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Spring 2017 ENGINEERING ETHICS

The BRIDGE LINKING ENGINEERING AND SOCIETY

Ethics in Business: Every Employee’s Character and Behavior Count Chad Holliday Protecting Dissent in Organizational Contexts Thomas W. Smith III and Tara L. Hoke Engineering Society Codes of Ethics: A Bird’s-Eye View Arthur E. Schwartz Engineering Codes of Ethics: Legal Protection for Engineers Jeffrey H. Matsuura Beyond Protecting the Public from Risk Robert B. Gilbert How Some Scientists and Engineers Contribute to Environmental Injustice Kristin Shrader-Frechette Ethical Implications of Computational Modeling Kenneth R. Fleischmann and William A. Wallace Addressing Corruption in the Global Engineering/ Construction Industry William P. Henry Can Engineering Ethics Be Taught? Deborah G. Johnson

The mission of the National Academy of Engineering is to advance the well-being of the nation by promoting a vibrant engineering profession and by marshalling the expertise and insights of eminent engineers to provide independent advice to the federal government on matters involving engineering and technology. The BRIDGE

NATIONAL ACADEMY OF ENGINEERING

Gordon R. England, Chair C. D. Mote, Jr., President Corale L. Brierley, Vice President Julia M. Phillips, Home Secretary Ruth A. David, Foreign Secretary Martin B. Sherwin, Treasurer Editor in Chief: Ronald M. Latanision Managing Editor: Cameron H. Fletcher Production Assistant: Penelope Gibbs The Bridge (ISSN 0737-6278) is published quarterly by the National Academy of Engineering, 2101 Constitution Avenue NW, Washington, DC 20418.

Periodicals postage paid at Washington, DC. Vol. 47, No. 1, Spring 2017 Postmaster: Send address changes to The Bridge, 2101 Constitution Avenue NW, Washington, DC 20418. Papers are presented in The Bridge on the basis of general interest and timeliness. They reflect the views of the authors and not necessarily the position of the National Academy of Engineering. The Bridge is printed on recycled paper. C © 2017 by the National Academy of Sciences. All rights reserved.

A complete copy of The Bridge is available in PDF format at www.nae.edu/TheBridge. Some of the articles in this issue are also available as HTML documents and may contain links to related sources of information, multimedia files, or other content. The Volume 47, Number 1 • Spring 2017 BRIDGE LINKING ENGINEERING AND SOCIETY

Editors’ Note 3 Why Engineering Ethics Matters Deborah G. Johnson and Gerald E. Galloway, Jr. 6 Issue Dedication

Features 8 Ethics in Business: Every Employee’s Character and Behavior Count Chad Holliday All employees must think about how their work impacts society, the environment, and the safety of coworkers. 15 Protecting Dissent in Organizational Contexts Thomas W. Smith III and Tara L. Hoke Organizational culture must respect and facilitate dissent to ensure that engineering professionals comply with their ethical obligations. 21 Engineering Society Codes of Ethics: A Bird’s-Eye View Arthur E. Schwartz Engineering societies play a critical role in providing practical ethical guidance to engineers. 27 Engineering Codes of Ethics: Legal Protection for Engineers Jeffrey H. Matsuura Engineers can use codes of ethics to preserve their personal legal rights and reduce their risk of personal legal liability. 30 Beyond Protecting the Public from Risk Robert B. Gilbert Engineers can better serve the public by considering costs and benefits in addition to failure, and by working more closely with the public. 36 How Some Scientists and Engineers Contribute to Environmental Injustice Kristin Shrader-Frechette Flawed or misused analytic techniques for assessing pollution risk can allow environmental injustice, disproportionate health harm to children and to poor or minority communities. 45 Ethical Implications of Computational Modeling Kenneth R. Fleischmann and William A. Wallace Modelers must consider decisions from multiple perspectives, to take account of both their own values and those of their users. (continued on next page)

52 Addressing Corruption in the Global Engineering/ Construction Industry William P. Henry Corruption in engineering/construction is an important problem that national and international resources are available to combat. 59 Can Engineering Ethics Be Taught? Deborah G. Johnson Engineering ethics education increases the likelihood that engineering students will be prepared to handle ethical issues in their professional lives. 65 An Interview with . . . Sal Khan, Founder, Khan Academy

72 News and Notes 72 Class of 2017 Elected 78 NAE Members Awarded 2016 National Medal of Freedom 79 NAE Newsmakers 81 Message from NAE Vice President Corale Brierley 84 National Academy of Engineering 2016 Donor Recognition 98 New Staff and Mirzayan Fellows Join Program Office 100 Calendar of Meetings and Events 100 In Memoriam

102 Publications of Interest

The National Academy of Sciences was established in 1863 by an emy of Sciences to advise the nation on medical and health issues. Act of Congress, signed by President Lincoln, as a private, nongov- Members are elected by their peers for distinguished contributions to ernmental institution to advise the nation on issues related to science medicine and health. Dr. Victor J. Dzau is president. and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objec- The National Academy of Engineering was established in 1964 tive analysis and advice to the nation and conduct other activities under the charter of the National Academy of Sciences to bring the to solve complex problems and inform public policy decisions. The practices of engineering to advising the nation. Members are elected Academies also encourage education and research, recognize out- by their peers for extraordinary contributions to engineering. Dr. C. D. standing contributions to knowledge, and increase public understand- Mote, Jr., is president. ing in matters of science, engineering, and medicine.

The National Academy of Medicine (formerly the Institute of Medicine) Learn more about the National Academies of Sciences, Engineering, was established in 1970 under the charter of the National Acad- and Medicine at www.national-academies.org. 3 Editors’ Note

Throughout their careers, engineers are guided by rules, procedures, and precedents developed by the organizations in which they work and the professional organizations with which they associate. The manner in which these institutions and organizations deal with ethical issues, create an ethical climate, and provide Deborah G. Johnson is Olsson Pro models of ethical behavior have enormous influence on fessor of Applied Ethics Emeritus, how engineers come to understand their professional Department of Engineering and roles and ethical responsibilities. Society, University of Virginia Over the last few decades the engineering community has taken steps to better address ethical issues and to establish a climate supportive of ethical behavior. The Accrediting Board for Engineering and Technology (ABET) and professional licensing organizations have included ethics education as a requirement on the path to graduation and professional preparation as well as a prerequisite in continuing professional development. Gerald E. Galloway, Jr. (NAE) is Recent decades have also been marked by the accel- Glenn L. Martin Institute Professor eration of technological development and innova- of Engineering, University of tion, and increasing recognition of the powerful role of Maryland, College Park. technology in solving social problems. Unfortunately, the social impacts of rapid technological advances are Why Engineering Ethics Matters not always carefully considered before they are implemented. Innovations in geoengineering, bioengineer- As a profession that touches the lives and well-being ing, nanotechnologies, cyber systems, and artificial of people, engineering has long considered itself to be intelligence move society in directions not previously guided by commonly held moral principles. These prin- traveled, and the moral compass for the decisions that ciples can be found in the examinations required of those must be made may not be adequate for these new terrae seeking professional licensing, in the codes of conduct incognitae. that shape and constrain engineering activities, and in The fact that engineers can build or manufacture the thinking and behavior of most engineers. Those something does not mean that the product or process who depend on and are affected by engineering expect necessarily will make an overall positive contribution to (and are entitled to expect) engineers to behave in an society. As the saying goes, “just because something can ethical manner, and this is especially so when engineers be done doesn’t mean it should be done.” engage in activities that have the potential for profound Most products, processes, and services affect different negative consequences. people differently. While cloud dusting might someday One of the challenges for the engineering profession be able to shift the direction of a hurricane away from is to figure out how best to maintain these principles a coastal city, who should decide what areas must then in a complex, diverse, and ever changing world. Those take the brunt of the hurricane forces? Of course, engi- joining the engineering profession today are educated neers must have a role in such decisions, but should they in colleges and universities and then socialized into the be expected to make those judgments alone? profession in the context of the organizational cultures Notwithstanding today’s communication-rich envi- they encounter as they move into practice and through ronment, the challenges of communicating how a their careers. Are educational institutions up to the technologically complicated world works and how task? Are organizations? technological decisions are made are daunting. It

The 4 BRIDGE is not always clear how to effectively carry messages neers can achieve their ethical obligations. The authors about ethical issues to those who must deal with them. argue that “a culture in which discussions about risk are Whistleblowing has been a necessary but far from ideal routine and questions are treated with respect and dili- method. Can a sounder foundation in ethics improve gence will create a safer environment for communicat- this situation? ing concerns.” Today, the public expects transparency. Engineers are Engineering professional societies and their codes of expected to communicate information as to why and ethics are especially important and are referenced many how they are carrying out their duties. But decisions are times in this issue. Arthur Schwartz puts the codes of based on complex models of a situation, so it becomes ethics of professional societies in historical context and increasingly more unrealistic to expect the public—and reviews a number of ethical issues relevant to engineer- engineers—to understand what is inside the black boxes ing practice. In his conclusion, he states that engineers of models and software systems. and engineering organizations “have an ongoing obliga- Engineering never takes place in a vacuum. Whether tion to carefully review and recommend updates to their local, state, national, or global, engineering projects codes of ethics, in order to balance enduring ethical val- take place in a social context with historical, political, ues and principles while addressing contemporary issues and economic patterns. The work of engineers affects that affect the practice of engineering.” and is affected by the social context. Are engineers The next article builds on the importance of profes- responsible for ensuring that their projects and prod- sional society codes of ethics. Recognizing that when ucts do not exacerbate inequality among social groups? individual engineers sense an ethical challenge and Can engineers just push this topic on to public decision consider raising a flag, they may be putting themselves makers or do they have a role in making these decisions at risk of pushback or even retaliation, Jeff Matsuura with ethics in mind? As engineers operate around the reviews steps to prepare for and protect against such globe, they may encounter unfamiliar social attitudes, eventualities. He explains that documenting the actions expectations, and practices; how are they to react to that have raised the ethical questions and following pro- actions considered legitimate in some societies and cor- fessional procedures and codes of ethics in raising ethi- rupt in others? cal issues supports engineers in both making their case The articles in this issue address many of these ques- and protecting themselves. tions and concerns. The authors have given a great deal Robert Gilbert avers that decisions about the safe- of thought to various challenges in and approaches to ty of engineering projects or systems cannot be made engineering ethics, and, as experts in their area, provide solely by engineers. While absolute safety is normally their understanding. Although they bring key insights, unachievable, efforts to maximize safety and mini- in many cases they raise as many questions as they mize risk often pit the high costs of achieving this goal answer. against opportunities lost by “overspending” to achieve Building on the importance of trust, Chad Holliday a goal that is not seen as necessary or desirable by the makes the case for every company to ask how it can public. Such decisions must consider not only “normal” “move the dial from the majority of employees behaving engineering approaches but also alternatives or more ethically to all employees behaving ethically, day in and progressive design standards that address the risk toler- day out.” He explains the need to set the tone at the top ance of the public. and in an authentic way—employees know when it is Kristin Shrader-Frechette argues that scientists and empty talk. He also emphasizes the importance of both engineers contribute to environmental injustice insofar maintaining a corporate culture in which discussion of as they use flawed analytic techniques. She identifies ethical issues is welcomed rather than suppressed and three kinds of flaws: using nonrepresentative samples, providing education related to ethics. misrepresenting uncertainty, and misusing statistical In harmony with Holliday, Thomas Smith and Tara significance. She responds to those who would deny or Hoke focus on the importance of corporate cultures excuse the unequal distribution of environmental risk, that facilitate expressions of dissent rather than sup- and persuasively concludes that “Sound science pro- pressing them in favor of loyalty to management or the motes sound ethics.” bottom line. A corporate culture in which dissent can Kenneth Fleischmann and William Wallace describe be expressed allows issues to be addressed so that engi- the various ways that values come into play in the pro-

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cess of modeling and in the models themselves. Among education can help engineers to be ethical by providing the conclusions of their analysis that may be surprising knowledge of codes of ethics and standards of behavior, to some (though perhaps obvious to self-aware model- improving their abilities to recognize ethical issues, pro- ers) is that the goal of building a model is not to be val- viding conceptual tools and practice in analyzing ethi- ue neutral. Acknowledging that “no model of a natural cal issues and making ethical decisions, and motivating system can completely, perfectly capture the complexity students to behave ethically. of reality,” the authors explain that the goal is “rather The articles in this issue discuss a number of strategies to be as transparent as possible about both the modeling for pursuing the ultimate goal expressed by Holliday, to process and the (known and potential) limitations of achieve a point when all employees behave ethically, the model relative to reality.” “day in and day out.” Whether it is ethics education, Corruption is the epitome of unethical behavior and codes of conduct, awareness of corruption, or good engineering is not immune to it, perhaps especially in science, ethical engineering is an ongoing endeavor the construction industry. William Henry lays out the involving most every aspect of engineering. These problems and many different kinds of corruption, and articles contribute to the endeavor, which requires the provides information about strategies and resources for engagement, energy, insights, and actions of those who countering it. He emphasizes the need to understand read them. the terms used to refer to corrupt behavior so that engineers know it when they see it, can talk about it, and Acknowledgments can take action to prevent it. We are very grateful to Rachelle Hollander for suggest- Given the ethical concerns discussed, engineering ing that we collaborate on this issue. We had never met education faces a critical challenge in seeking to prepare so the undertaking was somewhat risky but Rachelle’s student engineers for the ethical dimensions of their judgment turned out to be prescient. We are also enor- work. The final article takes on the skeptics who think mously grateful to Cameron Fletcher for her meticulous engineering ethics can’t be taught. Engineering ethics editing and her bountiful patience and professionalism. The BRIDGE Dedication

responsibility, primarily in engineering and science. Her interest in a wide range of issues and her ability to work with colleagues from numerous fields and backgrounds made her a valued contributor to many projects under the auspices of different societies and professional groups on such matters as publication ethics, intellectual property in graduate science education, conflicts of interest involving university scientists, educating scientists and engineers concerning professional responsibility, mentoring, and ethical issues in biotechnology. Vivian Weil Caroline Whitbeck She was a fellow of the American Association for the Advancement of Science (AAAS), a member of the This issue is dedicated to Vivian Weil and Caroline Whit- governing board of the National Institute for Engineer- beck, two scholar pioneers and giants in the field of engineering Ethics (NIEE), and a founding member of the Asso- ing ethics. Each contributed in unique and immeasurable ciation for Practical and Professional Ethics (APPE), ways to the foundation and development of the field. Rach- where she chaired the executive committee for many elle Hollander, director of the NAE’s Center for Engineer- years and served on editorial boards. In her work with ing Ethics and Society, describes their careers. APPE, she participated in all of the Graduate Research Two philosophers with strong connections to the NAE and Ethics Education summer workshops for graduate Center for Engineering Ethics and Society (CEES) and students in the sciences and engineering. Held from Online Ethics Center (OEC) passed away in 2016: Viv- 1996 to 2002 with support from the National Science ian Weil and Caroline Whitbeck. They are reckoned Foundation, the workshops allowed graduate students among the very distinguished in a small number of to work with faculty to develop case studies that are founders of the field of engineering ethics. They will now available on the OEC, many of them with Weil be sorely missed by family, friends, and colleagues, but commentaries.1 fondly remembered for their path-breaking achieve- Her affinity for promoting the engagement of phi- ments and vibrant personalities. Both were outstanding losophers with colleagues from other fields is illustrated teachers, scholars, and mentors. in comments from postdoctoral fellow Julio Roberto Tuma, whom she mentored: “I met Vivian in the early Vivian Weil aughts in what had to be the later part of her long and Vivian Weil, professor of ethics and director emerita of successful career at IIT. She had sent word to the Phi- the Center for the Study of Ethics in the Professions losophy Department at the University of Chicago to see at the Illinois Institute of Technology, passed away on if there were any philosophers interested in a project May 7, 2016. She was a member of the IIT faculty for that involved engineering application and involve- 44 years and a founding member and director of the ment with philosophy. Knowing that I was interested in center (1987–2014), which prospered under her leader- applying philosophy to real-world problems . . . , two of ship. She also served as director of the Ethics and Values my advisors passed [along] her appeal, and I responded. Studies Program of the National Science Foundation in Doing so changed both my career trajectory and my 1990–1991. intellectual life as a philosopher.” An influential advisor to the CEES and OEC, Weil Weil received her AB and MA from the University made foundational contributions to scholarship and of Chicago and her PhD from the University of Illinois, education about research ethics and engineering ethics Chicago. and authored numerous publications in these areas. She worked on theoretical problems of human action and 1 Her commentaries are available at www.onlineethics.org/ responsibility as well as practical issues of professional Community/CommunityDirectory/VWeil.aspx#contactData). SPRING 2017 7

Caroline Whitbeck ing of engineering ethics and the responsible conduct Caroline Whitbeck, Emerita Elmer G. Beamer–Hubert of research, especially methods that place the learner H. Schneider Professor in Ethics at Case Western in the position of the agent who must respond to the Reserve University and emerita professor of philosophy, problem rather than a judge who evaluates responses passed away on September 5, 2016. She was a respected that have already been constructed. Her book Ethics philosopher of science, technology, and medicine and in Engineering Practice and Research was published by founder of the OEC. She worked with former NAE pres- Cambridge University Press in 1998, and the second ident Wm. A. Wulf to arrange its transfer to the NAE (revised) edition was released in 2011 with an entirely and chaired the OEC Advisory Group (2007–2010 and rewritten research ethics section. 2011–2012). She spent much of her professional energy Whitbeck greatly enhanced understanding of respon- working with students and contributors to develop the sible research conduct in engineering and the physi- OEC as an educational resource in the fields of engi- cal sciences, including the Collaborative Institutional neering and scientific ethics. A quick search shows Training Initiative (CITI) module on authorship in more than 150 contributions from her or citations about engineering research and her article “Trust and the her on the site. Future of Research” for Physics Today. She edited a 1995 Whitbeck combined research and teaching interests issue of Science and Engineering Ethics on trustworthy in the philosophy of science, technology, engineering, research and a 2005 issue of the International Journal of and medicine, practical ethics, and feminist philoso- Engineering Education on engineering ethics. She served phy with interest in the education of a diverse student on the advisory board of Professional Ethics and on the body for careers in engineering and the science-based editorial board of Science and Engineering Ethics. professions. She made significant contributions to femi- Whitbeck was elected a AAAS fellow for her work in nist philosophy and to medical ethics in the 1970s and engineering ethics, and was a Phi Beta Kappa Visiting 1980s, and in the 1980s and 1990s she developed the Scholar in 1994–1995. She held a bachelor’s degree in analogy between ethical and design problems, in partic- mathematics from Wellesley College, a master’s degree ular problems of engineering design and research design. from Boston University, and a PhD in philosophy from She pioneered active learning methods in the teach- the Massachusetts Institute of Technology. All employees must think about how their work impacts society, the environment, and the safety of coworkers.

Ethics in Business Every Employee’s Character and Behavior Count

Chad Holliday

Nearly ten years ago, Emmanuel Mignot, a Shell employee, was driving on a highway in a developing country when he was pulled over by a policeman, allegedly for speeding. The policeman asked him to pay $10 to avoid an official fine. The sun was beating down, there was no one else around, and he had enough money in his wallet. But he refused. This prompted the policeman to initiate a process, which involved Mignot Chad Holliday (NAE) is appearing at a tribunal a few weeks later. He waited for his case to be called chair of Royal Dutch Shell in a metal shed surrounded by wire fencing, with men accused of a range plc and former chair of the of crimes. Some urinated on the floor. Others hassled him for money and US National Academy of cigarettes. At the end of the day, he stood before a judge and was released Engineering. because the policeman failed to show up to testify. When Mignot told his friends about this experience, they questioned his actions, arguing that it would have been much easier to pay the bribe. But Mignot, who was driving a Shell-owned car, was proud of the way he had behaved. “I felt it was important to make a contribution—no matter how small—to stopping bribery,” he explained. “And although I was driving on a weekend, I represented Shell.”1

1 Here and throughout, unless otherwise indicated, quotations are based on personal conversations or email communications. SPRING 2017 9

Mignot demonstrated the highest ethical standards. Mitsubishi in 2016 to falsify fuel economy data, far By this I mean he showed an unwavering and uncom- from isolated incidences in the global business commu- promising adherence to his company’s ethical prin- nity, are some evidence of this. The consequence is that ciples, regardless of the situation or personal impact. trust of businesses, and those who work for them, is low. This is what I consider the benchmark for all employees A Gallup poll conducted in December 2015 shows that working for businesses throughout the world. business executives are seen as less honest and ethical It’s no good simply having some ethical standards. than many professions (figure 1). Only 17 percent of Even organized crime has its own brand of values. Nor respondents rated their honesty and ethical standards is it impressive to claim highly ethical standards, as this as high or very high. suggests there’s some wiggle room. Achieving the highest The last time Gallup looked into the perceived hon- standards throughout a company is possible, but only if esty and ethics of engineers was in 2012, when engi- all employees act like Mignot did, and never yield when neers got an honesty score of 70 percent, tying them making an ethical decision. with doctors in third place. It was much better than some previous scores for engineers, who got a rating of State of Play Companies that set the bar this high will be trusted Honesty/Ethics in Professions by their employees, the Please tell me how you would rate the honesty and ethical standards of people in these public, customers, govern- different ﬁelds -- very high, high, average, low or very low? ments—the list goes on. Dec. 2-6, 2015 This trust is the corner-  % Very High/High stone of a healthy business model. If a company is Nurses 85 trusted for its ethical stan- Pharmacists 68 dards, it will encourage the Medical doctors brightest minds to apply for 67 jobs, for example. It will High school teachers 60 also give people confidence Police officers 56 to invest. Essentially, trust Clergy 45 feeds into a virtuous circle. Funeral directors 44 The progress made Accountants 39 by businesses in recent Journalists 27 decades suggests that this Bankers view is widely recognized. 25 Think of the companywide Building contractors 25 codes of conduct that have Lawyers 21 been introduced all over Real estate agents 20 the world. While these Labor union leaders 18 codes alone are far from Business exectives 17 enough, they have brought Stockbrokers 13 much more consistency of Advertising practitioners 10 approach to businesses. Car salespeople Yet despite the steps that 8 have been taken, the high- Telemarketers 8 est ethical standards are not Members of Congress 8 being adopted in all compa- Lobbyists 7 nies all the time. The 2015 Volkswagen emissions saga FIGURE 1 Gallup poll results on honesty/ethics in professions, December 2015. © 2016 Gallup, and the steps taken by Inc. All rights reserved.

45 percent in both 1983 and 1991. These scores show Tone from the Top that progress has been made. But not enough. A business can ensure that all employees behave to the The research from Gallup confirms in my mind that highest ethical standards only if its senior executives set the only way to boost trust is if every single person work- an example. As the adage goes, what interests my boss, ing for every single company has the highest ethical fascinates me. This point was emphasized by Andrew standards. So the pertinent question for all businesses Fastow, the former chief financial officer of Enron who is, How do they move the dial from the majority of spent more than five years in prison for his part in the employees behaving ethically to all employees behav- institutional accounting fraud that caused the compa- ing ethically, day in and day out? ny’s downfall. In an interview with the Association of In answering this question I will share examples of Certified Fraud Examiners (Useem 2016), he said: ethical practice from different companies, including Shell. I am in no way suggesting that Shell is a poster Culture starts at the top. But it doesn’t start at the top with pretty statements. Employees will see through company when it comes to demonstrating ethical val- empty rhetoric and will emulate the nature of top-man- ues. Shell has had its issues, notably overbooking its agement decision making. . . . A robust code of conduct reserves just over a decade ago and the bribery matter can be emasculated by one action of the CEO or CFO. Panalpina that resulted in a deferred prosecution agree- ment in 2010. Since then, the company has invested Many cases support this point. In 1979, for example, significant time and effort at all levels of the organi- James Burke, chief executive of Johnson & Johnson, zation to improve its ethical standards and move from challenged 20 senior managers about the merits of the compliance to commitment in the heart and mind of company’s principles—titled Our Credo—which had each employee. been in existence for nearly a century. “If we’re not going to live by it, let’s tear it off the wall,” he said. There was a frank exchange of views, which resulted in the decision to keep the credo and use it as a moral The only way to boost trust compass for the company.2 Three years later—when seven people died after is if every single person taking a Johnson & Johnson painkiller, Tylenol, that working for every single had been laced with cyanide—the company’s response was swift, decisive, and correct. The company removed company has the highest every bottle of capsules from shops in the United States and warned the public. A couple of months later, the ethical standards. product was relaunched in tamper-proof packaging. The way the company acted has been heralded as an example of effective crisis management. But I believe its While I will focus on what individual companies actions also reflected its ethical standards. Burke and his should do, it’s important to stress that companies must team were clear in their communication to the media work together, not in isolation, to achieve the highest and the public. And they did not wriggle free from their ethical standards. If an ethical company does some work responsibilities to consumers, who had placed trust in with a partner or supplier that is unethical, this under- them when buying Tylenol. Effectively, Burke acted in mines its credibility. accordance with the company’s credo, which begins Companies should ensure that they go into business with the following statements: “We believe our first with those that operate to the same ethical standards responsibility is to the doctors, nurses and patients, to they have. This can be done, for example, through due mothers and fathers and all others who use our products diligence into the ethical performance of the company and services. In meeting their needs everything we do as well as its owners, audit rights to confirm that the must be of high quality.” Burke’s actions set the tone for company is operating in accordance with the agreed how all employees should behave throughout the crisis. ethical standards, and the right to terminate the contract if that is not the case. 2 The Johnson & Johnson credo is available at https://www.jnj. com/about-jnj/jnj-credo. SPRING 2017 11

Burke led by example. In a very different way, so did In countless codes of conduct there are clear state- Peter Sharpe, Shell’s executive vice president for wells. ments about whistleblowing and the actions employees After the explosion on BP’s Deepwater Horizon oil rig in should take if they come across improper behavior. But the Gulf of Mexico in 2010, Shell updated a key manual this counts for nothing if a company’s culture makes with the engineering lessons learned from this tragic employees feel unable to report to a manager what they accident. It was important to Sharpe that all of Shell’s have seen. 2,500 well engineers learned the fresh content, but he It comes down to having a culture in which all ethi- recognized that sending a blanket email with a hefty cal dilemmas can be discussed in an open and trans- attachment was not the way forward. parent way, without fear of reprisal. Ann Tenbrunsel, So Sharpe sat down, along with the other senior man- professor of business ethics at the University of Notre agers in his department, and took an exam that tested Dame, experienced a very different type of culture a their understanding of the updated manual. Shell’s prin- few years ago. She was invited to speak with staff at a cipal technical engineer set and invigilated the exam, big business about the importance of ethics in organi- and posted the leadership team’s results on the compa- zations. But when a few employees caught wind of the ny’s intranet. Once Sharpe and his team had passed, he fact that Tenbrunsel was going to point out so-called said to all of Shell’s well engineers: “We’ve done it, now ethical blind spots in their sector, they immediately it’s your turn.” Shell’s view runs counter to the Dilbert cancelled the talk. comic strip (figure 2): if well engineers do not pass the Tenbrunsel, who has spent the past two decades look- necessary tests, they are out of the company. ing at why good people make bad moral decisions in the workplace, says this action is indicative of a culture Culture where there is little or no appetite to discuss potential- One of the main responsibilities of leaders like Burke ly sensitive subjects. It is similar to a child putting his and Sharpe is to influence the overall culture of a com- hands over his ears and screaming in an effort to ignore pany. Crucially, they must make sure, through their what’s going on around him. words and actions, that there is complete alignment The trait of looking the other way to avoid seeing between a company’s code of conduct and its culture. unethical behavior is something Tenbrunsel has come After all, as the Dutch athletics coach Charles van across regularly during her research. “The vast major- Commenee put it, “Nobody is going to jump higher if ity of the time, it’s never as simple as one individual you lower the bar” (Kessel 2011). being unethical in an organization,” she explained. “It This point is emphasized by the organizational psy- may start that way. But their actions perpetuate because chologist Kilian Wawoe, who worked in human resources people around them turn a blind eye—consciously or for a bank for a large part of his career. He observed that unconsciously.” A culture that encourages “motivated “there is a culture and there are rules. If these rules do searching, versus motivated blindness,” she contends, not reflect the culture, rules are useless” (Jacobs 2014). would help stamp out this attitude. The 12 BRIDGE

As important as openness is, an ethical culture should dance with its Business Principles extends beyond how extend much further. This gets to the heart of how eth- it operates in oil and gas fields to how it works alongside ics is interpreted. For me, business is about people, not governments, local communities, and others affected by just kit, molecules, technology, and suchlike. its projects. The Shell General Business Principles3 lay out One way Shell does this is through its partnership Shell’s core values as honesty, integrity, and respect for with the AMAR Charitable Foundation, formed to people. Ethical decisions grounded in those values must help address the need for emergency medical care be at the core of all energy projects—from ensuring among Iraqis living near Majnoon, one of the larg- that there is no place for bribery to instilling a trans- est oil fields in the world. The partnership has set up parent culture. healthcare projects, one of which involves a team of But a company’s ethical culture is also about the way Women Health Volunteers conducting home visits. In it behaves in each country where it does work. This 2015 Shell supported 64 such volunteers in Basrah, and means employees must think about how their work they carried out more than 13,000 visits throughout impacts society, the environment, and the safety of the year. coworkers. In Iraq, as with every other country where Shell Ethics in Education works, the company’s commitment to operate in accor- What other steps can be taken to ensure that a broad interpretation of ethics is understood by employees? 3 These are available at www.shell.com/about-us/our-values.html. Schools and universities have a role in fostering in SPRING 2017 13

students the importance of ethics in society. An eth- Yes, you have to be technically competent and you ics test even makes an impression on Calvin, the six- need to have broad knowledge of the subject. But you year-old boy who was the brainchild of the American must also ensure your work lives up to the highest pos- cartoonist Bill Watterson (figure 3). sible ethical standards. You have to take account of the Bringing ethics into the classroom or lecture hall impact of what you do on everyone affected by a project, from the local community to the government. supports the following reasoning (paraphrased from C.S. Lewis): “Education without values, as useful as it Character Counts: Three Questions to Guide is, seems rather to make man a more clever devil.” It Behavior also ensures that ethics is in the psyche of employees on If businesses fail to focus on each of these three ele- their first day on the job. ments—leading by example, culture, and education— This matters, especially for professions such as engi- then dubious ethical decisions will creep in. Even if it’s neering where it might appear that day-to-day decisions only a few employees in a company behaving unethi- are ethically neutral. But such a view ignores wider con- cally, the ramifications are potentially huge. But if com- siderations, such as the impact of drilling for oil near a panies do successfully address these areas, they stand a village. chance of being able to operate consistently to the high- “Universities have a significant role to play in instill- est ethical standards. ing the idea that ethics is a central part of all problems engineers grapple with,” says John Baldari, a former engineer in the US Army and now a doctoral candidate at the University of Leeds. “This will help eradicate Bringing ethics into the employees saying things like ‘This is only an engineering challenge’ or ‘Ethics are a compliance officer’s issue.’ classroom ensures that ethics Every aspect of a project should be every employee’s is in the psyche of employees concern,” he argues. There are many cases of great harm being caused on their first day on the job. when workers do not adhere to ethical principles. In May 2008, for example, more than 5,000 students died And the higher a company’s ethical standards, the as a result of the magnitude 7.9 earthquake in China’s more it is trusted. Around 20 years ago when working Sichuan province. Reports stated that schools crumpled for DuPont, I was on a business trip to Southeast Asia. because construction companies had ignored civil engi- DuPont was about to announce a partnership with a neering standards. company from the region. A few days before the deal, The disaster is a reminder for all engineers of the I paid a visit to the US ambassador. We were chatting potential consequences of their actions. Whether an with government officials and representatives from dif- employee is a civil, aeronautical, mechanical, electri- ferent companies when the ambassador lured me away, cal, computer, petroleum, or chemical engineer, the saying he wanted to show me some prize rosebushes. highest ethical standards must be upheld. It’s vital for When we arrived at a couple of scrawny-looking schools and universities to play their part in reinforcing shrubs, it became clear the ambassador wanted an this point. excuse to talk in private. He warned me about the Of course, education in ethics should not stop when unethical standards of the company I was about to sign employees join companies. At Shell, for example, Rob- a contract with. He sought me out because of his experi- ert Patterson, executive vice president for engineering, ences working with DuPont over the previous decade, set up informal presentations on “design and engineer- which made him trust me. I would never have received ing practices.” Modelled on TED talks, the idea is that that forewarning if that trust was not there. After this engineers speak openly about dilemmas they have faced conversation with the ambassador, I took the decision and how they addressed them. The talks, on subjects to pull DuPont out of the project. such as the installation of subsea equipment, are record- Gaining trust like this comes from never yielding in ed and the videos shared in Shell’s engineering com- the face of ethical dilemmas—no matter how small the munity. “They get to the heart of what it means to be a issue seems. The consequences of doing so are poten- professional engineer,” explains Patterson: tially massive. Think of Emmanuel Mignot. If he had The 14 BRIDGE

paid the bribe to the policeman that Saturday morning, Acknowledgments he may have broken local and international corruption I appreciate support from Thomas Baird, my Shell col- laws. That one small action may have sparked a series league, in developing this article and finding examples of events that could have eroded trust in Shell’s ability to illustrate the message. to operate in the region. You never know the consequences of seemingly References inconsequential acts. This means that the character and Jacobs E. 2014. Tales from an overworked city. Financial behavior of every single employee working for a com- Times, January 16. Available at https://www.ft.com/ pany count, more than anyone imagines. content/8469a7f2-7dd8-11e3-b409-00144feabdc0. Ultimately, it comes down to all employees asking Kessel A. 2011. Charles van Commenee impressed with themselves three questions: Jessica Ennis and Jenny Meadows. The Guardian, January 1. Would I be happy with it if my actions were reported 30. Available at https://www.theguardian.com/sport/2011/ accurately in a newspaper? jan/30/charles-van-commenee-jessica-ennis. 2. Would I be proud of myself if I did something that my Useem J. 2016. What was Volkswagen thinking? The Atlan- manager, an ethical individual, found out about? tic, January/February. Available at www.theatlantic.com/ 3. Would I be proud if my family found out about what magazine/archive/2016/01/what-was-volkswagen-think- I had done? ing/419127/. If the answer is no to any of these questions, the response is simple—say and do the right thing. Organizational culture must respect and facilitate dissent to ensure that engineering professionals comply with their ethical obligations.

Protecting Dissent in Organizational Contexts

Thomas W. Smith III and Tara L. Hoke

Engineers’ primary ethical obligation in the performance of their professional duties is to protect public health, safety, and welfare. This obligation is captured in the rules adopted by state licensing boards, echoed in the Thomas W. Smith III oaths of the Order of the Engineer and its Canadian corollary,1 and codified as Fundamental Canon 1 in the ethical codes of the American Society of Civil Engineers (ASCE)2 and many other engineering professional societies. While most engineers understand and are committed to their ethical obligations, professional services are not performed in a vacuum—that is to say, it is not always possible to make decisions that serve the public good without the challenge of potentially competing influences. We explain these competing influences and use recent examples of US engineering disasters to illustrate specific lessons for corporate culture in support of ethical practice.

Tom Smith is executive director and Tara Hoke is general counsel, both at the American Tara L. Hoke Society of Civil Engineers.

1 The Canadian “Calling of an Engineer” is a ceremonial ritual dating back to the 1920s, in which engineers take an oath to honor their ethical obligation to protect the public, and many wear a special ring as a symbol of that commitment. Fifty years later, American engineers decided to create their own version of this ritual; hence, the Order of the Engineer. 2 ASCE’s Code of Ethics is available at www.asce.org/code-of-ethics. The 16 BRIDGE

Background Analysis of these examples offers multiple lessons on In their practice engineers are subject to a host of exter- the importance of maintaining a corporate or organi- nal and internal pressures—from clients, employers, zational culture that respects and facilitates dissent in or colleagues—to obtain a desired result, to contain order to ensure that engineering professionals comply costs or meet deadlines, to compete in the marketplace. with their ethical obligations. Often these pressures are at odds with each other. What Is Corporate Culture? Not all stakeholders on a project are affected equally by engineering decisions, so engineers may often find Corporate culture can be defined as the values and themselves in the difficult position of providing faithful beliefs implicit in an organization’s conduct of its activ- service to multiple parties with conflicting needs and ities. While stated mission and goals may be a factor expectations. Even service to the public good is not in determining this conduct, corporate culture is more without consideration of competing interests, as the rooted in the organization’s practices than in its ideol- most worthwhile project may still involve some tradeoff ogy, shaped by people’s perceptions of how the organiza- between degree of safety and financial feasibility. tion sets priorities and encourages or discourages certain types of behavior. In the engineering setting, the desired corporate culture is one that rewards commitment to the high- Even the most worthwhile est standards of professional ethics. Workers at all levels feel empowered and motivated to raise questions, project may involve some address problems, and make decisions that serve the tradeoff between degree of corporation while preserving the public good. If, on the other hand, the culture favors loyalty to safety and financial feasibility. management or the company alone, service to the financial bottom line, or an unwillingness to “make waves,” the result will be an environment that hinders or even The public places enormous trust in the judgment of discourages the prioritization of public health, safety, or engineering professionals to study and mitigate the risks welfare. This unhealthy corporate culture places engi- that can be addressed, to communicate those that can- neers faced with an ethical dilemma in the burdensome not be eliminated, and to warn when risks are too great and isolated position of deciding whether to dissent on or should not be taken. When, as is commonly the case, ethical grounds or to remain silent about a potentially engineers strike the proper balance between these dic- catastrophic consequence. tates, they are capable of transforming the environment How Can Corporate Culture Aid an Engineer’s for the betterment of humanity. When they fail to find Ethical Practice? this balance, however, the results can be calamitous.

Recent Examples Clear, Written Policies and Procedures The destruction of the space shuttles Challenger and One lesson from recent examples of engineering failures Columbia in 1986 and 2003, the 2010 explosion and is the need for clear, written policies and procedures that fire on the offshore drilling platform Deepwater Horizon, emphasize legal compliance, financial transparency, and and the recall of 2.4 million GM vehicles in 2014 are a attention to the safety and welfare of workers, custom- few of the most notorious recent examples of engineer- ers, and the public at large. ing failures. While the technical details differ greatly, In their report on the Deepwater Horizon disaster, these four cases share two crucial similarities: investigators cited BP’s failure to establish clear safety protocols as a significant contributing factor in the 1. Engineering professionals did not take actions suf- explosion (National Commission 2011, p. 126): ficient to protect the lives and safety of individuals who were relying on their expert judgment. Corporations understandably encourage cost-saving and 2. A flawed corporate or organizational culture created efficiency. But given the dangers of deepwater drilling, companies involved must have in place strict policies the circumstances that allowed an ethical failure of requiring rigorous analysis and proof that less-costly that magnitude. SPRING 2017 17

alternatives are in fact equally safe. If BP had any such ate added difficulties for engineers who wish to report or policies in place, it does not appear that its Macondo allay an ethical concern. Conversely, a culture in which team adhered to them. Unless companies create and discussions about risk are routine and questions are treat- enforce such policies, there is simply too great a risk that ed with respect and diligence will create a safer and more financial pressures will systematically bias decisionmak- effective environment for communicating concerns. ing in favor of time- and cost-savings. While an ethical engineer should demand proper safety testing even in the absence of a clear organizational mandate, the existence of a written policy estab- Communication failures have lishes a priority of safety checks and avoids placing the been recognized as a primary engineer in the potentially tricky position of advocat- ing for increased cost and delay against an uncertain or cause in many of the worst unquantifiable risk. engineering disasters. Organizational Backing and Enforcement Organizations must treat their policies as more than mere words by providing the organizational backing Open Channels of Communication and enforcement to ensure that officers and employees Organizations need open channels of communication alike comply. to ensure that critical information is conveyed to and The classic illustration of a disparity between policy received by the individuals best suited to address con- and practice is the oft-cited Enron Code of Ethics,3 in cerns, whether in management or in the field. which then CEO Kenneth Lay affirmed the duty of all Communication failures have been recognized as a Enron employees to conduct business “in accordance primary cause in many of the worst engineering disas- with all applicable laws and in a moral and honest man- ters. In the Challenger accident report (Presidential ner”—only a year before the company collapsed under Commission 1986, chapter V, “The Contributing Cause perhaps the business world’s most notorious example of of the Accident”), for example, investigators noted a institutionalized and willful corporate fraud. tendency of technical or management staff to avoid Similarly, in its communications to investigators escalating problems to higher-level decision makers: studying the 2003 Columbia disaster, the National Aero- The Commission is troubled by what appears to be a nautics and Space Administration (NASA) exposed a propensity of management at Marshall [Space Flight disconnect between its stated policies and the actual Center] to contain potentially serious problems and to behaviors of its staff (Columbia 2003, p. 177): attempt to resolve them internally rather than communicate them forward. This tendency is altogether at odds NASA’s initial briefings to the Board on its safety pro- with the need for Marshall to function as part of a system grams espoused a risk-averse philosophy that empowered working toward successful flight missions, interfacing any employee to stop an operation at the mere glimmer and communicating with the other parts of the system of a problem. Unfortunately, NASA’s views of its safety that work to the same end. culture in those briefings did not reflect reality. Shuttle Program safety personnel failed to adequately With Deepwater Horizon the most significant commu- assess anomalies and frequently accepted critical risks nication breakdown was a failure of technical experts without qualitative or quantitative support, even when to convey the importance of certain procedures down the tools to provide more comprehensive assessments to the field-level staff charged with implementing them were available. (National Commission 2011, p. 223): If the culture of an organization is one that accepts Their management systems were marked by poor com- corporate or management decisions without question, munications among BP, Transocean, and Halliburton the pressures of conformity with existing norms will cre- employees regarding the risks associated with decisions being made. The decision making process on the rig was excessively compartmentalized, so individuals on 3 The Enron Code of Ethics is available at www.thesmokinggun. the rig frequently made critical decisions without fully com/file/enrons-code-ethics. appreciating just how essential the decisions were to well The 18 BRIDGE

safety—singly and in combination. As a result, officials even if that role is not expressly included in the indi- made a series of decisions that saved BP, Halliburton, vidual’s assignment of duties. and Transocean time and money—but without full appreciation of the associated risks. Protection from Reprisal A muddled line of communication may create both The organization must create an environment where practical and motivational challenges to an ethical workers can voice questions or concerns without fear of engineer. The engineer might believe s/he had received reprisal. An underlying factor in the failure cases exam- or sent communications to the correct parties when ined in this article was a cultural norm of silence on in fact this was not the case—or the engineer might ethical or safety-related matters: believe it is futile to communicate an ethical concern From the GM recall report (Valukas 2014, pp. 252–253): because no one is listening. “Some witnesses provided examples where culture, atmosphere, and the response of supervisors may have discour- aged individuals from raising safety concerns, including . . . supervisors warning employees to ‘never put anything The organization must above the company’ and ‘never put the company at risk.’” create an environment From the Columbia report (Columbia 2003, p. 138): “When workers are asked to find days of margin, they where workers can voice work furiously to do so and are praised for each extra day they find. But those same people (and this same cul- questions or concerns ture) have difficulty admitting that something ‘can’t’ or without fear of reprisal. ‘shouldn’t’ be done, that the margin has been cut too much, or that resources are being stretched too thin. No one at NASA wants to be the one to stand up and say, Also, the ease of communication may itself send a ‘We can’t make that date.’” message about priorities. If a team assigned to monitor From the Deepwater Horizon report (National Commis- safety is buried under several layers of hierarchy below sion 2011, p. 224): “A survey of the Transocean crew the true decision makers, this may be read as a signal regarding ‘safety management and safety culture’ on the that safety concerns are not as important as other con- Deepwater Horizon conducted just a few weeks before the siderations. accident hints at the organizational roots of the problem. . . . Some 46 percent of crew members surveyed felt Personal Accountability that some of the workforce feared reprisals for reporting unsafe situations.” Organizations must impress upon their workers the need to accept personal accountability for protecting Though protection from reprisal invokes the concept the public good. of whistleblower protection, this aspect of a healthy cor- The independent investigator’s review of the GM porate culture cannot be addressed simply by adopting recall cited the failure of any one person or entity to an antiretaliation policy. Instead, the culture must first take responsibility for investigating the ignition switch encourage and assist employees in raising concerns or failures as a major issue (Valukas 2014, p. 255): offering dissenting opinions, and then reward those who participate in resolving safety or other ethical issues. A cultural issue repeatedly described to us and borne out by the evidence is a proliferation of committees and a The ideal corporate culture is one that does not find it lack of accountability. . . . One witness described the necessary to protect whistleblowers at all, because prob- GM phenomenon of avoiding responsibility as the “GM lems of safety or other ethical concerns are addressed salute,” a crossing of the arms and pointing out toward openly and in the early stages, without the need for others, indicating that the responsibility belongs to drastic intervention. someone else, not me. Other Impacts of Corporate Culture Particularly in cases where a potential issue is inad- Impacts of corporate culture have been identified as a equately understood or unquantified, a healthy corpo- factor in ethical challenges other than safety-related rate culture inspires each person to take initiative and failures. assume an active role in resolving ethical concerns, SPRING 2017 19

Accountability, communication, and prioritization of policies and guidelines, and ethical codes of conduct. safety concerns were identified as issues in post-Katrina Training and resources should be regularly made avail- assessments of the New Orleans levee system (ASCE able for employees at all levels. 2007), demonstrating the need to establish a culture But even the most diligent managers and the most of safety in complex, multiorganizational engineering knowledgeable junior staff members cannot create an projects. In efforts to combat corruption in the global ethical culture without a wholehearted commitment market, corporate culture has also been identified as a to professional ethics by those at the top. The orga- key element for preventing ethical and legal lapses (US nization’s leadership has the greatest responsibility for DOJ 2012). establishing an ethical culture, as clearly stated by the Moreover, although the examples discussed in this Deepwater Horizon commission (National Commission article represent extreme cases of the impacts of prob- 2011, p. 218): lematic corporate culture, it is important to recognize [E]ven the most inherently risky industry can be made that corporate culture has an important role in the much safer, given the right incentives and disciplined day-to-day life of all engineering professionals. Every systems, sustained by committed leadership and effective engineer, regardless of role, experiences pressure from training. The critical common element is an unwaver- employers, clients, competitors, regulators, or the public ing commitment to safety at the top of an organization: at large—and the environment in which engineers face the CEO and board of directors must create the culture that pressure can have a significant positive or negative and establish the conditions under which everyone in a influence on their ability to adhere to the profession’s company shares responsibility for maintaining a relent- ethical standards. less focus on preventing accidents. In fact, an examination of cases reviewed by ASCE’s Committee on Professional Conduct, which enforces ASCE’s Code of Ethics, reveals that a faulty corporate or organizational culture was frequently a contributing Extraordinary courage factor in an engineer’s ethical misstep. These include may be required for an cases in which engineers plagiarized reports, conspired to make illegal political contributions, overbilled a pub- engineer to speak out in an lic agency, colluded on bid submissions, or fraudulently altered an approved set of design plans (ASCE 2005, environment that operates 2006, 2009, 2014, 2016). to silence dissent. Commitment to Corporate Culture Extraordinary courage may be required for an engineer Engineering and corporate leaders must first “talk to speak out in an environment that operates to silence the talk,” by setting clear policies grounded in ethical dissent. It is therefore important to train engineering standards, communicating a consistent message about professionals collectively to build ethics into their cor- ethical expectations, and offering training and resources porate culture—creating a framework in which dissent to drive compliance at all levels. Next, they must also on matters of ethical concern does not rely on extraor- “walk the walk,” by holding every person accountable dinary behavior but rather can be offered at compara- for compliance with ethical standards, ensuring that tively low personal risk. organizational incentives and disincentives align with Creating such an ethical corporate culture requires the desired behaviors, being open and transparent about active commitment at all levels of an organization. decision making, and above all providing a model of Managers must set the tone for their departments, ethical behavior through their own actions. involving other staff members in decisions, being recep- tive to questions or criticism, and carrying the message Addendum of safety and ethics to all who report to them. Junior- ASCE provides an array of ethics resources for engi- level staff should be expected and encouraged to learn neering leaders, practitioners, and students. They and expand their understanding of their professional include seminars, webinars, and publications on engi- responsibilities by studying applicable laws, corporate neering ethics, and ethics sessions at ASCE’s technical The 20 BRIDGE meetings. In addition, ASCE hosts regular Order of the ASCE. 2016. Zero tolerance for bribery, fraud, and corruption. Engineer ceremonies and publishes a monthly column Civil Engineering 86(4):44–45. Available at www.asce.org/ titled “A Question of Ethics” (www.asce.org/a-question- question-of-ethics-articles/apr-2016/. of-ethics), featuring engineering ethics case studies and Columbia Accident Investigation Board. 2003. Report, Vol. current topics. 1. Washington: Government Printing Office. Available at www.nasa.gov/columbia/home/CAIB_Vol1.html. References National Commission on the BP Deepwater Horizon Oil Spill ASCE [American Society of Civil Engineers]. 2005. Engineer and Offshore Drilling. 2011. Deep Water: The Gulf Oil plagiarizes another firm’s report on similar project. Avail- Disaster and the Future of Offshore Drilling. Available at able at www.asce.org/question-of-ethics-articles/apr-2005/. https://www.gpo.gov/fdsys/pkg/GPO-OILCOMMISSION/ ASCE. 2006. Engineers collude to suppress competition on pdf/GPO-OILCOMMISSION.pdf. government contracts. Available at www.asce.org/question- Presidential Commission on the Space Shuttle Challenger of-ethics-articles/apr-2005/. Accident. 1986. Report to the President, vol. I. Available ASCE. 2007. The New Orleans Hurricane Protection System: at http://history.nasa.gov/rogersrep/genindex.htm. What Went Wrong and Why. Hurricane Katrina External US DOJ [US Department of Justice]. 2012. FCPA: A Resource Review Panel. Reston VA. Available at http://ascelibrary. Guide to the US Foreign Corrupt Practices Act. Available org/doi/book/%2010.1061/9780784408933. at https://www.justice.gov/criminal-fraud/fcpa-guidance. ASCE. 2009. Employer reimburses employee for political cam- Valukas AR. 2014. Report to Board of Directors of General paign contributions. Available at www.asce.org/question-of- Motors Company Regarding Ignition Switch Recalls. ethics-articles/march-2009/. Available at www.nhtsa.gov/staticfiles/nvs/pdf/Valukas- ASCE. 2014. Acting as faithful agents or trustees. Civil Engi- report-on-gm-redacted.pdf. neering 84(4):40–41. Available at www.asce.org/question- of-ethics-articles/apr-2014/. Engineering societies play a critical role in providing practical ethical guidance to engineers.

Engineering Society Codes of Ethics A Bird’s-Eye View

Arthur E. Schwartz

Engineering societies play a vital role in the field of engineering ethics. Convening meetings, developing seminars and educational events, publishing resources, providing continuing education, and highlighting important developments in the field are just some of their many activities to improve professional and public understanding of the ethical challenges faced by engineers. The programs and activities spring from the values and principles Arthur E. Schwartz is exec- expressed in each society’s code of ethics, which is a starting point for any utive director, National discussion of engineering ethics in the United States and beyond. Academy of Forensic Engi neers (NAFE), and deputy Engineering Codes of Ethics: Background executive director and Historic Foundation general counsel, National As the technical disciplines of engineering emerged and expanded in the Society of Professional 19th century, engineering societies and their members recognized the need Engineers (NSPE). for practicing engineers to be guided by basic principles of appropriate conduct in their professional practice and relationships with employers, clients, other engineers, and, most importantly, the public. The engineering profession’s organizational structure began to take shape with the onset of the Industrial Age and ensuing growth of scientific and technical skill and knowledge. The American Society of Civil Engi- neers (founded in 1852), American Institute of Mining, Metallurgical and Petroleum Engineers (1873), American Society of Mechanical Engineers The 22 BRIDGE

(1880), Institute for Electrical and Electronics Engi- Adaptation and Updating neers (1884), and American Institute of Chemical Engineering society codes of ethics are continuously Engineers (1908) each focused on their field’s technical refined, updated, and influenced by ongoing profes- core but also began to explore its ethical dimensions, sional practice issues as well as changing ethical and with some developing basic canons or codes of ethics. moral attitudes. With the establishment in 1934 of the National Soci- Modifications include the removal of prohibitions ety of Professional Engineers came efforts to develop an and restrictions on advertising and other promotional overarching, multidisciplinary, common, and consis- activities, and the addition of guidelines on the provi- tent code of ethics for all practicing engineers. Other sion of price information on services, environmental practice-based engineering and technical societies also sustainability, collective bargaining, supplanting (i.e., developed codes of ethics to reflect unique professional one engineer replacing another in his relationship with customs, practices, and concerns. a client without the supplanted engineer’s knowledge or consent), and professional development. Structure and Enforcement The following sections review key common areas of The most important ethical obligations typically appear engineering society codes of ethics. at the beginning of each society’s code. The structure and enforcement provisions of engineering and techni- Primum Inter Pares: Public Health, Safety, and cal society codes of ethics vary. Some organizations have Welfare lengthy codes with detailed canons, principles, rules, The engineer’s role in protecting public health and and interpretive commentary, while others provide safety1 is regarded in most codes as the most funda- only brief statements of general philosophical positions. mental obligation. Engineers are expected to have And while some codes are aspirational and intended as a very high regard for the public good, although the general guidance, others stipulate consequences, with language varies somewhat. Codes call on engineers to disciplinary penalties for violations. “have proper regard,” consider public health and safety a “fundamental concern,” “accept responsibility for the public health and safety,” “be cognizant that their first Engineering society codes and foremost responsibility is to the public welfare,” and “accept responsibility in making decisions consis- of ethics provide guidance tent with the safety, health, and welfare of the public.” Notwithstanding the variations, it is clear that—unlike for engineers and outline other professionals, such as attorneys, physicians, or members of the clergy, who owe their primary obligation to public, employer, client, their client, patient, or the laity—the engineer’s principal and peer expectations. responsibility is to the health, safety, and welfare of the public. This duty may at times create a serious conflict (or at a minimum disharmony) with the engineer’s con- comitant obligation to the employer’s or client’s interests, Content putting the engineer in a difficult, sometimes untenable While there are significant similarities among the many position. Engineers may find themselves under significant codes of ethics of US engineering and technical soci- internal (personal) and/or external pressure and strain eties, there are also important differences in what the as they seek to address a public health and safety issue codes address and do not address. For example, all but a encountered in their professional practice. handful of societies have statements explicitly addressing disclosure of concerns to authorities, whereas only Duty to Employer or Client about half include a code or any kind of statement Many codes refer to the obligation of the engineer to concerning discrimination or harassment, and about act as a “faithful agent or trustee.” This language does a third provide guidance on sustainability and/or the environment. 1 Some codes also include “fellow workers.” SPRING 2017 23

not imply blind obedience to the employer or client but and similar entities. (However, the vagueness of the instead conveys an obligation to be direct, open, and term “appropriate authorities,” which appears in many clear and to act for the benefit of the employer or cli- engineering codes of ethics, is itself a challenge, as it ent, balanced with other ethical obligations such as the does not provide clear guidance about the appropriate protection of public health, safety, and welfare. agencies to which the engineer should report.) Even if reporting to the employer or client does not Disclosure of Concerns to Clients result in satisfactory action or follow-up by appropriate Most professional society codes of ethics recognize the authorities to address the engineer’s concerns, it is gen- engineer’s obligation to advise the employer or client of erally recognized that the engineer has fulfilled his or concerns discovered by the engineer in connection with her ethical obligation by reporting to the appropriate his or her work. authorities. Such concerns may arise when a project is not suc- In all cases, the engineer should cooperate and cessful (i.e., it does not meet the needs and require- provide all necessary information to the appropriate ments of the client and the public), the cost of the authorities and government agencies. project varies from what was originally estimated, or the engineer observes improprieties on the part of other Competency consultants, contractors, or public officials. Problems Professional, technical competence is a critical ethi- that must be disclosed include violations of local build- cal obligation and, of course, central to an engineer’s ing or construction code or of federal health and safety performance. Engineering involves numerous technical or environmental law, and financial improprieties such disciplines and subdisciplines and no engineer can be as fraud, embezzlement, or bribery. competent in all. Engineers must therefore know the Sometimes disclosure raises ethical challenges for scope and limitations of their competence and not prac- engineers, particularly when an employer or client has tice beyond them. sought to restrict such disclosures through confidentiality agreements or other mechanisms. However, when the information to be disclosed involves a serious violation of law or a danger to the public, employer- or Employer- or client- client-imposed restrictions cannot stand in the way of imposed restrictions cannot the engineer’s obligation to communicate his or her concerns to appropriate parties or authorities. stand in the way of the Another challenge is the overruling of an engineer’s judgment by an individual who does not possess the engineer’s obligation to technical competence to render a knowledgeable opin- communicate concerns ion. The vast majority of engineers work in industry and government and many are managed and even supervised to appropriate authorities. by individuals who lack engineering (or any technical) education, experience, qualifications, or training. As a result, engineers sometimes find that their recommen- Furthermore, technical disciplines and subdisci- dations—based on sound engineering principles and plines often overlap and the line between them is judgment—are not accepted by their managers or super- murky and difficult to define. Engineers must recognize visors. If an engineer believes that the failure to follow when to exercise professional self-restraint, acknowl- those recommendations will endanger public health, edging that they do not always possess the competence safety, or welfare, the engineer has an ethical obligation to perform certain activities or tasks. Under certain to seek appropriate resolution. circumstances, an engineer who lacks competence in a particular area may be required to seek additional Disclosure of Concerns to Authorities education, training, or experience in order to perform Many engineering codes of ethics have provisions about certain engineering services. the engineer’s obligation to formally disclose concerns At the same time, engineers are expected to expand to appropriate authorities, such as government agencies their professional knowledge through ongoing practice The 24 BRIDGE

and education, so a healthy tension exists between the Overarching Ethical Standards obligations to practice within one’s areas of competency Conflicts of Interest and to enhance and update knowledge and skills. Engineers, particularly those who work as consultants, The obligation to perform competently also places sometimes perform work on behalf of parties in both a responsibility on engineers who manage other engi- the public and private sectors with different interests in neers. They must be certain that the latter are appro- connection with a project, transaction, or other busi- priately assigned and managed to perform engineering ness relationship. These professional relationships may services consistent with their competency for the pro- raise the question of conflicts of interest. tection of public health and safety. Engineering codes of ethics originally prohibited Because the practice of engineering sometimes over- engineers from becoming involved in any situation that laps with other professions (e.g., architecture, landscape involved a conflict of interest. However, because engi- architecture, surveying, law), engineers have an ethical neers often cannot avoid such situations, many codes obligation to understand the laws and regulations relat- were modified to instead require the engineer to disclose ing to competencies required to practice in these areas all circumstances relating to the conflict of interest. It as well as any limitations, restrictions, or prohibitions is then generally up to the client to determine whether on coterminous professional practice. it is appropriate for the engineer to continue with the professional engagement, consistent with the law. In all cases, following disclosure, even if all affected Engineers must be sensitive parties assent to the engineer’s continued involvement, engineers must be sensitive to any appearance of impro- to any appearance of priety, which could easily reflect poorly on the engineer impropriety, which could and/or the engineering profession generally. reflect poorly on the engineer Confidentiality Engineers in all areas of professional practice frequently and the engineering become privy to information that is intended by the employer or client to remain confidential. It may be profession generally. sensitive employer or client information, trade secrets, technical processes, or business information that, if disclosed or used improperly, could damage the business Signing and Sealing of Plans or other interests of the employer or client. Engineers are expected to demonstrate a professional level of care Licensed professional engineers in the United States and loyalty in the performance of their services, and have special legal and regulatory duties and responsibili- obligated to maintain an employer’s or client’s confi- ties under state law regarding their preparation, review, dences—they must not disclose information to third and approval of engineering documents (drawings, parties without permission or consent obtained in plans, specifications, reports submitted to clients or advance. There are some exceptions, but as a general public authorities). They must not affix their signature rule engineers who breach this obligation violate their or seal to any engineering plan or document that deals ethical duty and may be subject to reprimand by their with subject matter in which they lack competence. professional society. Such work must be performed under the professional engineer’s “responsible charge”—either the engineer Objectivity, Honesty, and Truthfulness who signs and seals the work or a competent subordi- Objectivity, honesty, and truthfulness with employers, nate who reports directly to and is supervised by the clients, and others are critical for establishing and main- engineer signing and sealing the work. Failure to meet taining the credibility necessary to practice effectively. these duties and responsibilities can result in the loss of Unlike attorneys, engineers are not advocates or an engineer’s license as well as disciplinary action (e.g., “hired guns” retained to marshal arguments in support suspension or expulsion from membership) by the engi- of a position. Engineers are expected to be objective, neer’s professional society. honest, factual, and truthful in their reports, studies, SPRING 2017 25

analyses, designs, assessments, feasibility papers, and that treats others in a biased manner. In addition to related documents as well as public or private state- violating code of ethics provisions, such conduct could ments, public testimony, promotional efforts, and other result in legal and other sanctions against engineers and communications and representations, both express and their employers that may reflect poorly on other engi- implied. Failure to adhere to these values and practices neers and on the engineering profession. can have grave consequences and damage the reputa- Many engineering societies address these issues in tion of the engineer, those with whom the engineer is their professional policies and other guidelines rather associated, and the engineering profession generally. than in their codes of ethics.

Engineers and the Law Sustainability/Environment Gifts, Bribery, and Violation of the Law With the growth of interest in the environment and sus- No profession can maintain public trust if its members tainable development in the United States and around fail to meet minimum legal requirements. All engineers the world, many engineering codes of ethics have sup- must follow criminal and civil laws to ensure their pro- plemented or added language to address these issues. fessional integrity and protect the public interest. Engineers, whose technical expertise and practice Engineers in both the public and private sectors may affect and shape the environment, are expected to use have contact with vendors, material suppliers, contrac- their skills to preserve and protect natural resources. tors, and other commercial parties who offer gifts of sub- Only a few codes do not address this issue specifically, stantial value in connection with existing or anticipated instead taking the position that protection of the envi- contracts. Similarly, engineers who are retained or being ronment is included in or implied by more general code considered for a project sometimes offer gifts of substan- obligations to public health and safety. tial value to public or private parties in connection with existing or anticipated contracts. Both practices violate professional society codes of ethics. US engineers practicing With the increase in global engineering practice, US engineers practicing abroad are likely to encounter vary- abroad are likely to ing ethical cultures and must navigate differing customs. At one time, the so-called “when in Rome . . .” rule encounter varying ethical prevailed as engineers and engineering firms followed cultures and must navigate local practice—for example, offering gifts and other remuneration in exchange for contracts. However, since differing expectations. the enactment of the Foreign Corrupt Practices Act (1977) and Organization for Economic Cooperation and Development (OECD) standards,2 US engineering Some engineering societies that take enforcement firms are now legally required to follow all federal anti- action against members who violate other code pro- bribery and related laws when performing engineering visions express the view that, while it is important to and related services abroad.3 have sustainability provisions in their code of ethics, it may be difficult to effectively enforce them, or that such Discrimination and Harassment provisions could elevate the legal standard to which Engineers have an obligation to be fair and just in their engineers are held and thus increase liability exposure. professional relationships and must avoid any action These societies are therefore reluctant to include such provisions in their codes of ethics.

2 The Ethics Codes and Codes of Conduct in OECD Countries Expert Witness Testimony are available at www.oecd.org/fr/gov/ethique/ethicscodesand- Engineers may be called upon to assist in the resolution codesofconductinoecdcountries.htm. of legal and other disputes between parties in litigation 3 There is a limited exception for “facilitation payments” (e.g., or to testify before other public authorities. Engineers connecting to the electric grid, water, sewage hookup, installation of internet services) to acknowledge local compensation serving in this role are expected to be objective, hon- customs and practices. est, factual, and truthful and to incorporate all pertinent The 26 BRIDGE information in their reports, studies, analyses, designs, addressing contemporary issues that affect the practice assessments, feasibility papers, statements, testimony, of engineering. and related documents. As expert witnesses they should In the years ahead engineers can be expected to play express an engineering opinion only when it is founded an increasingly important role in global issues. Climate on knowledge of the facts, technical competence, and change, sea level rise, access to potable water, sustain- honest conviction. able energy, food security, and the enormous worldwide growth in urban populations will present significant Conclusion ethical challenges for engineers. Engineering profes- Engineers and engineering and technical societies have sional and technical societies can provide ethical guid- an ongoing obligation to carefully review and rec- ance to assist their members in addressing these crucial ommend updates to their codes of ethics, in order to challenges. balance enduring ethical values and principles while Engineers can use codes of ethics to preserve their personal legal rights and reduce their risk of personal legal liability.

Engineering Codes of Ethics Legal Protection for Engineers

Jeffrey H. Matsuura

In cases involving corporate misconduct, senior management may attempt to blame engineering staff for product or service defects or failures. In the Volkswagen emission testing scandal, for example, at various times during the company investigation Volkswagen executives suggested that engineering staff were largely responsible for the problem (AP 2015; Connett 2015). Those claims left the engineers involved vulnerable to termination of Jeffrey H. Matsuura is Of employment and legal claims raised by Volkswagen, by government authori- Counsel, Alliance Law ties, and by individual consumers harmed by the scandal. Group, Tyson’s Corner, Volkswagen management, in effect, attempted to make company engi- Virginia. neers scapegoats for this major corporate scandal. If engineers had created a written record using codes of ethics to document their concerns and objections, that record could have been used to rebut such unfair corporate allega- tions and to defend themselves from legal liability. This article is written purely for educational purposes, solely to inform engineering professionals how codes of ethics can help them preserve and express their personal legal rights and reduce their risk of personal legal liability. It is also intended to encourage professional engineering organizations to recognize and consider the defensive use of their codes of ethics as they establish and modify them. If those organizations appreciate the potential defensive value of their codes for their members, they will exercise appropriate care to ensure that the codes provide an effective tool for assisting The 28 BRIDGE engineers to protect themselves from liability and to Written records describing concerns and objec- exercise the full range of their legal rights. tions and referencing specific code prohibitions and Professional engineering societies should consider cautions help the engineer present a defense if claims participating in litigation in which their members of insubordination, malicious conduct, or failure to appropriately exercise their legal obligation to adhere perform are raised by an employer or client. Such to the terms of the society’s codes of ethics. By pro- records also provide evidence of the engineer’s efforts viding expert testimony and filing briefs in support of to obtain “whistleblower” status, and the legal pro- members, the organizations will both encourage engi- tections associated with that status, if the engineer neers to honor and respect the codes of ethics and chooses to raise the concerns with appropriate gov- enhance the overall beneficial impact and value of ernment authorities. those codes. Whistleblower Protection Keeping a Written Record The federal government and 17 states2 provide protec- If asked or ordered by an employer or client to engage tion for individuals qualifying as whistleblowers (NCSL in conduct an engineer believes in good faith to be sus- 2010). A whistleblower is an individual who alerts pect, the engineer should immediately consult codes appropriate legal authorities about behavior that the of ethics and professional responsibility for the lead- individual reasonably believes to be illegal or fraudu- ing professional organizations in his or her engineering lent. In some jurisdictions, whistleblower protections field.1 Some codes require an engineer to communicate extend to reports of actions that threaten public health, ethical concerns directly to the employer or client. safety, or the environment. Whistleblowers are generally protected against employment termination and other retaliation or Engineers should express harassment by employers and other employees. Federal whistleblower protections are largely limited to reports ethical concerns in writing, of misconduct associated with workplace health and safety and environmental protection, but under some specifically referencing circumstances whistleblowers who report government applicable code provisions. contracting fraud or misconduct or securities law violations may also qualify for federal whistleblower protection. Some states provide broader whistleblower If a code bars or discourages the conduct and requires protection. the engineer to communicate ethical concerns to the Whistleblower protection requires proof that the employer or client, the engineer should express the report of misconduct is based on a reasonable assess- ethical concerns in writing, specifically referencing ment of the circumstances. Written references to engi- the applicable code provisions. Copies of this writ- neering codes of ethics can be helpful on this point. If ten expression of concern and code of ethics reference an engineer has clearly expressed his or her concerns should be provided to the person who ordered the within the relevant organization and cited appropri- action and to appropriate human resources depart- ate codes of ethics, and if despite those concerns the ment staff. The engineer should also retain a copy of organization continues the conduct, the engineer can the document in his or her off-site personal records. present this history to the appropriate legal or regula- If there has been a mistake or misunderstanding, this tory authority. action will likely force clarification. If the order stands Documentation of a dispute and associated profes- even after the written expression of concern, then the sional concern can help to persuade an authority of the engineer has begun to establish documentation of both reasonableness of the engineer’s claim, thus facilitating his or her concern and the basis for that concern in the a request for whistleblower status. code of ethics.

1 A list of selected professional societies with posted codes of eth- 2 Another 18 states provide whistleblower protection only for ics follows this article. state government employees. SPRING 2017 29

Protection from Retaliation Professional Society Codes of Ethics Codes of ethics can help engineers pursue their own (selected list) legal action against an employer or client if the engi- American Institute of Chemical Engineers: www.aiche.org/ neer faces reprisals as a result of expressions of concern about/code-ethics or refusal to follow orders. In many states, courts recog- American Society of Civil Engineers: www.asce.org/code-of- nize claims of wrongful termination raised by employ- ethics ees against employers, but employees bear the burden American Society for Engineering Education: https://www. of demonstrating that the termination of employment asee.org/member-resources/resources/Code_of_Ethics.pdf was illegal. American Society of Mechanical Engineers: www.asme.org/ Documentation that the engineer raised reasonable getmedia/9EB36017-FA98-477E-8A73-77BO4B3BD410/ concerns of illegal, fraudulent, or potentially harmful P157_Ethics.aspx conduct by the employer strengthens the engineer’s Association for Computing Machinery, Software Engineering: case. By demonstrating that the engineer’s actions were www.acm.org//about/se-code motivated by reasonable professional concerns—an Institute of Electrical and Electronics Engineers: www.ieee. argument made more compelling through reference to org/about/ieee_code_of_conduct.pdf specific codes of ethics—the engineer presents a stron- National Society of Professional Engineers: www.nspe.org/ ger case that the termination was retaliatory and not resources/ethics/code-ethics justified by insubordination. An extensive list of national and international orga- If government authorities, including law enforcement nizations and their codes of ethics is available from the and regulatory agencies, or individual people harmed by Illinois Institute of Technology (http://ethics.iit.edu/ a product or service raise legal claims against an indi- ecodes/ethics-area/10?title_op=word&title=). vidual engineer, the documentation of that engineer’s concerns and objections based on the terms of codes of References ethics can enhance the engineer’s defense against per- AP [Associated Press]. 2015. Volkswagen exec blames rogue sonal liability. That documentation can help to transfer engineers for emissions scandal. New York Post, October 8. liability from the engineer to the employer or client. Available at http://nypost.com/2015/10/08/volkswagen- Conclusion exec-blames-rogue-engineers-for-emissions-scandal. Connett D. 2015. Volkswagen emissions scandal: Few Codes of ethics provide important tools to help engi- rogue engineers are to blame, says VW chief execu- neers protect themselves against reprisals and personal tive. Independent (UK), October 8. Available at www. legal liability. They also facilitate efforts by engineers independent.co.uk/news/business/news/volkswagen- to exercise their personal rights in interactions with emissions-scandal-few-rogue-engineers-are-to-blame- their employers and clients. Professional engineers says-vw-chief-executive-a6687201.html. should recognize this significant value of the codes and NCSL [National Conference of State Legislatures]. 2010. should, in consultation with their personal lawyers, be State Whistleblower Laws. Available at www.ncsl.org/ sure to integrate the code provisions in their daily pro- research/labor-and-employment/state-whistleblower- fessional actions. laws.aspx. Engineers can better serve the public by considering costs and benefits in addition to failure, and by working more closely with the public.

Beyond Protecting the Public from Risk

Robert B. Gilbert

A common perception is that engineers’ responsibility is to protect the public from risk. This perception is reinforced in engineering design guidelines and standards that focus on minimizing the chance of failure for engineering systems. However, the reality of what the public is willing to accept indicates that it is not necessarily averse to risk. What if the public is not averse to risk? It would mean that upholding Robert B. Gilbert, PE, is the first canon in the engineering code of ethics, “Engineers shall hold Brunswick-Abernathy paramount the safety, health, and welfare of public,” is not necessarily best Regents Professor in Soil achieved by minimizing the chance of failure. Maybe the optimal solution Dynamics and Geotech is to expend more resources to enhance welfare by taking on additional risk. nical Engineering in the The key is that the engineering profession does not and cannot know the Department of Civil, best interest of the public’s welfare without substantively and continuously Architectural, and Envi interacting with the public it serves. ronmental Engineering at This article first presents evidence that the public is not necessarily averse the University of Texas at to risk. It then suggests practical means for the engineering profession to Austin. hold paramount the safety, health, and welfare of the public beyond minimizing the chance of failure for engineering systems. Last is a discussion of the important role of engineering education in helping engineers work with the public to manage risk. Managing risks from floods is used throughout to illustrate the points. SPRING 2017 31

Is the Public Averse to Risk? On the 10-year anniver- sary of Hurricane Katrina, the New Orleans District Commander for the US Army Corps of Engineers, Col. Richard Hansen, said the following (US Army 2015; emphasis added): “The nation made a commitment after Katrina to the city and areas affected by the hurricane” and the engineers “made a promise to themselves and to the agency that [Katrina] wasn’t going to happen again.” The result is the Hurricane and Storm Dam- age Risk Reduction System. At about the same time, a few years after Superstorm Sandy, New York City announced that it “will spend $100 million to build a new flood protection system to shield lower Man- hattan from major storms” (Durkin 2015; emphasis added). This intent to protect the public from risk is FIGURE 1 US Army Corps of Engineers (USACE) designation of “unacceptable” risk for US dams, and comparison of flooding risks with the California Delta levees, New Orleans hurricane levees, manifested in engineering and Lower Green River Valley (Washington) levees. policy and design guidelines. The US government has established guidance Furthermore, the public is not willing to spend an for the level of risk associated with flooding from major unlimited amount to reduce risks.1 In New Orleans, the dams that is considered “unacceptable” (figure 1). In $17 billion spent to upgrade the system of flood levees, the spirit of the intent to reduce risk, these thresholds walls, and gates after Hurricane Katrina corresponds to are comparable to the risks to the public from meteor- about $100,000 invested per expected life saved over its ites (USNRC 1975; Whipple 1984). 100-year design life. For context, US guidelines for envi- It is possible, however, that a public aversion to risk ronmental regulations consider a threshold cost of about is more perception than reality. Recent assessments of $10,000,000 per expected life saved (Borenstein 2008). flooding risks for a variety of levee systems in the Unit- ed States indicate that the risk levels actually achieved 1 are between ten and more than a thousand times great- For example, there was some public discussion about spending more money on the levee system in New Orleans, using a 500- er than the guidelines for flooding from major dams year versus 100-year design basis, but after resistance to the idea (figure 1). it was not pursued. The 32 BRIDGE

There is no absolute threshold for what the public rather than abruptly collapsing and releasing a pow- wants or will accept or reject concerning risk because erful rush of water that can cause significant damage there are benefits and costs at play. There are benefits to property and life? to living in New Orleans, the fourth largest port in the • What are the possible consequences of a failure world; the California Delta, the state’s primary supply and available means to manage them? In addition of water; and Washington’s Green River Valley, a major to checking the hydraulic, geotechnical, and struc- hub of commerce and trade. Thus people do not always tural stability of a levee system, how about including appear to be logical in making decisions in the face of checks of the transportation system for the capacity, uncertainty, and they do not consistently choose to efficiency, and quality3 of evacuation? minimize or even reduce risk (e.g., Smutniak 2004). For these reasons, upholding the first canon in the • Can the system be readily adapted to changing condi- engineering code of ethics, to “hold paramount the safe- tions in the future? If the 100-year flood level changes ty, health, and welfare” of the public,” does not neces- with new information or due to changing climate or sarily mean “reduce all risk.” It means working with the land-use conditions, can the heights of levees or walls public to develop an optimal balance of benefits, costs, be raised (or lowered) efficiently in the future? and risks on a case-by-case basis in making decisions • What is the actual lifetime of an engineering system and developing effective engineering solutions. and how can it be controlled? If the design life for a levee system is 50 years, can it be designed to be readi- People are not always logical ly reused, relocated, or modified at the end of 50 years? • What are the risks, costs, and benefits associated with in the face of uncertainty, providing for different chances of failure? Instead of focusing only on the most cost-effective way to meet and do not always choose to a design criterion, what is the optimal balance of minimize or even reduce risk. risks, costs, and benefits for a specific project? Design standards and guidelines (i.e., precedent) play a Beyond Minimizing the Chance of Failure significant role in advancing engineering beyond reducing the chance of failure. Progressive design approaches that Engineering design practice tends to focus on reduc- promote rather than stifle creative and “nonstandard” ing or preventing the possibility of failure: preventing solutions are needed. If the optimal solution depends loads from exceeding capacities, preventing deforma- on project-specific risks, costs, and benefits (and may tions from exceeding allowable values, preventing change with time), then there cannot be uniform or motions from exceeding tolerable thresholds. The absolute design criteria. If an impediment to successful title and lede of a recent cover story in PE Magazine evacuation in advance of a flood is the infrequency of the illustrate this emphasis: “Tragic Reminders. Recent need (i.e., people are surprised and not prepared), then is events such as tainted drinking water, a safety scare in a better solution to design for more frequent flooding so the nation’s capital, and a toxic waste release reiter- that preparedness is a regular way of life? ate the irreplaceable role that professional engineers Moreover, design practice tends to focus on compo- play in ensuring2 the public health, safety, and welfare” nents (e.g., individual columns, piles, levee reaches, (Kaplan-Leiserson 2016). gates, or pumps), whereas it is the performance of the There are many important considerations in design system that really matters to the safety, health, and beyond reducing the chance of failure: welfare of the public. Design approaches must consider • How does the system perform after it has “failed” and the performance of the overall system, including how can it be designed to fail gracefully? Can a floodwall it might fail and how the consequences of a failure can be designed to gradually pass water as the flood pres- best be managed. sure increases (e.g., with cleverly designed fuses), 3 The quality of an evacuation is determined by factors such as 2 Note that the first canon in the code of ethics is to “hold para- people’s ability to take their pets and the availability of suitable mount,” not “ensure,” the safety, health, and welfare of the public. shelters to accommodate evacuees. SPRING 2017 33

In addition to improving design standards and guide- curriculum and are prerequisites to nearly every other lines to better address factors beyond failure, the engi- technical class. neering profession needs to engage and listen to the Math is clearly necessary, but there are two downsides public in order to serve the public welfare: to this strong focus. 1. Involve the public meaningfully in significant design 1. There are right and wrong answers in math. Even decisions. The stakeholders paying for and affected by in probability and statistics, the subject is tradition- a levee system should participate in establishing the ally taught with problems where there are single cor- level of protection provided by that system. rect answers for a probability value or a confidence 2. Communicate clearly with the public about the costs, interval. benefits, and risks of different design alternatives. If 2. Math is an individual exercise that does not require members of the public are going to be engaged, they communication, interaction, or collaboration. need to be as informed as possible in participating in Thus although math is essential to solving engineer- the decision making. ing problems effectively, additional knowledge, skills, 3. Engage the public from the beginning and through- and perspectives are essential to best serve the public. out, from conception to design, implementation, and operation. A single public meeting in which the preferred solution is presented for comment is not an effective way to involve the public. A single public meeting in 4. Recognize that the public is diverse, with as many perspectives and values as there are individuals. which the preferred solution While consensus may be impossible, transparency, is presented for comment effective communication, and active inclusion are all achievable. is not an effective way to 5. Work collaboratively and continuously with non engineers who are experts in public relations, soci- involve the public. ology, psychology, public health, and economics. Effectively engaging the public requires expertise far Uncertainty outside of engineering, and it is the ethical responsi- Engineering education should embrace uncertainty bility of engineers to not practice in areas outside of throughout the curriculum. There needs to be a consis- their competence. tent message to all students, from freshman to continu- 6. Ensure that the expertise of the engineering profession ing education classes, that there is uncertainty, that it is is included in major policy and design decisions. not bad, and that there are effective techniques to help 7. Be open to criticism and change. While there are manage it. “rights” and “wrongs” in mathematics, there are no single “right” solutions to serving the welfare of the public. • Illustrative examples of uncertainty should be pre- Solutions may change over time and with setting. sented in every subject. For example, the 100-year wave height in the central Gulf of Mexico was 22.6 m In the example of managing risks from floods, the based on nearly a century of data—until three hur- optimal solution for public welfare may be to spend ricanes in just two years (2004 and 2005); it is now more resources on levees at the expense of resources 28.1 m (API 2013). allocated to major dams, or to spend more on land-use planning and evacuation and less on levees and dams. • Practical exercises should be developed and implemented to help students learn how to assess uncer- Role of Engineering Education tainty. Meteorologists are very effective at assessing Engineering education plays a key role in moving (and communicating) uncertainty because they have beyond protecting to serving the public. The challenge to practice it every day. is that traditional engineering education is centered • Problems and case histories should be provided in on mathematics—math classes dominate the technical which uncertainty is managed by developing solu- classes in the first two years of a typical undergraduate tions that are either insensitive to the uncertainty The 34 BRIDGE

or that accommodate the range of possibilities posed the chance of failure. Instead it is achieved by working by the uncertainty. One example of a case history is with the public to develop an optimal balance of ben- engineers’ finding that offshore oil and gas platforms efits, costs, and risks on a case-by-case basis in making with four or more legs fared much better than those decisions and developing effective engineering solu- with three legs when wave heights exceeded design tions. The catch is that it is easier to minimize failure values, thanks to the added redundancy and robust- than it is to figure out what best serves the interests of ness (Energo Engineering 2007, 2010). the public. Engineers can better serve the public by address- Experiential Learning ing not only the chance of failure in design but also Engineering education should rely more heavily on factors such as performance, adaptability, endurance, experiential learning. The best way for engineers and costs and benefits. They should also develop more to learn how to interact with and serve the public is progressive design standards and guidelines, and work to practice doing it. Structured exercises, preferably more closely with the public. These opportunities working on real problems with real public stakehold- can be realized by improving engineering education ers, should be integrated into all levels of engineering so that students embrace uncertainty, practice on real education. The key to an exercise being structured is projects, and understand the importance of public to allow for the possibility of failure, because the best involvement. learning comes from failure: References • When students are unprepared at a meeting with city API [American Petroleum Institute]. 2013. Derivation of representatives they learn that they better have a firm Metocean Design and Operating Conditions. Recom- grasp of codes and regulations before they start trying mended Practice 2MET, 1st ed. Washington. to solve a problem. Borenstein S. 2008. An American life worth less today. Asso- • When students are questioned by a professional engi- ciated Press, July 10. neering mentor about an unreasonable cost estimate Durkin E. 2015. New York will fund $100M flood protection they learn to be careful about reviewing and under- project to shield lower Manhattan from major storms. New standing the information they present. York Daily News, August 27. DWR [Department of Water Resources]. 2008. Delta Risk • When students inadvertently promise the public Management Strategy Phase 1, Risk Analysis Report. something that is not possible they learn about ethi- Sacramento. cal responsibility. Energo Engineering. 2007. Assessment of Fixed Offshore Plat- An added benefit of practicing on real-world prob- form in Hurricanes Katrina and Rita. Report Prepared for lems is that the students are both serving the public the US Department of the Interior Minerals Management before graduating and, in the process, educating the Service, MMS TAR No. 578. Houston. public about engineering. Energo Engineering. 2010. Assessment of Damage and Fail- ure Mechanisms for Offshore Structures and Pipelines in Public Involvement Hurricanes Gustav and Ike. Report Prepared for the US Engineering education should emphasize public Department of the Interior Minerals Management Service, involvement. Engineers should be an integral and MMS TAR No. 642. Houston. active part of all communities, from neighborhood Gilbert RB. 2013. Expert Engineering Independent Third- associations to Congress. Encouraging engineering stu- Party Review, Briscoe-Desimone Levee Design, Green dents to participate in local planning activities could River Basin, State of Washington. Prepared for the King lead to greater participation throughout their careers County Flood Control District. and possibly even lead to more engineers running for IPET [Interagency Performance Evaluation Task Force]. public office. 2009. Performance Evaluation of the New Orleans and Southeast Louisiana Hurricane Protection System, Vol. Summary VIII: Engineering and Operational Risk and Reliability Holding “paramount the safety, health, and welfare of Analysis. Final Report. Washington: US Army Corps of public” is not necessarily best achieved by minimizing Engineers. SPRING 2017 35

Kaplan-Leiserson E. 2016. Tragic reminders. PE Magazine, USNRC [US Nuclear Regulatory Commission]. 1975. Reac- May/June. tor Safety Study: An Assessment of Accident Risks in Smutniak J. 2004. Living dangerously. The Economist, Janu- US Commercial Nuclear Power Plants, NUREG-75/014. ary 22. Available at www.economist.com/node/2347805. Washington. USACE [US Army Corps of Engineers]. 2014. Safety of Dams: Whipple C. 1985. Approaches to acceptable risk. In: Risk- Policy and Procedures. ER-1110-2-1156. Washington. Based Decision Making in Water Resources, eds. Haimes US Army. 2015. Engineers take protecting New Orleans per- YY, Stakhiv EZ. Proceedings of an Engineering Foundation sonally. Army News Service, August 17. Conference, ASCE, Santa Barbara, November 3–5. Flawed or misused analytic techniques for assessing pollution risk can allow environmental injustice, disproportionate health harm to children and to poor or minority communities.

How Some Scientists and Engineers Contribute to Environmental Injustice

Kristin Shrader-Frechette

As Danny Glover put it, environmental injustice (EIJ) is about the fact that South-Central Los Angeles children have only one-third of the lung capacity of Santa Monica children (van Gelder 2001). South-Central LA is mostly black and heavily polluted; Santa Monica is mostly white and pris- tine. Children bear the brunt of the difference. In most nations poor people, minorities, and children bear EIJ—dispro- Kristin Shrader-Frechette portionate pollution that causes poorer health and higher death rates. This is O’Neill Family Professor, article shows how scientists and engineers contribute to EIJ if they mask, Department of Biological thus encourage, EIJ by using flawed analytic techniques such as short-term Sciences and Department studies or incomplete verification and validation. It illustrates EIJ effects of of Philosophy, and direc- three such errors: using small or nonrepresentative samples, misrepresenting tor of the Center for uncertainty, and misusing statistical significance. Environmental Justice and Children’s Health, Background University of Notre Dame. Each year US industry releases into the environment more than 4 billion pounds of toxic chemicals that contribute to the 40 percent of all global disease and premature death caused by environmental factors, especially pollutants (CEHC 2016; Pimentel et al. 2007). The World Health Organiza- tion (WHO 2014) says air pollution alone causes 7 million global, annual, premature, preventable deaths. SPRING 2017 37

But pollution doesn’t affect everyone equally. People imbalance. Industry’s annual spending on environmen- of color are a majority of residents living within 3 km tal-health research is 100 times that of government, and of US hazardous-waste sites, and they are 3–9 times its scientific results often are protected by trade-secrets more likely than whites to be exposed to toxin-releas- laws (Shrader-Frechette 2007a, pp. 76–112). Coupled ing facilities such as waste incinerators (Bullard et al. with financial conflicts of interest, this funding imbal- 2008; Lougheed 2014). Of nearly 4 million residents liv- ance means that industry-funded research may use ing within the fenceline zones1 of 3,433 US chemical flawed science to generate pro-industry conclusions facilities, the proportion of blacks is nearly 100 percent (Krimsky 2004). For instance, one false-negative bias— greater than their percentage of the US population, and that masks EIJ—involves giving averages or point esti- the percentage of Latinos is 60 percent greater (Orum mates instead of ranges or distributions of pollution et al. 2014). levels. Yet pollution at the tail of the distribution, not Poor and minority children are hurt worst by EIJ, average levels, typically hurts people. partly because infants and children have unique biological vulnerabilities, proportionately heavier pollution Flawed Science about Product and Pollutant Harm exposures, and higher respiration rates and sensitivities. Still another reason for EIJ is weak regulations. Epide- Rates of ADHD, asthma, autism, birth defects, cancer, miologist David Michaels (2008), President Obama’s and reduced IQ have all been rising, at least partly from assistant secretary of labor, says the US health-regula- increased environmental pollution, including exposure tory system is broken because flawed science and engi- to 80,000 synthetic chemicals, most of which did not neering dominate it and encourage EIJ. He shows how exist 50 years ago (Grandjean 2013; Grandjean and unscrupulous product-defense, contract-research, and Landrigan 2014). Of the 20 US highest-volume toxic- private consultants misuse analytic techniques, “manu- chemical releases, physicians say 75 percent are known facture” uncertainty about obvious product/pollutant or suspected to be neurodevelopmentally toxic to chil- harm, control the scientific literature, and thus derail dren (CEHC 2016). needed regulations.

Why EIJ Continues For two-thirds of the 3,000 high-production-volume The 1976 Toxic Substances chemicals (those with a production volume of at least 1 million pounds/year), the US government has no Control Act grandfathered information on their child-harm potential. One reason is the failure of the 1976 Toxic Substances Control Act 62,000 already-in-use (TSCA), including its grandfathering 62,000 already- chemicals without any testing. in-use chemicals without any testing.

The Industry-Government Funding Imbalance Of course, most researchers never fall into research Another reason for EIJ and poor pollutant informa- misconduct—that is, falsification, fabrication, or pla- tion is chronic underfunding and understaffing of the giarism (ORI 2011). Statistically, however, because US Environmental Protection Agency (EPA), respon- biased methods can give funders the results they sible for enforcing TSCA. The result? Without over- want, social scientists agree that knowing the funder whelming evidence to the contrary, regulators typically generally predicts science and engineering results presume existing pollutants are safe (GAO 2015, pp. (Krimsky 2004). 280–287; Grandjean and Landrigan 2014). Investigating flawed scientific techniques in the A further reason for EIJ and poor pollutant informa- chemical industry, a prominent US National Research tion is the industry-versus-government science-funding Council report warned that “a study cannot be ethically acceptable if it is scientifically invalid,” for example, if it lacks “adequate statistical power” or is not “reported 1 The fenceline zone is an “area designated as one-tenth the dis- comprehensively” (NRC 2004, p. 7). tance of the vulnerability zone, in which those affected are least likely to be able to escape from a toxic or flammable chemical Besides being unethical, invalid science and engineer- emergency” (Orum et al. 2014, p. 1). ing also can cause EIJ. Three of many flawed analytic The 38 BRIDGE techniques that encourage EIJ include employing small induces cancer in humans through genotoxic mecha- or nonrepresentative samples, misrepresenting uncer- nisms. Decades-long, controlled, 600,000-person stud- tainty, and misusing statistical significance. ies, across the US, have shown that any nonzero DPM or PM exposure increases risks such as Alzheimer’s, Employing Small or Nonrepresentative autism, birth defects, cancer, cardiovascular disease, Samples Parkinson’s, and respiratory disease (e.g., Costa et al. When scientists or engineers test samples that are non- 2014; Krivoshoto et al. 2008; Oudin et al. 2016; Pope representative or include only a few of many instances and Dockery 2006; Pope et al. 2009; Raz et al. 2015; or subjects, they risk false negatives, false conclusions Shrader-Frechette 2015; Terzano et al. 2010). of no harm. A typical case in which scientists appear to have drawn false conclusions of no harm, at least partly ACES Tested Only the Healthiest, Least-Sensitive because of their small, nonrepresentative samples, is the Individuals 2015 joint EPA and auto-industry Advanced Collabora- One reason ACES rejected scientific consensus about tive Emissions Study (ACES). diesel risks appears to be that it used only short-term studies. ACES claimed to have done “lifetime” exposure studies of “clean diesel,” but instead tested only rats at Early environmental the middle, healthiest parts of life. This is equivalent to testing only humans older than age 6—far beyond the pollution exposures often period when children can be up to 40 times more sensitive than adults. This sensitivity explains why many “program” children for prominent scientists have documented higher rates of different diseases later in life. child autism and IQ losses that are proportional to higher PM and DPM traffic exposures (e.g., Becerra et al. 2013; Harris et al. 2015; Makhijani et al. 2008; Raz et al. 2015). The Controversial “Clean-Diesel” Research Using such nonrepresentative samples (McDonald et ACES assessed the health effects of “clean diesel” (as al. 2015), ACES ignores the way that early environ- defined by 2007 US air-pollution standards). After mental pollution exposures typically “program” chil- using several questionable methods, such as employ- dren for various diseases later in life (e.g., Grandjean ing no positive controls, inaccurate state variables, and 2013; Grandjean and Landrigan 2014). By preselecting small, nonrepresentative samples (Shrader-Frechette subjects that had no typical infant or juvenile exposure, 2015), ACES concluded that “clean diesel” is neither ACES was less likely to detect diesel harm. carcinogenic nor genotoxic (Greenbaum et al. 2015). Despite its denial of carcinogenicity and genotoxic- ACES Tested Only Small Samples, 3–5 Rats ity, ACES admits that “clean diesel” (which removes In addition, ACES’ samples of only 3–5 rats, at each only some diesel-particulate matter [DPM] from regular of 4 exposure levels (McDonald et al. 2015), are too diesel exhaust) still contains 200,000–800,000 DPM small by a factor of 1000 to detect most harm (Shrad- particles per cubic centimeter (Greenbaum et al. 2015; er-Frechette 2015). ACES’ small samples are puzzling McDonald et al. 2015). Yet DPM has no safe dose. because using thousands-of-rats samples would have Each particle can move directly and immediately into been easy and inexpensive, compared to human testing the brain and lungs, then to the blood and all organs, (e.g., Hamra et al. 2015). where it causes inflammation, oxidative stress, block- This small-sample bias thus masks diesel’s EIJ harm, age, disease, or death (APHA 2014; CalEPA 2007; not only to sensitive populations such as children and IARC 2012; Pope and Dockery 2006; Pope et al. 2009; sick or elderly people, but also to minority and poor Shrader-Frechette 2015; US EPA 2013). people who tend to live near highways where DPM is No wonder the WHO, International Agency for highest. In Los Angeles County, for instance, mobile Research on Cancer, American Public Health Associa- pollution sources like vehicles generally cause 90 per- tion, and most scientific and medical groups say that cent of the total cancer risk from air pollution, but any amount of diesel exhaust is carcinogenic. They say DPM alone causes 80 percent of this risk (South Coast “strong evidence” shows that diesel, especially DPM, AQMD 2015). SPRING 2017 39

How Small, Nonrepresentative Samples Mask Harm or reflect cumulative effects of data variability, uncer- and Help Cause EIJ tainty analysis can assess both random error and bias Because nearly all US freight trucks and trains use die- (Jordaan 2005; Shrader-Frechette 2007a, pp. 76–112). sel fuel, intermodal-freight-transport hubs and high- Uncertainty analysis is especially needed when sci- ways have especially high DPM levels. Yet because hub entists or engineers estimate long-term, inaccessible, or neighborhoods are mostly African-American or Latino, difficult-to-predict harm, such as 10,000-year effects of they bear diesel EIJ (Hricko et al. 2014; US EPA 2014). climate change—or the timing, route, and volume of The mostly Latino residents of the Los Angeles neigh- pollutants that may escape from a hazardous-waste site. borhood surrounding the East Yards intermodal-freight- Otherwise, experts’ well-documented overconfidence, transport facility, for instance, have cancer rates up to representativeness, anchoring, and other cognitive 19 times higher than average-US rates, and 11 times biases could compromise sound science and promote EIJ higher than Los Angeles County rates (CalEPA 2007; (Bullard et al. 2008; Kahneman et al. 1982). US EPA 2013). Chemical-Industry Small Samples Small-sample pollution testing Why has government not prevented the higher cancer rates in areas like East LA? One reason is that small- can allow polluters to tell sample, nonrepresentative pollution testing, like what government and EIJ victims ACES did, allows many polluters to tell both government and EIJ victims that their air, water, or food is safe that their air, water, or food when it is not. Polluters have used small samples for a long time, and they usually get away with doing so. is safe when it is not. For instance, in 1993 the US National Research Council (NRC 1993) warned about likely child-neuro- The Flawed MIT Study developmental harm from then-current pesticide regulations. As a result, Congress directed EPA to reassess Yet even well-known engineering analyses, like the possible harm and imposed stricter pesticide regulations classic MIT study of commercial-nuclear-accident during the 10 years of reassessment. probabilities, misrepresent uncertainty either through Yet EPA found no neurodevelopmental harm, and it subjective assumptions or failure to do uncertainty rejected the stricter pesticide regulations. Why? Part of analysis. The MIT engineers relied on purely theoretical the reason is that it relied on pesticide studies present- calculations, assumed that control-rod and other failure ed by the chemical industry. All 22 chemical-industry probabilities were independent, then concluded that studies—submitted to EPA in response to the stricter nuclear-accident risks were only 1/17,000 per reactor- pesticide regulations—had small samples, averaging year, about 1 in 5 for all US reactors during their life- only 25 subjects. Yet only sample sizes hundreds of times times. Unsurprisingly, the American Physical Society larger could avoid most false-negative conclusions that and US Nuclear Regulatory Commission said they do current pesticide regulations were safe. In addition, all “not regard as reliable” the MIT “numerical estimate of chemical-industry studies had further false-negative the overall risk of reactor accidents” (Shrader-Frechette biases because they were only hours or days long, far 2014; US NRC 1975, 1979). too short a time to detect neurodevelopmental harm Even worse, US, Dutch, and other engineers showed (Shrader-Frechette 2007b). that the MIT study ignores empirical data, exhibits overconfidence biases, thus overestimates nuclear safe- Misrepresenting Uncertainty ty. When they compared actual US reactor-accident Researchers also can bias their results and contribute frequencies from Oak Ridge data, with the MIT pre- to EIJ when they misrepresent uncertainty or fail to do dictions for the same 7 events, the actual occurrence uncertainty analysis, a statistical assessment of the reli- rates for all 7 accident types were outside MIT’s 90- ability of scientific or engineering judgments about the percent-confidence bands. The MIT authors said these values attributable to estimates, models, or measures. accidents had only a 10 percent probability. Simply Whenever such values are untestable, rely on unknowns, checking available empirical data could have avoided The 40 BRIDGE this misrepresentation of uncertainty (e.g., Cooke 1982; geneity), reliable inferences are impossible (Greenland Shrader-Frechette 1991, 2007a; US NRC 1975). 1990; Shrader-Frechette 2014). Yet scientists and engineers frequently demand statis- Biased DOE Studies tically significant results from nonrandomized data, or Similar misrepresentations occurred when US Depart- they invalidly deny health damage from pollutants, e.g., ment of Energy (DOE 2000) engineers assessed the near toxic-waste dumps. With hundreds of thousands million-year safety of the proposed Yucca Mountain, of such US dumps, disproportionately sited in poor or Nevada, nuclear-waste repository. After DOE failed to minority communities, invalid statistical analyses can do uncertainty analysis, then made optimistic predic- promote EIJ (Bullard et al. 2008; Rushton 2003; Shrad- tions about repository safety, scientists from the Inter- er-Frechette 2012, 2015; Triassi et al. 2015.). national Atomic Energy Agency used DOE’s own data to do uncertainty analysis. The results were damning. Flawed Statistics about Three Mile Island DOE’s overconfident estimates of low radiation doses Consider what happened at Three Mile Island (TMI), were uncertain by 9–12 orders of magnitude. Yet if Pennsylvania. The US government and nuclear indus- they erred by only 2 orders of magnitude, catastrophic try claim that “no member of the public died” because numbers of deaths could occur (IAEA 2001; Shrader- of the 1979 nuclear accident (e.g., WNA 2016), partly Frechette 1993, 2007a). because they reject key epidemiological evidence of Both the MIT and DOE misrepresentations of uncer- harm, as not statistically significant (Hatch et al. 1991, tainty arguably have contributed to false-negative 1990; Shrader-Frechette 2014; Talbott et al. 2003). biases, thus EIJ risks, as US commercial reactors are dis- Yet by definition, after-the-fact accident data can- proportionately sited in predominantly poor, southeast- not be randomized, thus validly assessed for statistical ern US communities. Yucca Mountain was sited near significance. No wonder most university epidemiolo- predominantly Native American and Latino communi- gists who study TMI disagree with the industry-gov- ties (Shrader-Frechette 2011). ernment, no-deaths claim. Only four years after the accident, already there was a 64 percent increase in cancer incidence within 10 miles of TMI. This repre- sents about 126,000 cancers that otherwise would not Misrepresentation of have occurred (Hatch et al. 1990; Shrader-Frechette 2014; Wing 2003). uncertainty has been a key These observational, nonrandomized data are espe- cause of disproportionate cially damning to the no-deaths claim because the increased cancers were disproportionately radiosensi- siting of US commercial tive, exactly what a nuclear accident would cause. They also were disproportionately respiratory, predictable reactors in poor communities because TMI released mostly radioactive noble gases in the Southeast. (Shrader-Frechette 2014; Wing 2003). UN documents report that TMI radiation doses were 100,000 times higher per hour than industry and government claim. They say TMI released 10 times more Misusing Statistical Significance radiation than Hiroshima-Nagasaki, while the Cher- Researchers also contribute to false-negative conclu- nobyl accident released 200 times more radiation than sions and EIJ by invalidly rejecting observational/ Hiroshima-Nagasaki (Shrader-Frechette 2011, 2014; epidemiological evidence of pollution harm if it is WHO 1995). not statistically significant. However, statistical- But if scientists and engineers do not dismiss Hiroshima- significance tests are valid only with randomized, Nagasaki harm, why should they dismiss TMI harm? representative samples, randomized assignment to Even after the highest TMI releases ended, the US experimental-versus-control groups, and randomized NRC admitted that additive, hourly TMI-offsite doses dosing and treatment. Without randomization (that were higher than yearly average-background-radiation typically ensures parent- and sample-population homo- doses that annually cause 3–6 percent of all cancers. SPRING 2017 41

Under oath, the TMI utility also admitted in court EIJ deniers likewise claim that the correlation that hourly TMI doses were more than double the yearly between hazardous sites and poor/minority residents background doses and 6 times greater than the many- does not prove that polluters caused EIJ. They say months TMI-maximum dose that the US NRC claimed poor people/minorities may have moved to risky areas (Shrader-Frechette 2014; Walker 2006). after facility siting (Hayward 2009; Mohai and Saha Who was hurt most because of the industry-govern- 2015). ment demand for statistically significant results and the Yet here again, EIJ deniers partly err. The issue is not resulting denial of TMI harm? Children. They’re up to only whether siting decisions deliberately victimize or 40 times more sensitive than adults to the same radia- target poor people and minorities, given that lower- tion doses (Makhijani et al. 2006). socioeconomic-status neighborhoods are less able to TMI insurers quietly spent $80 million to require gag force costly pollution controls. Instead, the issue is also orders in exchange for paying off the worst TMI-acci- that even when there is no deliberate discrimination, dent victims of cancer, infant retardation, and infant government should guarantee everyone rights to life, to mortality, all of which can be caused by high radiation equal opportunity, to breathe clean air, to drink clean doses. The insurers then rejected thousands of other water, and to be protected from environmental toxins claims, mostly on behalf of children, partly by claim- (Shrader-Frechette 2004). ing that the increased numbers of cancers, to date, were not statistically significant (Epstein 2011; Shrader- Frechette 2014; Wing 2003). The main EIJ victims of TMI, Denying EIJ hurt by invalid demands In response to apparent EIJ, critics typically either deny or excuse the harm. Those who deny EIJ say health for “statistically significant” risks near hazardous facilities need not be higher than elsewhere, just because pollution releases are higher results, were children. (Boerner and Lambert 1997; Hayward 2009). These EIJ deniers are partly right; emissions do not equal exposures. However, studies on thousands of air- Excusing EIJ borne pollutants show clear dose-response curves that Still, those who excuse EIJ often claim that because correctly predict dose-related harm. Unequivocal data polluting facilities must be located somewhere, differ- show that the closer one gets to noxious facilities, the ent pollution levels are unavoidable. Or they say that higher the health risks and the lower the resulting prop- because of factors like cheaper housing, EIJ victims ben- erty values (Anstine 2003; APHA 2007; Muehlenbachs efit overall by living near noxious facilities. et al. 2015). The unavoidability excuse for EIJ begs at least two Deniers also say that EIJ disappears when supposedly questions. Should pollution burdens be distributed victimized areas are redefined. EIJ can vanish when vic- unequally, all other things being equal? Should people’s tims are defined as living within 50, rather than 5, miles rights to breathe clean air depend on their race or socio- from a hazardous site (Boerner and Lambert 1997). economic status? Deniers are right that dilution sometimes can be This excuse also ignores the fact that a more equal a partial solution to pollution, getting farther away distribution of pollution burdens likely would force from hazards. Yet those who deny EIJ don’t dilute the US to bring all pollution standards at least up to near-facility pollution, only their methods of detect- those of Europe, which often has better protections. ing pollution. By including less- and non-exposed For instance, US per-capita CO2 emissions are about people over a larger area, they reduce average-pollu- 20 tons/year, but 10 in the UK, 8 in Italy, 7 in France, tion doses. Thus the appropriate response to apparent and 6 in Denmark—countries where there is much EIJ is not gerrymandering that masks spatially related more public transport, recycling, green energy, and effects, but scientific analysis that can discover any pollution-control expenditures per dollar of GDP. The disproportionate pollution burdens anywhere (Gracia United States has up to 300 percent more CO2 emis- and Koh 2011). sions per dollar of GDP than EU nations like Germany, The 42 BRIDGE

Italy, Sweden, and the UK (Rosenthal 2009; Shrader- Attina TM, Trasande L. 2013. Economic costs of childhood Frechette 2007a; World Bank 2011).2 lead exposure in low- and middle-income countries. Envi- Likewise the overall-benefits excuse for EIJ begs ronmental Health Perspectives 121(9):1097–1102. the question that cheaper housing near polluting sites Becerra TA, Wilhelm M, Olsen J, Cockburn M, Ritz B. is worth killing or sickening innocent people. It also 2013. Ambient air pollution and autism in Los Angeles ignores the fact that people have legal and moral rights County, California. Environmental Health Perspectives to equal treatment—long-standing common-law rights 121(3):380–386. not to be harmed by others. If US equality means any- Boerner C, Lambert T. 1997. Environmental injustice. In: thing, Americans should bear mostly equal pollution Taking Sides: Clashing Views on Controversial Environ- burdens (Shrader-Frechette 2004). mental Issues. Goldfarb T, ed. New York: McGraw-Hill. But do overall economic benefits excuse EIJ? Bullard RD, Mohai P, Saha R, Wright B. 2008. Toxic wastes Those who think so always ignore the massive eco- and race at twenty. Environmental Law 38:371–411. nomic costs of pollution-induced poor health. Just the CalEPA [California Environmental Protection Agency]. 2007. current IQ losses and their resulting lifetime-earnings Health Risk Assessment for the Four Commerce Railyards. losses, just from lead pollutants (mostly from incinera- Air Resources Board. Available at www.arb.ca.gov/railyard/ tors and factories, not lead paint), just for the one-year hra/4com_hra.pdf. cohort of US children under age 5, are $51 billion/ CEHC [Children’s Environmental Health Center]. 2016. year. Child-IQ and resulting economic losses attribut- Children and toxic chemicals. New York: Mount Sinai able to lead, pesticides, and other neurotoxic pollutants Hospital. Available at www.mountsinai.org/patient-care/ are each roughly the same as those for preterm birth, service-areas/children/areas-of-care/childrens-environ- traumatic brain injury, brain tumors, and congenital mental-health-center/childrens-disease-and-the-environ- heart disease. Why does the US try to prevent the four ment/children-and-toxic-chemicals. preceding medical problems, while it allows EIJ (Attina Cooke RM. 1982. Risk assessment and rational decision the- and Trasande 2013; Grandjean and Landrigan 2014)? ory. Dialectica 36(4):330–351. Costa LG, Cole TB, Coburn J, Chang YC, Dao K, Roque Conclusion P. 2014. Neurotoxicants are in the air: Convergence of Scientists and engineers ought not use or misuse analytic human, animal, and in vitro studies on the effects of air techniques that mask, thus encourage, EIJ. Sound science pollution on the brain. BioMed Research International promotes sound ethics, including environmental justice. 736385. Epstein E. 2011 Summary of Findings at Three Mile Island: References 1979-2005. Harrisburg PA: Three Mile Island Alert. APHA [American Public Health Association]. 2007. Envi- GAO [Government Accountability Office]. 2015. Transform- ronmental Injustices: Research and Action to Reduce Obe- ing EPA’s Processes for Assessing and Controlling Toxic sity Disparities. Washington. Available at www.apha.org/ Chemicals. Washington. policies-and-advocacy/public-health-policy-statements/ Gracia JN, Koh HK. 2011. Promoting environmental justice. policy-database/2014/07/21/09/31/environmental-injustices- American Journal of Public Health 101(S1):S14–S16. research-and-action-to-reduce-obesity-disparities. Grandjean P. 2013. Only One Chance. New York: Oxford APHA. 2014. Preventing Environmental and Occupational University Press. Health Effects of Diesel Exhaust. Washington. Available at Grandjean P, Landrigan PJ. 2014. Neurobehavioural effects of www.apha.org/policies-and-advocacy/public-health-policy- developmental toxicity. Lancet Neurology 13(3):330–338. statements/policy-database/2015/01/28/12/14/preventing- Greenbaum DS, O’Keefe RM, Shaikh R, Gale B, Adams health-effects-of-diesel-exhaust. K, eds. 2015. Advanced Collaborative Emissions Study Anstine J. 2003. Property values in a low populated area when (ACES), Lifetime Cancer and Non-Cancer Assessment in dual noxious facilities are present. Growth and Change Rats Exposed to New-Technology Diesel Exhaust. Boston: 34(3):345–358. Health Effects Institute. Greenland S. 1990. Randomization, statistics, and causal inference. Epidemiology 1(6):421–429. 2 Country-specific data are available online from the World Bank, CO2 emissions (metric tons per capita), at http://data.worldbank. Hamra GB, Laden F, Cohen AJ, Raaschou-Nielson O, Brauer org/indicator/EN.ATM.CO2E.PC. M, Loomis D. 2015. Lung cancer and exposure to nitrogen SPRING 2017 43

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Ethical Implications of Computational Modeling

Kenneth R. Fleischmann and William A. Wallace

At their core, science, engineering, and all forms of inquiry involve making sense of a complex world. Modeling is one way of reducing the complexity of the world by abstracting away details. Kenneth R. Fleischmann Computational modeling involves the use of computers to scale up mathematical models.1 Computational models play a critical role in a number of application areas. For example, agricultural engineers use them to control invasive species (Büyüktahtakin et al. 2014), and climatologists use them to predict changes in the Earth’s climate over time (Edwards 2010). In tennis the “Hawk-Eye” instant replay system is used to resolve challenges to refer- eeing: unlike instant replay used in most sports, it employs a computational model to track the ball using multiple camera angles and makes a prediction about whether a ball was in or out (Collins and Evans 2008).

Kenneth R. Fleischmann is an associate professor in the School of Information at the University of Texas at Austin. William A. Wallace is Yamada Corporation Professor in the William A. Wallace Department of Industrial and Systems Engineering at Rensselaer Polytechnic Institute.

1 Nature.com defines computational models as “mathematical models that are simulated using computation to study complex systems. In biology, one example is the use of a computational model to study an outbreak of an infectious disease such as influenza. The parameters of the mathematical model are adjusted using computer simulation to study different possible outcomes.” Available at www.nature.com/subjects/computational–models. The 46 BRIDGE

In each of these cases, computational modeling car- Role of Human Values in Computational ries important ethical implications, as modelers have Modeling tremendous power to influence both perceptions and This paper synthesizes research findings from a three-year behavior, particularly when models are not transparent field study of the role of human values in computational (Fleischmann and Wallace 2005). modeling (Fleischmann and Wallace 2006, 2009, 2010; Fleischmann et al. 2010, 2011a,b, 2017). The study Background: Stakeholders and Power involved field research at three computational modeling Inequities laboratories—corporate, academic, and governmental— To understand the ethical implications of computation- in 2006–2008. We visited each site three times: a short al modeling, it is first important to understand the key visit to conduct information sessions, a longer visit to stakeholders involved in the computational modeling conduct interviews, and a short visit to present our results process. Modelers build models to specifications dictat- and conduct confirmatory focus groups. Data collection ed by clients, for use by end users, and use of the model was based on 76 surveys completed and interviews with also affects others indirectly. 40 of the respondents. We analyzed the interview data There are often power inequities, as clients and mod- using thematic analysis (Braun and Clarke 2006) based elers may not be sensitive to the needs and values of in part on the Schwartz (1994) Value Inventory of 56 end users and those affected. End users may not be able basic human values. We received IRB approval before to influence or even understand how models work, and starting the research, and all participants were given the those affected may not even realize that a computation- option to review and modify their interview transcripts. al model is being used. To synthesize the study findings, we discuss the roles of value conflicts (Fleischmann and Wallace 2006, 2010; Fleischmann et al. 2011a), transparency (Fleischmann People may place blind trust and Wallace 2005, 2009; Fleischmann et al. 2011c), and professional and organizational cultures, particularly in a technology without a professional codes of ethics (Fleischmann et al. 2010, 2011b, 2017). We then apply these findings to shed new full understanding or even light on the broader ethical challenges raised by compu- awareness of the technology tational models (Wallace and Fleischmann 2015). or how it works. Value Conflicts What is the relationship between values and computational models? Pielke (2003) distinguishes between the For example, in the case of Hawk-Eye, the computa- modeling process and models as products. Building on tional model was built for the use of International Tennis the work of Winner (1986), Johnson (1997) argues that Federation officials, whose decisions affect both the play- values can be embedded in technology. We found val- ers and the tennis public. The public and often the play- ues that were embedded in the models themselves and ers themselves are unaware that a computational model is values that arose during the modeling process, as well as being used, and ultimate authority is ceded to the recon- examples of values’ influence on the success of both the struction produced by that model, with no attention modeling process and models as products (Fleischmann given to the degree of error in the model’s calculations— and Wallace 2006). rather, the call is treated as infallible, unlike the human Values are not typically exclusive—that is, held by chair and line umpires (Collins and Evans 2008). some but not by others. In travel safety, for example, People thus place blind trust in a technology with- there is a value conflict between security and conve- out a full understanding—or even awareness—of the nience. It’s not that some people value security while technology or how it works (or, in some cases, does not others do not, and that some people value convenience work). This creates the possibility of being subjected to while others do not. Rather, the issue is in how people technocracy, where people are forced to blindly trust make tradeoffs between these values, and the extent technology and those who create it, a significant threat to which people value one versus the other. We found to democracy and individual autonomy. that value conflicts played an important role both in the SPRING 2017 47

modeling process and in models as products (Fleisch of the organization, publication versus customer needs, mann and Wallace 2010). and listening to clients versus listening to users (Fleis- chmann and Wallace 2010). Conflicts in the Modeling Process Conflicts of the goals of the product versus the goals We found that the modeling process hinged largely on of the organization are most likely in an organization value conflicts such as honesty versus obedience, inno- with strong top-down directives. For example, the goal vation versus reliability, and timeliness versus complete- of a product designer might be to maximize effectiveness (Fleischmann and Wallace 2010). ness subject to a budget constraint, whereas the orga- Honesty versus obedience involves the choice mod- nization seeks to produce the cheapest product subject elers had to make in terms of giving the most accurate to an acceptable level of effectiveness. In this way, the answer versus the answer desired by the client. Modelers degree of autonomy (or the lack thereof) experienced by who follow the creed of “the customer is always right” modelers can become embedded in models as products. run the risk of violating the ethical codes of their profes- This value conflict arose most frequently in the corpo- sion, while those who follow the creed of “honesty is the rate laboratory (Fleischmann and Wallace 2010). best policy” may risk losing (some) clients. This value conflict arose most frequently in the corporate laboratory (Fleischmann and Wallace 2010). Modelers who follow the Innovation versus reliability involves the inherent conflict between modelers as scientists and modelers creed of “the customer as technicians. The incentive structure for scientists revolves around doing things differently in a quest to is always right” risk learn new things, often at the cost of reliability, usability, or other markers of technical success. In contrast, violating the ethical codes the incentive structure for technicians involves making of their profession. sure that things work, typically to enable the work of others. Computational modeling can either be bleeding edge or quite robust, but rarely both. This value con- Publication versus customer needs is related to the flict arose most frequently in the academic laboratory value conflict of innovation versus reliability. Choos- (Fleischmann and Wallace 2010). ing an off-the-shelf model is more likely to result in Timeliness versus completeness, related in some a reliable product, but unlikely to yield a significantly ways to the two conflicts above, involves the competing innovative product that can allow the modelers to pub- pressures to finish a job on schedule or to be thorough lish. Further, publication requires significant time and in one’s work. Obviously, neither extreme is particularly effort, and this time may be taken away from address- productive, as something that is extremely timely but ing customer needs. This value conflict arose most fre- also very incomplete is not particularly useful and can quently in the academic laboratory (Fleischmann and instead be quite misleading and even dangerous; on the Wallace 2010). other hand, it is possible to tweak and refine a model Listening to clients versus listening to users to the point that it is never actually put into use. Most involves the inherent value conflicts among the various people can agree both that “haste makes waste” and stakeholder groups involved in the modeling process. that “perfect is the enemy of good.” However, exactly Listening to those affected could also be a consider- where one draws that line varies tremendously, based ation, but in the modeling contexts that we studied on contextual factors and individuals’ different valua- the emphasis rarely progressed beyond the client and/ tions of these approaches. This value conflict arose most or user. One salient example of this client/user con- frequently in the government laboratory (Fleischmann flict was the confusion and frustration experienced by and Wallace 2010). some of the computational modelers in the corporate laboratory. The modelers, tasked by their clients with Conflicts in Models as Products building models to create efficiencies and reduce work- Salient value conflicts connected to models as prod- force needs, were vexed that users were unwilling to ucts include the goals of the product versus the goals participate in design efforts to this end. This example The 48 BRIDGE demonstrates the importance of modelers’ efforts to actually helped them to reduce value conflicts or sim- consider the perspectives of all stakeholders in the ply made them oblivious to them (Fleischmann et al. modeling process—not just the clients but also users 2011a). Based on our interview data, we are inclined to and those affected. While this conflict was common in conclude the former, at least in many cases, as oblivious- the corporate laboratory, it arose most frequently in the ness to value conflicts appeared to occur most frequent- government laboratory, which had a very hierarchical ly among the least egalitarian modelers (Fleischmann structure that resulted in significant power distances and Wallace 2010). among stakeholders (Fleischmann and Wallace 2010). Transparency Values That Reduce Conflicts Using the literature on value-sensitive design, Fried- We analyzed the survey data and identified 11 values man and Kahn (2008) identify 12 human values with that were positively correlated with a reduction in val- ethical import: human welfare, ownership and property, ue conflicts (Fleischmann et al. 2011a). We used three privacy, freedom from bias, universal usability, trust, auton- questions to ask about value conflicts between the mod- omy, informed consent, accountability, identity, calmness, eler’s organization and the three stakeholder groups (cli- and environmental sustainability. Our study identified ents, users, and those affected): another important value, transparency (Fleischmann and Wallace 2009). 1. What values are positively or negatively correlated Transparency can be seen as a component of informed with value conflicts with clients? consent, as users must understand how a system works to 2. What values are positively or negatively correlated actually achieve autonomy in cases where they are given with value conflicts with users? a choice. However, transparency goes beyond cases in 3. What values are positively or negatively correlated which a user is asked to decide something; the user may with value conflicts with those affected by models? want to understand how something works even if he is powerless to influence what is done as a consequence. For example, investors may want to understand the Modelers who valued workings of the financial markets even though their particular contribution is too small to have any noticeable equality experienced fewer effect on the market (Fleischmann and Wallace 2009). value conflicts among diverse Reasons to Make Models Transparent stakeholder groups. We identified three reasons for making models transparent: political, economic, and legal. The political dimension largely revolves around reducing power inequities The value of equality was statistically significantly cor- and avoiding technocratic situations where the end user related with the responses to all three questions, indi- is at the mercy of the modeler (to say nothing of those cating that modelers who valued equality experienced affected, who again may not even be aware that a model fewer value conflicts among these diverse stakeholder is being used). Transparency can have economic bene- groups (Fleischmann et al. 2011a). fits, insofar as it may promote customer satisfaction, and Other values identified as statistically significant in in some cases it may reveal corruption in an organiza- one or two of the pairings were a spiritual life, a world tion that might otherwise go undetected. Modelers also at peace, devout, forgiving, honoring of parents and elders, reported that transparency can be a legal requirement, humble, politeness, responsible, self-discipline, and true when there is a need to explain the basis for decisions friendship. We were not able to identify any values that (Fleischmann and Wallace 2009). were negatively correlated with a reduction in value conflicts (Fleischmann et al. 2011a). Ways to Make Models Transparent Modelers who highly valued equality and other values Building on Willemain (1995), we identified five ways were less likely to observe value conflicts between their that modelers can make models transparent: organization and other stakeholder groups, although 1. Transparency should be considered early in the design based on the data it is not clear whether these values of the model. SPRING 2017 49

2. The modeling paradigm is important, as some para- (p < 0.001) and social justice (p < 0.001) (Fleischmann digms lend themselves better to transparency (e.g., et al. 2017). Bayesian models) than others (e.g., neural networks). Thus only those who valued freedom were less likely 3. Transparency should lead to better understanding, to be aware of or familiar with codes of ethics, while not just a data dump. As a literal example, making those who valued equality and social justice were particu- the shell of a computer transparent is unlikely, by larly likely to adhere to codes of ethics. This finding itself, to teach the average user anything meaningful appears to be in keeping with the motivations for codes about how the computer works. of ethics (Fleischmann et al. 2017). 4. Transparency is critical in the evaluation of the model, especially if it is done by someone other than Thematic Analysis of Interview Data the modeler or there is a goal (or need) to achieve Our thematic analysis of the interview data shed fur- accountability. ther light on the quantitative findings. One of the two 5. Transparency is obviously critical when the model is orthogonal dimensions of the Schwartz (1994) Value released into the world, in relation to the three rea- Inventory ranges from self-enhancement to self-tran- sons for transparency cited above (Fleischmann and scendence. One modeler asserted that following a code Wallace 2009). of ethics was best for both the modeler and everyone else, an observation that helps to explain why we found Because transparency often comes into conflict with that positive attitudes toward and experiences with other values, such as accuracy, we designed a teach- codes of ethics were positively correlated with both ing case based on this conflict. In the context of an self-enhancement values (e.g., authority, preserving my imagined future mission to Mars, modelers (in train- public image) and self-transcendence values (e.g., equal- ing) must make a choice between a model that is 99 ity, social justice) (Fleischmann et al. 2017). percent accurate but a black box or 95 percent accurate but transparent. Someone who values autonomy would likely favor the transparent model, as it would empower the user to determine when the model might Codes of ethics should be inaccurate, while someone who values paternalism might prefer to ensure that the user blindly puts their be bottom-up rather than trust in the most accurate model (Fleischmann et al. top-down, to better reflect 2011c). modelers’ perspectives Professional Codes of Ethics In the computing professions, codes of ethics typically and experiences. serve as vehicles for socialization and education rather than rigid rules that enforce compliance (Anderson et The thematic analysis also supported (1) Mason’s al. 1993). To better understand how modelers them- (1994) covenants with reality (i.e., represent the prob- selves perceive codes of ethics, we asked them about lem with as much fidelity as possible) and values (i.e., their awareness of, familiarity with, and adherence to suggest improvements for the client that adhere to the codes of ethics (Fleischmann et al. 2017). client’s values), and (2) our covenant with transparency Values that Correlate with Ethics Code Awareness, (Fleischmann and Wallace 2005) by ensuring that models Familiarity, and Adherence are opaque to all stakeholders (Fleischmann et al. 2017). Another important theme was that codes of ethics We found nine values that correlated with awareness of should be bottom-up rather than top-down, to better a code of ethics; only freedom was negatively correlated, reflect the perspectives and experiences of modelers in while the other eight were positively correlated. Simi- general (Fleischmann et al. 2017). larly, for familiarity with codes of ethics, ten values were Based on our analysis, we conclude that individuals correlated, with nine positively correlated and freedom, who value universalism and benevolence have a duty to again, negatively correlated. Finally, for adherence advocate for awareness of, familiarity with, and adher- to codes of ethics, 13 values were correlated, all posi- ence to codes of ethics (Fleischmann et al. 2017). tively; the most significantly correlated were equality The 50 BRIDGE

Conclusions Engineers in general, and modelers in particular, Modeling carries important ethical implications for need to appreciate diversity of perspectives and ensure research, education, and applications (Wallace and that they are not practicing technological somnambu- Fleischmann 2015). Gaps in the transparency of com- lism (Winner 1986). They must be aware of the ethi- putational models (at least for the general public), for cal implications of their decisions and ensure that they example, can inflame controversies surrounding scien- are enabled and empowered to make conscious choices tists’ use of them. rather than acting by default (Fleischmann 2010, 2014). A prominent instance of such controversy was “Cli- Acknowledgments mategate,” which involved the illegal release of email exchanges among climate scientists working at the This material is based in part on work supported by University of East Anglia (Martin 2014). The climate the National Science Foundation under grant nos. change debate is politically fraught, and the media and 0521834, 0646404, 0731717, and 0731718. Thanks go the public misunderstood (or, in some cases, likely mis- to Justin Grimes, Cindy Hui, Adrienne Peltz, and Clay represented) the scientists’ exchange, which was diffi- Templeton for their help with data processing for the cult to counteract given the difficulty of making climate publications cited and discussed here, as well as all of change models understandable to the general public. our anonymous participants who generously donated Computational modelers must be aware of the their time to further this research. Thanks also go to important societal role of their models, whether they Deborah Johnson and Gerry Galloway for their helpful are used for officiating tennis matches or formulating advice and feedback on earlier drafts. policy recommendations that can shift national and References international energy policies. A model necessarily abstracts and reduces from reality, and is the product Anderson RE, Johnson DG, Gotterbarn D, Perrolle J. 1993. of a complex process including the modelers as well as Using the new ACM Code of Ethics in decision making. (potentially) other stakeholders. Thus, the goal is not Communications of the ACM 36(2):98–107. to have a “perfect” or “value-free” model—no model of Braun V, Clarke V. 2006. Using thematic analysis in psychol- a natural system can completely, perfectly capture the ogy. Qualitative Research in Psychology 3:77–101. complexity of reality—but rather to be as transparent Büyüktahtakin IE, Feng Z, Olsson AD, Frisvold G, Szida- as possible about both the modeling process and the rovszky F. 2014. Invasive species control optimization as (known and potential) limitations of the model rela- a dynamic spatial process: An application to Buffelgrass tive to reality. (Pennisetum ciliare) in Arizona. Invasive Plant Science and The overall argument here is not that modelers should Management 7(1):132–146. be better people. Although it is certainly important to Collins HM, Evans R. 2008. You cannot be serious! Pub- attract people of strong character to the modeling pro- lic understanding of technology with special refer- fession and to reward and retain these individuals, it ence to “Hawk-Eye.” Public Understanding of Science seems likely that the vast majority of modelers do have 17:283–308. the explicit intent of making the world a better place Edwards PN. 2010. A vast machine: Computer models, cli- through their work. (And in any event, it is challeng- mate data, and the politics of global warming. Cambridge ing to deter would-be troublemakers from causing ill MA: MIT Press. through their models, particularly given the lack of Fleischmann KR. 2010. Preaching what we practice: Teaching enforceability of codes of ethics.) ethical decision-making to computer security professionals. The critical challenge is to ensure that modelers Lecture Notes in Computer Science 6054:197–202. consider design decisions from multiple perspectives, Fleischmann KR. 2014. Information and Human Values. San so that they not only take account of their own values Rafael CA: Morgan & Claypool. but are sensitive to those of their users (Friedman et Fleischmann KR, Wallace WA. 2005. A covenant with trans- al. 2006; Friedman and Kahn 2008). Educational inter- parency: Opening the black box of models. Communica- ventions can be effective in achieving this goal, such tions of the ACM 48(5):93–97. as multirole interactive cases that illustrate the inter- Fleischmann KR, Wallace WA. 2006. Ethical implications connectedness and interdependency of ethical decision of values embedded in computational models: An explor- making (Fleischmann et al. 2009, 2011c,d,e). atory study. Proceedings of the 69th Annual Meeting of the SPRING 2017 51

American Society for Information Science and Technol- Fleischmann KR, Hui C, Wallace WA. 2017. The societal ogy, Milwaukee. responsibilities of computational modelers: Human values Fleischmann KR, Wallace WA. 2009. Ensuring transparency and professional codes of ethics. Journal of the Association in computational modeling. Communications of the ACM for Information Science and Technology 68(3):543–552. 52(3):131–134. Friedman B, Kahn PH Jr. 2008. Human values, ethics, and Fleischmann KR, Wallace WA. 2010. Value conflicts in com- design. In: The Human-Computer Interaction Handbook: putational modeling. Computer 43(7):57–63. Fundamentals, Evolving Technologies, and Emerging Fleischmann KR, Robbins RW, Wallace WA. 2009. Designing Applications, 2nd ed. Sears A, Jacko JA, eds. New York: educational cases for intercultural information ethics: The Lawrence Erlbaum Associates. importance of diversity, perspectives, values, and pluralism. Friedman B, Kahn PH Jr, Borning A. 2006. Value sensitive Journal of Education for Library and Information Science design and information systems. In: Human-Computer 50(1):4–14. Interaction and Management Information Systems: Foun- Fleischmann KR, Wallace WA, Grimes JM. 2010. The val- dations. Zhang P, Galletta D, eds. Armonk NY: ME Sharpe. ues of computational modelers and professional codes of Johnson DG. 1997. Is the global information infrastructure a ethics: Results from a field study. Proceedings of the 43rd democratic technology? SIGCAS Computers and Society Hawai’i International Conference on Systems Sciences, 27(3):20–26. Kauai. Martin B. 2014. The Controversy Manual. Sparsnäs, Sweden: Fleischmann KR, Wallace WA, Grimes JM. 2011a. How val- Irene Publishing. ues can reduce conflicts in the design process: Results from Mason RO. 1994. Morality and models. In: Ethics in Model- a multi-site mixed-method field study. Proceedings of the ing. Wallace WA, ed. Tarrytown NY: Elsevier Science. 74th Annual Meeting of the American Society for Infor- Pielke RA Jr. 2003. The role of models in prediction for deci- mation Science and Technology, New Orleans. sion. In: Models in Ecosystem Science. Canham CD, Cole Fleischmann KR, Wallace WA, Grimes JM. 2011b. Compu- JJ, Lauenroth WK, eds. Princeton University Press. tational modeling and human values: A comparative study Schwartz SH. 1994. Are there universal aspects in the struc- of corporate, academic, and government research labs. Pro- ture and contents of human values? Journal of Social Issues ceedings of the 44th Hawai’i International Conference on 50(4):19–45. Systems Sciences, Kauai. Wallace WA, Fleischmann KR. 2015. Models and model- Fleischmann KR, Koepfler JA, Robbins RW, Wallace WA. ing. In: Ethics, Science, Technology, and Engineering: A 2011c. CaseBuilder: A GUI web app for building interac- Global Resource. Holbrook B, Mitcham C, eds. Farming- tive teaching cases. Proceedings of the American Society ton Hills MI: Gale Cengage Learning. for Information Science and Technology 48(1):1–4. Willemain TR. 1995. Model formulation: What experts think Fleischmann KR, Robbins RW, Wallace WA. 2011d. Informa- about and when. Operations Research 43:916–932. tion ethics education in a multicultural world. Journal of Winner L. 1986. The Whale and the Reactor: A Search for Information Systems Education 22(3):191–202. Limits in an Age of High Technology. University of Chi- Fleischmann KR, Robbins RW, Wallace WA. 2011e. Collab- cago Press. orative learning of ethical decision-making via simulated cases. Proceedings of the 6th Annual iConference, Seattle. Corruption in engineering/construction is an important problem that national and international resources are available to combat.

Addressing Corruption in the Global Engineering/Construction Industry

William P. Henry

Estimates indicate that more than $500 billion is lost to corruption each year in the global engineering/construction (E/C) industry. While this economic loss is staggering, it pales in comparison to the losses suffered by people in need of water and wastewater projects, roads, schools, hospitals, and residences to improve their lives. Moreover, corruption kills people when projects are poorly constructed, and it reduces funds for needed infrastruc- William P. Henry, PE, is ture projects. a past president (2005) of Corruption reduces the number of projects that are built and compromises the American Society of the safety of those that are, and is therefore incompatible with sustainable Civil Engineers. development. Because engineers hold paramount the health, safety, and welfare of the public and support the principles of sustainable development, they must work to eliminate corruption from the E/C industry. To that end, a constant dialogue is needed among engineers on ethical issues, and it should match the time spent talking about technical issues, safety, costs, and deadlines. For such discussion to be meaningful and effective, engineers need a common vocabulary on the subject.

Vocabulary of Corruption Ethical behavior is the goal, but many engineers don’t have the vocabulary needed to discuss it. It may help to define components of the opposite of ethical behavior—corruption—to provide needed vocabulary. SPRING 2017 53

Merriam-Webster (www.merriam-webster.com) making a decision to lend to a given owner; or regulator defines corruption as the “impairment of integrity, vir- in charge of permitting or inspection decisions. tue, or moral principle,” “inducement to [do] wrong by The person offering a bribe may be an engineer, con- improper or unlawful means,” and “dishonest or illegal structor, material or equipment supplier (seeking busi- behavior especially by powerful people.” The latter ness, permits, or inspection approvals), or owner seeking includes the misuse of official power for personal gain. funding. In a recent case two senior executives of Louis In the E/C industry, corruption takes a variety of Berger, a New Jersey–based construction management forms because there are so many types of organizations company, were sentenced to prison in July 2016 for brib- involved in projects: ing officials in India, Indonesia, Vietnam, and Kuwait in order to secure government contracts (USAO–New • public owners Jersey 2016). • private owners • engineers • constructors Two senior executives were • lenders sentenced to prison in July • material suppliers 2016 for bribing officials in • equipment suppliers • regulatory/permitting agencies. four countries in order to There are numerous possible interrelationships secure government contracts. among these parties and corruption requires only two individuals to act together in an unethical manner, so Bribes can be direct payments or “political contribu- myriad potential interactions can result in corruption tions,” known as “pay to play” payments, which keep during the procurement and/or execution phases of an qualified, ethical firms from obtaining work. In April E/C project. The main forms of corruption are 2016 three executives from Birdsall Services Group • kickbacks and bribery received prison sentences, fines, and disbarments for a • front companies scheme in which their employees made political contributions in New Jersey that the firm then reimbursed to • bid rigging and collusion the employees (OAG–New Jersey 2016). • conflicts of interest By far the biggest fine for bribery—$1.34 billion—was • fraud levied by the US Department of Justice and Germany against Siemens AG for paying more than $100 million • money laundering. in bribes to the Argentine government in order to secure Any and all of these can occur on any project. a $1 billion contract (Lichtblau and Dougherty 2008). There are opportunities for kickbacks and bribery on Kickbacks and Bribery all projects in all countries. Kickbacks and bribery are two sides of the same coin. A kickback is a demand for payment by someone in a posi- Front Companies tion of authority in return for a decision favorable to the A front company is established in secret by a corrupt prospective payee. Bribery is an offer to pay someone in owner or staff to provide little service to a project a position of authority to make a decision favorable to while being paid substantial fees. It often serves as a the offeror. local agent, providing services on an international The person in the position of authority seeking a kick- project so it does not have to produce substantial work back may be a purchaser (a government official, private products. owner, or purchasing agent buying materials, equipment, A front company is usually a new company that has engineering services, or construction services); engineer, no available track record and offers a variety of uncon- constructor, or supplier selecting subcontractors; lender nected services. Although these traits are also common The 54 BRIDGE among legitimate joint venture companies, the biggest direct personal gain from a decision. All participants difference is the availability of ownership records. A in a project have the potential for conflicts of interest. front company has few records of ownership because the owners do not want to be known; a legitimate joint Fraud venture has clear, open ownership records. There are many opportunities for fraud in E/C projects; some of the most common fraudulent acts are Bid Rigging and Collusion • embezzling funds from project accounts Bid rigging and collusion can be accomplished by all members of an E/C project team—the owner, engineer, • taking vehicles, computers, other project equipment constructor, lender, supplier, or regulator. or materials for personal use • using project funds, equipment, and/or materials for nonproject uses such as building or remodeling a Bid rigging and collusion can house or taking a vacation be done by all members of • selling project equipment or supplies for personal profit a project team–the owner, • setting up employment and collecting paychecks for engineer, constructor, lender, “ghost employees” supplier, or regulator. • substituting lower-quality materials or equipment than specified in the contract, while billing at the contract prices Owners can rig bids by, for example, setting extreme- • billing employees at rates higher than called for in ly short bid periods so that only the firms they illegally their pay grades prenotify will be able to submit detailed, responsive bids, or by excluding qualified firms from bid lists that • falsely claiming Disadvantaged Business Enterprise include only “favored” firms. (DBE) status. After contracts have been signed, collusion may In August 2016 Larry Davis, an executive with DCM involve deals between the owner’s and constructor’s Erectors Inc. that received nearly $1 billion in contracts personnel. For example, the owner’s staff may approve to rebuild the World Trade Center in New York City, unjustified project modifications or change orders that was convicted of wire fraud and conspiracy in Fed- raise the contractor’s revenue, lower its cost, or both, in eral District Court in Manhattan (USAO–Southern exchange for compensation. District of New York 2016). His fraudulent behavior Constructors and suppliers may engage in bid rigging involved claiming that people were owners of qualified and collusion by agreeing among themselves which firm DBE firms when they were not. will get the contract on each of a series of projects. On In 2013 the Justice Department recovered nearly each project, the agreed-upon winner submits an artifi- $3 million from TesTech and its owner Sherif Aziz, and cially high bid, and the others submit even higher bids. CESO and its owners David and Shery Oakes, for falsely This gives excess profits to firms and reduces the funds claiming DBE status on federally funded transportation available for other projects. projects in Ohio (USDOT OIG 2014). Bid rigging and collusion can also be parts of more Opportunities for all types of fraud are open to all complex corruption schemes. project participants. Conflicts of Interest Money Laundering All types of conflicts of interest are forms of corruption. Money laundering involves taking illegally obtained The most obvious conflicts involve decision makers money (e.g., from bribes or kickbacks) and channeling who get direct personal gain from their decisions on a it into legal businesses such as a construction company. project. Less obvious conflicts of interest involve the The company’s revenue and expenses can be overstated decision maker’s friends or family members who get the and the resulting profit appears to be legitimate. SPRING 2017 55

In March 2016 in Brazil, Marcelo Odebrecht, presi- elements needed for a strong anticorruption culture. dent of Odebrecht Construction, was sentenced to Canon 6 of the Code of Ethics reads: 19 years and 4 months in prison for corruption and Engineers shall act in such a manner as to uphold and money laundering (Dickerson et al. 2016). enhance the honor, integrity, and dignity of the engi- Training is needed to ensure that all engineers fully neering profession and shall act with zero tolerance for understand the terms presented above, so that they rec- bribery, fraud, and corruption.1 ognize the behaviors and can communicate about corruption and related activities. It further stipulates the following Guidelines to Practice: Tools and Programs to Promote Ethical a. Engineers shall not knowingly engage in business or Behavior professional practices of a fraudulent, dishonest, or Corruption and projects can go together like summer unethical nature. and heat or winter and cold. But just as an individual b. Engineers shall be scrupulously honest in their con- can don appropriate clothing for heat or cold, an engi- trol and spending of monies, and promote effective neer can make sure that a project “dons” the appropri- use of resources through open, honest, and impartial ate protective gear to thwart corruption. Protective service with fidelity to the public, employers, associ- measures include management systems that are open, ates, and clients. transparent, and implemented throughout the project, as well as a project team culture in which all engineers know the potential for corruption on the project, the An engineer can make actions they must take if they find it, and overall expectations of ethical performance. sure that a project has Practical, economical, and successful personal training and management systems that prevent corruption the appropriate protective on projects, and the organizations that developed them, are identified below. “gear” to thwart corruption.

Professional Societies c. Engineers shall act with zero tolerance for bribery, Most local, national, and international professional fraud, and corruption in all engineering or construc- societies have adopted codes of ethics that guide their tion activities in which they are engaged. members toward acceptable actions and behavior on d. Engineers shall be especially vigilant to maintain projects. Many also provide articles on unethical situ- appropriate ethical behavior where payments of gra- ations in their publications and have hotlines for mem- tuities or bribes are institutionalized practices. bers to discuss troublesome project situations. e. Engineers should strive for transparency in the pro- The members of all these societies are individuals, curement and execution of projects. Transparency not companies or agencies. The societies therefore offer includes disclosure of names, addresses, purposes, and materials and opportunities that focus on the individu- fees or commissions paid for all agents facilitating al engineer, including training in avoiding and dealing projects. with corruption, and opportunities for networking with f. Engineers should encourage the use of certifications others from different parts of the E/C industry and from specifying zero tolerance for bribery, fraud, and cor- different countries. ruption in all contracts. The American Society of Civil Engineers (ASCE; www.asce.org) offers resources that address good man- In addition, ASCE’s publication Leadership and Man- agement as well as ethical behavior. Its continuing edu- agement in Engineering devoted an issue to Addressing cation department delivers technical, management, and Corruption in Our Engineering/Construction Industry ethics seminars and webinars. (Henry 2009). The ASCE Code of Ethics, amended in 2006 to more strongly address corruption, gives strong guidance on 1 The ASCE Code of Ethics is available at www.asce.org/code- ethical practice to all ASCE members and presents the of-ethics. The 56 BRIDGE

At the international level, a number of global or 2. implement a strong, active anticorruption program to regional societies are active in addressing corruption. guide the behavior of the company’s employees. Engineers Australia (EA) has been active in revis- ing the country’s National Code of Practice for the Consulting Engineers Construction Industry (www.fwbc.gov.au). Firms work- Consulting engineering firms, through the Internation- ing on government-funded projects there must be in al Federation of Consulting Engineers (FIDIC; http:// compliance with the code, including all its provisions fidic.org), have developed strong anticorruption pro- for ethical behavior. And the World Federation of Engi- grams for engineering and procurement activities with neering Organizations (WFEO; www.wfeo.org), Asian their Business Integrity Management System (BIMS) Civil Engineering Coordinating Council (ACECC; and Government Procurement Integrity Management www.acecc-world.org), and Pan American Union of System (GPIMS). Engineering Societies (UPADI; http://upadi.com) each FIDIC uses the term “integrity management” because has a standing anticorruption committee that holds (1) ethical integrity is needed to fight corruption and annual meetings to share information and leads work- (2) a strong management system is needed to control shops on addressing corruption on projects. a firm’s activities and verify its ethical performance. BIMS provides management documents and examples for companies, and is tailored to a firm’s engineering units; it can be independently verified as an ISO 9000 More than 140 companies management system (more on the ISO below). GPIMS from 39 countries have is tailored to an organization’s procurement units. agreed to Principles for Construction Observers Transparency International (TI; https://www.trans- Countering Bribery, based parency.org), a long-time observer of the global E/C on integrity, fairness, and industry, has developed business principles, guidelines, and implementation and verification plans for coun- ethical conduct. tering bribery, as well as a Corruption Perceptions Index, which rates the openness of a country’s decision-making processes. The more open the process, Constructors the less risk of corruption. According to the TI Bribe In 2005 the firms in the E/C section of the World Eco- Payers Index of 2011 (www.transparency.org/bpi2011), nomic Forum launched the Partnering Against Cor- public works and construction were the most corrupt ruption Initiative (PACI),2 a private sector, supply-side industry sectors. initiative to establish multi-industry principles and TI’s Project Anticorruption System (PACS) has practices to eliminate corruption in project procure- standards and templates that target bribery and fraud ment and performance. More than 140 companies from through independent monitoring, due diligence, con- 39 countries have agreed to the PACI Principles for tract terms, procurement requirements, government Countering Bribery, which are based on integrity, fair- commitments, corporate programs, programs for indi- ness, and ethical conduct. The chief executive officer of viduals, training, reporting, and enforcement. PACS each participating company pledges, in writing, to has been distributed to TI national units, engineering and construction associations, banks, and governments. 1. commit the company to a zero-tolerance policy for bribery, and Lenders Major international lenders—such as the World Bank, African Development Bank, Asian Development 2 Information about PACI is available at https://www.weforum. Bank, Inter-American Development Bank, European org/communities/partnering-against-corruption-initiative. The website outlines the three-stage process to develop, implement, Investment Bank, European Bank for Reconstruc- and verify an anticorruption program. A firm may join PACI tion and Development, and International Monetary without joining the World Economic Forum. Fund—have standardized their approaches for dealing SPRING 2017 57

with corruption. They are also developing proposals to • reporting requirements assist countries in combating corruption by providing • training needs and programs information about changes governments can make in project procurement procedures and about the roles • ideas for achieving transparency in an organization. and activities of regulatory and permitting agencies. The GIACC website also provides materials for start- Checking on how a government agency does business ing an anticorruption program or for benchmarking an is always part of complete due diligence. existing program against others. Of particular use is the information on due diligence, covering the laws of the Standards Organizations country of the project, confirmation that the project is On October 15, 2016, the International Standards necessary and conceived for a legitimate purpose, the Organization (ISO) adopted an antibribery standard owner’s history, potential business partners, and con- (ISO 37001), a management system standard that can tract terms to help ensure that corruption will not be complement the standards for quality (ISO 9001), envi- part of a project. ronment (ISO 14001), and safety (ISO 18001). All of these standards need to be included in all project contractual requirements. ISO 37001 replaced the British Standards Institute Antibribery, quality, (BSI) Standard 10500, the antibribery standard that environmental, and safety BSI adopted in 2011. And the American National Standards Institute (ANSI) supports the adoption of standards need to be ISO 37001. included in all project Independent Industry Groups contractual requirements. The Global Infrastructure Anti-Corruption Cen- ter (GIACC; www.giaccentre.org) was founded in 2008 by two experienced construction attorneys in Another resource, the Anti-Corruption Education England. The independent, nonprofit organization and Training (ACET) program, was created by inter- promotes implementing anticorruption measures national participants in the E/C industry to provide in managing companies, agencies, and projects. Its good ethical training for practitioners (and students). approach to managing corruption is similar to the The ACET team raised funds, hired a writer and ways safety, quality, and risk are controlled: through producer, and, with them, developed the script for a procedures, training, monitoring, and enforcement. It 42-minute DVD drama, Ethicana, depicting corrup- led the development and adoption of ISO 37001 and tion in the procurement and production of a project. BSI 10500. The complete Ethicana package contains the DVD, The center’s website has a wealth of useful informa- classroom materials, trainer materials, and a “train the tion, including descriptions and examples of corruption trainer” module. that are useful for vocabulary and training exercis- ACET’s Ethicana resources reinforce the vocabulary es; examples of anticorruption programs suitable for needed for dialogue about anticorruption and present agencies, companies, and lenders; a complete project situations that both procurement and project staff may anticorruption system designed to prevent and detect face on projects. The situations depicted were devel- corruption on projects; and an array of anticorruption oped from the actual experiences of the ACET team tools, including members. • sample contract terms After reviewing situations in a classroom, and discuss- ing them with senior personnel and peers, engineers are • a corporate code better able to handle ethical issues in their work. Ethi- • due diligence procedures cana shows why engineers should act ethically while fol- • sample employment terms lowing an anticorruption program that tells them what to do. It has been successfully used to train engineers in • gifts and hospitality policy more than 20 countries on six continents. The 58 BRIDGE

Summary Acknowledgments E/C projects are vital to the people for whom they are This article is dedicated to the memory of Arthur J. Fox, built, and important to agencies in implementing their the ASCE president in 1976 who contributed so much mission as well as lenders and firms to keep their busi- to the society’s current anticorruption initiatives and ness thriving. All indications are that there will be more was instrumental in the success of the ACET program global projects in the future than ever before. Many are that produced and distributed Ethicana. forecast in developing countries where corruption has The contents of this paper have been developed been systemic. It will take vigilance and ongoing man- over the past 12 years, during which I have been active agement attention to keep corruption at bay on all proj- in addressing corruption in the E/C industry. Its con- ects in all countries. tents come from interactions with leading engineers, The two most effective tools for ethical practice are constructors, lenders, NGO leaders, and attorneys. Members and staff of the American Association of Engi- 1. a project culture founded on ethics, embraced by all neering Societies (AAES), ASCE, FIDIC, PACI, EA, levels of staff and management, and communicated GIACC, WFEO, and, most recently, the Pan American to all project team members and business partners; Academy of Engineering (API) have added important and ideas. If I were to name all from whom I learned, the 2. strong management systems that start from the list would be longer than this article. They all have my highest echelons of the organization and whose thanks for their efforts to address corruption in the E/C implementation is regularly verified throughout the industry. organization. For the first tool to be effective, all employees must be References able to talk with a common, well-understood vocabu- Dickerson M, Magalhaes L, Lewis JT. 2016. Odebrecht ex- lary. The importance of this vocabulary cannot be over- CEO sentenced to 19 years in prison in Petrobras scandal. stated—it is the cornerstone of the ethical component Wall Street Journal, March 8. of a project, the difference between people talking with Henry W, ed. 2009. Addressing corruption in our engineer- each other versus talking past each other. It enables ing/construction industry. Leadership and Management in regular discussions on ethics among engineers, between Engineering 9(3). engineers and managers, and among managers. Lichtblau E, Dougherty C. 2008. Siemens to pay $1.34 billion For the second tool to be effective, organizations must in fines. New York Times, December 15. have anticorruption systems that clearly demonstrate a OAG [Office of the Attorney General]–New Jersey. 2016. strong conviction to keep corruption away from proj- Ex-CEO of Birdsall Services Group sentenced to prison for ects. Such systems are the day-to-day guardians against evading pay-to-play law by using employees to make illegal corruption. If they are in place, it is wise to benchmark political contributions. News release, April 22. Trenton. them against what others are doing; if they are not, now USAO [US Attorney’s Office]–New Jersey. 2016. Two former is the time to develop and implement them. executives of Louis Berger International sentenced in for- There are many sources of information on effective eign bribery scheme. Press release, July 8. Newark. anticorruption systems, which can be developed in USAO [US Attorney’s Office]–Southern District of New stages. The important thing to remember is that these York. 2016. CEO of steel contractor on World Trade systems are only words on paper unless they are imple- Center site convicted at trial of fraud in connection with mented with top-down authority and their continuous program designed to encourage participation of minority use is verified on a regular basis. and women-owned businesses. Press release, August 10. Anticorruption materials, guidelines, and training New York. programs give real-life meaning to the words through USDOT OIG [US Department of Transportation Office realistic examples of corruption. These materials can of Inspector General]. 2014. Seven Ohio businesses and make corruption less likely to occur on every project. individuals suspended for DBE fraud. Investigations, Feb- ruary 7. Washington. Engineering ethics education increases the likelihood that engineering students will be prepared to handle ethical issues in their professional lives.

Can Engineering Ethics Be Taught?

Deborah G. Johnson

In 2010, after a two-year inquiry, a judge concluded that Canadian Prime Minister Brian Mulroney had acted inappropriately when he accepted large amounts of cash from a German-Canadian arms lobbyist. The judge suggested that all public servants should get ethics training. Peter Worthington (2010), a columnist for the Toronto Sun, responded to this suggestion in the following way: Deborah G. Johnson is Olsson Professor of [A] case can be made that “ethics” are something that you either have, or you Applied Ethics Emeritus, don’t have. Or, to put it slightly differently, ethics are a code you subscribe to or choose to ignore for reasons of personal interest.… All the training, teaching, Department of Engineer studying, reading, or lectures in “ethics” will not make a person more ethical if ing and Society, University he or she does not have these core values to begin with. of Virginia. Worthington expresses a skepticism that is not uncommon when it comes to teaching ethics to undergraduate engineering students, as a professor of engineering observed (Stephan 2004, p. 5): Some years ago I argued with a fellow professor about the issue of engineering ethics education at the college level. His point was along the lines of, “Hell, if eighteen-year-old kids don’t know right from wrong by the time we get ’em, they’re not going to learn it from us.”

This article is based on a chapter from my forthcoming book, Engineering Ethics: Contem- porary Debates, to be published by Yale University Press. The 60 BRIDGE

Despite such skepticism, most undergraduate engi- By contrast, the standard approach in ethics educa- neering programs in the United States (and in many tion is to focus on ethical reasoning and to try to pro- other countries) require some type of training in ethics vide students with information, ideas, and experiences as part of the curriculum. This may be due in part to the that will develop their ethical reasoning skills. The idea fact that ABET requires it for program accreditation. is that improving such skills will inform moral behavior. ABET specifies outcomes that engineering students With the goal of improving moral reasoning, many eth- must achieve by the time they graduate, and one of ics courses focus on ethical theories such as utilitarian- those outcomes is “an understanding of professional and ism, deontology, and virtue ethics1 as tools or heuristics ethical responsibility” (ABET 2014, p. 3). The agency for improved ethical reasoning. leaves it up to individual programs to decide how they will achieve this, but during periodic ABET reviews Moral Intuitions each program is required to demonstrate how it achieves The focus on ethical reasoning has been criticized as the outcome. misconceiving how individuals make moral decisions. If the skeptics are right, the ABET requirement is a Critics claim that ethical decision making is based on waste of time. The answer to the important question moral intuitions, not reasoning. This constitutes anoth- of whether ethics can be taught is far from simple and er form of skepticism about teaching ethics because if depends on what is meant by “ethics training” and what individuals make moral decisions on the basis of intu- is meant by “ethical engineers.” The following discus- itions, then teaching them how to reason about ethics sions illustrate both. may do no, or little, good. Moral intuitionists (also called social intuitionists because they believe moral intuitions are interpersonal) Skeptics seem to believe claim that examination of how people actually make moral decisions reveals that intuitions play a much that ethical behavior is not larger role than previously thought. Indeed, moral intuitionists argue that reasoning comes in only after intu- a matter of reasoning or itions, and that it is more like rationalization: used to reflection but something explain and justify what one’s intuitions tell one to do. Jonathan Haidt (2001, p. 817) put it succinctly: more primitive. The central claim of the social intuitionist model is that moral judgment is caused by quick moral intuitions and is followed (when needed) by slow, ex post Can Ethics Be Taught? facto moral reasoning. The question isn’t whether engineers make moral decisions (they do!), but whether and how ethical decision Moral intuitionists note that individuals are sponta- making can be taught. Skepticism about the possibility neously repulsed by certain kinds of behavior. For exam- of teaching ethics takes multiple forms. ple, without reasoning, individuals find incest or the torture of children abhorrent, and for some the thought Ethics as Inborn Predisposition or Reasoning Skill? of eating animals is viscerally repugnant. Some skeptics believe that a predisposition to ethical or Moral Reasoning unethical behavior is inborn, others that such a predisposition is a function of early childhood training. Either Moral reasoning theorists argue that moral intuitions way, skeptics tend to think that the predisposition can- don’t come out of nowhere; reasoning comes into play not be changed by education or that it can be changed as individuals form their moral intuitions through only by powerful experiences. Some think that, regard- developmental processes that involve reason. less of predisposition, an individual’s behavior can be Another argument against moral intuitionism points brought in line by threats of punishment for unethical to evidence of individuals reasoning about difficult situ- conduct. Implicitly, skeptics seem to believe that ethical 1 Utilitarianism focuses on the consequences of choosing an behavior is not a matter of reasoning or reflection but action or policy. Deontology is the study of the nature of duty something more primitive. and obligation. Virtue ethics emphasizes moral character. SPRING 2017 61

ations, such as deciding whether to have an abortion or a new engineer doesn’t know what a conflict of interest to join the military during a controversial war (Pizarro is or that accepting gifts from contractors may lead to and Bloom 2003). accusations of bribery and corruption, he is much more Moreover, there is evidence that reasoning can lead likely to slip into these forms of unethical behavior. to a change in one’s moral intuitions. For example, The challenge is to ensure that students not only are through discussion and debate with a friend one might aware of codes of ethics and standards of behavior but be convinced to become a vegetarian, or one might know how to interpret and apply them. Some argue that through reflection decide to refrain from telling jokes simply knowing what codes of conduct say doesn’t help that perpetuate racial or gender stereotypes. Critics of engineers in real-world situations because the state- moral intuitionism also note that individuals frequent- ments in codes must be interpreted in each particular ly encounter ethical dilemmas for which there are no situation (Eriksson et al. 2007). already formed intuitions. This is a thorny debate that goes to the heart of what is going on internally when a person makes a moral deci- Simply knowing that a sion. The debate has deep historical roots in philosophy, going back to Plato. Is reason a slave to the passions? Or code of ethics exists and are the passions a slave to reason? Much of engineering ethics education tends to hedge this debate by address- what it says is not sufficient ing both moral reasoning and moral motivation. These ideas about how people make moral decisions to help an engineer figure underlie and influence the most important questions in out what to do. engineering ethics education: Given the nature of ethics, what can and should be the goals of engineering ethics education? How can they be achieved? For example, many engineering codes of ethics specify that engineers should act faithfully on behalf The Goals of Teaching Engineering Ethics of their clients. Imagine an engineer who discovers a In the burgeoning literature on engineering ethics edu- safety problem while working on a client’s building. cation (and professional ethics education more broadly) The safety problem could affect people who work in the the focus is on what can and should be taught and how building by, say, increasing the risk of exposure to tox- best to teach it. The following four goals guide most ins. Suppose the engineer tells her client and the client programs in one way or another: asks her to keep quiet about the safety issue because the client is planning to sell the building. • Make students aware of what will be expected of Although codes of ethics make it clear that engi- them in their work as engineers. neers have a responsibility to their clients, they also • Sensitize students to ethical issues that might arise in specify that engineers should “hold paramount the their professional practice. safety, health, and welfare of the public.” In this situation, simply knowing that a code of ethics exists and • Improve students’ overall ethical decision making knowing what it says is not sufficient to help the engi- and judgment. neer figure out what to do. Even if she recognized that • Motivate and even inspire students to behave ethically. the safety of the public comes first, it is unclear what action she ought to take. Engineering educators there- Needless to say, these goals are not mutually exclusive. fore suggest that students be given opportunities and Knowledge of Codes of Professional Conduct experience in interpreting codes of conduct and applying them to real-world situations. In this hypothetical Knowledge of the standards and expectations for prac- example, had the engineer engaged in discussion and ticing engineers cannot possibly be inborn, learned in reflection about the meaning of fidelity to clients dur- early childhood, or intuitive, but such knowledge is ing her education, she might more readily come to the critical to being an ethical engineer. conclusion that she should go back to the client and At a minimum, engineers need to know that there are explain why some action should be taken before the professional codes of ethics and standards of conduct. If The 62 BRIDGE client sells the building or at least explain to the client tain patterns that they can then recognize in their own the full consequences of not informing potential buyers real-world experiences. about the problem. Another approach teaches students moral frame- Some argue that there is a danger in exposing stu- works and concepts such as integrity, loyalty, respect, dents to codes of ethics without practice using them or and conflict of interest, so that they will be more likely grappling with their interpretation. The fear is that such to recognize situations in which these concepts are rel- exposure without practice will lead students to think evant. For example, when one understands the concept legalistically. Law and ethics are not the same. Legalistic of never treating a person merely as a means, one is more thinking may suggest that one should simply follow the likely to notice when someone is being treated that way. rules without thinking about dimensions of engineering Ethical concepts and theories provide a language and a work that aren’t covered by law. way of looking at the world that enable individuals to One answer to those who are skeptical about teach- see what they might otherwise not have noticed. ing engineering ethics is, then, that—whatever char- Thus another answer to the skeptics is that, in order acter student engineers already have—activities that for engineers to behave ethically, they have to learn (1) make them aware of codes of ethics and standards to identify ethical issues and to recognize that circum- of behavior and (2) develop their skill at interpreting stances or situations in which they find themselves have and applying the codes and standards increase the like- ethical dimensions. lihood that they will respond more thoughtfully and in a professional manner to difficult situations they encoun- Moral Reasoning/Improved Decision Making ter in their practice. The ability to identify ethical issues is critically important, but what happens after one becomes aware of a situation calling for a moral decision? Depending on the situation, deciding whether to take action and what Engineers can go wrong action to take can be enormously challenging. Hence, simply by not recognizing developing students’ ability to make ethical decisions is a central focus of engineering ethics education. that a situation involves some Engineering ethics educators are often asked to demonstrate that students’ ethical decision-making skills form of unethical behavior. have improved after they have been exposed to a module or taken a course or had a particular experience. The need for evidence has led some social scientists to Awareness and Ability to Identify Ethical Issues develop models to assess ethical decision making. James Engineers can go wrong simply by not recognizing that Rest (1986) is one of the most influential scholars in a situation involves another person’s rights, undermines this area. His model suggests that ethical decision mak- professional integrity, creates a conflict of interest, or ing involves four steps: engenders some other form of unethical behavior. Imag- 1. recognize the moral issue, ine an engineer not realizing that there is anything 2. make a moral judgment, problematic about reviewing construction plans submit- 3. resolve to place moral concerns ahead of other con- ted by a close relative, or failing to see where a romantic cerns, and relationship at work may lead. 4. act on the moral concerns. Engineering ethics educators frequently use case studies to raise awareness of ethical issues and sharpen Step 1 was discussed in the previous section, and steps students’ ability to identify ethical issues. Exposure to 3 and 4 are treated in the next section. The second step case studies—whether real incidents or fictitious situa- has received the most attention in discussions of engi- tions—increases the likelihood that a new engineer will neering ethics education because many believe that identify an ethical issue quickly or early on before get- moral reasoning and ethical decision making together ting into too much trouble. Familiarity with case studies are a skill that can and should be taught. is effective because it draws on a basic human capacity Without a doubt, engineers often face situations in for pattern recognition (Abaté 2011): students ascer- which they have to make difficult moral decisions: SPRING 2017 63

• Should I blow the whistle on my employer? for buildings situated as it was, he acted promptly and responsibly (Pritchard 1998, p. 221): • Should I remove myself from this situation because I may be seen as having a conflict of interest even He knew how to correct the problem, but only at the though I do not? cost of a million dollars and at the risk of his career if he were to tell others about the problem. He promptly noti- • Should I let this design proceed to the next level of fied lawyers, insurers, the chief architect of the building, development even though I know it can’t be made and Citicorp executives. Corrections were made, all par- safer? ties were cooperative, and LeMessurier’s career was not adversely affected. The standard approach is to give students practice in ethical decision making by engaging them in case Engineering ethics educators have compiled other or scenario analysis and role playing with opportuni- stories of heroic and exemplary engineers who are less ties for discussion, feedback, and exposure to alter- well known than LeMessurier but equally impressive in native perspectives. Students have an opportunity the way they risked their own well-being to protect the to experience ethical dilemmas and reflect on how public or a group of people (e.g., Huff and Barnard 2009; to handle them. Madhav 2014; Pritchard 1998). Students can learn from reflecting on hypothetical situations calmly, carefully, and with others, before they experience real-world situations when they may be Students can learn from under great pressure and have less opportunity for discussion and reflection. In the classroom students learn, hypothetical situations before among other things, that the ethical dimensions of a situation can be brought to light through discussion and they experience real-world analysis, and alternative, more strategic responses can be teased out through reflection and discussion. situations when they may be Ethical decision making is an important part of under great pressure. engineering ethics, and courses that give students the opportunity to consider, reflect upon, discuss, and even debate what to do in tough situations are believed to Another strategy to motivate students is to involve improve their ethical decision-making skills. them in service projects such as building a much needed sanitation system in a small, poor, rural community. Motivation Students see the potential of their work to do good and Importantly, being ethical involves more than mak- see engineering as an endeavor that can make the world ing decisions. One has to resolve to act on those a better place. Engineers Without Borders (EWB) is an decisions—and then do so. Engineering ethics educa- organization devoted to providing students with inter- tion seeks to inspire and motivate students to behave national opportunities of this kind. ethically. Rest’s last two steps—resolve to place moral concerns Most people have had the experience of being ahead of other concerns and act—might together be inspired by a passionate speech, charismatic leader, or thought of as a form of “moral courage.” Moral courage personal experience that changed the way they think. is the ability to take action for moral reasons despite fear Engineering ethics educators therefore expose students or likelihood of negative personal consequences. Engi- to stories of engineers who have made great sacrifices to neers often find themselves in situations in which their do the right thing, or taken on noble causes, or with- work environment makes it difficult for them to express stood pressure to engage in wrongdoing. their ethical concerns about safety, negative impacts on William LeMessurier is often put forward as this kind vulnerable populations, or the legality of an endeavor. of inspiring figure. He was a distinguished structural They need moral courage to stand up for and speak out engineer and a consultant in the development of an about what they think is the right side of an issue. innovative building, the Citicorp Headquarters in New For all these reasons inspiring students to want to be York. When he learned, after the building was complet- ethical engineers is an important part of engineering ed (in 1977), that it did not meet the safety standards ethics education. The 64 BRIDGE

Conclusion References Can engineering ethics be taught? Skeptics seem to have Abaté CJ. 2011. Should engineering ethics be taught? Science oversimplistic notions of ethics and of human behavior. and Engineering Ethics 17(3):583–596. To suppose that individuals are born with or learn ethics ABET. 2014. Criteria for Accrediting Engineering Pro- in their childhood and never learn anything else is to grams. Baltimore. Available at www.abet.org/wp-content/ suppose that ethics is simply a matter of learning a few uploads/2015/05/E001-15-16-EAC-Criteria-03-10-15.pdf. rules and then adhering to them no matter what. Eriksson S, Helgesson G, Höglund AT. 2007. Being, doing, While learning a few basic moral principles early in and knowing: Developing ethical competence in health life is probably a good thing, real-world situations are care. Journal of Academic Ethics 5(2–4):207–216. often complex and require more than simply following Haidt J. 2001. The emotional dog and its rational tail: A rules. For one thing rules need to be interpreted and social intuitionist approach to moral judgment. Psychologi- applied to particular circumstances. For another, real- cal Review 108(4):814–834. world situations often involve tradeoffs and prioritizing, Huff CW, Barnard L. 2009. Good computing: Life stories of and depend on the details of the situation. moral exemplars in the computing profession. IEEE Tech- Engineering ethics can be understood to involve the nology and Society 28(3):47–54. following components: Madhav CB. 2014. Phronesis in defence engineering: A case study in the heroic actions of two defence engineers as • knowledge (of codes and standards), they navigate their careers. PhD dissertation. Available at • skill (the ability to identify ethical issues), http://ir.stthomas.edu/caps_ed_lead_docdiss/51/. • reasoning (the ability to make moral decisions), and Pizarro DA, Bloom P. 2003. The intelligence of the moral intuitions: A comment on Haidt (2001). Psychological • motivation (the will to take action). Review 110(1):193–196. All of these can be taught—and thus so can engineering Pritchard MS. 1998. Professional responsibility: Focus- ethics. This does not mean that engineering ethics edu- ing on the exemplary. Science and Engineering Ethics cation can make so-called “bad” people good or ensure 4(2):215–233. that all engineers will always do the right thing, but it Rest JR. 1986. Moral Development: Advances in Research increases the likelihood that engineering students will and Theory. New York: Praeger. be better prepared to handle the ethical issues that arise Stephan KD. 2004. Can engineering ethics be taught? Tech- in their professional lives. nology and Society 23(1):5–8. Finally, it is important to note that the focus here has Worthington P. 2010. Ethics can’t be taught: They are a been on teaching individual engineers, but engineering code you either subscribe to or choose to ignore. Toronto ethics is not just a matter of individual behavior. Ethical Sun, June 7. Available at www.torontosun.com/comment/ engineering also requires the creation and maintenance columnists/peter_worthington/2010/06/04/14264071. of institutions, organizations, and environments that html. enable individuals to behave ethically and that promote and facilitate engineering endeavors that are good for humanity. An Interview with . . .

Then I applied to business school, where I took a Sal Khan capital markets class with a professor who was an ex- engineer who became a derivatives trader and then decided to get his PhD in finance and became a professor at Harvard. I had a rapport with him and loved his class—I was kind of the closer for the class. I thought, ‘What in life can I do that is essentially this class?’ He said, “You should go work at a hedge fund.” I said, “That sounds great. But what is a hedge fund?” I talked to some people. I had a lot of student debt so I wanted to know how much do you make at a hedge fund? When I found out I said, “Oh, yeah, I am definitely working at a hedge fund.” RML: I understand you had a cousin who wanted some tutoring in math and you started doing that and that led to what you do now. It’s a pretty big leap from a hedge fund financial analyst to launching an educational enterprise like Khan Academy. How did you get to that point? What was the motivation? MR. KHAN: The initial motivation was that I have always enjoyed tutoring and math and science and aca- Sal Khan is founder of Khan Academy (khanacademy.org). He demic knowledge. As a hedge fund analyst I became earned two BS degrees—in math and in electrical engineering aware that, no matter what career you choose, there are parts of your brain that you enjoy but don’t get to use. and computer science—and an MS in EECS, all at MIT, and an When my 12-year-old cousin was put in remedial math MBA from Harvard Business School. class in 7th grade, I thought, ‘That’s going to follow her through the rest of her life.’ I felt very confident—she RON LATANISION (RML): We are glad to have a is a bright young woman—that with a little help she chance to talk with you, Sal. I have always felt that edu- might be able to do a lot better. I had to help my cousin. cation is a means of integrating people into the culture The other motivation was, it’s cool to have a daily of not only a country but also the world. Given all the connection with your 12-year-old cousin who lives on things you’ve done over the past 10 or so years, I am the other side of the country. I think everyone craves a very impressed by the evolution of Khan Academy and family connection, especially when you’re by yourself. your involvement. And a lot of times the story is Oh, gee whiz, I just happened to fall into this thing. It’s true. Even when I SAL KHAN: I appreciate that. was at MIT, I spent a summer with a fellowship to work RML: As a starting point, I understand that when you on educational software. Many times I had found myself left MIT you began working as a financial analyst? interested in education and the potential for software, in particular, to help scale. I think almost every soft- MR. KHAN: Actually my first job was as a product ware engineer has thought about this because most care manager at Oracle. My background was in computer sci- about education as well as software. ence and math, and my first job was in software. Then I started tutoring my cousin and in 2–3 months she I left to do a startup where, at the ripe age of 22, I was went from being a remedial student to being the top the CTO—like any self-respecting 22-year-old in 1999. student in her class. This experience validates that It did well until Nasdaq popped. The 66 BRIDGE famous Benjamin Bloom study, the Two Sigma,1 about ing it and it started to take off. It did not go viral in having a personal tutor. Then I started tutoring her the traditional sense, but over the next two, three, four younger brothers. Word got around the family, and years, tens of thousands of people were coming on each within a year and a half I was tutoring 10–15 cousins month. This is what eventually led me to set this up as and family friends. a nonprofit, quit my job, et cetera. As an engineer I started to think, ‘How does this scale RML: Did your experience either in EECS at MIT in and what parts of this can I create tools for that will help developing software, for example, or your MBA lead you me scale?’ In the beginning my cousins just needed prac- to think there might be a business model that would be tice. I looked on the Internet, there were some ques- workable to deliver something like this? tions here or there, but it was pretty fragmented and of variable quality. MR. KHAN: When I was doing it at the beginning, So I started writing questions that were auto- it was just like a significant hobby. When I started I generated and then auto-graded. Then I wanted to was based in Boston. The firm I was working for was see what they were doing so I added dashboarding and very small—just me and my boss. We moved out to the tracking. I’m always assigning different questions, so I Bay Area, in the middle of Silicon Valley with all these thought, ‘What if I auto-sign based on what they show people who graduated from MIT or Harvard Business proficiency in and what they did not show proficiency School, all entrepreneurs or venture capitalists. in?’ I was falling into this thing. At first a lot of them wanted to know, What is the I was building out a mastery learning system. I did not business model? How are you going to make money? I know that was the name for it at the time, but this is said I was just doing this for fun. They sounded very what Benjamin Bloom theorized, and before him there irritated. I said I enjoyed it—“look at this nice letter I was Carleton Washburne and the Winnetka plan 100 got, that makes it worth it.” But once there were several years ago. Many people have already thought of this hundred thousand people using it, we started trying to stuff. I only found out about it when I started doing get some press. And some venture capitalists started to research for myself. reach out and say to me, “I will write a check right now, Sal, and you can work on what you want to work on and it will be a for-profit business.” I think that could have worked. But I had that expe- I said, “YouTube is for cats rience in the late ’90s: everybody is kumbaya when a playing piano, not serious startup starts and you say, “I will change the world.” When things get tough, or not even when things get math.” But I got over that. tough but after a year or two of the kumbaya, investors will be asking, “Where is my return? Why aren’t you charging those people?” I knew that was not what What really put us on the radar was a friend who I wanted. asked, “How are you scaling your lessons?” I said, “I’m I had never worked at or run a not-for-profit, but I not.” He said, “Why don’t you make videos of them and was intrigued. In my day job I spent a lot of time talking upload them onto YouTube?” I told him, “YouTube is to people and I saw how much capital structure moti- for cats playing piano, not serious math.” But I got over vates behavior and how your investor base motivates the fact that it wasn’t my idea and I did it. (In fact my behavior. So I set up a not-for-profit. In a lot of ways this cousins said they liked me better on YouTube than in was a bolder bet because as risky as a for-profit venture- person.) The first videos were actually just to supple- backed business is, the data indicate that a lot fewer ment the software I was creating. not-for-profits make it to scale. Because it was on YouTube it was openly accessible, RML: In terms of your long-term vision for Khan Acad- so soon people who were not my cousins were watch- emy, you have been operating for close to a decade. Do you see any midcourse corrections? a long-term goal 1 Bloom BS. 1984. The 2 Sigma problem: The search for methods of group instruction as effective as one-to-one tutoring. that would lead you to change the orientation? How do Educational Researcher, June/July. Available at http://web.mit. you see the whole enterprise going forward? edu/5.95/readings/bloom-two-sigma.pdf. SPRING 2017 67

CAMERON FLETCHER (CHF): How will it be RML: In terms of sustainability, when you think about a sustainable? university, for example, endowment is a very important part of the mix of financial resources at places like MIT MR. KHAN: At a meta-level, with this whole notion and Harvard and other institutions. Are your donors of being a not-for-profit, our mission is a free, world- contributing in the sense of operating funds or do you class education for anyone, anywhere. Every day that put some fraction of the resources into endowment? How goes by I think, ‘Wow, that was a really good decision,’ do you envision sustaining the effort in the longer term? and it keeps getting reinforced. There is a Harvard Business School case study on Khan Academy, where the central question is, Should it be for-profit or not-for-profit? The main arguments Our mission is a free, against not-for-profit are: Will they have access to capital? Will they have access to talent, in order to world-class education for tackle this huge, free, world-class education for any- anyone, anywhere. one anywhere? I wasn’t even sure about it when it started. But now the simple answer for both of those ques- MR. KHAN: Right now our revenue makeup is about tions seems to be ‘yes.’ Not only are we getting decent 40 percent of our budget, which in 2017 is $30–$35 mil- talent, we are getting the best talent in Silicon Valley. lion. About 40 percent of that will come from some of Engineers and designers are hot commodities in Silicon the folks I just talked about. The Gates Foundation and Valley: everyone we give a job offer to has offers from other large foundations are giving $1–3 million a year. Google, Facebook, Apple—and we are getting 70 per- Another 40 percent of our revenue is from what cent of them. We have a higher yield than any of those we call “partner revenue.” It is not pure philanthropy other companies. because the partner is getting something out of it. For We pay well—our cash compensation is close to what example, Bank of America sponsored financial litera- people might be able to get from some of these other cy, and they get to tell the world, “We are sponsoring companies—but we don’t give stock. So the total com- financial literacy on Khan Academy”—it’s part of their pensation is maybe 50–60 percent of what you would marketing that they care about education. The College get at some of these competitors. But it shows that if Board gives us revenue to provide free practice for the you pay people enough and give them a cool mission SAT, which supports what they are doing and is great and intellectually challenging work, they feel like they for us because it super aligns with our mission. We are are not a cog, like their work matters. talking to other testing companies. Some of the top people in the field are on our team We are finding that we can have a revenue model and some of them are not driven by money at all. Craig that in no way violates our mission. For example, SAT Silverstein was Google’s first engineer; now he runs our practice is free for students—it is a key part of their edu- infrastructure. He obviously could do anything with his cation—but it’s in another party’s interest to make it time, but he wants to do this. We have people out of happen, so that party gives us support. college, too, who could do anything and they are com- Another 20–25 percent of our revenue comes from ing here. small user donations. We have 300,000 people who give The other thing is access to capital. I quit my job on us on average $20. the premise of the social return on investment here. I Hopefully we will always be able to make the case to thought, ‘If I were a billionaire I would give to this.’ large foundations that this is a very high social ROI and That may be a somewhat naïve point of view, and it they will always be part of the mix. But I think the small took a little time, but now our funders are dispropor- donors may be a more predictable stream and we can tionately engineers. They are people who care about do a lot more there. Right now it’s about $6–7 million education. They understand the scale we have and the a year; I think it could be $10, $15, $20 million a year types of measurement and tooling that we are capable if we make a little more effort. As our impact scales, I of. They appreciate our analytics and how we try to think that will happen. measure and quantify what we do. We are working with more folks like the College Board, doing corporate sponsorship of content. We are The 68 BRIDGE

themselves saying, “Hey, this is a revenue stream. Let’s make some money off this.” Then I remember seeing the press release that MIT was giving it all away for free. They were putting money into it on principle. I found that to be incredibly inspiring. I felt very proud to come from MIT. A lot of colleges talk about teaching ethics, but to take such a bold stance at the time, that is probably the best ethics of all. I gave a commencement address at MIT in 2012, and said this was an inspiration for me and that people should Sal Khan in an instructional video. be proud. a completely noncommercial site—you won’t see any CHF: You may be interested to know that the fall 2016 ads. But Amgen, as a real example, cares about biology issue of The Bridge was devoted to open educational education and would like to be associated with educat- resources, starting with MIT.2 And this interview will ing the next generation of biologists and researchers; be published in the spring 2017 issue, which will be on they give us several million dollars as our biology spon- ethics, so you have that to look forward to as well. sor. Similar to Bank of America. RML: Talk about connectivity. But there is a very clear line. None of these donors have any editorial impact. It’s like the Olympics: “We CHF: Going back to the matter of scaling, I see that are a proud sponsor of algebra and Khan Academy,” but you started off in the sciences and math and you have it is noncommercial. expanded to the arts and humanities. How do you pick the subjects that you are going to expand into? And are RML: I get it. You mentioned involvement with MIT. you considering other topics in those or other areas? Does that involve their OpenCourseWare activities? What sort of interaction do you have with people there? MR. KHAN: Yes, we look at where there is the most need and most demand. We are pretty comprehensive MR. KHAN: I don’t have any formal interaction with now from kindergarten through the core of college MIT, but obviously I interact a lot with it. I just saw math. In another month or two, we will be almost fully [MIT president] Rafael Reif a couple of weeks ago at a comprehensive in introductory chemistry, biology, and conference. We always have fun conversations. physics. We are going into world history, American RML: Do you have any interaction with folks in the history, civics and government. So we are definitely Media Lab? expanding. For us the vision that I have articulated with our team MR. KHAN: I know a bunch of folks at the Media Lab, is that in the next 10 years we should cover every K–14 but we don’t have any formal partnerships with them. core academic subject—all the reading, writing, math, I do always cite OpenCourseWare as something of an inspiration for me. It reinforced my desire to make Khan Academy not-for-profit. 2 The fall 2016 issue of The Bridge, with the story of MIT’s I remember in the late ’90s there were a bunch of for- launching of OpenCourseWare, is available at https://www.nae. profit startups partnering with colleges, and colleges were edu/Publications/Bridge/162252.aspx. SPRING 2017 69

social sciences, the sciences, from pre-K or elementary It is one thing to cover the standards—textbooks school all the way through the first two years of college. have been doing that forever, but they have also been really dry and hard to digest and they are not clear. So CHF: That is an unbelievably expansive ambit. I am you can cover the standards, and even be pedagogically wondering what are the pedagogical guidelines? How correct, but I would say the harder dimension is to really do you ensure that the team members you bring in have connect with people. Do they really feel comfortable the right expertise to design content for such a range of with the material? And does it connect the conceptual courses and grade levels? dots? That’s the harder thing that we are getting better MR. KHAN: That is a central question. For K–12 and better at looking for. math, for example, the Common Core standards set up CHF: Especially when you branch out beyond the Col- at least an architecture. We have four or five in-house lege Board or the SAT to the lower grades. If you’re talk- folks on it, then we work with teachers and researchers, ing about math or art or history for pre-K and first grade, and start writing items and creating content. I still cre- for example, it seems to me that those would have differ- ate a lot of the videos but for math it would be vetted ent pedagogical needs. Do you have external reviewers? by Bill McCallum’s group at Illustrative Mathematics. Bill McCallum was one of the two authors of the math MR. KHAN: Yes. And for the early learning stuff Common Core standards. They didn’t do this for any- another exciting thing has happened recently. There one else. is an app company called Duck Duck Moose—I have This is kind of a secret weapon of being not-for-profit. always cited it as best in class. It was started by a hus- They were not willing to do this for McGraw-Hill or band and wife who did it for their kids, so it is kind of Pearson, but they vetted every item, every piece of our a parallel narrative to what I was doing. They reached content, to ensure that it is consistent with the spirit out to us a year ago and said they wanted to become of the Common Core. This is a big deal because you a part of Khan Academy and were willing to donate can give the Common Core standards to a teacher, but their organization. They became part of Khan Academy how it gets implemented, who knows. With us, they can and all 23 existing apps are now free. You can download validate the words used, the visualizations, to make sure them right now and start using them. Duck Duck Moose they’re consistent. has experts on early learning, but they are also working As we got into higher-level math and calculus we with the education school at Stanford and other places. developed that content in conjunction with the math RML: How many folks do you actually have? I was going department at Phillips Academy Andover, which is to say subscribers. That may not be the right word. How where the Advanced Placement (AP) test started. They many people do you reach a year? are one of those places where 150 kids take the test and 149 get a 5 on it. We developed content with those teachers and now we are working with the College Board to vet it and Students at a school that make sure it’s exactly what they have in mind. They really get excited because, before, they just created the doesn’t have AP classes test and created some standards, and now they can say, have an alternative now “Hey, this is a pretty good reference curriculum.” Teach- ers can point their students to it. If a student goes to a in Khan Academy. school that doesn’t have AP classes, they have an alternative now in Khan Academy. As we go into world history, civics, and government, MR. KHAN: There are different numbers. Some of we are talking closely to folks like the College Board. these you could put in the category of vanity metrics, In terms of the people we hire, let’s say for chemistry: but more than 50 million registered users total, and our chemistry fellow is a PhD in chemistry from MIT 10 million people take a learning action per month— and has taught all of the core chemistry classes. In addi- i.e., they did at least one thing. tion, we usually ask them to create writing and even CHF: Does that mean they completed a unit? video samples, to see their take. The 70 BRIDGE

don’t ask a lot about them. I would estimate probably 30 percent are out of school and doing it out of interest or trying to brush up to help their kids. And about 35 percent of our usage is outside the United States. CHF: You do have an impressive array of languages into which your materials are translated. MR. KHAN: Yes, that is exciting, and it’s growing. We have a full offering in five languages—the software is fully translated into Spanish, Brazilian Portuguese, Hindi, French, Turkish—and there are 20-some, maybe even 30 languages where we have a reasonable translation Khan Academy webpage in Turkish. effort under way, done by volunteers. There are at MR. KHAN: Yes, a unit for us could be as little as a least several hundred videos translated. I think there video. are 10,000 videos total in the entire library right now. CHF: I was wondering because I went on your site and The other dimension of the vision is every core aca- it says there are about 50 million learners. How are demic subject from kindergarten through core of college those measured? Is it the fact that I, for example, signed and in every major world language. in so you guys now have my email address—does that RML: That is stunning. make me one of the 50 million? CHF: When you say that 30 percent of your users are MR. KHAN: Yes, I think that’s the 50 million num- older—defined as anybody beyond college—how much ber you are seeing. That grows by 2–3 million people of your resources are used for continuing education and per month. If you look at unique users over a year, that do you make any effort to reach out and do some promo- number approaches 100 million. And the monthly tion for that use? number of people who take a learning action is 10–11 million right now. MR. KHAN: Our number one testimonial comes from the continuing education person, the person who wants RML: Do you know anything about the demographics to go back to school and feels intimidated, especially by of this population? How many of these are people who math. But we have to do a much better job about com- are beyond the K–12 system? The intention is that any- municating it, tying it more closely to opportunities. one who wants to learn something would have access. CHF: What do you see as next steps for yourself? MR. KHAN: We are trying to get better data. The bulk of our users are in the middle school through early MR. KHAN: We have got our work cut out for us. We college age range. We do have a lot of adult learners. want to make the platform much more engaging. We see It’s hard to get precise information because a lot of our opportunities. We already have tools for teachers; how users are not registered and for the registered ones we can we help them even more to free up time for more SPRING 2017 71

interactive things with their students? More one-on-one As we transitioned from an industrial model, which time, more projects, dialogue, things like that. is a bit of a pyramid, we had a lot of labor at the bot- We hope to tie learning on Khan Academy to actu- tom and in the middle class, in information-processing al opportunities. This is already true for some things jobs. A lot of labor in the industrial society was pretty like the SAT. But maybe you’re an adult learner and good middle-class jobs, factory jobs, and the like. At the you prove yourself on Khan Academy and can take top were the owners of capital, the creative class, the the actuarial exam now. If you do that you can have a researchers, artists, people like that. pretty good career. Based on this work, we think we can Now the writing is on the wall. First through global- give you a nurse apprenticeship or something like that. ization, and shortly thereafter through automation: not That is not going to be us by ourselves. We are never only the bottom layer, through robotics, but even the going to be an assessment body or do job placement, middle layer, around information processing, is going to but we can work with the people who do to create clear be automated. We are going to be a more productive connections between learning on Khan Academy and society, but where does all that wealth go? Does it go some type of opportunity. to just the small top of the pyramid? Do we have an unstable society? Do we have to do some type of aggres- RML: Yours is quite a remarkable venture and a laud- sive redistribution to have a stable society? able effort. I am particularly impressed by your view of My hope, and I actually think it is possible, is that we engaging people and educating them on a worldwide invert that pyramid where instead of 5 or 10 percent of scale. That is important not only in terms of careers and people at the top of the pyramid, maybe we can get 40, personal well-being but also in terms of bringing people 50, even 60 percent of the population there. I call that together around an educational goal that may help sup- the “Star Trek Reality,” where pretty much everyone is port world harmony. a researcher, an explorer, an entrepreneur, an artist of MR. KHAN: I appreciate that and I agree with you. some kind. RML: Before we close, is there any message you want to CHF: What a beautiful optimistic view. convey to the NAE members and other subscribers to RML: Yes, it is. I hope that view becomes reality at The Bridge, who include members of Congress and deans some point. It would certainly be an asset to the whole of engineering throughout the country? planet. MR. KHAN: I think there is a lot of pessimism about MR. KHAN: We have 400 years to make Star Trek what is going on in education. In the United States come true. I am working on it. there is concern about a globalized world with automation—a world with a lot of productivity, but who is participating in that productivity? The 72 BRIDGE NAE News and Notes Class of 2017 Elected

In February the NAE elected 84 new Aziz I. Asphahani, chief execu- ing, University of California, Davis. members and 22 foreign members, tive officer, QuesTek Innovations For contributions to geotechni- bringing the total US membership LLC, Evanston, IL. For executive cal earthquake engineering and to 2,281 and the number of foreign leadership in STEM education, the development of procedures for members to 249. integrated computer design of mate- evaluating seismic behavior of soil- Academy membership honors rials, and invention and production structure systems. those who have made outstand- of corrosion-resistant alloys. Robert J. Budnitz, staff sci- ing contributions to “engineering David Vernon Boger, professor, entist, Earth Sciences Division, research, practice, or education, Department of Chemical Engineer- Lawrence Berkeley National Labo- including, where appropriate, sig- ing, Monash University, Clayton, ratory, University of California, nificant contributions to the engi- Victoria, Australia. For discoveries Berkeley. For advancement of seis- neering literature,” and to “the and fundamental research on elas- mic probabilistic risk assessments pioneering of new and developing tic and particulate fluids and their and their application to nuclear fields of technology, making major application to waste minimization power facilities. advancements in traditional fields in the minerals industry. Cleopatra Cabuz, vice president of engineering, or developing/imple- Arindam Bose, consultant in of engineering, Honeywell Industri- menting innovative approaches to business organization, biotechnolo- al Safety, Honeywell Corp., Golden engineering education.” gy, bioengineering, and biosimilars, Valley, MN. For contributions to A list of the newly elected mem- AbiologicsB LLC, Pawcatuck, CT. sensors, microelectromechanical bers and foreign members follows, For innovations in the manufacture technologies, and development of with their primary affiliations at the of biologics and service to the pro- industrial and safety products. time of election and a brief state- fessional society organizations that Gerbrand Ceder, Chancellor’s ment of their principal engineering represent the biopharmaceutical Professor of Materials Science and accomplishments. industry. Engineering, University of Califor- Bimal K. Bose, consultant and nia, Berkeley. For the development New Members emeritus professor, Department of of practical computational mate- David T. Allen, Melvin H. Gertz Electrical Engineering and Com- rials design and its application to Regents Chair in Chemical Engi- puter Science, University of Ten- the improvement of energy storage neering, McKetta Department of nessee, Knoxville. For contributions technology. Chemical Engineering, University to advancing power electronics Xiangli Chen, vice president, of Texas, Austin. For contributions technology and power conversion General Electric Co., and president, to improving air quality and for and education. GE China Technology Center, developments in sustainable engi- Thomas P. Bostick, senior vice Shanghai. For pioneering work in neering education and practice. president, environment sector, optical sensing and precision laser Ellen M. Arruda, professor, Intrexon Corp., Germantown, MD. processing, and for leadership in macromolecular science and engi- For development of new approach- globalizing industrial research and neering, Department of Mechani- es to hurricane protection and for development. cal Engineering, University of leadership of the US Army Corps Dianne Chong, retired vice Michigan, Ann Arbor. For pio- of Engineers. president, assembly, factory, and neering research in polymer and Ross W. Boulanger, professor support technologies, Boeing Engi- tissue mechanics and their appli- and director, Center for Geotech- neering, Operations, and Technol- cation in innovative commercial nical Engineering, Department of ogy, Boeing Co., Bellevue, WA. For products. Civil and Environmental Engineer- advances in process and production SPRING 2017 73

technologies for composites in large tical contributions to enhanced oil Jay Giri, director, power systems commercial aerospace vehicles. recovery and CO2 sequestration. technology and strategic initiatives, Joe H. Chow, professor, elec- Ali H. Dogru, chief technologist GE Grid Solutions, General Electric trical and computer systems engi- and fellow, computational modeling Co., Redmond, WA. For contribu- neering, Rensselaer Polytechnic technology, EXPEC ARC (Explo- tions to utility control center tech- Institute, Troy, NY. For technical ration and Petroleum Engineering nologies to enhance grid situational contributions to the modeling, Center–Advanced Research Cen- awareness and reliability. analysis, and control of large-scale ter), Saudi Aramco/Saudi Arabian Andrea Jo Goldsmith, Stephen power systems. Oil Co., Dhahran, Saudi Arabia. Harris Professor of Engineering, Jingsheng Jason Cong, Chancel- For the development of high-perfor- Department of Electrical Engineer- lor’s Professor and director, Center mance computing in hydrocarbon ing, Stanford University, CA. For for Domain-Specific Computing, reservoir simulation. contributions to adaptive and multi Computer Science Department, Eric H. Ducharme, general antenna wireless communications. University of California, Los Ange- manager, advanced technology, GE George T. (Rusty) Gray III, lab- les. For pioneering contributions to Aviation, Cincinnati. For advanc- oratory fellow, Los Alamos National application-specific programmable ing the state of the art in compos- Laboratory, NM. For contributions logic via innovations in field- ite fan technology and developing to the understanding of the dynamic programmable gate array synthesis. industry-leading aircraft engine and shock-loading deformation and James H. Crocker, vice presi- technologies. damage response of materials. dent, international, and general Dara Entekhabi, Bacardi and Leonidas J. Guibas, Paul Pigott manager, Lockheed Martin Space Stockholm Water Foundations Professor of Computer Science and Systems Co., Littleton, CO. For Professor, Department of Civil and Electrical Engineering, Computer technical leadership and engineer- Environmental Engineering and Science Department, Stanford Uni- ing contributions in astrophysics Department of Earth, Atmospher- versity, CA. For contributions to and planetary exploration. ic, and Planetary Sciences, Mas- data structures, algorithm analysis, Mark David Dankberg, chair sachusetts Institute of Technology, and computational geometry. and chief executive officer, ViaSat Cambridge. For leadership in the Selda Gunsel, general manager, Inc., Carlsbad, CA. For contribu- hydrologic sciences including the products and quality, Shell Global tions to broadband Internet com- scientific underpinnings for satel- Lubricants Supply Chain, Royal munications via satellite. lite observation of the Earth’s water Dutch Shell PLC, Houston. For lead- Mark S. Daskin, Clyde W. John- cycle. ership in developing and manufactur- son Collegiate Professor and chair, Rodney C. Ewing, Frank Stan- ing advanced fuels and lubricants to Department of Industrial and Oper- ton Professor in Nuclear Secu- meet growing global energy demand ations Engineering, University of rity, Center for International while reducing CO2 emissions. Michigan, Ann Arbor. For leader- Security and Cooperation, and pro- Paula Therese Hammond, David ship and creative contributions to fessor, Department of Geological H. Koch Professor and department location optimization and its appli- and Environmental Sciences, Stan- head, Department of Chemical cation to industrial, service, and ford University, CA. For studies on Engineering, Massachusetts Insti- medical systems. the long-term behavior of complex tute of Technology, Cambridge. Whitfield Diffie, advisor, Black ceramic materials to assess their For contributions to self-assembly Ridge Technology, Redwood City, suitability for engineered nuclear of polyelectrolytes, colloids, and CA. For the invention of public key waste sequestration. block copolymers at surfaces and cryptography and for broader contri- Tillman U. Gerngross, cofound- interfaces for energy and health butions to privacy. er and chief executive officer, care applications. Birol Dindoruk, principal tech- Adimab LLC, Lebanon, NH. For Daniel E. Hastings, Cecil and nical expert of reservoir engineer- founding and leading two success- Ida Green Education Professor, chief ing, Shell Technology Center, Shell ful biotechnology companies in the executive officer, and director, Sin- International E&P Inc., Houston. discovery and manufacture of bio- gapore-MIT Alliance for Research For significant theoretical and prac- pharmaceuticals. and Technology, Massachusetts The 74 BRIDGE

Institute of Technology, Cambridge. tures, San Jose, CA. For his role developing and deploying practical For contributions in spacecraft and in creating the first implantable methods for engineering secure soft- space system–environment interac- cardiac defibrillator, and for devel- ware and computer systems. tions, space system architecture, and oping multiple other technologies as Tsu-Jae K. Liu, TSMC Distin- leadership in aerospace research and inventor and entrepreneur. guished Professor in Microelectronics education. Dina Katabi, professor, Com- and chair, Department of Electrical Julia Hirschberg, Percy K. puter Science and Artificial Intel- Engineering and Computer Sciences, and Vida L.W. Hudson Professor ligence Laboratory, Massachusetts University of California, Berkeley. of Computer Science, and chair, Institute of Technology, Cam- For contributions to the fin field Department of Computer Science, bridge. For contributions to net- effect transistor (FinFET) and its Columbia University, New York work congestion control and to application to nanometer comple- City. For contributions to the use of wireless communications. mentary metal-oxide-semiconductor prosody in text-to-speech and spo- Dimitris E. Katsoulis, senior (CMOS) technology. ken dialogue systems, and to audio research scientist, Dow Corning Robert W. McCabe, program browsing and retrieval. Corp., Midland, MI. For founda- director, Division of Chemical, Bio- William T. Holmes, senior con- tional contributions to the char- engineering, Environmental, and sultant, Rutherford & Chekene, acterization and creation of novel Transport Systems, National Sci- Consulting Structural Engineers, silicone resins, gels, and elastomers, ence Foundation, Arlington, VA. San Francisco. For excellence in and catalysis for organosilanes. For enabling ultraclean vehicles structural design and leadership Yann A. LeCun, director, AI through conceptual and practical in improving the seismic safety of Research, Facebook, New York City. advances in catalytic systems for the buildings. For developing convolutional neu- abatement of automotive emissions. Jennifer R. Holmgren, chief ral networks and their applications Piotr D. Moncarz, principal executive officer, LanzaTech, Sko in computer vision and other areas engineer, buildings and structures, kie, IL. For developing technologies of artificial intelligence. Exponent, Menlo Park, CA. For to improve our energy future, from L. Ruby Leung, laboratory fel- dedication to global improvement renewable energy and chemicals to low, Atmospheric Sciences and of the safety and reliability of engi- combinatorial chemistry and mate- Global Change Division, Pacific neering systems and to cooperation rials discovery. Northwest National Laboratory, beyond political borders. Kathleen Connor Howell, asso- US Department of Energy, Rich- John R. Monnier, research ciate dean for engineering and Hsu land, WA. For leadership in region- professor, chemical engineering, Lo Distinguished Professor of Aero- al and global computer modeling of University of South Carolina, nautics and Astronautics, Purdue the Earth’s climate and hydrologi- Columbia. For the discovery and University, West Lafayette, IN. For cal processes. development of the silver-catalyzed contributions in dynamical systems Jennifer A. Lewis, Hansjorg epoxidation of non-allylic olefins theory and invariant manifolds cul- Wyss Professor of Biologically to produce 3,4-epoxy-1-butene and minating in optimal interplanetary Inspired Engineering, Harvard Uni- other non-allylic olefin epoxides. trajectories and the Interplanetary versity, Cambridge, MA. For devel- Omkaram Nalamasu, senior Superhighway. opment of materials and processes vice president and chief technol- Yonggang Huang, Walter P. for 3-dimensional direct fabrication ogy officer, Applied Materials Inc., Murphy Professor of Engineering, of multifunctional structures. and president, Applied Ventures Department of Mechanical Engi- George T. Ligler, consultant, GTL LLC, Santa Clara, CA. For techni- neering, Northwestern University, Associates, Fuquay-Varina, NC. For cal innovation spanning materials Evanston, IL. For pioneering work leadership and engineering innova- development, atomically controlled on mechanics of stretchable election in specifying and implementing thin film fabrication, and commer- tronics and mechanically guided, complex computer-based systems for cialization in microelectronics and deterministic 3-D assembly. aviation and the US Census. energy generation and storage. Mir A. Imran, chair and chief Steven B. Lipner, executive direc- Jagdish Narayan, John C.C. executive officer, Incube Ven- tor, SAFECode, Wakefield, MA. For Fan Distinguished Chair Professor, SPRING 2017 75

Department of Materials Science engineering, GE Power & Water, technological innovation teams and Engineering, North Carolina Greenville, SC. For contributions to and efforts to increase diversity and State University, Raleigh. For con- the development and implementa- inclusion in STEM industries both tributions in heteroepitaxial film tion of advanced materials in indus- nationally and globally. growth by laser ablation in large trial gas turbine engines. Darlene Joy Spira Solomon, misfit systems and new materials. Daniel Jay Scheeres, Distin- senior vice president and chief Arkadi Nemirovski, John Hunter guished Professor and A. Richard technology officer, Agilent Tech- Chair and professor, H. Milton Seebass Endowed Chair Professor nologies, Santa Clara, CA. For Stewart School of Industrial and in Aerospace Engineering Sciences, leadership in the development of Systems Engineering, Georgia Insti- University of Colorado Boulder. For innovative nucleic acid and micro- tute of Technology, Atlanta. For the pioneering work on the motion of fluidic products for the life science development of efficient algorithms bodies in strongly perturbed envi- and molecular diagnostic industries. for large-scale convex optimization ronments such as near asteroids and Philippe R. Spalart, senior tech- problems. comets. nical fellow, Boeing Commercial Debbie A. Niemeier, professor, Darrell G. Schlom, Herbert Airplanes, Seattle. For development Department of Civil and Environ- Fisk Johnson Professor of Industrial and application of a broad array of mental Engineering, University of Chemistry, Department of Materi- computational techniques for the California, Davis. For developing als Science and Engineering, Cor- prediction of aerodynamic turbu- groundbreaking tools to character- nell University, Ithaca, NY. For lence and noise. ize the impact of transportation molecular-beam epitaxy “Materi- Michael R. Splinter, general emissions on air quality and envi- als-by-Design” of complex oxides partner, WISC Partners, Los Altos, ronmental justice. impacting the integration of high CA. For business leadership advanc- Sorab Panday, principal engi- dielectric oxides in semiconductor ing semiconductor manufacturing, neer, GSI Environmental Inc., devices. quality, and equipment. Herndon, VA. For the development Dominick M. Servedio, execu- Michael S. Strano, Carbon P. of computer codes for solving com- tive chair, STV Group, New York Dubbs Professor of Chemical Engi- plex groundwater problems. City. For leadership and effective neering, Department of Chemical Marc Brendan Parlange, dean, advocacy on behalf of the engineer- Engineering, Massachusetts Insti- Faculty of Applied Science, and ing and construction professions. tute of Technology, Cambridge. For professor, Department of Civil E. Sarah Slaughter, chief execu- contributions to nanotechnology, Engineering, University of Brit- tive officer and founder, Built Envi- including fluorescent sensors for ish Columbia, Vancouver, Canada. ronment Coalition, Cambridge, human health and solar and thermal For fundamental contributions to MA. For research and the develop- energy devices. land-atmosphere modeling and ment of technology to enhance the Sridhar R. Tayur, Ford Distin- leadership in field measurement resiliency and sustainability of criti- guished Research Chair Professor campaigns over complex terrain. cal infrastructure systems. of Operations Management, Tep- Randall W. Poston, senior prin- Alexander H. Slocum Jr., proper School of Business, Carnegie cipal, Pivot Engineers, Austin, TX. fessor, Department of Mechanical Mellon University, Pittsburgh. For For development of diagnostic and Engineering, Massachusetts Insti- developing and commercializing repair technologies for concrete tute of Technology, Cambridge. For innovative methods to optimize structures and leadership in con- contributions to precision machine supply chain systems. crete building code development. design and manufacturing across Mehmet Toner, Helen Andrus Behzad Razavi, professor, Depart- multiple industries and leadership Benedict Professor, Surgery, Mas- ment of Electrical Engineering, in engineering education. sachusetts General Hospital, and University of California, Los Ange- Megan Joan Smith, former US professor of health sciences, Har- les. For contributions to low-power Chief Technology Officer and assis- vard-MIT Division of Health Sci- broadband communication circuits. tant to the president, White House ences and Technology, Boston. For Jon C. Schaeffer, senior engineer- Office of Science and Technol- engineering novel microelectro ing manager, materials and processes ogy, Washington, DC. For leading mechanical and microfluidic The 76 BRIDGE point-of-care devices that improve Charles K. Westbrook, retired neering, Peking University, Beijing. detection of cancer, prenatal genet- senior scientist, Lawrence Livermore For pioneering work in stochastic ic defects, and infectious disease. National Laboratory, Livermore, modeling of flow in porous media. Paul J. Turinsky, professor, CA. For pioneering development, Department of Nuclear Engineer- applications, and leadership in chem- New Foreign Members ing, North Carolina State Univer- ical kinetic modeling to advance Sergio Manuel Alcocer, research sity, Raleigh. For the development combustion science and technology. professor, Institute of Engineering, of simulation technology for the Blake S. Wilson, codirector, National Autonomous Univer- economic operation, safety, and life Duke Hearing Center, Duke Uni- sity of Mexico, Mexico City. For extension of nuclear power stations. versity Medical Center, Durham, improvements to the seismic safety Reinaldo A. Valenzuela, director, NC. For engineering development of buildings in developing countries wireless communications research, of the cochlear implant that bestows through improved design standards Nokia Bell Labs, Holmdel, NJ. For hearing to individuals with pro- and government policies. leadership in development of multi found deafness. Yasuhiko Arakawa, professor, antenna wireless communication Peter J. Winzer, director, Opti- Electrical Engineering Department, systems and channel modeling. cal Transmission Systems and Net- University of Tokyo. For contribu- Gordon van Welie, president work Research, Nokia Bell Labs, tions to quantum dot lasers and and chief executive officer, ISO Holmdel, NJ. For contributions to related nanophotonic devices. New England, Holyoke, MA. For high-speed, coherent optical com- Chieko Asakawa, chief technol- improving reliable operation of the munication systems. ogy officer for accessibility research power grid through enhanced grid Ioannis V. Yannas, professor of and technology, IBM Research control, new market structures, and polymer science and engineering, Tokyo, IBM Japan Ltd., Tokyo. For innovative transmission planning. Department of Mechanical Engi- developing technologies for the David M. Van Wie, mission area neering, Massachusetts Institute of visually impaired to access digital executive, precision strike mission Technology, Cambridge. For code- information. area, Applied Physics Laboratory, veloping the first commercially Keith John Beven, Distinguished Johns Hopkins University, Laurel, reproducible artificial skin that Professor of Hydrology, Lancaster MD. For contributions to hyperson- facilitates new growth, saving the Environmental Centre, Lancaster ic technology enabling new classes lives of thousands of burn victims. University, United Kingdom. For of flight vehicles. Martin L. Yarmush, Paul and contributions to the understanding George Varghese, Chancellor’s Mary Monroe Chair Distinguished of hydrological processes and devel- Professor, Department of Computer Professor, biomedical engineering, opment of the foundations of mod- Science, University of California, Rutgers University, Piscataway, NJ. ern hydrological modeling. Los Angeles. For network algorith- For pioneering advances in cellular, Bernard Charlès, president and mics that make the Internet faster, tissue, and organ engineering and chief executive officer, Dassault Sys- more secure, and more reliable. for leadership in applying metabolic tèmes, Vélizy-Villacoublay, France. Suzanne M. Vautrinot, presi- engineering to human health. For leadership in providing major dent, Kilovolt Consulting Inc., San Katherine A. Yelick, associate software tools for simulation-based Antonio. For leading the creation laboratory director, computer sci- engineering. of a revolutionary organization ence, Lawrence Berkeley National F. Stuart Foster, professor and designed to provide the nation an Laboratory, and professor, elec- Canada Research Chair in Ultra- enhanced cyber capability. trical engineering and computer sound Imaging, Department of Barry Voight, professor emeritus science, University of California, Medical Biophysics, University of of geology and geological engineer- Berkeley. For software innovation Toronto. For pioneering the field of ing, Pennsylvania State University, and leadership in high-perfor- high-frequency ultrasound and trans- University Park. For contributions mance computing. lating its technologies into clinical to the understanding, manage- Dongxiao (Don) Zhang, dean and preclinical imaging systems. ment, and mitigation of geologic of engineering and chair professor, Michimasa Fujino, president hazards. water resources and petroleum engi- and chief executive officer, Honda SPRING 2017 77

Aircraft Co., Greensboro, NC. For neering and leadership in their ores and for the global advancement the creation of the HondaJet and applications in the automotive of mineral processing technology. formation of the Honda Aircraft industry worldwide. Heung-Yeung Shum, execu- Company. Reiner Kirchheim, distinguished tive vice president, technology and Martin Fussenegger, professor, professor of the state of Lower research, Microsoft Corp., Red- biotechnology and bioengineer- Saxony, University of Göttingen, mond, WA. For contributions to ing, Department of Biosystems Sci- Germany. For contributions to the computer vision and computer ence and Engineering, ETH Zürich, thermodynamics and kinetics of graphics, and for leadership in Basel, Switzerland. For contribu- hydrogen behavior in metals and industrial research and product tions to synthetic biology and engi- solute/defect interactions in other development. neered therapeutic gene networks. materials. Joseph Sifakis, professor, School Georges Hadziioannou, Uni- Johannes A. Lercher, chair, of Computer and Communica- versity Professor Classe Exceptio- technical chemistry, Department tion Science, École Polytechnique nelle, Laboratoire de Chimie des of Chemistry, Technical University, Fédérale de Lausanne, Switzerland. Polymères Organiques, Univer- Munich. For developing concepts For coinventing model checking sité de Bordeaux, Pessac, France. and catalysts for activating and and for contributions to the devel- For foundational discoveries and functionalizing hydrocarbons and opment and verification of real-time insights enabling the development for upgrading fossil and biogenic and embedded systems. of polymers with advanced func- feedstocks via heteroatom removal. Colin P. Smith, group presi- tionality and performance. Detlef Lohse, chair, Department dent, Rolls-Royce PLC, Derbyshire, Horst Hahn, director, Insti- of Physics of Fluids, University of United Kingdom. For leadership in tute of Nanotechnology, Karlsruhe Twente, Enschede, Netherlands. design, technologies, and manu- Institute of Technology, Eggen- For contributions to fundamental facturing processes that enhance stein-Leopoldshafen, Germany. For fluid mechanical processes, espe- airworthiness, safety, and environ- contributions to the science and cially turbulence in Rayleigh- mental sustainability of large aero- engineering of nanostructured Bénard and Taylor-Couette flow, engines. materials with tailored and tunable sonoluminescence drops, and sur- Constantinos G. Vayenas, pro- properties. face nanobubbles. fessor, Department of Chemical Kazunori Kataoka, professor, Stéphane Mallat, professor, Engineering, University of Patras, biomaterials, Department of Bio- computer science, École Normale Greece. For fundamental studies engineering, University of Tokyo. Supérieure, Paris. For contributions on electrochemical modification For pioneering contributions to the to the fast wavelet transform and of catalytic activity leading to the design of supramolecular nanostruc- multiresolution signal processing. industrial design and use of new tures and their application to drug Cyril Thomas O’Connor, pro- promoted catalysts. and gene delivery systems. fessor emeritus and senior research Dennis A. Woodford, president, Noboru Kikuchi, president and scholar, Department of Chemical Electranix Corp., Winnipeg, Mani- chief operating officer, Toyota Cen- Engineering, University of Cape toba, Canada. For developing ana- tral R&D Labs Inc., Aichi, Japan. Town, Rondebosch, South Africa. lytical methods related to HVDC For contributions to theory and For contributions to the sustainable transmission and high-power DC- methods of computer-aided engi- recovery of minerals from complex DC transformation systems. The 78 BRIDGE

NAE Members Awarded 2016 National Medal of Freedom

Richard L. Garwin Grace Hopper

on to make pioneering contributions to US defense and intelligence technologies, low-temperature and nuclear physics, detection of gravi- tational radiation, magnetic reso- nance imaging (MRI), computer systems, laser printing, and nuclear arms control and nonproliferation. He directed applied research at IBM’s Thomas J. Watson Research Center and taught at the University of Chicago, Columbia University, William H. Gates III with wife Melinda and Harvard University. The author of 500 technical papers and a winner The Presidential Medal of Free- come from, have the opportunity to of the National Medal of Science, he dom is the nation’s highest civil- change this country for the better. holds 47 US patents and has advised ian honor, presented to individuals From scientists, philanthropists, and numerous administrations. who have made especially merito- public servants to activists, athletes, Bill and Melinda Gates were rec- rious contributions to the security and artists, these 21 individuals ognized for their humanitarian work. or national interests of the United have helped push America forward, The Bill & Melinda Gates Founda- States, to world peace, or to cultural inspiring millions of people around tion was established in 2000 “to help or other significant public or private the world along the way.” Among all people lead healthy, productive endeavors. the 21 people honored were three lives.” In developing countries, the At a lighthearted White House NAE members. foundation focuses on improving ceremony on November 22, Presi- Richard Garwin, IBM Fellow people’s health and giving them dent Barack Obama presented the Emeritus, IBM Thomas J. Watson the chance to lift themselves out Presidential Medal of Freedom. In Research Center, received the hon- of hunger and extreme poverty. In his opening remarks, he said, “The or in recognition of a long career the United States, the mission is to Presidential Medal of Freedom is of research, invention, and advice ensure that all people—especially not just our nation’s highest civil- to policymakers. He is a polymath those with the fewest resources— ian honor—it’s a tribute to the idea physicist who earned a PhD under have access to the opportunities they that all of us, no matter where we Enrico Fermi at age 21 and went need to succeed in school and life. SPRING 2017 79

The Gates Foundation has provided ly. Her citation reads “As a child was committed to making the lan- more than $36 billion in grants since who loved disassembling alarm guage of computer programming its inception. clocks Rear Adm. Grace Murray more universal. Today we honor Grace M. Hopper (1906–1992), Hopper found her calling early. her contributions to computer sci- senior consultant, Digital Equip- Known today as the ‘queen of code’ ence and the sense of possibility she ment Corporation, and retired Grace Hopper’s work helped make inspired for generations of young Rear Admiral, US Navy Reserve, the coding language more practical people.” received the medal posthumous- and accessible. . . . Amazing Grace

NAE Newsmakers

Norman R. Augustine, retired members with Outstanding Proj- and technology that have had a chair and CEO, Lockheed Martin ects and Leaders (OPAL) Awards. worldwide impact and significantly Corporation, has received the inau- Bruce R. Ellingwood, professor, benefited humanity.” gural Gold Key Award, Sigma Xi’s Department of Civil and Environ- Richard K. Miller, president highest accolade. The award is pre- mental Engineering, Colorado State and professor of mechanical engi- sented to a member who has made University, received the OPAL neering, Franklin W. Olin College extraordinary contributions to his Award for Education for demon- of Engineering, is the 2017 Brock or her profession and has fostered strated excellence in furthering International Prize in Education critical innovations to enhance the civil engineering education. Harry Laureate for his many contributions health of the research enterprise, to G. Poulos, senior consultant, Cof- to the reinvention of engineering cultivate integrity in research, or to fey Geotechnics, was presented the education in the 21st century. The promote the public understanding OPAL Award for Design for inno- Brock Prize recognizes individuals of science for the purpose of improv- vation and excellence in civil engi- who have made a specific innova- ing the human condition. neering design. tion or contribution resulting in On November 1, 2016, B. Jay- Herbert Gleiter, professor, Insti- a significant impact on the prac- ant Baliga, Distinguished Univer- tute of Nanotechnology, Karlsruhe tice or understanding of the field sity Professor, North Carolina State Institute of Technology, has received of education. The prize commit- University, was inducted as a for- the Medal of Friendship–Order of tee noted that, “Driven by Miller’s eign fellow of the Indian National Merit from the Government of Chi- vision, Olin has become a model of Academy of Engineering (INAE) na, Jiangsu Province. This order was project-based, design-centric edu- for outstanding accomplishments in awarded—for the first time to a citi- cation for engineering and nonen- power semiconductor device tech- zen from abroad—for the successful gineering schools alike in the US nology. The INAE elects only five foundation in 2011 of the Herbert and abroad.” Dr. Miller was formally foreign fellows each year. It is one of Gleiter Institute of Nanoscience at honored on March 8 at the annual the highest professional distinctions Nanjing. Brock Prize Symposium at the Uni- accorded to an engineer in India. Asad M. Madni, independent versity of Oklahoma, where he was Simon R. Cherry, Distinguished consultant and retired president, the featured speaker. As part of the Professor, University of California, COO, and CTO, BEI Technologies award, he received $40,000 from the Davis, and Mohammad Shahi- Inc., was presented the IEEE San Brock Foundation and a bust of leg- dehpour, Bodine Chair Professor, Fernando Valley Section Vision- endary Native American educator Illinois Institute of Technology, ary Leadership Award at its annual Sequoyah. have been elected 2016 Fellows of awards banquet on December 21, Judea Pearl, Chancellor’s Pro- the American Association for the 2016. Dr. Madni received the award fessor, University of California, Advancement of Science. for “visionary leadership, remark- Los Angeles, has been selected for The American Society of Civil able innovations, and seminal and the 2017 Sells Award for Distin- Engineers has honored two NAE pioneering contributions to science guished Multivariate Research. The 80 BRIDGE

The award recognizes an individual dinary achievements in the physi- (AIChE) presented awards to sev- who has made distinguished life- cal sciences and engineering by the eral NAE members. Its highest hon- time contributions to multivariate National Academy of Sciences dur- or, the AIChE Founders Award for analysis in psychology. Professor ing its 154th annual meeting. Jerome Outstanding Contributions to the Pearl will accept the award and H. Milgram, professor emeritus in Field of Chemical Engineering, deliver an address at the organiza- the MIT Department of Mechanical was presented to Klavs F. Jensen, tion’s October 2017 meeting in Engineering, will receive the 2017 Warren K. Lewis Professor of Chem- Minneapolis. Gibbs Brothers Medal for “wide- ical Engineering and professor of Celestino R. Pennoni, chair of ranging original contributions to materials science and engineering, the board, Pennoni Associates Inc. naval architecture in theoretical Massachusetts Institute of Tech- Consulting Engineers, was selected hydromechanics, education, yacht nology. Glenn H. Fredrickson, to receive the 2016 William Penn design, environmental protection, professor of chemical engineering Award, the highest honor bestowed and the practical arts of ocean sys- and materials and CTO, Mitsubishi on a business executive in Greater tems.” Leroy E. Hood, president Chemical Holdings, University of Philadelphia, on April 21. The and cofounder, Institute for Systems California, Santa Barbara, received award, given annually since 1949, Biology, will receive the 2017 NAS the William H. Walker Award for recognizes an individual for out- Award for Chemistry in Service Excellence in Contributions to standing contributions toward the to Society for “his invention, com- Chemical Engineering Literature. betterment of the region, profes- mercialization, and development of The Lawrence B. Evans Award sional accomplishments, and com- multiple chemical tools that address in Chemical Engineering Prac- mitment to charity as well as to the biological complexity, including the tice was presented to Richard W. community. automated DNA sequencer that Korsmeyer, executive director, Henry I. Smith, professor of spearheaded the human genome Advanced External Projects, Pfizer electrical engineering emeritus, project.” Robert H. Dennard, IBM Worldwide R&D. And James A. Massachusetts Institute of Technol- Fellow Emeritus, IBM Thomas Trainham, chief technology offi- ogy, has been awarded the 2017 J. Watson Research Center, will cer, JDC/Phosphate, received the IEEE Robert N. Noyce Medal in receive the 2017 NAS Award for Industry Leadership Award. recognition of his “contributions the Industrial Application of Sci- The National Academy of Inven- to lithography and nanopatterning ence for “seminal contributions in tors (NAI) chooses for induction as through experimental advances in the field of microelectronics for the NAI Fellows individuals who “have short-wavelength exposure systems invention of dynamic random access demonstrated a highly prolific spirit and attenuated phase-shift masks.” memory (DRAM) and CMOS scal- of innovation in creating or facili- Richard A. Tapia, University Pro- ing.” Frances H. Arnold, Dick tating outstanding inventions that fessor and Maxfield-Oshman Profes- and Barbara Dickinson Professor have made a tangible impact on sor in Engineering, Rice University, of Chemical Engineering, Bioen- quality of life, economic develop- received the American Association gineering, and Biochemistry at the ment, and the welfare of society.” for the Advancement of Science’s California Institute of Technology, On April 6 the 2016 NAI Fellows 2016 AAAS Public Engagement will receive the 2017 Raymond and will be inducted in a ceremony at with Science Award for his “remark- Beverly Sackler Prize in Conver- the John F. Kennedy Presidential able career blending world-class gence Research for “her pioneering Library and Museum in Boston. scholarship, admirable mentoring, directed molecular evolution strate- NAE members being inducted are and profound contributions to sci- gies, used worldwide to optimize the B. Jayant Baliga, Distinguished ence, technology, engineering, and functions of enzymes and to engineer University Professor, North Caro- mathematics education and public cells to produce biofuels and chemi- lina State University; Zhenan Bao, engagement.” The award was pre- cals from renewable resources.” professor of chemical engineer- sented February 17 at the AAAS In a ceremony during the ing, Stanford University; Barbara annual meeting in Boston. November 2016 annual meeting D. Boyan, dean, School of Engi- On April 30 four NAE members in San Francisco, the American neering, Virginia Commonwealth will be recognized for their extraor- Institute of Chemical Engineers University; Ruben G. Carbonell, SPRING 2017 81

Frank Hawkins Kenan Distin- of Texas at Austin; Mark S. Huma- Professor, National Chemical Labo- guished Professor of Chemical and yun, Cornelius J. Pings Chair in ratory, India; Edward W. Merrill, Biomolecular Engineering, North Biomedical Sciences, University of CP Dubbs Professor of Chemical Carolina State University; Simon Southern California; Enrique Igle- Engineering Emeritus, MIT; David R. Cherry, professor, Department sias, Theodore Vermeulen Chair in J. Mooney, Robert P. Pinkas Family of Biomedical Engineering, Univer- Chemical Engineering, UC Berke- Professor of Bioengineering, Har- sity of California, Davis; Michael J. ley; Sungho Jin, professor emeri- vard University; Bruce E. Rittmann, Cima, David H. Koch Professor of tus, Department of Mechanical Regents’ Professor of Environmen- Engineering, MIT; Larry A. Cold- and Aerospace Engineering, UC tal Engineering, Arizona State Uni- ren, Fred Kavli Professor of Opto- San Diego; John L. Junkins, Dis- versity; Ponisseril Somasundaran, electronics and Sensors, UC Santa tinguished Professor of Aerospace director, NSF/IUCR Center for Barbara; Delbert E. Day, Curators’ Engineering, Texas A&M Univer- Surfactants and La Von Duddleson Professor Emeritus of Materials Sci- sity–College Station; John Klier, Krumb Professor, Columbia Univer- ence and Engineering and senior professor and head, Department of sity; Anil V. Virkar, professor and investigator, Missouri University Chemical Engineering, University chair, Department of Materials Sci- of Science and Technology; Ste- of Massachusetts Amherst; Enrique ence and Engineering, University of phen W. Director, University Dis- J. Lavernia, provost and executive Utah; Andrew M. Weiner, Scifres tinguished Professor and provost vice chancellor, UC Irvine; Fran- Distinguished Professor, School of emeritus, Northeastern University; ces S. Ligler, Lampe Distinguished Electrical and Computer Engineer- Herbert Gleiter, professor, Insti- Professor of Biomedical Engineer- ing, Purdue University; Jennifer L. tute of Nanotechnology, Karlsruhe ing, Joint Department of Biomedi- West, Fitzpatrick Family University Institute of Technology; Dan M. cal Engineering, UNC Chapel Hill Professor, Department of Biomedi- Goebel, senior research scientist, and NC State University; Yilu cal Engineering, Duke University; Advanced Propulsion Technology Liu, Governor’s Chair Professor, and Amnon Yariv, Martin and Group, Jet Propulsion Laboratory/ Electrical Engineering and Com- Eileen Summerfield Professor of Caltech; John B. Goodenough, puter Science Department, Uni- Applied Physics and professor of Virginia H. Cockrell Centennial versity of Tennessee; Raghunath electrical engineering, California Chair in Engineering, University A. Mashelkar, National Research Institute of Technology.

A Message from NAE Vice President Corale L. Brierley

$7.1 million in new cash and pledges flexible funds. Unrestricted support in 2016 to support our efforts to pro- not only provides core support but mote a vibrant engineering profes- also allows us to initiate important sion and increase public awareness new projects that lack federal fund- of the importance of engineering ing and help expand the scope and to our national prosperity. Both impact of current programs. unrestricted and restricted contri- We also received $4.5 million butions were well ahead of 2015 for projects (restricted), including totals. Over $2.5 million was raised support for the Global Grand Chal- for unrestricted purposes, including lenges Summit, the Grand Chal- Corale Brierley $1.9 million to the NAE Indepen- lenges Scholars Program (GCSP) dent Fund and $626,000 for the Network and general Grand Chal- I am pleased to report on a very President’s Initiatives Fund. This lenges activities, LinkEngineer- robust fundraising year for the NAE. would equate to a $42.9 million ing, the Center for Engineering Thanks to the generosity of 639 endowment equivalent, assuming Ethics and Society, EngineerGirl, members and friends, we raised over a 4.5% draw that could be used as this year’s E4U Video Contest, The 82 BRIDGE

Frontiers of Engineering (FOE), $100,000 Chairman’s Challenge February Council Dinner and Frontiers of Engineering Educa- for Section 1 that he is person- Financial, Tax, and Estate tion (FOEE), prizes, and other ally funding, and asked others to Planning Session programs. Approximately 56% of join him in creating matching gift The NAE hosted its annual February the funding came from corpora- challenges for each section by the Council Dinner in Newport Beach, tions and/or foundations. We had 2017 annual meeting. Here are the the night before the national meet- 100% giving participation from the results as of December 31, 2016: ing. This dinner is an opportunity NAE Council for a second year in a Section 1: raised $106,000 in for members, donors, and friends in row—a sincere gesture of commit- new gifts and pledges. the area to interact with the NAE ment by our leadership. Council and meet, socialize, and We are also happy to welcome Section 2: The Fran and George hear about developments at the quite a few new members to our Ligler Challenge for Section 2 NAE. For the 4th time, the NAE giving societies. In 2016 the NAE continued to inspire Section 2 also hosted a Financial, Tax, and added 9 new Einstein Society mem- members to make new and Estate Planning seminar just before bers (lifetime giving of $100,000+), increased gifts. Started in 2015, the dinner, led by Jamie Killorin, 20 new Golden Bridge Society mem- the goal is to raise $100,000 by director of planned giving. This bers (lifetime giving of $20,000– 2019. Thirty Section 2 members seminar has become popular during $100,000), and 3 new Heritage made gifts in 2016 that quali- the annual meeting in Washington, Society members and others making fied for the match, totaling over and we want to offer members on the a second planned gift or increasing $45,000. Since the inception, West Coast opportunities to learn their estate commitments. $80,000 has been raised, and we more about making tax-wise estate This extraordinary philanthropic are 80% to reaching the goal and plans and how best to incorporate support provides for 30% of the on track to reach it 2 years early. their philanthropic priorities. NAE’s annual budget, and we are Section 4: $25,000 challenge grateful for our donors’ confidence Golden Bridge Society Dinner funded by Paul Boulos. in our ability to use their contribu- During the 2016 NAE annual meet- tions to serve the engineering com- Section 5: $100,000 challenge ing President Mote and his wife Patsy munity, students, policymakers, and funded by Gordon Bell, Tom hosted some of NAE’s most generous the public. As a nonprofit organiza- Leighton, and Bob Sproull. members and friends at the Golden tion, the NAE receives no govern- Section 7: $100,000 challenge Bridge Society Dinner, at the Smith- ment appropriation for operations. funded by James Truchard. As sonian Castle on Sunday, October 9. Both Chairman Gordon Eng- of end-2016, the challenge had We welcomed a dozen new donors land and President Dan Mote raised $887,000. into the Academy’s three lifetime have made philanthropy a prior- recognition societies. ity of their terms of office. During The Sanjit K. Mitra Family Chal- his first annual meeting address lenge for Newer Members was Noteworthy Contributions Gordon England said, “my goal as launched with a $100,000 gift to The NAE received some remarkable chairman is to provide sustainable encourage members in the classes gifts in 2016. While all contributions funding for the Academy as the of 2013–2016 to support the NAE are greatly appreciated and make a means to continuously improve and our programs. Sanjit Mitra’s difference in the Academy’s work, the engineering profession and the passion has been engineering edu- the following gifts show extraordi- standing of the profession in the cation, and it was fitting that he nary commitment to the NAE: world. We are uniquely situated directed his gift to support the to foster the growing momentum Frontiers of Engineering Education • The Boeing Charitable Trust of the Grand Challenges for Engi- program. The Mitra Challenge generously gave $1 million in neering program so we can tackle raised over $171,000 in new cash support of the Grand Challenges major issues and inspire students and $835,000 in new pledges from Scholars Program (GCSP) and to pursue engineering.” He went 76 donors. the Global Grand Challenges on to announce the creation of a Summit to be held July 18–20, 2017, in Washington, DC. SPRING 2017 83

• Chevron Corporation commit- • The Shell Company gave DC, July 18–20, 2017) to extend ted $500,000 to sustain LinkEn- $250,000 to the Global Grand and inspire international coopera- gineering, an online resource and Challenges Summit. tion in addressing the most press- community of educators interest- ing issues of our time. The NAE • James Truchard (’07) made a ed in providing meaningful engi- Grand Challenges for Engineer- $100,000 gift to the Independent neering experiences to preK–12 ing have become an international Fund in response to the Chair- students of all abilities. movement inspiring young people man’s Challenge to fund a chal- and professionals alike to focus • The Charles Stark Draper Labo- lenge for Section 7. on major issues facing everyone ratory contributed over $237,000 • Andrew Viterbi (’78) directed around the world in this century, to cover the operating costs and his $500,000 Draper Prize cash such as clean water and securing selection committee’s work for award to the NAE—the first cyberspace, plus 12 others. the Draper Prize for Engineering. time in the Draper Prize’s almost • With support from Boeing and • Dotty and Gordon (’12) Eng- 30-year history—to support the several individuals, the NAE land committed $100,000 to fund President’s Initiatives Fund for focused on the Grand Challenges the Chairman’s Challenge and to activities aimed at attracting Scholars Program (GCSP), a support the NAE Independent bright young people to engineer- supplemental education model Fund, and notified us that they ing education and careers. designed to engage and prepare have included the NAE in their If you are interested in making students to undertake problems estate plans. a gift to the NAE, please contact like the Grand Challenges. The • ExxonMobil gave $100,000 to Radka Nebesky, NAE director of program engages students in support the E4U video contest. development, at 202.334.3417 or research and in interdisciplinary [email protected]. learning with clients and mentors; • General Electric Corporation exposes them to viable business contributed $100,000 to support Loyal Donors creation and innovation experi- Making Value for America. Gifts made regularly each year to the ences; helps them gain global and • Ming (’15) and Eva Hsieh made NAE demonstrate genuine commit- cross-cultural perspectives; and a new $750,000 commitment to ment to our mission and goals. As a encourages them to develop social support the Global Grand Chal- long-time donor who understands consciousness through service lenges Student Day Play-Offs and that every donation to the NAE is learning. In addition to hiring the the NAE Independent Fund. a choice to support an organization first director of the program, 2016 whose work I believe matters greatly, saw the first annual meeting of the • Lockheed Martin committed I thank the Loyalty Society members GCSPs in conjunction with the $500,000 to support the Global (pages 90–91) who have contributed White House Office of Science Grand Challenges Summit. to the NAE for 20 years or more. and Technology Policy, to discuss • John F. McDonnell gave I am a big believer in explaining best practices, increasing visibil- $125,000 in support of Frontiers what your generosity has allowed ity, and connecting. of Engineering Education. the NAE to accomplish and the impact of your philanthropic invest- Looking Ahead • Sanjit K. (’03) and Nandita ments. Below are two examples of In 2017 we will focus on the long- Mitra gave $100,000 to Frontiers what philanthropic support helped term financial health of the Acad- of Engineering Education and ini- accomplish in 2016: emy, by increasing both current use tiated a matching gift challenge and endowment support, which pro- for newer members. • With support from Boeing, vides a sustained stream of income. Lockheed Martin, Northrop • Northrop Grumman committed We will continue to offer opportuni- Grumman, Shell, and several $1 million to sponsor the Global ties to learn about charitable tools for individuals, the NAE began plan- Grand Challenges Summit. planned giving by conducting semi- ning the 3rd Global Grand Chal- nars on financial and estate plan- lenges Summit (in Washington, ning and regularly communicating The 84 BRIDGE about this topic. If you are inter- of our members has always driven rations, foundations, government ested in making a planned gift to the NAE forward with crucial time, sponsors, and other organizations the NAE, or if you have made a gift effort, and ideas. Our members are make all the difference in our abil- provision in your estate plans but also vital to our fundraising success, ity to educate both national and not yet notified us, please contact both by making financial contribu- international policymakers and the Jamie Killorin, director of gift plan- tions of their own and by serving as public about the value of engineer- ning, at 202.334.3833 or JKillorin@ advocates for the NAE and engi- ing’s contributions. I am grateful nas.edu so that we can recognize and neering to their peers. We sincerely for your contributions and look celebrate your generosity. appreciate your generosity and con- forward to your continued involve- Your philanthropic support tinued support. ment in 2017. enables the NAE to have a solid On behalf of the NAE Council, foundation from which to sustain President Dan Mote, and myself, its important projects and spearhead thank you very much for your con- the creation of new and timely pro- tributions in 2016. Our supporting grams. The energetic participation members, friends, partner corpo- Corale L. Brierley

2016 Honor Roll of Donors

Annual Giving Societies The National Academy of Engineering gratefully acknowledges the following members and friends who made charitable contributions to the NAE and those NAE members who supported the Committee on Human Rights, a joint committee of the three academies, during 2016. The collective, private philanthropy of these individuals has a great impact on the NAE and its ability to be a national voice for engineering. We acknowledge contributions made as personal gifts or as gifts facilitated by the donor through a donor-advised fund, matching gift program, or family foundation. During the 2016 annual meeting, Chairman Gordon England announced the creation of a $100,000 Chairman’s Challenge for Section 1 that he is personally funding and asked others to join him in creating matching gift challenges for each section by the 2017 annual meeting. Donors who participated in the Chairman’s Challenge are noted with the # symbol. Fran Ligler, a member of the NAE Council, and her husband George pledged $100,000 in 2015 to encourage new and increased giving by Section 2 members for five years, or until the $100,000 goal is reached. Donors who participated in the Ligler Challenge are noted with the ‡ symbol. The Sanjit K. Mitra Family Challenge encouraged members in the classes of 2013–2016 to support the NAE and our programs. Donors who participated in the Mitra Challenge are noted with the ◊ symbol. In response to the Chairman’s Challenge, James Truchard gave $100,000 to fund a challenge for Section 7. Donors who participated in the Section 7 Challenge are noted with the % symbol. SPRING 2017 85

Catalyst Society

$50,000+ Craig and Barbara Barrett Ming and Eva Hsieh◊% Sanjit K. and Nandita Andrew and Erna* Viterbi Daniel and Frances Berg Robin K. and Rose M. Mitra G. Wayne Clough McGuire Raymond S. Stata Friends Dotty and Gordon England James J. Truchard% John F. McDonnell

Rosette Society

$25,000 to $50,000 Gordon Bell James O. Ellis, Jr. and John O. Hallquist David E. Shaw Paul F. Boulos◊ Elisabeth Paté-Cornell◊ Narayana and Sudha Nicholas M. Donofrio% George and Ann Fisher Murty Friends Albert G. Greenberg◊ Jonathan J. Rubinstein Christopher B. Galvin

Challenge Society

$10,000 to $25,000 Ruth and Ken Arnold Olivia and Peter Farrell‡ Fran and George Ligler Henry and Susan Bharati and Murty Douglas W. and Margaret Burn-Jeng Lin% Samueli% Bhavaraju◊ P. Fuerstenau Clayton Daniel and Robert E. and Mary L. Barry W. Boehm Martin E. and Lucinda Patricia L. Mote Schafrik◊ Chau-Chyun Chen Glicksman Ronald and Joan Richard J. Stegemeier Josephine Cheng Robert W. Gore Nordgren David W. Thompson# Uma Chowdhry Paul and Judy Gray% Roberto Padovani% Adrian Zaccaria Ross and Stephanie Chad and Ann Holliday Larry* and Carol Papay Corotis Michael W. Hunkapiller Leonard Pinchuk‡ Friends Ruth A. David# John and Nancy Junkins Julie and Alton D. Y.H. Gandhi Lance and Susan Davis Kent Kresa# Romig, Jr. Jeffrey Dean Jane and Norman N. Li Jonathan M. Rothberg‡

Charter Society

$1,000 to $9,999 Linda M. Abriola John and Pat Anderson James B. Elwyn and Jennifer Andreas and Juana John C. Angus Bassingthwaighte‡ Berlekamp Acrivos Seta and Diran Apelian Steven Battel#◊ Peter J. Bethell◊ Rodney C. Adkins Frank F. Aplan Craig and Karen Benson Mark and Kathy Board◊ Ronald J. Adrian R. Lyndon Arscott Leo L. Beranek* Diane and Samuel W. William G. Agnew Ken Austin Josephine F. and Robert Bodman Kyle T. Alfriend# Wanda M. and Wade R.* Berg Mark T. Bohr% Montgomery and Ann Austin# Thomas and Becky Rudolph Bonaparte Alger William F. Baker Bergman Carl de Boor

#Chairman’s Challenge ‡Ligler Challenge ◊ Mitra Challenge %Section 7 Challenge *Deceased The 86 BRIDGE

Kathleen and H. Kent Stephen W. Director% Mary L. Good Chaitan Khosla and Susi Bowen Albert A. and Joan Joseph W. Goodman Ebert-Khosla Craig T. Bowman◊ Dorman W. David Goodyear◊ Diana S. and Michael D. Lewis M. Branscomb Elisabeth M. Drake Paul E. Gray King Corale L. Brierley James J. Duderstadt Hermann K. Gummel Judson and Jeanne King James A. Brierley Robert and Cornelia Eliyahou Harari◊% James L. Kirtley Lenore and Rob Eaton James S. Harris, Jr.% Albert S. Kobayashi Briskman◊% Farouk El-Baz Wesley L. Harris Paul C. Kocher Andrei Z. Broder Derek Elsworth◊ Janina and Siegfried Robert M. and Pauline W. Alan C. Brown Gerard W. Elverum# Hecker Koerner George* and Virginia Iraj Ershaghi◊ Chris T. Hendrickson Charles E. Kolb, Jr.◊ Bugliarello John V. Evans John L. Hennessy Jindrich Kopecek‡ M. Elizabeth Cannon Robert R. Everett Robert and Paula Henry◊ Demetrious Koutsoftas François J. Castaing Thomas E. Everhart% Janet G. Hering◊ Philip T. Krein◊ Corbett Caudill# Hans K. Fauske◊ Grace and Thom Hodgson Ellen J. Kullman◊ Sigrid and Vint Cerf Robert E. Fenton Urs Hölzle◊ Derrick M. Kuzak Selim A. Chacour Leroy M. Fingerson Edward E. Hood, Jr. Louis J. and M. Yvonne Don B. Chaffin Bruce A. Finlayson John R. Howell De Wolf Lanzerotti Jean-Lou A. Chameau Anthony E. Fiorato Evelyn L. Hu and David David C. Larbalestier Stephen Z.D. Cheng Robert E. Fischell‡ R. Clarke Shih-Ying Lee Weng C. Chew◊ Edith M. Flanigen J. Stuart Hunter James U. Lemke Sunlin Chou Samuel C. Florman Ray R. Irani Ronald K. Leonard Richard M. Christensen G. David Forney, Jr.% Mary Jane Irwin Frederick J. Leonberger Paul Citron and Margaret Robert C.* and Marilyn Irwin and Joan Jacobs Helmut List Carlson Citron G. Forney Wilhelmina and Stephen Jack E. Little Philip R. Clark John S. Foster, Jr. Jaffe J. David Lowell James J. Coleman% Charles A. Fowler Leah H. Jamieson William J. MacKnight Morton Collins◊ William L. and Mary Kay George W. Jeffs# Thomas and Caroline Joseph M. Colucci Friend James O. Jirsa Maddock Rosemary L. and Harry M. Samuel H. Fuller Barry C. Johnson% Asad M., Gowhartaj, and Conger Huajian Gao David W. Johnson, Jr. Jamal Madni% Stuart L. Cooper Donald P. Gaver Michael R. Johnson Arunava Majumdar Gary L. Cowger Ronald L. Geer Frank and Pam Joklik Thomas J. Malone Natalie W. Crawford# Arthur Gelb# Anita K. Jones Henrique S. Malvar Robert L. Crippen# Arthur and Helen Kahle/Austin Foundation Hans Mark# Steven L. and Karen L. Geoffrion Robert E. Kahn David A. Markle% Crouch◊ Louis V. Gerstner, Jr. Eric W. and Karen F. Kaler W. Allen Marr David E. Daniel Nan and Chuck Geschke Paul and Julie Kaminski# John L. Mason L. Berkley Davis Paul H. Gilbert Melvin F. Kanninen Dan and Dalia* Maydan Pablo G. Debenedetti Eduardo D. Glandt John and Wilma Jyotirmoy Mazumder Mary and Raymond George J. Gleghorn Kassakian Kishor C. Mehta Decker Earnest F. Gloyna James R.* and Isabelle Edward W. Merrill◊ Robert H. Dennard% Dan M. Goebel◊ Katzer Richard A. Meserve Emmanuel Detournay◊ Arthur L. and Vida F. Leon M. Keer Joahim Milberg◊ George E. Dieter Goldstein Mary and Howard* Kehrl Richard B. Miles# Richard K. Miller #Chairman’s Challenge ‡Ligler Challenge ◊ Mitra Challenge %Section 7 Challenge *Deceased SPRING 2017 87

James K. and Holly T. Henry H. Rachford, Jr. Robert F. and Lee S. Warren and Mary Mitchell Simon Ramo* Sproull Washington Duncan T. Moore Buddy D. Ratner‡ Arnold and Constance Robert and Joan Charles W. Moorman◊ Wanda K. Reder◊ Stancell Wertheim William B. Morgan Kenneth and Martha Gunter Stein David A. Whelan# Edward and Stephanie Reifsnider Dean E. Stephan Robert M.* and Mavis E. Moses Gintaras V. Reklaitis Gregory Stephanopoulos‡ White Van and Barbara Mow Eli Reshotko# Kenneth E. Stinson Willis S. White, Jr. Cherry A. Murray% Thomas J. Richardson% William D. Strecker Alan N. Willson◊% Albert Narath% Ronald L. Rivest Ronald D. Sugar# Ward O. Winer Jaya and Venky Richard J. and Bonnie B. Virginia and Carl Herbert H. Woodson Narayanamurti% Robbins Sulzberger◊ Edgar S. Woolard, Jr. Robert M. and Marilyn R. Bernard I. Robertson John and Janet Swanson Richard N. Wright Nerem‡ C. Paul Robinson Charlotte and Morris Wm. A. Wulf Paul D. Nielsen# Thomas E. Romesser Tanenbaum% Israel J. Wygnanski William D. Nix William B. Russel Eva Tardos Beverly and Loring Wyllie Matthew O’Donnell Steve* and Kathryn Gaye and Alan Taub KeChang Xie◊ Fran and Kwadwo Osseo- Sample Peter and Vivian Teets David D. Yao◊ Asare Linda S. Sanford James M. Tien and Ellen William W-G. Yeh Bernhard O. Palsson Maxine L. Savitz S. Weston Paul G. Yock Claire L. Parkinson Jan C. Schilling#◊ Matthew V. Tirrell Yannis C. Yortsos Arogyaswami J. Paulraj% Geert W. Schmid- Gary and Diane Tooker% A. Thomas Young# P. Hunter Peckham Schoenbein‡ Gavin P. Towler◊ William and Sherry Young Celestino R. Pennoni Ronald V. Schmidt John J. Tracy#◊ Elias A. Zerhouni‡◊ John H. Perepezko Fred B. Schneider and James A. Trainham and Ben T. Zinn# Thomas K. Perkins Mimi Bussan Linda D. Waters Mary Lou and Mark D. Lee and Bill Perry% Henry G. Schwartz, Jr. John R. Treichler◊% Zoback Julia M. Phillips and John Lyle H. Schwartz Richard H. Truly# Stacey I. Zones◊ A. Connor Norman R. Scott Robert C. Turnbull Anonymous (1) Nelson L.D.S. Pinto Martin B. and Beatrice E. A. Galip Ulsoy James D. Plummer% Sherwin Raymond Viskanta Friends Victor L. Poirier‡ Daniel P. Siewiorek Thomas H. Vonder Haar Thomas Barnish H. Vincent Poor% Kumares C. Sinha Robert and Robyn Kristine L. Bueche Stephen and Linda Pope Robert E. Skelton Wagoner Marjorie R. Friedlander Dana A. Powers◊ Alfred Z. Spector and John C. Wall Evelyn S. Jones William F. Powers Rhonda G. Kost David Walt and Michele Toby Wolf Donald E. Procknow* David B. and Virginia H. May‡ William R. Pulleyblank Spencer◊ Darsh T. Wasan

Other Individual Donors

Hiroyuki Abe Cristina H. Amon George E. Apostolakis Daniel and Monica H. Norman Abramson# John G. Anderson Ali S. Argon Atkins◊ Hadi Abu-Akeel Mary P. Anderson Frances H. Arnold Teresa and Harry Atwater◊ Bernard Amadei Kristi S. Anseth‡ Jamal J. Azar

#Chairman’s Challenge ‡Ligler Challenge ◊ Mitra Challenge %Section 7 Challenge *Deceased The 88 BRIDGE

Donald W. Bahr Ernest L. Daman William J. Hall Roger B. and Barbara Ruzena K. Bajcsy Ingrid Daubechies◊ Niels Hansen Nunn Krieger◊ Clyde and Jeanette Baker Joseph M. DeSimone Mehdi Hatamian◊ Fikri J. Kuchuk Grigory I. Barenblatt Frederick H. Dill% Henry J. Hatch Thomas F. Kuech James E. Barger Dennis E. Discher‡ William A. Hawkins III‡◊ Richard T. Lahey, Jr. Jordan* and Rhoda Baruch Robert H. Dodds Adam Heller‡ Bruce M. Lake Ray H. Baughman Irwin Dorros Martin Hellman James L. Lammie Zdenek P. Bazant Earl H. Dowell# Arthur H. Heuer David A. Landgrebe Marlene and Georges E. Linn Draper, Jr. Mary C. Hipwell◊ Robert C. Lanphier III Belfort T. Dixon Dudderar George J. Hirasaki Ronald G. Larson Marsha J. Berger David A. Dzombak Peter B. Hirsch Alan Lawley Philip A. Bernstein Peter S. Eagleson John P. Hirth Ann L. Lee‡ Vitelmo V. Bertero* Bruce R. Ellingwood Chih-Ming Ho Margaret A. LeMone John R. and Pierrette G. Richard E. Emmert David and Susan Hodges Johanna M.H. Levelt Birge Lawrence B. Evans Allan S. Hoffman‡ Sengers Ilan Asriel Blech Robert M. Fano* Richard Hogg Paul A. Libby Alfred Blumstein Katherine W. Ferrara◊ Davorin D. Hrovat Peter W. Likins# F. Peter Boer Essex E. Finney, Jr. Thomas J.R. Hughes Kuo-Nan Liou William J. Boettinger Millard and Barbara Arthur E. Humphrey Nathan and Barbara Lillian C. Borrone Firebaugh Salim M. Ibrahim Liskov Kevin G. Bowcutt#◊ John W. Fisher Izzat M. Idriss Daniel P. Loucks Jonathan D. Bray◊ Peter T. Flawn Kenichi Iga% Andrew J. Lovinger James P. Brill Maria Flytzani- Jeremy Isenberg William R. Lucas Emery N. Brown◊ Stephanopoulos◊ Kenji Ishihara Cecil Lue-Hing Howard J. Bruschi Robert E. Fontana Tatsuo Itoh% Mark and Mary Jack E. Buffington Harold K.* and Betty A. Andrew Jackson and Lundstrom% Robert L. Byer% Forsen Lillian Rankel Verne L. Lynn Anne and John* Cahn Judson C. French% Linos J. Jacovides J. Ross Macdonald Robert Calderbank Eli Fromm Anil K. Jain◊ Malcolm MacKinnon III Federico Capasso Mauricio Futran Paul C. Jennings Alfred U. MacRae Max W. Carbon Theodore V. Galambos Donald L. Johnson Subhash and Sushma E. Dean Carlson Zvi Galil Marshall G. Jones Mahajan John R. Casani Jacqueline Gish Chanrashekhar Joshi◊ James W. Mar# A. Ray Chamberlain Richard D. Gitlin% Norman P. Jouppi◊ William F. Marcuson III K.M. Chandy Herbert Gleiter Ahsan Kareem Robert C. Marini Douglas M. Chapin Richard J. Goldstein Kristina B. Katsaros Nelson Martins◊ Vernon L. Chartier John B. Goodenough Kenneth H. Keller‡ David K. Matlock Gang and Tracy Chen Roy W. Gould% Marilyn and Justin Kerwin Robert D. Maurer Shu Chien Robert K. Grasselli Timothy L. Killeen William C. Maurer Andrew R. Chraplyvy% Irene Greif Sung Wan Kim Robert and Norah Robert P. Clagett Gary S. Grest Robert L. Kleinberg◊ McMeeking John L. Cleasby Ignacio E. Grossmann Carl C. Koch◊ Terence P. McNulty Richard A. Conway Donald J. Haderle Max A. Kohler Alan L. McWhorter% Alan W. Cramb◊ Edward E. Hagenlocker Bill and Ann Koros Antonios G. Mikos and Lawrence B. Curtis Carol K. Hall Lydia Kavraki

#Chairman’s Challenge ‡Ligler Challenge ◊ Mitra Challenge %Section 7 Challenge *Deceased SPRING 2017 89

James A. Miller# Roberta and Edwin Pol D. Spanos Eli Yablonovitch Warren F. Miller, Jr. Przybylowicz George L. Stegemeier Michael I. Yarymovych#◊ Carl L. Monismith Robert A. Rapp Robert L. Steigerwald◊ Ajit P. Yoganathan◊ John W. Morris L. Rafael Reif◊ Thomas G. Stephens Les Youd A. Stephen Morse John R. Rice Kenneth H. Stokoe Laurence R. Young‡ George Muellner◊ Bruce E. Rittmann Howard and Valerie Stone Paul Zia Earll M. Murman Jerome G. Rivard Brian Stott Steven J. Zinkle Devaraysamudram R. Leslie E. Robertson and Richard G. Strauch Dusan S. Zrnic Nagaraj SawTeen See Gerald B. Stringfellow R. Shankar Nair Virginia M. Rometty◊ Stanley C. Suboleski Friends Hyla S. Napadensky Arye Rosen Yasuharu Suematsu% Julie Ajinkya David Nash Howie Rosen and Susan James M. Symons Utpal Bhattacharya Alan Needleman Doherty Rodney J. Tabaczynski Clara K. Ellert Stuart O. Nelson Kenneth M. Rosen# Daniel M. Tellep# Harold and Arlene Finger Joseph H. Newman Donald E. Ross Lewis M. Terman% Joan R. Finnie J. Tinsley Oden William B. Rouse Leonard K. Thomas◊ Gratia H. Griffith Babatunde and Anna B. Don and Becky Russell Neil E. Todreas Joan Hulburt Ogunnaike Joseph C. Salamone‡ Alvin Trivelpiece Erica H. Ling Donald R. Olander Peter W. Sauer Marshall P. Tulin Barbara Mason Robert S. O’Neil Robert F. Sawyer Theodore Van Duzer Kathryn Mickunas Elaine S. Oran# Ronald W. Schafer Walter G. Vincenti Amy Misera David H. Pai* George W. Scherer Irving T. Waaland# Joanne Morse Athanassios Z. Richard Scherrer Wallace R. Wade Michael Murphy and Panagiotopoulos Jerald L. Schnoor Steven J. Wallach Karen Gundersen Morton B. Panish William R. Schowalter C. Michael Walton Radka Z. Nebesky Stavros S. Papadopulos Walter J. Schrenk John D. Warner Andrew Oakley Bradford W. and Virginia Albert and Susan Schultz‡ Michael S. Waterman Sallie O’Neill W. Parkinson Mischa Schwartz John T. and Diane M. Joanne Roehm Donald R. Paul Balraj Sehgal◊ Watson Kiera Ryckman Harold W. Paxton Robert J. Serafin Julia and Johannes Georgia Scordelis Nicholas A. Peppas F. Stan Settles Weertman Verna W. Spinrad Richard H. Petersen# Don W. Shaw Robert J. Weimer Elizabeth W. Toor George M. Pharr◊ Ben A. Shneiderman Sheldon Weinbaum Marianne Tropp and Chris Mark R. Pinto Neil G. Siegel Sheldon Weinig Loughner Karl S. Pister Arnold H. Silver% Jasper A. Welch, Jr. Jennifer Warner John W. and Susan M. Peter G. Simpkins* J. Turner Whitted Rhoda A.M. Weisz Poduska Jack M. Sipress% Kaspar J. Willam Sarah Widner-Hess Harry G. Poulos◊ Alvy Ray Smith Sharon L. Wood◊ Stacey Williams Michael Prats Gurindar S. Sohi Richard David Woods Joan R. Zaorski Ronald F. Probstein Stuart L. Soled◊ David A. Woolhiser Charles W. Pryor, Jr. Soroosh Sorooshian James J. Wynne‡◊

#Chairman’s Challenge ‡Ligler Challenge ◊ Mitra Challenge %Section 7 Challenge *Deceased The 90 BRIDGE

Tributes In Memory of Milind and Raj Ajinkya – Julie Ajinkya In Memory of Steven Zay Azar – Jamal J. Azar In Memory of Jordan Baruch – Rhoda Baruch In Memory of Robert R. Berg – Josephine F. Berg In Memory of Erich Bloch – Gordon Bell, Radka Nebesky In Memory of Alfred R. DeLeo – Stacey Williams In Memory of Greta Duschinsky – Marlene and Georges Belfort In Memory of Harry and Norma Fineblum – Leonard Pinchuk In Memory of Sheldon K. Friedlander – Marjorie R. Friedlander In Memory of Maurice Fuerstenau – Douglas W. and Margaret P. Fuerstenau In Memory of William Griffith – Gratia H. Griffith In Memory of Howard St. Clair Jones Jr. – Evelyn S. Jones In Memory of Gibran Kareem – Ahsan Kareem In Memory of Frederick F. Ling – Erica H. Ling In Memory of Edward A. Mason – Barbara Mason In Memory of Dale Myers – Richard H. Petersen In Memory of Jenney Resch – Joan R. Zaorski In Memory of Ernest Smerdon – Soroosh Sorooshian In Memory of Edith Smith – Alvy Ray Smith In Memory of Chang-Lin Tien – Arunava Majumdar In Memory of Chuck Vest – Gang and Tracy Chen, Jyotirmoy Mazumder In Memory of Dixie Woods – Richard David Woods In Honor of Kristen Allison – Joanne Roehm In Honor of Michelle Goodyear – W. David Goodyear In Honor of Kandice Gray – Kathryn Mickunas In Honor of Brittney Mohr – Kiera Ryckman In Honor of Prof. John Quinn – Montgomery and Ann Alger

Loyalty Society In recognition of members and friends who have made gifts to the National Academies of Sciences, Engineering, and Medicine for at least 20 years. We acknowledge contributions made as personal gifts or as gifts facilitated by the donor through a donor-advised fund, matching gift program, or family foundation. Names in bold are NAE members.

Herbert L. Abrams* Jack D. Barchas Lewis M. Branscomb John L. Cleasby H. Norman Abramson Jeremiah A. Barondess John and Sharon Brauman John A. Clements Andreas and Juana Stephen D. Bechtel, Jr. W.F. Brinkman Linda Hawes Clever Acrivos John C. Beck* Alan C. Brown Michael D. Coe Bruce and Betty Alberts Richard E. Behrman Donald D. Brown Richard A. Conway Clarence R. Allen Gordon Bell Harold Brown Max D. Cooper Barbara W. Alpert Leslie Z. Benet Kristine L. Bueche Linda A. Cozzarelli Marilynn and Charles A.* Paul Berg Jack E. Buffington Pedro M. Cuatrecasas Amann Kenneth I. Berns George* and Virginia Lawrence B. Curtis Wyatt W. Anderson Diane and Norman Bugliarello William H. Danforth John C. Angus Bernstein William B. Carey Igor B. Dawid Frank F. Aplan Stuart Bondurant and David R. and Jacklyn A. Mary and Raymond Edward M. Arnett Susan Ehringhaus Challoner Decker Daniel L. Azarnoff Kathleen and H. Kent Purnell W. Choppin Roman W. DeSanctis Donald W. Bahr Bowen James McConnell Clark Nicholas M. Donofrio

*Deceased SPRING 2017 91

Irwin Dorros William N. Hubbard, Jr. Joel Moses Maxine F. Singer W.G. Ernst J. David Jackson* Arno G. Motulsky Raymond S. Stata Harold J. Fallon André T. Jagendorf John H. Moxley III Joan A. Steitz Gary Felsenfeld Robert L. and Anne K. Elaine and Gerald* Thomas A. Steitz Harvey V. Fineberg and James Nadler Rosemary A. Stevens Mary E. Wilson Anita K. Jones Jaya and Venky Lubert and Andrea Stryer Tobie and Daniel J.* Fink Richard V. Kadison Narayanamurti F. William Studier Samuel C. Florman Samuel L. Katz and Philip and Sima Paul and Pamela Talalay Robert C.* and Marilyn Catherine M. Wilfert Needleman Charlotte and Morris G. Forney Seymour J. Klebanoff* Robert M. and Marilyn R. Tanenbaum Harold K.* and Betty Max A. Kohler Nerem Samuel O. Thier Forsen James S. and Elinor G.A. Elena and Stuart Anita and George T. Kenneth Fowler Langer Nightingale Thompson Hans and Verena Louis J. and M. Yvonne Ronald and Joan George H. Trilling Frauenfelder De Wolf Lanzerotti Nordgren Roxanne and Karl K.* Carl Frieden Lynn M. Larsen Peter O’Donnell, Jr. Turekian Theodore V. Galambos Gerald and Doris Laubach Gilbert S. Omenn and Martha Vaughan Joseph G. Gall Judith R. Lave Martha A. Darling Raymond Viskanta Ronald L. Geer Cynthia and Robert Gordon H. Orians Andrew and Erna* Viterbi E. Peter Geiduschek Lawrence George W. Parshall Peter K. Vogt David V. Goeddel Johanna M.H. Levelt Thomas K. Perkins Irv Waaland Joseph W. Goodman Sengers Gordon H. Pettengill George D. Watkins Richard M. Goody Robert G. Loewy Frank Press Julia and Johannes Paul E. Gray Thomas and Caroline Donald E. Procknow* Weertman Shirley and Harry Gray Maddock Simon Ramo* Robert J. Weimer Robert B. Griffiths Anthony P. Mahowald Janet and Lester* Reed Herbert Weissbach Michael Grossman Vincent T. Marchesi Jerome G. Rivard Jasper A. Welch, Jr. Adam Heller Hans Mark Maxine L. Savitz Robert M.* and Mavis E. Jane E. Henney and James F. Mathis R. Duncan* and Carolyn White Robert Graham Robert D. Maurer Scheer Luce Catherine M. Wilfert Ernest M. Henley Charles A. McCallum Gerold L. Schiebler Evelyn M. Witkin David and Susan Hodges Christopher F. McKee Richard M. Schoen Gerald N. Wogan Edward E. Hood, Jr. Mortimer Mishkin William R. Schowalter Wm. A. Wulf Joseph F. Hoffman Peter B. Moore F. Stan Settles Anonymous (1)

Lifetime Giving Societies We gratefully acknowledge the following members and friends who have made generous charitable lifetime contributions. Their collective, private philanthropy enhances the impact of the academies as advisor to the nation on issues of science, engineering, and medicine.

Einstein Society In recognition of members and friends who have made lifetime contributions of $100,000 or more to the National Academy of Sciences, the National Academy of Engineering, or the National Academy of Medicine. We acknowledge contributions made as personal gifts or as gifts facilitated by the donor through a donor-advised fund, matching gift program, or family foundation. Names in bold are NAE members.

*Deceased The 92 BRIDGE

$10 million or more Arnold and Mabel Fred Kavli* Raymond and Beverly James H. and Marilyn Beckman* Daniel E. Koshland, Jr.* Sackler Simons Bernard M. Gordon George P. Mitchell*

$5 million to $10 million Donald L. Bren William R. and Rosemary Peter O’Donnell, Jr. Dame Jillian Sackler B. Hewlett*

$1 million to $5 million Bruce and Betty Alberts Penny and Bill George, The Ambrose Monell Fritz J. and Dolores Richard and Rita George Family Foundation H. Russ Prize Fund Atkinson Foundation Gordon and Betty Moore of the Russ College Norman R. Augustine Cecil H. Green* Philip and Sima of Engineering and Craig and Barbara Barrett Michael and Sheila Held* Needleman Technology at Ohio Jordan* and Rhoda Baruch Ming and Eva Hsieh Robert* and Mayari University Stephen D. Bechtel, Jr. Irwin and Joan Jacobs Pritzker Bernard* and Rhoda Harry E. Bovay, Jr.* Kenneth A. Jonsson* Richard L. and Hinda G. Sarnat Harvey V. Fineberg and Tillie K. Lubin* Rosenthal* Leonard D. Schaeffer Mary E. Wilson John F. McDonnell Jack W. and Valerie Rowe Sara Lee and Axel Schupf

$500,000 to $1 million Rose-Marie and Jack R.* Ralph J.* and Carol M. Thomas V. Jones* Gilbert S. Omenn and Anderson Cicerone Cindy and Jeong Kim Martha A. Darling John and Elizabeth James McConnell Clark Ralph and Claire Landau* Shela and Kumar Patel Armstrong Henry David* Asta and William W. William J. Rutter Kenneth E. Behring Richard Evans* Lang* Herbert A. and Dorothea Gordon Bell Eugene Garfield Ruben F.* and Donna P. Simon* Elkan R.* and Gail F. Foundation Mettler Raymond S. Stata Blout Theodore Geballe Dane* and Mary Louise Roy and Diana Vagelos Carson Family Charitable William T.* and Catherine Miller Andrew and Erna* Viterbi Trust Morrison Golden Oliver E. and Gerda K. Alan M. Voorhees* Charina Endowment Fund Alexander Hollaender* Nelson* Anonymous (1)

$250,000 to $500,000 W.O. Baker* Robert L. and Anne K. Ralph S. O’Connor H.E. Simmons* Warren L. Batts James Kenneth H. Olsen* Judy Swanson Clarence S. Coe* Mary and Howard* Kehrl Ann and Michael Ramage Ted Turner Jerome H.* and Barbara Robin K. and Rose M. Simon Ramo* Leslie L. Vadasz N. Grossman McGuire Anne and Walt Robb Martha Vaughan William R. Jackson* Janet and Richard M.* Stephen* and Anne Ryan Charles M.* and Rebecca Morrow Henry and Susan Samueli M. Vest

*Deceased SPRING 2017 93

$100,000 to $250,000 Holt Ashley* James O. Ellis, Jr. and Leon K. and Olga Allen E.* and Marilynn Francisco J. and Hana Elisabeth Paté-Cornell Kirchmayer* Puckett Ayala Dotty and Gordon Frederick A. Klingenstein Richard F. and Terri W. William F. Ballhaus, Sr.* England William I. Koch Rashid Thomas D.* and Janice Emanuel and Peggy Gail F. Koshland Alexander Rich* H. Barrow Epstein Jill Howell Kramer Ronald L. Rivest H.H. and Eleanor F. Olivia and Peter Farrell Kent Kresa Matthew L. Rogers and Barschall* Michiko So* and John W. Landis* Swati Mylavarapu Daniel and Frances Berg Lawrence Finegold Janet and Barry Lang Henry M. Rowan* Elwyn and Jennifer Tobie and Daniel J.* Fink Ming-wai Lau Joseph E. and Anne P. Berlekamp George and Ann Fisher Gerald and Doris Laubach Rowe* Diane and Norman Robert C.* and Marilyn David M.* and Natalie Jonathan J. Rubinstein Bernstein G. Forney Lederman Maxine L. Savitz Bharati and Murty Harold K.* and Betty Bonnie Berger and Frank Walter Schlup* Bhavaraju Forsen Thomson Leighton Wendy and Eric Schmidt Erich Bloch* William L. and Mary Kay Frances and George Ligler David E. Shaw Barry W. Boehm Friend Whitney and Betty Richard P. Simmons Paul F. Boulos Christopher Galvin MacMillan Robert F. and Lee S. David G. Bradley William H. and Melinda Asad M., Gowhartaj, and Sproull Lewis M. Branscomb F. Gates III Jamal Madni Georges C. St. Laurent, Jr. Sydney Brenner Nan and Chuck Geschke Davis L. Masten and Arnold and Constance George* and Virginia Jack and Linda Gill Christopher Ireland Stancell Bugliarello Martin E. and Lucinda Roger L. McCarthy Edward C. Stone Malin Burnham Glicksman William W. McGuire John and Janet Swanson Ursula Burns and Lloyd George and Christine Burt and Deedee Charlotte and Morris Bean Gloeckler McMurtry Tanenbaum John and Assia Cioffi Christa and Detlef Gloge G. William* and Ariadna Peter and Vivian Teets Paul Citron and Margaret Avram Goldstein* Miller James M. Tien and Ellen Carlson Citron Robert W. Gore Ronald D. Miller S. Weston A. James Clark* Paul and Judy Gray Stanley L. Miller* Gary and Diane Tooker G. Wayne Clough Corbin Gwaltney Sanjit K. and Nandita James J. Truchard W. Dale and Jeanne C. John O. Hallquist Mitra John C. Wall Compton* Margaret A. Hamburg and Joe and Glenna Moore Robert and Joan John D. Corbett* Peter F. Brown David* and Lindsay Wertheim Ross and Stephanie William M. Haney III Morgenthaler Robert M.* and Mavis E. Corotis George and Daphne Clayton Daniel and White Lance and Susan Davis Hatsopoulos Patricia L. Mote John C. Whitehead* Roman W. DeSanctis John L. Hennessy Ellen and Philip Neches Jean D. Wilson Robert and Florence Jane Hirsh Susan and Franklin M. Wm. A. Wulf Deutsch Chad and Ann Holliday Orr, Jr. Ken Xie Nicholas M. Donofrio Michael W. Hunkapiller David Packard* Tachi and Leslie Yamada Paul M. Doty* M. Blakeman Ingle Charles and Doris Adrian Zaccaria Charles W. Duncan, Jr. Richard B. Johnston, Jr. Pankow* Alejandro Zaffaroni* Ruth and Victor Dzau Anita K. Jones Larry* and Carol Papay Janet and Jerry Zucker George and Maggie Eads Trevor O. Jones Jack S. Parker* Anonymous (2) Robert and Cornelia Thomas Kailath Edward E. Penhoet Eaton Yuet Wai and Alvera Kan

*Deceased The 94 BRIDGE

Golden Bridge Society In recognition of NAE members and friends who have made lifetime contributions totaling $20,000 to $100,000. We acknowledge contributions made as personal gifts or as gifts facilitated by the donor through a donor-advised fund, matching gift program, or family foundation. Names in bold are NAE members.

$75,000 to $100,000 Ruth A. David Rita Vaughn and Johanna M.H. Levelt Ronald and Joan Thomas E. Everhart Theodore C.* Kennedy Sengers Nordgren Paul and Julie Kaminski Richard J. Stegemeier

$50,000 to $75,000 Jane K. and William F. Paul E. Gray Narayana and Sudha Ellen and George A.* Ballhaus, Jr. Robert E. Kahn Murty Roberts Kristine L. Bueche John and Wilma Cynthia J. and Norman Warren G. Schlinger Corbett Caudill Kassakian A. Nadel Leo John* and Joanne William Cavanaugh Jane and Norman N. Li Jaya and Venky Thomas Joseph V. Charyk* Darla and George E.* Narayanamurti Julia and Johannes Sunlin Chou Mueller John Neerhout, Jr. Weertman The Crown Family Jane and Alan R. Mulally Roberto Padovani Sheila E. Widnall

$20,000 to $50,000 Andreas and Juana Rodney A. Brooks Bonnie and Donald N.* Bettie and Kenneth F.* Acrivos Harold Brown Frey Holtby Rodney C. Adkins Sigrid and Vint Cerf Douglas W. and Margaret Edward E. Hood, Jr. Alice Merner Agogino Selim A. Chacour P. Fuerstenau Evelyn L. Hu and David Clarence R. Allen Chau-Chyun Chen Elsa M. Garmire and L. Clarke Valerie and William A. Josephine Cheng Robert H. Russell Ray R. Irani Anders Uma Chowdhry Richard L. and Lois E. Edward G.* and Naomi John and Pat Anderson Joseph M. Colucci Garwin Jefferson Seta and Diran Apelian Rosemary L. and Harry Arthur and Helen George W. Jeffs Ruth and Ken Arnold M. Conger Geoffrion Frank and Pam Joklik Kamla* and Bishnu S. Malcolm R. Currie Louis V. Gerstner, Jr. Min H. Kao Atal David and Susan Daniel Paul H. Gilbert James R.* and Isabelle Nadine Aubry and John Ruth M. Davis* and Eduardo D. Glandt Katzer L. Batton Benjamin Lohr Arthur L. and Vida F. Peter S. Kim Ken Austin Jeffrey Dean Goldstein Robert M. and Pauline W. Clyde and Jeanette Baker Pablo G. Debenedetti Mary L. Good Koerner William F. Banholzer Tom and Bettie Deen Joseph W. Goodman James N. Krebs David K. Barton Mary P. and Gerald P.* Albert G. Greenberg Lester C.* and Joan M. Becky and Tom Bergman Dinneen Delon Hampton Krogh R. Byron Bird E. Linn Draper, Jr. Wesley L. Harris Louis J. and M. Yvonne Diane and Samuel W. Mildred S. Dresselhaus* Janina and Siegfried De Wolf Lanzerotti Bodman James J. Duderstadt Hecker Cato and Cynthia Kathleen and H. Kent Gerard W. Elverum Robert and Darlene Laurencin Bowen Stephen N. Finger Hermann Yoon-Woo Lee Corale L. Brierley Edith M. Flanigen David and Susan Hodges Burn-Jeng Lin James A. Brierley Samuel C. Florman Jack E. Little

*Deceased SPRING 2017 95

Thomas and Caroline Arogyaswami J. Paulraj Howie Rosen and Susan Daniel M. Tellep Maddock Paul S. Peercy* Doherty David W. Thompson Artur Mager* Lee and Bill Perry Vinod K. Sahney James A. Trainham and Thomas J. Malone Donald E. Petersen Steve* and Kathryn Linda D. Waters James F. Mathis Julia M. Phillips and John Sample Raymond Viskanta Robert D. Maurer A. Connor Jerry Sanders III Robert and Robyn Dan and Dalia Maydan Dennis J. Picard Linda S. Sanford Wagoner James C. McGroddy John W. and Susan M. Robert E. and Mary L. Daniel I. Wang Richard A. Meserve Poduska Schafrik Albert R.C. and Jeannie James J. Mikulski Donald E. Procknow Ronald V. Schmidt Westwood James K. and Holly T. Henry H. Rachford, Jr. Roland W. Schmitt David A. Whelan Mitchell Joy and George* Martin B. and Beatrice E. Willis S. White, Jr. Duncan T. Moore Rathmann Sherwin John J. Wise Van and Barbara Mow Buddy D. Ratner Alfred Z. Spector and Edgar S. Woolard, Jr. Cherry A. Murray Eberhardt* and Deedee Rhonda G. Kost A. Thomas Young Robert M. and Marilyn R. Rechtin David B. and Virginia H. William and Sherry Nerem Kenneth and Martha Spencer Young Matthew O’Donnell Reifsnider Henry E. Stone Elias A. Zerhouni Simon Ostrach Julie and Alton D. Gaye and Alan Taub Anonymous (1) Claire L. Parkinson Romig, Jr. Rosemary and George Tchobanglous

Heritage Society In recognition of members and friends who have included the National Academy of Sciences, National Academy of Engineering, or National Academy of Medicine in their estate plans or who have made some other type of planned gift to the Academies. Names in bold are NAE members.

Andreas and Juana Corale L. Brierley Mildred S. Dresselhaus* John G. Hildebrand and Acrivos James A. Brierley Gerard W. Elverum Gail D. Burd Gene M.* and Marian Lenore and Rob Briskman Dotty and Gordon Nancy S. and Thomas S. Amdahl Kristine L. Bueche England Inui Betsy Ancker-Johnson Dorit Carmelli Emanuel and Peggy Richard B. Johnston, Jr. John C. Angus Peggy and Thomas Caskey Epstein Anita K. Jones John and Elizabeth A. Ray Chamberlain Tobie and Daniel J.* Fink Jerome Kagan Armstrong Linda and Frank Chisari Robert C.* and Marilyn Diana S. and Michael D. Norman R. Augustine Rita K. Chow G. Forney King Jack D. Barchas John A. Clements William L. and Mary Kay Asta and William W. Harrison H. and D. Walter Cohen Friend Lang* Catherine C. Barrett Morrel H. Cohen Arthur and Helen Norma M. Lang Stanley Baum Stanley N. Cohen Geoffrion Daniel P. Loucks Clyde J. Behney Colleen Conway-Welch Paul H. Gilbert R. Duncan* and Carolyn Elisabeth Belmont Ross and Stephanie Martin E. and Lucinda Scheer Luce Daniel and Frances Berg Corotis Glicksman Thomas and Caroline Paul Berg Ellis and Bettsy Cowling George and Christine Maddock Elkan R.* and Gail F. Molly Joel Coye Gloeckler Artur Mager* Blout Barbara J. Culliton Christa and Detlef Gloge Pat and Jim McLaughlin Enriqueta C. Bond Malcolm R. Currie Joseph W. Goodman Jane Menken Daniel Branton David and Susan Daniel Chushiro* and Yoshiko Arno G. Motulsky Robert and Lillian Brent Peter N. Devreotes Hayashi Van and Barbara Mow

*Deceased The 96 BRIDGE

Guido Munch Zack T. Pate Paul R. Schimmel Paul and Pamela Talalay Mary O. Mundinger Neil and Barbara Pedersen Stuart F. Schlossman Walter Unger Philip and Sima Frank Press Rudi* and Sonja Schmid John C. Wall Needleman Simon Ramo* Kenneth I. Shine Patricia Bray-Ward and Norman F. Ness James J. Reisa, Jr. Robert L. Sinsheimer David C. Ward Ronald and Joan Emanuel P. Rivers Arnold and Constance Robert and Joan Nordgren Richard J. and Bonnie B. Stancell Wertheim Gilbert S. Omenn and Robbins H. Eugene Stanley Maw-Kuen Wu Martha A. Darling Eugene* and Ruth Roberts Rosemary A. Stevens Wm. A. Wulf William and Constance James F. Roth John and Janet Swanson Tilahun D. Yilma Opie* Esther and Lewis Rowland John A. Swets Michael Zubkoff Bradford W. and Virgina Sheila A. Ryan Esther Sans Takeuchi Anonymous (1) W. Parkinson

Foundations, Corporations, and Other Organizations Lifetime In recognition of foundations, corporations, and other organizations that have given gifts or grants totaling $1 million or more to the National Academy of Sciences, the National Academy of Engineering, or the National Academy of Medicine. Names in bold have supported the NAE.

$25 million or more Carnegie Corporation of The Bill & Melinda Gates The Robert Wood W.M. Keck Foundation New York Foundation Johnson Foundation W.K. Kellogg Foundation The Ford Foundation The Kavli Foundation The Koshland Foundation

$10 million to $25 million Arnold and Mabel Howard Hughes Medical The Andrew W. Mellon Raymond and Beverly Beckman Foundation Institute Foundation Sackler Foundation The Charles Stark The John D. and The Cynthia and George Simons Foundation Draper Laboratory Catherine T. Mitchell Foundation Alfred P. Sloan The William and Flora MacArthur Foundation Foundation Hewlett Foundation

$5 million to $10 million Michael and Susan Dell The Irvine Company Gordon and Betty Moore The Rockefeller Foundation Kaiser Permanente Foundation Foundation The Grainger Foundation Merck & Company, Inc. The Pew Charitable Trusts

$1 million to $5 million Aetna Foundation American Public Laura and John Arnold Atkinson Family American Board of Family Transportation Foundation Foundation Medicine Association Association of American The Atlantic American Cancer Society America’s Health Railroads Philanthropies (USA) American Legacy Insurance Plans AstraZeneca Craig & Barbara Barrett Foundation Foundation Pharmaceuticals LP Foundation Amgen, Inc. AT&T Corporation Battelle

*Deceased SPRING 2017 97

S.D. Bechtel, Jr. ExxonMobil Corporation Johnson & Johnson Northrop Grumman Foundation ExxonMobil Foundation The JPB Foundation Corporation Blue Shield of California Ford Motor Company JSM Charitable Trust Northrop Grumman Foundation Foundation for Child Ewing Marion Kauffman Foundation The Boeing Charitable Development Foundation Novartis Pharmaceuticals Trust Foundation for Food and The Susan G. Komen Corporation The Boeing Company Agriculture Research Breast Cancer Nuclear Threat Initiative Breast Cancer Research General Electric Foundation O’Donnell Foundation Foundation Company Daniel E. Koshland, Jr. The David and Lucile Bristol-Myers Squibb General Motors Family Fund Packard Foundation Company Company The Kresge Foundation Peter G. Peterson Burroughs Wellcome Fund GlaxoSmithKline Eli Lilly and Company Foundation The California Google Inc. Lockheed Martin Pfizer, Inc. Endowment William T. Grant Corporation Robert Pritzker Family California HealthCare Foundation Richard Lounsbery Foundation Foundation Great Lakes Protection Foundation Research Corporation for Margaret A. Cargill Fund Lumina Foundation for Science Advancement Foundation The Greenwall Education Rockefeller Brothers Fund CDC Foundation Foundation Josiah Macy, Jr. Richard & Hinda Chevron Corporation The John A. Hartford Foundation Rosenthal Foundation Chrysler Group LLC Foundation Merck Company Sanofi-Aventis The Commonwealth Fund Leona M. and Harry B. Foundation Shell Oil Company The Dow Chemical Helmsley Foundation Microsoft Corporation The Spencer Foundation Company Hewlett-Packard The Ambrose Monell The Starr Foundation E.I. du Pont de Nemours Company Foundation The Wellcome Trust & Company Hsieh Family Foundation Monsanto Company Robert W. Woodruff Eastman Kodak Company Intel Corporation National Multiple Foundation The Ellison Medical International Business Sclerosis Society Xerox Corporation Foundation Machines Corporation

Annual In recognition of foundations, corporations, or other organizations that made gifts or grants to support the National Academy of Engineering in 2016. The Agouron Institute Boer Family Foundation Ernst & Young General Aero-Science Avid Solutions Industrial Branscomb Family ExxonMobil Corporation Consultants, LLC Process Control Foundation ExxonMobil Foundation General Electric Company Baxter International Castaing Family Fidelity Brokerage General Electric Foundation Matching Foundation Services, LLC Foundation Gift Program Chevron Corporation Fidelity Charitable Gift Geosynthetic Institute Bell Family Foundation Chevron Matching Fund Gerstner Family Benevity Community Employee Funds The Ford Foundation Foundation Impact Fund Community Foundation Forney Family Foundation Gratis Foundation Bodman Family Silicon Valley Paul Galvin Memorial Hewlett-Packard Foundation Cummins, Inc. Foundation Trust Company The Boeing Charitable Albert and Joan Dorman Harendra S. Gandhi Honeywell International Trust Family Foundation Foundation Charity Matching The Boeing Company The Charles Stark Draper The Arthur and Linda Hopper-Dean Foundation Boeing PAC Match Laboratory Gelb Charitable Horizon Foundation for Program Egon Zehnder Foundation NJ Matching Gifts The 98 BRIDGE

Hsieh Family Foundation Employee Charitable Henry M. Rowan Family TBL Foundation Innovyze Organization of Foundation TIAA-CREF International Business Northrop Grumman B. Donn and Becky Triangle Community Machines Corporation Ohio University Russell Charitable Foundation W.M. Keck Foundation Foundation Foundation Two Sigma Investments, Kahle/Austin Foundation The Omaha Community Samueli Foundation LP Lockheed Martin Foundation Henry & Sally Schwartz United Technologies Corporation Oracle Corporation Family Foundation Corporation Medtronic Foundation Orcas Island Community The Seattle Foundation The US Charitable Gift Merrill Lynch & Company Foundation Shell Hero Matching Trust Microsoft Corporation Pennoni Family Gifts Program USF Research Foundation The Gordon and Betty Foundation Shell Oil Company Vanguard Charitable Moore Foundation PJM Interconnection Shell Oil Company Endowment Program Morgan Stanley PSEG Power of Giving Foundation Educational Wells Fargo Advisors, Morgan Stanley Smith Campaign Matching Gifts Program LLC Barney Global Impact Public Education on Siegel & Family The Woolard Family Funding Trust Technology & Science Foundation Foundation National Philanthropic Qualcomm, Inc. Silicon Valley Community Zerhouni Family Trust R&K Christensen Foundation Charitable Foundation Network for Good Management, LLC The Morris & Charlotte Anonymous (1) Northrop Grumman The Rothberg Family Tanenbaum Family Foundation Charitable Foundation Foundation

We have made every effort to list donors accurately and according to their wishes. If we have made an error, please accept our apologies and contact the Development Office at 202.334.2431 or [email protected] so we can correct our records. Thank you.

New Staff and Mirzayan Fellows Join Program Office

Maggie Bartolomeo B.L. Ramakrishna Amy Shaw Albert Manero II

Maggie Bartolomeo joined the staff editing scripts and audio, and man- heard by millions of listeners across as communications/media associate. aging daily operations of the news- the nation. In addition, she pulled She comes to us from WTOP Radio, room and live broadcasting. clips for breaking news stories and where, in her capacity as news At the same time she was working engineered the board for the nation- assistant, she worked at the opera- as an editor, news correspondent, ally broadcast Jim Bohannon Show. tions desk and as assistant editor— and broadcast engineer at West- She has also worked as an associ- recommending and researching wood One, researching, writing, ate producer for The Press Pool with stories, contacting newsmakers, recording, and producing pieces Julie Mason on Sirius XM’s POTUS, SPRING 2017 99

Channel 124, researching and book- Most recently he was the Diane GCSP to prepare their students to ing guests and developing a social and Gary Tooker Professor at the contribute to solving some of the media presence through tools such School of Engineering for Mat- biggest challenges of our time. The as Twitter and SoundCloud. ter, Transport, and Energy in the activities of the director will focus Maggie has been interested in Arizona State University (ASU) on the continued growth of the radio since she began volunteering Fulton Schools of Engineering. He GCSP Network as well as data col- for the University of Maryland’s radio launched the ASU GCSP in 2009 lection, the sharing of best practices, station in 2012, which she continued and led or co-led it until 2013, when GCSP-related research, community- until her graduation there in 2015. he took a Jefferson Science Fellow- building efforts, outreach, and part- In her free time, Maggie says she ship at the US State Department. ner development. frequently practices her news voice In 2014 he returned to ASU, where when she thinks no one is listen- he helped establish a Humanitarian Albert Manero II completed his ing . . . spends a lot of time reading Engineering Program. From 2001 PhD in mechanical engineering at (and occasionally speaking with to 2011 he was director of Down to the University of Central Florida other people) . . . and adores Cap- Earth Science, ASU’s NSF-spon- in December 2016. His dissertation tain America and even has a life-size sored Graduate STEM Fellows in focused on nondestructive char- shield in her room. K–12 Education (GK–12) Project, acterization of aerospace ceramic Maggie will work to promote whose goal was to bring cutting- composites via synchrotron radia- NAE activities and the engineer- edge research in the physical, life, tion, conducted in part at Argonne ing profession through both social and engineering sciences to K–12 National Laboratory and the Ger- and traditional media channels. teachers and students in order to man Aerospace Center during his She will be responsible for updating strengthen the pipeline for recruit- Fulbright graduate research expe- and enhancing the Grand Chal- ing highly motivated and well-pre- rience in Köln. He is the founder lenges for Engineering website and pared students to STEM careers. of Limbitless Solutions nonprofit, will help promote the Grand Chal- He is active in efforts to enhance which is devoted to designing bionic lenges Scholars Program and the public understanding of science arms for children in need at no cost to Global Grand Challenges Summit. and engineering and advises Ari- families. Limbitless looks to encour- Of course, she will also work on our zona Science Center on its exhibits age students to identify technology WTOP/Federal News Radio series. and educational programs. During infused with compassion as a tool his Jefferson Fellowship he served to have a positive impact on their B.L. (Rama) Ramakrishna joined as a senior science and technology communities. Through his partici- the NAE staff on January 23 as advisor in the African bureau of pation in the Mirzayan Fellowship, director of the NAE Grand Chal- the USAID Office of Sustainable Albert hopes to gain experience in lenges Scholars Program (GCSP) Development, and has been recog- science policy and to explore per- Network. He is dedicated to pre- nized with fellowships from Germa- spectives for ways to improve STEM paring engineers who not only have ny and NATO for his expertise in education for students. He’ll work the necessary engineering skills but international collaborations. on LinkEngineering and other K–12 also the cross-disciplinary knowl- Rama received his PhD from engineering–related activities. edge, entrepreneurial spirit, global the Indian Institute of Technol- perspective, and sense of mission ogy, Madras, and joined ASU after Amy Shaw is completing a PhD needed to lead our country and the postdoctoral work at the Univer- in environmental engineering at world to meet the major challenges sity of Zurich, Phillips University Vanderbilt University, where she facing humankind in the 21st cen- in Marburg, and Washington State also received her MS in environ- tury. He passionately believes that University. mental engineering and BE in science, technology, innovation, The GCSP director position was civil engineering with a mathemat- and partnership will transform glob- established to support the growing ics minor. Her graduate research al development and help address number of universities and engi- focuses on reducing negative water the challenges facing developing neering schools in the United States quality impacts while optimiz- countries in particular. and around the world that offer the ing hydropower dam operations The 100 BRIDGE through integration of high-fidelity and going to concerts. She is enthu- standing of how to turn ideas into simulation models in decision sup- siastic about participating in science reality. She will work on a variety port tools. Before graduate school outreach and education programs. of activities while here, including she worked on water resources proj- In the Mirzayan Fellowship Pro- the Global Grand Challenges Sum- ects as an intern at the engineering gram, Amy seeks to hone her ability mit, use of the Grand Challenges in consulting firm CDM. For fun, she to communicate ideas with all audi- K–12, and media activities such as enjoys wheel-throwing ceramic pot- ences, explore policy career oppor- researching story ideas and working tery, rooting for the Nashville Pred- tunities available to scientists and on news releases. ators and Vanderbilt Commodores, engineers, and enhance her under-

Calendar of Meetings and Events

January 26–27 Workshop on Engagement of Engineering May 11–12 NAE Council Meeting Societies in Undergraduate Engineering May 16 NAE Regional Meeting Education Northwestern University, Evanston, March 1–31 Election of NAE Officers and Councillors Illinois March 31–April 2 German-American Frontiers of May 25 NAE Regional Meeting Engineering Symposium Akamai Technologies, Cambridge, GE Aviation, Evendale, Ohio Massachusetts April 1 NAE Awards Call for Nominations closes May 30 Bernard M. Gordon Prize for Innovation April 5 NAE Regional Meeting in Engineering and Technology Google, Mountain View, California Education Presentation Northwestern University April 13 NAE Regional Meeting Carnegie Mellon University, Pittsburgh June 22–24 China-America Frontiers of Engineering Shanghai April 19–20 NAE Regional Meeting Georgia Institute of Technology, Atlanta All meetings are held in National Academies facilities in Washington, DC, unless otherwise noted.

In Memoriam

VITELMO V. BERTERO, 93, of semiconductor technologies for Clough was elected to the NAE in professor emeritus of civil and computers. 1968 for analysis, design, and appli- environmental engineering, Uni- cations of structures for dynamic versity of California, Berkeley, died JOSEPH V. CHARYK, 96, retired loadings, including earthquakes. October 24, 2016. Dr. Bertero was chair and CEO, COMSAT Corpo- elected to the NAE in 1999 for ration, died September 28, 2016. Dr. KEITH H. COATS, 81, technical contributions to improvements in Charyk was elected to the NAE in director, Coats Engineering Inc., seismic design and the construction 1973 for basic contributions relat- died September 13, 2016. Dr. Coats of steel and reinforced concrete ing to space flight and leadership was elected to the NAE in 1988 for structures. in development of communications pioneering work in the development satellites. of computer methods for simulation ERICH BLOCH, 91, director, the of oil and gas reservoir performance. Advisory Group at Huron, died RAY CLOUGH, 92, Nishkian November 25, 2016. Mr. Bloch Professor of Structural Engineering SEYMOUR B. COHN, 94, engi- was elected to the NAE in 1980 Emeritus, University of California, neering consultant, S.B. Cohn for leadership in the development Berkeley, died October 8, 2016. Dr. Associates, died September 9, SPRING 2017 101

2015. Dr. Cohn was elected to sachusetts Institute of Technology, Laverov was elected a foreign mem- the NAE in 1991 for innovative died November 16, 2016. Mr. For- ber of the NAE in 2005 for leader- accomplishments in the devel- rester was elected to the NAE in ship in the uses of uranium and for opment of basic components in 1967 for design and development of the direction of national and inter- microwave engineering. magnetic core memory devices. national programs for the management of radioactive waste. W. DALE COMPTON, 88, Lil- ROBERT N. HALL, 96, retired lian M. Gilbreth Distinguished physicist, General Electric Compa- ARTUR MAGER, 97, indepen- Professor of Industrial Engineering ny, died November 7, 2016. Dr. Hall dent consultant, died November Emeritus, Purdue University, died was elected to the NAE in 1977 for 22, 2016. Dr. Mager was elected to February 7, 2017. Dr. Compton contributions to alloyed junctions, the NAE in 1977 for contributions was elected to the NAE in 1981 p-i-n, tunnel and laser diodes, and in turbulent flow aerodynamics and for exceptional leadership in devel- ultrapurification of semiconductors. engineering leadership to space and oping advanced automotive tech- missile programs. nologies, individual achievements CHIEH-SU HSU, 92, professor in engineering physics, and inno- emeritus of applied mechanics, Uni- FRANKLIN K. MOORE, 94, vative contributions in promoting versity of California, Berkeley, died Joseph C. Ford Professor Emeritus university-industry relations. July 25, 2014. Dr. Hsu was elected of Mechanical Engineering, Cornell to the NAE in 1988 for the devel- University, died November 21, 2016. JAMES W. COOLEY, 89, retired opment of innovative techniques, Dr. Moore was elected to the NAE research staff, IBM Thomas J. Wat- especially cell-to-cell mapping, and in 1984 for pioneering fundamen- son Research Center, died June 29, for the analysis of the dynamics of tal research in fluid mechanics and 2016. Dr. Cooley was elected to the nonlinear systems. continuing innovative engineering NAE in 2000 for the creation and contributions to power-plant cooling development of the Fast Fourier STEPHEN C. JACOBSEN, 75, and rotating machinery efficiency. Transform (FFT) algorithm for time Distinguished Professor of Mechan- series analysis. ical Engineering, Center for Engi- JACQUES I. PANKOVE, 93, neering, Design University of Utah, retired professor of electrical engi- L. ERIC CROSS, 93, Evan Pugh and president, Raytheon Sarcos, neering, University of Colorado Professor Emeritus of Electrical died April 3, 2016. Dr. Jacobsen Boulder, died July 12, 2016. Dr. Engineering, Pennsylvania State was elected to the NAE in 1990 Pankove was elected to the NAE in University, died December 29, 2016. for engineering artificial kidneys, 1986 for pioneering contributions Dr. Cross was elected to the NAE in the Utah artificial arms, robots, to the advancement of electronic 1983 for contributions to the devel- and micromotors and for success- devices, including transistors and opment of electroceramic, dielectric, ful commercial implementation of electro-optics. and piezoelectric materials. advanced products. PAUL S. PEERCY, 75, dean MILDRED DRESSELHAUS, ROBERT L. JOHNSON, 96, emeritus, College of Engineering, 86, Institute Professor of electri- retired corporate vice president, University of Wisconsin–Madison, cal engineering and physics, Mas- McDonnell Douglas Corporation, died October 20, 2016. Dr. Peercy sachusetts Institute of Technology, died September 4, 2016. Mr. John- was elected to the NAE in 2001 for died February 20, 2017. Dr. Dres- son was elected to the NAE in 1976 significant fundamental discoveries, selhaus was elected to the NAE for pioneering design of integrated important new measurement tech- in 1974 for contributions to the control systems and systems devel- niques, and visionary leadership in experimental studies of metals and opment of guided missiles. creating and managing outstanding semimetals, and to education. laboratories in materials research. NIKOLAY P. LAVEROV, 86, vice JAY W. FORRESTER, 98, profes- president, Russian Academy of Sci- WILLIAM R. PRINDLE, 90, sor emeritus of management, Mas- ences, died November 27, 2016. Dr. retired division vice president and The 102 BRIDGE associate director–technology, Corn- tems Inc., died October 10, 2016. tion, died November 3, 2016. Mr. ing Incorporated, died December 29, Dr. Ross was elected to the NAE Vassell was elected to the NAE in 2016. Dr. Prindle was elected to the in 1995 for contributions to time- 1980 for contributions in the field NAE in 1990 for outstanding leader- domain electromagnetics and in of electric energy supply, both as to ship and innovation in the direction ultra-wideband radar. its technical features and its societal of industrial research and develop- implications. ment in modern glass and ceramics MYRON TRIBUS, 94, cofound- technology. er and director, Exergy Inc., died IRWIN WELBER, 92, retired August 31, 2016. Dr. Tribus was president, Sandia National Labo- DONALD E. PROCKNOW, 93, elected to the NAE in 1973 for con- ratories, died December 17, 2016. retired vice chair, Lucent Technolo- tributions to applied sciences that Dr. Welber was elected to the NAE gies, died July 1, 2016. Mr. Proc- support engineering, to engineering in 1988 for major contributions to know was elected to the NAE in education, and for professional ser- the advancement of capacity and 1988 for outstanding leadership of a vice in education, government, and economy in satellite, microwave premier telecommunications manu- industry. radio, submarine cable, and digital facturing institution through an era transmission systems. of technological change. GREGORY S. VASSELL, 94, consultant and retired senior vice presi- GERALD F. ROSS, 85, retired dent, System Planning, American chair of the board, Geospatial Sys- Electric Service Power Corpora- Publications of Interest The following reports have been Frontiers of Engineering: Reports on The Role of Experimentation Campaigns published recently by the National Leading-Edge Engineering from the in the Air Force Innovation Life Cycle: Academy of Engineering or the 2016 Symposium. This volume pres- Proceedings of a Workshop. A work- National Academies of Sciences, ents papers on the topics covered shop was held in January 2016 to Engineering, and Medicine. Unless at the National Academy of Engi- define and assess the current use otherwise noted, all publications are neering’s 2016 US Frontiers of of experimentation campaigns in for sale (prepaid) from the National Engineering Symposium. Every year the Air Force, evaluate barriers to Academies Press (NAP), 500 Fifth the symposium brings together 100 their use, and make recommenda- Street NW–Keck 360, Washington, outstanding young leaders in engi- tions to increase their use. Partici- DC 20001. For more information neering to share their cutting-edge pants at the workshop presented a or to place an order, contact NAP research and innovations in selected broad range of issues, experiences, online (www.nap.edu) or by phone areas. The 2016 symposium was held and insights related to experimen- (800-624-6242). Note: Prices quoted September 19–21 at the Arnold and tation, experimentation campaigns, are subject to change without notice. Mabel Beckman Center in Irvine, and innovation. This publication There is a 10 percent discount for California. The intent of this book summarizes the presentations and online orders when you sign up for a is to convey the excitement of this discussions from the workshop. MyNAP account. Add $6.50 for ship- unique meeting and to highlight NAE members on the study ping and handling for the first book and innovative developments in engi- committee were Lester L. Lyles $1.50 for each additional book. Add neering research and technical work. (cochair), independent consultant, applicable sales tax or GST if you live NAE member Robert D. Braun, Vienna, VA; Antonio L. Elias, exec- in CA, CT, DC, FL, MD, NC, NY, dean of engineering and applied utive vice president and chief tech- PA, VA, WI, or Canada. science, University of Colorado nical officer, Orbital ATK Inc.; and Boulder, chaired the symposium Robert A.K. Mitchell, consultant, organizing committee. Paper, $45.00. Robert A.K. Mitchell Consulting, SPRING 2017 103

and retired vice president, Northrop Chemical and Biological Engineer- businesses to develop new processes Grumman. Free PDF. ing, Tufts University; and James C. and products and to provide quality Stevens, retired Dow Distinguished research in support of US govern- The Changing Landscape of Hydrocarbon Fellow, Core Research and Devel- ment missions. The Small Busi- Feedstocks for Chemical Production— opment, The Dow Chemical Com- ness Technology Transfer (STTR) Implications for Catalysis: Proceedings pany. Paper, $50.00. program was created in 1992 to of a Workshop. As a result of abun- expand joint venture opportunities dant domestic supplies of afford- A Threat to America’s Global Vigi- for small businesses and nonprofit able natural gas and natural gas lance, Reach, and Power—High-Speed, research institutions by requiring liquids resulting from the dramatic Maneuvering Weapons: Unclassified small business recipients to col- rise in shale gas production, the US Summary. The National Academies laborate formally with a research industry has gone from the world’s of Sciences, Engineering, and Med- institution. Congress tasked the highest-cost producer in 2005 to icine was asked by the Assistant National Research Council with among the lowest-cost producers. Secretary of the Air Force for Sci- (1) undertaking a comprehensive There is an opportunity to discover ence, Technology, and Engineering study of how the SBIR and STTR and develop new catalysts and pro- to assess the threat of high-speed programs have stimulated tech- cesses to enable the direct conver- weapons and provide recommen- nological innovation and used sion of natural gas and natural gas dations to counter the threat. This small businesses to meet federal liquids into value-added chemicals report reviews current and evolv- R&D needs and (2) recommend- with a lower carbon footprint. The ing threats and current and planned ing improvements to the programs. economic implications could be sig- US efforts and capabilities to coun- The study’s first round (2004–2009) nificant, as commodity, intermedi- ter them; identifies current gaps resulted in reports on the programs ate, and fine chemicals represent and opportunities for the United at the five agencies responsible for a higher-economic-value use of States Air Force (USAF) to sig- 96 percent of the programs’ opera- shale gas compared with its use as nificantly contribute to US efforts tions, including the Department of a fuel. Participants at a March 2016 to counter high-speed threats; and Energy (DOE). This second round workshop sought to better under- recommends actions for the USAF presents a second review of the stand the opportunities for catalysis in materiel, nonmateriel, and tech- DOE SBIR program operations. research, identify gaps in the cur- nology development to address the The report notes that, although a rent research portfolio, and help identified opportunities and gaps. defining feature of the US econo- target the efforts of US researchers NAE members on the study com- my is a high level of entrepreneur- and funding agencies on areas of sci- mittee were Malcolm R. O’Neill, ial activity, converting discoveries ence and technology development former Assistant Secretary of the in important, dynamic areas such most critical to achieving advances Army, Acquisition, Logistics and as genomics, bioinformatics, and in catalysis. This publication sum- Technology, retired vice president nanotechnology into innovations marizes the workshop presentations and CTO, Lockheed Martin Cor- for the market involves substantial and discussions. poration, and retired Lieutenant challenges. The US capacity for NAE members on the workshop General, US Army; and David A. innovation can be strengthened by planning committee were Alexis Whelan, vice president, engineer- addressing these challenges. T. Bell (chair), professor, Depart- ing, Boeing Defense, Space and NAE members on the study comment of Chemical and Biomolecular Security, The Boeing Company. mittee were Jacques S. Gansler Engineering, University of Califor- Free PDF. (chair), chair and CEO, ARGIS nia, Berkeley; Montgomery M. Group; Charles E. Kolb, president Alger, Department of Energy and SBIR/STTR at the Department of Energy. and CEO, Aerodyne Research Inc.; Mineral Engineering, Pennsylvania The Small Business Innovation and Duncan T. Moore, vice provost State University; Maria Flytzani- Research (SBIR) program, one of for entrepreneurship and Rudolf and Stephanopoulos, Robert and Marcy the largest examples of US public- Hilda Kingslake Professor of Optical Haber Endowed Professor in Ener- private partnerships, was estab- Engineering, University of Roches- gy Sustainability, Department of lished in 1982 to encourage small ter. Paper, $70.00. The 104 BRIDGE

An Assessment of the National Institute ence and Engineering, University Chair in Computer Engineering, of Standards and Technology Center for of Utah. Free PDF. Texas A&M University–College Nanoscale Science and Technology: Fis- Station; Sanjoy K. Mitter, profes- cal Year 2016. At the request of the A 21st Century Cyber-Physical Systems sor of electrical engineering, Mas- National Institute of Standards and Education. Cyber-physical systems sachusetts Institute of Technology; Technology (NIST), the National (CPS) are “engineered systems that and José M.F. Moura, Philip and Academies of Sciences, Engi- are built from, and depend on, the Marsha Dowd University Professor, neering, and Medicine has, since seamless integration of computa- Department of Electrical and Com- 1959, annually assembled panels tional algorithms and physical computer Engineering, Carnegie Mellon of experts from academia, industry, ponents.” With the development of University. Paper, $50.00. medicine, and other scientific and low-cost sensing, powerful embed- engineering communities to assess ded system hardware, and widely The Role of Science, Technology, Inno- the quality and effectiveness of the deployed communication networks, vation, and Partnerships in the Future NIST measurements and standards reliance on CPS for system func- of USAID. The US Agency for Inter- laboratories, of which there are tionality has dramatically increased. national Development (USAID) now seven, as well as the adequacy However, engineers responsible for plays a vital role in promoting US of the laboratories’ resources. This developing CPS but lacking the national and international interests report assesses the scientific and appropriate education or training by advancing strategies for using sci- technical work performed by the may not fully understand (1) the ence, technology, and innovation NIST Center for Nanoscale Sci- technical issues associated with CPS (STI) to respond to global chal- ence and Technology and identifies software and hardware or (2) tech- lenges. The agency depends on the accomplishments, challenges, and niques for physical system modeling, engagement of science institutions opportunities for improvement. energy and power, actuation, signal and other innovative enterprises and NAE members on the study pan- processing, and control. Moreover, their commitment to work in part- el were Kanti Jain (chair), profes- they may be designing and imple- nership with USAID to research, sor, Department of Electrical and menting life-critical systems with- test, and scale solutions. This report Computer Engineering, University out appropriate training in CPS provides an assessment and advice on of Illinois at Urbana-Champaign; methods needed for verification and the current and future role for STI in James J. Coleman, Erik Jonsson to ensure safety, reliability, and secu- USAID assistance programs and on School of Engineering and Com- rity. This report examines the intel- the role of partnerships in the public puter Science Distinguished Chair, lectual content of the emerging field and private sectors to expand impact. Department of Electrical Engineer- of CPS and its implications for engi- The report examines challenges and ing, University of Texas at Dal- neering and computer science edu- opportunities for USAID in expand- las; Elsa Reichmanis, professor, cation. It is intended to inform those ing the use of STI in development Department of Chemical and Bio- who might support efforts to develop assistance; assesses how USAID has molecular Engineering, Georgia curricula and materials, faculty and deployed STI; and recommends pri- Institute of Technology; Kenneth university administrators, industries ority areas for improvement in part- L. Reifsnider, Presidential Distin- with needs for CPS workers, and nership with others. guished Professor of Mechanical current and potential students about NAE member Rebecca R. Rich- and Aerospace Engineering and intellectual foundations, workforce ards-Kortum, Malcolm Gillis Uni- director, Institute for Predictive requirements, employment opportu- versity Professor, Department of Methodology, University of Texas nities, and curricular needs. Bioengineering, Rice University, at Arlington Research Institute; NAE members on the study was a member of the study commit- and Anil V. Virkar, professor and committee were Panganamala R. tee. Paper, $58.00. chair, Department of Materials Sci- Kumar, College of Engineering

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