Code of Ethics

for Professional
Manager
Ralph John C. Lazarte
GAS 12-B
A Manager Shall:
• Comply with current bylaws, standards and practices as
may be established from time to time by CAI subject to all
federal, state and local laws, ordinances, and regulations in
effect where the Manager practices.
• Participate in continuing professional education through
CAI and other industry related organizations.
• Act in the best interests of the client; refrain from making
inaccurate or misleading representations or statements; not
knowingly misrepresent facts to benefit the Manager.
• Undertake only those engagements that they can reasonably
expect to perform with professional competence.
• Exercise due care and perform planning and supervision as
specified in the written management agreement, job
description or duly adopted Board policies.

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• Disclose all relationships in writing to the client regarding any actual, potential or perceived conflict of interest between
the Manager and other vendors. The Manager shall take all necessary steps to avoid any perception of favoritism or
impropriety during the vendor selection process and negotiation of any contracts.
• Provide written disclosure of any compensation, gratuity or other form of remuneration from individuals or companies
who act or may act on behalf of the client
• Insure that homeowners receive timely notice as required by state statutes or legal documents and protect their right of
appeal.
• Disclose to the client the extent of fidelity or other contractually required insurance carried on behalf of the Manager
and/or client and any subsequent changes in coverage, which occur during the Manager’s engagement if the amount is
lower than the contract amount requires.
• See that the funds held for the client by the Manager are in separate accounts, are not misappropriated, and are returned
to the client at the end of the Manager’s engagement; Prepare and furnish to the client accurate and timely financial
reports in accordance with the terms of the management agreement, job description or duly adopted Board policies.
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• Recognize the original records,
files and books held by the
Manager are the property of
the client to be returned to the
client at the end of the
Manager’s engagement;
maintain the duty of
confidentiality to all current
and former clients.
• Refrain from criticizing
competitors or their business
practices; Act in the best
interests of their Employers;
Maintain a professional
relationship with our peers and
industry related professionals.
• Conduct themselves in a
professional manner at all
times when acting in the
scope of their employment.
• Not engage in any form of
price fixing, anti-trust, or
anti-competition.
• Not use the work products
of colleagues or competing
management firms that are
considered proprietary
without the expressed
written permission of the
author or the management
firm.
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Safety in the
Workplace as
Professional
Manager
Ralph John C. Lazarte
GAS 12-
 The most effective people managing safety and health in industry know that a safety program is much more than
writing rules and training employees to follow them. Although terms like "leadership ability" and "people skills"
are overused to the point of sounding meaningless (especially on resumes!), success or failure in business often
hinges on dealing with human personalities effectively. This certainly applies to safety and health matters. The
following is offered as an introduction to 10 good habits that can make you more effective.

• Praise employees when they choose safe
behaviors. These are the acts you should encourage.
Try to be specific as to the good behavior you are
praising, and sincere and timely in your praise.
Obviously, fair and equitable enforcement of
company rules should not be overlooked or
discontinued, for a lot of sound reasons. However,
studies indicate that positive reinforcement of good
behaviors is often more effective than punishment of
bad behaviors in directing the future behavior of
employees. The trick is to encourage enough safe acts
when you observe them, so that when it is appropriate
to discipline an employee for a safety violation, it will
not outweigh the positive benefits of praising the safe
acts. This motivation effort is a basic part of the
behavior modification which can help employees see
safety as a core value.
•  Solicit participation from employees. Listen
when people offer suggestions, concerns or complaints.
Their suggestions might be better than your ideas, so
give them a chance. Don't immediately write off their
comments just because they come from ordinary
employees, even if they are not soundly based on
current safety industry practice. Pay particular attention
to employee complaints and respond quickly and
appropriately to all of them. Most people get frustrated
when they feel someone isn't paying attention to them.
You may find that they will keep looking until they find
someone who wants to listen to them, such as someone
from OSHA. Time spent developing listening skills will
be well worth the investment. Although sometimes
employees are wrong about something that concerns
them, when they are ready to express a concern or
complaint, be ready to listen. Later, after you've had a
chance to evaluate the issue, you can talk to the
employee and explain why no action needs to be taken.
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• Reward employee participation. Production employees will often feel very proud of their efforts to contribute to
resolving safety and health issues, either on the work floor or in safety meetings. It's usually not part of their job
description or field of expertise, but they feel they are helping their fellow workers, perhaps possibly saving
someone from disability or death, when they participate in safety and health matters. If these employees feel that
this participation is unnoticed or unappreciated by management, their enthusiasm turns to cynicism. Make sure
that you encourage them by recognizing their value to employee safety and health and by letting them know you
appreciate their help.
• Be a shining example. People learn more by watching management than they would ever care to admit. Always
follow every rule and procedure religiously, if you want others to do so. You can bet that your behaviors and actions
are being observed much of the time, whether you notice it or not, so don't excuse yourself from complying with
rules, such as wearing hearing protection, even if you know you won't be in a department long enough to exceed
the TWA for noise. You should keep a supply of earplugs, regular and visitors" safety glasses, and any other
personal protective equipment which is required in the facility for yourself and any visitors that might accompany
you into the plant.
•Invest in people. It could be something seemingly minor, such as lending a home safety training video to an employee to take
home, or bringing in jugs of "sports drinks" for employees working on a particularly hot day. Your investment will build your
reputation among the employees far more effectively and positively than anything else you can do. A resourceful safety director
reacted to an employee complaint about a harness sticking to sweaty shoulders on a hot day. First, he discussed several possible
solutions. Then, he made an investment in the employee by personally sewing terry cloth covers that wrapped around the shoulder
straps and attached with "hook and loop" fasteners. The employee could hardly believe that a member of management had taken
such a personal interest in an employee's comfort. The gratitude of the employee was worth every minute spent at the sewing
machine.

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 • Continuously improve and simplify plant safety. Remove hazards where possible, rather than protect
employees from them. Although your more experienced people may not have any problems with a given
condition, new employees tend to have more accidents. Eliminating hazards makes it easier for new people to stay
safe. This might seem obvious, but it is not routinely exercised in every company.For example, a company bought
a corrosive liquid for use in a process. It was purchased and stored in a central location, transferred to smaller
containers and distributed as needed to various subsidiary plants, where it was diluted substantially and
neutralized.The safety director knew that the required goggles, aprons, gloves, etc. were not always used at all
locations. Furthermore, he had to try to ensure that OSHA-required MSDS and PPE training were always up to
date for these subsidiaries. Although no injuries had occurred to the senior people who handled the liquid, the
safety director worried that a new and inexperienced employee might eventually be asked to do this job and be
injured.Rather than simply try to protect the employees who were handling the corrosive material at the
subsidiaries, the safety director decided to dilute and neutralize the liquid to a safe pH at the central location.
Thus, no goggles, face shields, gloves or aprons were necessary except at the central location. Now, a project is
underway to purchase the material with the neutralizer already added, to eliminate the hazard completely.
• Visit plant areas regularly. Surprisingly, some safety managers walk through production areas only once a
week or less. This can inhibit communication and cooperation by reminding employees of the management status
of the safety manager. Make a walkthrough of at least one plant area per day to let employees see that you are there
for them, and allow them to offer their comments and suggestions to you. Most production employees would rather
talk in person than call you by telephone, so being there establishes a line of communication. This simple habit may
give you opportunities to catch problems before they become too serious.

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• Maintain openness. Make sure to tell employees as much as
you can about what you are doing when you monitor, test
alarms, bring visitors through, change safety equipment or
procedures, etc. The production area is like a home to
production workers, and they often have great interest in what
happens in it. Give them as much factual information as you
can when you are conducting safety and health business in
their work areas. Real-life examples of a lack of openness show
how expensive it is to hide facts, even unintentionally. In an
auto assembly plant, an employee noticed an unusual odor
near the end of the assembly line and complained to a union
safety representative. The complaint went to management,
who sent an industrial hygienist out to take pull-tube samples.
The hygienist found that the brand of gasoline going into the
cars had been changed and so had the slight odor generated
when filling the cars. The air was fine. Finding no real
problem, the hygienist went back to her office without saying
anything to anyone on the line. Seeing someone taking
samples agitated the employees, who eventually called the
local OSHA office and filed a complaint. They were sure that
management was hiding some kind of dangerous chemical leak
from them and had kept them working in possibly hazardous
conditions. The reasons for their fears? The hygienist didn't let
them in on the sampling results and the employees"
imagination filled in the resulting blanks. By the end of the
day, over 100 employees had gone to the clinic with an array of
imagined "symptoms.” In another case, employees assumed
that visitors from an insurance carrier were OSHA inspectors.
When the visitors came and went without a word to the
employees, they decided "OSHA" had been "paid off." As
unlikely as it is that someone from OSHA could be paid off, the
employees hung onto the rumor for years.
• Learn the names of as many production employees as
possible. Almost everyone likes being recognized by name. It helps
bring down communication barriers. This results in benefits to your
safety program. I've seen that the best safety professionals in
industry can walk through a plant and personally greet everyone on
the floor by name. Although some of us are not good with names,
you do get credit for trying. Eat lunch regularly with the production
workers. In one workplace, an invisible class barrier had always
existed between "management" and production people. Production
workers were not included in day to day running of the firm, mainly
due to the owner, who wanted to be involved in everything and
delegated no authority. The safety committee included only
management personnel who answered directly to the owner. While
unable to convince the owner of the company to stop
micromanaging, the safety director started to bring his lunch so he
could eat with the plant employees regularly. Each lunchtime session
was an informal safety mini-meeting and most were substantially
more productive than the "official" safety meetings.
• Try to learn something new AT LEAST ONCE PER
day. Safety and health professionals who have professional
certifications must acquire continuing education units to maintain
their certifications. There is a good reason for this requirement. It
helps keep these professionals current about safety and health
issues. You can do the same thing, often at little cost. For example,
read an article in a safety and health publication, whether you think
the topic relates to you or not. Free seminars from your workers"
compensation carrier may be available. Call an OSHA office and ask
questions (make sure you have a genuine OSHA inspector on the line
first). Meeting and networking with peers is also constructive.
Develop your resources. An effective safety person would do well to
have contacts within the ranks of production employees and
management, at other companies, at the local OSHA office, at the
workers" compensation carrier's loss control department, at trade
organizations and at safety equipment supply houses.
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Thank You!!

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