Fleming Bell Eileen Youens

1. Ethics for NC Local Government Officials Fleming Bell Eileen Youens

2. Objectives

3. Defining Ethics • What is fundamentally appropriate behavior? • Doing what is “good,” instead of what is “bad” • Characteristics of an ethical person

4. Making Ethical Decisions The public trust can only be preserved if public officials take their calling seriously and make informed decisions that reflect the core ethical principlesthat they and their fellow citizens share. Public officials should also consider who or what is affected by the decision, and how they are affected. Michael Josephson, Josephson Institute of Ethics

5. Citizen and Public Officials’ Expectations • Hold each other accountable for ethical principles such as honesty, fairness, andcaring. • Citizens want public officials to make decisions based on what is good for their communities, not on what is good for the elected officials’ own individual interests. • Recognize that public officials are the "especially responsible citizens." They have been given a special trust.

6. Objectives

7. Legal vs. Ethical Standards • If people act legally are they also acting ethically? • How does what’s legal differ from what’s ethical?

8. Objectives

9. What people think they ought to do depends largely on how they see their roles,and (most importantly) theconflicts between their roles. Dorothy Emmet, Rules, Roles, and Relations(New York: St. Martin's Press, 1966)

10. Conflicts of interest are fundamentally about legal and other conflicts between publicand privateroles.

11. Case problems

12. Objectives

13. Making Ethical Decisions • 2 methods: • Top down – apply ethical principles to the situation • Bottom out – look at the situation, and ask who is affected, and how? • Remember that the two methods can work together.

14. Objectives

15. Why have Ethics Codes, Regulations, or Statutes? • Setting a minimum standard of conduct for public officials helps to provide certaintyand accountability. • Ethics codes help to provide identity for groups of public officials.

16. Defining Codes and Regulations • Aspirational:Public officials should do these things • Prohibitive:Public officials must not do these things • Hybrid:Both aspirational and prohibitive • G.S. 160A-83 provides very general guidelinesfor what ethics codes for local elected boards must contain

17. Required Content (G.S. 160A-83): • Obey all applicable laws about official actions taken as board member. • Uphold integrity and independence of office. • Avoid impropriety in exercise of official duties. • Faithfully perform duties. • Act openly and publicly.

18. Consequences of Violation No sanctions specified in statute, however: • Remember citizen and media opinion • Disobeying this law is itself unethical • Public could rightly assume that someone who doesn’t comply with this law will be willing to break others • Legislature may be watching for compliance by local governments

19. Issues to Consider in DraftingEthics Codes • How detailed should they be? • What subjects should they cover? • Should they be positive or negative in tone? • Who prepares the code? Who is covered by the code?

20. Objectives

21. Conflicts in Contracting: 3 Statutes • Conflicts of interest G.S. 14-234 • Misuse of secret information G.S. 14-234.1 • Gifts and favors G.S. 133-32

22. Conflicts in Contracting • Conflicts of interest G.S. 14-234 • Misuse of secret information G.S. 14-234.1 • Gifts and favors G.S. 133-32

23. Conflicts of Interest—G.S. 14-234

24. Conflicts of Interest—G.S. 14-234 

25. Conflicts of Interest—G.S. 14-234  

26. Conflicts of Interest—G.S. 14-234 Exceptions: • Contracts with banks, savings and loans, public utilities • “Friendly” condemnation • Employment of the spouse of a public officer • Public assistance programs • “Small” jurisdictions

27. Conflicts of Interest—G.S. 14-234

28. Conflicts of Interest—G.S. 14-234 No Yes No No Yes No No Yes Yes Yes

29. Conflicts of Interest—G.S. 14-234 No Yes No No Yes No No Yes Yes Yes

30. Conflicts in Contracting • Conflicts of interest G.S. 14-234 • Misuse of secret information G.S. 14-234.1 • Gifts and favors G.S. 133-32

31. Misuse of Secret Info—G.S. 14-234.1

32. Conflicts in Contracting • Conflicts of interest G.S. 14-234 • Misuse of secret information G.S. 14-234.1 • Gifts and favors G.S. 133-32

33. Gifts and Favors—G.S. 14-234.1 • Public officer or employee who: • prepares plans or specifications for public contracts, or • awards or administers public contracts, or • inspects or supervises construction. • past • current • potential future • contractor or vendor = Class 1 misdemeanor, unless an exception applies.

34. Gifts and Favors—G.S. 14-234.1 Exceptions: • Honoraria • Gifts of nominal value • Meals at banquets • Gifts to professional organizations • Gifts from friends or family (must be reported)

35. Objectives

36. Statutes that Govern Conflicts in Voting

37. Conflicts in Voting Board members must vote unless the vote involves: • the member’s own financial interest (must be direct, substantial, and readily identifiable)*, or • the member’s official conduct*, or • a contract giving a direct benefit to member or member’s spouse, but covered by an exception to G.S. 14-234 * Board compensation does not involve the board’s financial interest or official conduct.

38. Conflicts in Voting Board members must vote unless the vote involves: • a zoning map or text amendment reasonably likely to have direct, substantial, and readily identifiable financial impact on the member; or • a quasi-judicial matter in which board is acting as board of adjustment, and member’s participation would violate an affected person’s constitutional rights to an impartial decision maker.

39. Conflicts in Voting • Q: When does a governing board “act as a board of adjustment”? • A board of adjustment: • hears appeals of interpretations of the zoning ordinance • grants variances to the zoning ordinance • grants conditional-use permits for certain land uses and types of development A: When doing any of these activities—all of which are considered quasi-judicial matters).

40. Conflicts in Voting Board members must vote unless the vote involves: • a zoning map or text amendment reasonably likely to have direct, substantial, and readily identifiable financial impact on the member; or • a quasi-judicial matter in which board is acting as board of adjustment, and member’s participation would violate an affected person’s constitutional rights to an impartial decision maker.

41. Conflicts in Voting • What type of conflict would violate someone’s constitutional rights? • a member having a fixed opinion before hearing the matter • undisclosed communications between the board member and an affected person • a close familial, business, or other associational relationship with an affected person • a member having a financial interest in the outcome of the matter

42. Case problems

43. Remember NC’s Motto Esse quam videri (To be, rather than to seem)

44. Questions? Fleming Bell Phone: 919.966.4210 E-mail: bell@sog.unc.edu Eileen Youens Phone: 919.962.0942 E-mail: eyouens@sog.unc.edu