86
David Callies, FAICP William S. Richardson School of Law University of Hawaii Richard Pruetz, FAICP Planning and Implementation Strategies Ethics Challenges in Collaboration (S587) 1
David Callies, FAICP
William S. Richardson School of Law
University of Hawaii
Richard Pruetz, FAICP
Planning and Implementation Strategies
Ethics Challenges in Collaboration (S587)
1
Overview
Ethical Principles in Planning
AICP Code of Ethics and Professional Conduct
Rules of Conduct
Aspirational Principles
Ethics Codes of Other Professions
Scenarios
2
Ethics Made Simple
3
"Ethics are what you do when no one is looking."
-George Bernard Shaw
"Whenever you do a thing, act as if all the world were watching."
-Thomas Jefferson
"Always do right. This will gratify some people and astonish the rest."
-Mark Twain
Planning: The Noble Profession
"Planning, on the broad canvas of different philosophies of democracy and justice, draws people out of gated communities, draws people out of a privatized way of life, and ultimately nurtures, develops and cultivates democratic citizens….Planning is a noble profession, a profession that is connected to the democratic profession."
Michael J. Sandel,
Anne T. and Robert M. Bass
Professor of Government at Harvard
Keynote speech at 2011 APA Conference
4
Ethical Principles in Planning (Adopted May 1992)
…a guide to ethical conduct for all who participate in the process of planning as advisors, advocates and decision makers.
The planning process must continuously pursue and faithfully
serve the public interest. Planning process participants continuously strive to achieve
high standards of integrity and proficiency so that public respect for the planning process will be maintained.
APA members who are practicing planners continuously
pursue improvement in their planning competence as well as in the development of peers and aspiring planners.
5
6
The AICP Code
Code of Ethics and Professional Conduct
2005 Update – similar to previous code
Four sections
Aspirational Principles
Rules of Conduct
Procedures
Automatic Suspension for Serious Crimes (2009)
7
Rules of Conduct
We adhere to the following Rules of Conduct, and we understand that our Institute will enforce compliance with them. If we fail to adhere to these Rules, we could receive sanctions, the ultimate being the loss of our certification.
Rules of Conduct
1. We shall not deliberately or with reckless indifference fail to provide adequate, timely, clear and accurate information on planning issues.
8
Rules of Conduct
3. We shall not accept an assignment from a client or employer to publicly advocate a position on a planning issue that is indistinguishably adverse to a position we publicly advocated for a previous client or employer within the last three years unless:
We make good faith determination of no detriment
Written disclosure and written permission
9
Rules of Conduct
19. We shall not fail to disclose the interests of our client or employer when participating in the planning process. Nor shall we participate in an effort to conceal the true interests of our client or employer.
10
Principles to Which We Aspire
…a statement of aspirational principles that constitute the ideals to which we are committed. We shall strive to act in accordance with our stated principles. However, an allegation that we failed to achieve our aspirational principles cannot be the subject of a misconduct charge or be a cause for disciplinary action.
11
12
1. Our Overall Responsibility to the Public
Our primary obligation is to serve the public interest
and we, therefore, owe our allegiance to a
conscientiously attained concept of the public interest that is formulated through continuous and open debate.
13
2. Our Responsibility to Our Clients and Employers
We owe diligent, creative, and competent performance of the work we do in pursuit of our client or employer’s interest. Such performance, however, shall always be consistent with our faithful service to the public interest.
14
3. Our Responsibility to Our Profession and Colleagues
We shall contribute to the development of, and respect for, our profession by improving knowledge and techniques, making work relevant to solutions of community problems, and increasing public understanding of planning activities.
Guiding Principles for Aspirational Principle No. 1: Responsibility to Public We shall:
d) Provide timely, adequate, clear, and accurate information on planning issues to all affected persons and to governmental decision makers.
e) Give people the opportunity to have a meaningful impact on the development of plans and programs that may affect them. Participation should be broad enough to include those who lack formal organization or influence.
15
Codes of Other Professions/ Organizations
American Institute of Architects
American Society of Landscape Architects
National Society of Professional Engineers
American Bar Association
International City Managers Association (ICMA)
16
AIA Code of Ethics
Canons, Ethical Standards, Rules of Conduct
Reflect different type of work and a more private sector perspective than AICP
Obligations: public, client, profession, colleagues, environment (“Canons”)
Respect and help conserve natural and cultural heritage
Uphold human rights (Rule: not discriminate)
Promote and serve the public interest
Render public interest professional services
Promote sustainable design and development principles
17
ASLA Code of Professional Ethics
Same structure as AIA Code
Fewer Ethical Standards; focus on Rules
Reflect different type of work and a more private sector perspective than AICP
Primary focus on honesty, dignity, integrity, fair dealing, avoiding conflicts
Members should endeavor to protect the interests of their clients and the public through competent performance of their work….
18
Code of Ethics for Engineers
Fundamental Canons, Rules of Practice, Professional Obligations
Engineering has a direct and vital impact on the quality of life for all people. Accordingly, the services provided by engineers require honesty, impartiality, fairness, and equity and must be dedicated to the protection of the public health, safety, and welfare.
Engineers shall at all times strive to serve the public interest. Engineers are encouraged to adhere to the principles of
sustainable development in order to protect the environment for future generations.
19
American Bar Association Model Rules
Available at: http://www.abanet.org/cpr/mrpc/mrpc_toc.html
Key obligation to "protect and pursue a client's legitimate interests, within the bounds of law....“
Attorneys are officers of the court and subject to their requirements and procedures
Possible conflicts when an attorney is also a planner
20
American Bar Association Model Rules
[6] As a public citizen, a lawyer should seek improvement of the law, access to the legal system, the administration of justice and the quality of service rendered by the legal profession.…A lawyer should be mindful of deficiencies in the administration of justice and of the fact that the poor, and sometimes persons who are not poor, cannot afford adequate legal assistance. Therefore, all lawyers should devote professional time and resources and use civic influence to ensure equal access to our system of justice for all those who because of economic or social barriers cannot afford or secure adequate legal counsel.…
21
American Bar Association Model Rules
[8] A lawyer's responsibilities as a representative of clients, an
officer of the legal system and a public citizen are usually
harmonious. Thus, when an opposing party is well
represented, a lawyer can be a zealous advocate on behalf
of a client and at the same time assume that justice is being
done….
22
American Bar Association Model Rules
[9] In the nature of law practice, however, conflicting responsibilities are encountered. Virtually all difficult ethical problems arise from conflict between a lawyer's responsibilities to clients, to the legal system and to the lawyer's own interest in remaining an ethical person while earning a satisfactory living. The Rules of Professional Conduct often prescribe terms for resolving such conflicts. Within the framework of these Rules, however, many difficult issues of professional discretion can arise. Such issues must be resolved through the exercise of sensitive professional and moral judgment guided by the basic principles underlying the Rules. These principles include the lawyer's obligation zealously to protect and pursue a client's legitimate interests, within the bounds of the law, while maintaining a professional, courteous and civil attitude toward all persons involved in the legal system.
23
International City Managers Association (ICMA)
Focus on a roles and relationships in local government and providing facts, advice, support for adopted policies. Restriction on political activities Fairness in dealing with employees
Seek no favor; believe that personal aggrandizement or profit
secured by confidential information or misuse of public time is dishonest.
Dedication to highest ideals of honor and integrity in all public
and personal relationships…. Recognize that the chief function of local government at all
times is to serve the best interests of all people. 24
Scenarios
25
Truckstop City Council decides to upgrade it's status and reputation by abolishing it's most dense residential development zoning classification, thereby rendering some of its substandard neighborhoods nonconforming as well as downzoning about a quarter of the vacant land within it's boundaries. It is demonstrable that the residents in the present such district are primarily African American. The council instructs you to develop planning standards and criteria, as city planner, to support its action for the future good of the city. The city attorney advises the council and you that the action will expose the city to litigation under the Federal Fair Housing Act because the result will be disparate impact on a protected class of residents.
26
Same facts as previous hypo, but now you as a planner have received a subpoena duces tecum to appear at the local offices of the NAACP, which has indeed sued Truck City, on a date Certain, to :
1. Have your deposition taken about what you heard and said at nonpublic meetings with members of the city council housing committee, and
2. Bring copies of all emails, notes and other communications in your possession between you and the council, it's committees and officers and staff, including the city attorney.
The mayor directs you to say nothing about any motives expressed, except those about making the city more attractive and economically viable and to bring nothing in writing. The city attorney directs you to delete all references to communications with him, and to say nothing about any mutual conversations, either.
27
Safe City planning commission receives anapplciation for a special use permit to use an existing three story house in a duplex residential zone as a residence for up to ten people with a history of,and recovering from, substance abuse. The lawyer representing the applicant seeks to retain you, a planner, as applicant's expert witness to show how such a residence is important in the treatment and rehab of such individuals, and to emphasize the residential nature of the facility and how it will fit into that zone. You have in your files extensive material so showing, bu t also showing the adverse effects of such use in the immediate neighborhood,,
As well as the occasional horrific crimes committed by residents so recovering outside secure facilities. The attorney directs you to ignore these factors in your testimony and any report you may be asked to prepare because he has a duty to agressively represent his client under local bar association rules.
28
You are in charge of a general plan update using a team of consultants including Wider & Wider, transportation engineers. The first draft from Wider & Wider proposes a car-dependent system that you believe is not consistent with the public visioning process or in the public interest. Wider & Wider declines to change its approach, saying that they too serve the public interest and that the public has demonstrated its interest in driving rather than walking, bicycling or public transportation. You tell Wider & Wider that you may have to seek approval to suspend their work and replace them. Immediately, Wider & Wider agrees to revise its first draft. What ethical issues apply? 29
Principle 1b (Aspiration) “We shall have special concern for the long range consequences of present actions.”
Principle 1c: “We shall pay special attention to the interrelatedness of decisions.”
Principle 1e: “We shall give people the opportunity to have a meaningful impact on the development of plans and programs that may affect them…”
Principle 3b: “We shall educate the public about planning issues and their relevance to our everyday lives.”
30
A planning/engineering consulting firm prepares an airport master plan and then considers submitting a proposal to conduct engineering studies consistent with that plan. Is that a potential conflict?
31
An AICP planner would consider the motives behind the plan’s recommendations. Were they deliberately written so that the firm became uniquely qualified for the engineering work?
Principle 2c (Aspiration) “We shall avoid a conflict of interest or even the appearance of a conflict of interest in accepting assignments from clients or employers.” 32
A developer asks you to help him select a team of lawyers, engineers and architects for his next project in your city. Do you offer your suggestions?
33
Don’t make specific recommendations.
Many communities maintain a list of professionals who have previously worked in the city that you could offer to the developer.
34
Consultant prepares zoning code for community and then promotes entitlement services to developers saying
A) …he knows the code better than others
B) … during the development of the zoning code he became a close personal friend of the planning
director
35
A)…he knows the code better than others
Principle 1d (Aspiration): We shall provide …clear…information…”
B) … during the development of the zoning code he became a close personal friend of the planning director
Rule 13: We shall not sell …services by stating or implying an ability to influence decisions by improper means
36
An AICP planning consultant for a city wants to invest in rental properties in that city. Does the AICP Ethics Code prohibit this?
37
An AICP planning consultant can invest in city rental properties but she should declare her role as a consultant, intention to invest and the potential consequences of that action.
In other words, be open and honest
38
Consultant works 60 hours/week for public agency but only bills for the maximum allowed 40 hours/week
Does this donation of time give this consultant an unfair advantage in pursuing future contracts with this community?
39
A3j) (Aspiration) “ We shall contribute time and effort to groups lacking in adequate planning resources and to voluntary professional activities.”
40
A planning commissioner with AICP credential recuses himself from officially participating at a planning commission decision about a development next to his house but, as a private citizen, argues against approval at the commission’s public hearing.
41
Rule B 14 “We shall not use the power of any office to seek or obtain a special advantage that is not a matter of public knowledge or is not in the public interest.”
Rule B 5 “We shall not, as public officials or employees, accept from anyone other than our public employer any compensation, commission, rebate, or other advantage that may be perceived as related to our public office or employment.”
[But the commissioner could publicly oppose the project in other settings without suggesting that his view has more weight]
42
Is it ethical for the planner who recommended approval of a local, non-profit daycare center to participate in that center’s groundbreaking ceremony?
43
It’s OK to attend the groundbreaking. The approval of the project is history by the time of the groundbreaking.
44
Should an AICP planner resign if asked to act unethically by a supervisor or official?
45
Yes, but planner could first consult with superiors, the city manger, the city attorney and others
46
Is it ethical for an AICP planning consultant invite an AICP public sector planner to dinner to discuss:
a)The consultant’s interests and qualifications in general?
b) A specific contract for which the consultant intends to submit a proposal? 47
a)It is not an unethical to generally discuss your firms interests and qualifications
b) Discussion of a specific contract would not be ethical
48
Is it ethical for an public sector planner to attend an annual picnic hosted by a local architectural firm with a large list of invitees from the whole community…
a)If the firm has a current project that the planner will review?
b) If the firm has no pending or
forthcoming projects?
49
a)The planner should decline the invitation if the firm has a current project that the planner will review
b) The planner can attend if the firm has no pending or forthcoming projects
50
A planning commissioner suspects that the planning director is requiring the planning staff to make decisions that violate the AICP code of ethics. What steps should be taken?
51
a)Ensure that the planning director understands that his actions are causing ethical concerns
b)Discuss with AICP Ethics Officer
c)File a formal AICP ethics complaint
52
The mayor owns a skybox at the hockey arena from his prior career. He invites you and your wife to a game. The arena is partly financed by the city and the mayor has appointed you as the planning director. Should you accept the invitation?
53
It is OK to attend but…
Let the mayor know that the AICP Code of Ethics is sensitive to perception of favoritism
Suggest that mayor minimize perception of favoritism by inviting other planners and non-planers as well
54
Can an AICP planner allow a developer to buy lunch if the developer has no pending projects but routinely builds in the City? What if lunch is at McDonalds?
55
It is best to just pay for your own lunch even at McDonalds.
The key factor is not the amount of the gift, even if it is below a limit set by the local government, but the potential for perceived inappropriate favors.
56
As public sector planner, you are invited to attend a football game at the college stadium in your town in box seats with the college president. Would any potential conflict be eliminated if you paid for your tickets?
57
No, ideally a planner should keep potential applicants at arms length. Being in a box seat with college leaders may allow conversations to occur that would not be privy to those who may have other views on college issues.
58
Codes of Other Professions/ Organizations
American Institute of Architects
American Society of Landscape Architects
National Society of Professional Engineers
American Bar Association
International City Managers Association (ICMA)
59
60
Resources 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/
AICP ethics flash cards by Michael Schuler and Amon
Browning at: http://www.studystack.com/flashcard-280610
and http://www.studystack.com/flashcard-14636
David Callies, FAICP
William S. Richardson School of Law
University of Hawaii
Richard Pruetz, FAICP
Planning and Implementation Strategies
Ethics Challenges in Collaboration (S587)
1
Overview
Ethical Principles in Planning
AICP Code of Ethics and Professional Conduct
Rules of Conduct
Aspirational Principles
Ethics Codes of Other Professions
Scenarios
2
Ethics Made Simple
3
"Ethics are what you do when no one is looking."
-George Bernard Shaw
"Whenever you do a thing, act as if all the world were watching."
-Thomas Jefferson
"Always do right. This will gratify some people and astonish the rest."
-Mark Twain
Planning: The Noble Profession
"Planning, on the broad canvas of different philosophies of democracy and justice, draws people out of gated communities, draws people out of a privatized way of life, and ultimately nurtures, develops and cultivates democratic citizens….Planning is a noble profession, a profession that is connected to the democratic profession."
Michael J. Sandel,
Anne T. and Robert M. Bass
Professor of Government at Harvard
Keynote speech at 2011 APA Conference
4
Ethical Principles in Planning (Adopted May 1992)
…a guide to ethical conduct for all who participate in the process of planning as advisors, advocates and decision makers.
The planning process must continuously pursue and faithfully
serve the public interest. Planning process participants continuously strive to achieve
high standards of integrity and proficiency so that public respect for the planning process will be maintained.
APA members who are practicing planners continuously
pursue improvement in their planning competence as well as in the development of peers and aspiring planners.
5
6
The AICP Code
Code of Ethics and Professional Conduct
2005 Update – similar to previous code
Four sections
Aspirational Principles
Rules of Conduct
Procedures
Automatic Suspension for Serious Crimes (2009)
7
Rules of Conduct
We adhere to the following Rules of Conduct, and we understand that our Institute will enforce compliance with them. If we fail to adhere to these Rules, we could receive sanctions, the ultimate being the loss of our certification.
Rules of Conduct
1. We shall not deliberately or with reckless indifference fail to provide adequate, timely, clear and accurate information on planning issues.
8
Rules of Conduct
3. We shall not accept an assignment from a client or employer to publicly advocate a position on a planning issue that is indistinguishably adverse to a position we publicly advocated for a previous client or employer within the last three years unless:
We make good faith determination of no detriment
Written disclosure and written permission
9
Rules of Conduct
19. We shall not fail to disclose the interests of our client or employer when participating in the planning process. Nor shall we participate in an effort to conceal the true interests of our client or employer.
10
Principles to Which We Aspire
…a statement of aspirational principles that constitute the ideals to which we are committed. We shall strive to act in accordance with our stated principles. However, an allegation that we failed to achieve our aspirational principles cannot be the subject of a misconduct charge or be a cause for disciplinary action.
11
12
1. Our Overall Responsibility to the Public
Our primary obligation is to serve the public interest
and we, therefore, owe our allegiance to a
conscientiously attained concept of the public interest that is formulated through continuous and open debate.
13
2. Our Responsibility to Our Clients and Employers
We owe diligent, creative, and competent performance of the work we do in pursuit of our client or employer’s interest. Such performance, however, shall always be consistent with our faithful service to the public interest.
14
3. Our Responsibility to Our Profession and Colleagues
We shall contribute to the development of, and respect for, our profession by improving knowledge and techniques, making work relevant to solutions of community problems, and increasing public understanding of planning activities.
Guiding Principles for Aspirational Principle No. 1: Responsibility to Public We shall:
d) Provide timely, adequate, clear, and accurate information on planning issues to all affected persons and to governmental decision makers.
e) Give people the opportunity to have a meaningful impact on the development of plans and programs that may affect them. Participation should be broad enough to include those who lack formal organization or influence.
15
Codes of Other Professions/ Organizations
American Institute of Architects
American Society of Landscape Architects
National Society of Professional Engineers
American Bar Association
International City Managers Association (ICMA)
16
AIA Code of Ethics
Canons, Ethical Standards, Rules of Conduct
Reflect different type of work and a more private sector perspective than AICP
Obligations: public, client, profession, colleagues, environment (“Canons”)
Respect and help conserve natural and cultural heritage
Uphold human rights (Rule: not discriminate)
Promote and serve the public interest
Render public interest professional services
Promote sustainable design and development principles
17
ASLA Code of Professional Ethics
Same structure as AIA Code
Fewer Ethical Standards; focus on Rules
Reflect different type of work and a more private sector perspective than AICP
Primary focus on honesty, dignity, integrity, fair dealing, avoiding conflicts
Members should endeavor to protect the interests of their clients and the public through competent performance of their work….
18
Code of Ethics for Engineers
Fundamental Canons, Rules of Practice, Professional Obligations
Engineering has a direct and vital impact on the quality of life for all people. Accordingly, the services provided by engineers require honesty, impartiality, fairness, and equity and must be dedicated to the protection of the public health, safety, and welfare.
Engineers shall at all times strive to serve the public interest. Engineers are encouraged to adhere to the principles of
sustainable development in order to protect the environment for future generations.
19
American Bar Association Model Rules
Available at: http://www.abanet.org/cpr/mrpc/mrpc_toc.html
Key obligation to "protect and pursue a client's legitimate interests, within the bounds of law....“
Attorneys are officers of the court and subject to their requirements and procedures
Possible conflicts when an attorney is also a planner
20
American Bar Association Model Rules
[6] As a public citizen, a lawyer should seek improvement of the law, access to the legal system, the administration of justice and the quality of service rendered by the legal profession.…A lawyer should be mindful of deficiencies in the administration of justice and of the fact that the poor, and sometimes persons who are not poor, cannot afford adequate legal assistance. Therefore, all lawyers should devote professional time and resources and use civic influence to ensure equal access to our system of justice for all those who because of economic or social barriers cannot afford or secure adequate legal counsel.…
21
American Bar Association Model Rules
[8] A lawyer's responsibilities as a representative of clients, an
officer of the legal system and a public citizen are usually
harmonious. Thus, when an opposing party is well
represented, a lawyer can be a zealous advocate on behalf
of a client and at the same time assume that justice is being
done….
22
American Bar Association Model Rules
[9] In the nature of law practice, however, conflicting responsibilities are encountered. Virtually all difficult ethical problems arise from conflict between a lawyer's responsibilities to clients, to the legal system and to the lawyer's own interest in remaining an ethical person while earning a satisfactory living. The Rules of Professional Conduct often prescribe terms for resolving such conflicts. Within the framework of these Rules, however, many difficult issues of professional discretion can arise. Such issues must be resolved through the exercise of sensitive professional and moral judgment guided by the basic principles underlying the Rules. These principles include the lawyer's obligation zealously to protect and pursue a client's legitimate interests, within the bounds of the law, while maintaining a professional, courteous and civil attitude toward all persons involved in the legal system.
23
International City Managers Association (ICMA)
Focus on a roles and relationships in local government and providing facts, advice, support for adopted policies. Restriction on political activities Fairness in dealing with employees
Seek no favor; believe that personal aggrandizement or profit
secured by confidential information or misuse of public time is dishonest.
Dedication to highest ideals of honor and integrity in all public
and personal relationships…. Recognize that the chief function of local government at all
times is to serve the best interests of all people. 24
Scenarios
25
26
Resources 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/
AICP ethics flash cards by Michael Schuler and Amon
Browning at: http://www.studystack.com/flashcard-280610
and http://www.studystack.com/flashcard-14636
