ethics case of the year - florida.planning.org
TRANSCRIPT
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Ethics Case of the Year
Created by the Ethics Committee,
American Institute of Certified Planners
2018-19
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❖ Merle Bishop, FAICPGrowth Management DirectorCity of Winter Haven, FL
❖ Ray Chiaramonte, FAICPExecutive DirectorTampa Bay Area Regional Transit AuthorityTampa, FL
❖ Valerie Hubbard, FAICPDirector of Planning ServicesAkerman, LLPTallahassee, FLFormer AICP Commission President
❖ Silvia Vargas, AICP, LEED APPrincipal Planner | PlanningCalvin, Giordano & Associates, Inc.Miami, FLAICP Commissioner for Region III
Panel
Members
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planning.org
AGENDA
Why Talk About Ethics?
Refresher on Planning Ethics
Ethical Scenarios
1. Employee Ownership
2. Soliciting Donations
3. Spousal Job Conflicts
4. Personal Interests
5. Political Involvement
6. Public to Private Sector
7. Sports Tickets
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planning.org
Why Talk About Ethics?
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❖ Different people have different beliefs
about what constitutes ethical behavior.
❖ Distinctions between right and wrong are
not always clear.
❖ Situations where the line between right
and wrong is blurred can result in an
ethical dilemma.
❖ Develop attitudes and reasoning skills
that can be applied in everyday
situations.
Why Talk About Ethics? ??
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planning.org
Why Talk About Ethics?
❖ Citizens have a right to expect ethical conduct in the planning process.
❖ Professional planners have ethical responsibilities to the public, their
colleagues, their clients, their employers and their communities.
❖ AICP planners must practice in accordance with standards of practice,
including the AICP’s Code of Ethics and Professional Conduct.
❖ Planners are guided by both local, and sometimes state, ethics provisions.
But frequently none exist, and planners must exercise common sense,
especially with consideration given to the guidance of the aspirational
principles in the Code.
❖ Access to resources and helps available through APA, the AICP
Commission and the Ethics Officer.
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planning.org
Ethical Environment for Planners
“Ethical judgment often requires a conscientious balancing,
based on the facts and context of a particular situation and the
precepts of the entire Code of Ethics and Professional Conduct.”
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planning.org
Please turn on your cell phone and go to: www.planning.org/ethics
❖ “AICP Code of Ethics and Professional Conduct” (Link to Code revisions adopted April 2016)
❖ “Ethical Principles in Planning” (A guide for everyone who participates in the planning process)
❖ “Ethics case of the Year”
❖ “Ethics in Planning Toolkit”(A toolkit for conducting Ethics Sessions revised 7/2012)
❖ “AICP Code of Ethics and Professional Conduct certificate”
Ethical Principles and Rules
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planning.org
Select: “AICP Code of Ethics and Professional Conduct”
A. “Principles to Which We Aspire” Responsibility to: the Public, Clients/Employees, and Profession/Colleagues
B. “Our Rules of Conduct” 26 Rules to which AICP members are held accountable
C. Advisory OpinionsInformal Advice, Formal Advisory Opinions, Annual Report
D. Complaints of MisconductFillings, Preliminary Charge/Dismissal. Settlement, Decision, Appeal
E. Discipline of MembersConfidential Letter, Public Censure, Suspension, Revocation
AICP’s Ethics Code
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planning.org
Select: “Ethical Principles in Planning”
1. Serve the public interest✓ Recognize the rights of citizens to participate in the
planning process
✓ Provide full, clear and accurate information,
✓ Strive to expand choice and opportunity for all,
✓ Assist to clarify community goals, objectives & policies.
✓ Ensure that non-confidential information is available to the public in a convenient format in advance of any decision.
✓ Protect natural and built environment,
✓ Pay attention to long-range consequences of actions, etc.
APA’s Ethical Principles in Planning
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planning.org
Select: “Ethical Principles in Planning”
2. Maintain high standards of integrity and proficiency
✓ Exercise fair, honest and independent judgement,
✓ Disclose personal interest,
✓ Seek no gifts or favors,
✓ Avoid conflicts of interest,
✓ Don’t disclose confidential information,
✓ Don’t misrepresent facts,
✓ Respect the rights of all persons, etc.
APA’s Ethical Principles in Planning
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planning.org
Select: “Ethical Principles in Planning”
3. Improve planning competence✓ Provide high level of professionalism,
✓ Commit no wrongful acts,
✓ Contribute time for groups lacking planning resources,
✓ Treat other professionals fairly, etc.
APA’s Ethical Principles in Planning
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planning.org
Go back to www.planning.org/ethics - “Ethics in Planning”
Scroll to: “Actions Regarding Ethical Conduct”
❖File a Complaint of Ethical MisconductCan be filed by anyone—but only against an AICP member—for having allegedly violated a “Rule of Conduct”
❖Seek Informal Advice from Ethics OfficerNon-binding and not in writingJames Peters, FAICP – Ethics Officer(312)-786-6360
Actions Regarding Ethical Conduct
❖ Seek an Advisory Opinion from Ethics Committee
Provided in writing—but only on selected, unresolved issues
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Actions Regarding Ethical Conduct
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planning.org
Ethical Misconduct Cases (in 2017)
➢ Cases Dismissed (10)
➢ Cases Settled (9)
-- Misuse of AICP Credential (5)
-- Confidential Letters of Admonition (2)
Rules of Conduct #25 (wrongful act)
Rules of Conduct #25 (wrongful act)
-- One-Year Suspension of AICP Certification (1)
Rules of Conduct #4 (other employment) and
Rules of Conduct #6 (inappropriate financial gain)
-- Revocation of AICP Certification (1)
Rule of Conduct #26 (serious crime)
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planning.org
2017 Ethics Cases and Inquiries
Conflicts of Interest
Loyalty to Employer
Respect for Confidentiality
Honest and Fair Dealing
Legal and Ethical Conduct
Quality of Practice
Private Communication
Abuse of Position
False/Deceptive Statements
Lack of Cooperation with Ethics
Misuse of AICP Credential
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planning.org
❖Created by AICP’s Ethics Committee in order to provide general education materials regarding the AICP Code of Ethics and Professional Conduct.
❖Although scenarios, sample problems, and Q&A sessions are an important part of identifying various code provisions, please note that only the Ethics Committee is authorized to give a “formal advisory opinion” on the propriety of a planner’s proposed conduct (Ethics Code, Section C.3)
❖Please direct any queries or suggestions regarding this “Case of the Year” to AICP’s Ethics Officer at [email protected]
Ethics Case of the Year
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❖ The scenarios are based on real situations that took place in various communities in the United States in 2017-2018.
❖ The scenarios are derived from informal inquiries or actual cases of ethical misconduct.
❖ It features 7 different "cases" that address current topics such as:
✓ Employee Ownership
✓ Soliciting Donations
✓ Spousal Job Conflicts
✓ Personal Interest
✓ Political Involvement
✓ Public to Private Sector
✓ Sports Tickets
These are True Stories
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planning.org
Jane, AICP
Small-Town Planner
Meet the Cast of Characters
Harland, AICP
Large-City Planner
Catherine, AICP
Planning Consultant
Patrick, AICP
Planning Consultant
Dan, AICP
County Planner
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❖Patrick, AICP, a consultant, has been offered the position of planning director in Geddesville, where his firm currently provides planning services.
❖Patrick is interested in the job, but he owns stock in the consulting firm – which he hopes to retain to help pay for his kid’s college tuition.
❖But he doesn’t want to prevent the firm from continuing to work for Geddesville, since it is one of the few planning consulting firms in the area.
Scenario 1 – Employee Ownership
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If Patrick takes the job with Geddesville, can he still retain his employee stock – while allowing the firm to pursue planning contracts with the city?
Scenario 1 – Question
??
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Scenario 1 – Ethical Issues
AICP Ethics Code—Principles
#1c: “We shall pay special attention to the interrelatedness of decisions.”
#1h: “We shall deal fairly with all participants in the planning process. Those of us who are public officials or employees shall also deal evenhandedly with all planning process participants.”
#2a: “We shall exercise independent professional judgment on behalf of our clients and employers.”
#2c: “We shall avoid a conflict of interest or even the appearance of a conflict of interest in accepting assignments from clients or employees.”
#3a: “We shall protect and enhance the integrity of our profession.”
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Scenario 1 – AICP Ethics Code—Rules of Conduct#4: “We shall not, as salaried employees, undertake other employment in planning… without having
made full written disclosure to the employer who furnishes our salary and having received
subsequent written permission.…”
#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.”
#6: “We shall not perform work on a project for a client or employer if, in addition to the agreed upon
compensation…there is a possibility for direct personal or financial gain to us, our family members,
or persons living in our household, unless our client or employer… consents in writing to the
arrangement.”
#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.”
#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.”
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planning.org
Scenario 2 – Soliciting Donations
Jane, AICP, a senior planner with the City of Jacobsville, is a graduate of a planning program in her state. The school’s alumni group is raising money for a scholarship fund.
The group has asked Jane to solicit donations from consulting firms, many of which have worked on city projects with her department.
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Scenario 2 – Question
Should Jane have any ethical concerns about asking consulting firms for donations to the scholarship fund? ??
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planning.org
Scenario 2 – Ethical IssuesJane might suggest that the alumni group ask another alum—perhaps someone in the private sector (or a retired planner)—to solicit donations from consulting firms.
AICP Ethics Code—Principles
#1b: “We shall have special concern for the long-range consequences of present actions.”
#1c: “We shall pay special attention to the interrelatedness of decisions.”
#1h: “We shall deal fairly with all participants in the planning process. Those of us who are public officials or employees shall also deal evenhandedly with all planning process participants.”
#2c: “We shall avoid a conflict of interest or even the appearance of a conflict of interest in accepting assignments from clients or employers.”
#3a: “We shall protect and enhance the integrity of our profession.”
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Scenario 2 – Rules of Conduct
#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.”
#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.”
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planning.org
Scenario 2 – Question:
Would there be a difference
if Jane, as a member of the
APA Chapter Board, asked
those same firms – or
planning schools – to help
sponsor the state planning
conference?
Thank you to all our sponsors without
whom we could not host this quality event!
Diamond Annual Sponsors
Platinum Sponsors
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planning.org
Scenario 2 – Ethical Issues:Again, Jane might want to request that the chapter ask someone
in the private sector (or a retired planner) to solicit these
conference sponsorships.
AICP Ethics Code—Principles
#1b: “We shall have special concern for the long-range consequences of
present actions.”
#1c: “We shall pay special attention to the interrelatedness of decisions.”
#1h: “We shall deal fairly with all participants in the planning process. Those
of us who are public officials or employees shall also deal evenhandedly with
all planning process participants.”
#2c: “We shall avoid a conflict of interest or even the appearance of a conflict
of interest in accepting assignments from clients or employers.”
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Scenario 2 – Ethical Issues:
AICP Ethics Code—Rules of Conduct
#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 to our public office or employment.”
#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.”
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planning.org
Scenario 3 – Spousal Job Conflicts❖ Harland, AICP, is the planning director of
Bartholomew. His spouse (also AICP) is a transportation planner with a consulting firm that has submitted a proposal to the city to prepare a corridor transit study.
❖ The firm’s attorney say there are no ethical concerns, provided the spouse does not work on the study.
Harland, AICP
Big City Planner
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Scenario 3 – Questions❖ Is the attorney’s opinion consistent with the AICP Ethics
Code?
❖ Should any precautions be taken during the interview process?
❖ If the firm is selected, what precautions should be taken?
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Scenario 3 – Ethical IssuesHarland should provide full disclosure up front – and his spouse should not work on the study.AICP Ethics Code—Principles
#1b: “We shall have special concern for the long-range consequences of
present actions.”
#1c: “We shall pay special attention to the interrelatedness of decisions.”
#1h: “We shall deal fairly with all participants in the planning process. Those of us who
are public officials or employees shall also deal evenhandedly with all planning process
participants.”
#2a: “We shall exercise independent professional judgement on behalf of our clients
and employers.”
#2c: “We shall avoid a conflict of interest or even the appearance of a conflict of interest
in accepting assignments from clients or employers.”
#3a: “We shall protect and enhance the integrity of our profession.”
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Scenario 3 – AICP Ethics Code–Rules of Conduct
#6: “We shall not perform work on a project for a client or employer if, in addition to the agreed upon compensation from our client or employer, there is a possibility for direct personal or financial gain to us, our family members, or persons living in our household…”
#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.”
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planning.org
Scenario 4 – Personal Interest
Catherine, AICP, a planning consultant, would
like to purchase a strip of land next to her
personal residence from the property owner. The
purpose would be to create a buffer to the
neighbor’s proposed development.
She offers to assist the property owner
with their rezoning application, as full or
partial payment for the buffer strip.
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Scenario 4 – Personal Interest
In her testimony, she cites the negative impact of the proposed commercial use on her property.
The neighbor objects that Catherine has used her professional knowledge and status as a city planner to further her personal interests.
When the owner refuses to sell, Catherine decides to
testify—as a private citizen—against the proposed rezoning
application.
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Scenario 4 – Question
Has Catherine violated any aspects of the AICP Ethics
Code in her actions? ??
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Scenario 4 – Ethical Issues
Catherine may have called into question her
professional objectivity by testifying as a planner in
support of her personal interest.
In the process, she also may have blurred the roles of
private citizen and planning consultant in a public
forum.
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Scenario 4 – AICP Ethics Code–Principles
#1c: “We shall pay special attention to the interrelatedness of
decisions.”
#2a: “We shall exercise independent professional judgment on behalf
of our clients and employers.”
#2c: “We shall avoid a conflict of interest or even the appearance of a
conflict of interest in accepting assignments from clients or
employers.”
#3a: “We shall protect and enhance the integrity of our profession.”
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Scenario 4 – AICP Ethics Code–Rules of Conduct
#7: “We shall not use to our personal advantage…
information gained in a professional relationship that
the client or employer has requested be held inviolate
or that we should recognize as confidential because
its disclosure could result in embarrassment or other
detriment to the client or employer….”
#25: “We shall neither deliberately, nor with reckless
indifference, commit any wrongful act, whether or not
specified in the Rules of Conduct, that reflects
adversely on our professional fitness.”
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planning.org
Scenario 5 – Political Involvement
Dan, AICP, the planning director of Hudson County,
has been offered a leadership position in a local
political party.
Dan’s boss, the county manager, says this is
inappropriate and she discourages Dan from being
involved—in any formal way—with the party. As
evidence, she notes the Code of Ethics of the
International City/County Management Association
(ICMA).
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Scenario 5 – Political Involvement
Is the county manager correct?
Are political activities not allowed by the AICP Ethics
Code?
??
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Scenario 5 – Ethical Issues
Some city and county governments do require
that all department heads–whether they are
members of ICMA or not–adhere to the ICMA
Code of Ethics.
ICMA Tenet #7:
“Refrain from all political activities which
undermine public confidence in professional
administrators. Refrain from participating in
the election of the members of the employing
legislative body.”
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Scenario 5 – Ethical Issues
However, the AICP Ethics Code does not prohibit
political involvement. Nonetheless, it may make
sense to notify your employer anyway.
AICP Ethics Code—Principles
#1c: “We shall pay special attention to the interrelatedness of decisions.”
#2b: “We shall accept the decisions of our client or employer concerning the
objectives and nature of the professional services we perform unless the
course of action is illegal or plainly inconsistent with our primary obligation to
the public interest.”
#3j: “We shall contribute time and effort to groups lacking in adequate
political resources and to voluntary professional activities.”
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planning.org
Scenario 6 – Public to Private Sector
Jane, AICP, retired six months ago as a planner with
the City of Jacobsville.
A developer, whose projects Jane formerly reviewed
as a city planner, asks her to work for him on a
proposed mixed-use project in Jacobsville.
Jane checks with the city attorney, who
says there are no laws restricting the
employment of former employees.
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Scenario 6 – Questions
Should Jane accept the job offer?
If so, what–if any–concerns should she have under the
AICP Ethics Code? ??
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Scenario 6 – Ethical Issues
Unless there are local or state laws prohibiting such employment,
Jane should consider accepting the job. But she should be careful of
any potential conflicts of interest or other concerns.
AICP Ethics Code—Principle
#2c: “We shall avoid a conflict of interest or even
the appearance of a conflict of interest in accepting
assignments from clients or employers.”
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Scenario 6 – AICP Ethics Code–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 information within the past three years unless…it will not
cause present detriment to our previous client or employer and we
make full written disclosure of the conflict…”
#7: “We shall not use to our personal advantage, nor that of a
subsequent client or employer, information gained…that we should
recognize as confidential because its disclosure could result in
embarrassment or other detriment to the client or employer…”
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Scenario 7 – Sports TicketsA private utility has offered Harland, AICP, the
planning director for the City of Bartholomew,
a ticket to one of his alma mater’s football
games.
Bartholomew’s planning department has never
had a review role regarding the utility or any of
its properties. Consequently, Harland believes
there are no problems in accepting the ticket.
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Scenario 7 – Questions
Is Harland correct?
Are there no AICP Ethics Code concerns in accepting the ticket?
Are there any situations in which Harland could accept the ticket?
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Scenario 7 – Ethical IssuesHarland should not accept the ticket. However, there could be some
situations (such as those involving a close friend) where he could
attend the game—while paying for the ticket.
AICP Ethics Code—Rules of Conduct
#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.”
#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.”
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For informal advice regarding ethical conduct, contact
AICP Ethics Officer,
Jim Peters, FAICP, at 312-786-6360.
Final Note
For more information, visit www.planning.org/ethics