Welcome to Ethics Training!

“The reputation of a thousand years is determined by the conduct of one hour.”

– Japanese proverb

Training Objective

Clear Understanding of the Ethics in Public Service Act

Update on Recent Rules Changes

Resources for questions

Ethics

The embodiment of those values that the person or organization feels are important…, and spell our proper conduct and appropriate action.

- Merriam Webster

Ethical Choices

What you find is that the tough ethical choices are not between good and evil, but rather between two goods:

Truth versus Loyalty

Individual versus Community

Short-term versus Long-term

Justice versus Mercy

Ethical Principals

Objectivity Selflessness Stewardship Transparency Integrity

Objectivity

Public employees must place the public’s interest before any private interest or outside obligation - choices need to made on the merits.

• RCW 42.52.020, Activities incompatible with public duties

• RCW 42.52.030, Financial interests in transactions

• RCW 42.52.040, Assisting in transactions

Conflict of Interest

A conflict of interest occurs when you have a private interest that may benefit from your actions, or when a private interest could interfere with official duties

An interest need not be financial to create a conflict of interest

Most conflicts result from the exercise of discretionary authority

Dilemma

You are a health inspector with a partnership interest in a local restaurant, and are assigned to perform an inspection of this same restaurant.

Can you conduct the inspection? What actions should you take?

Dilemma

A state employee serves on the board of directors for a non-profit organization. The non-profit bids on a contract from the employee’s agency. The employee serves on the review panel that will select the successful contractor.

Can the employee serve on the review panel even though there is no personal benefit?

Dilemma

You enforce business license requirements. You discover that a local business, with with you have a private legal dispute, is overdue in paying its taxes.

What would you do?

Selflessness

Public employees should not make decisions in order to gain financial or other benefits for themselves, their family, or their friends.•RCW 42.52.070, Special privileges

•RCW 42.52.140, Gifts

•RCW 42.52.150, Limitations on gifts

•RCW 42.52.080, Employment after public service

Use of State Position

A state officer or employee may not use his or her state position to secure special privileges or to grant exemptions to benefit himself, herself, family members, or other persons.

Gifts

General rules Those items that are not gifts Those items that are gifts, but not

subject to the $50 limitation Rebuttable presumption these do not

influence The only items that may be accepted by

employees who contract or regulate

Post-state Employment

Former state officers or employees may not benefit from state employment

Contract restriction Beneficial interest restriction Offers of employment Prohibition against participating in previous state

transactions Situations are fact-specific

Dilemma

You receive a plaque and a $100 check from the Institute of Government Financial Managers for your many contributions to the field.

Can you accept the plaque and the check?

Dilemma

You supervise a contract with ABC Audits. ABC is sponsoring a regional conference and tells you that if you attend, ABC will waive your conference fees.

Can you accept the waiver of conference fees?

Dilemma

You are a professor for a state university or community college and a publisher sends you a textbook (solicited or unsolicited) for evaluation. After completing your evaluation, you take the textbook home and sell it to a friend for $25.

Is this activity a violation of the Ethics in Public Service Act?

Textbooks

On September 12, 2003, the Executive Ethics Board issued Advisory Opinion 03-04 that prohibits selling textbooks for personal profit. There are several options for disposing of textbooks in lieu of selling them.

State supported institutions of higher education may want to consider adopting policies or procedures that assist faculty members in exercising these options. For example, faculty may dispose of textbooks and other publications by giving them to the institution, to a charity or educational foundation, or in accordance with agency surplus property procedures.

Ethical Habits

“A long habit of not thinking a thingwrong gives it the superficial appearance of being right.”

–Thomas Paine

Stewardship

Public employees have a duty to conserve public resources and funds against misuse and abuse.

•RCW 42.52.070, Special privileges

• RCW 42.52.160, Use of persons, money, or property for private gain

• RCW 42.52.180, Use of public resources for political campaigns

• WAC 292-110-010

Questions to Ask Yourself

• Will my use of state resources result in added costs or any other disadvantage to the state?

• Am I using this resource in order to avoid personal expense?

• Am I confident that my use of state resources will not compromise the security or integrity of state information or software?

• Are state resources being used for purposes that could be embarrassing for my agency if reported publicly?

The Use Zones

Public employees have a duty to conserve public resources and funds against misuse and abuse.

• Green Zone – Official Duties

• Yellow Zone – Personal Use Under Limited Circumstances

• Red Zone – Prohibited Uses

The Green Zone

•Any Use that is Reasonably Related to Your Official Duties

•Combined Fund Campaign

The Yellow Zone

•Personal Use OK Under Limited Circumstances

•Really de minimis exceptions

• There is little or no cost to the state;• There is no interference with the performance of official duties;• The use is brief in duration and frequency; The use does not distract from the conduct of state business; and The use does not disrupt other state employees and does not obligate them to make a personal use of state resources; and

The Red Zone

•Prohibited Uses

• Outside business interests • Commercial uses • Illegal or unprofessional activities• Political activities, including lobbying

Dilemma

You send emails to your friend’s home computer from your state computer regarding personal plans for the weekend.

Is this appropriate stewardship of state resources?

Dilemma

You ran across an article in TIME magazine that you want to share with friends and make several copies using the office’s copier.

Is this appropriate stewardship of state resources?

Dilemma

You send an email to your senator opposing the confirmation of a nominee for federal office.

Is this appropriate stewardship of state resources?

Dilemma

Your supervisor approves the use of a state

computer to do course work for a class that

will enhance your skills.

Is this appropriate stewardship of state resources?

Dilemma

You send a brief email or make a brief, local call to check on your kids.

Is this appropriate stewardship of state resources?

Dilemma

You access the Internet during a lunch break to check on your stock portfolio and transfer assets to a different fund.

Is this appropriate stewardship of state resources?

“A perfect value consists in doing without witness all that we could have done in front of the entire world”

- Nobel Laureate Gabriela Mistral

Quote

Transparency

Public employees must practice open and accountable government. They should be as open as possible about their decisions and actions, and protect truly confidential information.

•RCW 42.52.050, Confidential information

Confidential Information

Standards that protect confidentialinformation:

Outside employment, business, or professional activities

Disclosure for personal gain or benefit Disclosure to unauthorized person

Public Records

Standards for disclosure:

May not intentionally act to conceal a record if under a personal obligation to release the record.

May apply to e-mail communications

Integrity

Employees in public service should not place themselves under any financial or other obligation to outside individuals or organizations that might influence them in the performance of their duties.•RCW 42.52.020, Activities incompatible with public duties

•RCW 42.52.110, Compensation for official duties or nonperformance

•RCW 42.52.120, Compensation for outside activities

•RCW 42.52.130, Honoraria

Honoraria

Honorarium defined Agency approval required May not be approved if donor:

Is expected to seek contractual relations Is regulated by the agency Is reasonably expected to seek or oppose

adoption of rules or policy changes by your agency

Outside Compensation

Work must be bona fide and actually performed; and,

Not related to a contract or grant you supervise;

Comply with agency policies on outside employment;

Not be compensated by anyone you contract with or regulate;

Not related to a contract or grant you authorize;

Cannot involve the disclosure of confidential information.

Quote

“If … you can’t be a good example, then you’ll just have to be a horrible warning.”

- Catherine Aird

Executive Ethics Board

Interprets and enforces the ethics law

Issues advisory opinions Reviews agency ethics policies Investigates and hears complaints Imposes sanctions for violations

Disciplinary action also may be taken by the agency

Complaint Status

2

85

17

119

48

40

103

13

0

20

40

60

80

100

120

140

COMPLAINTS

2000 2001 2002 2003

Year

87

136

88

113

Good People - Bad Choices

(1998–2002) - 89 of Cases involving sanctions In 2001 - 35% of cases involved sanctions Civil Penalties $123,900 - $1393 average Suspended $491 average Investigative Costs $41,125 - $462

average Agency Restitution $16,527

Good People - Bad ChoicesGood People - Bad Choices

Deadlines or performance goals Lack of resources, human or otherwise Pressures to produce and get the job done The action is not really illegal or unethical The action is in the individual’s or

organization’s best interests The action will never be discovered Fear of authority

Briefly

Daily decisions will guide us in crisis

Values can be instilled

Subordinates seek standards

Choice is often between two “goods”

“Only a leader of courageous ethical standards can earn the trust of subordinates”

Interventions

Establish workplace expectations Brief common ethical problems Publicize noteworthy role models Routinely raise potential ethics issues Review commitment to ethics annually Attend to the ethical treatment of

others