This leaflet sets out the commitment of members to a code of ethics and conduct.

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Vanessa Chase
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1 Code of Conduct This leaflet sets out the commitment of members to a code of ethics and conduct. IHE members make a professional commitment to act responsibly with regard to safety and the environment, to act ethically, to maintain and develop their competence and to support new and prospective entrants. All members agree to abide by the IHE code of conduct which requires: Every Corporate Member of the institute at all times to so order his or her conduct as to uphold the dignity and reputation of the profession and to maintain his or her technical and professional competence and to safeguard the public in matters of safety, health and otherwise pertaining to the work of the highway and traffic incorporated engineer and technician. See over for an additional statement of Rules elaborating on the Code. The Memorandum and Articles provide for disciplinary action if a member is found to have breached the code. However, the expectation is that members abide by the code because they recognise the duty they owe society and themselves to uphold the standing of their chosen profession. Copies of IHE s disciplinary procedures and equal opportunities policy are available from the office or the website at The IHE Code is based on Engineering Council (UK) guidance. You are obliged as an IHE member to achieve five days a year of structured Continuing Professional Development. Your CPD should be guided by and recorded in a personal development plan. Helpful personal advice and support is available from the Deputy Secretary and in Moving ahead: your guide to Continuing Professional Development - _DocB_.pdf. This is IHE s guide to planning your development and includes helpful template forms which can also be downloaded from the website. IHE is required to monitor members compliance with this obligation by the Engineering Council (UK). IHE is committed to equality of opportunity for everyone applying for membership and for the Professional Review and to removing any barriers to applicants and members achieving their full potential. In turn we expect you not to discriminate and to promote equal opportunities.

2 Your Professional Ethics Council Starter Pack Council has adopted the following statement of rules elaborating on the Code of Conduct. The statement is binding on all members. Members are expected to: 1. Hold paramount the safety, health and welfare of the public and the protection of the environment in the practice of their profession. 2. Maintain and improve their competence: Demonstrate commitment to maintaining professional competence through self managed CPD Take responsibility for and manage their CPD Support the learning and development of others: Be prepared to act as a mentor Encourage employers to support professional development Share professional expertise and knowledge Provide support for the learning of others Contribute to the activities of their professional body 3. Undertake technological tasks for others if qualified by training or expertise and after full disclosure of any pertinent limitations. 4. Accept responsibility for work carried out under their supervision, treat subordinates fairly and without bias and advance their learning and competence. 5. Avoid real or perceived conflicts of interest where possible and disclose them to affected parties when they do exist. 6. Avoid disclosing confidential information acquired in the course of work, without the consent of the parties concerned or unless disclosure is clearly in the public interest, for instance under the Public Interest Disclosure Act. 7. Provide objective and truthful information when giving advice or criticism, making public statements or advertising/publicising services; advice should include clear statements of the impact and consequences of engineering decisions and projects. 8. Reject bribery in all its forms. 9. Make systematic assessments of environmental, health and safety risks related to their work and their individual legal liability and inform clients whether or not professional indemnity insurance is held. 10. Report any violations of this code by another member to IHE 11. Notify the Engineering Council (UK) and IHE of any convictions of a criminal offence (other than minor Road Traffic Offences) and, any adjudicated bankruptcy e.g. if a Director s Disqualification Order is made against them or if they enter into an Individual Voluntary Arrangement with creditors. 12. Respond promptly to any request from the Institute for comments or information on or documents relating to any disciplinary matter being investigated by a panel appointed by IHE whether in relation to themselves or to another member. Any member convicted by a court or other competent tribunal of a criminal offence (see 11 above) that, in the opinion of a Disciplinary Panel or Council, renders him unfit to be a member shall be guilty of improper conduct. The Institute s remit extends to competence, conduct and professionalism, but not to contractual disputes or similar.

3 CODE AND RULES OF CONDUCT Council Starter Pack 1. All members, when applying for election to the Institute, sign a declaration that they will be bound by the Memorandum and Articles and the Code of Conduct as follows: 2. Every corporate member of the Institute shall at all times so order his conduct as to uphold the dignity and reputation of the profession, to maintain his technical and professional competence and to safeguard the public in matters of safety, health and otherwise pertaining to the work of the highway and traffic incorporated engineer and technician. 3. Any member whose conduct is considered derogatory to the Institute may be expelled by resolution of the Council. No such resolution shall be effective unless at least two-thirds of the members of the Council present and voting thereon shall vote in favour of the resolution. Such member shall have twenty-eight clear days notice in writing sent to him of the Council Meeting and such notice shall contain brief particulars of the complaints made against him and he or his representative may attend and speak at the meeting, but shall not be present at the voting, or (except as aforesaid) take part in the proceedings otherwise than as the Council allow. On his being so expelled he shall return to the Institute his certificate of membership and pay outstanding subscriptions or other fees due from him. 4. The Memorandum and Articles above provide for disciplinary action if a member is found to have breached the following code. However, the expectation is that members abide by the code because they recognise the duty they owe society and themselves to uphold the standing of their chosen profession. In broad terms this means that members are expected to: 1. hold paramount the safety, health and welfare of the public and the protection of the environment in the practice of their profession. 2. maintain and improve their competence. 3. undertake technological tasks for others if qualified by training or expertise and after full disclosure of any pertinent limitations 4. accept responsibility for work carried out under their supervision, treat subordinates fairly and without bias and advance their learning and competence 5. avoid real or perceived conflicts of interest where possible and disclose them to affected parties when they do exist 6. avoid disclosing confidential information acquired in the course of work, without the consent of the parties concerned or unless disclosure is clearly in the public interest, for instance under the Public Interest Disclosure Act. 7. provide objective and truthful information when giving advice or criticism, making public statements or advertising/publicising services; advice should include clear statement of the impact and consequences of engineering decisions and projects 8. reject bribery in all its forms

4 9. make a systematic assessment of environmental, health and safety risks related to their work and their individual legal liability and inform clients whether or not professional indemnity insurance is held 10. report any violations of this code by another member to IHE 11. notify the Engineering Council and IHE of any convictions of a criminal offence (other than minor Road Traffic Offences) and, any adjudicated bankruptcy e.g. if a Director s Disqualification Order is made against them or if they enter into an Individual Voluntary Arrangement with creditors 12. Respond promptly to any request from the Institute for comments or information on or documents relating to any disciplinary matter being investigated by a panel appointed by IHE whether in relation to himself or to another member. Any member convicted by a court or other competent tribunal of a criminal offence (see 11 above) that, in the opinion of a Disciplinary Panel or Council, renders him unfit to be a member shall be guilty of improper conduct. The Institute s remit extends to competence, conduct and professionalism, but not to contractual disputes or similar.

5 RULES FOR INVESTIGATIONS, DISCIPLINARY PROCEEDINGS AND APPEALS Adopted by Council on 13 September 2000 Effective from 13 September Complaints must be in writing and contain sufficient detail to enable them to be investigated. The member concerned is not entitled to resign from membership until an investigation is complete and he has been notified of the outcome. 2. When a complaint is received, the Membership & Qualifications Committee sets up a Disciplinary Panel and all information is sent to the Panel by the Secretary. 3. The Disciplinary Panel shall be appointed by the Chairman of the Membership & Qualifications Committee. The Panel Chairman shall be a Past President. 4. At least two other members shall be appointed. Normally, a senior Council member not from Membership & Qualifications Committee and a Fellow not on Council but with some knowledge of the field of the complaint. 5. The Panel makes a preliminary decision on the nature of the case. If the Panel considers that there may be a remedy under civil law, or that the case might be more properly resolved through the courts, or that the case is not within its remit, then the Panel will inform all interested parties accordingly and will disband. 6. In general, questions of public interest, integrity, professional competence and professional conduct are within the remit of the panel. Questions of contractual liability and simple mistakes are not. 7. The Panel shall appoint one or more of their number to carry out any necessary investigation (see paragraph 13 below). 8. The Panel shall consider how to conduct any hearing in accordance with the principles listed below. The Panel shall at all times seek to act in accordance with these rules and to act fairly. Where these rules do not make specific provision for a procedure, the panel may adopt such procedure as appears to them to be fair and just in all the circumstances. The Panel shall at all times apply the following broad principles: (i) Balance the Panel shall have regard to the public interest, the interests of the Institute or of any of its members, the interest of any complainant, the interest of any person with a vested interest or legitimate expectation in

6 relation to a relevant matter, or any other interest which should properly be taken into account. Where two or more of these interests are in conflict, the Panel shall seek to balance such interests as fairly as possible, having regard to all the relevant circumstances. (ii) Equality the Panel shall not directly or indirectly discriminate against anyone person on the grounds of their race, colour, ethnic or national origin, nationality, citizenship, sex, sexual orientation, marital status, disability, religion or political persuasion. (iii) Proportionality the Panel shall recommend measures which are, in the panel s opinion, proportional to any allegation made and which are justified by their findings. (iv) Non-retroactivity and Notice no amendment or addition to the code of conduct shall have retrospective effect and any alleged breach of the code shall be judged by reference to the provisions of the code existing at the time of the alleged breach. All members shall be informed of any amendment to the code of conduct. (v) Right to a fair hearing any person who is or may be in jeopardy of being adversely affected by any decision of the Panel shall be entitled to full particulars of the allegations made save, exceptionally, where the Panel consider that there are substantial grounds for withholding full particulars. In which case (a) brief particulars must still be provided on request and (b) brief reasons must be given why full particulars are not disclosed. Any such person may make written representations to the Panel. No one who is a member of the Institute or has a legitimate expectation of membership shall be excluded from membership without first being given an opportunity to attend an oral hearing. Any such person has a right to legal representation and a right not to incriminate himself save in relation to the allegation in issue. (vi)finality the Panel shall not carry out an investigation or make any findings regarding any matter which has already been the subject of a previous decision by a Panel of the Institute, save where fresh information comes to hand and such information could not reasonably have been brought before the previous Panel. 10. Under the Data Protection Act (1999) Papers relating to disciplinary enquiries must be made available to the subject on request. Hence, only factual information that can be substantiated should be recorded. 11. The Chairman of the Disciplinary Panel shall keep notes and make an initial report of the Panel s deliberations. Either he, or another panel member nominated by him, shall make investigations as the Panel thinks proper to obtain sufficient evidence to enable a just and fair decision. Telephone conferencing facilities and may be used.

7 12. All correspondence is through the Secretary. 13. The Panel will decide whether to: (i) call for more written evidence from either side (ii) ask the member and/or complainant to a meeting (iii) involve the complainant further by sending him a copy of the member s submission (iv) commission a written report from an assessor. Such report may be disclosed to the member unless the panel decides otherwise, in which case, brief reasons shall be given to the member of why the report should not be disclosed 14. When the preliminary investigation is complete, an initial report is agreed by the Panel. 15. A copy of the complaint, the initial report and the Disciplinary Procedures is sent in writing to the member concerned inviting comments within 28 days. 16. The member has the right to make a written submission and to attend the Panel. If a hearing is held, the complainant normally submits evidence and may call witnesses (who maybe cross examined) followed by a rebuttal by the member or his representative with evidence which shall also be subject to cross examination 17. After consideration, the Disciplinary Panel will meet to decide and notify the Secretary of one of these actions: 1. The complaint is not supported by the evidence or is vexatious or frivolous; or 2. There is no case of professional misconduct; or 3. There is a case of professional misconduct and the member should be: (i) warned as to his future conduct (ii) reprimanded (iii) suspended or (iv) expelled 18. In the case of 3 (i) and 3(ii) the complainant and the member will be informed within 28 days, the case filed and a formal note prepared for Council. No further correspondence or action will be allowed. 19. If (3iii) or 3(iv), the Disciplinary Panel will prepare a summary of the facts and make a formal recommendation to the next quarterly meeting of the Council. At least 28 days notice will be given to the member concerned who has a right to attend or to be represented. 20. The Council will hear a presentation by the Chairman of the Panel and a written or verbal reply by the member and/or his representative.

8 21. Panel members and the member concerned will withdraw whilst Council decides whether to: 1. accept or amend the recommendation 2. reject the recommendation. A two-thirds majority of those present is required. 22. The member and complainant will be notified in writing within 14 days of the Council s decision which will be published in Highways. 23. In the case of members registered with the Engineering Council, the Council shall be informed of cases of where professional misconduct is found. APPEAL 24. Members have a right to appeal to Council at the investigation stage. 25. Leave to appeal at anytime is not granted automatically: grounds must be identified eg. New evidence, or apparent injustice at the hearing. 26. Registered members may appeal to the Engineering Council against the Institute s decision if found to have failed to practice engineering to the requisite standard, misconduct or any behaviour likely to bring IHE into disrepute, provided that the offence amounts to an offence in relation to the Council s rules of conduct or codes of practice. Appeals are carried out under ECUK Regulation 9. All notes of the evidence, IHE s decision and reasons for the decision shall be available to the Council. Informal appeals to the EC will only result in the EC discussing the case with the Institute to confirm that IHE s processes were followed. 27. Members who are suspended or expelled may appeal. IHE is party to the Construction Industry Council appeals tribunals. Detailed procedures are made available to the member on request.

4 A member shall discharge his obligations to all those with whom he has professional relations faithfully and with integrity.

4 A member shall discharge his obligations to all those with whom he has professional relations faithfully and with integrity. Modified and approved by Council of Management on 3 rd June 2004 in accordance with by-law No 68. Updated September 2009 to coincide with the launch of the Chartered Institution of Civil Engineering Surveyors.