Effective Management Strategies for Consultants in Planning Associations

managing consultants without anyone crying p presentation to the resentation to the georgia american american planning association planning association georgia c chapter hapter may 1, 2013 may 1, 2013

our presenters our presenters Christian Lentz Christian Lentz Planning Director Planning Director CSRA Regional CSRA Regional Commission Commission Augusta, GA Augusta, GA Whitney Shephard, PE, Whitney Shephard, PE, LEED AP LEED AP President /Co President /Co- -Founder Transport Studio Transport Studio Savannah, GA Savannah, GA Jamie Cochran, AICP Jamie Cochran, AICP Sr. Vice President of Sr. Vice President of Transportation Planning Transportation Planning Gresham, Smith & Gresham, Smith & Partners Partners Atlanta, GA Atlanta, GA Founder 17 yrs. in government 17 yrs. in government 15 yrs. in private sector 15 yrs. in private sector 18 yrs. in government 18 yrs. in government 19 yrs. 19 yrs. i in private sector n private sector

t todays session oday s session better better outcomes outcomes (no tears) (no tears) understanding understanding the client the client environmen environment t Understanding Understanding the consultant the consultant environment environment o overview of consultant management process verview of consultant management process e ethics vs. expectations vs. policies vs. laws thics vs. expectations vs. policies vs. laws w what the client needs from the process hat the client needs from the process w what the consultant needs from the process hat the consultant needs from the process c case studies and discussion ase studies and discussion

a aicp icp code of ethics and managing consultants code of ethics and managing consultants we shall accept the decisions of our client or we shall accept the decisions of our client or employer concerning the objectives and nature of employer concerning the objectives and nature of the professional services we perform the professional services we perform unless the course of action is illegal or plainly inconsistent course of action is illegal or plainly inconsistent with our obligation to the public interest . with our obligation to the public interest . unless the we shall protect and enhance the integrity of we shall protect and enhance the integrity of our profession . our profession . ..we shall describe and comment of the work ..we shall describe and comment of the work and views of other professionals in a professional and views of other professionals in a professional manner . manner .

t the consultant management process he consultant management process c client activity lient activity s scope/ad/evaluate/select cope/ad/evaluate/select n need is determined eed is determined negotiation/NTP negotiation/NTP p pre re- -selling selling team/submittal/interview team/submittal/interview p prime and sub contracts rime and sub contracts strategy strategy c consultant activity onsultant activity p potential tears otential tears

t the consultant management process (contd) he consultant management process (cont d) c client activity lient activity p project kick roject kick- -off off c coordination, meetings, reviews oordination, meetings, reviews wind wind- -down/project close down/project close- -out out wind wind- -down/project close down/project close- -out out kick kick- -off prep off prep t technical work, stakeholder contacts, echnical work, stakeholder contacts, and corporate project reviews and corporate project reviews c consultant activity onsultant activity p potential tears otential tears

e ethics vs. expectations vs. policies vs. laws thics vs. expectations vs. policies vs. laws ethics : ethics : am am I acting in an honorable way? I acting in an honorable way? expectations: expectations: am am I enabling mistakes I enabling mistakes (either real or perceived) that could harm or perceived) that could harm myself, my client, or my client, or my my employer? employer? (either real myself, policies policies: : am am I following the rules as best I can? I following the rules as best I can? f federal and state laws: ederal and state laws: will I look good in an orange jump suit? will I look good in an orange jump suit?

a aicp icp code of ethics code of ethics f first approved in 2005; later revised in 2009 irst approved in 2005; later revised in 2009 c can be found at www.planning.org/ethics an be found at www.planning.org/ethics f four sections our sections A: statement of aspirational principles A: statement of aspirational principles B: rules of conduct to which we are B: rules of conduct to which we are accountable accountable C: administrative process procedures C: administrative process procedures D: procedures for situations D: procedures for situations r regular egular c certification maintenance requirement ertification maintenance requirement

w what clients want hat clients want s solid, experienced team olid, experienced team strong strong t track m meet schedule and budget eet schedule and budget cutting edge/award cutting edge/award- -winning work practical solutions practical solutions good team good team dynamics and communications dynamics and communications rack r record of success ecord of success winning work c comfort level omfort level r respect for internal staff capabilities espect for internal staff capabilities political constraints political constraints stakeholders issues stakeholders issues funding partners issues funding partners issues flexibility flexibility accountability accountability n no surprises o surprises

w what consultants want hat consultants want f financial success of project inancial success of project relationship relationship long repeat work repeat work reliability reliability long- -term not short term not short- -term term fairness fairness e evaluation and selection valuation and selection c contract negotiations ontract negotiations r reasonable budget given easonable budget given uncertainty uncertainty information information clear client goals clear client goals project drivers project drivers hints on what is really important hints on what is really important

c case studies ase studies w what are the ethical dilemmas hat are the ethical dilemmas for the planner(s)? for the planner(s)? how could have the situation been how could have the situation been handled more ethically? handled more ethically? w what are the planner s obligations? hat are the planner s obligations?

r rfq fq/ /rfq rfq process: love you/love you not process: love you/love you not

background background r regional egional c commission administers an ommission administers an rfq rfq/ /rfp rfp process for a small rural town. process for a small rural town. process involves selecting a consulting process involves selecting a consulting firm to prepare a corridor design for a firm to prepare a corridor design for a thoroughfare (engineering/planning). thoroughfare (engineering/planning). project is an implementation step of a project is an implementation step of a plan prepared by the regional plan prepared by the regional commission. commission. GDOT owns the corridor right GDOT owns the corridor right- -of of- -way. way.

background (contd) background (cont d) town never previously conducted town never previously conducted competitive process for type of service competitive process for type of service being requested. being requested. town maintains an on town maintains an on- -call contract with an engineering firm for other with an engineering firm for other services. services. call contract town may be pre town may be pre- -disposed to local disposed to local preference in selection process. preference in selection process. regional regional c commission previously ommission previously worked with handful of consulting worked with handful of consulting firms likely to respond to the RFQ/RFP. firms likely to respond to the RFQ/RFP. regional regional c commission may be pre ommission may be pre- - disposed to preferences based on prior disposed to preferences based on prior working relationships. working relationships.

(possible) ethical dilemmas: (possible) ethical dilemmas: ( (aicp aicp code of ethics and professional conduct) code of ethics and professional conduct) Section A: Principles to Which We Aspire Section A: Principles to Which We Aspire 2. 2. o our c) w c) we e shall avoid a conflict of interest or even the shall avoid a conflict of interest or even the appearance of a conflict of interest in accepting appearance of a conflict of interest in accepting assignments from clients or employers assignments from clients or employers. . ur r responsibility to esponsibility to o our ur c clients and employers: lients and employers: 3. 3. our our r responsibility to our profession and our esponsibility to our profession and our c colleagues: olleagues: c) c) we we shall describe and comment on the work shall describe and comment on the work and views of other professionals in a fair and and views of other professionals in a fair and professional manner professional manner. .

(possible) ethical dilemmas: (possible) ethical dilemmas: ( (aicp aicp code of ethics and professional conduct) code of ethics and professional conduct) Section B: Our Rules of Conduct. Section B: Our Rules of Conduct. 8 8. . we we shall not, as public officials or shall not, as public officials or employees, engage in private employees, engage in private communications with planning process communications with planning process participants if the discussions relate to a participants if the discussions relate to a matter over which we have authority to make matter over which we have authority to make a binding, final determination if such private a binding, final determination if such private communications are prohibited by law or by communications are prohibited by law or by agency rules, procedures, or custom agency rules, procedures, or custom. . 19 19. . we interests of our client or employer when interests of our client or employer when participating in the planning process. Nor participating in the planning process. Nor shall we participate in an effort to conceal shall we participate in an effort to conceal the true interests of our client or employer. the true interests of our client or employer. we shall not fail to disclose the shall not fail to disclose the

i implemented solution mplemented solution r regional egional c commission prepares and distributes ommission prepares and distributes RFQ and RFP. RFQ and RFP. r regional egional c commission consultant contact for the ommission consultant contact for the RFQ and RFP is a staff person (A) with no direct RFQ and RFP is a staff person (A) with no direct ties to engineering/planning firms. ties to engineering/planning firms. A A B B r regional egional c commission pre ommission pre- -qualifies firms responding to the RFQ. responding to the RFQ. qualifies firms pre pre- -qualified firms submit proposal to regional qualified firms submit proposal to regional commission contact (A). commission contact (A). s second regional commission staff person (B) econd regional commission staff person (B) concurrently works with city for technical concurrently works with city for technical explanation of proposal content and to advise explanation of proposal content and to advise on interview procedure. on interview procedure.

i implemented solution mplemented solution City short City short- -lists consultants absent lists consultants absent Regional Commission input. Regional Commission input. c city conducts interviews in chosen ity conducts interviews in chosen manner. regional Commission staff manner. regional Commission staff person (B) participates in interviews. person (B) participates in interviews. c city requests further revisions/ ity requests further revisions/ clarifications of interviewed consultants clarifications of interviewed consultants absent regional absent regional c commission input. ommission input. c city negotiates final cost for services and ity negotiates final cost for services and selects consultant. selects consultant. r regional egional c commission sends notice of ommission sends notice of selection to remaining candidate firms. selection to remaining candidate firms.

stickin stickin to the scope or to the scope or stickin stickin it it to the scope to the scope

background background c county contract with consulting firm for county ounty contract with consulting firm for county- - wide transit feasibility study wide transit feasibility study m managed by county traffic engineering staff anaged by county traffic engineering staff a administered by RC dministered by RC f funded with unded with fta fta program funds program funds separate contract for land use master plan separate contract for land use master plan managed by planning and development managed by planning and development staff staff c consultant manager is senior planner onsultant manager is senior planner

Background (contd) Background (cont d) it is apparent that local elected officials it is apparent that local elected officials are more interested in new development are more interested in new development than in transit service than in transit service consultant senior planner has attitude consultant senior planner has attitude that FTA funds are his to use for land that FTA funds are his to use for land use master plan use master plan OR OR

(possible) ethical dilemmas: (possible) ethical dilemmas: ( (aicp aicp code of ethics and professional conduct) code of ethics and professional conduct) Section A: Principles to Which We Aspire. Section A: Principles to Which We Aspire. 2. Our Responsibility to Our Clients and 2. Our Responsibility to Our Clients and Employers Employers We owe diligent, creative, and We owe diligent, creative, and competent performance of the work competent performance of the work we do in pursuit of our client or we do in pursuit of our client or employer's interest. employer's interest.

(possible) ethical dilemmas: (possible) ethical dilemmas: ( (aicp aicp code of ethics and professional conduct) code of ethics and professional conduct) 3. o our and colleagues and colleagues ur r responsibility to esponsibility to o our ur p profession rofession i i) we shall systematically and ) we shall systematically and critically analyze ethical issues in critically analyze ethical issues in the practice of planning. the practice of planning. section section b b: our : our r rules of conduct ules of conduct 25. we shall neither deliberately, nor 25. we shall neither deliberately, nor with reckless indifference, commit with reckless indifference, commit any wrongful act, whether or not any wrongful act, whether or not specified in the rules of conduct, specified in the rules of conduct, that reflects adversely on our that reflects adversely on our professional fitness. professional fitness.

a all in the family ll in the family SCENARIO NUMBER ?: ALL IN THE FAMILY

background background new city planner charged with new city planner charged with overseeing two (2) city contracts for overseeing two (2) city contracts for the provision of services to the the provision of services to the homeless. homeless. s services contracted through sole ervices contracted through sole source process to a non source process to a non- -profit agency (the kitchen.) (the kitchen.) profit agency c contract A: planning and ontract A: planning and administrative services related to administrative services related to homelessness. homelessness. c contract B: call center services (open ontract B: call center services (open d door oor p program.) rogram.)

b background (contd) ackground (cont d) Mid Mid- -level manager oversees open level manager oversees open d door and other programs. and other programs. oor a after six months, open fter six months, open d door coordinator resigns and mid resigns and mid- -level manager hires a level manager hires a member of their household as new member of their household as new coordinator (per approval of the coordinator (per approval of the k kitchen b board.) oard.) oor coordinator itchen n new ew o open and services provided to the satisfaction and services provided to the satisfaction of the city. of the city. pen d door coordinator is qualified oor coordinator is qualified u upon review of contract, new city planner pon review of contract, new city planner notices contract language that states notices contract language that states that: no one can derive direct or that: no one can derive direct or indirect financial benefit from indirect financial benefit from

(possible) ethical dilemmas: (possible) ethical dilemmas: ( (aicp aicp code of ethics and professional conduct) code of ethics and professional conduct) Section A: Section A: Principles to Which We Aspire Principles to Which We Aspire 2. 2. Our Responsibility to Our Our Responsibility to Our C Clients and Employers: Employers: lients and c c) We shall avoid a conflict of interest ) We shall avoid a conflict of interest or or even the appearance of a conflict even the appearance of a conflict of of interest in accepting assignments interest in accepting assignments from clients or employers clients or employers. . from

(possible) ethical dilemmas: (possible) ethical dilemmas: ( (aicp aicp code of ethics and professional conduct) code of ethics and professional conduct) Section B: Our Rules of Conduct. Section B: Our Rules of Conduct. #6 #6. We shall not perform work on a project for a . We shall not perform work on a project for a client or employer if, in addition to the agreed client or employer if, in addition to the agreed upon compensation from our client or employer, upon compensation from our client or employer, there is a possibility for direct personal or there is a possibility for direct personal or financial gain to us, our family members, or financial gain to us, our family members, or persons living in our household, unless our client persons living in our household, unless our client or employer, after full written disclosure from us, or employer, after full written disclosure from us, consents in writing to the consents in writing to the arrangement. arrangement. #14 #14. We shall not use the power of any office to . We shall not use the power of any office to seek or obtain a special advantage that is not a seek or obtain a special advantage that is not a matter of public knowledge or is not in the public matter of public knowledge or is not in the public interest. interest.

i implemented solution mplemented solution i in spite of satisfactory performance by the n spite of satisfactory performance by the vendor, planner can not ignore contract terms. vendor, planner can not ignore contract terms. l legal counsel confirms that the employment egal counsel confirms that the employment situation is in violation of the terms of the situation is in violation of the terms of the contract. contract. p planner informs the executive director of the lanner informs the executive director of the k kitchen of the contract discrepancy. itchen of the contract discrepancy. verbal notification of need to address the verbal notification of need to address the conflict is supported in writing. conflict is supported in writing.

i implemented solution mplemented solution t the executive director of the kitchen he executive director of the kitchen provides written solution to which provides written solution to which parties agree. parties agree. t the mid he mid- -level manager s job level manager s job description and work program for the description and work program for the kitchen are revised so that they are not kitchen are revised so that they are not responsible for supervision of the open responsible for supervision of the open door program. door program. per agreement by multiple parties, the per agreement by multiple parties, the open open d door program is transferred to a oor program is transferred to a separate non separate non- -profit entity. profit entity.

b billability target practice illability target practice

background background c county contracted with consultant to ounty contracted with consultant to update census geography and submit update census geography and submit revised geo revised geo- -database to census staff database to census staff contract managed by consultant planner contract managed by consultant planner A, who develops the boundaries A, who develops the boundaries planner B is not meeting her assigned planner B is not meeting her assigned billability/utilization target and is not billability/utilization target and is not familiar with County demographics or GIS familiar with County demographics or GIS software software planner B goes to department head who planner B goes to department head who assigns task to planner B assigns task to planner B

(possible) ethical dilemmas: (possible) ethical dilemmas: ( (aicp aicp code of ethics and professional conduct) code of ethics and professional conduct) A: Principles to Which We Aspire A: Principles to Which We Aspire 2. Our Responsibility to Our Clients 2. Our Responsibility to Our Clients and Employers 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. c) We shall avoid a conflict of c) We shall avoid a conflict of interest or even the appearance interest or even the appearance of a conflict of interest in of a conflict of interest in accepting assignments from accepting assignments from clients or employers. clients or employers.

(possible) ethical dilemmas: (possible) ethical dilemmas: ( (aicp aicp code of ethics and professional conduct) code of ethics and professional conduct) 3. 3. o our ur r responsibility to our esponsibility to our p profession and colleagues colleagues a) we shall protect and enhance the integrity of a) we shall protect and enhance the integrity of our profession. our profession. rofession and s section b: ection b: o our 1. we shall not deliberately or with reckless 1. we shall not deliberately or with reckless indifference fail to provide adequate, timely, indifference fail to provide adequate, timely, clear and accurate information on planning clear and accurate information on planning issues. issues. ur r rules of conduct. ules of conduct. 10. We shall neither deliberately, nor with 10. We shall neither deliberately, nor with reckless indifference, misrepresent the reckless indifference, misrepresent the qualifications, views and findings of other qualifications, views and findings of other professionals. professionals.

summary summary understand expectations understand expectations know the AICP Code know the AICP Code ask for advice ask for advice ethical ethical outcomes outcomes know the rules know the rules do the right thing do the right thing

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