IS6602 – Seminar 2 Consulting Ethics 1
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IS6602 Seminar 2 Consulting Ethics 1 Introduction In many of the courses that we teach, ethical issues are barely mentioned Ethical issues are complex and very personal If you took IS6000 last semester, then I hope that you gained a sense
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01
IS6602 – Seminar 2 Consulting Ethics 1<br>
02
Introduction In many of the courses that we teach, ethical issues are barely mentioned
Ethical issues are complex and very personal
If you took IS6000 last semester, then I hope that you gained a sense of research ethics
I regard ethics as being a critical topic for consultants
This means that we must discuss ethics as early as possible
I hope that this will prevent you accidentally engaging in ethically questionable behavior, in your coursework for instance 2<br>
Ethical issues are complex and very personal
If you took IS6000 last semester, then I hope that you gained a sense of research ethics
I regard ethics as being a critical topic for consultants
This means that we must discuss ethics as early as possible
I hope that this will prevent you accidentally engaging in ethically questionable behavior, in your coursework for instance 2<br>
03
The Basics Ethics are principles and values that influence the way in which people behave
For IS6602, that means how researchers and consultants behave.
Ethics apply to a variety of situations in which there may be the potential for harm to be caused to someone.
Ethics are very personal
We each have our own values, standards, beliefs
We each know what is right and wrong
We are all different, so actually we all have different ways of looking at situations, and therefore different ethics 3<br>
For IS6602, that means how researchers and consultants behave.
Ethics apply to a variety of situations in which there may be the potential for harm to be caused to someone.
Ethics are very personal
We each have our own values, standards, beliefs
We each know what is right and wrong
We are all different, so actually we all have different ways of looking at situations, and therefore different ethics 3<br>
04
Consultants Need to Know A consultant must be thoroughly familiar with the precise situation of an organisation, if the same consultant is to offer advice or suggest changes
This knowledge must extend to industry practices and principles
Consultants need to learn new things all the time, including the language (jargon, terminology, culture) of the client
If you don’t understand what the client is saying, how can you make sense of anything or recommend changes?
So, the consultant has an ethical obligation to be situationally competent 4<br>
This knowledge must extend to industry practices and principles
Consultants need to learn new things all the time, including the language (jargon, terminology, culture) of the client
If you don’t understand what the client is saying, how can you make sense of anything or recommend changes?
So, the consultant has an ethical obligation to be situationally competent 4<br>
05
An Overheard Conversation “This morning, I heard the CSA mention that the GTS failed again”
“Then the SAEs will have to ensure that AIDs are provided to all CSAs before updating the GDB manually”
“And our MoT survey should be delayed since customers are bound to be unhappy”
“But the VPCR will be furious!”
“Naturally, since her own position could be up for grabs. GVPS will have many questions for us”
“Can the KO get us out of this mess?” 5<br>
“Then the SAEs will have to ensure that AIDs are provided to all CSAs before updating the GDB manually”
“And our MoT survey should be delayed since customers are bound to be unhappy”
“But the VPCR will be furious!”
“Naturally, since her own position could be up for grabs. GVPS will have many questions for us”
“Can the KO get us out of this mess?” 5<br>
06
Five Principles for Consultants Confidentiality
Faithfulness
Beneficence & Nonmaleficence
Benefits & Compensation
Legality 6<br>
Faithfulness
Beneficence & Nonmaleficence
Benefits & Compensation
Legality 6<br>
07
Confidentiality Consultants must at all times protect the confidentiality of any information they receive
Lists of customers
Database entries
Best practices
IT policy
Unless they are explicitly authorized to disclose this information
Consultants may need to sign a NDA (a Non-Disclosure Agreement) as a legal undertaking not to violate the client’s right to confidentiality
Clients appreciate secrecy, so ‘semper occultus’ (always secret) is a good motto 7<br>
Lists of customers
Database entries
Best practices
IT policy
Unless they are explicitly authorized to disclose this information
Consultants may need to sign a NDA (a Non-Disclosure Agreement) as a legal undertaking not to violate the client’s right to confidentiality
Clients appreciate secrecy, so ‘semper occultus’ (always secret) is a good motto 7<br>
08
Temptations As a KM consultant, you may learn many fascinating details about a company’s internal operations or external policies
Even if your focus is on knowledge processes, not the content, you will overhear the content as well
It is very tempting to gossip about this; with friends or colleagues or even other consulting clients
Maybe you have a sense of power because you know so much? Somehow, you have to control yourself!
If you violate the duty to keep confidences, you may face dire consequences. 8<br>
Even if your focus is on knowledge processes, not the content, you will overhear the content as well
It is very tempting to gossip about this; with friends or colleagues or even other consulting clients
Maybe you have a sense of power because you know so much? Somehow, you have to control yourself!
If you violate the duty to keep confidences, you may face dire consequences. 8<br>
09
Faithfulness A consultant must be committed to a project
Therefore, the consultant must devote sufficient time to it
Also, the consultant should be careful not to place herself in a conflict of interest position, e.g. where she is simultaneously serving two competing clients
Consultants must also be prepared to tell the truth, no more, no less, with complete and accurate information
Clients may not like to hear the truth, but ‘semper veritas’ (always truthful) is another good motto.
You also need to protect yourself. Be careful when telling lies! 9<br>
Therefore, the consultant must devote sufficient time to it
Also, the consultant should be careful not to place herself in a conflict of interest position, e.g. where she is simultaneously serving two competing clients
Consultants must also be prepared to tell the truth, no more, no less, with complete and accurate information
Clients may not like to hear the truth, but ‘semper veritas’ (always truthful) is another good motto.
You also need to protect yourself. Be careful when telling lies! 9<br>
10
Temptations It is tempting to sub-contract work to junior colleagues or even outsiders, so as to avoid the boring and time-taking parts of the work.
But if you have signed a contract to confirm that you will do the work, then you must do it.
It may also be tempting to leverage your experience with one client to find a new opportunity with another client in the same industry, even a competitor.
This may lead to many complications, where you cannot stop yourself from sharing lessons between clients/competitors, again violating the NDA 10<br>
But if you have signed a contract to confirm that you will do the work, then you must do it.
It may also be tempting to leverage your experience with one client to find a new opportunity with another client in the same industry, even a competitor.
This may lead to many complications, where you cannot stop yourself from sharing lessons between clients/competitors, again violating the NDA 10<br>
11
Beneficence & Nonmaleficence Consultants must be committed to doing good things (beneficence) and also not intentionally doing bad things (nonmaleficence)
They should not take risks that may harm the client, or recommend actions if there is a reasonable chance that a failure could be disastrous
Consultants can be sued for giving bad advice
They should make recommendations likely to lead to positive outcomes that do not harm individual stakeholders
If a client identifies a problem experienced only by management that if solved would harm lower level employees, then consultants should be very cautious when they recommend changes 11<br>
They should not take risks that may harm the client, or recommend actions if there is a reasonable chance that a failure could be disastrous
Consultants can be sued for giving bad advice
They should make recommendations likely to lead to positive outcomes that do not harm individual stakeholders
If a client identifies a problem experienced only by management that if solved would harm lower level employees, then consultants should be very cautious when they recommend changes 11<br>
12
Temptations If you are too confident, then you may over-estimate your skills or ability to achieve a positive outcome
You must always be sensitive to the risks associated with recommending changes
Recklessness (unconcerned about negative consequences) or Carelessness (not being careful to check if the actions are suitable) have to be avoided.
You may want to try out the latest IT, but is the firm ready for that? Does it have the right people and skills to handle that IT? What is the worst that could happen?
Change often happens at the speed of the slowest. 12<br>
You must always be sensitive to the risks associated with recommending changes
Recklessness (unconcerned about negative consequences) or Carelessness (not being careful to check if the actions are suitable) have to be avoided.
You may want to try out the latest IT, but is the firm ready for that? Does it have the right people and skills to handle that IT? What is the worst that could happen?
Change often happens at the speed of the slowest. 12<br>
13
Benefits & Compensation Consultants are entitled to be paid for their work, but they should be careful about any other benefits they receive as these might be construed as bribery or corruption
They should take care not to abuse their position of authority by seeking inappropriate benefits or opportunities
They should avoid forming an intimate relationship with any of the client’s stakeholders or employees, as this may lead to a conflict of interest
They should not seek to benefit from or remove any client data or other artifacts
All such materials must be returned or destroyed at the end of a project 13<br>
They should take care not to abuse their position of authority by seeking inappropriate benefits or opportunities
They should avoid forming an intimate relationship with any of the client’s stakeholders or employees, as this may lead to a conflict of interest
They should not seek to benefit from or remove any client data or other artifacts
All such materials must be returned or destroyed at the end of a project 13<br>
14
Temptations Imagine that you are interviewing employees, and find that one is particularly attentive to your questions and indeed to you personally.
He/She invites you for dinner the same day, and shares many interesting facts about the company
This information is certainly very useful as it helps you understand the company situation better
However, you should also be careful to verify the information from other sources as single informants are not always reliable 14<br>
He/She invites you for dinner the same day, and shares many interesting facts about the company
This information is certainly very useful as it helps you understand the company situation better
However, you should also be careful to verify the information from other sources as single informants are not always reliable 14<br>
15
Temptations But now what?!
Do you follow up and reciprocate with stories of your own?
You have to be careful not to accidentally share secret information
You also have to be careful not to develop a more intimate relationship as this will compromise your position as an independent consultant.
It may be better to wait until after the consulting project is complete and even then you need to keep secrets.
An intimate relationship with an employee could jeopardise your own consulting efforts and your position with the company 15<br>
Do you follow up and reciprocate with stories of your own?
You have to be careful not to accidentally share secret information
You also have to be careful not to develop a more intimate relationship as this will compromise your position as an independent consultant.
It may be better to wait until after the consulting project is complete and even then you need to keep secrets.
An intimate relationship with an employee could jeopardise your own consulting efforts and your position with the company 15<br>
16
Legality Whatever actions a consultant recommends must be legal in the jurisdiction where they are to be taken
If the consultant is paid by a client to develop a product, then the IP belongs to the client
The consultant cannot resell it to a different client
Each client should be treated as a new project and all products or services should be created afresh
Indeed, clients like to be treated as if they were unique and special, not just one more consulting assignment 16<br>
If the consultant is paid by a client to develop a product, then the IP belongs to the client
The consultant cannot resell it to a different client
Each client should be treated as a new project and all products or services should be created afresh
Indeed, clients like to be treated as if they were unique and special, not just one more consulting assignment 16<br>
17
Temptations If you spend a lot of time developing a new IT product, it is tempting to forget that the cost of your time was actually paid by the client, and so that the IP of the product belongs to the client, not you
If you succumb to that temptation, it is only a short step further to resell that product to another client, thereby violating the IP of the original client who paid for the work
This kind of situation can lead to legal action very quickly, for the original client will claim sole ownership and seek damages from you, especially if the client to whom you resell the product is also a competitor of the first client 17<br>
If you succumb to that temptation, it is only a short step further to resell that product to another client, thereby violating the IP of the original client who paid for the work
This kind of situation can lead to legal action very quickly, for the original client will claim sole ownership and seek damages from you, especially if the client to whom you resell the product is also a competitor of the first client 17<br>
18
NDA and Negotiations These kinds of agreements and ethical issues should be discussed by client and consultant before the project starts and before a formal contract is signed
A carefully prepared NDA benefits the client and the consultant, who knows what is allowed and what is not
Consultants also need to negotiate access to employees, meetings, documents, etc. so that they can be familiar with the operating environment and problem situation
If the negotiations are tough, the consultant should reconsider the opportunity
Opportunities have costs. 18<br>
A carefully prepared NDA benefits the client and the consultant, who knows what is allowed and what is not
Consultants also need to negotiate access to employees, meetings, documents, etc. so that they can be familiar with the operating environment and problem situation
If the negotiations are tough, the consultant should reconsider the opportunity
Opportunities have costs. 18<br>
19
CityU Ethical Requirements CityU’s Code of Human Research Ethics applies to all research done (by staff or students) that involves living people
The coursework for this class counts as research.
The code has 11 major questions. If you can truthfully answer ‘no’ to all 11, then the research project can be approved by the Head of Department (IS for IS6602) quickly.
If you answer ‘yes’ to one or more questions, then a full review by the CB Research Ethics Committee is required. This may take a month or longer. It may also require that you revise your research design and data collection proposals. 19<br>
The coursework for this class counts as research.
The code has 11 major questions. If you can truthfully answer ‘no’ to all 11, then the research project can be approved by the Head of Department (IS for IS6602) quickly.
If you answer ‘yes’ to one or more questions, then a full review by the CB Research Ethics Committee is required. This may take a month or longer. It may also require that you revise your research design and data collection proposals. 19<br>
20
Code Items 1-3 Will the study involve participants who do not possess the legal, physical or mental capacity to provide valid informed consent to participate in the study (e.g. children, people with developmental disabilities)? If so, parental/guardian consent must be obtained.
Will deception of participants, e.g. misleading participants, be necessary during the study?
Will financial inducements/incentives (other than reasonable expenses and compensation for time applicable to the nature of the study for the discipline concerned) be offered to participants? If so, please specify details e.g. value, in cash or in kind, the usual rate for the discipline concerned and applicable precedent cases 20<br>
Will deception of participants, e.g. misleading participants, be necessary during the study?
Will financial inducements/incentives (other than reasonable expenses and compensation for time applicable to the nature of the study for the discipline concerned) be offered to participants? If so, please specify details e.g. value, in cash or in kind, the usual rate for the discipline concerned and applicable precedent cases 20<br>
21
Code Items 4-6 Will the study involve sensitive aspects of the participant’s own behaviour such as illegal conduct, drug or alcohol use, and sexual conduct?
If the observations on the participants are disclosed, will it reasonably place the participant at risk of criminal or civil liability or be damaging to the participant’s financial standing, employability, or reputation?
Will the study/experiment induce undue psychological stress? 21<br>
If the observations on the participants are disclosed, will it reasonably place the participant at risk of criminal or civil liability or be damaging to the participant’s financial standing, employability, or reputation?
Will the study/experiment induce undue psychological stress? 21<br>
22
Code Items 7-11 Is pain or more than mild discomfort likely to result from the study?
Will the study involve prolonged and repetitive testing sessions?
Will the study involve the collection of identifiable information (i.e. information that is not anonymous) from participants? If so, explain whether sensitive or private information will be collected and how the confidentiality of the information collected will be maintained?
Are the researchers in a position of power (e.g. teacher-student) vis-à-vis the participants?
Will the study involve human subjects in clinical or biomedical research studies? 22<br>
Will the study involve prolonged and repetitive testing sessions?
Will the study involve the collection of identifiable information (i.e. information that is not anonymous) from participants? If so, explain whether sensitive or private information will be collected and how the confidentiality of the information collected will be maintained?
Are the researchers in a position of power (e.g. teacher-student) vis-à-vis the participants?
Will the study involve human subjects in clinical or biomedical research studies? 22<br>
23
Please Also Pay Attention to the Details of the Ethics Form There are many other sections to fill in, to describe, to explain, and you need to sign the form. 23<br>
24
Ethics Planning You need to consider ethical issues at the start of a research project.
If you identify ethical issues early, you have time to address them.
You can discuss with your colleagues, your team-mates, your supervisor, me.
Don’t hide ethical issues
Clearly, you do not want to have your research design rejected, so being able to answer ‘no’ to all 9 questions may be a good plan.
Assuring research subjects of anonymity and confidentiality
Clearly describe all research procedures
Create a trust-based interaction with research subjects
Provide feedback afterwards 24<br>
If you identify ethical issues early, you have time to address them.
You can discuss with your colleagues, your team-mates, your supervisor, me.
Don’t hide ethical issues
Clearly, you do not want to have your research design rejected, so being able to answer ‘no’ to all 9 questions may be a good plan.
Assuring research subjects of anonymity and confidentiality
Clearly describe all research procedures
Create a trust-based interaction with research subjects
Provide feedback afterwards 24<br>
25
Ethics and Respect Each researcher has his/her own values and beliefs
But as a researcher you must also respect the values/beliefs of your research subjects and your organisational clients
Be aware of legal constraints as they vary from place to place.
At minimum, you need to obey the law, but ideally you will consider a broader ethical perspective
CityU requires all research projects (that involve collecting data from living humans) to gain ethics approval
The human ethics application form is on the class website. 25<br>
But as a researcher you must also respect the values/beliefs of your research subjects and your organisational clients
Be aware of legal constraints as they vary from place to place.
At minimum, you need to obey the law, but ideally you will consider a broader ethical perspective
CityU requires all research projects (that involve collecting data from living humans) to gain ethics approval
The human ethics application form is on the class website. 25<br>
26
Coursework Planning This is a major activity for IS6602
Working in groups you need to undertake a small-scale consulting research project
I suggest that you use the basic principles of Action Research, which I will introduce next week
By next week, you need to confirm the group membership and ideally you should be moving towards identifying a context
In Week 7, you will need to present your first ideas
In Week 13, you will have to do a full, formal presentation 26<br>
Working in groups you need to undertake a small-scale consulting research project
I suggest that you use the basic principles of Action Research, which I will introduce next week
By next week, you need to confirm the group membership and ideally you should be moving towards identifying a context
In Week 7, you will need to present your first ideas
In Week 13, you will have to do a full, formal presentation 26<br>