Procedures Governing Complaints of Discrimination or Harassment at an APA Function

Download the Procedures Governing Complaints of Discrimination or Harassment

A. OVERSIGHT

The Welcoming Environment Committee will work with an independent investigator and APA staff to issue formal recommendations and advisory opinions related to the cultivation of a welcoming environment at all APA functions. It will review and adjudicate all contested matters of behavior and disciplinary proceedings under the APA Rules of Conduct other than those adjudicated by the AICP. The Committee will also report to the Board of Directors annually about the state of the APA’s Welcoming Environment and the complaints that it has addressed.

An independent investigator will receive, review and act on all complaints in cooperation with the Welcoming Environment Committee and AICP Ethics Officer as appropriate. Where a complaint is deemed by the investigator to be clearly without merit, the investigator shall so advise the Committee or the Ethics Officer. If the Committee or Ethics Officer agrees, no further action will be taken by the investigator.

The APA Executive Committee will review and act on all requests for appeal of a decision by the Welcoming Environment Committee.

The APA Board of Directors, at its sole discretion, shall have the right at any time to review any decision of the Welcoming Environment Committee, the AICP, or the APA Executive Committee.

APA’s Chief Executive Officer (CEO) will serve as a liaison between the Welcoming Environment Committee, the APA Executive Committee and the APA Board of Directors.

B. REPORTING AN INCIDENT

The APA cannot investigate allegations of discrimination or harassment unless the incident is promptly brought to the attention of the appropriate personnel.  We will not investigate any allegation unless the incident in question is brought to our attention within three (3) months after the incident took place.

Regardless of whether a formal complaint is made, the APA reserves the right at any time to investigate situations that arise at its meetings or other functions, whether in person or online.

Those who witness or experience discrimination or harassment —including, but not limited to, the prohibited conduct previously described — should report the incident via the attached Rules of Conduct Incident Form. Anyone experiencing a threat to their physical safety at an in-person event should immediately call 911 and should then report the incident to the APA.

C. INVESTIGATION PROCEDURE

The following procedure will be followed for investigations:

1. Individuals who believe they have experienced or witnessed discrimination or harassment should submit the Rules of Conduct Incident Form. Failure to provide a report in writing may limit the APA’s ability to investigate.
2. The complaint must be signed and should include contact information so that the Welcoming Environment Committee and investigator (or the AICP Ethics Officer) will know with whom to follow up. The complainant may request confidentiality. APA will attempt to honor that request. However, we cannot guarantee confidentiality and may disclose the identity of the complainant, the alleged victim (if different from the complainant), and the accused if, in the judgment of APA, disclosure is needed to reach an informed result or is required by law.
3. The independent investigator will conduct a review of each submitted incident. The investigator will use the information provided on the form to determine how best to proceed with each incident in consideration of the following:
   1. Whether the incident is a matter of organizational practice or policy (e.g., wheelchair accessibility issues at a meeting, lack of accommodation for religious practices, etc.), or individual conduct (e.g., behavior that violates the rules outlined above);
   2. Whether the incident requires further investigation; and
   3. Whether the incident is best suited for action by APA or AICP.
4. APA will acknowledge receipt of each incident and follow up with the complainant, and the victim of the alleged misconduct if that person is not the complainant, about the process for addressing the incident.
5. All complaints will be treated seriously.
   1. Incidents determined to be matters exclusively of organizational practice or policy will not be investigated further. They will be referred directly to the Welcoming Environment Committee for review and action.
   2. Incidents determined to be matters of individual conduct will be further investigated by the independent investigator. If the accused person is an AICP member, the incident will be referred by the investigator to the AICP Ethics Officer for further action in accordance with the AICP Ethics process.
   3.  Any reported incident will be addressed either through the APA Rules of Conduct procedures, or the AICP Ethics process, but not both. Once the incident is reviewed through one or the other process, it will not be reinvestigated. Any decision by the AICP shall be reported to the Welcoming Environment Committee.
   4. Decisions resulting from the review of an incident through either the APA or AICP process may result in adverse action against a person found to have violated the Rules of Conduct. Any action following a complaint may be communicated to AICP or APA components (chapters, divisions, planning student organizations).
6. During an investigation, the independent investigator will discuss the details of the incident with the complainant, with the alleged victim if the complainant is not the victim, with the alleged offender(s), and with any witnesses deemed by the investigator to be able to provide useful information. The investigator may consult with APA staff, officers, and/or legal counsel as needed.   Those reporting a complaint are not expected to discuss the incident with the offending party.
7. The investigator will notify APA when the investigation has been completed and will prepare a written report reflecting the findings of the investigation. The complainant, the victim (if different from the complainant), and the accused will be notified of the findings and conclusions of the investigator. Each of them will have one (1) week from the date of notification to submit an optional written statement regarding the incident to the investigator.
8. The investigator’s report, and any accompanying written statements, will be submitted to APA’s Welcoming Environment Committee for review and action. The investigator may include recommendations for consideration of possible disciplinary action(s) to be considered by the Welcoming Environment Committee.
9. After reviewing the report and all accompanying materials, the Welcoming Environment Committee may determine that there has been a violation of the Rules of Conduct. The Committee shall impose such discipline as it deems appropriate. It shall explain the basis for the discipline imposed and may attach such conditions, e.g., requirement to get additional harassment and discrimination training, as the Committee deems just. Alternatively, the Committee may find that there is inadequate evidence of a violation, and will therefore dismiss the complaint. In either situation, the Committee shall explain the basis for the decision in a written opinion that cites and discusses the relevant provision(s) of the Rules of Conduct.
10. All parties (complainant, victim if the complainant is not the victim, and the accused) will be notified of the decision by the Welcoming Environment Committee. The alleged victim and the accused shall have a right to appeal in accordance with the procedures set forth in Section E.

D. DISCIPLINARY ACTION

If it is determined that a member or other individual has engaged in prohibited conduct, the APA Welcoming Environment Committee shall determine the appropriate action to be taken. Such action may include, but is not limited to:

• An informal discussion of the incident at issue, the need to avoid similar incidents going forward, and the advisability of training on the conduct in question.
• Private reprimand;
• Implementation of conditions upon attendance, or restriction from attendance, at future APA-sponsored events;
• Temporary suspension or removal from APA Leadership;
• Prohibition from pursuing future leadership roles; and
• Temporary suspension or permanent revocation of APA membership.

In cases involving suspension or revocation of leadership or membership, APA may communicate decisions with AICP and appropriate APA components (e.g., the offending party’s chapter, division, planning student organization), per section C.5.d. of the investigation procedure.

In the event of the potential for serious, injurious, or offensive conduct, when it seems reasonable to preserve the peace and decorum of the event or to limit harm or to avoid further incidents, APA may take immediate action and require a person to leave an event or online forum without warning or refund. Any follow-up proceedings may occur later.

APA may, but is not required to, report any incident to the proper authorities, including but not limited to event security and law enforcement, if in APA's sole discretion such reporting is appropriate.

E. DECISION AND APPEALS

APA will notify all parties (complainant, victim if the complainant is not the victim, and the accused) regarding the decision of the Welcoming Environment Committee.

The alleged victim(s) and the accused will have a right to appeal the Committee’s decision.

1. Notice of an appeal must be delivered within three (3) weeks after the date of the notification of the decision of the Welcoming Environment Committee. Such notice must be accompanied by a written statement setting forth the basis of the appeal. Appeals must be submitted in writing to the Chair of the Welcoming Environment Committee and to the staff person designated by the CEO. The Committee shall, in its sole discretion, determine whether to stay any adverse action against the accused pending appeal.
2. The notice of appeal and the accompanying written statement shall be sent to the person(s), other than the appellant, who were involved in the initial proceeding of the Welcoming Environment Committee. Such person(s) will have two (2) weeks from the date of the sending of the notice of appeal and written statement to those persons to make a written submission, if they wish, setting forth their position on the appeal.
3. Appeals will only be accepted for incidents that result in more than a reprimand. Appeals from those reporting a complaint will not be accepted in cases in which the appellant is neither the victim nor the accused.
4. Appeals will be considered by the APA Executive Committee within a reasonable time after receiving all relevant input. The Executive Committee will determine, in its sole discretion, whether to permit oral presentations by the victim and the accused.
5. APA will notify all parties (complainant, victim if the complainant is not the victim, and the accused) regarding any final decision of the Executive Committee.
6. If the decision of the Executive Committee is to remove an officer or director from his or her position within the APA or to withdraw or suspend the accused’s membership in the APA, the decision shall be forwarded to the Board of Directors for proceedings in accordance with the bylaws and policies of the APA.
7. If appropriate, final decisions will also be communicated to AICP and APA components, per section C.5.d.

F. RETALIATION

The APA will not tolerate any form of retaliation against persons who file Rules of Conduct Incident reports or who assist in incident investigation.  Any attempt at retaliation will itself be grounds for sanctions.

Final Comments:

It is important to recognize that the APA is not a law enforcement entity. While we are striving to offer a welcoming environment to all attendees at our functions, we are not responsible for the conduct of any individual. We assume no duty to halt, limit, or address any problematic or illegal conduct, and we disclaim liability for conduct between and among any individuals.

Rather, in adopting and disseminating these Rules, APA's purpose is to encourage appropriate behavior and to address allegedly inappropriate behavior in a fair manner. We want to do what we reasonably can to help assure that all participants and attendees at APA functions are treated in a welcoming manner. It is our hope that these Rules will help to result in a welcoming environment for all who participate or attend APA functions.