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Annual Advancement Academy Capital Ideas for AdvancementJuly 24 - 26, 2007Washington, DC
Lynne BeckerAdvancement Solutions
Dave SmittleOhio Northern University
Ethics: A New Paradigm for a Modern Age
1. Setting the Stage - Is it ever right to lie?
2. Decision-Making Tool
3. Case Studies and General Discussion
How to Handle Ethical Issues*
• When have you entertained not telling the absolute truth?
• Is there a policy in your operation concerning ethical behavior, confidentiality, reporting of conflicts?
• What do your present guidelines say?
• At what point do you begin discussion about ethical behavior and confidentiality issues?
1. Setting the Stage - Is it ever right to lie?*
When have you entertained not telling the absolute truth?
Breakout session with your neighbor…
Is there a policy in your operation concerning ethical behavior, confidentiality,
reporting of conflicts?
• Why a code of ethics?– Express a shared vision of your institution’s beliefs,
culture and values– Shared vision looks in two directions: inward to staff
and volunteers, and outward to the constituents– Code of ethics serves as a set of accountability
standards against which the board and the institution can be measured
– Code expresses norms of conduct, not a criminal code
What do your present guidelines say?
• Do you have a clearly articulated vision and mission statement?
• Do you have a written ethics code?• Have those effected by the code had an opportunity to
contribute to the creation?• Is there a gap between your institution’s existing values and
those to which you aspire?• Is there a gap between values of management and staff
members?
Public Relations Society of America
Member Code of Ethics – Pledge
I pledge… To conduct myself professionally, with truth, accuracy, fairness, and responsibility to the public;
To improve my individual competence and advance the knowledge and proficiency of the profession through
continuing research and education; And to adhere to the articles of the
Member Code of Ethics 2000for the practice of public relations as adopted
by the governing Assembly of the Public Relations Society of America.
I understand and accept that there is a consequence for misconduct, up to and including membership revocation.
And, I understand that those who have been or are sanctioned by a government agency or convicted in a court of law of an action that is in violation of this Code may be
barred from membership or expelled from the Society.
CASE CASE Statement of Ethics
Institutional advancement professionals, by virtue of their responsibilities within the academic community, represent their colleges, universities, and schools to the larger society. They have, therefore, a special duty to exemplify the best qualities of their institutions and to observe the highest standards of personal and professional conduct.
In so doing, they promote the merits of their institutions, and of education generally, without disparaging other colleges and schools.
Their words and actions embody respect for truth, fairness, free inquiry, and the opinions of others.
They respect all individuals without regard to race, color, sex, sexual orientation, marital status, creed, ethnic or national identity, handicap, or age.
They uphold the professional reputation of other advancement officers and give credit for ideas, words, or images originated by others.
They safeguard privacy rights and confidential information.They do not grant or accept favors for personal gain, nor do they solicit or accept favors for their
institutions where a higher public interest would be violated.They avoid actual or apparent conflicts of interest and, if in doubt, seek guidance from
appropriate authorities.They follow the letter and spirit of laws and regulations affecting institutional advancement.They observe these standards and others that apply to their professions and actively encourage
colleagues to join them in supporting the highest standards of conduct.The CASE Board of Trustees adopted this Statement of Ethics…in Toronto on July 11, 1982…
Independent SectorStatement of Values and Code of Ethics for Nonprofit and
Philanthropic Organizations
I. Introduction - As a matter of fundamental principle, the nonprofit and philanthropic community should adhere to the highest ethical standards because it is the right thing to do. As a matter of pragmatic self-interest, the community should do so because public trust in our performance is the bedrock of our legitimacy. Donors and volunteers support charitable organizations because they trust them to carry out their missions, to be good stewards of their resources, and to uphold rigorous standards of conduct…
( See all 7 pages…)
INDEPENDENT SECTOR is the leadership forum for charities, foundations, and corporate giving programs... www.independentsector.org
Independent Sector’s “Checklist”
Accountability Checklist
1. Develop a Culture of Accountability and Transparency 2. Adopt a Statement of Values and Code of Ethics 3. Adopt a Conflict of Interest Policy 4. Ensure that the Board of Directors Understands and Can Fulfill Its Financial
Responsibilities 5. Conduct Independent Financial Reviews, Particularly Audits 6. Ensure the Accuracy of and Make Public Your Organization’s Form 990 7. Be Transparent. 8. Establish and Support a Policy on Reporting Suspected Misconduct or
Malfeasance (“Whistleblower Protection Policy”) 9. Remain Current with the Law
AFP Donor Bill of RightsPhilanthropy is based on voluntary action for the common good. It is a tradition of giving and
sharing that is primary to the quality of life. To ensure that philanthropy merits the respect and trust of the general public, and that donors and prospective donors can have full confidence in the nonprofit organizations and causes they are asked to support, we declare that all donors have these rights:
1. To be informed of the organization’s mission, of the way the organization intends to use donated resources, and of its capacity to use donations effectively for their intended purposes.
2. To be informed of the identity of those serving on the organization’s governing board, and to expect the board to exercise prudent judgment in its stewardship responsibilities.
3. To have access to the organization’s most recent financial statements.4. To be assured their gifts will be used for the purposes for which they were given.5. To receive appropriate acknowledgement and recognition. 6. To be assured that information about their donation is handled with respect and with
confidentiality to the extent provided by law.7. To expect that all relationships with individuals representing organizations of interest to the
donor will be professional in nature.8. To be informed whether those seeking donations are volunteers, employees of the
organization or hired solicitors. 9. To have the opportunity for their names to be deleted from mailing lists that an organization
may intend to share.10. To feel free to ask questions when making a donation and to receive prompt, truthful and
forthright answers.
At what point do you begin discussion about ethical behavior and
confidentiality issues?
• During interviews?
• New employee orientation?
• When a problem arises?
Suggested Guidelines
• Establish written policies and procedures
• Review on a regular basis
• Develop a plan for responding to situations that need special consideration
Some examples of policies and procedures for establishing guidelines, resolving conflicts of interest and protecting
information
• Confidentiality• Professional Practice • Stewardship • Conflict-of-interest• Reporting • Decision-making structure
•Ten principles for ethical decision making.
•How do you remind associates when they stray from the straight and narrow path?
•The "what if" situations you may have not given much thought.
2. Decision-Making Tool *
Ten Principles for Ethical Decision Making
1. Honesty2. Integrity3. Loyalty4. Fairness5. Kindness6. Respect7. Good Citizenship8. Excellence9. Accountability10. Responsibility
How do you remind associates when they stray from the straight and narrow path?
• Ethical Decision-Making Tool
– Prepare for Discussion• Understand the facts• Identify practical, legal and ethical issues
Prepare for Discussion•Understand the facts•Identify practical, legal,
and ethical issues
Did you follow theGolden Rule?
Front page of paper?
Could you tell your grand mother or children?
Is it the truth?
Is it fair/equitable?
Will it build good will?
Will it be beneficial?
Framework for Ethical Decision Making
•Clarify the problem
•Formulate viable alternatives
•Spot the issues to determine ethical principals involved
•Evaluate available information
•Evaluate costs, benefits, and risks
•Reach for a synthesis
•Weigh conflicting considerations
•Decide what to do
•Decide how to do it
•Monitor the consequencesand be open to change
Consider and address four factorsthat impede ethical decision making:•Self-indulgence•Self-protection•Self-deception•Self-righteousness
Write it up
Yes
Yes
Yes
Yes
No
Three Tests for
Ethical Decisio
ns
Yes
No
Go back to Framework
No
Go back to Framework
Ethical Decision-Making Tool
© Lynne D. Becker 1999
Decision Tool continued...• Framework for Ethical Decision-Making
– Clarify the problem– Formulate viable alternatives– Spot the issues to determine ethical principles involved– Evaluate available information– Evaluate costs, benefits and risks– Reach for a synthesis– Weigh conflicting considerations– Decide what to do– Decide how to do it– Monitor the consequences and be open to change
Decision Tool continued...
• Four Questions in Ethical Decision-Making
– Is it the truth?
– Is it fair (equitable) to all concerned?
– Will it build goodwill?
– Will it be beneficial to all concerned?
Decision Tool continued...
• Consider 4 Factors that Impede Ethical Decision-Making
– Self-indulgence
– Self-protection
– Self-deception
– Self-righteousness
Decision Tool continued...
• 3 Tests for Ethical Decisions:
1. Did you follow the Golden Rule?
2. What would it look like on the front page of the newspaper?
3. Can you tell your grandmother or children?
The "what if" situations you may not have given much thought
• Unprofessionalism or questionable ethics of other colleagues
• Lack of disclosure & information to others
• Use of funds inconsistent with donors’ or organization’s intentions
• Perceived conflict of interest on the part of board and committee members
3. Case Studies and General Discussion *
A Case Study in Action
• What is your advise?
Sticky Wickets ... #1 The Falling Star
You’re drafting a brochure for the Anytown College teaching fund campaign that includes a large section on why alumni should support the two Elmer Elbert Distinguished Chairs in Civic Leadership. Elbert, longtime mayor of Anytown and former chair of the AnytownBank, went on to a seat in the legislature.
Now he’s been indicted for accepting bribes and kickbacks and an Anytown faculty member is accusing him of harassment. Should you drop Elbert’s chairs from the teaching fund brochure?
Sticky Wickets ... #2 The Nosy Neighbor
The phone rings in the office of Diane Dane, advancement services director for the Excelsior University. “Hi, Diane,”says the caller, “Terry Tribble at State University. Listen, I’ve got a hot prospect here who’s one of your graduates, Class of ’70. Would you help me out? I’d like to know this fellow’s giving level. Also, what’s his birth date?
This information isn’t tough to find in published documents, Dane thinks, and Tribble’s a colleague. But the man is a prospect for Excelsior, too. What should she say?
Sticky Wickets ... #3 Loose LipsWorldwide College has a non-disclosure policy for vendors. Smythe
Communications just won the WC account and all the personnel working on the account have signed the non-disclosure policy form.
Three weeks later, the Smythe team is given a briefing about a contentious law suit. The account team is cautioned not to say aword about this to anyone.
After a month of work, Smythe staffers are invited to a symphony fund raising party. Many local citizens are at the function, where food and wine flow like – food and wine! A staffer assigned to the WC account discloses all they know about the law suit. The editor of the local paper overhears the conversation.
What do you do next? With the vendor? The editor?
Sticky Wickets ... #4 The Double Agent
Amy Ames, director of development at West End School, has been cultivating a donor who’s approaching a decision on leaving her estate to West End, her grandson’s school.
Ames accepts an offer to become the chief fund raiser for East End School; in the meantime, she learns that her prospect has a granddaughter at East End. The elderly donor has become fond of Ames, who would start this new job with a bang if she could deliver a $400,000 bequest. Should she continue to court the donor – for her new school?
Sticky Wickets ... #5 The Mask of Prejudice
You’re chief development officer at the City Community College Foundation. Your most promising prospect, a prominent businessman, has begun hinting about a seven-figure endowment gift. The prospect has also made little secret of his contempt for a certain minority group.
Your most promising deputy (and probable successor), Bill Bell, is a member of that minority group. Under normal circumstances, you’d introduce Bell to the prospect and have him help with the solicitation. But is this big chance “normal circumstances”?
Sticky Wickets ... #6 The Divorce Course
Chris Crane is poring over a file folder – a normal pose for the lone prospect researcher at Purple Cross – when the communications director pops in. “Chris, I’ve just heard that Mitchell’s divorce is final and a lot of property will go to the spouse,” the colleague says. “Find out how much it is and when the assets transfer will take place.”
How far should Crane go to uncover the desired information?
Sticky Wickets ... #7 The Teatime Tip-off
Director of Major Gifts Fred Frank is having tea with Genevieve Generoso, a longtime friend and benefactor of Clara Barton University. Generoso has become increasingly frail as she’s paid off her last three-year, six-figure pledge, and rumor says her health won’t last.
As she picks up a scone, she hints that she’s remembered Frank in her will and wants him to tidy up a few of her affairs when she’s gone – “nothing complex, dear, but we’re good friends; I hope you won’t mind.” Frank’s eyes grow wide over the rim of his teacup. What should he say or do?
1. Set the Stage - Is it ever right to lie?- Have a policy for your organization- Refer to national resources
2. Use the Decision-Making Tool- Remember the Ten Principles- Confront those who stray from expectations- Ask the 4 questions in ethical decision-making- Consider 4 factors which impede ethical decisions
3. Keep Ethics discussions alive – use case studies, etc.
Wrap-up -- How to Handle Ethical Issues
Lynne BeckerAdvancement Solutionsldbecker1@earthlink.net
Dave SmittleOhio Northern University
d-smittle@onu.edu
PowerPoint is on Dave’s Website: http://www2.onu.edu/~dsmittle
Ethics: A New Paradigm for a Modern Age
Thank you!
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