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Aim and Objectives

Aim: Professional Code of Conduct and Health and Safety Regulations.

Objectives: At the end of the lesson, the students should be able to:

Understand how codes of conduct apply to site supervisors.
Recognise ethical obligations in relation to site safety and worker wellbeing.
Evaluate scenarios where professionalism and safety intersect.
Discuss how the HASAWA 1974 Regulations can improve safety and quality.

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Learning Outcome and Assessment Criteria

P2. Explore the relationship between project quality requirements and statutory requirements.

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Professional Codes of Conduct

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Professional Codes of Conduct

Definition?

Importance & Relevance?

Benefits to Construction Quality?

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What different professional bodies do you know?

BIFM: Facilities Management

BPF: Property Federation

CIAT: Architectural Technology

CIOB: Building

CIBSE: Building Services Engineering

CIC: The Construction Industry Council

CICES: Civil Engineering Surveyors

CIHT: Highways and Transportation

CIPHE: Plumbing & Heating Engineers

CIWEM: Water and Environmental Management

CIWM: Wastes Management

Energy Institute

ICE: Civil Engineers

CABE: Building Engineers

IHE: Highway Engineers

IOM3: Materials, Minerals and Mining

RIBA: British Architects

ABE: Building Engineers

CIH: Housing

IAT: Asphalt Technology

IStructE: Structural Engineers

NFOPP: Property Professionals

RICS: Surveyors

RTPI: Town Planning Institute

The institute for Quarrying (IQ)

Society for the Environment (SocEnv)

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Professional Bodies - What �are �they?

Professional bodies are groups of individuals who share expertise and knowledge of a specialism.

Chartered bodies have their core rights and obligations drawn up in a charter approved by a core body (e.g. code of conduct).

Royal charters have their status granted by the reigning monarch.

Professional Codes of Conduct

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Professional Codes of Conduct

Definition

Formal guidelines set by professional institutions (e.g., CIOB, ICE, IStructE, Engineering Council).
Outline expected standards of behaviour, ethics, and professionalism for members.

Importance & Relevance

Ensure practitioners act responsibly, safely, and in the public interest.
Set clear expectations for honesty, competence, and integrity.
Guide ethical decision-making and help resolve dilemmas.
Provide accountability and maintain trust with clients and the wider public.

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Case Study: Architects Registration Board (ARB), Royal Institute of British Architects (RIBA) and Royal Institute of Chartered Surveyors (RICS)

Member (Anonymised)	Profession	Reason for Disciplinary Action	Sanction / Outcome
22 Surveyors (group)	Surveyors (RICS)	Failed to comply with CPD obligations	Expelled
2 Surveyor	Surveyor (RICS)	Failed to comply with CPD obligations	Refused re-admission; fined
LA	Architect	Issued Professional Consultant’s Certificate without adequate inspections; poor complaint handling (no policy, poor communication, no response)	Fined £1,000 by ARB
DG	Surveyor	Missed lease renewal deadline; failed to inform client of risks; ignored communications; no written terms; ignored RICS requests	Expelled and ordered to pay £13,925 costs
4 unnamed	Architects/Surveyors	Provided inadequate professional services (details varied)	Expelled
4 unnamed	Architects/Surveyors	Provided inadequate professional services	Fined £1,000–£2,000
3 unnamed	Architects/Surveyors	Provided inadequate professional services	Public reprimands

Source

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CIOB Code of Conduct (Chartered Institute of Building)

Integrity: act honestly and avoid deceptive conduct.

Not divulge any information of a confidential nature relating to business activities

Competence: undertake only work for which you are qualified.

Respect: treat all stakeholders fairly and without discrimination.

Accountability: accept responsibility for your actions and report malpractice.

(CIOB, 2018)

Professional Codes of Conduct

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ICE Code of Conduct (Institution of Civil Engineers)

Discharge their professional duties with integrity

Only undertake work that they are competent to do

Have full regard for the public interest, particularly in relation to matters of health and safety, and in relation to the well-being of future generations.

Show due regard for the environment and for the sustainable management of natural resources

Maintain confidentiality and disclose conflicts of interest

Maintain continual professional development

(ICE, 2025)

Professional Codes of Conduct

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CIHT (Chartered Institution of Highways & Transportation) – Code of Conduct

Accuracy and Rigour: perform services only in areas of their current competence, or under competent supervision; reject bribery and improper influence;

Respect for Life, Law, the Environment and the Public Good: Members of the Institution have a duty to obey all applicable laws and regulations and give due weight to facts, published standards and guidance and the wider public interest.

Leadership: Listening and Communication Members of the Institution have a duty to abide by and promote high standards of leadership and communication

Be objective and truthful in any statement made in their professional capacity;

Challenge statements or policies that cause them professional concern.

(CIHT, 2021)

Professional Codes of Conduct

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BIFM / IWFM (Institute/Workplace and Facilities Management) – Code of Professional Conduct

Not act or behave in a manner that could bring disrepute to the profession

Safeguard all confidential, commercially sensitive and all data acquired.

At all times act honestly in their professional dealings with employers, customers and clients.

Keep abreast of current practice, knowledge, and techniques and act competently and diligently in their professional dealings

Have due regard to the effects of their work on the ecology and environment.

(CIHT, 2021)

Professional Codes of Conduct

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Professional Codes of Conduct

Promote consistent, high-quality work standards.

Reduce errors, misconduct, and safety incidents on site.

Foster teamwork, transparent communication, and fair treatment among project teams.

Encourage continual professional development and innovation.

Raise the reputation and reliability of the construction industry.

Benefits to Construction Quality

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CASE STUDY - Institution of Structural Engineers

Background

Mr Iqbal Zafar was appointed to supply structural calculations and drawings for a basement extension.
The work involved adjoining or adjacent properties, increasing risk and requiring adequate expertise.

Reason for Complaint / Findings
He failed to respond to requests from the checking engineer.
He did not demonstrate the competency required for basement works next to other properties.
He failed to provide evidence of Professional Indemnity insurance cover.
He did not supply adequate “terms of engagement” (i.e. formal contract/agreements defining scope, liability, etc.).

Outcome / Sanctions
The Conduct Committee found that Mr Zafar breached multiple Articles (1, 3, 5, 6) of the IStructE Code of Conduct.
A Training Order was issued, requiring Mr Zafar to undertake training in:

Understanding the Party Wall Act and appointment;
Drafting professional work terms;
Effective and timely communication with engineers;
Understanding difference between types of insurance relevant to structural engineers.

Mr Zafar failed to comply with the Training Order.
As a result, he was suspended from membership of IStructE for 60 days, starting 28 September 2023.

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Group-assessment Task

Working in groups, analyse the scenario below and develop an action plan grounded in professional ethics and quality management.

Context/Scenario:

You are the Construction Manager responsible for managing the build phase of a new community centre in Cardiff, Wales. Your role is critical to ensuring the project meets all quality, safety, and regulatory standards while adhering to ethical and professional conduct.

During the construction phase, you discover that a subcontractor has substituted specified high-quality materials for cheaper alternatives without approval. This substitution could impact the structural performance and fire safety compliance of the building.

You face pressure from the client to keep the project on schedule and avoid costly delays or financial penalties.

Your professional codes of conduct demand honesty, safety prioritisation, and adherence to quality standards.

Task:

Discuss how you, as the Project Manager, should respond to this issue following your professional code of conduct (e.g., CIOB, ICE, etc.)
Identify steps to address the material substitution while managing client expectations and project deadlines.
Explain how applying ethical principles protects the project quality and public safety.

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The Health and Safety at Work etc. Act 1974

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Health and Safety Legislations

The UK government has produced a range of health and safety laws and regulations when undertaking construction of the built environment:
to control an employer’s activities
reduce risks and hazards
ensure that all the construction workers are kept safe and secure

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Importance of Health and Safety �Legislations in Construction

Worker Safety

Protection of workers' lives and well-being is paramount.
Minimises accidents, injuries, and fatalities on construction sites.
Ensures a safe and healthy working environment.

Legal Compliance

Compliance with local, state, and federal regulations is mandatory.
Avoids legal liabilities, fines, and penalties.
Maintains the project's reputation and credibility.

Reputation and Branding
Strong commitment to safety enhances a company's reputation.
Attracts clients who prioritise safety in their projects.
Can lead to repeat business and referrals.
Reduced Costs
Investing in safety measures reduces accident-related costs.
Saves money on worker's compensation claims and medical expenses.
Minimises project delays and associated costs.

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Importance of Health and Safety �Legislations in Construction

Ensuring Competent Workforce
Employers must provide proper oversight and supervision to ensure work is carried out competently and in compliance with regulations.
Training and qualification schemes, such as CSCS cards, certify that individuals meet competency requirements for their specific tasks.
Both individuals and organisations must honestly assess and notify when they lack competence or ability to perform duties safely and correctly.

Linking Safety and Building Regulations
Health and safety rules require construction work to be carried out in ways that protect workers and prevent unsafe conditions that might compromise build quality.
Compliance with Building Regulations ensures that construction meets technical standards related to structural safety, energy efficiency, and occupant welfare.
The two frameworks work together to ensure not only that buildings meet design and performance requirements but also that they are constructed under safe working conditions.
Aligning health and safety practices with building control helps reduce defects, delays, and accidents, contributing to higher construction quality overall.

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Importance of Health and Safety �Legislations in Construction

Improved Productivity

Safe work environments lead to higher worker morale and productivity.
Reduces absenteeism and turnover due to injuries.
Optimises project schedules and timelines.

Risk Mitigation

Identifies potential risks and hazards early in the project.
Allows for proactive risk management and mitigation strategies.
Reduces the likelihood of unexpected incidents.

Client Satisfaction
Clients feel more confident in contractors who prioritise safety.
Ensures the project aligns with client expectations.
Client satisfaction contributes to positive project outcomes.
Environmental Impact
Safety regulations often include environmental protection measures.
Reduces the impact of construction on the environment.
Demonstrates corporate social responsibility.

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The Health and Safety at Work etc. Act 1974

Construction Design and Management Regulations 2015

Management of Health and Safety at Work Regulations 1999

Work at Height Regulation 2005

Control of Substances Hazardous to Health Regulations 2002

Training and Education

(Competency , CSCS)

Provision and Use of Work Equipment Regulations 1998

Lifting Operations and Lifting Equipment Regulations 1998

The Regulatory Reform (Fire Safety) Order 2005

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The Health and Safety at Work etc. Act 1974

Employer (the general contractor), designers, manufacturers, employee or self employed (site operative) must provide and maintain a safe & healthy working environment.
All these parties can be prosecuted for their ‘own acts or omissions’.
The HSWA is one of the main pieces of health and safety legislation in the UK. http://www.legislation.gov.uk/ukpga/1974/37/contents
The act is the primary piece of legislation covering occupational health and safety in Great Britain.
It defines the responsibilities of everyone in any workplace for ensuring that the workplace is kept safe ‘as far as is reasonably practicable’ and that everyone ensures they are working safely.

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Duties of the employer:

The legislation covers all the vital elements to provide safe environments for employees, including to:
Take all reasonably practical measures to safeguard the health and safety of every employee.
Formulate a health and safety policy if the workforce consists of five or more individuals.
Establish secure work processes, encompassing procedures for handling, storing, and transporting.
Supply employees with essential information, guidance, and training to maintain their health and safety.
Engage in discussions and collaborate with employees on safety measures.
Adhere to the safety committee regulations as required.

The Health and Safety at Work etc. Act 1974

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Duties of employees:
Exercise due diligence for their own safety and the safety of others, such as maintaining clear walkways, adhering to general housekeeping guidelines, etc.
Collaborate with the employer, including participating in training sessions, engaging in toolbox discussions, etc.
Avoid any misuse or damage to work equipment.
Appropriately utilise health and safety resources provided, following any provided instructions or training.

The Health and Safety at Work etc. Act 1974

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The Health and Safety at Work etc. Act 1974

Duties of self-employed workers:
Those who are self-employed are contracted by employers to undertake specialist work on a construction site. Under the HSWA, they have to:
Conduct their work in a safe manner so it does not affect anyone exposed to their work
Provide any information relating to their work which supports the health and safety of anyone exposed to their working.
Duties of designers and manufacturers:
To guarantee that the design and construction pose no threats to health and safety during use and operation.
Conduct testing and research on the functionality of designed objects to confirm their safety.
Furnish guidance and directives for maintaining health and safety during operational activities.
Verify that the installation, assembly, and operation of the designed item are carried out in a secure manner.

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The Health and Safety at Work etc. Act 1974

Health and Safety Executives (HSE)

The Health and Safety at Work etc Act 1974 also established the Health and Safety Commission (HSC) for the purpose of proposing new regulations, providing information and advice and conducting research.
HSC's operating arm, the Health and Safety Executive was formed shortly after in order to enforce health and safety law, a duty shared with Local Authorities.
The Health and Safety Commission and the Health and Safety Executives were merged into a single body, the Health and Safety Executive (HSE), in 2008.
The main contractor has a duty before any major construction work commences on site to inform the HSE through a document called an F10; a formal document submitted to the Health and Safety Executive that advises, what, where and when a construction project will start and who is undertaking the work, with key contact details.

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Powers of the Health and Safety Executives (HSE)

Under the Health and Safety at Work etc. Act 1974, the HSE has many powers at its disposal to ensure that construction sites are safe (Pearson, 2017).

Action	Actions of Employer or Employee
Inspection	The HSE has the authority to conduct regular inspections of workplaces to ensure compliance with health and safety regulations. Inspectors assess workplaces for potential hazards, unsafe practices, and compliance with safety standards.
Improvement notice	When an HSE inspector identifies a health and safety violation during an inspection, they may issue an improvement notice. This notice outlines the specific issues that need to be addressed and provides a timeframe for compliance. Failure to comply with an improvement notice can lead to legal action.
Prohibition notice	If an HSE inspector identifies an immediate risk to health and safety that cannot be adequately controlled, they can issue a prohibition notice. This notice prohibits certain activities or processes until the identified hazards are rectified, ensuring the safety of workers.

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Powers of the Health and Safety Executives (HSE)

Action	How the employer or employee has to answer the action
Documentation	The HSE maintains records of inspections, notices issued, and other relevant documentation related to health and safety enforcement. These records are essential for monitoring compliance and taking legal action when necessary.
Investigation	In cases of serious accidents, injuries, or fatalities, the HSE conducts thorough investigations to determine the root causes and whether any breaches of health and safety regulations contributed to the incident. Investigations can lead to enforcement actions or legal proceedings.
Entry	HSE inspectors have the legal right to enter workplaces to conduct inspections and investigations. They can enter without prior notice and have access to records, premises, and employees for the purpose of assessing health and safety compliance.
Seizure	In situations where unsafe equipment or materials pose an immediate threat to health and safety, the HSE has the authority to seize such items to prevent their use until they can be made safe or replaced.

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Powers of the Health and Safety Executives (HSE)

Action	How the employer or employee has to answer the action
Prosecution	The HSE has the authority to initiate legal proceedings against individuals or organisations that have committed serious breaches of health and safety regulations. This role involves investigating incidents, gathering evidence, and bringing legal actions to court when there is evidence of non-compliance that has resulted in harm, injuries, or fatalities. Prosecution serves to hold responsible parties accountable and to deter future violations.
Advisory	In addition to its enforcement role, the HSE also provides advisory services to help businesses and individuals understand and comply with health and safety regulations. This advisory role includes offering guidance, resources, and expertise on best practices in health and safety management. The HSE's goal is to assist organisations in creating safe work environments and preventing accidents and injuries. They offer advice on risk assessments, safety policies, and compliance with health and safety laws.

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Penalties for non-compliance

The HSE, when investigating a breach in health and safety legislation, will decide what enforcement action is necessary. This can be one of the following routes or penalties for non-compliance of any regulation or Act of Parliament:
Fines: The amount of the fine can vary depending on the severity of the breach and the specific circumstances.
Corporate manslaughter: If a death occurs as a result of a gross breach of duty by an organisation, it can be charged with corporate manslaughter. This can lead to substantial fines and a damaged reputation.
Imprisonment: In cases of serious breaches of health and safety regulations that result in significant harm or fatalities, individuals, including company directors or managers, may be sentenced to imprisonment for up to two years.
Director Disqualification: Directors or managers of companies that are found to have breached health and safety regulations may be disqualified from holding such positions in the future.

Powers of the Health and Safety Executives (HSE)

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Penalties for non-compliance (cont’d)

Improvement Notices: These notices require the recipient to take specific actions to rectify the issues within a specified timeframe.
Prohibition Notices: Can be issued to halt certain activities or processes that pose an immediate risk to health and safety. These activities cannot resume until the identified hazards are addressed.
Civil Claims: Individuals who have suffered harm or injury due to health and safety breaches can file civil claims against the responsible parties, seeking compensation for damages.
Reputation Damage: Non-compliance can lead to significant reputational damage for organisations. This can result in a loss of trust from clients, customers, and the public.
Legal Costs: Legal costs associated with defending against health and safety prosecutions can be substantial, adding financial burdens to non-compliant organisations

Powers of the Health and Safety Executives (HSE)

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Working in groups, analyse the scenario below and develop an action plan grounded in professional ethics and quality management.

Context/Scenario:

You are part of the project management team responsible for delivering a mixed-use development in Cardiff, Wales, which includes residential units, retail space, and community facilities. The project is complex, involving multiple contractors, designers, and suppliers.

Compliance with the Health and Safety at Work etc. Act 1974 is required to ensure health and safety as well as maintain high-quality standards throughout the project lifecycle.

During the design and planning phase, concerns are raised about coordination between architectural, structural, and services design teams, risking clashes and quality defects during construction. Additionally, the construction phase involves multiple subcontractors working in confined spaces under tight deadlines, which may compromise safety and workmanship quality.

Group-assessment Task

Task:

Discuss how the health and safety regulation can be applied to:

Improve communication and coordination among all duty holders to avoid design conflicts and rework
Manage health and safety risks without compromising project timelines or quality standards

Propose practical measures (e.g., risk registers, coordination meetings) to embed quality

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References/Bibliography

CITB (2012) Skills and training in the construction Industry 2021. Available at: https://www.citb.co.uk/media/wnpb2l0k/citb-skills-and-training-report-2021.pdf (Accessed: 22 September 2024)

Designing Buildings Ltd. (2021). Construction professional. Available at: https://www.designingbuildings.co.uk/wiki/Construction_professional (Accessed: 22 September 2024)

CIHT (2021) Code of Professional Conduct. Available at: https://www.ciht.org.uk/media/13855/code-of-professional-conduct_october-2020-section1.pdf (Accessed: 22 August 2025)

CIOB (2018) Rules and regulations of professional competence and conduct. Available at: https://www.ciob.org/sites/default/files/2021-06/Rules%20and%20Regulation%20of%20Professional%20Competence%20and%20Conduct.pdf (Accessed: 22 August 2025)

ICE (2025) Code of professional conduct. [online] Available at: https://www.ice.org.uk/download-centre/code-of-conduct (Accessed: 22 August 2025)

IWFM (2025) Code of professional conduct. Available at: https://www.iwfm.org.uk/about/governance.html (Accessed: 22 August 2025)

Pais, R. C. (2024) Report of the professional conduct committee 5 july 2023. Available at: https://www.istructe.org/resources/report/report-of-the-professional-conduct-committee-5-jul/ (Accessed: 22 September 2025)

Reynolds Porter Chamberlain LLP (2025) Construction disciplinary trends analysis #4: inadequate professional services. Available at: https://www.rpclegal.com/thinking/construction/inadequate-professional-services/ (Accessed: 22 September 2025)