“Sustaining Our Community
Without Comprising Our Ethics”
Pamella A. Seay, Esquire
Professor Florida Gulf Coast University
Nancy Stuparich, Esquire
Weiss, Serota, Helfman, Pastoriza, Cole,
& Boniske, P.L.
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Ethics and Ethic Rules
Do You
Know the
Difference?
2
Ethics and Ethic Rules
Ethics refers to fundamental beliefs about
right and wrong
 Ethics rules in a particular profession are
instructions on behavior
 Violation of ethics is a moral issue
 Violation of ethics rules is a professional
issue

3
Ethics and Ethic Rules
It’s All The Same……………
But Different………………
4
Ethics and Ethic Rules
KNOW THE
DIFFERENCE!!!
5
Ethics and Ethic Rules
Individuals who earn the
American Institute of Certified Planners
designation may be subject to several ethical
codes

AICP Code of Ethics

Florida Constitution Article II Section 8

Code of Ethics for Public Officers and Employers

Local Codes and Ordinances

Florida Bar Rules of Professional Conduct
6
AICP
Code of Professional Conduct
The AICP Code of Professional Conduct



Section A: Aspirational Statement;
Ideals & Principles, Duties Owed
Section B: 25 Rules of Conduct
Section C: Procedural Elements
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Section A – AICP Code of Ethics
To Whom are Duties Owed????????
 The
Public
 Clients
and Employers
 Profession
and Colleagues
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Section A – AICP Code of Ethics
ASPIRATIONAL GOALS
To comply with our
obligation to the public, we
aspire to the following
principles:
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We Shall...




always be conscious of the rights of others.
have special concern for long-range consequences of present
actions.
pay special attention to interrelatedness of decisions.
provide timely, adequate, clear, accurate information to:






all affected persons and
governmental decision makers.
Provide opportunity for meaningful input
Seek social justice
Promote excellence in design, conservation, and preservation
Deal fairly and evenhandedly with all planning process participants
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Section A – AICP Code of Ethics
ASPIRATIONAL GOALS
To comply with our
obligation to our client and
employer, we aspire to the
following principles:
11
We Shall...

Perform our work in a diligent, creative, and competent manner, in
pursuit of our client’s interest while remaining faithful to our service
to the public.

Exercise independent professional judgment on behalf of our
clients and employers.

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.

Avoid a conflict of interest or even the appearance of a conflict of
interest in accepting assignments from clients or employers.
12
Section A – AICP Code of Ethics
ASPIRATIONAL GOALS
To comply with our
obligation to our profession
and colleagues, we aspire
to the following principles:
13
We Shall...









Protect and enhance the integrity of our profession
Educate the public about planning and its relevance
Describe and comment on the work and views of other
professionals in a fair and professional manner
Share our experience and research
Examine the applicability and appropriateness of acts
Contribute our time and resources
Increase opportunities for others in the profession
Enhance our professional education and training
Critically analyze ethical issues in planning
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Section A:
IDEALS and PRINCIPLES


Recognize the rights of citizens to participate in
planning decisions;
Strive to:


give citizens full, clear and accurate information on planning
issues and the opportunity to have a meaningful role in the
process
expand choice and opportunity for all, recognizing a special
responsibility to plan for disadvantaged
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How do we achieve these aspirational goals, ideals and principles
and fulfill our duties as AICP certified planners
?????????????????

Assist in the clarification of community goals, objectives
and policies in plan-making;

Ensure timely and convenient access to information

Protect the integrity of the natural environment and the
heritage of the built environment;

Pay special attention to the interrelatedness of decisions
and the long range consequences
of
present actions.
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We Should ...









Exercise fair, honest and independent judgment
Make public disclosure of all “personal interests” and to define “personal interest”
broadly
Abstain from participation in any matter in which they have a personal interest
Seek no gifts or favors intended or expected to influence objectivity
Not participate as an advocate,

Except when client’s objectives are legal and consistent with public interest.

Unless authorized by law, regulation, or ruling
Not use or disclose confidential information inappropriately
Not misrepresent facts or distort information
Not participate in any matter unless adequately prepared and sufficiently
capacitated
Respect the rights of all persons and not improperly discriminate against or harass
others based on characteristics which are protected under civil rights laws and
regulations.
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What do you do when your
duties to the public, your
clients, your employer, your
profession and colleagues
conflict?
Section B: AICP Code of Ethics
Rules of Conduct
There are 25 Rules of Conduct in Section B
of the AICP Code of Ethics, which:
1) Mandate Compliance
2) Can Subject an AICP Planner to Charges
3) Have Specific Enforcement Procedures
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AICP 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:
20
We Shall Not ...
1.
Deliberately or with reckless indifference fail to provide adequate, timely,
clear and accurate information on planning issues.
2.
Accept an assignment from a client or employer when the services to be
performed involve conduct that we know to be illegal or in violation of
these rules.
3.
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 past three years unless
(1) we determine in good faith after consultation with other qualified
professionals that our change of position will not cause present detriment to
our previous client or employer, and
(2) we make full written disclosure of the conflict to our current client or
employer and receive written permission to proceed with the assignment.
21
We Shall Not………..
4.
As salaried employees, undertake other employment in planning
or a related profession, whether or not for pay, without having
made full written disclosure to the employer who furnishes our
salary and having received subsequent written permission to
undertake additional employment, unless our employer has a
written policy which expressly dispenses with a requirement to
obtain such consent.
5.
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.
22
We Shall Not………
6.
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, unless our client or
employer, after full written disclosure from us, consent
in writing to the arrangement.
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We Shall Not…………
7.
Use to our personal advantage, nor that of a subsequent client or
employer, 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. Nor shall we disclose such
confidential information except when:
(1) required by process of law, or
(2) required to prevent a clear violation of law, or
(3) required to prevent a substantial injury to the public.
Disclosure pursuant to (2) and (3) shall not be made until after we have
verified the the facts and issues involved and, when practicable
exhausted efforts to obtain reconsideration of the matter and have
sought separate opinions on the issue from other qualified
professionals employed by our client, or employer.
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We Shall Not ………..
8.
As public officials or employees, engage in private
communications with planning process participants if the
discussions relate to a matter over which we have authority to
make a binding, final determination if such private
communications are prohibited by law or by agency rules,
procedures, or custom.
9.
Engage in private discussions with decision makers in the
planning process in any manner prohibited by law or by agency
rules, procedures, or custom.
10.
Neither deliberately, nor with reckless indifference, misrepresent
the qualifications, views and findings of other professionals.
25
We Shall Not…………
11.
We shall not solicit prospective clients or employment through
use of false or misleading claims, harassment, or duress.
12.
We shall not misstate our education, experience, training, or any
other facts which are relevant to our professional qualifications.
13.
We shall not sell, or offer to sell, services by stating or implying
an ability to influence decisions by improper means.
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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We Shall Not…………
15.
We shall not accept work beyond our professional competence
unless the client or employer understands and agrees that such
work will be performed by another professional competent to
perform the work and acceptable to the client or employer.
16.
We shall not accept work for a fee, or pro bono, that we know
cannot be performed with the promptness required by the
prospective client, or that is required by the circumstances of the
assignment.
17.
We shall not use the product of others efforts to seek professional
recognition or acclaim intended for producers of original work.
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We Shall Not ………..
18.
We shall not direct or coerce other professionals to make
analyses or reach findings not supported by available evidence.
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.
20.
We shall not unlawfully discriminate against another person.
21.
We shall not withhold cooperation or information from the AICP
Ethics Officer or the AICP Ethics Committee if a charge of ethical
misconduct has been filed against us.
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We Shall Not…………
22.
We shall not retaliate or threaten retaliation against a
person who has filed a charge of ethical misconduct
against us or another planner, or who is cooperating
in the Ethics Officer’s investigation of an ethics
charge.
23.
We shall not use the threat of filing an ethics charge
in order to gain, or attempt to gain, an advantage in
dealings with another planner.
24.
We shall not file a frivolous charge of ethical
misconduct against another planner.
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We Shall Not…………
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.
30
Section C: AICP Code of Ethics
Procedural Elements
What are the Penalties for
Violation of the
25 RULES OF CONDUCT?
31
BAD NEWS………………
AICP CERTIFICATION
May be lost...
32
Good News………….

You cannot lose your AICP Certification
without
DUE PROCESS
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Section C: AICP Code of Ethics
Procedural Elements

Filing a Charge of Misconduct.

Receipt of Charge

Right to Counsel

Preliminary Responses
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Section C: AICP Code of Ethics
Procedural Elements

Conducting an Investigation

Dismissal of Charge or Issuance of Complaint

Appeal of Dismissal of Charge

Answering a Complaint
35
Section C: AICP Code of Ethics
Procedural Elements

Conducting a Hearing

Deciding the Case

Settlement of Charges
36
Ethics Cases During 2005
7 Total Cases
2 Complaints Resolved
5 Charges Pending (all filed during 2005)
2 Cases Resolved
1 Complaint Resolved by Settlement Agreement Reached by Ethic Committee and
Respondent
1 Complaint Resolved by Court Approved Settlement Agreement
5 Cases Pending
3 Charges Under Review by Ethics Officer
1 Charge Pending Charging Party’s Submission of Additional Information
1 Charge Pending Response from Respondent
37
Ethics Cases During 2006
9 Total Cases
4 Cases Resolved
5 Cases Pending
4 Cases Resolved
2 Charges Settled by Agreement Between Charging Parties and Respondents
1 Charge Dismissed
1 Member Reinstatement
5 Cases Pending
3 Charges Under Review by Ethics Officer
1 Charge Pending Charging Party’s Submission of Additional Information
1 Charge Pending Response from Respondent
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Paul Farmer, FAICP
Executive Director and Chief
Executive Officer
Paul Farmer is Executive Director and Chief Executive
Officer of APA and AICP. He has primary responsibility
for the long-term strategic direction of the association, in
concert with elected leadership. He is responsible for
representing the leadership of the association, its
members and the interests of planning with partners
and with the public.
39
Public Planner Code of Ethics
Whether you are AICP certified or not, as
a planner for a public agency in Florida
you are subject to the laws in Florida
Statutes
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Chapter 112, Part III
Code of Ethics for Public Officers & Employees
Standards of Conduct for employees of “agency,”
which is defined as ………………….
any state, regional, county, local, or municipal
government entity of this state, whether
executive, judicial or legislative; any department,
division, bureau, commission, authority, or
political subdivision of this state therein; or any
public school, community college, or state.
“
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Chapter 112, Part III
Code of Ethics for Public Officers & Employees










Solicitation or Acceptance of Gifts
Doing Business with One’s Agency
Unauthorized Compensation
Salary and Expenses
Misuse of Public Position
Conflicting Employment or Contractual Relationship
Disclosure or Use of Certain information
Post Employment Restrictions: Representation of Another
Person or Entity for Compensation Before the Government Body
or Agency of Which the Individual was an Employee for 2 Years
Employees Holding Office
Professional and Occupational Licensing Board Members
42
Chapter 112, Part III
Code of Ethics for Public Officers & Employees
What is the Penalty for
Violation of the
Standards of Conduct in
CHAPTER 112?
43
Chapter 112, Part III
Code of Ethics for Public Officers &
Employees

“Violation of an provision of this part, including, but not
limited to, any failure to file any disclosures required by
this part or violation of any standard of conduct imposed
by this part, or violation of any provision of s. 8, Art.II of
the State Constitution, in addition to any criminal
penalty or other civil penalty involved, shall, under
applicable constitutional and statutory procedures,
constitute grounds for, and may be punished by, one or
more of the following:”
44
ALL BAD NEWS………….
1.
Dismissal From Employment
2.
Suspension from Employment not more than 90 days
without pay
3.
Demotion
4.
Reduction in Salary Level
45
MORE BAD NEWS………….
5.
Forfeiture of no more than one-third salary per
month for no more than 12 months
6.
A civil penalty not to exceed $10,000
7.
Restitution of any pecuniary benefits received
because of the violation
8.
Public Censure and Reprimand
46
What have you learned?
47
Let’s See………………..
You are an AICP certified planning director in Small Town, Florida.
The Mayor and City Council asked you to work on a downtown
redevelopment plan and it is nearing completion,
But you and the mayor are receiving negative telephone calls and
threats from local residents regarding the number of homeless that
you are attracting to the downtown area.
The mayor then ordered you to administratively interpret the
definition of “hotels” in the land development code to include all
homeless shelters, because as “hotels” they can be subject to a
local resort tax, effectively closing the shelter. And, new shelters
can’t come in since they can’t meet parking requirements.
Are you adhering to the AICP Rules of Conduct?
48
What AICP rules
may apply?
Have you violated
any? Or, are you
about to?
49
Alternatives to Consider…..
1.
2.
3.
4.
Create a political issue to raise public
sensitivity to homelessness
Quit your job
Conduct a survey of homeless shelters to find
out the typical number of cars that park to go
to the locations. Based on the results
propose a shelter parking requirement.
Tell the mayor that it would not be ethical to
arbitrarily change shelters to hotels to put
them out of business
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What have you learned?
51
Let’s See………………..

You are an AICP planning director in a beach resort community.
Your son, a junior and quarterback at the University of Michigan will
be home for the summer and will be looking for a job. At the break
during a public hearing of the Planning & Zoning Board, you turn to
one of the board members, lament the economic downturn and
concerned that you’ll be supporting your son for the summer.

A local developer with a pending site plan overhears your
comments and sends you a note after the hearing, saying he is a
fan of Big Blue and that his firm often hires interns for the summer
and invites your son for an interview.

What should you do?
52
What AICP rules
may apply?
Have you violated
any? Or, are you
about to?
53
Alternatives to Consider…..
1.
2.
3.
4.
5.
Immediately call your son and give him the
developer’s phone number
Immediately turn over the note to the local
sheriff for investigation of wrong-doing
Politely thank the developer and make a
mental note to grant his next variance request
Throw the note away and do nothing
Thank the developer, but explain that you
cannot accept his offer
54
What have you learned?
55
Let’s See………………..

It is spring break at Hurricane Beach where you are the AICP
planner for the county. Your county commission is thrilled that
there will finally be some economic activity in the county. In
particular, they are pleased that Jimmy Buffett will be in town for a
concert, bringing with him huge revenue for hotels, restaurants,
and other businesses.

As you drive to work, you notice banners stretched across the
roadways advertising the concert. The banners do not comply with
the county sign ordinance. No one has complained, but you have
personally seen them and know they violate the code.

What do you do?
56
What AICP rules
may apply?
Have you violated
any? Or, are you
about to?
57
Alternatives to Consider…..
1.
2.
3.
4.
5.
Contact the media and inform them that the
commission is encouraging code violations in
the name of economic development
Tear down the banners on your way home
Call Code Compliance and have the banners
removed and fines imposed
Notify the County Administrator or your
supervisor and ask her what to do
Do nothing, since no one complained
58
What have you learned?
59
Let’s See………………..



As an avid fisherman, you love to go out in your boat
regularly. But, as a full-time AICP city planner, you
don’t often have the time.
A kindly gentleman who frequents the planning board
meetings knows of your love of fishing and presents you
with an envelope at a meeting, then he leaves.
You open it later and find that it contains a gift certificate
for a one-day deep-sea fishing excursion, with a note
saying that he hopes you remember the importance of
the waterfront in your decision-making process.
60
What AICP rules
may apply?
Have you violated
any? Or, are you
about to?
61
Alternatives to Consider…..
1.
2.
3.
4.
All is well. You send him a thank you note
and head out to the dock for a wonderful day
of fishing.
You must return the gift certificate
You should share the certificate with the
mayor
You can keep it or return it. It doesn’t matter
since the excursion is for a tour company
located in another county
62
So Many Rules, Which do I
Follow????????????????...
1.
2.
3.
4.
5.
AICP Code of Ethics
Florida Constitution
Code of Ethics for Public Officers and
Employees (State & Federal)
Local codes and ordinances
Other professional Code of Ethics
63
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Just Remember……….
It’s All The Same……………
But Different………………
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Time to Go to the BEACH!
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SPECIAL THANK YOU TO:
Nancy Stroud
 Professor __________________
For their unpaid assistance and inspiration

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