SNEAPA 2014

1. Professional Ethics 2014

2. Speaker
Debbie Alaimo Lawlor, FAICP
AICP Commissioner

3. 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

4. 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.

5. Purpose of the Code of Ethics
Guides member conduct
Communicates planners’ values
Establishes an administrative process in case of conflict

6. 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)

7. Aspirational Principles
A statement of the ideals planners strive to achieve
Cannot be a cause for disciplinary action
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8. Responsibilities
To the Public
To Our Employers and Clients
To Our Profession and Colleagues
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9. 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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10. 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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11. 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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12. 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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13. 13
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

15. 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

17. 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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18. 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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19. 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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20. Ethics Case Studies

21. My boss told me to do it

22. 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?

23. 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?

24. 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?

25. 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?

26. 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

27. 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?

28. 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?

29. 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

30. 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

31. 1.0 “Smart Politics” vs Big Politics
Discussion Topic: What options does the Planning Director have for acting ethically?

32. 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.

33. 1.0 “Smart Politics” vs Big Politics
Discussion Topic: What options does the Planning Director have for acting ethically?

34. 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.

35. 1.0 “Smart Politics” vs Big Politics
Discussion Topic: Are the two planners acting ethically with regard to the issue and to each other?

36. 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! “

37. 1.0 “Smart Politics” Continued
Discussion Topic: Can the positions of these two AICP planners on the issue be ethically reconciled?

38. 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.

39. 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?

40. 3.0 Interim Director
Assistant Planning Director appointed as Interim, is interested in job permanently.
Several other prominent candidates emerge.

41. 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?

42. 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.

43. 4.0 “Confidential” Discussion
Discussion Topic: What ethical issues are raised in this scenario? How should the players respond?

44. 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”.

45. 5.0 Back in the Private Sector
Discussion Topic: What ethical issues are presented and how should they be addressed?

46. 46
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

47. Question & Answer