The AICP Code of Ethics and More Robert P. Mitchell Peter C. Lowitt Dwight H. Merriam

1. THE AICP CODE OF ETHICS
(AND MORE!)
Massachuse tts Asso ciatio n o f
Planning Dire cto rs
AnnualCo nfe re nce
Spring fie ld MA– June 7 & 8 , 20 1 2
Robert P. Mitchell FAICP, Planning Consultant -
Boston
Peter C. Lowitt FAICP, Director/Land Use
Administrator, Devens Enterprise Commission –
Devens
Dwight H. Merriam FAICP, Partner, Robinson & Cole –
Hartford & Boston

2. Ethics
 “Ethics is a system or code of morals of a
particular person, group or profession.”
Webster’s
 “Always do right. This will gratify some
people and astonish the rest."
Mark Twain
 “Ethics are what you have when no one is
looking.”
Unknown

3. Perception vs. Reality

4. The AICP Code
 Code of Ethics and Professional Conduct
 Adopted 2005; Revised 2009
(Ethics Codes for planners go back to 1959)
 4 sections:
A. Aspirational Values & Ideals
B. Rules of Conduct
C. Procedures
D. Planners Convicted of Serious Crime

5. A.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. We shall achieve high
standards of professional integrity, proficiency,
and knowledge. To comply with our obligation to
the public, we aspire to the following principles:
 Eight Principles are Listed

6. Code A.1
 Shall be conscious of the rights of others
 Shall have special concern for long range consequences
 Shall pay special attention to interrelatedness of decisions
 Shall provide timely, adequate, clear and accurate information to all
 Shall give people opportunity to have meaningful impact on plans and
programs that affect them. Include people who lack influence or
organization.
 Shall seek social justice by working to expand choice and opportunity
 Shall promote excellence of design and endeavor to conserve &
preserve integrity and heritage of natural & built environment
 Shall deal fairly and evenhandedly with participants in the planning
process

7. A.2 - 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.

8. Code A.2
 Shall exercise independent professional
judgment
 Shall accept the decisions of clients/employers
unless the course of action is illegal or
inconsistent with our primary obligation to
serve the public interest
 Shall avoid a conflict of interest or appearance
of such

9. A.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.
 Ten Principles are listed.

10. Code A.3
 Shall protect & enhance integrity of the profession
 Shall educate the public about planning issues &
relevance to their everyday lives
 Shall describe & comment on work & views of other
professionals in a fair and professional manner
 Shall share the results of experience & research that
contributes to the body of planning knowledge
 Shall examine the applicability of planning theories,
methods, research, practice & standards to the facts &
analysis of each situation

11. Code A.3 (Continued)
 Shall contribute time & resources to the professional
development of students, interns, young planners &
colleagues
 Shall increase the opportunities for underrepresented
groups to become planners and help them advance in
the profession
 Shall continue to enhance our professional education &
training
 Shall systematically & critically analyze ethical issues
 Shall contribute time & effort to those lacking planning
resources; and shall volunteer for professional activities

12. Code B - 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.
 Note: there are 26 separate rules under this section.

13. Code B
 Shall not fail to provide adequate, timely, accurate information
 Shall not accept an illegal assignment or one in violation of AICP
rules
 Shall not advocate for a position that is adverse to a position
advocated for in past 3 years (with exceptions)
 Shall not, as salaried employee, take another planning job without
disclosure and approval
 Shall not as public employee accept other compensation or
advantage related to our employment.
 Shall not accept work that in addition to salary results in financial
gain for you and/or your family unless disclosed & approved
 Shall not use for personal advantage confidential information

14. Code B (Continued)
 Shall not as public employee/official engage in private conversations
over matter which we have authority to decide (no ex parte
communications)
 Shall not engage in private conversations with decision makers if
prohibited by law, rule or regulation
 Shall not misrepresent the qualifications, views & findings of other
professionals
 Shall not solicit clients or employment through false/misleading claims
or harassment
 Shall not misstate our education, experience, training etc.
 Shall not offer to sell services by stating/implying ability to influence
decision by improper means
 Shall not use the power of office to obtain special advantages that are
not public knowledge and in the public trust

15. Code B (Continued)
 Shall not accept work beyond out professional competence
 Shall not accept work for a fee, or pro bono that cannot be performed
with the promptness required
 Shall not use others’ work to seek recognition or acclaim
 Shall not coerce other professionals to make findings not supported by
evidence
 Shall not fail to disclose interests of our clients/employers when
participating in the planning process
 Shall not unlawfully discriminate against another
 Shall not withhold information from AICP if facing a charge of ethical
misconduct
 Shall not retaliate against someone who has filed ethical misconduct
charges against you or another planner

16. Code B (Continued)
 Shall not threaten ethics misconduct charge to gain advantages
 Shall not file frivolous charges of ethical misconduct
 Shall neither deliberately nor recklessly commit any wrongful act
that reflects adversely on the profession
 Shall not fail to notify AICP Ethics Officer if convicted of a “serious
crime” as defined by Code section D, nor shall we identify ourselves
as AICP if so convicted.

17. Code Procedures
Code Procedures:
 Describe the way that one may obtain either a
formal or informal advisory ethics ruling, and
 Detail how a charge of misconduct can be
filed, and
 Describe how charges are investigated,
prosecuted, and adjudicated.

18. Code Procedures
 Informal and Formal Advice
 Only the Ethics Officer, who is the APA
Executive Director, is authorized to give advice
 Formal advice is Binding
 Formal Advice: Findings within 21 days
 Forwarded to the Ethics Committee

19. Ethics Cases 2009 -2011
2009 2010 2011
Total Cases 11 4 4
Cases Resolved 9 2 2
Cases Dismissed 4 2 2
Charge Withdrawn 1
Other 4
Cases Pending 2 2 2

20. ETHICS
SCENARIOS & QUESTIONS

21. Socializing
 Is it unethical, as a regulatory planner, to
socialize with your paid consultants as peers?
They may buy drinks or dinner, but you will also
sometimes buy. Is the perception bad? On a
related topic, what if a planner is at a
conference with several of the consultants that
he/she works with and is invited to go to dinner?
One of the consultants picks up the tab. Another
pays for cabs. A third picks up drinks after
dinner. Is there any conflict?

22. Climate Conflicts
 You are the planner for a town and have been
preparing a climate action plan to bring before
the Town Council. During the recent election
the entire Town Council was replaced with a
group of climate change deniers who have told
you in no uncertain terms, that bringing the
climate change action plan forward will result
in your termination. What do you do? What
aspects of the Code of Ethics apply?

23. Conflict of Interest - Family
 Is it a conflict of interest for a board member to
vote on an application for a grocery store to be
located in proximity to where his parents live?
 Is it a conflict of interest for a board member to
vote on an affordable housing development
application when her sister is an abutter to the
site of the development?

24. Conflict of Interest - Family
 No – The court found no prohibited conflict of interest
because there was no evidence that the board
member did his parent’s grocery shopping or that the
parents would shop at this particular store
(N.J. Superior Court)
 Yes – A board member is prohibited from participating
in a particular manner in which she has knowledge
that an immediate family member has a financial
interest. Under the conflict of interest law, an abutter is
presumed to have a financial interest in matters on
abutting property.
Mass. Ethics Commission – (Board member fined
$2000)

25. Community Values

26. The Fruits of Your Labors
 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?

27. Ethics - Resources
 AICPCode of Ethics www.planning.org/ethics/index.htm
 American Planning Association – Ethical Principles of Planning
www.planning.org/ethics/ethicalprinciples.htm
 MA State Ethics Commission www.mass.gov/ethics
 Vermont Land Use Education & Training Collaborative – Rules of
Procedures & Ethics Manual www.vpic.info/pubs/rules_proc.pdf
 Canadian Institute of Planners Professional Practice Manual -
Code of Practice www.cip-icu.ca
 Proposal to establish an “Intergovernmental Ethics
Panel forEcological Civilization” to be
discussed at Rio +20 Conference in late June.

28. MASSACHUSETTS
ETHICS &
OPEN MEETING LAW

29. Open Meeting Law
 Effective July 1, 2010, the Legislature repealed the 3 separate
Open Meeting laws (state, county, local), and enacted a new
consolidated statute applicable to all government levels. MGL c.
30A, §18–25.
 The Attorney General now interprets and enforces the OML.
 The AG’s Division of Open Government (“DOG”) administers the
OML.
 Remote Participation Emergency Regulation Issued May 25, 2012
(In effect until August 22, 2012)

30. Remote Participation
Re m o te Participatio n m ay be allo we d subje ct to pro ce dure s &
re strictio ns. The se include :
• May be approved by Mayor, Select Board, Town Council
• May be revoked by Mayor, Select Board, Town Council
• Adopting body may impose additional regulations that
restrict use of remote participation. (Emergency regulation
5.25.12 – 8.22.12)
• A quorum must be physically present at the meeting site
• Members participating remotely and all present at meeting
location must be audible to each other
• Remote members may vote and shall not be deemed
“absent”

31. Remote Participation (Continued)
• The Chair must determine that one or more of the following factors
make physical attendance unreasonably difficult:
Personal illness Personal disability
Emergency Military service
Geographic distance
• Technology – the following media are acceptable:
telephone, internet, satellite enabled audio orvideo conferencing,
or any othertechnology that allows remote participants & all
persons present to heareach other.
• With video technology, the remote participants must be visible to all
persons present at meeting location.

32. Remote Participation (Continued)
 The Public Body determines which of the remote technology may
be used.
 The Chair decides technical difficulty issues. Meeting suspension is
encouraged. If connection is lost, meeting minutes must reflect that
fact and time of occurrence.
 Chair must announce use of remote technology, member using it,
and reason for its use.
 All votes must be roll call votes.
 Remote members may participate in executive session but must
state that no one else is present or able to listen in.

33. “Intentional Violation”
 Attorney General has proposed new language to
strengthen the “Intentional Violation” section of the OML.
“Intentional Violation means an act or omission by a public body or a
member thereof, that knowingly violates M.G.L. c30A, sec. 18-25.
Conduct in violation of … (this section) shall be considered evidence of
an intentional violation where the public body or … m e m be r acte d with
spe cific inte nt to vio late the law; acte d with de libe rate ig no rance o f the
law’s re q uire m e nts; or was previously informed by receipt of a decision
by from a court of competent jurisdiction or advised by the Attorney
General, … that the conduct violates … (such section). Whe re a public
bo dy o r m e m be r has m ade a g o o d faith atte m pt at co m pliance with the
law but was re aso nably m istake n abo ut its re q uire m e nts, o r acte d in
g o o d faith co m pliance with the advice o f the bo dy’s le g alco unse l, such
co nduct willno t be co nside re d an inte ntio nalvio latio n… ”
(NOTE: potential $1000 fine)

34. OML Resources
 AG’s Open Meeting Law Website:
http://www.mass.gov/ago/openmeeting
 Open Meeting Law:
 MGL c. 30A, §18-25
 Code of Massachusetts Regulations, 940 CMR 29.00
 Office of the Attorney General
Division of Open Government
One Ashburton Place
Boston, MA 02108
(617) 963-2540
Email: openmeeting@state.ma.us

35. Ethics Commission
Ethics Commission has proposed amendments regarding:
 Accepting gifts < $50 – disclosure may be required
 Paid travel – distinction between travel/expense paid by domestic
entity and foreign entity (disclosure)
 Event attendance – attendance at legitimate event where some/all
expenses paid/waived requires prior written authorization from
appointing authority on standard State form.
 Ceremonial gift/privilege – may accept ceremonial gift/privilege from
sponsor/organizer of event if such is not a lobbyist and you perform
an action related to the event
 Retirement gifts – gifts received prior to retirement ok as long as
they are not from a lobbyist

36. Ethics Commission- Resources
 Ethics Commission Website
www.mass.gov/ethics
 Contact Information:
 State Ethics Commission
One Ashburton Place, Room 619
Boston, MA 02108
Phone (617) 371-9500
Fax (617) 723-5851
 Attorney of the Day
(617) 371-9500