329 Internet connectivity during protest (UK) 321 Internet of Everything 305 Internet of People 305, 307 Internet of Things 219, 304 Internet: direct user activity 215 Internet: evolution 295, 299, 362 Internet: exploitation of the vulnerable 363 Internet: facets for surveillance 215 Internet: growth 441 Internet: informed consent 363 Internet: opting out 181 Internet: origins of term 302 Internet: risks run by users 322 Interviews, automated 199 Intrinsic value of ethical standards 853 In-vehicle technology 8 Investigatory Powers Act (UK) 216 IOA (U.S. seal) 152 IoE 305, 309 IoP 305, 307 IoT 219, 304, 362 IoT/IoE: notion of a 'kill' function 427 IoT/IoE: potential environmental ramifications 426 IoT: security 311 IP video traffic 441 IPTO 300 IRA 10 Ireland: data centres 449 Iris biometric 246 ISA 10 Islamic State: drone attacks 567, 670 Israel nuclear weapons 846 Ivy, Andrew 775

Index

909

K Kahn, Robert 302 Kant, Immanuel 30, 32, 56, 598, 655, 659 Karachi 336 Kennedy, Joseph P. Jr.: death of 498 Kennen, G. F. 263 Kenya: killing of elephants and rhinoceroses 514 Kettering Bug: drone 497 Kettering, Charles 412 Keynes, John Maynard 438 Killing of Bison 511 Killing of Qassem Suleimani 573 King, Rev Dr Martin Luther 156 King, Rev Dr Martin Luther: extremism 182 King, Rev Dr Martin Luther: letter from prison 182 King, Rev Dr Martin Luther: suicide letter 157 Kiowa Chief Santana 513 Klein, Emanuel 809 Koch, Christof 623 Kolbe, Maximillian Maria 29 Korlaske, Mary 785 Kristallnacht 130

Leadership 69 Leadership: continuous quality 80 Leadership: multifaceted quality 80 Leadership: pervasive quality 80 Leadership: reflective quality 82 Leadership: styles 71, 73 Leadership: truly effective 78 Learning: love of 728 Lecture attendance 729 Lectures: use of video recording therein 740 Ledgett, Rick 179 Leibbrand, Werner 775 Leisure time: increasing 437 Lethal autonomous drones 545 Liberty Eagle: drone 497 Library: university, value 724 Licklinder, J.C.R. 300 Life force 596 Life of container ships: data 410 Lifecycle efficiency metric 384 Lifecycle: human 436 Lifecycle: product 378 Light bulb: death dating 414 Light: perception of 599 Limitations of science 675 Line managers: universities 710 Live tissue training 814 Locke, John 807 Lockerbie 140 Locksley Hall 494 London, Bernard 417 London: Zeppelin bombing of 494 Longer degree programmes 744 Lord Christopher Thomson of Cardington 342 Lord Nolan of Brasted 89 Lord of the Flies (book) 366 Lord Philips of Sudbury 124 Loss of employment: due to robotics 643 Low level nuclear waste: examples 472 Low, Archibald Montgomery 495 Loyal Wingman Programme 539 LTT 814 Luddite 433, 596

L Lady Chatterley's Lover 314 Laika 300 Landfill and e-waste 398 Language analyser: example 616 Laptop cameras and microphone: hacking 222 Lawrence, D H 314 Leader: definition 73 Leaders of technology: limited education 3, 736

M Madagascar hissing cockroach 622 Maddison, Ronald: death in trial 790 Magendie, Francois 808, 812 Magic Leap 254 Mahmoudi, Mohammed 101 Mahon, Justice Peter 491, 551, 561, 563 Malfunction 54 51, 53 Management growth in universities 707 Management salaries: universities 708

J Japan: eugenics 780 Jekyll and Hyde factor 653, 659 Jesus as an extremist 182, 326 Jesus: anger in the Temple 849 Job displacement 643 Job displacement: adaptability 650 Job displacement: context of finite resources 648 Job displacement: need for educational change 649 Jobs and graduates 726 Johnson, Wendell 783, 786 Jones, Professor R V 260 Journal publications: prestige 774 Journey to Damascus 604 J-switch 261 Juvenal 239

910 Management structures: universities 709 Manhattan Project 46, 79, 674, 846 Manoeuvring Characteristics Augmentation System 860 Manufacturers and recycling: example of effort to prevent 418 Mao Zedong: treatment of intellectuals 841 Marine pollution: cargo ships 406 Mars Climate Orbiter 819 Mars Polar Lander 819, 821, 826 Masefield, Sir Peter 337 Mathematics: dumbing down 738, 747 Mathematics: the language of 738 Mbeubeuss dump (Senegal) 474 MCAS 860 McAuliffe, Christa 197 Medical trials: India 777, 830, 832 Medical trials: planning 778 Medical trials: risk 776 Medical trails: seeking redress 777 Medical trials: value of 778 Merkel, Angela 128 Message switching 301 Metric: lifecycle efficiency 384 Metrics: research 759 Metropolitan Police Service: body cameras 234 Mexico - U.S.: border 521 Microwave spectroscopy: author reflects on automation 430 Milgram, Stanley 165 Mirai malware 311 Misnomer of complete security 139 Missile: Hellfire 528, 536 Mistaken identity: example 223 Mixed reality 254 MK-Ultra: CIA 176, 202 Mobile phones: limiting use in schools 308 Model T Ford 411 Module swapping: environmental impact 424 Monster study 783 Monsters of the purple twilight 494 Moral equivalency 779 Mosquito: impact on youth 232 Mossad and Mordechai Vanunu 847 Motor vehicles and electronics 421 Mount Erebus (photo) 552 Mr H.: informed consent example 800, 803 Multiversity 725 Munitions: disposal at sea (North Wales) 791 Munitions: dumping 473 Mustard gas: effects 787 Mustard gas: experimentation 785, 787

Index N Nagasaki 23, 674 Nanny state 139 Nannycams 123 NASA programme: Columbia disaster 462 NASA: better, faster, cheaper philosophy 823, 463 National Security Agency 109, 151 174, 179 Natural progression: evolution of society 334 Natural resources: consumption 376 Naturally talented leaders 79 Nature of censorship 317 Nawaz, Gul 25 Nazi: eugenics 780 Near death experience 602 Negative actions towards ‘others’ (justification) 170 Negative eugenics 779 Neophiliacs: varieties 476 New is good, old is bad: sales mantra 415 New Zealand 599 New Zealand: airport security 141 New Zealand: disposal of CRTs 387, 403 New Zealand: dumping of nuclear waste in proximity 473 New Zealand: Erebus disaster 491, 550 New Zealand: GHOST Project 542 New Zealand: Jacinda Ardern on the past and future 870 New Zealand: piano damage 520 New Zealand: poor e-waste handling 386, 403 New Zealand: Prime Minister apology for Erebus 565 Newham: Facial recognition system 252 Niemöller, Martin 857 Nineteen Eighty-Four 110, 115, 626 Nixon, Richard: U.S. President 277 No-Frills education scenario summary 735 Nolan Principles 89 Non-physical soul 597 Normalisation of deviance 460 Norway, Nevil Shute 337, 357 NSA 109, 111, 174, 179 NSA and Stasi 151 Nuclear waste: dumping at sea 472 Nuclear weapons 23, 45 Nuclear weapons: Israel 846 Nuremberg code 782, (also see Appendix C) Nuremberg trials 780 O Oath of Allegiance: U.S. Constitution 178 Oath of Hippocrates 798, 800, (Also see Appendix E)

Index Obsolescence: designed for 410 Obsolescence: gradual 416 Obsolescence: human 429 Obsolescence: planned 417 Oceania: maximum e-waste generation per inhabitant 386 Offshore manufacturing 411 Online abuse 364 Online education 749 Online education: misconception 750 Online persona 216 Online shopping: environmental ramifications 412 Operation Breakfast 277 Operation Danish Bacon 814 Operation Sandstone 500 Opposition to censorship 323 Optic Nerve 217 Optical telegraph tower 297 Orchestrated litany of lies 491, 551, 563 Organisation and the individual 63 Organisation failures: Therac-25 46 Organisation: association 64 Organisation: attitudes 64 Organisation: communications 65 Organisation: communication failure 194 Organisation: pipeline 61 Organisation: structure 65 Organisational failures: Air France Flight 447 660 Organisational failures: Boeing 737 Max 8 858 Organisational failures: bombing of Cambodia 276 Organisational failures: Challenger Space Shuttle 183 Organisational failures: Columbia Space Shuttle 460 Organisational failures: Concorde 753 Organisational failures: Erebus disaster 550 Organisational failures: Flight TK981 91 Organisational failures: Imperial Fleet 336 Organisational failures: Therac 25 48 Organisational failures: voyages to Mars 819 Organisational leadership 69 Orphans: exploitation 783 Orwell, George 110, 115, 333, 626 Other: a definition 162 Others 110, 175 Others: alternative definition 829 Our common future: Brundtland Report 456 Outperforming human species 584 Over-centre principle 96 Over-consumption: of products 395

911 Overdose, radiation 48 Over-infusion of technology in education 751 Oxford: early days 694 P Packet switching 301 Pakistan: drone double tap strikes 536 Pan, tilt and zoom cameras 234 PanAm Flight 103 140 Paper qualifications 746 Paradoxes: robot development 581 P-consciousness 587 Pearson, Karl 780 Pepper's Ghost 254 Perceptions of extremists 329 Permanent appointments: minimisation in education 716 Personal faith 34, 604 Personal wealth: technology industry (examples) 874 Phenomenal character: example 589 Philosophical zombie 592, 599 Philosophy: suggestion of compromise in education 723 Phoebus Cartel 414 Photovoltaic industry 454 Photovoltaic panel: e-waste 454 Pitt, William 116 Plagiarism 19, 20, 21 Plague bacteria: Royal Navy trial 796 Planck, Max 45 Planned obsolescence 417 Planning: experimental trials 778 Plastics in the sea 474 Poaching: Africa 513 Poaching: impact on herds 516 Poisoning of wild animals 513 Polanyi's Paradox 435 Police surveillance: New Zealand 133 Pollution: cargo ships 405, 407 Poltroonery: example of 843 Polybius 296 Polytechnics become universities (UK) 695 Porton Down (UK) 790 Positive eugenics 779 Potential: of application 6 Power imbalance and 'others' 163 Power purchase agreements 448 Power supplies: e-waste generation 394 Power usage effectiveness metric 443 PowerPoint: limitations 469 PPA 448 Precision agriculture 502

912 Precision farming: drones 571 Predator B: for border security 523 Predictive modelling 6, 285 Pregnancy: impact of e-waste 400 Pregnant women: experimental trial (U.S.) 793 Printer cartridges: preventing recycling 392 Prison experiment: Stanford 172 Prisoner's Dilemma 35 Privacy and freedom 127 Privacy and self-realisation 134 Privacy erosion 199, 626, 871 Privacy International Report 110 Privacy loss: conformance 131 Privacy loss: homogenisation 133 Privacy loss: suppression of creativity 134 Privacy loss: suppression of dissent 132 Privacy loss: to the machine 136 Privacy: a feminist view 119 Privacy: conscious awareness 591 Privacy: difficulties in definition 117 Privacy: erosion 123 Privacy: example of questioning 122 Privacy: facets of 118 Privacy: Google Glass 255 Privacy: indicative aspects of 117 Privacy: nature of 116 Privacy: spectrum 121 Privacy: the five 'W's' 118 Privacy: transparency 122 Proactive ethics 848 Problem resolution 854 Problem resolution: documentation 856 Process driven employment 583 Product complexity: is it necessary? 427 Product inception phase 379 Product inception phase: impact on environmental footprint 380 Product lifecycle 378 Product lifecycle and the IoT 425 Product lifecycle: sub-cycle complexity 382 Product obsolescence 377 Product realisation phase 381 Product repair 419 Product repair: complexity exceeds knowledge 423 Product repair: factors which negatively impact on 420, 422 Product repair: old and current technologies 421 Product second-hand usability: limiting 416 Product shipping 404 Product termination phase 385, 397 Product unique identification 259

Index Product useful phase 384 Profession: characteristics 40 Professional accreditation 44 Professional ethics 67 Professional practice 41 Professional practice: expectations 42 Professional practice: obligations 41 Programme content: currency 730 Project Champion (UK) 283 Pseudo (semi) autonomous drones 492, 506 Psychological effects of military drones 535 Psychological egoism 28, 845 Psychological obsolescence 413 Psychological zombie 676 PTZ cameras 234 Publications: journal prestige 774 PUE metric 443 Q Qualia 588 Quantifying the unquantifiable 715 Quasi-deterministic behaviour 602 Queen Bee: drone 497 R R.100 R.101 R.101 R.101

(airship) 336 (airship) 295, 336 and Challenger tragedies: parallels 351 certificate of airworthiness: fabrication 359 R.101: final moments 352 R.101: project overrun 345 Rabbi Hillel the Elder 32 Racially-based selection: mustard gas trial 787 Radiation overdose 48 Radio Frequency Identification Devices 215, 258 Radio Mille Collines: support for genocide 656 Radium 26 RAND Corporation 300 Rand, Ayn 29 Randomised clinical trials: value of 778 Reactive ethics 848 REC 446 Recycling CRTs: manufacturers’ attempt to prevent 418 Recycling: as a scam 399 Recycling: container ships 408 Refusal, conscientious 43 Remote leadership 75 Remotely piloted aircraft 489 Remuneration Committees: UK universities 713

Index Renewable electricity: clean and unclean 452 Renewable energy 445 Renewable energy certificates 446 Renewable energy: is it sustainable? 452 Repetitive consumption 377, 419, 649 Research and ethics 771 Research performance: academics 759 Research: bias 803 Research: human participants 775 Research: motivation 773 Research: pigs' brains – ethics 827 Research: post Nuremberg 789 Research: societal consequences 828 Responsibility, ethical 44 Results: student customer expectation 729 Retina 247 Revolution: evolution of society 334 Re-writing history 279 RFID 214, 258 RFID applications 265 RFID: application summary 275 RFID: dementia application 271 RFID: medical application 268 RFID: motivations for implantation 269 RFID: restraining order application 278 RFID: tracking people 267 Rhino horn and ivory: financial value 514 Rhino horn: composition 515 Rhino horn: superstition 515 Rhinoceroses: data on killing in Africa 517 RIC 609 Right to be left alone 126 Right to repair movement 424 Riots (UK): social media 320 Risk: medical trials 776 Robbers’ Cave experiment 164 Robbins Report: higher education (UK) 688, 690 Robot development: paradoxes 581 Robot induced chaos: example 609 Robot: characteristics 607 Robot: conscious 595 Robot: impact on employment 677 Robot: international impact 647 Robot: law enforcement 521 Robot: self awareness 676 Robotic human behaviour 581 Robotics and future employment: predictions 645, 647 Robotics: dangers for employment 649 Robots in unstructured environments 609 Roosevelt, Theodore: big game hunting 511 Rotblat, Joseph 45, 846

913 Rotblat, Joseph: humanity in research 819, 827 Royal Navy: plague bacteria trial 796 RPA 489 Rule based action 583 Russell, Bertrand 598 Russian Navy: dumping at sea 474 Russian roulette: Challenger disaster 190 Russian spying on U.S. Ambassador 261 Rwanda 23 Rwanda: drones 501 Rwanda: failure of international community 656, 661 Rwanda: genocide 655, 661 S S.S. St Louis 658 Safety critical systems 52 Sarin: Ronald Maddison death (Porton Down) 791 Sassoon, Siegfried: ethically inspired action example 849 Satellites: high altitude pseudo 491, 540 SATYR 263 Saudi Arabia: citizenship hype 615 SBD 228 Scam recycling 399 Scholars and managers: summary discussion 759 Schools: CCTV (UK) 229 Science and humanities: empathy and moral judgement 725 Science and humanities: symbiotic partnership 723 Science: big questions 675 Scientific research: loss of humanity 831 Scientists and ethical responsibility 529 Scope: of application 5 Sea dumping of chemical warfare agents and munitions 473 Sea dumping of low level nuclear waste 472 Sea Shepherd: action against poaching 519 Search manipulation: as censorship 331 Seawater: extracting gold from 397 Secured by design 228 Security by obscurity 424 Security organisations: employment 180 Selection of degree programme 726 Selection of technology: consumers 395 Self censorship: communications 327 Self-consciousness 588 Semi-autonomous drones 492, 506 Semi-autonomous motor vehicles: exemplar accidents 640

914 Sex robots: ethics 620 Shadbolt Report (UK) 761 Sherman, William T. 511 Ship breaking 408 Shipping: growth of 404 Ships: cargo-fuel consumption 405 Shute, Nevil 43, 763 Sierra Leone 655 Signal crime 141 Signature strikes: drones 527 Silicon Valley: early vision 611 Sitting Bull 510 Skills and practices: obsolescence 430 Skills and product repair: decline of 421 Slaughter of Bison 511 Slide Rule (book) 337 Sloan, Alfred 412, 415 Smart Barbie Doll: Mattel 221 Smart cities 363 Smart doll: My Friend Cayla 222 Smart glasses 254 Smart glasses: predators 258 Smart TV: Samsung 221 Smart video monitoring systems 233 Smartphone: materials used in manufacture 384 Smartphone: scale of manufacture 383 Smartphone: software to drive termination 391 Smartphone: useful phase 380, 383 Snowden, Edward 151, 173, 202, 217, 323, 846 Social contract theory 34 Social media: Arab Spring 320 Social media: riots (UK) 320 Social media: spread of misinformation 321 Software to drive product termination 391 Software-induced obsolescence 391 Solar farms: location 452 Solar panels: average lifespan 454 Solar panels: e-waste composition 455 Solar panels: typical faults 455 Solar power 453 Solzhenitsyn, Alexandr 660, 671 Solzhenitsyn, Alexandr: torture 830 Sophia: robot 592, 606, 613 Sopwith Sparrow (drone) 495 Soul 594 South Wales police: facial recognition 283 Southwest Airlines: fuel consumption 859 Space drones 541 Space Shuttle Challenger disaster 183 Space Shuttle Columbia disaster 460 Space Shuttle: Columbia 377 Space-based solar power stations 481 Spaniel and control: author reflection 534

Index Spanish Armada 296 Spaso House 261 Speed cameras: destruction 13 Speer, Albert 47 Sputnik 1 299 Spying: Russian on U.S. Ambassador 261 St Paul of Tarsus 604 Stakeholders by inalienable right: academics 686, 725, 758 Stanford Prison Experiment 172 Stasi 125, 133, 150, 159, 201 Stasi and informers 155 Stasi and NSA 151 Statement of ethical values 85 STEM teaching and humanistic content 743 Stockholm subway: CCTV 227 Stocking: initial development 477 Stocking: nylon-death dating 477 STS-107 disaster 460 STS-51-1 disaster 183 Student customer 697, 705 Student customer: expectation of outcome 729 Student fees (UK) 686, 691, 726, 731 Student fees: in various countries 691 Student fees: who should pay 693 Student learner: return of 733 Student right to privacy 17, 18 Student selection 6 Student self-motivation 734 Student: time and pressure 701 Study duration: university degrees 741 Stuttering: Wendell Johnson experiment 783 Styles of leadership 71, 73 Sub-cycles and product realisation phase 381 Sub-cycles: example 382 Substance dualism 594 Suleimani, Qassem: killing of 573 Supermarket: incorrect payment 38 Supervised autonomy 548 Surveillance: student activities 752 Surveillance: voyeurism 129 Sustainability and bureaucracy 458 Sustainability: Brundtland Report 456 Sustainability: data centres 442 Sustainability: useful definition 459 Sustainable energy and data centres 445 Sutherland, Stuart 593 Swarms of drones 539, 542, 546 Syria: drone attack 568 Szilard, Leo 674 T Taiwan: recycling 479 TCP/IP 302

Index Teaching Evaluation Framework 760 Team work: importance of 92 Technological inevitability 624, 670 Technology: a driving force 874 Technology: in education 751 Technology: industry - examples of personal wealth 874 Technology: infallibility misnomer 51 Technology: mystic 618 Technology: roller-coaster 4 Technology: separating people from actions 533 Technology: the vision for - author reflects 873 Telegraph stations 296 Ten Commandments 30 Tengai interview system 199 Tennyson, Alfred Lord 494 Termen, Sergeyevich 262 Termination phase: factors leading to termination 388 The humanities 720 The Man in the White Suit (film) 773 Therac-25 48 There is something that it is like 590 Three Laws of Robotics 654 Time: academics' most precious resource 714 Tin Lizzie 410 Tobacco hornworm moth 622 Too much automation: Flight 447 666 Tours (France) 297 Town and gown disputes 694 Toxins and e-waste 400 Tracking of e-waste 400 Transdisciplinary teaching 722 Trolley problem 634, 642 Tu-144 756 Tudor, Mary 783 Tuition fees: a No-Frills approach 734 Tuskegee study 788 Tutsi 23 U U.S. airlines: fuel consumption 859 U.S. Constitution: Oath of Allegiance 178 U.S. Global Horizontal Sounding Technique Project 542 U.S. kill list 534, 538 U.S. kill list: Qassem Suleimani 573 U.S. military drone flight hours (2014) 490 U.S. President 'kill list': autonomous weapons context 677 U.S.: eugenics 780 UAS 491

915 UAV 489 UK exportation of plastic waste 475 UK: dumping of chemical warfare agents 473 Unbundled RECs 447 Undergraduate education: short and long term value 727 Undergraduate experience: facets of 727 Undesirable research: Weizenbaum views 620, 624 Universal Declaration of Human Rights 118, 151 Universities: alternative era 686, 687, 691, 699, 725 Universities: commitment to sustainability 457 Universities: indicative changes summary 758 Universities: management and administration growth 707 Universities: the beacon of scholarly pursuit 725 Universities: total accountability 715 University degrees: study duration 741 University departments: De-Balkanisation 737 University education: delivery techniques 739 University fees: country comparison 692 University fees: institute comparison 692 University library: value of 724 University of Iowa: apology 785 Unmanned aerial vehicles 489 Uranium 46 URL 303 Useful phase: container ships (data) 410 Useful phase: efforts to extend 419 Utilitarian evaluation: pseudomaths 812 Utilitarianism 31 V V-1 499 Valuing people vs technology 585 Vanunu, Mordechai 846 Vaquita porpoise 518 VeriChip 270 VeriMed Health Link 270 Vice chancellors' salaries: increase in UK universities 711 Victims and ethnicity 779 Victorian Mills 643 Video analytics 236 Video and the No-Frills approach 741 Video techniques and lectures 740 Video traffic (Internet) 441 Video: impact on lecturer 740 Video: impact on students 740 Vietnam: concern for rhinoceroses 571

916 Vietnam: cost of rhino horn 514 Vintage radio 421 Violent crime: CCTV 227 Virtual learning environments: student surveillance 752 Virtual power purchase agreements 448 Visibility: of application 5 Vision of technology: author reflects 873 Visionary leaders needed 87 VLE 752 Voice: biometric 248 von Einem, Karl (General) 787 von Laue, Max 213 Voyages to Mars 819 Voyeurism: CCTV 240 VPN 324 VPPA 448 W Wallis, Barnes 339, 341 War on terror 141 War: evolution of society 335 Warfare: over the centuries 24 Waste crime 475 Waste disposal: twentieth century track record 472 Waziristan 25 Web, Sidney J 689 Weiner's Laws: list 668 Weizenbaum, Joseph 616 Weizenbaum, Joseph: ELIZA conclusions 619 Weizenbaum, Joseph: ethical responsibility of scientists 529 Wellington bomber 259 Wendell Johnson experiment 783 Wendell Johnson: perception of his experiment 786 West African black rhino: extinction 519 Whistle blowing 856 Whiteout 557 Who am I? 588 Who watches the watchers 239 Wiener's Laws 651

Index Wild animals: poisoning 513 Wildlife protection: drones 510, 517 Winners and losers: automated technologies 646 Wolpert, Lewis: ethical responsibility of scientists 529 Woman’s view: Model T Ford 412 Woodland reflection: augmented reality 255 Wordsworth, William 603 Workload planning: academic activity 762 Workplace and anger 853 Workplace escalation in problem resolution 855 Workplace problem resolution 854 Workplace problems: resolution by graded approach 854 Workplace skills 88 World Wide Web 303 Wurzburg-Riese radar 261 WWI Christmas truce (1914) 168 X Xenophon 295 Xinjiang 324 Y Yemen: drone strike 538 Yemen: use of rhino horn 516 Ypres (WWI) 785 Z Zephyr S drone 543 Zeppelin 493 Zeppelin gondola 499 Zeppelin: L59 340 Zero-hour contracts 66 Zero-hours contracts: educational institutions 717, 746 Zersetzung 159 Zikler, John 714 Zombie 590 Zyklon B 26