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Speed Bumps and Speed Bumps and Potholes Along the Potholes Along the

Ethical PathwayEthical Pathway

Michael F. DeanMichael F. Dean

MEYERS NAVE 555 Capitol Mall, Suite 1200Sacramento, CA 95814Tel.: 916.556.1531www.meyersnave.com

What is Ethics Anyways?What is Ethics Anyways?

We all think we are honest & ethicalWe all think we are honest & ethical

We want others to think so, too We want others to think so, too

But what does ethics mean?But what does ethics mean?

What is ethics, anyway?What is ethics, anyway?

The way in which an official should act and The way in which an official should act and perform when fulfilling official dutiesperform when fulfilling official dutiesRepresents a set of values, moral principles, or Represents a set of values, moral principles, or rules of conductrules of conductConcerns both individual and group/agency Concerns both individual and group/agency behaviorbehaviorImportant framework for maintaining public Important framework for maintaining public confidence in the integrity and professionalism of confidence in the integrity and professionalism of governmentgovernment

““Ethics” Is a Collection of ValuesEthics” Is a Collection of Values

TrustworthinessTrustworthiness

ResponsibilityResponsibility

RespectRespect

LoyaltyLoyalty

CompassionCompassion

FairnessFairness

HonestyHonesty

Ethical Values May ConflictEthical Values May Conflict

In any given situation some values may In any given situation some values may point to one answer; other values may point to one answer; other values may point to a different course of conduct.point to a different course of conduct.

What are the aspects of each of theseWhat are the aspects of each of these

““Ethical Values”?Ethical Values”?

TrustworthinessTrustworthiness

Remember your role is to serve community, not Remember your role is to serve community, not to promote yourselfto promote yourself

Be truthful with othersBe truthful with others

Avoid even appearance of impropriety Avoid even appearance of impropriety (pretend you are Cesar’s wife)(pretend you are Cesar’s wife)

Keep your promisesKeep your promises

ResponsibilityResponsibility

Work to better your agency, your Work to better your agency, your constituents and the broader communityconstituents and the broader community

Promote efficiency & professionalismPromote efficiency & professionalism

Do not use agency resources or Do not use agency resources or information for personal gaininformation for personal gain

Represent agency’s official position Represent agency’s official position

Avoid unrealistic promisesAvoid unrealistic promises

Do your homework & come preparedDo your homework & come prepared

RespectRespect

Treat officials, staff and public with Treat officials, staff and public with courtesy (yes, even if disagree!)courtesy (yes, even if disagree!)

Listen more; talk less (two ears, one Listen more; talk less (two ears, one mouth)mouth)

Focus on merits, not on personalitiesFocus on merits, not on personalities

Use diverse opinions to gain perspective Use diverse opinions to gain perspective

Try to build consensusTry to build consensus

LoyaltyLoyalty

Keep confidentialityKeep confidentiality

Avoid conflictsAvoid conflicts

Put public interest above personal or political Put public interest above personal or political interestsinterests

Once decision is made, stop opposing it except Once decision is made, stop opposing it except through appropriate internal meansthrough appropriate internal means

CompassionCompassion

Convey a sense of caring for communityConvey a sense of caring for community

Recognize legitimate needs of othersRecognize legitimate needs of others officials, staff & the publicofficials, staff & the public

Remember public can be intimidated by Remember public can be intimidated by government or processgovernment or process

Sometimes making an exception to a rule is Sometimes making an exception to a rule is appropriateappropriate

FairnessFairness

Act on the merits Act on the merits

Apply laws consistently to those similarly Apply laws consistently to those similarly situatedsituated

Support the public’s right to know and right to Support the public’s right to know and right to participate in a meaningful wayparticipate in a meaningful way

Act with impartiality and avoid the appearanceAct with impartiality and avoid the appearance of biasof bias

HonestyHonesty

Be truthful withBe truthful with Fellow officials and staffFellow officials and staff PublicPublic YourselfYourself

Act in the public interest not for personal Act in the public interest not for personal gaingain

Values Can be Summarized As Values Can be Summarized As Three Ethical PrinciplesThree Ethical Principles

#1 No personal financial gain #1 No personal financial gain

#2#2 No personal advantages or perks No personal advantages or perks

#3 Act with transparency and fairness#3 Act with transparency and fairness

Laws Try to Impose Ethics Laws Try to Impose Ethics

Laws designed to prevent financial Laws designed to prevent financial interests from influencing decisionsinterests from influencing decisions

Laws limiting personal advantage or Laws limiting personal advantage or “perks” of office“perks” of office

Laws requiring “open government” or Laws requiring “open government” or transparencytransparency

How Ethics Laws WorkHow Ethics Laws Work

By requiring public disclosureBy requiring public disclosure

By prohibiting certain actionsBy prohibiting certain actions

Ethics Is More Than The Law—Ethics Is More Than The Law—But The Law Is A Darn Good StartBut The Law Is A Darn Good Start

What does the law require?What does the law require? The law is floor for ethics, not the ceilingThe law is floor for ethics, not the ceiling

What does your conscience say?What does your conscience say? What would your mother say?What would your mother say?

How will the public perceive it?How will the public perceive it? Perception is realityPerception is reality What if it were in the newspaper?What if it were in the newspaper?

What Others Have SaidWhat Others Have Said

Ethical principles of Ethical principles of No Personal Financial GainNo Personal Financial Gain No Personal Advantage or PerksNo Personal Advantage or Perks Transparency & Fairness of ProcessTransparency & Fairness of Process

Have resulted in many comments about Have resulted in many comments about ethics over the millennia:ethics over the millennia:

What Others Have Said, cont.What Others Have Said, cont.

““No man can serve two masters”No man can serve two masters”

New Testament, Mathew 6:24New Testament, Mathew 6:24

““When a man assumes a public trust, he should When a man assumes a public trust, he should consider himself as public property”consider himself as public property”

Thomas JeffersonThomas Jefferson

““The good of the people is the chief law” The good of the people is the chief law” CiceroCicero

Comments About American Comments About American GovernmentGovernment

The Government Belongs to the PublicThe Government Belongs to the Public “…“…Government of the People, by the People, Government of the People, by the People,

and for the People…”and for the People…”Abraham LincolnAbraham Lincoln

Public Life Is Life in a FishbowlPublic Life Is Life in a Fishbowl ““If you can’t stand the heat, get out of the If you can’t stand the heat, get out of the

kitchen.”kitchen.”Harry TrumanHarry Truman

The California Legislature Talks The California Legislature Talks About TransparencyAbout Transparency

“…“…it is the intent of the law that…actions be it is the intent of the law that…actions be taken openly and that…deliberations be taken openly and that…deliberations be conducted openly. The people of the State conducted openly. The people of the State do not yield their sovereignty to the do not yield their sovereignty to the agencies which serve them.”agencies which serve them.”

--- Ralph M. Brown Act--- Ralph M. Brown Act

The California Legislature Talks The California Legislature Talks Some More About TransparencySome More About Transparency

““The people … do not give their public The people … do not give their public servants their right to decide what is good servants their right to decide what is good for the people to know and what is not for the people to know and what is not good for them to know…” good for them to know…”

-- Ralph M. Brown Act-- Ralph M. Brown Act

The California Legislature Talks The California Legislature Talks About No Financial Gain or BiasAbout No Financial Gain or Bias

““Public officials, whether elected or Public officials, whether elected or appointed, should perform their duties in appointed, should perform their duties in an impartial manner, free from bias an impartial manner, free from bias caused by their own financial interests or caused by their own financial interests or the financial interests of persons who have the financial interests of persons who have supported them.” supported them.”

-- Political Reform Act-- Political Reform Act

Good Summary By A Famous Good Summary By A Famous French GuyFrench Guy

““In general, democracy gives largely to the In general, democracy gives largely to the community, and very sparingly to those community, and very sparingly to those who govern it. The reverse is the case in who govern it. The reverse is the case in aristocratic countries, where the money of aristocratic countries, where the money of the State is expended to the profit of the the State is expended to the profit of the persons who are at the head of affairs.”persons who are at the head of affairs.” Alexis de Tocqueville (“Democracy in Alexis de Tocqueville (“Democracy in

America”, 1835)America”, 1835)

The Rationalization TrapThe Rationalization Trap

Lots of time and effort by official plus few Lots of time and effort by official plus few formal benefitsformal benefits Lousy pay; long hours; Lousy pay; long hours; Unpleasant fellow officials & publicUnpleasant fellow officials & public

No actual detriment to the public if …..No actual detriment to the public if ….. Use the agency pick up truck & refill gasUse the agency pick up truck & refill gas Use the computer during non-work hoursUse the computer during non-work hours Make photo copies and reimburse the agencyMake photo copies and reimburse the agency

I can compartmentalize and “be fair”I can compartmentalize and “be fair”

Rationalization Trap Exposed, or Self Rationalization Trap Exposed, or Self Deception is EasyDeception is Easy

(Quote by Famous Greek Guy)(Quote by Famous Greek Guy)

““Nothing is so easy as to deceive oneself; Nothing is so easy as to deceive oneself; for what we wish, we readily believe.”for what we wish, we readily believe.” Demosthenes (384-322 BCE)Demosthenes (384-322 BCE)

Public service does not “entitle” youPublic service does not “entitle” you

Let’s Breakdown the Three Ethical Let’s Breakdown the Three Ethical Principals A Bit More…Principals A Bit More…

Ethics Principle #1Ethics Principle #1No Personal Financial GainNo Personal Financial Gain

Make decisions based solely on the Make decisions based solely on the public’s interests public’s interests

Do not make decisions based on your own Do not make decisions based on your own interestsinterests

Rules to Ensure No Financial GainRules to Ensure No Financial Gain

Disclose financial interestsDisclose financial interests Political Reform Act Form 700Political Reform Act Form 700

Disqualification if economic interestDisqualification if economic interest Political Reform ActPolitical Reform Act

No making of contracts if financial interestNo making of contracts if financial interest Govt. Code section 1090Govt. Code section 1090

Take nothing in return for a decisionTake nothing in return for a decision Bribery (Pen. Code 518)Bribery (Pen. Code 518)

Principle #2Principle #2No Advantages or PerksNo Advantages or Perks

Public officer or employee gets only what Public officer or employee gets only what the office or employment provides by law the office or employment provides by law or statuteor statute

Public officer or employee does not get Public officer or employee does not get any other advantage or perk any other advantage or perk

Rules to Ensure No Personal Rules to Ensure No Personal Advantage or PerksAdvantage or Perks

Use of Agency equipment, offices, staffUse of Agency equipment, offices, staffLoansLoans Commercially available termsCommercially available termsGiftsGifts Disclosure ($50)Disclosure ($50) Maximum ($390)Maximum ($390)Limited travelLimited travelMass mailingMass mailing

Principle #3Principle #3Transparency & FairnessTransparency & Fairness

Operate in an open and public processOperate in an open and public process

Act with impartialityAct with impartiality

Rules to Ensure Transparency & Rules to Ensure Transparency & FairnessFairness

Brown ActBrown Act Open and Public meetingsOpen and Public meetings Notice requirementsNotice requirementsPolitical Reform Act -Economic DisclosurePolitical Reform Act -Economic Disclosure Bias RulesBias Rules Nepotism –civil serviceNepotism –civil service BiddingBidding Political supportersPolitical supporters Issue bias in Quasi-judicial mattersIssue bias in Quasi-judicial matters

How can we approach an ethical How can we approach an ethical question?....question?....

Types of Ethical DilemmasTypes of Ethical Dilemmas

Personal (or agency) Cost DilemmaPersonal (or agency) Cost Dilemma Political detrimentPolitical detriment Financial detrimentFinancial detriment

Answer may be easy; doing the “right thing” may Answer may be easy; doing the “right thing” may not benot be

Right vs. Right DilemmaRight vs. Right Dilemma Conflict between two or more ethical valuesConflict between two or more ethical values

Answer may not be obvious at allAnswer may not be obvious at all

Balancing values – weight to public perceptionBalancing values – weight to public perception

Identify What is Causing the IssueIdentify What is Causing the Issue

What ethical principles are at stake?What ethical principles are at stake?

What ethical values are implicated?What ethical values are implicated?

Which type of ethical dilemma do you Which type of ethical dilemma do you have?have? Personal Dilemma?Personal Dilemma? Right vs. Right Dilemma?Right vs. Right Dilemma?

These Questions May HelpThese Questions May Help

Are you acting to benefit a specific person? Are you acting to benefit a specific person? Who is it and what is your relationship? Who is it and what is your relationship?

Are you using public resources in some fashion?Are you using public resources in some fashion?

Are you in a public space?Are you in a public space?

Are you personally benefiting?Are you personally benefiting?

#1 -- Is It Ethical?#1 -- Is It Ethical?

Your agency receives a gift of season tickets to Your agency receives a gift of season tickets to the Mudhens, the local professional sports team. the Mudhens, the local professional sports team. The Mudhens play in “The Mud Puddle,” a The Mudhens play in “The Mud Puddle,” a sports arena owned by your agency, but sports arena owned by your agency, but operated by a private party by contract. operated by a private party by contract.

Your agency proposes to give the tickets to you Your agency proposes to give the tickets to you and the members of the agency board.and the members of the agency board.

#1 Discussion points#1 Discussion points

Which principles are at stake?Which principles are at stake? Personal financial advantage or Personal financial advantage or

gain?gain? Personal perks?Personal perks? Fairness/appearance of bias?Fairness/appearance of bias?

What laws apply, if any?What laws apply, if any?

#1Discussion, cont.#1Discussion, cont.All 3 ethical principles at stakeAll 3 ethical principles at stakeGift laws are just the minimum.Gift laws are just the minimum. Gift directly to office holder not permittedGift directly to office holder not permittedWhat is the value of the season passWhat is the value of the season pass How much money is at stake?How much money is at stake?Appearance of a perkAppearance of a perk Who is being benefited?Who is being benefited?

Does the gift have public benefits or just Does the gift have public benefits or just private ones?private ones?(Monitoring of the public facility?)(Monitoring of the public facility?)

Will the public accept your explanation?Will the public accept your explanation?

#2 -- Is it ethical?#2 -- Is it ethical?

Your agency is considering 2 critical policies. Your agency is considering 2 critical policies. You are one of 2 board members who support You are one of 2 board members who support policy A. You are one of 3 board members who policy A. You are one of 3 board members who oppose policy B. Your colleague (who opposes oppose policy B. Your colleague (who opposes Policy A and supports Policy B) invites you to Policy A and supports Policy B) invites you to the Bull Moose Bar & Grill. the Bull Moose Bar & Grill.

Your colleague buys you a drink and proposes Your colleague buys you a drink and proposes that he will vote for policy A (so it passes) if you that he will vote for policy A (so it passes) if you agree to vote for policy B (so it passes).agree to vote for policy B (so it passes).

#2 Discussion points#2 Discussion points

Which principles are at stake?Which principles are at stake? Personal financial advantage or Personal financial advantage or

gain?gain? Personal perks?Personal perks? Fairness/appearance of bias?Fairness/appearance of bias?

What laws apply, if any?What laws apply, if any?

#2 Discussion, cont.#2 Discussion, cont.

No personal advantage or perk to you.No personal advantage or perk to you.

Ends justify the means?Ends justify the means?

Quid pro quo for vote = briberyQuid pro quo for vote = bribery

Consideration of matters other than public Consideration of matters other than public interest on a vote (Policy B).interest on a vote (Policy B).

#3 -- Is it ethical?#3 -- Is it ethical?

The agency’s General Manager is active in the The agency’s General Manager is active in the Loyal Order of Aardvarks. She is in charge of Loyal Order of Aardvarks. She is in charge of publicity for the annual pancake breakfast.publicity for the annual pancake breakfast.

The General Manager asks the agency The General Manager asks the agency administrative assistant to design and duplicate administrative assistant to design and duplicate a flyer on the agency’s copier. The Manager a flyer on the agency’s copier. The Manager reimburses the agency for all costs, spends reimburses the agency for all costs, spends Wed. afternoon distributing the flyer to local Wed. afternoon distributing the flyer to local businesses and has the flyer distributed to businesses and has the flyer distributed to employees in the agency’s interoffice mail.employees in the agency’s interoffice mail.

#3 Discussion points#3 Discussion points

Which principles are at stake?Which principles are at stake? Personal financial advantage or Personal financial advantage or

gain?gain? Personal perks?Personal perks? Fairness/appearance of bias?Fairness/appearance of bias?

What laws apply, if any?What laws apply, if any?

#3 Discussion, cont.#3 Discussion, cont.

No personal gainNo personal gain

Public benefit?Public benefit? Agency constituents vs. LOA Agency constituents vs. LOA

Personal use of staff and resources Personal use of staff and resources (perks)(perks)

Promotion of EthicsPromotion of Ethics

Evaluate what message the agency Evaluate what message the agency sends: Is it aboutsends: Is it about Getting it done?Getting it done? How it gets done?How it gets done?

Include ethics values in your mission Include ethics values in your mission statementstatement

Adopt a code of ethicsAdopt a code of ethics

Make sure your leaders model ethicsMake sure your leaders model ethics

Promotion of ethics, cont.Promotion of ethics, cont.

Hire for ethicsHire for ethics Leopards don’t change spotsLeopards don’t change spots Talk commitment to ethicsTalk commitment to ethics

orientation and hiringorientation and hiring Include ethics in evaluationsInclude ethics in evaluationsBefore issues arise, tell officers and employees Before issues arise, tell officers and employees whom to ask if an ethical question comes upwhom to ask if an ethical question comes upProvide training in making ethical decisionsProvide training in making ethical decisionsTell the publicTell the public

Questions?Questions?