Alliance for Innovation: Research Overview

1. Alliance for Innovation:Research Overview James H. Svara School of Public Affairs

2. 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

3. Coverage of code (State of Profession survey, 2004)

4. Elements in professional codes 1. Prohibitions - “Don’t” statements 2. Obligations and responsibilities 3. Virtues, personal qualities and/or values. 4. Aspirations

5. Examples from ICMA Code [1] 1. Prohibitions - “Don’t” 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

6. 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.

7. 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.

8. 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

9. 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)

10. 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)

11. 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.

12. 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 staff’s responsibility for implementing the Town Council’s policies.

13. 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.

14. Comments invited james.svara@asu.edu