Step 2: Normative Requirements Pass (Facts Section)
Extract principles, obligations, constraints, and capabilities from the facts section
Post-Public Employment - City Engineer Transitioning to Consultant
Step 2 of 5
Facts Section
Section Content:
Facts: Engineer D, a licensed professional engineer, works as the City Engineer in a mid-sized municipality that has been experiencing rapid growth along with rapid infrastructure growth. Engineer D has been one of the City's main points of contact for AE firms and contractors in the area, both with respect to contract negotiation and award (consultant and construction) and senior-level review of major project issues that arise from time to time. Engineer D announces plans to step down as the City Engineer and indicates that they accepted a position at an unnamed engineering firm in the City. Of significance is that the City does not include “revolving door” provisions in employment contracts for its senior-level employees. Shortly after Engineer D's announcement, Firm AE&R announces Engineer D as a newly hired associate. AE&R completed many projects for the City during Engineer D's tenure as City Engineer, and the firm plans to continue submitting proposals and performing consulting work for the City.
Principles Extraction
LLM Prompt
DUAL PRINCIPLE EXTRACTION - Ethical Principles Analysis
THEORETICAL CONTEXT (Chapter 2.2.2):
- Principles are ABSTRACT ethical foundations requiring extensional definition through cases
- They function like constitutional principles - open-textured and requiring interpretation
- Principles mediate moral ideals into concrete reality through context-specific application
- They cannot be applied deductively but require balancing and interpretation
EXISTING PRINCIPLE CLASSES IN ONTOLOGY:
- Competence Principle: Balances professional autonomy with recognition of limitations and need for collaboration.
- Confidentiality Principle: Must be balanced against public safety obligations and legal disclosure requirements.
- Domain-Specific Principle: Examples: Environmental Stewardship (engineering), Patient Autonomy (medicine), Academic Freedom (education). These address domain-specific ethical ch
- Environmental Stewardship Principle: Bridges engineering practice with broader environmental and societal responsibilities.
- Ethical Principle: Legacy synonym for Principle. Use :Principle for new concepts.
- Fundamental Ethical Principle: Examples: Public Welfare Paramount, Respect for Persons, Justice, Beneficence. These require extensive interpretation and balancing in specific contex
- Integrity Principle: Central to professional identity formation and trust maintenance in professional relationships.
- Principle: An information content entity representing ethical values and guidelines for conduct. This is the P component of the formal specification D=(R,P,O,S,R
- Principle Argument: An argument based on fundamental ethical principles or values.
- Principle Refinement: Capability to evolve principles as inconsistencies are resolved and new cases are added (GenEth system, Anderson & Anderson 2018)
- Professional Virtue Principle: Examples: Integrity, Competence, Honesty, Professional Courage, Accountability. These shape professional character and decision-making.
- Public Welfare Principle: Requires contextual interpretation to balance against client confidentiality and employer loyalty when public safety is at risk.
- Relational Principle: Examples: Confidentiality, Loyalty, Fairness, Transparency, Respect for Autonomy. These govern interpersonal professional dynamics.
- Transparency Principle: Essential for maintaining trust and enabling stakeholder participation in professional decisions.
=== TASK ===
From the following case text (facts section), extract information at TWO levels:
LEVEL 1 - NEW PRINCIPLE CLASSES: Identify ethical principles that appear to be NEW types not covered by existing classes above. Look for:
- Fundamental ethical values being invoked
- Abstract moral ideals guiding decisions
- Constitutional-like principles requiring interpretation
- Values that transcend specific rules or obligations
For each NEW principle class, provide:
- label: Clear principle name (e.g., "Environmental Stewardship", "Professional Autonomy")
- definition: What moral ideal this principle represents
- abstract_nature: The abstract ethical foundation (justice, welfare, autonomy, etc.)
- extensional_examples: Concrete cases/situations where this principle applies
- value_basis: Core moral value underlying the principle
- application_context: Professional domains or situations where relevant
- operationalization: How this abstract principle becomes concrete in practice
- balancing_requirements: What other principles it typically must be balanced against
- examples_from_case: How this principle appears in the case text
LEVEL 2 - PRINCIPLE INDIVIDUALS: Identify specific instances where principles are invoked or applied. For each instance:
- identifier: Unique identifier for this principle instance (e.g., "PublicSafety_Case8_Discussion")
- principle_class: Which principle class it instantiates (use existing classes when possible)
- concrete_expression: EXACT text showing how the principle is expressed
- invoked_by: Who invokes or appeals to this principle
- applied_to: What decision/situation/dilemma it applies to
- interpretation: How the principle is interpreted in this specific context
- balancing_with: Other principles that must be balanced against it
- tension_resolution: How conflicts between principles are resolved
- case_relevance: Why this principle matters in this specific case
IMPORTANT:
- Focus on ABSTRACT ethical foundations, not specific rules or procedures
- Principles are broader than obligations - they generate obligations in context
- Use EXACT quotes from case text where principles are expressed
- Distinguish between the abstract principle CLASS and its concrete APPLICATION
CASE TEXT:
Engineer D, a licensed professional engineer, works as the City Engineer in a mid-sized municipality that has been experiencing rapid growth along with rapid infrastructure growth. Engineer D has been one of the City's main points of contact for AE firms and contractors in the area, both with respect to contract negotiation and award (consultant and construction) and senior-level review of major project issues that arise from time to time.Engineer D announces plans to step down as the City Engineer and indicates that they accepted a position at an unnamed engineering firm in the City. Of significance is that the City does not include “revolving door” provisions in employment contracts for its senior-level employees.Shortly after Engineer D's announcement, Firm AE&R announces Engineer D as a newly hired associate. AE&R completed many projects for the City during Engineer D's tenure as City Engineer, and the firm plans to continue submitting proposals and performing consulting work for the City.
Respond with valid JSON in this format:
{
"new_principle_classes": [
{
"label": "Sustainable Development",
"definition": "Principle that engineering solutions must balance current needs with long-term environmental and societal impacts",
"abstract_nature": "Intergenerational justice and environmental stewardship",
"extensional_examples": ["Green building design", "Renewable energy projects", "Resource conservation"],
"value_basis": "Responsibility to future generations",
"application_context": ["Infrastructure projects", "Environmental engineering", "Urban planning"],
"operationalization": "Through environmental impact assessments, lifecycle analysis, sustainable design criteria",
"balancing_requirements": ["Economic feasibility", "Immediate safety needs", "Client requirements"],
"examples_from_case": ["Engineer considered long-term environmental impacts", "balanced immediate needs with sustainability"],
"source_text": "Engineer considered long-term environmental impacts and balanced immediate needs with sustainability"
}
],
"principle_individuals": [
{
"identifier": "PublicSafety_Case8_Facts",
"principle_class": "Public Safety",
"concrete_expression": "the safety of the public must be held paramount",
"invoked_by": ["Engineer L"],
"applied_to": ["stormwater management system design"],
"interpretation": "Safety considerations override cost savings in drainage design",
"source_text": "the safety of the public must be held paramount",
"balancing_with": ["Cost Efficiency", "Client Interests"],
"tension_resolution": "Safety takes precedence even if it increases project costs",
"case_relevance": "Critical for evaluating adequacy of proposed drainage solution"
}
]
}
Saved: 2025-12-20 13:52
LLM Response
```json
{
"new_principle_classes": [
{
"label": "Conflict of Interest Prevention",
"definition": "Principle requiring professionals to avoid situations where personal interests could compromise professional judgment or create appearance of impropriety",
"abstract_nature": "Impartiality and professional independence",
"extensional_examples": ["Post-employment restrictions", "Revolving door situations", "Vendor relationships", "Regulatory capture prevention"],
"value_basis": "Trust in professional objectivity and fairness",
"application_context": ["Government-to-private sector transitions", "Procurement decisions", "Contract negotiations", "Regulatory oversight"],
"operationalization": "Through cooling-off periods, disclosure requirements, recusal policies, employment restrictions",
"balancing_requirements": ["Freedom of employment", "Professional mobility", "Organizational knowledge retention"],
"examples_from_case": ["Engineer D moving from City Engineer to firm that contracts with the City", "absence of revolving door provisions"],
"source_text": "the City does not include 'revolving door' provisions in employment contracts for its senior-level employees"
},
{
"label": "Institutional Integrity",
"definition": "Principle that public institutions must maintain processes and structures that prevent corruption and ensure fair dealing",
"abstract_nature": "Procedural justice and institutional trust",
"extensional_examples": ["Competitive bidding processes", "Transparent procurement", "Arms-length negotiations", "Prevention of insider advantage"],
"value_basis": "Public trust in governmental fairness",
"application_context": ["Public procurement", "Government contracting", "Municipal engineering", "Public-private partnerships"],
"operationalization": "Through procurement policies, ethics rules, cooling-off periods, competitive bidding requirements",
"balancing_requirements": ["Efficiency", "Expertise retention", "Market competition"],
"examples_from_case": ["Contract negotiation and award processes", "senior-level review of major project issues"],
"source_text": "contract negotiation and award (consultant and construction) and senior-level review of major project issues"
}
],
"principle_individuals": [
{
"identifier": "ConflictOfInterest_EngineerD_Employment",
"principle_class": "Conflict of Interest Prevention",
"concrete_expression": "Engineer D announces plans to step down as the City Engineer and indicates that they accepted a position at an unnamed engineering firm in the City",
"invoked_by": ["Implicit in case presentation"],
"applied_to": ["Engineer D's career transition from public to private sector"],
"interpretation": "The principle is implicitly raised by the situation where a City Engineer moves to a firm that has done and will continue doing business with the City",
"source_text": "Engineer D announces plans to step down as the City Engineer and indicates that they accepted a position at an unnamed engineering firm in the City",
"balancing_with": ["Professional mobility", "Freedom of employment"],
"tension_resolution": "Currently unresolved due to absence of revolving door provisions",
"case_relevance": "Central ethical issue regarding potential for unfair advantage or appearance of impropriety"
},
{
"identifier": "Transparency_EngineerD_Disclosure",
"principle_class": "Transparency Principle",
"concrete_expression": "accepted a position at an unnamed engineering firm in the City",
"invoked_by": ["Engineer D"],
"applied_to": ["Employment transition disclosure"],
"interpretation": "Limited transparency shown by not initially naming the firm, though later revealed",
"source_text": "accepted a position at an unnamed engineering firm in the City",
"balancing_with": ["Privacy", "Professional discretion"],
"tension_resolution": "Partial disclosure initially, full disclosure eventually",
"case_relevance": "Relates to openness about potential conflicts of interest"
},
{
"identifier": "InstitutionalIntegrity_City_Contracts",
"principle_class": "Institutional Integrity",
"concrete_expression": "AE&R completed many projects for the City during Engineer D's tenure as City Engineer, and the firm plans to continue submitting proposals and performing consulting work for the City",
"invoked_by": ["Implicit in case facts"],
"applied_to": ["Future contracting relationships between City and AE&R"],
"interpretation": "The integrity of the City's contracting process is potentially compromised by the employment transition",
"source_text": "AE&R completed many projects for the City during Engineer D's tenure as City Engineer, and the firm plans to continue submitting proposals and performing consulting work for the City",
"balancing_with": ["Business continuity", "Expertise utilization"],
"tension_resolution": "Unresolved - no revolving door provisions in place",
"case_relevance": "Raises questions about fairness of future procurement processes"
}
]
}
```
Obligations Extraction
LLM Prompt
You are an expert in professional ethics analyzing a case for obligations (professional duties and requirements).
Based on the literature:
- Obligations are CONCRETE PROFESSIONAL DUTIES derived from abstract principles (Hallamaa & Kalliokoski 2022)
- They specify what professionals MUST, SHOULD, or MUST NOT do (Dennis et al. 2016)
- Obligations have deontic force and are enforceable (Wooldridge & Jennings 1995)
- They operationalize principles in specific contexts (Kong et al. 2020)
Your task is to:
1. Identify NEW OBLIGATION CLASSES not in the existing ontology
2. Extract SPECIFIC OBLIGATION INDIVIDUALS from the case
EXISTING OBLIGATIONS IN ONTOLOGY (check if your identified obligations match these before creating new classes):
- Attribution Obligation: Duty to properly cite and acknowledge all sources, tools, and methods used in creating professional deliverables
- Collegial Obligation: Duties toward professional peers including respect, fairness, and credit for work
- Competence Obligation: Requirement to perform services only in areas of competence (NSPE II.2)
- Conditional Obligation: Obligations that apply only when specific conditions are met
- Confidentiality Obligation: Duty to protect confidential information of clients or employers (NSPE III.4)
- Defeasible Obligation: Obligations that admit justified exceptions under specified conditions (Ganascia 2007)
- Disclosure Obligation: Requirement to inform stakeholders about conflicts, limitations, or risks (NSPE II.3.a)
- Ethical Obligation: Obligations arising from ethical principles beyond legal requirements
- Legal Obligation: Obligations arising from legal requirements and regulations
- Mandatory Obligation: Obligations that MUST be fulfilled (deontic force: mandatory)
- Obligation: An information content entity expressing required actions or behaviors in professional contexts. This is the O component of the formal specification D=(R,P,O,S,Rs,A,E,Ca,Cs).
- Prima Facie Obligation: Obligations that hold at first appearance but may be overridden by stronger duties (Anderson & Anderson)
- Professional Obligation: A duty or responsibility arising from professional role or standards
- Quality Assurance Obligation: Requirement to implement appropriate review and verification processes for all professional deliverables before submission
- Reporting Obligation: Duty to report violations or unsafe conditions to appropriate authorities
- Responsible Charge Obligation: Duty to maintain active engagement and personal decision-making authority throughout engineering process from conception to completion
- Safety Obligation: Duty to hold paramount the safety, health, and welfare of the public (NSPE I.1)
- Technology Competence Obligation: Requirement to understand and verify the capabilities, limitations, and risks of technological tools used in professional practice
- Technology Verification Obligation: Requirement to thoroughly verify and validate outputs from technological tools including AI before incorporating them into professional work
Analyze this facts section:
Engineer D, a licensed professional engineer, works as the City Engineer in a mid-sized municipality that has been experiencing rapid growth along with rapid infrastructure growth. Engineer D has been one of the City's main points of contact for AE firms and contractors in the area, both with respect to contract negotiation and award (consultant and construction) and senior-level review of major project issues that arise from time to time.Engineer D announces plans to step down as the City Engineer and indicates that they accepted a position at an unnamed engineering firm in the City. Of significance is that the City does not include “revolving door” provisions in employment contracts for its senior-level employees.Shortly after Engineer D's announcement, Firm AE&R announces Engineer D as a newly hired associate. AE&R completed many projects for the City during Engineer D's tenure as City Engineer, and the firm plans to continue submitting proposals and performing consulting work for the City.
Extract obligations following this JSON structure:
{
"new_obligation_classes": [
{
"label": "Clear, specific obligation class name",
"definition": "What this type of obligation requires professionals to do",
"derived_from_principle": "Which principle this operationalizes (e.g., 'Public Safety', 'Honesty')",
"duty_type": "professional|legal|ethical|societal",
"enforcement_mechanism": "How this obligation is typically enforced",
"violation_consequences": "What happens when this obligation is violated",
"examples_from_case": ["Example 1 from the case", "Example 2"],
"source_text": "EXACT text snippet from case where this obligation is identified (max 200 characters)",
"confidence": 0.0-1.0,
"reasoning": "Why this is a new class not in existing ontology"
}
],
"obligation_individuals": [
{
"identifier": "Unique name for this specific obligation instance",
"obligation_class": "Name of the obligation class (new or existing)",
"obligated_party": "Who has this obligation (e.g., 'Engineer L', 'All Licensed PEs')",
"obligation_statement": "The specific duty statement (e.g., 'Report safety risks to authorities')",
"derived_from": "Source principle or law (e.g., 'NSPE Code', 'State Law')",
"enforcement_context": "How enforced in this case",
"temporal_scope": "When this obligation applies",
"compliance_status": "met|unmet|unclear|pending",
"case_context": "How this obligation manifests in the specific case",
"source_text": "EXACT text snippet from case where this obligation is mentioned (max 200 characters)",
"is_existing_class": true/false,
"confidence": 0.0-1.0
}
]
}
Focus on:
1. NEW obligation types that represent novel professional duties
2. Specific obligation instances showing how duties apply in this case
3. The relationship between obligations and the principles they operationalize
4. Enforcement mechanisms and compliance status
Return ONLY the JSON structure, no additional text.
Saved: 2025-12-20 13:52
LLM Response
```json
{
"new_obligation_classes": [
{
"label": "Post-Employment Restriction Obligation",
"definition": "Duty to avoid conflicts of interest and maintain appropriate boundaries when transitioning from public service to private sector employment",
"derived_from_principle": "Integrity and Impartiality",
"duty_type": "ethical",
"enforcement_mechanism": "Employment contracts, ethics policies, professional codes",
"violation_consequences": "Loss of professional credibility, potential legal action, damage to public trust",
"examples_from_case": ["Engineer D moving from City Engineer to private firm that contracts with the City"],
"source_text": "Engineer D announces plans to step down as the City Engineer and indicates that they accepted a position at an unnamed engineering firm",
"confidence": 0.85,
"reasoning": "This represents a specific type of conflict of interest obligation related to employment transitions not covered by existing Disclosure or Professional Obligation classes"
},
{
"label": "Public Trust Obligation",
"definition": "Duty of public sector professionals to maintain the integrity of public office and avoid actions that could undermine public confidence",
"derived_from_principle": "Public Trust and Integrity",
"duty_type": "professional",
"enforcement_mechanism": "Ethics boards, public employment policies, professional standards",
"violation_consequences": "Loss of public confidence, potential investigation, professional sanctions",
"examples_from_case": ["City Engineer's duty to maintain impartiality in contractor relationships"],
"source_text": "Engineer D has been one of the City's main points of contact for AE firms and contractors in the area",
"confidence": 0.80,
"reasoning": "Distinct from Safety Obligation as it focuses on maintaining public trust in government processes rather than physical safety"
}
],
"obligation_individuals": [
{
"identifier": "EngineerD_Disclosure_PostEmployment",
"obligation_class": "Disclosure Obligation",
"obligated_party": "Engineer D",
"obligation_statement": "Disclose potential conflicts of interest arising from accepting position at firm doing business with the City",
"derived_from": "NSPE Code II.3.a",
"enforcement_context": "Professional ethics review",
"temporal_scope": "At time of accepting new position",
"compliance_status": "unclear",
"case_context": "Engineer D initially announced position at 'unnamed' firm, later revealed as AE&R",
"source_text": "Engineer D announces plans to step down...accepted a position at an unnamed engineering firm in the City",
"is_existing_class": true,
"confidence": 0.90
},
{
"identifier": "EngineerD_PostEmployment_Restrictions",
"obligation_class": "Post-Employment Restriction Obligation",
"obligated_party": "Engineer D",
"obligation_statement": "Avoid using insider knowledge or relationships from City Engineer role to benefit new employer AE&R",
"derived_from": "Professional Ethics Standards",
"enforcement_context": "No formal enforcement mechanism noted ('revolving door' provisions absent)",
"temporal_scope": "Post-employment period",
"compliance_status": "pending",
"case_context": "Moving to firm that has ongoing business relationship with the City",
"source_text": "the City does not include 'revolving door' provisions in employment contracts for its senior-level employees",
"is_existing_class": false,
"confidence": 0.85
},
{
"identifier": "EngineerD_PublicTrust_CityEngineer",
"obligation_class": "Public Trust Obligation",
"obligated_party": "Engineer D",
"obligation_statement": "Maintain impartiality and avoid favoritism in contract negotiations and awards during tenure as City Engineer",
"derived_from": "Public Service Ethics",
"enforcement_context": "Municipal employment standards",
"temporal_scope": "During tenure as City Engineer",
"compliance_status": "unclear",
"case_context": "Main point of contact for AE&R and other firms during City Engineer tenure",
"source_text": "Engineer D has been one of the City's main points of contact for AE firms and contractors...contract negotiation and award",
"is_existing_class": false,
"confidence": 0.75
},
{
"identifier": "AE&R_Professional_Conduct",
"obligation_class": "Professional Obligation",
"obligated_party": "Firm AE&R",
"obligation_statement": "Ensure hiring of former City Engineer does not create unfair competitive advantage or compromise integrity of public contracting",
"derived_from": "Professional Standards",
"enforcement_context": "Industry standards and municipal contracting rules",
"temporal_scope": "Ongoing after hiring Engineer D",
"compliance_status": "pending",
"case_context": "Firm plans to continue submitting proposals to the City after hiring former City Engineer",
"source_text": "the firm plans to continue submitting proposals and performing consulting work for the City",
"is_existing_class": true,
"confidence": 0.80
}
]
}
```
Constraints Extraction
LLM Prompt
You are an expert in professional ethics analyzing a case for constraints (boundaries, limitations, and restrictions).
Based on the literature:
- Constraints are INVIOLABLE BOUNDARIES that limit acceptable actions (Dennis et al. 2016)
- They differ from obligations by being restrictions rather than requirements
- Constraints can be legal, physical, resource-based, or procedural
- They define the space within which ethical decisions must be made
Your task is to:
1. Identify NEW CONSTRAINT CLASSES not in the existing ontology
2. Extract SPECIFIC CONSTRAINT INDIVIDUALS from the case
EXISTING CONSTRAINTS IN ONTOLOGY (check if your identified constraints match these before creating new classes):
- Attribution Constraint: Requirements and limitations regarding the disclosure and citation of tools, methods, or sources used in professional work products
- Competence Constraint: Boundaries defined by agent capabilities and technical limitations (Hallamaa & Kalliokoski 2022)
- Confidentiality Constraint: Boundaries on information disclosure and privacy (Dennis et al. 2016)
- Constraint: An information content entity expressing limitations or restrictions on professional actions or decisions. This is the Cs component of the formal specification D=(R,P,O,S,Rs,A,E,Ca,Cs).
- Defeasible Constraint: Constraints that admit justified exceptions under specified conditions (Ganascia 2007)
- Ethical Constraint: Professional ethical boundaries beyond legal requirements (Benzmüller et al. 2020)
- Inviolable Constraint: Absolute constraints that cannot be overridden under any circumstances (Dennis et al. 2016)
- Jurisdictional Constraint: Boundaries of authority and geographical or organizational scope (Dennis et al. 2016)
- Legal Constraint: Constraints arising from legal requirements and statutes that establish inviolable boundaries (Kroll 2020, Stenseke 2024)
- Priority Constraint: Constraints establishing precedence when multiple requirements conflict (Scheutz & Malle 2014)
- Procedural Constraint: Requirements for following specific processes or protocols (Furbach et al. 2014)
- Regulatory Constraint: Constraints from regulatory bodies and professional standards organizations (Taddeo et al. 2024)
- Resource Constraint: Limitations on available time, budget, materials, or human resources (Ganascia 2007)
- Safety Constraint: Constraints ensuring safety requirements are met (Arkin 2008)
- Technology Substitution Constraint: Boundaries preventing technology from replacing professional judgment and human oversight in critical decision-making
Analyze this facts section:
Engineer D, a licensed professional engineer, works as the City Engineer in a mid-sized municipality that has been experiencing rapid growth along with rapid infrastructure growth. Engineer D has been one of the City's main points of contact for AE firms and contractors in the area, both with respect to contract negotiation and award (consultant and construction) and senior-level review of major project issues that arise from time to time.Engineer D announces plans to step down as the City Engineer and indicates that they accepted a position at an unnamed engineering firm in the City. Of significance is that the City does not include “revolving door” provisions in employment contracts for its senior-level employees.Shortly after Engineer D's announcement, Firm AE&R announces Engineer D as a newly hired associate. AE&R completed many projects for the City during Engineer D's tenure as City Engineer, and the firm plans to continue submitting proposals and performing consulting work for the City.
Extract constraints following this JSON structure:
{
"new_constraint_classes": [
{
"label": "Clear, specific constraint class name",
"definition": "What this type of constraint limits or restricts",
"constraint_type": "legal|physical|resource|temporal|procedural",
"flexibility": "hard|soft|negotiable",
"violation_impact": "What happens if this constraint is violated",
"mitigation_possible": "Whether and how this constraint can be mitigated",
"examples_from_case": ["Example 1 from the case", "Example 2"],
"source_text": "EXACT text snippet from case where this constraint is identified (max 200 characters)",
"confidence": 0.0-1.0,
"reasoning": "Why this is a new class not in existing ontology"
}
],
"constraint_individuals": [
{
"identifier": "Unique name for this specific constraint instance",
"constraint_class": "Name of the constraint class (new or existing)",
"constrained_entity": "What or who is constrained (e.g., 'Engineer L', 'Project')",
"constraint_statement": "The specific limitation (e.g., 'Cannot exceed budget of $X')",
"source": "Origin of constraint (e.g., 'Client budget', 'Environmental law')",
"enforcement_mechanism": "How this constraint is enforced",
"temporal_scope": "When this constraint applies",
"severity": "critical|major|minor",
"case_context": "How this constraint manifests in the specific case",
"source_text": "EXACT text snippet from case where this constraint is mentioned (max 200 characters)",
"is_existing_class": true/false,
"confidence": 0.0-1.0
}
]
}
Focus on:
1. NEW constraint types that represent novel limitations or boundaries
2. Specific constraint instances showing how limitations apply in this case
3. The difference between constraints (boundaries) and obligations (duties)
4. Impact and severity of constraints on decision-making
Return ONLY the JSON structure, no additional text.
Saved: 2025-12-20 13:53
LLM Response
```json
{
"new_constraint_classes": [
{
"label": "Post-Employment Restriction Constraint",
"definition": "Limitations on professional activities after leaving a position, including cooling-off periods and conflict of interest restrictions",
"constraint_type": "procedural",
"flexibility": "negotiable",
"violation_impact": "Potential conflicts of interest, unfair competitive advantage, erosion of public trust",
"mitigation_possible": "Can be mitigated through contractual provisions, disclosure requirements, or recusal from specific matters",
"examples_from_case": ["Absence of revolving door provisions", "Movement from public to private sector"],
"source_text": "the City does not include \"revolving door\" provisions in employment contracts for its senior-level employees",
"confidence": 0.9,
"reasoning": "This represents a specific type of temporal and procedural constraint on post-employment activities not covered by existing constraint classes"
},
{
"label": "Institutional Knowledge Transfer Constraint",
"definition": "Boundaries on the use and transfer of institutional knowledge, relationships, and insider information gained during employment",
"constraint_type": "procedural",
"flexibility": "soft",
"violation_impact": "Unfair competitive advantage, breach of implicit trust, potential ethical violations",
"mitigation_possible": "Through information barriers, time delays, or scope limitations on new role",
"examples_from_case": ["Engineer D's knowledge of City processes", "Existing relationships with contractors"],
"source_text": "Engineer D has been one of the City's main points of contact for AE firms and contractors in the area",
"confidence": 0.85,
"reasoning": "Distinct from confidentiality constraints as it involves legitimate but sensitive knowledge about processes and relationships"
}
],
"constraint_individuals": [
{
"identifier": "No_Revolving_Door_Policy",
"constraint_class": "Post-Employment Restriction Constraint",
"constrained_entity": "Engineer D",
"constraint_statement": "No contractual limitations on post-employment activities with firms doing business with the City",
"source": "City employment contract terms",
"enforcement_mechanism": "None - explicitly absent",
"temporal_scope": "Post-employment period",
"severity": "major",
"case_context": "Engineer D free to join AE&R immediately after leaving City position",
"source_text": "the City does not include \"revolving door\" provisions in employment contracts",
"is_existing_class": false,
"confidence": 0.95
},
{
"identifier": "Prior_Business_Relationship_Boundary",
"constraint_class": "Institutional Knowledge Transfer Constraint",
"constrained_entity": "Engineer D",
"constraint_statement": "Must not leverage insider knowledge of City processes and relationships for unfair advantage",
"source": "Professional ethics standards",
"enforcement_mechanism": "Professional ethics review and potential sanctions",
"temporal_scope": "Ongoing after employment transition",
"severity": "major",
"case_context": "Engineer D joining firm that has ongoing business with the City",
"source_text": "AE&R completed many projects for the City during Engineer D's tenure as City Engineer",
"is_existing_class": false,
"confidence": 0.8
},
{
"identifier": "Public_Trust_Boundary",
"constraint_class": "Ethical Constraint",
"constrained_entity": "Engineer D",
"constraint_statement": "Must maintain public trust and avoid appearance of impropriety in career transition",
"source": "Professional engineering ethics codes",
"enforcement_mechanism": "Professional licensing board review",
"temporal_scope": "During and after employment transition",
"severity": "critical",
"case_context": "Moving from public sector oversight role to private firm previously overseen",
"source_text": "Engineer D has been one of the City's main points of contact for AE firms and contractors",
"is_existing_class": true,
"confidence": 0.9
},
{
"identifier": "Future_Proposal_Participation_Limit",
"constraint_class": "Jurisdictional Constraint",
"constrained_entity": "Engineer D at AE&R",
"constraint_statement": "Potential limitations on participating in proposals to the City due to prior role",
"source": "Professional ethics and potential legal requirements",
"enforcement_mechanism": "City procurement rules and professional standards",
"temporal_scope": "Future proposals and projects with the City",
"severity": "major",
"case_context": "AE&R plans to continue submitting proposals to the City",
"source_text": "the firm plans to continue submitting proposals and performing consulting work for the City",
"is_existing_class": true,
"confidence": 0.75
}
]
}
```
Capabilities Extraction
LLM Prompt
You are an expert in professional ethics analyzing a case for capabilities (competencies and skills required for professional practice).
Based on the literature:
- Capabilities are COMPETENCIES that enable norm compliance (Hallamaa & Kalliokoski 2022)
- They represent the skills needed to fulfill professional obligations (Dennis et al. 2016)
- Capabilities include technical, ethical, communicative, and analytical competencies
- They constitute "norm competence" - the ability to act ethically (Kong et al. 2020)
Your task is to:
1. Identify NEW CAPABILITY CLASSES not in the existing ontology
2. Extract SPECIFIC CAPABILITY INDIVIDUALS from the case
EXISTING CAPABILITIES IN ONTOLOGY (check if your identified capabilities match these before creating new classes):
- AI Tool Evaluation Capability: The competency to assess, validate, and appropriately use AI-generated content in professional work
- Capability: A realizable entity that can be realized by specific types of actions or processes in professional contexts. This is the Ca component of the formal specification D=(R,P,O,S,Rs,A,E,Ca,Cs).
- Capability Type: Meta-class for specific capability types recognized by the ProEthica system
- Data Privacy Protection Capability: The competency to safeguard confidential client information when using digital tools and platforms
- Justification Capability: Capability to trace reasoning paths connecting decisions to authoritative sources (McLaren 2003, Anderson & Anderson 2018)
- Regulatory Compliance Capability: The competency to ensure designs and documents meet local regulations and safety standards
- Responsible Charge Capability: The competency to maintain active engagement and supervisory control from conception to completion of engineering work
- Technical Capability: A specialized technical skill or competency in a professional domain
- Technical Writing Capability: The competency to produce clear, accurate, and professional technical documentation and reports
- Technology Integration Capability: The competency to appropriately integrate new technologies while maintaining professional judgment
Analyze this facts section:
Engineer D, a licensed professional engineer, works as the City Engineer in a mid-sized municipality that has been experiencing rapid growth along with rapid infrastructure growth. Engineer D has been one of the City's main points of contact for AE firms and contractors in the area, both with respect to contract negotiation and award (consultant and construction) and senior-level review of major project issues that arise from time to time.Engineer D announces plans to step down as the City Engineer and indicates that they accepted a position at an unnamed engineering firm in the City. Of significance is that the City does not include “revolving door” provisions in employment contracts for its senior-level employees.Shortly after Engineer D's announcement, Firm AE&R announces Engineer D as a newly hired associate. AE&R completed many projects for the City during Engineer D's tenure as City Engineer, and the firm plans to continue submitting proposals and performing consulting work for the City.
Extract capabilities following this JSON structure:
{
"new_capability_classes": [
{
"label": "Clear, specific capability class name",
"definition": "What competency or skill this capability represents",
"capability_type": "technical|ethical|communicative|analytical",
"norm_competence_related": "Which professional obligations this capability enables",
"skill_level": "basic|intermediate|advanced|expert",
"acquisition_method": "How this capability is typically acquired (education, training, experience)",
"examples_from_case": ["Example 1 from the case", "Example 2"],
"source_text": "EXACT text snippet from case where this capability is identified (max 200 characters)",
"confidence": 0.0-1.0,
"reasoning": "Why this is a new class not in existing ontology"
}
],
"capability_individuals": [
{
"identifier": "Unique name for this specific capability instance",
"capability_class": "Name of the capability class (new or existing)",
"possessed_by": "Who has this capability (e.g., 'Engineer L', 'All Licensed PEs')",
"capability_statement": "The specific competency (e.g., 'Design stormwater systems')",
"demonstrated_through": "How shown in the case (e.g., 'Years of experience', 'Professional license')",
"proficiency_level": "basic|intermediate|advanced|expert",
"enables_obligations": "Which obligations this capability enables",
"temporal_aspect": "When this capability is relevant",
"case_context": "How this capability manifests in the specific case",
"source_text": "EXACT text snippet from case where this capability is mentioned (max 200 characters)",
"is_existing_class": true/false,
"confidence": 0.0-1.0
}
]
}
Focus on:
1. NEW capability types that represent novel competencies
2. Specific capability instances showing professional competencies in this case
3. The relationship between capabilities and norm competence
4. How capabilities enable fulfillment of professional obligations
Return ONLY the JSON structure, no additional text.
Saved: 2025-12-20 13:53
LLM Response
```json
{
"new_capability_classes": [
{
"label": "Conflict of Interest Management Capability",
"definition": "The competency to identify, disclose, and appropriately manage potential conflicts of interest when transitioning between public and private sector roles",
"capability_type": "ethical",
"norm_competence_related": "Enables compliance with professional integrity standards and public trust obligations",
"skill_level": "advanced",
"acquisition_method": "Professional ethics training, experience in public/private sector transitions, legal education",
"examples_from_case": ["Managing transition from City Engineer to private firm", "Navigating relationships with former municipal employer"],
"source_text": "Engineer D announces plans to step down as the City Engineer and indicates that they accepted a position at an unnamed engineering firm",
"confidence": 0.9,
"reasoning": "Not covered by existing capabilities - specific to managing professional transitions and potential conflicts between public service and private practice"
},
{
"label": "Public Procurement Navigation Capability",
"definition": "The competency to understand and appropriately engage with public procurement processes, including contract negotiation and award procedures",
"capability_type": "analytical",
"norm_competence_related": "Enables fair and transparent public contracting processes while maintaining professional boundaries",
"skill_level": "expert",
"acquisition_method": "Experience in municipal government, training in public procurement law, contract management education",
"examples_from_case": ["Contract negotiation and award for consultants", "Contract negotiation and award for construction"],
"source_text": "main points of contact for AE firms and contractors in the area, both with respect to contract negotiation and award",
"confidence": 0.85,
"reasoning": "Distinct from general regulatory compliance - specifically about public procurement expertise not in existing ontology"
}
],
"capability_individuals": [
{
"identifier": "EngineerD_ConflictManagement",
"capability_class": "Conflict of Interest Management Capability",
"possessed_by": "Engineer D",
"capability_statement": "Manage professional transition from public to private sector while maintaining ethical boundaries",
"demonstrated_through": "Announcement of position change and transition planning",
"proficiency_level": "intermediate",
"enables_obligations": "Professional integrity and avoiding appearance of impropriety",
"temporal_aspect": "During and after transition from City Engineer role",
"case_context": "Moving from City Engineer to AE&R firm that has ongoing city contracts",
"source_text": "Engineer D announces plans to step down as the City Engineer and indicates that they accepted a position at an unnamed engineering firm",
"is_existing_class": false,
"confidence": 0.85
},
{
"identifier": "EngineerD_ProcurementExpertise",
"capability_class": "Public Procurement Navigation Capability",
"possessed_by": "Engineer D",
"capability_statement": "Navigate municipal contract negotiation and award processes for consulting and construction services",
"demonstrated_through": "Role as main point of contact for contractors and AE firms",
"proficiency_level": "expert",
"enables_obligations": "Fair and transparent public contracting processes",
"temporal_aspect": "During tenure as City Engineer",
"case_context": "Managing procurement relationships with firms including AE&R",
"source_text": "main points of contact for AE firms and contractors in the area, both with respect to contract negotiation and award",
"is_existing_class": false,
"confidence": 0.9
},
{
"identifier": "EngineerD_TechnicalOversight",
"capability_class": "Responsible Charge Capability",
"possessed_by": "Engineer D",
"capability_statement": "Provide senior-level review and oversight of major infrastructure projects",
"demonstrated_through": "Position as City Engineer with review responsibilities",
"proficiency_level": "expert",
"enables_obligations": "Public safety and infrastructure integrity",
"temporal_aspect": "During tenure as City Engineer",
"case_context": "Senior review of major project issues for rapidly growing municipality",
"source_text": "senior-level review of major project issues that arise from time to time",
"is_existing_class": true,
"confidence": 0.95
}
]
}
```