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P R O M O T I N G E X C E L L E N C E I N G O V E R N M E N T

Harold F. Holtz

Municipal Training Institute

ETHICS

Course Objectives

� Raise ethical awareness

� Define ethics and its relevance to your

municipality/organization

� Explore the ethical decision making

process

� Examine how personal ethics co-exist with

municipal/organizational ethics

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ETHICS DEFINED

� The practice of applying a code of conduct

to day-to-day actions. The code is based

on moral principles that balance what is

fair to individuals or organizations and

what is right for society.

2 Kinds of Ethics Education

• Objective or External

– Ethics laws

– Codes of ethics

– Rules

– Standards of conduct

– Conflicts of interest

• Subjective or Internal– Values

– Character & virtue

– Morality and moral authority

– Obligations

– Principles for resolving ethical dilemmas

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Three Approaches to Public Ethics

1. Legal ethics (laws) –cans and can’ts

2. Codified ethics (codes) – do’s and don’ts

3. Normative ethics (values) – shouldsand shouldn’ts

Government Employees Observe

Misconduct

�52% of federal government employees observed some form of misconduct

� 57% of state government employees observed some form of misconduct

� 63% of local government employees observed some form of misconduct

Source: 2008 Ethics Research Center Study

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ETHICS RESEARCH CENTER � One in 4 employees work in an environment conducive

to misconduct (strong pressure to compromise standards, a presence of situations which invite wrongdoing, and a culture where employees’ personal values conflict with their values at work).

� Almost one-third of employees do not report misconduct.

� More than one-third of government employees believe government does not demonstrate its values through socially responsible decision-making.

Source: 2008 Ethics Research Center Study

Citizens and Government Trust

� In 2012, Gallup’s annual Governance survey showed that 74% of

Americans expressed a great deal or a fair amount of trust in their

local government.

� The same survey found that 65% of Americans expressed a great

deal or fair amount of trust in their state government.

� In 2009, 69% of Americans expressed a great deal or fair amount of

trust in local government and only 51% of Americans expressed a

great deal or fair amount of trust in state government.

Source: 2012 Gallup annual Governance survey

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2014 Citizens Trust & Government

� In 2014, Gallup’s annual Governance survey showed that 72% of

Americans expressed a great deal or a fair amount of trust in their

local government.

� The same survey found that 62% of Americans expressed a great

deal or fair amount of trust in their state government.

� In 2012, 74% of Americans expressed a great deal or fair amount of

trust in local government and 65% of Americans expressed a great

deal or fair amount of trust in state government.

Source: 2014 Gallup annual Governance survey

ETHICS

Despite the codes of ethics, the ethics programs

and the special departments, corporations

don’t make the ultimate decisions about ethics.

Ethical choices are made by individuals.

M. Euel Wade, Jr. – Senior Vice President

Southern Company Services, Inc.

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Compliance is about doing what you have to do.

Ethics is about doing what you should do.

Ethics: Bigger Than Compliance

ETHICS IS ABOUT DOING

WHAT IS RIGHT!!!

� Obtain the Facts

� Define the Ethical Issues

� Ensure Legality

� Promote Fairness

� Check your Intuition

The Ethical Decision Making Process

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COMMON RATIONALIZATIONS

• If it’s legal, it’s ethical; if it’s permissible, it’s proper.

• I’m just fighting fire with fire.

• We’ve always done it that way.

• Everyone else is doing it.

• It’s ethical as long as it doesn’t hurt anyone.

• It’s ethical as long as I don’t gain personally.

ETHICAL DECISIONS

• Have extended consequences

• Have multiple alternatives

• Have mixed outcomes

• Have uncertain consequences

• Have personal implications

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The Georgia Constitution

All government, of right, originates with the people, is founded upon their will only and is instituted solely for the good of the whole.

Public officers are the trustees and servants of the people and are at all times amenable to them.

• The Georgia Constitution

• The Georgia Code

• Your Municipality’s Ethics Policy

CURRENT LAWS AND POLICIES

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CODE SECTION 45-10-1

I. Loyalty

II. Uphold the Constitution, Laws, Regulations

III. Full Day’s Labor

IV. More Efficient and Economical Ways

V. Special Favors

VI. Private Promises

VII. Engaging in Business with Government

VIII. Confidential Information

IX. Expose Corruption

X. Uphold these Principles

THE GEORGIA CODE

Recall of Public Officers Act (Code Sections 21-4-1 thru 21-4-21)

Ethics in Government Act (Code Sections 21-5-1 thru 21-5-76)

Article 1. General Provisions

Article 2. Campaign Contributions

Article 2A. Contributions to Candidates for Public Office

Article 3. Financial Disclosure Statements

Article 4. Public Officials’ Conduct and Lobbyist Disclosure

O.C.G.A. TITLE 21 ELECTIONS

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Conflicts of Interest: Zoning Actions

• Local officials must disclose the nature and extent of any

property or financial interest in any real property that will

be affected by a rezoning decision.

– This includes disclosing the interests of the official’s family, as

well as any business entities the official is associated with.

O.C.G.A. § 36-67A-2.

• After disclosing these interests, an official must disqualify

himself from voting on the rezoning action and refrain

from taking action that may influence the decision.

– Violation of O.C.G.A. § 36-67A-2 is a misdemeanor, punishable

by fine and up to 12 months in jail!

GMA Handbook

• GMAnet.com/handbook.aspx

• Part One: Structure of Municipal

Government

• Ethics, Conflict of Interest, and Abuse of

Office

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• The Organization’s Values

• The Individual

ORGANIZATIONAL ALIGNMENT

Organizational Values are principles, goals, or standards held and accepted by an organization. These values govern the organization’s norms or standards for activity. They represent a management philosophy.

“Values provide a common language for aligning leadership and its people”

(Amuso and Giblin, 1997).

ORGANIZATIONAL VALUES

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• Women tend to report more than men

• Managers report more than non-management employees

• Reporting rates rise along with management level

• Most employees contact a supervisor and only a small percentage use the hotline

2009 National Business Ethics Survey – Ethics Resource Center

Reporting Unethical Behavior

• Direct Supervisor (47%)

• Higher Management (24%)

• Other Responsible Person (11%)

• Someone Outside the Organization (7%)

• Hotline (7%)

• Other (5%)

* Due to rounding, totals may not equal 100 percent - 2008 Ethics Resource Center Study

How Employees Report Unethical Behavior

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• Personal Standards of Workplace Conduct

• Stockholders and Workers with Positive Attitudes

• Ethics and Compliance Program

• Top Management Culture

2009 National Business Ethics Survey – Ethics Resource Center

REPORTING INSIGHTS

• Ethical Leadership

• Supervisor Reinforcement of Ethics

• Peer Commitment to Ethics

• Embedded Ethical Values

Source: 2008 Ethics Resource Center Study

Strong Ethical Cultures

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• No employees felt pressure to compromise standards

• 17% of employees observed misconduct compared to 100% in weak ethical cultures

• 100% of employees reported their observations

• No employees experienced retaliationSource: 2008 Ethics Resource Center Study

Strong Ethical Culture Results

• Written Standards (Code of Conduct)

• Training on Ethics Issues

• Presence of a Helpline for Reporting

• Evaluation of Employees based on Ethical Conduct

• Discipline for Violations

• Resources for Employees with Ethical Questions

Source: 2008 Ethics Resource Center Study

Ethics and Compliance Program

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• Pre-Conventional Level (Self-Centered)

• Conventional Level (Conformity)

• Post-Conventional Level (Principled)

-David Whetten and Kim Cameron, Developing Management Skills

Kohlberg’s Values Maturity Model

• Is it in compliance with…

• Civil Law

• Institutional Policy

• Rules of the Game

• Family Rules

• Other Rules

ETHICS CHECKLIST

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• Is it fair to everyone involved…

• To my family?

• To my friends?

• To my co-workers?

• To my community?

• To those less fortunate than me?

• To others (clients)?

ETHICS CHECKLIST – Continued

THE BALANCING ACT

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THANK YOU!!ericr@uga.edu

Eric M. RobinsonCarl Vinson Institute of Government

The University of Georgia

ETHICS IN PUBLIC SERVICE