Engineering Ethical Principles

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Engineering

Ethical

Principles

Faculty of Science and Technology University of Macao

Trainer: Joanna MK Yiu Chan 14 & 17 March 2012 Eng g Ethi c T rai ni ng f o r FST _ U M 2012

AimsandObjectives

• Introduction to basic knowledge of

professional ethics of engineering

• To aspire students with highest standards

of professional conduct, with integrity, dignity, fairness, courtesy and reputation of the profession

• Aim to fulfill HKIE Accreditation

requirements

• To improve student’s organizational, self

learning and presentation skills through

interactive case studies and seminar

Eng g Ethi c T rai ni ng f o r FST _ U M 2012

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CourseStructureandDelivery

• Lectures, case study and plus seminar

• Separate seminar on case study for CEE, CIS, ECE

& EME

• Assessment will be based on group presentation

with Q & A during seminar, which contributes a

weighting of 20% in the Final Year Project.

• Local practicing professionals will be invited as

guest assessors in the seminar

• Students are encouraged to share their view

points during seminar. Case Study presentation

materials will be shared on web base.

Eng g Ethi c T rai ni ng f o r FST _ U M 2012 CourseContents

• Examples of code/principles of ethics

•HKIE Code of Conduct

•UK: Engineering Council

•US: NSPE •HK: ICAC •Macau: CCAC •Local: CEM • Case Studies Eng g Ethi c T rai ni ng f o r FST _ U M 2012

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LectureandSeminarSchedule

Activity / Venue Date Time

• Lecture & Case Study All 14 March (Wed)16:00 ‐18:30

• HG03 ‐EME, CIS, CEE, ECE

• Lecture & Case Study 17 March (Sat) 10:00 ‐12:30

HG03 ‐CIS, ECE

• Group Presentation ‐EME 27 March (Tue) 10:00 ‐12:00 N201

• Group Presentation ‐CIS 27 March (Tue) 18:30 ‐20:30 JLG201

• Group Presentation ‐ECE 28 March (Wed)19:00 ‐21:00 JLG201

• Group Presentation ‐CEE 29 March (Thur)18:30 ‐20:30 JLG202 Eng g Ethi c T rai ni ng f o r FST _ U M 2012 Seminar

• You have 10 days or more to prepare your case

study presentation, please email your project

supervisor and me your grouping arrangement

and case study topic by 23 March 2012 to [email protected] Eng g Ethi c T rai ni ng f o r FST _ U M 2012

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AimforHKIEAccreditation

• The Engineering Society of Hong Kong was founded in 1947 with the aim of bringing together engineers of different disciplines for their common good. The Society flourished and as a result the Hong Kong Institution of Engineers (the HKIE), was incorporated under the Hong Kong Institution of

Engineers Ordinance, Chapter 1105 of the Laws of Hong Kong in 1975.

• http://www.hkie.org.hk/eng/homepage.asp • Graduate Scheme "A" Training

• International Recognition and Events.

• List of Programmes Accredited by the HKIE

• http://www.hkie.org.hk/eng/html/qual&membership/progacc redlist.asp Eng g Ethi c T rai ni ng f o r FST _ U M 2012

HKIEcodeofconduct

• "Every member shall at all times so order

his conduct as to uphold the dignityand

reputationof the Institution and act with

fairnessand integrity towards all persons

with whom his work is connected and

towards other members."

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HKIECodeofConduct

• Rule 1 ‐Responsibility to the Profession

• Rule 2 ‐Responsibility to Colleagues

• Rule 3 ‐Responsibility to Employersor

Clients

• Rule 4 ‐Responsibility to the Public

• Rule 1 ‐Responsibility to the Profession

• A member of the Institution shall order his conduct so as to uphold the dignity (尊嚴), standing (名望) and reputation(聲望)of the

Profession.

• In pursuance of this rule a member shall,

inter alia: Eng

g Ethi c T rai ni ng f o r FST _ U M 2012

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Rule1 ‐ResponsibilitytotheProfession

• 1.1 Discharge his professional responsibilities

with integrity (誠信),dignity(尊嚴), fairness (公正)

and courtesy (禮貌);

• 1.2 Notallow himself to be advertised in self‐ laudatory language(自我讚美) nor in any

manner derogatory(貶低) to the dignity (尊嚴) of his profession, nor improperly solicit (不當徵求) professional work for himself or others; • 1.3 Give opinions in his professional capacity

that are, to the best of his ability, objective (客觀), reliable (可靠) and honest (真實);

• 1.4 Take reasonable steps to avoid damage

to the environment and the wasteof

natural resources or the products of human skill and industry;

• 1.5 ensure adequate development (充分發展)of his professional competence (專業能力);

• 1.6 accept responsibility for his actions and

ensurethat persons to whom he delegates authority are sufficiently competent to carry the associated responsibility;

(7)

• 1.7 not undertake responsibility which he

himself is not qualified and competentto

discharge;

• 1.8 treat colleagues and co‐workers fairly and

not misuse the advantage of position;

• 1.9 when working in a country other than Hong

Kong order his conduct according to the existing

recognised standards of conduct in that country,

except that he should abide by these rules as

applicable in the absence of local standards; • 1.10 when working within the field of another

profession pay due attention to the ethics of

that profession. Eng g Ethi c T rai ni ng f o r FST _ U M 2012

• Rule 2 ‐Responsibility to Colleagues

• A member of the Institution shall not

maliciously(惡意地) or recklessly(錯誤地)

injurenor attempt to injure whether directly or indirectly the professional

reputationof another engineer, and shall foster (促進) the mutual

advancementof the profession.

(8)

Rule2 ‐ResponsibilitytoColleagues

• 2.1 where appropriate seek, accept and

offer honest criticism (批評) of work and

properly creditthe contributionsof others; • 2.2 seek to further the interchangeof

information and experience with other engineers;

• 2.3 assistand supportcolleagues and engineering trainees in their professional

development; Eng g Ethi c T rai ni ng f o r FST _ U M 2012

Rule

2 ‐

Responsibility

to

Colleagues

• 2.4 not abuse his connectionwith the Institution to further his business

interests;

• 2.5 not maliciously or falsely injure the professional reputation, prospectsor practice of another member provided however that he shall bring to the notice

of the Institution any evidence of

unethical, illegalor unfair professional practice;

• 2.6 supportthe aimsand activitiesof the Institution. Eng g Ethi c T rai ni ng f o r FST _ U M 2012

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• Rule 3 ‐Responsibility to Employers or

Clients

• A member of the Institution shall

discharge his duties to his employer or

clientwith integrityand in accordance with the highest standardsof business

ethics. Eng g Ethi c T rai ni ng f o r FST _ U M 2012

Rule3 ‐ResponsibilitytoEmployersor Clients

• 3.1 offer complete loyalty (忠誠) to his employer

or client, past and present, in all matters concerning remuneration and in all business affairs and at the same time act withfairness

between his employer or client and any other party concerned;

• 3.2 avoidengaging in business, investments or

activities which conflict with the interests (利益衝突_)of_his_employer_or_client,_and_inform_his

employer or client in writing of any possible

conflict between his own financial interests, or

those of his immediate family, and the interests of his client or employer;

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Rule

3 ‐

Responsibility

to

Employers

or

Clients

• 3.3 not accept any financial or contractual

obligationon behalf of his employer or client without their authority;

• 3.4 where possible advise those

concerned of the consequences(後果)to

be expected if his engineering judgement, in areas of his responsibility, is overruled

by a non‐technical authority;

• 3.5 advise his employer or client in

anticipating the possible consequences of relevant developments that come to his knowledge;

• 3.6 neither give nor accept any gift,

entertainment, payment or serviceof

more than nominal value, to or from those having a business relationship with his employer or client without the consent of the latter; Eng g Ethi c T rai ni ng f o r FST _ U M 2012

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• 3.7 where necessary co‐operate with or arrange for the services of other experts

wherever an employer’s or client’s interest

might bestbe served thereby;

• 3.8 safeguard confidential information in

relation to his employer or client and not disclose such information to 3rd_parties without his employer's or client's written consent. A member shall not receive any gift,

entertainment, payment or service from 3rd

parties for disclosing such information nor make use of it for personal gain.

• Rule 4 ‐Responsibility to the Public

• A member of the Institution in

discharging his responsibilities to his employer and the profession shall at all times be governed by the overriding

interest of the general public, in particular their environment, welfare, health and

safety. Eng g Ethi c T rai ni ng f o r FST _ U M 2012

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Rule4 ‐ResponsibilitytothePublic

• 4.1 seek to protectthe safety, health and welfareof the public;

• 4.2 when making a public statement professionally, try to ensure that both his qualificationto make the statement and his associationwith any

benefiting party are made known to the recipients

of the statement;

• 4.3 seek to extend public understanding of the engineering profession;

• 4.4 seek to assess the environmental consequences of work for which he is responsible and to influence events so as to prevent or minimise damage to, and if practicable to improve, the environment.

Rule

4 ‐

Responsibility

to

the

Public

• In particular in the exercise of the requirement

to safeguard the public in matters of welfare,

health and safety, engineers should:

• (a) strive to create through their projects a

healthyand agreeableoutdoor and indoor

environment;

• (b) aim to minimisethe use of non‐renewable resources, to conserve energy and to minimise the generation of waste;

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Rule

4 ‐

Responsibility

to

the

Public

• (c) consider and take into account the consequences of any proposal upon public health and local custom;

• (d) assess the impacts of their proposals upon the

environment, and select options that will ensure

sustainable development (可持續發展);

• (e) consider and explain in their proposals the measures required to protectand improvethe

environment;

• (f) promote the concepts of interdependence of

ecosystems, maintenance of the diversity of species,

resource replacement and recovery, and sustainable

development; Eng g Ethi c T rai ni ng f o r FST _ U M 2012

Rule

4 ‐

Responsibility

to

the

Public

• (g) seek to balance costs with the best benefit

to the environment and to human society, to

achieve the most suitable practical

environmental option, by utilisingthe best available technology and techniques without

entailing excessive costs;

• (h) encourage management to follow positive environmental policies by recognising that a

statement of intent is not sufficient to achieve

legislative compliance. Eng g Ethi c T rai ni ng f o r FST _ U M 2012

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Engineering

Council

UK,

Statement

of

Ethical

Principles

• Accuracy and Rigour • Honesty and Integrity

• Respect for Life, Law and the Public Good • Responsible Leadership

• Listening and Informing

American

Society

of

Civil

Engineers

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.

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

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

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American

Society

of

Civil

Engineers

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

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

American

Society

of

Civil

Engineers

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.

7. Engineers shall continue their

professional development throughout their careers, and shall provide opportunities for the professional development of those engineers under their supervision.

(16)

OtherOverseasexamples

• “Engineers, in the fulfillment of their professional duties, shall hold paramount the safety, health, and welfare of the public”

• —National Society of Professional

Engineers

• “A practitioner shall, regard the

practitioner's duty to public welfare as paramount.”

• —Professional Engineers Ontario

NSPE

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Eng g Ethi c T rai ni ng f o r FST _ U M 2012 MacauCCAC Eng g Ethi c T rai ni ng f o r FST _ U M 2012

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CEM

CODE

OF

ETHICS

• Article 1 (Compliance with law)

• Article 2 (Ethics)

• Article 3 (Transparency, honesty and integrity)

• Article 4 (Working environment)

• Article 5 (Development of human capital)

• Article 6 (Human rights)

• Article 7 (Non‐discrimination and equal opportunities)

• Article 8 (Forbiddance of corruption and subornation)

• Article 9 (Relationship with shareholders)

• Article 10 (Relationship with clients and suppliers)

• Article 11 (Disciplinary action)

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MANAGINGINTEGRITY&STRIVINGFOR EXCELLENCE

• CORRUPTION PREVENTION PACKAGE FOR

CONSTRUCTION INDUSTRY

Case

Studies

in

HK

Construction

Industry

By HK ICAC Eng g Ethi c T rai ni ng f o r FST _ U M 2012

Case1.CompetitionforContracts:Offering bribesfortenderinformation

Defendant :A director of a construction company Facts :The director offered $265,000 to a contract

manager of a public body as a reward for the latter

to disclose tender information of other competing

contractors. The director was then able to win the

contracts by submitting the lowest bid. He was

eventually arrested and charged by the ICAC. Charges :Offering of illegal advantages to a public

servant

Penalty :Sentenced to an imprisonment of 15 months Eng g Ethi c T rai ni ng f o r FST _ U M 2012

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Case1.CompetitionforContracts:Offering bribesfortenderinformation

• Corruption doesn't pay. The use of bribery

to obtain contracts will inflate construction

costs and destroy the principle of fair

competition. Corrupt practices will also

impair a company's reputation and hinder

its future development.

Case2:AppointmentofContractors:Soliciting rebatesforallocatingjobs

Defendant :An electrical engineer

Facts :The engineer supervising the electrical

installation of a construction project was responsible

for appointing subcontractors and estimating labour force required for the work. He took advantage of his

office to solicit a rebate of $200,000 from a sub‐

contractor in return for allocating jobs to the latter.

He even instructed the sub‐contractor to claim

wages for bogus workers to cover up the bribes. The

engineer was finally charged by the ICAC. Charges :Acceptance of illegal advantages

Penalty :Sentenced to an imprisonment of 2 years and 9 months Eng g Ethi c T rai ni ng f o r FST _ U M 2012

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Case2:AppointmentofContractors: Solicitingrebatesforallocatingjobs

• The dishonest engineer received illegal

rebates in granting contracts. He even

induced the sub‐contractor to defraud his

own company by over‐claiming wages for the

extra money as bribes to him. If preventive

measures are not implemented in the

company to guard against corruption and

fraud, dishonest staff will exploit every

possible loophole for personal gain, causing

the company to suffer from financial loss and

tarnished reputation. Eng g Ethi c T rai ni ng f o r FST _ U M 2012

Case3:SiteManagement:Solicitingbribes indeliveryofbuildingmaterials

Defendants :Nine crane operators

Facts :Over a five‐month period, the nine crane

operators conspired to obtain bribes ranging from

$9,000 to $12,000 monthly from three sub‐

contractors as a reward for expediting the delivery

process and loading the building materials beyond

the safety perimeter of the cranes. In the end, the

crane operators were charged by the ICAC.

Charges :Conspiracy to accept illegal advantages Penalty :The nine crane operators were either fined or sentenced to imprisonment

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Case3:SiteManagement:Solicitingbribes indeliveryofbuildingmaterials

• The corrupt practice of the crane

operators and sub‐contractors caused

unfairness to all others who abided by the

rules on the same construction site. In

addition, the reckless act of delivering

building materials outside the crane's

safety perimeter would easily lead to

industrial accidents. Eng g Ethi c T rai ni ng f o r FST _ U M 2012

Case4:PersonnelManagement: Conspiracyinwagefraud

Defendants :A site foreman and six construction workers

Facts :The site foreman colluded with six construction

workers to defraud their company of wages and accepted

a reward of $200 from each worker for arranging falsely

certified attendance records to hide their unauthorized

absence from work. In five months, they deceived the

company of wages amounting to $45,000. Subsequently,

all of them were charged by the ICAC.

Charges :Site foreman – Acceptance of illegal advantages

Construction workers – Offering of illegal advantages and

using false documents to deceive employer

Penalty :All were sentenced to an imprisonment of 3 ‐10

months Eng g Ethi c T rai ni ng f o r FST _ U M 2012

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Case4:PersonnelManagement: Conspiracyinwagefraud

• The collusion among staff on site in

deceiving employer of wages would

impose direct loss to the company. At the

same time, insufficient number of workers

caused by false attendance record could

delay the progress of the construction

work. Eng g Ethi c T rai ni ng f o r FST _ U M 2012

Case5:Purchasing:Acceptingbribesin procurementofbuildingmaterials

Defendant :A project manager

Facts :The project manager was in charge of the

marble works of a construction project. During the

procurement, he intentionally altered the material

requirements in the tender to favour a supplier who

was his relative. Consequently, his relative obtained

the contract despite the price of materials was

inflated. The project manager later accepted the

bribes of around fifty thousand or more dollars from

the relative as a reward for the favour. He was then

charged by the ICAC.

Charges :Acceptance of illegal advantages Penalty :Sentenced to an imprisonment of 7 months Eng g Ethi c T rai ni ng f o r FST _ U M 2012

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Case5:Purchasing:Acceptingbribesin procurementofbuildingmaterials

• Corruption costs. The conspiracy between

the manager and the supplier to inflate

the price of building materials directly

boosted the construction budget and

undermined the interests of the employer.

At the same time, the materials purchased

under corruption usually fell short of the

standard and would affect the quality of

construction work as well as, in the long

run, clients‘ confidence.

Case6:WorksInspection:

Personalgainbylaxinspection

Defendant :A clerk of works

Facts :The clerk of works found that the curtain

wall fittings installed by a subcontractor did not

meet the standards set by the developer. He

therefore took the opportunity to solicit $200,000

from the sub‐contractor as a reward for turning a

blind eye to the substandard work. The clerk of

works was caught red‐handed by the ICAC when he

received $30,000 as the first installment of bribes

from the sub‐contractor.

Charges :Soliciting and acceptance of illegal

advantages

Penalty :Sentenced to an imprisonment of 18 months Eng g Ethi c T rai ni ng f o r FST _ U M 2012

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Case6:WorksInspection:

Personalgainbylaxinspection

• Turning a blind eye to unqualified work

will potentially give rise to building

defects, causing the company extra costs

on maintenance when problems emerge.

Worse still, such faults hidden in

construction work are hazardous to public

safety. Eng g Ethi c T rai ni ng f o r FST _ U M 2012 Eng g Ethi c T rai ni ng f o r FST _ U M 2012

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1. Rules of Conduct of HKIE

2. Ethics in Practice, A Practical Guide for Professional Engineers, ICAC HK, 2011 3. The Prevention of Bribery Ordinance Chapter

201, Laws of Hong Kong

4. Guidelines on the Professional Ethics and Conduct of Public Servants, the Commission

Against Corruption of Macao SAR Dec 2006

5. 澳門特別行政區廉政公署 http://www.ccac.org.mo/ Major references: Eng g Ethi c T rai ni ng f o r FST _ U M 2012

Suggested Case Studies (but not limit to)

International Case

陳水扁案維基解密個案

“Watergate”

Macao cases Engineering / Construction related cases 歐文龍貪污案例東亞運會場項目輕軌項目 Eng g Ethi c T rai ni ng f o r FST _ U M 2012

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Hong Kong cases Engineering related cases 陳求大貪污案例(Eason’s farther) 沙田公屋短樁事件 CY Leung 西九評審事件 IT related cases 電子賬户資料外漏八達通出賣客户個人資料 E-banking issues BT issues Other cases 前民航處處長林光宇涉嫌內幕交易案政府官員僭建風波

Henry Tang, CY leung 特首選舉黑料

特首接受富豪款待 Eng g Ethi c T rai ni ng f o r FST _ U M 2012

Each group to be teamed up with 4 to 7 students

Oral presentation plus Q&A session on 27 to 29 March

Department Group Members Presentation

time

EME 40 8 teams with 5 each 11 mins CIS 44 7 to 8 teams with 5 to 7 each 12 mins ECE 25 6 teams with 4 to 5 each 14 mins CEE 31 7 teams with 4 to 5 each 12 mins