2000 CODE OF ETHICS

THE
INSTITUTION
OF ENGINEERS,
AUSTRALIA

2000
CODE OF ETHICS

Approved by the Congress of

The Institution of Engineers, Australia
in April 2000 and adopted by
The Association of Consulting
Engineers, Australia
and
The Association of Professional
Engineers, Scientists and Managers,
Australia.

2000 CODE OF ETHICS

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 THE INSTITUTION OF ENGINEERS, AUSTRALIA

The Institution of Engineers, Australia was founded in 1919 and incorporated

by Royal Charter in 1938. The work of the Institution covers all aspects of
the professional and technical fields of engineering. CODE OF ETHICS
All members of the Institution of Engineers, Australia,
The membership of the Institution comprises professional engineers,
in the practice of the discipline of engineering, are
engineering technologists, and engineering associates/officers, engaged in all
committed and obliged to apply and uphold the Cardi-
areas of engineering activity, as well as students preparing for such careers.
nal Principles of the Code of Ethics, which are:
• to respect the inherent dignity of the individual
• to act on the basis of a well informed conscience, and
PREAMBLE
• to act in the interest of the community.
Engineering is a creative process of synthesising and
implementing the knowledge and experience of human- These principles are encapsulated within and
ity to enhance the welfare, health and safety of all established by the Tenets of the Code of Ethics.
members of the community, with due regard to the
environment in which they live and the sustainability of The Tenets of the Code of Ethics:
the resources employed. It involves a diversity of re-
lated functions ranging from the development and ap- 1. Members shall place their responsibility for the
plication of engineering science through to the manage- welfare, health and safety of the community
ment of engineering works. The members of the Insti- before their responsibility to sectional or private
tution of Engineers, Australia are bound by a common interests, or to other members;
commitment to promote engineering and facilitate its
practice for the common good based upon shared val- 2. Members shall act with honour, integrity and
ues of: dignity in order to merit the trust of the commu-
• ethical behaviour; nity and the profession;
• competent performance; 3. Members shall act only in areas of their compe-
• innovative practice; tence and in a careful and diligent manner;
• engineering excellence;
• equality of opportunity; 4. Members shall act with honesty, good faith and
• social justice; and equity and without discrimination towards all in
• sustainable development. the community;

5. Members shall apply their skill and knowledge in

The community places its trust in the judgement and the interest of their employer or client for whom
integrity of members to pursue the stated values and to they shall act with integrity without compromising
conduct their activities in a manner that places the best any other obligation to these Tenets;
interests of the community above those of personal or
6. Members shall, where relevant, take reasonable
sectional interests. The Code of Ethics provides a state-
steps to inform themselves, their clients and
ment of principles which has been adopted by the Con-
employers, of the social, environmental, economic
gress of the Institution as the basis upon which mem-
and other possible consequences which may arise
bers shall conduct their activities in order to merit
from their actions;
community trust. It is also the framework from which
rules of conduct may be developed. 7. Members shall express opinions, make statements
The Tenets of the Code of Ethics embrace cardinal or give evidence with fairness and honesty and
principles, which are immutable. Members are required only on the basis of adequate knowledge;
to support and apply the Tenets as part of their obliga-
8. Members shall continue to develop relevant
tions of membership of the Institution and the advance-
The Institution of knowledge, skill and expertise throughout their
ment of the discipline of engineering. The Code is ac-
Engineers Australia careers and shall actively assist and encourage
companied by a section, which provides some gen-
NATIONAL OFFICE those with whom they are associated, to do
eral guidance on the application of the principles to
11 National Circuit likewise;
Barton, ACT 2600 meet perceived community expectations. Members are
phone 02 6270 6555 required to abide by the Tenets as part of their commit- 9. Members shall not assist in or induce a breach of
fax 02 6273 1488
www.ieaust.org.au ment to participate in the affairs of the Institution. A these Tenets and shall support those who seek to
breach of any one Tenet of the Code of Ethics is re- uphold them if called upon or in a position to do
garded as unethical conduct. so.

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2000 CODE OF ETHICS

GENERAL GUIDANCE FOR MEMBERS The Tenets express the shared commitment of the
Note: The following information is provided as a gen- members to act in a manner, which upholds the Cardi-
eral guide only. This information and any express or nal Principles and are based on the more specific prin-
inferred provision or statement does not in any way ciples expressed by:
form part of the Code of Ethics. The provisions of the • behaviour engendering community trust;
Code of Ethics and their interpretation and applica- • risk being managed in the interest of the
tion will depend at all times on the particular facts community;
and circumstances of the matter at issue or under
• the community having the right to be informed;
consideration. This General Guidance is provided to
assist members to understand the concepts embodied • a responsibility of service to clients or employers;
in the Code of Ethics but not to dictate them. • practice being in accord with sustainability and
environmental principles;
The Code of Ethics establishes the standard, which the • fairness in dealing with others;
members of the Institution adopt to regulate their work-
• relationships being on an open and informed
ing habits and relationships.
basis;
The Code is structured in two tiers covering Cardi-
nal Principles, which guide all behaviour governed by • opinions or evidence being a balanced and full
the Code and the linked Tenets, which provide more representation of the truth;
specifically the principles to which the members of the • knowledge being current to serve best the
Institution subscribe. The following section amplifies interests of the community, employers and clients;
but does not define the essence of the Cardinal Princi- • awareness of the consequences of actions;
ples and identifies, in general terms only, some of the
• a shared responsibility to uphold the Tenets.
principles, which underlie the Tenets.
INTERPRETATION
PRINCIPLES
The Tenets of the Code are couched in broad terms. The
The Cardinal Principles express the beliefs and values following comments are provided to expand on and
of the members of the Institution based on the recogni- give, among other things, some general guidance in
tion that: respect of interrelated or interdependent components
a. there are fundamental common ties that bind all of the Code as well as stand alone provisions. They are
humanity together and that our institutions derive provided to assist members to understand the philoso-
their ultimate value from people. Accordingly, our phy of the Code but are not part of the Code. Any
expectations and performance in dealing with guidance on ethical obligations as provided in this gen-
others should be conducted with fairness and eral guide is not to be applied or interpreted as limiting
honesty and members should accord the highest the scope of the Code nor should it be seen as exhaus-
importance to freedom of choice, equality of tive. A breach of the Code of Ethics occurs when a
opportunity and social justice; member acts contrary to the Code when judged in the
b. in the face of conflicting requirements, the particular circumstances of the matter at issue.
content and quality of our choices are finally a A member or other person requiring further guid-
matter of personal responsibility, and that in ance should contact either the office of the Assistant
coming to any decision members should give due Chief Executive or the Associate Director Engineering
weight to all relevant facts and guiding principles Practice, and request a copy of a list of Office Bearers
as far as they can be ascertained; and nominated, from time to time, by the Congress of the
Institution to provide guidance on ethical issues.
c. members hold a privileged and trusted position in
the community. Members have a duty to ensure
that this position is not used for personal or
sectional interests to the detriment of the wider
community.

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 THE INSTITUTION OF ENGINEERS, AUSTRALIA

THE COMMUNITY AREAS OF COMPETENCE AND

The commitment of members to act in the interest of DESCRIPTION OF QUALIFICATIONS
the community is fundamental to the ethical values of Members should understand the distinction between
the profession. The term “community” should be inter- working or providing advice and/or services in an area
preted in its widest context to comprise all groups in of competence and working competently. Working in
society, including the member’s own workplace. Mem- an area of competence requires members to operate
bers’ obligations to the welfare, health and safety of the within the limits of their qualifications and experience.
community involve the application of sound engineer- Working competently requires principally the applica-
ing judgement based on experience and relevant analy- tion of sound judgement. If an error of judgement oc-
sis to arrive at the appropriate balance of considera- curs it may, but not necessarily will, be as a result of
tions which must apply in any given situation. Protec- negligence. Even if negligent, that does not necessarily
tion of the environment is both a short term and long imply that the member has acted unethically.
term concern of the community and needs to be consid- Members, in complying with the Code of Ethics:
ered by members at all times. Members’ obligations a. should neither falsify nor misrepresent their own,
extend to taking reasonable steps to understand the or their associates’ qualifications, grades of
consequences of their own actions and the actions of membership, experience and prior responsibilities;
those with or for whom they are working.
b. should, in the practice of consulting engineering,
In general compliance with the provisions of the
not describe themselves, nor permit themselves to
Code of Ethics, members:
be described, nor act as consulting engineers
a. should work in conformity with accepted engi- unless they occupy a position of professional
neering and environmental standards and in a independence and are either prepared to design
manner which does not jeopardise the public and/or supervise engineering work or act as
welfare, health or safety; unbiased and independent advisers on engineering
b. should endeavour at all times to maintain engi- matters;
neering services essential to public health and c. should inform their employers or clients, and
safety; make appropriate recommendations on obtaining
c. should have due regard to requirements for the further advice, if an assignment requires qualifica-
health and safety of the workforce; tions and experience outside their fields of
d. should give due weight to the need to achieve competence;
sustainable development and to conserve and d. should acknowledge that the terms ‘professional
restore the productive capacity of the earth; engineer’ or ‘member of the engineering profes-
e. should endeavour to ensure that information sion’ are used to describe only those persons
provided to the public is relevant and in a readily eligible to be Graduate or Corporate Members of
understood form; the Institution;

f. should avoid assignments taken on behalf of e. should acknowledge that the term ‘engineering
clients or employers that are likely to create a technologist’ is used by the Institution to describe
conflict of interest between the member or their only those persons eligible to be Graduate
clients or employers and the community; Engineering Technologists or Engineering Tech-
nologist Members of the Institution;
g. should not use association with other persons,
corporations, or partnerships to conceal unethical f. should acknowledge that the term ‘engineering
acts; associate/officer’ is used by the Institution to
describe only those persons eligible to be Gradu-
h. should not involve themselves with any practice
ate Engineering Officers or Engineering Officer
which they know to be of a fraudulent, dishonest
Members of the Institution.
or criminal nature.

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2000 CODE OF ETHICS

CLIENTS AND EMPLOYERS their practice and availability. Information given

Members have a responsibility to provide loyal service must be truthful, factual and free from ostenta-
to their employers or clients for whom they should tious or laudatory expressions or implications;
apply their knowledge and skills with fairness, honesty c. should, when acting as administrator of a con-
and in good faith. Such loyalty extends to informing the tract, be impartial as between the parties in the
employer or client of any possible adverse consequences interpretation of the contract. This requirement of
of proposed activities based on accepted engineering impartiality should not diminish the duty of
practice of the day and taking all reasonable steps to members to fairly apply their skill and knowledge
find alternative solutions. Loyalty to the employer or in the interests of their employers or clients;
client also requires that strict confidentiality be applied d. should keep their employers or clients fully
with respect to information or property available to the informed on all matters, including financial
member as a result of the service provided. Members interests, which are likely to lead to a conflict of
should not reveal facts, data or information obtained interest;
without the prior consent of its owner. A possible ex- e. should advise their clients or employers when
ception to the provision of loyal service, which might they judge that a project will not be viable,
nevertheless still be consistent with obligations under whether on the basis of commercial, technical,
the Code, is when the welfare, health or safety of the environmental or any other such risk which the
community, or the environment on which they depend, member might reasonably have been expected to
is or is likely to be threatened by actions of the em- consider;
ployer or client and all reasonable attempts by the f. should inform their clients or employers of the
member to have the employer or client modify the pro- possible consequences in the event that a mem-
posed actions have been unsuccessful. ber’s judgements are over-ruled on matters
Members should relate to an employer or client on relating to the welfare of the community. Where
an open and informed basis so as to establish a position justified by the consequences, which result from
of trust. Any circumstances, which may be regarded as the matter continuing, members shall endeavour
detrimental to the maintenance of trust, should be further to persuade the client or employer to
avoided or disclosed. discontinue with the matter. If unsuccessful,
members may make the details of the adverse
Members, in complying with the Code of Ethics: consequences known to the public without
a. should promote the principle of selection of incurring a breach of the Code of Ethics;
consulting engineers by clients upon the basis of g. should neither disclose nor use confidential
merit as well as fees, and should compete with information gained in the course of their employ-
other consulting engineers on the same basis. ment without express permission, unless permis-
Members should note that it is acceptable for sion unduly withheld would jeopardise the
them to provide information as to the basis on welfare, health and safety of the community;
which they usually charge fees for particular types
h. should not undertake professional work under
of work. Also, it shall not be a breach of the Code
terms or conditions that would compromise their
of Ethics for members to submit a proposal for
ability to carry out their responsibilities in
the carrying out of work which proposal includes,
accordance with recognised professional stand-
in addition to a technical proposal, an indication
ards;
of the resources which members can provide and
i. should not accept compensation, financial or
information as to the basis upon which fees will
otherwise, from more than one party for services
be charged or as to the amount of the fees for the
on the same project, nor provide free services,
work which is proposed to be done. In this
unless the circumstances are fully disclosed to,
respect it is immaterial whether or not members
and agreed to, by all interested parties;
are aware that others may have been requested to
submit proposals, including fee proposals, for the j. should neither solicit nor accept financial or other
same work; considerations, including free engineering designs,
b. may use advertising (which includes direct from material or equipment suppliers for specify-
approaches to prospective clients by any reason- ing their products;
able means) which is not misleading, to announce k. should neither pay nor offer directly or indirectly

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 THE INSTITUTION OF ENGINEERS, AUSTRALIA

inducements to secure work; or not precluded by the terms of appointment for

l. should neither solicit nor accept gratuities, review; and
directly or indirectly, from contractors, their i. should not unfairly criticise others for their past
agents, or other parties dealing with their clients work where such work was conducted in accord-
or employers in connection with work for which ance with the accepted standards and practices
they are responsible. and community values of the time, and in accord-
ance with the needs of the time.
COLLEAGUES
The Tenets of the Code of Ethics are based on shared ACTING AS AN EXPERT WITNESS
values and a shared responsibility to uphold them. An expert witness is in a privileged position in giving
Members have an obligation to exercise fairness in deal- evidence in judicial or quasi-legal proceedings. This
ing with others and to provide support and assistance privileged position may allow the expert in a hearing to
when required. Members should avoid any actions or be present when other witnesses are giving evidence
statements which can be construed as being unfairly contrary to the normal exclusion and to advise counsel
critical of a colleague or intended to favour their own on examination of other expert witnesses. Additionally
position at the expense of a colleague. to giving evidence as to matters of fact, as a normal
Members, in generally complying with their obliga- witness, an expert may give evidence by way of opinion
tions under the Code of Ethics: based on factual or hypothetical circumstances. The
a. should exercise due restraint in explaining their role of the expert witness is generally to give a tribunal
own work, should give proper credit to those to the benefit of the expert’s special training, knowledge
whom proper credit is due and should acknowl- and experience to assist or guide the tribunal in respect
edge the contributions of subordinates and others; of matters which the tribunal itself may not have ad-
equate knowledge or experience. The duty of the expert
b. should accept, as well as give, honest and fair
witness is to the tribunal and the process and not to the
professional criticism when commenting on
party engaging the expert to give evidence before a
another’s work or making public comment;
tribunal. The expert witness should not be an advocate
c. should compete on the basis of merit;
in the proceedings and advocacy rather than objective
d. should neither maliciously nor carelessly do and honest presentation of evidence is likely to incon-
anything to injure, directly or indirectly, the sistent with obligations under the Code of Ethics.
reputation, prospects or business of others;
e. should, where acting as a representative on behalf In compliance with general obligations under the
of an employer, recognise that other members, Code of Ethics members acting as experts should:
who are employees, are colleagues to whom the a. prepare reports and make statements or give
Code of Ethics applies; evidence before any tribunal in an objective and
f. recognising the duty of consulting engineers to accurate manner. Any opinion expressed should
provide frank and fearless advice to clients, be on the basis of adequate knowledge and
should not mischievously, recklessly or falsely call technical competence in the relevant area but may
into question the skill, competence, qualifications be speculative based on experience and wide
or experience of a duly appointed consulting relevant knowledge provided such speculation and
engineer for the purpose of undermining the the basis are clearly disclosed;
standing or appointment of that consulting b. reveal the existence of any interest, pecuniary or
engineer; otherwise, that might actually affect or give the
g. should not induce a client to breach a contract appearance of affecting their judgement in any
entered into with a duly appointed consulting matter about which they are making a statement
engineer; or giving evidence;
h. should, if asked by a client to review the work of c. ensure that all reports and opinions given to a
another, whether or not for the purposes of client prior to the institution or continuance of
replacing that other, discuss the review with the any legal proceedings include all relevant matters
other person or organisation to present a bal- of which they are aware, whether or not the
anced opinion where such discussion is possible reports and opinions are favourable to the

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position of their client; • Make any objections to unethical practices

d. ensure that they listen carefully to each question promptly so as to avoid any misinterpretation of
put and that each answer given, before a tribunal, the motives for doing so.
is given objectively, truthfully and as completely • Focus on the issues and proceed in a tactful, low-
as possible, covering all matters relevant to the key manner to avoid unnecessary personal
question; antagonism, which might distract attention from
e. when giving evidence as to past occurrences, solving the problem.
unless otherwise directed by the tribunal, have • Keep supervisors informed of their actions, as
regard to normal practice and the state of much as possible, both through informal discus-
knowledge generally at the relevant time. sion and formal memoranda.
• Be accurate in their observations and claims, and
PUBLIC COMMENT OR STATEMENTS keep formal records documenting relevant events.
Public comment and statements by members should • Raise the problem initially through normal
comply with generally accepted standards of the com- organisational channels.
munity. The presentation of arguments should be made
• Consult colleagues for advice and avoid isolation.
in a way that maintains and enhances community trust
in the values and expertise of the membership of the • Consult with an Office Bearer nominated by the
Institution. A loss of community trust would be contrary Congress of the Institution on the ethical issues
to the best interests of the community in circumstances involved, or with other organisations as appropriate.
where the member’s comments might be crucial to the • Seek legal advice concerning potential legal
welfare, health and safety of the community. Members liabilities.
should display restraint in the manner in which they
comment on engineering matters, especially in circum- SCOPE OF APPLICATION AND
stances where the member, by explicit reference or DISCIPLINARY PROCEDURES IN RESPECT
implication, gives the public reason to believe that their OF OBLIGATIONS UNDER THE CODE OF
comments are made on the basis of relevant knowledge. ETHICS
The Code of Ethics applies to all members of the Insti-
UNAUTHORISED RELEASE OF tution and to any persons who are not members of the
INFORMATION (sometimes described as Institution but who have agreed to be bound by the
‘Whistleblowing’) provisions of the Code of Ethics under any arrangement
In the course of a member’s employment, situations approved by the Congress of the Institution.
may arise concerning the employer or client organisa-
tion, which may present the member with a significant THE MEMBERSHIP
moral problem. These could include criminal behav- A large proportion of the Institution’s membership com-
iour, threats to public safety or unethical policies. De- prises Professional Engineers, Engineering Technolo-
pending upon the particular circumstances a member gists and Engineering Associates/Officers. The respec-
may have responsibility under the provisions of the tive qualifications for these three groups are a four-year
Code of Ethics to ensure that any such practices are Australian professional engineering degree accredited
brought to the attention of those with direct authority by the Institution, or equivalent, a three-year Australian
to rectify the problem or to raise the matter elsewhere. engineering technology qualification accredited/recog-
The making of unauthorised statements differs from nised by the Institution, or equivalent, a two-year Aus-
the broader aspects of public comment or statements in tralian engineering associate qualification recognised
that it normally involves access to and disclosure of by the Institution, or equivalent. Students enrolled in
privileged information, either directly or indirectly, one of the above Australian engineering programs are
which information is not otherwise in the public do- also eligible.
main. Comment on the information available may lie An individual with suitable qualifications is admitted
outside a member’s area of competence. to the appropriate graduate grade. Higher grades are
Where a member has or is intending to make such available as the individuals become more experienced.
disclosure the member might consider the following Those who are not eligible for admission to one of
issues as a matter of practicality. the above three occupational categories, but who have

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 THE INSTITUTION OF ENGINEERS, AUSTRALIA

a degree or diploma acceptable to Council, and an ac- to observe one or more requirements of the Institu-
tive interest in a branch of Engineering or field of spe- tion’s Bye-laws or Code of Ethics.
cialisation, which may contribute to the activities of the A Complaints Board appointed by the National Presi-
Institution may be admitted to the grade of Affiliate. dent comprises a pool of people to act as members of
Full details of membership grades and qualifications complaints panels and appeals panels. When a complaint
are prescribed in the Institution’s Bye-laws. is received, the Chief Executive forwards the complaint
to the Convenor of the Complaints Board who appoints
a commissioner to investigate the complaint.
NATIONAL PROFESSIONAL ENGINEERS Complaints investigations are carried out in accord-
REGISTER (NPER) ance with the Disciplinary Regulations, using the Manual
NATIONAL ENGINEERING TECHNOLOGISTS of Investigation and Disciplinary Procedures as a gen-
REGISTER (NETR) eral guide.
The following sanctions may be applied: admoni-
The National Professional Engineers Register (NPER)
tion, reprimand, a fine, suspension from membership,
and the National Engineering Technologists Register
expulsion from membership, undertaking of specified
(NETR) are registers, administered by the Institution
professional development, obligation to operate profes-
on behalf of the Profession, respectively for Profes-
sionally under supervision, suspension or withdrawal
sional Engineers and Engineering Technologists who
of certification on relevant national registers adminis-
meet stringent criteria set for qualifications, experi-
tered by the Institution.
ence, competence and continuing professional devel-
Details of the decision and the reasons for it are sent
opment.
to the person concerned who may lodge an appeal. The
There is an articulation pathway for Engineering
Disciplinary Regulations provide for appeals to be heard
Officers/Associates to be recognised as Chartered En-
by an appeals panel.
gineering Technologists and therefore eligible for reg-
Where breaches are proven, the decisions are nor-
istration on the NETR. Similarly, there is an articulation
mally published. Where appropriate, similar publicity
pathway for Engineering Technologists to be recog-
will also be given to complaints which are dismissed.
nised as Chartered Professional Engineers and there-
The Disciplinary Regulations and Manual of Investi-
fore eligible for registration on the NPER.
gation and Disciplinary Procedures may be downloaded
When a person is entered on either of the registers,
from the Institution’s web-site at www.ieaust.org.au.
he or she acknowledges a commitment to ethical prac-
tice and a willingness to maintain an appropriate level
of professional competence through continuing profes- APPLICATION TO OTHER PROFESSIONAL
sional development. Non-members of the Institution ENGINEERING ORGANISATIONS
may apply for registration. The Institution of Engineers, Australia, the Association
The National Registers are reserved for practising of Professional Engineers Scientists and Managers, Aus-
professional engineers and engineering technologists, tralia, and the Association of Consulting Engineers,
respectively. The National Registers identify the disci- Australia, have adopted the provisions of this Code as
plines in which practitioners can demonstrate the com- binding on the actions of members of their respective
petence appropriate for independent practice. organisations. In this regard, they have jointly advised
and recommended to all members that the interests of
the community and of their profession will be best
PROCEDURES FOR HANDLING ALLEGED
served by commitment to the provisions of the Code of
BREACHES OF THE CODE OF ETHICS
Ethics through full individual membership and active
The National Congress of the Institution has approved support of each of the organisations for which they are
regulations governing the procedures for investigating eligible.
complaints against members and deciding whether there
has been improper conduct. The procedures also apply
to a registrant or a non-member of the Institution who RELATED INSTITUTION POLICY
has signed an undertaking to be bound by the Bye-laws, STATEMENTS AND DOCUMENTS
Code of Ethics and the Disciplinary Regulations. Im- IEAust has a range of policy documents to which mem-
proper conduct includes, amongst other things, failure bers should refer for further information.

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