ICPP Charter of Practice. 1
Section 1 - Introduction. 4
Section 2 - Integrity. 4
Section 3 - Do No harm. Minimise Risk to Others. 6
Section 4 - Competence and Quality of Service. 6
Section 5 - Advising Employers and Clients. 9
Section 7 - Confidential Information. 10
Section 8 - Impartiality and Conflict of Interest Between Clients. 13
Section 9 - Conflicts of Interest 15
Section 10 - Conflict Of Interest Between ICPP and Client or Employer 16
Section 11 - Preservation of Clients' Property. 17
Section 12 – Organisational and Individual Relationships. 18
Section 13 – Personal Relationships. 19
Section 14 - Fees. 19
Section 15 – Withdrawal from a Project 21
Section 16 – Promotion and Making Professional Services Available. 24
Section 17 - Responsibility to the Profession and Institute Generally. 25
Section 18. - Outside Interests and the Practice of the Profession. 26
Section 19. - The ICPP in Public Office. 27
Section 20 - Public Statements by Chartered Professional Practitioners. 28
The ICPP Corporate Social Responsibility Statement 30
Preamble
The concept of professionalism has developed over the centuries to meet a public need for services to be determined on an ethical and professional basis. Traditionally, this has involved the provision of advice and representation to protect or advance the rights and property of a client or employer by a trusted adviser with whom the client or employer has a personal relationship and whose integrity, competence and loyalty are assured.
In order to satisfy this need for professional services adequately, Chartered Professional Practitioners and the quality of service they provide must command the confidence and respect of the public. This can only be achieved if Chartered Professional Practitioners establish and maintain a reputation for both integrity and high standards of professional skill and development. Professional Practitioners of many countries in the world, despite differences in their systems, practices, procedures and customs, have all imposed upon themselves substantially the same basic standards. Those standards invariably place their main emphasis on integrity and competence.
The key objective of developing this Charter is to encourage a high level of personal professional conduct and responsibility- in order to benefit the practitioner and the community - not to establish a set of rigid regulations or mere platitudinal wrapping.
Chartered Professional Practitioners (ICPP s) as members of the Institute of Chartered Professional Practitioners are committed to high standards of ethical and professional conduct. They have joined together in subscribing to this International Charter of Professional Practise embracing the following topics:
ICPP s are personally accountable for their conduct and practise. This means that they are answerable for their actions and omissions, regardless of advice or directions from another professional or employer.
ICPP s are required as a result of undertaking the necessary qualification processes and by signing this Charter to demonstrate:
- honesty, fairness, trustworthiness and integrity
- the basic rule of professional ethics: to not knowingly to do harm;
- the adherence to all applicable laws and regulations;
- the active support, practice and promotion of this charter of professional and Ethical Conduct.
· The ICPP must
· act to identify and minimise risks to clients and employers
· preserve clients' property (both tangible and intangible)
· demonstrate competence and quality of service in a conscientious, diligent and efficient manner
· be both honest and candid when advising employers and clients.
· respect confidential information
· Show impartiality and have no conflict of interest
· Establishing equitable fee schedules
ICPP s have a duty of personal professional care to:
· Demonstrate responsibility to other Chartered Professional Practitioners individually
· Demonstrate a responsibility to the profession generally by participation in professional activities
- protect and support the interests of individual clients and employers
- protect and support the wider community
- act in such a way that justifies the trust and confidence the public have in them
- uphold and enhance the good reputation of the profession.
· Demonstrate responsibility to other professionals
· function to identify, serve, and satisfy all relevant publics, consumers, organisation’s and society
To qualify to sign the Charter and be admitted as a Chartered Professional Practitioner an ICPP candidate must have completed all the requirements.
Discipline
Dishonourable or questionable conduct on the part of the ICPP in either private life or professional practice will reflect adversely upon the ICPP, the integrity of the chosen professional activity and the administration of justice as a whole. If the conduct, whether within or outside the professional sphere, is such that knowledge of it would be likely to impair the client or employer 's trust in the ICPP as a professional consultant, a governing body may be justified in taking disciplinary action.
Any ICPP member found to be in violation of any provision of this Charter of Professional and Ethical Conduct may have his or her membership suspended or revoked.
AN ICPP may be disciplined for "conduct unbecoming". This is an act or conduct inimical to the best interests of the public or the professional members of the society; or, which tends to harm the standing of the chosen professional activity.
With some exceptions this Charter does not specify the conduct which would subject an ICPP to discipline. This Charter does not define conduct unbecoming. However, the duties stated in this Charter will be relied on by any committees or persons in making Professional Conduct Rulings and violations will be used as the basis for findings of conduct unbecoming by hearing committees. The rules, principles and commentaries are intended both to provide general guidance and prohibit some forms of conduct.
The essence of Professional Responsibility is that the ICPP must act at all times with utmost integrity, and good faith to the Institute; the laws of the country; to the client or employer, and to other professionals.
Given the many and varied demands to which the ICPP is subject, it is inevitable that challenges will arise. No set of rules can foresee every possible situation, but the ethical principles set out in the Charter are intended to provide a framework within which the ICPP may, with courage and dignity, provide the high quality of professional services that a complex and ever-changing society demands.
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The extent to which each ICPP s conduct should rise above the minimum standards set by the Charter is a matter of personal decision. The ICPP who would enjoy the respect and confidence of the community as well as of other professional members of the chosen professional activity must strive to maintain the highest possible degree of ethical conduct. The value and strength of the chosen professional activity depend on high standards of professional conduct that permits no compromise.
The Charter of Professional and Ethical Conduct is to be understood and applied in the light of the public interest, which is its primary purpose. This principle is to be implicit and explicit. The application of the Charter to the diverse situations that confront an active professional in a changing society will reveal gaps, ambiguities and apparent inconsistencies. The Charter should not be construed as a denial of the existence of other duties equally imperative although not specifically mentioned. The principle of protection of the public interest will serve to guide the practitioner to the intent of the Charter and the applicable principles of ethical conduct.
The ICPP is more than a mere citizen or practitioner. The ICPP is an advisor to the client or employer and a member of an honourable profession. The ICPP s duty is to promote the public interest, serve the cause of their profession, maintain the authority of the law, be faithful to the client or employer’s trust, be candid and courteous with others and be true to good conscience.
Section 1 - Introduction
1.1 The purpose of this Charter of Professional and Ethical Conduct is to:
i. inform Chartered Professional Practitioners of the standards of professional and ethical conduct required of them in the exercise of their professional accountability and practice
ii. inform the public, other professions and employers of the standard of professional conduct that they can expect of a registered ICPP - Chartered Professional Practitioner.
Section 2 - Integrity
2.1 The ICPP shall discharge with integrity all duties owed to clients and employers, the profession, other professional members of the profession and the public.
2.2 The ICPP must be trustworthy
2.3 The ICPP must behave in a way that upholds the reputation of the profession. Behaviour that compromises this reputation may call your registration into question even if is not directly connected to your professional practice.
2.4 The ICPP must ensure the declaration of any financial or other interests in relevant organisation s providing such goods or services and ensure that professional judgement is not influenced by any commercial considerations.
2.4.1 The ICPP must refuse any gift, favour or hospitality that might be interpreted, now or in the future, as an attempt to obtain preferential consideration.
2.5 Guiding Principles
i. Integrity is the fundamental quality of any person who seeks to practice as a professional member of the chosen professional activity. If the client or employer is in any doubt about the ICPP s trustworthiness the essential element in the ICPP -client or employer relationship will be missing. If personal integrity is lacking the ICPP s usefulness to the client or employer and reputation within the profession will be destroyed regardless of how competent the ICPP may be.
ii. The principle of integrity is a key element of each section of the Charter.
2.6 Non-professional Activities
Generally speaking, the Institute will not be concerned with the purely private or extra-professional activities of an ICPP that do not bring into question the integrity of the chosen professional activity or the ICPP 's professional integrity or competence.
2.7. Notes
2.7.1. The rules of professional conduct enforced in various countries uniformly place the main emphasis upon the essential need for integrity and, thereafter, upon the duties owed by an ICPP to his client or employer, to other professional members of the chosen professional activity and to the public at large.
2.7. 2. Professional membership of a professional body is generally treated as an indication of good character in itself The public looks for a hallmark bestowed by a trusted professional body, and evidenced by entry on a register or professional members' list.
2.7. 3. Integrity, probity or uprightness are prized qualities in almost every sphere of life. The best assurance the client or employer can have, is the basis integrity of the professional consultant. Reputation is the greatest asset a practitioner or employee can have. A reputation for integrity is an indivisible whole; it can therefore be lost by actions having little or nothing to do with the profession. Integrity has many aspects and may be displayed (or not) in a wide variety of situations...the preservation of confidences, the display of impartiality, the taking of full responsibility are all aspects of integrity. So is the question of competence. Integrity is the fundamental quality, whose absence vitiates all others."
2.7.4. Illustrations of conduct that may infringe this section and the Charter generally include:
(a) committing any personally disgraceful or morally reprehensible offence that reflects upon the ICPP’s integrity (whereof a conviction by a competent court would be prima facie evidence);
(b) committing, whether professionally or in the ICPP’s personal capacity, any act of fraud or dishonesty, e.g., by knowingly making a false declaration or falsifying a document, even without fraudulent intent, and whether or not prosecuted therefore;
(c) making untrue representations or concealing material facts from a client or employer with dishonest or improper motives;
(d) taking improper advantage of the youth, inexperience, lack of education or sophistication, ill health, or un-business like habits of a client or employer ;
(e) misappropriating or dealing dishonestly with the client or employer’s monies;
(f) receiving monies from or on behalf of a client or employer expressly for a specific purpose and failing, without the client or employer’s consent, to pay them over for that purpose;
(g) knowingly assisting, enabling or permitting any person to act fraudulently, dishonestly or illegally toward the ICPP s client or employer;
(h) failing to be absolutely frank and candid in all dealings with clients and employers , fellow Chartered Professional Practitioners and other parties, subject always to not betraying the client or employer 's cause, abandoning the client or employer 's legal rights or disclosing the client or employer 's confidences;
Section 3 - Do No harm. Minimise Risk to Others
3.1 An ICPP will have a duty toward clients, employers, colleagues, the wider community and the organisation in which they work.
3.2 As an ICPP , you must act in a way that does no harm and will identify and minimise the risk to clients and employers
3.3 ICPP s must work individually and with other members of the team to identify and minimise the risk to clients and employers and to development environments that are conducive to professional and ethical practice.
Section 4 - Competence and Quality of Service
4.3 As an ICPP , you must maintain your professional knowledge, skills and competence
4.3.1 As an ICPP you must keep your knowledge and skills up-to-date throughout your working life. In particular, you should take part regularly in learning activities that develop your competence and performance.
4.3.2 ICPP s must acknowledge the limits of their professional competence and only undertake practice and accept responsibilities for those activities in which they are competent.
4.3.3 If an aspect of practice is beyond your level of competence or outside your area of registration, you must obtain help and supervision from a competent practitioner until you and your employer consider that you have acquired the requisite knowledge and skill.
4.4 Guiding Principles
4.4.1 Knowledge and Skill
i. Competence in the context of the first part of this section goes beyond formal qualification to practise. It has to do with the sufficiency of the ICPP s qualifications to deal with the matter in question. It includes knowledge, skill, and the ability to use them effectively in the interests of the client or employer.
ii. As professional members of the chosen professional activity, Chartered Professional Practitioners hold themselves out as being knowledgeable, skilled and capable in professional practise. The client or employer is entitled to assume that the ICPP has the ability and capacity to deal adequately with any professional matters undertaken on the client or employer’s behalf.
iii. The ICPP should not undertake a matter without honestly feeling either competent to handle it, or able to become competent without undue delay, risk or expense to the client or employer. The ICPP who proceeds on any other basis is not being honest with the client or employer.
iv. Competence involves more than an understanding of theory and principles: it involves an adequate knowledge of the practise and procedures by which such principles can be effectively applied. To accomplish this, the ICPP should keep abreast of developments in all theory and methods wherein the ICPP s practise lies.
v. In deciding whether the ICPP has employed the requisite degree of knowledge and skill in a particular matter, relevant factors will include the complexity and specialised nature of the matter, the ICPP 's general experience, the ICPP 's training and experience in the field in question, the preparation and study the ICPP is able to give the matter and whether it is appropriate or feasible to refer the matter to, or associate or consult with, an ICPP of established competence in the field in question. In some circumstances expertise in a particular field may be required; often the necessary degree of proficiency will be that of the general practitioner.
vi. The ICPP must be alert to recognise any lack of competence for a particular task and the disservice that would be done the client or employer by undertaking that task. If consulted in such circumstances, the ICPP should either decline to act or obtain the client or employer’s instructions to retain, consult or collaborate with an ICPP who is competent in that field. The ICPP should also recognise that competence for a particular task may sometimes require seeking advice from or collaborating with experts in other professional fields. In such a situation the ICPP should not hesitate to seek the client or employer’s instructions to consult experts.
vii. Numerous examples could be given of conduct that does not meet the quality of service required by the second branch of the Section. The list that follows is illustrative, but not by any means exhaustive:
(a) failure to keep the client or employer reasonably informed;
(b) failure to answer reasonable requests from the client or employer for information;
(c) unexplained failure to respond to the client or employer’s telephone calls;
(d) failure to keep appointments with clients without explanation or apology;
(e) informing the client or employer that something will happen or that some step will be taken by a certain date, then letting the date pass without follow-up information or explanation;
(f) failure to answer within a reasonable time a communication that requires a reply;
(g) doing the work in hand but doing it so belatedly that its value to the client or employer is diminished or lost;
(h) slipshod work, such as mistakes or omissions in statements or documents prepared on behalf of the client or employer;
(i) failure to maintain office staff and facilities adequate to the ICPP s practice;
(j) with-holding information from the client or employer or misleading the client or employer about the position of a matter in order to cover up the fact of neglect or mistakes;
(k) failure to make a prompt and complete report when the work is finished or, if a final report cannot be made, failure to make an interim report where one might reasonably be expected;
(l) self-induced disability, for example from the use of intoxicants or drugs, which interferes with or prejudices the ICPP s services to the client or employer.
(m) failure to maintain an adequate system to ensure an effective follow-up procedure with respect to project matters or employment roles.
viii. The requirement of conscientious, diligent and efficient service means that the ICPP must make every effort to provide prompt service to the client or employer. If the ICPP can reasonably foresee undue delay in providing advice or services, the client or employer should be so informed.
ix. This Section does not prescribe a standard of perfection. A mistake, even though it might be actionable for damages in negligence, would not necessarily constitute a failure to maintain the standards set, but evidence of gross neglect in a particular matter or a pattern of neglect or mistakes in different matters may be evidence of such a failure regardless of legal liability. Where both negligence and incompetence are established, while damages may be awarded for the former, the latter can give rise to the additional sanction of disciplinary action.
x. The ICPP who is incompetent and does the client or employer a disservice, brings discredit to the Institute, and may bring the profession into disrepute.
As well as damaging the ICPP s own reputation and practice, incompetence may also injure the ICPP s associates or dependants.
Section 5 - Advising Employers and Clients
5.1 The ICPP must be both honest and candid when advising clients.
5.2 Scope of Advice
5.2.1. The ICPP 's duty to the client or employer who seeks professional advice is to give the client or employer a competent opinion based on sufficient knowledge of the relevant facts, an adequate consideration of the applicable theory and the ICPP 's own experience and expertise. The advice must be open and undisguised, clearly disclosing what the ICPP honestly thinks about the merits and probable results.
5.2.2. Whenever it becomes apparent that the client or employer has misunderstood or misconceived what is really involved, the ICPP should explain as well as advise, so that the client or employer is informed of the true position and fairly advised about the real issues or questions involved.
5.2.3. The ICPP should clearly indicate the facts, circumstances and assumptions upon which the ICPP s opinion is based, particularly where the circumstances do not justify an exhaustive investigation with resultant expense to the client or employer. However, unless the client or employer instructs otherwise, the ICPP should investigate the matter in sufficient detail to be able to express an opinion rather than merely make comments with many qualifications.
5.2.4. The ICPP should be wary of bold and over-confident assurances to the client or employer, especially when the ICPP s employment may depend upon advising in a particular way.
5.2.5. If the client or employer so desires, the ICPP should assist in obtaining an independent second opinion.
6.3.1 When advising the client or employer the ICPP must never knowingly assist in or encourage any dishonesty, fraud, crime or illegal conduct, or instruct the client or employer on how to violate the law and avoid punishment. The ICPP should be on guard against becoming the tool or dupe of an unscrupulous client or employer or of persons associated with such a client or employer.
6.4 1. In addition to opinions on professional questions, the ICPP may be asked for or expected to give advice on non specific/professional matters such as the business, policy or social implications involved in a question, or the course the client or employer should choose. In many instances the ICPP s experience will be such that the ICPP s views on non specific/professional matters will be of real benefit to the client or employer. The ICPP who advises on such matters should, where and to the extent necessary, point out lack of experience or other qualification in the particular field and should clearly distinguish professional advice from such other advice.
6.5.1. The duty to give honest and candid advise requires the ICPP to inform the client or employer promptly of the facts, but without admitting liability, upon discovering that an error or omission has occurred in a matter for which the ICPP was engaged and that is or may be damaging to the client or employer and cannot readily be rectified. When so informing the client or employer the ICPP should not prejudice any rights of indemnity that either of them may have under any insurance, client or employer 's protection or indemnity plan, or otherwise. At the same time the ICPP should recommend that the client or employer obtain professional advice elsewhere about any rights the client or employer may have arising from such error or omission and whether it is appropriate for the ICPP to continue to act in the matter. The ICPP should also give prompt notice of any potential claim to the ICPP s insurer and any other indemnitor so that any projection from that source will not be prejudiced and, unless the client or employer objects, should assist and co-operate with the insurer or other indemnitor to the extent necessary to enable any claim that is made to be deal with promptly. If the ICPP is not so indemnified, or to the extent that the indemnity may not fully cover the claim, the ICPP should expeditiously deal with any claim that may be made and must not, under any circumstances, take unfair advantage that might defeat or impair the client or employer’s claim.
6.6.1 Where the ICPP is asked to provide independent advice or representation to another ICPP s client or employer in a situation where a conflict exists and whether or not that ICPP s fees are being paid by some other party, the provision of such advice or representation is an undertaking to be taken seriously and not lightly assumed or perfunctorily discharged. It involves a duty to the client or employer for whom the independent advice or representation is provided that is the same as in any other ICPP and client or employer relationship and ordinarily extends to the nature and result of the transaction.
Section 7 - Confidential Information
6.2.1. The ICPP cannot render effective professional service to the client or employer unless there is full and unreserved communication between them. At the same time the client or employer must feel completely secure and entitled to proceed on the basis that without any express request or stipulation on the client or employer’s part, matters disclosed to or discussed with the ICPP will be held secret and confidential.
7.2.2. This ethical section applies without regard to the nature or source of the information or to the fact that others may share the knowledge.
7.2.3. As a general section, the ICPP should not disclose having been consulted or retained by a person unless the nature of the matter requires such disclosure.
7.2.4. The ICPP owes a duty of confidentiality to every client or employer without exception, regardless of whether it is a continuing or casual client or employer. The duty survives the professional relationship and continues indefinitely after the ICPP has ceased to act for the client or employer, whether or not differences have arisen between them.
7.2.5. If you are required to disclose information outside the client team that will have personal consequences for clients, you must obtain their consent. If the client or employer withholds consent, or if consent cannot be obtained for whatever reason, disclosures may be made only where:
- they can be justified in the public interest
- they are required by law or by order of a court.
7.3 You must treat information about clients as confidential and use it only for the purposes for which it was given.
7.3.1 If it is impractical to obtain consent every time you need to share information with others, you should ensure that clients understand that some information may be made available to other professional members of the team involved in the delivery of the service. You must guard against breaches of confidentiality by protecting information from improper disclosure at all times.
7.3.2 You should seek clients’ wishes regarding the sharing of information with others within or external to their organisation.
7.4 Confidential Information Not to be Used
7.4.1. The fiduciary relationship between ICPP and client or employer forbids the ICPP to use any confidential information for the benefit of the ICPP or a third person, or to the disadvantage of the client or employer. The ICPP who engages in literary works, such as an autobiography, memoirs and the like, should avoid disclosure of confidential information.
7.4.2. The ICPP shall not disclose to one client or employer confidential information concerning or received from another client or employer and should decline employment that might require such disclosure.
7.4.3. The ICPP should avoid indiscreet conversations, even with the ICPP ’s spouse or family, about a client or employer’s affairs and should shun any gossip about such things even though the client or employer is not named or otherwise identified. Likewise the ICPP should not repeat any gossip or information about the client or employer’s business or affairs that may be overheard by or recounted to the ICPP . Apart from ethical considerations or questions of good taste, indiscreet shop-talk between Certified Professional Practitioners, if overheard by third parties able to identify the matter being discussed, could result in prejudice to the client or employer. Moreover, the respect of the listener for the Chartered Professional Practitioners concerned and the chosen professional activity generally will probably be lessened.
7.4.4. Although the Section may not apply to facts that are public knowledge, the ICPP should guard against participating in or commenting upon speculation concerning the client or employer’s affairs or business.
7.5.1 Confidential information may be divulged with the express authority of the client or employer concerned and, in some situations, the authority of the client or employer to divulge may be implied. For example, some disclosure may be necessary in a pleading or other document delivered in litigation being conducted for the client or employer.
7.5.2 The ICPP may (unless the client or employer directs otherwise) disclose the client or employer’s affairs to partners and associates in the firm and, to the extent necessary, to non specific/professional staff such as secretaries and filing clerks. This implied authority to disclose places the ICPP under a duty to impress upon associates, students and employees the importance of non-disclosure (both during their employment and afterwards) and requires the ICPP to take reasonable development to prevent their disclosing or using any information that the ICPP is bound to keep in confidence.
7.6.1. Disclosure may also be justified in order to establish or collect a fee, or to defend the ICPP or the ICPP s associates or employees against any allegation of malpractice or misconduct, but only to the extent necessary for such purposes. (As to potential claims for negligence, see the Section relating to Advising Clients.)
7.7.1. Disclosure of information necessary to prevent a crime or breach of the law will be justified if the ICPP has reasonable grounds for believing that an act is likely to be committed and will be mandatory when the anticipated crime is one involving violence or loss against the person.
7.8.1. When disclosure is required by law or by order of a court, the ICPP should always be careful not to divulge more information than is necessary or required.
Section 8 - Impartiality and Conflict of Interest Between Clients
8.1 The ICPP shall not advise or represent both sides of any project and, save after adequate disclosure to and with the consent of clients and employers or prospective clients concerned, shall not act or continue to act in a matter when there is or is likely to be a conflicting interest.
i. A conflicting interest is one that would be likely to affect adversely the ICPP s judgement or advice on behalf of, or loyalty to a client or employer or prospective client or employer.
ii. The reason for the Section is self-evident. The client or employer or the client or employer’s affairs may be seriously prejudiced unless the ICPP s judgement and freedom of action on the client or employer’s behalf are as free as possible from compromising influences.
iii. Conflicting interests include, but are not limited to the duties and loyalties of the ICPP or a partner or professional associate of the ICPP to any other client or employer, whether involved in the particular transaction or not, including the obligation to communicate information.
i. This Section requires adequate disclosure to enable the client or employer to make an informed decision about whether to have the ICPP act despite the existence or possibility of a conflicting interest. As important as it is to the client or employer that the ICPP s judgement and freedom of action on the client or employer’s behalf should not be subject to other interests, duties or obligations, in practice this factor may not always be decisive. Instead it may be only one of several factors that the client or employer will weigh when deciding whether to give the consent referred to in the Section.
ii Other factors might include, for example, the availability of another ICPP of comparable expertise and experience, the extra cost, delay and inconvenience involved in engaging another ICPP and the latter's unfamiliarity with the client or employer and the client or employer 's affairs. In the result, the client or employer’s interests may sometimes be better served by not engaging another ICPP . An example of this sort of situation is when the client or employer and another party to a commercial transaction are continuing clients of the same advisor but is regularly represented by different Chartered Professional Practitioners in the organisation.
iii. Before the ICPP accepts employment from more than one client or employer in the same matter, the ICPP must advise clients and employers that the ICPP has been asked to act for both or all of them, that no information received in connection with the matter from one can be treated as confidential so far as any of the others is concerned and that, if a dispute develops that cannot be resolved, the ICPP cannot continue to act for both or all of them and may have to withdraw completely. If one of clients and employers is a person with whom the ICPP has a continuing relationship and for whom the ICPP acts regularly, this fact should be revealed to the other or others at the outset.
iv. If, following such disclosure, all parties are content that the ICPP act for them, the ICPP should obtain their consent, preferably in writing, or record their consent in a separate letter to each. If following such disclosure, a party raises an objection; the ICPP shall advise the party that the party is free to obtain independent representation. The ICPP should, however, guard against acting for more than one client or employer where, despite the fact that all parties concerned consent, it is reasonably obvious that an issue contentious between them may arise or their interests, rights or obligations will diverge as the matter progresses.
v. If, after clients and employers involved have consented, a contentious issue between them or some of them arises, the ICPP , although not necessarily precluded from advising them on other non-contentious matters, would be in breach of the Charter if the ICPP attempted to advise them on the contentious issue. In such circumstances the ICPP should ordinarily refer clients and employers to a legal practitioner. However, if the issue is one that involves little or no legal advice, in a proposed business transaction, and clients and employers are sophisticated; they should be allowed to settle the issue by direct negotiation.
For the sake of clarity the foregoing paragraphs are expressed in terms of the individual ICPP and client or employer. However, the term "client or employer” includes a client or employer of the organisation of which the ICPP is an employee, partner consultant or associate, whether or not the ICPP handles the client or employer’s work. It also includes the client or employer of an ICPP who is associated with the ICPP in such a manner as to be perceived as practicing in partnership or association with the first ICPP , even though in fact no such partnership or association exists.
Generally speaking, in disciplinary proceedings arising from a breach of this Section and the Charter in general, the ICPP has the burden of showing good faith and that adequate disclosure was made in the matter and the client or employer’s consent was obtained.
Section 9 - Conflicts of Interest
(i) In this Section:
"client or employer” includes anyone to whom a professional member owes a duty of confidentiality, whether or not a provider-client or employer relationship exists between them;
"confidential information" means information obtained from a client or employer which is not generally known to the public;
"advisory organisation or firm" includes one or more professional members practicing:
(a) in a sole proprietorship,
(b) in a partnership,
(c) in association for the purpose of sharing common expenses but who are otherwise independent practitioners,
(d) as a corporation,
(e) in a government, a Crown corporation or any other public body, and
"project" means an assignment, project, case or client or employer file, but does not include general "know-how" and, in the case of a government ICPP , does not include policy advice unless the advice relates to a particular case;
“professional member" means a chartered member of this Professional Institute, and includes a students and associates registered with it.
9.2 Application
(i) This Section applies where a professional member transfers from one employer or organisation to another ("new organisation "), and either the transferring professional member or the new organisation is aware at the time of the transfer or later discovers that:
(a) the new organisation represents a client or employer in a matter which is the same as or related to a matter in respect of which the former organisation represents its client or employer ("former client or employer "),
(b) the interests of those clients in that matter conflict, and
(c) the transferring professional member actually possesses relevant information respecting that matter.
9.3 Chartered Professional Practitioners and Support Staff
This Section also imposes a general duty on professional members to exercise due diligence in the supervision of non-ICPP staff, to ensure that they comply with the Section and with the duty not to disclose:
- confidences of clients of the professional member's firm, and
- confidences of clients of other organisations in which the person has worked.
9.4. Practicing in Association
The definition of "organisation " includes one or more professional members practicing in association for the purpose of sharing certain common expenses but who are otherwise independent practitioners. This recognises the risk that Chartered Professional Practitioners practicing in association, like partners in an organisation, may need to share client or employer confidences while discussing their files with one another. This should be made clear to clients.
Section 10 - Conflict Of Interest Between ICPP and Client or Employer
(i) the client or employer expects or might reasonably be assumed to expect that the ICPP is protecting the client or employer’s interest; and
(ii) there is a significant risk that the interests of the ICPP and the client or employer may differ.
10.2 The ICPP shall not act for the client or employer where the ICPP s duty to the client or employer and the personal interests of the ICPP or an associate are in conflict.
10.3 The ICPP should not enter into a business transaction with the client or employer or knowingly give to or acquire from the client or employer an ownership, security or other pecuniary interest unless:
(i) the transaction is a fair and reasonable one and its terms are fully disclosed to the client or employer in writing in a manner that is reasonably understood by the client or employer;
(ii) the client or employer is given a reasonable opportunity to seek independent advice about the transaction;
(iii) the client or employer consents in writing to the transaction; and
(iv) there is no appearance of undue influence.
10.4. Guiding Principles
10.4.1. The guiding principles enunciated in the Section relating to impartiality and conflict of interest between clients applies to this Section.
10.4.2. A conflict of interest between ICPP and client or employer may exist in cases where the ICPP gives property to or acquires it from the client or employer by way of purchase, gift, testamentary disposition or otherwise. When such conflicts are contemplated the prudent course is to insist that the client or employer either be independently represented or have independent legal advice.
10.4.3. This Section applies also to situations involving associates of the ICPP . Associates of the ICPP within the meaning of the Section may include the ICPP 's spouse, children, any relative of the ICPP (or of the ICPP 's spouse) living under the same roof, any partner or associate of the ICPP in professional practise, a trust or estate in which the ICPP has a substantial beneficial interest or for which the ICPP acts as a trustee or in a similar capacity, and a corporation of which the ICPP is a director or in which the ICPP or an associate owns or controls, directly or indirectly, a significant number of shares.
The ICPP should avoid entering into a debtor-creditor relationship with the client or employer. The ICPP should not borrow money from a client or employer who is not in the business of lending money. It is undesirable that the ICPP lend money to the client or employer except by way of advancing necessary expenses in a matter that the ICPP is handling for the client or employer.
10.6 When is an Organisation or Person to be Considered a Client or employer
An organisation or person who is not otherwise a client or employer may be deemed to be a client or employer for purposes of this charter if such person might reasonably feel entitled to look to the ICPP for guidance and advice in respect of the transaction. In those circumstances the ICPP must consider such person to be client or employer and will be bound by the same fiduciary obligations that attach to an ICPP in dealings with a client or employer.
Section 11 - Preservation of Clients' Property
The ICPP owes a duty to the client or employer to observe all relevant laws and rules respecting the preservation and safekeeping of the client or employer’s property entrusted to the ICPP . Where there are no such laws or rules, or the ICPP is in any doubt, the ICPP should take the same development of such property as a careful and prudent owner would when dealing with property of like description. Property shall include tangible, (physical) property, intellectual property and financial property.
11.1 Guiding Principles
11.1.1. The ICPP ’s duties with respect to safekeeping, preserving and accounting for clients and employers ' monies and other property are generally the subject of special rules. In the absence of such rules the ICPP should adhere to the minimum standards set out in the note. "
11.1.2. The ICPP should promptly notify the client or employer upon receiving any property of or relating to the client or employer unless satisfied that the client or employer knows that it has come into the ICPP ’s custody.
11.1.3. The ICPP should clearly label and identify the client or employer’s property and place it in safekeeping separate and apart from the ICPP s own property.
11.1.4. The ICPP should maintain adequate records of clients' property in the ICPP ’s custody so that it may be promptly accounted for, or delivered to, or to the order of, the client or employer upon request.
11.1.5. The duties here expressed are closely related to those concerning confidential information. The ICPP should keep clients' papers and other property out of sight as well as out of reach of those not entitled to see them and should, subject to any right of lien, return them promptly to clients and employers upon request or at the conclusion of the ICPP ’s retainer.
Section 12 – Organisational and Individual Relationships
12.1 Chartered Professional Practitioners should be aware of how their behaviour may influence or impact on the behaviour of others in organisational relationships. They should not encourage or apply coercion to obtain unethical behaviour in their relationships with others, such as employees, suppliers or customers.
12.1.2 Avoid taking the work of others, in whole, or in part, and representing this work as their own and directly benefiting from it without compensation or consent of the originator or owner.
12.1.3 Avoid manipulation to take advantage of situations to maximise personal welfare in a way that unfairly deprives or damages the organisation or others.
12.2 1 The team includes clients or employers, other enterprise partners and stakeholders as well as other professionals
12.2 2 You are expected to work co-operatively within teams and to respect the skills, expertise and contributions of your colleagues. You must treat them fairly.
12.2.3 You must communicate effectively and share your knowledge, skill and expertise with other professional members of the team as required for the benefit of clients.
12.2 4 When working as a professional member of a team, you remain accountable for your professional conduct, any development you provide and any omission on your part.
12.2 5 You may be expected to delegate development work to others who are not professional practitioners. Such delegation must not compromise quality but must be directed to meeting the needs and serving the interests of clients. You remain accountable for the appropriateness of the delegation, for ensuring that the person who does the work is able to do it and that adequate supervision or support is provided.
Section 13 – Personal Relationships
13.1 As an ICPP , you must respect your client or employers as individuals
13.1.1 You must put as your primary responsibility the promotion of the interests of your clients and employers.
13.1.2 You must recognise and respect the role of clients as partners in their development and the contribution they can make to it. This involves:
identifying their preferences regarding development and respecting these within the limits of professional practice, existing legislation, resources and the goals of the professional relationship.
13.1.3 You are personally accountable for ensuring that you promote and protect the interests of clients and employers, irrespective of gender, age, race, ability, sexuality, economic status, lifestyle, culture and religious or political beliefs.
13.1.4 You must, at all times, maintain appropriate professional boundaries in the relationships you have with clients. You must ensure that all aspects of the relationship focus exclusively upon the business needs of the client or employer.
13.1.5 You must communicate any moral or conscientious objection that may be relevant to your professional practice or employment. You must continue to provide advice and assistance to the best of your ability until alternative arrangements are implemented.
Section 14 - Fees
14.1 ICPP s have an obligation to establishing equitable fee schedules
The ICPP shall not
(a) stipulate for, charge or accept any fee that is not fully disclosed, fair and reasonable;
(b) appropriate any funds of the client or employer held in trust or otherwise under the ICPP 's control for or on account of fees without the express authority of the client or employer, save as permitted by Law.
14.2 Factors to be Considered
14.2.1. A fair and reasonable fee will depend on and reflect such factors as:
(a) the time and effort required and spent;
(b) the difficulty and importance of the matter;
(c) whether special skill or service has been required and provided;
(d) the customary charges of other Chartered Professional Practitioners of equal standing in the locality in like matters and circumstances;
(e) in civil cases the amount involved, or the value of the subject matter;
(f) in criminal cases the exposure and risk to the client or employer;
(g) the results obtained;
(h) such special circumstances as loss of other employment, urgency and uncertainty of reward;
(i) any relevant agreement between the ICPP and the client or employer.
14.2.2 A fee will not be fair and reasonable and may subject the ICPP to disciplinary proceedings if it is one that cannot be justified in the light of all pertinent circumstances, including the factors mentioned, or is so disproportionate to the services rendered as to introduce the element of fraud or dishonesty, or undue profit.
14.2.3. It is in keeping with the best traditions of the chosen professional activity to reduce or waive a fee in cases of hardship or poverty, or where the client or employer or prospective client or employer would otherwise effectively be deprived of professional advice or representation.
14.3 Avoidance of Controversy
Breaches of this Section and misunderstandings about fees and financial matters bring the chosen professional activity into disrepute and reflect adversely upon the profession. The ICPP should try to avoid controversy with the client or employer over fees and should be ready to explain the basis for charges, especially if the client or employer is unsophisticated or uninformed about the proper basis and measurements for fees. The ICPP should give the client or employer an early and fair estimate of fees and disbursements, pointing out any uncertainties involved, so that the client or employer may be able to make an informed decision. When something unusual or unforeseen occurs that may substantially affect the amount of the fee, the ICPP should forestall misunderstandings or disputes by explaining this to the client or employer.
14.4 Interest on Overdue Accounts
Save where permitted by law, the ICPP should not charge interest on an overdue account except by prior agreement with the client or employer.
14.5. Apportionment and Division of Fees
14.5.1 The ICPP who acts for two or more clients in the same matter is under a duty to apportion the fees and disbursements equitably among them in the absence of agreement otherwise.
14.5.2 A fee will not be a fair one within the meaning of the Section if it is divided with another ICPP who is not a partner or associate unless (a) the client or employer consents, either expressly or impliedly, to the employment of the other ICPP and (b) the fee is divided in proportion to the work done and responsibility assumed.
14.6. Hidden Fees
i The fiduciary relationship that exists between ICPP and client or employer requires full disclosure in all financial matters between them and prohibits the ICPP from accepting any hidden fees. No fee, reward, costs, commission, interest, rebate, agency or forwarding allowance or other compensation whatsoever related to the professional employment may be taken by the ICPP from anyone other than the client or employer without full disclosure to and consent of the client or employer.
ii Where the ICPP s fees are being paid by someone other than the client or employer, or representative, the consent of such other person will be required. So far as disbursements are concerned, only bona fide and specified payments to others may be included. If the ICPP is financially interested in the person to whom the disbursements are made, such as an investigating, brokerage or copying agency, the ICPP shall expressly disclose this fact to the client or employer.
14.7. Sharing Fees for referring business
Any arrangement whereby the ICPP directly or indirectly shares, splits or divides fees with others who bring or refer business to the ICPP s office is improper and constitutes professional misconduct. It is also improper for the ICPP to give any financial or other reward to such persons for referring business – without the full knowledge of clients.
14.8 Fees Contingent on performance or attainment of specified outcomes
Unless prohibited by Law, it is not improper for the ICPP to enter into an arrangement with the client or employer for a contingent fee, provided such fee is fair and reasonable and the ICPP adheres to any rules relating to such agreements.
Section 15 – Withdrawal from a Project
15.1 The ICPP owes a duty to the client or employer not to withdraw services except for good cause and upon notice appropriate in the circumstances.
15.2.1. Although the client or employer has a right to terminate the ICPP -client or employer relationship at will, the ICPP does not enjoy the same freedom of action. Having once accepted professional employment, the ICPP should complete the task as ably as possible unless there is justifiable cause for terminating the relationship.
15.2.2. The ICPP who withdraws from employment should act so as to minimise expense and avoid prejudice to the client or employer, doing everything reasonably possible to facilitate the expeditious and orderly transfer of the matter to the successor ICPP .
15.2.3. Where withdrawal is required or permitted by this Section, the ICPP must comply with all applicable rules of court as well as local rules and practice.
In some circumstances, the ICPP will be under a duty to withdraw. The obvious example is following discharge by the client or employer. Other examples are (a) if the ICPP is instructed by the client or employer to do something inconsistent with the ICPP 's duty to the court and, following explanation, the client or employer persists in such instructions; (b) if the client or employer is guilty of dishonourable conduct in the proceedings or is taking a position solely to harass or maliciously injure another; (c) if it becomes clear that the ICPP 's continued employment will lead to a breach of this Charter such as, for example, a breach of the Charter relating to conflict of interest; or (d) if it develops that the ICPP is not competent to handle the matter. In all these situations there is a duty to inform the client or employer that the ICPP must withdraw.
Situations where an ICPP would be entitled to withdraw, although not under a positive duty to do so, will as a section arise only where there has been a serious loss of confidence between ICPP and client or employer. Such a loss of confidence goes to the very basis of the relationship. Thus, the ICPP who is deceived by the client or employer will have justifiable cause for withdrawal. Again, the refusal of the client or employer to accept and act upon the ICPP s advice on a significant point might indicate such a loss of confidence. At the same time, the ICPP should not use the threat of withdrawal as a device to force the client or employer into making a hasty decision on a difficult question. The ICPP may withdraw if unable to obtain instructions from the client or employer.
Failure on the part of the client or employer after reasonable notice to provide funds on account of expenses, disbursements wages, salary or fees will justify withdrawal by the ICPP .
No hard and fast rules can be laid down as to what will constitute reasonable notice prior to withdrawal. Where the matter is covered by statutory provisions or rules of court, these will govern. In other situations the governing principle is that the ICPP should protect the client or employer’s interests so far as possible and should not desert the client or employer at a critical stage of a matter or at a time when withdrawal would put the client or employer in a position of disadvantage or peril.
15.1.1 Upon discharge or withdrawal the ICPP should:
(a) deliver in an orderly and expeditious manner to or to the order of the client or employer all papers and property to which the client or employer is entitled;
(b) give the client or employer all information that may be required about the project or matter;
(c) account for all funds of the client or employer on hand or previously dealt with and refund any remuneration not earned during the employment;
(d) promptly render an account for outstanding fees and disbursements;
(e) co-operate with any successor ICPP or similar professional provider for the purposes outlined in paragraph 2. A fee may be charged for these activities
15.1.2 The obligation in clause (a) to deliver papers and property is subject to the ICPP s right of lien. In the event of conflicting claims to such property, the ICPP should make every effort to have the claimants settle the dispute.
15.1.3. Co-operation with the successor ICPP or similar professional provider will normally include providing any memoranda of facts and actions that have been undertaken by the ICPP in connection with the project or matter, but confidential information not clearly related to the matter should not be divulged without the express consent of the client or employer.
15.1.4. The ICPP acting for several clients in a case or matter who ceases to act for one or more of them should co-operate with the successor ICPP or Chartered Professional 15.1.5 Practitioners to the extent permitted by this Charter, and should seek to avoid any unseemly rivalry, whether real or apparent.
Where upon the discharge or withdrawal of the ICPP the question of a right of lien for unpaid fees, wages, salary out of pocket costs and disbursements arises, the ICPP should have due regard to the effect of its enforcement upon the client or employer's position. Generally speaking, the ICPP should not enforce such a lien if the result would be to prejudice materially the client or employer’s position in any uncompleted matter or if the action is not lawful.
Before accepting employment, the successor ICPP should be satisfied that the former ICPP approves, or has withdrawn or been discharged by the client or employer. It is quite proper for the successor ICPP to urge the client or employer to settle or take reasonable steps toward settling or securing any account owed to the former ICPP , especially if the latter withdrew for good cause or was capriciously discharged. But if a trial or hearing is in progress or imminent, or if the client or employer would otherwise be materially prejudiced, the existence of an outstanding account should not be allowed to interfere with the successor ICPP acting for the client or employer.
When a provider organisation is dissolved, this will usually result in the termination of the ICPP - client or employer relationship as between a particular client or employer and one or more of the Chartered Professional Practitioners involved. In such cases, many clients may prefer to retain the services of the ICPP whom they regarded as being in charge of their business prior to the dissolution. However, the final decision in each case rests with the client or employer.
Section 16 – Promotion and Making Professional Services Available
Chartered Professional Practitioners should make professional services known and available to the public in an efficient and convenient manner that will command respect and confidence, and by means that are compatible with the integrity, independence and effectiveness of the profession.
16.1.1. It is essential that a person requiring professional services is able to find a qualified ICPP with a minimum of difficulty or delay. Advertising of professional services by the ICPP may assist members of the public and thereby result in increased access to professional advice.
16.1.2. Despite the ICPP 's economic interest in earning a living, advertising, direct solicitation or any other means by which the ICPP seeks to make professional services more readily available to the public, must be consistent with the public interest and must not detract from the integrity, independence or effectiveness of the chosen professional activity.
16.1.They must not mislead or arouse unattainable hopes and expectations, because this could result in distrust of Certified Professional Practitioners. They must not adversely affect the quality of services, nor must they be so undignified, in bad taste or otherwise offensive as to be prejudicial to the interests of the public or the chosen professional activity.
16.2.1. The ICPP who is consulted by a prospective client or employer should be ready to assist in finding the right ICPP to deal with the problem. If unable to assist, for example because of lack of qualification in the particular field, the ICPP should assist in finding a practitioner who is qualified and able to act. Such assistance should be given willingly and, except in very special circumstances, without charge.
16.2.2. The ICPP may also assist in making professional services available by participating in programs of public information, education or advice concerning professional matters, and by being considerate of those who seek advice but are inexperienced in professional matters or cannot readily explain their problems.
Section 17 - Responsibility to the Profession and Institute Generally
17.1 The ICPP should assist in maintaining the integrity of the profession and should participate in its activities.
17.2.1. Unless the ICPP who tends to depart from proper professional conduct is checked at an early stage, loss or damage to clients or others may ensue. Evidence of minor breaches may, on investigation, disclose a more serious situation or may indicate the beginning of a course of conduct that would lead to serious breaches in the future. It is, therefore, proper (unless it is unlawful) for an ICPP to report to the Institute any occurrences involving a breach of this Charter. Where, there is a reasonable likelihood that someone will suffer serious damage as a consequence of an apparent breach; the ICPP has an obligation to the profession to report the matter unless it is unlawful to do so. In all cases, the report must be made without malice or ulterior motive.
17.2.2. The ICPP should not in the course of a professional practice write letters, whether to a client or employer , another ICPP or any other person, that are abusive, offensive or otherwise inconsistent with the proper tone of a professional communication from an ICPP
17.2.3 AN ICPP in his or her professional capacity shall not discriminate on the grounds of race, creed, colour, national origin, disability, age, religion, sex, sexual orientation, marital or family status in the employment of Certified Professional Practitioners, or support staff or in any relations between the ICPP and members of the profession or any other person or organisation.
In order that the profession may discharge its public responsibility of providing competent services, Chartered Professional Practitioners should do their part to assist the profession to function properly and effectively. In this regard, participation in such activities as continuing professional education, tutorials, community services, professional conduct and discipline, liaison with other professions and other activities of the governing body, although often time-consuming and without tangible reward, are essential to the maintenance of a strong, independent and useful profession.
The ICPP s conduct toward other Chartered Professional Practitioners should be characterised by courtesy and good faith.
17.5.1. Public interest demands that matters entrusted to the ICPP be dealt with effectively and expeditiously. Fair and courteous dealing on the part of each ICPP engaged in a matter will contribute materially to this end. The ICPP who behaves otherwise does a disservice to the client or employer, and neglect of the Section will impair the ability of Chartered Professional Practitioners to perform their function properly.
17.5.2. Any ill feeling that may exist or be engendered between clients should not be allowed to influence Chartered Professional Practitioners in their conduct and demeanour toward each other or the parties. The presence of personal animosity between Chartered Professional Practitioners involved in a project may cause their judgement to be clouded by emotional factors and hinder the proper conduct of the matter. Personal remarks or references between them should be avoided.
Section 18. - Outside Interests and the Practice of the Profession
18.1 The ICPP who engages in another profession, business or occupation concurrently with the principal professional practise, must not allow such outside interest to jeopardise the ICPP s professional integrity, independence or competence.
18.2.1 The term "outside interest" covers the widest possible range and includes activities that may overlap or be connected with professional practise, such as engaging in the mortgage business, acting as a director of a client or employer corporation, or writing on professional subjects, as well as activities not so connected such as a career in business, politics, broadcasting or the performing arts.
18.2.2. Whenever an overriding social, political, economic or other consideration arising from the outside interest might influence the ICPP s judgement, the ICPP should be governed by the considerations declared in the Section relating to conflict of interest between ICPP and client or employer.
18.2.3. Where the outside interest is in no way related to the professional services being performed for clients, ethical considerations will usually not arise unless the ICPP s conduct brings either the ICPP or the profession into disrepute, or impairs the ICPP s competence as, for example, where the outside interest occupies so much time that clients suffer because of the ICPP s lack of attention or preparation.
18.2.3. The ICPP must not carry on, manage or be involved in any outside business, investment, property or occupation in such a way that makes it difficult to distinguish in which capacity the ICPP is acting in a particular transaction, or that would give rise to a conflict of interest or duty to a client or employer. When acting or dealing in respect of a transaction involving an outside interest in a business, investment, property or occupation, the ICPP must disclose any personal interest, must declare to all parties in the transaction or to their solicitors whether the ICPP is acting on the ICPP s own behalf or in a professional capacity or otherwise, and should adhere throughout the transaction to standards of conduct as high as those that this Charter requires of an ICPP engaged in professional practise.
18.2.3. In order to be compatible with professional practise the other profession, business or occupation:
(a) must be an honourable one that does not detract from the status of the ICPP or the chosen professional activity generally; and
(b) must not be such as would likely result in a conflict of interest between the ICPP and a client or employer.
Section 19. - The ICPP in Public Office
19.1 The ICPP who holds public office should, in the discharge of official duties, adhere to standards of conduct as high as those that these rules require of an ICPP engaged in professional practise.
19.2.1 The Section applies to the ICPP who is elected or appointed to legislative or administrative office at any level of government, regardless of whether the ICPP attained such office because of professional qualifications. Because such an ICPP is in the public eye, the chosen professional activity can more readily be brought into disrepute by failure on the ICPP s part to observe its professional standards of conduct.
19.2.2 Conflicts of Interest - The ICPP who holds public office must not allow personal or other interests to conflict with the proper discharge of official duties. The ICPP holding part-time public office must not accept any private business where duty to the client or employer will or may conflict with official duties. If some unforeseen conflict arises, the ICPP should terminate the professional relationship, explaining to the client or employer that official duties must prevail. The ICPP who holds a full-time public office will not be faced with this sort of conflict, but must nevertheless guard against allowing the ICPP ’s independent judgement in the discharge of official duties to be influenced by the ICPP ’s own interest, or by the interests of persons closely related to or associated with the ICPP , or of former or prospective clients, or of former or prospective partners or associates.
19.2.3. In the context of the preceding paragraph, persons closely related to or associated with the ICPP include a spouse, child, or any relative of the ICPP (or of the ICPP 's spouse) living under the same roof, a trust or estate in which the ICPP has a substantial beneficial interest or for which the ICPP acts as a trustee or in a similar capacity, and a corporation of which the ICPP is a director or in which the ICPP or some closely related or associated person holds or controls, directly or indirectly, a significant number of shares.
19.2.4. Subject to any special rules applicable to a particular public office, the ICPP holding such office that sees the possibility of a conflict of interest should declare such interest at the earliest opportunity and take no part in any consideration, discussion or vote with respect to the matter in question.
19.2.5 Disclosure of Confidential Information The ICPP who has acquired confidential information by virtue of holding public office should keep such information confidential and not divulge or use it even though the ICPP has ceased to hold such office. (As to the taking of employment in connection with any matter in respect of which the ICPP had substantial responsibility or confidential information, Please refer to the section relating to avoiding questionable conduct.)
19.3 Disciplinary Action
Generally speaking, the Institute will not be concerned with the way in which an ICPP holding public office carries out official responsibilities, but conduct in office that reflects adversely upon the ICPP ’s integrity or professional competence may subject the ICPP to disciplinary action.
Section 20 - Public Statements by Chartered Professional Practitioners
20.1 The ICPP who makes public appearances and public statements should do so in conformity with the guiding principles of this Charter
20.2. Except as explicit in this Charter, the ICPP may not represent their comments as representing the views of the Institute
20.3 Guiding Principles
The ICPP who makes public appearances and public statements should behave in the same way as when dealing with clients, fellow practitioners and the courts. Dealings with the media are simply an extension of the ICPP ’s conduct in a professional capacity.
20.4.1. The ICPP ’s duty to the client or employer demands that before making a public statement concerning the client or employer’s affairs, the ICPP must first be satisfied that any communication is in the best interests of the client or employer and within the scope of the retainer. The ICPP owes a duty to the client or employer to be qualified to represent the client or employer effectively before the public and not to permit any personal interest or other cause to conflict with the client or employer’s interests.
20.4.2 The ICPP should refrain as far as possible from expressing personal opinions about the merits of the client or employer, or their products.
20.5.1. The ICPP should, where possible, encourage public respect for and try to improve the standards and practise of the profession. In particular, the ICPP should treat fellow practitioners, with respect, integrity and courtesy. Chartered Professional Practitioners are subject to a high standard of conduct.
20.6.1. Where the ICPP , by reason of professional involvement or otherwise, is able to assist the media in conveying accurate information to the public, it is proper for the ICPP to do so, provided that there is no infringement of the ICPP ’s obligations to the client or employer, and provided also that the ICPP ’s comments are made in good faith and without malice or ulterior motive.
20.6.2 The ICPP may be called upon to comment publicly on the effectiveness of particular projects, or campaigns, or to offer an opinion on causes that have been or are about to be instituted. It is permissible to do this in order to assist the public to understand the issues involved.
Summary
As ICPP , you must:
- _ respect the client or employer as an individual
- _ obtain consent before you provide any service or development activity
- _ co-operate with others in the team
- _ protect confidential information
- _ maintain your professional knowledge and competence
- _ be trustworthy
- _ act to identify and minimise the risk to clients
The ICPP Corporate Social Responsibility Statement
While the ICPP designation is a commitment to individual practise, ICPP s will need to consider extending their personal commitment to professionalism to the corporations they own or manage. The following is provided as guidance for Chartered Practising Professionals.
Introduction
AN ICPP managed or owned organisation will be committed to conducting business in an ethical and socially responsible manner. This relates to all aspects of the organisation/business.
This Corporate Social Responsibility Statement sets out to describe the principles under which an ICPP managed organisation operates, as well as pointing out where these are governed by laws or regulations.
This statement will be used by the Chartered Practising Professional as the standard to measure progress towards the goals it sets. It will be reviewed regularly to enable targets to be set and to put in place any necessary changes.
While accountable to owners and shareholders, we will take into account the interests of all our stakeholders including our employees, our customers, our suppliers as well as the local community, and the environment in which we operate.
Corporate Governance and Risk Management
The ICPP managed organisation will be committed to high standards of corporate governance.
Financial Reporting
All books and records will be kept in accordance with applicable laws and according to proper accounting standards, fully reflecting all receipts and expenditures. This is in order to make sure the financial information used within the organisation/business/enterprise or for external publication is accurate and reliable.
Corporate and Social responsibility
Managers will report to the Board/Owners on corporate social responsibility issues, including environment, employment practices, health and safety, equal opportunities and diversity, community and social investment, ethical trading and human rights, and other aspects of ethical business practice.
Mangers are responsible for setting out the standards which the organisation aims to achieve, and for measuring progress towards goals stated in this document.
Legal Compliance
The Organisation will be committed to strict compliance with the laws and regulations which apply to the business activities around the world.
Risk Management
The Organisation will be committed to implementing risk-related policies. A system will be designed to manage the risk of failure and to achieve business objectives – while recognising that it can provide only reasonable and not absolute assurance against material misstatement or loss.
The system should include the following risk management procedures:
Control environment: Commitment to the highest standards of business conduct and the maintenance of these standards across all of its operations.
Risk identification: Commitment to the ongoing identification and assessment of the risks associated with a variety of internal and external sources including control breakdowns, disruption in information systems, competition, natural catastrophe and regulatory requirements.
Control procedures: The organisation has control procedures designed to ensure complete and accurate accounting for financial transactions and to limit the potential exposure to loss of assets or fraud.
Monitoring and corrective action: The organisation has clear and consistent procedures in place for monitoring the system of internal controls.
Culture.
The culture at the Organisation encourages an open environment. There is an expectation of honesty, openness and courtesy from all employees in their business dealings. This means everyone must act in an ethical way and respect the dignity and human rights of other colleagues and the people we do business with.
Employees will have clear employment contracts and job descriptions which set out terms of their employment, disciplinary and grievance processes, appraisal procedures and details of leave.
The organisation will not employ or condone the use of forced labour or child labour.
Valuing employees
The organisation depends on the skills and commitment of its people. Employees at every level are encouraged to make their fullest possible contribution to the Organisation’s success. We aim to manage people openly, honestly and fairly.
To attract and retain the best employees and support the organisations objectives, the Organisation will be committed to paying competitive rates of pay for its employees. All employees are offered benefits competitive to the market place in their geographical region.
Equal opportunities
The organisation’s selection, training, development and promotion policies will encourage equal opportunities for all employees regardless of gender, sexual orientation, marital status, race, age, colour, ethnic origin or disability. We will seek to make appointments and promotions based on merit alone.
Training and Development
The organisation will recognise that employees are an important asset and provide opportunities for all employees to develop their talents to the full, aiming to make The Organisation an enjoyable and satisfactory place to work.
The Organisation will be committed to the education and development of its employees.
Workplace Health, Safety and Welfare
A safe place of work goes beyond legal requirements: it is about providing a safe working environment for employees. Good health and safety is good business.
Appropriate Use of Organisational Resources
It is expected that employees will use organisational resources in a responsible and ethical manner. While incidental or occasional personal use may be allowed with prior approval from a manager, misuse is an ethical violation. For example, we support and encourage the use of e-mail and Internet services for conducting company business, but have an Internet Usage policy which provides guidelines for acceptable use.
Confidentiality
We expect employees to keep all organisational information confidential.
We will make sure that employees are aware of their obligations and also expect them to take steps to prevent unintentional disclosure.
Confidential organisational information must not be shared with others outside the Organisation or used for the personal gain of oneself or others.
Employees, their family and close acquaintances should not buy or sell company shares if they have material information that has not been made public and could affect our share price.
Conflicts Of Interest
Employees must not have outside commercial interests that conflict with the best interests of the group.
Product Integrity
The organisation is committed to providing our customers with high-quality, safe products. We will not make unsubstantiated claims in our marketing materials. We will ensure that our products are tested against authoritative standards prevalent in our industry.
Products will meet relevant safety standards, both in the initial design phase and during production of the finished product.
Community and Environment
We will endeavour to protect and preserve the environment in which we operate.
We aim to ensure that our subcontractors have a responsible attitude to the environment, minimise the harm caused by production/manufacturing our products, and have clear policies in place setting standards for the work they do, including the handling and disposal of dangerous materials.
Primary sub-contractors should have an environmental policy which endeavours to ensure its business activities meet legal requirements, national and industry guidelines and local environmental requirements and they are committed to continual improvement in the prevention of pollution.
The organisation will aim to make the communities in which they work better places to live and do business, being sensitive to the local communities’ social and economic needs. In recognition of the importance of our role in the communities where we operate, we are committed to supporting community-based projects that bring practical benefit to local communities.
We continually look at ways in which our actions can benefit the community.
Recycling
We aim to minimise our impact on the environment by recycling office waste where practical. Current recycling programmes include office waste paper.
External Stakeholders: Customers
The organisation will seek to be honest and fair in its relationships with customers, providing standards of service which have been agreed. Our aim is to establish long-term relationships with customers where we provide support and product enhancements under agreed contracts which specify levels of service.
All sales will be carried out under standard terms and conditions which are communicated clearly to customers as part of their contract with us.
Personal information and other data on customers is to be held in strict accordance with legislation and a policy of personal information protection.
Competition
The organisation will be committed to free and open competition. We will compete vigorously but honestly, while complying with all competition and anti-trust laws wherever we carry out business.
External Stakeholders: Suppliers and Subcontractors
The organisation will make a commitment to be fair and honest in relationships with suppliers and subcontractors and make payments in accordance with agreed terms.
The organisation will have a business conduct policy not to offer, pay or accept bribes or substantial favours. Employee found to operate outside this policy will be subject to disciplinary proceedings.
Business will be conducted honestly, ethically and with respect for the rights and interests of the people with whom we do business. We expect relations with joint-venture partners, licensees, suppliers and trade customers to be mutually beneficial and will encourage our principles and standards to be upheld while the relationship continues.
The welfare and safety of the employees of our suppliers is important. We expect all suppliers to extend fair and honest dealings to their employees and to all whom they do business with.
It is our aim to act responsibly in our commercial and trading activities. Whilst we cannot claim to have all the answers to complex ethical or social issues, we aim to be good citizens, acting responsibly wherever we operate.
External Suppliers: Owners, Shareholders and Other Financial Stakeholders
We will provide shareholders with financial reports that are accurate and timely, communicating our goals, significant risks and prospects honestly, to actual and potential shareholders.
We will use financial resources entrusted to us in ways that have been agreed with the providers.
Reporting
The organisation will be committed to openness in all forms of reporting. The published reports and information supplied to regulatory agencies or other government organisations must be complete and not misleading.
Communications
The organisation will communicate openly, directly and accurately with the public. It will not give special treatment to any individual or institution. Material information about performance and prospects is to be communicated to the entire financial community at the same time.
Promotional Activities
All advertising, promotions and other public communications will be conducted in line with the principles of honesty, integrity and openness - in an accurate and truthful way.
Ensuring compliance
This statement sets out the general principles that govern the conduct.
While we operate in line with local cultural and legal standards, this document sets out the minimum standards which should apply everywhere that we do business and that all organisations must meet.
The organisation will ensure that:
This statement is provided to all managers, and other employees as appropriate in the business and communicated in line with the group's employee communications plan.
Induction processes make sure new employees and newly-acquired businesses are made aware of, and keep to, the principles contained in this statement.
Any local codes or similar statements are in line with these principles.
At reasonable intervals, managers confirm to the Corporate Social Responsibility Committee that they and those under their direction are complying with this statement.
In the event of any breaches, appropriate action is taken, such as reporting the incident to a local or group representative.
Comprehensiveness
No statement of business principles can deal with all situations. It is therefore all employees’ responsibility to apply the principles set out in this document and also to exercise good business judgement.
Other Policies and Guidelines
The following group policies and guidelines will be developed and employees should read them in conjunction with this Corporate and Social Responsibility Statement:
- Sexual Harassment and Mutual Respect Policy
- Health and Safety policy
- Internet and Software Usage Policy
- Risk Management Policy