ASCE Manuals and Reports on Engineering Practice No. 116 Navigation Engineering Practice and Ethical Standards A Task Committee of the Waterways and Navigation Engineering Committees of the Coasts, Oceans, Ports, and Rivers Institute of the American Society of Civil Engineers Edited by William H. McAnally, Ph.D., P.E. 1 Alexander Bell DriveReston, Virginia 2 Library of Congress Cataloging-in-Publication Data Navigation engineering practice and ethical standards / edited by William H. McAnally. p. cm. — (ASCE manuals and reports on engineering practice ; no. 116) Includes bibliographical references and index. ISBN 978-0-7844-0992-3 1. Hydraulic engineering—Moral and ethical aspects. 2. United States. Army. Corps of Engineers. 3. Hydraulic engineering—United States. 4. Channels (Hydraulic engineering) 5. Hydraulic structures. 6. Engineering design—United States. I. McAnally, William H. TC423.N355 2008 627.0973-—c22 2008036680 Published by American Society of Civil Engineers 1801 Alexander Bell Drive Reston, Virginia 20191 www.pubs.asce.org Any statements expressed in these materials are those of the individual authors and do not necessarily represent the views of ASCE, which takes no responsibility for any statement made herein. No reference made in this publication to any specific method, product, process, or service constitutes or implies an endorsement, recommendation, or warranty thereof by ASCE. The materials are for general information only and do not represent a standard of ASCE, nor are they intended as a reference in purchase specifications, contracts, regulations, statutes, or any other legal document. 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A reprint order form can be found at http://pubs.asce.org/support/reprints/. Copyright © 2009 by the American Society of Civil Engineers. All Rights Reserved. ISBN 13: 978-0-7844-0992-3 Manufactured in the United States of America. 16 15 14 13 12 11 10 09 1 2 3 4 5 PREFACE This manual was produced by a Task Committee of the Waterways Committee and Navigation Engineering Committee of the Coasts, Oceans, Ports, and Rivers Institute, American Society of Civil Engineers. Members of the Task Committee and authors of this manual are: • William H. McAnally, Ph.D., P.E., F.ASCE, Associate Professor of Civil and Environmental Engineering at Mississippi State University, teaches and performs research in navigation engineering. Primary author of Chapter 7 and editor of this volume. • Bruce L. McCartney, P.E., M.ASCE, U.S. Army Corps of Engineers, retired. Committee Chairman and primary author of Chapters 3, 4, 5, 6, 9, and 10. • Charles C. Calhoun, Jr., P.E., F.ASCE, Consultant, Retired Deputy Director of the Corps’s Coastal and Hydraulics Laboratory, con- ducts leadership and ethics programs for private and public sector organizations, including ASCE. Primary author of Chapter 2. • Michael D. Cox, M.COPRI, Chief, Lock and Dam Section, Illinois Waterway Project Office, U.S. Army Corps of Engineers, Rock Island District. Primary author of Chapter 8. • Thomas J. Pokrefke, MSCE, P.E., M.ASCE, Consultant, Hydraulic Engineer. Primary author of Chapter 11. The authors express their appreciation to the reviewers of this Manual, who included: Thomas W. Wakeman, Center for Maritime Systems, Stevens Institute of Technology; Nicholas Pansic, MWH Natural Resources, Industry & Infrastructure; Dennis O. Norris, U.S. Army Corps of Engineers; Gregory Johnson, Bergmann Associates; Robert Engler, Moffat & Nichol; Eric Christensen, U.S. Coast Guard; Mark Lindgren, U.S. Army Corps of Engineers; Jim Blanchar, U.S. Army Corps of Engineers; Stephen A. Curtis, Tetra Tech EC, Inc.; Billy Edge, Texas A & M University; Michael F. Garrett, URS Corporation; David P. Devine, University of Notre Dame; Norma ix x PREFACE Jean Mattei, University of New Orleans; and Ryan C. Murphy, Michels Corporation. We thank the U.S. Army Corps of Engineers, the U.S. Coast Guard, and the National Oceanic and Atmospheric Administration for use of their excellent publications and graphics, which are used extensively in this manual, and Carol A. McAnally for her editorial reviews. CONTENTS PREFACE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ix INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 1.1 Background and Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 1.2 Navigation Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 1.3 Navigation Engineering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 1.4 Organization of the Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 2 ENGINEERING ETHICS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 2.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 2.2 Engineering Codes of Ethics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 2.3 Ethics and Engineering Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 2.4 Other Codes of Ethics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 3 DESIGN PHILOSOPHY AND GOALS . . . . . . . . . . . . . . . . . . . . 11 3.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 3.2 Designing for Safety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 3.3 Corps of Engineers Design Guidance . . . . . . . . . . . . . . . . . . . . . . . 12 3.4 ASCE Design Guidance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 3.5 PIANC Design Guidance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 3.6 Ethical Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 4 DESIGN CONDITIONS AND ASSUMPTIONS . . . . . . . . . . . 17 4.1 Design Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 4.2 Design Assumptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 4.3 Risk Assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 4.4 Ethical Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 v vi CONTENTS 5 CRITERIA FOR DESIGN OF PROJECT FEATURES . . . . . . . . 21 5.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 5.2 Channels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22 5.3 Dams, Including Spillways and Powerhouses . . . . . . . . . . . . . . . 22 5.4 Locks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 5.5 Small Boat Harbors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 5.6 Jetties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 5.6 Ethical Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29 6 DESIGN PROCESS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 6.1 Design Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 6.2 Design of Small Boat Harbors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 6.3 Design of Ship Channels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 6.4 Design of Approach Channels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33 6.5 Design of Breakwaters and Closure Dams . . . . . . . . . . . . . . . . . . 34 6.6 Design of Locks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36 6.7 Independent Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36 6.8 Design Deficiency Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36 6.9 12 Actions for Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37 6.10 Ethical Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38 7 SUSTAINABLE DEVELOPMENT . . . . . . . . . . . . . . . . . . . . . . . . 41 7.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41 7.2 Evolution of Design Criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42 7.3 Design and Operation Criteria for Sustainability . . . . . . . . . . . . . 43 7.4 Example of Ethical Considerations . . . . . . . . . . . . . . . . . . . . . . . . . 45 8 CORPS OF ENGINEERS MANAGEMENT OF WATERWAYS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49 8.1 Operations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49 8.2 Planning Efforts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50 8.3 Operations and Maintenance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52 8.4 Chronological Standard Operating Procedure for O&M . . . . . . 52 8.5 Development of an Emergency Response Plan . . . . . . . . . . . . . . 54 8.6 Coordination Efforts with Users . . . . . . . . . . . . . . . . . . . . . . . . . . . 56 8.7 Coordination Efforts with Other Sites . . . . . . . . . . . . . . . . . . . . . . 57 8.8 Weekly Safety Meetings and Status Reports . . . . . . . . . . . . . . . . . 57 8.9 Ongoing Inspection during Operations, Preventive Maintenance, and Repair Work . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58 8.10 Annual Site Inspections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59 CONTENTS vii 8.11 Maintaining, Revising, and Updating Maintenance Records . . . 60 8.12 Periodic Inspections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60 8.13 Staff Inspection and Staff Assistance Visits . . . . . . . . . . . . . . . . . . 61 8.14 Development of a Long-Term Maintenance Plan . . . . . . . . . . . . . 61 8.15 Development and Revising the Backlog of Maintenance or Capital Improvement Needs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63 8.16 Ethical Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63 9 U.S. COAST GUARD CONTRIBUTIONS TO WATERWAYS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67 9.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67 9.2 Maritime Mobility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68 9.3 Maritime Safety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71 9.4 Maritime Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75 9.5 National Defense . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77 9.6 Protection of Natural Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . 77 10 NOAA CONTRIBUTIONS TO WATERWAYS . . . . . . . . . . . . . 81 10.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81 10.2 Nautical Charts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81 10.3 Tides and Currents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82 10.4 Currents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83 10.5 Global Positioning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84 10.6 Coast Pilot . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84 10.7 Ports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85 10.8 Marine and Coastal Weather Services . . . . . . . . . . . . . . . . . . . . . . 86 10.9 Ethical Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86 11 TOOLS TO ENSURE SAFE DESIGN AND OPERATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87 11.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87 11.2 Standard and Accepted Computations . . . . . . . . . . . . . . . . . . . . . 88 11.3 Physical Model Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88 11.4 Numerical Model Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90 11.5 Vessel Simulation Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92 11.6 Field Evaluation Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93 11.7 Tiered Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93 11.8 Risk Assessment and Uncertainty . . . . . . . . . . . . . . . . . . . . . . . . . . 94 11.9 Ethical Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95 viii CONTENTS 12 CONCLUSIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97 REFERENCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99 APPENDIX: ASCE Code of Ethics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .103 INDEX . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .109 CHAPTER 1 INTRODUCTION 1.1 BACKGROUND AND PURPOSE 1.1.1 Background By Congressional decree, the U.S. Army Corps of Engineers was given authority and funds to build and maintain inland waterways for naviga- tion, ship channels for ocean-going vessels, and numerous small boat har- bors. In the past, ethical considerations for navigation project design crite- ria were self-contained knowledge within the Corps design community. The design philosophy and design criteria were often verbally passed from senior engineers to junior engineers. The few criteria that existed were scattered throughout several Engineer Manuals and Regulations. ASCE Manual No. 50, Report on Small Craft Harbors (1969), was the first attempt to consolidate some of the Corps’s navigation criteria for small boat harbors. Consolidation of criteria for inland barge navigation systems and deep-draft ship channels was undertaken by the Corps in the 1970s. This effort resulted in the publication of Layout and Design of Shal- low Draft Waterways, EM 1110-2-1611 (1980), and Hydraulic Design of Deep Draft Navigation Projects, EM 1110-2-1613 (1983). Until recently, the Corps was the exclusive designer and maintainer of navigation channels in the United States. However, with the current move to contract out design and privatize many government missions, there has emerged a private sector audience that can benefit from past experi- ence and lessons learned. Unfortunately, in the 1980s and 1990s there was a government-wide initiative to reduce federal regulations. The Corps manuals were vulnera- ble to this purge. The ASCE Waterways Committee was aware of the potential loss of this valuable design information and undertook a preser- vation mission. 1 2 NAVIGATION ENGINEERING PRACTICE AND ETHICAL STANDARDS This Ethics Manual, along with ASCE Manuals No. 94, Inland Naviga- tion: Locks, Dams, and Channels (McCartney et al. 1995), and No. 107, Ship Channel Design and Operation (McCartney et al. 2005), presents not only Corps navigation design practice and experience, but also foreign country practice and activities of other U.S. agencies with navigation missions. This Manual is intended to be a reference to explain the ethical roots of navigation engineering criteria. The target audience includes beginning engineers in the Corps, private sector engineers in the United States and overseas, other U.S. government agencies involved with navigation, and university students pursuing navigation-related studies. 1.1.2 Purpose The purpose of this Manual is to present engineering criteria and prac- tices for design, operation, and management of navigation projects, and demonstrate how those criteria and practices are interwoven with engi- neering ethics. The levee failures during Hurricane Katrina (2005) raised many ques- tions, including engineering criteria suitability, level of protection deci- sions, and risk assessment. Although levees are generally considered an element of a flood control project, the same questions arise in navigation projects. These Katrina-related questions point out the need to explain the origin of design, the design process to consider criteria and risk, and project operation needed to achieve the design goals. They also clearly point to a need for ethical decision-making at every level. During the design process, pressures to reduce cost can threaten safety, efficiency, and reliability. This Manual supports adherence to sound criteria by showing how engineering ethics is interwoven into navigation project design and operation to achieve the objective of public safety. This Man- ual differs somewhat from the usual “how-to-do-it” format by including a “why-we-do-it” aspect, which includes an historic perspective on cri- teria development. 1.2 NAVIGATION PROJECTS Navigation projects provide for waterborne transport of people and goods—by ships, barges, ferries, and other vessels. They consist of ports, harbors, channels, locks, and related facilities, and they constitute vital links in the U.S. Marine Transportation System—a collection of people, facilities, organizations, and equipment that work together to move peo- ple and goods from origin to destination using waterborne carriers for at least one component of the journey. Navigation projects include channels for ships, barges, and other watercraft. For the purposes of this Manual, they also include the water