10.3 Rules of Conduct, Conflicts & Enforcement

From Aspiration to Enforceable Rules

Section B states that AICP members adhere to Rules of Conduct informed by the aspirational principles, and that the Institute will enforce compliance. Failure can bring sanctions up to loss of certification. For exam purposes, know the themes and high-frequency rules, cite rule numbers only when sure, and always prefer the action that keeps practice honest, conflict-free, and cooperative with ethics processes.

The Rules are numbered 1–24 under official thematic headings.

Quality and Integrity of Practice (Rules 1–6)

Exam favorites: supervisor pressure to alter unsupported findings (Rule 5), burying accurate information (Rule 1), and taking work you cannot timely or competently deliver (Rules 3–4).

Conflict of Interest (Rules 7–8)

• Rule 7: As public officials or employees, do not accept from anyone other than the public employer any compensation, commission, rebate, or other advantage that may be perceived as related to public office or employment.
• Rule 8: Do not work on a project if, beyond agreed compensation, there is possibility of direct personal or financial gain to you, family members, or household members, unless (a) client/employer, after full prior written disclosure, consents in writing, and (b) you make full disclosure of the potential conflict on the public record at every public meeting and in all written reports related to the work.

Appearance matters. “My cousin might profit but we never put it in writing” is a problem pattern.

Improper Influence / Abuse of Position (Rules 9–12)

• Rule 9: As public officials/employees, do not engage in private communications with planning process participants about matters over which you have authority to make a binding, final determination.
• Rule 10: Do not engage in private communications with decision-makers in any manner prohibited by law or by agency rules, procedures, or custom.
• Rule 11: Do not solicit clients/employment with false or misleading claims, or imply ability to improperly influence decisions.
• Rule 12: Do not use the power of office to seek special advantage that is not public knowledge or not in the public interest.

Private ex parte-style contact with parties when you are the final decision-maker is a classic trap for zoning administrators or similar roles.

Honesty and Fair Dealing (Rules 13–17)

• Rule 13 (Confidentiality): Do not disclose or use to your advantage (or a later client’s) information a client/employer asked be held inviolate, or that you should recognize as confidential because disclosure could harm them—except when disclosure is required (1) by process of law, (2) to prevent a clear violation of law, or (3) to prevent a substantial injury to the public.
• Rule 14: Do not deliberately misrepresent qualifications, views, and findings of other professionals.
• Rule 15: Do not misstate your education, experience, training, or other facts relevant to qualifications.
• Rule 16: Do not use others’ work product to seek professional recognition intended for original producers.
• Rule 17: Disclose client/employer interests when participating in the planning process; do not help conceal true interests.

Memorize the three confidentiality exceptions—especially “substantial injury to the public.”

Responsibility to Employer (Rules 18–19)

• Rule 18 (Dual employment): As employees, do not undertake other employment in planning or a related profession (paid or not) without full written disclosure to the paying employer and subsequent written permission, unless the employer has a written policy allowing such work without consent. Never engage in outside work that creates an actual conflict of interest.
• Rule 19 (Three-year reverse advocacy): Do not accept an assignment to publicly advocate a position significantly different from one you publicly advocated for a previous client/employer within the past three years, unless (1) you determine in good faith the change will not cause present detriment to the previous client/employer, and (2) you make full written disclosure of the conflict to previous and current client/employer.

Discrimination / Harassment (Rule 20)

Rule 20: We shall not commit or ignore an act of discrimination or harassment. Passive tolerance is not a defense.

Ethics Process Cooperation (Rules 21–24)

• 21: Do not withhold cooperation or information from the Ethics Officer or Ethics Committee regarding a charge against you or relevant knowledge about a charge against another AICP member.
• 22: Do not harass, retaliate, or threaten retaliation against someone who filed a charge or cooperates in an investigation.
• 23: Do not use the ethics process for inappropriate purposes (threats, personal/pecuniary/professional gain, meritless complaints).
• 24: Immediately notify the Ethics Officer (receipted certified and regular first-class mail) if convicted of a “serious crime” as defined in Section E; do not represent yourself as Certified Planner/AICP until reinstated under Section E procedures.

Sections C–E: Awareness Level (Not a Procedure Marathon)

Section C — Advisory opinions

• Anyone may seek informal advice from the Ethics Officer (oral; recorded; not binding on AICP, but reliance is considered if a later charge arises).
• AICP members may seek formal advisory opinions from the Ethics Committee (written; acting in compliance is a defense to a charge based on conduct the opinion permits).
• Committee may also issue formal opinions without a member request; published guidance to membership.

Section D — Complaints (overview)

• Any person (member or not) may file a signed complaint against a Certified Planner with the Ethics Officer, identifying the planner, conduct, Code provisions, and reasons.
• Preliminary review may dismiss clear non-violations; AICP complainants can appeal certain dismissals.
• Fact gathering, possible settlement, written decision, possible hearing; discipline if violation found.
• Appeals of Ethics Officer decisions: generally current AICP members only, within stated timelines.
• Dropping charges or respondent resignation does not always end the matter—Ethics Committee may continue.

Section E — Discipline forms

Discipline may include:

1. Confidential letter of admonition
2. Public letter of admonition
3. Suspension of AICP membership
4. Revocation of AICP membership

Conditions (apology, ethics course, correction of false statements, etc.) may attach. Serious crime convictions (fraud, bribery, theft, physical harm, etc., as judged under the Code) lead to revocation. Other crimes, licensure loss, unethical conduct findings, and failure to disclose can also trigger discipline. Revoked members generally may petition for reinstatement no sooner than five years later.

Exam Strategy for Rules Items

1. Identify whether the actor is a public employee, consultant, or both.
2. Ask: information integrity? conflict/gain? private communication? confidentiality exception? dual job permission? three-year advocacy flip? discrimination? ethics-process abuse?
3. Choose the option with disclosure, abstention, written permission, refusal to falsify, or proper ethics channels—not secrecy, retaliation, or “everyone does it.”

Common Exam Traps

• Assuming only cash bribes count as conflicts
• Treating confidential client data as freely reusable for the next client
• Moonlighting without written disclosure/permission
• Flipping public positions within three years without written dual disclosure and good-faith no-detriment finding
• Filing ethics charges as a business weapon
• Ignoring harassment because “I didn’t do it—I only watched”

Bottom line for AICP: Rules 1–24 make integrity, conflicts, influence limits, honesty, employer transparency, non-discrimination, and ethics-process integrity enforceable. Know the themes, the dual-employment and three-year rules, confidentiality exceptions, and that discipline ranges from confidential admonition to revocation.