CODE OF PROFESSIONAL

CONDUCT AND
ETHICAL STANDARDS

PICE Oman Chapter

11th GENERAL ASSEMBLY
Muscat Dunes Hotel, Al Khuwair
19th January 2018
Engr. Kathryn Noelle U. Mascardo-Syed,
BScCE, AIQS(Affil), PICQS(Prob)

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Introduction
• Code of Professional Conduct and
Ethical Standards are published pursuant
to the By-Laws of Professional Institutes
so that members may be reminded of the
professional and moral principles which
should always govern their conduct.

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 Learning Outcomes
• Explain the meaning and origins of ethics.
• Relationship between law and ethics.
• Ethical dilemmas.
• PICE Code of Ethics
• RICS Ethical Standards
• AIQS Code of Professional Conduct
• Any additional requirements by other
professional institutions.

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What is Ethics?
• Ethics is defined in the Oxford English
Dictionary as “the science of morals”.

• The word is derived from the Greek word

‘ethos’, of which one meaning might be ‘the set
of moral values and principles which underpin
any particular society’

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What is Ethics?
• Ethics is a standard for deciding right and
wrong.

• It is a general moral beliefs and rule of conduct.

• Culture plays a fundamental role in determining

our basic norms and values as well as the
environment in which our ethical values
develop.
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What is Ethics?
• A modern philosopher, Mary Warnock, sums up the
essence, and the contradictions, of modern ethics in the
following words:

“Ethics is a complicated matter. It is partly a matter of

general principles or even rules, like those of manners, but is
largely a matter of judgment and decision, of reasoning and
sentiment, of having the right feeling at the right time, and
every time is different”.
• (Mary Warnock, An intelligent person’s guide to ethics).

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What is Ethics?
• The moral principles governing or
influencing conduct.

• The branch of knowledge concerned

with moral principles.

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What is Ethical Conduct in
Business?
• This involves learning what is right
and wrong and then doing the right
thing.

• How do you decide what is ethical

behaviour? If your conscience tells
you that something is not really “right,
it is probably unethical.

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Why do professionals need to
comply with ethics?
• Professionals tend to be towards the
commercialism than respecting
professional values;
• Need for greater openness and
transparency in business dealings.
• Business problems cannot always be
resolved by legislation and experience.
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What are professional ethics and
why are they important?
• Professional and ethical standards go to
the core of what being a professional is all
about.
• Professionals have a high standing in
society. With this standing comes
responsibility.
• Responsibility to act in the public interest
and for the good of the profession.
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Ethics and Law

• In contrary to the law, one’s

ethical responsibilities go beyond
the extent of legal responsibilities
and establish with moral
obligations.

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 Ethics and Law

• However, the distinction between law and

ethics is not a clear-cut one. For example,
in the recent past, most of the countries in
the world have enacted ‘human rights’
legislations through which moral rights are
codified in to the Acts of Parliaments.

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 Ethics and Law

• As an example, Human Rights Act 1998 in

UK plays an important role by
incorporating some of the human rights
under the Act like:
– right to free speech
– right to free choice of employment
– right to just and fair working conditions and
remuneration
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 Ethics and Law

– the right to reasonable periods of rest and

leisure
– the rights to privacy.

The above said rights could all be seen to

be essentially moral rights which now are
enshrined in the law.

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 Ethics and Law

Legislation such as this blurs the boundary

between ethics and the law.

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Ethical Dilemmas

• An ethical dilemma is a complex issue

that cannot be satisfactorily determined by
the use of facts and technical rules alone.
• An ethical dilemma is a management
issues involving both people and a moral
question.
• The practitioner must follow his or her
convictions and professional judgment.

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PICE CODE OF ETHICS
• Fundamental Principles
Civil Engineers uphold and advance the integrity, honor
and dignity of the civil engineering profession by:

1. Using their knowledge and skill for the enhancement

of human welfare and the environment;
2. Being honest and impartial and serving with fidelity
the public, their employers/employees and clients;
3. Striving to increase the competence and prestige of
the civil engineering profession; and
4. Supporting the professional and technical societies of
their disciplines.

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PICE CODE OF ETHICS
• Fundamental Canons
1. Civil 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 duties.

2. Civil Engineers shall perform services only in areas of

their competence.

3. Civil Engineers shall issue public statements only in

an objective and truthful manner.

4. Civil Engineers shall act in professional matters for

each employer or client as faithful agents or trustees,
and shall avoid conflicts of interest.
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PICE CODE OF ETHICS
• Cont. Fundamental Canons
5. Civil Engineers shall build their professional
reputation on the merit of their services and shall not
compete unfairly with others.

6. Civil Engineers shall act in such a manner as to

uphold and enhance the honor, integrity, and dignity
of the civil engineering profession.

7. Civil Engineers shall continue their professional

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

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RICS’ ETHICAL STANDARDS &
PROFESSIONAL CONDUCT
• At level 1: Demonstrate knowledge and understanding of
the role and significance of RICS and its functions.

• At level 2: Provide evidence of practical application in your

area of practice, being able to justify actions at all times
and demonstrate personal commitment to the rules of
conduct, ethics and RICS 5 professional and ethical
standards.

• At level 3: Provide evidence of application of the above in

your area of practice in the context of advising clients.

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RICS’ GLOBAL FRAMEWORK
FOR PROFESSIONALS
There are five ethical and professional
standards. All members must demonstrate that
they:
Keyword: “STIRR”

1. Always provide a high Standard of service.

2. Act in a way that promotes Trust in the
profession.
3. Act with Integrity.
4. Treat others with Respect.
5. Take Responsibility.
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 RICS’ GLOBAL FRAMEWORK
FOR PROFESSIONALS
1. Always provide a high Standard of service.

This standard includes, but is not limited to, the

following behaviors or actions:
• Be clear about what service your client wants and the
service you are providing
• Act within your scope of competence. If it appears that
services are required outside that scope then be prepared
to do something about it, for example, make it known to
your client, obtain expert input or consultation, or if it's the
case that you are unable to meet the service requirements,
explain that you are not best placed to act for the client
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RICS’ GLOBAL FRAMEWORK
FOR PROFESSIONALS
• Be transparent about fees and any other costs or
payments such as referral fees or commissions
• Communicate with your client in a way that will allow them
to make informed decisions
• If you use the services of others then ensure that you pay
for those services within the timescale agreed
• Encourage your firm or the organization you work for to put
the fair treatment of clients at the center of its business
culture.

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RICS’ GLOBAL FRAMEWORK
FOR PROFESSIONALS
Some of the key questions that you could ask
yourself include:
• Do I explain clearly what I promise to do and do I keep to
that promise?
• Do I look at ways to improve the service I provide to my
clients?
• How can I help my clients better understand the surveying
services that I am offering?
• Am I providing a professional service for a professional
fee?
• Would the client still employ me if they knew more about
me and the workload I have? If not, why not?
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RICS’ GLOBAL FRAMEWORK
FOR PROFESSIONALS
2. Act in a way that promotes Trust in the
profession.
This standard includes, but is not limited to, the
following behaviors or actions:
• Promoting what you and the profession stand for - the
highest standards globally
• Understanding that being a professional is more than just
about how you behave at work; it's also about how you
behave in your private life
• Understanding how your actions affect others and the
environment and, if appropriate, questioning or amending
that behavior
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RICS’ GLOBAL FRAMEWORK
FOR PROFESSIONALS
• Fulfilling your obligations. Doing what you say you will
• Always trying to meet the spirit of your professional
standards and not just the letter of the standards

Some of the key questions that you could ask

yourself include:
• Do my actions promote the profession in the best light
possible?
• What is the best way for me to promote trust in myself, my
firm and the profession?
• Do I explain and promote the benefits, the checks and
balances that exist with the professional services that I
provide?
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RICS’ GLOBAL FRAMEWORK
FOR PROFESSIONALS
3. Act with Integrity.
This standard includes, but is not limited to, the
following behaviours or actions:
• Being trustworthy in all that you do
• Being open and transparent in the way you work. Sharing
appropriate and necessary information with your clients
and/or others to conduct business and doing so in a way
so they can understand that information
• Respecting confidential information of your clients and
potential clients.
• Don’t divulge information to others unless it is appropriate
to do so
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RICS’ GLOBAL FRAMEWORK
FOR PROFESSIONALS
• Don’t divulge information to others unless it is appropriate
to do so
• Not taking advantage of a client, a colleague, a third party
or anyone to whom you owe a duty of care
• Not allowing bias, conflict of interest or the undue influence
of others to override your professional or business
judgments and obligations
• Making clear to all interested parties where a conflict of
interest, or even a potential conflict of interest, arises
between you or your employer and your client
• Not offering or accepting gifts, hospitality or services,
which might suggest an improper obligation

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 RICS’ GLOBAL FRAMEWORK
FOR PROFESSIONALS
• Acting consistently in the public interest when it comes to
making decisions or providing advice

Some of the key questions that you could ask

yourself include:
• What would an independent person think of my actions?
• Would I be happy to read about my actions in the press?
• How would my actions look to RICS?
• How would my actions look to my peers?
• Do people trust me? If not, why not?
• How often do I question what I do, not just in relation to
meeting technical requirements but also in terms of acting
professionally and ethically?
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RICS’ GLOBAL FRAMEWORK
FOR PROFESSIONALS
• Is this in the interest of my client, or my interest, or the
interest of someone else?
• Would I like to be treated in this way if I were a client?
• Do I promote professional and ethical standards in all that I
do?
• Do I say "show me where it says I can't" or do I say "is this
ethical"?

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 RICS’ GLOBAL FRAMEWORK
FOR PROFESSIONALS
4. Treat others with Respect.
This standard includes, but is not limited to, the
following behaviors or actions:
• Always being courteous, polite and considerate to clients,
potential clients and everyone else you come into contact
with
• Never discriminate against anyone for whatever reason.
Always ensure that issues of race, gender, sexual
orientation, age, size, religion, country of origin or disability
have no place in the way you deal with other people or do
business

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RICS’ GLOBAL FRAMEWORK
FOR PROFESSIONALS
• As much as you are able, encourage the firm or
organization you work for to put the fair and respectful
treatment of clients at the center of its business culture

Some of the key questions that you could ask

yourself include:
• Would I allow my behavior or the way I make my decisions
to be publicly scrutinized? If not, why not? If so, what
would the public think?
• Are my personal feelings, views, prejudices or preferences
influencing my business decisions?
• How would I feel if somebody treated me this way?
• Do I treat each person as an individual?
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 RICS’ GLOBAL FRAMEWORK
FOR PROFESSIONALS
5. Take Responsibility.
This standard includes, but is not limited to the
following behaviors or actions:
• Always act with skill, care and diligence
• If someone makes a complaint about something that you
have done, then respond in an appropriate and
professional manner and aim to resolve the matter to the
satisfaction of the complainant as far as you can
• If you think something is not right, be prepared to question
it and raise the matter as appropriate with your colleagues,
within your firm or the organization that you work for, with
RICS or with any other appropriate body
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RICS’ GLOBAL FRAMEWORK
FOR PROFESSIONALS
Some of the key questions that you could ask
yourself include:
• Am I approachable?
• Does my firm or organization have a clear complaints
handling procedure?
• Do I learn from complaints?
• Do I take complaints seriously?
• Am I clear about what the process is within my firm or the
organization that I work for about raising concerns?
• Have I considered asking for advice from RICS?

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RICS’ RULES OF CONDUCT
FOR FIRMS
There are five standards. All members must
demonstrate that they:
Keyword: “ASIATICccCUPS”

• Advertising
• Service
• Integrity
• Arrangements to cover the incapacity or death of
a sole practitioner
• Training
• Information to RICS
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RICS’ RULES OF CONDUCT
FOR FIRMS
Cont. of : “ASIATICccCUPS”
• Competence
• Complaints handling
• Client’s money
• Co-operation
• Use of designation
• Professional indemnity insurance
• Solvency

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RICS’ RULES OF CONDUCT
FOR MEMBERS
• Competence
• Lifelong learning
• Integrity
• Cooperation
• Service
• Information to RICS
• Solvency

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5 PRINCIPLES OF GOOD
REGULATION
What 5 principles are they based around?
• Proportionality
• Accountability
• Consistency
• Transparency
• Targeting

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AIQS CODE OF PROFESSIONAL
CONDUCT
• Responsibility of Members, Partnerships and
Corporations
1. Provide professional services of a high
standard - Members, Partnerships or
Corporations shall exercise all reasonable
skill, care and diligence in the performance
of the Services under the agreement with
the clients / employers.

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AIQS CODE OF PROFESSIONAL
CONDUCT
2. Maintain a high professional standard, be of
good fame (recognized), integrity (be
trustworthy in all that you do – never
deliberately mislead, whether by withholding or
distorting information), and character.

3. Compete fairly with other members,

partnerships and corporations by promoting the
selection of QSs by clients upon the basis of
merit, not on the basis of fees alone.

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AIQS CODE OF PROFESSIONAL
CONDUCT
4. Conduct themselves in a manner which is
not derogatory (insulting) to their
professional character nor likely to lessen
the confidence of the public in the Institute or
the profession nor bring them into disrepute
(disgrace).

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AIQS CODE OF PROFESSIONAL
CONDUCT
5. Promote the advancement of the Quantity
Surveying Profession. This includes organizing,
conducting and attending in CPD events,
attending assessor training sessions, becoming
assessors and chairmen of APC interview panel,
conducting APC interviews, act as supervisor
and counselor of APC candidates, becoming
member of steering committee of AIQS local
branch, writing articles and books on quantity
surveying etc.

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AIQS CODE OF PROFESSIONAL
CONDUCT
6. Inform their clients or employers of the
existence or likelihood of any conflict
between interest of themselves, their
partnership or corporation or where
applicable, any personal conflict of interest
related to their association with the
partnership or corporation and that of their
clients or employers.

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AIQS CODE OF PROFESSIONAL
CONDUCT
7. Inform their clients or employers if an
assignment requires qualifications and
experience outside their field of competence.

8. Not falsify or misrepresent their

qualifications, experience and prior
responsibility.

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AIQS CODE OF PROFESSIONAL
CONDUCT
9. On being approached or instructed to
proceed with quantity surveying work in
respect of which the member has reason to
believe services of another member,
partnership or corporation have been
engaged in respect of similar work by the
same client, notify such member, partnership
or corporation.

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AIQS CODE OF PROFESSIONAL
CONDUCT
10. Neither maliciously nor carelessly do
anything to injure, directly or indirectly the
reputation, prospects or business of other
members.

11. Not supplant (displace / oust) or attempt to

supplant another member, partnership or
corporation who or which has been awarded
a commission.

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AIQS CODE OF PROFESSIONAL
CONDUCT
12. Not advertise and /or promote their business
in an indiscrete (careless ) manner, or in a
manner which is in conflict with any of the
foregoing responsibilities.

13. Where holding themselves out to the public

as practicing quantity surveyors, have and
maintain appropriate liability insurance.

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AIQS CODE OF PROFESSIONAL
CONDUCT
14. Undertake a prescribed minimum level of
CPD activities, and certify their compliance
to the Institute every three years as notified
by the institute.

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AIQS ON CONFLICT OF
INTEREST
• A Member must take reasonable steps to identify
circumstances that could be construed as a
conflict of interest.
• A Member must not, in any dealings with a client
allow the interests of the Member to conflict with
those of a client.
• Member must not accept instructions from a
client or continue to provide services to a client
where accepting the instructions or continuing to
provide the services is likely to create either a
real or perceived conflict of interest.
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AIQS ON CONFLICT OF
INTEREST
• Where a conflict of interest arises, or where a
Member identifies circumstances that could be
construed as a conflict of interest.
• A Member must not accept a payment or favour
from a third party which may affect their
relationship with a client, unless the
circumstances are fully disclosed to, and agreed
by all interested parties.

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AIQS ON IMPARTIALITY
A Member must maintain the strictest
independence and impartiality where the
exercise of objective judgment is required.

In such circumstances, a Member must not:

1. adopt the role of advocate in a case where their
duty is to exercise independence and
impartiality;

2. act as an advocate and as an expert in the

same matter;
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AIQS ON IMPARTIALITY
3. act as an advocate in a matter where another
member of the same firm as the Member has
acted as an expert in that matter;

4. act as an expert in a matter where another

member of the same firm has acted as an
advocate in that matter;

5. allow the performance of their professional

duties to be improperly influenced by the needs
or preferences of a client or other party;
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AIQS ON IMPARTIALITY

6. rely upon critical information supplied by a client

without appropriate qualification or confirmation
from other sources; or

7. act in any way inconsistent with the duties of

independence and impartiality.

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WHAT IS UNETHICAL
BEHAVIOR?
1. Conflicts of Interest
• A conflict of interest arises when the interests of you
and your organisation or you/your organisation and
the interests of the Public or your client are in conflict.

2. Failure to maintain your technical

competence
• You should not accept an engagement which you are
not capable of undertaking or in areas that you are
inadequately skilled unless you will be adequately
supervised.

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WHAT IS UNETHICAL
BEHAVIOR?
3. The difficulty of admitting your own
mistakes and taking responsibility for them.
• If you have made a mistake, you may have difficulty
revealing it to your line manager/employer, especially
if it is deemed unethical and harmful to the
organisation or the client.

4. Instructions from your employer to carry out

unethical practices
• If your employer asks you to do something you believe
to be unethical, the dilemma will be whether to follow
or not.
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WHAT IS UNETHICAL
BEHAVIOR?
3. The acceptance of gifts, inducements or
gratuities from clients or competitors.
• If a client offers you a gift and you accept it could be
viewed as unethical as you may be expected to
influence an outcome in the future.

4. The safeguarding of client and organisation

confidentiality .
• Revealing information about a client to someone
outside your organisation is a breach of trust.

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