ethics in the public sector 2011 calafco annual conference david church, san luis obispo lafco,...

Ethics in the Public Ethics in the Public SectorSector

2011 CALAFCO Annual 2011 CALAFCO Annual ConferenceConference

David Church, David Church, San Luis Obispo LAFCO, Executive San Luis Obispo LAFCO, Executive OfficerOfficer

Andrew Morris, Andrew Morris, Attorney, Best Best & KriegerAttorney, Best Best & Krieger

Mona Palacios, Mona Palacios, Alameda LAFCO, Executive Alameda LAFCO, Executive OfficerOfficer

George WilliamsonGeorge Williamson, AICP, Humboldt LAFCo, , AICP, Humboldt LAFCo, Executive OfficerExecutive Officer

EXPLORING NEW BOUNDARIES

Ethics in the Public Ethics in the Public SectorSector

IntroductionsIntroductions EthicsEthics

Personal & ProfessionalPersonal & Professional Legal RequirementsLegal Requirements

Why are Ethics Important?Why are Ethics Important? Recent HeadlinesRecent Headlines

Real Time SurveyReal Time Survey Case StudiesCase Studies

Personal & Professional Personal & Professional EthicsEthics

““I have gained this by philosophy: I have gained this by philosophy: that I do without being that I do without being

commanded what others do only commanded what others do only from fear of the law.” from fear of the law.”

– – Aristotle, philosopher (384-322 BCE)Aristotle, philosopher (384-322 BCE)


Doing the right thing is much more Doing the right thing is much more than just following the rules and than just following the rules and regulations established by law. regulations established by law. Harry Truman said it best: “There is no Harry Truman said it best: “There is no

pillow so soft as a clear conscience.”pillow so soft as a clear conscience.”


Ethical laws are premised on the Ethical laws are premised on the overarching ethical principle of overarching ethical principle of doing the right thing for the right doing the right thing for the right reason. reason.

In this context, ethics has been In this context, ethics has been defined as the discipline of dealing defined as the discipline of dealing with what is good and bad with with what is good and bad with moral duty and obligation.moral duty and obligation.


Ethics principles in public service are about Ethics principles in public service are about promoting fidelity to universal values, such as promoting fidelity to universal values, such as trustworthiness, respect, responsibility and trustworthiness, respect, responsibility and fairness.fairness.

Ethical principles in public service are also Ethical principles in public service are also about fostering the public’s confidence in our about fostering the public’s confidence in our governing institutions, public servants.governing institutions, public servants.

The #1 public service ethical principle:The #1 public service ethical principle: Is all about public officials making governmental Is all about public officials making governmental

decisions solely for the public’s best interest, decisions solely for the public’s best interest, rather than for their own personal and financial rather than for their own personal and financial interests, or the special interests of their interests, or the special interests of their supporters.supporters.


Every public official needs to Every public official needs to understand and appreciate two understand and appreciate two basic tenets of public service:basic tenets of public service:

You will be constantly under the media You will be constantly under the media microscope and public scrutinymicroscope and public scrutiny

You will be judged sometimes unfairly You will be judged sometimes unfairly for your actionsfor your actions


Ethical issues associated with public Ethical issues associated with public service come in all kinds of shapes service come in all kinds of shapes and forms. Some ethical issues are and forms. Some ethical issues are very apparent, while others will be very apparent, while others will be indirect and camouflaged and, at any indirect and camouflaged and, at any moment, blindside the most well moment, blindside the most well intended public official.intended public official.


Whether you are new to public Whether you are new to public service, or a seasoned veteran, you service, or a seasoned veteran, you must never forget the lynchpin of must never forget the lynchpin of public service: public service: The public expects and deserves every The public expects and deserves every

individual in public service to serve the individual in public service to serve the public’s interest and not the personal, public’s interest and not the personal, private, financial or political interest of private, financial or political interest of the public official making the decision.the public official making the decision.

Principles of Public Service Principles of Public Service EthicsEthics

TRUSTWORTHINESSTRUSTWORTHINESS Public Office = Public Trust / Honest ServicePublic Office = Public Trust / Honest Service

FAIRNESSFAIRNESS The People’s Business = Open GovernmentThe People’s Business = Open Government

RESPONSIBILITYRESPONSIBILITY Public Official’s Decisions ≠ No BiasPublic Official’s Decisions ≠ No Bias Must be Merit Based ≠ No Personal GainMust be Merit Based ≠ No Personal Gain No Conflicts of InterestNo Conflicts of Interest

RESPECTRESPECT Public Confidence = No appearance of Public Confidence = No appearance of

improprietyimpropriety

Legal RequirementsLegal Requirements

““In civilized life, law floats in a sea of In civilized life, law floats in a sea of ethics.” – (U.S. Supreme Court Justice Earl ethics.” – (U.S. Supreme Court Justice Earl Warren, 1964)Warren, 1964)

California’s ethics laws set the minimum California’s ethics laws set the minimum standards for public servicestandards for public service

Legal Legal Requirements/Finding Your Requirements/Finding Your

Way in Public ServiceWay in Public ServiceI.I. General ethics laws General ethics laws

and principlesand principles

II.II. Four areas of ethics Four areas of ethics lawslaws1.1. Personal Financial Personal Financial

InterestsInterests

2.2. Personal Advantages Personal Advantages and Perksand Perks

3.3. Conduct Public Conduct Public Business OpenlyBusiness Openly

4.4. Fair ProcessFair Process

Legal Legal Requirements/Personal Requirements/Personal

Financial InterestsFinancial Interests1.1. Political Reform Act Political Reform Act

(1974)(1974)

(Ethical laws dealing with (Ethical laws dealing with public officials’ financial public officials’ financial interests)interests)

2.2. Contracts (Gov. Sec. Contracts (Gov. Sec. 1090)1090)

3.3. BriberyBribery





InterestsInterests




Legal Legal Requirements/Personal Requirements/Personal Advantages and PerksAdvantages and Perks

GiftsGifts

MealsMeals

A gift is basically anything of value that A gift is basically anything of value that provides a provides a personal benefitpersonal benefit for which for which

adequate consideration was not provided adequate consideration was not provided in returnin return

TravelTravelEntertainmentEntertainment


GiftsGifts

DiscloseDisclose

$50+$50+

Bottom Line: Watch your calendarBottom Line: Watch your calendar EstimateEstimate TrackTrack If Gift Exceeds $420: Return, Pay or DonateIf Gift Exceeds $420: Return, Pay or Donate

DisqualifyDisqualify

$420/12mos.$420/12mos.

RefuseRefuse

$420+$420+


ExceptionsExceptions Gifts to public agencyGifts to public agency Gifts returned, unused Gifts returned, unused

gifts or donor reimbursed gifts or donor reimbursed within 30 dayswithin 30 days

Gifts from family membersGifts from family members Gifts of hospitalityGifts of hospitality Equal-value gifts on Equal-value gifts on

holidays, birthdays or holidays, birthdays or similar occasions (other similar occasions (other than lobbyist)than lobbyist)





InterestsInterests




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 Legal Requirements/Conduct Requirements/Conduct Public Business OpenlyPublic Business Openly





InterestsInterests




Legal Requirements/Fair Legal Requirements/Fair ProcessProcess

1.1. Due ProcessDue Process2.2. BiasBias3.3. Competitive BiddingCompetitive Bidding4.4. Incompatible OfficesIncompatible Offices5.5. Incompatible ActivitiesIncompatible Activities6.6. ““Revolving Door” RestrictionsRevolving Door” Restrictions7.7. Campaign FinancesCampaign Finances8.8. Charity Fundraising DisclosureCharity Fundraising Disclosure9.9. MisstepsMissteps10.10. Best PracticesBest Practices

If you think you cannot be If you think you cannot be fair, don’t participatefair, don’t participate

Avoid statements before Avoid statements before the close of a hearingthe close of a hearing

Avoid the appearance of Avoid the appearance of biasbias

Pay attentionPay attention Understand you will be Understand you will be

judged by your fairness and judged by your fairness and integrity first and foremostintegrity first and foremost

Legal Requirements/Legal Requirements/Fair Fair ProcessProcess

Best Practices for Decision-Best Practices for Decision-MakersMakers

Legal Requirements/Summary Legal Requirements/Summary of 4 Major Areasof 4 Major Areas

Personal Financial InterestPersonal Financial Interest1.1. Political Reform ActPolitical Reform Act

2.2. ContractsContracts

3.3. Redevelopment PropertyRedevelopment Property

4.4. BriberyBribery

Conduct Public Business OpenlyConduct Public Business Openly

1.1. Brown ActBrown Act

2.2. Public Records ActPublic Records Act

Personal Advantages & PerksPersonal Advantages & Perks1.1. GiftsGifts

2.2. HonorariaHonoraria

3.3. Travel/Lodging ExpensesTravel/Lodging Expenses

4.4. LoansLoans

5.5. ReimbursementsReimbursements

6.6. Mass MailingsMass Mailings

7.7. Misuse of Public FundsMisuse of Public Funds

8.8. NepotismNepotism

Fair ProcessFair Process1.1. Due ProcessDue Process

2.2. BiasBias

3.3. Competitive BiddingCompetitive Bidding

4.4. Incompatible OfficesIncompatible Offices

5.5. Incompatible ActivitiesIncompatible Activities

6.6. ““Revolving Door” RestrictionsRevolving Door” Restrictions

7.7. Campaign FinancesCampaign Finances

8.8. Charity Fundraising DisclosureCharity Fundraising Disclosure

9.9. MisstepsMissteps

10.10. Best PracticesBest Practices

Why Are Ethics Why Are Ethics Important?Important?

“Former OC sheriff surrenders to begin

prison term”Daily News

“Residents stunned as scope of Bell scandal

told”LA Times

“Scandals fill year for county”

Redland Daily

“Scandals shake public's trust in local

government”Ventura County Star

Why Are Ethics Why Are Ethics Important?Important?

Codes of Ethics: Codes of Ethics: What value do they have?What value do they have?

APAAPA ASPAASPA Legal EthicsLegal Ethics

APA/AICP Code of EthicsAPA/AICP Code of Ethics The Code of Ethics offer codes, rulings,

and procedures to help certified planners negotiate the ethical and moral dilemmas they sometimes face.

A code sets standards. A code embodies values, and those values define both a profession and the behavior of those who embrace it.

The first section of the code includes “aspiration” values and ideals.

APA/AICP Code of EthicsAPA/AICP Code of Ethics 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.

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.

The final section, Planners Convicted of Serious Crimes — Automatic Suspension of Certification

APA/AICP Code of EthicsAPA/AICP Code of Ethics

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 EthicsAPA/AICP Code of Ethics

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.

I.I. Serve the Public Serve the Public InterestInterest

II.II. Respect the Respect the Constitution & the LawConstitution & the Law

III.III.Demonstrate Personal Demonstrate Personal IntegrityIntegrity

IV.IV. Promote Ethical Promote Ethical OrganizationsOrganizations

V.V. Strive for Professional Strive for Professional ExcellenceExcellence

ASPA's Code of ASPA's Code of EthicsEthics

Ethical Rules for LawyersEthical Rules for Lawyers

1.1. Rules of Professional ConductRules of Professional Conducta.a. Professional Integrity in GeneralProfessional Integrity in Generalb.b. Relationship Among MembersRelationship Among Membersc.c. Professional Relationship With ClientsProfessional Relationship With Clientsd.d. Financial Relationship With ClientsFinancial Relationship With Clients

2.2. State Bar ActState Bar Act3.3. Rules of the State BarRules of the State Bar4.4. California Attorney Guidelines of California Attorney Guidelines of

Civility and ProfessionalismCivility and Professionalism

Ethics SurveyEthics Survey

Real Time Polling Real Time Polling

Ethics Risk Index:

Measures the Risk to Public Trust

Case StudiesCase Studies

41

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.”

42

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.”

43

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.”

44

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.”

45

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!”

46

Abusing Internet and Email Privileges

“Bored at work, holler back!”

47

Inappropriately Using LAFCO Funds

“Souplantation…yeah, I think I have enough money to swing

that.”

48

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.”

49

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

Questions!Questions!

ethics in the public sector 2011 calafco annual conference david church, san luis obispo lafco,...

Documents

public servants

public scrutinyyou

lynchpin of public service

basic tenets of public

ethics important

sea of ethics

californias ethics laws

ethical principles