Alliance for Innovation: Research Overview

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Alliance for InnovationResearch Overview

• James H. Svara
• School of Public Affairs

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Increased use of code of ethics

• Between 1992 and 2002, the proportion of city
  governments over 50,000 in population with codes
  increased from two in five to three in five

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Coverage of code (State of Profession survey,
2004)
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Elements in professional codes

• 1. Prohibitions - Dont statements
• 2. Obligations and responsibilities
• 3. Virtues, personal qualities and/or values.
• 4. Aspirations

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Examples from ICMA Code 1

• 1. Prohibitions - Dont statements
• ICMA 7 Refrain from all political activities
• ICMA 12 Seek no favor
• 2. Obligations and responsibilities
• ICMA 5 Submit policy proposals to elected
  officials provide them with facts and advice on
  matters of policy
• ICMA 8 Make it a duty continually to improve the
  member's professional ability
• ICMA 9. Keep the community informed on local
  government affairs
• ICMA 10. Resist any encroachment on professional
  responsibilities

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Examples from ICMA Code 2

• 3. Virtues, personal qualities and/or values.
• ICMA 3 Be dedicated to the highest ideals of
  honor and integrity
• 4. Aspirations
• ICMA 1. Be dedicated to the concepts of effective
  and democratic local government by responsible
  elected officials
• ICMA 2 Affirm the dignity and worth of the
  services rendered by government and maintain a
  constructive, creative, and practical attitude
  toward local government affairs and a deep sense
  of social responsibility as a trusted public
  servant.

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Enacted ethics codes or laws

• Build on general law
• Scottsdale summarizes 25 areas covered by Arizona
  Constitution or statutes or the Scottsdale
  charter or code
• Oriented toward enforcement or principles
• Other approaches
• General policy with handbook
• It is the policy of the City of Phoenix to
  uphold, promote and demand the highest standards
  of ethics. Accordingly, all officials should
  maintain the utmost standards of personal
  integrity, truthfulness, honesty and fairness in
  carrying out their public duties, avoid any
  improprieties in their roles as public servants,
  and never use their City position or powers for
  improper personal gain.
• Review of applicable laws and policies.

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Elements in enforcement-oriented ethics codes

• 1. Who is covered by provisions
• 2. Financial disclosure
• 3. Conflict of interest
• 4. Prohibitions
• 5. Post-employment restrictions
• 6. Whistle-blower protection
• 7. Administration and enforcement

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Other provisions in ethics codes for elected
officials

• Open meetings
• Town officials shall conduct themselves in a
  manner that fully adheres to and preferably
  exceeds state laws concerning open meetings and
  transparency of actions. Indeed, Town officials
  are encouraged to employ a "mindset of openness"
  in conducting the affairs of the Town (Payson)
• Public records
• Non-interference
• Under the Town's Code of Ordinances,
  administrative authority is vested in the Town
  Manager. Members of the Town Council are
  cautioned not to interfere with that authority by
  giving orders or explicit directions or requests,
  publicly or privately, regarding Town matters to
  any subordinates of the Town Manager (Payson)

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Responsibilities of others

• No official shall grant nor shall any citizen
  attempt to obtain and special treatment
• Any person or organization that willfully
  attempts to secure preferential treatment shall
  be barred from contracts for two years
  (Maryville, WA)

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Council code based on principles- Town of
Paradise Valley 1

• 1.  Obey the Constitution and laws of the United
  States of America, the Constitution and Laws of
  the State of Arizona, and the laws of the Town of
  Paradise Valley.
• 2.  Be dedicated to the concepts of effective and
  democratic local government.
• 3.  Affirm the dignity and worth of the services
  rendered by the Town government and maintain a
  deep sense of social responsibility as a trusted
  public servant.
• 4.  Be dedicated to the highest ideals of honor,
  ethics, and integrity in all public and personal
  relationships.
• 5.  Recognize that the chief function of local
  government is at all times to serve the best
  interests of all the people.
•  

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Council code based on principles 2

• 6.  Keep the community informed on municipal
  affairs encourage communication between the
  citizens and all municipal officers emphasize
  friendly and courteous service to the public and
  seek to improve the quality and image of public
  service.
• 7.  Seek no favor believe that personal benefit
  or profit secured by confidential or privileged
  information or by misuse of public time is
  dishonest.
• 8.  Conduct business of the Town in a manner
  which is not only fair in fact, but also in
  appearance.
• Also adopted in Fountain Hills, AZ, with this
  additional tenet
• 9. Promote understanding, mutual respect and
  trust among members of Council, boards,
  commissions and committees concerning their roles
  and responsibilities with respect to Town staffs
  responsibility for implementing the Town
  Councils policies.

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Developing a code of ethics

• The way the code is developed is probably as
  important as its content.
• Members of the organization should be involved in
  its creation.
• To make the code relevant to those inherit it
  after the period of formation, periodically
  repeat general discussions of what the code is
  and what it means.

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Comments invited

• james.svara_at_asu.edu