ethics fdot construction academy brian w. pickard, p.e. pinellas operations engineer, clearwater, fl...
TRANSCRIPT
ETHICS
FDOT CONSTRUCTION ACADEMY
Brian W. Pickard, P.E.Pinellas Operations Engineer, Clearwater, FLFlorida Department of Transportation
LAWS THAT REQUIRE ETHICAL CONDUCT
• Florida statutes
• Federal laws
ETHICS CARD
FDOT ETHICS POLICY
• POLICY Effective: August 5, 2014
• The Department of Transportation (Department) recognizes the importance of maintaining high ethical standards among its employees. The public expects its government officials to conduct the State’s business in an ethical, honest, and open manner.
FDOT ETHICS POLICY HIGHLIGHTS
• No employee may accept a benefit of any sort under circumstances in which it could reasonably be inferred that the benefit was intended to influence a pending or future decision of the employee, or to reward the employee’s past decision.
FDOT ETHICS POLICY HIGHLIGHTS
• Employees should also avoid any conduct (whether in the context of business, financial, or social relationships) that might undermine the public trust, regardless of whether that conduct is unethical or lends itself to the appearance of unethical behavior
FDOT ETHICS POLICY HIGHLIGHTSGIFTS
• Gifts (regardless of value) received from family or personal friends in the ordinary course of friendship (including but not limited to birthday and/or anniversary gifts and gifts of hospitality), can be accepted, provided that any such personal friend is not:
• (a) a lobbyist; (b) a partner, member, employer, employee, or principal of a lobbyist; or (c) a person having a special monetary interest (either individually or through a corporation or organization) in a matter pending before the Department; or
FDOT ETHICS POLICY HIGHLIGHTS GIFTS
• (d) a person who (either individually or through a corporation or organization) provides goods or services to the Department under a contract or an agreement; or (e) a person who (either individually or through a corporation or organization) is seeking business from the Department.
FDOT ETHICS POLICY HIGHLIGHTS FOOD AND REFRESHMENTS
• On-site consumption of food and refreshments at receptions and/or other events, provided the employee’s attendance at such event is an appropriate exercise of the employee's official duties, unless the food and refreshments at such event are paid for by a lobbyist, principal of a lobbyist, or a vendor doing business or seeking to do business with the Department.
FDOT ETHICS POLICY HIGHLIGHTS
• It is not considered a gift or expenditure if the employee fully reimburses the other person for the cost of the item.
• Generally, full reimbursement is considered to be the cost of the item to the person providing it.
• Section 112.3148(7), F.S. and Rules 34-13.210, 34-13.500, and 34- 3.510, Florida Administrative Code, provide guidance.
FLORIDA LAWPART III OF CHAPTER 112, FLORIDA STATUTESAPPLIES TO EMPLOYEES AND APPOINTED OFFICIALS
1. Solicitation or Acceptance of Gifts:
No Gifts with intent to influence.
Anything of value:• Gifts
• Reward
• Loan
• Promise of future employment
• Services
FLORIDA LAWPART III OF CHAPTER 112, FLORIDA STATUTESAPPLIES TO EMPLOYEES AND APPOINTED OFFICIALS
2. State employees can not do business with the State
3. Unauthorized Compensation: employees shall not accept compensation, payment or things of value,
if given to influence
4. No conflicting contractual relationships
5. Employees may not use information not available to general public for personal gain
RECOMMENDED STANDARDS
Do not accept any gifts, regardless how small.
Do not become involved in any way with a businessdoing business with the FDOT.
FLORIDA LAW FOR PROFESSIONAL ENGINEERS
• Chapter 471 Florida Law
http://www.fbpe.org/pdfs/chapter471.pdf
• Chapter 61G15, Florida Administrative Code
http://www.fbpe.org/pdfs/chapter61g15.pdf
If you are a PE or in the process of obtaining your PE, get a copy of the above and read it.
FAR (FEDERAL ACQUISITION REGULATIONS) NEW PROPOSED RULE
FEDERAL CONTRACTS EXCEEDING $5 MILLION, WITH PERFORMANCE PERIODS OF 120 DAYS OR MORE
• Contractors must display Fed’s Fraud Hotline Number
• Adopt a written code of ethics and business conduct
• Establish an employee ethics and compliance training program
• Establish an internal control system
PROFESSIONAL ENGINEERING ETHICSFUNDAMENTAL CANONS1. Hold paramount the safety, health, and welfare of the public. 2. Perform services only in areas of their competence. 3. Issue public statements only in an objective and truthful
manner. 4. Act for each employer or client as faithful agents or trustees. 5. Avoid deceptive acts. 6. Conduct themselves honorably, responsibly, ethically, and
lawfully so as to enhance the honor, reputation, and usefulness of the profession.
http://www.nspe.org/Ethics/CodeofEthics/index.html
REPORTING FRAUD TO OIG• Call when you think ...
...someone is using DOT property or people for personal gain; ...someone is intentionally misleading DOT for financial gain; ...someone is taking some benefit to "look the other way"; or ...you're not sure if you should call to report suspicions.
Call the Fraud Hotline: 1-800-255-8099Report On-line: http://www.dot.state.fl.us/inspectorgeneral/Fraud
CONTRACT FRAUD CASEEXAMPLE
• The following is an example of contract fraud. This usually takes the form of providing a product that is substandard or not meeting the agreed-upon specifications or failing to perform assignments or making false certifications or representations about products or services.
FALSE CERTIFICATIONS • Investigation: There were allegations that a contractor
submitted false certifications to the department regarding payment to subcontractors.
• Determination: The investigation disclosed that the contractor submitted forms to the department certifying they had paid all subcontractors.
• Results: Contractor was suspended from doing business with the department for three years and declared non-responsible.
SUMMARY OF CASECLOSURES
• Investigative activity is conducted to identify facts and circumstances to prove or disprove each allegation. The results of the investigations are documented and published by the Inspector General and disseminated to internal and external customers.
FALSE CLAIMS
• Accusations: were made that a prime contractor submitted false claims for removal of soil material and billed inappropriately for barrier walls.
• Results: The allegations were proved and a
settlement with the department was negotiated.
FALSE DOCUMENTATION
• Accusations: Prime contractor submitted false documentation requesting final payment. It was determined that the prime contractor had submitted
false Certification – Disbursement of Previous Periodic Payment to Subcontractors forms and a notarized Contractor’s Affidavit and Surety Consent form.
• Results: The allegation was proved and the prime contractor was suspended by the department.
FALSIFIED DOCUMENTS
• Accusation: Contract employee failed to complete required site visits, associated sampling and knowingly falsified department Concrete Plant visit Report forms.
• Results: The allegation was proved and
department procedures were changed.
NON- COMPLIANCE ISSUES
• Accusation: A contractor’s management had instructed their employees to alter batch plant quality control reports on a regular basis, and the contractor had used non-compliant recycled rock for the their department concrete mixes.
• Results: The allegations were disproved.
NON- CERTIFIED AGGREGATE
• Accusations: A supplier provided non-certified aggregate material to a department project. It was determined that the delivery tickets produced by the supplier were inaccurate and non-certified aggregate was delivered.
• Result: The allegation was proved and the department received a credit for delivered non-certified aggregate.
FALSIFYING BIDS
• Accusation: Two firms owned by the same individuals and sharing employees had colluded to submit bids as though they were separate entities.
• Results: Allegations were proved and the contractors voluntarily agreed not to bid, or act as a subcontractor, nor supply any materials on any department projects for a period of six months.
VERIFICATION OF PROJECT DOLLARS
• Accusation: Allegations were made that project dollars were completely exhausted from one project, a contractor’s employee instructed other contractor employees to charge their work against projects that still had funds available.
• Results: Allegations were proved and the contractors voluntarily agreed not to bid, or act as a subcontractor, nor supply any materials on any department projects for a period of six months.
WHAT IS ETHICS?
• Ancient Greek - ethikos
• Ancient Roman - moralis
Both terms mean, roughly: “pertaining to Character”.
But today, Ethics is much more and very difficult to define.
ETHICS IS OTHERS.
WHAT IS ETHICS ?
• Ethics is a major branch of philosophy, encompasses right conduct and good life.
• The standards that govern the conduct of a person, especially a member of a profession
•
• Rules of behavior made and accepted by business to provide fair and moral practice
OPERATING PHILOSOPHY
At Johnson Bros. we believe in the testament of the 3R’s: Respect for Self; Respect for Others; Responsibility for Your Actions.
Our values are also rooted in Integrity, Teamwork, Building People, and Serving our Customers and ourselves by doing the right thing. Paramount to doing the right thing is always doing those things safely.
“I have many responsibilities, but the most important thing I do is establish our culture. That is how we treat each other within our company and how we treat others outside our company.”
Eric Kishel, CEO Johnson Bros.
APPLIED ETHICS
LAST YEAR OIG RECEIVED 91 ALLEGATIONS WITH 18 INVESTIGATIONS RESULTING IN 11 DISCIPLINARY ACTIONS
EMPLOYEE MISCONDUCT CASE EXAMPLES
• Theft: The Comptrollers office, reported that during an audit for travel records, they discovered a suspicious entry regarding the purchase of a rental car with a department purchasing card (P-Card). While questioning the department employee they discovered the employee had attributed the rental car charge to another employee who had not received approval or filed a rental care travel voucher. Upon further questioning by the Comptroller staff, the employee stated they had made a mistake and mistakenly represented the charge.
• Determination: The investigation confirmed the employee rented a vehicle for personal use and charged it to the Department P-Card and attempted to cover it up.
EMPLOYEE MISCONDUCT CASE EXAMPLES
An accusation was made that a department employee provided confidential bid information to a company bidding on a tree removal project. The employee solicited and received a second lower bid from the awarded contractor, without affording the same opportunity to two other companies who bid on the same work. The allegations were proved.
The employee resigned from the Department.
EMPLOYEE MISCONDUCT CASE EXAMPLES
Accusations were made a central office employee misused department Information Technology Resources by sending and receiving personal e-mails, accessing websites unrelated to department duties, and installing hardware and computer files unrelated to department duties. Additionally, the subject accepted funds from a contractor doing business with the department.
The allegations were proved, and the employee resigned
from the Department.
EMPLOYEE MISCONDUCT CASE EXAMPLES
Accusations were made that a project manager instructed a subordinate to ignore incomplete work on a contracted project, attempted to process payment for incomplete work on the project and instructed the contractor to perform work prior to issuing a work order.
The allegations were proved, and the employee was terminated from the department.
EMPLOYEE MISCONDUCT CASE EXAMPLES
Accusations were made that a district employee misused department Information Technology Resources, instructed consultant employees to complete his college coursework during work hours and falsified timesheets. Additionally, accusations were made the district employee received gifts from consultants and made improper hiring recommendations to consultant managers. The allegations of misuse of department Information Technology Resources, instructing consultant employees to complete his college coursework and falsification of timesheets were proved.
The employee resigned from the department.
EMPLOYEE MISCONDUCT CASE EXAMPLES
Accusations were made that a district employee required a contractor to add equipment to a job that was not required for the completion of the contract. The allegation also contended that the employee purposely delayed contract payments and used derogatory racial slurs. The allegation of the use of a racial slur was proved, the remaining allegations were disproved.
The employee received a written reprimand.
EMPLOYEE MISCONDUCT CASE EXAMPLES
• Supervisor of Contract Administrator advised the Contract Administrator (his subordinate) to hire his son as a temporary employee through the contract
• Six Individuals Disciplined
KNOW AND COMPLY WITH THE LAW
• Take the time to make sure you know the applicable rules and regulations
• Do not violate the law
HONESTY
• Be truthful and straight forward in all your dealings with others
PROFESSIONAL COURTESY
• Respect for others
• Maintain professional courtesy (even under stress)
• Do not allow disagreements to become personal
COMMUNICATIONS• Manage your communications with others
• Email can damage relationships• Balance Emails with phone calls (one phone conversation for 4-6
Emails)
• Don’t negotiate by Email
• Don’t blind side others• Call and explain before sending an unwelcome letter
• Never send out a letter or message while upset emotionally
• It’s OK to write it, but read it again after you have cooled off before sending
LEADERSHIP• Establish a project culture
• Safety
• Respect
• Honesty
• Accountability
• Look ahead, establish direction for the project
• You are the coach
• Work towards improving everyone’s performance
SOLVING TECHNICAL ISSUES IS EASY.
MANAGING PEOPLE IS THE CHALLENGE.
YOU ARE IN THE BUSINESS OF MANAGING RELATIONSHIPS.
KNOW THE PEOPLE ON YOUR TEAM.
• How to communicate best with them
• How to gain their support
• How to understand and anticipate their responses
Earth
Fire
WaterWind
Principals and Procedures
Step by Step, Linear
Power and Control
Get to the point, Bottom Line
Relationship Connection
People, Emotion and Feeling
Fun and Excitement
Change
Personality Representations
ETHICS TEST
SITUATION NO. 1 CONTACTOR JOB BARBEQUE
You are the Project Engineer. The contractor has been performing well and everything is going smoothly. The contractor has reached an important Milestone and is holding a little celebration at their project office. They are havinga barbeque Friday afternoon at lunch time and have invited you to attend.
What should you do?
SITUATION NO. 2 CONTRACTOR DEFICIENCY LETTER
A major traffic switch was planned for last night. Everything was going well at first. The contractors signalization subcontractor left the site before completely checking the new signals. The signals were not working correctly. The contractor could not get the signal people out to job until 10 am the next morning causing a major traffic problem
What should you do?
SITUATION NO. 3 MISTAKE IN CONTRACTOR’S SA PRICING
You are reviewing an estimate submitted by your contractor for an SA.You find that the contractor has made a mistake in the calculations in favor of the FDOT.
What should you do?
Example:
20,000 cy @ $3.00 = $6,000.
SITUATION NO. 4 UNSAFE CONTRACTOR WORK PROCEDURE
The contractor is beginning the setup for a structural erection. Based upon what you have seen, you believe that there is a real safety problem with the way the work will be performed.
What should you do?
SITUATION NO. 5 FAMILY AND WORK
The Project Administrator has a son and the Contractor asks if he could hire him to work on the current project?
What should you do in this situation ?
SITUATION NO. 6 FAMILY AND WORK
The Project Administrator for a project has a son that is looking for work and asks the contractor if they are hiring and would they hire the son ?
a. On the current projectb. On a future project
What should you do?
SITUATION NO. 7 WORK AND CONTRACTOR
The Project Administrator is a bass guitarist in a band. CEI consultant asks him to have the band play at their annual sales celebration meeting.
a. CEI has inspector working for PA.
b. No one presently working for PA
What should you do?
SITUATION NO. 8 FAMILY AND WORK
• You manage a FDOT consultant Contract and need a clerical person plus, your daughter needs a job. What do you tell her to do?
