1

Ethics and Related Ethics and Related Professions:Professions:

A Planner’s Quandary?A Planner’s Quandary?Paul Farmer, FAICPPaul Farmer, FAICP

Valerie J. Hubbard, FAICP, LEED APValerie J. Hubbard, FAICP, LEED AP

2011 Annual Conference2011 Annual ConferenceFlorida Chapter, American Planning Florida Chapter, American Planning

AssociationAssociationSeptember 8, 2011September 8, 2011

2

OverviewOverview Ethical Principles in PlanningEthical Principles in Planning AICP Code of Ethics and AICP Code of Ethics and

Professional Professional ConductConduct Rules of ConductRules of Conduct Aspirational PrinciplesAspirational Principles

Ethics Codes of Other Ethics Codes of Other ProfessionsProfessions

ScenariosScenarios

3

Ethics Made SimpleEthics Made Simple"Ethics are what you do when no one is "Ethics are what you do when no one is looking."looking."

-George Bernard Shaw-George Bernard Shaw

"Whenever you do a thing, act as if all "Whenever you do a thing, act as if all the world were watching." the world were watching."

-Thomas Jefferson -Thomas Jefferson

"Always do right. This will gratify some "Always do right. This will gratify some people and astonish the rest."people and astonish the rest."

-Mark Twain -Mark Twain

4

Planning: The Noble Planning: The Noble ProfessionProfession

"Planning, on the broad canvas of "Planning, on the broad canvas of different philosophies of democracy and different philosophies of democracy and justice, draws people out of gated justice, draws people out of gated communities, draws people out of a communities, draws people out of a privatized way of life, and ultimately privatized way of life, and ultimately nurtures, develops and cultivates nurtures, develops and cultivates democratic citizens….Planning is a noble democratic citizens….Planning is a noble profession, a profession that is profession, a profession that is connected to the democratic profession." connected to the democratic profession."

Michael J. Sandel, Anne T. and Robert M. Bass Michael J. Sandel, Anne T. and Robert M. Bass Professor of Government at HarvardProfessor of Government at Harvard

Keynote speech at 2011 APA ConferenceKeynote speech at 2011 APA Conference

5

Ethical Principles in Ethical Principles in Planning Planning

(Adopted May 1992)(Adopted May 1992) ……a guide to ethical conduct for all who a guide to ethical conduct for all who participate in the process of planning as participate in the process of planning as advisors, advocates and decision makers.advisors, advocates and decision makers.

The planning process must continuously The planning process must continuously pursue and faithfully serve the public pursue and faithfully serve the public interest.interest.

Planning process participants continuously Planning process participants continuously strive to achieve high standards of integrity strive to achieve high standards of integrity and proficiency so that public respect for and proficiency so that public respect for the planning process will be maintained.the planning process will be maintained.

APA members who are practicing planners APA members who are practicing planners continuously pursue improvement in their continuously pursue improvement in their planning competence as well as in the planning competence as well as in the development of peers and aspiring development of peers and aspiring planners. planners.

6

The AICP CodeThe AICP Code Code of Ethics and Professional Code of Ethics and Professional

ConductConduct 2005 Update – similar to previous 2005 Update – similar to previous

codecode Four sections Four sections

Aspirational PrinciplesAspirational Principles Rules of ConductRules of Conduct ProceduresProcedures Automatic Suspension for Serious Crimes Automatic Suspension for Serious Crimes

(2009)(2009)

7

Rules of ConductRules of ConductWe adhere to the following Rules We adhere to the following Rules of Conduct, and we understand of Conduct, and we understand that our Institute will enforce that our Institute will enforce compliance with them. If we fail compliance with them. If we fail to adhere to these Rules, we to adhere to these Rules, we could receive sanctions, the could receive sanctions, the ultimate being the loss of our ultimate being the loss of our certification.certification.

RulesRules ofof ConductConduct1. We shall not deliberately or with 1. We shall not deliberately or with

reckless indifference fail to provide reckless indifference fail to provide adequate, timely, clear and adequate, timely, clear and accurate information on planning accurate information on planning issues.issues.

8

RulesRules ofof ConductConduct3. We shall not accept an assignment from 3. We shall not accept an assignment from

a client or employer to publicly advocate a client or employer to publicly advocate a position on a planning issue that is a position on a planning issue that is indistinguishably adverse to a position indistinguishably adverse to a position we publicly advocated for a previous we publicly advocated for a previous client or employer within the last three client or employer within the last three years unless:years unless: We make good faith determination of no We make good faith determination of no

detrimentdetriment Written disclosure and written permissionWritten disclosure and written permission

9

RulesRules ofof ConductConduct19. We shall not fail to disclose the 19. We shall not fail to disclose the

interests of our client or employer interests of our client or employer when participating in the planning when participating in the planning process. Nor shall we participate in process. Nor shall we participate in an effort to conceal the true an effort to conceal the true interests of our client or employer.interests of our client or employer.

10

11

Principles to Which We Principles to Which We AspireAspire

……a statement of aspirational a statement of aspirational principles that constitute the ideals principles that constitute the ideals to which we are committed. We shall to which we are committed. We shall strive to act in accordance with our strive to act in accordance with our stated principles. However, an stated principles. However, an allegation that we failed to achieve allegation that we failed to achieve our aspirational principles cannot be our aspirational principles cannot be the subject of a misconduct charge the subject of a misconduct charge or be a cause for disciplinary action. or be a cause for disciplinary action.

12

1. Our Overall 1. Our Overall Responsibility Responsibility to the Publicto the Public

Our primary obligation is to Our primary obligation is to serve the public interestserve the public interest and and we, therefore, owe our we, therefore, owe our allegiance to a allegiance to a conscientiously attained conscientiously attained concept of the public interest concept of the public interest that is formulated through that is formulated through continuous and open debate.continuous and open debate.

13

2. Our Responsibility to 2. Our Responsibility to Our Clients and EmployersOur Clients and Employers

We owe diligent, creative, and We owe diligent, creative, and competent performance of the competent performance of the work we do in pursuit of our work we do in pursuit of our client or employer’s interest. client or employer’s interest. Such performance, however, Such performance, however, shall always be consistent with shall always be consistent with our faithful service to the public our faithful service to the public interest.interest.

14

3. Our Responsibility to 3. Our Responsibility to Our Profession and Our Profession and

ColleaguesColleaguesWe shall contribute to the We shall contribute to the development of, and respect for, development of, and respect for, our profession by improving our profession by improving knowledge and techniques, knowledge and techniques, making work relevant to making work relevant to solutions of community solutions of community problems, and increasing public problems, and increasing public understanding of planning understanding of planning activities.activities.

15

Guiding Principles for Aspirational Guiding Principles for Aspirational Principle No. 1: Responsibility to Principle No. 1: Responsibility to

Public Public We shall: We shall: d)d) Provide timely, adequate, clear, and Provide timely, adequate, clear, and

accurate information on planning issues accurate information on planning issues to all affected persons and to to all affected persons and to governmental decision makers.governmental decision makers.

e)e) Give people the opportunity to have a Give people the opportunity to have a meaningful impact on the development meaningful impact on the development of plans and programs that may affect of plans and programs that may affect them. Participation should be broad them. Participation should be broad enough to include those who lack formal enough to include those who lack formal organization or influence. organization or influence.

16

Codes of Other Professions/ Codes of Other Professions/ OrganizationsOrganizations

American Institute of ArchitectsAmerican Institute of Architects American Society of Landscape American Society of Landscape

ArchitectsArchitects National Society of Professional National Society of Professional

EngineersEngineers American Bar AssociationAmerican Bar Association International City Managers International City Managers

Association (ICMA)Association (ICMA)

17

AIA Code of EthicsAIA Code of Ethics Canons, Ethical Standards, Rules of ConductCanons, Ethical Standards, Rules of Conduct Reflect different type of work and a more Reflect different type of work and a more

private sector perspective than AICPprivate sector perspective than AICP Obligations: public, client, profession, Obligations: public, client, profession,

colleagues, environment (“Canons”)colleagues, environment (“Canons”) Respect and help conserve natural and cultural heritageRespect and help conserve natural and cultural heritage Uphold human rights (Rule: not discriminate)Uphold human rights (Rule: not discriminate) Promote and serve the public interestPromote and serve the public interest Render public interest professional servicesRender public interest professional services Promote sustainable design and development principlesPromote sustainable design and development principles

18

ASLA Code of ASLA Code of Professional EthicsProfessional Ethics

Same structure as AIA CodeSame structure as AIA Code Fewer Ethical Standards; focus on RulesFewer Ethical Standards; focus on Rules Reflect different type of work and a more Reflect different type of work and a more

private sector perspective than AICPprivate sector perspective than AICP Primary focus on honesty, dignity, Primary focus on honesty, dignity,

integrity, fair dealing, avoiding conflictsintegrity, fair dealing, avoiding conflicts Members should endeavor to protect the Members should endeavor to protect the

interests of their clients and the public interests of their clients and the public through competent performance of their through competent performance of their work….work….

19

Code of Ethics for Code of Ethics for EngineersEngineers

Fundamental Canons, Rules of Practice, Fundamental Canons, Rules of Practice, Professional ObligationsProfessional Obligations

Engineering has a direct and vital impact on Engineering has a direct and vital impact on the quality of life for all people. the quality of life for all people. Accordingly, the services provided by Accordingly, the services provided by engineers require honesty, impartiality, engineers require honesty, impartiality, fairness, and equity and must be dedicated fairness, and equity and must be dedicated to the protection of the public health, to the protection of the public health, safety, and welfare.safety, and welfare.

Engineers shall at all times strive to serve Engineers shall at all times strive to serve the public interest.the public interest. Engineers are encouraged to adhere to the Engineers are encouraged to adhere to the

principles of sustainable development in order to principles of sustainable development in order to protect the environment for future generations.protect the environment for future generations.

20

American Bar Association American Bar Association Model RulesModel Rules

Available at: Available at: http://www.abanet.org/cpr/mrpc/mrpc_toc.html

Key obligation to "protect and pursue Key obligation to "protect and pursue a client's legitimate interests, within a client's legitimate interests, within the bounds of law...."the bounds of law...."

Attorneys are officers of the court Attorneys are officers of the court and subject to their requirements and and subject to their requirements and proceduresprocedures

Possible conflicts when an attorney is Possible conflicts when an attorney is also a planner also a planner

21

American Bar Association American Bar Association Model RulesModel 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.…

22

American Bar Association American Bar Association Model RulesModel 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….

23

American Bar Association American Bar Association Model RulesModel 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.

24

International City International City Managers Association Managers Association

(ICMA)(ICMA) Focus on a roles and relationships in local Focus on a roles and relationships in local

government and providing facts, advice, government and providing facts, advice, support for adopted policies. support for adopted policies. Restriction on political activitiesRestriction on political activities Fairness in dealing with employeesFairness in dealing with employees

Seek no favor; believe that personal Seek no favor; believe that personal aggrandizement or profit secured by aggrandizement or profit secured by confidential information or misuse of public confidential information or misuse of public time is dishonest. time is dishonest.

Dedication to Dedication to highest ideals of honor and highest ideals of honor and integrity in all public and personal integrity in all public and personal relationships….relationships….

Recognize that the chief function of local Recognize that the chief function of local government at all times is to serve the best government at all times is to serve the best interests of all people. interests of all people.

25

ScenariosScenarios

26

ResourcesResources American Planning Association (APA) American Planning Association (APA)

Ethical Principles of Planning Ethical Principles of Planning www.planning.org/ethics/ethicalprinciples.htm

American Institute of Certified Planners American Institute of Certified Planners (AICP) Code of Ethics & Professional (AICP) Code of Ethics & Professional Conduct Conduct www.planning.org/ethics/

AICP ethics flash cards by Michael Schuler AICP ethics flash cards by Michael Schuler and Amon Browning at:and Amon Browning at: http://www.studystack.com/flashcard-280610

andand http://www.studystack.com/flashcard-14636