Code of Conduct for Professionals in Civil Engineering

PROFESSIONAL PRACTICE: TERM PAPER ON CODE OF CONDUCT FOR PROFESSIONALS IN CIVIL ENGINEERING P a g e | 1

RAHUL N.SOMPURA (UC2905), SCHOOL OF BUILDING SCIENCE & TECHNOLOGY, CEPT UNIVERSITY, AHMEDABAD

Introduction Ethics has been defined as a set of moral principles governing the conduct for an individual or group. Morals are concerned with goodness or badness of human character or behavior, or with the distinction between right and wrong, or concerned with accepted rules and standards of human behavior. However, ethics is not just about recognizing an objective good. It comprises a study of thought, language, reasoning, processes and judgement that informs the choices people make in their daily lives that affect their own well-being and that of others. It is now commonly recognized that the general concepts of ethics are applicable in business, on the grounds that businesses exist not solely for the benefit of certain individuals, but because business serves society in general, and in addition, meets collective and individual needs. The cause of ethical failure in organizations can often be traced to their organizational culture and the failure on the part of the leadership to actively promote ethical practices. Experts posed the question as to what sort of professional culture promotes ethical behavior, and how it can be implemented or improved upon within any given environment. This question is particularly relevant to the ethical standards of professional consultants in the construction industry. American Society of Civil Engineers presented four vantage points for viewing engineering ethics (professional codes of ethics, business and business ethics, social impact of technology on society, and personal commitment and meaning) and argued that each of these four vantage points yields insight and complements the others. He noted that since engineers have moved from exclusively providing technical expertise in design, into more management oriented responsibility, tensions have arisen between business values and the professional standards of engineers. The two should be reconciled.

Forms of unethical behavior Research has shown that most unethical behavior in the construction industry takes the form of unfair conduct, negligence, conflict of interest, collusive tendering, fraud

and bribery. Furthermore, in terms of professional conduct, it has been identified that the majority of professionals believe that obligations between the client and public are of equal importance. Unfair conduct Unfair conduct may occur in competition (unfair competition), in contracts (unfair contract terms), in staff promotion/dismissal/demotion (unfair labor practices) and in business practice (unfair business practice).

• Little or no ability to negotiate terms of the contract (pro forma ‘take it or leave it’ contracts are used).

• Inadequate disclosure of relevant and important commercial information which the weaker party should be aware of before entering the transaction.

• Inadequate and unclear disclosure of important terms of the contract, particularly those which weighted against the weaker party.

• The dominant parties seek to vary the nature of a long-term relationship so that it is more favorable to them but which affects the viability of the weaker party.

• When disputes do arise there is often no quick, cheap and market-sensitive way of settling them and, even where such interventions do exist, there is reluctance by weaker parties to access any remedial action through fear of reprisal.

In a survey conducted by USA, the experts combined unfairness with dishonesty. It could be argued that dishonesty constitutes illegal behavior and is thus more appropriately linked to fraud. Instances quoted as being ‘unfair’ include actions by government agencies, such as ‘biased tendering evaluation systems, the process of re-tendering and shopping for prices after tenders have closed’, as well ‘making it difficult for private businesses to compete’. Other instances relate to difficulties experienced with consultants’ professional fees, such as ‘nonpayment of consultants’ fees by clients and developers after engaging consultants’. The latter type of complaint is easy to prevent if consultants employ defensive contractual strategies, thereby helping to

Code of Conduct for Professionals in Civil Engineering Rahul N.Sompura, Student, School of Building Science & Technology, CEPT University, Ahmedabad

ABSTRACTA professional code of conduct is the standard adopted by professionals to govern their own professional conduct. It provides a framework for the professional's ethical judgment. The code simply reiterates principles and standards that constitute accepted and responsible practices, which define the roles and obligations of design professionals. The following term paper tries to articulate the ways in which moral and ethical principles apply to unique situations encountered in professional practice. It indicates to others that the profession is seriously concerned about responsible and professional conduct.

Keywords: Ethics, Code of Conduct, American Society of Civil Engineers, Unethical Behavior



distinguish between business practices that are ‘unfair’ and those that are illegal. Professional competence comprises efficiency (in doing a task economically), sufficiency (in providing a full service to a client) and capacity (which is the ability or capability to undertake the commission). In contrast, negligence is the want of proper care, and also the omission of such duty of care for the interests of others as the law of delict may require. Negligence is also defined as ‘lack of proper care and attention; or carelessness’. Professionally, this would be the failure to exercise the degree of care considered reasonably warranted by the circumstances, resulting in an unintended injury to another party. To be negligent, the professional must have had the ability to be competent, but has disregarded the crucial importance of exercising this ability. The negligent professional disregards the course of action which is in the client’s best interests. A survey carried out by the ASCE for the ethical conducts in the construction industry revealed startling anomalies. The survey shows instances of dishonesty and unfairness identified by the respondents, with the circumstances in which these were committed. The responses derive from individual survey respondents. Architects believe that contractors are not always honest in abiding by contractual specifications, and that they commonly used cheaper, inferior alternatives. Contractors believe that the tender adjudication process is unfair, and that professionals act with bias when pressured by clients. The latter perception is supported by the responding consulting engineers who similarly commented on unfair tender procedures—in their case predominantly public sector related. Quantity surveyors believed that contractors repeatedly over-claimed and that clients pressurized consultants to make savings on projects or cut their fees. The survey highlights situations where dishonesty and unfairness have been witnessed, covering most areas of construction activities and processes including those related to:

• Materials: the contractor lies about materials used; use of inferior materials; and loss of materials on site.

• Professional dishonesty: poor practices by consultants; inexperience; blaming contractors for incompetence; deliberately increasing contractor cash flow through unmerited payment awards; and recommending friends for tender awards.

• Documentation:poor incomplete documentation; over-onerous tender conditions;

• Poor workmanship by the contractor; • Contractors’ dishonesty: price fixing;

maltreatment of subcontractors by main contractors (price squeezing of subcontractors by main contractors; main contractors failing to pay the full amount owing to subcontractors; failing to pay subcontractors timeously);

• Client dishonesty: pressuring consultants to make decision in their favor; forcing consultants to cut fees (unfair fee negotiation); withholding payment certificates; and poor procurement policies;

• Government dishonesty: misuse of state affirmative action programmes; government officials fronting to get contracts; unfair choice of consultants; awarding of contracts based on race; unfair allocation of work; and contracts repeatedly awarded to the same set of known contractors;

• Payment: failure to pay agreed fees; alteration of invoices; unfairness in the adjudication of claims; over-invoicing of claims and variation orders; quantity surveyors not recommending payments that are due to contractors; clients withholding payments from contractors;

• Tendering: bargain hunting after the tender has been received; unfair processes of tender adjudication; secrecy in contract negotiations; tender disclosure to competitors; lowest tender not selected in selective tendering.

Conflict of interest This is a situation in which someone in a position of trust, such as a lawyer, a politician, or an executive or director of a corporation, has competing professional or personal interests which could make it difficult to fulfill his or her duties impartially. Even if there is no evidence of improper action, a conflict of interest can create an appearance of impropriety that can undermine confidence in the ability of that person to act properly in his/her position. Conflict of interest involves a personal interpretation of whether or not certain behavior is commonly acceptable, rather than if it is illegal. The onus should clearly be placed upon individuals to declare all possible instances of potential negative interpretation, before proceeding with projects. Collusion Collusion is defined as ‘a secret understanding, especially for a fraudulent purpose’. Collusion is contrary to the principles of free competition. It benefits only the parties to the collusive agreement at the expense of those not privy to the arrangement. Tendering may be conducted a priori through collusive agreements because such agreements are ‘an attractive means of maintaining a steady flow of work and achieving higher joint, risk-adjusted, discounted profits’ ASCE investigated collusion in the US highway construction industry, and found that it causes a reduction in the number of available builders, an increase in the average bid price, and a reduction in bid variance. This could lead to artificially increased building prices, quality compromises, company failures through unfair competition, a negative industry image, and decreased employee productivity through moral dissatisfaction.



Discussions Construction professionals are expected to behave with professional integrity, including honesty and fairness. The codes of professional conduct promulgated by the various professional statutory councils create an expectation on the part of clients and the general public with respect to professional ethics and behavior. For example, the Association of South African Quantity Surveyor’s (ASAQS, 2006) code of professional conduct expects members to have full regard to the public; uphold the dignity, standing and reputation of the profession; comply with the laws of the country in which they operate; discharge duties with efficiency, competence, confidentiality, fidelity and without undue delay; be fair and impartial in the provision of service; disclose and resolve conflicts of interest; have an appropriate level of skills; and respect others. The need for trust and cooperation between participants in the construction industry, as a guard against unethical behavior, is clearly important. The survey found that the level of unethical behavior on the part of the contractors is perceived as higher than that of other professional groups. This is most probably a function of business survival. Competitive bidding and contracting are generally considered to be exclusively market driven concepts based solely on financial and commercial considerations without serious regard to ethical principles, except to the extent that some business practices may have legal or regulatory compliance ramifications. It is contended that the majority of contractors who do engage in corrupt practices tend to do so, not because they want to, but because they feel they are forced to by the way the industry and the political environment operate. One reason for being susceptible to unethical conduct is the large number of participants engaged in complex contractual undertakings; the huge cost of projects of this nature makes it easier to hide bribes and inflated claims, a factor compounded by the fact that many construction projects are one-off and therefore costs are difficult to compare. Code of Conduct for Professionals Hence considering the above viewpoints, the Code of Conduct for Professionals in Civil Engineering has been prepared by the American Society of Civil Engineers which is as follows: Fundamental Principles

Engineers uphold and advance the integrity, honor, and dignity of the engineering profession by:

• Using their knowledge and skill for the enhancement of human welfare and the environment;

• Being honest and impartial and serving with fidelity the public, their employers and clients;

• Striving to increase the competence and prestige of the engineering profession; and

• Supporting the professional and technical societies of their disciplines.

Fundamental Canons

Canon 1: Engineers shall hold paramount the safety, health, and welfare of the public and shall strive to comply with the principles of sustainable development in the performance of their professional duties.

a) Engineers shall recognize that the lives, safety, health and welfare of the general public are dependent upon engineering judgments, decisions, and practices incorporated into structures, machines, products, processes and devices.

b) Engineers shall approve or seal only those design documents, reviewed or prepared by them, which are determined to be safe for public health and welfare in conformity with accepted engineering standards.

c) Engineers whose professional judgment is overruled under circumstances where the safety, health and welfare of the public are endangered, or the principles of sustainable development ignored, shall inform their clients or employers of the possible consequences.

d) Engineers who have knowledge or reason to believe that another person or firm may be in violation of any of the provisions of Canon 1 shall present such information to the proper authority in writing and shall cooperate with the proper authority in furnishing such further information or assistance as may be required.

e) Engineers should seek opportunities to be of constructive service in civic affairs and work for the advancement of the safety, health and well-being of their communities, and the protection of the environment through the practice of sustainable development.

f) Engineers should be committed to improving the environment by adherence to the principles of sustainable development so as to enhance the quality of life of the general public.

Canon 2: Engineers shall perform services only in areas of their competence.

a) Engineers shall undertake to perform engineering assignments only when qualified by education or experience in the technical field of engineering involved.

b) Engineers may accept an assignment requiring education or experience outside of their own fields of competence, provided their services are restricted to those phases of the project in which they are qualified. All other phases of such project shall be performed by qualified associates, consultants, or employees.

c) Engineers shall not affix their signatures or seals to any engineering plan or document dealing



with subject matter in which they lack competence by virtue of education or experience or to any such plan or document not reviewed or prepared under their supervisory control.

Canon 3: Engineers shall issue public statements only in an objective and truthful manner.

a) Engineers should endeavor to extend the public knowledge of engineering and sustainable development, and shall not participate in the dissemination of untrue, unfair or exaggerated statements regarding engineering.

b) 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.

c) Engineers, when serving as expert witnesses, shall express an engineering opinion, only when it is founded upon adequate knowledge of the facts, upon a background of technical competence, and upon honest conviction.

d) Engineers shall issue no statements, criticisms, or arguments on engineering matters which are inspired or paid for by interested parties, unless they indicate on whose behalf the statements are made.

e) Engineers shall be dignified and modest in explaining their work and merit, and will avoid any act tending to promote their own interests at the expense of the integrity, honor, and dignity of the profession.

Canon 4: Engineers shall act in professional matters for each employer or client as faithful agents or trustees, and shall avoid conflicts of interest.

a) Engineers shall avoid all known or potential conflicts of interest with their employers or clients and shall promptly inform their employers or clients of any business association, interests, or circumstances which could influence their judgment or the quality of their services.

b) Engineers shall not accept compensation 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 to and agreed to, by all interested parties.

c) Engineers shall not solicit or accept gratuities, directly or indirectly, from contractors, their agents, or other parties dealing with their clients or employers in connection with work for which they are responsible.

d) Engineers in public service as members, advisors, or employees of a governmental body or department shall not participate in considerations or actions with respect to services solicited or provided by them or their

organization in private or public engineering practice.

e) Engineers shall advise their employers or clients when, as a result of their studies, they believe a project will not be successful.

Canon 5: Engineers shall build their professional reputation on the merit of their services and shall not compete unfairly with others.

a) Engineers shall not give, solicit or receive either directly or indirectly, any political contribution, gratuity, or unlawful consideration in order to secure work, exclusive of securing salaried positions through employment agencies.

b) Engineers should negotiate contracts for professional services fairly and on the basis of demonstrated competence and qualifications for the type of professional service required.

c) Engineers may request, propose or accept professional commissions on a contingent basis only under circumstances in which their professional judgments would not be compromised.

d) Engineers shall not falsify or permit misrepresentation of their academic or professional qualifications or experience.

e) Engineers shall give proper credit for engineering work to those to whom credit is due, and shall recognize the proprietary interests of others. Whenever possible, they shall name the person or persons who may be responsible for designs, inventions, writings or other accomplishments.

Canon 6: Engineers shall act in such a manner as to uphold and enhance the honor, integrity, and dignity of the engineering profession and shall act with zero tolerance for bribery, fraud, and corruption.

a) Engineers shall not knowingly engage in business or professional practices of a fraudulent, dishonest or unethical nature.

b) Engineers shall be scrupulously honest in their control and spending of monies, and promote effective use of resources through open, honest and impartial service with fidelity to the public, employers, associates and clients.

c) Engineers shall act with zero tolerance for bribery, fraud, and corruption in all engineering or construction activities in which they are engaged.

d) Engineers should be especially vigilant to maintain appropriate ethical behavior where payments of gratuities or bribes are institutionalized practices.

e) Engineers should strive for transparency in the procurement and execution of projects. Transparency includes disclosure of names,



addresses, purposes, and fees or commissions paid for all agents facilitating projects.

f) Engineers should encourage the use of certifications specifying zero tolerance for bribery, fraud, and corruption in all contracts.

Canon 7: Engineers shall continue their professional development throughout their careers, and shall provide opportunities for the professional development of those engineers under their supervision.

a) Engineers should keep current in their specialty fields by engaging a. aging in professional practice, participating in continuing education courses, reading in the technical literature, and attending professional meetings and seminars.

b) Engineers should encourage their engineering employees to become registered at the earliest possible date.

c) Engineers should encourage engineering employees to attend and present papers at professional and technical society meetings.

d) Engineers shall uphold the principle of mutually satisfying relationships between employers and employees with respect to terms of employment including professional grade descriptions, salary ranges, and fringe benefits.

Conclusion Achieving an ethical professional career is a journey, not a destination. The understanding of ethical behavior will change with time, experience, and discussion with others who have set out to take a similar journey. Only when you decide on a lifetime of learning about and discussing ethical behavior with others, can you hope to complete the journey successfully. The responsibility borne by employers and senior members of the profession to set standards of ethical behavior in their own lives cannot be overstated. It is the responsibility of people in positions of authority and seniority to make their peers and colleagues aware of the need to read the code of ethics often. Further, these mentoring members have an ethical responsibility to model behaviors that others may learn from and to raise questions and engage their peers and colleagues in discussing ethical issues.

References Books 'Ethical behavior in the South African construction industry’, Construction Management and Economics …Bowen, Paul, Akintoye, Akintola, Pearl, Robert and Edwards, Peter J. ‘Ethics: Guidelines for Professional Conduct for Civil Engineers’,American Society of Civil Engineers.

Documents

Code of Conduct for Professionals in Civil Engineering