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 ……