Step 2: Normative Requirements Pass (Facts Section)
Extract principles, obligations, constraints, and capabilities from the facts section
Excess Stormwater Runoff
Step 2 of 5
Facts Section
Section Content:
Facts: A new subdivision is planned in City C, located in State Q. Developer G retains Firm BWJ (an engineering and surveying firm), under the direction of Principal Engineer R, to develop plans for the subdivision. The plans were administratively reviewed for conformance with City C policy and approved by City Engineer J and are released for bidding and construction. City Engineer J was formerly a principal at Firm BWJ. City C’s subdivision regulations require that post-development 25-year recurrence interval peak stormwater flows must be equal to or less than pre-development conditions. After the subdivision is completed, properties in the vicinity of the subdivision experience flooding. Property owners complain that the flooding damage caused water damage to their homes, and because of these complaints, City C engaged a third-party engineering firm (IBM) to review the subdivision design. Property owners also complain that City Engineer J is ethically compromised because of his former employment with Firm BWJ. After performing independent modeling and analysis, Firm IBM found storm runoff flows to be substantially larger for the 25-year, two-hour storm event after the subdivision was completed. One of the complaining property owner's driveway culverts was determined to have insufficient capacity for a 25-year storm event. Construction of extensive paved areas and a large outbuilding by one of the property owners was also determined to have exacerbated flooding potential.
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:
A new subdivision is planned in City C, located in State Q. Developer G retains Firm BWJ (an engineering and surveying firm), under the direction of Principal Engineer R, to develop plans for the subdivision. The plans were administratively reviewed for conformance with City C policy and approved by City Engineer J and are released for bidding and construction. City Engineer J was formerly a principal at Firm BWJ.City C’s subdivision regulations require that post-development 25-year recurrence interval peak stormwater flows must be equal to or less than pre-development conditions.After the subdivision is completed, properties in the vicinity of the subdivision experience flooding. Property owners complain that the flooding damage caused water damage to their homes, and because of these complaints, City C engaged a third-party engineering firm (IBM) to review the subdivision design. Property owners also complain that City Engineer J is ethically compromised because of his former employment with Firm BWJ.After performing independent modeling and analysis, Firm IBM found storm runoff flows to be substantially larger for the 25-year, two-hour storm event after the subdivision was completed. One of the complaining property owner's driveway culverts was determined to have insufficient capacity for a 25-year storm event. Construction of extensive paved areas and a large outbuilding by one of the property owners was also determined to have exacerbated flooding potential.
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 17:15
LLM Response
```json
{
"new_principle_classes": [
{
"label": "Regulatory Compliance Principle",
"definition": "Principle that professional work must meet or exceed established regulatory standards and requirements",
"abstract_nature": "Rule of law and professional standards adherence",
"extensional_examples": ["Meeting building codes", "Following environmental regulations", "Adhering to safety standards"],
"value_basis": "Respect for legal authority and collective safety standards",
"application_context": ["Engineering design", "Construction projects", "Urban development"],
"operationalization": "Through design reviews, compliance checks, and administrative approvals",
"balancing_requirements": ["Cost efficiency", "Innovation", "Client preferences"],
"examples_from_case": ["City C's subdivision regulations require post-development peak flows equal to or less than pre-development", "Plans administratively reviewed for conformance"],
"source_text": "City C's subdivision regulations require that post-development 25-year recurrence interval peak stormwater flows must be equal to or less than pre-development conditions"
},
{
"label": "Independent Verification Principle",
"definition": "Principle that critical engineering work should be subject to independent review and verification to ensure accuracy and safety",
"abstract_nature": "Epistemic responsibility and quality assurance",
"extensional_examples": ["Third-party reviews", "Peer review processes", "Independent testing"],
"value_basis": "Truth-seeking and error prevention",
"application_context": ["Complex engineering projects", "Safety-critical systems", "Dispute resolution"],
"operationalization": "Through third-party engineering reviews, independent modeling, and external analysis",
"balancing_requirements": ["Cost of verification", "Time constraints", "Professional autonomy"],
"examples_from_case": ["City C engaged third-party Firm IBM to review", "IBM performed independent modeling and analysis"],
"source_text": "City C engaged a third-party engineering firm (IBM) to review the subdivision design"
}
],
"principle_individuals": [
{
"identifier": "RegulatoryCompliance_Stormwater_Case",
"principle_class": "Regulatory Compliance Principle",
"concrete_expression": "City C's subdivision regulations require that post-development 25-year recurrence interval peak stormwater flows must be equal to or less than pre-development conditions",
"invoked_by": ["City C"],
"applied_to": ["Subdivision development plans by Firm BWJ"],
"interpretation": "Engineering designs must ensure stormwater management meets specific quantitative standards",
"source_text": "City C's subdivision regulations require that post-development 25-year recurrence interval peak stormwater flows must be equal to or less than pre-development conditions",
"balancing_with": ["Development interests", "Cost considerations"],
"tension_resolution": "Regulatory requirement is non-negotiable baseline",
"case_relevance": "Central to determining whether BWJ's design was adequate"
},
{
"identifier": "ConflictOfInterest_CityEngineer_Case",
"principle_class": "Integrity Principle",
"concrete_expression": "Property owners also complain that City Engineer J is ethically compromised because of his former employment with Firm BWJ",
"invoked_by": ["Property owners"],
"applied_to": ["City Engineer J's review and approval of BWJ plans"],
"interpretation": "Former professional relationships may compromise impartial judgment",
"source_text": "Property owners also complain that City Engineer J is ethically compromised because of his former employment with Firm BWJ",
"balancing_with": ["Professional expertise", "Administrative efficiency"],
"tension_resolution": "Unresolved in case facts - led to third-party review",
"case_relevance": "Questions the validity of initial approval process"
},
{
"identifier": "IndependentVerification_IBM_Review",
"principle_class": "Independent Verification Principle",
"concrete_expression": "City C engaged a third-party engineering firm (IBM) to review the subdivision design",
"invoked_by": ["City C"],
"applied_to": ["Subdivision design verification after flooding complaints"],
"interpretation": "Independent review necessary to resolve disputes and verify compliance",
"source_text": "City C engaged a third-party engineering firm (IBM) to review the subdivision design",
"balancing_with": ["Cost of additional review", "Time delays"],
"tension_resolution": "Independent verification prioritized due to safety concerns and conflict questions",
"case_relevance": "Provides objective assessment of design adequacy"
},
{
"identifier": "PublicWelfare_FloodingPrevention_Case",
"principle_class": "Public Welfare Principle",
"concrete_expression": "properties in the vicinity of the subdivision experience flooding",
"invoked_by": ["Property owners through complaints"],
"applied_to": ["Evaluation of subdivision's impact on surrounding properties"],
"interpretation": "Engineering work must protect public from harm including flooding",
"source_text": "properties in the vicinity of the subdivision experience flooding",
"balancing_with": ["Development rights", "Economic interests"],
"tension_resolution": "Flooding harm triggers investigation and review",
"case_relevance": "Fundamental issue driving the entire case investigation"
}
]
}
```
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:
A new subdivision is planned in City C, located in State Q. Developer G retains Firm BWJ (an engineering and surveying firm), under the direction of Principal Engineer R, to develop plans for the subdivision. The plans were administratively reviewed for conformance with City C policy and approved by City Engineer J and are released for bidding and construction. City Engineer J was formerly a principal at Firm BWJ.City C’s subdivision regulations require that post-development 25-year recurrence interval peak stormwater flows must be equal to or less than pre-development conditions.After the subdivision is completed, properties in the vicinity of the subdivision experience flooding. Property owners complain that the flooding damage caused water damage to their homes, and because of these complaints, City C engaged a third-party engineering firm (IBM) to review the subdivision design. Property owners also complain that City Engineer J is ethically compromised because of his former employment with Firm BWJ.After performing independent modeling and analysis, Firm IBM found storm runoff flows to be substantially larger for the 25-year, two-hour storm event after the subdivision was completed. One of the complaining property owner's driveway culverts was determined to have insufficient capacity for a 25-year storm event. Construction of extensive paved areas and a large outbuilding by one of the property owners was also determined to have exacerbated flooding potential.
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 17:16
LLM Response
```json
{
"new_obligation_classes": [
{
"label": "Regulatory Compliance Obligation",
"definition": "Duty to ensure that all professional work meets applicable regulatory requirements and standards set by governing authorities",
"derived_from_principle": "Public Welfare and Legal Compliance",
"duty_type": "legal",
"enforcement_mechanism": "Regulatory review, administrative approval processes, and potential legal action",
"violation_consequences": "Project rejection, legal liability, professional sanctions, public harm",
"examples_from_case": ["Compliance with City C's subdivision regulations", "Meeting 25-year storm recurrence requirements"],
"source_text": "City C's subdivision regulations require that post-development 25-year recurrence interval peak stormwater flows must be equal to or less than pre-development conditions",
"confidence": 0.9,
"reasoning": "While Legal Obligation exists, this specifically addresses regulatory compliance requirements that are distinct from general legal duties"
},
{
"label": "Independent Review Obligation",
"definition": "Duty to maintain objectivity and independence when reviewing work, especially when prior professional relationships exist",
"derived_from_principle": "Objectivity and Impartiality",
"duty_type": "ethical",
"enforcement_mechanism": "Ethics review boards, conflict of interest policies, public scrutiny",
"violation_consequences": "Loss of public trust, ethics violations, potential legal challenges",
"examples_from_case": ["City Engineer J reviewing work from former firm"],
"source_text": "Property owners also complain that City Engineer J is ethically compromised because of his former employment with Firm BWJ",
"confidence": 0.85,
"reasoning": "Addresses specific duty of independence in review processes, beyond general conflict disclosure"
}
],
"obligation_individuals": [
{
"identifier": "BWJ_Stormwater_Compliance",
"obligation_class": "Regulatory Compliance Obligation",
"obligated_party": "Firm BWJ and Principal Engineer R",
"obligation_statement": "Ensure post-development stormwater flows do not exceed pre-development conditions for 25-year storm events",
"derived_from": "City C subdivision regulations",
"enforcement_context": "Administrative review by City Engineer",
"temporal_scope": "During design and construction phases",
"compliance_status": "unmet",
"case_context": "Firm IBM found flows substantially larger after development",
"source_text": "Firm IBM found storm runoff flows to be substantially larger for the 25-year, two-hour storm event after the subdivision was completed",
"is_existing_class": false,
"confidence": 0.95
},
{
"identifier": "CityEngineerJ_Disclosure",
"obligation_class": "Disclosure Obligation",
"obligated_party": "City Engineer J",
"obligation_statement": "Disclose prior employment relationship with Firm BWJ when reviewing their work",
"derived_from": "Professional ethics standards",
"enforcement_context": "Public scrutiny and ethics review",
"temporal_scope": "Before and during review process",
"compliance_status": "unclear",
"case_context": "Former principal at BWJ reviewing BWJ's work",
"source_text": "City Engineer J was formerly a principal at Firm BWJ",
"is_existing_class": true,
"confidence": 0.9
},
{
"identifier": "CityEngineerJ_Independence",
"obligation_class": "Independent Review Obligation",
"obligated_party": "City Engineer J",
"obligation_statement": "Maintain independence and objectivity when reviewing work from former employer",
"derived_from": "Professional ethics and public trust",
"enforcement_context": "Ethics complaints and public accountability",
"temporal_scope": "During administrative review",
"compliance_status": "unmet",
"case_context": "Reviewed and approved plans from former firm despite potential conflict",
"source_text": "Property owners also complain that City Engineer J is ethically compromised because of his former employment with Firm BWJ",
"is_existing_class": false,
"confidence": 0.85
},
{
"identifier": "BWJ_Competence_Modeling",
"obligation_class": "Competence Obligation",
"obligated_party": "Firm BWJ and Principal Engineer R",
"obligation_statement": "Perform accurate stormwater modeling within area of competence",
"derived_from": "NSPE II.2",
"enforcement_context": "Third-party review and professional standards",
"temporal_scope": "During design phase",
"compliance_status": "unmet",
"case_context": "Independent analysis showed substantial errors in stormwater calculations",
"source_text": "After performing independent modeling and analysis, Firm IBM found storm runoff flows to be substantially larger",
"is_existing_class": true,
"confidence": 0.9
},
{
"identifier": "CityC_SafetyObligation",
"obligation_class": "Safety Obligation",
"obligated_party": "City C and City Engineer J",
"obligation_statement": "Protect public from flooding hazards through proper review",
"derived_from": "NSPE I.1",
"enforcement_context": "Public complaints and third-party review",
"temporal_scope": "Ongoing",
"compliance_status": "unmet",
"case_context": "Properties experienced flooding after subdivision completion",
"source_text": "After the subdivision is completed, properties in the vicinity of the subdivision experience flooding",
"is_existing_class": true,
"confidence": 0.95
}
]
}
```
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:
A new subdivision is planned in City C, located in State Q. Developer G retains Firm BWJ (an engineering and surveying firm), under the direction of Principal Engineer R, to develop plans for the subdivision. The plans were administratively reviewed for conformance with City C policy and approved by City Engineer J and are released for bidding and construction. City Engineer J was formerly a principal at Firm BWJ.City C’s subdivision regulations require that post-development 25-year recurrence interval peak stormwater flows must be equal to or less than pre-development conditions.After the subdivision is completed, properties in the vicinity of the subdivision experience flooding. Property owners complain that the flooding damage caused water damage to their homes, and because of these complaints, City C engaged a third-party engineering firm (IBM) to review the subdivision design. Property owners also complain that City Engineer J is ethically compromised because of his former employment with Firm BWJ.After performing independent modeling and analysis, Firm IBM found storm runoff flows to be substantially larger for the 25-year, two-hour storm event after the subdivision was completed. One of the complaining property owner's driveway culverts was determined to have insufficient capacity for a 25-year storm event. Construction of extensive paved areas and a large outbuilding by one of the property owners was also determined to have exacerbated flooding potential.
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 17:16
LLM Response
```json
{
"new_constraint_classes": [
{
"label": "Environmental Performance Constraint",
"definition": "Quantitative environmental performance thresholds that development projects must not exceed to prevent adverse environmental impacts",
"constraint_type": "legal",
"flexibility": "hard",
"violation_impact": "Environmental damage, regulatory violations, potential legal liability",
"mitigation_possible": "Through engineering redesign or compensatory measures",
"examples_from_case": ["Post-development flows must not exceed pre-development conditions", "25-year recurrence interval peak stormwater flows limitation"],
"source_text": "City C's subdivision regulations require that post-development 25-year recurrence interval peak stormwater flows must be equal to or less than pre-development conditions",
"confidence": 0.85,
"reasoning": "Differs from Safety Constraint by focusing on environmental performance metrics rather than human safety, and from Regulatory Constraint by specifying quantitative environmental thresholds"
},
{
"label": "Prior Employment Constraint",
"definition": "Limitations on professional activities arising from previous employment relationships that may create conflicts of interest or appearance of impropriety",
"constraint_type": "procedural",
"flexibility": "soft",
"violation_impact": "Ethical complaints, loss of public trust, potential recusal requirements",
"mitigation_possible": "Through disclosure, recusal, or independent review",
"examples_from_case": ["City Engineer J's former employment with Firm BWJ creating appearance of bias"],
"source_text": "Property owners also complain that City Engineer J is ethically compromised because of his former employment with Firm BWJ",
"confidence": 0.75,
"reasoning": "Distinct from general Ethical Constraint by specifically addressing limitations arising from prior professional relationships"
}
],
"constraint_individuals": [
{
"identifier": "Stormwater_Flow_Limit_CityC",
"constraint_class": "Environmental Performance Constraint",
"constrained_entity": "Firm BWJ and Principal Engineer R",
"constraint_statement": "Post-development 25-year recurrence interval peak stormwater flows must be equal to or less than pre-development conditions",
"source": "City C subdivision regulations",
"enforcement_mechanism": "Administrative review and approval by City Engineer",
"temporal_scope": "Throughout design and post-construction",
"severity": "critical",
"case_context": "Design constraint that was allegedly violated, leading to flooding",
"source_text": "post-development 25-year recurrence interval peak stormwater flows must be equal to or less than pre-development conditions",
"is_existing_class": false,
"confidence": 0.9
},
{
"identifier": "Prior_Employment_Conflict_J",
"constraint_class": "Prior Employment Constraint",
"constrained_entity": "City Engineer J",
"constraint_statement": "Cannot appear to have bias in reviewing work from former employer Firm BWJ",
"source": "Professional ethics and public trust requirements",
"enforcement_mechanism": "Public complaints and potential ethics review",
"temporal_scope": "During review of Firm BWJ's work",
"severity": "major",
"case_context": "J's approval of BWJ's plans questioned due to former employment",
"source_text": "City Engineer J was formerly a principal at Firm BWJ",
"is_existing_class": false,
"confidence": 0.8
},
{
"identifier": "Administrative_Review_Requirement",
"constraint_class": "Procedural Constraint",
"constrained_entity": "Subdivision development plans",
"constraint_statement": "Plans must undergo administrative review for conformance with City C policy",
"source": "City C administrative procedures",
"enforcement_mechanism": "City Engineer approval required before bidding and construction",
"temporal_scope": "Before construction authorization",
"severity": "critical",
"case_context": "Plans were reviewed and approved by City Engineer J",
"source_text": "The plans were administratively reviewed for conformance with City C policy and approved by City Engineer J",
"is_existing_class": true,
"confidence": 0.95
},
{
"identifier": "Jurisdictional_Limit_CityC",
"constraint_class": "Jurisdictional Constraint",
"constrained_entity": "City C and City Engineer J",
"constraint_statement": "Authority limited to subdivision within City C boundaries in State Q",
"source": "Municipal jurisdiction boundaries",
"enforcement_mechanism": "Legal boundaries of municipal authority",
"temporal_scope": "Permanent",
"severity": "critical",
"case_context": "Subdivision located within City C, State Q jurisdiction",
"source_text": "A new subdivision is planned in City C, located in State Q",
"is_existing_class": true,
"confidence": 0.85
}
]
}
```
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:
A new subdivision is planned in City C, located in State Q. Developer G retains Firm BWJ (an engineering and surveying firm), under the direction of Principal Engineer R, to develop plans for the subdivision. The plans were administratively reviewed for conformance with City C policy and approved by City Engineer J and are released for bidding and construction. City Engineer J was formerly a principal at Firm BWJ.City C’s subdivision regulations require that post-development 25-year recurrence interval peak stormwater flows must be equal to or less than pre-development conditions.After the subdivision is completed, properties in the vicinity of the subdivision experience flooding. Property owners complain that the flooding damage caused water damage to their homes, and because of these complaints, City C engaged a third-party engineering firm (IBM) to review the subdivision design. Property owners also complain that City Engineer J is ethically compromised because of his former employment with Firm BWJ.After performing independent modeling and analysis, Firm IBM found storm runoff flows to be substantially larger for the 25-year, two-hour storm event after the subdivision was completed. One of the complaining property owner's driveway culverts was determined to have insufficient capacity for a 25-year storm event. Construction of extensive paved areas and a large outbuilding by one of the property owners was also determined to have exacerbated flooding potential.
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 17:17
LLM Response
```json
{
"new_capability_classes": [
{
"label": "Hydrological Modeling Capability",
"definition": "The competency to accurately model, analyze, and predict stormwater flows and drainage patterns for various storm events",
"capability_type": "technical",
"norm_competence_related": "Enables compliance with environmental regulations and protection of public safety through proper stormwater management",
"skill_level": "advanced",
"acquisition_method": "Specialized education in hydrology/hydraulics, professional training, field experience with modeling software",
"examples_from_case": ["Model 25-year storm events", "Calculate pre/post-development flows"],
"source_text": "City C's subdivision regulations require that post-development 25-year recurrence interval peak stormwater flows must be equal to or less than pre-development",
"confidence": 0.9,
"reasoning": "Specific technical capability for stormwater modeling not covered by general Technical Capability class"
},
{
"label": "Conflict of Interest Assessment Capability",
"definition": "The competency to identify, evaluate, and appropriately manage potential conflicts of interest in professional relationships",
"capability_type": "ethical",
"norm_competence_related": "Enables maintenance of professional objectivity and public trust through proper management of prior relationships",
"skill_level": "intermediate",
"acquisition_method": "Ethics training, professional codes of conduct education, organizational policies",
"examples_from_case": ["Recognize former employment relationships", "Assess impact on objectivity"],
"source_text": "Property owners also complain that City Engineer J is ethically compromised because of his former employment with Firm BWJ",
"confidence": 0.85,
"reasoning": "Distinct ethical capability for managing conflicts not covered by existing ethical capability classes"
},
{
"label": "Independent Verification Capability",
"definition": "The competency to conduct unbiased third-party reviews and validation of engineering work",
"capability_type": "analytical",
"norm_competence_related": "Enables objective assessment of compliance with standards and identification of design deficiencies",
"skill_level": "expert",
"acquisition_method": "Professional experience, specialized training in auditing/review procedures, certification programs",
"examples_from_case": ["Third-party review of designs", "Independent modeling and analysis"],
"source_text": "City C engaged a third-party engineering firm (IBM) to review the subdivision design",
"confidence": 0.8,
"reasoning": "Specific analytical capability for independent review not covered by general evaluation capabilities"
}
],
"capability_individuals": [
{
"identifier": "PrincipalEngineerR_SubdivisionDesign",
"capability_class": "Technical Capability",
"possessed_by": "Principal Engineer R",
"capability_statement": "Develop subdivision plans and engineering designs",
"demonstrated_through": "Direction of subdivision plan development for Developer G",
"proficiency_level": "expert",
"enables_obligations": "Professional responsibility for subdivision design meeting regulatory requirements",
"temporal_aspect": "During initial subdivision planning and design phase",
"case_context": "Led Firm BWJ in developing the subdivision plans",
"source_text": "Developer G retains Firm BWJ (an engineering and surveying firm), under the direction of Principal Engineer R, to develop plans",
"is_existing_class": true,
"confidence": 0.95
},
{
"identifier": "CityEngineerJ_RegulatoryReview",
"capability_class": "Regulatory Compliance Capability",
"possessed_by": "City Engineer J",
"capability_statement": "Review and approve plans for conformance with city policies",
"demonstrated_through": "Administrative review and approval of subdivision plans",
"proficiency_level": "advanced",
"enables_obligations": "Municipal obligation to ensure developments meet local regulations",
"temporal_aspect": "During plan review and approval phase",
"case_context": "Reviewed and approved BWJ's subdivision plans for City C",
"source_text": "The plans were administratively reviewed for conformance with City C policy and approved by City Engineer J",
"is_existing_class": true,
"confidence": 0.9
},
{
"identifier": "FirmIBM_HydrologicalModeling",
"capability_class": "Hydrological Modeling Capability",
"possessed_by": "Firm IBM",
"capability_statement": "Perform independent stormwater modeling and analysis",
"demonstrated_through": "Independent modeling showing substantially larger storm runoff flows",
"proficiency_level": "expert",
"enables_obligations": "Professional duty to provide accurate technical analysis for public safety",
"temporal_aspect": "Post-construction review phase",
"case_context": "Conducted third-party review finding design deficiencies",
"source_text": "After performing independent modeling and analysis, Firm IBM found storm runoff flows to be substantially larger",
"is_existing_class": false,
"confidence": 0.95
},
{
"identifier": "FirmIBM_IndependentVerification",
"capability_class": "Independent Verification Capability",
"possessed_by": "Firm IBM",
"capability_statement": "Conduct unbiased third-party engineering review",
"demonstrated_through": "Engagement by City C to review subdivision design after flooding",
"proficiency_level": "expert",
"enables_obligations": "Professional obligation to provide objective assessment free from conflicts",
"temporal_aspect": "Post-incident investigation phase",
"case_context": "Served as independent reviewer after flooding complaints",
"source_text": "City C engaged a third-party engineering firm (IBM) to review the subdivision design",
"is_existing_class": false,
"confidence": 0.9
},
{
"identifier": "CityEngineerJ_ConflictManagement",
"capability_class": "Conflict of Interest Assessment Capability",
"possessed_by": "City Engineer J",
"capability_statement": "Manage potential conflicts from prior employment",
"demonstrated_through": "Former principal position at Firm BWJ while reviewing their work",
"proficiency_level": "basic",
"enables_obligations": "Ethical obligation to maintain objectivity and avoid appearance of impropriety",
"temporal_aspect": "During plan review while having prior relationship",
"case_context": "Reviewed work of former employer raising ethical concerns",
"source_text": "City Engineer J was formerly a principal at Firm BWJ",
"is_existing_class": false,
"confidence": 0.85
}
]
}
```