Code of Conduct Regulations

Pursuant to By-law 32

Amended and approved by the Trustee Board on 10 February 2016

Members are specifically referred to By-law 30, which sets out the core ethical obligations for all
members of the Institution. The following Regulations are founded on the principles contained within this
By-law and the Statement of Ethical Principles published by the Engineering Council (EngC) 2007.

Pursuant to By-law 33

Amended and approved by the Trustee Board on 10 February 2016

Members are specifically referred to By-law 30, which sets out the core ethical obligations for all
members of the Institution. The following Regulations are founded on the principles contained within this
By-law and the Statement of Ethical Principles published by the Engineering Council (EngC) 2007.

CONDUCT OF CORPORATE AND NON-CORPORATE MEMBERS

Competence

CR 1 Members shall act with care and competence in all matters relating to their duties and shall:

CR 1.1 continuously throughout their careers take all reasonable steps to maintain and
develop their professional knowledge and skills relevant to their field of
professional activity (including new or changed statutory provisions) and their
technical and commercial leadership and management skills.

CR 1.2 take all appropriate measures to assess and limit risk in all aspects of their work
for others to whom they owe a duty of care.

CR 1.3 not undertake, condone or authorise any work that contravenes the legislation or
regulations applicable in the country in which they are working, even by an act of
omission.

CR 2 Members shall perform services only in areas of current competence and shall:

CR 2.1 be competent in relation to every project that they undertake. They shall ensure
that, having regard to the nature and extent of their involvement in a project, they
have the relevant knowledge and expertise, time and authority to perform. Where
appropriate, this may include access to the knowledge and experience of others,
or access to other relevant sources of knowledge, in addition to the member’s
own knowledge and experience. In so doing, they shall pay due regard to the
laws on copyright and other rights of intellectual property, both in their own
country and the country where the work is being undertaken.

CR 2.2 if aware or on becoming aware of relevant limitations in, or in any respect unsure
of, their competence to undertake professional work they shall disclose that fact
to their employer or the client of the work. The member shall only proceed when
the customer confirms their agreement to proceeding on that basis.

CR 2.3 take all reasonable steps to ensure that persons working under their authority are
both suitably equipped and competent to carry out the tasks assigned to them.

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Skill Development

CR 3 Members shall maintain up to date knowledge and skills and assist their development in
others and shall:

CR 3.1 maintain a record of evidence of Continuing Professional Development (CPD),

unless not professionally active. This record is to be presented to the Institution
upon request. This should not be limited to CPD which is dictated by their
employer but should also include that for their own development.

CR 3.2 give all reasonable assistance to further the education, training and continuing
professional development of other members and prospective members of the
engineering profession.

Discretion

CR 4 Members shall act for each employer or client in a reliable and trustworthy manner and:

CR 4.1 except in the case of an investigation by a court of law or tribunal, not divulge
any confidential information regarding the business affairs, technical process or
financial standing of their clients, contractors, or employers past or present
without their consent.

CR 4.2 not use information obtained in confidence for the purpose of making personal
profit. Neither shall they use any information obtained in the course of an
assignment for the purpose for personal profit.

CR 4.3 not divulge, without prior permission, any unpublished information obtained by
them as members of an investigating commission or advisory board, except in
the case of their final report.

Integrity

CR 5 Members shall not knowingly mislead, nor allow others to be misled, in professional
engineering matters and shall:

CR 5.1 when called upon to give an opinion in their professional capacity, do so to the
best of their ability and ensure that it is objective and based upon the best
available knowledge and information.

CR 5.2 when their professional advice is not accepted, take all reasonable steps to
ensure that the person overruling or neglecting that advice is aware in writing or
by other traceable means of any danger or loss which may ensue from such
over-ruling or neglect and in appropriate cases, to inform that person’s
employers of the potential risks involved.

CR 6 Members shall present and review engineering evidence, theory and interpretation honestly,
accurately and without bias and quantify all risks and shall:

CR 6.1 when an approach is received from a potential client, take all reasonable steps to
define, clarify and understand the brief with the customer. They shall be
particularly careful to make the customer aware that they will not be offering a
service in matters lying outside their competence. If other professional advice is
required, the customer shall be informed.

CR 6.2 when acting as independent experts, conciliators, mediators or arbitrators or

similar roles do so objectively, with impartiality, uninfluenced by any personal
considerations and without undue bias. If any conflict of interest arises they are
to declare it at the earliest opportunity.

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 CR 6.3 be or become aware of the risks of failing to achieve objectives, whether
concerning performance, cost or time and take account of the consequences of
any such failure and inform their employer or client.

CR 6.4 identify and quantify all risks and hazards associated with their work and manage
them in conformity with accepted engineering and environmental standards and
in a manner which does not compromise the welfare, health and safety of
society. They shall inform those for whom they work of all matters relating to
risks and hazards in a full and timely fashion.

CR 7 Members shall act honourably, responsibly, and lawfully so as to uphold the reputation,
standing and dignity of the profession in general and the Institution in particular and:

CR 7.1 if convicted of a criminal or civil offence anywhere in the world inform the
Institution promptly, and provide such information concerning the conviction as
the Institution may require. This does not included Fixed Penalty Notice
offences.

CR 7.2 after having been declared bankrupt or having made a composition with creditors
or having been disqualified as a Company Director immediately notify the
Institution of the same as they may be deemed guilty of improper conduct if they
are prevented from undertaking professional duties consistent with the standards
of membership of the Institution.

CR 7.3 if they become aware or have reasonable grounds for believing, that another
member is engaged in conduct or has engaged in conduct which is in breach of
the By-laws and Code of Conduct Regulations, inform the Institution in writing of
that belief, but in so doing no member shall maliciously or recklessly injure or
attempt to injure the reputation of another person.

CR 7.4 when entering into any correspondence (oral or written) shall not implicate the
Institution, through direct reference or use of membership status, in any
statement that may be construed as defamatory, discriminatory, libellous,
offensive, slanderous, subversive or otherwise damaging to the Institution.

CR 8 Members who, on behalf of the Institution, work with children or vulnerable adults must
comply with the Institution’s ‘Working with Children and Vulnerable Adults’ Policy.

CR 9 Members shall co-operate with any reasonable request made by the Institution’s
Investigating Panel, Disciplinary Board, or an Appeal Hearing for the purposes of their
functions.

CR 10 Members shall avoid deceptive acts and take steps to prevent corrupt practices and
professional misconduct; declare conflicts of interest and shall:

CR 10.1 at all times so order their conduct as to uphold the dignity and reputation of their
profession and to safeguard the public interest.

CR 10.2 ensure that only legitimate qualifications and demonstrable experience are cited
as evidence of professional competence.

CR 10.3 not knowingly undertake work on behalf of one client or employer that they may
then need to review, authorise or certify on behalf of a second client or employer.

CR 10.4 whilst acting for a client or employer, not be at the same time, directors or
substantial shareholders in any company with which they may have material
dealings on behalf of their client or employer, without divulging the full facts in
writing to their client or employer and obtaining their written consent to such
action.

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 CR 10.5 not improperly solicit work as an independent adviser or consultant, either
directly or by an agent, nor shall they pay any person, by commission or
otherwise, for the introduction of such work; provided that, if a member shall
be working in a country where there are recognised standards of professional
conduct, laid down in that country by a competent authority recognised by EngC
which are in conflict with the previous provisions of this requirement, they may
while continuing to work in that country order their conduct according to such
standards.

CR 10.6 when acting as independent advisers or consultants, they must not be the
medium of any payment made on their employer's behalf unless so requested by
their employer. They shall not place any contracts or orders in connection with
the work on which they are employed, except with the authority of and on behalf
of their employer.

CR 10.7 take reasonable and appropriate steps to inform an employer, contractor, or

client in writing of any conflict between their personal interest and faithful service
to their employer or client that may impair their ability to make objective
judgements.

CR 10.8 in the event of any conflict between their duties to their superiors and colleagues
or their duties to the engineering profession, ensure that their duties to the
engineering profession prevail.

CR 11 Members shall encourage their clients, suppliers, other business partners and colleagues to
adopt the same or similarly high standards of ethical behaviour.

Respect for others

CR 12 Members shall be alert to the ways in which their duties derive from and affect the work of
other people; respect the rights and reputations of others and shall:

CR 12.1 use their leadership and management skills responsibly.

CR 12.2 not recklessly or maliciously injure or attempt to injure whether directly or

indirectly the reputation, practice, employment or livelihood of another person.

CR 12.3 place responsibility for the welfare, health and safety of the workforce and wider
community at all times before responsibility to the profession.

CR 12.4 accept responsibility for all work done by them or under their supervision or
direction.

CR 12.5 behave with integrity and objectivity in their relationships with colleagues, clients,
employers, employees and with society in general.

CR 12.6 ensure, so far as they are able, that other members receive credit for their
professional achievements and all rewards to which they are entitled.

CR 12.7 contribute to creating an inclusive working environment where individuals are

respected and where the value of having a diverse workforce is recognised.

CR 12.8 embrace the needs of the community and future generations and adopt practices
that have minimal adverse effects on social, cultural, archaeological and ethnic
heritage, and the broader interests of humanity as a whole.

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Bribery and Corruption

CR 13 Members shall reject bribery and:

CR 13.1 not accept any payment or benefit in money or money’s worth from any person
other than their employer in connection with professional services rendered to
their employer. Neither shall they receive directly or indirectly any such payment
or benefit in respect of any article or process used in or for the purpose of the
work in respect of which they are employed. Gifts or hospitality of a relatively
trivial nature are not considered to be an inducement.

CR 13.2 not offer any payment or benefit in money or money’s worth to any person in
connection with professional services rendered by their employer. Neither shall
they offer directly or indirectly any such payment or benefit in respect of any
article or process used in or for the purpose of the work in respect of which they
are employed.

CR 13.3 record all gifts and hospitality received of any value in a document and make it
available for inspection by their employer or the Institution.

CR 13.4 have regard not simply to whether they feel themselves to have been influenced
but also to the impression that their actions will have on others.

CR 13.5 familiarise themselves with, and comply with, the relevant anti-corruption laws of
the countries in which they work or of which they are citizens or residents.
Members based in the UK or working for UK-based firms shall be mindful of the
provisions of UK legislation, under which UK-registered companies and UK
nationals can be prosecuted in the UK for an act of bribery committed either in
the UK or partially or wholly overseas.

CR 13.6 note that those who have senior management positions have a particular
obligation to make positive efforts to ensure that, as far as reasonably possible,
bribery and corruption does not exist, and cannot occur, in the organisations for
which they work. They shall set in place anti-corruption protocols, procedures
and training so that junior employees are not drawn into corrupt practices
through intimidation or persuasion by senior colleagues or clients.

Personal Protection

CR 14 Members shall ensure that they are protected against personal liability and:

CR14.1 shall when undertaking a professional assignment assess their potential liability
for the accuracy and consequences of the work and, where appropriate, hold
professional indemnity insurance together with statutory insurances, either
personally or through their employers and advise their clients of the position
before accepting a commission. (Requirements in relation to professional
indemnity may differ in some countries and members shall act accordingly).

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Sustainable Development

CR 15 Members shall recognise the importance of socio-economic and environmental factors and
shall minimise and justify any adverse effect on wealth creation, the natural environment
and social justice by ensuring that all developments, throughout their life, use best practical
and economic solutions to meet the needs of the present without compromising the ability of
future generations to meet their own needs and:

CR 15.1 comply with the obligations for health, safety and environmental protection in
relation to both organisational and legislative requirements and must be aware of
the purpose of the legislation and be prepared to respond to future legislative
demands.
CR 15.2 expect to use their influence to the fullest extent to ensure that the uses of
natural resources are fair, equitable and sustainable and take account of the
needs of a diverse environment, while never knowingly or deliberately over-
exploiting natural resources.

CR 15.3 promote the wise use of non-renewable resources through waste minimisation,
recycling and the development of alternatives where possible.

CR 15.4 never knowingly or deliberately cause the environment to be damaged or

nuisance to be created by the discharge of unacceptable quantities of any
substance or energy in any form, while minimising any adverse effects on its
associated flora and fauna and wherever possible give positive benefits.

CR 15.5 promote the concepts of integration of the management of the wider environment
and foster environmental awareness within the engineering profession and
among the public.

Whistleblowing

CR 16 Members shall take positive action when they encounter a material and unmanaged risk,
danger, malpractice or wrongdoing which materially affects others, subject to compliance
with the laws of the country in which they operate and:

CR 16.1 note that those who have senior management positions have a particular obligation
to make positive efforts to ensure that, as far as reasonably possible, their
employees are able to report such practices without fear of reprisals of any kind, in
particular, damage to their careers or prospects of advancement.

CR 16.2 be aware of their responsibility to support colleagues who wish to report such
practices.

CR 16.3 note that the Institution cannot provide direct support to members when they have a
concern that they believe needs to be raised. Assistance is available via the
Institution’s Support Network.

IMechE Code of Conduct Regulations - February 2016

Public Perspective

CR 17 Members shall actively promote public awareness of the impact and benefits of engineering
achievements and:

CR 17.1 contribute to public discussion on engineering matters in their area of

competence if they consider that by so doing they can constructively advance the
well-being of the community.

CR 17.2 in areas outside their area of competence, but in those in which a member can
demonstrate adequate knowledge, comment on details of a project within that
area of knowledge. Adequate knowledge generally applies to a narrow aspect of
an area of competence. Adequate knowledge may be acquired from working in
a related area of competence or through continued professional development.
However, adequate knowledge in a narrow area is not generally a sufficient basis
for public comment or advice on the overall solution to an engineering task
outside of a member‘s area of competence.

CR 17.3 in areas outside their area of competence, and in which they are not able to
demonstrate adequate knowledge, limit public comment or statements to
enquiries which seek to provide deeper understanding. In this respect the
member may draw on experience in engineering training and analysis as a basis
for asking objective questions which may assist the public to evaluate
engineering works without the member implying personal competence or
knowledge in the area.

CR 17.4 ensure that factual information they issue concerning engineering matters is
presented in a clear, objective, truthful and unambiguous fashion to the public.

CR 17.5 refrain from issuing public statements unless they do so in an objective and
truthful manner. They shall include all relevant and pertinent information in such
reports, statements or testimony that they make and ensure that they bear the
date indicating when it was current.

CR 17.6 not issue statements, criticisms or arguments on technical matters which are
inspired or paid for by interested parties, unless they have prefaced their
comments explicitly identifying the interested parties on whose behalf they are
speaking and by revealing the existence of any interest the members may have
in the matters.

CR 17.7 not issue statements on behalf of the Institution unless requested or instructed to
do so.

IMechE Code of Conduct Regulations - February 2016