Ethics Codes: Lessons From Canada

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Ethics Codes Lessons From Canada

• Dr. Marc Saner
• 26 May 2005

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Table of Contents - Part 1

• Canadas Approach
• A very abbreviated history
• Analysis Five principles
• Are these principles universal?

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Table of Contents - Part 2

• Two Challenges (for Everyone)
• Compliance vs. integrity
• Designing a process
• Country-specific solutions

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Canadian Ethics Codes History

• Report by the Task Force on Public Service Values
  and Ethics (1996)
• Auditor General Report (2000)
• Code for Members of the House of Commons (2004)
• Code for Public Office Holders (2003-2004)
• Available in Spanish
• Code for Public Servants (2003)

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Analysis Five Guiding Principles
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Principle 1
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The Principle is a True-ism for Rulers

• Importance of ethical leadership has long been
  understood Sample quotes
• Aristotle The ruler ought to have moral virtue
  in perfection.
• Confucius The institutions of the ruler are
  rooted in his own character and conduct.
• Is ethical leadership only for rulers?

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Power is Tied to Accountability
Also Lobbyists, Judges, Media,
Multiple levels of power -gt Need for a diverse
system
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Principle 2
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The Canadian System of Codes (Simplified)
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Codes Are Only One Tool

• Examples of other instruments
• Law
• Unwritten codes
• Culture
• Pledges
• Spirituality
• Mentoring
• Dialogue

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Principle 3
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From Recruitment to Performance Evaluation
Canadas Management Accountability Framework
Public Service Values
Results Perform-ance
Governance Strategic Direction
Policy and Programs
Citizen Focused Service
People
Stewardship
Accountability
Risk Management
Learning, Innovation and Change Management
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Principle 4
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Revisions and Audits are Planned

• Explicit statement of periodic review is included
  in the codes
• Canadian Auditor General reviews values and
  ethics every 3-5 years
• (e.g., Chapter 12, 2000)

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Principle 5
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Public Disclosure and Annual Reports

• Disclosure of conflicts-of-interest
• Public declaration
• Annual report

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Are the Principles Universal?

• I leave the judgment to you
• They have been used here as a way to classify
  elements of the Canadian approach
• What really counts, however, is the adaptation to
  country-specific needs

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Part 2

• Two Challenges (for Everyone)
• Compliance vs. integrity
• Designing a process
• Country-specific solutions

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Practice Two Challenges

• Balancing compliance and integrity
• First an ideological, then a practical challenge
• The art of designing the process
• Incremental and forceful, inclusive and coherent,
  flexible and consistent,

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An Ideological Challenge

• Common ideology Big problems require big
  measures
• Strong, mandatory standards
• Strong enforcement COMPLIANCE
• Strong punishments
• Increasing evidence that this view is too
  simplistic
• Voluntary approaches
• Smart regulations INTEGRITY
• Integrity, culture and spirituality
• Conclusion
• Keep an open mind OUTCOME-ORIENTATION

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Types of Codes

• Compliance codes
• A list of rules and limits that need to be
  respected by all users
• Values-based (integrity) codes
• A list of commonly shared values and guiding
  principles

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Nature of Codes

• VALUES-BASED
• Flexibility
• Works with unexpected
• Dialogue approach
• Fosters team work
• Brief
• Own judgment
• Owned by all

• COMPLIANCE-BASED
• Consistency
• Predictable decisions
• Analytic approach
• Fosters precision
• Detailed
• Enforceable
• Implementation can be top-down

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Benefits of Codes

• COMPLIANCE-BASED
• Workplace
• Good outcomes through enforcement
• Environment
• Good outcomes because standards match environm.
  requirements audit and enforcement work well

• VALUES-BASED
• Workplace
• Good outcomes from the good judgement of
  participants
• Environment
• Good outcomes from experienced, empowered,
  thinking, cooperative staff

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Developing Codes

• Top-down
• Legality, analysis
• Match to organizational commitments
• Keep an eye on performance measurement
• Works best with compliance-based codes
• Bottom-up
• Buy-in
• Distill existing culture
• Learn from the staff level
• Required for values-based codes

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Outcome-oriented Codes

• Outcome-oriented codes are the best possible
  combination
• of elements from values and compliance codes
• for a given situation
• judged by the outcome one wants to achieve
• Need for two-pronged approach
• Compliance analysis and legal integration
• Values dialogue and workplace integration

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Additional Ideas for Process

• The public service is a public trust
• Cannot systematically exclude the public
• Adaptive planning
• Do something practical that needs to be done and
  can be done
• For example Transparency of legal process gtgtgt
  Legal aid for the poor

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Summary and Conclusion

• Diversity of the Canadian experience provides a
  menu and broad strategy
• Codes matched to level of power and
  responsibility
• A diverse system that is being adapted over time
• Intention of full integration and transparency
• In practice, consider this development procedure
• (1) Identify a starting point, an achievable goal
• (2) Consider a very broad team, including the
  public
• (3) Force the compliance vs. integrity
  discussion
• (4) Design the process towards outcome-orientatio
  n
• (5) Practice adaptive planning

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Further Information

• www.iog.ca

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Score Card for Canada

• 1. Leadership
• Sponsorship Scandal
• 2. Diversity
• Well established
• 3. Integration
• Launch of public service ethics code rushed
• Focus still very strong on conflicts-of-interest
• 4. Adaptation
• Appears to work
• 5. Transparency
• Access to Information -gt culture change