MINIMUM MUNICIPAL COMPETENCY PROGRAMME
Prof Zwelinzima Ndevu
Unit Standard 116343Apply the Principles of Ethicsin a Municipal Environment
1 Individual
assessment
Open book
case study
based
controlled
class test
19th February 2020 2-hour paper consisting of a case
study with insight questions
relating to all outcomes: It will be
expected of the learner to apply
the theoretical models/tools to the
questions.
OUTCOME 1: Demonstrate knowledge
and insight into existing legislation,
regulations and codes affecting activities
of municipalities in South Africa
OUTCOME 2: Apply the principles of
ethics and professionalism to a
municipal code of conduct Assessment
Criteria
OUTCOME 3: Develop an
implementation plan to achieve
compliance with an established code of
ethics
2 Individual
work-based
assignment
For detailed instructions consult
the assessment plan attached on
the website.
OUTCOME 1: Demonstrate knowledge
and insight into existing legislation,
regulations and codes affecting activities
of municipalities in South Africa
OUTCOME 2: Apply the principles of
ethics and professionalism to a municipal
code of conduct Assessment Criteria
OUTCOME 3: Develop an implementation
plan to achieve compliance with an
established code of ethics
US116343- Assessment Plan
Specific Outcomes
1. Demonstrate knowledge and insight intoexisting legislation, regulations and codesaffecting activities of municipalities inSouth Africa …
2. Apply the principles of ethics andprofessionalism to a municipal code ofconduct …
3. Develop an implementation plan toachieve compliance with an establishedcode of ethics …
Orientation
Ethics in Municipal Finance– setting the context and challenge
Round-table interactive workshop:
• Individually reflect upon your (1) personal (in your community) and (2) professional experience (at your office/department) with regards to Ethics in municipal environment
• In a round-table discussion, share your views with the group
Ethics and Ethical Behaviour in a
Municipal Government
The principles (values) … what is right, what is good and what is proper
The standards which guide us in achieving what is right, good and proper
The sustained efforts … to employ those sound principles and standards - which best serve the public and their interests
Ethics – a definition
What is right is right, even if no one is
doing itWhat is wrong is
wrong, even if everyone is doing it
Values
• Abstract ideals that shape an individual’s thinking and behavior – a moral compass
• Instrumental values – certain way of behaving is appropriate in all situations –“means”.
• Terminal values – enduring belief in the attainment of a certain end state – “ends”.
A moral compass
These abstract ideals can result from
– Religion
– Philosophy
– Family teachings
Instrumental values
As the means to an end they become the ingrained ways of behavior:
– Rituals
– Politesse
– Good habits
Terminal values
With the end always in sight:
– Heaven
– Respect
– Financial Success
– Personal Independence
– Power
You’re an institution Failure or success depends on your morals
and values If you cannot manage the private you
cannot manage the public Integrity matters most when you are
alone Success on the outside begins within Laziness kills potential
Values – Individual
Behaviour – lack of diligence and
probity
• Laziness
• Carelessness
• Waste of the organisation’s resources
• Abuse of the organisation’s assets
• Disrespect for the public and their interests
Behaviour –dishonesty for
purposes of self interest
• Corruption, theft, graft and fraud
• Using insider knowledge and influence
• Self-dealing
• Making personal use of government property
• Unauthorised outside employment
Tea Break
A few ways to fix a government (video)
https://ted.com/talks/charity_wayua_a_few
_ways_to_fix_an_ailing_government?utm_
source=tedcomshare&utm_medium=email
&utm_campaign=tedspread--a
Professionalism and ethics in the
workplaceCriteriaCharacteristicsCompetenciesExpectations
Criteria
• Training• Intellectualism• Autonomy• Judgement• Independence• Service• Pride• Dedication
Characteristics
• Experts• High degree of generalized & system knowledge
theoretical base• Public/ community interest oriented• High degree of self control• Reward for work achievement• Self and organisational evaluation
Competencies
• Mastery of theoretical knowledge• Capacity to solve problems• Application of theoretical knowledge to practice• Ability to create knowledge as well as possess it• Enthusiasm and commitment to public interest• Commitment to continuous learning about the organisation
Expectations
• Establish a relationship with the public• Have a lack of self interest• Be involved in all aspects of their profession• Prioritise what the profession does and is
Relationship between ethical individuals and
ethical organisations
UNETHICAL BEHAVIOUR IN THE
PUBLIC ORGANISATION
Common Causes of Unethical Behavior
• Pressure
• Fear
• Greed
• Convenience
Class ActivityBreak into smaller groups of 2-3 people and work on one of the following situations:
• Going to work when you’re obviously sick and possibly contagious.
• Telling an insecure co-worker (or subordinate) their work is good when it is not.
• Voicing support for a decision you don’t really believe in because everyone else is in favour of it and there is no more time for discussion.
• Ignoring a subordinate’s chronic tardiness because the employee has a troublesome family life and you figure they’ve got enough to deal with.
“Public Service is public trust. Citizens expectpublic servants to serve the public interest withfairness and to manage public resourcesproperly on a daily basis. Fair and reliable publicservices inspire public trust and create afavourable environment. Public service ethicsare a prerequisite to, and underpin public trustand are a keystone of good governance.”
OECD
“ … trustworthiness, responsibility, respect, compassion, fairness and citizenship … ”
IGE
LEGISLATION, REGULATION AND
CODES APPLICABLE TO MUNICIPALITIES
IN SOUTH AFRICA
“The ultimate answer to ethical problemsin government is honest people in a goodethical environment. No web of statute orregulation, however intricately conceived,can hope to deal with the myriad ofpossible challenges to a person’s integrityor his devotion to the public interest.”
President John F. Kennedy - 1961
The Bill of Rights
Rights & Obligations
The Chapters and the Sections ……
The ConstitutionAct 108 of 1996
And all the legislation …
And Codes of Conduct …
Class exercise
• Identify a professional field within municipal environment
• Identify three ethical concerns (are the issues becoming more of a problem or getting worse)
• Identify relevant stakeholders in the conflict (what values are in the conflict for each stakeholder)
• How to handle the issue and why?
Lunch Break
Disclosure …
Recusal …
Conflict of Interest
?
Identify risk Prohibiting unacceptable forms of private
interest Raising awareness of the circumstances in
which conflict can arise Build capacity to prevent conflict of
interest through training Ensure effective procedure to resolve
conflict of interest situations
Managing Conflict of Interest
King II –Triple Bottom Line
Eco
no
mic
En
viro
nm
en
tal
So
cia
l
Governance
King Reports
1994 – King I“ … integrated approach to the good governance in the interests of a wide range of stakeholders …”
2002 – King II“ … a move to the triple bottom line, embracing the economic, environmental and social aspects …”
2009 – King III“ … core philosophy revolving around leadership,
sustainability and corporate citizenship …”
Concepts
• Accountability
• Responsibility
• Stakeholders
• Role-players
• Corporate Governance
• Vision
ConsultationService standardsAccessCourtesyInformationOpenness and transparencyRedressValue for money
Batho Pele
ETHICAL CULTURE CONCERNS
www.salga.org.za
Codes of conduct and ethics in the
workplaceEnron
Group exercise
Good governance includes ten principles as requisites of ethical local governance:These principles are:
• Participation;• Rule of Law;• Transparency;• Equality;• Responsiveness;• Vision;• Accountability;• Oversight;• Efficiency and Effectiveness; and• Professionalism.
Codes of conduct and ethics in the
workplaceLearning activity
Applying principles of ethics
andprofessionalism in
the municipal environment
Principles of personal ethicsPersonal ethics might also be calledmorality, since these reflect generalexpectations of any person in any societyacting in any capacity. These are theprinciples we try to instill in our children,and expect of one another without needingto articulate the expectation or formalize itin any way.
International principles …
Principles of professional ethicsIndividuals acting in a professional capacitytake on an additional burden of ethicalresponsibility. For example, professionalassociations have codes of ethics thatprescribe ethical behaviour within thecontext of a professional practice. Thesewritten codes provide rules of conduct andstandards of behaviour based on theprinciples of professional ethics.
International principles …
Principles of global ethicsGlobal ethics are the most controversial ofthe three categories, and the leastunderstood. They are open to interpretationas to how they should or should not beapplied. An added measure of accountabilityis placed on globally influential enterprisessuch as governments and transnationaloperations.
International principles …
63
Public Sector Code of Conduct (66)
Code of Conduct for Municipal Staff Members (68)
Codes of Conduct …
66
Application of principles to Codes of Conduct in the
South African public sector
66
An ethical dilemma is defined as a situation that often involves an apparent conflict between moralimperatives in the municipality, in which to obey one would result in transgressing another.
66
Ethical Dilemmas
• It’s right to communicate information that might help other people…But it’s also right to respect the confidentiality of information if you have agreed to do so.
• It’s right to follow through on commitments you’ve made…But it’s also right to address a higher priority task that suddenly needs to be completed
68+
Dilemmas …• relationship with councillors• relationship with the public• relationship among employees• performance of duties• personal conduct - private interests
The principles in this section
concerns loyalty to the country, the
public interest, the law and to the
established accountability
arrangements
Relationship with Councillors
The principles in this sectionconcerns recognition of thepublic’s rights, and theobligation to treat the public ina respectful, unbiased, efficientway
Relationship with the Public
The principles in this sectionconcern the need for cooperationbetween all officials, recognitionof authority, avoidance ofnepotism, avoidance of any formof discrimination and use ofappropriate procedures whennecessary.
Relationship among Employees
The principles in this section concernprofessionalism, competence,punctuality, meeting of performanceobjectives, honesty, accountability,confidentiality, cooperativeness andobligations to report instances ofcorruption, maladministration etc.
Performance of duties
The principles in this sectionconcern the official’s dress code,behaviour, caution aboutaccepting gifts, outside work,confidentiality, and receiving orseeking personal benefit in anyway.
Personal conduct and Private interests
Tea Break
Ten-step method for resolving ethical dilemmas(adapted from Wallace & Pekel)
1. What are the known facts in the situation?2. Who are the key stakeholders, what do they value and
what are their desired outcomes?3. What are the underlying drivers causing the situation?4. In priority order what ethical principles or operating
values do you think should be upheld in this situation?5. Who should have input to, or be involved in, making
this decision?
Ethical Dilemmas: steps 1 - 5
78
6. List any alternative and action plans that would:
a) prevent or minimise harm to stakeholders
b) uphold the priority values for this situation
c) be a good solution to the situation7. Build a worse-case scenario for your preferred alternative
to see how it affects the stakeholders. Rethink and reviseyour preferred alternative if necessary.
8. Add a preventative ethics component to your action planthat deals with the underlying drivers causing thesituation listed in Step 3.
9. Evaluate your chosen decision and action plan against anyrelevant checklist or code of conduct.
10. Decide and build an action plan, and implement andmonitor it.
Ethical Dilemmas: steps 6 - 10
1. Have you defined the problem accurately?
2. How would you define the problem if you stood on the other side of the fence?
3. How did this situation occur in the first place?
4. To whom and what do you give your loyalties as a person and as a member of the municipality?
5. What is your intention in making this decision?
6. How does this intention compare with the likely results?
7. Whom could your decision or action injure?
8. Can you engage the affected parties in a discussion of the problem before you make your decision?
9. Are you confident that your position will be as valid over a long period of time as it seems now?
10. Could you disclose without qualm your decision or action to your boss, your municipal manager, the council, your family, or society as a whole?
11. What is the symbolic potential of your action if understood? If misunderstood?
12. Under what circumstances would you allow exceptions to your stand?
Ethical Dilemmas – the 12 questions
79
Ethical dilemmas Three examples –
individual assignment
76
Misrepresenting hours worked
Employees lying to supervisors
Management lying to employees, customers, vendors or the public
Misuse of organizational assets
Lying on reports/falsifying records
Sexual harassment
Stealing/theft
Accepting or giving bribes or kickbacks
Withholding needed information from employees, customers, vendors or public
Common forms of ethical misconduct
Dealing with ethical misconduct in the workplace
80
• Verbal warning
• Written warning
• Reprimand
• Suspension
• Termination
– Disciplinary steps (82)
– Dealing with fraud, theft or corruption in the workplace (82)
Forms of warning
81
Resolving ethical dilemmas in the
workplaceLearning activity
87
Compliance with an established code of ethics
90
• Municipal Manager support
• An Ethics Committee within council?
• Ethics Officer?
• Ombudsman?
• One person responsible!
– The guidelines … (96)
Roles and responsibilities in an
ethics management programme
95
Hoffman’s Ethical Pyramid99
• Purpose …
• Guidelines …– Identify and review values
– Review which values support the ideal
– Identify behaviours
– Identify core values - the top five to ten
– Compose a code of ethics
– Include wording - all employees are expected to conform
– Obtain review from key members of the municipality.
– Announce and distribute the new code of ethics
– Update the code at least once a year.
Initial tasks of an ethics management programme
100
107
Implementing the
code of ethics …• Internal initiatives• Communicating internally• External initiatives• External communication
Whistleblowers’ Charter
112
“Whistleblower’s” Reluctance
• Don’t believe action would be taken.
• Feared retaliation from mgmt.
• Don’t trust confidentiality.
• Feared not being a team player.
• Feared retaliation from co-workers.
• Don’t know who to contact.
• Nobody cares, why should I?
A - Code of Conduct for Councillors
B – Code of Conduct for Municipal StaffMembers
C – South African Public Service Code of Conduct
D – Prevention and Combatting of Corrupt Activities Act, 2003
E – Sample Ethics Programme for a municipality125+
Appendices
The exam tomorrow ……
SCHOOL OF PUBLIC LEADERSHIP
Thank you ……