Engineering Surveying Ethics in Puerto Rico

1
Engineering Surveying Ethics in Puerto Rico
William J. Frey UPRM College of Business
AdministrationEfrain ONeill -CarrilloUPRM
College of Engineering Electrical and Computer
EngineeringUniversity of Puerto Rico at Mayagüez

• November 15, 2007
• CIAPR / OEG / CEP

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Agenda

• Professional Context of Engineering and Surveying
  Ethics in Puerto Rico
• Analogy between solving ethics and design
  problems
• Software Development Cycle Four steps to
  defining and solving ethical/engineering/surveying
  problems
• Ethics, Code, and Feasibility Tests help hone in
  on the ethical pathway
• Hands On Activity Incident at Morales (NIEE
  Ethics Video)

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Institutionalizing Engineering Practice in
Puerto Rico

• Law 319 (1938) Established the College of
  Engineers and Architects and Surveyors of Puerto
  Rico (1938)
• Colegio de Ingenieros, Architecturas, y
  Agrimensores de Puerto Rico
• Law 173 (1988) Established the Puerto Rico State
  Society of Professional Engineers and Land
  Surveyors
• Colegio de Ingenieros y Agrimensores de Puerto
  Rico (CIAPR)

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CIAPR Functions

• Juridical Entity / Quasi-Public Corporation
• Determining standards for practicing engineering
  and surveying in PR
• Developing a code of ethics to establish moral
  standards for the practice of engineering and
  surveying
• Investigating complaints of unprofessional
  practice
• Investigating and punishing individuals (or
  corporations) who practice engineering and/or
  surveying without a license
• Developing and administering qualifying exams

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Requirements for Practicing Engineering and
Surveying

• Resident of Estado Libre Asociado de PR
• Good conduct and moral reputation in community
• Absence of criminal conduct and convictions
• Recommendations from three licensed engineers or
  surveyors who have direct knowledge of moral
  reputation and professional experience
• Graduate from accredited engineering and
  surveying programs
• Pass both fundamental and specialty exams
• Member of Colegio (Colegiado)

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Regulatory Control Over Practice

• No person who is not a member of CIAPR can
  practice engineering and surveying in PR
• A corporation cannot practice engineering in PR
  except when organized as a professional
  organization in accordance with law 185 and the
  General Law of Corporations of PR
• CIAPR vs. Autoridad de Acueductos y
  Alcantarillados de PR
• Metcalf Eddy were not allowed to perform
  engineering functions contracted by the AAA
  because they failed CIAPR requirements for
  practice

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Current Code developed in 1994

• Working document shows 15 issues condensed to 10.
  These 10 become CIAPR canons
• Table correlated CIAPR issues to issues in NSPE,
  ECPD, IEEE, ASCE, and ASME codes
• Four Stakeholder Groups emerge from these codes
• Public, Client, Profession, and Peers (engineers
  and surveyors)

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Principios Fundamentales de Ética Profesional

• A fin de mantener y enaltecer la integridad, el
  honor y la dignidad de sus profesiones, de
  acuerdo a las más altas normas de conducta moral
  y ética profesional, el Ingeniero y el
  Agrimensor
• Deberán considerar su principal función como
  profesionales la de servir a la humanidad. Su
  relación como profesional y cliente, y como
  profesional y patrono, deberá estar sujeta a su
  función fundamental de promover el bienestar de
  la humanidad y la de proteger el interés público.
• Serán honestos e imparciales y servirán con
  fidelidad en el desempeño de sus funciones
  profesionales, manteniendo siempre su
  independencia de criterio que constituye la base
  del profesionalismo.
• Se esforzarán en mejorar la competencia y el
  prestigio de la ingeniería y de la agrimensura.

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Ethical Issues in CIAPR Code

• 1.   Velar por sobre toda otra consideración por
  la seguridad, el ambiente, la salud y el
  bienestar de la comunidad en la ejecución de sus
  responsabilidades profesionales.
• 2. Proveer servicios únicamente en áreas de sus
  competencias.
• 3. Emitir declaraciones públicas únicamente en
  una forma veraz y objetiva.
• 4. Actuar en asuntos profesionales para cada
  patrono o cliente como agentes fieles o
  fiduciarios, y evitar conflictos de intereses o
  la mera apariencia de éstos, manteniendo siempre
  la independencia de criterio como base del
  profesionalismo.

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Ethical Issues in CIAPR Code

• 5. Edificar su reputación profesional en el
  mérito de sus servicios y no competir
  deslealmente con otros.
• 6. No incurrir en actos engañosos en la solicitud
  de empleo y en el ofrecimiento de servicios
  profesionales.
• 7. Actuar con el decoro que sostenga y realce el
  honor, la integridad y la dignidad de sus
  profesiones.
• 8. Asociarse únicamente con personas u
  organizaciones de buena reputación.
• 9. Continuar su desarrollo profesional a lo largo
  de sus carreras y promover oportunidades para el
  desarrollo profesional y ético de los ingenieros
  y agrimensores bajo su supervisión.
• 10.   Conducirse y aceptar realizar gestiones
  profesionales únicamente en conformidad con las
  leyes y los reglamentos aplicables y con estos
  Cánones.

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Practical Norms

• 1c Cuando su juicio profesional haya sido
  revocado en circunstancias donde la seguridad, el
  ambiente, la salud o el bienestar de la comunidad
  se ponen en peligro, informarán a sus clientes o
  patronos de las consecuencias posibles. De
  continuar la amenaza a la seguridad, el ambiente,
  la salud o el bienestar de la comunidad,
  informarán sobre el particular a las autoridades
  concernidas.
• 1d Cuando tengan conocimiento o suficiente razón
  para creer que otro ingeniero o agrimensor viola
  las disposiciones de este Código, o que una
  persona o firma pone en peligro la seguridad, el
  ambiente, la salud o el bienestar de la
  comunidad, presentarán tal información por
  escrito a las autoridades concernidas y
  cooperarán con dichas autoridades proveyendo
  aquella información o asistencia que les sea
  requerida.
• 5j No aprobarán, timbrarán, estamparán o
  certificarán, según corresponda, ni autorizarán
  la presentación de planos, especificaciones,
  cálculos, dictámenes, memoriales o informes que
  no hayan sido elaborados por ellos o bajo su
  responsabilidad directa. Además, le darán crédito
  por el trabajo de ingeniería, agrimensura o
  arquitectura a quienes corresponda.

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CIAPR Code in 1985

• Principios Fundamentales de la Etica Profesional
  del Ingeniero y del Agrimensor
• A fin de mantener y enaltecer el honor y la
  dignidad de su profesion y de acuerdo a las mas
  altas normas de conducta etica, el ingeniero y el
  agrimensor
• Seran honestos e imparciales y serviran con
  devocion en su empleo, a sus clientes y al
  publico
• Se esforzaran en mejorar la eficiencia y el
  prestigio de la ingenieria y la agrimesnsura
• Utiliazran sus conocimientos y destrezas para
  promover el bienestar de la humanidad
• Canon 5
• Se velara celosamente por la seguridad, salud, y
  bienestar del publico en la ejecucion de sus
  responsabilidades profesionales

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Compare to 1985

• 1994
• FP1 Deberán considerar su principal función como
  profesionales la de servir a la humanidad. Su
  relación como profesional y cliente, y como
  profesional y patrono, deberá estar sujeta a su
  función fundamental de promover el bienestar de
  la humanidad y la de proteger el interés público.
• Canon 1 Velar por sobre toda otra consideracion
  por la seguridad, el ambiente, la salud y el
  bienestar de la comunidad en la ejecucion de sus
  responsabilidades profesionales

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Characteristics and Functions of the CIAPR Code
of Ethics

• Examining the code from the perspective of key
  stakeholders and in terms of the different
  functions served by its provisions

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What is a stakeholder code?

• Stakeholder codes focus on the duties a community
  owes to its stakeholders
• Stakeholder any group or individual with an
  essential interest tied up with professional
  practice
• Engineering and Surveying Stakeholders Public,
  Client, Profession, Peer

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Stakeholder Obligations

• Public Engineers and surveyors must hold
  paramount
• Public Wellbeing (health, safety, welfare)
• Environmental Integrity
• Client Engineers and surveyors must exercise
  their professional judgment in conformity with
• faithful agency (Agencia Fiel)
• avoiding Conflicts of Interests
• maintaining confidentiality

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Stakeholder Obligations

• Profession Engineers and surveyors must in
  relation to their profession
• Uphold the Honor and Reputation of Profession in
  activities like expert witnessing
• Peer Engineers and surveyors must treat their
  peers with respect which includes
• Collegiality
• Avoid disloyal competition, public criticism of
  peers, comparative advertising

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A Roadmap for Navigating the CIAPR Code

• Who is the stakeholder behind the provision?
• Stakeholder in canon 1?
• Stakeholder in canon 4?
• What is the job of the provision?
• Is it an ideal of the profession? (Does it set
  forth an ideal ?)
• Is it a principle of professional conduct? (Does
  it set forth a threshold of minimally acceptable
  behavior?)
• Difference?
• Principles of professional conduct specify
  circumstances of compliance, i.e., who, when,
  where, how, etc.

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Different Functions of a Code of Ethics

• Value-Based

• Compliance

• Based on ideals of the profession
• Articulate, as a community, the values that are
  central to identity
• Practice value-based decision-making
• Provide moral support to those who fall short of
  ideals

• Based on principles of professional conduct
• Establish rules thresholds of minimum
  compliance
• Develop monitoring systems (often
  self-monitoring) to check compliance
• Design and publicize a system of punishment for
  non-compliance

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Where does the CIAPR code stand in relation to
these types?

• Fundamental principles and many canons (e.g.,
  canons 1 and 4) express the aspirations, values,
  and ideals of engineers and surveyors
• Parts of some of the canons and the practical
  norms set forth principles of professional
  practice
• Monitoring and Punishing Functions are carried
  out through legal and professional mechanisms
  (Civil law and the CIAPR Disciplinary Tribunal)
• What remains to be done in the area of moral
  support?

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Two moral support best practices

• IEEE Amicus Curiae in BART case
• Engineers cannot be fired for refusing to violate
  a clear mandate of public policy.
• Select code provisions (e.g., canon 1) represent
  clear mandates of public policy
• Code backed by profession becomes a way of saying
  no to illegal and unethical orders
• NSPE and its Board of Ethical Review
• BER discusses real world cases brought to it by
  practicing members
• Discussions clarify and interpret key provisions
  of the NSPE code

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Reflection

• Write a sentence or two about the following
• Micro Engineering Ethics examines the perspective
  of the individual engineer focusing on
  problem-solving and decision making
• Macro Engineering Ethics focuses on themes like
  the following
• Should engineers become directly involved with
  the military?
• How and to what extent should engineers take
  responsibility for the impact of engineering
  projects on third world countries.
• What is the appropriate development and use of
  technology?
• What should engineering professional societies do
  in relation to these macro ethical issues?

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Ethical Problem Solving

• Three Ethics Tests, a code test, and a
  feasibility check list

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Socio-Technical System (STS) Analysis

• an intellectual tool to help us recognize
  patterns in the way technology is used and
  produced
• Engineering is practiced within a socio-technical
  system
• Engineering practice and socio-technical systems
  embody values
• Values mismatches within socio-technical systems
  produce ethical problems

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Analogy between design and ethics problems
Design Problem Ethics Problem
Construct a prototype that realizes designated specifications Construct a solution that realizes ethical values (justice, responsibility, reasonableness, respect, and safety)
Conflicts between specifications are resolved through integration of specifications Resolve conflicts between values (moral vs. moral or moral vs. non-moral) by integration
Prototype must be implemented over background constraints Ethical solution must be implemented over resource, interest, and technical constraints
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Problem-solving in engineering and surveying

• Problem Specification
• As in engineering and surveying problem solving,
  be as clear as possible about your problem
• Solution Generation
• As in design problems, solutions are not found
  ready made but have to be designed to respond to
  the problem and to integrate key ethical and
  non-ethical values
• Solution Testing
• Which of your solutions best responds to the (1)
  Reversibility, (2) Harm/Benefits, (3) Publicity,
  and (4) Code tests
• Solution Implementation
• Identify situational constraints (resources,
  interests, technical)
• Develop counter measures to possible obstacles

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Solution Testing

• See how your solutions stand up to three ethics
  tests and a feasibility test

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Reversibility Test

• Question would I still think choice of this
  option good if I were adversely affected by it?
• Moral Imagination Task Visualize the solution
  from the standpoint of the stakeholders
• Public, Client, Profession, Peer

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Harm/Benefits Test

• Question does this option do less harm and bring
  about more benefits than alternatives?
• Moral Imagination Task Use your experience,
  knowledge and skill to visualize the likely
  consequences
• Sort these out and balance benefits and costs
• Check for distribution among the stakeholders
• Dont purchase client benefit at the expense of
  distributing risk to the public

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Publicity Test

• Question would I want my choice of this option
  published in the newspaper?
• Moral Imagination Task What would a morally
  exemplary engineer or surveyor do in this
  situation?
• Does your action realize or frustrate the
  following values?
• Justice, responsibility, respect, trust,
  integrity
• Care for public wellbeing
• Faithful agency toward the client
• Uphold the integrity and reputation of the
  profession
• Maintain collegial relations among your peers

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Code Test

• Does the solution under consideration violate a
  provision of the CIAPR code of ethics?

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Make a Solution Evaluation Matrix
Solution / Test Reversibility Test Harm Test Publicity Test Code Test Global Feasibility Test
Description would I still think choice of this option good if I were adversely affected by it? does this option do less harm than alternatives? would I want my choice of this option published in the newspaper? Does the solution present any major code violations? What obstacles arise that could prevent the implementation of this solution?
Solution 1
Solution 2
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Solution Implementation
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Solution Implementation

• A feasibility test introduces practical
  constraints
• It asks whether the selected alternative can be
  implemented given resource, interest, and
  technical constraints

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Feasibility Matrix
Feasibility Matrix Feasibility Matrix Feasibility Matrix Feasibility Matrix Feasibility Matrix Feasibility Matrix Feasibility Matrix Feasibility Matrix Feasibility Matrix
Resource Constraints Resource Constraints Resource Constraints Technical Constraints Technical Constraints Interest Constraints Interest Constraints Interest Constraints Interest Constraints
Time Cost Available Materials, Labor, etc Available Technology Manufac-turabiity Person-alities Organi-zational Legal Social Cultural Political
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Practicing Problem Solving Six Decision Points

• Incident At Morales, an NIEE/NSF produced video,
  provides several situations where decision makers
  are challenged to promote ethics

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1. Incident at Morales Tell me this is like
what you built!

• WALLY Chuck is going to have a project kick-off
  meeting this afternoon. Your plant design will
  be on the agenda. Itll be at three. We dont
  waste time around here. Were fast at Phaust.
  Corporate tag line.
• (Wally hands the preliminary plant plans to
  Fred.)
• WALLY You might want to look at this. (Hopeful)
  Tell me if this is like what you were building
  at your last job.
• You are Fred. Respond to Wally's question. Try
  to balance respect to your former employer,
  Chemitoil, with your current employer, Phaust.

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2. Incident at Morales Lutz and Lutz Controls?

• You are Fred. After you point out to Wally, that
  Lutz and Lutz controls are expensive, he advises
  you to "pick your fights when you can win them."
  (Chuck's brother-in-law is the customer
  representative for Lutz and Lutz.)
• You think about taking Wally's advice. The
  cheaper controls should work well except for
  situations of high temperature and pressure.
  This is not a problem with the formulation first
  put forth by Phaust chemists.
• Evaluate the following option using the ethics
  and feasibility tests. Can you think of a better
  option? Use the ethics and feasibility tests to
  show that your solution it is better.
• Take Wallys advice and recommend purchasing the
  more expensive Lutz and Lutz controls. Find some
  other budget item for cutting expenses.

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3. Why do you think we are building it in Mexico?

• Fred tells Chuck about his environmental
  concerns. He feels that toxic wastes will leach
  into the groundwater unless the holding ponds in
  Morales are lined.
• Evaluate the following options using the ethics
  and feasibility tests
• Let Chuck go ahead and call a meeting and bring
  in the environmental expert.
• Consult Wally first before allowing Chuck to call
  the meeting.
• Keep your environmental concerns to yourself and
  discuss them later with Wally

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4. Responding to the chemical reformulation

• After viewing the new paint stripper from
  Chemitoil, Phaust decides to redo their own
  formula. They will use a higher
  temperature/pressure process. This cuts deeply
  the margin of safety on the couplings, flanges,
  and cheaper controls.
• You are Fred. What should you recommend?
  Evaluate the following using the ethics and
  feasibility tests
• 1. Go along with the new chemical formulation.
  The safety margins are close but still adequate.
  You can also pass off problems and costs to
  operations
• 2. Argue that using the new formulation requires
  retrofitting the couplings, flanges, and
  controls. It is expensive in the short run but
  cheaper in the long run.

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5. Leaks after 30 batches

• You notice that significant leaks are occurring
  during the plants testing and start-up phases.
  These leaks are probably caused by the cheaper
  controls, inferior couplings, and the
  inexperience of the plant operating team
  including Manuel. What should you do?
• Have Manuel baby sit the batches timing them and
  constantly checking their temperature.
• Argue that it is necessary to immediately
  retrofit the plant with Lutz and Lutz controls.
• Argue that it is necessary to retrofit the plant
  with Lutz and Lutz controls but this should be
  done after the plant has been turned over to
  operations. Let them pay for it.
• Compare and rank these solution alternatives
  using the ethics and feasibility tests.

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6. Should you let those plant jockeys make New
Stripper?

• Wally Well, this is what were going to give to
  operations when we hand over the plant. Is
  everybody okay it?
• CHUCK Fred's the guy whos got to put his name
  on it, Freds got to be alright with it...
• Fred Well, the couplings still leak when the
  pressure is up.
• Wally And we've alerted operations and given
  them specific instructions on how to maintain the
  connections.
• CHUCK We've got Jen working on a lower
  temperature formula. That may make all of this
  moot.
• Fred We haven't worked out the bugs on the last
  step of the automation...
• WaLLY And next year, we'll retrofit the entire
  plant with LL controls.
• CHUCK This is how it works. We design it. We
  build it, we hand it over. They run it. Weve
  done the best we can. No plant, no process, no
  system is ever completely perfect.
• WALLY You built a plant thats efficient.
  You've got your upgrades to the wastewater
  treatment.
• Fred Yeah, you're right. Um, for now Manuel or
  one of his guys can use the manual release valve.
• CHUCK Okay. Time to let those plant jockeys
  make New Stripper.

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6. New Stripper?

• You are Fred. Should you sign off on the
  documents?
• Use the ethics and feasibility tests to test this
  solution

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Present your solutions and test results

• Student Criteria in the Engineering Ethics Bowl
• Intelligibility
• Integrating Ethical Considerations into Solution
• Feasibility
• Moral Imagination and Moral Creativity

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Ethical Dissent (if time)

• Advocating Ethical and Professional Judgment
• (suggestions from the IEEE)

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Before Blowing the Whistle

• Make sure of your motivation
• Count your costs
• Obtain all the necessary background materials and
  evidence
• Organize to protect your own interests
• Choose the right avenue for your disclosure
• Make your disclosure in the right spirit

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Is Whistle Blowing a first or last resort?

• Whistle Blowing becomes morally permissible when
  options for revealing the information within the
  organization have been tried and have not worked.

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DeGeorge on WB

• Morally Permissible

• Morally obligatory

• High probability of serious and considerable harm
• Notified immediate supervisor and have not
  received response
• Exhausted internal channels for making potential
  harm known

• Whistle Blowing becomes morally obligatory when
  in addition to being permissible there is
• documented evidence that would convince an
  impartial observer and
• a high probability that publicizing the imminent
  harm will prevent it

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Guidelines from IEEE for Ethical Dissent

• Establish a clear technical foundation
• Keep your arguments on a high professional plane,
  as impersonal and objective as possible, avoiding
  extraneous issues and emotional outbursts
• Try to catch problems early, and keep the
  argument at the lowest managerial level possible.
• Before going out on a limb, make sure that the
  issue is sufficiently important
• Use (and help to establish) organization a
  dispute resolution mechanisms
• Keep records and collect paper. Document,
  document, document!

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Closure

• Write on a piece of paper, five important things
  you learned during this seminar on engineering
  ethics.

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Thank YouQuestions, Comments?

• William Frey freyuprm_at_yahoo.com
• Efrain ONeill-Carillo
• oneill_at_ece.uprm.edu
• Visit http//cnx,org
• (Check content published by Frey)

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Puerto Rico Socio-Technical System
Engineering / Technology Projects Physical and Cultural Characteristics People, Groups, and Roles Engineering Procedures Laws Engineering Ethics Curriculum
Copper Mining in Puerto Rico CE (Highway 10) Island between North and South America Spanish and US Colonial Experience CIAPR (Puerto Rico State Society of Professional Engineers and Land Surveyors) 936 Corporations ABET / ASEE ASIBEI CIAPR procedures for becoming a licensed engineering Disciplinary Tribunal Law 173 (laws 12 and 319) Amendments US laws and codes imposed in PR Macro Engineering Ethics Micro Engineering Ethics Phil. of technology
Civil Engineering (Super Aqueduct) Mechanical Engineering (Urban Train) Two Languages (primarily Spanish but English is also important) Center for Ethics in the Professions Office of Governmental Ethics ABET accreditation of engineering programs OEG ethics requirements Engineering Codes and Government Regulations (PR and US) EAC integration projects (Jimenez and ONeill in Elec Eng)
Computer Engineering (E-Government) Electrical Engineering (Power Distribution Systems) Free Association with US Status Debate Statehood, Free Association, Independence Engineering Students PR engineers PR government PR and US employers Questionable Practices Corruption Firmoneria Env. Damage Conflict of Interests Disloyal Competition Partial testifying Injustice Oficina de la Etica Gubermental (anti-corruption, whistle-blowing protection, continuing education requirements for public employees) Ethics Across the Curriculum 15/85 Retreat/Workshop Resource development EAC Toolkit