Transcript www.calafco.org

Ethics in the Public Sector
2011 CALAFCO Annual Conference
David Church, San Luis Obispo LAFCO, Executive Officer
Andrew Morris, Attorney, Best Best & Krieger
Mona Palacios, Alameda LAFCO, Executive Officer
George Williamson, AICP, Humboldt LAFCo, Executive Officer
EXPLORING NEW BOUNDARIES
Ethics in the Public Sector


Introductions
Ethics
Personal & Professional
 Legal Requirements


Why are Ethics Important?



Recent Headlines
Real Time Survey
Case Studies
Personal & Professional Ethics
“I have gained this by philosophy: that I do
without being commanded what others do
only from fear of the law.”
– Aristotle, philosopher (384-322 BCE)
Personal & Professional Ethics

Doing the right thing is much more than just
following the rules and regulations established
by law.

Harry Truman said it best: “There is no pillow so
soft as a clear conscience.”
Personal & Professional Ethics


Ethical laws are premised on the overarching
ethical principle of doing the right thing for the
right reason.
In this context, ethics has been defined as the
discipline of dealing with what is good and bad
with moral duty and obligation.
Personal & Professional Ethics
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Ethics principles in public service are about promoting
fidelity to universal values, such as trustworthiness,
respect, responsibility and fairness.
Ethical principles in public service are also about
fostering the public’s confidence in our governing
institutions, public servants.
The #1 public service ethical principle:

Is all about public officials making governmental decisions
solely for the public’s best interest, rather than for their own
personal and financial interests, or the special interests of
their supporters.
Personal & Professional Ethics

Every public official needs to understand and
appreciate two basic tenets of public service:


You will be constantly under the media
microscope and public scrutiny
You will be judged sometimes unfairly for your
actions
Personal & Professional Ethics

Ethical issues associated with public service
come in all kinds of shapes and forms. Some
ethical issues are very apparent, while others will
be indirect and camouflaged and, at any
moment, blindside the most well intended
public official.
Personal & Professional Ethics

Whether you are new to public service, or a
seasoned veteran, you must never forget the
lynchpin of public service:

The public expects and deserves every individual in
public service to serve the public’s interest and not
the personal, private, financial or political interest of
the public official making the decision.
Principles of Public Service Ethics

TRUSTWORTHINESS
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FAIRNESS
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The People’s Business = Open Government
RESPONSIBILITY
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Public Office = Public Trust / Honest Service
Public Official’s Decisions ≠ No Bias
Must be Merit Based ≠ No Personal Gain
No Conflicts of Interest
RESPECT
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Public Confidence = No appearance of impropriety
Legal Requirements
“In civilized life, law floats in a sea of ethics.” – (U.S.
Supreme Court Justice Earl Warren, 1964)

California’s ethics laws set the minimum standards for public
service
Legal Requirements/Finding Your
Way in Public Service
I.
II.
General ethics laws and
principles
Four areas of ethics laws
1.
2.
3.
4.
Personal Financial
Interests
Personal Advantages
and Perks
Conduct Public
Business Openly
Fair Process
Legal Requirements/Personal
Financial Interests
1.
2.
3.
Political Reform Act (1974)
(Ethical laws dealing with public
officials’ financial interests)
Contracts (Gov. Sec. 1090)
Bribery
Legal Requirements/Finding Your
Way in Public Service
I.
II.
General ethics laws and
principles
Four areas of ethics laws
1.
2.
3.
4.
Personal Financial
Interests
Personal Advantages
and Perks
Conduct Public
Business Openly
Fair Process
Legal Requirements/Personal
Advantages and Perks
Gifts
Meals
Entertainment
Travel
A gift is basically anything of value that provides a
personal benefit for which adequate consideration was
not provided in return
Legal Requirements/Personal
Advantages and Perks
Gifts
Disclose
$50+
Disqualify
$420/12mos.
Refuse
$420+
Bottom Line: Watch your calendar
 Estimate
 Track
 If Gift Exceeds $420: Return, Pay or Donate
Legal Requirements/Personal
Advantages and Perks
Exceptions
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Gifts to public agency
Gifts returned, unused gifts or
donor reimbursed within 30
days
Gifts from family members
Gifts of hospitality
Equal-value gifts on holidays,
birthdays or similar occasions
(other than lobbyist)
Legal Requirements/Finding Your
Way in Public Service
I.
II.
General ethics laws and
principles
Four areas of ethics laws
1.
2.
3.
4.
Personal Financial
Interests
Personal Advantages
and Perks
Conduct Public
Business Openly
Fair Process
Legal Requirements/Conduct
Public Business Openly
1.
The Brown Act
2.
Public Records Act
“The people, in delegating authority, do not give their public servants the right to decide what is good
for the people to know and what is not good for them to know. The people insist on remaining
informed so that they may retain control over the instruments they have created.”
(Cal. Gov. Sec 54950)
Legal Requirements/Finding Your
Way in Public Service
I.
II.
General ethics laws and
principles
Four areas of ethics laws
1.
2.
3.
4.
Personal Financial
Interests
Personal Advantages
and Perks
Conduct Public
Business Openly
Fair Process
Legal Requirements/Fair Process
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
Due Process
Bias
Competitive Bidding
Incompatible Offices
Incompatible Activities
“Revolving Door” Restrictions
Campaign Finances
Charity Fundraising Disclosure
Missteps
Best Practices
Legal Requirements/Fair Process
Best Practices for Decision-Makers
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If you think you cannot be fair,
don’t participate
Avoid statements before the
close of a hearing
Avoid the appearance of bias
Pay attention
Understand you will be judged
by your fairness and integrity
first and foremost
Legal Requirements/Summary of 4
Major Areas
Personal Financial Interest
1.
2.
3.
4.
Political Reform Act
Contracts
Redevelopment Property
Bribery
1.
2.
Personal Advantages & Perks
1.
2.
3.
4.
5.
6.
7.
8.
Gifts
Honoraria
Travel/Lodging Expenses
Loans
Reimbursements
Mass Mailings
Misuse of Public Funds
Nepotism
Conduct Public Business Openly
Brown Act
Public Records Act
Fair Process
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
Due Process
Bias
Competitive Bidding
Incompatible Offices
Incompatible Activities
“Revolving Door” Restrictions
Campaign Finances
Charity Fundraising Disclosure
Missteps
Best Practices
Why Are Ethics Important?
“Former OC sheriff surrenders to
begin prison term”
Daily News
“Residents stunned as scope of
Bell scandal told”
“Scandals fill year for
county”
LA Times
Redland Daily
“Scandals shake public's
trust in local government”
Ventura County Star
Why Are Ethics Important?
 Codes
of Ethics:
 What value do they have?
APA
 ASPA
 Legal Ethics
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APA/AICP Code of Ethics
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The Code of Ethics offer codes, rulings, and
procedures to help certified planners negotiate the
ethical and moral dilemmas they sometimes face.
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A code sets standards. A code embodies values,
and those values define both a profession and the
behavior of those who embrace it.
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The first section of the code includes “aspiration”
values and ideals.
APA/AICP Code of Ethics
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The second section of the code is a list of rules. AICP can
and does take enforcement actions against planners who
have violated these rules of conduct.
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The third section provides the procedures for handling
code infractions. What happens when there is an alleged
violation, the rights of the planners accused, and the
timetables for action.
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The final section, Planners Convicted of Serious Crimes —
Automatic Suspension of Certification
APA/AICP Code of Ethics
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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.
APA/AICP Code of Ethics
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2. Our 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.
ASPA's Code of Ethics
I.
II.
III.
IV.
V.
Serve the Public Interest
Respect the Constitution & the Law
Demonstrate Personal Integrity
Promote Ethical Organizations
Strive for Professional Excellence
Ethical Rules for Lawyers
1.
Rules of Professional Conduct
a.
b.
c.
d.
2.
3.
4.
Professional Integrity in General
Relationship Among Members
Professional Relationship With Clients
Financial Relationship With Clients
State Bar Act
Rules of the State Bar
California Attorney Guidelines of Civility and
Professionalism
Ethics Survey
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Real Time Polling
Ethics Risk Index:
Measures the Risk to Public Trust
Case Studies
Misusing Confidential Information
“You didn’t hear this from me, but the chief
petitioner’s name is Bill Chiat at 1234 Alta Mesa
Circle, Napa, CA 94558, and he works at
CALAFCO.”
41
Altering or Changing Documents in an
Inappropriate Manner
“It’s gotta look like it was always in there or we’re all in
trouble; especially you, since this was your project.”
42
Bending to Political Pressure in Performing
Assigned Tasks
“I’m not placing any blame, but the staff report
really should have been done already; you might
want to think about coming in on Saturday – at
least that’s what I would do.”
43
Purposefully Dishonest to Stakeholders,
Members of the Public, or Others
“This thing is DOA but I kept that on the
down-low from the applicant; we need the
extra revenue.”
44
Witnessing Abusive Behavior
“You finished off the coffee again?!
Congratulations, I’m going to be your worst
f!@#$%& nightmare for the rest of the day!”
45
Abusing Internet and Email
Privileges
“Bored at work, holler back!”
46
Inappropriately Using LAFCO Funds
“Souplantation…yeah, I think I have
enough money to swing that.”
47
Afraid to Discuss an Issue for Fear of Retaliation by
Other Co-Workers/Supervisorial Figures
“Keene has been telecommuting all week, and he hasn’t
even started the staff report for the Price Canyon
annexation. I feel like I should remind Keene how
important this is, but I know he has a big golf match
next week.”
48
Observing Co-Workers/Supervisorial Figures
Placing Personal Interests Ahead of LAFCO Interest
“Can you come to a meeting with me this afternoon with
the City of Walnut Creek to talk about that big
annexation proposal? – Brendon
“Hmmm, no can do. Remember, I’m hosting the Idol
party tonight.” - Alexandra
49
Questions!