Procedural Provisions Flashcards
Section C - E of the Code of Ethics
True/False: Any person, whether or not an AICP member, may seek informal advice from the Ethics Officer?
True
True/False: Any AICP member may seek a formal opinion from the Ethics Committee, on any matter related to the Code of Ethics and Professional Conduct.
True
From time to time, the Ethics committee may issue _______ applying the Code to ethical matters related to planning.
Opinions
What are the steps to seek informal advice from the Ethics Officer?
Contact the Ethics Officer to arrange a time to discuss the issue. The EO will schedule a call to provide advice.
True/False: Informal advice will be given in writing.
False - Informal advice will be given orally.
True/False: The EO does not keep of record of issues raised and informal advice given
False - There is a record kept by the EO of all informal advice
True/False: Informal advice is not binding on AICP
True
True/False: The Ethics Committee can consider a charge of misconduct against a Certified Planner who relied on informal advice
True
True/False: Members should send a detailed description of relevant facts and a clear statement of the question to the EO in order to receive a formal opinion from the Ethics Committee?
True
The EO shall review each such request and determine whether there is _________ __________ to permit a _______ _________ _________ or whether additional information is required.
sufficient information - fully informed response.
True/False. The Ethics Committee will issue an Advisory Opinion if it determines the request concerns past conduct that may be subject of a charge of misconduct.
False - they will NOT
True/False: The Committee can but is not required to, provide a reason for a decision to not issue an opinion.
True
If the Ethics Committee determines to issue an Advisory Opinion, it will endeavor to do so within ______ days after receiving all information necessary to the provision of the opinion.
90 days
True/False: Advisory Opinions can be given orally
False - They are given in writing
Any member who acts in compliance with a formal _______ _________ will have a defense to a charge of misconduct that is based on conduct permitted by the Opinion.
Advisory Opinion.
True/False: A formal advisory opinion can be issued without request of a member?
True - when it believes that an opinion will be useful guidance to members
How are formal advisory opinions published?
In writing and they are visible to the entire membership
What can be done if a member disagrees with a formal opinion issued? What are the steps taken by the EO and EC
Write to the EO explaining the members thinking and requesting consideration. The EO transmits communications to the EC and the EC will determine if any changes will be made.
When is the annual report filed? And what does it contain?
Prior to Jan 31 of each year the EO files their annual report of all formal advisory opinions and all interpretations of the code to the AICP Commission and EC.
Who has the final publishing authority over the Annual report?
The AICP Commission
What does Section C contain?
Advisory Opinions
What are the headings in Section C?
- Intro
- Informal Advice
- Formal Advisory Opinion Requested by a Member
- Formal Advisory Opinions Issued without Request of a Member
- Annual Report of the EO
What does Section D contain?
The Adjudication of Complaints of Misconduct
How many headings are in Section D?
- Filing a complaint
- Preliminary Review
- Fact Gathering
- Exploring of Settlement
- Decision
- Appeal
- Effects of Dropping of Charges by Complainant or Resignation by Respondent
- Reporting
True/False: Only an AICP member can file a complaint against a certified planner
False - anyone can
Where can the complaint form be found and who developed it?
The EO developed the complaint form and it can be found on the AICP website.
True/False: The complainant does not need to include their contact information nor sign the complaint
False
True/False: Complainant may request confidentiality and the AICP will attempt to honor their request, however it is not guaranteed.
True
Does the complaint need a cover letter?
No but it can be included if needed.
What information needs to be in the complaint?
Identify the Certified Planner against whom the complaint is brought, describe the conduct at issue, cite the relevant provision(s) of the Code and explain the reasons that the conduct is thought to violate the Code. The complaint should include all relevant documents as well.
The EO will determine whether the complaint contains _______ ________ necessary to make a _________ __________ _________
all information, fully informed decision
Who will contact the complainant if the complaint does not contain all necessary information?
The EO
True/False: The EO will maintain a log of all complaints against certified planners, for use by the EC.
True
What are the EO’s next steps once a complaint is filed and all necessary information is presented?
Make a preliminary determination of whether a violation may have occurred.
Within _____ days after receiving all necessary info to make a preliminary decision, the EO shall make a preliminary determination whether a violation occurred.
30
What if the EO determines that there is no clear violation?
The complaint shall be dismissed and the complainant is notified.
True/False: Appeal of determinations of the EO is available to everyone.
False - it is only available to members of the AICP
If a complaint is dismissed during preliminary review, what are the appeal steps the complainant can follow if they do not agree with the EO’s decision?
The complainant has 20 days from the date of notification to appeal the dismissal of the complaint to the EC.
During the preliminary review, the EO determined there was a violation, or on appeal, the EC reversed a preliminary dismissal. What are the next steps
The EO shall have 30 days to provide a complaint to the certified planner against whom the complaint was made (respondent). The EO shall request from the respondent a detailed response to the complaint and any supporting documentation.
The respondent has ____ days from the date of notification from the EO to provide a response to a complaint and provide any supporting documents. The EO can provide an extension for the respondent that does not exceed _____ days.
30 day to respond & extension cannot exceed 14 days.
The ethics officer shall provide the response to the respondent and to the complainant and will give them the opportunity to comment on the response within _____ days
14 days.
If the EO determines that additional information is needed from a complainant and respondent, the parties will have ____ days to provide additional info, with up to a ____ day extension at the discretion of the EO.
15 days to provide additional info with a 15 day extension
At any point in the process the EO can, after consultation with the EC, do what?
attempt to negotiate a settlement of the complaint in accordance with the Code.
True/False: The EC shall be notified and will be permitted to comment on any potential settlement at an early stage. & any settlement must be approved by the EC before becoming final.
True
Upon approved by the ethics committed who needs to sign the agreement?
The respondent and the complainant, if appropriate.
What if the EO and EC are unsuccessful in exploring a settlement and neither parties are willing to settle.
The EO shall issue a written decision on the complaint.
Who determines if a hearing needs to be held and how is it held?
The EO determines if a hearing needs to be held and it can be held by phone or other electronic means unless all parties and the EO agree that it be in person.
True/False: Expenses of each party in connection with any hearing, such as transcripts, travel, attorney fees, will be borne by the AICP.
False - it is the responsibility of the party.
Whether or not there is a violation that has occurred, what is the responsibility of the EO?
To explain the basis for their decision in a written opinion that cites and discusses the relevant provision(s) of the Code.
What if the EO determines there is a violation? What discipline is imposed by the EO?
The EO can impose whatever discipline is deemed as appropriate and the disciplines can range from 1) confidential letter of admonition, 2) public letter of admonition, 3) suspension of AICP membership, 4) revocation of AICP membership.
Does the EO need to explain the basis for the disciplines imposed?
Yes, and there can be additional conditions attached to the disciplines.
Who does the EO transmit their decision to first? And who notifies the parties?
The EC must be notified by EO once a decision has been made and they will notify the parties of the decision.
Does the EO need to disclose the discipline to a complainant who is not a member of AICP?
The EO can determine not to disclose a remedy to a complainant who is not a member of AICP.
If an appeal is timely filled, the party filing the appeal shall, within ______ days, provide the EO with a written statement as to the basis of the appeal.
14 days
The EO shall within ______ days, transmit the document to the party against whom the appeal is filed.
10 days
The party shall have ________ days to provide the EO with a written statement of his or her position on the appeal.
30 days
The EO shall transmit all written statements of the parties to the EC within ________ days after the record is complete.
10 days
True/False: After receiving any timely filed statements of the parties, the EC shall issue a written decision on the appeal.
True
True/False: Before issuing a decision, the EC may consult with the EO and they may determine whether to hold a hearing with the parties to present their position and answer questions posed by the committee.
True
What decisions can be imposed by the EC during an appeal?
1) affirm the decision of the EO; 2) affirm the decision but impose a different remedy; 3) vacate the decision of the EO and return the case back to the EO for additional investigation, consideration of the code, or any other follow up; or 4) vacate the decision of the EO and issue its own decision
True/False: A decision to affirm the decision of the EO, to impose a different remedy, or to vacate that decision and to issue the EC’s own decision is final
True
What happens if charges against a complainant are dropped?
The EC can either terminate the ethics proceeding or continue the process without the complainant.
What happens if a respondent resigns from the AICP or lets their membership lapse after a complaint is filed but before the case if finalized?
The EC can either terminate the ethics proceeding or continue the process. The EC can also determine to file a complaint with the appropriate law enforcement authority if it believes that a violation of law may have occurred.
What are the decision of the EC titled?
Opinion of the AICP Ethics Committee
Where can the decisions of the EO be found?
The Annual Report of the Ethics Officer
Aside from conduct in violation of this code, what are other types of conduct that can a member be subject to discipline?
a) conviction of a serious crime; b) conviction of other crimes; c) a finding by the EC or EO that the member has engaged in unethical conduct; d) loss, suspension, or restriction of state or other governmental professional licensure; e) failure to make disclose to AICP of any conviction of a serious crime or adverse professional licensure action; f) other actions as the EC or the EO determine to be inconsistent with the professional responsibilities of a Certified Planner.
What are the forms of discipline?
a) a confidential letter of admonition; b) a public letter of admonition; c) a suspension of membership or d) revocation of membership
What are some conditions that can be attached to disciplinary actions by the EO or EC?
A letter of apology, correction of a false statement(s), the taking of an ethics course, refunding money
If convicted of a serious crime, is membership revoked?
Yes
Membership shall be revoked wither the conviction resulted in a plea of ________ or ______ _________, from a verdict after trial or otherwise
guilty or nolo contendere
What happens to a Planner’s membership if they are appealing a conviction?
Membership will be reinstated if conviction is overturned upon appeal.
What is a considered as a serious crime by the EO and EC?
False swearing, misrepresentation, fraud, failure to file income tax returns or to pay tax, deceit, bribery, extortion, misappropriation, theft, or physical harm to another
Can a member be imposed of a discipline if they have been convicted of a crime not included in the definition of “serious crime” by the Code?
Yes - and including actions determined by the EC or EO to be inconsistent with the professional responsibilities of a Certified Planner.
Before any disciplines are imposed, what are some of the rights the member has?
The right to set forth his or her opinion in writing to the EO.
If a member is convicted of a serious crime, what is the responsibility of the EO after hearing a member’s position prior to imposing a discipline?
Determine and notify the member if a hearing for shall be held.
A member who has had a discipline imposed by the EO shall have _______ days from the date of notification of the adverse decision to file an appeal to the EC
30 days
How can a member file an appeal to a discipline?
File a notice of appeal to the EO and accompany it with a statement of the basis for the appeal.
What is the responsibility of the EO after receiving an appeal on a discipline?
Transmit the appeal and accompanying notice to the EC.
Who grants a hearing when an appeal for a discipline is filed and issue a written opinion on the appeal?
The EC.
What happens to one’s membership if other state or governmental issued professional license has been revoked, suspended or restricted for any reason relating to improper conduct?
The EC or EO can impose a discipline
What is a member’s first step if they have been convicted of a serious crime or had their state/government-issued license revoked, suspended or restricted for any reason due to improper conduct?
Notify the EO
What if a member fails to notify the EO of conviction of a serious crime or revocation of other license being revoked, suspended or restricted due to improper conduct?
It may result in a discipline of the member
Does the EO have the right to discipline members for any conduct not outlined in the code?
Yes - to any conduct found to be inconsistent with the responsibilities of a Certified Planner
What are some examples of other conduct found to be inconsistent with the responsibilities of a Certified Planner?
defamation or similar unlawful action, infringing copyright or other intellectual property, engaging in perjury
Any member who has had their membership or certification revoked may petition the EC for reinstatement no sooner than ______ years from the time of revocation
5 years
What is the responsibility of the EC and EO during a petition for reinstatement of a member?
The EC determines whether the grant the petitioner a hearing or if any additional information is needed and determine whether reinstatement is appropriate and if any conditions should be attached. The EO transmits the reinstatement determination letter to the member.
What if a petition for reinstatement is denied by the EC?
The EO advised the member to file a petition after 12 months have elapsed from the date of determination.
Who decides whether or not to publish the names of members who have had disciplinary actions imposed and state the nature of the discipline imposed?
The EC
