Professional Ethics in Construction and Engineering

Jason Challender, PhD, is Director of Estates and Facilities at the University of Salford and a member of its senior leadership team. He is also a Visiting Professor of the University of Bolton. He is a Fellow and Board Director of the Royal Institution of Chartered Surveyors and a board member of the North West Construction Hub. He has over thirty years’ client-side experience in the United Kingdom construction industry.

• Author Biography xiiForeword xiiiAcknowledgement xvList of Figures xviList of Tables xviiiList of Appendices xixList of Abbreviations xx1 Introduction 11.1 Introduction to the Book 11.2 Structure of the Book 51.3 Summary 7References 72 Application of Ethics in the Context of the Construction Industry 92.1 Introduction 92.2 The Importance and Significance of the Global Construction Industry 92.3 Ethical Challenges for the Built Environment 102.4 The Bespoke Nature of the Construction Industry 112.5 The Fragmented Nature of the Construction Industry 122.6 The Role of Construction Professionals in Managing Construction Projects 132.7 Different Perspectives on Ethics 192.8 Decision Making from an Ethical Standpoint 202.9 The Life Cycle of Buildings 222.10 Summary 27References 293 The Significance and Relevance of Ethics 313.1 Introduction to the Chapter 313.2 What Are Professional Ethics? 313.3 A Brief Historical and Theoretical Perspective on Ethics 343.4 Historical Theories as Frameworks for Ethics 363.5 Concept and Purpose of Ethics 373.6 A Context to the Discussion and Perception around Business Ethics 383.7 Goals of Professional Ethics 393.8 The Importance of Professional Ethics for the Construction Industry 403.9 Ethical Principles and Codes for Construction Professionals 423.10 How Should Construction Professionals Recognise Unethical Practices? 443.11 The Need for Construction Professionals to Uphold Ethical and Cultural Values When Procuring Projects 453.12 Summary 46References 474 Ethical Dilemmas for Construction Practitioners 494.1 Introduction 494.2 The Construction Industry’s Ethical Dilemma 504.3 Ethical Principles and Values 514.4 Factors Affecting Ethical Dilemmas 524.5 The Need for Construction Professionals to Uphold Cultural Values When Procuring Projects 534.6 Maintaining a Duty of Care in Tendering Processes 544.7 Corporate Hospitality and Gifts 554.8 Regulation and Governance of Professional Ethics 574.9 Whistle Blowing 584.10 Ethical Dilemmas around Self-Deception 604.11 Practical Examples of Ethical Dilemmas 614.12 Ethical Dilemmas that Apply to Different Roles 644.13 Summary 68References 705 Types and Examples of Unethical Conduct and Corruption 715.1 Introduction 715.2 How Should Construction Professionals Recognise Unethical Conduct and Practices? 725.3 Examples of Acts of Unethical Behaviour and Corruption 725.4 Misuse of Power 745.5 Corruption 765.6 Fraud 825.7 Bribery 845.8 Conflicts of Interest 865.9 Ethics and Negligence Linked to the Design and Construction of Buildings 895.10 Global Corruption in the Construction Industry 935.11 Effect of Unethical Practices and Corruption 965.12 Remedies for Unethical Behaviours and Corruption 985.13 Summary 98References 996 Regulation and Governance of Ethical Standards and Expectations 1016.1 Introduction 1016.2 The Problem of Maintaining Standards around Professional Ethics 1016.3 Financial Regulations, Governance Policies and Delegated Authority 1026.4 Ethical Governance at Tender and Appointment Stages 1056.5 Summary 109References 1107 Ethical Project Controls in Construction Management 1117.1 Introduction to the Chapter 1117.2 Project Controls 1117.3 The Importance of Project/Programme Boards 1117.4 Gateway Processes for Project Approval and Business Cases 1137.5 Summary 1148 Developing an Ethics Toolkit, as a Practical Guide for Managing Projects 1178.1 Introduction to the Chapter 1178.2 Planning and Devising the Toolkit 1188.3 Feedback and Evaluation of the Toolkit from the Perspectives of Construction Professionals 1198.4 Ensuring and Monitoring Performance Throughout the Life of Projects: General Project Directory and Checklist 1198.5 The Documentation that Construction Professionals Need to Consider at  Pre-Construction Stages 1208.6 Managing Documentation and Processes Following Appointment of Contractors 1218.7 The Documentation and Processes that Construction Professionals Need to Consider in the Construction Phases of Projects 1238.8 The Documentation and Processes that Construction Professionals Need to Consider in the Post-Construction Phases of Projects 1268.9 Summary and Usefulness of the Toolkit 131Reference 1319 Ethical Selection and Appointment Processes for the Construction Industry 1339.1 Introduction to the Chapter 1339.2 The Importance of the Contractor Selection Process 1349.3 Articulation of the Problem of Selecting Contracting Partners from the Perspective of Construction Professionals 1359.4 A Historical Perspective of the Problem 1369.5 Risk Considerations 1379.6 Benchmarking 1389.7 Pre-Qualification Models and Methodologies 1449.8 Designing a New Way for Construction Professionals to Select Their Contracting Partners 1469.9 The Quality of Pre-Qualification Processes and Their Influence on Project Success 1489.10 Conclusions 1499.11 Summary 151References 15210 Codes of Conduct for Professional Ethics 15710.1 Introduction to the Chapter 15710.2 Ethical Principles for Construction Professionals 15810.3 Codes of Conduct to Regulate Professional Ethics 15810.4 Maintaining High Standards of Professional Conduct and Competence 16010.5 Governance and Enforcement of Professional Ethics through Codes of Conduct 16110.6 Misconduct and the Reputation of Professions 16310.7 Embedding Ethical Codes, Behaviours and Standards into Organisational Culture 16310.8 Strategies for Improving Codes of Ethics Implementation in Construction Organisations 16510.9 Developing a Model Code of Conduct 16810.10 Chartered Management Institute (CMI) Codes of Ethics Checklist 16810.11 The Royal Institution of Chartered Surveyors (RICS) Codes of Conduct 17010.12 The Royal Institution of British Architects Codes of Conduct 17410.13 The Chartered Institute of Building (CIOB) Codes of Conduct 17410.14 Summary 176References 17811 Implications in Practice for Ethics in the Construction Industry 17911.1 Introduction 17911.2 Reputation and Image Implications for the Construction Industry on Unethical Practices 18011.3 The Effects on Construction Project Performance Brought About by Unethical Practices 18111.4 Upholding Ethical Practices 18411.5 Remedies for Unethical Behaviours and Practices in the Construction Industry 18511.6 Summary 188References 18912 Summary of Key Points, Reflections, Overview and Closing Remarks 19112.1 Introduction 19112.2 Summary of the Key Issues Raised Throughout the Book 19112.3 Final Reflections, Overview and Closing Remarks 202Appendix A Anti Bribery Policy 205Appendix B Counter Fraud and Response Policy 211Appendix C Criminal Finances Act Policy 221Appendix D Template for the Gateway 1 Project Proposal 227Appendix E Template for the Gateway 3 Business Case Process Business Case 229Appendix F Example of a Contractor Competency Questionnaire 243Appendix G Example of a Project Execution Plan (PEP) 249Appendix H Example of a Health and Safety Contractor’s Handbook 271Appendix I RICS Regulations and Guidance Notes 279Appendix J RICS Frequently Asked Questions Document Linked to Their Global Professional and Ethical Standards 283Glossary of Terms 287Index 289