AICP - AICP Code of Ethics and Professional Conduct (10%)

This AICP Code of Ethics and Professional Conduct serves three purposes:

1. defining the aspirational principles for all those who participate in the planning process, whether as planners, as advisory bodies, or as decision-makers (Section A);

2. defining the rules of practice and behavior to which all members of the American Institute of Certified Planners are held accountable (Section B);

3. defining the procedures for enforcement of these rules (Sections C, D, and E)

Our primary obligation as planners and active participants in the planning process is to

serve the public interest

All who engage in the planning process should seek to achieve high standards of

integrity, proficiency, and knowledge

Section A: Principles to Which We Aspire

1. faithfully serve the public interest

2. participate with integrity

3. work to achieve economic, social and racial equity

4. safeguard the public trust

5. increase public understanding of planning activities

Section B: Our Rules of Conduct

1. Quality and Integrity of Practice

2. Conflict of Interest

3. Improper Influence/Abuse of Position

4. Honesty and Fair Dealing

5. Responsibility to Employer

6. Discrimination/Harassment

7. Bringing a Charge/Lack of Cooperation with Ethics Officer

We shall not accept an assignment from a client or employer to publicly advocate a position on a planning issue that is significantly different to a position we publicly advocated for a previous client or employer within the past three years unless

1. we determine in good faith our change of position will not cause present detriment to our previous client or employer

2. we make full written disclosure of the conflict to our previous and current client or employer

Formal Advisory Opinions Requested by A Member

• The Ethics Officer shall review each such request and determine whether there is sufficient information to permit a fully informed response or whether additional information is required.

• The Ethics Committee will not issue an Advisory Opinion if it determines that the request concerns past conduct that may be the subject of a charge of misconduct. It may also decline to issue an Advisory Opinion for any other reason. The Committee may, but is not required to, provide a reason for a decision not to issue an opinion.

  • If the Ethics Committee determines to issue an Advisory Opinion, it will endeavor to do so within ninety (90) days after receiving all information necessary to the provision of the opinion. Every Advisory Opinion will be in writing.

Annual Report of the Ethics Officer

• Prior to January 31 of each year, the Ethics Officer shall provide to the AICP Commission and to the Ethics Committee an Annual Report of all formal Advisory Opinions and all interpretations of the Code issued during the preceding calendar year. That report need not contain the full text of each formal Advisory Opinion and interpretation of the Code.

• The AICP Commission shall publish an Annual Report on ethics matters to the membership.

Section D: Adjudication of Complaints of Misconduct - Preliminary Review

• Within thirty (30) days after receiving all information that the Ethics Officer deems necessary to make a preliminary determination, the Ethics Officer shall make a preliminary determination whether a violation may have occurred.

• Appeal of the determination of the Ethics Officer is only available to members of AICP. If the complainant is a member of AICP, the complainant shall have twenty (20) days from the date of notification to appeal the dismissal of the complaint to the Ethics Committee.

• If the preliminary determination of the Ethics Officer is that a violation may have occurred — or if, on appeal, the Ethics Committee reverses a preliminary dismissal, the Ethics Officer shall, within thirty (30) days, provide the complaint to the Certified Planner against whom the complaint was made ("the respondent"). The Ethics Officer shall request from the respondent a detailed response to the complaint, and any supporting documentation.

Section D: Adjudication of Complaints of Misconduct - Fact Gathering

• The respondent shall have thirty (30) days from the date of notification from the Ethics Officer to provide a response to the complaint, as well as any supporting documentation. The Ethics Officer may extend this time, for good cause shown, for a period not to exceed fourteen (14) days.

• The Ethics Officer shall provide the response of the respondent to the complainant, and shall give the complainant an opportunity to comment on the response within fourteen (14) days.

• If the Ethics Officer determines that additional information is needed from either the complainant or the respondent, the Ethics Officer shall attempt to obtain such information. The parties shall have fifteen (15) days to provide the requested additional information, with up to a fifteen (15) day extension at the discretion of the Ethics Officer if a request is made for additional time.

Section D: Adjudication of Complaints of Misconduct - Decision

If the decision is that there has been a violation, the Ethics Officer shall impose such discipline as that Officer deems appropriate. The discipline may be:

1. a confidential letter of admonition,

2. a public letter of admonition,

3. suspension of AICP membership, or

4. revocation of AICP membership.

5. The Ethics Officer shall explain the basis for the discipline imposed and may attach such conditions, e.g. requirement to get additional ethics training, as the Officer deems just.

Section D: Adjudication of Complaints of Misconduct - Appeal

The Ethics Committee may

1. affirm the decision of the Ethics Officer;

2. affirm the decision but impose a different remedy;

3. vacate the decision of the Ethics Officer and return the case to the Ethics Officer for additional investigation, consideration of different Code sections or issues, or any other follow up; or

4. vacate the decision of the Ethics Officer and issue its own decision.

Section D: Adjudication of Complaints of Misconduct - Appeal

A decision to affirm the decision of the Ethics Officer, to impose a different remedy, or to vacate that decision and to issue the Ethics Committee's own decision shall be final.

AICP members are subject to discipline for certain conduct

(a) conviction of a serious crime as defined in paragraph 3;

(b) conviction of other crimes as set forth in paragraph 4;

(c) a finding by the Ethics Committee or Ethics Officer that the member has engaged in unethical conduct;

(d) loss, suspension, or restriction of state or other governmental professional licensure;

(e) failure to make disclosure to AICP of any conviction of a serious crime or adverse professional licensure action; or

(f) such other action as the Ethics Committee or the Ethics Officer, in the exercise of reasonable judgment, determines to be inconsistent with the professional responsibilities of a Certified Planner.

the term "serious crime" shall mean

any crime that, in the judgment of the Ethics Committee or the Ethics Officer, involves false swearing, misrepresentation, fraud, failure to file income tax returns or to pay tax, deceit, bribery, extortion, misappropriation, theft, or physical harm to another

5 sections to the code of ethics

aspiration principles, rules of conduct, advisory opinions, adjudication of complaints of misconduct, discipline of members

3 procedural provisions

advisory opinions, adjudication of complaints of misconduct, discipline or members

How many rules of conduct, under how many headings

24 rules, 7 headings

Rules of Conduct Rule 1. Quality and Integrity of Practice

1. We shall not deliberately fail to provide adequate, timely, clear and accurate information on planning issues.

2. We shall not accept an assignment we know to be illegal or in violation of this Code

3. We shall not accept work beyond our professional competence, but may with the understanding and agreement of the client or employer, accept such work to be performed under the direction of, another professional competent to perform the work and acceptable to the client or employer

4. We shall not accept work for a fee, or pro bono, that we know cannot be performed with the promptness required by the prospective client, or that is required by the circumstances of the assignment

5. We shall not direct or pressure other professionals to make analyses or reach findings not supported by available evidence.

   1. We shall not deliberately commit any wrongful act, whether or not specified in the Rules of Conduct, that reflects adversely on our professional fitness

Rules of Conduct Rule 2. Conflict of Interest

7. We shall not, as public officials or employees, accept from anyone other than our public employer any compensation, commission, rebate, or other advantage that may be perceived as related to our public office or employment.

8. We shall not perform work on a project for a client or employer if, in addition to the agreed upon compensation from our client or employer, there is a possibility for direct personal or financial gain to us, our family members, or persons living in our household, unless:

   1. our client or employer, after full prior written disclosure from us, consents in writing to the arrangement; and

   2. we make full disclosure of the potential conflict part on the public record at every public meeting and in all written reports related to the work.

Rules of Conduct Rule 3. Improper Influence/Abuse of Position

9. As public officials or employees, we shall not engage in private communications with planning process participants if the discussions relate to a matter over which we have authority to make a binding, final determination

10. We shall not engage in private communications with decision makers in the planning process in any manner prohibited by law or by agency rules, procedures, or custom

11. We shall not solicit prospective clients or employment through use of false or misleading claims, nor shall we, in the conduct of our work, imply an ability to improperly influence decisions

    1. We shall not use the power of any office to seek or obtain a special advantage that is not a matter of public knowledge or is not in the public interest

Rules of Conduct Rule 4. Honesty and Fair Dealing

13. We shall not disclose or use to our advantage, nor that of a subsequent client or employer, information gained in a professional relationship that the client or employer has requested be held inviolate or that we should recognize as confidential because its disclosure could result in detriment to the client or employer., except when disclosure is required:

    1. by process of law, or

    2. to prevent a clear violation of law, or

    3. to prevent a substantial injury to the public.

14. We shall not deliberately misrepresent the qualifications, views and findings of other professionals

15. We shall not misstate our education, experience, training, or any other facts which are relevant to our professional qualifications.

16. We shall not use the product of others' efforts to seek professional recognition, credit, or acclaim intended for producers of original work.

17. We shall not fail to disclose the interests of our client or employer when participating in the planning process. Nor shall we participate in an effort to conceal the true interests of our client or employer

Rules of Conduct Rule 5. Responsibility to Employer

18. We shall not, as employees, undertake other employment in planning or a related profession, whether or not for financial remuneration, without having made full written disclosure to the employer who furnishes our pay and having received subsequent written permission to undertake additional employment, unless our employer has a written policy permitting such employment without consent. In no case shall a planner engage in any outside work that would create an actual conflict of interest.

19. We shall not accept an assignment from a client or employer to publicly advocate a position on a planning issue that is significantly different to a position we publicly advocated for a previous client or employer within the past three years unless

    1. we determine in good faith our change of position will not cause present detriment to our previous client or employer, and

    2. we make full written disclosure of the conflict to our previous and current client or employer.

Rules of Conduct Rule 6. Discrimination/Harassment

20. We shall not commit or ignore an act of discrimination or harassment.

Rules of Conduct Rule 7. Bringing a Charge/Lack of Cooperation with Ethics Officer

21. We shall not withhold cooperation or information from the AICP Ethics Officer or Ethics Committee if a charge of ethical misconduct has been filed against us or if we have information/knowledge relevant to a charge filed against another AICP member.

22. We shall not harass, retaliate or threaten retaliation against a person who has filed a charge of ethical misconduct against us or another planner, or who is cooperating in the Ethics Officer's investigation of an ethics charge.

23. We shall not use the AICP ethics process for any inappropriate purpose, including threatening to file, or filing an ethics charge against another planner for personal, pecuniary, or professional gain or filing of a meritless complaint against another planner.

24. We shall not fail to immediately notify the Ethics Officer by both receipted Certified and Regular First-Class Mail if we are convicted of a "serious crime" as defined in Section E of the Code; nor immediately following such conviction shall we represent ourselves as Certified Planners or Members of AICP until our membership is reinstated by the AICP Ethics Committee pursuant to the procedures in Section E of the Code.