1. MINIMUM MUNICIPAL COMPETENCY PROGRAMME
Dr Zwelinzima Ndevu

2. Apply the Principles of Ethics in a Municipal Environment
Unit Standard
Apply the Principles of Ethics
in a Municipal Environment

3. US116343- Assessment Plan 1 Individual assessment
Open book case study based controlled class test
19th October 2018
2-hour paper consisting of a case study with insight questions relating to all outcomes: It will be expected of the learner to apply the theoretical models/tools to the questions.
OUTCOME 1: Demonstrate knowledge and insight into existing legislation, regulations and codes affecting activities of municipalities in South Africa
OUTCOME 2: Apply the principles of ethics and professionalism to a municipal code of conduct Assessment Criteria
OUTCOME 3: Develop an implementation plan to achieve compliance with an established code of ethics 2
Individual work-based assignment
19th November 2018
For detailed instructions consult the assessment plan attached on the website.

4. Orientation Specific Outcomes
Demonstrate knowledge and insight into existing legislation, regulations and codes affecting activities of municipalities in South Africa …
Apply the principles of ethics and professionalism to a municipal code of conduct …
Develop an implementation plan to achieve compliance with an established code of ethics … 

5. Ethics in Municipal Finance– setting the context and challenge
Round-table interactive workshop:
Individually reflect upon your (1) personal (in your community) and (2) professional experience (at your office/department) with regards to Ethics in municipal environment
In a round-table discussion, share your views with the group

6. Ethics and Ethical Behaviour in a Municipal Government

7. Ethics – a definition
The principles (values) … what is right, what is good and what is proper
The standards which guide us in achieving what is right, good and proper
The sustained efforts … to employ those sound principles and standards - which best serve the public and their interests

8. What is right is right, even if no one is doing it
What is wrong is wrong, even if everyone is doing it

9. Values
Abstract ideals that shape an individual’s thinking and behavior – a moral compass
Instrumental values – certain way of behaving is appropriate in all situations – “means”.
Terminal values – enduring belief in the attainment of a certain end state – “ends”.

10. A moral compass These abstract ideals can result from Religion
Philosophy
Family teachings

11. Instrumental values
As the means to an end they become the ingrained ways of behavior:
Rituals
Politesse
Good habits

12. Terminal values With the end always in sight: Heaven Respect
Financial Success
Personal Independence
Power

13. Values – Individual You’re an institution
Failure or success depends on your morals and values
If you cannot manage the private you cannot manage the public
Integrity matters most when you are alone
Success on the outside begins within
Laziness kills potential

14. Behaviour – lack of diligence and probity

15. Laziness
Carelessness
Waste of the organisation’s resources
Abuse of the organisation’s assets
Disrespect for the public and their interests

16. Behaviour – dishonesty for purposes of self interest

17. Corruption, theft, graft and fraud
Using insider knowledge and influence
Self-dealing
Making personal use of government property
Unauthorised outside employment

18. Tea Break 

19. A few ways to fix a government (video)

20. Professionalism and ethics in the workplace
Criteria
Characteristics
Competencies
Expectations

21. Criteria
Training
Intellectualism
Autonomy
Judgement
Independence
Service
Pride
Dedication

22. High degree of generalized & system knowledge theoretical base
Characteristics
Experts
High degree of generalized & system knowledge
theoretical base
Public/ community interest oriented
High degree of self control
Reward for work achievement
Self and organisational evaluation

23. Competencies Mastery of theoretical knowledge
Capacity to solve problems
Application of theoretical knowledge to practice
Ability to create knowledge as well as possess it
Enthusiasm and commitment to public interest
Commitment to continuous learning about the organisation

24. Establish a relationship with the public Have a lack of self interest
Expectations
Establish a relationship with the public
Have a lack of self interest
Be involved in all aspects of their profession
Prioritise what the profession does and is

25. Relationship between ethical individuals and ethical organisations

28. UNETHICAL BEHAVIOUR IN THE PUBLIC ORGANISATION

29. Common Causes of Unethical Behavior
Pressure
Fear
Greed
Convenience

30. Class Activity
Break into smaller groups of 2-3 people and work on one of the following situations:
Going to work when you’re obviously sick and possibly contagious.
Telling an insecure co-worker (or subordinate) their work is good when it is not.
Voicing support for a decision you don’t really believe in because everyone else is in favour of it and there is no more time for discussion.
Ignoring a subordinate’s chronic tardiness because the employee has a troublesome family life and you figure they’ve got enough to deal with.

32. “Public Service is public trust
“Public Service is public trust. Citizens expect public servants to serve the public interest with fairness and to manage public resources properly on a daily basis. Fair and reliable public services inspire public trust and create a favourable environment. Public service ethics are a prerequisite to, and underpin public trust and are a keystone of good governance.”
OECD
“ … trustworthiness, responsibility, respect, compassion, fairness and citizenship … ”
IGE

33. LEGISLATION, REGULATION AND CODES APPLICABLE TO MUNICIPALITIES IN SOUTH AFRICA

34. “The ultimate answer to ethical problems in government is honest people in a good ethical environment. No web of statute or regulation, however intricately conceived, can hope to deal with the myriad of possible challenges to a person’s integrity or his devotion to the public interest.”
President John F. Kennedy

35. The Constitution Act 108 of 1996
Rights & Obligations
The Bill of Rights
The Chapters and the Sections ……

36. And all the legislation …

37. And Codes of Conduct …

38. Class exercise
Identify a professional field within municipal environment
Identify three ethical concerns (are the issues becoming more of a problem or getting worse)
Identify relevant stakeholders in the conflict (what values are in the conflict for each stakeholder)
How to handle the issue and why?

39. Lunch Break 

40. Conflict of Interest
Disclosure …
Recusal … ?

41. King II – Triple Bottom Line
Governance
Economic
Environmental
Social

42. King Reports
1994 – King I
“ … integrated approach to the good governance
in the interests of a wide range of stakeholders …”
2002 – King II
“ … a move to the triple bottom line, embracing the
economic, environmental and social aspects …”
2009 – King III
“ … core philosophy revolving around leadership, sustainability and corporate citizenship …”

43. Concepts Accountability Responsibility Stakeholders Role-players
Corporate Governance
Vision
Banking Charter – increased focus on sustainability issues, such as access to finance, empowerment and social responsibility.
Marketing- sustainability is also a corporate identity issue – can improve reputation.
Social responsibility – such as foundation activities and good treatment of employees improves reputation, gives back to community, and makes firm an employer of choice.
Good Business sense- improved risk assessment eliminates debt risks, can save costs on facilities by employing environmentally beneficial technologies.

44. Batho Pele Consultation Service standards Access Courtesy Information
Openness and transparency
Redress
Value for money

45. Codes of conduct and ethics in the workplace
Enron
Group exercise

46. Good governance includes ten principles as requisites of ethical local governance:
These principles are:
• Participation;
• Rule of Law;
• Transparency;
• Equality;
• Responsiveness;
• Vision;
• Accountability;
• Oversight;
• Efficiency and Effectiveness; and
• Professionalism.

47. Codes of conduct and ethics in the workplace
Learning activity

49. Applying principles of ethics and
professionalism in the municipal environment

50. International principles …
Principles of personal ethics
Personal ethics might also be called morality, since these reflect general expectations of any person in any society acting in any capacity. These are the principles we try to instill in our children, and expect of one another without needing to articulate the expectation or formalize it in any way.

51. International principles …
Principles of professional ethics
Individuals acting in a professional capacity take on an additional burden of ethical responsibility. For example, professional associations have codes of ethics that prescribe ethical behaviour within the context of a professional practice. These written codes provide rules of conduct and standards of behaviour based on the principles of professional ethics.

52. International principles …
Principles of global ethics
Global ethics are the most controversial of the three categories, and the least
understood. They are open to interpretation as to how they should or should not be applied. An added measure of accountability is placed on globally influential enterprises such as governments and transnational operations. 63

53. Public Sector Code of Conduct (66)
Codes of Conduct …
Public Sector Code of Conduct (66)
Code of Conduct for Municipal Staff Members (68) 66

54. Application of principles to Codes of Conduct in the South African public sector66

55. An ethical dilemma is defined as a situation that often involves an apparent conflict between moral
imperatives in the municipality, in which to obey one would result in transgressing another. 66

56. Ethical Dilemmas
It’s right to communicate information that might help other people…But it’s also right to respect the confidentiality of information if you have agreed to do so.
It’s right to follow through on commitments you’ve made…But it’s also right to address a higher priority task that suddenly needs to be completed

57. Dilemmas … relationship with councillors relationship with the public
relationship among employees
performance of duties
personal conduct - private interests
68+

58. Relationship with Councillors
The principles in this section concerns loyalty to the country, the public interest, the law and to the established accountability arrangements

59. Relationship with the Public
The principles in this section concerns recognition of the public’s rights, and the obligation to treat the public in a respectful, unbiased, efficient way

60. Relationship among Employees
The principles in this section concern the need for cooperation between all officials, recognition of authority, avoidance of nepotism, avoidance of any form of discrimination and use of appropriate procedures when necessary.

61. Performance of duties
The principles in this section concern professionalism, competence, punctuality, meeting of performance objectives, honesty, accountability,
confidentiality, cooperativeness and obligations to report instances of
corruption, maladministration etc.

62. Personal conduct and Private interests
The principles in this section concern the official’s dress code, behaviour, caution about accepting gifts, outside work, confidentiality, and receiving or seeking personal benefit in any way.

63. Tea Break 

64. Ethical Dilemmas: steps 1 - 5
Ten-step method for resolving ethical dilemmas
(adapted from Wallace & Pekel)
What are the known facts in the situation?
Who are the key stakeholders, what do they value and what are their desired outcomes?
What are the underlying drivers causing the situation?
In priority order what ethical principles or operating values do you think should be upheld in this situation?
Who should have input to, or be involved in, making this decision? 78

65. Ethical Dilemmas: steps 6 - 10
List any alternative and action plans that would:
prevent or minimise harm to stakeholders
uphold the priority values for this situation
be a good solution to the situation
Build a worse-case scenario for your preferred alternative to see how it affects the stakeholders. Rethink and revise your preferred alternative if necessary.
Add a preventative ethics component to your action plan that deals with the underlying drivers causing the situation listed in Step 3.
Evaluate your chosen decision and action plan against any relevant checklist or code of conduct.
Decide and build an action plan, and implement and monitor it.

66. Ethical Dilemmas – the 12 questions
Have you defined the problem accurately?
How would you define the problem if you stood on the other side of the fence?
How did this situation occur in the first place?
To whom and what do you give your loyalties as a person and as a member of the municipality?
What is your intention in making this decision?
How does this intention compare with the likely results?
Whom could your decision or action injure?
Can you engage the affected parties in a discussion of the problem before you make your decision?
Are you confident that your position will be as valid over a long period of time as it seems now?
Could you disclose without qualm your decision or action to your boss, your municipal manager, the council, your family, or society as a whole?
What is the symbolic potential of your action if understood? If misunderstood?
Under what circumstances would you allow exceptions to your stand? 79

67. Three examples – individual assignment
Ethical dilemmas
Three examples – individual assignment 76

68. Common forms of ethical misconduct
Misrepresenting hours worked
Employees lying to supervisors
Management lying to employees, customers, vendors or the public
Misuse of organizational assets
Lying on reports/falsifying records
Sexual harassment
Stealing/theft
Accepting or giving bribes or kickbacks
Withholding needed information from employees, customers, vendors or public

69. Dealing with ethical misconduct in the workplace80

70. Forms of warning Verbal warning Written warning Reprimand Suspension
Termination
Disciplinary steps (82)
Dealing with fraud, theft or corruption in the workplace (82) 81

71. Resolving ethical dilemmas in the workplace
Learning activity 87

72. Compliance with an established code of ethics90

73. Roles and responsibilities in an ethics management programme
Municipal Manager support
An Ethics Committee within council?
Ethics Officer?
Ombudsman?
One person responsible!
The guidelines … (96) 95

74. Hoffman’s Ethical Pyramid99

75. Initial tasks of an ethics management programme
Purpose …
Guidelines …
Identify and review values
Review which values support the ideal
Identify behaviours
Identify core values - the top five to ten
Compose a code of ethics
Include wording - all employees are expected to conform
Obtain review from key members of the municipality.
Announce and distribute the new code of ethics
Update the code at least once a year.
100

76. Implementing the code of ethics …
Internal initiatives
Communicating internally
External initiatives
External communication
107

77. Whistleblowers’ Charter
112

78. “Whistleblower’s” Reluctance
Didn’t believe action would be taken.
Feared retaliation from mgmt.
Didn’t trust confidentiality.
Feared not being a team player.
Feared retaliation from co-workers.
Didn’t know who to contact.
Nobody cares, why should I?

79. Appendices A - Code of Conduct for Councillors
B – Code of Conduct for Municipal Staff
Members
C – South African Public Service Code of
Conduct
D – Prevention and Combatting of Corrupt
Activities Act, 2003
E – Sample Ethics Programme for a municipality
125+

80. The exam tomorrow …… 

81. SCHOOL OF PUBLIC LEADERSHIP
Thank you ……