爱华网PMI MEMBER ETHICAL STANDARDSMEMBER CODE OF ETHICS
The Project Management Institute (PMI) is a professional organization dedicated to the development and promotion of the field of project management. The purpose of the PMI Member Code of Ethics is to define and clarify the ethical responsibilities for present and future PMI members.
Preamble:
In the pursuit of the project management profession, it is vital that PMI members conduct their work in an ethical manner in order to earn and maintain the confidence of team members, colleagues, employees, employers, customers/clients, the public, and the global community.
Member Code of Ethics:As a professional in the field of project management, PMI members pledge to uphold and abide by the following:
8226; I will maintain high standards of integrity and professional conduct
8226; I will accept responsibility for my actions
8226; I will continually seek to enhance my professional capabilities
8226; I will practice with fairness and honesty
8226; I will encourage others in the profession to act in an ethical and professional manner.
PMI MEMBER ETHICAL STANDARDSMEMBER STANDARDS OF CONDUCTThe following PMI Member Standards of Conduct describes the obligations and expectations associated with membership in the Project Management Institute. All PMI Members must conduct their activities consistent with the Member Standards of Conduct.I. Professional Obligations.A. Professional Behavior.1. PMI Members will fully and accurately disclose any professional or business-related conflicts or potential conflicts of interest in a timely manner.
2. PMI Members will refrain from offering or accepting payments, or other forms of compensation or tangible benefits, which: (a) do not conform with applicable laws; and (b) may provide unfair advantage for themselves, their business or others they may represent.3. PMI Members who conduct research or similar professional activities will do so in a manner that is fair, honest, accurate, unbiased, and otherwise appropriate, and will maintain appropriate, accurate, and complete records with respect to such research and professional activities.4. PMI Members will respect and protect the intellectual property rights of others, and will properly disclose and recognize the professional, intellectual, and research contributions of others.5. PMI Members will strive to enhance their professional capabilities, skills and knowledge; and will accurately and truthfully represent and advertise their professional services and qualifications.B. Relationship With Customers, Clients, and Employers.1. PMI Members will provide customers, clients, and employers with fair, honest, complete and accurate information concerning: (a) their qualifications; (b) their professional services; and (c) the preparation of estimates concerning costs, services, and expected results.
2. PMI Members will honor and maintain the confidentiality and privacy of customer, client, employer, and similar work information, including the confidentiality of customer or client identities, assignments undertaken, and other information obtained throughout the course of a professional relationship, unless: (a) granted permission by the customer, client, or employer; or (b) the maintenance of the confidentiality is otherwise unethical or unlawful.3. PMI Members will not take personal, business, or financial advantage of confidential or private information acquired during the course of their professional relationships, nor will they provide such information to others.C. Relationship With the Public and the Global Community.1. PMI Members will honor and meet all applicable legal and ethical obligations, including the laws, rules, and customs of the community and nation in which they function, work, or conduct professional activities.
2. PMI Members will perform their work consistent and in conformance with professional standards to ensure that the public is protected from harm.II. Obligations to PMI.A. Responsibilities of PMI Membership.1. PMI Members will abide by the bylaws, policies, rules, requirements, and procedures of the Project Management Institute, and will not knowingly engage or assist in any activities intended to compromise the integrity, reputation, property, and/or legal rights of the Institute.
2. PMI Members will abide by the laws, regulations, and other requirements of their respective communities and nations, and will not knowingly engage in, or assist in, any activities intended to have negative implications, including criminal conduct, professional misconduct, or malfeasance.3. PMI Members will cooperate with the Institute concerning the review of possible ethics violations, and other PMI matters, completely, consistent with applicable policies and requirements.4. PMI Members will accurately, completely, and truthfully represent information to PMI.PMI MEMBER ETHICAL STANDARDS
MEMBER ETHICS CASE PROCEDURESThe following ethics case procedures are the only rules for processing possible violations of these ethical standards. These procedures are applicable to members of the Project Management Institute (hereinafter referred to as PMI or the Institute), and those who are seeking Institute membership. PMI members and inpiduals seeking PMI membership understand and agree that these procedures are a fair process for resolving all ethics matters duly adopted by PMI; and they will be bound by decisions made, and requirements issued, pursuant to these procedures.
A. General Provisions1. Nature of the Process. PMI has the only authority to resolve and end any ethics matter, regardless of circumstances. By applying for membership in the Institute, PMI members and applicants agree that they will accept the authority of the Institute to apply the Member Code of Ethics, Member Standards of Conduct, and the Member Ethics Case Procedures, and other relevant policies to resolve ethics matters.
These ethics procedures are not a formal legal process; therefore, many legal rules and practices are not observed, and the procedures are designed to operate without the assistance of attorneys. Any party, of course, may be represented by an attorney with respect to an ethics matter. If a party has retained an attorney, that attorney may be directed to communicate with the Institute through the PMI Legal Counsel. The parties are encouraged to communicate directly with the Institute. The Institute may use the services of PMI Legal Counsel without limitation.2. Participants. Ethics cases may be decided by the PMI Ethics Review Committee, the Ethics Appeals Committee, and/or any authorized designee. A PMI member or applicant who is the subject of an ethics complaint or investigation will be identified as the Respondent. The person(s) initiating an ethics complaint will be identified as the Complainant(s).3. Time Requirements. The Institute will make every reasonable effort to follow the time requirements noted in these procedures. However, the Institute’s failure to meet a time requirement will not prohibit the final resolution of any ethics matter, or otherwise prevent PMI from acting under these procedures. Complainants and Respondents are required to comply with all time requirements specified in these procedures. Time extensions or postponements may be granted by the Institute if a timely written request explains a reasonable cause.4. Relaxation of Requirements/Global Accommodations. In light of the global nature of the international project management community, including differences related to the language, custom, geographic location, and other characteristics of PMI members and applicants, the Institute recognizes that PMI members and applicants may have difficulty meeting certain time or other requirements in these procedures. Accordingly, a PMI member or applicant may submit to the Executive Director a written request for an extension of one or more of the time requirements; or, a reasonable accommodation related to matters of language, custom, geographic location, or the like. The Executive Director will forward such requests to the Chair of the Ethics Review Committee or the Chair of the Ethics Appeal Committee, as applicable. Generally, requests for such time extensions that seek to increase a deadline and other reasonable accommodations will be granted.5. Litigation/Other Proceedings. The Institute may accept and resolve ethics complaints when civil or criminal litigation, or other proceedings related to the complaint, are also before a court, regulatory agency or professional body. The Institute may also continue or delay the resolution of any ethics complaints in such cases.6. Improper Disclosure. The Institute may issue any appropriate directive(s) and requirement(s) where a PMI member or applicant provides a misleading disclosure, or fails to disclose requested information related to: PMI membership; an ethics complaint; an ethics case; or similar matter. Where a discipline, order, directive, or other requirement is issued by the Institute under this Section, the member or applicant involved may seek review and appeal pursuant to these procedures.
7. Confidentiality. In order to protect the privacy of the parties involved in an ethics case, all material prepared by, or submitted to, the Institute will be confidential, unless otherwise authorized by these procedures. Among other information, the Institute will not consider the following materials to be confidential: materials which are disclosed as the result of a legal requirement; materials which are disclosed upon the written request of the member or applicant who is the subject of an ethics complaint or investigation, any information relating to the member or applicant which he/she would like released to other professional organizations or third parties, and which is not otherwise confidential; and, all final published rulings, decisions, requirements, orders, and/or reports of the Ethics Review Committee or the Ethics Appeals Committee.8. Failure to Cooperate. If any party refuses to fully cooperate with the Institute concerning matters arising under these procedures without good cause, the Institute may: terminate the ethics complaint of an uncooperative Complainant; or, impose any sanction or requirement included within these rules if a Respondent is uncooperative. Where a discipline, order, requirement, or other directive is issued by the Institute under this Section, the member or applicant involved may seek review and appeal pursuant to these procedures.9. Resignation from the Institute. Should a Respondent attempt to relinquish PMI membership or withdraw an application during the course of any ethics case, the Institute reserves the right to continue the matter to a final and binding resolution according to these procedures.B. Submission of Ethics Complaints/Acceptance or Rejection.1. Executive Director. Any person, group, organization, or, in appropriate cases, the Institute (Complainant) may initiate an ethics complaint. Each Complainant must submit to the ¬Executive Director a detailed written description of the factual allegations supporting the ethics complaint, including the specific provisions of the Member Code of Ethics or Member Standards of Conduct relevant to the allegations set forth in the complaint. The Executive Director will forward the complaint to the Ethics Review Committee Chair for review, consideration, and assignment.2. Ethics Review Committee. The Ethics Review Committee will be responsible for the investigation and resolution of each ethics complaint. Upon receipt of a complaint, the Review Committee will determine whether sufficient detail is presented to constitute a formal ethics complaint, based upon the specific Member Code of Ethics or Member Standards of Conduct provisions identified by the complaint, and to permit the Review Committee to conduct an appropriate review.3. Complaint Acceptance/Rejection Criteria. In order to determine if an ethics complaint is accepted or rejected, the Ethics Review Committee will consider whether: a proven complaint would constitute a violation of the specific Member Code of Ethics or Member Standards of Conduct provisions identified by the Complainant in the original submission; the passage of time since the alleged violation requires that the complaint be rejected; relevant, reliable information or proof concerning the charge is available; the Complainant is willing to provide testimony or other evidence concerning the complaint; and, there is reasonable cause to believe that the charge appears to be justified, considering the proof available.3.a. Complaint Acceptance. Upon a determination that an ethics complaint is appropriate, the Ethics Review Committee will issue a formal Ethics Complaint Notice identifying each Member Code of Ethics and Member Standards of Conduct violation alleged, and the supporting factual basis for each complaint. This Notice will be delivered to the Respondent, and will be marked Confidential. The Review Committee may request additional information to supplement or explain an allegation.3.b. Complaint Rejection. If the Ethics Review Committee determines that an allegation or complaint change should not be a formal ethics complaint, the Review Committee will return all information submitted and notify Complainant of the rejection and its basis by correspondence.3.b.1. Appeal of Complaint Rejection Determination. Within forty-five (45) days of the mailing date of complaint rejection correspondence, the Complainant may appeal to the Ethics Appeals Committee by stating in writing the procedural errors he/she believes were made by the Ethics Review Committee with respect to the charge rejection, if any; the specific provisions of the Member Code of Ethics and Member Standards of Conduct believed violated; and, the specific information he/she believes supports the acceptance of a complaint. The Ethics Appeals Committee will review the Complainant’s appeal and issue a decision based upon the record. The Appeals Committee may accept the Review Committee decision and reject the complaint, or any part thereof; or, reverse the Review Committee decision and direct that a complaint be issued and the case resolved under these procedures.4. Ethics Complaint Response. Within forty-five (45) days of the mailing date of an Ethics Complaint Notice, the Respondent must submit a response to the Ethics Review Committee. The Ethics Complaint Response must include a full response to each complaint, and a copy of each document relevant to the resolution of the ethics complaint. The Review Committee may request additional information to supplement a response.5. Complaint Referral. If the Ethics Review Committee determines that the factual allegations presented by a Complainant, or the information revealed by an investigation, may constitute a violation of Member Code of Ethics or Member Standards of Conduct provisions not directly related to those presented by the Complainant, the Review Committee may take any of the following actions: notify the Respondent of possible, unrelated Code or Standards violations, and any recommended corrective actions; refer the matter to the Complainant for review and possible re-submission of a revised or new complaint; refer the matter to other Institute, government, or professional bodies for review; or, other appropriate actions/referrals.C. Preliminary Actions and Orders.Preliminary and Temporary Orders. The Ethics Review Committee, or the Ethics Appeals Committee, may require the Respondent to do, or to refrain from doing, certain acts by Preliminary and Temporary Order reasonably related to the complaint under consideration pending the final resolution of the case or investigation. Such orders may include, but are not limited to, a requirement that the Respondent voluntarily and immediately cease from representing himself or herself as a PMI member or applicant, or as otherwise associated with the Institute until further notice; or, a restriction that the Respondent may not pursue a PMI position or office pending the final resolution of the ethics matter under review. The Ethics Review Committee or the Ethics Appeals Committee may discipline a Respondent who fails to comply with a Temporary or Preliminary Order. Preliminary and Temporary Orders are not subject to appeal, but may be reconsidered by the Committees upon written request of the Respondent presenting substantial reasons that the order is no longer necessary.D. Ethics Review Committee Hearings.1. Ethics Review Committee. The PMI Board of Directors will appoint at least seven (7) PMI members to serve as the Ethics Review Committee to investigate and resolve ethics complaint matters. The PMI Chair, with Board of Directors approval, will appoint a Committee Chair from the seven members, who will supervise the work of the Committee. The Chair may appoint one or more Vice-Chairs to assist him/her, and to also preside over each Ethics Hearing. As directed by the Committee Chair, three (3) disinterested members of the Ethics Review Committee will be assigned to each case, and will conduct an informal Ethics Hearing designed to collect and weigh all of the available information and proof, and will have full authority to convene, preside over, continue, decide, and conclude an Ethics Hearing.2. Hearing Schedule, Notice, and Attendance. The hearing date, time, and location for each ethics case will be scheduled by the Ethics Review Committee in consultation with the parties, and both parties will be notified in writing. Each party may attend the hearing in person or via telephone conference, where all participants will be able to communicate with each other.3. Participation of Legal Representatives/Conduct of the Hearing. Upon request by the Ethics Review Committee, the PMI Chair, or the PMI Board of Directors, the PMI Legal Counsel shall be available to assist the Committee at an Ethics Hearing, with privilege of the floor, and may conduct the hearing in consultation with the Ethics Review Committee. Legal or other representatives of the parties do not have such privilege and are bound by the determinations and rulings of the Ethics Review Committee and PMI Legal Counsel. No formal legal rules of evidence, cross-examination, oath, and other procedures will apply to hearings. The PMI member or applicant, or a legal representative, will be permitted to ask questions of witnesses at the discretion of the Ethics Review Committee. Objections relating to relevance of information and other procedural issues will be decided by the Ethics Review Committee and these decisions are not subject to appeal.4. Hearing Record. A taped, written, or other record of the Ethics Hearing will be made by the Ethics Review Committee, another PMI representative, or a stenographer/recorder, as determined by the Review Committee.5. Hearing Expenses. Parties will be responsible for their expenses associated with an ethics investigation or case, including the costs associated with any witnesses or legal counsel. The Institute will bear other general costs of conducting the Ethics Hearing, including costs associated with the activities of PMI representatives.6. Closing of the Hearing Record. Any Ethics Hearing may proceed to a conclusion and decision, whether or not the parties are present, based on the appropriate written record, as determined by the Ethics Review Committee. The Review Committee will review the hearing record, as well as any submissions presented by the parties and other relevant information, and thereafter, will determine the outcome of the ethics case by majority vote in a closed session. The hearing record will be closed following the conclusion of the hearing, unless otherwise directed by the Ethics Review Committee Chair or a Vice-Chair.7. Ethics Review Committee Decision and Order. A Decision and Order will be prepared by the Ethics Review Committee after the closing of the record, which will include a summary of the case, including the positions of the parties; a summary of relevant factual findings based on the record of the hearing; a final ruling on the Member Code of Ethics and Member Standards of Conduct violations charged; and, a statement of any corrective or disciplinary action(s), and other directives issued by the Review Committee. Copies of the Ethics Review Committee Decision and Order shall be sent to the parties. The parties will also be notified that the final decision may be published consistent with the requirements of these procedures.8. Disciplinary Actions Available. When a Respondent is found to have violated one or more provisions of the Member Code of Ethics or Member Standards of Conduct, the Institute may issue and order one or more of the following disciplinary or remedial actions:8.a. The denial and rejection of any PMI membership application;8.b Private reprimand and censure, including any appropriate conditions or directives;8.c. Public reprimand and censure, including any appropriate conditions or directives;8.d. Membership probation for any period up to three (3) years, including any appropriate restrictions or conditions concerning membership rights and any other conditions or directives;8.e. Suspension of membership status for a period of no less than six (6) months and no more than three (3) years, including any appropriate conditions or directives;8.f. Termination of membership and expulsion from the Institute.E. Ethics Appeals Committee/Appeals.1. Time Period for Submitting Appeal. Within forty-five (45) days of the mailing date of an adverse Ethics Review Committee Decision and Order, the Respondent or the Complainant may submit to the PMI Executive Director a written appeal of all or a portion of the Decision and Order consistent with the requirements of these procedures. The Executive Director will forward the appeal to the Ethics Appeals Committee Chair for review, consideration, and assignment.2. Grounds for Appeal. An adverse Ethics Review Committee Decision and Order may be reversed or otherwise modified by the Ethics Appeals Committee. However, the grounds for appeal of an adverse decision are strictly limited to the following:2.a. Procedural Error. The Ethics Review Committee misapplied a procedure contained in these rules, and the misapplication prejudiced the appealing party.2.b. New or Previously Undiscovered Information. Following the closing of the Hearing Record, the appealing party has located relevant proof that was not previously in his/her possession; was not reasonably available prior to closure of the record; and, could have affected the Ethics Review Committee decision.2.c. Misapplication of the Code of Ethics or Standards of Conduct. The Ethics Review Committee misapplied the provisions of the Member Code of Ethics or Member Standards of Conduct, and the misapplication prejudiced the appealing party.2.d. Contrary to the Information Presented. The Ethics Review Committee decision is contrary to the most substantial information provided in the record.2.e With respect to Subsections 2.a. and 2.c. above, the Ethics Appeals Committee will consider only arguments that were presented to the Ethics Review Committee prior to the closing of the Hearing Record.3. Contents of Appeal Letter. The appealing party must submit to the PMI Executive Director a letter or other written document directed to the Ethics Appeals Committee and to the other party, which contains the following information and material: the ethics case name; the docket number and date of the Ethics Review Committee Decision; a statement and complete explanation of the reasons for the appeal under Section E.2, including an explanation and basis for any request concerning a reduction in the discipline issued by the Ethics Review Committee; and, copies of any material supporting the appeal.F. Ethics Appeals Committee/Appeal Hearings.1. Ethics Appeals Committee. The PMI Board of Directors will appoint at least seven (7) PMI members to serve as the Ethics Appeals Committee to resolve ethics appeals. The PMI Chair, with Board of Directors approval, will appoint a Committee Chair from the seven members, who will supervise the work of the Appeals Committee. The Chair may appoint one or more Vice-Chairs to assist him/her, and to also preside over each Appeal Hearing. As directed by the Committee Chair, three (3) disinterested members of the Appeals Committee will be assigned to each case, and will have full authority to convene, preside over, continue, decide, and conclude an ethics appeal.2. Appeal Hearings. Following receipt of a complete and proper written appeal, the Ethics Appeals Committee will schedule a date on which to conduct an Appeal Hearing, and the parties will be notified in writing at least forty-five (45) days in advance of the scheduled date. The Appeals Committee will review the hearing record, as well as any appeal submissions presented by the parties and other relevant information, and thereafter will determine and resolve the appeal by majority vote in a closed session.3. Request to Appear Before Ethics Appeals Committee. Either party may request the opportunity to appear before the Ethics Appeals Committee in writing at least forty-five (45) days prior to the date scheduled for the Appeal Hearing. In the event that a request to appear before the Ethics Appeals Committee is approved, the Appeals Committee may limit the appearance in any manner. Denials of requests to appear before the Appeals Committee are not subject to appeal.4. Ethics Appeals Committee Decision and Order. Following the conclusion of an Appeal Hearing, the Ethics Appeals Committee will issue an Appeal Decision and Order stating: the outcome and resolution of the appeal, including a summary of relevant portions of the Ethics Review Committee Decision and Order; a summary of any relevant procedural or factual findings made by the Appeals Committee; the Ethics Appeals Committee’s ruling(s) and decision(s) with respect to the matters under appeal; and, the Appeals Committee’s final Decision and Order accepting, affirming, reversing, amending, or otherwise modifying any portion of the Ethics Review Committee Decision and Order, including any final disciplinary action or sanction issued by the Appeals Committee. Copies of the Ethics Appeals Committee Decision and Order shall be sent to the parties. The parties will also be notified that the final decision may be published, consistent with the requirements of these procedures.G. Finalizing Ethics Cases.1. Events Which Will Cause Closure of an Ethics Case. An ethics case will be closed when any of the following occur: the ethics complaint has been rejected pursuant to these procedures; a final decision has been issued by the Ethics Review Committee without appeal pursuant to these procedures; a final decision has been issued by the Ethics Appeals Committee pursuant to these procedures; or, an ethics complaint has been terminated or withdrawn by the Complainant(s).2. Events Which Will Cause an Ethics Case Decision and Order to Become Final. The Ethics Case Decision and Order issued by the Ethics Review Committee that is not appealed within the prescribed time requirements will be considered final. The Ethics Case Decision and Order issued by the Ethics Appeals Committee will be considered final.3. Referral and Notification Actions. PMI may notify appropriate governmental, professional, or similar bodies of any actions taken concerning a Respondent by sending a copy of the final Ethics Case Decision and Order issued by the Ethics Review Committee and/or the Ethics Appeals Committee, or by sending another appropriate notice. This notification may be done at any point after the time period for the Respondent to appeal an adverse decision has elapsed. During the appeal period, the Institute may respond to inquiries regarding the existence of ethics cases and indicate the existence of such proceedings.4. Publication of Final Disciplinary Action. PMI may publish a notification of a final Ethics Case Decision and Order following the issuance of an Ethics Review Committee or Ethics Appeals Committee decision or ruling. This notification may be published following the conclusion of any appeals available to the Respondent. Any party may request publication of any final decision.H. Probation and Suspension Orders/Reinstatement Procedures.1. Probation Orders/Reinstatement or Referral. Following the expiration of a final decision/order which includes a probation requirement under these procedures, the Ethics Review Committee will determine whether the Respondent has satisfied the terms of the probation order, and will do the following: if the Respondent has satisfied the terms of probation in full, the Review Committee will immediately verify that the probation has been completed and reinstate the inpidual to full membership status following the acceptance of a complete membership application and full payment of all membership dues; or, if the Respondent has not satisfied the terms of probation in full, the Review Committee will issue any appropriate action consistent with these procedures, including, but not limited to, the imposition of an additional probation term(s).2. Suspension Orders/Reinstatement Requests. After the expiration of a final decision/order which includes a suspension requirement issued under these procedures, a Respondent may submit to the Ethics Review Committee a request for membership reinstatement, which will consist of a written statement including: the relevant ethics case name, docket number, and the date that the final Ethics Decision and Order was issued; a statement of the reasons that support or justify the acceptance of the reinstatement request; and, copies of any relevant documentary or other material supporting the request.3. Ethics Review Committee Reinstatement Request Decisions. Following the submission of a complete membership reinstatement request, the Ethics Review Committee will schedule and conduct a hearing to review and rule on the request. During these deliberations, the Review Committee will review the information presented by the Respondent and any other relevant information, and prepare and issue a final Decision and Order stating whether: the request is granted, denied, or continued to a later date; and, if appropriate, any conditions of membership. Copies of the Review Committee Decision and Order will be sent to the parties. While no appeal of the Decision and Order is permitted, the Respondent may submit a new request pursuant to this Section, one (1) year or more after the issuance of the Review Committee Decision and Order rejecting the request.
