Ethics and Ethics and morals – in and morals – in and

out of out of GovernmentGovernment

Would You Vote for:Would You Vote for: Someone who was previously convicted of a Someone who was previously convicted of a

felony crime?felony crime? Someone who previously cheated people out of Someone who previously cheated people out of

money?money? Someone who is known to have cheated on Someone who is known to have cheated on

his/her spouse many times?his/her spouse many times? Someone who has abused a spouse or a child – Someone who has abused a spouse or a child –

even their own children?even their own children? Someone who has used his or her position to help Someone who has used his or her position to help

family members to obtain goods or services that family members to obtain goods or services that they would otherwise not have obtained?they would otherwise not have obtained?

Someone who has placed family members in Someone who has placed family members in positions of power or influence in the positions of power or influence in the government?government?

Ethics and MoralityEthics and Morality

Ethics is a set of moral principles Ethics is a set of moral principles and a code for behavior that and a code for behavior that govern an individual’s actions with govern an individual’s actions with other individuals and within other individuals and within society.society.

Morality is what people believe to Morality is what people believe to be right and good, while ethics is be right and good, while ethics is a critical reflection about morality.a critical reflection about morality.

Civic Values In American Civic Values In American SocietySociety

Civic Values Civic Values refers to those important refers to those important principles that serve as the foundation principles that serve as the foundation for our democratic form of government. for our democratic form of government. These values include These values include justice, justice, honesty, self-discipline, due honesty, self-discipline, due process, equality, majority rule process, equality, majority rule with respect for minority rights, with respect for minority rights, and respect for self, others, and and respect for self, others, and property.property.

LawsLaws Laws are brought about by tension, agitation and Laws are brought about by tension, agitation and

conflict by dramatic situations.conflict by dramatic situations. Laws protect the welfare and safety of society, Laws protect the welfare and safety of society,

resolve conflicts, and are constantly evolving.resolve conflicts, and are constantly evolving. Laws have governed the practice of medicine, Laws have governed the practice of medicine, the the

law, education and many other professionslaw, education and many other professions for over one hundred of years. These laws may be for over one hundred of years. These laws may be FEDERAL or STATEFEDERAL or STATE

Laws are societal rules or regulations that are Laws are societal rules or regulations that are obligatory to observe.obligatory to observe.

Ethical Dilemma:Ethical Dilemma:

Value conflicts, no clear Value conflicts, no clear consensus as to the consensus as to the “right” thing to do. A “right” thing to do. A conflict between moral conflict between moral obligations that are obligations that are difficult to reconcile and difficult to reconcile and require moral reasoning.require moral reasoning.

Ethical Dilemma:Ethical Dilemma:

Situations necessitating a choice between two equal (usually undesirable) alternatives

As in medicine – If you can do no good – then at least do NO HARM

Sometimes you must choose a course of action that does THE LEAST HARM

ETHICS VS. GOVERNMENT ETHICS VS. GOVERNMENT ETHICSETHICSPersonal ethics:Personal ethics:

““Gut feelings”Gut feelings” Morals and valuesMorals and values

Government ethics:Government ethics: Rules and regulationsRules and regulations Not intuitive- generally well definedNot intuitive- generally well defined Help you to develop radar (awareness) of Help you to develop radar (awareness) of

and for ethics issuesand for ethics issues Use available resources – most Use available resources – most

organizations have “behavior codes” just organizations have “behavior codes” just like schoolslike schools

GENERAL PRINCIPLESGENERAL PRINCIPLES

Lesson objectives:Lesson objectives: Help you conduct Help you conduct

business w/o personal risk business w/o personal risk Protect you from potential Protect you from potential

liabilityliability Help you to identify Help you to identify

potential ethics issues in potential ethics issues in your work or life in your work or life in generalgeneral

Misuse of Position (Time, Property, Nonpublic Misuse of Position (Time, Property, Nonpublic Information) Information)

Impartiality and AppearancesImpartiality and Appearances Gifts from Outside SourcesGifts from Outside Sources Gifts Between Employees (generally over $50 Gifts Between Employees (generally over $50

in value) in value) Fundraising for personal gainFundraising for personal gain CheatingCheating Plagiarizing material not written by you or Plagiarizing material not written by you or

not giving credit to the sourcenot giving credit to the source

Some important thoughts Some important thoughts for schools and businessfor schools and business

Rules promote “public service is a public Rules promote “public service is a public trust” concept trust” concept

Private sector business courtesies can Private sector business courtesies can create problems for public sector create problems for public sector employeesemployees

Appearances count; even if it only Appearances count; even if it only APPEARS improper, the damage may APPEARS improper, the damage may already be donealready be done

Don’t guess. If you have a question or Don’t guess. If you have a question or need guidance, ASK AN ETHICS need guidance, ASK AN ETHICS ADVISOR- they do existADVISOR- they do exist

MISUSE OF POSITIONMISUSE OF POSITION

1.1. Use of public office for Use of public office for private gainprivate gain

2.2. Use of nonpublic Use of nonpublic informationinformation

3.3. Use of government or Use of government or employer (school) employer (school) property property

4.4. Use of official timeUse of official time

MISUSE OF POSITIONMISUSE OF POSITIONUnderlying principles:Underlying principles: Make proper use of official Make proper use of official

authority, time and resourcesauthority, time and resources Safeguard information and Safeguard information and

resources to which you have resources to which you have access because of your job or access because of your job or political position or connectionspolitical position or connections

Elected officials are accountable Elected officials are accountable to the public and the tax payersto the public and the tax payers

1. USE OF PUBLIC OFFICE 1. USE OF PUBLIC OFFICE FOR PRIVATE GAINFOR PRIVATE GAIN

Using your position to:Using your position to: Try to get special benefits for Try to get special benefits for

yourself or othersyourself or others Endorse private products, services, Endorse private products, services,

individuals, companiesindividuals, companies Perform official duties in a way that is Perform official duties in a way that is

advantageous to a private interest -- advantageous to a private interest -- yours or another’syours or another’s

USE OF NONPUBLIC USE OF NONPUBLIC INFORMATIONINFORMATION

Use nonpublic information Use nonpublic information onlyonly in in connection with official government connection with official government businessbusiness

If you don’t know whether If you don’t know whether information is public, assume it isn’tinformation is public, assume it isn’t

Confidentiality & “need to know”Confidentiality & “need to know” Do I really need to know this? Does Do I really need to know this? Does

someone else who may ask me?someone else who may ask me? Why?Why?

3. USE OF SCHOOL 3. USE OF SCHOOL (EMPLOYER) PROPERTY(EMPLOYER) PROPERTY

Equipment and services are provided Equipment and services are provided for official business purposesfor official business purposes

Limited Personal Use of Office Limited Personal Use of Office EquipmentEquipment computers, copy computers, copy machines, paper shredders etc. etc.machines, paper shredders etc. etc.

Proper authorization may still be Proper authorization may still be required by your manager, office required by your manager, office policy, teacher or administrator.policy, teacher or administrator.

““MISUSE” SITUATIONS TO MISUSE” SITUATIONS TO CONSIDER- Which would YOU CONSIDER- Which would YOU

permit?permit? Playing computer games in the Playing computer games in the

officeoffice Surfing the internet re: vacation Surfing the internet re: vacation

plans, E-bay etc.plans, E-bay etc. Making copies of your income tax Making copies of your income tax

forms or other personal papersforms or other personal papers Scheduling a doctor’s Scheduling a doctor’s

appointmentappointment Phoning your child to make sure Phoning your child to make sure

she got home from school and is she got home from school and is doing homeworkdoing homework

IMPARTIALITY AND IMPARTIALITY AND APPEARANCESAPPEARANCES

Elected officials must treat Elected officials must treat customers, contractors, vendors, customers, contractors, vendors, and others, fairly and impartiallyand others, fairly and impartially

Employees should strive to avoid Employees should strive to avoid appearances of improprietyappearances of impropriety

Think of it as a question of Think of it as a question of fairness.fairness.

Ask: Ask: “Could a reasonable person “Could a reasonable person legitimately question the fairness legitimately question the fairness of my actions in this matter?”of my actions in this matter?”

IMPARTIALITY AND IMPARTIALITY AND APPEARANCESAPPEARANCES

Use the “Use the “News & ObserverNews & Observer” test” test Think about how you’d feel Think about how you’d feel

explaining the situation to your explaining the situation to your boss, your VP, your colleagues, boss, your VP, your colleagues, your mother or child, a your mother or child, a congressional committee...congressional committee...

Employees are generally Employees are generally prohibited from accepting gifts prohibited from accepting gifts of any kindof any kind

GIFTS FROM OUTSIDE GIFTS FROM OUTSIDE SOURCESSOURCESWhat is a gift?What is a gift?

Almost anything of monetary value.Almost anything of monetary value. MEALSMEALS EVENT TICKETSEVENT TICKETS PARTIES, RECEPTIONSPARTIES, RECEPTIONS MERCHANDISEMERCHANDISE TRANSPORTATIONTRANSPORTATION CASHCASH LODGINGLODGING APPARELAPPAREL

GIFTS FROM OUTSIDE GIFTS FROM OUTSIDE SOURCESSOURCES

What things are NOT gifts*?What things are NOT gifts*? Modest refreshments (not offered as a meal)Modest refreshments (not offered as a meal) ““Presentation” items (mugs, plaques, pens)Presentation” items (mugs, plaques, pens) Items for which YOU paid market value with Items for which YOU paid market value with

personal fundspersonal funds Prizes in Prizes in publicpublic contests contests Frequent Flyer Miles (but some free tickets may Frequent Flyer Miles (but some free tickets may

or may not be accepted...)or may not be accepted...) **(“exclusions”)(“exclusions”)

GIFTS FROM OUTSIDE GIFTS FROM OUTSIDE SOURCESSOURCES

EXCEPTIONS to the gifts from outside EXCEPTIONS to the gifts from outside sources rule:sources rule:

Personal relationship Personal relationship ((almostalmost always) always) $20 or less value/$50 $20 or less value/$50 perper source source perper year year

(the “$20 exception”)(the “$20 exception”) Perishable items, if shared with office Perishable items, if shared with office (fruit (fruit

baskets, flowers, etc.)baskets, flowers, etc.) Registration fee, if speaking or presenting Registration fee, if speaking or presenting

at an event Certain awards and honorary at an event Certain awards and honorary degreesdegrees

Travel/entertainment for employment talks Travel/entertainment for employment talks (beware conflicts!)(beware conflicts!)

GIFTS FROM OUTSIDE GIFTS FROM OUTSIDE SOURCESSOURCES

THREE LITTLE WORDS THREE LITTLE WORDS THAT NEVER GOT THAT NEVER GOT

ANYONEANYONEIN TROUBLE:IN TROUBLE:

““No, thank you.”No, thank you.”

GIFTS BETWEEN GIFTS BETWEEN EMPLOYEESEMPLOYEES

EXCEPTIONSEXCEPTIONSIn connection with “In connection with “special infrequent occasionsspecial infrequent occasions” such ” such

as:as: MarriageMarriage Birth or adoptionBirth or adoption Serious illnessSerious illness Termination of superior/subordinate relationshipTermination of superior/subordinate relationship

There is no $10 limit, but:There is no $10 limit, but: Gift should be “appropriate to the occasion”Gift should be “appropriate to the occasion” Contributions to office party/group gift okay, but:Contributions to office party/group gift okay, but:

must be voluntarymust be voluntary may only suggest, not require, an amountmay only suggest, not require, an amount

GIFTS BETWEEN GIFTS BETWEEN EMPLOYEESEMPLOYEES

Also keep in mind that gifts YOU give to Also keep in mind that gifts YOU give to subordinates:subordinates: May be permissible but May be permissible but

inappropriateinappropriate Can look like sexual harassmentCan look like sexual harassment Can look like favoritism – which canCan look like favoritism – which can Can cause morale problems Can cause morale problems Is the gift “too big” “too small” “too Is the gift “too big” “too small” “too

personal” in nature?personal” in nature?

FUNDRAISINGFUNDRAISING

What is fundraising?What is fundraising?Soliciting for funds or Soliciting for funds or donations, selling food or donations, selling food or other items, and other items, and promoting events for promoting events for charitable causes.charitable causes.

CONFLICTING FINANCIAL CONFLICTING FINANCIAL INTERESTSINTERESTS

18 U.S.C. § 20818 U.S.C. § 208

Standards of Ethical Conduct:Standards of Ethical Conduct:

5 C.F.R. 5 C.F.R. Criminal statute:Criminal statute:

Part 2635.401Part 2635.401

You may not act in your official You may not act in your official capacity on anything in which you capacity on anything in which you have a personal financial interest.have a personal financial interest.

OPTIONS FOR RESOLUTION OPTIONS FOR RESOLUTION OF A CONFLICT:OF A CONFLICT:

Disqualification or RecusalDisqualification or Recusal Simple non-participationSimple non-participation Notify supervisorNotify supervisor Should seek written adviceShould seek written advice

WaiverWaiverMust obtain from ethics officialMust obtain from ethics official

In a school setting check with your In a school setting check with your school principal, or the dean or an school principal, or the dean or an administratoradministrator

OBLIGATION TO REPORTOBLIGATION TO REPORT

Federal regulations require all Federal regulations require all government employees -- to government employees -- to disclose waste, fraud, disclose waste, fraud, abuseabuse, and , and corruptioncorruption to appropriate to appropriate authorities. authorities. 5 CFR § 2635.101(b)(11)5 CFR § 2635.101(b)(11)

To report a suspected violation, please To report a suspected violation, please contact the your immediate supervisor. contact the your immediate supervisor. If no action is taken you must report to If no action is taken you must report to his supervisor. his supervisor.

CONCLUSIONCONCLUSION Compliance with the ethics laws is Compliance with the ethics laws is

your personal and professional your personal and professional responsibility, but we are here to responsibility, but we are here to help!help!

Don’t let Don’t let fearfear get in the way. get in the way. Federal whistle blowing laws are in Federal whistle blowing laws are in place to protect you from place to protect you from retribution.retribution.

Remember Remember YOU HAVE TO LIVE WITH YOU HAVE TO LIVE WITH YOUR DECISIONS OWN YOUR YOUR DECISIONS OWN YOUR ACTIONSACTIONS

THANKS TO U.S. CUSTOMS – DEPT. OF THE TREASURYTHANKS TO U.S. CUSTOMS – DEPT. OF THE TREASURY