The Ethical and Lawful Board of Trustees California ...The Ethical and Lawful Board of Trustees Community College League of California California Community Colleges 5 Details on Brown

TheEthicalandLawfulBoardofTrusteesCaliforniaCommunityColleges

Contents Chapter1 OverviewofEthicsandLawsChapter2 CodeofEthicsChapter3 HandlingLegalandEthicalViolationsChapter4 ResourcesandReferencesCompiledbyDr.CindraSmithusingresourcespreviouslypublishedbytheCommunityCollegeLeague.Chapter1and2areadaptedfromChapter7intheLeague’sTrusteeHandbook.Chapter3isadaptedfromBoardFocus,Winter2006.

CommunityCollegeLeagueofCalifornia2017OStreet,Sacramento,CA95811www.ccleague.org2016

TheEthicalandLawfulBoardofTrustees CommunityCollegeLeagueofCaliforniaCaliforniaCommunityColleges 2

Chapter 1. Overview of Ethics and Laws Thetitleof“trustee”assumesamoral,ethical,andlegalobligationtofulfilladutytoprotectthecommunitycollegedistrictandservethepublicgood.Thepublicandthecollegemustbeabletotrustthemembersofthegoverningboardtodowhatislegalandethicaltoensurethesuccessoftheinstitutioninmeetingtheneedsofstudentsandthecommunity.Beinglegalmeanscomplyingwiththelawsandregulationsthatapplytocollegeboardsandelectedofficials.Ethicsreferstomoralresponsibilitiesandmaygobeyondlegalconsiderations.Ethicsarestandardsofrightandwrong,goodandbad.Ethicsaddresswhatoneoughttodotofulfillone’smoralduty.Beingethicalandlegalinvolvesmorethanunderstandingwhattherightthingistodo;itmeansthatonemustperforminethicalandlegalways–onemustactively“walkthetalk.”First,onedetermineswhatisrightorwrong,goodorbad.Then,onedoeswhatislegal,right,good.

Ethical Values TheethicalvaluesdescribedbelowarefromtheJosephsonInstitute,andarecalledthe“SixPillarsofCharacter”(seewww.josephsoninstitute.org).Thepillarsaretrustworthiness,respect,responsibility,fairness,caringandcitizenship.Trustworthiness.Whenwearetrustworthy,peoplebelieveinus.Beingtrustworthyrequireshonesty,integrity,reliability,andloyalty.Beinghonestmeanswearesincere,truthful,straightforward,andthatweavoiddeception.Itmeansnotviolatingconfidentiality,beinguncivil,ormakingpromisesthatonemightnotbeabletokeep.Integrityrefersto“wholeness.”Apersonwhohasintegrityisconsistentindecision-makingandbehavior,andbaseshisorherbehavioronacoresetofethicsorvalues.Reliabilitymeanswekeepourpromises.Ifwecommittoatask,wefollowthrough.Ethicaltrusteesspendthehourseachweekthatarerequiredtoperformthejobwell.Loyaltymeansprotectingandpromotingtheinterestsofpeople,agroupororganization.Asatrustee,theprimaryloyaltyistothecollegeandthepublicgood—loyaltytofriendsandinterestgroupsissubordinateregardingcollegebusiness.Respect.Thesecond“pillarofcharacter”isrespect.Itincludescivility,courtesy,decency,autonomy,andtolerance.Civilityandcourtesyareparticularlyimportantwhenengagingindiscussionswithotherswithwhomwedisagree.Autonomymeansthatwedonottrytoliveothers’livesforthem. Tolerancemeanswe

FourQuestions

Tohelpdetermineethicalbehavior,ask:

AmIdoingtootherswhatIwouldwantdonetome?WouldImindseeingwhatIamdoingonthefrontpageofanewspaper?AmIcomfortablewithmembersofmyfamilyknowingwhatIamdoing?DoIwantmybehaviortobeamodelforemployeesandstudents?


acceptothers’perspectivesandjudgeothersonlyontheircoreethicalvalues.Responsibility.Responsibilitymeansbeingwillingtomakedecisionsandchoicesandtobeaccountablefortheiractionsandwords.Responsiblepeopledonotshifttheblametoothers.Responsibilitymeansdoingthebestonecan,andbeingdiligent,careful,prepared,andinformed.Itmeanspersevering,followingthrough,andfinishingtasksthatonehaspromisedtodo.Responsibilityalsoinvolvesself-restraint,prudence,andrecognizingtheimportancetosetagoodexample.Responsibletrusteesrecognizethattherearesomelimitsonsayingordoingwhateveronewantsto,becausepeoplelooktothemasrepresentativesofthecollege.Fairness.Thefourthpillar,fairness,involvesequality,impartiality,opennessandusingdueprocess.Exhibitingfairnessinvolvesusingopenandimpartialprocessesforgatheringandevaluatinginformation,sothateventhosewhodisagreewithadecisioncanunderstandhowitwasmade.Itmeansseekingequityandavoidingfavoritismorprejudice.Caring.Caringmeansthatwearegenuinelyconcernedaboutthewelfareofothers.Aspublicofficials,wecareaboutthecommongoodandwelfareofthecommunity.Publiceducationisabenevolentactandexpressescaringforthepublicwell-being.Trusteesareoftenaskedtocareaboutmanydifferentpeople–communitymembers,students,faculty,andothers.Benevolenceasatrusteeinvolvesseekingthewell-beingoftheentirecommunity.Challengesarisewhendecisionsmustbemadeforthebenefitofthepublicwelfarethatmaynotmeettheneedsofspecificgroups.Caringtrusteesunderstandthosechallenges,andrealizethattheirrolerequiresfocusingonthepublicgood.Becausewecareaboutotherpeople,wecareaboutbeingethical,aboutbeingrespectful,responsible,andtrustworthy.Beingunethicaliseasierifwedonotcareaboutothers.Citizenship.Thefinal“pillar”iscitizenship,whichinvolveshowwebehaveaspartofacommunity.Ethicalcitizensobeylaws,contributetothecommunitythroughserviceandleadership,andprotecttheenvironment.Citizenshipisconcernedwiththefuturehealthandwelfareofsociety.Trusteeshipisanexpressionofcivicleadership,andtheethicsoftrusteeshipreflectgoodcitizenshippractices.Codes of Ethics VirtuallyallboardsoftrusteesinCaliforniaCommunityCollegeshavehadacodeofethics(orstandardofpractice)aspolicy.Theserulesofconductorstandardsofpracticearebasedonaboveethicalvalues.Havingandlivingbysuchacodeisgoodpractice,andhasbeenastandardoftheAccreditingCommissionforCommunityandJuniorCollegessincetheearly1990’s.Chapter2inthisresourceguidecoversmoreondevelopingandmaintainingauseful,effectiveethicalcodeforboards.


Legal Responsibilities Therearemanylawsandregulationsthataffectwhattheboarddoesandhowitconductsitself.Thestatutesthatdesignateboardresponsibilitiesarecoveredinchapter7oftheLeague’sTrusteeHandbook;otherchaptersrefertomanyrelevantlawsandregulations.Threemajorsetsoflawsthataffecttrusteesdirectlyarehighlightedbelow:conflictsofinterest,openandpublicmeetings,andpersonaluseofpublicresources.Conflicts of Interest Californiahastwosetsoflawsgoverningconflictsofinterestofpublicofficersandemployees.Thefirst,mostrestrictivestatutes,areinGovernmentCodesections1090,etseq.ThesecondisfoundinthePoliticalReformAct,atGovernmentCodesections81000,etseq.Thebasicintentofbothsetsofstatutesistoavoideventheappearanceofimpropriety.Thestatutesaddresspersonalintereststhatmaybeaffectedbythetrustee'sexerciseofhisorherofficialduties,includingpersonalinvestmentsandbusinesses,andtheemploymentoftrusteesandfamilymembersascollegeemployees.Inadditiontothelaws,trusteesshouldbeawareofactivitiesthatcreatetheperceptionoffavoritismorpersonalgain.Examplesofpotentialproblemareasarepreferentialtreatmentofothertrusteesorcollegestaff,selectivelysharinginformationwithonlycertainpeople,orinformallysteeringbusinesstoorseekingtohavefriendshired.Publicperceptionsthatboardmembersarefurtheringtheirowninterestsratherthanthoseofthedistrictharmthecollege.Beingsensitivetosituationsforpotentialconflicts,andseekinglegaladvicewhennecessarywillhelpavoidproblems.Itisimportantthatallpublicofficersandemployeesbeawareoftheselawsandtheirimplications,whichincludecriminalprosecutionsandbarsfromholdingfurtherpublicoffice.Conflictofinteresttraining(ethicstraining)isrequiredeverytwoyearsformanylocallyelectedofficials.ThetrainingisavailableonlineattheFPPCsitehttps://oag.ca.gov/ethics/courseandtheInstituteforLocalGovernmentsitehttp://www.ca-ilg.org/post/institutes-self-study-program-and-fppc-online-alternative.InpersontrainingisofferedbytheCommunityCollegeLeagueatthe:EffectiveTrusteeshipWorkshop,AnnualTrusteesConferenceandAnnualConventioneveryyear.FurtherinformationonconflictofinterestlawsispublishedinEthicsLawPrinciplesforPublicServants:KeyThingstoKnow,availablefromtheInstituteforLocalGovernment.Open and Public Meetings Statelawrequiresthatpublicboardsdotheirworkinpublic.Publicservicerequiresthatissuesaffectingthepublicaresharedanddebatedopenly.Doingsopromotestrustworthinessandreliability.TheBrownActcreatedtheprimarysetofstatutes(GovernmentCode54950-54961)thatgovernsthelegislativebodiesoflocalagencies.Communitycollegegoverningboards,academicsenates,andassociatedstudentgoverningbodiesareamongthegroupstowhomtheActapplies.Thelawscoverboardmeetingsandagendas,publicparticipation,andlimitsonhowboardsmaymeet.Theyprovideforholdingexecutiveorclosedsessionsonanumberofmatters,includingpersonnel,contractnegotiations,andlawsuits.Closedsessionsprotecttherightsofpersonnelandthecollege,anditisunlawfultorevealinformationdiscussedinthesesessions.


DetailsonBrownActprovisionsarecoveredinOpenandPublicIV,availablefromtheLeagueofCaliforniaCities.Use of Public Resources Boththelawandethicalconsiderationsprohibittheuseofpublicresourcesforpersonalbenefitandpoliticalactivity.Therefore,boardsusuallyhaveclearpolicieson,andtrusteesadheretotravelbudgetsandexpensereimbursementprovisions,andtheprohibitiononusingcollegeequipment,e-mailnetworks,supplies,andotherresourcesforpersonalreasons.LegalreferencesincludeEducationCode7054,7056,72423;GovernmentCode8314,andPenalCode424.Other Laws Therearemanyothercomplexlawsandregulationsthataffectthedistrictandboardresponsibilities.Keyareasinclude:

• electionsandcampaigns,• lawsuits,• auxiliaryorganizations,• fiscalmanagement,• confidentialityofrecords,• bondsandconstruction,and• personnel.

BoardsandCEOsshouldseeklegaladvicewhentheyhavequestions.Legal Advice Whileafewdistrictshaveanattorneyonstaff,mostdistrictsrelyoncountycounselorretainalawfirmorattorneytobeavailabletoanswerquestions.Nomatterwhethertheyareonstafforoncontract,collegeattorneysaretheretoadvisethedistrict.Heorsheisaresourcethatprovidesvaluableinformation,butisnotthedecision-maker.Attorneysareoftenpresentinclosedsessionsoftheboard,andshouldalwaysbetherewhendiscussingissueswithlegalimplications.Attorneysarenottheretoserveindividualtrustees.TrusteeswhohavelegalquestionsshouldworkthroughtheCEOand/orboardchairinseekingananswer.Whenboardsseeklegaladvice,theyshould:

• Planahead:giveattorneyssufficientleadtimetoprovideadviceonaquestion.• Askaboutlegalimplicationspriortomakingcertaindecisions:itiseasiertoprevent

problemsthansolvethem.• Beopenaboutallofthefactsofasituation,bothgoodandbad.• Acceptandexpectrealisticassessmentsofthelegalposition,includingoptionsandtherisk

involvedinvariousalternatives.• Understandthatlegaladvicetopublicinstitutionsisusuallyconservative,inordertoprotect

thepublictrust.• Getlegaladviceinwritingtoavoidmisunderstandings.• Avoidenteringintoadversarialsituations,ifpossible:lookforlong-termsolutionsto

problems.


Summary Toprotectthedistrictandfulfillthetrust,boardsmustfirstensurethattrusteesandthecollegeareawareofandadheretolawsandregulations.Threemajorlegalconcernsfortrusteesareconflictsofinterest,openandpublicmeetings,andpersonaluseofpublicresources.Legaladvicemaybenecessaryfromtimetotimeinordertoensurecompliancewithamyriadoflawsandregulations.Ethicalpublicserviceisbasedonadesiretodogoodforthecommunity.Ethicalbehaviorbytrusteesenhancesthevalueofthecollegeandsetsahighstandardfortherestofthecollege.Ethicalleadershipbytrusteesmakesitmorelikelythatthecollegewillfulfillitsmissiontothecommunity.Codesofethicsdefineinmoredetailforboardmembershowpublicserviceisbestexpressed,andarecoveredinthenextchapter.


Chapter 2. Codes of Ethics Trusteeshipbringswithitcertainresponsibilitiesandexpectations,manyofwhicharerelatedtobeinganelectedpublicofficial.Thepublicexpectsanddeservesthatitsrepresentativesstrivetoupholdhighstandardsintheperformanceoftheirduties.Codesofethics(or“standardsofpractice”astheyaresometimescalled)definespecificexpectationsforboardmembers.Itisimportantforboardstoclarifyforthemselves,thecollege,andthecommunity,whatbehaviortheythinkisappropriate.Itisnotenoughtoassumethatbecausesomethingislegal,thatitisethical.Norcananyoneassumethattrusteesknowhowtheyaresupposedtoactasboardmemberstheminutetheyareelectedorappointedtotheposition.Codesofethicsputinwritingwhatthe“oughts”areoftrusteeship.Theyaddressboardrolesandresponsibilities,andtrusteeconduct.Codesofethicsarepoliciesthatstatehowboardsandtrusteesshouldperformtheirresponsibilities.Theyareusedasreferenceswhentherearequestionsaboutspecificsituationsorbehaviors.Theyareusefultoolstoorientnewtrusteestotheirresponsibilities.Thepoliciesandpracticesinacodemayalsobeusedascriteriaforboardself-evaluations.AccreditationStandardIV.C.11states,inpart:“Thegoverningboardupholdsacodeofethicsandconflictofinterestpolicy,andindividualboardmembersadheretothecode.Theboardhasaclearlydefinedpolicyfordealingwithbehaviorthatviolatesitscodeandimplementsitwhennecessary.”Codes of Ethics Address Board Roles Ataminimum,codesofethicsaddressthefollowing:Representcommongood.Trusteeshipisanexpressionofcivicleadershipandcitizenship.Governingboardsderivetheirauthorityfromandareaccountabletothecommunityasawhole.Aspublicofficials,trusteesfulfillthecorevalueofresponsibilitytosocietybyactingonbehalfoftheentirecommunity.Theyexpressthevalueofbenevolencebyseekingthewell-beingoftheentirecommunity.Theyrepresenttheinterestsofthelargercommunityintheirboarddecisions.Studentsuccess.Thecollege’spurposeistoeducatestudentsanddoeverythingpossibletoensuretheymeettheirgoals.Boardsshouldexpecttheirmemberstoupholdthewelfareandsuccessofstudentsasaprimaryconcern.Theyshouldhaveasthehighestprioritypromotingthemissionandgoalsofthecollegeastheypertaintostudentsuccessandthecollege’sbenefittothecommunity.Boardasaunit.Oneofthemostbasictenetsofeffectivetrusteeshipistherecognitionthatgoverningauthorityrestswiththeentireboard,notwithanyindividualtrustee.Asindividuals,trusteeshavenoauthoritytodirectstaff,determineprogramsandprocedures,orrepresentthecollege,andethicaltrusteesdonottrytodoso.Theboard’svoiceisexpressedthroughthepoliciesandactionsittakesinitsofficialmeetings.Oncetheboardhasdecidedonapolicyorposition,atrusteemustbepreparedtosupportitpublicly.Itisunethicaltotrytouseauthorityindependentlyfromtheboard,tospeakoutagainst,ortotrytosabotageaboarddecision.


Makingdecisions.Makingethicaldecisionsmeansapplyingdefiningandapplyingcorepolicyvalues.Itmeansstudyingandaskingquestionstoclarifyboardagendamaterials.Makinggooddecisionsmeansaskingforandusingdataandconsideringallavailablefactsandperspectives.Boardsareethicalwhentheymodelaspiritofinquiryandvalueacultureofevidencefordecision-making.Beingethicalandresponsibletothepublicmeansnotmakinganypromisesabouthowonewillvotepriortodiscussionsatopenmeetings.BoardandCEORelations.TheChiefExecutiveOfficer(ChancellororSuperintendent/President)istheonlyemployeetheboardhas.Tobeethicalandeffective,boardspromoteahealthyworkingrelationshipwiththeCEOthroughsettingexpectations,clearlydelegatingauthority,ensuringopenandhonestcommunication,providingongoingandpublicsupport,andconductingregularevaluationsinaprofessionalmanner.Respect,reliability,trustworthinessandjusticeareallkeyvaluesintheboard/CEOrelationship.Specificethicalconceptsincludecommittingtothoughtful,thoroughCEOsearchprocesses;fairandattractivecontracts;“nosurprises,”andcleardifferentiationofroles.Specialinterests.Singleandspecialinterestgroupsplayanimportantpartinrepresentingvarioussegmentsofourdiversesociety,suchaspoliticalparties,racialandethnicgroups,employeeassociations,religiousgroups,neighborhoodassociations,andtaxpayergroups.Whilealloftheseinterestsareimportant,trusteesmustrememberthatthefirstandforemostobligationofeverytrusteeistorepresentthegeneralinterestsofthecollege’sservicearea.Ethicalbehaviorinvolvesbeingawareofawidevarietyofpublicandcommunityneeds,andintegratingthemintotheinterestsofthewhole.Policy-making.Boardresponsibilitiesincludeestablishingpoliciesthatdirecttheoperationsofthecollegeandassuringthatthecollegeperformsaccordingtopolicies.Ethicaltrusteesengagewiselyinpolicymakingandrespectthedelegationofauthoritytothechiefexecutivetoadministerthecollege.Problemsoccurwhenboardsandtrusteesbecomeinvolvedintheday-to-dayoperationsandtrytosecondguessordirectstaffactivities.Althoughoftenwellintentioned,theseactsaredisrespectfulofthecollegeandchiefexecutive.ContinuousImprovement.Ethicalandeffectiveboardsarededicatedtocontinuousimprovementoftheirperformance.Theyengageinregularself-evaluation,andsupporttrusteeorientationandon-goingeducation.Codes of Ethics Address Trustee Conduct Commitment.Ethicaltrusteesarecommittedtodoingthejobwell.Theyspendthetimeneededtoensuretheyarewell-informed,attendcollegeevents,andrepresentthedistrictinthecommunityandinadvocacyroles.Theyaligntheirbehaviorwiththeneedsofthecollege,andarecommittedtodoingwhatisneededtoprotectthedistrict’sreputation.Civility,decorum,andconsiderationforothers.Remainingcourteousandopen-mindedandtreatingotherswithhonesty,decency,andrespectarecharacteristicofethicaltrustees.Ethicaltrusteespracticeresponsibleself-restraintandsetagoodexampleforothersbycommunicatingthoughtfully.Theyavoidattacksandusecourteous,non-inflammatorylanguageatboardmeetings.


Considerationforothersmeansspeakingwellofothersinpublic.Criticizingorbelittlingothertrustees,collegestaff,orcommunitymembershurtsthereputationoftheentireboard.Board/CEOrelationship.EthicalbehaviorincludeshonoringtheCEO’sroleastheleaderoftheinstitution,andnotundermininghisorherleadershipandauthority.EthicaltrusteessupporttheCEOpubliclyandraiseanyconcernsprivatelydirectlytotheCEOorthroughtheCEOevaluationprocess.Theyhonorboard-establishedprotocolsforcommunicationandseekinginformationfromcollegestaff.Opencommunication.Allboardmembers,aswellastheCEO,areresponsibleformaintaininganopen,cooperativeenvironmentandpromotingafreeexchangeofinformationattheboardmeetings.Trusteedeliberationsshouldbecharacterizedbyfairness,andopenandimpartialprocessesforgatheringandevaluatinginformation.Trusteesarehonestandstraightforwardincivilandrespectfulways.Communicatingwithstaffandstudents.TheboardandCEOshoulddiscussandreachagreementonprotocolsfortrusteecontactwithothercollegeadministrators,faculty,andclassifiedstaffmembers.EthicaltrusteessupporttheauthorityoftheCEOpositionandrespectestablishedlinesofcommunication.Studentandemployeecomplaintstotrusteesshouldbereferreddirectlythroughappropriatechannelsortothechiefexecutiveofficer.Everycommunitycollegehas,orshouldhave,policiesandproceduresthatprovideforfairandethicaltreatmentofstudentsandemployees.Communicatingwithcommunitymembersandmedia.Acodeofethicsmayincludestatementsaboutprotocolsforcommunicatingwithcommunitymembersandmediapersonnel.Theprotocolsusuallystatethatindividualtrusteesdonotspeakfortheboardunlessspecificallydelegatedtodoso,andreferand/orfollowupwithcommunitymembersthroughappropriatechannels,almostalwaysthroughtheCEO’soffice.Theseprotocolsensurereliabilityofinformation,andrespecttheboardasaunitandtherolesofthosedesignatedasspokespeopleforthecollege.Functionasateammember.Beingagoodboardmemberrequirestheabilitytofunctionaspartofateam.Boardmembersdifferinpersonality,motivation,knowledge,attitude,experience,background,communitystature,andcapability.Differingpointsofviewhelpdevelopalternatives,stimulatetheimagination,andleadtocreativesolutions.Beingopentoandrespectfulofothermembers'viewpointsareskillsthatarenecessarytoreachconsensus.Trusteesoftenbringspecializedknowledgetotheboardbyvirtueoftheirbackgroundsandprofessions.However,trusteesarenotontheboardtobe"experts"intheirfields–theyaretheretorepresentbroadcommunityinterests.Maintainingconfidentiality.Whilemostofwhattheboarddoesispublic,animportantaspectoftrusteeethicsismaintainingconfidentialityaboutissuesdiscussedinclosedsession.Violatingconfidentialityoccurswhenindividualsshareclosedsessioninformation,suchasinformingtheunionofthecollectivebargainingpositions,leakinginformationtothemedia,ordiscussingprivatepersonnelinformation.Compensationandexpenses.Trusteesshouldfollowlawsandlocalproceduresaboutreceivingcompensationofanykind.Boardsandcollegesshouldhavereimbursementcriteriaandprocedures


thatdefinefairreimbursementfortrusteeexpenses.Ethicaltrusteesaccuratelyaccountfortheirexpenses,andalwaysaskthemselvesiftheirexpensesareauthorized,legitimate,andreasonable.Reviewing and Updating Codes of Ethics Sincetheearly1990’s,virtuallyallboardshaveadoptedacodeofethicsorstandardsofpracticeasaboardpolicy.DevelopingsuchadocumentideallyengagedalltrusteesandtheCEOindiscussionsofethicalvaluesastheysoughtconsensusaboutwhatshouldbeintheirpolicy.Sincethattime,goodpracticehasmeantthatboardsperiodicallyreviewandaffirmtheircodeofethics.Bestpracticeisthattheboardperiodicallyengagesinadeepdiscussionabouteachofthestatementsinthecode.Thediscussionhelpsclarifythevaluesinherentinthecodeandexplorestrustees’interpretationofthestandards.Itmayresultinrevisionsandadditionstothecodeofethics,therebyensuringthatthepolicyiscurrent,useful,andrelevanttotheboard.Suchareviewmightincludecomparingtheboard’scurrentethicspolicytotheboardrolesandtrusteeconductdefinedabove.Doesthecodesufficientlyaddressalltheissues?Aretrusteesclearabouttheexpectationsfortheirrole?Inadditiontotheperiodicreview,discussionofthecodeofconductshouldbeanintegralpartofnewtrustees’orientationtotheirrole.Itisextremelyhelpfulfornewtrusteestounderstandwhattheexpectationsareforlegalandethicalperformanceasamemberoftheboard.Sample Codes TheAssociationofCommunityCollegeTrusteeshaspublishedamodelcodeofethics,includedbelow.Boardsmayalsocollectexamplesfromothercolleges,usuallybygoingtotheboardpoliciespostedoncommunitycollegedistrictwebsites.However,muchofthebenefitofacodederivesfromthediscussioninvolvedthatfitstheboard.Therefore,effectiveboardsengageindiscussionsaboutethicalpracticesforthemselves,insteadofsimplyadoptingasamplestatement.Thediscussionusuallytakesplaceinaretreatformatallowingforopendiscussionofethicalvaluesanddifferentscenarios.Association of Community College Trustees Model Code of Ethics Asagoverningboardmember,Iamresponsibleto:§ devotetime,thought,andstudytothedutiesandresponsibilitiesofacommunitycollege

boardmembersothatImayrendereffectiveandcreditableservice;§ workwithmyfellowboardmembersinaspiritofharmonyandcooperationinspiteof

differencesofopinionthatariseduringvigorousdebatesofpointsofissue;§ basemypersonaldecisionuponallavailablefactsineachsituation;votemyhonestconviction

ineverycase,unswayedbypartisanbiasofanykind,andtoabidebyandupholdthefinalmajoritydecisiontotheboard;

§ rememberatalltimesthatasanindividualIhavenolegalauthorityoutsidethemeetingsof

theboard,andtoconductmyrelationshipswiththecommunitycollegestaff,thelocal


citizenry,andallmediaofthecommunityonthebasisofthisfact;§ resisteverytemptationandoutsidepressuretousemypositionasacommunitycollegeboard

membertobenefitmyselforanyotherindividualoragencyapartfromthetotalinterestofthecommunitycollegedistrict;

§ recognizethatitisasimportantfortheboardtounderstandandevaluatetheeducational

programofthecommunitycollegeasitistoplanforthebusinessofcollegeoperation;§ welcomeandencourageactivecooperationbycitizens,organizations,andthemediaof

communicationinthedistrictwithrespecttoestablishingpolicyoncurrentcollegeoperationsandproposedfuturedevelopments;

§ Speakwithonevoiceasaboardmemberonceaboarddecisionismade.§ Supportthestateandnationalcommunitycollegetrustees’associations;§ Strivestepbysteptowardidealconditionsforthemosteffectivecommunitycollegeboard

servicetomycommunity,inaspiritofteamworkanddevotiontopubliceducationasthegreatestinstrumentforthepreservationandtheperpetuationofourrepresentativedemocracy.


Chapter 3 Upholding Board Ethics “Icareabout,serve,andrespectthecommunity,thecollegeanditsemployees,andourstudents.”“Iamlaw-abiding,trustworthy,andfair.”Virtuallyallcommunitycollegetrusteesbelievetheseimportantethicalvalues.Thepublicandcollegeemployeesexpectcommunitycollegetrusteestoupholdthesehighstandardsintheperformanceoftheirduties.Governingboards,whichservethepublicandprovideleadershipforthecampuscommunity,mustliveuptotheseexpectations.Ethicalbehaviorfostersconfidenceinthecollegesanditsgoverningboardandpromotesthepublicgood.Beingethicalmeansupholdingthevaluesoftrustworthiness,respect,responsibility,fairness,caring,andcitizenship.However,livingbyethicalstandardsisnotalwayseasy.Boardsmayfaceethicaldilemmas,whenhonoringoneethicalvaluemaymeanviolatinganother.Inaddition,peoplefacechallengestoupholdethicalvalueswhentheyconflictwithself-interest,thedesiretopromotesingleinterestsorapersonalagenda,andthedifficultyoffullyrespectingthosewithwhomonedisagrees.Whenethicaldilemmasoccur,oneethicalcourseofactionmaymeanthatanothervalueisviolated.Makingadecisiontodowhatisrightforthecollegemayresultinsignificantpersonalcosttotrustees,tootherpersons,ortoagroupofconstituents.Inothercases,makingadecisionthatupholdsoneethicalsetofvaluesmaybeatoddswithanother.Forinstance,supportingaregionalorstateinitiativethatbenefitscommunitycollegesasawholemaymeanthatalocalneedmightnotbemetasfully.Resolvingethicaldilemmasrequiresboardmemberstoengageinoftenverydifficultdiscussionstodeterminewhichethicalvaluesaremostimportantinaspecificsituation.Thecriteriafordecision-makingincludewhatupholdsthepublicgoodandwhatisbestforthecommunityandcollegeasawhole.Unethicaltrusteebehavioroftenoccurswhenpersonalinterestsoverridetrusteeresponsibilities;examplesincludeindependentlypursuingpetprojects,breakingconfidentiality,ornotdevotingtimetotherole.Theseactivitieshurtthecollege.Unethicaltrusteebehaviorcanleadtolossofpublicsupportfortheentireinstitution.Ithascausedproblemsinthere-accreditationprocess.Communitymembersandlegislatorslosefaithinthecollege,andmaybemorereluctanttosupportfundingfortheinstitution.Trusteeswhoactunethicallyfailtofulfilltheirfiduciaryresponsibilitytoprotectthevalueofthecollege.Ethical Violations Cause Harm Trusteeswhoviolatetheboard’scodeofethicsharmtheboardandthecollegeinanumberofways.Violatingethicslawsmaysubjecttheboardandcollegetolegalaction,whichcaninvolvepenaltiesandsignificantcosts.Notaddressingethicalandlegalviolationsmaycausethepublicandcollegeemployeestoloserespectforandtrustintheboard,whichmayleadtolossoftrustinthecollegeanddistrict.Unethicalbehaviormayreducesupportforcommunitycollegeissuesfromcommunityleadersandthestatelegislature.Bondissuesarelesslikelytopass.Collectivebargainingprocessesaremoredifficult.Significantviolationshavecausedcollegestorisktheiraccreditationstatus.


Boardscannotaffordtoignore“badbehavior”andviolationsofthecodeofethics.Itisdifficulttoapproachafellowtrusteeaboutperceivedviolations,butitmustbedoneforthesakeofthecollegeanditsstudents.Thestrategyaboardusestoaddressethicalbreachesdependsonwhetherthebehaviorviolatesrelatedlawsortheboard’sowncodeofethics.Types of Violations ViolatingEthicalLawsTherearethreemajorcategoriesoflawsthataddressethicalbehaviorbypublicofficials.Allboardsshouldhavepoliciesthataddresstheissuesintheselaws.FinancialInterests.Conflictsofinterestlawsprohibittrusteesfromfinanciallybenefitingfromboarddecisions,oractingonmattersthatbenefitfamilymembers.FairandOpenDecision-Making.California’sopenandpublicmeetingslaws(theBrownAct)requirethatthepublic’sbusinessbedoneinpublic.Examplesofviolationsincludemakingdecisionsinprivatethatshouldbemadeinpublicmeetings,discussingitemsthathavenotbeennoticedtothepublic,andviolatingprovisionsthatclosedsessioninformationbekeptconfidential.UseofPublicFunds.Itisafelonytomisusepublicfunds.Examplesincludeclaimingexpensesthattheydidnotincurandusingcollegeresourcesforpersonalorpoliticalpurposes.Furtherinformationonethicslaw,stepstotake,andtheconsequencesofviolatingthemisinWalkingtheLine:WhattoDoWhenYouSuspectanEthicsProblem,bytheInstituteforLocalGovernment(2005).Seewww.ca-ilg.org/ethics-and-public-confidence.Actualorperceivedviolationsofthelawmustbedealtwithexpeditiouslyandlegaladviceshouldbesought.Astudysessionorworkshopmaybeappropriatefortheentireboardifitappearsthattrusteesmaybeunawareofthelaw.Upholding Ethics Preventionisthebestcureinpromotingethicalbehavior.Thebestpreventionconsistsofadoptingacodeofethicsandconflictofinterestpolicy,educatingboardmembersaboutlawsandethicalexpectations,andmakinganongoingandpubliccommitmenttobehavinglegallyandethically.Effectiveboardsperiodicallyreviewtheirpoliciesonethicsandconflictsofinteresttobesuretheycontinuetobeeffectiveguidesforboardbehavior.Theyfosterawarenessofethicalexpectationsby:

• Ensuringthatalltrusteesareawareoftheboard’sethicalexpectationsbyprovidingittoalltrusteesandhavingitavailableatboardmeetings.

• IncludingthecodeofethicsandconflictsofinterestwhenorientingnewtrusteesandCEOs.

• Usingthestandardsinthecodeascriteriaintheboardself-evaluationprocess.• Identifyingconsequencesforviolationsofthecodeofethics,sinceviolationsnegatively

impacttheboardandthecollege.Policy on Ethical Violations AccreditationStandardIV.C.11statesthatboardsmusthaveapolicythataddressesviolationsofthecodeofethics.Thestatementshouldaddressstepstoaddresspotentialoractualviolationsofethics


laws(openmeetings,conflictofinterestanduseofpublicresources),aswellastheboard’sownexpectationsforbehavior.Followingarethreestatementsfoundinmanycodesofethicsandexamplesofbehaviorsthatviolatethestatement.• “Werecognizethatatrusteeisamemberofalegalentityandshallabidebymajority

decisionsoftheboard.Weworkwithfellowboardmembersinaspiritofharmonywhilerespectingdifferencesofopinion.”Examplesofviolationsincludeattackingothertrusteesorthepresidentinpublic,publiclyadvocatingagainstboarddecisionsaftertheyaremade,orsabotagingtheworkoftheboard.Trusteesmustfindethicalwaystoexpresstheirindividualopinionsthatdon’tviolatetheall-importantprinciplethattheboardisaunit.

• “WeclearlydelegatetoandsupporttheCEOintheperformanceofhisorherresponsibilities.”

Examplesofviolationsincludeongoingandsubstantialattemptsbytrusteestoadminister,ratherthangovernthecollege,whichviolatetheseparationofCEOandboardroles.Examplesincludeignoringlocaldecision-makingprocessandcommunicationprotocolsbyworkingdirectlywithstaffmembers,tellingcollegestaffwhomtheyshouldhire,andattemptingtodirecttheday-to-daydutiesofstaffmembers.

• “WerepresenttheDistrictasawhole,butrecognizetheuniqueneedsoftheindividual

collegesandlocalcommunities.Wearenotadvocatesforspecialinterestgroups.”Trusteeswhopersistentlyadvocateasingleinterestinsteadofthecommonpublicgoodmaybeviolatingthisstatement.Examplesincludetrusteeswhoignorethebroadrangeofpublicneedsincommunitycollegeeducationintheirdecision-makingandappeartobeagentsofaunion,aspecificcommunitygroup,orabusinessinterest.Allinterestsareimportantandshouldbeconsidered;butsolelyrepresentingsingleinterestsdoesnotservethegreatergoodforthecollegeandcommunity.

Steps in Addressing Legal and Ethical Violations Theboardoftrusteeshasresponsibilityformonitoringitself,andthechairplaysakeyroleinensuringthatlawsandcodesofethicsarefollowed.WhileCEOshelpensuretheboardisknowledgeablebyprovidinginformationaboutethicslawsandtheboard’scodeofethics,theyshouldnotbeputinthepositionofenforcingtrustees’ethicalbehavior.BoardsandCEOsshouldseekadvicefromlegalcounselregardingviolationsthatmayhavelegalramifications.Apresentationbyanattorneyaboutlegalconstraintsandstandardsexpectationsmaybeallthatisneededtopreventfurtherviolationsoflawandregulations.TheCEOcanbeveryhelpfulinensuringthatboardmembers(particularlynewones)havetheinformationtheyneedtobeawareoflegalexpectationsandalertingtheboardtoitslegalresponsibilities.Ethicaldilemmasarenotuncommon,wherepeoplearefacedwithdecisionswheretheymustbalancetwoconflictingethicalvalues,orwheredoingtheethicalthingcomesatgreatpersonalcost.Goodpeoplemaydisagreeonwhetherornotcertainbehaviorisunethical.Therefore,afirststepinaddressingaperceivedviolationofanethicalcodeorlawistoexaminethevariousperspectivesaboutandinterpretationsofthebehavior.Lookbothattheintentionandmotivesofthetrusteeinquestionandthosemakingthecharge.Wastheactionordecisionbased


onanethicaldilemma?Isthedecisionopentointerpretation?Doestheperceivedviolationbetraythepublictrust?Dothoseexpressingtheconcernhaveaparticularinterestthatmayinfluencetheirperception?Accusationsofunethicalbehaviorcandoasmuchharmtoaninstitutionasthebehaviorunderquestion—caremustbetakenthatmisguidedrighteousnessdoesnotdomoreharmthangood.Unfortunately,someaccusationsmaybebasedonretribution,personalbenefitorthedesiretoembarrasssomeone.Therefore,whenconsideringchargesthatanethicalcodehasbeenviolated,oneshouldtakeintoaccountthemotivesofthepartiesinvolved.Aretheytobenefitthecollegeanditsmission,aretheytobenefitorprotectacertaingroupofpeopleorthetrustee,orarethereotherpossiblemotives?Alsothinkaboutwhetheraddressingthebehaviorwillfosterconfidenceinthedistrictanditsgoverningboard.Takeintoaccountwhatwillhappenifthisissueisnotaddressed.Whenconsideringpossibleresponses,choosetheone(s)thataremostlikelytoupholdthepublictrustandthatmostcloselyreflectethicalvalues.Addressingethicalissuesistheresponsibilityoftheboardchairorothertrusteesidentifiedbytheboard.Followingaresomepossiblecoursesofaction:• Theboardchairordesigneetalkstothepersonabouttheimplicationsoftheperceived

violation,includingthenegativeimpactthebehaviorwillhaveonthecollege,theboard,andtheindividualtrustee.Anopportunityshouldbeprovidedforthepersontoexplainhisorherperspectiveandmotivesandtosetmattersstraight.Goodhumanrelationsandcommunicationskillsarehelpfulinhandlingthesedifficultsituations—chargingsomeonewithunethicalbehavioroftenleadstodefensiveness.

• Anadhoccommitteemaybeappointedtolookintotheallegationsandmakearecommendationtotheboardchairortheboardasawhole.BeawareoftheimplicationsoftheBrownActwhenestablishingacommittee.

• Theboardmayholdaworkshoporretreatoncodesofethicsandtheimportanceof

upholdingthem.Alltrusteesdiscussinterpretationsofthecodeandreinforceexpectedbehavior.

• Theboardmay,inameeting,makeapublicstatementofexpectedboardbehavior,adopta

boardresolutionaboutwhatexpectedbehavioris,and/orpubliclyreaffirmtheethicspolicy.Thiscourseofactionalertsthepublicthatindividualviolationsarenotcondonedbytheboard.

• Theboardmayissueapublicstatementinwhichitexpressesconcernwithanindividual

trustee’sbehavior.Thestatementwouldbemadeataboardmeeting.• Alastresortisaboardvotetocensurethetrustee’sbehavior.Censuredistancestheboard

fromtheunethicalbehaviorofoneofitsmembersandisaclear,publicstatementthatunethicalbehaviorisnotcondonedortolerated.However,censureofficiallydividestheboard,whichmayleadtoadditionalproblems.

Ifillegalorunethicalbehavioroccursduringaboardmeeting,thechaircanstatewhattheexpectationsandstandardsareofboardbehavior,recessthemeeting,and/orstatethatthe


behaviorisnotthepolicyandpracticeoftheboard.Examplesofpossibleethicalviolationsincludethetrusteeremainingattheboardtablewhenheorshehasaconflictofinterest,engagingindebateordiscussionwithaudiencemembersontopicsnotontheagenda,attackingaspeaker,ornotfollowingtheboard’smeetingprocedures.Policy Statements Effectiveboardshaveaprocesstodealwithviolationsoftheboardcodeofethics.In2002,theAccreditingCommissionforCommunityandJuniorCollegesadoptedstandardsthatrequirethattheboard’scodeofethicsincludea“clearlydefinedpolicyfordealingwithbehaviorthatviolatesitscode.”Conceptsthatmaybeaddressedinsuchapolicyincludewhoontheboardisresponsibletoaddresschargesorperceptionsofviolations,whatstepswillbetakentoexamineandaddressbothlegalandethicalviolations,andpossibleconsequencesofviolations.Thefollowingsamplestatementsareprovidedasstartingplacesforboarddiscussion.Boardsshouldchange,deleteoraddadditionaldetailtothesuggestedlanguagetoreflecttheirownprocedures.

Sample1TheCEOandboardchairareauthorizedtoconsultwithlegalcounselwhentheybecomeawareoforareinformedaboutactualorperceivedviolationsofpertinentlawsandregulations,includingbutnotlimitedtoconflictofinterest,openandpublicmeetings,confidentialityofclosedsessioninformation,anduseofpublicresources.ViolationsoflawmaybereferredtotheDistrictAttorneyorAttorneyGeneralasprovidedforinlaw.Violationsoftheboard’spolicycodeofethicswillbeaddressedbythepresidentoftheboard,whowillfirstdiscusstheviolationwiththetrusteetoreacharesolution.Ifresolutionisnotachievedandfurtheractionisdeemednecessary,thepresidentmayappointanadhoccommitteetoexaminethematterandrecommendfurthercoursesofactiontotheboard.Sanctionswillbedeterminedbytheboardofficers[orcommittee]andmayincludearecommendationtotheboardtocensureofthetrustee.Ifthepresidentoftheboardisperceivedtohaveviolatedthecode,thevicepresidentoftheboardisauthorizedtopursueresolution.

Sample2Chargesbyanypersonthataboardmemberhasviolatedlawsandregulationsgoverningboardbehaviorortheboard’scodeofethicsshallbedirectedtotheboardpresidentortheboardoftrustees.Theboardchairmayestablishanadhoccommitteetoexaminethechargesandrecommendfurthercoursesofactiontotheboard.Possiblecoursesofactioninclude:

• Ifallegedbehaviorviolateslawsgoverningboardbehavior,legalcounselmaybesoughtandtheviolationsreferredtotheDistrictAttorneyorAttorneyGeneralasprovidedforinlaw.

• Iftheallegedbehaviorviolatesboardpolicyonethicalconduct,thechairoftheboardshallalerttheboardmemberinquestionregardingtheviolationofpolicy,theboardmaydiscusstheviolationataboardmeetingandaffirmitspolicy


expectation,and/ortheboardmaymovetocensurethetrustee.

Sample3AllboardmembersareexpectedtomaintainthehigheststandardsofconductandethicalbehaviorandtoadheretotheBoardCodeofEthics.Theboardwillbepreparedtoinvestigatethefactualbasisbehindanychargeorcomplaintoftrusteemisconduct.Aboardmembermaybesubjecttoaresolutionofcensurebythegoverningboardshoulditbedeterminedthattrusteemisconducthasoccurred.Censureisanofficialexpressionofdisapprovalpassedbythegoverningboard.Acomplaintoftrusteemisconductwillbereferredtoanadhoccommitteecomposedoftwotrusteesnotsubjecttothecomplaint.Inamannerdeemedappropriatebythecommittee,afact-findingprocessshallbeinitiatedandcompletedwithinareasonableperiodoftimetodeterminethevalidityofthecomplaint.ThecommitteeshallbeguidedinitsinquirybythestandardssetforthintheCodeofEthicsasdefinedinpolicy.Thetrusteesubjecttothechargeofmisconductshallnotbeprecludedfrompresentinginformationtothecommittee.Thecommitteeshall,withinareasonableperiodoftime,makeareportofitsfindingstothegoverningboardforaction.

Summary Itisnotenoughtohavepoliciesoncodeofethicsandconflictofinterests.Effectiveboardsunderstandandabidebytheconceptsinthesepolicies,andarewillingtoaddressviolationsofthesepolicies.Suchboardsgoalongwayofjustifyingthetrustthepublichasplacedinthemtoprotecttheircommunitycolleges.


Chapter 4: Resources and References CommunityCollegeLeagueofCaliforniaTheLeaguehelpsallnewtrusteeslearnabouttheirrolesandresponsibilitiesbyprovidingeachnewtrusteewithTrusteeHandbook,EthicsLawPrinciplesforPublicServants:KeyThingstoKnow(publishedbytheInstituteforLocalGovernment)andOpenandPublicIV,AUser’sGuidetotheRalphM.BrownAct.ThesematerialsandothersaredistributedattheannualEffectiveTrusteeshipWorkshop,designedfornewtrusteesandothersinterestedinimprovingboardeffectiveness.InstituteforLocalGovernmentTheInstituteisthenonprofitresearcharmoftheLeagueofCaliforniaCities,isanoutstandingsourceofresearchandinformationforCalifornia'slocalofficials.TheInstitutehasextensiveresourcesonethicsforlocalofficials,mostofwhichareavailableontheweb,www.ca-ilg.org.

Otheroutstandingresourcesformaterialsandtrainingonethicsare:

• JosephsonInstituteofEthics,LosAngeles,http://www.josephsoninstitute.org.• MarkkulaCenterforAppliedEthicsatSantaClaraUniversity,http://www.scu.edu/ethics.• InternationalCity/CountyManagementAssociation,www.icma.org.

References • AccreditingCommissionforCommunityandJuniorColleges.HandbookofAccreditationand

PolicyManual,2014

• AssociationofCommunityCollegesTrustees,www.acct.org.• CommunityCollegeLeagueofCalifornia,TrusteeHandbook,Sacramento,CA2015• CommunityCollegeLeagueofCalifornia,“UpholdingBoardEthics”,BoardFocus,Winter2006

• Open&PublicIV:User'sGuidetotheRalphM.BrownAct.Sacramento,CA:LeagueofCalifornia

Citiesandothers,2010.• Houle,CyrilO.GoverningBoards.SanFrancisco:JosseyBass,1989• InstituteforLocalGovernment.WalkingtheLine:WhattoDoWhenYouSuspectanEthics

Problem,Sacramento,CA,2005.• InstituteforLocalGovernment.EthicsLawPrinciplesforPublicServants:KeyThingstoKnow.

Sacramento,CA2015-2016.• Josephson,Michael.MakingEthicalDecisions.www.josephsoninstitute.org.

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