Introduction to Engineering Through Case Studies With CD-ROM Supplements Fourth Edition

P.K. Raju Thomas Walter Professor, Department of Mechanical Engineering Chetan S. Sankar Thomas Walter Professor, Department of Management

Auburn University

¤ 2007 by Raju and Sankar, All Rights Reserved. No part of this book may be reproduced, by any process or technique, without the express written permission from the authors.

May He Protect us both (the teacher and the student) together by revealing knowledge. May He Protect us both by assuring that knowledge will be used fruitfully. May we be vigorous in learning together. Let what we study be invigorating to both of us. May we not criticize each other needlessly. Om Peace, Peace, Peace. Katha Upanisad

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This book is dedicated to… x x

x x x

Our teachers who have inspired us throughout life. National Science Foundation for being a leader in supporting innovative educational practices through its grants, DUE #9752353, 9950514, and 0089036. Any opinions, findings, and conclusions or recommendations expressed in this book are those of the authors and do not necessarily reflect the views of the National Science Foundation. Our students who have participated with us in this project and worked tirelessly. Our families who gave the time and support to make the book a reality. Managers and engineers from companies who provided valuable information

Table of Contents 1. Introduction − Science, Technology, and Engineering − Engineering achievements transform lives − Electrification − Automobile − Real-World Connection − Health Technologies − Nuclear Technologies − Real-World Connection − Other Engineering Innovations − Engineering disciplines − Engineering societies − Professional Registration − Importance of Engineering during 21st Century − Real-World Connection − What do employers expect from engineering students in the 21st century? − Real-World Connection − Preparing engineering students to meet the new skill expectations through real-world case studies used in this text book. − Getting most from this text & CD-ROM − Overview of CD-ROM − Definition of a case study and its purpose − History of the use f the case study method − Engineering case studies − Competency material for analyzing a case study − Overview of case studies used in this textbook − Della Steam Plant case study − Solid Rocket Booster Field Joint Design − Lorn textiles case study − Guidelines for the reading the textbook and analyzing the case studies − Use of Case Studies to illustrate the theories − Use of skills learned in the course to apply engineering knowledge to solve case study problems − Conclusions − Essay questions − Group Assignment − Endnotes

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2. Engineering Design Principles − Introduction − Elements of the design process − Problem definition − Real World Connection − Concept formation − Real World Connection − Concept evaluation − Real World Connection − Concept selection − Real World Connection − Detailed design − Real World Connection − Prototyping − Testing − Real World Connection − Send to production − Real World Connection − Redesign − Real World Connection − STS 51-L Challenger Disaster and Redesign − Field Joint Redesign: Second Iteration − Problem Definition − Concept Formation − Concept evaluation, selection, and detailed design − Prototyping − Testing − Production − Successful missions and Columbia Disaster during 2003 − Summary − Appendix 1: − The design and manufacture of the Boeing 777 − Design Project of a tennis ball thrower − Variables Data Sheet − Short essay questions − Student assignment − Endnotes

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3. Scientific Decision Making − − − −

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Introduction Importance of decision making Definitions Prescriptive and Descriptive Decision-Making processes − Prescriptive Models for Decision-Making explained using descriptive examples from Real-World Connections − Understand the situation and identify the objectives − Identify and diagnose the problem − Identify alternatives − Evaluate each alternative and compare them using sensitivity analysis − Choose the alternative and implement it − Monitor performance and obtain feedback on implementation − Impact of decision-making process on future decisions Decision Tree Analysis − Decision Tree − Drawing a decision tree for Della Steam Plant Case Psychological Considerations in Decision-Making − Real-world connection Conclusions Short essay questions Essay Questions Group assignment Appendices: − Examples of use of scientific decision making in engineering − Example of how factors other than engineering influence the success/failure of a company − Example of use of decision tree − Summary of other decision support systems tools available Endnotes

4. Engineering Workplace Communication: Presentation and Writing − Introduction − Real-world connection − Characteristics of Engineering Communication − Real-world connection − Elements of Communication − Audience Characteristics − Real-world connection v

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− Form − Real-world connection − Organizational Context − Real-world connection − Content − Scenario The Communication − Preparation − Strategy − Creating the material − Real-world connection − Delivery − Staying Professional − Keeping the audience’s attention − Conveying your ideas − Follow-up − Real-world connection Summary Short Essay Questions Group Assignment References About the Authors

5. Team-Working in the Real-World − Introduction − Real-world connection − Definition of a team − Benefits of teams in a technical workplace − Real-world connection − Importance of teams − Real-world connection − Characteristics of high performing teams − Clarity in team goals − Work plan − Clearly defined goals − Real-world connection − Clear Communication − Beneficial team behaviors − Well defined decision procedures − Balanced participation

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− Established ground rules − Awareness of group process − Use of scientific approach − Real-world connection The Group Life Cycle − Stage 1: Infancy − Stage 2: Adolescence (“Storming”) − Stage 3: Adulthood (“Norming & Performing”) − Recycling through the process − Stage 4: Transforming − Real-world connection How does the Individual impact the team? The Team Toolbox – Resources to create high performing teams − The personal profile system Making group decisions Conducting Effective Meetings − Use agendas − Key meeting roles Group problems − Sources of conflict − Real-world connection Guidelines to ground rules Feedback Evaluating team performance − Health chart for orientation stage (forming) − Health chart for conflict & cohesion stage (Storming & Norming) − Health chart for performance phase − Health chart for dissolution phase (Adjourning) Diversity in teams Leadership in teams Strategies to reduce conflict Appendices: Team building activities − Categories − Entrapment − Paper chute − Water towers − Balloon castles Short essay questions Group assignment Source books for the activities About the author

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− Endnotes 6. Engineering Ethics − Introduction − Engineering Ethics Defined − Ethics defined − Real-world connection − Moral Judgments − Real-world connection − Understanding, Developing, and Justifying Moral Judgments − Ethical Universalism/Utilitarianism − Real-world connection − Kantianism − Real-world connection − Solving moral problems − Ethical codes of conduct − Real-world connection − Applying the Codes of Engineering Ethics to a problem − Application of NSPE code of ethics − Real-world connection − Application of Utilitarianism − Real-world connection − Application of Kantianism − Real-world connection − Discrepancies in ethical analysis − Real-world connections − The importance of ethics in engineering − Summary − Short essay questions − Student assignment − Group assignment − Glossary − Appendices − References − Code of Ethics − Endnotes Credits Bibliography Index

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Case Study CD-ROMs: (a) Della Steam Plant: Vibration in a power plant and engineers provide conflicting recommendations (b) Challenger STS 51-L: Design and Redesign of field joint of solid rocket booster (c) Lorn Textiles: Workers loses fingers cleaning a machine - Court case with Expert Witness testimony

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Chapter 1: Introduction

Introduction LEARNING GOALS Learn how engineers interact with scientists, mathematicians, and business people to develop products that transform lives Obtain an overview of a few engineering achievements of the 20th century Understand the contributions of engineering disciplines Learn about major professional societies Learn what is expected of engineering students in the 21st century Learn how multimedia case studies help meet the new skill expectations Understand how to analyze the case studies

1 SCIENCE, TECHNOLOGY, AND ENGINEERING The word “science” comes from the Latin word scientia, which means knowledge. A scientist identifies what is known about things and puts that knowledge into some kind of order. The word “technology” combines the Greek word ?e??? (combined art and skill) with the ending ~ology (the lore or the science of something). In its role as the science of making things, technology stands for the actual act of making things. “Engineering” comes from the Latin word ingenium, meaning mental power, or inventiveness. Engineers are technologists who are well schooled in science and can make effective use of it through creative design processes to create engines that transform the lives of people, animals, and plants1. Their scientific understanding makes it possible for engineers to make robust products; mathematics makes it possible to simulate the use of the products before mass-scale production; and manufacturing processes make it possible to produce large volumes of the product. Thus, engineers learn from different scientific disciplines and use that knowledge to solve practical problems. They then work with business

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Chapter 1: Introduction

people to market and sell these products, thereby making the products available to the general public. Profits are made, providing an incentive for other companies to come up with improved products, which in turn leads to competition and yet more innovations.

2 ENGINEERING ACHIEVEMENTS TRANSFORM LIVES Although engineers have been transforming lives throughout recorded history, these transformations have been particularly significant during the 20th century. Their contributions have revolutionized many different areas due to innovations such as electrification, automobiles, health technologies, nuclear technologies, air travel, water supply and distribution, electronics, radio and television, agricultural mechanization, computers, telephony, air conditioning and refrigeration, highways, spacecraft, the Internet, imaging, household appliances, petroleum and petrochemical technologies, lasers and fiber optics, and high performance materials. In this chapter, we focus on a few of these technologies: electrification, automobiles, health technologies, and nuclear technologies. You can refer to the publications listed at the end of the chapter to read more about the contributions of engineers to other disciplines2. In addition to discussing these four areas in general terms, we have included excerpts from the real-world showing in detail the impact of a few of the contributions. These examples show that the technologies by themselves are neutral; people can use them to benefit or to harm humanity. The examples from the real-world connections show that engineers need to be concerned about ethical issues when designing and creating new machinery and be able to communicate their concerns to their management and to the public when appropriate.

2.1: Electrification The first commercial power plant was inaugurated in 1882 by Thomas Edison (Figure 1), leading to massive changes in U.S. society. Many innovations, such as plans for electrifying rural regions of the world, the design of steam turbines, nuclear power, emission control, and plans to efficiently transmit and distribute power took place during the 20th century. The last hundred years have shown that the supply of reliable, affordable electricity is an essential prerequisite to economic and social progress. Engineers work together to design and build power plants that provide electricity to homes and companies. For example, electrical engineers design the generators that produce power and devise networks to transmit power, mechanical engineers design the boilers that burn coal and the steam turbines that drive the generators, chemical engineers design the

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nuclear reactors that drive generators, and civil engineers design the foundations and buildings that house the machinery used in a power plant. The challenges for the future stem from the fact that about two billion people worldwide still live without access to electric power. The need for an inexpensive means of generating electric power and transmitting it with minimal loss is a critical one. If electrification’s next century is to be as successful as its last, we need young men and women to pursue careers in engineering and science.

Figure 1: Thomas Edison (1847-1931)

2.2: Automobiles During the 19th century, suburbs tended to grow in a radial pattern dictated by trolley lines; the invention of the car has allowed them to develop anywhere within commuting distance of the workplace – frequently another suburb. Malls, factories, schools, fast-food restaurants, gas stations, and motels have spread out across our land with an everexpanding road network. Today’s version of daily life would be unthinkable without the personal mobility afforded by automobiles. Of the 10,000 or so cars that were on the road at the start of the 20th century, three-quarters were electric or had external combustion steam engines. However, the versatile and efficient gas-burning internal combustion engine power plant rapidly came to dominate the road. Engineers outside of the U.S. were often in the vanguard of invention, while Americans continued to excel in the details of manufacturing. The major innovations in automobile manufacturing were: assembly line manufacturing, self starters, and disk brakes in the 1910s, safety-glass windshields in the 1920s, front-wheel drive, independent front suspension, and automatic transmission in the 1930s, tubeless and radial tires in the 1940s, electronic fuel injection in the 1960s, and electronic ignition systems in the 1970s. Concerns about safety have led to the use of seatbelts and airbags in cars, computerized braking systems, onboard microprocessors to reduce

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polluting emissions, and new materials to make the components lighter without compromising structural strength. Hybrid cars, powered by both gasoline and electricity are already available. The automobile remains the most voracious consumer of cutting-edge technology and new inventions are constantly needed to let people enjoy nature and a lifestyle in the suburbs. However, although private ownership of automobiles is commonplace in industrialized countries, it is still a dream for many in developing countries. Your interest and inventions are needed to make automobiles more affordable and environmentally friendly. During your engineering education, you may have an opportunity to work with new automotive designs by participating in mini-Baja teams (Mini Baja® consists of three regional competitions that simulate real-world engineering design projects and their related challenges. Engineering students are requested to design and build an off-road vehicle that will survive the severe punishment of rough terrain and, in the East competition, water), solar car teams (where the purpose of the project is to design and build a car that runs on solar power and compete to win a 2,300 mile cross-country race), and Formula SAE cars (Figure 2 shows an entry in the annual Formula Society of Automotive Engineers competition to design, build and race an openwheel racer to rigorous specifications within a tight timeline. Teams must demonstrate production costs and manufacturability, as well as market their design on its merits before proving their machine's abilities on the race track.)

Figure 2: Formula SAE Car, Auburn University, 2004

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Let us now review some examples from the real-world related to the areas of achievements discussed in this section. Real-World Connection I: Constructive Benefits of Engineering Technologies:

(1) Before the widespread use of refrigeration and air conditioning, only fresh foods that could be grown locally were available. Meat was bought daily, milk was delivered daily, and most foods perished in 2 to 3 days. Summers in southern cities of the U.S. and the tropical regions in the world were unbearable. By the end of the 20th century, all that had changed. Many families concentrate the entire week’s food shopping into one trip to the market, stocking the refrigerator with perishables that last a week or more. As a result of air conditioning, people started moving south, reversing a northward demographic trend that had continued throughout the first half of the 20th century. Most new homes and businesses in the U.S. are now built with central air conditioning and heating systems, thereby making the environment more controlled and comfortable for both work and pleasure. In fact, the advent of more effective kitchen appliances, along with refrigeration, has reduced the drudgery of household work significantly. The incorporation of hightech advances into the realm of classic functions makes this improvement in household appliances one of the great achievements of modern engineering. Solar Panels for generating electricity

Solar water

Figure 3: Use of solar energy in German homes

(2) German power companies encourage home owners to install solar panels on the roof of homes (Figure 3) and provide conversion

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devices that convert the DC current produced into AC current that can be used to supplement the external supply. A home owner at Boblingen, Germany, proudly proclaims that the use of the solar panels has enabled him to produce more electricity per year than his family consumes. The family is able to sell their excess power to the power company, thereby bringing in revenue to the home. A substantial investment is required in order to purchase and install the solar panels and associated electric meters, which are expensive even when subsidized by the government. In addition, this home has installed water tubes which use solar power to supplement the supply of hot water in the home. However, the country benefits since it is able to use a naturally occurring source, the sun, in order to generate power. Similarly, other countries use windmills to harness power. Others use wave power from the oceans to generate power3. Destructive Potential of Engineering Technologies:

(1) The camp at Auschwitz, Germany (Figure 4), contained four huge gas chambers and adjoining crematoria that gave it a capacity to execute 6,000 people and dispose of their corpses by burning them each day during 1942-1944. This is a striking example of how electricity can be used for destructive purposes. These buildings, viewed from a short distance, were not sinister-looking places at all. They were surrounded by well-kept lawns with flower borders; the signs at the entrances merely said BATHS. The unsuspecting Jews and other “undesirables” thought that they were simply being taken to the baths for the delousing which was customary at all camps. To the accompaniment of light music, the men, women, and children were led into the “bath houses,” where they were told to undress preparatory to taking a “shower.” Once about two thousand of them were packed into the chamber, the massive door was slid shut, locked, and hermetically sealed. Orderlies from above dropped amethyst-blue crystals of hydrogen cyanide, or Zyklon B, into mushroomshaped vents and then sealed the vents. The naked prisoners below would be looking up at the showers from which no water spouted or perhaps at the floor wondering why there were no drains. Twenty or thirty minutes later when the huge mass of naked flesh had ceased to writhe, pumps drew out the poisonous air, the large door was opened, and the men of Sonderkommando took over. These were Jewish male inmates who were promised their lives and adequate food in return for performing the most ghastly job of all. Protected with gas masks and rubber boots and wielding hoses they went to work. Their task was to remove the blood and defecations before dragging the clawing dead apart with nooses and hooks, the prelude to the ghastly search for gold and the removal of teeth and hair which were regarded by the Nazis as strategic materials. This was followed by a journey by lift or railwagon to the furnaces, the mill that ground the clinker to fine ashes, and 6

Chapter 1: Introduction

the truck that scattered the ashes in the stream of the Sola. The exact number of people killed by gassing and burning is not known, although estimates vary from 600,000 to 2,500,000. Before the postwar trials in Germany, it had been generally believed that the mass killings were the work of a relatively few fanatical S.S. leaders. However, the court records leave no doubt of the complicity of a number of German businessmen, bankers, engineers, and smaller entrepreneurs who were responsible for building and maintaining the gas chambers and crematoria4.

Figure 4: View of the walled entrance to the gas chamber in the main camp of Auschwitz (Auschwitz I)5,6

(2) U.S. Congress established the New Source Review (NSR) permitting program as part of the 1977 Clean Air Act Amendments. NSR is a preconstruction permitting program that serves two important purposes. First, it ensures that air quality is not significantly degraded from the addition of new and modified factories, industrial boilers and power plants. In areas with unhealthy air, NSR assures that new emissions do not slow progress toward cleaner air. In areas with clean air, especially pristine areas like national parks, NSR assures that new emissions do not significantly worsen air quality. Second, the NSR program assures people that any large new or modified industrial source in their neighborhoods will be as clean as possible, and that advances in pollution control occur concurrently with industrial expansion. NSR permits are legal documents that the facility owners/operators must abide by. The permit specifies what construction is allowed, what emission limits must be met, and often how the emissions source must be operated7.

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On July 21, 2004, the New York Attorney General and lawyers from seven other states sued the nation’s largest utility companies, demanding that they reduce emissions of the gases thought to be warming the earth since they pose a threat to health, the economy, the nation’s health resources, and our children’s future. Scientists have strong evidence to show that carbon dioxide and a number of other gases act like the roof of a greenhouse. Energy from the sun passes through easily, but some of the warmth that normally would be radiated back to space is trapped by the gases, warming the planet. Note that if there were no greenhouse gases at all in the atmosphere, we would freeze. The earth’s average temperature would be a chilly 2°F, not the relatively balmy 57°F it is today. In the past 100 years, however, global temperatures have risen by 1°F. Scientists expect the average global temperature to raise an additional 2 to 6°F over the next 100 years. This is likely to lead to changes in many of the world’s habitats and ecosystems, raising the sea level, and causing crops to fail in many areas. Climate change is a greater threat to the world than terrorism, argues Sir David King, chief science adviser to the U.K.’s prime minister, Tony Blair: “Delaying action for a decade, or even just years, is not a serious option.” Engineers play a large role in controlling the greenhouse gases since they design the machinery that emits the gases that lead to the greenhouse gas effect8. Future Challenges for Engineers:

(1) The International Energy Agency says the world will need almost 60% more energy in 2030 than in 2002, and fossil fuels will still meet most of its needs. We depend on oil for 90% of our transport, and for food, pharmaceuticals, chemicals and the entire bedrock of modern life. But oil industry experts estimate that current reserves will only last for about 40 years9. Nearly a third of today's world population (6.1bn people) have no electricity or other modern energy supplies, and another third have only limited access. About 2.5 billion people have only wood or other biomass for energy - often bad for the environment, almost always bad for their health. That's the second problem - understandably, they want the better life that cheap and accessible energy offers. But if everyone in developing countries used the same amount of energy as the average consumer in high income countries does, the developing world's energy use would increase more than eightfold between 2000 and 2050. The signs are already there. In the first half of 2003 China's car sales rose by 82% compared with the same period in 2002. Its demand for oil is expected to double in 20 years. In India sales of fuel-guzzling sports utility vehicles account for 10% of all vehicle purchases, and could soon overtake car sales. And the developed world is not standing still. In the last decade, US oil use has increased by almost 2.7 million barrels a day - more oil than India and Pakistan use daily altogether.

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Now, the energy for our fuel, heat and light travel vast distances to reach us, sometimes crossing not only continents but political and cultural watersheds on the way. These distances create a whole host of challenges from oil-related political instability to the environmental risks of longdistance pipelines. But even if we could somehow indefinitely conjure up enough energy for everyone who wants it, without risking conflict and mayhem in bringing it back home, there would still be an enormous problem - how to use the energy without causing unacceptably high levels of damage to the natural world. The most obvious threat is the prospect that burning fossil fuels is intensifying natural climate change and heating the Earth to dangerous levels. But forget the greenhouse effect if you want. There are still real costs that go with the quest for and use of energy: air and water pollution, impaired health, acid rain, deforestation, the destruction of traditional ways of life. It's one of the most vicious circles the planetary crisis entails. Cheap, available energy is essential for ending poverty: ending poverty is key to easing the pressures on the planet from the abjectly poor who have no choice but to eat the seed corn. But the tank is running dry. It doesn't have to be like this. Our energy use is unsustainable, but we already know what a benign alternative would look like. All we have to do is decide that we will get there, and how. It will make vastly more use of renewable energy, from inexhaustible natural sources like the Sun and the seas10. Here is where engineers can make a strong difference by finding alternate means of generating energy and at the same time minimizing environmental damages. (2) According to an article in Businessweek, General Motors Corporation (GM), with sales of $193 billion, stands as an icon of fading American industrial might11. GM has lost a breathtaking 74% of its market value – some $43 billion – since spring of 2000. Underinvestment has left it struggling to catch up in technology and design. It can’t begin to make the investments necessary to match the Koreans on price, the Japanese on quality, and the Europeans on performance. Since 1995, General Motors, Ford, and Chrysler have seen their share of the U.S. market fall from 73% to about 58% while Toyota, Nissan, and Honda have raised their share from 18% to 28%. GM and Chrysler will be at least seven years behind Toyota once their first full hybrids debut over the next couple of years. Hybrids are a key cog in Toyota’s strategy to become the world’s larges and most successful carmaker. In 2003, Toyota surpassed Ford to become the world’s secondlargest auto manufacturer. And the company’s ambition to grab 15% of the global auto market sometime after 2010 would put it in a position to overtake GM, which has been No. 1 since 193112. Hybrid cars have become popular for reasons other than better gas mileage – funky instrumentation, cutting edge technologies, etc. Ford Motor Company, the Florida Department of Environmental Protection 9

Chapter 1: Introduction

(DEP), TUG Technologies Corporation, Delta Airlines and the Greater Orlando Aviation Authority (GOAA) have showcased a hydrogen fuelled tow tractor outside of City Hall in downtown Tallahassee, Florida during April 200513. During May 2005, Norway's Minister of Transport and Communication, Torild Skogsholm, announced that some NOK 50 million is earmarked for testing alternative fuels and environmentally friendly technology. About NOK 30 million of this will go to the Hydro-led HyNor project - which wants to build a hydrogen highway between the cities of Oslo and Stavanger. Raising fuel-economy standards for today's cars, increasing incentives for hybrid-gas-electric cars, funding research to allow "plug in" hybrid cars powered primarily by electricity and promoting alternative fuels like ethanol and biodiesel are other technologies available that will reduce dependence on oil14. A future possibility is a hydrogen car which uses hydrogen (usually obtained from decomposition of methane, and sometimes from water using electrolysis) as its primary source of power for locomotion. The main benefit of using pure hydrogen as a power source is that it uses oxygen from the air to produce only water vapor as exhaust, moving the source of atmospheric pollution from many cars back to a single power plant, where it can be more easily dealt with. Hydrogen is not a free source of energy like fossil fuels, but a carrier, much like a battery. Unlike fossil fuels which can take millions of years to replenish, it is renewable in a realistic time scale. The largest apparent advantages are that it could be produced and consumed continuously as well as cleanly using solar and nuclear power for electrolysis. However, current production methods, usually utilizing hydrocarbons, are more pollutive than direct consumption of fossil fuels. Therefore it appears the main advantage of conversion to hydrogen powered cars will not be an immediate reduction of pollution, but the ease at which people will adapt to the eventual lack of fossil fuels. However, the most efficient use of hydrogen involves the use of fuel cells and electric motors instead of a traditional engine. Hydrogen would react with oxygen inside the fuel cells, which would produce electricity to power the motors15. It is quite possible that you will be working on some of these technologies and produce automobiles that will remove dependence on oil and reduce the emissions.

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2.3: Health Technologies Another area where engineering has had a major impact is in health technologies. In 1900, the average life expectancy in the US was 47 years; by 2000 it was nearing 77 years. That remarkable 30-year increase was the result of a number of factors, including the creation of a safe water supply. However, no small part of the credit should go to the century’s wide array of medical advances in diagnosis, pharmaceuticals, medical devices, and other forms of treatment 16. All through the century, improvements in imaging techniques wrought by the development of new systems – from x-ray machines to MRI (magnetic resonance systems) scanners – have enabled doctors to diagnose illnesses more accurately by providing a more exact view of the body. Computers and microelectronic components have made it possible for bio-engineers to design and build prosthetic limbs that better replicate the mechanical actions of natural arms and legs. First-generation biomaterials – polymers, metals and acrylic fibers among others – have been used for almost everything from artificial heart valves and eye lenses to replacement hip, knee, elbow, and shoulder joints. Engineering has had a major impact in the operating room, by developing devices such as the operating microscope, fiber-optic endoscope, and the laparoscope. These devices allow doctors to see and work inside the body without the need to surgically create large access openings, thus speeding healing time and lessening complications. Radiological catheters not only allow surgeons to see inside blood vessels, but are also used to clear blocked arteries. Lasers are now a mainstay of eye surgery and are also routinely employed to create incisions elsewhere in the body, to burn away growths, and to cauterize wounds. A robotic surgeon prototype has been developed that translates a surgeon’s hand movements into more fine-tuned actions of robotic arms holding microinstruments. Health care technology and bioengineering are interdisciplinary subjects. They require ideas, people, and knowledge from all the physical sciences, all the natural sciences, all the medical sciences, all engineering disciplines, and all the photonic sciences. This diverse group of practitioners, converging under the umbrella of bioengineering, will shape the future, leading us to the greatest engineering achievements of the 21st century17. You will have an opportunity to participate in this area by pursuing your studies in the field of engineering.

2.4: Nuclear technologies Although a cloud of doom has shadowed the future since the first atomic bomb was tested in the New Mexico desert in July 1945, the process that led to that moment also paved the way for myriad technologies that have improved the lives of millions around the world. It 11

Chapter 1: Introduction

all began with perhaps the most famous formula of all – Albert Einstein’s deceptively simple mathematical expression describing the relationship between matter and energy: E=mc2, or energy equals mass multiplied by the speed of light squared. The theory supporting this equation demonstrates that under proper conditions mass can be converted to energy and, more significantly, that a very small amount of matter is equivalent to a very great deal of energy. Figure 5 shows the entrance to the Albert Einstein museum exhibit at Ulm, Germany. The two sculptures at the entrance have been designed to pay homage to Einstein on both a personal and professional level, reminding us of his famous shock of unkempt hair and also showing his formula E=mc2.

Figure 5: Sculpture showing E=mc 2 in front of Exhibit on Albert Einstein, Ulm, Germany, birthplace of Einstein, in July 2004

Physicists Enrico Fermi, Lise Meitner and Otto Frisch realized that splitting uranium atoms could lead to the release of large amounts of energy. When an atom splits it releases other neutrons, which under the right conditions could go on to split other atoms in a chain reaction. This would lead to the steady generation of energy in the form of heat (used in nuclear power plants to produce power around the world) or a huge explosion (used in the nuclear bombs that were dropped on the Japanese cities of Hiroshima and Nagasaki in August 1945, destroying the cities and killing an estimated hundred thousand people 18). Unlike coal and oil burning power plants, nuclear plants release neither air pollutants nor the greenhouse gases that contribute to global warming. Engineers worked together with scientists to build nuclear bombs, nuclear power plants, and nuclear medicine equipment during the 20th century. Some 400 nuclear 12

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plants provide electricity around the world, including 20% of our energy in the U.S., 80% in France, and more than 50% in Japan. One ton of nuclear fuel produces the energy equivalent of 2 million to 3 million tons of fossil fuel. The terrorist attacks of September 2001 raised the ante for nuclear security, and the year 2002 brought new challenges to international efforts to prevent the spread of nuclear weapons. Nuclear power has become economically competitive while simultaneously operating more safely than ever before19. You as an engineer might be able to contribute enormously in this area in the future. We will now present a few real-world connections related to health and nuclear technologies. These again show that the technologies can be used to either benefit or harm people. Real-World Connection II: Constructive Benefits of Engineering Technologies:

Cancer kills more people than AIDS, tuberculosis and malaria put together. As a result of increasing life expectancy, cancer is expected to increase worldwide from the current 10 million new cases per year (of which 5.7 million are in developing countries) to 15 million new cases in 2015 (with 10 million of these in developing countries). Worldwide, more than 2 million people work in the field of medical radiation. Cancer is cured in about 45% of the patients with access to the best current treatment, of which radiation oncology is a major and totally accepted modality. A single radiotherapy machine (Figure 6) can deliver nearly a million treatments during its 20 to 30 year lifespan20. Radiotherapy, also called radiation therapy, is the treatment of cancer and other diseases with ionizing radiation. Ionizing radiation deposits energy that injures or destroys cells in the area being treated (the "target tissue") by damaging their genetic material, making it impossible for these cells to continue to grow. Although radiation damages both cancer cells and normal cells, the latter are able to repair themselves and function properly. Radiotherapy may be used to treat localized solid tumors, such as cancers of the skin, tongue, larynx, brain, breast, or uterine cervix. It can also be used to treat leukemia and lymphoma (cancers of the blood-forming cells and lymphatic system, respectively). The high energy rays used for radiation therapy can come from a variety of sources. The doctor may choose to use x-rays, an electron beam, or cobalt-60 gamma rays. Some cancer treatment centers have special equipment that produces beams of protons or neutrons for radiation therapy. The type of radiation the doctor decides to use depends on the kind of cancer and how far into the body the radiation must penetrate to reach the tumor. High-energy radiation is used to treat many types of cancer, while low-energy x-rays are used to treat some kinds of skin

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diseases. Engineers have the potential to contribute substantially to the progress of nuclear medicine.

Figure 6: Radiotherapy Equipment21 Destructive Potential of Engineering Technologies:

A report from the International Atomic Energy Agency states that in terms of its scale and the damage caused, the accident at the Chernobyl nuclear power plant on 26 April 1986 was one of the most serious accidents to have occurred in the entire history of the utilization of atomic energy (Figure 7). From the viewpoint of radioactive contamination of the biosphere, it can be ranked as a global disaster. The accident involved the discharge of substantial quantities of radioactive substances into the environment. In the area affected (including the evacuation zone), 76,100 km2 were contaminated with caesium-137 at a level of between 1 and 5 Ci/km2 and 28,100 km2 at a level of above 5 Ci/km2. These areas have a population of some 4 million, more than 800,000 of whom still live in regions where the contamination level is above 5 Ci/km2.

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Figure 7: Chernobyl: aftermath of the explosion and meltdown22

The accident disrupted the previous way of life and economic activity in various parts of the RSFSR, Ukrainian SSR and Byelorussian SSR. In just the first year after the accident, 144,000 hectares of farm land were taken out of use, forestry work was stopped on an area of 492,000 hectares, and many industrial and agricultural enterprises ceased operations. In the spring and summer of 1986, 116,000 people were evacuated from the danger zone. As a result of the accident or of their work in dealing with its immediate consequences, 30 people were killed or died from acute radiation sickness and many received high doses of radiation. Work was carried out to protect reservoirs from radioactive contamination and a series of special hydraulic installations and traps were built to prevent the shifting of radioactive silt. Notwithstanding the enormous efforts - unprecedented anywhere else in the world - to deal with the after-effects of the accident at the Chernobyl nuclear power plant and despite the considerable financial, material and technical resources committed, a reliable system for ensuring the safety of people affected by radiation is still not in place. Among the 1.5 million people (including 160,000 children up to the age of seven at the time of the accident) living in the zone most heavily contaminated by iodine-131, the doses of radiation absorbed in the thyroid gland were as follows: up to 30 rad in 87% of adults and 48% of children; between 30 and 100 rad in 11% of adults and 35% of children; and more than 100 rad in 2% of adults and 17% of children. Clinical monitoring and thorough check-ups have, along with migration processes (departure of young persons from contaminated areas), helped to increase the rate of detection of diseases and functional disorders among the population. Many of these are indirect consequences of the accident, for example, inferior living conditions due to the safety restrictions imposed on the utilization of natural resources and the consumption of certain local food products. According to data from

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clinical tests, the diseases most commonly found in the affected children are respiratory diseases, chronic infections of the tonsils and digestive organs, disorders of the nervous system, cases of adenoids and dental caries. An increase in the number of children with hyperplasia of the thyroid gland has been observed in clinical testing of people living in the forest-belt areas of the Byelorussian SSR, the Ukrainian SSR and the RSFSR, where levels of trace elements in the environment are low (and where goiter cases are endemic). Surveys have shown a definite reduction since the second quarter of 1986 in consumption of the region’s main food products. The energy value of the diet has fallen and less fruit, berries and vegetables are being consumed. The supply of animal protein has also declined. Owing to restrictions on the consumption of local food products over a long period, the population has not been fully supplied with the nutrients that are physiologically necessary for metabolic processes and to increase the organism's resistance to the effects of adverse environmental factors. The effects of shortages in the supply of food products (children's prepared foods, fermented-milk products, fruit and vegetables), much reduced periods of breast feeding, limited mobility and shorter time spent out-ofdoors are apparent above all in the development of rachitis among children, an impairment of their defense mechanisms and adaptiveness, etc. Thus, the clinical observations and selective expert evaluations suggest that the worsening public health situation in the monitored areas may be seen as a direct result of the combined effects of the Chernobyl disaster. 23 Future Challenges for Engineers

(1) The U.S. Air Force is facing a crisis of dire proportions if it cannot replace the thousands of scientists and engineers eligible to retire by 2005, according to the leader of the organization primarily responsible for research and development. Gen. Lester L. Lyles, commander of Air Force Materiel Command, says that about 30 percent of the Air Force’s scientists and engineers will be eligible to retire in the coming years. That shortage could have a significant impact on the Air Force’s ability to complete its transformation mission, he said. “This is a dire situation for us,” he explained, “because, particularly in our civilian ranks, we had downsizing and hiring freezes, so we did not bring anyone in through the front door to ‘prime the pump.’ Now (our) workforce is an aging workforce. “Part of the hallmark of transformation for the United States Air Force embodies science, technology and innovation,” Lyles said. “We always tout ourselves as being the high-tech service,” he said. “People think of us as space systems, satellites (and) stealth technology. We pride ourselves on that; it’s our legacy.” But, he added, to continue that legacy into the 21st century, the service has to seek out new scientists and engineers. “We need to make sure we don’t back away from those very 16

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important disciplines,” he said. “The only way to do that is to continue to bring in talent — we don’t want to just rely on industry or contractors to do the engineering for us. We need to do it for ourselves, (just) as we have always done in the past.24” (2) From what U.S. soldiers eat, to how they communicate and what types of weapons they fire, the Army is hoping science and engineering can make GIs better informed, more lethal and harder to injure and kill. Some of the technologies can be quite exotic. Take, for instance, the British-designed Objective Individual Combat Weapon, in the early stages of development. It's a lightweight do-it-all weapon, intended to replace M-16 rifles, M4 carbines and M203 grenade launchers. It is said to "shoot around corners," because it is designed to fire shells that can be primed to explode at a determined distance, such as over an enemy ditch, or just past a wall. Then there's the "Transdermal Nutrient Delivery System" which is being designed to transmit essential vitamins and nutrients through the skin by an osmotic process, similar to a nicotine patch, providing soldiers nutrition in extreme circumstances. It's "pushing the limits of existing food technology," according to the Army. The armor-plated SmarTruck concept, developed at the Army's National Automotive Center in conjunction with the private sector, might enable the occupants to disorient the enemy with its headlights, fend off attackers with electrified door handles, launch grenades and emit smoke screens to obscure a pursuer's line of vision. It could be many years before any of those technologies might be fielded, if they ever are. But one of the Army's more pressing initiatives is the "Land Warrior" system, a new look for soldiers, intended to integrate soldiers in the field into a networked, computerized war fighting system. The 79-pound uniform would include a new helmet assembly, more protective clothing, an improved rifle, and a computer and radio, intended to significantly improve communications, night vision, weaponry, and armor protection, among other things. Land Warrior's most revolutionary aspect, perhaps, is its communications system. Each soldier will be linked into a computer network, accessed through a pop-up display attached to each helmet. The display would provide a topographical map that indicates a soldier's position and those of fellow fighters and suspected enemies, with the aid of global positioning satellites. Troops would communicate quietly through headsets25. (3) New discoveries are taking place in the realm of nanotechnology. The standard unit of measurement, a nanometer, is a billionth of a meter – barely the size of 10 hydrogen atoms in a row. In this universe entire dramas can unfold on the tip of a pin, and a sneeze packs the punch of a raging hurricane. Some 1,200 nano startups have emerged around the world, half of them in the U.S. An example of this technology is DuPont’s new Voltron, a super-durable wire coating used in 17

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heavy-duty electric motors. Previous generations of such coatings, seen through a powerful microscope, showed that the chemical components were loosely packed, with irregular spaces between the molecules. This structure leads the material to break down more easily. Voltron’s nanoscale particles fill in many of the voids, making a strong insulator that lasts longer. In DuPont’s tests on electric motors, a coating of Voltron extended the time between failures by a factor of 10, to more than 1,000 hours. And since such motors consume an estimated 65% of U.S. electric power, lengthening their life and efficiency promises big energy savings26. The technology of tiny is on track to merge the different sciences and at the atomic level the boundaries among biology, chemistry, physics, and electronics lose much of their meaning. Venture capitalists have invested $1 billion in nano companies, and government funding is holding steady at $4.7 billion annually, nearly equally divided among Asia, Europe, and North America27. It is quite possible that the revolution brought on by the use of nano materials will be as sweeping and vast as that by the silicon chip during the 1950-2000s.

2.5: Other Engineering Innovations The contribution of engineering to electrification, automobile, health, and nuclear technologies during the 20th century is substantial, as shown above. In addition significant innovations have been made in the last hundred years due to the introduction of airplanes, spacecraft, water supply and distribution systems, highways, high performance materials, electronics, computers, the Internet, telephony, radio, TV, imaging, petroleum and petrochemical technologies, textiles, and agricultural mechanization. Different disciplines of engineering have emerged as part of this progress, and engineers may now choose to work in any of a wide range of specialized areas.

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3 ENGINEERING DISCIPLINES Engineering is composed of many fields of specialization. If you looked at curriculum in an engineering school during the 1950s, you might have noticed only a few fields of engineering such as electrical, civil, and mechanical. New fields of engineering have been added as innovations demand new cadre of engineering graduates to join industry. Change is constant in engineering industry and this is reflected in the engineering curriculum. As you look around your home and work, you will find a lot of equipment and services that use devices that have been created by engineers.

Figure 9: Golden Gate Bridge, San Francisco28

The largest of all engineering branches, electrical engineering comprise the largest of all engineering disciplines (25%) and deals with devices that are involved in changing energy from one form to another. Electrical engineers specialize in power transmission, designing and building electricity generators, transformers, and electric motors. They may also design radios, televisions, computers, antennas, controllers, and communications equipment. These engineers contributed significantly in developing many of the discoveries connected with electronic equipment such as computers, telephones, and televisions. A new field within electrical engineering is wireless engineering that has developed in response to the need for engineers who can work effectively in the mobile

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world. For example, the computers, phones and other inventions designed by these engineers help us communicate effortlessly with one another irrespective of distances. Civil engineering is one of the oldest engineering disciplines since it concerns itself with design and construction of public infrastructure and services. Civil engineers design and supervise the construction of bridges (Figure 9), airports, dams, buildings, canals, water systems, and sewage systems. In addition, they conduct research on the surface content of roads (such as tar, asphalt, etc.), study of skyscraper disasters, structural integrity of buildings, etc. The civil engineering includes specialized areas of practice such as structural engineering, construction engineering and management, transportation engineering, geotechnical engineering, hydraulic and water resources engineering, and environmental engineering. Buildings, bridges, roads, and other infrastructure designed by these engineers help us stay in comfortable places during the day and night and help us travel from one part of the country to the other quickly and efficiently. Mechanical engineering is a very broad of activity and is involved whenever any machinery is being designed and constructed. These engineers design and manufacture engines, vehicles, machine tools, power plants, consumer items, and systems for heating, air conditioning, and refrigeration. The machines designed by these engineers move and lift loads, transport people and commodities, and produce energy. Chemical engineering is concerned with the design and operation of processing plants that convert materials from one form to another using chemical processes. These engineers design equipment to process petroleum, coal, ores, corn and/or trees into refined products such as gasoline, heating oil, plastics, pharmaceuticals, and paper. For example, they are responsible for converting the crude oil into petrol, kerosene, fertilizers, and many other products that are used every day by the public. Industrial engineering deals with the efficient, safe, and effective design of plants and offices. These engineers develop, design, install, and operate integrated systems involving people, machinery, and information to produce either goods or services. They are best known for designing and operating the assembly lines that are widely used in manufacturing. For example, the impact of their work is felt by us when we go to crowded places such as stadiums, but are able to safely and comfortably enjoy watching games along with thousands of others. Aerospace engineering deals with all aspects of flights of machinery at different speeds and altitudes. They design vehicles that operate in the atmosphere and in space, such as airplanes and space crafts. For example, they have designed drone aircraft that fly unmanned missions over hostile countries and can drop missiles on targets thereby saving direct combat operations by troops. Computer science engineering involves design and implementation of digital systems and integration of computer technology into other 20

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applications. They design and build computers, network them together, write operating system software, and write application software. For example, the software that was used to write the materials in this text was developed by computer science engineers. Biochemical engineers combine their knowledge of biological processes with chemical engineering to produce food and pharmaceuticals and to treat wastes. Materials engineers work with different materials such as ores, ceramics, plastics, composites, and metals in order to develop materials that can be used by other engineers. Agricultural engineers help farmers efficiently produce food and fiber. Nuclear engineers design systems that employ nuclear energy. Architectural engineers combine the engineer’s knowledge of structures, materials, and acoustics with the architect’s knowledge of building esthetics and functionality. Biomedical engineers combine traditional engineering fields with medicine and human physiology to develop prosthetic devices, artificial kidneys, pacemakers, and artificial hearts. The above fields of engineering are well known for developing products and processes that are used every day by people at home and offices. Frequently, people don’t even know that these engineers were involved in the development and construction of the products that people enjoy so much and use constantly. Engineering technologists bridge the gap between engineers and technicians. Engineering technicians receive a 2-year associate’s degree and perform hands-on applications with less emphasis on theory. Finally, craftsmen such as machine shop workers and mechanics, who often receive no formal schooling beyond high school, are generally responsible for transforming engineering ideas into reality. They may work closely with more highly trained engineers to make the engineers’ ideas work in the real world 29.

3.1: Engineering Societies Once you leave school and start working in a company or a government agency, you may feel isolated since others in the organization come from other disciplines and you may have fewer opportunities to learn about new developments in your discipline. You can stay in contact with your discipline and develop a professional network by joining professional societies. The primary function of professional societies is to exchange information between members. This is accomplished by publishing technical journals, holding conferences, maintaining libraries, teaching continuing education courses, and providing employment statistics. Some professional societies assist members to find jobs or advise government about engineering technologies. They also take a leadership role in defining the future of engineering education as dictated by the needs of industry, the government, and others. In the course of your 21

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engineering career, you might want to become a member of one or more professional societies. It will be worthwhile for you to get to know these societies and become members in these societies even while you are in college. Thereby, you will become familiar with the valuable services they provide and would have already started forming a professional network even before you graduate. Table 1 lists the names of some of the major engineering professional societies and their web addresses. Many of the societies promote research and practice in specific fields; others promote engineering profession in general; and others help network among specific minority groups. Most of the societies hold annual and regional conferences where members can make presentations and interact with other members. In addition, they also publish journals, newsletters, and magazines that help the members learn about new research results and help them translate the research into new products/services. Most of the societies are non-profit organizations run by members who volunteer their services for the betterment of the profession. Many of them offer inexpensive student memberships so that you can start participating in the organizations and begin to contribute to the profession even while in school.

3.2: Professional Registration In order to protect the public from individuals claiming to be engineers without sufficient credentials, all the 50 states in the U.S. have passed legislation to register engineers and provide licenses to them. The language and specific provisions of state engineering licensure laws vary from state to state, but virtually every state law outlines a four-step process under which an applicant who has (1) a four-year engineering degree in a program approved by the state engineering licensure board, (2) four years of qualifying engineering experience, and who successfully completes (3) the eight-hour Fundamentals of Engineering (FE) Examination, and (4) the eight-hour Principles and Practice of Engineering (PE) Examination will be licensed as a professional engineer30. Almost all states now permit engineering graduates to take the first part of the exam covering the fundamentals of engineering at the time of or several months before graduation from an engineering curriculum approved by the state board. A few states permit individuals without degrees who have four or more years of engineering experience to take the fundamentals of engineering examination. Passing this exam legally certifies the candidate as an "Engineer-In-Training" (EIT), or an "Engineer-Intern" (EI). Generally four more years of experience are required before the EIT or EI is permitted to sit for the PE exam. Passing the PE exam qualifies the candidate as a licensed professional engineer.

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Like doctors who have passed the medical boards or lawyers who have passed the bar exam, professional engineers (PEs) have fulfilled the education and experience requirements and passed the rigorous exams that, under state licensure laws, permit them to offer engineering services directly to the public. PEs take legal responsibility for their engineering designs and are bound by a code of ethics to protect the public health and safety. Drawings and designs that are prepared for external clients can often by signed off only by PEs. They command a premium in salaries and benefits compared to other engineers in many companies due to their diligence in becoming a PE and maintaining that qualification by taking continuing education classes.

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Professional Societies (a) Promoting Specific Fields of Study/ Practice Institute of Electrical and Electronics Engineers American Society of Civil Engineers American Society of Mechanical Engineers American Institute of Chemical Engineers Institute of Industrial Engineers American Institute of Aeronautics and Astronautics Association for Computing Machinery American Society of Environmental Engineers American Society of Agricultural Engineers American Society of Naval Engineers American Society of Safety Engineers National Institute of Ceramic Engineers Society of American Military Engineers Society of Automotive Engineers Society of Manufacturing Engineers Society for Mining, Metallurgy, and Exploration Society of Petroleum Engineers American Society of Heating, Refrigerating, and Air-Conditioning Engineers American Nuclear Society Minerals, Metals, and Materials Society American Academy of Environmental Engineering

Web Address www.ieeeusa.org www.asce.org www.asme.org www.aiche.org www.iienet.org www.aiaa.org www.acm.org www.enviro-engrs.org www.asae.org www.navalengineers.org www.asse.org www.acers.org www.same.org www.sae.org www.sme.org www.smenet.org www.spe.org www.ashrae.org www.ans.org www.tms.org www.aaee.net

(b) Promoting Technological Welfare of Nation National Academy of Engineering National Society of Professional Engineers American Society for Engineering Education

www.nae.edu www.nspe.org www.asee.org

(c) Promoting Specific Groups National Society of Black Engineers American Society of Engineers of Indian Origin Society of Hispanic Professional Engineers Society of Women Engineers

www.nsbe.org www.aseio.org www.shpe.org www.swe.org

Table 1: Information on Engineering Professional Societies

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4 IMPORTANCE OF ENGINEERING DURING THE 21ST CENTURY The influence of engineering during the 20th century was profound and this influence will only increase during the 21st century as engineering innovations are widely applied across national, religious, ethnic, and racial boundaries. The design of a bridge across a river in London, U.K., is very similar to that used in Kolkatta, India or in Manhattan, U.S. They are designed to bear a certain traffic load and as long as that load is not exceeded and it is well maintained, it will serve its purpose well even though it was built in the 1900s. Bridges change peoples’ lives by making it possible for them to cross to the other shore of a river in a matter of minutes versus the hours needed when crossing the same stretch of water by swimming or by boat. Similarly the design of a railway station, space earth station, airports or large automobile plant, whether in South Africa, Chile, India, the U.K., the U.S., or any other country, is very similar. There are only a few global firms that design such structures and there are many similarities among them. It will be to the credit of the engineers working on the projects if the designs change to some extent based on the regional culture and preferences of the local inhabitants. Without engineering feats being accepted as a fact of life by a large number of people, it is not possible for large numbers of people to assemble in the same place, such as skyscrapers, airports, football stadiums, or other large buildings. The benefits of engineering are also felt on a humans scale as elderly people use hearing aids, undergo cataract surgeries, wear dentures, and use medical procedures to prolong their lives. People benefit from the products of engineering each day and they are becoming more and more dependent on these products. The perils of engineering are also spreading; a white powder mailed to an address in the U.S. killed several people and closed down the mail operations in major cities for days. There is a strong fear that weapons of mass destruction might be available to leaders of so-called “rogue” nations, who may not hesitate to use them indiscriminately. A bomb, missile, or plane hitting a bridge across the Tigris River in Baghdad, Iraq, or the World Trade Center in New York has the ability to destroy the lives of many citizens who happen to be crossing the bridge or using the building. Even as stem cell research could lead to cures to many deadly diseases, there is a fear that it leads to destruction of embryos. A stem cell is a primitive type of cell that can be coaxed into developing into most of the 220 types of cells found in the human body (e.g. blood cells, heart cells, brain cells, etc)31. Some researchers regard them as offering the greatest potential for the alleviation of human suffering since the development of antibiotics32. Over 100 million Americans suffer from diseases that may eventually be treated more

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effectively with stem cells or even cured. These include heart disease, diabetes, and certain types of cancer. Stem cells can be extracted from very young human embryos -typically from surplus frozen embryos left over from in-vitro fertilization procedures at fertility clinics. There are currently about 100,000 surplus embryos in storage. However, a minority of pro-lifers and a majority of pro-life organizations object to the use of embryos. They feel that a fewdays-old embryo is a human person. Extracting its stem cells kills the embryo -- an act that they consider murder. Stem cells can now be grown in the laboratory, so (in a pinch) some research can be done using existing stem cells. No further harvesting needs to be made from embryos. However, existing stem cell lines are gradually degrading and will soon be useless for research. Stem cells can also be extracted from adult tissue, without harm to the subject. Unfortunately, they are difficult to remove and are severely limited in quantity. There has been a consensus among researchers that adult stem cells are limited in usefulness -- that they can be used to produce only a few of the 220 types of cells in the human body. However, some evidence is emerging that indicates that adult cells may be more flexible than has previously been believed. Research using embryo stem cells had been authorized in Britain, but was initially halted in the U.S. by President George W. Bush. He decided on 9th August 2001 to allow research to resume in government labs, but restricted researchers to use only 72 existing lines of stem cells 33. By May 2003, most of these lines had become useless; some of the lines are genetically identical to others; only 11 remained available for research. By May 2005, all are believed to be useless for research. Research continues in U.S. private labs and in both government and private labs in the UK, Japan, France, Australia, and other countries. On Sept. 2002, Governor Davis of California signed bill SB 253 into law. It is the first law in the U.S. that permits stem cell research. Davis simultaneously signed a bill that permanently bans all human cloning in the state for reproduction purposes i.e. any effort to create a cloned individual. Following former president Ronald Reagan's death due to Alzheimer's in June 2004 -- a slow, lingering disease that took a decade to kill him -- Nancy Reagan and all of her family, except for Michael Reagan, have mounted a campaign to encourage President Bush to relax restrictions on embryo stem cell research. Fifty-eight senators, almost all Democrats, sent a letter to President Bush, urging the same action. A federal bill passed the House on 24th May 2005 to allow government funded research on embryonic stem cells extracted from surplus embryos in fertility clinics. It is expected to be passed by the Senate and to be vetoed by the President. Given the benefits and perils resulting from engineering inventions, the 21st century will see a strong need for a large number of

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people of different sexes, races, and religions to become proficient in the use of the products and services of engineering. We are pleased that you have chosen to investigate the field of engineering as a possible career option. In the real-world connection, we provide an excerpt from a book “The Engineer of 2020: Visions of Engineering in the New Century34.” This excerpt establishes that engineering will become a much more dynamic and important field of study in the near future. We hope that this textbook, along with the associated multimedia case studies, will give you a clearer picture of what engineers do and how their knowledge of math and science, as well as their people skills, is essential as they perform their jobs. Real-World Connection III: Excerpt from the book, “The Engineer of 2020: Visions of Engineering in the New Century35” National Academy of Engineering. Technology has shifted the societal framework by lengthening our life spans, enabling people to communicate in ways unimaginable in the past, and creating wealth and economic growth by bringing the virtues of innovation and enhanced functionality to the economy in ever-shorter product development cycles. Even more remarkable opportunities are fast approaching through new developments in nanotechnology, logistics, biotechnology, and high-performance computing. At the same time, with tightening global linkages, new challenges and opportunities are emerging as a consequence of rapidly improving technological capabilities in such nations as India and China and the threat of terrorism around the world. Because precise predictions of the future are difficult at best, the committee approached its charge using the technique of scenario-based planning. The benefit of the scenario approach was that it eliminated the need to develop a consensus view of a single future and opened thinking to include multiple possibilities. This technique has proven its worth for private and public entities alike in helping devise flexible strategies that can adapt to changing conditions. Specific scenarios considered in this project were (1) The Next Scientific Revolution, (2) The Biotechnology Revolution in a Societal Context, (3) The Natural World Interrupts the Technology Cycle, and (4) Global Conflict or Globalization? The story form of each scenario is presented in Appendix A. These sometimes colorful versions only partially capture the vigorous discussions and debates that took place, but they serve to illustrate and document the thinking involved in the process. Each in its own way informed the deliberations about possibilities that can shape the role that engineering will play in the future. The “next scientific revolution” scenario offers an optimistic future where change is principally driven by developments in technology. 27

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It is assumed that the future will follow a predictable path where technologies that are on the horizon today are developed to a state where they can be used in commercial applications and their role is optimized to the benefit of society. As in the past, engineers will exploit new science to develop technologies that benefit humankind, and in others they will create new technologies de novo that demand new science to fully understand them. The importance of technology continues to grow in society as new developments are commercialized and implemented. The “biotechnology revolution” scenario speaks to a specific area of science and engineering that holds great potential but considers a perspective where political and societal implications could intervene in its use. In this version of the future, issues that impact technological change beyond the scope of engineering become significant, as seen in the current debate over the use of transgenic foods. While the role of engineering is still of prime importance, the impact of societal attitudes and politics reminds us that the ultimate use of a new technology and the pace of its adoption are not always a simple matter. The “natural world” scenario recognizes that events originating beyond man’s control, such as natural disasters, can still be a determinate in the future. While in this case the role of future engineers and new technologies will be important to speeding a recovery from a disastrous event, it also can help in improving our ability to predict risk and adapt systems to prepare for the possibilities to minimize impact. For example, there is the likely possibility that computational power will improve such that accurate long-range weather predictions will be possible for relatively small geographic areas. This will allow defensive designs to be developed and customized for local conditions. The final scenario examines the influence of global changes, as these can impact the future through conflict or, more broadly, through globalization. Engineering is particularly sensitive to such issues because it speaks through an international language of mathematics, science, and technology. Today’s environment, with issues related to terrorism and job outsourcing, illustrates why this scenario is useful to consider in planning for the future. The engineer of 2020 will be faced with myriad challenges, creating offensive and defensive solutions at the macro- and microscales in preparation for possible dramatic changes in the world. Engineers will be expected to anticipate and prepare for potential catastrophes such as biological terrorism; water and food contamination; infrastructure damage to roads, bridges, buildings, and the electricity grid; and communications breakdown in the Internet, telephony, radio, and television. Engineers will be asked to create solutions that minimize the risk of complete failure and at the same time prepare backup solutions that enable rapid recovery, reconstruction, and deployment. In short, they will face problems qualitatively similar to those they already face today.

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To solve the new problems, however, they can be expected to create an array of new and possibly revolutionary tools and technologies. These will embody the core knowledge and skills that will support effective engineering education and a sense of engineering professionalism in the new century. The challenge for the profession and engineering education is to ensure that the core knowledge advances in information technology, nanoscience, biotechnology, materials science, photonics36, and other areas yet to be discovered are delivered to engineering students so they can leverage them to achieve interdisciplinary solutions to engineering problems in their engineering practice. The rapidly changing nature of modern knowledge and technology will demand, even more so than today, that engineers so educated must embrace continuing education as a career development strategy with the same fervor that continuous improvement has been embraced by the manufacturing community.

5 WHAT DO EMPLOYERS EXPECT FROM ENGINEERING STUDENTS IN THE 21ST CENTURY? In order to ensure that engineering students studying in any university in the US receive an appropriate and useful education, a board named the “Accreditation Board for Engineering and Technology, Inc. (ABET)” has been created. It serves the public through the promotion and advancement of education in applied science, computing, engineering and technology and accredits all engineering programs in the U.S. This board goes through an elaborate process to evaluate and accredit colleges and universities in the US that offer programs in engineering. During 2000, this board devised a new set of expectations for the nation’s engineering programs (referred to as the ABET a-k criteria) as follows: Engineering programs must demonstrate that their graduates have: a) the ability to apply knowledge of mathematics, science, and engineering b) the ability to design and conduct experiments, as well as to analyze and interpret data c) the ability to design a system, component, or process to meet desired needs d) the ability to function on multi-disciplinary teams e) the ability to identify, formulate, and solve engineering problems f) an understanding of professional and ethical responsibility g) the ability to communicate effectively h) the broad education necessary to understand the impact of engineering solutions in a global and societal context

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i) a recognition of the need for, and an ability to engage in life-long learning j) a knowledge of contemporary issues k) the ability to use the techniques, skills, and modern engineering tools necessary for engineering practice This expectation is based on elaborate research carried out by ABET together with a number of commercial organizations to identify the kind of engineers that are needed for the 21st century. These expectations are further corroborated by a study done at Auburn University. This study asked managers in 23 companies about the skills, knowledge, and abilities that are valued by them in addition to the more traditional skills learned in the major discipline. Table 2 shows the results of this study37. Rank of Value-Added Skill, Knowledge, or Ability 1. Better written and oral communication skills 2. Better developed leadership skills 3. Improved supervision and management skills 4. Understand how business decisions affect technical decisions 5. Working knowledge of project management 6. Understand how technical decisions affect business decisions 7. Work in cross-functional teams with other engineering majors 8. Work in cross-functional teams with business majors 9. Understand the engineer’s role in corporate competitiveness 10. Internship with a company 11. Read and understand financial statements 12. Working knowledge of costing methods and cost accounting 13. Participate in preparing a business plan for new ventures and products 14. Working knowledge of enterprise database systems 15. Working knowledge of concepts such as MRP, ERP and ecommerce

Score 4.62 4.49 4.13 4.12 4.07 4.04 3.85 3.73 3.72 3.64 3.46 3.41 3.40 3.35 3.34

Table 2: Skills Valued by Employers of Engineering Students

Scale used for Table 2: 1- Very little value added to the company 2- Some added value to the company 3- Good added value to the company 4- Moderately high added value to the company 5- Very high added value to the company The ABET requirements and the survey data show that in order for you to be a proficient and effective engineer, you need to acquire skills such as decision-making, team working, communication, ethics, and the

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ability to work in global businesses in addition to your strong engineering and technical skills. The Real-World Connection IV example below summarizes an article that appeared in the IEEE-USA’s newsletter about what is expected of an engineer in the 21st century. This article further establishes why you need to combine a strong technical education with so-called “soft” skills in order to succeed in the 21st century global economy. Real-World Connection IV: Viewpoints from an Engineering Professional Society: IEEE-USA Today’s Engineer: July-Aug 2002 & September 2002 Enhanced Skills for Engineers: It Takes More than Technical Know-How by Ted W. Hissey

Industry executives and managers believe the characteristics and skills required of engineers and scientists of the 21st century fall into three categories: • • •

Fundamental technical skills, which are expected from all engineers Extra or 'soft' skills, which are important to develop and maintain Personal characteristics deemed necessary for continued organizational and personal success

Fundamental Technical Skills:

The basic characteristics of new engineers, as defined by the executives and managers interviewed, include these four expectations: 1. Solid Technical Education: Managers believe most employed engineers - even those with only an undergraduate degree - have the basic technical background and education required for their company's objectives when they arrive. Therefore, new employees are able to absorb the additional technical expertise required to assimilate the unique aspects of the organization's procedures, systems, products, customer requirements, and objectives fairly easily. 2. Logical Thought Process: Engineering graduates traditionally exhibit a good, logical thought process - a valuable characteristic, according to managers. Those interviewed believe that the problem solving required of engineering students helps develop a logical thought process. But as with personal traits, the competence level in logical thinking varies from person to person. 3. Good Work Ethics: The consensus of those interviewed was that the graduate engineers hired into their companies carry good work ethics. Whether students develop this trait through intensive study,

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or whether it's just a natural characteristic prevalent in those who select an engineering curriculum, the executives and managers interviewed saw this feature as common among most young engineers. 4. Computer Literacy: Executives and managers, as well as all engineers, know that computer workstations "rule," and all engineers around the world should exhibit superior computer literacy, including solid knowledge of current, applicationsoriented software. These hard technical skills are critical; without them, engineers won't get very far. Corporate executives and managers identified several soft skills characteristics that they believe engineers need to maintain their value within an organization. These characteristics can be grouped into two categories: corporate necessities and personal attributes. Corporate Necessities for a Global Economy:

In today’s work environment, corporate necessities include having a global perspective; being a team player; and having sufficient professional depth and versatility to provide a multiplexing capability. In the past, many engineers preferred taking individual responsibility for developing a particular product or system, even though they had to be concerned with system interfaces and with how their system or subsystem functioned relative to the overall project. Today, things are slightly more complicated and corporations want individuals who exhibit the ability to operate as team players, making more efficient and effective contributions to the organization. Also, in today’s open-market economy, many multinational companies are forming product and system teams that are truly global, utilizing their personnel in various units (sometimes referred to as skill centers) around the world for their particular expertise. A global perspective and sensitivity are needed to develop and market these products and systems within widely varying international cultures and conditions. With the continuing trend of corporate downsizing or right-sizing, engineers are being asked to shoulder a much heavier workload and a wider variety of job challenges. As a result, they must develop and practice flexibility, gain a basic multiplexing capability, and have a much broader understanding of all aspects of the organization. Corporate executives agree that today’s corporate necessities having a global perspective, being a team player, and having a multiplexing capability - are characteristics that should be emphasized in engineering courses. And while team activities are practiced in technical laboratory classes around the world, even if these corporate values were not taught in depth, managers still believe that engineering students 32

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should be advised that these are characteristics that will make them more desirable to potential employers when they enter the workforce. Personal Attributes Are Harder to Define:

Today’s managers also seek personal attributes, which are much more difficult to define and quantify. These attributes include dedication, persistence and assertiveness. Dedication basically speaks for itself, but to what and to whom do engineers need to be dedicated? Does dedication refer to retention having someone dedicated to staying with the corporation? While some executives would like to go back to the good old days when engineers stayed with one company for the duration of their careers, they recognize that in this era of right-sizing, downsizing and corporate mergers, expecting such long-term dedication is unrealistic. Instead, the dedication they seek is to individual assignments at hand. They want engineers who maintain the self-discipline to accomplish their basic job functions while adding another 10% in time for planning activities. Today’s managers also seek persistence. This trait involves developing an approach to accomplish the defined task in the allotted time, regardless of the technical, logistical, organizational or personal hurdles that appear. Just as with the subject of work ethics, this quality is normally inherent rather than a trait built through training or reminders. Additionally, assertiveness usually falls into the same category as persistence, in that it is normally an inherent quality. Executives want young engineers who approach challenges with a positive attitude. They are under the impression, however, that this trait is not normally found in young engineers. While training and practice tend to improve the aforementioned corporate necessities, personal attributes are typically innate qualities that are harder to refine. But that's not to say that improvement cannot be achieved. The important concept is that we remember the importance of these highly regarded skills and work to improve them continually.

6 PREPARING ENGINEERING STUDENTS TO MEET THE NEW SKILL EXPECTATIONS THROUGH THE REAL-WORLD CASE STUDIES USED IN THIS TEXTBOOK In order to prepare you to work well and succeed in the 21st century workplace, we worked with experts who are successful in practicing the “soft” skills discussed in the earlier section (designing successfully, decision making, communicating well, team working effectively, practicing ethical conduct, and developing a good understanding of the connection between science and math topics and engineering) to develop the chapters for this book. Each chapter explains 33

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the topic in a prescriptive manner telling you what you need to do as an engineer in dealing with that topic. Then it illustrates these topics with examples from real-world case studies that are provided throughout the chapter. You are also provided with a CD-ROM where you can view photos, videos, and explanations from the real-world case studies described in each chapter. Thus, each “soft skill” described in the chapter is also explained through a real-world example. The topics covered in this textbook and the case studies that will be used in those chapters are the following: -

Designing successfully (Challenger STS 51-L) Decision-making using scientific principles (Della) Communicating well in the workplace (Lorn) Team working effectively in the real-world (Della) Practicing ethical conduct (Lorn) Developing a good understanding of the connection between science and math topics and engineering (STS 51-L)

In addition, individual and group assignments are provided at the end of each chapter so that you can work as an individual or as a group and assess what you have learned before proceeding further. Through this process, we expect you to master the topics presented in each chapter and see how they are actually applied in solving real-world problems. The case studies will also provide opportunities for you to assume the role of an engineer or manager and act as though you are working for that company. This will give you the feel of working in a company even though you will not physically be at the plant. Playing the roles of the engineers and managers who are responsible for dealing with the realworld problems in the case studies introduces immediacy and a sense of the utility and importance of what you are learning in the classroom. You will also make use of new learning strategies as you work with your team to come up with a solution and then persuade others to support it. We hope that you will enjoy working on the case studies as they introduce you to the types of problems faced daily by professional engineers, and we look forward to you developing into an outstanding engineer in the future. Figure 10 provides a schematic that shows how the materials in this textbook work along with the course materials that you will learn in engineering programs in order to prepare you well for a career in industry38.

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Figure 10: Skills you learn in this book and how they enhance your ability to apply knowledge gained in courses to solve industrial problems

The X-axis shows some of the courses that you will take in engineering programs that provide specific knowledge or describe a phenomena (terms ending with “ics”): Physics, Thermodynamics, Mechanics, Dynamics, Aerodynamics, Flight dynamics, Orbital mechanics, Structural dynamics, Economics, Hydraulics, Process dynamics, Ethics, Statistics, Digital electronics, Electromagnetics, Analog electronics, Kinematics, System dynamics, Statics, Ceramics, and/or Fabrics. The Y-axis shows industries where you might work after graduation (terms ending with “ion”): Transportation, Automation, Power generation, Telecommunication, Textile production, Space transportation, Retail consumption, and Construction. In the traditional engineering programs you obtain the knowledge needed for engineers by taking the courses listed in X-axis and then embark on work in industries listed in the Y-axis. But, frequently you have a surface idea of how the theories your learned in the courses might be used in industries, but do not have good understanding of how to put your knowledge to use once you graduate. You learn more about the real-world and begin to figure out the depth of engineering applications used in industry when you begin to use the skills listed in the Z-axis (terms ending with “ing”) and use them to 35

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apply the knowledge you gained in courses to solve industry problems. These skills include designing successfully, decision-making, team working effectively, communicating well in the workplace, practicing ethical conduct, and applying science and math principles to solve industry problems. Frequently, you don’t get to practice these skills while you are in college. You learn these skills when you work in “internships” or perform “design projects.” Our intention is to provide you an opportunity to learn about the theories behind these skills and then apply the skills to solve real-world industry problems. The group assignments given at the end of the chapters provides you further opportunities to apply these skills to other industry problems. Through this process, you will obtain a greater appreciation for the importance of mastering the technical skills emphasized in Z-axis. We believe that the “soft skills” you learn using this textbook would be useful to you throughout your educational program. As you pursue a professional career, we hope that you will take other courses to master many of these “soft skills” further and become a leader who is able to skillfully use the knowledge portrayed in the X axis and combine it with the skills learned in the Z-axis to solve problems faced by industry and add value to the society39.

7 GETTING THE MOST FROM THIS TEXT AND CDROM 7.1: Overview of CD-ROM The CD-ROM enclosed with this textbook helps you read through the chapters and then relate them to the three case studies that are included. The learning objectives for each chapter are provided on the CDROM. It further has a link that connects the screen shots used in the chapters (shown as figures) to the actual positions in the case studies. The CD-ROM provides a link to the short essay and essay questions provided at the end of each chapter. The group assignments for each chapter are also available from the CD-ROM. The details of all the case studies included in this textbook are also available in the CD-ROM. We provide further details about the case studies below.

7.2: Definition of a Case Study and Its Purpose A case is a description of a situation that frequently focuses on a problem or a decision facing people in pursuit of their occupation or

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interests. It usually involves the consideration of an actual example requiring the synthesis of a large amount of different kinds of information, and the development of recommendations or decisions. The case study takes shape as the empirical details that describe the decision or problem under study are considered in the light of the evidence gathered from the situation. This adds depth and dimension to the scenario presented in the case study.

7.3: History of the Use of the Case Study Method Case study materials can be used for a variety of purposes, such as conducting research, completing program evaluations, and as teaching resources. The case study method originally emerged in 1870 as a method of teaching at the Harvard Law School and was later formalized as an effective teaching method by the Harvard Business School. The written case study method is now a well-established teaching method in many disciplines and fields of study. Case Study: A case study is an empirical inquiry that investigates a significant event within its real-world environment, where the boundaries between the event and its environment are not clear, and in which multiple evidence sources are used19. The significant event might be a decision that needs to be made to solve a problem. The environment includes the engineers and managers who play a significant role in making the decision. The management is frequently presented with several recommendations for ways to solve a problem, each of which is supported by evidence. Empirical means that the material is based on careful observation of the problem in the real world. Those involved in the original situation on which the case study is modeled have reviewed and approved the use of this material for instructional purposes. A case is typically a record of a business or technical issue which has actually been faced by engineers and managers, together with the surrounding facts, opinions, and prejudices upon which engineers’ and managers’ decisions have to depend. These real and particularized cases are then presented to students for considered analysis, open discussion, and final discussion as to the type of action that should be taken. We use the case study method since we believe that you will become a better engineer if you can:

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A) apply basic knowledge from engineering to solve real-world problems; B) understand the broad constraints that affect design, namely economics, safety, cost, and social issues; and C) read widely, think about the new ideas encountered, and apply your existing knowledge and ideas as you work on the case study

7.4: Engineering Case Studies We have modified the ideas used in traditional case study methods to satisfy your need for increased engineering and technical content. In the past, books described the case studies and then asked the students to analyze them. They seldom provided the technical background or knowledge that was needed to work on the case study. We have rectified this by (a) including excerpts from the case studies in each chapter to show how the theories you just learned were practiced, (b) including photographs and videos that vividly illustrate the technical problem in the chapter, and (c) providing you access to the videos, competency materials, and other details in the CD-ROM. These case studies are summarized in later sections in this chapter and details of the case studies are provided in the CD-ROM associated with this textbook. This CD-ROM contains videos, photos, and other information not found in the textbook. We have included some screen shots from the CD-ROM so that you can go to the electronic case study directly and explore the real-world information much further.

7.5: Competency Material for Analyzing a Case Study In the CD-ROM, we have included competency materials that will help you learn the basic connection between the science and math courses you are taking and real-world engineering problems. You will find this material useful as you analyze the case study. In addition, the CD-ROM provides references to library resources so that you can perform additional research if necessary. The competency material should give you a good overview of the industry and help you solve the problem described in the case study

7.6: Inclusion of Photos and Videos In the CD-ROM, we have included plenty of photographs and line diagrams in order to make the technology understandable. We have also 38

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created videos where managers and engineers from the plant talk to you. These visual materials should help you “visit” the plant and experience the problem in a virtual manner. We expect these additional materials will help you to learn about relevant real-world issues from an engineering point of view. Most of the technical information needed to analyze the case study is presented in the CD-ROM. Your task is to understand these materials and select the appropriate information to help you solve the problem discussed in the case study. Each case study included in this book provides a complete and detailed presentation of the subject under investigation. However, they cannot describe in detail all the technologies used in a company. From this viewpoint, the case study will only help you understand a single facet of the company’s operation that is intrinsic to the case under investigation. Through analyzing the case study, you will gain a detailed understanding of a particular technical problem that actually arose at the company.

8 OVERVIEW OF CASE STUDIES USED IN THIS TEXTBOOK We have used excerpts from the Della Steam Plant, Challenger STS 51-L, and Lorn Manufacturing case studies in every chapter of this textbook and have included these in the CD-ROM. These have been developed by the Laboratory for Innovative Technology and Engineering Education, LITEE, at Auburn University20 with financial support from the National Science Foundation21 and have won many awards. In this section, we summarize the problem presented in each of these case studies.

8.1: Della Steam Plant Case Study The Della Steam Plant Case Study involved three principal characters - Sam Towers, the plant manager, Lucy Stone, the engineer who represented the turbine-generator manufacturer (OEM, Original Equipment Manufacturer), and Steve Potts, the engineer in charge of predictive maintenance. The Della Power Plant produces and sells electricity generated by turbine-generator units. A turbine-generator unit weighing 120,000 pounds was being restarted after a two month maintenance service. When Lucy took the unit up to a high speed for an overspeed trip test, the unit started to vibrate heavily, causing the building to shake. Many employees became apprehensive and started to back away from the unit. Fortunately, it tripped out and rolled to a stop. Lucy noted from shaft rider probe readings that it was a 17 mil overall vibration. Since this was very close to the 22 mil clearance allowed between the shaft and

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the bearing, she anticipated the possible breakage of some parts. She therefore recommended to Sam Towers that the unit be disassembled, the parts checked, and any broken parts replaced before the unit was retested. Her recommendation would cost the company $900,000. Steve disagreed with Lucy's recommendation based on the readings shown by the proximity sensors he had attached to the turbinegenerator unit. He thought that the problem was due to an oil whip and would correct itself if the unit was run for 24 hours. He recommended to Sam Towers that the turbine-generator unit be restarted immediately. The plant was facing tight maintenance budgets, and Steve's recommendation would result in zero cost if there were no problems during restart. However, if the unit failed during restart, the company would have to replace the entire unit, leading to a potential cost of $19.5 million. Sam Towers, the plant manager, was in a dilemma since this was the first time his maintenance engineer and OEM engineer had disagreed on a major maintenance problem at the power plant. He had to decide whether to restart the turbine-generator unit or shut it down, taking into account financial, technical, and safety issues. This case study was developed with the cooperation of an executive in charge of predictive maintenance at the central office of a power plant. Data was gathered through visits to the plant and interviews with engineers. They were integrated together with technical, financial, personnel, and risk information in order to create a draft of the case study. In the Della case study included in the CD-ROM, we provide you with a realistic experience of the vibration problem that occurred in the power plant. This was done using a rotor-kit to simulate the vibrations and the problem statement narration was done by the engineer who actually worked on the predictive maintenance aspects discussed in the case study. In addition, the CD-ROM includes photographs that showed the severity of the problem and the consequences of vibrations that can lead to failure of the turbine blades. In addition, competency materials that describe issues in deregulation, vibration, power generation, etc., are included in the CD-ROM.

8.2: Solid Rocket Booster Field Joint Design Challenger STS 51-L Case Study illustrates the ethical, safety, reliability, risk, scheduling, and cost factors that were involved in the field joint design of a Solid Rocket Booster for NASA’s Space Shuttle. Joe Kilminster, the Vice-President for Space Booster Programs at Morton Thiokol, Inc., convened a teleconference in the MTI conference room on January 27th, 1986. MTI had successfully created the Solid Rocket Booster, the first solid fuel propellant system, for the NASA Space Shuttle and it had worked without fail in all 24 Shuttle launches. Although MTI and NASA had encountered problems with the Solid Rocket Booster field 40

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joint in the past, these seemed to be resolved by using larger O-rings and thicker shims. Thus, during the teleconference on January 27th, Mr. Kilminster was surprised to learn that MTI engineers wanted to reverse the decision of the NASA Flight Readiness Review and persuade MTI and NASA management that Flight 51-L should not be launched the next day. MTI engineers were convinced that the possible effect of freezing temperatures on the SRB field joint could cause major problems within the Space Shuttle systems. As the teleconference proceeded and the engineers and managers debated the issues, it became clear to Mr. Kilminster that a difficult decision must be made. MTI would have to decide whether or not to recommend that NASA launch the STS 51-L, the Challenger. This case study was developed from published literature and visits to NASA. Roger Boisjoly, an engineer involved in the Solid Rocket Booster design at MTI, also reviewed this case study. The STS 51-L case study included in the CD-ROM brings to the viewer the technical details of the design of the solid rocket booster field joints using a timeline starting with the initial design process in 1972 and ending in 1986. A video was developed that describes the different stages of a solid rocket booster (SRB) and how NASA and their contractors assemble these stages. It brings out some of the technical details involved in the design and implementation of the SRB. Also, we have included footage that shows the O-ring used in the field joint and how it is actually placed in the SRB. In order to explain the phenomenon of joint rotation that actually caused the Challenger accident, we have developed an animation using Solid Works. The animation shows the field joint rotation in a realistic manner. We have also included footage that shows different tests that are done by NASA and their contractors in order to qualify segments of an SRB before they are assembled. The CD-ROM includes many photographs and animations that showcase the technologies clearly and effectively.

8.3: Lorn Textiles Case Study This case study is based on an accident that occurred at WMS Clothing in 1991. A man lost three fingers on his left hand during a routine maintenance procedure when the Lap Winder upon which he was working suddenly started. He went through extensive medical treatment that WMS Clothing covered as part of their worker's compensation plan, but was now seeking compensation for the mental suffering he had undergone, suing the manufacturer of the Lap Winder, Lorn Manufacturing, for negligence in the design and manufacture of their product. In a case such as this, if the manufacturer is found guilty of negligence they are 100% at fault and owe the plaintiff damages which, in this case, could be as much as $400,000. However, if it is found that the 41

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plaintiff knew of the risk and still went ahead with the dangerous action, then the plaintiff is guilty of contributory negligence and the defendant owes nothing. In many states, if it is found that both parties are guilty to some extent, the defendant would be responsible for their share of the guilt; for instance, if the manufacturer is found to be 70% at fault, then he would owe the plaintiff 70% of the damages. However, in the state where the accident occurred, Alabama, if it can be proven that the plaintiff was negligent in any degree, then he is guilty of contributory negligence and the defendant owes him nothing. Engineering experts testified for both the plaintiff and defendant in the case and their testimony is critical in deciding the merits of the case. The Lorn Case Study included in the CD-ROM includes photos of the textile machinery, details about the gear mechanism, full transcripts of the depositions made by the plaintiff, defendant, and expert witnesses during the court case, and a video of one of the lawyers discussing the case study.

9 GUIDELINES FOR READING THE TEXTBOOK AND ANALYZING THE CASE STUDIES The case studies are used to illustrate the theories discussed in each of the chapters. We expect you to take an active role in reading through the chapters. You need to read the textbook chapters thoroughly and understand the connection between the theories stated in the text and the application illustrated in the case study.

9.1: Use of Case Studies to Illustrate the Theories Depending on how your instructor structures the class, you might also work in teams, both in class and out-of-class, to answer some of the questions asked about the case studies presented in the chapter and provided in the case study assignments at the end of the chapters. In that case, we expect you to question your team members’ arguments, and participate fully in the discussion. Why do you need to do all this? Once you enter the workplace, your instructor is not going to be there to help you solve problems. Working with a team as you find answers to case study questions and present your recommendations to a critical audience are excellent experiences for you. You will have the opportunity to bring experiences gained from internships to the classroom and apply them in solving the real-world problems provided by the case studies. Don’t feel constrained if you think that there are insufficient facts in the case study for you to perform a good analysis. We have presented you with a real

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case in the way it actually occurred for other engineers, and making decisions based on limited information is one of the factors that every engineer and manager faces every day as part of their job. Your task is to make sense of the information provided and come up with recommendations on how best to deal with the situation.

9.2: Use of Skills Learned in the Course to Apply Engineering Knowledge to Solve Case Study Problems In addition to using the case studies to illustrate the theories provided in each chapter of the book, the instructor might ask you to form teams and solve the problem stated in the case study. He/she might ask you to assume the role of one of the engineers and managers in the case study and defend your recommendation. In that case, you first have to understand the problem. Then you have to explore possible ways to solve the problem. The third step is to identify other criteria that might affect the decision. You must then perform an analysis of the problem and choose the most appropriate solution. The final step is for your team to agree on the decision and create a written report and a presentation recommending that decision. When you are preparing this report, take into account that other teams are going to be recommending alternate solutions. You can use the technical and business data provided in the CD-ROM to strengthen your recommendation. We have also provided references to other books and web sites so that you can perform further research if you need to. If this approach is followed, once you have all completed your presentations, your instructor will tell you the decision actually made by the manager who had to deal with the original problem modeled in each case study. Please remember that these case studies are from the “realworld.” There is no certainty that the manager’s decision was the best choice, or even appropriate; it often takes many years before the effectiveness of a decision can be measured. We hope that you find this experience to be stimulating and enjoyable and that it helps you to see the connections between the theories that you learn in university and the “realworld” that you will be entering after graduation. We expect that through this process you will value the theories that you learned during your university education and be able to use them more effectively to solve problems in the real world. It will be wonderful if you go on to develop new theories, products, and processes that address the problems facing humanity.

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9.3: Conclusions The globalization of the world provides opportunities for engineers to become leaders, statesmen, lawyers, doctors, executives, and politicians and guide the destiny of nations. We hope you will include a consideration of the moral consequences of your professional activities in addition to your physical accomplishments and that you will grow into a wellrounded, thoughtful and technically accomplished professional engineer and an influential leader in the 21st century.

ESSAY QUESTIONS (a) Engineering degrees around the world differ. Engineers from the European Union, which now includes 25 countries, have the flexibility to travel to other countries within the EU and their degrees are recognized. Discuss the merits and weaknesses of this arrangement. (b) Engineering students from the US come from many different backgrounds. Discuss the diversity that you find among the student body at your University. How can the strengths of these students be combined so that better products might be built? (c) The prestige for engineering degrees in the U.S. is only average, whereas it is a highly valued item in Asia, particularly China or India. Why is there a difference in the level of prestige? How does that translate into the products and services that are available to the public? (d) What is the scientific theory behind machine guns and bullets? With this machine, a single soldier can fire hundreds of bullets every minute, mowing down an entire platoon in only a few passes. Military forces have had to develop heavy battle equipment, such as tanks, just to withstand this sort of barrage. This weapon has had a profound effect on the way we wage war. What are the components of a bullet cartridge (Figure 10)? How does the gun fire a bullet so that physical forces (gravity and air resistance) are minimized and the bullet finds the target? What technologies have been included to ensure that this machine works in all types of conditions?

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Figure 10: Components of a bullet

(e) Engineers are working to assemble a space station so that astronauts can remain in space for extended periods of time. Find out more about the space station and show how many months an astronaut can stay in the space station. How many countries are involved in the development and maintenance of the space station? (f) Dr. Jim Voss, an ex-astronaut, is currently an Associate Dean at Auburn University, AL. Voss has been working at the Johnson Space Center since November 1984. In his capacity as a Vehicle Integration Test Engineer, he supported Shuttle and payload testing at the Kennedy Space Center for STS 51-D, 51-F, 61-C and 51-L. He participated in the STS 51-L accident investigation, and supported the resulting reviews dedicated to returning the Space Shuttle safely to flight. Selected as an astronaut candidate by NASA in June 1987, Voss completed a one-year training and evaluation program in August 1988, which qualified him for assignment as a mission specialist on Space Shuttle flights. He has worked as a flight crew representative in the area of Shuttle safety, as a CAPCOM, providing a communications interface between ground controllers and flight crews during simulations and Shuttle flights, and as the Astronaut Office Training Officer. Jim served as the back-up crew member for two missions to the Russian Space Station Mir. During this time he lived and trained for 2 years at the Gagarin Cosmonaut Training Center in Star City, Russia. Voss served as a mission specialist on STS-44 in 1991 and 45

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STS-53 in 1992, was the payload commander on STS-69 in 1995, and again was a mission specialist on STS-101 in 2000. During 2001 he lived and worked aboard the International Space Station as a member of the Expedition-2 crew. A veteran of five space flights, Voss has logged 201 days in space, including four spacewalks totaling 22 hours and 35 minutes of EVA time. Jim now is a management astronaut working in the Space Station Program Mission Integration and Operations Office as the Deputy for Flight Operations. He states that while he was in the space station, he enjoyed not only the ready-made food from the U.S., but also the different tasting and delicious Russian ready-made food. Find out more about the other astronauts who have visited the Space Station and write a one-page note on one of them. (g) Supertankers are routinely used to transport crude oil from the Middle East to all parts of the world. The size of these tankers has grown tremendously in recent years. Investigate how and where they are manufactured. (h) The size of container ships has grown tremendously. Companies who want to ship products obtain suitable containers and fill them with their products. These containers are then loaded onto ships and transported to their destinations. How much has the travel time decreased due to the use of containers? Investigate and write a report.

GROUP ASSIGNMENT (PLEASE WORK IN TEAMS TO COME UP WITH POSSIBLE SOLUTIONS TO THESE UNSOLVED PROBLEMS) (a) The U.S. President has declared an ambitious target to put a man/woman on Mars. Is it possible? What technologies need to be in place for this to happen? (b) Senior citizens in the U.S. are living longer and healthier lives due to increased availability of medicine, better living conditions, and hygienic practices. However, the average life span of people in developing countries is still less than in the U.S. Should efforts be taken to change this? If so, what steps need to be taken? What is the role of engineers in this process? (c) The problem of water scarcity in Chennai, India, has not changed during the past 20 to 30 years. Many citizens are not able to get good and drinkable water in these cities. What could be done to improve these conditions? (d) Land mines litter the landscape in many countries. The number of maimed and killed children in Vietnam and Croatia is high. What could be done to make the mines inoperative once a war is over? (e) Terrorist attacks have become more significant and severe during the 2000s. What engineering technologies could be used to detect possible

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(f)

(g)

(h)

(i)

(j)

(k)

terror threats? What technology could terrorists use to counter these efforts? Refrigeration has made a major difference in the manner in which food items are stored and preserved in industrialized countries leading to large retailers such as Wal-Mart who can offer high-quality products at a reasonable price. What technologies are available to store and preserve food in the U.S.? Could these technologies be used in other countries? What are the cultural and other issues that make it difficult to use refrigeration in other countries? a. In India, many people will not put cooked food in refrigerators since they consider them to be polluted. What could be done to change this attitude? b. In Europe, many people do not use air conditioning. During the summer of 2003, a heat wave led to the deaths of many senior citizens in France. What could be done to balance the need and supply of energy? Air conditioning has made life more livable and travel a lot more comfortable in the U.S., particularly in the South and West. Its ability to increase productivity is well established. Why is this technology not widely used in other tropical and sub-tropical countries? What needs to be done to make this technology more widely available? Mummification has been used to preserve human bodies for long periods of time in the Middle Eastern region, particularly Egypt. What could be learned from their methods that may be of use today? There is a widespread fear that weapons of mass destruction might be obtained by some countries that would use them indiscriminately. What are the current efforts to control weapons of mass destruction? Which countries have the largest stockpiles of these weapons? What controls are in place to prevent their misuse? During March 2004, the U.S. Army announced that 17 soldiers in Iraq, including a brigadier general, had been removed from duty after charges of mistreating Iraqi prisoners. What technologies were used to bring these abuses to public notice? What steps could be taken to prevent such abuses from taking place in the future? After the attacks of September 11th, 2001, concerns intensified over the vulnerability of U.S. ports to acts of terrorism. One particular concern involves the possibility that terrorists would attempt to smuggle illegal fissile material or a tactical nuclear weapon into the country through a cargo container shipped from overseas. Detecting smuggled fissile material that could be used to make a nuclear weapon is a difficult task not just because it is potential needle in this vast haystack of international trade. It is also difficult because one of the materials that is of greatest concern, highly enriched uranium, has a relatively low level of radioactivity and is therefore very difficult to find with radiation-detection equipment. By contrast, radioactive materials that could be used in conjunction with conventional 47

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explosives to create a so-called dirty bomb are somewhat easier to detect, because they have much higher levels of radioactivity. Because of the complexity of detecting nuclear material, the Customs officers or border guards who are responsible for operating the equipment must also be trained in using handheld radiation detectors to pinpoint the source of an alarm, identifying false alarms, and responding to cases of illicit nuclear smuggling using such technology as pressure, light, or temperature sensors to continually monitor containers throughout their overseas voyage to the point of distribution in the United States40. Suggest a few technologies that could be used to address this issue.

1

Lienhard, J. (2000). The Engines of Our Ingenuity, Oxford University Press, New York, 2000. 2 Major portions of this section are extracted from Constable, G. and Somerville, B. A Century of Innovation, National Academy of Sciences, Joseph Henry Press, Washington DC, 2003. 3 http://www.darvill.clara.net/altenerg/wave.htm, 2005. 4 The information was taken from Shirer, W. The Rise and Fall of the Third Reich, Simon and Schuster, New York, 1960, pp. 967-979. 5 http://history1900s.about.com/library/holocaust/blauschwitz28.htm 6 http://www.auschwitz-muzeum.oswiecim.pl/html/eng/start/foto/brama-auschwitz.html 7 http://www.epa.gov/nsr/, 2005. 8 Carey, J and Thonton, E., “Global Warming: Special Report,” Business Week, August 16, 2004, pp. 60-69. 9 Kirby, Alex, “Energy: Meeting Soaring Demand,” BBC News, 9 November 2004, http://news.bbc.co.uk/1/hi/sci/tech/3995135.stm. 10 Kirby, Alex, “Energy: Meeting Soaring Demand,” BBC News, 9 November 2004, http://news.bbc.co.uk/1/hi/sci/tech/3995135.stm. 11 Welch, D. and Beuck, D., “Why GM’s Plan Won’t Work,” Businessweek, May 9, 2005, pp. 85-93. 12 Newman, R,J. “Invasion of the Green Machines,” U.S. News and World Report, May 9, 2005, pp. 49-54. 13 http://www.h2cars.biz/artman/publish/cat_index_11.shtml, 2005. 14 http://www.post-gazette.com/pg/05142/508074.stm, 2005. 15 http://en.wikipedia.org/wiki/Hydrogen_car, 2005. 16 Lienhard, ibid. 17 Greatbatch, W., quoted in Constable and Somerville, ibid, p. 189. 18 Hersey, J., Hiroshima, Vantage Books, New York, 1946. 19 Jackson, J,A., quoted in Constable and Somerville, ibid, p. 225 20 International Atomic Energy Agency, Programme F: Human Health: http://www.iaea.org/About/Policy/GC/GC45/Documents/Budget/prog2f.pdf#xml=http://www.iaea.org/search97cgi/s97_cgi?action=View&VdkVgwKey=http% 3A%2F%2Fwww%2Eiaea%2Eorg%2FAbout%2FPolicy%2FGC%2FGC45%2FDocume nts%2FBudget%2Fprog2%2Df%2Epdf&doctype=xml&Collection=IaeaSite&QueryZip= radiotherapy&. 21 http://www.houston.med.va.gov/services/hemaonc/2000/radiotherapy.html 22 whyfiles.org/ 130nukes/4.html 23 Information taken from the report issued by International Atomic Energy Agency entitled, “Information on Economic and Social Consequences of the Chernobyl Accident,” at

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“http://www.iaea.or.at/search97cgi/s97_cgi?action=View&VdkVgwKey=http%3A%2F% 2Fwww%2Eiaea%2Eorg%2FPublications%2FDocuments%2FInfcircs%2FOthers%2Finf 383%2Eshtml&QueryZip=chernobyl&&viewTemplate=Iaea%2Fiaeacvw_smpl.hts&coll ection=IaeaSite 24 http://www.defendamerica.mil/articles/mar2002/a030502c.html, 2005. 25 http://www.apfn.org/apfn/future.htm, 2005. 26 Baker, S. and Aston, A. “The Business of NanoTech,” Businessweek, Feb. 14, 2005, pp. 65-71. 27 Baker, S. and Aston, A. “The Business of NanoTech,” Businessweek, Feb. 14, 2005, pp. 65-71. 28 http://www.anders.com/pictures/public/05-helicopters/ 29 The material for this section was taken from Holtzapple, M.T. and Reece, W.D. “Concepts in Engineering,” McGraw Hill Higher Education, New York, NY 2005. 30 www.nspe.org, 2005. 31 http://www.religioustolerance.org/res_stem.htm, 2005. 32 http://stemcells.nih.gov/info/faqs.asp#whyuse, 2005. 33 http://www.whitehouse.gov/news/releases/2001/08/20010809-2.html, 2005. 34 National Academy of Engineering, The Engineer of 2020: Visions of Engineering in the New Century, http://www.nae.edu/NAE/naepcms.nsf/weblinks/MKEZ5Z5PKL?OpenDocument, 2005. 35 National Academy of Engineering, The Engineer of 2020: Visions of Engineering in the New Century, http://www.nae.edu/NAE/naepcms.nsf/weblinks/MKEZ5Z5PKL?OpenDocument, 2005. 36 Smerdon, E. 2002. Presentation at The Engineer of 2020 Visioning and ScenarioDevelopment Workshop, Woods Hole, Mass. September 3-4. 37 Study done by J. Bryant, Director, Thomas Walter Center, Auburn University, 2001, www.eng.auburn.edu/BET 19 Yin, Case Study Research, Sage Publications, Thousand Oaks, CA, 1994 38 The material in this section is derived from a lecture delivered by Dr. Myron Tribus, Xerox Corporation (retired) on the Bodies of Knowledge at the Dane and Mary Louise Miller Symposium and CASEE Annual Meeting, National Academy of Engineering, Savannah, GA, October 20, 2004. 39 This point was emphasized by Mr. Steve Kirsch, CEO of Infoseek, in his keynote address, “An Industry Leader’s view of Engineering Education,” Dane and Mary Louise Miller Symposium and CASEE Annual Meeting, National Academy of Engineering, Savannah, GA, October 20, 2004. 40 http://www.gao.gov/htext/d03297t.html, 2005.

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Engineering Design Principles LEARNING GOALS Explain the importance of engineering design in solving real-world problems Show how product design impacts society Draw a flowchart that explains the design process Describe each element of the design process Illustrate each element with a case study example Show that the design process is iterative using an example

INTRODUCTION1 Design is a central activity in engineering. Design problems are typically open-ended and ill-structured. That is, there are usually many acceptable solutions and the solutions cannot normally be found by routinely applying a mathematical formula in a structured way2. Engineers have to use both engineering and business principles such as cost, schedule, risk, and safety in the design process. Engineers must also work with people both within and outside their organization to bring the design to fruition3. They typically use engineering drawings, text, templates, or models to communicate their design ideas to the people within and outside their organization4. If the design specifications are in error, the company’s profit may suffer or, more importantly, people may be injured or killed.

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Engineering Design (Definition): This is the process of devising a system, component, or process to meet desired needs. It is a decision making process (often iterative), in which the basic sciences, mathematics, and engineering sciences are applied to convert resources optimally to meet a stated objective. Among the fundamental elements of the design process are the establishment of objectives and criteria, synthesis, analysis, construction, testing, and evaluation. It is essential to include a variety of realistic constraints such as economic factors, safety, reliability, aesthetics, ethics, and social impact. Accreditation Board for Engineering and Technology (ABET, 1996).

1 Elements of the Design Process Design has been a characteristic of human survival as illustrated by primitive societies building basic tools or making shelters5. In the past, "designing" was inextricably linked to the "making" of the primitive implements - that is there was no separate, discernible modeling process. This approach to design constitutes that of a craft. In contrast, an engineering designer does not, typically, produce the final end-product; rather, he/she produces a set of fabrication specifications for that product. The specification must be such that the fabricator can make the product in question without talking to the designer. Thus, the specification must be both complete and specific; there should be no ambiguity and nothing can be left out. Thus, design is a primary component of product development. The attention given to a product during the design stage has a direct bearing on the future costs and the performance of a product. Good design includes mechanisms to predict and correct failures before their occurrence. Without time and money invested in engineering design, the costs associated with failure escalate. Design is one of the primary tasks that engineers encounter and is expected to take as much as 30% of an engineer's time on the job6. If the engineer’s position is not purely a design position, design skills are still needed to manufacture useful products.

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Example of Importance of Design: The 1981 collapse of Kansas City's Hyatt Regency Hotel occurred because a contractor, unable to procure threaded rods long enough to effectively suspend a second-floor walkway from a roof truss, hung it instead from a fourth-floor walkway, using shorter rods. The supports of the fourth-floor walkway were not designed to carry the weight of the second-floor walkway in addition to its own dead and live loads. During a tea dance in the lobby in 1981, the walkways were crowded with spectators. The load these people placed on the structure proved to be too much, and the nuts under the top walkway were pulled through the walkway structure. The bottom walkway crashed to the ground and the top walkway fell onto it. In total, 114 people died and over 200 were injured, in what is now considered one of the worst structural tragedies in the United States. Had the designer been able to communicate with the fabricator while the design was in progress, he would have learned that no company manufactured rods in the lengths needed to hang the secondfloor walkway from the roof truss and they would have been able to develop another solution to the problem. Source: http://www.taknosys.com/ethics/cases/ec02.htm

The designer needs to keep profitability in mind, and at the same time remain abreast of emerging technologies so that he/she may maintain and enhance his/her value to the company and produce valuable products. For example, Boeing Corporation designed its 777 aircraft in a paper-less mode. Boeing integrated its Computer Aided Design (CAD) systems so that the 777 design team could access the designs from anywhere in the world and create virtual instead of physical mock-ups. Boeing distributed 2,200 computer terminals to its overall 777 design team. The terminals were connected to one of the largest grouping of IBM mainframe computers in the world. This provided key participants in the design process, ranging from airframe manufacturers in Japan, engine manufacturers in the U.K. and U.S., immediate access to the data. The systems also allowed all involved in the process to be aware of changes as they were made and confirmed. The new design process allowed Boeing to cut its traditional 60 month development time to less than 48 month7 For more information on Boeing’s design process of the 777, please refer to Appendix A at the end of this chapter.

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Figure 1: Steps involved in a Design Process

Simply designing a product or system is often no longer acceptable. The design process must be iterated often to improve quality, reduce costs, and prevent failure. The safety of a product or a system must be considered, as should public opinion. If design is not taken seriously, products will not sell, businesses will collapse, and competitors will thrive. To compete with others, good design techniques must prevail as a tool of continuous improvement. The design process consists of several distinct steps. A flow chart of the design process is shown in Figure 1. In this chapter, we will illustrate in detail the elements of the design process taking the reader through the design steps used by NASA to design, test, and fly space shuttles. This example will show how engineering design is an iterative process and periodic redesign of product and processes are necessitated when products fail.

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Real World Connection 1: REdesign of space shuttle design NASA developed the space transportation system (STS) as the method U.S. astronauts would use to explore space. The major components of the space transportation system include the orbiter, external tank, solid rocket booster, main engine, and orbital maneuvering system engines. The 1970s marked the development of the Space Shuttle (Figure 2). The shuttle had three major elements: two Solid Rocket Boosters, an external Fuel Tank, and the Orbiter that houses the astronauts. Figure 3 provides a screen shot describing where you can find more information on the early developments of the space shuttle in the case study CD-ROM.

External Fuel Tank

Solid Rocket Boosters

Orbiter Figure 2: Line Drawing of the Space Shuttle

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Figure 3: Links to the CD explaining the early developments on shuttle.

The components of the Space shuttle are designed and inspected by various NASA divisions including the Earth Sciences Division, Microgravity Science & Application Division, Material Science Division, and the Computer Science Division. (Information about these divisions can be found at NASA’s website www.nasa.gov.) Designing and building a space shuttle is a time consuming process. NASA along with several other contractors designs and manufactures the components of a space shuttle8. Although the mission profile and shuttle design was intricately planned, the fiscal environment of the 1970s was austere and the planned five-Orbiter fleet was reduced to four. These budgetary issues were compounded by engineering problems that contributed to schedule delays. The initial orbital test flights were delayed by more than two years. The first test craft was the Orbiter Enterprise, a full size model of the space shuttle without the engines and other systems needed for orbital flight. The Enterprise was used to check the aerodynamic and flight control characteristics of the Orbiter in atmospheric flight. The Enterprise was carried atop a modified Boeing 747 and released for a gliding approach and landing at the Mojave Desert test center. Five of these test flights seemed to validate the Orbiter’s systems. After the Enterprise test flights were completed in 1977, extensive Shuttle ground tests followed. These tests included vibration tests of the entire assembly and tests of the various Shuttle parts. In 1977, Thiokol carried out an important hydroburst test that evaluated the safety margin in the design of the steel case segments.

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Hydroburst tests are where the SRM case is pressurized with water to 1-½ times the maximum expected pressure of the motor at ignition. Although the test showed that the steel case segments met their strength requirement, joint rotation (gap opening) was discovered. William Leon Ray was an engineer with Science and Engineering in the Solid Motor Branch and it was his job to pursue any possible problems with the SRB. He became concerned about joint rotation after the hydroburst tests and sent numerous memos in the late 1970’s to his manager, Robert Glenn Eudy, urging him to recommend a solution to the problem. In 1977, Leon Ray had recommended several solutions to fixing the joint rotation problem in a memo. Engineers at Marshall and Thiokol unanimously agreed that although the performance of the field joint deviated from expectations, it was an acceptable risk. The Columbia was launched successfully on April 12, 1981. During 1981 to 1986 many more flights were performed until the Challenger disaster on January 27, 1986, stopped the flights and required a thorough reexamination of the design of the shuttle, in particular the SRB. The SRB was redesigned thoroughly and flights were resumed on Sept. 29, 1988 with the launch of Discovery. With the completion of Space Shuttle Mission STS-113 on December 7, 2002, a total of 112 mission were flown since the first flight in April 1981. On Feb. 1, 2003, the space shuttle Columbia was lost on reentry. This necessitated a thorough redesign of the space shuttle. Plans are being made to launch Discovery during July 2005. This example shows the importance of redesign in engineering design. Each redesign of the shuttle components took more than 2 years. The budget for space shuttle theme in NASA is about $3.7 billion during 2003, $3.9 billion during 2004, and $4.3 billion during 2005. The major activities during these years was to ensure that the space shuttle can return to flight. Further details about the design of the space shuttle would be provided throughout this chapter as we discuss the engineering design process. 1.1 STEP 1: Problem Definition Inspiration for a product is most often the result of meeting a particular need or problem that existing products are not able to satisfy. For example, shoes were developed to protect and comfort the feet during walking. The beauty of developing a product is that it can solve a single problem or it can solve a multitude of problems. For instance, automobiles are capable of transporting both people and equipment for many different purposes – business and leisure purposes. When defining a problem, it is crucial that the critical characteristics

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or constraints be determined and documented. An example of where physical size constraints must be specified before the design process continues is if a team is asked to design a car navigation system. The team may believe that the ideal location for this device is in the dashboard of the car. However, the initial models of the navigation system might be too large for the dashboard. Therefore, steps must be taken to reduce the size of the navigation system or relocate pieces of it to other areas of the vehicle. Without considering these constraints early on, significant amounts of time and money are wasted.

Real World Connection 2: Problem Definition: Identify Joint rotation problem The problem facing NASA and its subcontractors on January 27, 1986, was that the space shuttle Challenger exploded 74 seconds after liftoff. Subsequent investigations revealed that the engineers had opposed the launch of the shuttle on January 26th based on the expected cold weather conditions for which the field joint was not certified to operate. Please look at the CD-ROM for further details about the discussions on January 26th. The problem was found to be caused by a “blowby” where hot gases eroded the O-rings in the Solid Rocket Motor (SRM) and a flame path developed destroying the entire booster and the space shuttle itself resulting in the loss of life of seven astronauts and the reputation of NASA for safe flights. In the following sections, we will look at the history of design of the space shuttle and discuss whether NASA had identified this problem of “joint rotation” earlier and if so, what steps it took to address this problem during 1971-1985. Morton Thiokol, Inc. (MTI), a subcontractor of NASA, designed and manufactured the Solid Rocket Motor. The Solid Rocket Motor (SRM) is the principal component of the Solid Rocket Boosters (SRBs) (Figures 3, 4 &5). The SRBs are the Shuttle’s main source of propulsion during initial launch. A stack of cylindrical segments, each SRB is 149.16 ft long and 12.17 ft in diameter, and weighs approximately 1,300,000 lbs. at launch. The individual cylindrical sections are identical up to the aft segment.

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Figure 4: Solid Rocket Booster Assembly

Figure 5: Solid Rocket Booster: Photo

The cylindrical sections are assembled into casting segments called: the forward segment with igniter, the forward mid segment, the aft mid segment, and the aft segment with nozzle. The four casting segmented design allows the boosters to be easily transported by rail between MTI’s complex in Utah and Kennedy Space Center in Florida. In Florida, the segments are assembled vertically at Kennedy and sent on the mission. After each launch, the booster is split into four casting segments and shipped to Utah, where the solid rocket propellant is replaced and the

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segments are shipped back to Florida. The SRM is the most important part of the SRB because it contains the propellant for the booster. Each segment of the SRM is attached to another in Kennedy Space Center with three field joints (forward field joint, center field joint, and aft field joint). The field joints not only hold the booster together but also seal the hot gases of the burning propellant within the steel casing of the booster. If gases leak through the joint, they usually cause immediate explosion of the booster. The explosion could result in the loss of the mission as well as the lives of the astronauts. The Morton-Thiokol field joint design, based upon the Air Force’s Titan III solid-fuel rocket field joint, is illustrated in Figure 6. The lower edge of the top segment has a protruding tang that fits into the 3-¾ inch deep clevis of the upper edge of the bottom segment. A total of 177 steel pins go through the tang and clevis to hold the segments together at each joint. The field joints maintain the structural integrity of the Solid Rocket Booster during launch. Upon ignition of the Solid Rocket Booster, the pressure within the booster peaks at 1004–1016 lbs. per square inch (psi) in less than six tenths of a second. The burning propellant creates hot gases that are at a temperature of 5800 degrees Fahrenheit. There are two O-rings on the inner flange of the clevis that seal the field joint, containing the pressure of the hot gases from the burning Figure 6: Cross section of the solid Rocket Motor propellant. The O-rings are about 1/4 inch in section diameter and are made from heat resistant Viton rubber. However, an extremely small gap of 0.005 +/- 0.004-inch will remain between the tang and the inside leg of the clevis. Zinc chromate putty was placed between the insulation at the joint to protect the O-rings from direct exposure to the hot gases. As the combustion gas pressure displaces the putty in the space between the motor segments, a

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mechanism is created that forces the O-ring to seal the casing. The displacement of the putty acts like a piston and compresses the air in front of the primary O-ring, forcing the O-ring into the gap between the tang and clevis. If hot gases are able to "blowby" the putty and primary O-ring, the secondary O-ring was expected to provide a redundant sealing function. As the segments are stacked during assembly, leak-check ports test the O-ring’s sealing ability and verify both the presence of the seals and lack of debris around the seals. In 1977, Thiokol carried out an important hydroburst test that evaluated the safety margin in the design of the steel case segments. Hydroburst tests are where the SRM case is pressurized with water to 1-½ times the maximum expected pressure of the motor at ignition. Although the test showed that the steel case segments met their strength requirement, joint rotation (gap opening) was discovered. Joint rotation (Figure 7) is a movement of a joint’s tang and inner clevis flange with respect to each other causing the joint gap to increase. Before ignition, the SRBs walls are vertical and both O-rings are in contact with the tang and clevis. At the time of ignition, internal pressure of 1004 - 1016 pounds per square inch (psi) swells each booster section’s case by ≈ 0.7 inches on the diameter. Since the joints are stiffer than the case, each section bulges slightly. The Oring measurements Figure 7: Joint Rotation taken during the hydroburst test showed that because of the swelling, the tang and clevis inner flanges bent away from each other instead of toward each other. This joint rotation enlarges the gap that the O-ring must seal and reduced the O-ring compression between the clevis and the tang (Figure 6). From further tests it was established that this joint rotation could

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be disastrous. As seen in Figure 7, the primary O-ring is pushed into the gap between the tang and the clevis. This pushing caused by distortion of the O-rings is known as extrusion. The joint rotation may also eliminate the secondary O-ring’s sealing ability. Since neither O-ring may seal correctly, a momentary drop in air pressure around the O-rings may occur. The seal of highly compressed air, which was supposed to equalize the pressure inside the booster, may not exist for a few hundred milliseconds during the initial Figure 8: Joint Rotation pressure surge of the space shuttle. Without the pressure seal, the hot combustion gases from the propellant could cause “blowby” through the putty and erode the O-rings. Erosion is the decomposition, vaporization, or significant eating away of an O-ring’s cross-section by combustion gases. If this erosion became widespread, a flame path could develop and the booster could burst at the joint, destroying the entire booster and the space shuttle itself. The consensus of the Presidential Commission and participating investigative agencies was that the loss of the Space Shuttle Challenger was caused by a failure in the joint between the two lower segments of the right Solid Rocket Motor. The specific failure was the destruction of the seals that were intended to prevent hot gases from leaking through the joint during the propellant burn of the rocket motor. The evidence assembled by the Commission indicated that no other element of the Space Shuttle system contributed to this failurei. Figure 9 shows the screen in the CD-ROM where you can find animation and textual material and videos that describe the joint rotation problem. Please refer to the CD-ROM to see the photos of erosion of O-rings.

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Figure 9: Screenshot from the CD-ROM explaining Joint Rotation problem

1.2 STEP 2: Concept Formation Now that the problem has been identified, the engineers must develop different concepts/alternatives to solve the problem. These concepts could be derived by creatively applying the knowledge of theories taught in physics, chemistry, sciences and engineering to generate valid solutions to the problem. Not only is the acquisition of the technical theories important, the engineers’ imagination is also essential in the design process. One fail-proof method of developing valuable ideas is through brainstorming, an extremely useful tool for idea generation. It allows a team of people to rapidly suggest and reject ideas in a manner that inspires and encourages all involved. At this stage, no ideas should be evaluated in detail. In order for brainstorming to bring successful results, there are a few guidelines that must be adhered to. First, all team members must have a positive outlook. Negative thoughts or comments should be restricted. Participants must be willing to hear any and every idea despite its possible absurdity. The selection of a facilitator or session coordinator would be helpful in hindering the stating and development of negative comments. The facilitator will also coordinate idea development by establishing a sequence around the room which allows everyone the opportunity to speak. This speaking sequence, if properly enforced by the session coordinator, would ensure equalization of overpowering or outspoken 62

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team members. During this brainstorming session, the ideas mentioned must also be captured using videotapes, audiotapes, or well-written notes. These captured concepts will be evaluated at another time in detail. Abiding by these guidelines will create an atmosphere of encouragement and acceptance.

Real World Connection 3: Concept Formation: Identification of five alternatives William Leon Ray was an engineer with Science and Engineering in the Solid Motor Branch at NASA and it was his job to pursue any possible problems with the SRB. He became concerned with the joint rotation problem and wrote numerous memo’s to his manager, Robert Glenn Eudy. On October 21st 1977 Mr. William Leon Ray presented five ideas to alleviate the joint rotation problem through a memo. Figure 11 shows the screen shot of the actual memo which can be found in the CD and videos that describe the alternatives. In this memo, Ray presented five options to alleviate the joint rotation problem (Figures 10 and 11). First, the engineers could decide to consider no change or alteration of the joint. However, Ray remarked that this option was unacceptable since it could result in seal leakage and Oring extrusion. Ray also suggested that they utilize oversized O-rings. Once again, this alternative was considered unacceptable since during assembly there was a high probability of O-ring or clevis damage. As an acceptable, short-term solution, he recommended changing the size of the shim that is used in the joint but it would require an increase in assembly time and the possibility of an error in the calculation of the appropriate shim size. Another option to resolve this joint rotation problem is the redesign of the tang and a reduction of the clevis tolerances. He saw this option as a long term solution which would eliminate the use of shims and reduce calculation errors. Finally, he suggested a combination of the redesign option and the size alteration of the shims. Ray felt that the shims may be required in instances where the redesigned portions are paired with the initial hardware. Once all of the hardware has been redesigned the shims will no longer be needed.

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Figure 10: Screenshot from CD explains Leon Ray Memo.

Figure.11: Leon Ray’s five options to fix the joint rotation problem

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1.3 STEP 3: Concept Evaluation Upon developing some ideas for solving a problem, these ideas must be reduced in number based on factors such as cost, technological limitations, legal issues, environmental impacts, and time. This is an important step in estimating the value of the solutions the team has conceived. Without some estimation of how much money the company can earn from the product, many ideas may not be excluded, as they should. For example, a company may estimate that a new product design could generate revenues of $1 million over its lifetime. If it costs more than $10 million to produce during its lifetime, then the net loss on the product will be $9 million and the idea is not feasible. In other instances, certain technologies may need to be developed before the product can be made economically. The costs associated with research and development of the technology may exceed the value of the product. However, an idea that was conceived years ago might become economically viable with new technology and can benefit the company at the present time. Mobile Phones: AT&T conceived the idea of car phones during the 1960s and sold this service to consumers. The overall demand was low since the product was bulky and took a lot of space in the front and trunk of a car. The company withdrew the product during the late 1960s. By the 1990s, wireless phones had become compact and could be held in the palm of a hand. The prices decreased drastically and consumers started to use them a lot more. The miniaturization of circuits and advances in processors has made the hand-held wireless phones popular with people all around the world.

Real World Connection 4: Concept Evaluation: evaluation of alternatives Following the release of Mr. William Leon Ray’s memo (Figure 11), NASA conducted numerous tests to identify solutions to the joint rotation problem during 1978-79. Figure 12 provides the screen shot of the location within the enclosed CD that shows the types of tests performed to solve the joint rotation problem. In 1979, Ray visited the manufacturers of the O-ring and they recommended that “tests which more closely simulate actual conditions (of flight) should be done.” Marshall and Thiokol engineers followed this advice and continued tests into 1980. NASA had to consider factors such as cost, technological limitations, legal issues, environmental impacts, and time in evaluating the five alternatives provided by Leon Ray. The cost of implementing the five alternatives varied greatly with the “no change” option costing very

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little to “complete redesign” costing millions of dollars. In addition, the available technologies at the particular point in time limit what alternatives could be pursued; another issue is whether the engineers on site have knowledge about the current technologies that might solve the problem. Frequently, this is a major issue since practicing engineers might not be aware of new materials that might have become available. Retraining and visits to industry conferences are essential to keep up with latest technological improvements. Legal issues are another factor that will influence the engineers in the evaluation of alternatives. Another factor will be the environmental factors – will it be safe to pursue a solution? Time is always an important factor and constrained engineers since NASA was very keen to start manned space flights during 1981. A complete redesign might have taken many years and the management was not willing to wait for that long.

Figure 12: Screenshot from the CD explaining types of tests performed by Thiokol and Marshall Engineers to solve the joint rotation problem

1.4 STEP 4: Concept Selection Based upon the evaluation of the material developed during concept evaluation, a concept/product idea will be selected in order for it to be implemented. It is expected that this concept will resolve the problem. Deciding which concept should be used is typically a group decision made by management based upon the evaluation of criteria

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produced by participating engineering, sales, and marketing teams. The approved concept will then move to the detailed design stage.

Real World Connection 5: Concept Selection: Selection of option 2 and option 3 In the case of the problem with the field joint rotation, successful test results and the upcoming deadlines to launch the shuttle during 1980 forced Marshall and MTI’s engineers to decide against redesigning the entire joint (which was Option 4 in Mr. Ray’s memo). Instead, they decided to use thicker shims (Option 2 from the same memo) and larger orings (Option 3 in the same memo) on the field joint. A shim is a thin wedge of material that can be driven into crevices. It is placed in between parts to make a better fit. Figures 13 show the location of shims in a field joint and details of the field joint.

Figure 13: Detailed view of the field joint, tang, clevis, and the location of Ushaped shims.

1.5 STEP 5: Detailed Design Once several feasible ideas have been evaluated, the best concepts are selected. An enormous amount of time is spent on determining the specific characteristics of each piece of the product. The anticipated specifications are usually communicated through the use of engineering

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drawings and specification sheets (often called “spec sheets”). Engineering drawings are typically drafted using computer aided design (CAD) software. Before CAD software became a standard tool in the design process, similar drawings were hand drawn with pencil and paper. CAD software typically includes the capability to draw in two dimensions and label the dimensions. More sophisticated CAD packages, such as, Computer graphics Aided Three-Dimensional Interactive Application (CATIA) and Electronic Preassembly in the Computer (EPIC), allow three dimensional and solid modeling. An example CATIA production drawing example is shown in Figure 14

Figure 14: Detailed Design Example

Solid modeling has many benefits, which become more important with increasing product complexity. A few of the benefits are: a) pieces can be assembled to determine interference, b) the drawing can be rotated and viewed from all angles, and c) material properties can be assigned to pieces for further engineering analysis and simulation. It is imperative that the engineering student becomes comfortable with CAD software for today’s job market. The future engineer should note also that information technology (IT) is linking company departments together electronically in better ways that were awkward before. For example, Boeing used IT to reduce their design time for the 777 by linking engineering, accounting, suppliers, customers, communications, and management together through a common information system. Boeing also avoided creating a physical prototype for this project, a bold and unorthodox step for Boeing8. (For more information on Boeing and Creation of 777 please refer to Appendix I at the end of this chapter.)

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Real World Connection 6: Detailed Design: Design of field joint Based on the selection, a final drawing was created of the field joint. Figures 16 provides the specifications of the field joint and Figure 15 and 17 show the specifications of the SRM. A consistent documentation process that organizes data graphically allowed engineers to specify the parts of the SRM in a methodical manner. It is important that fabricators understand the schematic (for the life of this product to ensure the correct reassembly of the SRB), because of the safety issues involved and the reusable nature of the Solid Rocket Booster (SRB). The design process is guided by function, form (appearance), materials, construction, and safety factors. Function defines what is the purpose of an object: a O-ring; that is to seal the hot gases. Form defines how the object looks; does the ring look black, green, or other colors and how does it look when fitted with the other parts. Materials define the selection of heat resistant Viton rubber as the appropriate medium for construction of the O-ring. There might be many other materials that might provide similar or better sealing properties. Construction deals with how difficult or easy it is to make the parts and mate them together to create the SRB. Safety factors determine whether there needs to be one or two O-rings or other mechanisms to provide safe operations. All these design factors were taken into account in making the choice of the two alternatives and the eventual design of the SRM. The design intent of the joint is to allow transporting the SRM in sections. After assembly, the joint is responsible for preventing hot gases used to propel the space shuttle from escaping through the joint. It accomplishes this by sealing the joint with heat resistant Zinc Chromate putty and two O-rings. Figure 16 shows a two-dimensional design of the field joint and Figure 18 shows a three-dimensional drawing. CAD/CAM provides the ability to draw three-dimensional drawings; in addition, it is possible to animate the components and find out how well they fit together. SOLID ROCKET MOTOR CHARACTERISTICS:

LENGTH DIAMETER PROPELLANT WEIGHT TOTAL WEIGHT AVERAGE THRUST ACTION TIME

126.12 FT 12.17 FT 1,110,000 LB 1,256,000 LB 2,402,000 LB 123.4 SEC

Figure 15: Specifications of the SRM

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Figure 16: Specifications of the Field Joint

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Figure 17: Detailed schematic showing the design of the Solid Rocket Motor (SRM) joint

Figure18: A CAD Model of a Field Joint

Source: NASA: http://history.nasa.gov/rogersrep/v4index.htm

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1.6 STEP 6: Prototyping With detailed drawings and specifications completed, the product can be submitted to the prototype stage. During prototyping, either fullsize, scaled, and/or virtual models of the product are built to further determine the merit of the idea and to test different aspects of the design. Questions concerning engineering theory costs, construction time, etc. need to be answered. Often times, paper ideas leave out many details and address few of the problems associated with the physical construction of the product; however, the incorporation of CAD software within the design phase has greatly reduced the likelihood of this problem. If a product transitions directly from the drawing board to the production line without prototyping, the results may not be successful. Prototyping allows the company to evaluate the product and discover problems before investing the resources required to begin full scale production. Computer software now allows much of the prototyping process to be done without a physical model. This is referred to as Virtual Prototyping. Using the CAD model built during the detailing stage saves significant time and resources. Software vendors are standardizing the way different programs communicate with each other so only one computer model is required. Computer techniques like Finite Element Analysis and Computation Fluid Dynamics can be used to evaluate the strengths and weaknesses of a design before it is ever built. Rapid Prototyping employs automated manufacturing to generate physical models. This technique of prototype construction can be faster and more precise than human fabrication. In many cases a part can be made within hours of deciding to build it. Not all parts can be made to final specifications using this method, but just having the geometry of a part can be useful. If a device is being retrofitted, a designer may not have control over all specifications or even a precise set of measurements of conditions as they exist. Questions involving all aspects of the product should be answered at this stage. 1.7 STEP 7: Testing Testing of the prototypes is the next phase. Prototypes may go through several design iterations before the final prototypes are made. The final prototypes are to be close to the target product. Characteristics such as appearance, materials, and performance will be matched closely with the expected production line item. To check product performance, testing must be conducted to ensure that the product meets explicit specifications. Specifications give the testing process the benchmarks necessary to evaluate the product.

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For example, the car navigation system’s display may produce a glare at certain driver perspectives. A tilting display may enable a larger range of perspectives for the driver’s position. This tilt angle must be specified, as well as the expected perspectives of the driver, depending on the person’s size. During testing, the final prototype will be checked to see if it can achieve the specified angles to eliminate the glare problem. If the adjustments do not reduce the glare problem, the prototype must be redesigned or the specifications reevaluated. Physical performance specifications include product life, safety, speed, power consumption, and efficiency, etc. Note that the improper use of specifications will lead to wasted time during quality inspections (increasing the product cost) and frustration from the staff. Continual testing well into the production stage is important for ensuring that the product meets all specifications, unless t specification changes are made. A quality testing program is usually carried to the point of product failure. This requires predicting when and how a product will fail. Two methods that are useful in this regard are Fault Tree Analysis (FTA) and Failure Modes and Effects Analysis (FMEA). FTA (Figure 23) uses a combination of Boolean algebra and flowchart diagrams to predict scenarios for failure. FMEA assigns a numerical value to three categories that help assess the risk of failure of a product with a Risk Priority Number (RPN). The three categories used by FMEA to determine an RPN are Severity, Occurrence, and Detection. The severity number for a product failure that reduces its effectiveness is low (Severity=2), while a life threatening situation is high (Severity=10).

Figure 19: Fault Tree Analysis

The Occurrence factor predicts how often a failure occurs, while detection quantifies how difficult it is to identify the failure. The categories are multiplied together to determine the RPN for the failure event. In this way, the different aspects of possible failure can be prioritized. FMEA can be used in both the design and production phases.

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Real World Connection 7: Testing: Testing leads to designation of srm being certified as criticality 1-r Morton Thiokol, Inc. (MTI) used many tests during the prototyping phase to ensure safe operation of the Solid Rocket Motor (SRM). After many tests, NASA and MTI felt confident in the primary O-ring’s sealing ability since it performed its function in more severe conditions than expected during launch operations. When they purposely failed the primary O-ring, engineers found that pressure at ignition activated the secondary O-ring, which sealed the joint, and fulfilled the redundant function. Additional testing proved that the joint seals after compression values lower than the industry standard after three aspects of the field joint are altered—if the shim size is thickened, the joint metal tolerances are reduced, and the O-ring size is increased. At the completion of these tests, engineers at NASA and MTI unanimously agreed that although the performance of the field joint deviated from expectations, it was a reasonable risk. Shortly after the certification, On November 24, 1980, the SRM field joints were classified on the Solid Rocket Booster Critical Items List as criticality category 1R. NASA defines “Criticality 1R” as any subsystem of the Shuttle that contains “redundant hardware, total element failure of which could cause loss of life or vehicle.” The use of “R”, representing redundancy, meant that NASA believed the secondary O-ring would pressurize and seal the gap if the primary O-ring did not work (Refer to Figures 20, 21, 22 and 23).

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Figure 20: Screenshot from the CD gives more information on Criticality 1R

Figure 21: Above screenshot links to the Shuttle Testing information in the CD

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Figure 22: A test being performed on SRB

Figure 23: O-Ring Failure Analysis

1.8 STEP 8: Send to Production If testing proves that the product is of acceptable quality, then the product can enter the production phase. Thoughts of the production phase likely begin during the detailed design stage. As engineers become more experienced, they will consider not only the design of the product components, but also how the components will be made. If given two equal possibilities for product construction, the one that is proven or easier to manufacture might be the best alternative. Developing some idea of how a product should be manufactured, often as early as the design stage, can only help to speed up the design process. Early in the production phases, engineers decide exactly how each part should be made, required equipment, manufacturing or processing time, and necessary materials. If there is no current method to fabricate a part as specified, a process will be devised or the component is redesigned. Also, during this phase, engineers decide how they will ensure that the parts and the final product will meet quality standards and design specifications.

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After the production-planning phase is complete, actual production processes will begin. During early production, problems will arise and need to be addressed either by the manufacturing staff or the design staff, depending on the problem. With time and effort, production will (ideally) become smoother and more efficient.

Real World Connection 8: Production: Production of shuttles and successful operations On April 12, 1981, the world watched the Orbiter Columbia climb into space (Figure 24).. After nine years of space shuttle design efforts,, engineers and managers throughout the United States celebrated its first flight. NASA had been working with several contractors since 1972 to produce the Space Shuttle as a means of cost-effective transportation into space. The roar of Columbia’s solid rocket boosters signified a success for the Space Shuttle team. The ascent of Columbia in 1981 marked the first of four test flights of the space shuttle system. Figure 24 : Shuttle Columbia launch These test flights were conducted between April 1981 and July 1982 with over 1,000 tests and data collection procedures. The landing of STS-4 (Space Transportation System – 4) in July 1982 concluded the orbital test flight program with 95% of the objectives accomplished. At this point, NASA declared the Space Shuttle “operational” and a heavy launch schedule was planned for the future. An early plan called for an eventual rate of one space mission per week, but realism forced revisions. In 1985, NASA published a projection calling for an annual rate of 24 flights by 1990. However, this seemed to be an ambitious goal since NASA worked very hard to complete nine missions in 1985. William P. Rogers, Chairman of the Rogers Commission, explained: …the attempt to build up to 24 missions a year brought a number of difficulties, among them the compression of training schedules,

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the lack of spare parts, and the focusing of resources on near-term problems…The part of the system responsible for turning the mission requirements and objectives into flight software, flight trajectory information and crew training materials was struggling to keep up with the flight rate in late 1985…It was falling behind because its resources were strained to the limit… The “routine” sentiment toward the Shuttle operations not only strained resources, but also created a sense of security among the Shuttle team. William Rogers explained this trend: Following successful completion of the orbital flight test phase of the Shuttle program, the Shuttle was declared to be operational. Subsequently, several safety, reliability, and quality assurance organizations found themselves with reduced and/or reorganized functional capability…The apparent reason for such actions was a perception that less safety, reliability, and quality assurance activity would be required during “routine” Shuttle operations. In other words, the NASA focus had shifted from developing effective space transportation to using space transportation effectively. Figure 25 summarizes the eight elements of the design process and how these processes were used to design the space shuttle between 1971 and 1980.

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Figure 25: First stage design iterations on Space Shuttle

1.9 STEP 9: Redesign In many cases, production phase is the last phase of the design process. However, there may be instances where the incorporation of the product in a process or use of the product within its desired application results in tragedy. Or, the development team may realize that a crucial component was designed in error as a result of consumer complaints or suggestions. In such cases, recall of the product happens. If this occurs, the product once again proceeds through the design process to correct the problem and prevent further damage. In the following sections, we will illustrate this process by describing the efforts involved in the redesign of the space shuttle after the Challenger space shuttle (STS 51-L) accident during 1986 and Columbia space shuttle (STS 107) accident during 2003. 2.0 STS 51-L Challenger disaster and redesign The new NASA focus fostered the achievement of many Shuttle feats in its twenty-four missions between 1982 and 1986. The Orbiter Columbia made seven trips into space, the Discovery six, the Atlantis two, and the Challenger nine. In these 24 missions the Shuttle demonstrated its ability to deliver a wide variety of payloads, to serve as an orbital 79

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laboratory, to serve as a platform to erect large structures, and to help retrieve and repair orbiting satellites. These accomplishments effectively met NASA’s goals for the Space Shuttle. All flights were successful except the seemingly random hot gas erosion of O-Rings in the SRB field joint on some flights, while other flights performed without any seal damage. During 1982, during tests, it was revealed that the dual O-rings were not a completely redundant system; therefore the criticality classification of the field joint was reclassified as Criticality I. Further test results on O-ring erosion and putty during 1980-1986 are shown in the CD. On January 15, 1986, NASA held a Flight Readiness Review for Challenger shuttle flight STS 51-L. Jesse Moore, the Associate Administrator for Space Flight, issued a directive on January 23rd that the Flight Readiness Review had been conducted and that 51-L was ready to fly pending closeout of any open work. No problems with any Shuttle components were identified in the directive. The L-1 Mission Management Team meeting was conducted on January 25th. No technical issues were brought up in the meeting and all Flight Readiness Review items were closed out. The only remaining issue facing the Mission Management Team at the L-1 review was the approaching cold front, with forecasts of rain showers and temperatures in the mid-sixties. There had also been very heavy rain since the Shuttle was rolled out onto the launch pad. At 2:30 p.m. EST on January 27th, Robert Ebeling, a MTI engineer, convened a meeting to discuss concerns about the cold weather predicted at launch time. After the meeting a teleconference was scheduled for later that evening. At 8:00 p.m. on Friday, January 27th, 1986, engineers and mangers from Kennedy Space Center, Marshall Space Center, and MIT participated in the teleconference. During the teleconference, the issue was raised that the cold weather was outside the scope of available data on the O-ring Joint sealing mechanism. The engineers were trying to say, “We can’t be certain the SRM will work.” Management interpreted that as “We can’t be certain the SRM will fail.” Further details about the teleconference is available in the CD-ROM (Figure 26).

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Figure 26: Screenshot explains the decision made on 27th January 1986.

Following the discussion between MTI engineers, NASA and MTI management, NASA decided to proceed with the plan to launch Challenger on January 28, 1986 despite the predicted weather conditions (Figures 27, 28 and 29) On January 28, 1986 weather conditions were extremely cold as predicted. Although there was a 2 hour delay because of the ice, lift-off continued as planned. Immediately following lift-off, photographic data revealed the presence of small gray puffs of smoke from the field joint on the right solid rocket booster (SRB) within 0.678 seconds of lift-off. Between 0.836 and 2.5 seconds, multiple smoke puffs emerged. The black color of the smoke indicated that the hot propellant gases were burning and eroding the grease, joint insulation, and rubber O-rings found in the joint. At 58.788 seconds, the first small flame was seen. This flame continued to grow and was forced to the rear of the shuttle by aerodynamics. Suddenly the flame color changed which indicated the gas leaking from the SRB was mixing with hydrogen leaking from the external fuel tank. The structural failure of the hydrogen tank resulted in a 2.8 million pound forward thrust, which caused the hydrogen tank to be pushed into the intertank structure. Simultaneously, the right side SRB collided with the intertank structure and liquid oxygen tank, both failed at 73.137 seconds after lift-off. The explosion of the liquid hydrogen and oxygen tanks led to the total destruction of the Challenger space shuttle and its crew. The CD-ROM has details of the teleconference, copies of the slides that were used at the teleconference, and more details about the accident. 81

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Figure 27: Ice on the launch complex. The launch was delayed by two hours because of the ice.

Figure 28: The iced control box which was used on the launch pad

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Figure 29: Challenger Accident after launch

2.1 FIELD JOINT redesign: SECOND ITERATION 2.1.1 STEPS 1, 2, 3, and 4: PROBLEM DEFINITION On February 3, 1986, President Reagan assembled a group of individuals to investigate the cause of the Challenger Accident. Figure 22 shows a picture of some of the recovered remains from the Challenger accidentii. The committee obtained all of the data, reports, and records available about the accident. In addition, they orchestrated tests, analysis, and experiments among NASA, government agencies and other contractors. Their through analysis revealed that the main cause of this accident was the failure of the field joint. Although it was possible to utilize the O-rings at the temperature of the flight, the minimum qualified temperature had been 53°F. The committee also stated that the contributing factors to the field joint failure included physical dimensions, temperature effects on the joint, material characteristics, and consequences of dynamic loading. They also stated that the breakdown of communication between NASA and MTI management and engineering teams was unacceptable and needed to be changed. For nearly three years, the manned space program was put on hold as engineers evaluated every aspect of the SRB design.

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2.1.2. STEP 2: CONCEPT FORMATION Concept formation is very important step in engineering design process and there are different methods to analyze the concept whether it will be suitable for a particular product or not. Among all one of the method is to use Fault Tree Analysis. Fault Tree Analysis is a logical, structured process that can help identify potential causes of failure before the failure actually occurs. Fault tree are powerful designing tools that can help ensure that product performance objectives are met. Fault tree analysis can be applied in the designing of manufacturing equipments, automotive subsystems, aircraft, nuclear power plants etc. The benefits of this tool are as follows: • • • •

Identify possible system reliability or safety problems at design time Assess system reliability or safety during operation. Improve understanding of the system Identify components that may need testing or more rigorous quality assurance scrutiny Identify root causes of equipment failure

•

Capabilities • •

Design for reliability Design for safety

At the Marshall Space Flight Center, Frank Adams, Deputy manager for boosters, and his team of engineers used the Fault Tree Analysis to determine what actually went wrong with the design of the field joint that was used in STS 51-L. Figure 30 shows a fault tree for the SRM hot gas lead failure scenario. Just after lift-off at .678 seconds into the space, photographic data (Look at Figure 31 and Figure 32) shows a strong puff of gray smoke spurting from the vicinity of the aft field joint on the right Solid Rocket Booster. Based on extensive testing, engineers identified three problems with the STS 51-L joint design which combined to cause the joint failure. • • •

The slow, low-temperature dynamic response (resilience) of the Oring seals, The inability of the putty placed between mating segments of the insulation upstream of the O-rings to reliably effect a pressure seal, and The mechanical design of the metal components of the joints themselves, which allowed the gap that was sealed by the O-rings to increase by as much as 50 mils during the initial pressurization of 84

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the motor, which took place over a period of about 0.6 seconds. The O-ring failure was the principle source listed as the cause of Challenger explosion, because this was the last line of defense against joint failure. Three components were designed to prevent field joint failure in a sequential manner: heat resistant putty and primary and secondary O-rings. The O-rings were made of a type of material called fluoroelastomers. Properties of this material made it suitable for its ability to resist pressures and temperatures experienced during launch. .As the joint moved and adjusted under the initial forces of the launch, this material would also deform to maintain the joint seal. The cold weather of the morning of the Challenger launch made the O-ring too stiff to deform properly. Inspection records indicated service wear was present in the aft field joint (where the SRB began to outgas). This joint was found to have been out of round, from repeated uses. While the actual deviation was small (0.008 of an inch with average gap of 0.004 of an inch), the changes did make for nonuniformity in the seal. This could have aggravated the known problem of joint rotation.

Figure 30: Fault Tree Analysis

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The arrow in Figure 31 points to the puffs of smoke coming out of the aft field joint at the right of SRB. The black smoke suggested that grease, joint insulation and rubber O-rings were being burned. This black smoke was an indication that the aft field joint was not sealed correctly. Figure 32 shows the damage and the flames coming out after 6 seconds of launch.

Figure 31: Field Joint Failure At Launch

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Figure 32: Flames Emanating from between Challenger and Solid-Rocket Booster

2.1.2 STEPS 3, 4, and 5: CONCEPT EVALUATION, SELECTION, and DETAILED DESIGN Engineers discussed a complete redesign of the field joint. However, it was expected to be too costly and too time consuming. They also felt that new and unknown problems would arise if this task was taken on. Therefore, they decided to redesign the areas or structures where the problem occurred—blow holes found in the putty, O-ring erosion, joint rotation, and poor resilience between the O-ring and gap opening. All areas were selected for redesign to ensure complete reliability of the field joint. After the decision was made to improve the existing SRM field joint assembly, it was necessary to find out what improvements would or could be made. The technical problem centered around three sources of error in joint sealing. O-ring seating, service wear, and overall joint performance. During testing, O-rings made of fluoroelastomers could only be relied on at temperatures above 75° F. Several other materials were examined to see if they could replace the fluoroelastomers. Silicone and Nitrile elastomers were shown to reliable deform down to 50° F. The alternate materials were incompatible with grease used in the joint, and did not resist high temperature flames well. 87

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A complete redesign of the tang and clevis mechanism was called for. The new design added a new groove as shown in Figure 33. A more important facet of the design was how the whole system would perform together. Many of the original tests of the SRM and joint9 subsystems were performed at low temperatures. The redesign of the joint mating process was not limited to the geometry of the metal casing of the SRM. The non-uniform nature of how the O-ring pressurized was a contributing factor in poor joint performance. The interface of the insulation on the inside of the SRM presented another choice to be made. Two options were explored. The first calls for allowing a gap in the insulation between the separate SRM sections. The gap would allow the gases to expand, and then reach the outer metal casing. Upon reaching the outer casing this small amount of gas would have become stagnant in the gap and would then cool to prevent heat from reaching the O-rings. This method would have also allowed the first O-ring to be under uniform pressure when it seated, helping form a more consistent seal. The second option utilized an adhesive or pressure seal to join the insulation. This added an extra layer of safety between the gases and the O-rings, but also meant that failure of this component would endanger the seal again with non-uniform pressures. This design choice shows how the arrangement of the whole system under operating conditions is as important as each subcomponent. The SRM field-joint metal parts, internal case insulation and seals were redesigned and a weather protection system was added10. In the STS 51-L design, the application of actuating pressure to the upstream face of the O-ring was essential for proper joint sealing performance because large sealing gaps were created by pressure-induced deflections, compounded by significantly reduced O-ring sealing performance at low temperature. The major change in the motor case was the new tang capture feature to provide a positive metal-to-metal interference fit around the circumference of the tang and clevis ends of the mating segments. The interference fit limited the deflection between the tang and clevis O-ring sealing surfaces caused by motor pressure and structural loads. The joints were designed so that the seals will not leak under twice the expected structural deflection and rate. The new design, with the tang capture feature, the interference fit, and the use of custom shims between the outer surface of the tang and inner surface of the outer clevis leg, controls the O-ring sealing gap dimension. The sealing gap and the O-ring seals were designed so that a positive compression (squeeze) is always on the O-rings. The minimum and maximum squeeze requirements include the effects of temperature, O-ring resiliency and compression set, and pressure. The clevis O-ring groove dimension had been increased so that the O-ring never fills more than 90 percent of the O-ring groove and pressure actuation is enhanced.

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The new field joint design also included a new O-ring in the capture feature and an additional leak check port to ensure that the primary O-ring is positioned in the proper sealing direction at ignition. This new or third O-ring also serves as a thermal barrier in case the sealed insulation is breached. The field joint internal case insulation was modified to be sealed with a pressure-actuated flap called a J-seal, rather than with putty as in the STS 51-L configuration. Longer field-joint-case mating pins, with a reconfigured retainer band, were added to improve the shear strength of the pins and increase the metal parts' joint margin of safety. The joint safety margins, both thermal and structural, were tested over the full range of ambient temperature, storage compression, grease effect, assembly stresses and other environments. External heaters with integral weather seals were incorporated to maintain the joint and O-ring temperature at a minimum of 75º F. The weather seal also prevents water intrusion into the joint.

Figure 33: Field Joint Redesign

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2.1.3 STEP 6: PROTOTYPING All aspects of the joint were examined when the redesign configuration was selected. Computer Aided Design with Finite Element Analysis (a process of analyzing the structure of complex shapes) showed that the original pin design was generating concentrated forces around the connection points. The iterative nature of design allows for discovering problems that may have as yet been unnoticed. In addition to virtual modeling, plastic and metal models of the SRM were made. Multiple models of each part were made for a variety of tests. Prototyping is a fabrication phase just prior testing. During this phase, it is sometimes necessary to build unique equipment to perform tests. One such device was constructed to test joint eccentricity. 2.1.4 STEP 7: TESTING During the redesign phase of the SRM joint, an extensive battery of tests were performed on both the new design and the old design in an effort to determine the value of the improvements. Many NASA engineers felt that the original design came from conventional practice and experience with minimal theoretical considerations. In the second design iteration a more complete study was performed. Emphasis was also placed on how the systems interacted as a whole. Table 1 describes all the tests that were performed on the SRM during 1986 to 1988. A greatly enhanced NonDestructive Evaluation program for the field joint has been incorporated. The enhanced non-destructive testing procedures include ultrasonic inspection and mechanical testing of propellant and insulation bonded surfaces. All segments were to be X-rayed for the first flight and near-term subsequent flights. Table 1: Tests conducted by NASA on SRM during 1986- 1988: TEST TITLE: RESULTS: NO: 1A Characterization of SRM Thermal and Mechanical properties Joint Seal Materials did not very much with different Oring batches. 1B O-ring Defect Analysis High density, low density and surface defects did not alter the physical and mechanical characteristics of the Oring material. 2 Burn (Smoke) Tests Some joint seal materials produced white or light grey smoke in inert

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atmosphere and black smoke in air environment. 3A 3B 3C 3D 3E

4A 4B 4D

4E 4J 5

7

8 9

Dial Indicator Rebound Resiliency Test O-ring Resiliency Investigation Short Term Resiliency Testing of O-rings Long Term Resiliency Testing of O-rings Dial Indicator Rebound Resiliency Test of Defect O-rings Conoco Grease Blow through Test Randolph Putty Blow through Test Sealing vs. Temperature Transparent Putty Behavior Sealing vs. Temperature of O-ring Static Fixture Randolph Putty Blow through Evaluation Test Scenario 4B. Ice Effects on Joint Seal

O-ring Resiliency InvestigationComposition Variations SRM O-ring Stacking Damage Test Ground Truth Photo Test

Temperature played a dominant factor in controlling initial O-ring resilience. O-ring materials exhibited a significant loss of resiliency between 25 F and 75 F

-No Data-

Water does not have to be in contact with the secondary O-ring prior to freezing in order to unseat the Oring. Same results as test no.3 -No Data-No Data-

Source: http://www.msfc.nasa.gov

2.1.5 STEP 8: PRODUCTION Every launch of the space shuttle is part of the production phase of the project. It’s also important to remember that the product design is not complete until it incorporates the production process, including the “management subcomponent” of the design. The assumptions made by 91

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managers at NASA were at many times different from the engineer’s views. Dr. Richard Feynman, in his investigation of the Challenger accident, noted that field engineers involved with the shuttle program estimated the failure probability of the shuttle as about 1 in 100 from data they collected, while managers estimated the failure probabilty at about 1 in 100,000. The problems were fixed, the NASA administration was changed, and the Space Shuttle Discovery was launched on Sept. 29, 1988. It proved to be successful in its mission. 3 Successful Missions and Columbia Disaster during 2003 During 1988 to 2003, 24 missions with the orbiter Atlantis, 19 missions with Endeavour, 21 missions with Columbia, and 24 missions with Discovery were flown successfully. With the completion of Space Shuttle Mission STS-113 on December 7, 2002, a total of 112 missions had been flown since the first flight in April 1981. The STS-107 mission with orbiter Columbia was progressing well. A Space Shuttle contingency was declared in Mission Control, Houston, as a result of the loss of communication with the Space Shuttle Columbia at approximately 9 a.m. EST Saturday, Feb. 1, 2003 as it descended toward a landing at the Kennedy Space Center, Fla. It was scheduled to touchdown at 9:16 a.m. EST. Communication and tracking of the shuttle was lost at 9 a.m. EST at an altitude of about 203,000 feet in the area above north central Texas. The shuttle was traveling approximately 12,500 miles per hour (Mach 18). No communication and tracking information were received at Mission Control after that time. The Columbia Accident Investigation Board12 concluded during August 2003, “The physical cause of the loss of Columbia and its crew was a breach in the thermal protection system on the leading edge of the left wing, caused by a piece of insulating foam which separated from the left bipod ramp section of the external tank at 81.7 seconds after launch, and struck the wing in the vicinity of the lower half of reinforced carbon-carbon panel number 8. During re-entry this breach in the thermal protection system allowed superheated air to penetrate through the leading edge insulation and progressively melt the aluminum structure of the left wing, resulting in a weakening of the structure until increasing aerodynamic forces caused loss of control, failure of the wing, and breakup of the Orbiter. This breakup occurred in a flight regime in which, given the current design of the Orbiter, there was no possibility for any of the sevenmember crew to survive. The organizational causes of this accident are rooted in the Space Shuttle program’s history and culture, including the original compromises that were required to gain approval for the shuttle, subsequent years of 92

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resource constraints, fluctuating priorities, schedule pressures, mischaracterization of the shuttle as operational rather than developmental, and lack of an agreed national vision for human space flight. Cultural traits and organizational practices detrimental to safety were allowed to develop, including: reliance on past success as a substitute for sound engineering practices (such as testing to understand why systems were not performing in accordance with requirements); organizational barriers that prevented effective communication of critical safety information and stifled professional differences of opinion; lack of integrated management across program elements; and the evolution of an information chain of command and decision-making processes that operated outside the organization’s rules. The report concludes with recommendations, some of which are specifically identified and prefaced “as before return to flight”. These recommendations reflect both the Board’s strong support for return to flight at the earliest date consistent with the overriding objective of safety, and the Board’s conviction that operation of the Space Shuttle, and all human space flight, is a developmental activity with high inherent risks.” The design of the space shuttle is being reiterated during 2003-2005 so that the shuttle Discovery could be safely launched during 2005. The next launch of shuttle Discovery is scheduled for no later than July 200513,14.A budget of $3.9 billion and $4.3 billion had been allocated for the development and operations of the space shuttle during 2004 and 2005. The development costs are about $96 million during 2004 and $87 million during 200515. The space shuttle program plays a vital role in enabling NASA’s vision and mission. This includes advancing human exploration and providing safe access to space in support of human operations in low Earth orbit. The shuttle’s primary role is to complete the assembly of the International Space Station (ISS). The shuttle’s phase out is planned for the end of the decade, following completion of its role in ISS assembly.

4 Summary This chapter emphasizes the importance of effective engineering design in real world. In the near future, you will be taking many courses that concentrate on the classroom applications of engineering theory such as sizing a shaft or determining its torsional characteristics. However, when considering whether or not to build a shaft out of titanium or aluminum, you may want to consider that in the workplace, aluminum may be the material of choice from a basic cost perspective, but the titanium may be necessary to prevent catastrophic failure (at increased cost). You have also seen the design process graphically and through an elaborate example. We expect you to take this process and expand it to fit most of your engineering design projects. Please remember that good

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design is an iterative process, and without iteration and careful consideration of design faults and consequences, the impact of failure can be immense.

APPENDIX I THE DESIGN AND MANUFACTURE OF THE BOEING 777 Boeing designed its 777 aircraft in a paper-less mode through the integration of Computer Aided Design (CAD) systems. This allowed the 777 design team to access specifications from anywhere in the world and create virtual mock-ups instead of physical mock-ups. The modified design process allowed Boeing to cut its traditional 60 month development time to less than 48 months (Condit, 1994; Snyder, et al., 1998). In the following section, we will illustrate the engineering design process using the design and manufacturing procedures applied to the Boeing 777 aircraft. In Boeing’s case, the problem was defined by its competitors. During 1990, the leaders in the commercial airplane industry were Boeing, Airbus Industries, and McDonnell Douglas. In 1986, Airbus and McDonnell Douglas were building new planes - the A-330/340 and MD11/12 - to carry between 300 to 400 passengers. Airbus and McDonnellDouglas had modified their internal systems and were effectively producing new products in a shorter developmental cycle than Boeing. Both were using new techniques and procedures, leveraged with the use of telecommunications in an attempt to erode Boeing’s dominant position in the marketplace. These planes were designed for airlines that wanted to fill the gap between the 200 passengers that a Boeing 767 could carry and 425 passengers that a Boeing 747 could carry. In 1992, United Airlines placed a multibillion-dollar order with Airbus instead of Boeing, its historical supplier. Boeing was forced to design the Boeing 777 to fill the gap in demand and to cover the market for aircraft carrying between 300 to 400 passengers. Since Boeing was already late in entering the 300-400 passenger aircraft market, it was pressured to decrease the Boeing 777 developmental cycle from the traditional 60 months down to 48 months. Boeing used Information technology to reduce their design time for the 777 by linking engineering, accounting, suppliers, customers, communications, and management together through a common information system. Boeing distributed 2,200 computer terminals to its overall 777 design team. The terminals were connected to, one of the largest grouping of IBM mainframe computers in the world. This provided key participants in the design process, ranging from airframe manufacturers in Japan, to engine manufacturers in the U.K. and U.S., immediate access to the data.

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The systems also allowed all involved in the process to be aware of changes as they were made and confirmed (Condit, 1994; Snyder, et al., 1998). Boeing also avoided creating a physical prototype for this project, a bold and unorthodox step for Boeing (Snyder et al., 1998). Boeing used two CAD systems, Computer graphics Aided Three-Dimensional Interactive Application (CATIA) and Electronic Preassembly in the Computer (EPIC) in order to automate its design processes. CATIA was used to design specific components and was based on a Dassault/IBM system that was introduced to Boeing in 1986. This system allowed engineers to design components in three dimensions and ensured that they would properly fit and operate before they were physically produced. Use of the virtual mock-ups significantly reduced efforts in systems integration for aircraft manufacture compared to that involved with physical mock-ups. Boeing Chief Project Engineer for digital product design, Dick Johnson, stated, “With the physical mock-ups we had three classes: class 1, class 2, and class 3. The engineer had three opportunities at three levels of detail to check his parts, and nothing in between. With CATIA, he can do it day in and day out over the whole development of the airplane, and so it’s a tremendous advantage.” EPIC allowed the different components of the aircraft to be designed and integrated into a computer simulation of the whole plane. This was a system designed by Boeing for initial implementation in the 777 project. It allowed engineers to integrate all the systems on the aircraft to ensure that there were no interferences, and that all components interacted appropriately. Engineers using this system could view individual parts from varying perspectives, as well as operate the component as it was projected to be built. These components were then linked in a virtual mock-up for systems integration. The introduction of the EPIC system made possible a direct link between the computer description of the design of a component and the instructions that a machine tool would need to make it. This eliminated the earlier habit of “throwing the design over the wall” and letting production worry about creating the equipment. The apparent freedom to change parts until they became final could have led to absolute confusion as engineers constantly “tinkered” with their systems. Boeing countered this by imposing periodic design “freezes” where engineers would be forced to resolve conflicts their parts or systems created with all other systems. Resolving conflicts was critical in the design of the rudder, fuselage doors, the fuselage, and engines, since all these components were produced by subcontractors, mainly outside the continental United States. For example, the rudder for the 777 was produced by ASTA in Australia, using Boeing carbon-fiber technology in a German-built autoclave. Changes in the rudder design had to be fed to ASTA in Melbourne to meet production deadlines in the United States. Analysis of the rudder design revealed that there would be some

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aerodynamic “flutter” requiring a change in the design of the component. ASTA’s representative to the rudder design-build teams provided constant input to her parent company, allowing them to strive to meet production deadlines. Although CATIA was expensive to introduce and initially cumbersome to use, the system helped Boeing eliminate 65 percent of change errors and rework, 15 percent better than the target goal. CATIA also saved Boeing from having to make expensive engineering mock-ups of the 777 before it built the real aircraft (Guy, 1995). Digital mock-ups provided engineers with the physical reassurance of a design before they committed the design to production. Boeing actually did make one mockup: the nose of the 777, to verify that digital pre-assembly would work. Boeing tested its prototype nose of the 777 by checking the performance of "Catia-man," a computer-generated human model. The prototype was built to confirm that airline crews could be as agile in the 777 nose as "Catia-man" (Norris, 1995). Boeing devised a giant laboratory that contained every system used on the aircraft. The $370 million Integrated Aircraft Systems Laboratory linked engineering versions of every 777 systems in real time, allowing full "flights" to be enacted on the ground. Up to 57 major aircraft systems, 3500 line replaceable units and 20,000 parts were tested and integrated with other parts. Once the main aircraft systems were successfully "talking" to each other in the lab, testing moved to the three big integration labs. One lab tested avionics with real-time simulations of the aircraft in flight. A second lab validated the fly-by-wire flight control system. The third test lab simulated the cockpit. With completion of every test in the project, the prototype 777 was cleared for flight test in record time. The test program was designed to facilitate certification for 180-minute extended-range twin operations (ETOPS). This extended service allowed airlines to fly routes that involved long flights across water, three hours (180 minutes) away from the nearest airport. After passing a series of rigorous tests during the year following the first test flight on June 12, 1994, the FAA approved, on May 30, 1995, the 180-minute ETOPS for the Boeing 777. The first commercial flight of Boeing 777 from London to Washington D.C. on June 7, 1995, was successful and trouble-free. The increased-gross-weight, longer-range 777-200 was first delivered in February 1997. This model was capable of flying the same number of passengers up to 8,860 miles. Boeing also developed a stretched version of the 777, providing three-class seating for 368 to 386 passengers on routes up to 6,720 miles. This high-capacity 777-300 enters service with launch customers Cathay Pacific Airways of Hong Kong. By June 2002, Boeing had an order for 600 Boeing-777s and more than 400 in service around the world, each costing between $137 to $185 million.

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Boeing might not receive a reasonable rate of return for the capital spent on the building of the 777. However, a major payoff was applying the lessons learned from the 777 program to the production of the 737 – Boeing’s longest running and most successful transport program (Brown, et al., 1997). The core of the wing, the shape of the chord for the 737, had been changed to apply the advanced aerodynamics of the 777 wing for improved performance at cruise speeds. Another feature of the 737-600/700/-800 models is maintaining crew commonality with the flight deck of over 1,800 current generation 737s that have already been ordered. Even though Boeing recognized that the markets served by the different kinds of aircraft are different, its design methodology for Boeing-777 was effective in reducing unnecessary inventory and aircraft redesign. The Boeing 777 received the 2002 Airline Technology Achievement Award from Air Transport World Magazine for pioneering improvements in the development process.

DESIGN PROJECT OF A TENNIS BALL THROWER Objective: The thrower operator must be a minimum of four(4) feet from the machine when it is in operation. The thrower operator must not be placed in the line of the tennis ball trajectory. The thrower can not use any form of combustion or chemical reaction to propel the tennis ball. Electrical batteries are allowed, as the chemical reactions inside of batteries do not result in explosions with normal use. All safety precautions for the use of lead-acid (car) batteries must be observed. All devices and substances need for a shot must be on or contained within the thrower. The thrower may be supplied with needed substances or energy from containers or devices that are not part of the thrower between shots. This is allowed as a pneumatic device could be pressurized by a hand pump that is integral to the thrower but it would take more time than is reasonable for the final. The objective of this project is for the student teams to assemble a basic catapult from a kit supplied to them, and then determine its performance. The teams should vary the adjustable points of the catapult, and then observe the changes in the catapult’s performance. Translating the catapult’s performance into recordable data (ideally, graphically represented) in various configurations is encouraged, as there will be a competition which tests the teams’ accuracy at hitting targets at various distances. There will also be a competition to see which team can launch a tennis ball the maximum distance. The cost of the thrower can not exceed $75. The market value cost 97

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of all “scrap” or “salvaged” materials used in the thrower must be included in the budget. In real life even scrap costs money. Your labor is not to be counted against the $75, but keep up with how much time you put in. The cost of parts made in the machine shop is not to be counted against the $75. In addition to the 100 accuracy points 25 bonus distance points will be awarded for the thrower which throws a tennis ball the furthest. The amount of bonus points received for the second, third, and so on will be awarded by dividing 25 by the number of competing teams. Last place will receive one of the fractions of 25 points, second to last will receive two fraction of 25, and so on until reaching 2nd place. In the case of a tie the teams will receive the same score based on the place of the throws in the distance rankings. Project Description: This project should be introduced to the students with a brief talk about the history of catapults. This discussion can cover topics such as the different types of catapults and their function. The students could discuss the definition of various terms (see Appendix I). For those who need it, a step-by step procedure for assembling the catapult is presented in Appendix A1. Upon completing the catapult assembly, students are usually anxious to start shooting things, so an area should be designated for testing. Rules must be established and strictly enforced regarding horseplay and firing objects other than the tennis ball. Tennis balls should not be handed out until the rules are explained and understood. The ranges will also be necessary for the competition. The teams should vary the position of the hooks, catapult arm, etc. and become familiar with the variables and the effect they have on the performance of the catapult. Students should look up the subjects of catapult, trebuchet and onager in the library or on the Internet. Design Constraints: The catapults are furnished in kit form and only the modifications shown on the assembly drawing furnished with these instructions may be used. The catapult will not be used to throw any other projectile other than the tennis ball. The construction of the catapult is shown in the assembly drawing furnished with these instructions. Different Models of Tennis Ball Thrower Define the working concept of each model and find out which of

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the following is the suitable model for the given problem statement.

Problem Statement Catapult Model

Tennis Ball Launcher

No

Potato Canon

Does it meet Requirem ent?

Slingshot

No

Yes Build Prototype Modify Prototype Testing of Prototype

No

Yes

Do you have Enough Time and Resources?

No

Is it working properly?

Yes Send to production

Concept Formation: In the start of the concept development the whole group should come out with the ideas on how to throw a bowling ball far and accurate enough. In this method everyone should draw their own ideas on different papers. After this the papers should be arranged on a wall in different categories. The ideas should also be discussed openly to bring new ideas to everyone. After discussion the process start again from the beginning. This may result over 10-15 considerable concepts to build a catapult. Concept Selection: After having plenty of concepts groups may cut the problem and the human resources into smaller pieces and start to work on different sectors. This may include for example storing of energy and aiming of the catapult. This may also result in many approaches that were applicable in most of the main concepts. After many iteration rounds and combination of ideas groups may have two to three different concepts to select from.

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Every one of these concepts should be carefully investigated. The group should rank these three concepts and finally choose a concept containing all the features stated in the problem statement. In short, the concept selected by the group should have proper reasoning.

Figure 34: Figure shows a Catapult

The following information is for the teacher to assist in conducting the project.

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Notes: • Prior to assembly, mark the centerline of each side. These points should match up when mounted to the base. • Do not drill holes for screws or screw eyes. Use an awl for starting • Items 5 & 6 may be moved anyplace on the arm to adjust the flight path • No more than two of item 12 may be used • One of item 7 is mounted anywhere through the side as a stop for the arm. Assembly Instructions: (Reference Assembly Drawing) 1) Mark the measurements on the board for cutting to desired size

2) Bases & hardware kits (The kit should contain hammer, nails, nuts and bolts, saw, universal glue, etc.) should be used for this purpose. 3) Have teams mark the center line down the length of the base (1 3/4” from each side)

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4) From the “front” end, make four marks 1” apart on the centerline. 5) From the “back end make four marks 1” apart, but make the first mark 2” from the end. 6) Teams may have to put starter holes in base using awl or center punch. 7) Pass out the sides. 8) Teams align sides by insuring the top center holes in both sides are exactly opposite each other. An easy way to do this is insert one of the 4 ½” machine screws through the holes, and hold the sides in place so that the machines screw is perpendicular to both sides and the base. Top center hole

(Fulcrum point for the arm) FRONT X X X REAR 9) Mark with a pencil or pen the three screw locations on each side of the base (front, back and middle as shown by “X” on drawing). 10) Remove six dry wall screws from hardware pack. Teams screw sides to the base. When the sides are on, remove bolts, nuts and lever arm from the hardware kit. 11) Install the lever arm with the bolts & nuts as shown in the Assembly Drawing Section A-A. The 3 outer nuts provide rigidity and support for the catapult’s sides, and the 2 inner nuts insure the lever arm remains centered between the sides. 12) The additional bolt is for use as a stop for the arm. 13) Remove hook eyes and 1 length of chain with a hook attached and one hook eye. 14) Install the hardware in appropriate location (variable). For screwing in hook eyes on the lever, use an awl as a starter rather than drilling (as a safety measure, the length of jack chain with the gate-hook and attached string which acts as a trigger device should always be mounted on the catapult base, with the separate gate-hook eye ONLY being mounted on the catapult arm. At no time should the jack-chain with the gate-hook attached be flying through the air in an arc at the end of the catapult arm each time the catapult is triggered). 15) Install cup on the lever arm (used to hold the tennis ball). 16) Install rubber bands and pass out tennis balls.

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17) Instruct class about safety procedures (See SAFETY PROCEDURES). 18) Test and adjust catapults for the competition. Catapult Variables: Front end of catapult 1) 2) 3) 4)

Use of 1 or 2 rubber bands. Use of thick (# 64) or thin (# 32) rubber bands. Location of hook on base. Location of hook on catapult arm.

Back end of catapult 5) Location of anchor screw on base for “trigger chain” 6) Location of eye on catapult arm for “trigger hook”. 7) Link position on chain used for attachment of gate-hook (the length of the trigger mechanism may be varied). Catapult Arm 8) Position of pivot pin through catapult arm. 9) Location of cup holding projectile on catapult arm. 10) Cup modifications (e.g. size, holes in sides, shaping ,etc.) 11) Location of pivot pin through sides. 12)Location of “stop” through sides. DEFINITION OF TERMS Trajectory: The path or curve described by a body (as a planet or projectile) under the action of given forces. Energy: Potential Energy - Is the kind of energy that a body has by virtue of its position. When a body is raised to a higher level, it is able to do a certain amount of work in falling back again, and hence it was given a certain amount of potential energy in raising it. Kinetic Energy: Is the energy that a body has by virtue of its motion. Energy Storage: If a spring is compressed, and then is forced to stay in 103

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that compressed configuration, the spring can be said to have “stored” energy. Once the spring is released, it will return to its original configuration (usually expending the stored energy as rapidly as possible). The same goes for stretching a spring; when released, it will collapse back to its original configuration. Trigger: The device used to release the catapult once it has been loaded and charged to fire the projectile. Ballistics: The science of projectiles. Range: Distance for which a projectile can be thrown.

Formulae Motion of projectiles is composed of two forces, one is uniform (gravity) and the other is variable (acceleration). These are the two forces required by the study of ballistics to determine the range of a projectile and to project and trace its path.

A gun fires a projectile at a velocity v in a direction F degrees upward from the horizontal. The first step is to resolve the projectile velocity into a vertical and a horizontal component. The time of flight is determined by the vertical component of the velocity and the acceleration due to gravity, and can be found in the following expressions: a) vf = vo + gt 2 b) s = vo t + 1/2 gt c) vf^2 = vo^2 + 2gs Where: vf = Final velocity, feet per second vo = Initial velocity, feet per second t = Time in seconds g = Acceleration due to Gravity at 32.2 ft /sec/sec s = Distance in feet

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The vertical component of the projected velocity is v sin ö and its horizontal component is v cos (F ) as shown above. If t is the time of flight, as yet unknown, the horizontal distance traversed will be the range. X = v*t* cos (F )

To find the time of flight, use equation 1) above selecting some direction, say upward, as positive. First find t1 in which the projectile reaches the top point of its flight, where its vertical velocity is zero, from the expression v sin F = gt1. During this period t1 the projectile rises to a height given by equation 2) which can be written: h = 1/2 g (t1)2 The time t2 required for the projectile to return to ground is found from: -h = - 1/2 g (t2)2 and since h in the last two equations represents the same height, it follows that t1 = t2, or the time of flight to reach maximum elevation is the same as the time to drop from that level to the datum plane. The total flight time is therefore t = 2t1. Combining this result with the first two equations of this derivation, gives the range of the projectile as: X = vt cos(F ) = 2vt1 cos(F ) = 2v(v sin(F ) / g) cos(F ) Or X = (v2 / g) sin 2(F ) Further, by eliminating t1 from the equations v sin (F ) = gt1 and h= 1/2gt1 of the projectile is found to be: h = (v2/ 2g) sin2 (F ) It should be noted that for the maximum distance, the release angle of the projectile should be 45 degrees.

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VARIABLE DATA SHEET (CATAPULT) Objectives: 1. To assemble a basic catapult 2. To determine performance by varying adjustable points of the catapults and to observe the change in performance Variables: 1. 2. 3. 4. 5. 6. 7.

1 or 2 rubber bands Thick or thin rubber bands Location of hook on base Link position on chain used for catapult arm attachment Position of pivot pin through catapult arm Position of cup holding projectile Location of pivot pin through sides 8. Location of “stop” through sides

Design Project Report: The creation and construction of the Tennis Ball Thrower is to be documented. The report will explain the choices your group makes in designing your thrower, detailed specifications of the thrower, design drawings, detailed budget, list of parts, and problems your group experienced in producing the thrower. The report is to be concise and complete. Design Project Presentation: Each group will make a presentation to their lab section covering the information in the report. Each group member will give a part of the 106

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presentation. Questions To Be Discussed: Some of the questions relate specifically to the project, others, though related, may go well beyond the project. Questions may vary in complexity but teachers are encouraged to introduce these concepts to students. The intent is to provide discussion material at the completion of the hands-on project. It is suggested that questions be handed out at the first session and then discussed by the students and facilitators at the final session. It would also be a good idea to give the students the questions with the answers after the discussion. Answers to these questions can be found in number of books. 1. Name the various forms of energy involved in the catapult. 2. If one were to use a golf ball instead of the tennis ball, would the ball go farther, everything else being equal? 3. If you were to do the project on the moon, which of the three balls would you expect to go the shortest distance? 4. Using the tennis ball on earth, if you doubled the rubber bands, so the force would be twice as much, the tennis ball would leave the cup at about twice the velocity. Would you expect it to go twice as far? 5. If the ball left the cup going parallel with the ground would the time in the air be longer with two rubber bands as compared to one? 6. If you didn’t have air friction, at what angle with the earth’s surface would give the greatest distance? 7. If you tried to fire the catapult exactly the same every time, would you expect the ball to fall in the same place each time or in some specific pattern that would have specific mathematical meaning? 8. If the ball leaves the catapult with a velocity V, what are the vertical and horizontal components? 9. If there is no air resistance how high will the ball rise? 10. How far would the ball go with no air friction in question 9? 11. Show that the maximum distance will be achieved with a 45-degree angle. References: i.) www.chsscout.net ii.) www.fsea.org

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SHORT ESSAY QUESTIONS 1) What is the definition of engineering design? 2) What are the fundamental elements of the design process? 3) What does the engineering designer produce? 4) What is the primary component of product development? 5) What are the specifications of a product? 6) What is important when defining a problem? 7) Why did the Kansas City’s Regency hotel collapse in 1981? 8) What is brainstorming? 9) Explain concept evaluation? 10) Define concept selection. 11) How are the design specifications communicated? 12) What do you understand by CAD? 13) What are the benefits of solid modeling? 14) What is the prototype stage? 15) How is the product performance checked? 16) What is the production phase? 17) What are the decisions during production phase? 18) What is CATIA? 19) What is the role of information technology in engineering design? 20) What was the design intent of the joint? 21) What is the role of heat resistant Zinc Chromate putty O-rings? 22) What is virtual prototyping? 23) Name the eight element of design process?

STUDENT ASSIGNMENT Individual Exercises Pick a basic item in the room in which you are sitting (with a minimal amount of parts). List the parts and make notes of the design features that stand out as selling points (comfort, color, style, materials, etc.). Describe how you think these might increase the cost of a product (does the process appears precise, product difficult to assemble, product impossible to resist purchasing, etc.)

Team Exercises 1. Select a simple item in the room and brainstorm about the potential failures associated with it. Try to estimate figures for severity and frequency (occurrence) to achieve a total risk. Describe what could be done to reduce the risk. 108

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2. Select another item and try to determine the critical considerations (measures to reduce risk) that might have been considered when designing the product.

STS 51-L Case Study Engineering Design Principles Exercise: Learning Objectives: 1. To show students how to evaluate several elements of the design process. 2. To help students use technical information and physics concepts to evaluate a real-world design problem. Materials: Personal Computer with CDROM drive, STS 51-L Case Study CDROM, writing materials, PowerPoint Assignment Participation: 4-person Team Exercise Time: 1 hour to build Presentation, 10 minutes per team to present or just submit PowerPoint: depends on Instructor's choice Pages to look at in the CD-ROM: 1. Problem Statement 2. A typical shuttle mission 3. Joint Rotation Page (with 4 sub-pages): About SRB, SRM, Discovery of Joint Rotation, About Joint Rotation 4. Stresses and Strain 5. Leon Ray's Memo 6. Shuttle Testing (1978-79) 7. MTI's decision: O-ring/shim decision, about the o-ring, shims 8. Glossary of terms used in this exercise Assignment: Your team should evaluate the problems that occurred with the O-ring as a result of joint rotation. Evaluate the first 4 parts of the design process: 1. Problem Definition: Define the problem that existed with O-rings in the SRB as a result of Joint Rotation, include information about how stress and strain on the O-ring was caused by Joint Rotation. Discuss how stress and strain might cause fatigue problems with the O-ring. Define the elastic modulus and chart how this modulus may have changed with increased stress and strain on the O-ring, discounting all other factors. Finally, explain what would happen to a space shuttle if the O-ring became distorted.

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2. Concept Formulation: Read and discuss the five solutions that Leon Ray developed. 3. Concept Evaluation: Evaluate the feasibility with each of the design alternatives that Leon Ray proposed. Which design alternative would your team have expected NASA to choose? Why? Which design alternative would your team have chosen based on his recommendations and your own analysis? Why? 4. Concept Selection: Explain why NASA chose the alternative that they did. Include feasibility issues and risk acceptability. Does your team agree or disagree with NASA's decision? Why? Teams should develop a 10-minute PowerPoint presentation with at least two slides per design process element. Present your ideas in a chronological fashion first stating the problem NASA was faced with and ending with an evaluation of NASA's concept selection. Grading Criteria: Organization: Presented information in a chronological fashion. Content of Presentations: Presented accurate and relevant information for each design process element. Understanding: Thoughtfully considered the problem and also explained the technical concepts in the assignment. Presentation: Effectively presented ideas in an easy to understand manner. Questions to Consider after the Assignment: 1. How is the design process relevant to the STS 51-L case? 2. What factors affect concept selection beyond just technical effectiveness? 3. Is it ethical to consider monetary and feasibility issues in making a concept selection? 4. How did feasibility issues effect NASA's design decision? How did this impact the Challenger accident in 1986?

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Della Case Study Engineering Design Principles Exercise: Learning Objectives: 1. Describe some elements of the design process (problem definition, concept formulation, concept evaluation, concept selection). 2. Illustrate each element with an example. 3. Implement the design process in development of an actual product. 4. Identify how errors in implementing the design process might cause major problems/accidents. Materials: PC with CDRom Drive, Della Steam Plant Case Study CDRom, PowerPoint Assignment Participation: 4-person Team Exercise Time: 1 hour to develop presentation, 10 minutes per team to present results Pages to look at in the CDROM: 1. Description of Della 2. Maintenance Procedures at Della 3. Della Problem Statement 4. Problem Statement Video 5. Maintenance Assignment: After the restart and vibration incident, Della has decided to make modifications to their equipment in order to avoid future vibration problems. Using the design process described in the text, form a new design to remedy this problem from "problem definition" to "concept selection" steps, justifying all steps. 1. Problem Definition: Teams should define the problem with the turbinegenerator described in the case study. Be sure to identify possible constraints that the design has to meet. 2. Concept Formulation: Teams should develop possible solutions to the problem through a brainstorming session. One member of the team will act as a facilitator. Teams are encouraged to be innovative. Be sure that there is no evaluation of concepts during the brainstorming session. 3. Concept Evaluation: Teams should evaluate the feasibility of their design. How much will the design cost Della? How much time will it take to make the changes? What are the financial gains of the modification?

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4. Concept Selection: Teams should choose the design that is deemed most feasible, appropriate, and financially beneficial to Della. Be sure to justify your decision and identify any unknowns that would be addressed in later design stages. Teams should develop a 10-minute PowerPoint presentation. Grading Criteria: Organization: Presented information in a chronological fashion. Content: Presented accurate and relevant information for each design process element. Understanding of Concepts: Thoughtfully considered the problem and explained the technical concepts in the assignment. Presentation Execution: Effectively presented ideas in an easy to understand manner. Questions to Consider after the Assignment: 1. Is the design an appropriate consideration in resolving this problem? 2. What is the relationship between the maintenance of machines and engineering design?

LORN CASE STUDY ENGINEERING DESIGN PRINCIPLES EXERCISE: Purpose: To show students how to implement the design process in development of an actual product. To show how possible errors in the design process may have caused problems in the Lorn case. Materials: Personal Computer with CDROM drive, Lorn Case Study CDROM, writing materials, PowerPoint Time: An example: 8 minutes per four person team Procedure: Students should be given an allotted time to look over necessary pages in the Lorn CD ROM. The instructor should then divide the class into four person teams. Each team will be faced with a scenario and go through each assigned element of the design process, finally developing a presentation on the design that they create. Pages students need to look at in the CDROM: a. b. c. d. e.

Problem Statement Video Jim Russell’s account of the accident Lap Winders Limit Switches Lock Out/Tag Out Procedures 112

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f. Highlights of Dr. Kevin Taylor’s Deposition g. Highlights of Evan Morrison’s deposition h. Electrical Schematic 1. Assignment: The following scenario is given to students. After Jim Russell’s accident Lorn Manufacturing has decided to remodel their Lap Winder machines to have an appropriate guard for maintenance workers. Each student team is a design team for the new Lap Winder machine. Students ought to go through the design process: 1. Problem Definition: Teams should define the current problem with the Lap Winder machine. Here would be a good place for students to give a basic knowledge of what safety problems the Lorn Lap Winder has based on the material given-lack of limit switch, nothing except door keeps a worker from danger of an open machine. 2. Concept Formulation: Teams should then develop possible solutions to the problem. Encourage students to think of ideas beyond just limit switches. Ask teams to brainstorm with one member of the team acting as the facilitator of ideas. Encourage teams to be innovative and creative. Other innovative solutions found in the Lap Winder machine: possibly a light that would flash on the machine when the door guard was open for maintenance, a whistle that would alert a maintenance worker that someone is near the power switch when the door guard is open. 3. Concept Evaluation: Teams should then evaluate the feasibility of their design: how much their design might cost Lorn, how much time it would take to install the new device, possible money that could be gained with the design by decreasing future lawsuits. 4. Concept Selection: Teams should then choose the design that they find the most feasible and most appropriate to solve the Lap Winder problem. Teams should justify their decisions. 5. Detailed Design: Teams should then draw a rough sketch of their design using the electrical schematic as a guideline. 6. Prototyping/Testing: Teams should consider how they would develop a model of their design and how they would test their design with users: testing the design with different maintenance workers at different skill levels, testing the design at a company with Lock Out/ Tag Out procedures and one without Lock Out/ Tag Out procedures.

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7. Send to Production: Teams should finally consider possible problems that assembly line workers might or might not have with their design. Teams should develop a PowerPoint presentation with at least one slide per design process element. This does not include the detailed design area where teams can just present their sketch on paper. Students should present their ideas in a chronological fashion first stating the problem they were faced with and end with how they could implement their design in production. Grading Criteria: Organization: Students presented information in a chronological fashion Content of Presentations: Students presented accurate and relevant information for each design process element. Understanding: Students thoughtfully considered the problem and used the design process to develop a creative solution. Presentation: Students effectively presented their ideas in an easy to understand manner. Possible Questions to ask or assign and then discuss: 1. What errors may have occurred in the design process of the Lap Winder? 2. What elements of the design process did original designers overlook? 3. How would you use the design process to fix the problems of the Lap Winder? Discuss student questions about the exercise and engineering design.

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REFERENCES i

http://science.ksc.nasa.gov/shuttle/missions/51-l/docs/rogers-commission/Chapter-4.txt

1

We thank Justin Cochran, William McLaurie, Nicole Harris and Narendranath Katakam for their contributions in developing this chapter. 2

Dym, C.L., Engineering Design: A Synthesis of Views , Cambridge university Press, Cambridge, UK, 1994. 3

Ertas and Jones, 1996

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AT&T, 1993

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Direction of NASA's During 2004, the orbiter is built by Rockwell International's Space Transportation Systems Division, Downey, Calif., which also has responsibility for the integration of the overall space transportation system. Both orbiter and integration contracts are under the direction of NASA's Johnson Space Center in Houston, Texas. The SRB motors are built by the Wasatch Division of Morton Thiokol Corp., Brigham City, Utah, and are assembled, checked out and refurbished by United Space Boosters Inc., Booster Production Co., Kennedy Space Center. Cape Canaveral, Fla. The external tank is built by Martin Marietta Corp. at its Michoud facility, New Orleans, La., and the Space Shuttle main engines are built by Rockwell's Rocketdyne Division, Canoga Park, Calif. These contracts are under the George C. Marshall Space Flight Center, Huntsville, Ala. 6

National Research Council, 1983, 1999

7

Condit, 1994; Snyder, et al., 1998

8

Snyder, C., Snyder, C., and Sankar, C., The Use of Information Technologies in the Process of Building the Boeing 777, The Journal of Information Technology Management, Vol. IX, No. III, 1998, pp. 31-42

9

A list of the committee members and their brief biographies are located at http://science.ksc.nasa.gov/shuttle/missions/51-l/docs/rogers-commision. 10 Dasaka, V. Design of the Solid Rocket Booster Field Joint-Failure Analysis and Testing, Master’s thesis, Auburn University, 2001. 11 http://www.spaceflight.nasa.gov/shuttle/reference/shutref/mods/srm/summary.html 12 www.caib.us 13 http://www-pao.ksc.nasa.gov/kscpao/schedule/schedule.htm 14 http://science.ksc.nasa.gov/shuttle/missions/sts-90/vrtour/checkpoint.html 15 http://www.nasa.gov/pdf/55412main_29%20SSP.pdf

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Scientific Decision Making LEARNING GOALS Understand the importance of decision-making Differentiate between prescriptive and descriptive methods in solving real-world engineering problems Describe the steps involved in decision-making Illustrate the decision-making steps using a real-world case study List the categories of computer-aided systems available to help make decisions Explain and use Decision Trees Illustrate the decision tree using a real-world case study Describe the psychological considerations involved in decisionmaking Illustrate the psychological considerations using a real-world case study

INTRODUCTION1 The essence of ultimate decision remains impenetrable to the observer often, indeed to the decider himself…. There will always be the dark and tangled stretches in the decision making process - mysterious even to those who may be more intimately involved. - John F. Kennedy2. For a product to achieve its full potential, it must be manufactured at the lowest cost possible, within a scheduled time, with low risk for the company and the customer, and in an ethical manner. Engineers are in charge of designing and manufacturing the product within budget and time constraints. As they perform these tasks, engineers must make important technical decisions on many occasions throughout their careers. Engineers make these decisions even though they may not have complete information about the market and product specifications. In addition to the

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technical factors involved, engineers must often consider cost factors, scheduling pressures, risk levels, management criteria, and ethical dilemmas before making a technical decision. Engineering decisions are frequently based on a deterministic analysis that applies principles from physics, chemistry, or mathematics. For example, engineers consider the load and stress factors when designing cantilevers, beams, and support structures for a bridge. However, as the bridge is being built, engineers may encounter other factors such as budget changes, varied skills of employees, changes to the order by customers, the possibility of severe weather patterns, and so on. In order to include these factors, engineers have to use probabilistic analysis in the ultimate designs. Nowadays, the use of probabilistic analysis with reliability-based safety factors is well accepted in the engineering profession. The discipline of decision science is useful to engineers, allowing them to include uncertainties in their models thereby creating the best possible designs. In this chapter, the steps in the decision-making process are explained and illustrated with a real-world example. In addition, the discipline of decision science has developed numerous methods that are useful in solving real-world problems. One of these tools, a “Decision Tree” is described in detail in this chapter and illustrated with a real-world case study. By learning the methods of decision-making discussed in this chapter and applying them to the real-world problems that you will face in the future, you obtain an ability to enhance your decision-making skills.

1 IMPORTANCE OF DECISION-MAKING An engineer/manager routinely makes decisions that have a strong impact on the quality and type of products that are produced by a company. Many people will use these products and the consequences of bad design decisions have to be borne by those who invent, design, manufacture, market, and sell sub-standard products to society. The examples shown in Appendices 1 and 2 illustrate the consequences resulting from decisions made by engineers. Appendix 1 (at the end of this chapter) illustrates a practical example of how a prototype optimization model was used to budget, plan, and manage a prototype test fleet, reducing annual prototype costs by more than $250 million. Another example in this appendix discusses optimization models that evaluate current and future maintenance requirements of bridges and help recommend maintenance that need to be performed given budget and time restrictions. These examples show that engineers use decision-making tools in their jobs to come up with innovative design solutions to industrial problems. Appendix 2 (at the end of this chapter) discusses what went wrong at Shiva Corporation, a once attractive company that produced routers and

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other telecommunications equipment for the Virtual Private Network market. At one point during 1996, the company’s stock was selling for over $87 per share and it was considered a strong competitor in remote access products. PC Magazine endorsed its products for many years. However, as time went on, the company’s products failed to sell well and it was unable to compete successfully against bigger companies in the same field. Revenues declined and stock prices sank to $2.75 per share in 1998. This led to Shiva Corporation’s eventual demise and merger with Intel Corporation, yielding $6 per share to shareholders in 1999. This example shows that even if a company’s engineers are able to design and produce award-winning products, it may not survive if its management team is not able to convert the innovations into products that sell.

2 DEFINITION Decision-making: 1. intentional and reflective choice in response to a problem, which is the fundamental characteristic that distinguishes humans from lower forms of life3; 2. the process of selecting a course of action from among all choices available to the decision-maker in order to solve a specific problem or set of problems4.

3 PRESCRIPTIVE AND DESCRIPTIVE DECISIONMAKING PROCESSES The discipline of decision science has been created to understand and improve the decision-making abilities of individuals, groups, and organizations 5. According to this discipline, there are two major methods of describing decision-making processes: prescriptive and descriptive. Prescriptive analysis indicates how decisions should be made according to a set of well-defined criteria. These are the kinds of directions that you as a student are used to receiving from your teachers, and parents. Examples are when your mom asks, “Did you brush your teeth tonight?” or when your instructor states, “The essay test will include material from Chapters 2 and 3.” Prescriptive decision-making theory provides a decision-maker with pre-specified alternatives, consequences, states-of-the-world, preferences, and beliefs. It addresses the question, “Given what has happened in the past, what should I do next?” rather than, “Why did it happen?” or “Why did somebody do it?” In contrast, descriptive analysis describes how people actually make decisions. You may not brush your teeth at night until after you visit the dentist. When the dentist stresses the need to brush your teeth regularly, then you might make the conscious decision to brush your teeth every night. As you may be aware, the process by which each person makes decisions varies significantly. Some people are very predictable in the decisions they make given certain information; others are not that predictable, even though the situation

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might seem similar. Descriptive decision-making theories deal with the question, “Why did it happen?”, “Why did somebody do it?”, “How would I deal with it?” 6 The materials in traditional textbooks are prescriptive; they tell you what to do in a particular situation. Your instructors test you on whether you were able to retain the specific domain knowledge provided in the books. Some of you may find this process tedious since you may not always understand why these theories are important and how they will be useful to you later in your career. In contrast, real-world decision making situations are descriptive. We have captured several such descriptive decision-making situations using the “case study” methodology. The case studies describe what happened in a particular situation, provide a set of related facts, and ask you to make a decision. When you work on the exercises associated with the case studies, you will have an opportunity to apply the prescriptive theories you have already learned to solve the descriptive problems presented in the case studies. However, bear in mind that the engineers and managers described in the case studies may not have had the time or the resources to apply these theories in practice. We hope that as you go on to take other courses in engineering that are difficult and challenging, you will continuously ask yourself, “How can the theory I learned in this course be used to improve a product or process?” Your future employers will expect you to have learned the latest engineering tools and techniques in your curriculum. The challenge for you is whether you can apply the knowledge gained in school to solving real-world problems. That is where, we believe, the skills you learn in this book as you analyze the case studies will be of most use to you.

3.1: Prescriptive Models for DecisionMaking Explained Using Descriptive Examples from Real-World Prescriptive models for decision-making are based on the assumption that humans are rational beings who try to achieve the best result under given constraints. Figure 1 shows a seven-step flow chart for the decision-making process that is based on the models mentioned earlier 7. The chart gives an overview of the process and we will go on to explain each step in the flowchart prescriptively and then illustrate them descriptively with excerpts from the Della Case Study. It would be a good idea to refer to Chapter 1 for an overview of the Della Steam Plant case study before you read through the material in this section. Representational thinking is central to in-depth understanding and problem representation and is one of the skills that distinguish subject experts from novices. Bringing real-world problems into classrooms through the use of videos, demonstrations, simulations, and Internet

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connections to concrete data and working scientists (engineers) triggers representational thinking8. By combining the prescriptive description of the steps with the descriptive excerpts from the Della case study, we expect that you will obtain an in-depth understanding of the steps involved in the decision-making process and be able to apply the methodology in the future.

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Figure 1: Decision-Making Flow Chart

STEP 1: Understand the Situation and Identify the Objectives The first step in making a good decision is to understand the setting where the problem has occurred. Once you understand a company's background and industry information, you can more accurately identify the problem and derive the objectives to be achieved. The objective should be practical, operational, and attainable. The statement of an objective should also include explicit references to any constraints that may affect the decision. It is critical to understand the objectives before proceeding to the next step. Real World Connection: Step 1 - Understand the Situation and Identify Objectives for Della Steam Plant Case: Financial restrictions, increasing world wide demand for power, and deregulation in U.S. power industry. The situation that faced Sam Towers, the Plant Manager at the Della Steam Plant, was that a turbine-generator unit experienced excessive vibration at startup after preventive maintenance and coasted to 121

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a stop. As a result, no power was being generated by this unit. Sam had to take into account the current financial situation of the company and make a decision that complied with the President’s O&M Mandate (Figures 2 and 3).

Figure 2: Screenshot from the CD showing the expected budget cut

Figure 3: Screenshot from CD-ROM

Sam recognized that his plant had to comply with the budget cuts mandated by the President. He also knew that the worldwide demand for power was growing rapidly. The power industry is dynamic and headed for strong growth in the future. The need for innovative technological solutions for the production of power will become increasingly important 122

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as the world doubles its consumption of electricity in the next 25 years. Also, the power industry in the U.S. was getting deregulated and this put tremendous pressure on the operations9. Understanding these issues enabled Sam to identify and diagnose the problem. (For more information, visit The President’s Mandate and Demand and Costs in the Power Industry pages in the case study CD.) STEP 2: Identify and Diagnose the Problem The second step in the decision-making process is to recognize the problem and analyze it. A good engineer must have the ability to design products that meet the needs of his or her company’s customers. A customer will buy a product if it solves an existing problem and gives greater satisfaction than alternative uses for the money. An engineer's design is best assessed in relation to money, markets, and competition. In a business environment, the engineer's employer is concerned with the profit contribution that would be obtained by satisfying a market. It is the consequence of design, not the nature of design, which is the employer’s primary concern10. In order to identify and diagnose the problem correctly, you must gather information regarding facts, assumptions, and stakeholders’ values. A stakeholder is anyone who has a major interest in the decision being made. This includes a company’s customers, employees, shareholders, suppliers, and so on. You must ask yourself questions in order to identify the problem. What is the real problem? How is this problem related to the goals, values, and needs of the organization? Who are the primary and secondary stakeholders? How well do you understand their goals, views, objectives, constraints, and agendas? The net outcome of this step is accurate problem identification. Real World Connection: Step 2 – Identify and Diagnose the Problem: Importance of keeping the turbine-generator running continuously Step 2 involves gathering information from the stockholders who will be impacted. Relating this information to the company’s overall goals, values, and needs of the company was an important task for Sam. Identifying the facts, assumptions, and values are also very important to the plant manager in making a good decision. In the Della Steam Plant Case, correct functioning of the turbine generator was essential in order to distribute power (Figure 4). Sam gathered the facts, namely that there was a problem due to severe vibration with the generator. Sam also recognized that Lucy represented the original equipment manufacturer (OEM) and was reluctant to take a risk. Steve, on the other hand, 123

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represented the plant and had been recently trained in preventive maintenance, and thus was likely to be more open to considering high-risk alternatives.

Figure 4: This screenshot from the CD/Website explains the importance of the turbine generator (highlighted in green at the bottom of the screenshot)

Figure 5: Shows an employee working on the turbine generator (at rest)

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Figure 6: Schematic of a Coal-Fired Power Plant

Sam assessed the importance of the turbine generator (Figures 5 and 6). The company does not have the ability to store the power and supply it later; therefore, if the power plant loses a unit, power must be supplied from another source to meet the demand. If the generator fails, the company must seek power from “Peaking Units”, which are more expensive to run. Although the electricity is supplied to customers, it costs the company several hundred thousand dollars more per day because the “Peaking Units” are less efficient. Therefore, the strategy to make more profit requires running the unit, one of the cheaper units available at the Della Steam Plant, continuously and not removing it from service unnecessarily. Sam understood that it was important to restart this turbine-generator unit as early as possible. Outage of that unit was leading to excess costs for the company of $100,000 per day. At the same time, he had to be sure that parts within the unit were not broken and would not fly out when the unit restarted, possibly injuring workers. Safety was a very important consideration for the plant. STEP 3: Identify Alternatives A careful examination and analysis of the objectives and problem statement can often reveal alternatives that were not obvious at the outset. Research and creativity can play a strong role in identifying alternatives that may not be apparent to a person well entrenched in the problem

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situation. Group discussion, brainstorming sessions, and an environment that encourages unusual ideas are important in identifying the widest possible range of alternatives. Barriers to identifying good alternatives include: (a) limiting proposals to those areas that you control or are knowledgeable about; (b) proposing only solutions that have been used in similar occasions in the past; and (c) creating solutions that solve the immediate problem but do not deal with long-term impacts. Real World Connection: Step 3 – Identify Alternatives: Consider various alternatives for troubleshooting the problem such as Lucy’s and Steve’s recommendations At the Della Steam Plant, many employees were alarmed by the unit’s vibration upon startup and began moving away from the unit. Everyone around the turbine feared that it was going to come apart.

Figure 7: Readings from Shaft Rider Probe, giving the relation between time and vibration of the turbine

An over speed trip mechanism attached to the turbine-generator tripped, causing the unit to coast to a halt. Lucy studied the vibration chart shown in Figure 7, which was produced by the shaft rider probe attached to the turbine generator unit. The chart shows that there was a 17 mil (one thousandths of an inch) vibration level. She felt that this vibration was too close to the 22 mil clearance needed between the shaft and the bearing. She predicted that the retainer rings might have to be replaced, as was the case with over 30 previous unit failures. Sam agreed with her recommendation (Figure 9 shows Lucy’s recommendation) and requested that maintenance workers tear apart the turbine. He was aware 126

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that it would cost approximately $900,000 for the unit to be out of operation for a week. He had to reconsider his decision once Steve, the plant engineer, came up with a different interpretation of the charts and recommended that the unit be restarted immediately. Steve, the plant engineer, noticed that the vibration level at the operating speeds (1X speed) is only 3 mils. The charts confirmed that the high vibration level occurred at a frequency of 1,000 cycles per minute, not at the operating speed of 3,000 cycles per minute. He recommended that the unit be restarted based on proximity probe readings (Figure 8). For more details, visit the case study CD-ROM and review the following figures and charts on Vertical Proximity Probe: Speed versus Displacement, Speed versus Phase angle and Vertical Proximity Probe: Frequency versus Displacement versus Machine Speed. (These are also given towards the end of this chapter as Figures 19 and 20)

The President of the company required that the operating and maintenance (O&M) budget forecast for the year 2000 be reduced by $50 million. To do this, the company had to freeze its O&M budget at the 1995 level through 2000. In addition, projected capital expenditures were expected to be reduced by Figure 8: Shows an employee taking readings from Vertical Proximity Probes $250 million between 1995 and 2000. The deregulation of the utility industry had forced this company to find innovative tools and processes to improve productivity and extend the useful life of existing facilities. If Sam decided to simply restart the generator following Steve’s recommendation (Figure 10), it would provide a boost to the plant’s maintenance record if there were no complications. It would show top management that the company’s investment in predictive maintenance practices is worthwhile and there would be no wasted costs associated with this shut-down. If Steve’s recommendation was accurate, the Della Plant would be highlighted in the company publications as an innovator and $900,000 would be saved. However, a major concern was that if Steve’s recommendation did not work, and the unit failed during restart, possibly catastrophically, it would cost the company as much as $19.5 million for a new unit. This estimate does not include the costs of any litigation if employees are injured during the restart. Also, there is a risk of job losses if a failure occurs. Sam had to ask himself: How confident is Steve about his recommendation, given that this is the first time he had installed the measurement devices on the turbine-generator unit?

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Figure 9: The above screenshot from the CD-ROM describes Lucy Stone’s recommendation (in both text and audio)

Figure 10: This screenshot from the CD-ROM explains Steve’s recommendation (in both text and audio)

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STEP 4: Evaluate Alternatives and Compare them Using Sensitivity Analysis The fourth step in the decision-making process is to evaluate each alternative and compare them. Comparing alternatives requires the development of criteria or yardsticks with which to judge the value of each alternative. The criteria must be based on the objectives and the environment in which the solution will be implemented. You need to evaluate each alternative with respect to the criteria and arrive at a decision. The process of arriving at a decision requires a combination of objective facts and intuition. Computer-aided decision support systems (DSS) and statistical tools are available that can assist you in this step. These software packages answer "what-if" questions such as "If I make a slight change in one or more aspects of this model, does the decision change?" As an example, the commonly used software TurboTax11 has integrated “what-if” capabilities. An important question faced by married tax-filers is: Should I file as “married filing jointly” or “married filing separately”? You might pay less tax depending on which option you choose. To help an individual make this decision, TurboTax™ has a built-in "What-If Worksheet" that provides an option where you can perform a sensitivity analysis on whether to file jointly or separately. The software computes the tax that would be due for each alternative. In the worksheet, you can experiment by computing the taxes based on reporting joint incomes versus reporting them individually. In some years, it might be advantageous for you to file jointly and in other years separately. Decision support system tools also provide you with the ability to evaluate the sensitivity of changing some of the assumptions about the alternatives. These analyses may change your perception of the problem, preferences, and possibilities. Performing sensitivity analysis calculations is an important and critical part of the decision-making process. Real World Connection: Step 4 – Evaluate each alternative and compare them using sensitivity analysis: The alternatives are restart vs. stop and fix the unit At the Della Steam Plant, Sam evaluated the alternatives and assessed Lucy and Steve’s recommendations based on cost, risk, and safety. Lucy’s recommendation could avoid a $19.5m catastrophe, yet it would cost $900,000 to implement her recommendation. The power generated by this unit results in sales of $200,000 per day; losing it could be detrimental to the company. An added benefit of this recommendation is that the unit’s components will be rechecked, thereby enhancing the safety of the plant and its employees.

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Lucy arrived at her decision by checking the vibration levels from the shaftrider probes her company had originally installed on the turbine generator (Figure 7), which show how the vibrations changed with time. The chart showed the turbine was vibrating with amplitude of 17mil during the current problem, very close to the 22 mil clearance between the shaft and the bearing. Bob Make used the Figure 11: Phase angle and data collected by the proximity Displacement (Y-axis) and Time (Xprobes installed by Steve to axis) double–check Lucy’s interpretation. He printed Chart 2 (Figure 11) and noticed that the vibration amplitude was close to 16 mil at 3 minutes. However, he was not confident in reading and interpreting the waterfall and other charts. Given the difficulty in interpreting these charts and the high vibration amplitude registered at shut-down, Bob agreed with Lucy’s decision that the turbine should be torn down and the problem identified. Steve’s recommendation was backed by technical data that involves proximity probes that provided specific frequency information. Steve felt confident that the probes allow him to pinpoint the problem and believes that oil whip was the cause of the vibration. Steve started his analysis by using frequency and speed plots for the vertical probes mounted on bearing #4 of the generator. In Chart 4 (Figure 13) the 1X, 2X, and 3X lines show the amplitude of vibration of the turbine versus frequency at one times, two times, and three times the running speed of the turbine. After going through these charts Steve said: “When I started looking at this plot, I realized that oil whip was occurring and the vibration level at the running speed was actually very low. If the shaft or the bearing tore apart, then the vibration level should have been very high at the 1X running speed. But at this running speed, the figure shows that the vibration level went up to a maximum of only 3 mils at 2600 rpm. The high vibration level that is seen in Figure 14 is toward the left and occurs at a frequency of 1 kilo cycle per minute which, I think, is due to oil whip.” When a turbine is started, the oil in the bearing begins “whipping,” which produces high levels of vibration. The whipping normally diminishes once the oil heats up over a period of time. At the time the vibration occurred, the turbine had been running for only five

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hours, which is not sufficient time for the oil to heat up. At least 24 hours of run time should be allowed so that the oil and the other parts could heat up. When the turbine is aligned in a cold condition, the bearings are set at different heights so that thermal expansion will cause them to align themselves in a straight line. The bearings were not at proper temperature when the RLS engineer wanted to over speed them. Chart 3: Vertical Proximity Probes

Figure 12: Relationship between Phase angle (Y-axis) and Displacement (Yaxis) Versus Speed (X-axis)

Given the measurements shown in Figure 12 and Figure 13 and the lack of sufficient time to heat the oil, the high vibration level in this case is due to oil whip. Restarting the generator might be unsafe and costly if it malfunctioned; however, no cost is involved if the unit restarted properly (Figure 14). Steve’s recommendation will cost very little to the company if the unit started and functioned well; but if the unit broke, the expected cost was $19.5 million. This did not include possible costs incurred if any worker got injured. Steve’s recommendation was backed by technical data, but risked the loss of the machine and the safety of the employees.

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Chart 4: Three Dimensional Waterfall Type Chart

Figure 13: Three dimensional chart showing relationship between frequency, machine speed, and amplitude

Sam had to ask himself the following questions:  What is the cause of the problem?  What if the turbine-generator fails on restart?  What if the turbine-generator works on restart? Sam had to choose the alternative that was most beneficial to the company and was well supported by technical data. The case study example shows that the process of arriving at a solution requires objective facts, judgment, and intuition. In the next section (Decision Tree Section), we show how Sam might have used a decision tree to analyze the alternatives and perform a “what-if” analysis.

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Figure 14: Screenshot from the CD-ROM discusses Sam’s dilemma

STEP 5: Choose the Best Alternative and Implement It The fifth step in the decision-making process is to choose the alternative that best solves the problem based on the constraints. Most people modify the solutions that the decision science model provides. Frequently, people satisfice; in other words, they search, find a few alternatives, and choose the one that satisfies them for the present 12. Satisfice: Individuals do not look for the best or optimal decision in most instances. They search for alternatives, stop at a reasonable alternative, and choose it. A theoretical model might predict that the person should identify more alternatives and select the optimal one. However, many of these models do not include the time and effort involved in identifying and analyzing alternatives. Once the choice is accepted, it is important for the organization to buy the recommendation and implement it wholeheartedly. If you include those who will be affected by the decision in the process, the implementation is likely to be smoother. The selected alternative must be justified and shown to be the best choice. You have to stay focused, champion it and implement it. You must be confident in your decision and convincingly communicate your solution to the stakeholders. Others might question your choice and if you are not assertive in defending it, your

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choice might be rejected and a less effective substitute might be implemented. In large organizations, the implementation of your decision may be performed by different sets of individuals and if you do not communicate your intentions well enough, it is possible that the implementation might be very different from what you originally intended. Real World Connection: Step 5 – Choose an alternative and implement it: Sam implemented the alternative that satisfied the above condition Lucy and Bob encouraged Sam to shut down the generator when it was vibrating abnormally. Once Steve was notified and his analysis provided evidence that the vibration was due to oil whip, Sam was in a position to make a logical and informed decision. Lucy and Bob considered other alternatives once Steve hypothesized that the problem was due to oil whip or oil whirl (Figure 15)

Figure 15: This screenshot from the CD-ROM explains Sam Towers’s dilemma. (Highlighted part in green at the bottom of the screenshot is his statement)

The theory explaining oil whip and oil whirl is provided below. Sam had to understand the theory and determine if Steve was correct in his assumption that the problem was due to oil whip or oil whirl. If he made the wrong decision, then he would be answerable to the company’s stakeholders.

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Chapter 3: Scientific Decision Making Note: The final choice made by Sam in the Della Steam Plant case study will not be provided to you at this stage. After you and your teams have analyzed the case study, your instructor will discuss with you the final decision adopted by Sam Towers.

Theory: What are Oil Whip and Oil Whirl? A rotating object rotates about its mass center. In a constrained system, such as a rotating shaft supported by bearings, problems arise when the mass center of the shaft does not exactly correspond with its geometric center. The bearings constrain the shaft to rotate within their geometry, creating a force between the shaft and the bearings. A common example of imbalance is found in new car tires. The imbalance is caused by slight imperfections in the new tires and must be compensated for by placing weights around the wheel. Placing the weights in the right positions results in a movement of the mass center to the geometric center of the wheel, thus “balancing” it and enabling the car to run smoothly and efficiently. Misalignment occurs when the driver of a system does not share the same centerline as the machine it is driving (Figure 16). There can be parallel misalignment and angular misalignment. By forcing the two machines together, forces build between the two machines during operation, resulting in vibration. Fixing such misalignments may be difficult because machines that are coupled together are often not designed together. Flexible joints between machines can help reduce problems, but vibration may still occur. Oil whirl occurs in journal bearings. The lubricant forms a fluid wedge that pushes the shaft to one side of the bearing, resulting in eccentric rotation (Figure 17). To cure oil whirl, the system demand can be increased, countering the fluid forces of the oil wedge, or the bearings can be replaced with tighter or specialized bearings. Oil whip is a condition in which oil whirl becomes unstable 13. Vibration amplitudes rise quickly and the destructive effects escalate. Oil whip appears as machine speed increases, but may subside as the oil temperature increases and becomes less viscous (thick) (Figure 18). These conditions happen during an unstable free vibration whereby a fluid-film bearing has insufficient unit loading. Under this condition, the shaft centerline dynamic motion is usually circular in the direction of rotation. Oil whirl occurs at a particular oil flow velocity within the bearing, usually 40 to 49% of shaft speed. Oil whip occurs when the whirl frequency coincides with (and becomes locked to) a shaft resonant frequency which magnifies this effect. Oil whirl and whip can occur in any case where fluid is between two cylindrical surfaces14.

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Figure 16: Misalignment between the shafts

Figure 17: Eccentric rotation

Figure 18: Oil Whip Condition STEP 6: Monitor Implementation

Performance

and

Obtain

Feedback

on

The sixth step in the decision-making process states that it is important for an organization to collect data on how well the decision was implemented and whether it solved the original problem. Instant feedback might be possible for simple decisions, but it may take years to evaluate complex decisions involving research and development. Many organizations implement control processes to monitor performance and obtain feedback. As an engineer, you will be working with many different measurement devices and systems (flow meters, gauges, and so on). In

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addition, you will be working with software systems that monitor the flow of capital, funds, people, and other resources in the organization. It is important for you to obtain feedback from the different systems available so that you can continually assess your decisions and improve them in the future. Real World Connection: Step 6 - Monitor Performance and Obtain Feedback on Implementation: Once Sam had decided to shut down the generator, he arranged for an evaluation of the vibration analysis charts Sam had agreed that Steve should connect vertical proximity probes to the turbine generator so that more data could be obtained. Steve, with his ten years of experience in the field, felt that Bob’s attempt to identify the problem based on the data in Figure 7 had not been successful because it did not provide sufficient details. Steve thus plotted and analyzed an additional shaft rider probe reading and readings from the vertical proximity probe. To help you understand the vibration analysis theories involved, there is an animated presentation of vibration analysis in the CD-ROM as shown in Figure 20. You can also learn more about Vibration Analysis by loading the case study CD-ROM and then clicking on the link for more information.

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Figure 19: This screenshot from the CD-ROM gives a technical description of vibration

STEP 7: Impact of the Decision-Making Process on Future Decisions The final step in the decision-making process is for the organization to monitor the performance obtained as a result of earlier decisions and establish a history log that identifies the good and bad decisions made in the past. This could be used effectively in improving the decision-making process when similar problems occur in the future. Knowledge Management software packages help organizations track and improve their decision-making process. You should be aware, however, that although these tools and processes are valuable guides, they cannot guarantee good decisions. Employees, engineers, managers, and executives are still responsible for making the best choices by choosing, implementing, and monitoring the decisions. Real World Connection: Step 7 - Impact of Choice When Making Future Decisions: Sam decided that developing a Knowledge Management System could assist in future decisions At the Della Steam Plant, Sam realized that having Steve recommend a different opinion on whether to shut off the generator or not was helpful. Sam realized that the final decision was vital to the 138

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company’s well-being; he wanted to minimize the need to face such problems in the future. He asked which technologies Steve and Lucy would suggest for the future. One suggestion that arose was to develop a Knowledge Management System that would help employees to make better and more logical decisions. These could be made available to employees by use of a search function. Engineers and management would thus be assisted in making critical decisions that benefit the overall welfare of the company. Based on this analysis of the Della Steam Plant case study, we can now assemble a seven-step decision making process chart (Figure 20) similar to the one shown earlier in Figure 1.

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Figure 20: A comparison of the steps in the Decision-making Flowchart and the real world example

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4 Decision Tree Analysis During the description of the decision-making processes, we stated that there are several tools that are available to assist you in decisionmaking. In this section, we will describe the “decision tree,” one of the tools and illustrate it using examples from the Della Case Study. We provide a summary of the other tools available to you in Appendix 4. The Decision Tree analysis is helpful when making a decision under conditions of risk, such as whether to choose the least or most expensive design. A Decision Tree is usually represented as a tree lying on its side, with branches and sub branches. The branches generally represent alternatives that depend on the occurrence or nonoccurrence of probabilistic events. For example, Decision Trees are used to ensure that schedule, cost, and quality goals are met for large-scale refinery construction projects15.

4.1: Decision Tree: A Decision Tree is a very helpful analysis tool that is commonly used by engineers and managers. Decision Trees are excellent tools for helping individuals choose between several courses of action. They provide a highly effective structure within which to lay out options and generally allow investigation of possible outcomes. They also help form a balanced picture of the risks and rewards associated with each of the possible courses of action. To construct a Decision Tree, first define the decision that needs to be made. Draw a small square to represent this on the left edge of a large piece of paper. From this box, draw out lines towards the right for each possible solution and write a description of the solution along each line. Keep the lines as far apart as possible so that you can expand your thoughts. At the end of each line, consider the results. If the result of making that decision is uncertain, draw a small circle. If the result is another decision that you need to make, draw another square. Squares represent decisions, and circles represent uncertain outcomes. Write the decision or the uncertain outcome above the square or circle. If you have completed the solution at the end of the line, just leave it blank. Starting from the new decision squares on your diagram, draw a fresh set of lines representing the options that you could select. From the circles, draw lines representing possible outcomes. Again make a brief note on each line saying what it means. Keep doing this until you have drawn out as many possible outcomes and decisions as you can think of that lead from the original decision. A Decision Tree describes a list of feasible alternatives, the possible outcomes associated with each alternative, the corresponding probabilities, and costs16. Let us explore how to draw and use a decision tree by analyzing the decision making scenario in the Della Steam Plant Study.

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4.2: Drawing a Decision Tree for the Della Steam Plant case: We can draw the decision tree for the problem in the Della Steam Plant as shown in Figure 21. Sam, the manager, is faced with a problem and has been offered two alternatives to consider: Lucy’s recommendation to shut down the unit and maintain the unit or Steve’s recommendation to restart the unit. These are shown as rectangular blocks after the problem in Figure 21. By implementing either of these alternatives, there are two possibilities: either the unit will fail or the unit will run with acceptable performance. He assigns probabilities p1, p2, p3, and p4 for these possibilities for both Lucy’s and Steve’s recommendation. Please note that p1 and p2 need to add to the value of 1 and p3 and p4 need to add to the value of 1. The cost of each of the possibilities is shown next in the decision tree. Then the expected cost of each option (Lucy’s or Steve’s recommendation) can be computed by multiplying the cost by the associated probability. Depending on the situation, Sam could change the values assigned to the probabilities p1, p2, p3, and p4 and then compute the expected value of each option. He can then make the final decision based on cost of each option that reflects the risks in this particular situation.

Figure 21: Decision Tree for Della Steam Plant Problem

The branches connected to Lucy’s recommendation will be examined. First, let us assign the probability of unit failing as p1 and the probability of the unit running properly as p2. If Lucy’s recommendation is

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followed and the unit fails, the cost will be $20.4 million ($19.5 + $0.9) and the unit will be out of operation for at least 187 days (180 + 7). If the unit runs, the cost of this option will be $0.9 million and the unit will be out of operation for at least 7 days. To calculate the expected cost of this option, we use the formula: Expected cost following Lucy’s recommendation = 20.4 * p1 + 0.9 * p2 - equation 1 If Sam follows Steve’s recommendation to restart the unit, there are two outcomes: either the unit fails (p3) or the unit runs (p4). If the unit fails, the cost will be $19.5 million and the unit will be out of operation for at least 180 days. If the unit runs, the cost will be none. To calculate the expected cost of this option, we use the same formula: Expected cost of following Steve’s recommendation = 19.5 * p3 + 0.0 * p4 - equation 2 Let us assume a few probabilities for p1, p2, p3, and p4 and compute the expected costs for following the two options.

Scenario 1: Let us assume that there was a discussion among Sam, Steve, and Lucy. Lucy persuasively argues that probability p1 could not be above 0.1; i.e., there is a only a 1 in 10 chance that the unit will fail if it is stopped, stripped apart, fixed, and put together. She believes that probability p3 could be as high as 0.2; i.e., there is a 1 in 5 chance that the unit may fail if it is started immediately based on Steve’s recommendation. The group agrees that these probabilities reflect their approach of being relatively risk-averse. The decision tree is then redrawn as shown in Figure 23 and the costs computed as follows, based on the formulas provided in equations 1 and 2. Expected cost of following Lucy’s recommendation = 20.4 * 0.1 + 0.9 * 0.9 = $2.85 m Expected cost of following Steve’s recommendation = 19.5 * 0.2 + 0.0 * 0.8 = $3.9 m Clearly, if Sam agrees to these probabilities, then Lucy’s recommendation is the best option since the expected cost is $1.05 m less than that incurred by following Steve’s recommendation.

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Scenario 1: What if the probabilities are as follows:

Figure 22: Decision Tree for Scenario 1

Scenario 2: However, given the management pressure to cut costs, Sam might be willing to take more risks than he was able to assume under Scenario 1. Steve might argue that the risk of the unit failing when following Lucy’s recommendation is rather low; possibly as low as 1 in 100, thereby assigning the value of 0.01 to p1. He might also state that the probability that the unit may fail if it is restarted is also not very high, given that the problem might be only due to oil whip. That probability might be as low as 5 in 100, thereby assigning the value of 0.05 to p3. Given these probability values, Sam can redraw the decision tree (Figure 23) and recompute the expected costs of the recommendations based on equations 1 and 2. Expected cost of following Lucy’s recommendation = 20.4 * 0.01 + 0.9 * 0.99 = $1.095 m Expected cost of following Steve’s recommendation = 19.5 * 0.05 + 0.0 * 0.95 = $0.975 m Given these expected costs, following Steve’s recommendation seems to be worthwhile, though the benefit might not be significant (only $0.12 m).

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Scenario 2: What if the probabilities are as follows:

Figure 23: Decision Tree for Scenario 2

Scenario 3: At this stage, Sam might decide to consult with other engineers at the plant and with his Vice President of Operations. The group might conclude that there is a negligible chance of the unit failing if Lucy’s recommendation is followed (maybe a 1 in 1,000 possibility, translating to a value of p1=0.001). They might consider that Steve’s recommendation has a higher risk, but that his interpretation of the charts is valid and thus assign a 2 in 100 chance that the unit may fail if his recommendation is followed leading to a value of p3 = 0.02. Given these probability values, Sam can again redraw the decision tree (Figure 24) and recompute the expected costs of the recommendations based on equations 1 and 2. Expected cost of following Lucy’s recommendation = 20.4 * 0.001 + 0.9 * 0.999 = $0.919 m Expected cost of following Steve’s recommendation = 19.5 * 0.02 + 0.0 * 0.98 = $0.39 m Given these expected costs, Sam might find that following Steve’s recommendation seems to be worthwhile as the benefits are substantial, leading to a saving of $0.529 million. 145

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Scenario 3: What if the probabilities are as follows:

Figure 24: Decision Tree for Scenario 3

Depending on the situation and the decision-making group’s interaction, Sam can input other values of probabilities for p1 and p3 and then compute the expected cost. In the end, however, he must select one of the recommendations for implementation; he can then use the “what if” analysis to justify his final decision. This example shows that decision trees are excellent tools for helping to decide among several courses of action. They provide a highly effective structure within which you can analyze the options and investigate the possible outcomes of choosing those options. They also help to form a balanced picture of the risks and rewards associated with each possible course of action. Decision trees provide an effective method of decision-making because they:  Lay out the problem so that all options can be shown and discussed  Allow a full analysis of all possible consequences of a decision  Provide a framework within which the costs and probabilities of outcomes are assigned.  Help make the best decisions on the basis of existing information and best guesses.

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As with all decision support system tolls, decision tree analysis should be used in conjunction with common sense - decision trees are just one important part of your decision-making tool kit.

5 Psychological Considerations in Decision-Making In addition to using some of the decision support software discussed in the earlier section, people frequently make decisions based on other factors such as “intuition,” “gut feeling,” “follow the leader,” “follow the dominant personality,” etc. When you observe such a situation, it is important to realize that there are a few well-established biases that run counter to our “intuition” or “common sense.” Extensive research has shown that biases exist and psychological considerations are important to consider in decision-making17. We will discuss these issues and illustrate them with excerpts from the Della Steam Plant case study. Certain psychological considerations must be taken into account when people make a decision.  People think of consequences as increments (or decrements) to current wealth and have an aversion to losses; therefore, people tend to favor incremental changes over radically new approaches.  People do not adequately distinguish the dimensionality between large numbers when faced with a decision.  People give unlikely events more weight than they deserve, and give correspondingly less weight to likely events. Real World Connection As we continue to follow the Della Steam Plant case study, we see that Sam, Lucy, and Steve were faced with dilemmas. Would Sam side with Steve and risk losing $19.5 million for the company, ruining the reputations of both himself and the company? Would he choose Lucy’s recommendation and possibly lose $900,000 even if this was the “safe” option? Sam had to make a decision based on the information available to him in a timely manner, as the company was losing money every minute the unit was out of operation. Not only was Sam faced with time constraints, but also the company’s reputation and the security of many employees’ jobs rested on his ability to make a good decision. Let’s take a look at this real-world scenario in greater detail (Figure 25). Aversion to Loss: Lucy, the representative from the turbine generator manufacturer, showed aversion to taking risk by requesting a shut-down of the unit. Lucy felt that her job and the security of others could be at risk if the turbine generator was left running, so she opted to shut it off. Bob and Sam agreed with her view and decided to open the unit so it could be repaired. This example shows that they made a choice that 147

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favors aversion to loss. Steve believed that oil whip may have caused the high vibration – a higher probability event. Since his recommendation was novel and had never before been implemented by the company, there was resistance to it and he had to back up his argument with concrete data. Real World Connection

Figure 25: This screenshot from the CD-ROM explains the problem statement of the Della Steam Plant Case Study

Next, Lucy compared the decision facing Sam to that faced by a manager of an office building when the fire alarm goes off in the middle of the work day. This contrast is totally unrelated, as Steve noted that the financial implications of shutting down the turbine-generator unit are not at all similar to letting people leave the building for a short time when there is a fire alarm. Should the company take a $900,000 loss for a low probability event? The financial repercussions of this decision are drastically different when compared to the fire alarm example. By using this example, Lucy might be assigning a higher probability for p3, the probability that the unit will fail under Steve’s recommendation. Dimensionality of Numbers: A turbine-generator unit weighs approximately 120,000 pounds and occupies a four-story bay. For those who are not familiar with such large equipment, they may not be able to visualize the size and the damage that might be caused if this unit fails. Since very few people would have witnessed such a disaster, it is a

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challenge for Sam to think about, visualize, and understand the problem before making the appropriate decision. Give likely events low probability: Even though Lucy and Bob recommended following Lucy’s recommendation, Steve believed that the unit would not fail if restarted. In this instance, Steve might be assigning a likely event (that of unit failing) a lower probability (p3) than the unit failing under Lucy’s recommendation (p1). Sam had to use his experience to judge the appropriate probabilities in this case. There have been other studies of people's assumptions and their ability to evaluate probabilities. Some of the findings from these studies include18: (a) People have poor intuitions about probability. For example, a gambler may say, "I've had a couple of successes and, therefore, I am due for a failure." Alternatively, he or she may believe the counter fallacy, "The dice are running hot. Let me play again." (b) Lay people and experts alike do not calibrate well. By and large the probability distributions they assign are too narrow and tight; people thus think that they know more than they really know and are surprised far too often. (c) It is very hard to assess small probabilities, such as 1 in a million. (d) Feelings of anxiety, joy, anticipation, regret, disappointment, elation, and envy are a constant part of human life, but are not accounted for by the decision models. (e) People may arrive at opposite conclusions when data are presented in different ways. (f) Cultural background has a strong influence on the decision-making processes of individuals. (g) Men and women use different criteria in making decisions and exhibit different behavioral patterns in group decision-making contexts. (h) Social upbringing restricts people from accepting nontraditional solutions to problems. Real-World Connection We will use a few examples from the Della Case Study to illustrate the biases that arose in the plant. Probability: It is clear that Lucy, Bob, and Steve have assigned different probabilities for p1, p2, p3, and p4. It is critical that they work as a team, clarifying their assumptions and explaining how they arrived at their probability values. The problem could be solved if they are able to agree on these values.

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Calibration: In order for the probabilities to be derived, it is important that the engineers and Sam are able to interpret the charts that were produced by the probes installed in the unit (Figures 11 to 14). Was it possible that Steve thought he was interpreting the chart correctly but was mistaken? Assess small probabilities: The “what if” analysis in the earlier section showed that depending on the value of the probabilities, the expected costs could vary between $0.39m and $3.9 m. Given that this was not a common day-to-day occurrence, it becomes critical to assess the probabilities so that the team is comfortable with the final values chosen. Feelings: The case shows that Steve had gone home at 6 a.m. after the unit was started and became operational. He woke up at 1.00 p.m. and called Bob Make to check the status of the unit. He was surprised to learn that the unit had been shut down. The decision to stop the unit was made without consulting him. Could that be a reason why he chose to disagree with the other recommendations? Presentation of data: The charts (Figures 11 to 14) were available to all the engineers and Sam throughout the incident. However, everyone drew different conclusions based on the data since each chart shows the problem using a different analysis technique. Cultural background, including differences between men and women and social upbringing: Steve may be showing a “cowboy” attitude. In other words, he feels his way is the best and only way. His stubborn attitude may be seen as intimidating by Lucy. Is Lucy hesitant to make a bold decision because of this? In general, females tend to feel more comfortable making group decisions, whereas males feel the need to show boldness and make a sure choice. What if Steve and Lucy switched roles? Cultural background has been shown to be an important factor in decision making processes. These examples show that decision-making involves combining theoretical knowledge with practical experience in order to arrive at the best solution with the given circumstances.

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Conclusion As stated, there are two major categories of decision-making processes: prescriptive and descriptive. Prescriptive analysis indicates how decisions should be made according to a set of well-defined criteria. There are seven steps to the prescriptive decision-making process: Understand the situation and Identify the objectives Identify and Diagnose the problem Identify alternatives Evaluate each alternative and Compare them using sensitivity analysis 5. Select the optimum alternative and implement it 6. Monitor performance and Obtain feedback on implementation 7. Evaluate the impact of the decision-making process on a similar decision in the future 1. 2. 3. 4.

Descriptive analysis describes how people actually make decisions and the Della case study is an example of a descriptive analysis of a problem that happened at a power plant. We applied prescriptive analysis to examine the descriptive problem stated in the case study. We expect this chapter to give you an introduction to the importance of decisionmaking and the scientific and psychological processes involved in the decision-making process. Your future holds many challenges that will require you to make many difficult decisions. These decisions will have a significant impact on product and process designs. In turn, you will be influencing peoples’ home and work environments. It is critical that you hone your decision making skills throughout your career and use each life experience to gain further skills, becoming an expert in making good decisions.

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Short Essay Questions 1) 2) 3) 4) 5) 6)

What is the name of the field that studies decision-making? What are the steps in decision-making? Describe each step in the decision-making process. Define a Decision Tree. Define probability and give an example of how to use this concept. Discuss the various kinds of decision support systems software that are available to assist engineers in their jobs. 7) What are the psychological aspects that need to be considered in decision-making scenarios? 8) What is the role of a turbine generator in generating electricity? 9) What was the main problem facing the Della Steam Plant? 10) What was Lucy’s recommendation for solving the problem? 11) What did Steve suggest in his recommendation? 12) Explain the terms oil whip and oil whirl. 13) List a few criteria that Sam Towers had to consider before making a decision. 14) Explain the decision tree for the problem facing the Della Steam Plant in your own words. 15) Choose your own probabilities, construct a new scenario and derive the expected costs for these probabilities. 16) Briefly explain what decision would you make if you were in Sam Tower’s position?

Essay Questions 1) Take a problem you have solved in the past (such as choosing a college, getting a job, etc.,) and use the steps of the decision-making process to analyze it. Did the analysis help you improve your decision-making process? 2) Find examples of good and poor decision-making from newspaper articles or practitioner journals. Analyze them and identify the lessons that could be learned by the organization concerned. 3) Your design of equipment to clear the trees on your university campus of toilet paper after victorious football games costs $200,000. There is a probability of 0.05 that it may not work. The cost for facilities personnel to clean up after each game without your machine is $50,000 and the team wins an average of eight games per season. The cost for personnel to clean up with your machine is only $5,000. Should the university invest in building your machine? 4) A waste treatment process is being created for Gadsen, AL. Given that it is a new plant, its utilization is unknown. You have a choice of designing a small unit X or a larger unit Y. You have estimated the utilization of this unit for two levels, high and low. You estimate that there is a probability of 60% that the utilization of the proposed 152

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treatment process will be high. The cost of unit X is $0.5 million, but it is designed for low utilization. If you want to change the unit to high utilization, it will cost an additional $1.5 million. Unit Y costs $1 million and it is designed for high utilization; it will cost an additional $0.25 million if it has to be used in a low utilization mode. Which unit will you select based on the expected cost for the plant? What happens if the estimate of the probability changes to a 40% chance that the process will be highly utilized? What happens if the estimate of the probability becomes 80% that the process will be highly utilized? 5) Hurricanes have long been a threat to the east coast of the USA. The average annual property damage is estimated to be $900 million. A private company has come up with a seeding technology so that the forces of the hurricane could be dispersed before it hits the coast. Observations have shown that wind speeds usually decrease with cloud seeding; but there is a possibility that the wind speed may actually increase after seeding. If the seeding leads to lower wind speed, a saving of 20% in damage costs is expected. If the seeding leads to a higher wind speed, a further loss of 40% is expected. The cost to seed is $100 million per year, and the insurance companies have agreed to give the excess savings or pass on the excess loss to the seeding company every year. Given the following probabilities, is it profitable for the company to seed? A) Probability of 0.1 that high winds will result. B) Probability of 0.5 that high winds will result. C) Probability of 0.01 that high winds will result. D) Suppose a new seeding technology has been created (at a cost of $200 million per year) that will further reduce the wind speed, resulting in saving of 80%. Would you fund this experimental technology given the above probabilities? 6) Illustrate the psychological considerations that need to be taken into account in decision-making, with examples from literature and your personal experience.

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Della Case Exercise:

Study

Scientific

Decision-Making

Learning Objectives: 1. To show the importance of the decision-making process in a real world problem. 2. To understand the use of Decision Trees. Materials: PC with CD-ROM Drive, Della Steam Plant Case Study CDROM, Word Processor Assignment Participation: Individual Exercise Time: 10 minutes per person Pages to look at in the CDROM: 1. Della Problem Statement 2. Lucy's Recommendation 3. Table 1 4. Steve's Recommendation 5. Sam Towers's dilemma 6. Table 2 Assignment: Della is faced with the options of restarting the turbinegenerator immediately or opening the turbine and verifying the problem before restarting. The data provided in the case study shows that the fixed cost of stopping the unit and fixing the problem is $0.9 million. The cost of restarting the unit could vary from $0 if there is no problem to $19.5 million if there is a catastrophic failure. Team I: Revisions have been made to the costs of following the two recommendations. If Lucy’s recommendation is followed, the cost will be $1.9 million and it will take 2 weeks of downtime. Recompute the expected costs using the three scenarios provided in the chapter. Team II: If Steve’s recommendation is followed, the cost will be none if the unit runs properly and it will be $31 million if the unit fails since the lawyers predict possibility of litigation. Recompute the expected costs using the three scenarios provided in the chapter. Team III: If Lucy’s recommendation is followed, the cost will be $3.0 million and 2 weeks of downtime since lawyers predict possibility of litigation. If Steve’s recommendation is followed, the cost will be none if the unit runs properly and it will be $31 million if the unit fails since the lawyers predict possibility of litigation. Recompute the expected costs using the three scenarios provided in the chapter. Team IV: You play the role of Sam, the plant manager. You have listened to the presentation of the three teams. Make a decision as to what the plant should do given the technical issues, managerial issues, and the expected costs. 154

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Grading Criteria: Organization: Present information in an organized fashion. Content of Presentations: Proceed through the decision-making process and choose a justified alternative in a rational fashion. Understanding: Show an understanding of the technical concepts in the case. Questions to Consider after the Assignment: • • •

What other decision support tool might be used in this situation? Is it possible to use scientific decision making processes in real-life? What steps need to be undertaken by management so that the decision could be made in a scientific manner?

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Lorn Case Study Decision-Making Exercise: Purpose: To show the importance of the decision-making and planning process to an engineer. To help students learn how to integrate prescriptive and descriptive decision making models. Materials: Personal Computer with CD-ROM drive, Lorn Case Study CD-ROM, PowerPoint Time: An Example: 6 minutes per team, or ask students to submit their PowerPoint presentations Pages to tell students to look at in the CD-ROM: 1. 2. 3. 4. 5. 6. 7.

Problem Statement and Video Jim Russell’s account of the accident Lap Winder page Limit Switches page Lock Out/Tag Out Procedure page Highlights of Kristin Willis’ deposition Communication skills

Assignment: Before starting this assignment, the instructor might want to highlight the important psychological considerations in decision-making: differences between decision-making models and reality, and/or the role of effective communication between management and engineers in order to make effective decisions. The following scenario is given to students. As a result of Jim Russell’s accident, Lorn Manufacturing has decided to consider three new Lap Winder designs: Design I is the original Lap Winder design: This design does not have any limit switches, nor does it have any guards besides the door for maintenance workers and the possibility of a Lock Out / Tag Out Procedure. The cost of this Lap Winder is $500,000. To select this option, the team of engineers assumes that the company using the machine has a Lock Out/ Tag Out Procedure. 70% of textile manufacturers use the Lock Out/ Tag Out procedure. If a company has Lock Out/ Tag Out Procedures there is a 90% chance that there will be no accidents and Lorn will not be sued. Lorn Manufacturing faces a $30,000 cost per suit lost and a $5,000 cost per suit won. Lorn loses half of their suits. If the company does not have Lock Out/ Tag Out Procedures, there is a 60% chance there will be no accidents and Lorn will not be sued. Design II is a newer model Lap Winder design: This design has limit switches that shut down the machine if the door guard is opened. The cost of this Lap Winder is $750,000 plus the cost of installing the machines in textile plants; 50,000 per unit. If the textile company using the machine has Lock Out/ Tag Out Procedures, there is a 4% chance of an accident and lawsuit. If there are no Lock Out/ Tag Out procedures at the textile plant, there is still a 90% chance there will be no accidents and Lorn will 156

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not be sued. Design III is a new and innovative Lap Winder design: This design has not only limit switches, but also a light that flashes when the door guard is open on the machine. The cost of this Lap Winder is $950,000, plus the cost of installing the machines; $50,000 per unit. If the textile company using this design has Lock Out/ Tag Out procedures there is a 0.01% chance of an accident and lawsuit. If there are no Lock Out/ Tag Out procedures at the textile plant, there is a 2% chance there will be an accident and lawsuit. Student teams are asked to consider each of these design alternatives and decide which to recommend using the decision making process. 1. Understand the Situation and Identify the Objectives: After reading the case information, develop a synopsis of some of the reasons for considering different Lap Winder design alternatives. Identify the objectives to be achieved by making the design decision and the constraints involved in reaching these objectives. 2. Identify and diagnose problem: Identify and state the facts, assumptions, and stakeholders’ concerns involved in this design decision. Develop a problem statement. Consider which issues are involved in this design decision, and how these issues affect primary and secondary stakeholders/users. 3. Identify Alternatives: Look over the three design alternatives presented. Consider these alternatives broadly, not only looking at the monetary issues involved in the decision but also safety, ethical, and user concerns. 4. Evaluate Each Alternative and Compare them Using Sensitivity Analysis: Compare the alternatives. Develop a decision tree for each design alternative. Calculate costs for each potential design using the decision tree. Consider how changing an aspect of the model changes the ultimate decision. Evaluate safety and ethical costs for each design alternative. 5. Choose the Alternative: Choose the alternative that your team is most comfortable in recommending. Defend your decision considering not only the monetary issues involved, but also other issues: ethical or safety. State why your team decided against the other two design decisions. If your team decided to look at one aspect with more weight than another, defend that decision. 6. Implementation and Monitoring Performance: How would your team implement your design choice and test how well it performs? Be creative. Teams should develop a PowerPoint presentation with the notion that they are presenting their design choice to a management team. Teams should also present their decision tree. Students should present their ideas in a 157

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chronological fashion first showing the objectives they identified and ending with how they could implement and test their design choice. Grading Criteria: Organization: Present information in a chronological fashion Content of Presentations: Proceed through the decision-making process and choose a design alternative in a rational fashion with justification Understanding: Thoughtfully consider the problem and use the decisionmaking process to choose an alternative based on a breadth of reasons. Presentation: Effectively present ideas in an easy to understand manner. Discussion: Possible questions to ask or assign and then discuss: • • • •

What is the role of the decision-making process in engineering? What data is needed to make a good decision? What data is necessary beyond just monetary data? What is the role of communication between engineers and management? Why is that relevant for a company to make good decisions? Discuss student questions about the exercise and decision-making.

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STS 51-L Case Study Scientific DecisionMaking Exercise e*: Learning Objectives: 1. To show the importance of the decision-making and planning process to an engineer. 2. To show how to integrate prescriptive and descriptive decision making models. 3. To show how to implement decision trees in the decision making process Materials: Personal Computer with CD-ROM drive, STS 51-L Case Study CD-ROM, writing materials, PowerPoint Assignment Participation: Team Exercise (also possible to assign as an Individual Exercise. If so, each student will have one of the three given roles and he or she will present a report that includes Sensitivity Analysis and how the decision-making process was used to arrive at the decision to launch or not launch). Time: One hour to prepare presentation, then either 10 minutes per team to present or submit the PowerPoint presentations Pages to look at in the CD-ROM: 1. Problem Statement 2. A typical shuttle mission 3. Joint Rotation Page (with 4 sub-pages): About SRB, SRM, Discovery of Joint Rotation, About Joint Rotation 4. About the O-ring 5. Impromptu teleconference 6. Full teleconference (with 2 sub-pages): MTI engineers, MTI recommendation 7. Glossary of terms used in this exercise Assignment: The class should be divided into three team types: MTI engineers, MTI managers, and NASA managers. Students should review the following scenario: Cost-benefit analysis has been performed by a joint engineeringmanagement team and it shows that NASA and MTI stand to gain $20 million if the launch succeeds and lose $620 million if the launch fails. From past tests it has been determined that the success rate of the

* The money values and failure rates used in this exercise are fictitious. They are only meant to serve as a reasonable example of what the conditions might have been for STS 51-L.

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upcoming launch is 99.9% if the O-rings hold and 99% if both O-rings fail. MTI Engineers: The management team at MTI, Morton Thiokol Inc., wants to know from you, the engineers at MTI, whether they should recommend launching NASA's next mission, STS 51-L. However, something worries your team. The temperature for the up-coming flight is 28oF; at this temperature your team believes that there is 5% failure rate of both O-rings. Will your team tell MTI management to recommend going ahead with the launch? Focus on launch success and launch failure. Use decision tree analysis to justify your decision. Perform sensitivity analysis and show when you might change your decision. MTI Management: NASA wants to know from you, the management team at MTI whether they should launch their next mission, STS 51-L. After reviewing the engineering team's concerns, you believe that your engineers are very pessimistic in their estimate of O-ring failure. You have contacted outside engineering consultants and they tell you that the chance of failure of the O-ring is 2%, at 28 oF. Will your team recommend to NASA that they should go ahead with the launch? Focus on launch success and launch failure. Use decision tree analysis to justify your decision. Perform sensitivity analysis and show when you might change your decision. NASA Management: After reviewing both MTI management and engineering launch evaluations your team has to give the ultimate decision whether to launch or not launch. You have also hired another reputable engineering firm to calculate the probability of failure of both O-rings at 28oF. They estimate the probability to be 1%. Will your team launch the shuttle? Focus on launch success and launch failure. Use decision tree analysis to justify your decision. Perform sensitivity analysis and show how changing the probabilities might change your decision. Each team should use the following decision making process to make their decision: 1. Understand the Situation and Identify the Objectives: After reading the STS 51-L case material develop a synopsis of why your team is considering this launch decision. Identify the objectives to be achieved by making this decision and what constraints are involved. 2. Identify and diagnose the problem: Identify the launch problem that your team is faced with. Consider how your decision will affect primary and secondary stakeholders/users. Develop a Problem Statement. 3. Identify Alternatives: Look over the two alternatives presented. Consider these alternatives broadly, not only looking at the technical issues involved in each alternative but also the safety and ethical concerns 160

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and those of the astronauts. 4. Evaluate Each Alternative and Compare them Using Sensitivity Analysis: Compare the two alternatives by considering the impact of launching the shuttle. Develop a decision tree associated with launch success or failure. Consider how changing an aspect of the decision making model changes the ultimate decision. 5. Select one of the Alternatives: Choose the alternative that your team is most comfortable in recommending. Defend your decision taking into account not only monetary considerations but also other issues: ethical, safety, or technical. Consider the launch temperature, O-ring failure rate and its implications on the overall shuttle launch, and cost concerns. If your team decides to give more weight to one aspect (i.e., safety, monetary, technical, or ethical) over another, defend your decision. 6. Implementation and Monitoring Performance: How would the results of this launch impact future launches? Teams should develop a 10-minute PowerPoint presentation with at least one slide per decision-making process element. Present your decision trees as part of your presentations. Present your ideas in a chronological fashion starting with the first decision-making element and ending with the last decision-making element. Grading Criteria: Organization: Present information in a chronological fashion. Content of Presentations: Proceed through the decision-making process and choose a justified alternative in a rational fashion. Understanding: Show an understanding of the technical concepts in the case. Presentation: Effectively present ideas in an easy to understand manner. Questions to Consider after the Assignment: 1. What is the role of the decision-making process in engineering? 2. What data is needed to make a good decision? What data is necessary beyond simple financial data? 3. What is the role of communication between engineers and management? Why is good communication necessary for a company to make good decisions?

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APPENDIX 1: EXAMPLES OF THE USE OF SCIENTIFIC DECISION MAKING IN ENGINEERING INTERFACES 31:1 Jan 2001 pp: 91-107

Rightsizing and management of prototype vehicle testing at Ford Motor Company: Kenneth Chelst, John Sidelko, Alex Przebienda, Jeffrey Lockledge, and Dimitrios Mihailidis The prototype vehicles that Ford Motor Company uses to verify new designs are a major annual investment. A team of engineering managers studying for master’s degrees in a Wayne State University program taught at Ford adapted a classroom set-covering example to begin development of the prototype optimization model (POM). Ford uses the POM and its related expert systems to budget, plan, and manage prototype test fleets and to maintain testing integrity, reducing annual prototype costs by more than $250 million. POM’s first use on the European Transit vehicle reduced costs by an estimated $12 million. The model dramatically shortened the planning process, established global procedures, and created a common structure for dialogue between budgeting and engineering. INTERFACES 27:1 Jan 1997 pp: 71-88

Pontis: A system for maintenance optimization and improvement of US bridge networks Kamal Golabi and Richard Shepard Pontis provides a systematic methodology for allocating funds, evaluating current and future needs for bridges and options that best meet those needs, recommending the optimal policy for each bridge in the context of overall network benefits, budgets, and restrictions. After a trial implementation in California and extensive testing in several states, the system was adopted by AASHTO (Association of American State Highway Officials). Currently, over 40 states are implementing Pontis. At the heart of Pontis is a set of predictive and optimization models which derive their information from judgmental, engineering, and economic models and various databases. The predictive models start with engineering-based subjective inputs and update themselves in a Bayesian context as data is collected. The optimization models consist of interrelated Markov decision models and mathematical programming tools and models.

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APPENDIX 2: EXAMPLE OF HOW FACTORS OTHER THAN ENGINEERING INFLUENCE THE SUCCESS/FAILURE OF A COMPANY The Demise of Shiva Corporation: Hi-tech solutions that did not succeed in the Marketplace Shiva Corporation was a leading global provider of remote access solutions for business. The company was founded in 1985 and was based in Bedford, MA. The company derived its revenues from remote access products and other communications products and services. The company's products were used to create a new Virtual Private Network (VPN) that can be used to connect people over long distances via the Internet. They expected to provide a single solution that would enable their customers to manage both direct dial and VPN connections from the same terminal, using the same authentication list and security software. Their technology would allow "long distance" remote access connections for the cost of a local call. They expected that this integration of direct dial and VPN would help customers lower the overall cost of managing their solutions. PC Magazine chose the Shiva LAN Rover Access Switch as the top performer on their tests during 1997. The system offered client-side caching to speed throughput, tariff management to control costs, and dialin, dial-out, and LAN-to-LAN routing for flexibility. Financial information from the company for five years is shown below (in $million):

Total Revenues Operating income (loss) Income (loss) before income taxes Income tax provision (benefit) Net income (loss) Net income (loss) per share - Basic Market price of share: High: Low:

Jan-Oct 1998 $108 (22)

1997

1996

1995

1994

1993

$144 (26)

$200 (23)

$118 (4)

$81 (4)

$61 2

(18)

(22)

26

(3)

3

0.7

(6)

(8)

9

2

1

0.3

(12)

(14)

17

(1)

2

0.4

(0.4)

(0.47)

0.59

(0.19)

0.16

0.04

14.38 2.75

36.75 8.06

87.25 25.13

Not Available

Not Available

Not Available

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The Demise of SHIVA CORPORATION (Continued) In a filing to the Securities and Exchange Commission (SEC) on January 22, 1999, Shiva Corporation recommended that the company merge with Intel and the current shareholders be paid $6 per share. The reasons for the recommendation were: (1) Increased Competition. The rapid entry of competing large telecommunications and service providers such as Lucent and Nortel to the remote access market, in addition to large traditional networking vendors, such as Cisco and 3Com, had resulted in increased competition. In addition, customers increasingly viewed remote access offerings as a component of an end-to-end solution that was most effectively provided by very large-scale companies, which had significantly greater resources than Shiva and which customers perceived as better suited to address a variety of their needs over a long period of time. The company’s board considered the effects of these factors on the prospects of Shiva’s continued operation as an independent company. (2) Effect of Rapid Technological Change. The market for remote access products had changed dramatically in recent years. Computer users have increasingly utilized the Internet for remote access. A number of factors contributed to this transition, including cost, ease of use and increasing public awareness, use and acceptance of the Internet. In order to address the changing needs of this market, Shiva began to devote additional resources to products that increased the security of remote access conducted on the Internet, allowing the establishment of VPNs. The new Internet-based products represented less than 10% of Shiva’s sales in the third quarter of 1998. The company’s board considered the uncertainty of the overall size and strength of the VPN market and the difficulties Shiva was experiencing in competing against its larger competitors in assessing the potential for future success of its VPN products. Specifically, the Board considered the fact that large, well-funded competitors such as Nortel/Bay Networks and Cisco had entered the VPN market, offering brand name recognition, broad market reach and a dedicated, direct sales force. In addition, the Board believed that customer uncertainty about Shiva’s long-term prospects of the Company as an independent company had impaired its ability to sell VPN products. Although lawsuits were filed in an attempt to prevent it, the merger did finally take place. Some investors had bought Shiva's stock for as much as $87, as the table shows, and had to settle for the $6 sale price. This example shows the financial risk involved in running, working for, and investing in a technical company.

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APPENDIX 3: EXAMPLE DECISION TREE

OF

THE

USE

OF

A

As an example, we will evaluate two alternative designs for constructing a building using a Decision Tree. Design I is based on a conventional procedure, has a probability of satisfactory performance of 99%, and costs $1.5 million. Design II is a more modern design that is expected to reduce the cost of construction to $1 million. However, the reliability of Design II is not known. If the assumptions made by an engineer for Design II are valid, the probability of the building performing satisfactorily is 99%. However, if the engineer’s assumptions are invalid, the probability of the building performing satisfactorily is only 90%. The engineer is only 50% sure of these assumptions. If the building does not perform satisfactorily, whichever design is selected, your company is obligated to spend an additional $10 million to destroy and reconstruct the building20. Your task is to choose one of the designs. A Decision Tree for this problem is shown in Figure A3-1.

Figure A3-1: Decision Tree for Design Problem

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The probabilities for the end leaves are determined by computing the product of all probabilities along each path. For example, the probability of Design II being satisfactory (prob=0.99) given that your assumptions are correct (prob=0.5) is 0.99*0.5 = 0.495. Based on the Decision Tree, we can also compute the expected cost of the building. For the first design, the cost of the building is $1.5 million if the design is satisfactory and $11.5 million if the design is unsatisfactory, since the building would be constructed for $1.5 million and then reconstructed, costing an extra $10 million. Expected costs for choosing Design I are computed by multiplying the probability by the cost of each alternative: •

Expected cost for choosing Design I: = 0.99 * $1.5 Million + 0.01 * $11.5 Million = $1.6 Million

Similarly, the expected cost of choosing Design II is computed by multiplying the probabilities with the cost of alternatives. The cost of construction, if satisfactory is $1 million and, if unsatisfactory, is $11 million ($1 million for the original construction plus $10 million for reconstruction). The expected costs for choosing Design II are computed by multiplying the probability by the cost of each alternative. •

Expected cost for choosing Design II: = 0.495 * $1 Million + 0.005 * $11 Million + 0.45 * $1 Million + 0.05 * $11 Million = $1.55 Million

Based on the computations, the expected cost of implementing Design II is $.05 million less than that of Design I. As an engineer, this Decision Tree has provided you with a justification for the choice of Design II. However, this selection must be tempered with other factors such as the risk-taking ability of your organization, financial constraints, and the effects on the environment; you can easily change the results of the analysis to favor Design I if you change the values of some of the probabilities.

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Decision Tree for Modified Design: For example, if the engineer changes the probability that his/her assumption might be valid to 0.3 instead of 0.5, the Decision Tree changes as shown in Figure A3-2. The computation of the expected cost for Design II will also change. •

Expected cost for choosing Design II: = 0.297 * $1 Million + 0.003 * $11 Million + 0.63 * $1 Million + 0.07 * $11 Million = $1.73 Million

Figure A3-2: Decision Tree for Modified Design

In this case, Design I becomes the more favorable solution since its expected cost is $1.6 million, $0.13 million less than for Design II. Similarly, changing the other probability values will change your ultimate decision. These two Decision Tree examples illustrate how it is possible to favor different alternatives depending on the probabilities that are assigned to the events. There are additional practice examples at the end of this chapter where you can practice your skills in constructing Decision Trees.

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APPENDIX 4: SUMMARY OF OTHER SUPPORT SYSTEMS TOOLS AVAILABLE

DECISION

•

Linear and Integer Programming Software: This software is helpful when allocating funds to develop a mix of products given capacity constraints, set-up costs, and production costs. The linear and integer programming method involves maximizing or minimizing an objective function subject to constraints, generally in the form of inequalities such as “greater than” or “less than.” Sensitivity analysis allows you to change the parameters and see how this impacts the results. For example, the Stillwater Mining Company needed a tool for analyzing development and production scenarios in a new area of an underground platinum and palladium mine in Stillwater, Montana. They developed a large mixed-integer programming model that accepts as inputs the planned mine layout, projected ore quality, and the project costs for basic mining activities, and produces a nearoptimal schedule of activities that maximizes discounted ore revenue over a given planning horizon19. The insights gained from the use of this model plays an important role in determining the company’s development strategy.

•

Statistical Software: When historical data are available, this type of software can often be used to predict future trends. For example, the number of births and deaths in a country could be plotted against time and used to predict the population in a future year. In another example, the U.S. military was faced with a serious shortage of new recruits in 1999. The United States Army Recruiting Command (USAREC) developed tools to track key market intelligence factors. They could not have recruited over 80,000 new soldiers in FY 2000 without the aid of statistical software that identified the trends, wants, and needs of potential recruits20.

•

Spreadsheet Software: This type of software is helpful when the alternatives can easily be arranged in columns, the criteria in rows, and amounts entered in the cells. Spreadsheets are often used to determine what it would take to move a second-place or third-place alternative up to first place. Spreadsheets can also be used to find out what happens if factor weights are varied among the alternatives; in the Turbo-Tax software, for example, the amount of interest attributed to a spouse could be changed, leading to different amounts of tax owed. In an industry application, Heery International developed and implemented an Excel Spreadsheet optimization model to minimize the total cost of assigning managers to up to 114 construction projects while still maintaining a balanced workload for all their managers. As a result of this model, Heery has been able to manage its projects without having

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to replace a manager who resigned and has reduced travel costs by assigning managers to projects that are close to their homes21. •

Rule-based Software: This type of software is based on Artificial Intelligence or Expert Systems and is very helpful in dealing with both narrow and broad fields of decision making. An example of a narrow decision focus is whether you will be allowed credit when you swipe your card in a supermarket. An example of a broad field decision focus is deciding whether to launch retaliatory missiles when the launch of enemy missiles is detected.

•

Multi-criteria Decision-Making Software: This type of software deals with multiple objectives that may have to be attained simultaneously, rather than with a single objective. For example, automobile manufacturers provide railroad companies with annual forecasts of their monthly shipping volumes from various origins to different destinations. The railroad companies jointly operate pools of railcars to transport these new automobiles. Each pool comprises equipment of a particular type and serves one or more shippers. RELOAD, a fleet management group, manages the repositioning of empty railcars for the carriers. The problem is to find the smallest fleet size that will provide adequate service. The parties involved have agreed on a coordinated use of static and dynamic fleet-sizing models, along with appropriate correction factors, to determine the number of railcars of each type that should be acquired each year. By using this process, the railroad companies have been able to reduce their equipment commitments, saving over a half billion dollars annually22.

•

Decision-aiding Software: This type of software focuses on specific subjects and is been designed to work with only those subjects. Examples include software packages that help decide where to drill an oil well, whether to approve a mortgage loan, or how to prepare the most advantageous tax return. The SLIM (Short cycle time and Low Inventory in Manufacturing) system manages cycle time in semiconductor manufacturing. Between 1996 and 1999, Samsung Electronics Corp. implemented SLIM in all its semiconductor manufacturing facilities, reducing the manufacturing cycle time needed to fabricate dynamic random access memory (DRAM) devices from more than 80 days to under 30 days 23.

•

Group Decision Support Software: This type of software helps a group generate alternatives, goals, and constraints, but does not process these to recommend a decision.

•

Enterprise Resource Planning (ERP) Software: This complex and

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sophisticated software has modules that automate and integrate the different functions of a company. It facilitates the flow of information between all areas within a company, such as manufacturing, logistics, finance, and human resources. It is an enterprise-wide information system solution, operating on a common platform, interacting with an integrated set of applications, and consolidating all business operations in a single computing environment. For example, Hyundai has approximately 400 first-tier suppliers, 2,500 second-tier suppliers, and an unknown number of third- or higher-tier suppliers. The first-tier suppliers manufacture parts that are used directly by Hyundai; the second-tier suppliers manufacture parts that are used by second-tier manufacturers, etc. It has developed mechanisms to coordinate production planning and scheduling activities among its supply-chain members using ERP software24. The primary benefit of implementing the software is improved customer satisfaction through better integration of company functions. Another example is Robert Bosch GmbH, which uses the ERP system SAP to cut costs, increase interchangeability of products among the many plants worldwide, and fulfill customer requirements. A manager in the plant describes the advantages of these systems: “Let me tell you what the difference is in our business today versus a year ago, before SAP. I went to our St. Joseph, Michigan, plant and I was talking with the cost accounting person and I asked him about SAP. He has had it now for 9 months and she said, ‘I hate it’. And I said, ‘Why is that? Is it because we used to have a nice way to put a bill of material in and now you have to go through 4 or 6 screens, so the navigation isn’t quite there and SAP is working on it?’ He said, ‘Oh, no, that doesn’t bother me. Earlier, as a cost accounting person, I had my own world there. Everything was wonderful and I booked what I needed to and then at inventory time, we figured out where to match up. I got together with the materials guy once a year and fixed our problems. But now the system is so integrated that I need to stay coordinated every day with the materials guy. I just hate that.’25” Although he may hate the need to integrate with other business processes, the benefit to the overall company is significant. •

Knowledge Management Software: This type of software performs as an "intelligent assistant" to provide support for the human expert. It can form a complete, concise, quality-controlled representation of the company's expertise. Each request or input made using these systems would be used to further build and expand the system's database and archive capabilities. The goal of this software is to utilize the company's resources to obtain accurate, detailed, and timely information in order to meet the client's needs. For example, a Knowledge Sharing System (KSS) is being developed at Auburn University to effectively manage the knowledge content to perform 170

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technology transfer activities. A virtual community composed of engineering students, faculty members, extension service agents, chambers of commerce, and company officials is being developed to disseminate and transfer engineering technology from academic and research institutions to the industrial community. The community will bring together university students and faculty together with state agent liaisons and contacts within industry in both a personal and virtual manner. The virtual component of the community will be centered on a Knowledge Sharing System that will serve as a communication, data collection, and knowledge management forum. The goal of the community and the KSS is to bring together partners so that they could learn from each others’ experiences and avoid having to “reinvent the wheel.”26 •

Simulation Software: Frequently it becomes important to be able to simulate an operation in a computer so that the constraints can be examined more closely. There are many kinds of software available to assist engineers in simulating operating conditions. For example, while it is fun and exciting, engineering in the entertainment industry is also a serious business. Assuring the safety of visitors at an amusement park as they roar through roller coaster loops at 60 mph is a demanding responsibility. Fortunately, rapid advances in the field mean that the latest simulation software packages now support sophisticated engineering analyses. However, realizing the full benefits of the latest simulation tools require extra time and training if engineers are to use them effectively. For example, an engineering simulation using Mechanical Event Simulation (MES) software was developed to verify the integrity of a cinematic motion simulator ride. The results from the model showed that stresses experienced by the bearings under load from the six cylinders were within the acceptable range. A comparison of the maximum stresses found in the MES with those produced by a linear static stress analysis showed the static results to be very conservative 27.

This brief description of software tools provides an overview of the theories and application software that are available to assist you in making good decisions during your career.

1

We thank Drew Allan and Narendranath Katakam for their contributions in developing this chapter. 2 Sorensen, T.C. Decision-Making in the White House: The Olive Branch or the Arrows, Columbia University Press, New York, 1963. 3 Kleindorfer, P.R., Kunreuther, H.C., and Schoemaker, P.J. H, Decision Sciences: An Integrative Perspective, Cambridge University Press, New York, NY 1993. 4 Badawy, M.K. Developing Managerial Skills in Engineers and Scientists, Van Nostrand

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Reinhold, New York, NY, 1995. 5 Kleindorfer, Kunreuther, and Schoemaker, ibid. 6 Bell, D.E., Raiffa, H. and Tversky, A. Decision Making: Descriptive, Normative, and Prescriptive Interactions, Cambridge University Press, Cambridge, UK, 1988 7 Kleindorfer, Kunreuther, and Schoemaker, ibid. Badawy, ibid. Clemen, R.T. Making Hard Decisions, Wadsworth Publishing Co., Belmont, CA, 1996. 8 Bransford, J.D., Brown, A.L., and Cocking, R.R., (editors), “How Pepole Learn: Brain, Mind, Experience, and School, National Academy Press, Washington, DC, 2000. 9 The deregulation of power industry in the U.S. had some unexpected turns during 19982005 due to the scandals that ensured when Enron failed and California had massive power cuts and increased costs for power. These events have slowed down the deregulation pressures considerably. 10 Twiss, B.C. Business for Engineers, Peter Peregrinus Ltd., London, UK, 1988. 11 www.turbotax.com 12 Simon, H.A. Models of Man, Wiley Publishers, New York, NY, 1957 13 Grissom, Robert. “Whirl/Whip Demonstration”. Instability in Rotating Machinery. NASA, 1985 14 Grissom, ibid. 15 Dey, P.K., Quantitative Risk Management Aids Refinery Construction, Hydrocarbon Processing, March 2002, pp. 85-95. 16 Ang, A.H., and Tang, W.H., Probability Concepts in Engineering Planning and Design, Wiley, New York, NY, 1975 17 Tversky, A and Kahneman, D. Rational Choice and the Framing of Decisions, Journal of Business, 59(4), Part 2, 5251-78, 1986. Bell, D.E., Raiffa, H. and Tversky, A. Decision Making: Descriptive, Normative, and Prescriptive Interactions, Cambridge University Press, Cambridge, UK, 1988. 18 Tversky et al., ibid. Bell et al., ibid. Kleindorfer, Kunreuther, and Schoemaker, ibid. Simon, H.A. Models of Man, Wiley Publishers, New York, NY, 1957. 19 Carlyle, W.M. and Eaves, B.C. Underground Planning at Stillwater Mining Company, Interfaces, 31(4): July-Aug. 2001, pp. 50-60. 20 Knowles, J.A., Parlier, G.H., Hoscheit, G.C., Ayer, R., Lyman, K., and Fancher, R., Reinventing Army Recruiting, Interfaces, 32(1): Jan-Feb. 2002, pp. 78-92. 21 LeBlanc, L.J., Randels, D. and Swann, T.K. Heery International’s Spreadsheet Optimization Model for Assigning Managers to Construction Projects, Interfaces, 30(6): Nov.-Dec. 2000, pp. 95-106. 22 Sherali, H.D. and Maguire, L.W. Determining Rail Size Fleet Sizes for Shipping Automobiles, Interfaces, 30(6): Nov-Dec 2000, pp. 80-90. 23 Leachman, R.C., Kang, J., and Lin, V., SLIM: Short Cycle Time and Low Inventory in Manufacturing at Samsung Electronics, Interfaces, 32(1): Jan-Feb. 2002, pp. 61-77. 24 Hahn, C.K., Duplaga, E.A., and Hartley, J.L. Supply-Chain Synchronization: Lessons from Hyundai Motor Company, Interfaces, 30(4): July-Aug. 2000, pp. 32-45. 25 Rau, K-H, R. and Sankar, C.S. Multiple Information Systems Coping with a Growing and Changing Business: Robert Bosch Corporation, Journal of SMET Education: Innovations and Research, 2(3&4): Sept-Dec 2001, pp. 19-36. 26 Cumbie, B., Raju, P.K., and Sankar, C.S. “Facilitating Technology Transfer Among Engineering Community Members,” Encyclopedia of Communities of Practice in Information and Knowledge Management, Idea Group Publishing, Hershey, PA, 2005. 27 Pribonic, E. Rock and Roll Engineering, Design Engineering, June 2000, p. 33.

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ENGINEERING WORKPLACE COMMUNICATION: Presentation and Writing1 Learning Goals • • •

Give examples of the types of situations requiring engineers to communicate Understand the ideas key to effective engineering communication Emphasize how professional success depends on the effectiveness of communication

1 Introduction •

•

•

Two engineers are discussing a technical problem over coffee in the cafeteria. One of them draws a rough diagram on a napkin, and the other suggests modifications in the diagram. When they go back to their offices, one of the engineers takes the napkin in order to preserve the diagram. An engineer meets with the vice presidents of two divisions, along with a representative from finance. The meeting is in the office of one of the vice presidents. The vice presidents are deciding whether to go ahead with a product launch, which the engineer favors. The engineer describes the product, outlines arguments for launch, and answers questions. A staff is meeting to discuss the costs and benefits of a system modification. The group includes representatives from manufacturing,

1

This chapter was developed by Judith Shaul Norback, Joel S. Sokol, Peter J. McGuire, and Garlie A. Forehand, Georgia Institute of Technology, GA.

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•

marketing, sales, and engineering. During the meeting, the engineer explains potential modifications, using prepared slides that include words, drawings and diagrams. The engineer answers questions from others, using the whiteboard to illustrate and explain points. An engineer is preparing a technical report on the cause of malfunctions in a manufacturing process. The report covers both technical issues and management implications. Readers will include other engineers and managers. The writer must decide how to use diagrams, equations, and engineering terminology in combination with non-technical terminology so that all readers will understand the important issues.

Each of these vignettes is an example of workplace communication by engineers. The instances illustrate the wide range of communication events that are part of a practicing engineer’s professional life. They range from highly informal to highly formal. The audience might be one person or many. The language might be technical or nontechnical. The format might be oral, written, or a combination of the two. The situations described share an important characteristic: the engineer’s professional success depends on the effectiveness of the communication. What makes communication so important to professional engineers? Communication is the way that engineers get their ideas implemented. It is almost always true that engineers’ work has an impact through the work of others. Effective communication improves an engineer’s value as a team member, and opens up opportunities for career advancement. The examples illustrate some key facts. 1. Communication is a necessary aspect of all of the work of professional engineers. 2. Engineers communicate professionally with colleagues and clients who have diverse organizational roles and educational backgrounds. 3. Without good communication, even the best engineer’s technical recommendations will not be implemented. Practicing engineers, engineering supervisors, and senior executives all report that communication skills are critical to an engineer’s career. Yet, most people are familiar with the stereotype of engineers as good at analyzing and calculating but bad at communication. Probably the most important reason for this stereotype is that engineering students get little training in communication. So, how does a student prepare for the communication demands of an engineering career? This chapter includes some concepts and strategies that will be helpful.

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In this chapter, we will outline basic principles that can be applied to all workplace communications. An engineer who integrates these principles into day-to-day professional work will be well equipped to handle diverse communication events. After outlining the basic principles, we will show how to apply them to important communication tasks that confront all engineers: oral presentations and written reports. The suggestions in this chapter came from engineering workplaces. They were made by professional engineers, supervisors, and senior executives during interviews that were part of research on engineering communication.

Real World Connection 1: Jim Russell v. Lorn Manufacturing, Inc. Overview: The people involved in this case are: • Jim Russell - The Plaintiff • Jason Michaels - Jim Russell's Co-Worker • Ross Strutherland - Jim Russell's Supervisor • Matt Tucker - Lorn Manufacturing's Representative • Kristin Willis - Lorn Manufacturing's Vice President & Treasurer of Lorn Manufacturing • Jeff Ledbetter - The Plaintiff's Lawyer • Dennis Rodriguez- The Defendant's Lawyer • Evan Morrison- Expert Engineering Witness for the Plaintiff • Dr. Kevin Taylor - Expert Engineering Witness for the Defendant Jim Russell, a maintenance worker at Lorn Manufacturing Inc., lost three of the fingers on his left hand during a routine maintenance procedure on a Lap Winder (see Figure.1). This occurred when the Lap Winder suddenly came on when he had opened the machine and was putting grease on chains. He was suing Lorn Manufacturing Inc., the designers of the Lap Winder machine, for negligence. This negligence suit revolves around the Codes of Standards that applied to the design and manufacture of the Lap Winder and the testimony of two expert engineering witnesses on the safety of the Lap Winder machine leading to the question on whether Lorn Manufacturing failed to follow appropriate safety considerations in designing the Lap Winder machine. The ultimate question to be decided in this case is whether Jim Russell, Lorn Textile Manufacturing, Inc., or WMS Clothing bears the responsibility for this particular injury. Additionally, this accident may have been prevented through better communication between the design engineers at Lorn Textile 175

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Manufacturing Inc. and workers at WMS Clothing. It is difficult for company be successful if the managers are unaware of the manufacturing process. Furthermore, it is important for expert witnesses to communicate complex engineering concepts in order to persuade a jury2. The Lorn case study exhibits a good example of how failure to communicate in the workplace can lead to disaster, or in this case, an injured victim.

Figure 1: Introduction page screenshot from the CD

2 Characteristics of Engineering Communication The engineer communicates professionally with a wide range of people. Some communication partners are fellow engineers with similar vocabulary and professional perspectives. Others include supervisors, corporate executives, workers and customers.

2

When we have run this case study using a mock trial format, the jury team has found either the plaintiff or defendant guilty depending on how the lawyer team presented the case. This happened when the jury consisted of students in the same class. Imagine how important communication skills are when the trial went to regular courts.

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Communication is often very different in engineering than in other aspects of life. The purpose of engineering communication is to explain a technical idea or analysis. As we explain later in this chapter, the way you explain should vary according to your audience – for example, a fellow engineer might want to see all of the equations that describe the physical stresses on a bridge, while a city planner (who doesn’t have an engineering degree) might be more interested in the effect your new bridge would have on traffic flow. However, regardless of the audience, there are several important characteristics of engineering communication that can differ from what you encounter in other aspects of life, or even in other courses you take. Engineering communication should be clear and simple: Unlike literature and poetry, where complex sentence structure and flowery metaphors are often highly valued, the purpose of engineering communication is to get as much of your audience as possible to understand your ideas. Therefore, you should present things as clearly and simply as possible. Engineering communication should be short and to the point: Many people enjoy good, long movies or books, but very few people read engineering reports for fun. Most people you will communicate with will be hearing or reading your communication as part of their busy workday, and they will appreciate your ability to explain things clearly without taking too much of their time. Engineering communication should be precise and accurate: Imprecise statements are common in non-engineering settings – for example, a politician might say, “My health care plan will cover a lot more Americans.” However, engineers are expected to be more precise when communicating. “This circuit will operate 5 times faster” gives more useful information than “this circuit will operate a lot faster.” Engineering communication should never be misleading: Engineering is different from advertising. Even when you are trying to influence their decision-making, the people you communicate with will trust that you are giving a truthful (and not misleading) representation of the facts. To find out more about what behavior is expected of engineers, read the Code of Ethics for Engineers (published by the National Society of Professional Engineers) and discussed in the engineering ethics chapter. Engineering communication should not have a surprise ending: The punch line of a joke and the final clue of a murder mystery are enjoyable because there are surprise endings. We never know what to expect until it happens. Engineering communications are different. They are meant to explain, not entertain, so it is important to give your audience information 177

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up front. Otherwise, they might lose interest. Professionals in the workplace stress the importance of stating the recommendations at the beginning of the communication. The characteristics of engineering communication described above included: a) the communication should be clear and simple, b) it should be short and to the point, c) the communication should be precise and accurate, d) it should never be misleading, and e) it should not have a surprise ending. The previous paragraphs have described how engineering communication differs from communication in other aspects of life. On the other hand, many general characteristics of good communication also apply in engineering. For example, engineers are expected to communicate using correct grammar and spelling. We assume that you have already learned things like this, so our focus in this chapter is on engineering-related aspects of communication. In later sections of this chapter we will offer specific suggestions for applying principles of communication in oral presentations and written reports. Next we will review the elements of communication. Audience characteristics will be covered as well as the form of a communication – the medium or the method used to convey information and the type of document involved. Next organizational context, or the language and traditions of an organization, will be described. Finally, the content of the communication – the information contained in the message – will be covered.

Real World Connection 2: Jim Russell v. Lorn Manufacturing, Inc. In the deposition of Dr. Kevin Taylor, an expert witness in the case, it is easy to see how engineering issues are complex. Even more difficult is the ability to convey ideas in a clear, simple, and precise manner. Here is excerpt explaining an “interlock”, a term for a device to prevent something from starting or stopping. Pay close attention to the questions asked by Mr. Ledbetter, the Lawyer. (For more details, look at the CD-Rom). The deposition reads: Mr. Ledbetter: And for what purpose are they used? Dr. Taylor: Safety purposes Mr. Ledbetter: Such as? Dr. Taylor: If you have a positive furnace pressure, it will shut the boiler down to prevent putting combustible gases out in the boiler space. Mr. Ledbetter: Prevents the release of combustible gases? Dr. Taylor: To the boiler space where people are.

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Mr. Ledbetter: Okay, how else are they used? Dr. Taylor: You have an interlock on the damper of a boiler so that if the damper is closed you can’t start the boiler. Mr. Ledbetter: Why would that be important? Dr. Taylor: If the damper was closed and you fired the boiler, it could push combustible gases out into the room, carbon monoxide, and kill people. You have interlocks on a fuel supply; fuel pressure gets too high it shuts the boiler off because you could over fire the boiler. You have a low pressure interlock; fuel pressure drops too much, then it would shut off the boiler. You have interlocks on the air flow; if you don’t have air flowing in the boiler, you could have a highly combustible explosive situation. You have interlocks on the steam pressure; steam pressure gets too high, it shuts the boiler off. You’ve got interlock on your car. You can’t start in drive, right? That’s a interlock. There are interlocks all over the place. If we apply the characteristics of engineering communication to the Lorn case, we see that Mr. Ledbetter’s questions are clear and simple. They are not difficult or complicated to understand to the jury. His questions are direct and to the point. He gets to the root of the subject matter by asking precise and accurate questions. Although the term “interlock” may seem a bit confusing, Mr. Ledbetter’s questions are precise and clear. In a similar manner, Dr Taylor answers in a simple and clear manner. His answers are short. His explanations are precise and accurate when he uses examples from “interlock on the damper of a boiler” to explain the technical terms. He does not mislead when he states that “if the damper was closed and you fired the boiler, it could push combustible gases out into the room, carbon monoxide, and kill people.” There is no surprise ending; the consequences of not having an ‘interlock’ are stated well and clearly.

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Figure 2: Screenshot from the CD which shows Dr. Kevin Taylor’s Deposition

3 Elements of Communication Suppose you are a professional engineer with the need to communicate a particular message to a group of significant individuals. Figure 3 can be used to identify the elements that you need to plan and implement your communication.

Figure 3: Elements of Communication

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3.1 Audience Characteristics It is tempting to believe that our job as communicators is to construct a message that is technically accurate, logically reasoned, and grammatically correct. The fact is, however, unless the audience understands the message, the communication is unsuccessful. In order to communicate in a way that will be understood, we need to recognize what our audience is like. Analysis of the audience is an indispensable part of communicating. • A key characteristic of audience members is their educational and professional background. Some audience members may have an engineering background and will be prepared to understand a technical point that you wish to make. Sometimes, however, your audience will include persons with different technical backgrounds and others with no technical background. • Second, audience members differ in the kinds of information they need. For example, colleagues with whom you are discussing the design of a new airplane wing need to see detailed equations and test results to appreciate your ideas. On the other hand, detailed technical analysis is less important if the audience members only need to understand the impact that the decision will have on the wing manufacturing processes. • Third, audience members also differ in the roles they play in the decision-making process. Some audience members might be influential decision-makers who will have considerable impact on whether your ideas are implemented or not. Influential roles include executive decision-making, financing, and marketing.

Real World Connection 3: Jim Russell v. Lorn Manufacturing, Inc. The audience in the Lorn Case Study is the jury, the body of individuals who decide the outcome of the case. In this case, an engineer testifying as an expert witness, must persuade a jury comprised of nontechnical people all that they need to know about the engineering principles involved in this case in order to prove his point. Again, communication is vital to this case, given the fact that common people (the essence of a jury) do not understand the technical language. Therefore, the expert witness is repeatedly asked questions about his educational and professional background. He is then asked to explain, the technical aspects so that the jury can trust the witness and make judgments. In the deposition by Evan Morrison (the expert witness for plaintiff) Mr. Rodriguez, the lawyer inquires about Mr. Morrison’s background and experience:

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Rodriguez: You are Evan Morrison? Rodriguez: And you are a consulting engineer from Dothan? Rodriguez: What prior experience have you had with textile machinery? Rodriguez: What about combed cotton operations? Have you had any experience dealing with them? After Mr. Morrison has established his technical competence, he explains a technical term. Morrison: There is a tagout. I’m sorry. Let me – The tagout procedure is that a tag then goes on the door or where the locks are located so that it’s’ locked out and tagged out. It is important that Mr. Rodriguez ask these questions so that the audience can understand Mr. Morrison’s technical competence, his experience in the industry, and important terms that may not be known by the average person – for instance, a tagout procedure1. This example shows that Mr. Rodriguez had understood the audience characteristics (jury) and is convincing them of the expert witness’s judgment in establishing that the Lap Winder machine was not designed properly.

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Lock Out/Tag Out Procedures plays an important role in this problem. These procedures are management tools that can assure worker safety in hazardous areas (Hazardous areas can include the interior of a boiler, a pit in which toxic fumes might be collected, or the area around the main drive shaft on a machine such as a lap winder). The purpose of these procedures is to ensure that there is no way that the machine can accidentally power up while somebody is in a dangerous position.

Pictorial description of the lock out and tag out procedures. LOCK OUT: The placement of a Lock out Device including a padlock on the Energy Isolating Device of a piece of equipment, machinery or system. The placement is done in accordance with the department's established procedure that ensures the energy isolation device and equipment being controlled cannot be operated until the lock out device is removed. Only the Authorized Person who placed the lock on can remove it at the completion of the job. Procedures must include those conditions when personnel other than the Authorized Person can also be affected by accidental release of hazardous energy. An example would be multiple personnel performing work activities in a controlled space (e.g. electrical power has been secured to a work area, equipment, machinery or system). During Lock Outs by multiple personnel, the equipment, machinery or system must remain secured until the last Authorized or Affected personnel has completed his or her work task and has removed his or her lock. TAG OUT: Posting a prominent warning tag with durable string onto the energy isolation device and / or lock out device of the piece of equipment, machinery or system being controlled. This tag documents the Authorized Person taking the equipment out of operation and the date. It is a warning to others that the equipment cannot be put back into operation until the tag and lock have been removed by the Authorized Person. Figure 4: Picture shows Lock out and Tag out Procedure

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Figure 5: Screenshot from the CD which shows the main page of Evan Morrison’s deposition

3.2 Form The form of a communication includes the medium used and the type of document involved. The medium of a communication is the method a person uses to convey information. Some examples include email, fax, phone, and oral communication. A communication always takes place via one or more media, and the medium itself affects how the message is received. For example, a face-to-face presentation is more interactive than a written report. The writer of a report must imagine questions and objections that would come to the surface in a meeting. A communicator must also make decisions about the type of document to use to convey a message. Common engineering documents include technical reports, progress reports, memos, slide presentations, and user manuals. Each of these styles has its own rules and formats. For example, readers of technical reports expect particular features such as standardized charts and tables. In many organizations, executive summaries are expected for all documents. An executive summary states the main ideas and summarizes the support in a page or two. Preparation of an executive summary is an important skill in its own right. Some managers will read only the executive summary, and others in the organization will often act on the material in the executive summary rather

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than reading the larger document. Therefore, the executive summary should be a self-contained mini-report rather than an “advertisement” for the full version.

Real World Connection 4: Jim Russell v. Lorn Manufacturing, Inc. The Lorn Case study CD-ROM includes a number of technical diagrams and pictures (see Figure 6) that was used in the trial. Not everyone will be able to understand the complexities of certain processes and procedures. But it is very important that jury be shown these figures so that that they can understand where the accident happened. In comparing Figures 7 and 8, it can be seen that Figure 8 shows the problem area much clearer than Figure 7. Even though Figure 7 provides a more detailed view of the machine and labels all the parts, Figure 8 shows the place where Jim put his fingers. The jury may not be interested in all the details shown in Figure 7, but might grasp the problem much better when shown in Figure 8. The expert witness has to make the choice among which of these figures to draw and be in the trial. The jury is the ultimate decision maker in the case, so they need to understand the material in an uncomplicated way. The pictures used to depict the maintenance procedure makes it easy for the jury, lawyers and judge to understand the problem.

Figure 6: Lap Winder

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Figure 7: Cut-away view of lap winder showing the gear where Jim Russel put his hand.

Figure 8: A Cut-away view of lap winder showing the gear where Jim Russel put his hand

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3.3 Organizational Context Each organization has its own language and traditions. Practicing engineers report consistently that successful communicators learn the organizational context and history and take it into account in communication. Successful communicators are sensitive to “what things mean around here.” For example, at a home improvement store the sales clerks on the floor are called “aprons.” In a bank, a credit problem in an automobile portfolio, for example, is referred to as a “rock.” People say, “We’re chipping away at the rock.”

Real World Connection 5: Jim Russell v. Lorn Manufacturing, Inc. There are many technical terms used in this case. Engineers at Lorn frequently used the term Lock Out/Tag Out which is a management procedure that can assure worker safety in hazardous areas. Hazardous areas can include the interior of a boiler, a pit in which toxic fumes might be collected, or the area around the main drive shaft on a machine such as a lap winder. The purpose of this procedure is to ensure that there is no way that the machine can accidentally power up while somebody is in a dangerous position. From Evan Morrison’s deposition, we learn more about this procedure: Rodriguez: Does OSHA currently have any provisions that deal with lockout procedures in textile mills or similar types of manufacturing plants? Morrison: Yes, sir. Rodriguez: Generally do you understand what those provisions provide? Morrison: Yes, sir. Rodriguez: Tell me what they provide generally. Morrison: The OSHA requirements for lockout/tagout procedures say generally that an individual will lockout a piece of equipment or any piece of machinery whether it be a boiler, a piece of textile machinery or anything that an individual is going to do maintenance on and tag it out with - He puts his lock on it. And if there's more than one person on it, the other individual will put their lock on it. If there's a supervisor on it, the supervisor will lock his lock on it along with the other locks. Nobody can remove the specific lock that and individual has placed on it except him except under special provisions and those go all the way to the safety director of the operation. But OSHA requires that the lockout/tagout that each individual use a separate lock, separate key. No one has a key but him. The supervisor locks out on top of all that. The supervisor cannot remove your lock or my lock or his lock. The supervisor can only remove

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his lock and then I go and remove my lock and you remove yours and whoever else has worked on the piece of equipment removes their locks. And then the machinery could be put back in operation. The tagout procedure is that a tag then goes on the door or where the locks are located so that it shows that it's locked out and tagged out. The jury probably wasn’t aware of the Lock Out/Tag Out procedure so Mr. Rodriquez familiarizes the audience and jury (Figure 4). From the deposition of Kevin Taylor: Rodriquez: What are the OSHA Standards? Dr. Taylor: OSHA Standards are the regulations put out by the federal government that regulate the use of - safe use of equipment in manufacturing operations. Rodriquez: What is ANSI? Dr. Taylor: It's a nonprofit organization that develops standards that regulate lots of different things. I shouldn't use the word regulate really, that apply to a lot of different pieces of equipment, but not - I don't know whether its totally relative to equipment. I suspect there are - There are testing procedures specified by ANSI. But they develop consensus standards. It is important that the jury knows about organizations such as OSHA and ANSI. These are organizations that help regulate working conditions. According to OSHA, their mission is to “ensure safe and healthful workplaces in America.” Based on this deposition, the plaintiff’s lawyer, Mr. Ledbetter, is establishing an organizational context which the jury can use to understand the standards imposed by these these organizations (Figure 9). Later on, the depositions establish that no workers at WMS Clothing followed the “Lock Out/Tag Out” procedures. Thereby, Dr. Taylor, an expert witness for the defendant, informs the jury that WMS Clothing might have been lax in following safety standards.

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Figure 9: Screenshot of the page from the CD which gives more information about OSHA and ANSI standards

3.4 Content When one sets out to communicate there is a message that the communicator wants to transmit. In fact, the message that is received might not be the same message the sender had in mind. The effective communicator works hard to formulate a message that will not be misunderstood. Knowledge of audience, form, and organizational context are important considerations when creating effective and influential messages. The messages must also be clear and concise. As shown in Figure 3, all four of these elements of communication contribute to the message that is received by the audience.

Real World Connection 6: Jim Russell v. Lorn Manufacturing, Inc. Following along the case, we hear the deposition of Kristin Willis, Vice President and Treasurer of Lorn Manufacturing. Mr. Ledbetter wants to prove that Lorn is responsible, so he continually asks her questions that make it tough for her to provide a viable answer. He wants to communicate to the jury that she lacks knowledge about Lorn’s design and manufacturing process. The deposition reads:

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Ledbetter: Is there anything in this particular compilation of diagrams which show the electrical system for the Super Lap winder? (Figure 10) Willis:I don't know, because I haven't studied it. There may or may not be. Ledbetter: Are there any other -- I guess the appropriate word is schematic diagrams for the electrical system of the Super Lap manufactured by Lorn Manufacturing other than that shown on pages 30 and 30-A of Exhibit 31 which is the manual? Willis: I honestly do not know. Ledbetter: Now, the guide to replacement parts, would that contain any electrical parts to your knowledge or do you – Willis: I honestly don't know Ledbetter: To your knowledge, are the lap winders assembled in the purchaser's plant in pretty much the same configuration from plant to plant? Willis: That I could not tell you. Ledbetter: On the back page of Exhibit Number 44 it has essentially a diagram which shows a setup for the assembly of the lap winder. Have you ever seen one set up before in a plant? Willis: I've never seen a lap winder in operation, no. Imagine you were a jury listening to these continuous “unaware” answers by Kristin Willis. The message is clear and concise, and Mr. Ledbetter fully exploits this. He clearly establishes that even though she has no knowledge about the design and manufacturing process at Lorn, she holds a senior management position at the company. Mr. Ledbetter transmits this message well with his questions. Her lack of knowledge is what he wants the jury to be aware of.

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Figure 10: This picture shows the schematic of electrical system of the super lap winder

In the remainder of this chapter, we will apply these ideas – the characteristics and elements of communication – to improving communication. We will consider two frequently encountered types of communication: oral presentation and written reports. Scenario for Section 4 Suppose you are an engineer working as a consultant for a hospital planning an expanded emergency room (ER). The hospital needs the expansion because patients who need to get into the ER have a very long wait. In making recommendations you have taken into account the cost and placement of the required medical instruments and technology. You have considered how to prioritize the patients’ conditions once they enter the waiting room. You have studied how to optimize moving ER patients into hospital beds. In five days you’ll be presenting the recommendations to your audience. After the presentation, you will be expected to submit a report detailing and justifying your recommendations.

4 The Communication Think about the communication steps in front of you. How should you go about 1) preparing for the communication, 2) delivering it, and 3) following up after the communication? These steps are illustrated in Figure 11 and discussed below.

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Prepare

Deliver

Follow Up

Figure 11: Process of Communication

4.1 Preparation To prepare both the oral presentation and the written report it is necessary to first plan a communication strategy and create the material necessary for it (Figure 12). As part of planning your communication strategy we will discuss how to identify the purpose of the communication, learn the characteristics of the audience, and select an appropriate medium and type of document for your communication. Next, as part of creating the material for the communication we will review how to plan the logical sequence of material, support the conclusions, prepare materials that are clear, and check the content of the material.

Figure 12: Preparation, Delivery, and Follow-up

4.1.1 Strategy Identifying a communication strategy is the first step in preparing a communication. To develop an effective strategy, it is important to take into account the purpose of the communication, the audience, and the material used (Figure 13).

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Figure 13: Purpose and the Audience

Purpose The purpose might be one of the following: •

•

Decision-making: the audience will use the information you communicate to decide whether or not to pursue a course of action, or to select the best of several alternatives. This is the purpose of your oral presentation in the hospital ER scenario. When communicating in a decision-making situation, it is important to describe the decision to be made along with any alternative approaches. Then describe what will happen if each approach is chosen. Finally, give your recommendation and explain why you believe it to be the best alternative. Remember that one of the characteristics of engineering communication is that you are trusted to give your true opinion and to support it with technical analysis. In this case, you should give your recommendation about how the ER should be expanded and why it will operate more effectively. An update on a project: the audience will use the information you communicate to assess your progress, either from a technical or nontechnical perspective. If this is the purpose of your communication, include the main goals of the project, describe your progress toward each of the goals, and indicate your next steps toward project completion. It is also important to describe honestly any difficulties you have encountered or expect to encounter. In the best case, your audience members might be able to offer a helpful suggestion (“have you tried a fast Fourier transform (a method to analyze functions)?” At worst, you can keep their expectations to a realistic level; if the project fails – and many do, no matter how good an engineer you are.

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•

Introducing your audience to a new issue: from your communication, the audience will gain a new understanding about the topic at hand. “Issue” might refer to something either technical (like a new process for extracting chemicals) or non-technical (like the need for a better satellite antenna design). In either case, describe the issue and its background. Include examples to illustrate the issue and then give reasons the audience needs to be aware of the issue.

Both oral and written communication requires careful identification of purpose. Of course, there are some purposes that are especially well served by written reports. Examples are documenting the steps of a project, presenting the technical explanation behind a recommendation, and creating a record that can be consulted in the future. On the other hand, some purposes, such as project updates for high-level executives, are better served by oral reports. The key is to identify purposes explicitly, and make sure that each part of the communication contributes to fulfilling a purpose. In the hospital scenario, there are two main purposes. One is to present a recommendation from among several alternatives, and allow hospital executives to ask questions about each. The presentation should not get bogged down in detail, but should instead give a brief overview of the various alternatives and the reasoning behind your recommended choice. The other main purpose is to create a record that can be reviewed as the decision is being made so the hospital president can determine quickly what is being recommended and why. The body of the report should provide more detail than the presentation covered. For example, document how the alternative approaches were identified and the reasons for the recommendation. Include detailed data in the appendices. Audience We have just discussed the first part of the communication strategy, identifying the purpose of the communication. The second part of selecting a strategy is gathering information about the people who will be receiving the communication. You will need to identify who will be in your audience (and how their backgrounds will affect their ability to understand your communication), what they expect to get out of your communication, and what their perceptions of the main issues are. Who is the audience? If the communication is a face-to-face presentation, it might be possible to identify exactly who will be in the audience. Before arriving at a meeting, an effective communicator will learn the names of audience members, their positions, and how they fit into the project team. Will 194

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senior management be at your talk? Will your engineering supervisor be there? What about line workers? Knowledge of audience characteristics will help you decide what information to include in your talk and how much detail to give. For instance, with a Chief Executive Officer (CEO) or an Executive Vice President in the audience, you will want to stress the major points without going into a lot of detail. Senior executives expect to be told what the big-picture issue or problem is at the beginning of the presentation. Then they want to know potential solutions and recommended action steps. Very little low-level detail is required. In contrast, if you present a change in procedure to assembly line workers you will need to describe their new procedure in more detail and highlight changes they will experience, instead of giving a complex overview of the situation. The audience for a written report is harder to pin down. You will probably not know all of the specific persons who will read and act on your report. Analysis of the audience, however, is just as important for a written report as for a face-to-face presentation. Who will read the report? What will they expect to learn? What background will they bring to the communication? What roles will they play in implementing the recommendations? You should know the answers to these questions so you can write the report in a way that your audience will be interested in reading it. What do audience members expect? Whether preparing oral or written communication, it is necessary to assess audience expectations. Often, you will know who some of the most important recipients of your communication are. The person who asked for your report will be a key audience member. It is important to check whether internal or external experts will be asked to review your work, and what information those experts need to make their evaluation. Understanding the audience’s expectations will often allow you to anticipate expectations, questions, and even objections, so you can include the responses as part of your communication. No matter how good your engineering work is, a communication that addresses issues other than what the audience wants will rarely be well received. A suggestion for improving computer chip design will be ignored if your listener or reader is expecting you to report on raw materials inventory. It is often helpful to interview the targets of your communication in person or ask them by email what information they expect to get. For example, is the manager expecting you to provide recommendations for solving a problem or does he or she expect you to spell out how to implement the solution? In addition to knowing what content the audience expects, it is also important to understand how the audience expects you to present the 195

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material. This often differs from company to company, so it might be helpful for a newly hired engineer to ask a more experienced colleague what the company standards are. There are several characteristics to be aware of: • The kind of language used: technical vs. non-technical, informal vs. formal, restrained or enthusiastic. • The sections of the document or presentation: many organizations have a standard form, enforced by tradition if not rule. For example, is there always an executive summary in a written report? Are supporting data generally given in a separate section or presented with recommendations? • Length: engineers often feel that a document or presentation should be long enough to express everything they want to say. However, it is important to take into account the expectations of the audience and the organizational traditions. It is often the case that documents must be much shorter than the engineer expects. How do audience members perceive the main issues? Even people with similar backgrounds, desires, and organizational roles can have very different perceptions of issues. It is useful to know whether there are differences of opinion on the main issues. Not infrequently, interpersonal or organizational conflicts impact the readiness of people to accept recommendations. Some audience members might be subordinate to others; individuals and organizational units may blame one another for a recent event; one participant may have overruled another in the past. All of these emotional factors might impact receptiveness to recommendations. The more you know about them, the better prepared you will be. The best way to find out about individuals’ perceptions is to do background research. Some information can be gathered through interaction with audience members. When that is not sufficient, it may be necessary to review some background documents or speak with other people who know your audience members. In the hospital scenario, the oral presentation is to be given to the hospital president, the Director of Nursing, the ER administrator, and several doctors and several nurses who work in the ER. The diverse audience requires a multi-faceted presentation. Include the overview and main points for the senior level people in your audience and include examples for the nurses. Encourage questions from everyone to make sure you are providing the audience with the information they expected to receive. As you present, take into account what you have learned about the interrelation of your audience members, for example, tension that has occurred at a previous time when doctors overlooked nurses’ suggestions.

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With regard to the written report, think about all the possible people who might read it. In the body of the report, describe all information necessary for the different readers to understand your ideas. Give credit to everyone who contributed to the study. Include all the data in appendices. If the recommendation is adopted, the changes will need to be described to lower level personnel such as the technicians who work in the ER. In an appendix, include a communication for them that describe the changes in non-technical vocabulary in a one-page document that is easy to understand. The three tasks described above as part of analyzing your audience – finding out who is in the audience, what their expectations of the talk are, and what their perceptions of the main issues are – can take some time to complete. However, the effort is worthwhile; practicing engineers, supervisors, and senior executives have all reported that this work is necessary for communication to be effective.

Figure 14: Medium

Medium So far we have discussed the first two parts of preparing communication strategy: identifying the purpose of the communication and analyzing the audience. The last part of preparing strategy is choosing the right medium for your communication (Figure 14). For oral presentations, most presenters use Microsoft PowerPoint Slides or similar visual projections. (At the time we are writing this chapter, PowerPoint has the advantage of being widely used, meaning that your slides can be sent electronically to anyone who was unable to attend the presentation.) If your slides contain many details, it might be helpful to use them as handouts so the audience can review them more easily. If 197

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audience members will need to take notes to remember specific data you discuss, hand out copies of your slides before your talk. If you plan to use any technology in your presentation, you should check to see what is available, especially if the presentation will take place in a location you are not familiar with. Make sure that the room contains the necessary projector, computer, and software – if it doesn’t, you should arrange to bring your own. With regard to written reports, you should use the word processing package that your audience is most familiar with (Microsoft Word, for example). Make the document available in electronic format and paper copies. If you work with some people who use one platform and others who use a different platform, it can be helpful to convert the document to a format that can be freely read on nearly every platform. Currently, Adobe PDF format serves this purpose well. In the hospital scenario, standard PowerPoint slides are the safest medium for your presentation. Before the presentation is given, you should check for the availability of audiovisual equipment and bring your own if necessary. Hand out copies of the slides to make it easier for your diverse audience to follow along, take notes, and ask questions. Bring copies of your written report and CDs with electronic copies. Now that we have finished discussing the strategy part of preparing a communication, we will describe the creation of the actual material used in your oral presentation and in your written report. 4.1.2 Creating the Material In this section, we will discuss the creation of written material for communication. In some cases, like when you are producing a report, the written material will be your entire communication. In other cases, like when you are giving an oral presentation, written materials like slides and handouts will play important supporting roles in your communication. In either case, your written materials will help direct the audience’s attention, give them the information they will need for decision, and influence their motivation to implement the recommendations. The effort required to develop, evaluate, and revise these materials will pay rich dividends.

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Figure 15: The Material

Creating written material for your communication involves planning the logical sequence, supporting the conclusions, making sure the ideas are clear and checking that the content is correct (Figure 15). Planning the logical sequence Because the purpose of engineering communication is to get people to understand new ideas and analyses, it is important that your presentation or report has a logical flow. A good example of this is your own engineering classes. When the professor gives a lecture that is logically organized so that you have all the information you need for the next step, it is much easier to understand. On the other hand, a lecture where the professor has to constantly say, “sorry, here’s another equation you need to know to understand what I’m saying now” can be difficult to understand. Your engineering communications should be like the first professor’s class – easy to follow and understand. There are two important aspects to a logical flow of ideas: sequence and clustering. By sequence, we mean that every time you introduce a new fact or idea, you should have already given the audience enough information to understand where it fits into the bigger picture and why it is important. For example, before showing how a new chemical process will reduce benzene output by 20%, it is important to let your audience know that every percent reduction in benzene output will save your company $2 million.

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The second important aspect of logical flow in engineering communication is clustering ideas. By clustering, we mean that you should keep ideas about the same topic together, rather than switching back and forth between topics. Compare the following two descriptions of a new manufacturing process. The new process is an assembly line. The welding station has been moved from the beginning to the middle of the process. The new line is 62 feet long and requires only 15 workers to operate. The copper tubing adjacent to the welding station is placed in floor racks.

The new process is an assembly line. The new line is 62 feet long and requires only 15 workers to operate. The welding station has been moved from the beginning to the middle of the process. The copper tubing adjacent to the welding station is placed in floor racks.

Notice that the version on the right is easier to follow, because ideas have been clustered – the two sentences describing the line are together, as are the two sentences describing the welding station instead of switching back and forth between topics. In putting together the sequence of ideas to use in slides for a presentation or an outline for a report, it might be helpful to think about storyboarding. The executives we interviewed emphasized this concept, which comes originally from the film industry and involves planning a series of scenes at once. To start with, the main event of each scene is set out as a way of visualizing the logical flow of the story. In the same way, the presentation or written material can be planned step by step. Write each of your main ideas on a card, and put them in order so that they are clustered and have a logical sequence. Then, add details to the cards, making sure that each detail you add fits under the card’s heading. In the hospital scenario, you should prepare both your slides and your report using this technique. To check your organization, review the titles of the slides and the headings and subheadings of your report. Are they in the right order? Make sure you have included information about the context and background before discussing the objectives of your study. For example, describe how the need for an expanded ER came about before you describe your project. Check to see that you don’t get ahead of yourself with technical and medical vocabulary. For example, explain what the medical equipment in the ER is before referring to it by an abbreviated name. Supporting Conclusions In any communication, engineers are expected to give reasons for their recommendations. These reasons can include, for example, test results, mathematical calculations, surveys and interviews, or historical 200

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observations. The support these items provide for engineers’ ideas is critical when trying to convince an unwilling or undecided audience. Depending on the type of audience being addressed, the level of supporting detail can be very different. When presenting wind tunnel results to fellow engineers, you might describe the technical parameters of the tests; on the other hand, you might simply refer to “wind tunnel tests” when communicating with management. Each supporting point must have a clear relationship to the idea that it is supporting. You should not assume that the connection between a supporting detail and the main idea is obvious – even if it is obvious to you. To make sure the audience sees the connection, you can repeat key words from the main idea or explicitly say why the detail supports the conclusion. In addition to including supporting material in the slides of a presentation or the body of a written report, it can often be helpful to have extra material to be used as needed. When you give an oral presentation, there might be requests for additional detail. A strategy that many presenters find valuable is to include basic supporting material in the presentation, and have backup data on optional slides available in case of detailed questions. The same tactic can be used in a written report; the basic material can be described in the body of the report, with more detailed test results given in an appendix. The reader can then decide for himself or herself whether to read the extra material. This approach would be useful in the hospital scenario. One of the main recommendations might be to change the procedure for moving patients from the ER to a hospital bed. A piece of supporting material might be that the results of a computer simulation predict a 25% increase in patient throughput using the new procedure. In the oral presentation, your main slide could refer to this 25% increase, and you could create an additional slide with more detail about the simulation just in case anyone in the audience is curious. The report could refer to the 25% increase in the executive summary and the body, while an appendix would include a detailed description of the simulation. Materials that are clear Engineers, supervisors, and senior executives all stressed the importance of creating slides and reports that are clear, easily understood, and free of distractions. If material is easy to understand, it can result in action sooner than if the material is confusing or wordy. When creating slides, the focus should be on putting down only the most important points so that the message is clear. One of the ways that you can help make your message clear is to use roadmapping. Just like an interstate highway might have signs like “Dallas 20 miles” or “Elm Street next exit” to remind you of where you are (or let you know if you’re lost), you can do the same thing in your oral 201

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presentations and written reports. In a written document, you can include section and subsection titles. In an oral presentation, you can alert the audience with a simple comment like “now I will describe the results of my testing.” In addition, it is helpful to remind your audience how ideas relate to each other. It can be hard for someone not as familiar as you are with the project to make the correct connections between ideas. Therefore, an effective speaker or writer clearly states (a) how each idea is related to the last one and the next one, and (b) how each idea relates to the main point. The engineering professionals we interviewed and advisors on writing agree on a general principle: • • •

Begin by expressing the idea Provide supporting detail Restate the idea

This sequence works for single slides or paragraphs, and for whole oral presentations or written documents. If the report is longer than a few slides or paragraphs, it is advisable to break it into sections, and develop this sequence for each section. Engineers often need to use charts and graphs. Even though engineers are trained to quickly understand information from charts and graphs, it is often a difficult task for many readers – often more difficult than interpreting words. To help your audience understand, it is important to describe each graph, starting with the labels on each axis and continuing with each of the lines included on the graph. In addition to keeping the materials clear and understandable, it is important to avoid distraction. When giving an oral presentation it is best to avoid most animation unless it adds to the content. For example, having a delivery truck representing the organization move across each slide looks cute, but the moving truck is likely to grab the audience’s attention, distracting them from the message. In the hospital scenario, graphics should be added to the slides for the oral presentation only when they add information. It might be helpful to show a picture of a headwall power unit (one type of ER equipment) so the audience understands what it looks like and how much space it requires. On the other hand, placing the hospital’s brightly-colored logo on each slide does not add information, and could serve as a distraction if people’s eyes focus on its colors. Use a non-serif font so the slides are easy to read. In the report, use headings and subheadings to guide the reader. Omit any words or phrases that do not directly relate to the purpose of the report.

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Checking the content A key component of preparing an oral presentation or written material is to check the content repeatedly for the following characteristics:   

Accuracy Consistency Impact on your audience

Check to make sure all of the information is correct and is presented in the same way throughout the presentation. Also, verify that there are no grammatical or spelling errors. Errors of this type call into question the accuracy of the information in the document – supervisors and executives say that if you don’t recognize (or don’t care enough to fix) these errors, they will wonder what other errors you’ve also made. Finally, put yourself in the place of your audience – pretend you have the same background and concerns as they do – and decide whether the audience will respond in the way you want them to. In written and oral presentation material, it is important to plan the logical flow, provide support for conclusions, make sure the material is clear, and check the content. At this point we have covered the two main stages needed to prepare a communication: communication strategy and creating the material. Now we will turn to a topic that focuses more on oral communication: the delivery of an oral presentation.

Real World Connection 7: Jim Russell v. Lorn Manufacturing, Inc. Preparation: Ledbetter uses Tucker’s deposition to show Lorn Manufacturing has other cases that are on trial. In this case, purpose plays an important role in the jury’s verdict. The jury must not only learn of a new issue, but also be prepared to make a decision. Therefore, the lawyers must present the information in the case very clearly. The audience will then use the information given to them in the case to make a decision. If the attorneys fail to deliver their arguments without purpose, then the audience may become confused. The ultimate question to be decided in this case is whether Jim Russell, the Lorn Textile Manufacturing, Inc., or WMS Clothing bears the responsibility for this particular injury and the safety of this particular type of machine. The attorneys and expert witnesses must convey their arguments with this purpose, accordingly. Let’s take a look at how Mr. Ledbetter uses purpose in order to

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convey the message that Lorn Manufacturing is at fault. Here he questions Mr. Tucker about pending and past lawsuits that involved Lorn, both of which were litigations about personal injury. From the deposition of Matt Tucker: Ledbetter: Okay. Have you ever given a deposition such as this before today? Tucker: Yes, I have. Ledbetter: And when was that? Tucker: You mean any deposition? Ledbetter: How many have you given? Tucker: Approximately five or six. Ledbetter: And were those involving cases here in North Carolina? Tucker: No. Ledbetter: Okay. Where did those cases originate? Tucker: Michigan, New Jersey, Alabama. Ledbetter: There would be approximately five or so amongst those three states? Tucker: That's right. Ledbetter: Okay. When was the litigation pending in Michigan that you gave a deposition in? Tucker: It is now pending. I gave -- This week. Ledbetter: And what type of case is that? Tucker: This is a case on a cotton card, C-A-R-D-S, built in the 1920s. Ledbetter: What's the litigation about? Is it personal injury or -Tucker: It's a personal injury. Ledbetter: And do you know how the person was injured in that case? Tucker: His arm was drawn into a feed roll. Ledbetter: Is there an allegation in that lawsuit that there was improper guarding of the rolls? Tucker: There was no alleg -- You know, it's just a question of the method that he got his hand caught into the feed roll. There's never been -- You know, it's never been a cover per ssay to the feed roll. It was being fed through a direct chute feed that was not of Lorn design nor was the feed roll of Lorn design. Ledbetter: Okay. And that's ongoing now? Tucker: Yes. Ledbetter: What about the lawsuit that's pending in New Jersey? What type of lawsuit is that? Tucker: That was on a wool spinning frame. Ledbetter: Is that one over with? Tucker: That's been over with. Ledbetter: Okay. Lorn Manufacturing, Inc. was a named defendant? Tucker: It was Lorn only, because that was the only name they knew at the time. 204

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Ledbetter: And when did that lawsuit take place? Tucker: You mean when did it start -- When was it pending? Ledbetter: Right. Tucker: Approximately a year and a half ago. Ledbetter: What type of lawsuit was that? Tucker: A lady had stepped up on a wooden step, which gives her height to work on the machinery. And she had slipped off the step and had fallen and you know, had back injuries. Here, Mr. Ledbetter is attempting to establish evidence that Lorn has or is currently involved in other personal injury cases, a notion that suggests they have a poor history with job-related accidents. This is intended to appeal to the audience and could be a very successful tactic for Mr. Ledbetter to convince the jury that Lorn Manufacturing is at fault.

Real World Connection 8: Jim Russell v. Lorn Manufacturing, Inc. Following along with the case, supporting conclusions play a key role in providing evidence for the jury to reflect upon. As stated, engineers are expected to give reasons for their explanations. Here Dr. Taylor answers why he thinks the Lap Winder was not unreasonably dangerous. Ledbetter: All right. If you would state for me each and every fact or reason that you wish leads to the conclusion that the lap winder which injured Mr. Russell was not unreasonably dangerous. Dr. Taylor: From my readings of the OSHA standards, the lap winder met all the requirements. And, secondly, that machine or some version of it has been in operation for some 60 or 70 years and I believe, according to the depositions, haven’t been any significant accidents with. As an expert witness, Dr. Taylor supports the conclusion that the Lap Winder was not unreasonably dangerous by raising two key points: 1) that it met OSHA standards and 2) that it had been in operation for a very long time without causing accidents. This evidence by Dr. Taylor gives further support for a jury to concur that the machine was in fact designed safely.

4.2 Delivery During a presentation, the speaker has three main goals: first, staying professional; second, keeping the audience’s attention; and third,

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conveying his or her ideas. These recommendations are all taken from interviews with engineers, supervisors, and senior executives. 4.2.1 Staying Professional Projecting confidence and professionalism will show the audience how serious you are about your work, and give the impression that you are capable. On the other hand, seeming unprofessional can have the opposite effect – your audience will be less likely to believe that you are serious and capable, and will therefore be less likely to take your recommendations seriously. The exact components to professional behavior vary from company to company, so a newly-hired engineer should learn from observation, or just ask an experienced co-worker. However, there are also several near-universal aspects of professional presentation behavior. For example, you convey a professional attitude by wearing business clothing and presenting with good posture. Answering questions clearly and honestly is another good way of showing professionalism. If you don’t know an answer, say “I’m not sure, let me get back to you” – and then do just that. Answering the question correctly the next day (after doing some research) is both professional and honest, and the executives we interviewed say they depend on the answers of engineers who tell them when they are unsure of something. 4.2.2 Keeping the Audience’s Attention Besides staying professional as you present, you will need to work to keep the audience’s attention. If the audience stops paying attention, the ideas you present will not be internalized and your recommendations will be less likely to be implemented.

Figure 16: Two way communication

Earlier in this chapter, we discussed the organization and content of presentations. These are important tools for keeping the audience interested and attentive. In addition, there are several presentation tactics that help maintain the audience’s attention. Eye contact with the audience tells them you are interested in their reactions as you present, and prevents 206

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them from looking away for too long. Answering questions is another way of keeping your listeners engaged. Be alert for hands going up in your audience. Interact with the person asking the question so you can clarify the question and make sure you answered it. A communication event always has two participants: a sender and a receiver, as shown in Figure 16. The process is two-way: the sender and the receiver swap roles. To be an effective communicator, learning to receive is as important as learning to send messages. Occasionally an important audience member will not understand one of your points, but is unwilling to ask a question. By maintaining eye contact with the audience, you might be able to recognize from that person’s face that he or she is lost, and you can try to engage that person specifically. 4.2.3 Conveying your ideas The main goal of any presentation is to convey your ideas. In order to get your message across, you need to use language that your audience will understand. If your audience is made up of other engineers, you will be able to use more of the technical language that you use in your engineering projects. However, if your audience includes some people who don’t share your background, you will need to describe your technical ideas as you present them. For example, you might explain what “mathematical modeling” is before describing the particular model that you used. When you use charts and graphs in your presentation, explain them to your audience. If you display a flowchart, for example, explain the parts of the chart and the relationship between those parts. Giving an example will help convey the process that you are illustrating. In the hospital scenario, you should dress in business attire and stand up without leaning on the podium as you speak. Look at your audience as you present, and answer questions as they come up. When you show a patient flow diagram, briefly explain each step in the diagram. Since your audience includes the hospital president, the Director of Nursing, the ER administrator, and several doctors and nurses working in the ER, you can use medical terms that they will all understand. However, because they are probably unfamiliar with engineering terminology, you should be careful to define any technical terms you use. We have completed our review of the delivery of a presentation. The key concepts we covered were staying professional, keeping your audience’s attention, and conveying your ideas. Next we will describe the follow-up that is needed both after an oral presentation is given and after a written report is delivered.

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4.3 Follow-Up The engineers, supervisors, and senior executives we interviewed all emphasized that communication requires follow-up. The point of following up is to maintain the communication, answer questions, and make sure that your ideas are not pushed aside without reason. With regard to both oral and written communication, follow-up allows you to continue engaging the audience by asking and answering questions and by helping to resolve any disagreements. The continued interaction can also help you refine your own ideas. In the hospital scenario, you should answer any remaining questions from your talk – anything you’ve had to answer “I’m not sure, let me get back to you” about. Once you’ve submitted the written report, get in touch with your main contacts to see what issues have come up as a result of your ideas. For example, the hospital might have decided to add new technology to the ER at the same time they expand. They might need you to tell them how that would affect your recommendations.

Real World Connection 9: Jim Russell v. Lorn Manufacturing, Inc. In this particular case the worker was injured while performing a routine maintenance of a lap winder used in cloth manufacturing process. The injury resulted in loss of three fingers of the left hand. During the course of determination of these issues two engineers ended up with two opposite opinions and defended their opinions as expert witnesses. The issues to be decided between them are which engineer can present a more credible theory and which one will be believed by jury. One of the things that would be noteworthy is that the management of the Lorn Manufacturing didn’t show knowledge of design and manufacturing of this particular machine. Could better knowledge have prevented the injury? Can a company be truly successful and meet its mission statement if management and design engineers do not seem to communicate? Lastly, the ultimate question to be decided is who bears the ultimate responsibility for the particular injury and the safety of this particular type of machine.

Real World Connection 10: Jim Russell v. Lorn Manufacturing, Inc. Dr. Taylor believed that the doors on the Lap Winder acts as the guard as required in the standards and Mr. Morrison believed that a limit switch is required by the standards. Dr. Taylor hoped that his expert

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witness could support his interpretation better than the other engineer’s testimony. He knew that whoever taught the applicable standards to the jury most effectively would win this particular point. Ledbetter: Paragraph four of this indicates that its your opinion that any reasonable man should have known that it is dangerous to put a hand in the area of a chain and a sprocket without first turning off the main power switch, especially a man with Mr. Russell's experience and training. Is there anything that you can think of that came into your formulating that conclusion other than what we have talked about so far? Dr. Taylor: Yes. Ledbetter: What's that? Dr. Taylor: Mr. Russell was a maintenance person. His job was maintain equipment, as I understand it, and so be daily had to do these sort of things. He had done this sort of work for many years. And I know, starting when I was five or six years old, I was around agricultural equipment that had chains and sprockets and so forth. And my father began teaching me, don't stick your hand in something that can start and cut your fingers off, cut you hand off. And I've been around that kind of people that Mr. Russell - through my consulting work, I've been around those folks now for thirty years, and I grew up with those kind of folks. And from all that experience, I know without a doubt that people like him know that its dangerous to put your hand in something that can cut it off or your finger off. They know that. And, obviously, he had practiced that for many years. I don't know how many years of experience he's had before this accident happened, but it was a number of years. And even non-technical people know that. You know, they know that if you open up the hood of the car you don't stick your hand down around the V belt, you know, in the fan blade. So it's just common sense, my experience, there is no doubt in my mind that he knew that was dangerous. Ledbetter: You are aware of who trained him in the use and maintenance of those machines? Dr. Taylor: Yes. Ledbetter: Are you specifically aware of exactly what that training consisted of? Dr. Taylor: I don't know specifically, no. I know that WMS Clothing had the obligation to train him. Ledbetter: But as to what that training was – Dr. Taylor: And I believe that they testified that they had a lock-out/tagout procedure and that procedure requires that they do training. And it specifies what king of training it will be if you read the OSHA standard. So I assumed that he had that kind of training. Ledbetter: You assumed. Have you seen any document that outlined exactly what type of training Mr. Russell was given in the course of his 209

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initial training as a maintenance technician, a preventive maintenance technician? Dr. Taylor: I haven't seen the documents that specifically say what it was, no. Ledbetter: Okay. Would your opinion be the same if, in fact, WMS Clothing' plant, the Coosa Ring plant, did not have a lock-out/tag-out procedure in effect in August of 1989 when Mr. Russell was injured? Dr. Taylor: I would still believe that he would have known that it is dangerous to put his hand in a gear chain mechanism, even if there had been no instruction. Because he's had numerous experience before he ever even went there in maintenance procedures. Ledbetter: Is it reasonable for a manufacturer of a machine such as the lap winder that injured Mr. Russell to assume that the industry to whom its selling this machine, the lap winder, will in fact have a lock-out and tagout procedure? Dr. Taylor: As I've testified, the standard doesn't relate directly to the manufacturer, but it is the employer's responsibility, according to the OSHA standard, to have the lock-out procedure and the tag-out. And the manufacturer's obligation is to provide the equipment that will allow the employer to carry out the procedure. And it's my opinion that the manufacturer did just that. This deposition shows that Dr. Taylor has conveyed the idea that Lorn Manufacturing had fulfilled its obligation by developing machinery safely and it was left to the plant to ensure that safety procedures such as “lock-out tag-out procedures” were followed.

Real World Connection 11: Jim Russell v. Lorn Manufacturing, Inc. The Lorn case study CD-ROM includes a presentation on Communication Skills. Please review this section and listen to the videos of four experts on the importance of communications and how it is very critical to share the engineering knowledge to non-engineers as you progress on your career.

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5 SUMMARY Communication is important to having a successful career as an engineer because it is critical to getting your recommendations implemented. We described characteristics of engineering communication and how it differs from communication in everyday life. To help you become a successful communicator, we explained how to use your knowledge of your audience and the organizational context to help determine the form and content of your communication. Then we reviewed the basics involved in preparing and delivering a communication. Preparation involves identifying the communication strategy and creating the material. Delivery includes staying professional, keeping the audience’s attention, and conveying your ideas. We also noted the need to follow up with your audience afterward. We described how these principles apply to two common types of engineering communication: oral presentations and written reports. However, the same ideas can be applied to any kind of engineering communication, ranging from the informal discussion with a fellow engineer over coffee to the formal presentation to the CEO, and ranging from informal notes taken during an impromptu discussion to formal written reports.

Short Essay Questions 1) Why do you think effective communication is important in engineering workplace? 2) How does engineering design concepts relate to Lorn Case Study? 3) What are the possible ways of communication among engineers? 4) What are OSHA standards and what is the significance of it? 5) What are the characteristics of engineering communication? 6) What errors may have occurred in the design of Lap Winder? 7) Show with the help of a block diagram, the elements of communication. 8) Explain the term process of communication? 9) What is important while developing an effective strategy in communication? 10)How did logical sequence of communication play a role in solving the issue in Lorn Manufacturing case study? Explain. 11)Explain with an example how does purpose play major role in communication? 12)What should be the audience characteristics explain with an example from the Lorn Manufacturing case study?

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13)How can you convince unwilling audience (e.g. non-engineers) to listen to a particularly important, but technical topic?

Lorn Manufacturing Case Study Assignment Learning Objective: • •

To show students how to evaluate several elements of the communication process. To show students how to implement communication process in Real World situation.

Materials: PC with CD-ROM Drive, Lorn Case Study CD-ROM, writing materials, PowerPoint. Assignment Participation : Class should be divided into 3 groups Group 1: Assume the role of defense. Provide evidence to the jury that the manufacturer’s product meets the applicable Codes of standards and/or Jim Russell is guilty of Contributory Negligence. Group 2: Assume the role of the plaintiff. Provide evidence to the jury that the Lap Winder is manufactured poorly and does not meet standards and/or that Lorn Manufacturing did not provide any safety training for their product. Group 3: Assume the role of the jury. Decide the outcome of the lawsuit based upon the arguments presented by the defense and plaintiff. Defend this outcome with the information provided to you by the other two groups and the case study itself. The first group has to recognize whether the communication among the members of the defendant team met the requirements of an effective communication or not and have to identify the positive points as well as the weaknesses. Similarly, the second group has to find positive points as well as the weaknesses in plaintiff team and the third team has to present their views about the overall case. Prepare the PowerPoint presentation and point out the importance of effective Communication among engineers.

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Della Steam Plant Case Study Assignment: Learning Objective:

• •

To identify the elements of communication in an actual situation thereby applying theories learned to practical applications. To identify the strategies and materials used in communications in a real-world situation thereby applying theories learned to practical applications.

Materials: PC with CD-ROM Drive, Della Case Study CD-ROM, writing materials, PowerPoint Assignment Participation : The class should be divided into five groups Use Della Case study CD ROM for more information about the case. Identify screens in the CD-ROM that the students need to consult. Group 1: “Lucy Stone, the RLS engineer, reasoned that if the unit was restarted, the vibration might become severe, and the shaft might hit the bearing and make the whole unit come apart. Already some of the parts within the unit might have been broken due to the heavy vibration…” The above paragraph is taken from the Della case study CD ROM. Using figure 3 of the communication chapter, the first group should illustrate the different elements of communication such as intended environment, intended message, and received message which was used by Lucy. Prepare PowerPoint slides to present your views.

Figure 17: Elements of Communication

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Group 2: “Steve Potts, the plant engineer, came to know of Lucy’s recommendation at 1:00 p.m. when he called Bob, the day-shift engineer, to find about the status of the unit. Bob told him that the generator was being taken apart due to RLS’s recommendation…Steve recommended to Sam that the unit be restarted immediately. He did not expect the oil whip problem to re-occur if proper warm-up procedure was followed…” The above paragraph is taken from the Della case study CD ROM. From figure 3 of the communication chapter, the second group should illustrate the different elements of communication such as environment, intended message, and received message which was used by Steve. Prepare PowerPoint slides to support your views. Group 3: Lucy said, “Steve, if we restart the unit and the parts start flying out, then we might be damaging not only the unit, but also other parts of the plant. The retainer rings as well as other parts might have been damaged already and it is important to replace them. A new unit costs approximately $1 million and we do not have any in stock. It will take us at least six months to a year to replace this unit, if it breaks.” The above paragraph is taken from Della Case Study CD ROM. Using figure 18 of the chapter, the third group should illustrate each element of the material and identify the strategy, logical sequences and supporting conclusions prepared by Lucy to support her recommendation about shutting down the unit. Prepare PowerPoint slides for the presentation.

Figure 18: The Material

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Group 4: “I am fully confident about the readings from the proximity probes and the interpretation of the data, even though they have been installed for the first time as part of the predictive maintenance trial. The shaft-rider probe installed by RLS Inc., gives only the overall vibration level of the unit, whereas, the proximity probes provide specific frequency information. I have used this information to pinpoint that the problem is due to oil whip…………..” The above paragraph is taken from the Della case study CD ROM. Using figure 18 of the chapter, the fourth group should illustrate each element of the material and identify the strategy, logical sequence, and supporting conclusions used by Steve to support his recommendation about restarting the unit the same day. Prepare PowerPoint slides for the presentation. Group 5 : “Sam was not thoroughly familiar with the measurement technologies that generated the charts used by Lucy and Steve and requested them to generate more charts so that he can better judge the consequences of deciding to go with either recommendation………..” The above paragraph has been taken from the Della case study CD ROM. Using figure 3 and 15 of the chapter, the fifth group should illustrate each element of the communication process such as intended message and received message and the material used in the communication so that Sam can make an informed decision. Prepare PowerPoint slides to support your views.

STS 51 L Case Study Assignment Learning Objective: • •

To show students how to evaluate several elements of the communication process. To show students how to implement communication process in Real World situation.

Materials: PC with CD-ROM Drive, STS 51 L Case Study CD-ROM, writing materials, PowerPoint. Time : One hour to prepare presentation, then 10 minutes to present the PowerPoint presentations Pages to look at in the CD-ROM: 1. Problem Statement 2. Joint Rotation Page (with 4 sub-pages): About SRB, SRM, About Joint Rotation 3. About the O-ring 4. Flight Readiness Review Directive

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5. Impromptu Teleconference : (Meeting between Ebeling and Thiokol Engineers) 6. Full Teleconference (with 2 sub-pages): MTI Engineers, MTI recommendation 7. Table of Temperatures (part of safety margin page) 8. Glossary of terms used in this exercise. Assignment Participation : Class should be divided into 3 groups Group 1: Examine the Recommendations of MTI engineers as provided in the Figure 19 below: • • •

Perform an analysis on the recommendations (Figure 20) of MTI engineers using the element of communication as shown in fig.1? Do you think the recommendations provided by MTI engineers in their presentation meet audience characteristics? If you represented this team, how would you have improved the communication of this team?

Figure 19: Elements of Communication

Recommendations: •

•

O-Ring Temp Must Be ≥ 53° F At Launch. Development Motors At 47° to 52° F with Putty Packing Had No Blow-By SRM 15 (The Best Simulation) Worked At 53° F Project Ambient Conditions (Temp & Wind) To Determine Launch Time

Figure 20: Recommendations

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Group 2: Examine the presentation of MTI managers as provided in CDROM and as shown below: “Lawrence Mulloy, the Marshall Space Center Project Manager for the SRB, asked Joe Kilminster, the Vice-President of Space Booster Programs at MTI, for the formal MTI recommendation. Kilminster responded that based on the engineering conclusions, he could not recommend launch at any O-ring temperature below 53°F. Bob Lund explains what happened next: …the rationale was rejected…Mr. Mulloy said he did not accept that, and Mr. [George] Hardy [Marshall Deputy Director for Science and Engineering] said he was appalled that we would make such a recommendation”

Figure 21: The Material

• • •

Do you think they had proper medium, logical plan and strategy in communication? Discuss each element of the figure 21 and its importance. If you represented this team, how would you have improved the communication of this team?

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Group 3: Examine the presentation of NASA management as shown below:

Figure 22: MTI Assessment of Temperature Concern on SRM-25 (51L) Launch

• • •

Do you think they had proper communication with MTI engineers? Discuss each element of figure 1 and figure 3 and show its relation in the given problem. If you represented this team, how would you have improved the communication of this team?

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References Alley, Michael, The Craft of Scientific Presentations, New York, Springer-Verlag, 2003. Alley, Michael, The Craft of Scientific Writing, Third Edition, New York, Springer-Verlag, 1996. Bailey, Edward P., and Powell, Philip A., The Practical Writer, Sixth Edition, Boston, Heinle, 2003. Lannon, John M., Technical Communication, Ninth Edition, New York, Longman, 2003. Minto, Barbara, The Pyramid Principle, Third Edition, London, Pearson Education, Limited, 2002. Tufte, Edward R., The Visual Display of Quantitative Information, Cheshire, Conn., Graphics Press, 2001. Williams, Joseph M., Style: Ten Lessons in Clarity and Grace. Seventh Edition, New York, Longman, 2003. Zelazny, Gene, Say It with Charts: The Executive’s Guide to Visual Communication, Fourth Edition, New York, McGraw-Hill, 2001 Zelazny, Gene, Say It with Presentations: How to Design and Deliver Successful Business Presentations, Fourth Edition, New York, McGrawHill, 2000

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ABOUT THE AUTHORS Judith Shaul Norback is the Director of Workplace and Academic Communication in the School of Industrial and Systems Engineering at the Georgia Institute of Technology. She can be reached at [email protected]. Joel S. Sokol is an Assistant Professor of Industrial and Systems Engineering at the Georgia Institute of Technology. He can be reached at [email protected]. Peter J. McGuire is Professor and Associate Chair of the School of Literature, Communication and Culture at the Georgia Institute of Technology. Garlie A. Forehand is a Consultant in Educational Research with the School of Industrial and Systems Engineering at the Georgia Institute of Technology. This chapter is a product of the authors' research as part of the workplace communication initiative at the School of Industrial and Systems Engineering at the Georgia Institute of Technology, and is funded in part by the National Science Foundation under Grant DUE-0231305.

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Meeting Today’s Challenges with Teamsi LEARNING GOALS • • • • • • • • • •

Describe the importance and principles of effective teams in companies Define the different kinds of teams that are used in companies Describe the benefits of using teams in a technical workplace List the characteristics of effective teams List the life cycle of the team through the stages of team development Identify your individual behavior styles and its impact on team performance Show how you could impact team performance Learn how to use different tools that can improve team performance Actively perform as a team using the activities provided at the end of the chapter Relate team working to a real-world case study: The Della Steam Plant Case

INTRODUCTION What is it that today’s employers want and expect from graduates of university programs? Is it simply technical expertise? Simply good engineers? Simply good managers? The short answer is NO. Deputy Director of the NSF, Joseph Bordogna states that developing students’ communication and leadership skills is critical since in a single project a modern engineer/manager may have to learn how to approach not just a product but finance, safety, environmental, and public policy issues. What does that mean for the modern day student? It means a focus on interdisciplinary study and developing the skills of communication, teamwork, as well as understanding the importance of science and math in solving real world problems. In a nutshell, the expectations are that employees will manage tasks well by working effectively with processes

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and people. The processes deal with those that are used by companies to manufacture products or to provide a service. The primary goal of using case studies in this book is to link theory and practice. This creates a more realistic problem for you to solve, relevant to what really goes on in the “real world” By analyzing case studies you could obtain the dynamic skill sets applicable to engineering profession. The current economic landscape requires both the individual and the organization to do more, with less resources and with faster response time. Factors such as the need for speed, the need to respond to rapid technological change and globalization.are forcing organizations to look for new and dynamic ways to meet the demands of the market place. Most organizations are turning to teams to achieve positive results. To compete in this environment, the knowledge, skills, experience and perspectives of a wide range of people must be brought together. The days of sitting by yourself in a cubical, cranking it out on a keyboard, working on accounts, or drawing diagrams on a drafting table are gone. Today’s projects are multi-dimensional, with obstacles that are multi-faceted involving many different parts of Figure 1: Group Work an organization. This requires a coordinated group effort (Figure 1). This group or “team” creates an environment where participants can keep up with changes, learn more about the business, and gain skills from collaboration.

Real World Connection 1: Della Steam Plant Sam had to make a very important decision for the Della Steam Plant. He had to make his decision based on a number of factors. The President’s Mandate required that he cut costs, so budgeting issues were important. Lucy raised an important point about the concern for the safety of the unit and employees. Steve’s recommendation could possibly save the company $900,000. As a team, they had to agree to a solution and implement it. They also had to face the resultant consequences.

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1 DEFINITIONS OF A TEAM There are numerous definitions of teams, work groups, etc. The categories below will provide clarity when we discuss about various types of groups. Given the task or objective – the type of group may vary. The goal is effective performance and positive results within the given task or process. Work Group: This is a group for, which there is no significant incremental performance need or opportunity that would require it to become a team. Such groups tackle different tasks and responsibilities that may or may not be loosely connected. Pseudo Team: A group for which there could be a significant, incremental performance need or opportunity, but it has not focused on collective performance and is not really trying to achieve it. It has no interest in shaping a common purpose or set of performance goals, even though it may call itself a team. Potential Team: A group for which there is a significant, incremental performance need, and that is really trying to improve its performance impact. Typically it requires more clarity about purpose, goals, or work products and more discipline about hammering out a common working approach. Real Team: A smaller number of people with complimentary skills who are equally committed to a common purpose, goals and working approach for which they hold themselves mutually accountable. High Performance Team: A group that meets all the conditions of real teams and has members who are also deeply committed to one another’s personal growth and success. The high performance team significantly outperforms all other like teams, and outperforms all reasonable expectations given its membership. Notice what makes a group a real and high performing team. The common thread is the commitment to a common purpose and goals and the use of an approach for which they hold themselves mutually accountable. To achieve high performance, the team members are deeply committed to one another’s personal growth and success. In other words, they care about each other.

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Real World Connection 2: Della Steam Plant The Della Steam Plant case discusses the roles and actions of Lucy Stone, the manufacturer representative, Steve Potts, predictive maintenance engineer, Bob Make, the day shift maintenance engineer and Sam Towers, plant manager. This team is concerned with arriving at a correct decision for the company. However, Sam is confronted with the decisions of two different team members: 1) restart the turbine or 2) tear apart the turbine. Although there is a significant need for improving the downtime associated with shut-down of the turbine generator, the team members have differing opinions and do not seem to communicate very well together. They may need some more clarity about their purpose and goals, but don’t seem to be deeply committed about one another’s personal growth and success. Therefore, this team could be classified as a potential team.

2 THE BENEFITS OF TEAMS IN A TECHNICAL WORKPLACE The use of teams to increase performance in workplaces crosses the boundaries of industry and discipline. The evolving market place of doing more with less and at a faster pace has created an environment where two heads are better than one, and three is better than two, and so on. In addition, the size, complexity and costs of today’s engineering and business projects need to be considered. It is impossible to increase performance of a company by doing it alone. Teams outperform individuals when: • • • • • • • •

The task is complex Creativity is needed The path forward is unclear More efficient use of resources is required Fast learning is necessary High commitment is required The implementation of a plan requires the cooperation of others The task or process is cross-functional or interdisciplinaryii

As you review this list, ask yourself this question: “When do these conditions NOT exist in the modern work place?” Clearly, teams are being utilized because organizations have a need to achieve complex goals faster with fewer resources (physical, technological, financial and people resources). Historically, engineers and managers have been in control of

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projects as the result of technical, design, and financial expertise. Consider the construction of the Brooklyn Bridge, which was started in 1868 and completed in 1883. It was a brilliant feat of 19th century engineering. The senior engineer, Washington Roebling, who took over the project after the death of his father John Roebling, guided the completion of one of the most famous bridges in the world, for 11 years, without ever leaving his apartment as the result of illness. Roebling used a telescope to watch the bridge’s progress and dictated instructions to his wife who passed on his orders to his workers. Today, this strategy might not work, there are many more things to consider, such as, finance, marketing, safety, and environmental issues. Would it be possible for a modern senior engineer to run a project entirely remotely as Roebling did? Not likely. As we think about teams in the engineering world, we are looking at coordinated efforts. Simply sitting at a workstation and designing technically sound projects is only one part of the bigger picture. Albeit a critical piece, it is not the only piece. Successful employees today have to possess the skills and practice to function in a variety of technical and business environments. It is important to remember that teams are not the solution in every situation. What is important to recognize are the skills needed to participate, contribute and create an effective, high performing team. These are skills that need to be developed and practiced. The structure and delivery of the methodology followed in this book utilizes the case study and team approach to integrate the technical and the people skills required to make the best overall decision. By using the material in this book, you will have an opportunity to develop your technical skills as well as your communication, team working, and leadership skills.

Real World Connection 3: Della Steam Plant Sam Towers called a meeting of the plant engineers and maintenance personnel. Lucy Stone, the RLS engineer, made a strong case for tearing down the turbine generator unit, trouble-shooting the problem, replacing any defective parts, and then restarting the unit. Steve Potts, the maintenance engineer at the plant, made an equally strong case for restarting the unit immediately. Lucy Stone responded by stressing on the safety issues. Sam Towers was concerned about possible failure of the turbine generator unit if it was restarted immediately. He knew that Steve and Lucy had equal years of experience in maintenance and both were concerned about the safety and cost effectiveness of their recommendations. He asked Steve to clarify his recommendation. Here, we see the benefits of a team atmosphere. Sam is not forced to make a decision solely based on information from his own experience. He has Bob Make, an experienced employee and Lucy Stone, the OEM 225

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representative to assist him. Sam is not a modern senior engineer running the project alone. In today’s technical and complex world, no one person can run a company. Sam’s task is to make the team of Steve, Lucy and Bob high-performing so that an informed decision could be made much more efficiently than he could by himself.

Figure 2: Della Steam Plant

3 IMPORTANCE OF TEAMS Teams are important in today’s organizations, regardless of industry. The following are some of the demands placed on teams and teamwork. Organizational Structures: During the past decade, traditional hierarchical structures in organizations have been replaced by team-based structures. This change has increased the demand for team skills and training. Global Interaction: Technical breakthroughs in communication and travel have reduced the physical distance to an insignificant variable and spawned international teams. This development has imposed new demands on teamwork, which involve multi-cultural and interdisciplinary participants.

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Virtual Interaction: Email, the Internet, and Intranets have created new types of teams whose members have little or no face-to-face interaction. This situation has created a demand for hard skills related to the use of technology and soft skills related to interaction in cyberspace. Changing Workforce: Employees born in the 1970’s and raised in a techno environment have lifestyles and work styles different from those people born earlier. Teamwork among members of this generation and between previous generations has created a demand for new structures and methods. Increased Empowerment: Around the world, citizens want to get involved in the way politicians make decisions in local and national governments, and employees want to get involved in the way managers make decisions in the workplace. New team techniques are required to involve large masses in real-time strategic change. As many organizations begin restructuring their corporate cultures with empowered employee teams, employees across the organization have become involved in the decision-making process. Truly empowered employee teams can help those organizations improve customer satisfaction, increase employee productivity, increase quality and lower costs.

Real World Connection 4: Della Steam Plant The need for team work and good decision-making is highlighted when Steve states the following in a team meeting with Lucy and Steam: “Sam, we are talking about a potential $900,000 loss if we shut down the turbine-generator unit (Figure 3) for a week. Shutting down a unit is not similar to people walking out of a building during a fire-alarm. We can minimize any possible injuries by asking our employees to sit in the control room during the restart. You may not be able to put off a fire remotely in a building, but we can remotely shut down the unit if there are any problems. Sam Towers summarized the recommendations made by Lucy and Steve and stated the issues he had to consider before making the final decision: There were risks in accepting Steve’s recommendation. The costs might be as high as $19.5 million if the unit failed during restart requiring a replacement. It would also take six months to get a new unit to work. There were also safety concerns regarding injuries to personnel if the unit broke apart during restart. If he accepts Lucy’s recommendation it would cost the company $900,000 since peaking units had to supply the power.

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In the past, organizational structures were somewhat restrained by boss-employee hierarchy association. Now, in many companies, employees are encouraged to suggest to the boss alternate solutions to consider. In the Della case study, we notice that Steve and Lucy are suggesting feasible solutions to Sam, and in turn, Sam strongly considers their arguments. Rather than institute a chain of command, Steve, Lucy, Bob, and Sam interact and work together as a team.

Figure 3: Turbine Generator

4 CHARACTERISTICS OF HIGH PERFORMING TEAMS Think back to a time where you were part of a high performance team. What made this team so special? What behaviors did you see demonstrated by team members? What actions did the team and team members do to achieve such a high level of performance? As you think about the list of actions and behavior forms, think of these characteristics as the “answers to the test.” The characteristics and behaviors you may have thought of are possibly the ingredients that are common to successful teams. Your list probably includes such items as: effective leadership, clear goals, clear roles and responsibilities, collaborative problem-solving, shared information, effective communication, clear plans, practice, good attitude of team members, care for each other, good knowledge and skills. The challenge is not in identifying the ingredients, but putting those

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effective team characteristics into action consistently and intentionally. No team exists without problems. But some teams – particularly those who have learned to counter negative team dynamics – seem to be especially good at preventing typical group problems. How close a team comes to this ideal depends on the following ten essential ingredients. 4.1 Clarity in Team Goals A team works best when everyone understands its purpose and goals. If there is confusion or disagreement, the team works to resolve the issues. Ideally, the team: • • • •

Agrees on its charter or mission, or works together to resolve disagreement. Sees the charter as workable or, if necessary, narrows the charter to a workable size. Has a clear vision and can progress steadily towards its goals. Is clear about the larger project goals and about the purpose of individual steps, meetings, discussion, and decisions.

4.2 A Work Plan Work plans help the team determine what advice, assistance, training, materials and other resources it may need. They guide the team in determining schedules and identifying milestones. Ideally, the team: • • • •

Has created a work plan, revising it as needed. Has a flowchart or similar document describing the steps of work. Refers to these documents when discussing what directions to take next (it’s a map!). Knows what resources and training are needed throughout the work and plans accordingly.

4.3 Clearly Defined Roles Teams operate most effectively when they tap everyone’s talents, and when all members understand their duties and know who is responsible for what issues and tasks. Ideally, the team: • Has formally designated roles (all members know what is expected and who does what).

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• •

Understands which roles belong to one person and which are shared, and how the shared roles are switched (for instance, using an agreed upon procedure to rotate the job of meeting facilitator). Uses each member’s talents, and involves everyone in team activities so no one feels left out or taken advantage of.

A Real World Connection 5: Della Steam Plant Bob Make, the day shift assistant maintenance engineer at the plant, looked at the charts produced by the proximity probes that Steve Potts, his supervisor, had installed on the turbine-generator as part of predictive maintenance practices. The dotted lines on the figure showed a 17 mil vibration level and he agreed with Lucy that the plant be shut down and inspected thoroughly. Sam Towers agreed to the two recommendations and requested the maintenance workers to tear apart the turbine. He was aware that it would cost approximately $900,000 for the unit to be out of operation for a week. Steve Potts, the engineer in charge of predictive maintenance at Della Steam plant, had gone home at 6 a.m. after the unit was started and became operational. He woke up at 1:00 p.m. and called Bob Make, his subordinate, to check the status of the unit. Steve was surprised to learn that the unit had been shut down and wanted Bob to look at other charts produced by the proximity probes. Although Steve was unavailable to make a decision at the time, Bob Make clearly understood his role as the assistant maintenance engineer of the plant. He carefully analyzed the technical data and agreed with Lucy. It is interesting that he did not see it as essential to call his boss, Steve, and inform him of the change. This situation happens frequently in companies where employees fail to communicate with their supervisors. Figure 4: Engineer looking at the charts produced by proximity probes.

4.4 Clear Communication Good discussions depend on how well the information is passed between team members. Ideally, team members should: • • •

Speak with clarity and directness. Be succinct; avoid using long anecdotes and examples. Listen actively; explore rather than debate each speaker’s ideas.

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• •

Avoid interrupting and talking when others are speaking. Share information on many levels by offering: - Sensing statements (“I don’t hear any disagreements with John’s point. Do we all agree?”) - Thinking statements (“There seems to be a correlation between the number of errors and the volume of work.”) - Feeling statements (“I’m disappointed that no one has taken care of this yet.”) - Statements of intention (“My question was not a criticism. I simply wanted more information.”) - Statements of action (“Let’s run a test on the machine using materials of different thickness.”) Listening To be an effective listener you should: • Stay Focused - Keep external distractions to a minimum and work at paying attention to what the other person is saying. • Receive word and emotions - The words another person uses are only part of the message. Be sure to capture the whole message by also paying attention to the gestures and emotions behind the words. • Don’t interrupt - Interruptions disturb the communication process. • Resist filtering - try not to judge what the other person is saying based on who that person is or your beliefs about the subject. • Resist automatic listening - formulating quick responses in your head to what the other person is saying. • Summarize the message - After you have heard what the other person has said, provide a brief summary to be sure you heard it correctly. Clarify your understanding. • Focus on understanding not judging. 4.5 Beneficial Team Behaviors Teams should encourage all members to use the skills and practices that make discussions and meetings more effective. Ideally, team members should: • • • • • •

Initiate discussions. Seek information and opinions. Suggest procedures for reaching a goal. Clarify or elaborate on ideas. Summarize. Test for agreement. 231

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• • • • • • •

Act as gatekeepers: direct conversational traffic, avoid simultaneous conversations, manage participation, make room for reserved talkers. Keep the discussion from digressing. Be creative in resolving differences. Try to ease tension in the group and work through difficult matters. Get the group to agree on standards (“Do we all agree to discuss this for 15 minutes and no more?”). Refer to documentation and data. Praise and correct others with equal fairness, accept both praise and complaints.

4.6 Well-defined Decision Procedures You can tell a lot about how a team is working by watching its decision-making process. A team should always be aware of the different ways it reaches decisions. Ideally the team should: • • • •

Discuss how decisions will be made, such as when to take a poll or when to decide by consensus (are there times when a decision by only a few people is acceptable?) Explore important issues by polling (each member is asked to vote or state an opinion verbally or in writing) Test for agreement (“This seems to be our agreement. Is there anyone who feels unsure about the choice?”) Use data as a basis of decisions.

4.7 Balanced Participation Since every team member has a stake in the group’s achievements, everyone should participate in discussions and decisions, share commitment in the projects success and contribute their talents. Ideally, the team should: • •

Have reasonably balanced participation, with all members contributing to discussions. Build on members’ natural styles of participation – encourage participation, ask what others need to feel comfortable participating.

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4.8 Established Ground Rules Teams invariably establish ground rules (or “norms”) for what will and will not be tolerated in the team. We will discuss ground rules in the tool section. Ideally, the team should: • •

Have open discussions regarding ground rules. Openly state or acknowledge the norms (write them down).

4.9 Awareness of Group Process Ideally, all team members will be aware of the group process - how the team works together - as well as pay attention to the context of the meeting. Ideally, team members should: • • • •

Be sensitive and aware of nonverbal communication. See, hear, and feel the team dynamics. Comment and intervene to correct a group process problem. Ask questions to check your perceptions. Contribute equally to the group process and meeting content.

4.10 Use of the Scientific Approach Teams that use a scientific approach have a much easier time arriving at solutions. Failure to use a scientific approach can lessen the team’s chance for success. The scientific approach helps avoid many team problems and disagreements. Many arguments are between individuals with strong opinions. The scientific approach insists that opinions be supported by data. Ideally, the team should: • • • •

Ask to see data before making decisions and question anyone who tried to act on hunches alone. Use basic statistical tools to investigate problems and to gather and analyze data. Dig for root causes of problems. Seek permanent solutions rather than quick fixes.

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Real World Connection 6: Della Steam Plant Lucy Stone, the RLS engineer, checked the vibration levels (Figure 5) from the shaft-rider probes her company had originally installed on the turbine generator unit. She had supervised the tear down and the rebuilding of the unit herself. Her ten years of experience had made her double-check everything. She checked the screen that showed the overall vibration level of this unit at 7:50 a.m. and compared it with the last time this unit was started and tested for over speed without any accompanying major vibration. The comparison showed that the vibration level was 17 mil during the current problem compared to 4 mil vibration level when there were no problems. The current vibration level was very close to the 22 mil clearance between the shaft and the bearing. She reasoned that if the unit was restarted, the vibration might become severe, and the shaft might hit the bearing and make the whole unit come apart. Already some of the parts within the unit might have been broken due to the heavy vibration. From her past experience, she knew that similar units had failed at least 30 times due to a fault in retainer rings. She expected a similar problem in this unit and did not want the unit to be restarted until the retainer ring and other parts were rechecked. Any mistake in her recommendation might alter the credibility of RLS Inc., with the power plant management. Therefore, she decided to recommend to the plant manager that the generator be torn down and all the parts checked.

Figure 5: Shaft Rider Probe Readings

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Given her experience as the RLS engineer, Lucy made an educated and rational decision to contact the plant manager. She did not make an irrational decision to shut down the unit herself. She recognized the problem and reasoned based on historical evidence. This is a great example of an individual working productively and making a rational decision.

5 THE GROUP LIFE CYCLE Think back to the high performing teams you have been a part of – did they start out as high performing? Probably not at first. High performance took the utilization of the actions and behaviors described in section 4, as well as practice, effective leadership, group learning, and time. Remember, we said high performance – NOT perfect performance! So how does a group of people working together achieve high performance? Is there a secret? In sports you hear of how a team “gels” over time with practice and experience. This process is critical and the steps are almost never skipped. Below is an excerpt from an article by Richard Weberiii that discusses the process groups go through to reach high performance. “During our professional and social lives, we have all experienced groups that have “gelled” or worked and those that have not. How is it that some groups form and develop from a collection of individuals to a cohesive functional unit (a team)? Is there any predictability in the process or is it just "fate?" The experience of a "good team" is frequently equated to a mystical experience: something that "just happens", either by divine providence or the match of astrological characteristics, or a blend of individuals' chemistries. Conversely, the experience of a "bad team" is attributed to poor leadership, a lack of compatibility of the members, lack of time, or inattention to process. All of these factors may affect our experiences with teams. Teams are complex living entities, similar in many ways to the individual. Yet few of us think about the development and growth of teams. In this brief presentation, I wish to share a developmental process that all teams go through. Each team proceeds through three major stages of development, which can be compared, to the infant, adolescent, and adult stages of the person. Each stage has four dimensions that need attention: Team Behavior, Team Tasks/Issues, Interpersonal Issues, and Leadership Issues. Numerous behavioral scientists have explored each of these dimensions. We use the works of Bruce W. Tuckman (1965), William Schutz (1971), and Wilfred Bion (1961) for this presentation/explorationiv. Each stage is unique in comparison to the other stages and how

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each team experiences and lives through it. And, each stage is lived by all teams that develop into cohesive, functional units. As in the development of the person, certain stages may be more or less pleasant for us to experience. The “stages” must be lived through, however, and each can be treasured as our own unique experience in an inevitable cycle of development. 5.1 Stage 1: Infancy ("Forming") Regardless of what events or structure gives birth to a team, it has to form, to come together. The behaviors in Stage 1 are initially polite and superficial as each person seeks out similarities or common needs. While introductions are made, each individual is testing the amount of compatibility of her or his reasons for being there with the stated reasons of other members. Confusion and anxiety abound as Forming different styles and needs become evident. The goal for the individual is to establish safe patterns for Figure 6: Forming interaction. The team issue is the establishment of basic criteria for membership. Interpersonally, each individual is working at varying levels of intensity on the issue of inclusion. Some questions raised during Forming are: "Do I wish to be included here and with these people?” “Will they include me, accept me as I am?” “What will be the price and am I willing to pay to be part of this group?" The first stage reflects dependency with regard to leadership. As confusion, ambiguity, and anxiety abound, individuals look to whatever leadership exists in the team or the environment. Whatever direction or information is provided is grasped for guidance. Where there is no response from the designated leadership, written descriptions or charges to the team may become a substitute, e.g., The training description says…….."If this is also lacking, the absence of direction itself may be brought forward as direction and guidance", or, "As we are getting no direction, we must be expected to proceed ourselves and take responsibility to…” Depending on the similarities in style and needs that exist in the team, and depending on the tolerance for ambiguity that exists in the team, this first stage may be smooth and pleasant or intense and frustrating. 5.2 Stage 2: Adolescence ("Storming") When and if a common level of expectation is developed, the team can then move into the even stormier stage of Adolescence. Possibly the most difficult stage of development to tolerate in either persons or teams, this stage cannot be avoided as it is a crucial stage dealing with power and decision

Storming Figure 7: Storming

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making -- necessary skills for the future functioning of the team. In Stage 2, after a base level of expectations and similarities is established, individuals begin to challenge differences in a bid to regain their individuality, power, and influence. Individuals start to respond to the perceived demands of their task usually with a full range of emotions. Regardless of how clear the tasks or structure of the team, team members react and will generally attack the designated leadership (facilitators) as well as any emerging leaders within the team. These bids for power and influence may either take the form of direct attacks or covert nonsupport. Interpersonally, members are working through their own control needs, both to be in sufficient control and to have some sense of direction. The leadership issue is one of counter dependence, i.e., attempting to resolve the felt dependency of Stage 1 by reacting negatively to any leadership behavior, which is evident. By doing so, members remain dependent in that they are not initiating but reacting. Until individuals break out of this frustrating cycle of reaction and begin initiating independent and interdependent behavior, they will remain in the maze of Stage 2. As team members persevere in their attempts to create acceptable order/process for decision making within the team, they will lead themselves into Stage 3. The activity and skills gained in this stage are essential for the team to proceed. If the team tries to escape from the unpleasantness of this stage, it will experience failure and will return to Stage 1 and 2 again until the process is completed and power issues identified, including the mechanics of decision making. The more aware the team is of what it has accomplished in this stage, the faster the team will evolve and develop in the future. 5.3 Stage 3: Adulthood ("Norming & Performing") With the frustration of the first two stages behind, the group can finally pull together as a real team, not merely a collection of individuals. Here the team becomes a cohesive unit as it begins to negotiate roles and processes for accomplishing its task. Functional relationships are explored and established in spite of differences. The team is ready to tackle its goals by working together collaboratively. With the accomplishment of some goals, team members may gain and share insights into the factors that contribute to or hinder their success. Norming & Interpersonally, members are now working Performing out of affection or a caring about others in a deeper, less superficial manner than before. Meaningful Figure 8: functional relationships develop between members. Norming & Leadership issues are resolved through Performing interdependent behavior or working with others. 237

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Tasks are accomplished by recognizing unique talents in the team -leading where productive and necessary. As this interplay occurs, trust evolves. The experience of accomplishment, whether it is successfully reaching consensus or solving a team problem provides a powerful unifying force. The sense of "teamness", a feeling of the uniqueness of the team with all its strength and faults, occurs. The team now has an identity of its own that is in no way diminished by it having evolved through the same cycle as countless other teams. 5.4 Re-Cycling Through the Process Teams may proceed through the three stages quickly or slowly, they may fixate at a given stage, or they may move quickly through some and slowly through others. If they do indeed complete all three stages, however, and have sufficient time left in their life together, they will again recycle through the stages. This additional development will lead to deeper insight, accomplishment, and closer relationships. With the accomplishment of each significant task (or lack thereof), the team must again address the issues of inclusion (What does it mean to be a member now?); control (Who will influence now? How?); and affection (How close and personal can we be? How much can we trust each other?). If the team has learned from its past experience, following cycles will be substantially easier. As in any human development process, the team development cycle has pitfalls. Inattention to possible traps may result in more frustration and anxiety than is needed in the respective stage. If no learning or insight is gained along the way through the cycle, teams will ponder. "Why are we doing or going through all of this again?" Teams must be attentive to their process and learn through it. Teams may also recycle back to a previous stage before completing the full cycle for a number of reasons: • Change in the composition of the team (additions or deletions) necessitates returning to Stage 1. • Change in the charge of the team returns the team back to Stage 1. • Inattention to the needed activities in a stage will sooner or later require a return to that stage. 5.5 Stage 4: Transforming When the purpose of the team has been achieved, or if the time for the team has expired, the team is faced with transforming. Transforming can take one of two paths: 1. Redefinition - establishment of a new

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purpose and/or structure; or, 2. Disengagement, Termination, or Death. The team must decide on its future or it will proceed down a frustrating, unfulfilling path. The natural tendency for any team that has successfully achieved a full cycle is to attempt to remain together in some form in the future. The shared experience -- with all of its pain and joy, its meaning and insight -- bonds the members of the team together. When the purpose has changed or the time has elapsed, however, the team must disengage. Not uncommonly, teams will attempt to define ways of continuing contact after separation through letters or planned reunions in an effort to escape the pain of disengagement. But failure to disengage, to recognize that the life of the team, as its members have experienced it, has come to an end will only lead to greater frustration. However, if members were to remain in contact, or if a reunion were to occur (which seldom happens), the experience will never be the same as the contexts of each of the members will have changed. So as the person must face the inevitability of leaving this life, members must realize that teams too must die. But if nourished, the spirit or experience can live on. Experience the joy of your time together! Complete the cycle! Share good-byes without sorrow! Treasure the uniqueness of your experience! Open yourself to the possibility that having learned here you may facilitate similar experiences elsewhere, equally unique.”

Real World Connection 7: Della Steam Plant The team comprising of Bob Make and Lucy studied the problem in the morning, reviewed a few charts (please look at the CD-ROM) and decided that the problem was serious enough that the unit had to be stopped and the turbine-generator reexamined to find any broken parts and then put together. At this time, they were forming a team. When Steve woke up at 1:00 p.m. and called Bob Make, his subordinate, to check the status of the unit, he was surprised to learn that the unit had been shut down and wanted Bob to look at other charts produced by the proximity probes. When he looked at the charts that track the overall vibration level and the vibration level at the running speed of the turbine generator at 7.56 a.m., the time the vibration started, he surmised that the vibration occurred due to oil whip. This led him to recommend that the unit be restarted. At this stage, the team of Lucy, Steve, and Bob were in the storming stage. Sam had earlier agreed with Lucy and Bob and had ordered the unit be shut down and disassembly to start. On listening to Steve’s recommendation to restart the unit, he did not act on his own. He called a meeting attended by Steve, Bob, and Lucy and requested Steve and Lucy to state their positions. At this stage, Steve and Lucy had conflicting recommendations, but were performing in the adulthood stage of the team where they were norming and performing (Figure 8). They were arguing 239

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for their positions rationally and were not disrespectful of each other. Sam mediated well and summarized their recommendations as follows: “Even though I have to make a decision today, I want to minimize facing such a dilemma in the future. We need to deploy appropriate maintenance and information technologies so that you engineers could agree on the final recommendation based on the data. What technologies would you both suggest be deployed in the future? I did not expect that today will turn out to be a difficult day for me! By focusing on future initiatives to address such problems, he was requesting the team of engineers to become a high-performance team and aspire to higher goals than just focusing on resolving the day’s problem. Sam was also asserting his authority to make up his mind on what to do to address the problem that had just occurred. Sam’s role is very important in making this a high-performing team. He could have led the group to blame each other and be verbally abusive. But, he performed an effective leadership function and forced the group to work together so that they won’t have similar problems in the future. That goal makes the team come together even though they disagree on recommendations to fix the turbine-generator on that day.

6 HOW DOES THE INDIVIDUAL IMPACT THE TEAM? A team is a group of individuals - unique individuals that bring a variety of perspectives, experience, knowledge, skills, and ideas to the group. It is this diversity that can be a great strength or create obstacles to effectiveness. Individual differences are key to the success of your team. Yet these differences can also lead to common workplace issues: stress, conflict, low productivity, ineffective leadership, and resistance to change. What we say and do – our actions - have a huge impact on teams. Have you ever felt misunderstood? Have you ever had a fierce argument and then wondered what it was all about? Have you ever felt good about how you handled a situation and then later learned that someone didn’t like what you said or did? If you answered “yes” to any one of these questions, you will benefit from a study of your own behavior and the behavior of others. The foundation of personal and professional success lies in not only knowing the technical side of your job, but also in understanding yourself and others, and realizing the impact of your personal behavior on those around you. It is important to recognize that as individuals, we approach situations differently. Without a clear understanding of other team members’ needs or expectations, the team or team members may experience ineffectiveness, frustration, or conflict. The key is to understand that diversity of knowledge, skills, and attitudes can bring advantages and different perspectives. This can also

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cause disengagement, conflict and a lack of productivity. Said another way, the way you do things can irritate those around you or compliment the process. You may not intend to irritate others, but it happens. In the next section we will discuss the Personal Profile System and other tools you may consider as you form your teams.

7 THE TEAM TOOLBOX – RESOURCES TO CREATE HIGH PERFORMING TEAMS The “Team Toolbox” is intended to provide actual tools that you may find helpful in building an effective team. We have used these materials and tools with many student teams during classes to help form effective teams. What follows is overview of: • Personal Profile System® • Group decision-making • Consensus • Conducting effective meetings • Ground rules • Providing Feedback • Evaluating Team Performance • Strategies to Reduce Conflict • Team building activities. 7.1 The Personal Profile System® So why can’t we just understand others? This seems like an easy thing to do. Just sit down and talk about what you need. Experience should tell you it isn’t that easy. There are tools that can assist in this process. One such tool that presents the positive contributions of behavior as well as the value and obstacles of homogeny or diversity is called the Personal Profile System®. Also know as the DiSC®, the Personal Profile System® is currently used in business for the purpose of employee development and team building. The Personal Profile System® is a powerful tool that is easy to understand and simplifies the complexity of human behaviorv. The Personal Profile System® is based on William Moulton Marston’s two-axis, four-dimensional model. This model divides behavior into four distinct dimensions: Dominance, influence, Steadiness, and Conscientiousness (DiSC®). The DiSC Model of human behavior used in the Personal Profile System® was first published in the 1920’s by Marston in his book, Emotions of Normal People. The title itself gives some insight into the book and into Marston’s research focus. Marston, unlike his contemporaries including Freud and Jung, was not interested in pathology or mental illness. He was interested in how normal people felt and behaved as they interacted with the world around them.

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Marston’s Model is based on two perceptions: the environment as favorable or unfavorable and the person himself or herself as more or less powerful than the environment. An important word in Marston’s Model is the word “perception”. As modern theorists know, perception of events and circumstances is more important than what those events and circumstances really are, in terms of how people react to them. A perception of a situation, people, and events determines the reaction to them. In Marston’s Model, an individual perceives his or her environment as either favorable or unfavorable. People who perceive an unfavorable environment see the challenges, the obstacles and the possible pitfalls in the things they undertake. Those who perceive a favorable environment see the fun, warmth among people, and the possible success in the things they undertake. Neither view is more right or more accurate; they are simply different. The second part of the model is perception of self as more powerful or less powerful than the environment. This is how much impact, control, or effect one believes he or she has on the situation, people and events around him or her. Those people who see themselves as more powerful than their environment believe they can achieve their goals by using their force of will or by persuading others. Those who see themselves as less powerful than the environment believe they can achieve their goals by consistently cooperating with others or by adhering to established guidelines to insure quality. Again, neither is more right that the other; they are just different perceptions. The DiSC® provides a common, non-judgmental language for exploring behavioral issues across four primary dimensions: • •

Dominance: Direct and Decisive

D’s are strong-willed, strong-minded people who like accepting challenges, taking action and getting immediate results. People with a high D dimension dominate because they see challenges to overcome and view themselves as more powerful than those challenges. They will try to change, fix or control things. • •

Influence: Optimistic and Outgoing

I’s are people-oriented, who like participating on teams, sharing ideas, and energizing and entertaining others. People with a high I dimension try to influence others out of a feeling of being powerful in a favorable environment and wanting others to share their views. They try to

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influence because they believe they can. • •

Steadiness Sympathetic and Cooperative

S’s are helpful people who like working behind the scenes, performing in consistent and predictable ways, and being good listeners. Those with a high S dimension want to maintain the environment they see as favorable because they see themselves as less powerful than the environment and are, therefore, reluctant to want to try to change things too much. They believe that things are fine as they are and ought to be left alone. • •

Conscientiousness: Concerned and Correct

C’s are sticklers for details and quality, like planning ahead, employing systematic approaches, and checking and re-checking for accuracy. Because people with a high C dimension see themselves as having little power in an unfavorable environment, they try to analyze things carefully and then work to achieve high standards or try to follow established rules in order to accomplish their goals. The DiSC Personal Profile System® is available as a resource for any team. There are several versions. We have used the preview, a shorter, non-validated version in many student settings as a starting point for discussion on needs preferences and as a foundation for developing effective communication among teams. It is available at a lower cost and provides an overview of the personalities.

8 MAKING GROUP DECISIONS Decisions are made in a myriad of ways. What follows are some ways decisions are made in teams: • • • • • • •

The Plop: Your suggestion is ignored Railroading: A loud suggestion is acted on without discussion Self-Authorized Decision: You act immediately on your own suggestion; the group goes along Handclasp: Quick agreement between two people moves the group to follow their suggestion Voting: A tally of opinions is taken for and against a suggestion Trading: “I will agree with you on this one, if you go along with me on the next.” Data-Based Decision: Group or individual moves forward based on input derived mathematically 243

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•

Consensus: Finding a proposal/solution acceptable enough that all members can support it; no member opposes it. Getting consensus does not mean that everyone must be completely satisfied, or even that it is anyone’s first choice

Consensus is a method that encourages participation. It is difficult when decisions need to be made quickly or the team is large. The big advantage is that it gives an opportunity for team members to share their thoughts and perspective. It is important to recognize this is a process that requires attention and facilitation. Consensus does not just happen. Each person must be engaged. Consensus Consensus does not mean: • A unanimous vote. • Everyone getting what they want. • Everyone finally coming around to the right opinion. Consensus does mean: • Everyone understands the decision and can explain why it’s best. • Everyone can support the decision. Consensus requires: • Time – it takes time to get all input and process multiple viewpoints. • Active participation of all team members – Consensus becomes more difficult the larger the group. • Skills in communication, listening, conflict resolution and facilitation. • Creative thinking and open-mindedness. Consensus decision-making is not just a way to reach compromise. It is a search for the best decision through the exploration of the best of everyone’s thinking. As more ideas are addressed a synthesis of ideas takes place and the final decision is often better than any single idea that was presented at the beginning.

9 CONDUCTING EFFECTIVE MEETINGS Although individual team members carry out assignments between team meetings, some of the team’s work gets done when all the team members are together - during meetings. Productive meetings enhance the chance of having a successful project. A given is that people are expected to be on time. Otherwise the

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time of many people is wasted. A meeting should start within a few minutes of the scheduled time, whether all the members are present or not. Once most of the members are present it is time to start. 9.1 Use Agendas Each meeting should have an agenda, preferably one developed prior to the meeting. It should be sent to ALL participants in advance, if possible. If an agenda has not been developed before the meeting, spend the first five minutes of the meeting writing one on a flipchart. Agendas should include the following information: • • • •

Purpose of the meeting. Topics to be discussed and why. The lead person for each topic. Time estimates.

Agendas usually include the following meeting activities: • • •

Warm-up - Short activities used to free the mind from outside distractions and get them focused on the meeting Agenda review - modify if necessary - have one published before the meeting Meeting evaluation

9.2 Key Meeting Roles Meeting Leader or Facilitator The meeting leader is responsible for keeping the meeting focused and moving smoothly. Key responsibilities are to: • • • • • • • • • • •

Open the meeting Review the agenda Make sure someone is taking notes and someone is keeping track of time Move through the agenda one item at a time Keep the group focused on the agenda Establish an appropriate pace Facilitate discussions through questions Encourage participation Help team evaluate the meeting Gather ideas for next meeting’s agenda Close the meeting

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Timekeeper The timekeeper helps the group keep track of time during the meeting. This keeps the team from spending all its meeting time on the first few agenda items. Key responsibilities are to: • •

Keep track of the time during meetings. Alert the team when the time allocated for an agenda item is almost up so the team can decide whether to continue the discussion, or cut it short, parking lot it, etc. DO NOT simply police the agenda. (e.g. “Time’s up. Move on.”).

Notetaker The notetaker records the key topics, main points raised during discussions, decisions made, action items (who will do what by when) and items to be discussed at a future meeting. Notes can be written on standard forms or captured electronically. Key responsibilities are to: • • • •

Capture the key points for each agenda item. Highlight decisions and action items. Collect future agenda items. See that the minutes are distributed or posted.

Scribe The scribe posts ideas on a flipchart or whiteboard as the discussion unfolds so everyone can see them. Posting ideas helps the team stay focused on the discussion. It also shows members that their ideas have been captured for consideration, encouraging participation. Key responsibilities are to: • • •

Write large enough so all can see. Write legibly. Check with team for accuracy.

10 GROUP PROBLEMS Regardless of how well we try to manage conflict, sometimes disagreements can become highly emotional. Members polarize; legitimate differences of opinion become win-lose struggles, and progress is stopped. Keep in mind, differences of opinion can inspire and create innovative ideas, the key is awareness and management of the problems or issues.

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10.1 Sources of Conflict Most team conflicts relate to one or more of the following, which can be remembered by the word P R I D E: Process - How the team operates on a daily basis Roles - Who does what on the team (lack of clarity) Interpersonal Issues - How different team members are getting along Direction - The way the team is proceeding in relation to the common purpose and goals External Pressures - Considerations such as time, deadlines and resources can have an undue influence on the team Dealing with Conflict • Anticipate and prevent problems...Be proactive • Think of each problem as a group problem • Neither overreact nor under-react A leader’s range of responses typically includes: • Do nothing (nonintervention) • Off-line conversation (minimal intervention) • Impersonal group time (low intervention - not personal) • Off-line confrontation (medium intervention more assertive) • In group confrontation (high intervention - this is to change offensive behavior) • Expulsion from group...Very last option Focus on Resolution • Clarify - Listen and Ask Questions • Determine points of Agreement and Areas of Difference • Treat as a Team Opportunity • Continue Using the Creative Process to Solve

Real World Connection 8: Della Steam Plant Sam was in a dilemma since, in the past, the plant engineers had always agreed with the recommendation by the RLS engineers. This was the first time Steve had not agreed with Lucy and created a dilemma. Sam felt that the top management would endorse the decision to restart the turbine-generator unit since they had decreased the maintenance budget for the next five years and were forecasting a further reduction. If Steve’s recommendation was successful, Sam would be considered a capable

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leader who was willing to try innovative tools. But, if the unit broke and employees got injured, the top management would point at him as the person who made the decision to restart the unit in spite of Lucy’s recommendation. Sam realized that he had to examine carefully the technical data and make his decision based on technical, financial, and safety aspects. He called for a meeting of Steve, Lucy, and Bob in order to arrive at the final decision. Here we see the main dilemma: Lucy and Steve disagreed about the decision to restart or tear down the turbine-generator. This was the first time that they had disagreed. Sam handled the conflict in the proper manner, calling a meeting to discuss the situation as a team. Sam’s approach to focus on resolution by calling a meeting for the team was a good decision. Listening and asking questions allowed the group to determine how they viewed the situation and to review the different recommendations. Treating this as a team opportunity, Sam evaluated the conversation and decided to make a decision based on technical, financial, and safety aspects.

11 GUIDELINES TO GROUND RULES Too often decisions just “happen” in a team; members go along with what they think the group wants. The establishment of ground rules, or “norms,” concerning how group processes will be run, how team members will interact and what kind of behavior is acceptable are the foundations for successful teams. Some are stated aloud; others are understood without discussion. Each member is expected to respect these rules, which usually prevents misunderstandings and disagreements. Remember your team does not operate in a vacuum, with anything else going on; the team is made up of a diverse group of individuals who have many other priorities. It is important to establish expectations and norms that are appropriate to the task. A few of the ground rules to establish are: Attendance: Teams should place high priority on attending meetings. Identify legitimate reasons for missing a meeting and establish a procedure for informing the group that you will miss a team meeting. Decide how to bring absent team members up to speed. Promptness: Team meetings should start and end on time. This makes it easier on everyone’s schedule and avoids wasting time. How strongly does your team want to enforce this rule? What can you do to encourage promptness? What does “time” mean to your team?

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Participation: Everyone’s viewpoint is valuable. Therefore, emphasize the importance of both speaking freely and listening actively. Interruptions: Decide what interruptions your group might face. These might be phone calls (you know we’re all mobile), pagers, external conversations with passersby, or internal non-task conversations (socializing). Decide when these will be tolerated and when they won’t. Basic courtesies: Listen attentively and respectfully to others; don’t interrupt; hold one conversation at a time; and so forth. Assignments: Much of the team’s work is done between meetings. When members are assigned responsibilities, it is important they complete their tasks on time. Commit to this! Breaks: Yes, breaks! Decide, whether and under what circumstances smoking will be allowed, whether to take breaks, frequency, and how long will they be. Rotation: Your roles and duties will change as part of the work situations and projects you are involved in. Be sure to plan the rotation of members and roles. Responsibilities: Up-front (no surprises) and assist each other in the clarification of these roles. Remember to use the behavior style survey information as a reference tool. Meeting place and time: Specify a regular meeting time and place, establish a procedure to notify and remind attendees of meetings. Make it a logical place where distractions are minimal!

12 FEEDBACK There are two types of Feedback. The first type of feedback comes when the team meetings take place. The second type of feedback comes when the project is over, the facilitative team leader or the manager of the team must give feedback about the team’s performance in the particular project and what they where able achieve through this project. This feedback may be positive or negative. But this feedback is very important to maintain the health of the team. Feedback is a very important part of team meetings. It should be constructive. When you speak in a meeting on a common problem, just

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state the facts without any exaggeration, attribution or motives. Try to express about what you feel about the whole issue and how others behavior affects you. Now explain the facts that you have observed and justify your viewpoint. Clearly describe the changes you expect from the team. Try to make the other member understand that the solution provided by you will help them solve the problem. Now let the other members respond to your ideas and speak about what they feel about the problem and discuss the fact so that the team will be able to reach a consensus on a solution. Thus feedback plays a major role in any team meeting from the beginning. Therefore, while giving your feedback in a team meeting: • • • • •

You have to be conscious of the word you use Your temper has to be stabilized You have to listen to other members patiently You have to concentrate on the whole issue clearly You have to analyze the issue before giving the feedback to the other members of the team

13 EVALUATING TEAM PERFORMANCE Evaluating team performance is essential for teams. Every organization invests a large sum of money and time in organizing and training teams, so the managers will have to know whether the teams function effectively or not. Generally this evaluation helps the management to enhance their performance. One main approach to evaluate team is to examine the team’s health by assessing its activities and structure. In order to evaluate the team’s health; let’s take the stages of team development into consideration. Since these stages undergo a variety of predictable phases over a period of time, evaluate the team during the stages will give you a clear picture of the team’s performance. A health chart can be prepared in each stage to evaluate the health of the team. 13.1 Health chart for orientation stage (forming) This stage can also be considered as the start-up phase. The manager will have to check if the following list of things is going on well in their concerned team. Table 1 shows the criteria that could be used to measure the performance of the team in this stage.

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Criteria

Performance Scale

1) Mission Statement 2) Boundaries Defined 3) Compatibility Between Team Members 4) Leadership 5) Tolerance for ambiguity

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Performance Scale 1--------------2-------------3-------------4------------5----------6-----------7----Excellent Good Fair Average Mediocre Poor Abysmal Table 1: Health chart for orientation stage

13.2 Health chart for conflict and cohesion stage (storming and norming) During this stage, the manager evaluates if the team meets regularly and if the attendance is adequate in the meeting. This stage can also be called as testing phase. If it meets, how well the members contribute to the decisions taken in the meetings? These are the some of the facts in analyzing the performance level of the team. Table 2 shows the criteria that could be used to measure the performance of the team in this stage. Criteria

Performance Scale

1) Bid for power and influence 2) Tolerance for others 3) Initiating independent and interdependent behavior 4) Leadership 5) Dysfunctional behaviors

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Performance Scale 1--------------2-------------3-------------4------------5----------6-----------7----Excellent Good Fair Average Mediocre Poor Abysmal Table 2: Health Chart for conflict and cohesion stage

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13.3 Health chart for Performance phase This stage is also called as performance phase. The managers should check on a number of team behaviors and attributes in order to keep the team healthy. The manager must keep track of certain things such as, does the team meet regularly? Is management reviewing the team’s activity? Are dysfunctional behaviors emerging? These are the facts to be noticed by the manager in evaluating the team. Criteria 1) Sense of belonging to a team 2) Member satisfaction 3) Meaningful functional relationships 4) Trust among members

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Performance Scale 1--------------2-------------3-------------4------------5----------6-----------7----Excellent Good Fair Average Mediocre Poor Abysmal Table 3: Health chart for Performance Stage

13.4 Health chart for Dissolution phase (Adjourning) An evaluation of the team member behaviors through the charts will help the team leader and the members evaluate the performance level of the team. The overall evaluation of the team will help the team leader or the manager to determine if bringing in new leadership can invigorate the team. Has the team fallen into a pattern of dysfunctional behavior? Is there a need to formally close the team? All these items can be understood by developing another chart for the Re-testing or Closeout phase. Table 4 shows the criteria that could be used to measure the performance of the team in this stage. It is important to evaluate the health of the team on routine intervals to measure the effectiveness of the team. An unhealthy team cannot function effectively. Frequently, it is important to assess the perception of each member of the team about how well the others are contributing to the success of the team. A form that could be used to evaluate each other is provided in Table 5. You can use this to evaluate the other team members when you are working on projects.

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Performance Scale

1) New leadership evolves 2) Effective redefinition of tasks 3) Termination process in place

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Team Member Peer Evaluation Form vi Do not put your name at the top of this form, but do put your name in the spaces provided below. This semester you worked with other students on preparing a comprehensive case analysis. Please rate yourself and your team members on the relative contribution made to preparing and presenting the case. Your ratings will be confidential and anonymous. Be honest on this evaluation! In rating yourself and your team members, use a one to five point scale, where 5 = superior, 4 = above average, 3 = average, 2 = below average, and 1 = really weak. Add the scores to obtain a total score for yourself and the other group members. Put any comments you like on the bottom of this table. Fold this sheet when you complete the ratings below. Thank you. Put your name and your team members' names in the spaces provided, one name at the top of each column. Names: Ratings On time for all group meetings Helped keep the group cohesive Number of useful ideas contributed Quantity of work done Quality of work done +

+

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Add Total Scores Here

Source: Fred David (1999) Instructor’s Manual. Strategic Management, 7th ed. Prentice Hall. Table 5: Team Member Peer Evaluation Form

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14. DIVERSITY IN TEAMS The workforce is changing around the world and teams are comprised of people from both sexes and of different racial backgrounds. This diversity also brings in stresses and conflicts to the team. William Wulf, President of the National Academy of Engineering makes the case for diverse teams vii. Collective diversity, or diversity of the group- the kind of diversity that people usually talk about – is just as essential to good engineering as individual diversity. At a fundamental level, men, women, ethnic minorities, racial minorities, and people with handicaps, experience the world differently. Those differences in experiences are the “gene pool” from which creativity springs. We are increasingly seeing teams that are comprised of engineers and managers who work with others from across the world. Many of them state that “they talk engineering and are not that diverse,” although they may look and act differently.

15. LEADERSHIP IN TEAMS A team requires a leader and frequently engineers relinquish the leadership roles to non-technical people. A study of Chief Executive Officers (CEOs) found that very few CEOs in the U.S. have engineering educational backgrounds. There might be opportunities where you have to assume the leadership role even though you don’t feel you are well prepared for it. It is not a science, it is more of an art. Being a leader requires liberating people in an organizational setting to do what is required of them in the most effective and human way possible viii. Leaders make all others around them want to be better both in terms of what they do and who they are as human beingsix. As an engineer, you will have many occasions where you will be presented with opportunities to better the lives of other human beings; hope you will take the leadership role and ensure that the organization and others around you work together as a team to achieve such a goal.

16. STRATEGIES TO REDUCE CONFLICT Conflict is one of the major issues in any team environment. Groups often have a difficult time acknowledging and resolving conflicts. If the relationship is better among group members, there is more pressure to avoid or minimize conflict. Resolving conflicts within the teams, or between teams has become one of the major challenges for many organizations. Conflict is normal to occur in an organization’s work setting. Your interests may differ from the interests of other members working with you, and these differences may cause conflict. The trick is not to avoid conflict

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but to know how to resolve conflict effectively to accomplish the tasks of the team and still maintain the health of the team. Normally, conflicts could occur in a team when disagreements raise on issues such as who will work during bad weather, who will lead the team, how the resources will be allocated, and/or whether tasks are performed according to plan. Some conflicts may occur between a team and other teams. The best way to resolve difference is to understand everyone’s interests, talk about them, and find the best way to meet everyone’s needs. In order to solve the problem of conflict, it is also important to understand the different characters of people working in the team. Attributes such as their personality, the dominant nature that influences his or her behavior, are which the DiSC personal profile preview discussed earlier. For instance, how would you work in a team environment? What would be your reaction to the issues that will come up in a corporate environment? Every team member should know what is his tolerance level is. Once you know what your personality type is, what you expect from your co-workers and the management, then you could try to belong to the teams where conflicts are less and productivity is high. It is important for you to recognize these signs and belong to good highly-performing teams if you want your life to be enjoyable and interesting. You will find that your pursuit of liberty, freedom, and pursuit of happiness is directly influenced by the teams that you belong to in both personal and business life.

APPENDIX: TEAMBUILDING ACTIVITIESx Provided in this section are teambuilding activities that can be used with students. These activities are fun and provide ways for the students to get to know each other and familiarize themselves with the basic skills of collaborative problem solving before being separated into project teams and starting to work on course content. We have used these activities with a variety of students. Most specifically, engineering and business students in the case study curriculum at Auburn University. We have also used them with pharmacy students at Samford University, and Blount Scholarship students at the University of Alabama. These are intended to be a resource to discuss and practice the skills demonstrated by high performing teams. It is worthwhile discussing topics about teams and then practice using the activities so the groups can analyze their behavior and performance as a group, rather than focus on engineering or business content. It also initiates the “forming” process of the group life cycle.

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1 Categories Props: 1 (one only) SIZE: 10-100 Space Required: Large area (In or Out) ORIGIN: Karl Rohnke Time Required: 15-30 minutes Intent: To find commonalties and to get to know each other better. Action: People get together in common categories and then chat. Highlights: This is a great activity for soon after group arrival. Preparation: You will need a whistle for large very noisy groups. You really don't care what groups form under a category, just that people are invited to join a group and have a mutual discussion. Script: This game is about incorporating yourself into a common group and having a short conversation with people you meet there. You may not finish your conversation in the time we have, but these are conversation starters, which I hope you'll pick up on later. In a minute, I'll call out a category like SIBLINGS and you'll have to recall how many of those you have and find everyone else who has the same number as you (Zero can be a group). Or I might call out “Sock Color” and you'll need to get in the group where everyone has the same color socks as you (None can be a group). Once you find your correct membership have a conversation about yourselves. Start with the reason you are there such as what it was like as an only child or why you choose not to wear socks. Then move on to find other things you might have in common with folks. After a while, I'll blow the whistle. We'll see who is in which groups and then we'll try another category. Any questions? GO! VARIATIONS: Ask everyone for their category ideas. Here are some suggestions (remember "none" and "don't know" can be a group). • Wearing: the same jewelry, type of shoes, color of pants / shirt. • Having: the same hair style / length, or color of eyes / hair / nails. • Owning: the same kind of pet, car, computer, cell phone, pager. • Number: of bedrooms / toilets in your home, kids in your family. • Time of the day: that you exercise, shower / bathe, read the paper. • Favorite: type of food, drink, books, movies, music, exercise

2 Entrapment Objective: Place loaded traps in a circle as quickly as possible so that they are positioned like dominoes. Instructions: You will need 4-20 mousetraps. Ask the group to plan for 5 minutes to set and place all the mousetraps so that they overlap each other as shown in the picture. No one can touch a trap until the planning time is over. When a trap is touched the timer starts, when the last trap is placed

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in position and no one is touching any, the timer stops. (Current fastest time for 15 traps is 1 minute 5 seconds.) Variations: Don’t make it a timed event. Just let people position the traps. When the traps are successfully placed, get a Ping-Pong ball and take turns bouncing it inside the circle and to another person until the traps go off. If it is too easy to do one bounce in the circle, challenge them to make the ball bounce twice before the next person catches it (Figures 9 and 10).

Figure 9: Overlapping Mouse Traps

Figure 10: Groups Working on Mouse Traps

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3 Paper Chute Props: 4 sheets of paper Tape 4 paper clips Scissors (optional) Felt tip markers (optional) Stop watch for the facilitator or timer Objective: Design a structure that will free-fall as slowly as possible. Instructions: Construct a contraption that, when dropped 8 feet, will take the longest time to reach the ground. It must free-fall and be self-contained (no strings or other aids attached). You may only use the materials provided. You will have three drops to get the best time. You can drop the same thing all three times or you can use up to three different designs. The person timing your drop will count down, 3, 2, 1, drop! The dropper will need to let go of the apparatus on drop (Figure 11). The timer will start when you let go and will stop when the apparatus first touches the floor. Facilitator Notes: If you have the time, try a best time out of three drops. It gives everyone a chance to make the best of a sophisticated falling device. When people start attempting to defy gravity they may ask very specific questions about the instructions. Here are some of the answers I often give: 1) you cannot bring in any extra materials, but you do not have to use all the materials. 2) No, you cannot lie on the floor and blow air to keep the object up longer; it is a free-fall. 3) Someone from your team can drop the creation, however, it must be dropped, not thrown. Just in case you were wondering how fast an object might fall without any air resistance: (x seconds)2 = (distance falling)/(.5 x 9.8 m/s2) For 8 feet (2.44 meters) the fastest free-fall is .71 seconds. A personal best on this activity is 4.88 seconds. No tricks, no kidding. Variations: Consider prizes or recognition to the device that is most esthetically pleasing or the most interesting. Let people decorate their “thing” and market it to the group. Another variation requires that each team use all the materials you provide.

Figure 11: Student Dropping his model from 8 feet height

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4 Water Towers Props: For each team of 4-6 people 12 ounce (340 g) package of spaghetti per team 1 water balloon approximately 4 inches (10 cm) in diameter 1 roll of masking tape Objective: Build a water tower as high as possible out of spaghetti and tape. Preparation: Carefully fill a balloon with water until it is approximately 4 inches in diameter. Place the props on the floor or on tables so that each team will have plenty of room to begin construction. Instructions: Using only the supplies provided, build the tallest, freestanding, self supporting tower that will support the water balloon at the top. You will have 20 – 35 (you select what works for your situation) minutes to complete the task. Scenario: Many people are unaware that in this part of the country fresh water can be very hard to come by. The water that is available has to be pumped up several hundred feet from the Ersatz Aquifer. Knowing that you all would be here to work on building teams, the “locals” have asked us for your help to design a new water tower for the area. They want us to build a model that meets their building requirements. The tower needs to be as tall as possible to increase the water pressure in the pipes. The model that we are building can use only 12 ounces of dry spaghetti and one roll of masking tape as building materials. The tower must be freestanding and self-supporting. Finally, the tower must support the water for which it is being built. (Show a water balloon.) Great rewards will be given to the team that builds the tallest tower that meets the requirements above. You have 35 minutes to build the tower. Go!!! Facilitator Notes: When we started using these materials for teams to build towers we used only masking tape and spaghetti. The towers would go higher and higher, but rarely, after the time expired, did a tower stand more than 18 inches. It seems that most people built their structures for quick height and little stability. As a result, most towers crumbled to the floor before the end of the activity. We added the water balloon to the supplies to add an extra challenge. It was interesting to discover how differently each small group approached the task. The weight of the balloon caused them to focus on the strength of the structure as well as its height. As a result, every tower stood and was over 3 feet tall! The same dynamic has occurred with subsequent teams. Given a greater challenge, each team created greater results with the same building materials.

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5 Balloon Castles Time: 30 min. - 1 hour Props: Two rolls of transparent tape & 100 balloons for each team of 5-12 people. Objective: Build the tallest free-standing, self-supporting balloon structure possible in 20 minutes. Preparation: Set out 2 rolls of tape in dispensers and count 100 balloons for each team. Be sure to select a space where the ceiling is high enough to accommodate a tall structure. Observations: It is really interesting to watch teams plan and do this activity. The vision of the finished product is often much different from the actual. Many teams jump right in to the solutions and waste time later trying to define the structure and how to organize it. Some of the most effective teams take a designated time up front to decide a plan, make role assignments, and come up with one or two contingencies before they get busy. Too often teams set lofty goals and forget that a solid foundation is required or the whole thing will tumble to the floor. Discoveries about balloons and transparent tape are fun to watch. One common strategy is to blow the balloons to full capacity since each one is taller that way…until they break! Another common design strategy is to build layers that will fit like a puzzle upon the lower layers…too bad the balloons are not a uniform size and shape when they are inflated. The tape causes its own problems since transparent tape can form sharp points that only burst the most critical balloons. The tape can also make one heck of a mess if the participants are not careful where it sticks.

Short Essay Questions 1) What are the important characteristics of high-performing teams? 2) List the different types of teams 3) What kind of team did you notice in Della Steam Plant? Support your decision. 4) When does the team outperform individuals? 5) What are the characteristics of low-performing teams? 6) Is clarity important to achieve the team goals? If yes, explain how it improves the team’s performance. 7) What is a work plan and explain why it is important for today’s team? 8) List the different individual behavior styles measured as per the Personal Profile System. 9) How does an individual impact the team’s performance? 10) List the resources available to create high performing teams. 11) How do you evaluate a team’s performance? 12) What are the strategies to reduce conflicts in teams?

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13) Why is it important to take care of diversity in teams? 14) What are the benefits of teams in a technical workplace? Explain with an example. 15) Briefly explain the demands placed on team’s and team work in today’s world with an example. 16) Explain how to use different tools to improve team performance with an example.

Group Assignment STS 51-L CASE STUDY TEAM-WORKING EXERCISE: Learning Objectives: 1. To identify the performance of teams in a real-world situation and thereby learn how to apply the theories learned to actual situations 2. To come up with suggestions on how to improve team performance in specific situations thereby applying the theories learned to actual situations Materials: Personal Computer with CD-ROM drive, STS 51-L Case Study CD-ROM, written materials, PowerPoint. Assignment Participation: Each student team will examine one of the four given roles and present a report that includes a critical analysis of how the team functioned with supporting data from the CD-ROM. Time: One hour to prepare presentation, then 10 minutes per team to present or submit the PowerPoint presentations Pages to look at in the CD-ROM: 1. Problem Statement 2. A typical shuttle mission 3. Joint Rotation Page (with 4 sub-pages): About SRB, SRM, Discovery of Joint Rotation, About Joint Rotation 4. About the O-ring 5. Flight Readiness Review 6. Impromptu teleconference 7. Full teleconference (with 2 sub-pages): MTI engineers, MTI recommendation 8. Final Launch Decision 9. Glossary of terms used in this exercise Assignment: The class should be divided into four teams to examine the team behavior of MTI engineers, MTI managers, NASA managers, and the whistle blower. Use the health chart to assess the performance of the three teams.

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Team 1: Examine the presentation of MTI engineers as provided in the CD-ROM. Use the health chart to assess the performance of this team • • • •

What stage of group life cycle was this team performing as? Examine how they handled the group conflict. Do you think they had proper interaction, work plan and clarity in team goals? If you represented this team, how would you have improved the performance of this team?

Team 2: Examine the presentation of MTI managers as provided in the CD-ROM. Use the health chart to assess the performance of this team • • • • •

What stage of group life cycle was this team performing as? Did the MTI Management & Engineers work as a high performance team? Did they have balanced participation and effective team meeting in the decision made? What is the source of conflict (PRIDE)? If you represented this team, how would you have improved the performance of this team?

Team 3: Examine the presentation of NASA management team as provided in the CD-ROM. Use the health chart to assess the performance of this team. • • • •

What stage of group life cycle was this team performing as? Examine how they handled the group conflict? Do you think they had proper interaction, work plan and clarity in team goals? Was their leadership of the team appropriate? If you represented this team, how would you have improved the performance of this team?

Team 4: Examine the behavior of the whistle blower, Mr. Roger Boisjoly • • • •

How was he performing in the team? Did he perform as an effective member of a team? If you were Mr. Boisjoly, how would you have performed? What would you have done?

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LORN TEXTILES CASE STUDY TEAM-WORKING EXERCISE: Learning Objectives: 1. To examine the performance of teams 2. To come up with suggestions on how to improve team performance in specific situations Materials: Personal Computer with CD-ROM drive, STS 51-L Case Study CD-ROM, written materials, PowerPoint. Time: One hour to prepare presentation, then 10 minutes per team to present or submit the PowerPoint presentations Pages to look at in the CD-ROM: 1) 2) 3) 4) 5)

Problem Statement Lap Winder Codes and Standards Legal Issues Individual deposition can be found of the main page of the CDROM under the time line of Events. 6) Glossary of Terms Assignment: Plaintiff Team 1: Examine the Case Study and whole deposition provided in the CD-ROM. Assume the role of Jim Russell, Jason Michael, Jeff Ledbetter and Evan Morrison and try to defend the plaintiff: • • • • • •

Do you think there was proper interaction between all the team members? Did this team perform as a high-performing team? Do you think the plaintiff should have used family members of Jim Russell to show the pain and suffering? What are the strong points you see in the deposition to justify plaintiff? Who do you think in this team was more effective in this team and why? If you represented this team, how would you have improved the performance of this team?

Defendant Team 1: Examine the Case Study and whole deposition provided in the CD-ROM. Assume the role of Ross Strutherland, Kristin Willis, Kevin Taylor and Matt Tucker and try to justify the defendant:

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• • • • •

Do you think this team performed as a high-performing team? Who do you think in this team was more effective in this team and why? Should the defendant include other members in their team (for example other maintenance workers) who use safety procedures routinely at the mill? Do you think Kristin Willis was a strong or weak member of the team? Why? If you represented this team, how would you have improved the performance of this team?

Plaintiff Team 2: Examine the Case Study and whole deposition provided in the CD-ROM. Assume the role of Ross Strutherland, Kristin Willis, Kevin Taylor and Matt Tucker and consider all aspects of the problem and try to go against the plaintiff: • • • •

What stage of group life cycle was this team performing as? Who do you think in this team was more effective in this team and why? Do you think Matt Tucker was a strong or weak member of the team? Why? If you represented this team, how would you have improved the performance of this team?

Defendant Team 2: Examine the Case Study and whole deposition provided in the CD-ROM. Assume the role of Jim Russell, Jason Michael, Jeff Ledbetter and Evan Morrison and consider all aspects of the problem and try to go against the defendant: • • • • •

Did this team really perform as a high performing team? Who do you think is the most effective member in this team and why? How did Jeff Ledbetter and Plaintiff’s expert witness (Evan Morrison) work together? Did Jason Michael really help the team in going against the defendant? If you represented this team, how would you have improved the performance of this team?

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SOURCE BOOKS FOR THE ACTIVITIES Sikes, Sam, Feeding the Zircon Gorilla, 1995 Sikes, Sam, Executive Marbles, 1998 Evans, Priest, Sikes, 99 of the Best Corporate Games We Know, 2000

ABOUT THE AUTHOR Glen B. Olson, MAEd., Partner – Learning Unlimited Corp. With four years of corporate training experience as a Regional Training Manager with Kinko's Inc., Glen has trained a variety of topics such as; leadership development, technical training, customer service training, team building and conflict resolution to a variety of executive and front line groups. He has incorporated experiential processes into these diverse training sessions. Glen holds a BA in History from Auburn University and a Master's degree in Curriculum and Instruction from Virginia Tech. Glen brings high energy and enthusiasm to all programs and processes. Learning Unlimited is an innovative leader in the development and delivery of experiential training programs worldwide. Learning Unlimited offers a wide variety of Leadership Development programs using reliable, valid and proven approaches to adult learning. Their experiential programs place people in structured environments designed to accurately reflect situations in the workplace. The decisions participants make during the experience determines the outcome. This powerful “learning laboratory” provides the opportunity to practice new leadership behaviors. There are multiple facets to Learning Unlimited’s products and services including: Structured Training, Meeting Events/Conferences, Leadership Development, Team Building, Train the Trainer programs, and Training Resources. Find them on the web at: www.learningunlimited.com i

This chapter was contributed by Glen B. Olson, MAEd., Learning Unlimited Corp., Tulsa, OK. ii Scholters, Joiner and Barbara J. Streibel, The Team Handbook, Second Edition Oriel Incorporated, 1998. iii Richard Weber: “The Group: A Cycle from Birth to Death.” Reading Book for Human Relations Training. NTL Institute, 1982. iv Schutz, W.C. Here Comes Everybody, New York; Harper & Row, 1971, Tuckman, B.W. Development Sequence in Small Teams. Psychological Bulletin 1965, 63, 284-399, Jon R. Katzenbach and Douglas K. Smith, The Wisdom of Teams: Creating the

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High-Performance Organization © 1993 Bion, W.R. Experiences in Teams, New York; Basic Books, 1961 v Martston, 1928, Emotions of Normal People,. Instrument available at http://www.internalchange.com/disc_profile_store/mall/ProductPage29.asp vi Hornaday, R.W., "Strategies for Using Case Studies," at the SEATEC Forum, Feb. 25, 1999 vii Wulf, W., A., 1988, Diversity in Engineering, Bridge, 28(4): 8-13. viii De Pree, M. 1989, Leadership is an Art, New York: Bentam Doubleday. ix Pellicer, L.O. 2003, Caring Enough to Lead, Thousand Oaks, CA: Corwin Press, Inc. x Sivasailam Thiagarajan and Glen Parker, Teamwork and Teamplay: Games and Activities for Building and Training Teams, Pfeiffer/Jossey-Bass, 1999.

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Engineering Ethics LEARNING GOALS Explain the importance of ethics in solving engineering problems Define engineering ethics Differentiate between Utilitarianism and Kantianism Discuss the codes of ethics formulated by engineering societies Apply Utilitarianism and Kantianism in solving ethical problems Discuss how application of ethical concepts could lead to changes in products and procedures Show how ethical behavior by engineers is critical to the well-being of countries and societies

INTRODUCTION1 Karen White’s hand trembled as she pushed open the door to her manager’s office. It had been only three years since she received her engineering diploma and she felt blessed to be an engineer in P & M, the top car brake manufacturer in the country. She enjoyed her job: her co-workers were nice, she was being paid well, and the work was interesting. However, in the past three years, she had only had one personal conversation with her manager. She wondered what Mr. Jones would say when she told him that she had found a potentially fatal problem in the design of a new car brake that was being sold to a major car manufacturer. Mr. Jones let Karen into the large office and asked her to have a seat. She fidgeted as she nervously began to explain the problem. Soon, she became comfortable with her words and explained the problem and the potentially disastrous situation. When she concluded her presentation, she was surprised to hear her boss say that he knew of the problem. He continued by saying that since the brake would malfunction only in very rare circumstances, the firm would simply ignore the flaw. “You see, Karen, it is not really a very big problem and the probability of

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malfunction is very low. The car manufacturer has not asked us any questions. Just go on with your work. You are new, right? You wouldn’t know, then, that we keep our problems to ourselves in this firm. Our customers want to hear about our success stories and our high quality standards, not our little problems. Those who make a big deal about small problems usually don’t work for us.” Karen left the office very shaken up yet realized that she had to make a decision. Should she risk termination and personally inform the manufacturer of the flaw or should she ignore the problem and continue with her work? Karen has just faced an ethical dilemma. Although few want to be placed in her position, as a member of the professional engineering world, you may also be confronted with a similar situation. Many engineering companies have been sued for product failures, improper design, and copyright violations due to unethical behavior. In order to determine solutions to the various ethical issues that arise in the workplace, it is crucial for every engineer to understand what is considered to be ethical behavior in the engineering profession. The need for this ethical knowledge in professional engineering decisions has led to the development of the field of engineering ethics. This chapter introduces the Lorn Manufacturing case study as a real world connection to the concepts of engineering ethics. As definitions of engineering ethics and of ethical theories such as Kantianism and Utilitarianism are examined, the case of Jim Russell and Lorn Manufacturing will be used to illustrate ideas. In doing so, the concepts learned in this chapter can be better defined through actual events. Finally, we will learn how to use ethical theories to help quantify and solve ethical problems. In this chapter, we define engineering ethics. Then we describe the process by which moral judgments could be arrived at. We then discuss two different ethical codes of conduct: Utilitarianism and Kantianism. We apply these codes of conduct to the scenario provided above and then conclude the chapter by describing the importance of ethics in engineering. We also connect the theories discussed in each section with examples derived from the Lorn case study.

1 ENGINEERING ETHICS DEFINED Engineering ethics can be defined as (1) the activity of solving moral problems by understanding, developing, and justifying moral judgments related to engineering issues and (2) the development of and compliance to currently accepted ethical codes of conduct. It is important to understand the components of this definition before you can fully comprehend the concept of engineering ethics. Let us start by elaborating on the individual terms, moral judgments and ethics, in the first part of the definition.

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1.1: Ethics Defined The following quotes are definitions of ethics from various authors: Webster’s Dictionary: Main Entry: eth-ic Pronunciation: 'e-thik Function: noun 1 plural but singular or plural in construction: the discipline dealing with what is good and bad and with moral duty and obligation 2 a: a set of moral principles or values b: a theory or system of moral values c: the principles of conduct governing an individual or a group d: a guiding philosophy2 J.T. Stevenson: Ethics is concerned with standards for right conduct, with justice and injustice, with virtue and vice, with our duties and rights in a community. It is also concerned with what is good or valuable, what is worth pursuing, what is prudent, rational conduct...3 Carolyn Csongradi: Ethics is a discipline, which attempts to examine and understand ways in which choices are made involving issues of right and wrong.4 Case Western Reserve University Business Ethics: The term "ethics" is used in several different ways. First, it means the study of morals. It is also the name for that branch of philosophy concerned with the nature of morals and moral evaluation e.g., what is right and wrong, virtuous or vicious, and beneficial or harmful (to others).5 Let us clarify these definitions by saying that ethics is concerned with assessing what is right and wrong, good and bad, or just and unjust in situations. Now that we have explained what ethics means, we can better answer the question “What are moral judgements?” Moral judgements are those judgements concerned with standards of right conduct, justice and injustice, virtue and vice, and our duties and rights in a community.

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Real World Connection I: Lorn Manufacturing, Inc.: Overview

Jim Russell, a maintenance worker at WMS Clothing, lost three of the fingers on his left hand (see Figures 1 and 2) during a routine maintenance procedure on a machine called a Lap Winder (see Figure 3). The accident occurred when the Lap Winder he was maintaining suddenly came on. He was suing Lorn Manufacturing Inc., the designers of the Lap Winder, for negligence. This negligence suit involves the Codes of Standards that applied to the design and building of the Lap Winder, the testimony of two expert engineering witnesses on the safety of the Lap Winder, and whether Lorn Manufacturing failed to follow appropriate safety considerations in designing the Lap Winder. The ultimate question to be decided in this case is whether Jim Russell, Lorn Textile Manufacturing, Inc., or WMS Clothing bears the responsibility for this particular injury. The people involved in this case are: • Jim Russell - The Plaintiff • Jason Michaels - Jim Russell's Co-Worker • Ross Strutherland - Jim Russell's Supervisor • Matt Tucker - Lorn Manufacturing's Representative • Kristin Willis - Lorn Manufacturing's V.P. of Personnel • Jeff Ledbetter - The Plaintiff's Lawyer • Dennis Rodriguez- The Defendant's Lawyer • Evan Morrison- Expert Engineering Witness for the Plaintiff • Dr. Kevin Taylor - Expert Engineering Witness for the Defendant

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Figure 1: Homepage of the Lorn CD / website

Figure 2: Example showing what happens when fingers get cut in a machine

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Figure 3: Lap Winder

1.2: Moral Judgments Ethics is the study of morals and moral judgements.6 What are moral judgments? The words moral and ethical have similar meanings: Right Wrong

= =

Moral Immoral

= =

Ethical Unethical

Here are few examples that illustrate these similarities: (1) The right (ethical, moral) thing to do is to return stolen money. (2) It is wrong (immorally, unethically) to rob a bank.7 These two examples are normative statements. Normative ethical statements take a judgmental attitude toward morals in order to guide actions. In the first example, a judgment is being made upon the action of returning stolen money in order to convince the listener to return the money. Descriptive ethical statements are those statements that take a neutral attitude toward morals. For example, a descriptive ethical statement may be “She bribed the official.” The normative ethical statement would be “It was wrong for her to bribe the official.” Aside from moral and immoral, two other concepts are amoral and nonmoral. Amorality describes those people who truly do not know right from wrong. A small child or a mental psychopath could be classified as amoral. Nonmoral is not a moral statement. Nonmoral not equal to immoral.

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Consider these two examples of nonmoral statements: (1) It is right (correct) to say the earth is round. (2) It is wrong (incorrect) to say the earth is flat. Although these statements use the words “right” and “wrong,” they are not ethical or moral judgments since they do not deal with a person, but an abstract entity, “earth.” But, consider the following sentence: Socrates lived during the time of the transition from the height of the Athenian Empire to its decline after its defeat by Sparta and its allies in the Peloponnesian War. At a time when Athens was seeking to recover from humiliating defeat, the Athenian public court was induced by three leading public figures to try Socrates for impiety and for corrupting the youth of Athens. According to Dr. Will Beldam, Socrates was the first person to question everything and everyone, and apparently it offended the leaders of this time. He was found guilty as charged, and sentenced to drink hemlock, which cost him his life8. When considering this statement, your judgment might be that the decision by the courts at that time was either right or wrong. Then you are making a moral statement as the resulting decision impacts the life of a human being. Moral judgments deal with implications of using technology in a social situation rather than the scientific fact or discovery itself. Real World Connection II: Lorn Manufacturing, Inc.

The above section explains the normative and descriptive ethical statements. In a similar manner we can identify normative and descriptive statements in the Lorn Manufacturing, Inc. case study as follows: Let us first look at the conversation between Jim Russell and Dr. John Watwood (West Bend Hospital) on May 11, 1991 (Figure 4). (Complete conversation is available on CD / Website)

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Figure 4: Jim Russell’s account of accident to Dr. John Watwood

Dr. John Watwood: Now before we prep you for surgery, I want you to tell me exactly what happened this morning. This is for your records as well as my own. Believe me, if any law suits come of this incident you will want these statements to be accurate and thorough, so just start at the beginning. Jim Russell: It all seems kinda like a blur in my mind right now, but I'll try and get it all right. Jim Russell: I was performing a standard procedure on the Lap Winder. Every week I gotta open up the head box and grease the gears, chains, sprockets, and stuff. While I was working, the machine came on and I guess my fingers got caught in the chain. (Underlined statement is a descriptive statement.) Dr. John Watwood: Mr. Russell, if you can, I need a little more detail than that. Why don't you describe what's involved in greasing the chains for me?” Jim Russell: All right. Greasing the chain and sprockets is really an easy process. When I get to the machine I tell the operator that I'm about to open up the head box. Before I do anything, I hit the stop button and wait for the machine to come to a complete stop. Dr. John Watwood: When you say you hit the stop button, does that mean that there was no power getting to the machine? Jim Russell: Well, it's not like I unplugged it or cut off all the power to the machine, but somebody would have had to hit the start button to get it running again, Dr. John Watwood: Is this the procedure recommended by WMS Clothing for performing this procedure?

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Jim Russell: Jim thought for a second before answering. “It was the procedure I was taught when I was training so I guess that it is. As I was saying, somebody would have to have hit the start button for the Winder to start up again, and no body was around the machine when it…” (Underlined statement is a normative statement.)

Figure 5: Original supervisor’s accident report

Observe Figure 5 carefully, at right end of the picture, under “Mark contributing cause, if any (x) unsafe acts” the 7th option is cross (x) marked. It says “Cleaning, repairing or adjusting machine in motion – and remark adds: Machine not locked out. The supervisors note indicates a normative statement “Machine not locked out.”

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Chapter 6: Engineering Ethics Lock Out/Tag Out Procedures plays an important role in this problem. These procedures are management tools that can assure worker safety in hazardous areas (Hazardous areas can include the interior of a boiler, a pit in which toxic fumes might be collected, or the area around the main drive shaft on a machine such as a lap winder). The purpose of these procedures is to ensure that there is no way that the machine can accidentally power up while somebody is in a dangerous position.

Pictorial description of the lock out and tag out procedures. LOCK OUT: The placement of a Lock out Device including a padlock on the Energy Isolating Device of a piece of equipment, machinery or system. The placement is done in accordance with the department's established procedure that ensures the energy isolation device and equipment being controlled cannot be operated until the lock out device is removed. Only the Authorized Person who placed the lock on can remove it at the completion of the job. Procedures must include those conditions when personnel other than the Authorized Person can also be affected by accidental release of hazardous energy. An example would be multiple personnel performing work activities in a controlled space (e.g. electrical power has been secured to a work area, equipment, machinery or system). During Lock Outs by multiple personnel, the equipment, machinery or system must remain secured until the last Authorized or Affected personnel has completed his or her work task and has removed his or her lock. TAG OUT: Posting a prominent warning tag with durable string onto the energy isolation device and / or lock out device of the piece of equipment, machinery or system being controlled. This tag documents the Authorized Person taking the equipment out of operation and the date. It is a warning to others that the equipment cannot be put back into operation until the tag and lock have been removed by the Authorized Person. Figure 6: Lock Out/Tag out Procedure

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Now, Let us consider the deposition of Jason Michaels – Jim Russell’s co-worker on April 12, 1995. Dennis Rodriguez is Defendant's Lawyer (complete deposition is available on CD / website)

Figure 6: Deposition of Jason Michaels on the CD-ROM

Dennis Rodriguez: When you are greasing the machine or oiling the machine, don't you have equipment that will allow you to do that without putting your hand on the chain or in the sprocket area, in any of the pinch points? Jason Michaels: Yes, sir. Dennis Rodriguez: Has Jim ever told you why his hand was where it was when he got hurt? Jason Michaels: No, sir. Dennis Rodriguez: Think hard for me. Can you think of any reason his hand would have been where it was caught while he's greasing or oiling this equipment? Jason Michaels: Maybe he was wiping the chain off getting the excess grease or oil off the chain. Sometimes cotton would stick to the grease, and it build up on the chain. That would be the only thing. Dennis Rodriguez: How would you normally get that off? With an air gun, or would you just have to wipe it off with a rag? Jason Michaels: You could do it either way, I guess. Dennis Rodriguez: Have you done that yourself with a rag? Jason Michaels: No, sir. Dennis Rodriguez: How would you get the chain free of excess grease or oil

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or cotton? Jason Michaels: I would probably blow it off with an air gun. (Underlined statement is a normative statement.) Dennis Rodriguez: Do y'all have air guns in this location of the lap-winder? Jason Michaels: Yes, sir. Dennis Rodriguez: Is it all right to use an air gun in this location of a lapwinder? Jason Michaels: Yes, sir. Descriptive Ethical Statement: From the above conversations a descriptive statement would be “Jim Russell cleaned the lap winder with a rag whereas he might have used an air gun.” Normative Ethical Statement: For the scenario a normative statement would be Jason stating that “he would clean the lap winder using an air gun instead of inserting his hand into a machine.”

2 UNDERSTANDING, DEVELOPING, AND JUSTIFYING MORAL JUDGEMENTS Look again at the first part of the engineering ethics definition: “Engineering ethics is the activity of solving moral problems by understanding, developing, and justifying moral judgements related to engineering issues.” Now, we may ask the question: How does one solve moral problems? In order to assess any ethical problem and develop a moral judgment, you must determine which actions are moral and which are immoral. How can anyone decide if an action is moral or immoral? To answer this question, philosophers have developed many different approaches to values to help judge the moral significance of any deed. Two of these approaches, Utilitarianism and Kantianism, can be very useful in understanding and developing moral judgments.

2.1: Ethical Universalism/Utilitarianism Utilitarianism, championed by John Stuart Mill and Jeremy Bentham, is founded upon the principle of utility, which states that the goal of every action is to provide the greatest balance of good (happiness) over bad (unhappiness). It seems evident that this principle is at the core of all actions. Whether choosing clothes, ice cream, employees, colleges, or spouses, people try to choose the option that will create the happiest situation. Mill and Bentham expanded upon the idea of utility by stating that ethical actions are those moral actions that create the greatest amount of happiness. This is very different than many other ethical ideas because its

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guiding principle is equality. Bentham’s dictum states that each person must be counted equally and every person can only count as one unit. Each person is a singular container of satisfaction and every person must be taken into consideration when making an ethical decision. Utilitarianism focuses on the consequences that occur from the actions. Using these ideas, Utilitarianism becomes a quantifiable method of proving ethical behavior. Suppose that there is a room with twenty people, and eighteen people feel that the consequences of murder will bring them unhappiness and two people feel that the consequences of murder will bring them happiness. Each person is a singular container of satisfaction, but every person must be considered together to make the ethical decision. There would be a greater balance of happiness over unhappiness when murder does not take place, and murder would be considered an unethical action in that group. Mill bases many of his societal theories upon Bentham’s dictum. He argues that a wretched worldwide social structure is the reason for unhappiness in the world. Mill believes that the lack of equality due to fame, wealth, and power, creates an unhappy populace. For example, a person may consider a Congressman’s opinion to be a hundred times as important as an average college student’s opinion. According to Mill, if every college student was treated with as much importance as every Congressman, then there would be a much more pleasant social system. The principles of Utilitarianism can be applied to engineering situations where ethical problems arise. Imagine that you have just engineered a multimillion dollar product that would bring large profits to a manufacturing company and a large bonus to you. Unfortunately, the product emits many toxic gases that could severely harm the citizens of a town. Suppose that fifty people own the company and there are a thousand people in the town. You consider the opinion of one of these fifty people to equal 500 citizens’ opinions since you realize that pleasing those 50 people could help you place a down payment on a new house. The citizens will provide you with no direct benefits. However, using Bentham’s dictum, each person must be considered equal regardless of what benefits and interrelations you have with him/her. Fifty-one people would receive happiness from this product and 1000 people would receive unhappiness from the product. Therefore, according to Bentham’s dictum, although you might want the company to market the product, to actually produce the product would be an immoral action since unhappiness outweighs happiness. The major problem with the Utilitarianism view is that it is practically impossible to quantify a large group’s feelings about an event. In most situations, a few people make decisions for a vast number of people. It would be impossible to ask every person’s perceptions about every issue. Therefore, decision-makers guess what other people feel and make decisions in a democratic fashion. Due to this difficulty in measuring feelings, many argue that Utilitarianism is not the best method for judging the morality of an action.

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Real World Connection 3: Lorn Manufacturing, Inc.: Universalism / Utilitarianism:

Bentham’s dictum states that each person must be counted equally and every person can only count as one unit. Each person is a singular container of satisfaction and every person must be taken into consideration when making an ethical decision. When we consider the Lorn Manufacturing, Inc. case study we have learned that Jim Russell suffered a terrible accident during a process to clean up a lap winder machine and lost the ring, long and index fingers on his left hand. We have also learned from previous section, Real World Connection 2 from the depositions and conversations that Jim Russell was not following the lock out / tag out procedure to clean the lap winder machine. Let us look at the deposition of Jason Michaels (Jim’s co-worker) on April 12, 1995 (Figure 7). Question: Think hard for me. Can you think of any reason his hand would have been where it was caught while he's greasing or oiling this equipment? Answer: Maybe he was wiping the chain off getting the excess grease or oil off the chain. Sometimes cotton would stick to the grease, and it build up on the chain. That would be the only thing. Question: How would you normally get that off? With an air gun, or would you just have to wipe it off with a rag? Answer: You could do it either way, I guess. Question: How would you get the chain free of excess grease or oil or cotton? Answer: I would probably blow it off with an air gun. What made Jim Russell put his hands in a dangerous machine? What went through his mind before he actually started cleaning the machine with a rag or a piece of cotton? There could be any number of reasons for Jim Russell’s behavior. Perhaps he felt removing the excess grease by hand would save time. Perhaps he did not see an air gun in his vicinity. Perhaps he was in a hurry to get the job done. Whatever the reason, Jim Russell’s behavior suggests that while he gained personal satisfaction from doing his job well, he did not take into account the risk involved with having his hands in contact with a machine that could power up at any moment.

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Figure 7: Screenshot of Jason Michael’s deposition from the CD-ROM

2.2: Kantianism Immanuel Kant, an 18th century Enlightenment thinker, provides a strikingly different approach to determining ethical behavior. While Utilitarians base their ideas upon the view of humans as containers of satisfaction, Kant views a human as an autonomous being. A human is autonomous if he/she: (1) has the ability to make rational decisions, (2) has the ability to act responsibly, (3) is an agent responsible for an action. An agent is a person that performs an action with full knowledge of a situation, full reasoning ability, the ability to perform the actions involved in the situation, and the ability to act freely. A person would not be an agent in the following situations: (1) A man signs a contract with thieves without knowing that the men are thieves. (2) An infant drops a gun and shoots a man. (3) A man is accused of drowning another man in the middle of a river even though the accused man cannot swim. (4) A man robs a bank because others are pointing a gun at him.

For Kant, this human autonomy is extremely valuable, and human

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autonomy becomes the basis of his categorical imperative. The categorical imperative states that a person should always treat every person as an autonomous being. In other words, Kant argues that the goal of ethics should not be to maximize satisfactions but to allow every person to act as an autonomous agent. Therefore, if you are an autonomous being and you should treat everyone as an autonomous being, you should treat everyone, as you would want to be treated. Kant’s philosophy can be simplified to an elegant version of the rules, “Do to others what you would have them do to you” or “Act only on the rules that you wish to become universal rules.” Look again at the engineering issues discussed in the ethical Universalism / Utilitarianism section. In that section, we decided that it would be unethical to manufacture the multi-million dollar product because there would be consequences that created a greater amount of dissatisfaction than satisfaction. How can we decide if the manufacturing of the product is ethical using Kantianism? As the engineer you must consider every person as an autonomous agent. If the citizens did not have full knowledge about the product, then the citizens are not autonomous agents. You would be using them as a means to reach your own ends. Kant’s categorical imperative argues that you must not ever use any other person as a means to reach your own ends. Therefore, using Kantianism, we must decide that manufacturing the product would be an unethical action. If all the people in the town were aware of the consequences and agreed to manufacture the product in order to obtain jobs, then according to Kantianism, manufacturing the product would be an ethical action. Real World Connection 4: Lorn Manufacturing, Inc.: Kantianism:

According to Immanuel Kant’s definition of an autonomous being we can say Jim Russell is an autonomous being because 1) he had ability to make rational decisions 2) he has ability to act responsibly 3) and he is an agent responsible who had full knowledge of the situation, full reasoning ability and the ability to act freely in that situation. “Jim Russell performed his duty as he had been trained for,” says Evan Morrison (expert engineer witness for the plaintiff) in his deposition on March 4, 1997 (Figure 8).

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Figure 8: Evan Morrison’s deposition from the CD-ROM

Question: I guess the bottom-line is, it was pretty foolish to put his hand where he did, wasn't it? Knowing there wasn't any switch on the door and knowing he hadn't locked out the machine or turned it off? Answer: Based on the facts, no. It was not foolish because at plant four, there were limit switches according to the testimony on the lap-winders and he had been cleaning those according to his father-in-law I believe. I can't recall the gentleman's name. And there were switches on those particular machines but he had obviously been trained on this machine and was relying on training and the manufacturer to have a safe piece of equipment. And he had not been injured on it before and had done the same task before as I understand it. Question: So as you understand it, he was trained on a machine with switches? Answer: No. I understood he had worked on a machine with switches. I did not mean to say that he had trained on one. He had worked on one also. Question: Well, didn't he state in his deposition he knew his machine had no switches? Answer: I think so. That's correct. Question: And he is the maintenance guy for the machine. I know he is not the electrician but he is suppose to know something about the machine before he goes to work on it, isn't he? Answer: He would know something about the machine. I would doubt seriously that maintenance - Well, I know. Maintenance men do not understand the electrical components of a piece of equipment of this type. 283

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The type of maintenance he is in, he is not an electrician. He wouldn't know a limit switch probably from a disconnect switch and wouldn't be expected to know so far as his - as far as the manufacturer or his employer goes. Question: Well, the bottom-line is, you don't think it was foolish for him to put his hand where he did under circumstances? Answer: That's correct. The questions and answers above suggest that Jim performed his duty sincerely and to the best of his ability. He was, after all, willing to attempt to apply extra grease to the chain of the Lap Winder. Even after the accident, WMS Clothing felt that Jim Russell was a valuable asset to the company, and continued to employ him despite his injury. During a deposition that took place seven years after the accident on July 17, 1998, Jim Russell discussed his continuing relationship with WMS Clothing (Figure 9). Question: Will you tell me where you're employed now. Answer: Plant D at WMS. Question: And that's the same plant you were working when you were injured? Answer: Yes, sir. Question: And what's your present position? Answer: PM card technician. Question: Okay. And is that a maintenance technician similar to what you were before but just on a different machine? Answer: Yes, sir. Question: All right. And what's your current salary? Answer: I believe it's eleven twenty-eight. Question: Okay. Is that what all the other card technicians are making? Answer: Yes, sir. Question: Approximately, it's in the wage scale? Answer: Yes, sir. Question: Okay. Is that what lap winder maintenance technicians are making, too; do you know? Answer: I believe so. Question: Okay. Now, have your benefits changed at all from WMS, or do you have the same benefits you had basically before the injury? Answer: Are you talking about the same as the other technicians? Question: Yes, exactly, the same as the other technicians. Answer: About the same as other technicians.

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Figure 9: Jim Russell’s deposition seven years after the accident.

From the above deposition it is evident that WMS clothing has taken good care of Jim Russell. They employed him and paid him the same salary and perks as he used to receive before losing his fingers in the accident. Jim Russell’s sincerity and honesty towards his duty earned him the respect of his employer. WMS Clothing, in return, treated Jim as a valuable asset even after his injury. It can be said, therefore, that both Jim Russell and WMS Clothing acted ethically according to Kantianism.

2.3: Solving Moral Problems Knowing all this, we may now answer our initial question: How can one solve moral problems? Moral problems are solved by developing moral judgements upon an action and choosing the best action. We know how to develop moral judgements about situations using both Utilitarianism and Kantianism. Using Utilitarianism, the most ethical action would be the action that creates the greatest amount of satisfaction over dissatisfaction. Using Kantianism, the most ethical action would be the action that treats all people as autonomous agents. To solve a moral problem, one must decide which is the most ethical action using approaches such as these. For many people, guidance on solving moral problems comes from a more personal source: their religion. Each religion; be it Christian, Islam, Judaism, or some other faith; teaches its followers moral guidelines that can be

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used to help solve moral problems. It should be noted that both Kantianism and Utilitarianism can be used in conjunction with most religious principles. After all, the main ideas behind both theories have similarities with ideas found in religious texts. When dealing with moral problems, having multiple sources from which to analyze potential solutions can be quite beneficial. The process of understanding, developing, and justifying moral judgements can be tedious, especially when a large number of people are involved. For this reason, many organizations have developed ethical codes of conduct that guide people to act ethically in their professions. These ethical codes are based upon the philosophical approaches such as the ones that we have just studied. We will now look at the development of these ethical codes of conduct and their usefulness as we examine the second part of the definition of engineering ethics.

3 ETHICAL CODES OF CONDUCT Let us look at the definition of engineering ethics: “Engineering ethics is the development of and compliance to currently accepted engineering ethical codes of conduct.” Ethical codes of conduct, or moral codes, are simply compilations of ethical actions that act as guides to our lives. For example, the individual ethical actions “Help your neighbor,” “Do not kill people,” and “Do not steal” may be collected in one moral code to help guide a person to live an ethical life. Each individual ethical action in a moral code could be justified using the Utilitarian or Kantian approach. Moral codes describe the ethical actions that we should be able to find through our intuitive use of these approaches. Engineering codes of ethics are based upon general codes of ethics. The engineering codes of ethics are simply compilations of ethical actions that act as a guide to professional life. Every moral rule in these codes could be justified using the Utilitarian or Kantian approach. Every engineering code of ethics leaves room for an engineer to make virtuous choices within his profession while instructing the engineer in the most ethical actions and procedures. It is critical that all engineers comply with the various accepted codes. Although most of the different engineering codes have similar ideals, nearly every major engineering association has its own code. In this chapter, we shall look mainly at the National Society of Professional Engineers (NSPE) Code of Ethics (Appendix 1).

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Real World Connection 5: Lorn Manufacturing, Inc.

Working conditions have not always been good. During the Industrial Revolution and post-Industrial Revolution period’s people were often injured and killed in work related accidents. Eventually the Federal Government created OSHA (Occupational safety and health administration) to alleviate this problem. According to OSHA's website (http://www.osha.gov), their mission is to "ensure safe and healthful workplaces in America.” They do this by the creation of Codes and Standards that employers are required to follow by federal law. ANSI (American National Standards Institute) is another organization that has been set up to ensure safety in the workplace. They are a non-profit organization that has the mission to "enhance both the global competitiveness of U.S. businesses and the U.S. quality of life...” ANSI (http://www.ansi.org) does not develop standards themselves. They work to make sure that various standard makers in the United States "establish consensus standards.” From the Deposition of Dr. Kevin Taylor: Question: What are the OSHA Standards? Answer: OSHA Standards are the regulations put out by the federal government that regulate the use of - safe use of equipment in manufacturing operations. Question: What is ANSI? Answer: It's a nonprofit organization that develops standards that regulate lots of different things. I shouldn't use the word regulate really, that apply to a lot of different pieces of equipment, but not - I don't know whether its totally relative to equipment. I suspect there are - There are testing procedures specified by ANSI. But they develop consensus standards. Jim Russell could not bring suit against WMS since they met all of their compensatory obligations. If he had not received medical assistance or worker compensation, he might have brought suit against WMS Clothing. Instead, Jim brought suit against the manufacturer of the device, Lorn Manufacturing. This is a civil claim, which means that it is an action to enforce the rights or redress the wrongs of an individual. In a lawsuit such as this one, it is possible that the plaintiff could be awarded as much as $400,000. These damages could include physical damages, emotional

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damages, and mental damages. The issue of negligence is tied to the application of codes and standards involved in this case. The applicable codes of standards in this case are: • • •

OSHA 29 CFR 1910.147. – Logging out and tagging out OSHA 29 CFR 1910.217. – Machine guarding ANSI B11.19-1990

4 APPLYING CODES OF ENGINEERING ETHICS TO PROBLEM Now that we have introduced the concepts of moral judgements and codes of ethics, let us now apply them to Karen’s ethical problem first discussed at the beginning of the chapter: Karen White’s hand trembled as she pushed open the door to her manager’s office. It had been only three years since she received her engineering diploma and she felt blessed to be an engineer in P & M, the top car brake manufacturer in the country. She enjoyed her job: her co-workers were nice, she was being paid well, and the work was interesting. However, in the past three years she had only had one personal confrontation with her manager. She wondered what Mr. Jones would say when she told him that she had found a potentially fatal problem in the design of a new car brake that was being sold to a major car manufacturer. Mr. Jones let Karen into the large office and asked her to have a seat. She fidgeted as she nervously began to explain the problem. Soon, she became comfortable with her words and explained the problem and the potentially disastrous situation. When she concluded her presentation, she was surprised to hear her boss say that he knew of the problem. He continued by saying that since the brake would malfunction only in very rare circumstances, the firm would simply ignore the flaw. “You see, Karen, it is not really a very big problem and the probability of malfunction is very low. The car manufacturer has not asked us any questions. Just go on with your work. You are new, right? You wouldn’t know, then, that we keep our problems to ourselves in this firm. Our customers want to hear about our success stories and our high quality standards, not our little problems. Those who make a big deal about small problems usually don’t work for us.” Karen left the office very shaken up yet realized that she had to make a decision. Should she risk termination and personally inform the car manufacturer of the flaw or should she ignore the problem and continue with her work? We can apply the NSPE code of ethics, Utilitarianism, and Kantianism to solve this moral dilemma.

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4.1: Application of NSPE Code of Ethics Karen could solve this problem by just applying the NSPE Code of Ethics to her situation. If Karen did not inform the car manufacturer of the brake flaw, she would be violating the following ethical guidelines: NSPE II.1:

Hold paramount the safety, health, and welfare of the public.

NSPE II.1.a: If engineers’ judgment is overruled under circumstances that endanger life or property, they shall notify their employer or client and such other authority as may be appropriate. NSPE II.4:

Engineers shall act for each employer or client as faithful agents or trustees.

Since Karen would be violating a large number of ethical guidelines by not informing the manufacturer, the ethical action must be to inform the manufacturer of the flaw. Therefore, by applying the code of ethics to her situation, Karen should decide to inform the manufacturer of the flaw since it is the most ethical action. Real World Connection 6: Lorn Manufacturing, Inc.

The discussion in this case study is whether the lap winder met the ANSI and OSHA standards or not? We now, look at the depositions of Evan Morrison and Dr. Kevin Taylor. • •

Evan Morrison (Expert Engineering witness for the plaintiff i.e., Jim Russell) Dr. Kevin Taylor (Expert Engineering witness for the defendant i.e., Lorn Manufacturing Inc,)

From the deposition of Evan Morrison: Question: Does OSHA currently have any provisions that deal with lockout procedures in textile mills or similar types of manufacturing plants? Answer: Yes, sir. Question: Generally do you understand what those provisions provide? Answer: Yes, sir. Question: Tell me what they provide generally. Answer: The OSHA requirements for lockout/tagout procedures say generally that an individual will lockout a piece of equipment or any piece of

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machinery whether it be a boiler, a piece of textile machinery or anything that an individual is going to do maintenance on and tag it out with – He puts his lock on it. And if there’s more than one person on it, the other individual will put their lock on it. If there’s a supervisor on it, the supervisor will lock his lock on it along with the other locks. Nobody can remove the specific lock that and individual has placed on it except him except under special provisions and those go all the way to the safety director of the operation. But OSHA requires that the lockout/tagout that each individual use a separate lock, separate key. No one has a key but him. The supervisor locks out on top of all that. The supervisor cannot remove your lock or my lock or his lock. The supervisor can only remove his lock and then I go and remove my lock and you remove yours and whoever else has worked on the piece of equipment removes their locks. And then the machinery could be put back in operation. Question: How long – Answer: There is a tagout. I’m sorry. Let me – The tagout procedure is that a tag then goes on the door or where the locks are located so that it shows that it’s locked out and tagged out. Question: On your Defendant’s Exhibit 1 – Do you have a copy in front of you? Answer: Yes, sir. Question: Page two, first paragraph, you cite E6.1. That is part of what? Answer: That’s an explanation of 6.1. If you read 6.1 under engineering control requirements, that is verbatim from the standard ANSI L1.1, 1981. And E6.1 is the explanation by the committee that promulgated the standard and put the standard together. So E is just simply explanation. And you will see that – For instance, under seven, you will see E7.5.1. That’s the explanation by the people who wrote the standard. Question: Okay. As I read the explanation of 6.1 of ANSI L1.1 – Answer: Yes, sir. Question: -- it states that rotating part hazards should be eliminated and such protection may also involve special safety interlocks and emergency devices. Answer: Yes, sir. Evan Morrison testifies that it is important to have safety interlocks and emergency devices on the lap winder. An example of a safety interlock is a limit switch (Figure 10). From his statement, it can be inferred that the design team at Lorn Manufacturing did not design the equipment to hold paramount the safety of the maintenance personnel (NSPE II.1.)

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From Dr. Kevin Taylor’s deposition: Question: In your letter on paragraph one of the second page, the attorneys for Lorn Manufacturing have disclosed that it is expected that your opinions will be as follows: paragraph number one says, the Lorn Manufacturing lap winder was not unreasonably dangerous. Is that your opinion today? Answer: True. Question: All right. If you would state for me the fact or reason that leads you to the conclusion that the lap winder which injured Mr. Russell was not unreasonably dangerous. Answer: From my readings of the OSHA standards, the lap winder met all the requirements. Question: What are the OSHA standards? Answer: OSHA standards are the regulations put out by the federal government which regulate the use of - safe use of equipment in manufacturing operations. Question: Okay. What is your understanding as to the requirements of the first, the OSHA standards regarding the operation or maintenance of the equipment with moving parts such as chains or guards - excuse me, chains or sprockets, gears, such as that? Answer: OSHA requires that you have appropriate guards and that you have a method to lock out and tag out the device. Question: Okay. And that's found in Section 1910? Answer: 1910, right. Question: All right. Answer: Yes. It's in OSHA standards. I believe its 1910. There are different sections in 1910. Question: Well, there are different subsections. Answer: Yes. Question: That's right. Do you know specifically - Did you mark the subsections that you read? Answer: I believe one of them is 147 and the other one, I believe, is 219 if my memory is right. Question: Paragraph number two says the Lorn Manufacturing lap winder was not defective. Do you still agree with that opinion? Answer: Yes. Question: If you would, tell me reason, fact, or detail on which you relied to formulate that opinion. Answer: Basically I saw noth-- First of all, in reading about the accident and all the people that testified, I saw no evidence that any defect happened. Question: All right. Anything else? Answer: I saw no testimony that would give any explanation or description of any defect in those depositions. Question: Anything else?

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Answer: In discussing the operation of the equipment with the people who run it now, they also said there have been no defects in the way it has operated since that time, which is some - what - six or seven years. Question: Is it reasonable for a manufacturer of a machine such as the lap winder that injured Mr. Russell to assume that the industry to whom its selling this machine, the lap winder, will in fact have a lock-out and tag-out procedure? Answer: As I've testified, the standard doesn't relate directly to the manufacturer, but it is the employer's responsibility, according to the OSHA standard, to have the lock-out procedure and the tag-out. And the manufacturer's obligation is to provide the equipment that will allow the employer to carry out the procedure. And it's my opinion that the manufacturer did just that. Kevin Taylor states that he does not feel that Lorn Manufacturing designed a machine that was not unreasonably dangerous. He believes that the WMS Clothing did not train its maintenance employees tag-out lock-out procedures to ensure their safety and health. Therefore, we see an example where two engineers interpret the standards differently thereby coming up with differing interpretation on whether the Lap Winder was designed safely or not. LIMIT SWITCH: A switch which sets limits on operating parameters, i.e. shuts a system down due to some condition is known as a Limit Switch. They are a very common feature in most homes. They are used to turn lights on and off, make toast, turn on a computer, and more. In many situations, people often do not even realize that they are using switches. These switches all work in a similar manner. When the switch is opened a circuit is either opened or closed. When you flip a light switch and the lights in a room turn off, you are actually opening a switch and stopping the flow of electrons in the circuit.

4.2: Application of Utilitarianism

Figure 10: Limit Switch Switch

Let us try to solve the “Karen White” problem by applying the concepts of Utilitarianism. With Utilitarianism, every person must be considered equally and under no circumstances can any person be treated more importantly than any other person. This includes Karen, herself. Karen cannot consider her problems to be more important than the problems of a stranger. Since Utilitarianism tries to quantify moral issues, we will look at several scenarios of the same situation.

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Scenario 1 Let us assume that 100 people work for the engineering firm and 800 people work for the car manufacturer. One million cars are sold and it is estimated that the brake will fail in 1 out of every 10,000 cars. Let us now weigh the different options to decide which option will create a greater balance of happiness over unhappiness. Positive numbers will show happiness and negative numbers will show unhappiness. (1) Ignore the Problem and Continue Working: Benefit / Not Beneficial + Benefits Karen since she will not lose her job + Benefits the others in P&M (Can’t include Karen again) + Benefits the car manufacturer because they won’t have delays - Will not benefit the people who have failed cars. (1/10,000 * 1 million) Total

Amount of People +1 + 99 + 800 – 100

800

(2) Inform Manufacturer About Problem Benefit / Not Beneficial

Amount of People

– Will not benefit Karen since she may lose her job – May not benefit employees of W&M – May not benefit car manufacturer + Will benefit people who won't have failed cars

–1 – 99 – 800 + 100

Total

– 800

From these figures we can conclude that the ethical action would be not to inform the manufacturer about the problems since 800 more people would become unhappy.

Scenario 2 In the second scenario, let us assume that the only change is that engineers now estimate that 1 out of every 1,000 cars have their brakes fail because of the faulty design. In this case, we have the following figures:

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(1) Ignore the Problem and Continue Working: Benefit / Not Beneficial – Benefits Karen since she will not lose her job – Benefits the others in P&M – Benefits the car manufacturer because they won’t have delays – Will not benefit the people who have failed cars. (-1/1000 * 1 million) Total

Amount of People +1 + 99 + 800 – 1000

– 100

(2) Inform Manufacturer About Problem Benefit / Not Beneficial – Will not benefit Karen since she may lose her job – May not benefit employees of W&M – May not benefit car manufacturer + Will benefit people who won't have failed cars Total

Amount of People –1 – 99 – 800 + 1000 + 100

The ethical action in this scenario would be to inform the manufacturer since 100 more people would benefit from that action.

Scenario 3 In the third scenario, let us assume that the only change is that engineers now estimate that 1 out of every 1,000,000 cars have their brakes fail because of the faulty design. In this case, we have the following figures: (1) Ignore the Problem and Continue Working: Benefit / Not Beneficial – Benefits Karen since she will not lose her job – Benefits the others in P&M – Benefits the car manufacturer because they won’t have delays – Will not benefit the people who have failed cars. (-1/1 million * 1 million) Total

Amount of People +1 + 99 + 800 –1

899

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(2) Inform Manufacturer About Problem Benefit / Not Beneficial

Amount of People

– Will not benefit Karen since she may lose her job – May not benefit employees of W&M – May not benefit car manufacturer + Will benefit people who won't have failed cars

–1 – 99 – 800 +1

Total

– 899

An ethical action in this scenario would be not to inform the manufacturer since 899 more people would benefit. Karen has to agree with her manager that this is a minor problem that need not be reported to the manufacturer and public.

Comparison Each of these three scenarios offers different solutions. Scenario 2 suggests that Karen should inform the manufacturer of the flaw while Scenarios 1 and 3 recommends that Karen not inform the manufacturer. Unlike the ethical codes that gave one clear answer for every scenario, Utilitarianism offers different answers depending upon the scenario. If we use Utilitarianism without knowledge of the probabilities, it is unclear if Karen should inform the manufacturer of the flaw. Estimating the probabilities becomes the major issue in using this theory. Karen as an engineer has to answer the question: how serious is the design flaw in the new car brake? At the end, she has to make an ethical decision on whether to inform the car manufacturer, tell the public, or keep quiet.

Real World Scenario 1: Let us compare the above scenario to the Lorn case study. Let us assume the workers in WMS clothing has detected that the lap winders did not have a limit switch even though that option was available from the manufacturers. There will be two scenarios for this situation 1) to continue working in the firm without informing the authorities about the problem and 2) to inform the authorities about the problem and refuse to work on the machine until the limit switch is installed. Let us assume that 100 people work for the WMS Clothing section where the lap winder is located and Jim Russell is one of the 10 maintenance workers. When an accident happens, work stops and the people in the lap winder section don’t have jobs to do for a week. There are 400 others at

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WMS Clothing who work at other sections of the plant. Let us now consider different options to decide which option will create a greater balance of happiness over unhappiness. Positive numbers will show happiness and negative numbers will show unhappiness. (1) Ignore the Problem and Continue Working: Benefit / Not Beneficial

Amount of People

+ Benefits the WMS clothing workers, other than those in the Lap winder section. – Will not benefit Jim Russell and other maintenance workers – Will not benefit other workers in Lap winder section

+ 400

Total

+ 290

– 10 – 100

(2) Inform Lorn Manufacturer about Problem and refuse to work until limit switch is installed Benefit / Not Beneficial

Amount of People

+ Jim and other maintenance workers will benefit. Since they can work safely + Will benefit workers in Lap winder section – Will not benefit other workers

+ 10 + 100 – 400

Total

– 290

From these figures we can conclude that the ethical action would be to ignore the problem since 290 more people would become unhappy. Real World Scenario 2 Let us assume that 600 people work for the WMS Clothing section where the lap winder is located and Jim Russell is one of the 10 maintenance workers. When an accident happens, work stops and the people in the lap winder section don’t have jobs to do for a week. There are 400 others at WMS Clothing who work at other sections of the plant. In this case, we have the following figures:

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(1) Ignore the Problem and Continue Working on the lap winder: Benefit / Not Beneficial

Amount of People

+ Benefits the WMS clothing workers, other than those in the Lap winder section. – Will not benefit Jim Russell and other maintenance workers – Will not benefit other workers in Lap winder section

+ 400

Total

– 210

– 10 – 600

(2) Inform Lorn Manufacturing Inc, about Problem and refuse to work on it until limit switch is installed: Benefit / Not Beneficial

Amount of People

+ Will benefit other workers in Lap winder section + Will benefit Jim Russell and other maintenance workers – Will not benefit other workers in the plant

+ 600 + 10

Total

+ 210

– 400

The ethical action in this scenario would be to inform the manufacturer and refuse to work until the limit switch is installed since 210 more people would benefit from that action. Real World Scenario Comparison: In the above real world scenarios we have different conclusions for each scenario. From the first scenario we conclude that the ethical action would be to ignore the problem since 290 more people would be unhappy. In the second scenario the conclusion is to inform the manufacturer and refuse to work until the limit switch is installed since 210 more people would benefit from that action. We can conclude from this comparison that use of Utilitarianism principles to the Lorn Case Study leads to different recommendations. The maintenance workers will lose under both scenarios, but they are a much smaller group and therefore the decision is influenced by the larger group who will be impacted by the installation or lack of installation of the limit switch. The conclusions are similar to those that we face as citizens in a democracy where many policies are decided to benefit the majority of the people.

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4.3: Application of Kantianism If we apply Kantianism to Karen White’s situation, we must focus on individual autonomy and not the final consequences of her actions. If Karen does not inform the manufacturer of her knowledge of the flaw, the manufacturer would not have full knowledge of the situation when installing the brakes into their cars. In other words, the manufacturer would not be a fully autonomous agent. Since Kantianism argues that everyone in a situation must be a fully autonomous agent for the action to be ethical, this would not be an ethical action. Unlike Utilitarianism, Kantianism gives one definite answer and does not allow room for exceptions in different scenarios. If Karen informs the car manufacturer against her boss's advice, the car manufacturer might choose to ignore Karen's recommendation. Then Karen has to deal with the ethical dilemma: should I make a public statement? Even then, the public might ignore her warning. If she has informed all potential users and they ignore her warning, then Karen has performed ethically using Kantianism.

Real World Scenario: Kantianism: Real World Connection to the Lorn case study

If everybody who maintains the lap winder machine is told of the potential problem and they choose to work on it, then there is no moral issue according to Kantianism. If even one of the maintenance workers believes it is an unsafe machine and needs to be fixed, then the moral action will be to fix the machine. This example illustrates why when we download software, many companies ask us to click on a statement stating that we understand the risks involved in installing the software in our computer. Once we click on the statement, by the Kantianism principle, we cannot hold the software manufacturer to be liable for any damage caused to the computer. Similarly, WMS Clothing can institute a policy asking all of its maintenance workers to sign a statement agreeing to maintain the machines given the current conditions and if the workers signed with full knowledge about the machine, then using Kantianism principles, the company will be using appropriate ethical principles.

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5 DISCREPANCIES IN ETHICAL ANALYSIS As we have seen in Karen White’s case, different ethical approaches result in different solutions. Usually, it is best and simplest to follow the rules given in codes of ethics. However, in many instances, codes of ethics may not give enough information to fully analyze a situation. In these scenarios, it is wise to use Utilitarianism or Kantianism to achieve a solution. In Karen’s case, our Kantian and Utilitarian analyses resulted in different solutions due to the different scenarios. This illustrates the difficulty in determining truly moral actions since there often is not a definite line that says that one thing is “wrong” or “right.” To complicate matters more, ethical values vary across national boundaries and cultures. For example, some countries do not consider copyright as an individual right whereas other countries guarantee the right to an individual / organization. In some countries, legal documents define the contract, and engineers are often advised to “put all design details in writing” in order to protect one's interest. In other countries, verbal agreements carry a significantly greater weight than legal documents, so engineering design details are not documented extensively. These disparities may allow a company to ethically adopt different manufacturing standards throughout the world. In this section, we have established a guideline for solving moral problems. However, the manager or engineer must make the final decision based upon the circumstances surrounding an individual event.

Real World Scenario: Many companies such as WMS Clothing have now outsourced their manufacturing operations to other countries due to availability of cheap labor. Textile production in the U.S. has decreased significantly over the past 10 years. Table 1 provides information about companies that have moved their operations off-shore during the 1990s from the U.S. The profitability of these companies has decreased significantly since the introduction of NAFTA and many of them are struggling to survive. An important ethical question in this context is whether in the countries to which manufacturing has shifted, is safety of workers considered equally important as that in the U.S.? Have the companies compromised on their ethical requirements? These are important questions for you to ponder about.

299

Owned/ Contract facilities

Effect of NAFTA on operations

Future Trends

57%

Contract

Relatively no effect

Customized products and low-cost basic products

Liz Claiborne Inc

Apparel, accessorie s and fragrances

Fruit of the Loom

Casual wear

238

1994

80%

Gap Inc

Casual apparel

31,519

1985

73%

Contract

Active wear

85%

Positive effect on earnings

21,982

1979

30%

Owned

WMS Clothing

1995

Much lower profit margins on sales Profit margins suffered considerab ly

Consistent earnings stream

15,437

1985

60%

Contract

Nike Inc

Personal and household items Footwear and Athletic Apparel

2,057

1995

Negative effect on earnings

510

1996

40%

Both

Sara Lee Corp

3,678

Contract

VF Corp

Intimate apparel

Contract

% of business Offshore

Year Moved offshore

Market Cap(mil)

Products

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Lower profit margins

Dramatic shift from in-house staff to contractors Increase advertising and lower capital spending Targeting other global Markets Marketing premium brands overseas Focusing on brand extension and diversification Transition to consumer marketing company

Table 1: Comparison of Companies in Apparel Industry

6 THE IMPORTANCE OF ETHICS IN ENGINEERING The example in the earlier section shows that making an ethical engineering decision is difficult. It will become more difficult as engineering and sciences change the modes of life drastically in the future. The value judgments made in the work force not only impact the profitability and reputation of your company but also directly affects your reputation and character. Faching (1993) dramatically illustrates the importance of good ethical judgement in all engineering situations with his dark warning of a heartless bureaucratic civilization:

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Our modern technological civilization offers us seemingly infinite utopian opportunities to recreate ourselves (e.g., genetic engineering, behavioral engineering) and our societies (social engineering) and our world (chemical engineering, atomic engineering). But having transcended all limits and all norms, we seem bereft of a normative vision to govern the use of our utopian techniques. This normlessness threatens us with demonic selfdestruction. It is this dark side of technical civilization that was revealed to us not only at Auschwitz but also at Hiroshima. The heart of a bureaucratic social order is the secularization of professional roles within the bureaucratic structure such that technical experts completely identify themselves with their roles as experts in the use of techniques while totally surrendering the question of what those technical skills will be used for to the expertise of those above them in the bureaucratic hierarchy. Thus whereas technological production gives persons a sense of creativity and potency and even self-transcendence as one overcomes obstacles and realizes a goal, bureaucracy creates just the opposite; namely, a sense of impotency, helplessness, and the necessity to conform to a reality so real, massive, and all pervasive that “nothing can be changed.” The result is a social structure that separates ends from means and deciders from actors, relegating all decisions to “higher levels.” Such a social structure prepares the way for the demonic, preventing ethical questions from ever arising even as it creates bureaucratic individuals who feel no personal responsibility for their actions. The presence of theonomous (i.e., self-transcending) holy communities (both religious and secular), including technical and professional societies, who surrender to the genuine questions of their discipline and resist the monolithic incursion of the technobureaucratic political myths, is absolutely essential to the sustaining the dignity of human life. In the work force, you will be faced with ethical decisions that may change many lives. Taking responsibility for one’s own actions is the key to making true moral decisions. If all professionals take this responsibility to act ethically in the work place, engineering and technology will not only sustain but could enhance the dignity of human life.

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7 SUMMARY This chapter defines engineering ethics and explores some ways that engineers can solve moral issues, using Utilitarianism, Kantianism, and codes of ethics. The appendix contains an example of a code of ethics that should be studied to understand what a professional society expects of its members. The appendix also provides references to code of ethics for different fields in engineering. These codes should be helpful to you as you make decisions in your job. The results of the decisions will impact you, your division, company, and the public. This chapter also includes opinions about ethics and its importance in the engineering profession. As future engineers in a changing world, it is critical that you understand the necessity for ethical actions in the work place, and have the ability to extrapolate how ethical decisions can affect others.

SHORT ESSAY QUESTIONS 1) 2) 3) 4) 5) 6) 7) 8) 9)

Define ethics. Define engineering ethics. What are moral judgements? What are the fundamentals of Utilitarianism? What are the fundamentals of Kantianism? What is a moral code? Give a few examples of engineering codes of ethics. Give the fundamental canons of the NSPE Code of Ethics. Can you defend the theory that every person should be treated equally? For example, should one living happy person be equal to the death of one person? Or should the death of a person be equal to the happiness of 20 people? 10) Some soldiers in the Iraq war complained to the Secretary of the Department of Defense that proper security armor were not installed on the Humvees leading to avoidable casualties of American soldiers. Discuss the ethical issues involved in this section both from the perspective of the manufacturer of the Humvees and the individual solider9. 11) In your own words describe any real world situation and give the normative and descriptive statements from that situation? 12) What do you understand from Lock out and Tag out procedures? 13) What is a Limit Switch and how is it connected to the present case study explain? 14) What is a lap winder used for? (hint: refer CD) 15) Design a scenario as described in section 4.2 and assume 50 out of every 10,000 lap winders are manufactured without a limit switch? and give the

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conclusion of your design?

STUDENT ASSIGNMENT You are in charge of an independent lab that tests residential manufactured fireplaces. The standards prescribed by the Underwriters Laboratories (UL) required the tester to place different brands into the fireplace and monitor the temperature. The fire has to be held for about 30 minutes and the fireplace could not exceed the set temperature for it pass. These temperature tests were done to assure UL that a fire could be lit inside a house and the house would not catch on fire. These tests are more demanding than the typical homeowner's usage of the manufactured fireplace in order to assure a high factor of safety. It is possible to make a fireplace pass the test by Underwriters Laboratories by adapting a few “tricks.” These tricks were: a) Move the brand toward the front of the fireplace, a little bit, thereby reducing the temperatures. b) Place the brand very gently and do not drop it. Then the fire burns a lot longer and the heat gets released over a longer period of time. Analyze the manufactured fireplace case study using Utilitarianism. Your two options are: 1) A fireplace passes by tweaking the tests. The fireplace would not have passed if a complete stranger had run it through the test. 2) A fireplace passes without tweaking the tests. The fireplace would have passed if a complete stranger had run it through the test. Remember that there is a high margin of safety built into the tests. Use different figures to achieve your answer. 1. Analyze the manufacturing fireplace case study using Kantianism. Use the same two options in Problem 5. 2. Analyze the manufacturing fireplace case study using codes of ethics. Use the same two options in Problem 5. 3. Using your analysis in Problem 5, Problem 7, and Problem 11 make a decision about the system used to test manufacturing fireplaces. Are the standards good standards or should they be more precise? Is there such a thing as too much precision? Or should the engineers take it upon themselves not to take advantage of the imprecision of the standards?

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GROUP ASSIGNMENT STS 51-L CASE STUDY ETHICS EXERCISE Learning Objectives: To show the importance of ethics in decision making, and in solving real-world problems Materials: Personal computer with CD-ROM drive, STS 51-L Case Study CD-ROM, Written materials, PowerPoint. Assignment Participation: Each student team will examine one of the three given roles and present a report that includes the importance and role of ethics in solving real-world problems. Time: One hour to prepare presentation, then 10 minutes per team to present or submit the PowerPoint presentation. Pages to look at in the CD-ROM: 1. Problem Statement 2. A typical shuttle mission 3. Joint Rotation Page (with 4 sub-pages): About SRB, SRM, Discovery of Joint Rotation, About Joint Rotation 4. About the O-ring 5. Flight Readiness Review 6. Impromptu teleconference 7. Full teleconference (with 2 sub-pages): MTI engineers, MTI recommendation 8. Final Launch Decision 9. Glossary of terms used in this exercise Team 1: Representing Bob Lund (VP of Engineering at MTI), Jerald Mason (Senior VP of MTI), Joe Kilminster (VP of Space Booster Program at Morton Thiokol, Inc. (MTI)). • • •

Discuss whether the decision of the managers at MTI was ethical in recommending the launch of the Challenger? Did these managers consider either Utilitarianism or Kantianism in their decisions? What would you have done if you represented management? Will you have followed Utilitarianism or Kantianism? Why?

Team 2: Representing Roger Boisjoly, Thompson and Robert Ebeling (Engineer’s at MTI) • •

Discuss whether their decision not to recommend launch of the shuttle was ethical. Do you think these engineers should have responded when Mueller asked everyone’s decision on the launch of the space shuttle? 304

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• •

Is it appropriate that one of the engineers became a whistle blower? If you have represented the engineering team, will you agree with Mulloy and Mueller’s decision to launch? What ethical considerations will be considered by you? Explain.

Team 3: Representing Lawrence Mulloy (Marshall Space Center Project Manager) and Mueller (NASA Administrator). • • •

Discuss whether their decision to recommend launch of the shuttle was ethical. Do you think that the Management team should have informed the astronauts about the discussions between the engineers and managers before the launch of the space shuttle? If you represented this team, what decision will you make? Will you follow Utilitarianism or Kantianism? Why?

DELLA CASE STUDY ETHICS EXERCISE: Learning Objectives: To show the importance of ethics in decision making, and in solving real-world problems Materials: Personal computer with CD-ROM drive, Della Case Study CDROM, Written materials, PowerPoint. Assignment Participation: Each student team will examine one of the three given roles and present a report that includes the importance and role of ethics in solving real-world problems. Time: One hour to prepare presentation, then 10 minutes per team to present or submit the PowerPoint presentation. Pages to look at in the CD-ROM: 1) Problem Statement 2) Lucy’s Recommendation 3) Steve’s Recommendation 4) Maintenance 5) Della President’s Mandate 6) Sam Tower’s Dilemma 7) Glossary of Terms Team 1: After observing the vibration levels from the Shaft-Rider Probes installed by Lucy Stone’s Company • •

Considering the ethical issues do you think Lucy was correct with her decision to shut down the Turbine Generator? Did she follow Kantianism or Utilitarianism? Explain.

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If you have represented her, what decision would you have made? Will you follow Kantianism or Utilitarianism? Why? Team2: Considering the ten years of experience of Steve and observing the frequency and speed plots used by Steve in his recommendation • •

Do you think Steve was ethically right with his recommendation to restart the Turbine Generator immediately? Did he follow Kantianism or Utilitarianism? Explain.

If you have represented him, what decision would you have made? Will you follow Kantianism or Utilitarianism? Why? Team 3: Assume the role of Sam Towers, the plant manager, and decide between the two recommendations considering the Ethical Issues. •

Explain clearly with which recommendation you go with and also explain the approach used to make a decision (Utilitarianism or Kantianism). Why?

GLOSSARY Amoral: not knowing right from wrong (ethical from unethical) Bentham’s dictum: each person must be counted equally and every person can only count as one unit Categorical Imperative: Immanuel Kant’s theory that you must treat every person as an autonomous being; this is the foundation for his ethical doctrine Descriptive statements: these statements that take a neutral attitude toward morals Engineering ethics: (1) the activity of understanding, resolving, and justifying moral judgments related to engineering issues and (2) the development of and compliance to currently accepted ethical codes of conduct Ethical: right, moral in certain situations Ethics: the study of morals and moral judgments Immoral: wrong, unethical in certain situations Kantianism: ethical doctrine that is founded on the categorical imperative Moral: right, ethical in certain situations

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Moral Codes: compilations of ethical actions that act as guides to our lives Nonethical: not moral judgments and have a right or wrong answer Nonmoral: not ethical judgments and have a right or wrong answer Normative ethics/statements: take a judgmental attitude toward morals in order to guide actions Principle of utility: goal of every action is the greatest balance of happiness over unhappiness Right: moral and ethical in certain situations; correct in nonmoral situations Unethical: wrong, immoral in certain situations Utilitarianism: ethical doctrine founded upon principle of utility Whistleblowing: a person in a lower position who attempts to stop a higher authority’s immoral actions Wrong: immoral, unethical in certain situations; incorrect in nonmoral situations

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APPENDIX 1: PROFESSIONAL ENGINEERING CODES OF ETHICS Appendix 1: NSPE Code of Ethics for Engineers10 Preamble Engineering is an important and learned profession. As members of this profession, engineers are expected to exhibit the highest standards of honesty and integrity. Engineering has a direct and vital impact on the quality of life for all people. Accordingly, the services provided by engineers require honesty, impartiality, fairness and equity, and must be dedicated to the protection of the public health, safety, and welfare. Engineers must perform under a standard of professional behavior that requires adherence to the highest principles of ethical conduct. I. Fundamental Canons Engineers, in the fulfillment of their professional duties, shall: 1. 2. 3. 4. 5. 6.

Hold paramount the safety, health and welfare of the public. Perform services only in areas of their competence. Issue public statements only in an objective and truthful manner. Act for each employer or client as faithful agents or trustees. Avoid deceptive acts. Conduct themselves honorably, responsibly, ethically, and lawfully so as to enhance the honor, reputation, and usefulness of the profession.

II. Rules of Practice 1. Engineers shall hold paramount the safety, health, and welfare of the public. a. If engineers' judgment is overruled under circumstances that endanger life or property, they shall notify their employer or client and such other authority as may be appropriate. b. Engineers shall approve only those engineering documents that are in conformity with applicable standards. c. Engineers shall not reveal facts, data or information without the prior consent of the client or employer except as authorized or required by law or this Code. d. Engineers shall not permit the use of their name or associate in business ventures with any person or firm that they believe is engaged in fraudulent or dishonest enterprise.

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e. Engineers having knowledge of any alleged violation of this Code shall report thereon to appropriate professional bodies and, when relevant, also to public authorities, and cooperate with the proper authorities in furnishing such information or assistance as may be required. 2. Engineers shall perform services only in the areas of their competence. a. Engineers shall undertake assignments only when qualified by education or experience in the specific technical fields involved. b. Engineers shall not affix their signatures to any plans or documents dealing with subject matter in which they lack competence, nor to any plan or document not prepared under their direction and control. c. Engineers may accept assignments and assume responsibility for coordination of an entire project and sign and seal the engineering documents for the entire project, provided that each technical segment is signed and sealed only by the qualified engineers who prepared the segment. 3. Engineers shall issue public statements only in an objective and truthful manner. a. Engineers shall be objective and truthful in professional reports, statements, or testimony. They shall include all relevant and pertinent information in such reports, statements, or testimony, which should bear the date indicating when it was current. b. Engineers may express publicly technical opinions that are founded upon knowledge of the facts and competence in the subject matter. c. Engineers shall issue no statements, criticisms, or arguments on technical matters that are inspired or paid for by interested parties, unless they have prefaced their comments by explicitly identifying the interested parties on whose behalf they are speaking and by revealing the existence of any interest the engineers may have in the matters. 4. Engineers shall act for each employer or client as faithful agents or trustees. a. Engineers shall disclose all known or potential conflicts of interest that could influence or appear to influence their judgment or the quality of their services. b. Engineers shall not accept compensation, financial or otherwise, from more than one party for services on the same project, or for services pertaining to the same project, unless the circumstances are fully disclosed and agreed to by all interested parties. c. Engineers shall not solicit or accept financial or other valuable

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consideration, directly or indirectly, from outside agents in connection with the work for which they are responsible. d. Engineers in public service as members, advisors, or employees of a governmental or quasi-governmental body or department shall not participate in decisions with respect to services solicited or provided by them or their organizations in private or public engineering practice. e. Engineers shall not solicit or accept a contract from a governmental body on which a principal or officer of their organization serves as a member. 5. Engineers shall avoid deceptive acts. a. Engineers shall not falsify their qualifications or permit misrepresentation of their or their associates' qualifications. They shall not misrepresent or exaggerate their responsibility in or for the subject matter of prior assignments. Brochures or other presentations incident to the solicitation of employment shall not misrepresent pertinent facts concerning employers, employees, associates, joint venturers, or past accomplishments. b. Engineers shall not offer, give, solicit or receive, either directly or indirectly, any contribution to influence the award of a contract by public authority, or which may be reasonably construed by the public as having the effect of intent to influencing the awarding of a contract. They shall not offer any gift or other valuable consideration in order to secure work. They shall not pay a commission, percentage, or brokerage fee in order to secure work, except to a bona fide employee or bona fide established commercial or marketing agencies retained by them. III. Professional Obligations 1. Engineers shall be guided in all their relations by the highest standards of honesty and integrity. a. Engineers shall acknowledge their errors and shall not distort or alter the facts. b. Engineers shall advise their clients or employers when they believe a project will not be successful. c. Engineers shall not accept outside employment to the detriment of their regular work or interest. Before accepting any outside engineering employment they will notify their employers. d. Engineers shall not attempt to attract an engineer from another employer by false or misleading pretenses.

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e. Engineers shall not actively participate in strikes, picket lines, or other collective coercive action. f. Engineers shall not promote their own interest at the expense of the dignity and integrity of the profession. 2. Engineers shall at all times strive to serve the public interest. a. Engineers shall seek opportunities to participate in civic affairs; career guidance for youths; and work for the advancement of the safety, health and well-being of their community. b. Engineers shall not complete, sign, or seal plans and/or specifications that are not in conformity with applicable engineering standards. If the client or employer insists on such unprofessional conduct, they shall notify the proper authorities and withdraw from further service on the project. c. Engineers shall endeavor to extend public knowledge and appreciation of engineering and its achievements. 3. Engineers shall avoid all conduct or practice that deceives the public. a. Engineers shall avoid the use of statements containing a material misrepresentation of fact or omitting a material fact. b. Consistent with the foregoing, Engineers may advertise for recruitment of personnel. c. Consistent with the foregoing, Engineers may prepare articles for the lay or technical press, but such articles shall not imply credit to the author for work performed by others. 4. Engineers shall not disclose, without consent, confidential information concerning the business affairs or technical processes of any present or former client or employer, or public body on which they serve. a. Engineers shall not, without the consent of all interested parties, promote or arrange for new employment or practice in connection with a specific project for which the Engineer has gained particular and specialized knowledge. b. Engineers shall not, without the consent of all interested parties, participate in or represent an adversary interest in connection with a specific project or proceeding in which the Engineer has gained particular specialized knowledge on behalf of a former client or employer. 5. Engineers shall not be influenced in their professional duties by conflicting interests.

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a. Engineers shall not accept financial or other considerations, including free engineering designs, from material or equipment suppliers for specifying their product. b. Engineers shall not accept commissions or allowances, directly or indirectly, from contractors or other parties dealing with clients or employers of the Engineer in connection with work for which the Engineer is responsible. 6. Engineers shall not attempt to obtain employment or advancement or professional engagements by untruthfully criticizing other engineers, or by other improper or questionable methods. a. Engineers shall not request, propose, or accept a commission on a contingent basis under circumstances in which their judgment may be compromised. b. Engineers in salaried positions shall accept part-time engineering work only to the extent consistent with policies of the employer and in accordance with ethical considerations. c. Engineers shall not, without consent, use equipment, supplies, laboratory, or office facilities of an employer to carry on outside private practice. 7. Engineers shall not attempt to injure, maliciously or falsely, directly or indirectly, the professional reputation, prospects, practice, or employment of other engineers. Engineers who believe others are guilty of unethical or illegal practice shall present such information to the proper authority for action. a. Engineers in private practice shall not review the work of another engineer for the same client, except with the knowledge of such engineer, or unless the connection of such engineer with the work has been terminated. b. Engineers in governmental, industrial, or educational employ are entitled to review and evaluate the work of other engineers when so required by their employment duties. c. Engineers in sales or industrial employ are entitled to make engineering comparisons of represented products with products of other suppliers. 8. Engineers shall accept personal responsibility for their professional activities, provided, however, that Engineers may seek indemnification for services arising out of their practice for other than gross negligence, where the Engineer's interests cannot otherwise be protected.

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a. Engineers shall conform to state registration laws in the practice of engineering. b. Engineers shall not use association with a nonengineer, a corporation, or partnership as a "cloak" for unethical acts. 9. Engineers shall give credit for engineering work to those to whom credit is due, and will recognize the proprietary interests of others. a. Engineers shall, whenever possible, name the person or persons who may be individually responsible for designs, inventions, writings, or other accomplishments. b. Engineers using designs supplied by a client recognize that the designs remain the property of the client and may not be duplicated by the Engineer for others without express permission. c. Engineers, before undertaking work for others in connection with which the Engineer may make improvements, plans, designs, inventions, or other records that may justify copyrights or patents, should enter into a positive agreement regarding ownership. d. Engineers' designs, data, records, and notes referring exclusively to an employer's work are the employer's property. Employer should indemnify the Engineer for use of the information for any purpose other than the original purpose. As Revised July 1996

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REFERENCES Fasching, D.J. The Ethical Challenge of Auschwitz and Hiroshima: Apocalypse or Utopia? State University of New York Press, Albany, NY, 1993. Fleddermann, C.B. and Fleddermann, C.B., Engineering Ethics, Prentice-Hall, Inc., 1999. Frankena, W.K. Ethics, 2nd ed. Englewood Cliffs, N.J.: Prentice-Hall, Inc., 1973. Johnson, D.G., ed. Ethical Issues in Engineering. Englewood, N.J.: PrenticeHall, Inc., 1991. Harris, C.E., Jr., Davis,M., Pritchard, M.S., and Rabins, M.J. “Engineering Ethics: What? Why? How? And When?” Journal of Engineering Education, April 1996, pp. 93-96. Herkert, J.R., " ABET’s Engineering Criteria 2000 and Engineering Ethics: Where Do We Go From Here?," International Conference on Ethics in Engineering and Computer Science, Case Western Reserve University, 1999. Martin, M. W., and Schinzinger, R. Ethics in Engineering. New York: McGraw-Hill, 1996. Pinkus, R.L.B. (Editor), Shuman, L., and Hummon, N.P. Engineering Ethics: Balancing Cost, Schedule, and Risk– Lessons Learned From the Space Shuttle. New York: Cambridge University Press, 1997. Schlossberger, E. The Ethical Engineer. Philadelphia: Temple University Press, 1993. Stevenson, J.T. Engineering Ethics: Practices and Principles. Toronto: Canadian Scholars’ Press, 1987. Wells, P., Hardy J., and Davis, M., Conflicts of Interest in Engineering, Dubuque, Iowa: Kendall/Hunt Publishing Company, 1986. Whitbeck, C. and Flowers, W.C., Ethics in Engineering Practice and Research, Cambridge University Press, 1998. Velasquez, M., Andre,C., Shanks, S.J., and Meyer, M.J. “Thinking Ethically: A Framework for Moral Decision Making” Issues in Ethics.

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http://www.scu.edu/Ethics/practicing/decision/thinking.shtml. 17 May 1998.

CODES OF ETHICS AIAA Code of Ethics. Online. AAIA. Available: http://www.aiaa.org/information/ethics.html. 14 May 1998. ASCE Code of Ethics. Online. WWW Ethics Center. Available: http://www.cwru.edu/affil/wwwethics/codes/ASCEcode.html. 14 May 1998. ASME Code of Ethics. Online. ASMENet. Available: http://www.asme.org/asme/policies/p15-7.html. 14 May 1998. IEEE Code of Ethics. Online. WWW Ethics Center. Available: http://www.cwru.edu/affil/wwwethics/codes/IEEEcode.html. 14 May 1998. IIE Engineering Code of Ethics. Online. IIE. Available: http://www.iienet.org/code_of_ethics.htm. 14 May 1998. NSPE Code of Ethics for Engineers: Engineer’s Creed. Online. NSPE Online. Available: http://www.nspe.org/eh-home.htm. 14 May 1998. NSPE Code of Ethics for Engineers. Online. NSPE Online. Available: http://www.nspe.org/eh1-code.htm. 14 May 1998.

1

The material in this chapter was originally created by Akila McConnell. http://www.m-w.com/cgi-bin/dictionary 3 ibid, p. 58 4 http://www.gene.com/ae/21st/SER/BE/definitions.html 5 http://www.cwru.edu/affil/wwwethics/glossary.html 6 ibid. p. 51. 7 J.T. Stevenson. Engineering Ethics: Practices and Principles. (Toronto: Canadian Scholars’ Press, 1987): 50-51 8 http://en.wikipedia.org/wiki/Socrates, 2005. 9 http://www.globalsecurity.org/org/news/2004/041210-secret-program2.htm, 2005. 10 http://www.nspe.org/eh1-code.htm 2

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