A Practical Approach to

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A Practical Approach to Establishing and
Maintaining A Values-Based Conflicts of Interest
Compliance System
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The Tail Wagging the Dog
HONEST OFFICIALS
Corrupt Officials
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Effect of a Conflicts of Interest System
Despite instances of corruption and conflicts of
interest (which we will always have), an
effective conflicts of interest system can help
convince the public and public officials that
their government is inherently honest.
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Conflict of Interest Divided
loyalty A conflict, usually (though not
always) a financial conflict, between ones
private interests and public duty
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Purpose of a conflicts of interest system
To promote both the reality and the
perception of integrity in government by
preventing conflicts of interest before they
occur
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Fundamental Principles
A conflicts of interest system

• Promotes both the reality and the perception of
  integrity in government
• Focuses on prevention, not punishment
• Is not intended to catch crooks but instead
  recognizes the
• inherent honesty of public officials
• Does not regulate morality (in most countries)
• Does not focus on efficiency but saves the
  government money
• Requires that the public have a stake in the
  system
• Must be tailored to the particular nation,
  society, and culture
• Must undergird the essential values of the
  nation

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Rules Values
Rule A public official shall not accept a gift
from any person or firm doing business with the
government.
Value Public officials shall place the interest
of the public before themselves.
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Compliance
Values
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D I S C L O S U R E
A D M I N I S T R A T I O N
C O D E
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A D M I N I S T R A T I O N
C O D E
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Bright line rules
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Conflicts of Interest Code Possible Provisions

• Using ones government office for private gain
• Using government resources for private purposes
• Soliciting gifts or accepting gifts from
  persons doing business with the government
• Seeking or accepting private compensation for
  doing ones government job (gratuities)
• Soliciting political contributions or political
  activity from subordinates or from those with
  whom one deals as part of ones government job
  (except as expressly permitted by law)
• Disclosing confidential government information
  or using that information for a private purpose

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• Appearing before government agencies on behalf
  of private interests or representing private
  interests in government matters
• Seeking a job from a private person or firm
  with which one is dealing in ones government
  job
• After leaving government service,
• Appearing on behalf of a private employer
  before ones former government agency or
• Working on a matter on behalf of a private
  employer that one worked on while in government
  service
• Inducing other government officials to violate
  the conflicts of interest code

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Annual Disclosure (Asset Declaration) Prevents
Conflicts of Interest By

• Focusing the attention of officials at least
  once each year on where their potential
  conflicts of interest lie
• Letting everyone know what the official's
  private interests are
• Providing a check on transactional disclosure
  by revealing if the filer is making required
  transactional disclosures and recusals

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Touchstones of an Independent Board

• Qualified and independent board members
• Budget protection - a guaranteed budget
• A staff accountable only to the board
• The unique power to authoritatively interpret
  the conflicts of interest code, subject to
  review only by the courts

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Training Principles and Methods

• Mandatory training for all public officials
• Train the trainers in each department
• Videotape/DVD
• Interactive web-based computer training program
• Live training classes for those at risk
• Training for government vendors and contractors
• Tailored to particular agency and type of
  official
• Fun (or at least interesting)
• Popular culture cartoons, picture novels,
  anime
• Poster in every worksite
• Leaflets on specific topics
• Bookmark with paychecks
• Short radio or television commercials
• Create not experts but public servants who are
  sensitive to conflicts of interest issues

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Purposes of Enforcement

• To educate officials about the requirements of
  the conflicts of interest code
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• To show officials and the public that the
  government is serious about the conflicts of
  interest law
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• To punish conflicts of interest and discourage
  other officials from committing them
  (deterrence)

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Conclusion
A values-based conflicts of interest compliance
system grounded upon a code of ethics and based
upon the three pillars of a comprehensive
conflicts of interest code, sensible
disclosure, and effective administration promot
es both the reality and the perception of
integrity in government by preventing conflicts
of interest before they occur, guiding our
honest public servants, reassuring our
citizens, and reinforcing the core values upon
which the government is founded.