Members Code of Conduct

 

A.               Preamble

The Ceylon Association of Ships’ Agents (“CASA” or the “Association”) is an Association formed with the objective:-

1.                To effect an interchange of ideas, information and business methods as a means of increasing the efficiency and usefulness of members.

2.                To take such steps as may be necessary or conducive to the interests of members.

3.                To represent and advocate the views of the Association to the Government Authorities concerned.

The Ceylon Association of Ships’ Agents was incorporated as a legal entity on 18th October 2000 in terms of a Memorandum and Articles of Association under the Companies Act.

 

B.               Member Code of Conduct

All Members and Employees of Member Companies shall:

1.                Adhere to the Memorandum and Articles of Association.

2.                Comply with the Sri Lanka Exchange Control Tariff of Minimum Agency Fees/Commissions for Vessels calling at port of Sri Lanka.

3.                Contribute to combat maritime frauds.

4.                Perform professional duties in accordance with the law and the highest moral principles and business ethics.

4.1.          Uphold the law of the land in which the services are rendered and perform all duties in an honourable manner.

4.2.          Not knowingly become associated with persons who do not conform to the law and these ethical standards.

4.3.          Be just and respect the rights of others in performing their professional responsibilities.

5.                Observe the precepts of truthfulness, honesty and financial integrity.

5.1.          Disclose all relevant information to those having the right to know.

           “Right to know” is defined as a legally enforceable claim or demand by a person for disclosure of information. Such a right does not depend upon prior knowledge by the person of the existence of the information to be disclosed.

5.2.          Not knowingly release misleading information nor encourage or otherwise participate in the release of such information.

6.                Be faithful and diligent in discharging professional responsibilities.

6.1.          Be faithful in adherence to promises and commitments.

6.2.          Be deemed diligent when employing best efforts in an assignment.

6.3.          Not act in matters involving conflict of interest without appropriate disclosure and approval.

6.4.          Represent services fairly and truthfully

7.                Be competent in discharging professional responsibilities and promote high level of expertise and training.

7.1.          Be deemed competent as persons who possess skills and apply such skills and knowledge required for the task.

7.2.          Not accept a task beyond the member’s competence nor shall competence be claimed when not possessed.

7.3.          Provide appropriate training.

8.                Safeguard confidential information and exercise due care to prevent its improper disclosure.

8.1.          Accept that “due care” requires that the professional must not knowingly reveal confidential information, or use a confidence to the disadvantage of the principal or to the advantage of the member or a third person, unless the principal consents after full disclosure of all the facts. This confidentiality continues even after the business relationship between the member and his             principal has terminated.

8.2.          Not be bound by confidentiality if they have not agreed to do so. Individuals are not bound by confidential disclosures made of acts or omissions which constitute a violation of the law.

8.3.          Understand that confidential disclosures made by principals are not   recognized by law as privileged in a legal proceeding. Individuals may be required to testify in a legal proceeding to the information received in confidence from a principal over the objection of that principal’s counsel.

8.4.          Not disclose confidential information for personal gain without appropriate authorization.

9.                Avoid injuring the professional reputation or practice of colleagues, clients or others. Not comment falsely and with malice concerning a colleague’s competence, performance or professional capabilities.

 

C.                Procedure for Dealing with Complaints

1.                    a)        If a written complaint is made to the Chairman/ Secretary General regarding a violation of this Code of Conduct, the Chairman/ Secretary General shall take such complaint into consideration for investigation. Provided that, the complaint is filed within twelve months from the time the alleged unethical conduct occurred or was discovered, or adjudication by another jurisdiction was completed.

             b)       However, where the Executive Committee becomes aware of a member/s who is/ are convicted of criminal acts, or disciplined by other statutory tribunals, whether or not a specific complaint is submitted, the Chairman/ secretary General may initiate a review of the matter.

             c)        Where a member has willfully refused or neglected to comply with this Code of Conduct the Executive Committee may, on becoming aware of the fact, initiate a review of the matter.

2.                A copy of the said complaint shall be sent to the Chairman/CEO of the respective member against whom the complaint has been made, requesting him to submit his written response within two weeks of receipt of the complaint by him. Such written response shall be made available to the Complainant upon receipt by the Executive Committee.

3.                The Executive Committee may, for the purpose of the investigation invite the member in respect of whom the complaint was made, to an inquiry within two weeks of receipt of his response to the complaint.

4.                The inquiry shall be conducted by a three member panel selected by the Executive Committee from among the members of the Advisory Council of the CASA. The Complainant and the member or his representative in respect of whom the complaint was made shall also be present. No legal representation shall be permitted at such inquiry.

5.                The Panel of Inquiry shall grant the member in respect of whom the complaint was made an opportunity to refute the original complaint and shall have powers to call for evidence (documentary or oral) for the ascertainment of facts.

6.                The Complainant shall then be given an opportunity to clarify and/ or prove his allegations by documentary or oral evidence with reasonable time provided to do so.

7.                The Panel of Inquiry may seek clarification on any matter/issue disclosed.

8.                At the conclusion of the inquiry, the Panel of Inquiry shall make a decision known to the parties concerned writing and sent by registered post to the parties concerned within 14 days of holding the inquiry.

9.                If the member in respect of whom the complaint is made fails to respond and/or to attend the inquiry, it shall be held ex-parte based on the documentary or oral evidence available and the Panel shall make a final decision, which shall be binding on the said member.

10.            The Executive Committee shall consider temporary suspension of and defer complaints, which fall under the jurisdiction of state regulatory bodies and review the status of membership subsequent to their decision and at the period for appeal.

 

D.               Sanctions

One or more of the following sanctions may be imposed by the Executive Committee upon a member whom the Executive Committee has determined to have violated the Member code of Conduct. The sanction applied must reasonably relate to the nature and severity of the violation, focusing on reformation of the conduct of the affected member and deterrence of the same or similar conduct by the others.

Disciplinary measures as per the Memorandum and Articles of Association and the sanctions are:

1.                Written reprimand to, or censure of the member (combined with any probationary period, if desired);

2.                Suspension by the Executive Committee from membership a designated period of time (combined with any probationary period, if desired);

3.                Suspension by the Executive Committee of the member from membership on one or more CASA committees or similar bodies for a designated period of time (combined with any probationary period, if desired);

4.                Permanent expulsion of the member by the by the Executive Committee from membership on one or more CASA committees or similar bodies;

5.                Suspension of the member by the Executive Committee from membership in CASA (combined with any probationary period, if desired);

6.                Permanent expulsion by the Executive Committee of the member from membership in CASA.

Once one or more of the above sanctions is imposed, the Complaint shall be deemed to have been disposed of. For each of these sanctions, a written summary of the termination and the sanction, along with the member’s name, may be published, in the sole discretion of the Executive Committee, in printed or electronic medium that is distributed to all other CASA members.


E.                Resignation

           If a member who is the subject of a Complaint voluntarily resigns (in writing) his membership during the pendency of a Complaint under these Member           Procedures, the complaint shall be dismissed without prejudice and without any further action by the Committee or the Executive Committee.

Such member may not seek membership for a period of five years from the effective date of his resignation. However, the Executive Committee may communicate the fact, the date of the member’s resignation, and general nature of the Complaint that was pending at the time of resignation, to or at the request of one or more government entities engaged in the administration of law. Similarly in the event of such resignation, the individual who submitted the Complaint shall be notified in writing of the fact and date of the resignation and that the Executive Committee has dismissed the Complaint (without prejudice) as a consequence.