Professional Ethics 2014

Speaker

Debbie Alaimo Lawlor, FAICP

AICP Commissioner

Agenda

AICP Code of Ethics and Professional Conduct (2005, revised 2009) http://www.planning.org/ethics/ethicscode.htm

Ethical codes of other professions and jurisdictions

Case studies, discussion

More Q & A

Disclaimer

This session has been created to provide general education regarding the AICP Code of Ethics. All certified planners should be aware that “Only the Ethics Officer is authorized to give formal advice on the propriety of a planner’s proposed conduct.” (AICP Code of Ethics, Section C3). If you have a specific question regarding a situation arising in your practice, you are encouraged to seek the opinion of AICP’s Ethics Officer, Jim Drinan.

Purpose of the Code of Ethics

Guides member conduct

Communicates planners’ values

Establishes an administrative process in case of conflict

The AICP Code

Code of Ethics and Professional Conduct (2005)

Four sections

Aspirational Principles

Rules of Conduct

Procedures

Planners Convicted of Serious Crimes (automatic suspension)

Aspirational Principles

A statement of the ideals planners strive to achieve

Cannot be a cause for disciplinary action

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Responsibilities

To the Public

To Our Employers and Clients

To Our Profession and Colleagues

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Responsibility to the Public

Long/short term consequences

Interrelatedness

Timely, clear and accurate

information

Excellence

Engage community

Social justice

Fair to all participants

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Responsibility to Clients and Employers

Use professional judgment

Accept clients’ decisions - unless illegal or not in the public interest

Avoid conflicts of interest – or appearance of conflict of interest

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Responsibility to Profession & Colleagues

Protect the integrity of the profession

Educate the public about planning

Act in a fair and professional manner

Help new professionals

Enhance professional education

Help underrepresented groups advance in the profession

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Rules of Conduct

Must be followed

Can result in charges of misconduct if not adhered to

AICP Ethics Committee can impose sanctions, including loss of certification, for violations

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Select Rules

We shall not, as salaried employees, undertake other employment in planning or a related profession, paid or unpaid, without permission from our employer

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

We shall neither deliberately, nor with reckless indifference, commit any wrongful act that reflects adversely on our professional fitness

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Other Rules of Ethics

State regulations e.g., “Appearance of Fairness” Doctrine

Local or corporate policies e.g., Municipal insurance requirements

One’s own standard of behavior

Ethical Decision Making

Be impartial

Base decisions on the law (state & local)

Build a record - facts & findings

Avoid conflict of interest – or appearance of it

Proceedings should inspire public confidence

Include public participation

Transparency: Information is available to all

Disclosure –disclosure - disclosure

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How to React to a Possible Ethical Lapse

● Resist temptation to argue

● Retain an open mind and respond only when able to do so calmly and thoughtfully

● Make an effort to clarify points of confusion

● Be prepared to apologize, even for an inadvertent appearance of unethical behavior

● Use Code for guidance

● Provide full, clear, accurate information

● Seek counsel of APA Ethics Officer

● Seek resolution – consider a written response

From Everyday Ethics, 2001, Carol D. Barrett, FACIP

Code Procedures

How to obtain formal or informal advice on ethics issues

How to file a charge of misconduct

How charges of misconduct are investigated, prosecuted and adjudicated

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Code Procedures

Informal and Formal Advice – a resource for AICP

members

AICP Ethics Officer is APA Executive Director Jim

Drinan

Informal: verbal & non-binding

Formal: written & binding

Findings within 21 days

Forwarded to the Ethics Committee

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Ethics for Non-AICP Planners

Ethical Principles in Planning

(Adopted May 1992)

Available at:

http://www.planning.org/ethics/

ethicalprinciples.htm

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Ethics Case Studies

My boss told me to do it

Community Character

A low income housing development is proposed. The Town Board asks to be provided with zip codes of prospective tenants.

What should you

do?

Planners as Neighbors

You own a home in a planned unit development. Several of your neighbors have erected fences that extend their backyard into the shared open space.

How would you handle this situation?

Do conflicts arise between your roles as owner, neighbor, and public servant?

How Helpful?

You work for a City. A developer asks you to recommend architects, planners and lawyers to help him redevelop a site in your City since you are familiar with who does good work.

What should you

do?

An offer you can’t refuse?

You are a public sector planner working with a consulting firm in your community on a redevelopment plan. After several weeks, based on the quality of your work, the head of the firm offers you a position within the firm.

Are there ethical considerations that would prevent you from accepting this position?

Let’s Do Lunch

Gift rules – Can you accept a box of chocolates? How about a holiday basket? How about really nice Holiday basket?

Can you go to lunch?

How about drinks at this conference?

Get a RECEIPT when you split a bill

Planning Board Ethics

Jane is a private sector planner sitting on the Town Planning Board.

The husband of a principal in her firm has a project before the board.

What should Jane do?

Planner as Private Citizen

You sit on a Planning Board. You live next door to a development site. Obviously, you must recuse yourself from deliberations.

Do you have

the right as a

private citizen

to spearhead

the opposition

to the project?

Ethics Case of the Year-Set Up

Director of Planning in a modest-sized city is an architect and AICP planner

Strong civic life and character, but tough issues to deal with – a downtown bypass, and extension of urban growth boundary

Director and City Manager relationship fractious

Pro-development new City Council members

1.0 “Smart Politics” vs Big Politics

Pressure to “grandfather in” incomplete environmental zoning overlays

Credibility of Planning Director could be hurt by change of position on the issue

State case law unclear, but “deemed approved” laws have failed recently

1.0 “Smart Politics” vs Big Politics

Discussion Topic: What options does the Planning Director have for acting ethically?

1.0 “Smart Politics” Continued

New satellite community adjacent to low-quality wetlands

Proposed expansion NOW to be redesigned, to avoid wetland impacts entirely.

In earlier private practice role, Director had successfully argued that the same area wasn’t fall within preservation regulations.

1.0 “Smart Politics” vs Big Politics

Discussion Topic: What options does the Planning Director have for acting ethically?

1.0 “Smart Politics” Continued

Staff planner recruited as “Policy Advisor”, expeditor.

Advisor suggest adopting several components of plan separately, to avoid state enabling legislation “straitjacket”.

Director disagrees, things get a little personal.

1.0 “Smart Politics” vs Big Politics

Discussion Topic: Are the two planners acting ethically with regard to the issue and to each other?

1.0 “Smart Politics” Continued

The City Manager does not want the community “tied up” on these issues of climate change, sustainability and public safety, and wants them moved to a decision by the elected officials as quickly as possible. He told the two, “Just get it done! “

1.0 “Smart Politics” Continued

Discussion Topic: Can the positions of these two AICP planners on the issue be ethically reconciled?

2.0 Job Hunting

Increasingly fractious political environment, quiet job search begins, among long-term confidants.

Because of her strong reputation, a head hunter representing large firm seeks her out, commits to confidentiality.

2.0 Job Hunting

Discussion Topic: What can she say about her work with the city, pending matters (including development proposals) and advice that she has given the Mayor, City Council and the City Manager, both publicly and behind closed doors?

3.0 Interim Director

Assistant Planning Director appointed as Interim, is interested in job permanently.

Several other prominent candidates emerge.

3.0 Interim Director

Discussion Topics: How might the three aspirants’ best conduct themselves and what might they say about each other should they be asked by the City Manager?

4.0 “Confidential” Discussion

In a private discussion, Mayor praises Policy Advisor, cites advisor’s influence over City Manager in selecting new Planning Director.

Mayor’s supporter, local developer, “agrees” with him, mayor hints.

Policy Advisor directs Interim Director to change recommendation in favor of developer, Interim Director makes the change.

4.0 “Confidential” Discussion

Discussion Topic: What ethical issues are raised in this scenario? How should the players respond?

5.0 Back in the Private Sector

Former Planning Director now in charge of design and planning at a global firm, territory includes former community.

Her hire may secure contract for several suburban projects in the area.

Developer of these projects praises her work on wetland issues in previous projects, mentions he is looking forward to the same “outcomes”.

5.0 Back in the Private Sector

Discussion Topic: What ethical issues are presented and how should they be addressed?

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Resources for Information on Ethics

American Planning Association (APA) Ethical Principles of Planning www.planning.org/ethics/ethicalprinciples.htm

American Institute of Certified Planners (AICP)

Code of Ethics & Professional Conduct www.planning.org/ethics/

Institute for Local Self Government – Developing a

Local Agency Ethics Code www.ca-ilg.org/trust

Question & Answer