Presentation on theme: "Presented By Michael Clark"— Presentation transcript:
1 Presented By Michael Clark Ethical DecisionsPresentedBy Michael Clark
2 Overview Air Force Core Values Ethics Definition Prescriptive Approaches Decision MakingGovernment Auditing StandardsCode of EthicsGeneral Ethics PrinciplesEthical Decision Making ProcessExamples of Poor Ethical Decisions
3 Air Force Core Values Integrity first Service before self Excellence in all we do!The Air Force is built on these shared values that make up the framework in our business environment.Integrity first. Every employee whether uniform or civilian must at all time act with the highest level of intergrity.Service before self. The Air Force performs a service for the nation by protecting the country her at home and abroad.Excellence in all we do. This must be the standard in our activities and performing our duties.
4 What is the right thing to do? Exploring EthicsQUEENSLAND PUBLIC SERVICE COMMISSION ETHICS AND ETHICAL DECISION-MAKING TRAININGTopic: Exploring ethicsObjective: Public Service Employees demonstrate an understanding of how public service ethics relate to their roleCore message area: What are ethics?Ethics Trainers & Advisors InstructionsTo understand why ethics are important, we need to know what they are. Explore this with participants, getting them to identify what they think ethics are and forming a shared understanding of ethics. The following ideas may be a useful starting point for discussion.Core message content and discussionTo understand why ethics are important, we need to know what they are. Essentially, ethics can be defined as a means of answering the question: (in this situation) ‘What should I do?’ Behaving ethically can then be defined as ‘doing the right thing’.Sometimes it is clear what we should do, in these situations being ethical is about choosing to do the right thing. As public service employees we have legislation, policy and procedures that usually determine what is required of us.However sometimes what we should do is less clear, in these situations being ethical is about exercising judgement and identifying the right thing to do, given all the circumstances. The Public Sector Ethics Act 1994 (the PSEA) provides us with guidance in these situations by setting out the principles and values that we must take into account in deciding what the right thing to do is.There are many different approaches to answering the question ‘what should I do?’Some of the key approaches are:Utilitarian Approach - identifying which action will result in the most good and least harmRights Based Approach - identifying which action most respects the rights of everyone involvedFairness or Justice Approach- identifying which action treats most people fairlyCommon Good Approach - identifying which action contributes most to the quality of life of the people affectedVirtue Approach - identifying which action embodies the character strengths you valueSource of this summary: QHealth- ethical decision making modelIt may be that different approaches are needed in different circumstances and that a combination of these approaches is appropriate in others.What is the right thing to do?
5 Ethics in the public service QUEENSLAND PUBLIC SERVICE COMMISSION ETHICS AND ETHICAL DECISION-MAKING TRAININGTopic: Exploring ethicsObjective: Public Service Employees demonstrate an understanding of how public service ethics relate to their roleCore message area:Why are ethics in the public service important?Why is working ethically in the public service important?Ethics Trainers & Advisors InstructionsOur commitment to public sector ethics can be enhanced by understanding how public sector ethics principles relate to the fundamental function and structures of the public service. This core message area gets to the heart of the values that underpin effective public service. The following ideas may be a useful starting point for discussion.Each of us, at every level, contributes to the integrity and accountability of the public service and we can all demonstrate ethical leadership in how we perform our role. There are many positive reasons to work in public service and to aspire to upholding the highest ethical, and these should be explored with participant, drawing out how they get satisfaction from their roles. The following ideas may be a useful starting point for discussion.Core message content and discussionPeter Shergold AM, former Public Service Commissioner Australian Public Service argues that the nature of the public service make ethical behaviour a requirement:… the bottom line accountability for public servants is ethical (did I meet the public purpose as efficiently, effectively, equitably and openly as possible?) whereas for the private employees it is economic (did my work contribute to company profits and shareholder dividends?)Source: P Shergold: Ethics and the Changing Nature of Public Service, 1996As the public service is funded by public money to implement the will of the people, as expressed by their elected representatives, public service employees have an obligation to behave ethically. An obligation is confirmed in legislation, including in the Public Service Act 2008 and the Public Sector Ethics Act (see diagram on slide 20 Promoting public good and our system of government)The government also expects the highest standards of integrity and accountability from everyone in public office and has put in place an integrity and accountability framework with a program of reforms under four key principles:strong rules - clear rules and standards balancing proscription with positive values and aspirations so that an exemplary standard of conduct is aspired tostrong culture - strong leadership, training and awareness and a conscious dedication to ethical valuesstrong scrutiny - transparent government processes, strong scrutiny mechanisms, strong agency cultures leading to enhanced internal scrutinystrong enforcement - a range of enforcement mechanisms and disciplinary measures in which processes are accessible and outcomes prescribed. Effective public interest disclosure mechanisms.Source: Government Response to Integrity and Accountability in Queensland 2009Many public service employees identify positively with the idea of public service. The Queensland Government ‘Making a Difference’ recruitment drive was built on this. Additionally this feeling of service is important in many professional and occupational groups. Positive experiences as a public service employee may include:Making a difference for QueenslandersUsing public resources for the public goodBuilding trust & credibility in the public service and in our roles, andProfessional prideEthics is the way we do our public service business of delivering government priorities to delivering outcomes for Queenslanders (see the diagram on slide 10 Ethics in practice). Making decisions ethically is one way of demonstrating this.Why are ethics important?Why should we act ethically?How important are ethics in the public service?
6 Exploring ethics What are my ethics? What are my ethics based on? QUEENSLAND PUBLIC SERVICE COMMISSION ETHICS AND ETHICAL DECISION-MAKING TRAININGTopic: Exploring ethicsObjective: Public Service Employees demonstrate an understanding of how public service ethics relate to their roleCore message area: Personal ethicsEthics Trainers & Advisors InstructionsUnderstanding our own values and where they come from can help us understand the nature of ethics, and also allow us to draw a distinction between our personal ethics and those we must abide by as public service employees. Assist participants to explore their own ethical values and to understand that values are not universal/ not constant all the time in all circumstances, but that we do all have principles and values that are important to us. The following ideas may be a useful starting point for discussion.Core message content and discussionAll of us have ethics, principles and values about the right way to behave, that are important to us. Sometimes these are identified when another person does not behave the way we think they should and so we find their behaviour rude, offensive, barbaric or worse. There are many principles and values that are broadly shared, such as prohibitions against killing other people, but even this value is not universal in all situations. Our ethics are learned so they differ from individual to individual and are affected by our family, religion, culture, schooling, professional obligations and social networks etc.Working with and for other people will regularly put us in situations where our ethics can be challenged and in situations where we need to behave appropriately. The Public Service Ethics Act/ Code of Conduct provides guiding principles of ethical behaviour as a public service employee. The Code of Conduct clarifies the actions we must take when there is a conflict between our public service ethics and our professional codes of ethics (for example as health care professionals or as lawyers), or with our personal beliefs or opinions:always disclose a personal interest that could, now or in the future, be seen as influencing the performance of our duties. This will be done in accordance with our agency policies and proceduresactively participate with our agency in developing and implementing resolution strategies for any conflict of interest, andensure that any conflict of interest is resolved in the public interest.Code of Conduct for the Queensland Public Service
7 Ethics Definition Ethics The inner-guiding moral principles, values, and beliefs that people use to analyze or interpret a situation and then decide what is the “right” or appropriate way to behave.
8 What is an Ethical Dilemma? A situation where values are in conflictTwo or more values you hold dear - or –Personal value conflicts with organizational valueValue Value
9 Prescriptive Approaches Focus on consequences (consequentialist theories)Focus on duties, obligations, principles (deontological theories)Focus on integrity (virtue ethics)Deon-tol-logical
10 Focus on Consequences (Consequentialist Theories) Utilitarianism - best known consequentialist theoryIdentify alternative actions and consequences to stakeholdersBest decision yields greatest net benefits to societyWorst decision yields greatest net harms to societyIdentify alternative actions and consequences to stakeholdersBest decision yields greatest net benefits to societyWorst decision yields greatest net harms to society1. The doctrine that an action is right or wrong according as its consequences are good or bad
11 Consequentialist Questions Can I indentify all the stakeholders?Immediate, distant?What are the potential actions I could take?What are the harms and benefits for stakeholders given potential decisions/actions?What decision will produce the most benefit (and least harm) for the greatest number of people, and for society at large?
12 Focus on Duties, Obligations, Principles (Deontological Theories) Decisions based upon abstract universal principles: honesty, promise-keeping, fairness, rights, justice, respectFocus on doing what’s “right” (consistent with these principles) rather than doing what will maximize societal welfare (as in utilitarianism)
13 Focus on Integrity (Virtue Ethics) Focus on integrity of moral actor rather than the actConsiders character, motivations, intentionsCharacter defined by one’s communityNeed to identify relevant communityDisclosure rule
14 Government Auditing Standards Provide AccountabilityEnsure management and officials manage government resources and use their authority in accordance with the lawEnsure government programs are achieving objectivesEnsure government services are provided effectively and efficientlyCompetence, Integrity, Objectivity, and IndependenceEthical PrincipalsPublic InterestIntegrityObjectivityProper use of InformationProfessional BehaviorTransparencyEthics provides foundation, discipline, structure, and climate“Ethical principles apply only in preserving auditor independence, taking on only work that the audit organization is competent to perform, performing high-quality work, and following the applicable standards cited in the auditors’ report. Integrity and objectivity are maintained when auditors perform their work and make decisions that are consistent with the broader interest of those relying on the auditors’ report, including the public.”Public Interest – community of people servedIntegrity – people trust youObjectivity – independence of mindProper use of info – not for personal gainProfessional Behavior – competence and avoid any action that could bring discredit to auditor’s workGAS yellow book
15 Code of Ethics Principles 1. IntegrityThe integrity of internal auditors establishes trust and thus provides the basis for reliance on their judgment.2. ObjectivityInternal auditors exhibit the highest level of professional objectivity in gathering, evaluating, and communicating information about the activity or process being examined. Internal auditors make a balanced assessment of all the relevant circumstances and are not unduly influenced by their own interests or by others in forming judgments3. ConfidentialityInternal auditors respect the value and ownership of information they receive and do not disclose information without appropriate authority unless there is a legal or professional obligation to do so.4. CompetencyInternal auditors apply the knowledge, skills, and experience needed in the performance of internal audit services.Rules of Conduct1. IntegrityInternal auditors:1.1. Shall perform their work with honesty, diligence, and responsibility.1.2. Shall observe the law and make disclosures expected by the law and the profession.1.3. Shall not knowingly be a party to any illegal activity, or engage in acts that arediscreditable to the profession of internal auditing or to the organization.1.4. Shall respect and contribute to the legitimate and ethical objectives of the organization.2. Objectivity2.1. Shall not participate in any activity or relationship that may impair or be presumed toimpair their unbiased assessment. This participation includes those activities orrelationships that may be in conflict with the interests of the organization.2.2. Shall not accept anything that may impair or be presumed to impair their professionaljudgment.2.3. Shall disclose all material facts known to them that, if not disclosed, may distort thereporting of activities under review.
16 General Ethics Principals 5 C.F.R. § 2635.101 ”The following general principles apply to every employee and may form the basis for the standards contained in this part. (1) Public service is a public trust, requiring employees to place loyalty to the Constitution, the laws and ethical principles above private gain. (2) Employees shall not hold financial interests that conflict with the conscientious performance of duty. (3) Employees shall not engage in financial transactions using nonpublic Government information or allow the improper use of such information to further any private interest.Relied on 5 CFR, JER, AFMC’s Ethical Website, and US CodeExamples from 5 CFR(1) Public service is a public trust, requiring employees to place loyalty to the Constitution, the laws and ethical principles above private gain. (2) Employees shall not hold financial interests that conflict with the conscientious performance of duty. (3) Employees shall not engage in financial transactions using nonpublic Government information or allow the improper use of such information to further any private interest.
17 General Ethics Principals 5 C.F.R. § 2635.101 (4) An employee shall not, except as permitted by subpart B of this part, solicit or accept any gift or other item of monetary value from any person or entity seeking official action from, doing business with, or conducting activities regulated by the employee's agency, or whose interests may be substantially affected by the performance or nonperformance of the employee's duties. (5) Employees shall put forth honest effort in the performance of their duties. (6) Employees shall not knowingly make unauthorized commitments or promises of any kind purporting to bind the Government. (7) Employees shall not use public office for private gain.Relied on 5 CFR, JER, AFMC’s Ethical Website, and US CodeExamples from 5 CFR(4) An employee shall not, except as permitted by subpart B of this part, solicit or accept any gift or other item of monetary value from any person or entity seeking official action from, doing business with, or conducting activities regulated by the employee's agency, or whose interests may be substantially affected by the performance or nonperformance of the employee's duties. (5) Employees shall put forth honest effort in the performance of their duties. (6) Employees shall not knowingly make unauthorized commitments or promises of any kind purporting to bind the Government. (7) Employees shall not use public office for private gain.
18 General Ethics Principals (8) Employees shall act impartially and not give preferential treatment to any private organization or individual. (9) Employees shall protect and conserve Federal property and shall not use it for other than authorized activities. (10) Employees shall not engage in outside employment or activities, including seeking or negotiating for employment, that conflict with official Government duties and responsibilities. (11) Employees shall disclose waste, fraud, abuse, and corruption to appropriate authorities.Relied on 5 CFR, JER, AFMC’s Ethical Website, and US CodeExamples from 5 CFR
19 General Ethics Principals 5 C.F.R. § 2635.101 (12) Employees shall satisfy in good faith their obligations as citizens, including all just financial obligations, especially those such as Federal, State, or local taxes that are imposed by law. (13) Employees shall adhere to all laws and regulations that provide equal opportunity for all Americans regardless of race, color, religion, sex, national origin, age, or handicap. (14) Employees shall endeavor to avoid any actions creating the appearance that they are violating the law or the ethical standards set forth in this part. Whether particular circumstances create an appearance that the law or these standards have been violated shall be determined from the perspective of a reasonable person with knowledge of the relevant facts.”Relied on 5 CFR, JER, AFMC’s Ethical Website, and US CodeExamples from 5 CFR
20 Gifts Government employees may not accept or solicit gifts: Offered because of their official position, ORFrom a “prohibited source” (such as a government contractor). 5 C.F.R. §A gift to a government employee’s spouse, parent, child or sibling -- because of the person’s relationship to the government employee -- is considered to be a gift to the government employee .Official Position – whether the gift would have been solicited, offered or given had the employee not held the status, authority, or duties associated with his federal positionProhibited Source – Any person/entity that is seeking official action by employee’s agency; does/seeks to do business with employee’s agency; regulated by employee’s agency; has interest substantially affected by employee’s official duties;Relied on 5 CFR, JER, AFMC’s Ethical Website, and US CodeExamples from 5 CFR
21 Gifts Does an Exception Apply? $20/$50 Based on Personal Relationship Questions to Consider:Does an Exception Apply?$20/$50Based on Personal RelationshipDiscount/Similar BenefitsAward/Honoary DegreeBased on Outside Employment/BusinessGift in Connection with Political ActivitiesWidely Attended Gatherings309 not gift21 exceptionsRelied on 5 CFR, JER, AFMC’s Ethical Website, and US CodeExamples from 5 CFR
22 Gifts $20/$50 RuleYou may accept gifts up to $20 in value at one time (but never cash or investments).Gifts from one source (e.g., one company) cannot exceed $50 in value in a calendar year.You may not “buy down” to $20, i.e., pay $5 and then accept a gift worth $25.The $20 limit is per occasion and per source. For example, at a trade show you may accept gifts worth $20 or less from several different contractors on the same day.$20 / $50 rule applies, i.e., a retirement gift from a contractor is limited to a market value of $20 or lessIf a contractor wants to give a retirement gift to the govt employee’s spouse as well, and the gift to the spouse will be because of the spouse’s relationship to the govt employee (i.e., the contractor does not have any independent relationship with the spouse), then the gift to the spouse is considered to be a gift to the employee, and the total market value of both gifts is limited to $20 or lessRelied on 5 CFR, JER, AFMC’s Ethical Website, and US CodeExamples from 5 CFR
23 Gifts between Employees Gifts to Superiors.An employee may not:“(1) Directly or indirectly, give a gift to or make a donation toward a gift for an official superior; or(2) Solicit a contribution from another employee for a gift to either his own or the other employee’s official superior.” 5 C.F.R. §Gifts from Employees Receiving less Pay.“[A]n employee may not, directly or indirectly, accept a gift from an employee receiving less pay than himself unless:(1) The two employees are not in a subordinate- official superior relationship; and(2) There is a personal relationship between the two employees that would justify the gift. “ 5 C.F.R. §Relied on 5 CFR, JER, AFMC’s Ethical Website, and US CodeExamples from 5 CFR
24 Conflict of Interest (18 U.S.C. § 208) You may not participate personally & substantially (e.g., make a decision, give advice, make a recommendation) in any government matter that would affect the financial interests of:You, your spouse, or your minor child,Your general partnerAn organization in which you are serving as an officer, director, trustee, general partner or employee, ORAn organization with which you are negotiating for employment, or have an arrangement for future employment.EE must disqualify themselves from official matter if matter will affect financial interest. There are some exemptions.EE should disqualify themselves if reasonable person question impartiality.Do this in writing.Relied on 5 CFR, JER, AFMC’s Ethical Website, and US CodeExamples from 5 CFR
25 Conflict of Interest -- Stock Federal employees, including reservists, may not work on any government matter (e.g., contract, source selection or claim) that affects the financial interests of a company, if they (or their spouse or minor child) own stock in the company.Exception if value of stock owned by you, your spouse & minor children in all companies involved in the matter is $15,000 or less. 5 C.F.R. § (a).Options:DivestureDisqualificationReassign/Change DutiesTerminationConflict of Interest -- Government Employee’s Spouse Working for ContractorAn Executive Branch employee may not work on a government matter involving a contractor that employs his or her spouse if:Doing so would affect the spouse’s level of compensation or continued employment with the contractor, ORThe spouse owns more than $15,000 of the company’s stock, or the spouse has a pension plan that has more than $15,000 of the company’s stock in it. [5 CFR (b)(2) (Example 2)]Relied on 5 CFR, JER, AFMC’s Ethical Website, and US CodeExamples from 5 CFR
26 Misuse of PositionUse of Government property. An employee has a duty to protect and conserve Government property and shall not use such property, or allow its use, for other than authorized purposes.Use of an employee's own time. Unless authorized in accordance with law or regulations to use such time for other purposes, an employee shall use official time in an honest effort to perform official duties. Every employee not on leave has an obligation to expend an honest effort and a reasonable proportion of his time in the performance of official duties.
27 Misuse of PositionCompensation for teaching, speaking or writing. Except as permitted by paragraph (a)(3) of this section, an employee, including a special Government employee, shall not receive compensation from any source other than the Government for teaching, speaking or writing that relates to the employee's official duties.
28 Misuse of PositionTeaching, speaking or writing relates to the employee's official duties if:(A) The activity is undertaken as part of the employee's official duties;(B) The circumstances indicate that the invitation to engage in the activity was extended to the employee primarily because of his official position rather than his expertise on the particular subject matter;(C) The invitation to engage in the activity or the offer of compensation for the activity was extended to the employee, directly or indirectly, by a person who has interests that may be affected substantially by performance or nonperformance of the employee's official duties;
29 Misuse of Position(D) The information conveyed through the activity draws substantially on ideas or official data that are nonpublic information as defined in § (b); or(E) Except as provided in paragraph (a)(2)(i)(E)(4) of this section, the subject of the activity deals in significant part with:
30 Off-Duty EmploymentDoD employees must get prior approval of off duty employment if they file a financial disclosure report and if they will work for a “prohibited source” (such as a DoD contractor).Off duty employment can be disapproved only if it is prohibited by statute or regulation, would detract from readiness, or would create a security risk.5 cfr An employee shall not engage in outside employment or any other outside activity that conflicts with his official duties.Terminal leaveRelied on 5 CFR, JER, AFMC’s Ethical Website, and US CodeExamples from 5 CFR
31 STEPS OF THE ETHICAL DECISION MAKING PROCESS 1. Gather the facts 2. Define the ethical issues 3. Identify the affected parties (stakeholders) 4. Identify the consequences 5. Identify the obligations (principles, rights, justice) 6. Consider your character and integrity 7. Think creatively about potential actions 8. Check your gut 9. Decide on the proper ethical action and be prepared to deal with opposing arguments
32 Poor Ethical Decisions Former Virginia Gov. Bob McDonnell and his wife were convicted this year of taking bribes to promote a dietary supplement in a corruption case that derailed the career of the onetime rising Republican star.A federal jury in Richmond convicted Bob McDonnell of 11 of the 13 counts he faced; Maureen McDonnell was convicted of nine of the 13 counts she had faced. Both bowed their heads and wept as the court clerk read a chorus of "guilty" verdicts.The couple was convicted on nearly all the counts involving doing favors for wealthy vitamin executive Jonnie Williams in exchange for more than $165,000 in gifts and loans that they admitted taking.
34 Poor Ethical Decisions Former New Orleans mayor C. Ray Nagin — who became the face of a desperate, drowning city during Hurricane Katrina — was convicted Wednesday on charges of accepting bribes from city contractors while in office.Nagin, a Democrat, was found guilty by a federal jury on 20 of 21 criminal counts, including bribery, conspiracy and wire fraud. He was acquitted on one count of bribery.Prosecutors said that Nagin accepted illegal gifts from contractors, beginning before Katrina hit and continuing afterward. Among the gifts: money, free vacation travel and truckloads of granite for Stone Age LLC, a business Nagin and his sons owned.
36 Poor Ethical Decisions Two San Diego-area defense contractors and one of their companies have been convicted in a long-running scheme that authorities said exchanged bribes and gifts for millions of dollars in Navy contracts.Contractors showered Navy officials at Naval Air Station North Island in Coronado, CA, with cash, checks, gift cards, flat screen TVs, luxury massage chairs, bicycles, model airplanes, and other items, the FBI reported.The defendants also submitted fraudulent invoices to the Department of Defense that appeared to bill the department for goods and services within the scope of legitimate contracts.
37 Conclusion Air Force Core Values Ethics Definition Prescriptive Approaches Decision MakingGovernment Auditing StandardsCode of EthicsGeneral Ethics PrinciplesEthical Decision Making ProcessExamples of Poor Ethical Decisions