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ETHICS LAW
COMPLIANCE
BEST PRACTICES
General Bes! Practices ..............,............,..,.... (page 2)
Decision-Making ..,......,..,..,.........................., (page 5)
lse of I'uhlic Resources ........,..,.................... (page 6)
Incentives for SpI'aking Truth 10 Power ........ (page 7)
lIiring, Appointments and Staff Relations ...... (page B)
Procnrement Issnes .......... ..........,......, (page B)
Financial Practices ..................................,...... (page~)
Campaigns ......, .........................., ...., (page I])
\1.S0 I\SIDE:
. Wbl/I COllslilllll'.I' 1/11 f/bics hili".., ......, (pagej)
. IIbl/l COll.l'litllles 1/11 fj}ixli/'e Ubii's
COli/filiI/lice P/'Ograll/', ................ ...., (page (2)
. RecolI/lI/elllled EI(,II/('nls '!Frll/
Elbics I.(///, li'l/illing I'/'Ograll/.... ........ (pa~e I~I)
,
INTRODUCTION
I.ocal agency officials - and the agencies in which
thev serve - face a com pit's array of ethics-related
laws. While sOllle of thesl' requircments lllay Sl'l'1l1
intuitive, others can Ile fairly characterized as traps-
for-the-unwary puhlic official. Moreowr, missteps-
l'\-'L'n inadverlent olles-can seriously undermine
the pulllic's trust and confidence ill an agency and
Ihose associated with the ageocy,
What steps cao Ihe well-intended official take to
make SlIre that his or her agency is m:l\imizin!!, the
prospccts for compliance and minimizing the
likelihood of missteps? This checklist provides SOl11e
ideas.
GENERAL
o Do agency officials and employees receive
inforlnaliollal materials (lxplailling I) their
obligations under puhlit: servin' ethics laws
(see list on page ~) and 2) the unique ('(hical
(lbligatiollS and val lies associatl'd willI
pulllic service'!
o Are these materials targeted to Iheir iUlended
audiencl' ill ll'rl1lS of being prepared in
non-legalistic language and reflective of
tlw audil'nn."s demographics?
[J Does the agency offer regnlar (al least lwo
hours ('very Iwo years) lraining to rde\'ant
decision-makers on tht' ethics and ethirs-
rl'lated laws gO\l.'rning their ohligations as
public serv:lllls'~ (see bo\ 011 page 14 on
suggested ('It'lllenlS of an ethics training
program)
.
DAre agenrs stafr cncouraged to engage in
cOlltinuing education activities to keep
~Ihn'asl of changes in legal rt'quirt'IlWnls?
o Does the agency have an efrective method for
regularly monitoring cOIllpliance with ethics
laws and I:Iws governing liSt-' and cxpellditu1'('
of pnhlic money' (sce page 4)
D Does 11ll' agcncy periodically engage in sl'lf-
assessment activities (such as this I)('st practices
dl('cklist) to assnre itself thai its practices
cOlltinue maximize the Iil\l'lihoou of ethics
law compliance!
o Does the agency have a code of condnct or
ethics ordinallcc~
ACKNOWLEDGMENTS
Special thanks to tl](' following individnals who
yoluntcered to provide peer review for this puhlication:
Ail/Oil IJtllJlerbl'lIl"/J. J)eflll~)' 00' ,1/lIIltIgt'/: H(,f'l'r~J'
Ifills
K('l';u IJUAAtllI, Ci~)' ,1I({1/((t:.l'l; .lfolfllfflill I'il'/(,
(,'mil!, J~ /)111111, /'r(!/i'ssm: Saf! Oil'g() S/t/Il' fl/i/"I'rs;~)'
. /Jrif'1I f'flrn'lI. CiZI'Alfo/'I/(:I'.
,\'01110 Rosa
Dflllit'i S. I/l'Iltscbki', (Ielli'm/ CO/llI.W'/.
S({II Oh'g/) C/!/I/lI.r 1I;lf/'r ,lulhl)!'il)'
Jobn 1.{/r.wHI. Cilr C/JI/llcil ,IJI'/JIIJl'J: S/'1I1 "l'IICb
1Il'lltlWI'MdtlUgblill, City .lI!Ofl/q, Hel!l'cia
lplll J"rm:r .\'('rlfllu[, :lssisl{/lll Cily If!tmWI'.
l'/et/saUltll/
.Iosl.pb IE PtIIUW1l('. kane. Hal/mt'!'
6 Hcrkll/III!
/'{/rk{/ /'o/ml'ic. OZr .1dmil/islmfOl: II i/liall/.\'
K('1II1db /J. Kwufl. Uallill, Are.I's. Nt'islIlall t. kJ'tlllil":
(,'n'g Scok'i. /)('puO' OZr I/t/flage/: SlIlIllI Nosa
What Constitutes an Ethics Law?
nJe good (Jj'Jbe jJeojJ!e is Ibe ,-bi(1/tlll'.
- C'(:ERll
The purpose of most laws IS to encourage good behavior
and discouroge bad behavior. What then makes a faw an
"ethics law?"
There is no universally accepted categorization. One test is
whether 0 law/romotes the public's trust and confidence that
the agency an its officials ore acting in the public's interests-
os opposed to narrow personal interests. Another is whether
the law relates to core ethical values, for example values
relating to trustworthiness, respect, responsibility, and fairness.
For purposes of its own ethics education programs, the
Institute for Local Government believes that "ethics lows"
include the lollowing:
(1) Lows relating 10 personal financial gain by public seNants
(far example, laws prohibiting bribery and con~ict of
interest lows),
(2) Laws relating to claiming perks of office (for example, gift
and travel restrictions, prohibitions against the use of public
resources for personal or political purposes, prohibitions
against gifts of public funds, moss moiling restrielions, and
prohibitions against acceptance of free ar discounted
transportation by transportation companies),
(3) Government transparency laws (for example, financial
interest disclosure requirements and open government laws),
(4) Laws relating to fair processes (for example, common law
bios prohibitions, due process requirements, incompatible
offices, fair procurement processes for public controels, and
disqualificDtion from participating in decisions oHecting
family members),
(5) Laws relating to respectful and fair treatment of stoff,
including those related to political solicitations and
whistle-blower protections,
(6) Laws designed to safeguard public resources, either in
terms of maximizing public benefits (procurement practices)
or minimizing horms (in terms of guarding against
improper use or theft of public resources), and
(7) Campaign-related lows (including fundroising restrictions
and campaign disclosure)
For more information about these laws, see A Loco! Official's
Reference on Ethics Lows and other resources published by
the Institute for local Government. These are 011 available at
www_ca-ila.ora/trust.
Wbile iI'e are Ji'ee 10 cboose oilr aClloils, lI'e
are IlO! free to cboose tbe con.\'equeJlce....' of
oilr actions,
- STEI'IIEN Cony
DECISION-MAKING
o Arc State Fair Political PI':lclin>s COlllmission's
~orm 70lls (Slatemenls of Economic Interests)
timely distrihuted and collecled on an annn:tl hasis'
o Do decision-m:tk,'rs know where the 'jOO-fool
hOLllldaries are with respect 10 thdr variolls
property interests?
o Are officials advised of prohihitions against self-
dealing ((iO\ernnll'ni Code Section IOl)O) in
addition 10 Ihe Politicallldorm Act?
o Do decision-makers receive tl'aillill~ on due
process rnles applicahll' to quasi-adjudicator,
(administrative) hl'tll'inp.s?
. Do uerisioll-J1l;lkl'l's know ho\\ 10 disclose
information tile) rcceive outside adjudieltory
Iwarings?
o \I'l' agellcy policies applied cOllsislt'ntly 10
thost' seeking agellcy approvals. regardless
of personal COIlIH.'ctioIlS?
o \n.' llIl'eting notices sent out in a timely manner
and \\'rilll'1l in a way that is 1I1ldl'rstandab1l' to
ihe general puhlic'!
o Do decision makers listen allenti\e!l al puhlic
hearings, particularly adjudicll()ry IIl'arillgs'~
D lkin.' dl't'isioll-Ill~lkl'rs rt'l'(.jvt'd illfornwtioll
on hias iSSlll'S'~
USE OF PUBLIC RESOURCES
o Does the agency have an adopted travel and
e:\pt'nsl' feimbufsl'llll'lll policy?
. Does it contain the elements fl'C011l1lll'lHlcd
in tilt' InstiIlltl' for I.ocal (;overlll1lent's
sample policy (availahle at \\ww,ca-i1~,orw
reimllursementpolicv) ,
. Do swff and eil'cl('d officials receive p('riodic
reminders on the provisions of the policy
that most likely apply 10 Ihem (forexal11pll', nsing
agency lime or C(lllipl11cnt for personal
husillt'ss)'r
. Is this policy consistently appli('d'
. ts cOl11pliance with the policy snbjected
to Vl'J'ification?
o ,Ir(' anI' allowanc('s (for example, teil'phone or
t('chnoloh~ al1ow,mces) back('d up hy documenlation
('xplaining factual basis for the allowance?
o Does the ag('ncy hav(' an adopl('d policy
explaining under what circumstances public
[wnd'its are achil'v('d by tIll' agt'llcy's partkipatioll
in cOllllllunity evcnls or activities (for example,
such things as a purchase of a tabl,' at a loc,d
chamher of rOmlllt'rCl', Iahor rouncil. or other
cOllllllunity (,vl'lIls)'~
U For S/Jeci{/I Vis/riels: Are local officials aware
of what kinds of actilities do and do nol
cOllstitute compellsahle sl'rvicl' 10 the district'~
. Does the agency havl' an adopted p()lic~
cxplaining L1lldl'r what circulllstances per
di('m stipends lIill be paid'
o Does the agenCl have an adoPled policy
governing Ihl' liSt' of agency property and
('quipm('nt by olTiriaJs and l'mpIOl('('s'
I'
. Docs this policy lake into an.'OUIlI pro-
scriptions against I) gifts of public resources,
2) personal use of puhlic resources, and
.\) political use of puhlic resources'
. Is Ihis policy consistently applied'!
o [)o staff and elected officials understand and
comply with mass mailings proscriptions?
INCENTIVES FOR SPEAK-
ING TRUTH TO POWER'
o Does the agency have an adopted policy dearly
explaining proCl-'dures for reporting and
investigating allegations of misconduct and
protection of those who ft'port misrollduce
D Do elllployees n'ceiVl' posilin' rdnfOlTt'lllellt for
bringing truthful. hut SOIlH.'times ullwelcomc,
unpopular or difficult, informalion to the
attention of relevant dl'cision-maklTs?
o Is unlallful conduct dealt with swiftly, firmly
and consistently?
D Arc cmployers l'llcolll'aged lO bring fon-vanl
ullsolicited. UIl\\'{,\cOl1ll', unfamiliar or dillicult
information? (The oppositl' of ~l "Don't Ask,
Don't Tel1" l'olicyJ'l
DAre agellcy supervisors familiar with legal
protc(tiolls relating to whistle-hlowing activities'~
o Do staff participate in prokssional associations
that pro\'idl' gllid~lI}(l' 011 ethics as it rclall's to
their roll' wilhin the oq~anizatioll'~ (For a list of
local agency professional associations with
ethics codes. for l'\amp\(', see \\'\\'w.ca-ilg.or~
staffrelations) ,
1 \aron Wild:\,..k','1I('<lhll.~ 11'/1/1.1 /n /',,//,('r l'b(',lr/l/!J({r.'m/i "11',,{in
!'lId)',i,' (11"'1011 Lilli", 1\1'0\111. 1')-'/1
HIRING, APPOINTMENTS
AND STAFF RELATIONS
o Uoes the agency have an anti-nepotism policy?
o Does the agency consistently make a concerted
effort 10 advertise widely for appointments for
hoards ~uld COl1lll1issions'~
o Does the a~l'ncy encourage its officials 10
l'ngagl' in personal outreach for appoilltllll'IlIS
10 hoards and commissions?
o Does the agenc\ consistent Iv make a concerted
dfort to advl'rtisl' widely for joh openings?
o Does your agellcy havl' a llon-disniminatioll
policy and ahide bv its terms'
D 1)0 supervisors, including ekrll'd officials,
rl'ceive training 011 issues relating to fair,
respectful and appropriate treatment of starf!
o Dol'S Ihl' agency have it policy ahout s('cond
jobs for starr!
. Dot'S staff receive periodic reminders 011 the
prmisions of 11U' policy (for ('xamp\(> during
annual rl'viL'ws)'~
. Is this policy ronsistl'lllly applied?
PROCUREMENT ISSUES
o Dol'S till' agency have adoptl'd proClll'l-'IllL'1l1
rules and rL'glllalions'~
[J Do lhe agl'Jl(~"s proCLIJ'l'lIll'lII practicl's comply
\vilh hoth the kHer and spirit of lhl' jlroCUITIIIl'1l1
laws and poliril's(
o If till' agellcy has a dl'l'<.'nlralizcd purchasing
systl'lll, docs it han' clear organinlioll-widc
standards and guidelines?
...... "'"
o Does till' agenl'v haH' policies in place for the
proper disposal of surplos property?
o Do all local officials imolved in conlracting
decisions i'{'ct'ive training on the proscriptions
against self-dealing ill agcnl'Y l'Olltracts
((iOH'rnml'nt (ode seclion IIl')O)?
FINANCIAL PRACTICES
Olll' Il'IJO Ibillks Iballl/olll'j' call do l'1'l'rj'lbillg
is liAw/j' 10 do (//1)'lbillg./iJr II/OIIl')'.
- II.ISIIlU: SA\'INt;
o Does Ihe agency fully and accurately disclose
both positive and nt'gali\l' financial information
to till' public and financial institutions?
o Do('s Ihe agency have appropriatl' internal
controls in place, including such practices as
. Segregating duties among staff to minimize
risk of error or misconduct (for example,
no 011(' pnson should initiate a transaction,
appro\'(' it. record it. rl'collcilt, halances,
handle assets and review reporbL
. Limiting access to agency assets slIch as
cash. equipml'nt. documellts and credit
canis [(I safeguard against unauthorized
acquisition, use or disposition,
. :\ SYS(l'lll of authorizations. approvals, and
vt'rifications. ill which I) certain individlwls
an' authorized to perform certain activitil's
and to l'\(,Cllll' certain In.lJ1sactions within
limited parameters (sollle of which may
I1l'ed supplelllell!al sllpervis()ry appnmLi hd()re
they are performed or eXlTlIled hy emploY-l'es),
2) a supervis(lr's appnlval (ll1allllal (II'
electrollic) indir:lles thaI Ill' or sill' has verified
and validated thai thl' activity or transactioll
conforms to till' agellcy's es!ahlishl'd policies,
. Diligent reconciliation processes to compare
various sets of dala 10 on(' anolher (for
example, charges in a statemenl of accouot
to doculllentation of expenses, including Ihe
proper authorization for Ihose expenses),
identifying and investigating any discrepancies
and taking corrective action whl'n necessary,
o Do agency officials receive periodic financial
reports? These include monthly reports,
quarterly reports and mid-year hudget reviews,
. Do nllanci~I1 reports provide Illeaningful
information alloutthe agency's expenditures
'L' they relate to rewnues and budgeted ,uuounIS'
. Do thesc reports pmviuc a complete picture
of the agellcy\ ass{'ls and Iiahilities?
o Docs the agency have its financial reports
audiled on a timely basis' (Audiled reports should
be issued 00 later than I Xli days after year-end),
. lIo\\' long has the agency's auditor hecn
auditing the agency? Does the agency
pl'1'iodically rhangc auditors to provide a
fresh view of the agency's financial statellll'nts?
. Arc the annual financial reports pH'pared hy
a certified public accolllltant, in accordance
with gcnerally accepted accounting principles?
. I)ocs Ihl' agency t'l'ceive "llJl{jualifieu"
auditors' opinions? An "llllllualifjed" opinion
means that thl' auditor concludes the agl']l('Y
followed all acmunting rules and that its
financial reports present a]] aCl'\lrate pictllJ'l'
of thl' agcncy's financial conditioll,
. Does the agency periodically conduct its own
audits of particular rllnl'tioJ]s'~
,.-
o Do('s the agency have dear capita) financing
and deht management policies that address how
it selects external consultants like hond eounsel,
fillancial advisors, trustees, assl'ssmenl
enginccrs and Ul1lkrwritcl's'r
. Do these policies addn'ss disclosure and
rdations with rating ag('nd('s.~
. Do key managers ~lttest to the accuracy of
fin<lnancial staletlll'nb in writing.~
CAMPAIGNS
o Do candidates for the agency's governing hoard
receive information 011 how to rompl) with
ralllllaign laws. including localrampaign
requirl'll11'nts and restrictions?
o :\n~ candidates giwn information ahout ethics
laws. including conniet of interest, incompatibk
offices and governllll'nlaltranspal'enry rl'quire-
I1ll'nts Ihat will he rl'il'vanl to their sen'iee if
Ihey are elected'
o An' agency officials and l'mployel's advised of
restrictions rl'laling to campaign rUllllraising
and politieal aClivilv of puhlic emploYl'es'
o Arc thl'l'C Illcchanisms in place to promote
equallreatl1lent of candidates and avoid
hoth perel'ptions and re,t1ities of
preferential trealnlent'
o Is thl' stalc.s Code of Fair Campaign Pranices
distrihull'd 10 all candidatl's!
"
What Constitutes an Effective
Ethics Compliance Program?
Effective compliance programs can take many forms ronging
from regular financial audits that include periodic review of
management practices, to more extensive programs. Here
ore some concepts on compliance program elements from
the Federal Sentencing Guidelines:2
[J Does the agency have standards and procedures to
prevent and deleet unlawful conduct?
o Is the agency's leadership knowledgeable oboutthe
agency's compliance programs?
. Does the leadership exercise reasonable oversight
of program implementation?
. Are specific individuals assigned overall responsibility
for compliance issues, as well os doy-to-doy operational
responsibility? 15 there periodic communication
between the two areas of responsibility?
. Does the governing body and lop management take
responsibility for oS5uring that the agency's actions
comply with the law and that the agency's ethics
program is effective?
o Do employees have 0 mechanism for reporting
concerns about illegal or unethical behavior without
fear of retaliation?
U For employees, are those who have engaged in unethical
or illegal behaviors disciplined and precluded from
serving in positions of authority (in a manner consistent
with federal, state and \ocal personnel laws)?
:J Do employees and agents have incentives to act legally
and ethically [including avoiding even the appearance
of impropriety)'
':J Is the agency's compliance and ethics program monitored
and periodically evaluated to assess its eHectiveness?
o Does the agency have a history of taking reasonable
steps to respond to misconduct and prevent future
misconduct?
o Does the ogency periodicolly 055e55 the risk 01 unlowlul
conduct, so it con lake steps to minimize those risks?
This con include:
. An inventory of the range of agency activities, the
laws that apply to those activities, and the potential
for missteps in complying with those lows.
. An analysis of what would be the most serious
missteps and hence most deserving of priority in
prevention efforts.
,J Does the agency's leadership foster a culture of ethics
within the agency?
A key theme of the guidelines is holding management
accountable for encouraging compliance and ethical
behavior. Moreover, the emphasis on a "culture of ethics"
recognizes that no matter how effective an ethics program is,
it will not be effective in the absence of demonstrated ethical
leadership by an organization's top leadership. Far more
information on this topic, see WW'W.ca-ilq.orq/culturechecks.
Note tho! these guidelines do apply to governmental units.
The guidelines also recognize thai efforts will reasonably
vory based on the size of an organization, history of
misconduct and industry practice,4
Another question to ponder
is how the IIl0cation" of ethics~related
functions in an agency influences ethics
law compliance. What happens if "ethics"
is assigned to a department which is
viewed as having little or no power?
! Intl~ll :-I,lh'S SI'IlII'nrill~ LOllllllh..jllll. \;lIlddlll", ~hllll:d, Chapll'l ,'i_ 1':lrlll
I{l'nll'dyill~ h:mn frolll nimin:d ,olldlH:I, :md dk\'li\t, t'lhi\', :HIlI "'llIl'li:IIH'I'
prll~r:!I11 (\m,'jlll11'r 21l(l1 ~
;!t/ ;i 1i,\1 I C\I'I,IiLllioll \01<' HI 11ll' OI~J.IlI/:lIlUrul 'l'1l11'lIl"1n~ )<lIid,'IiIll"
:11'1'1111\ '"{'oqwlJ.li"rh. P:II'lIl1'r,hil", """l'iJ.lioll'. il!il\l-'l"l'~ c"mp:llli,....
Ilni'"I', 11'llSb, 1l,'II,il'll hll\\h, 1I1IiTll'lJI'I",r:1Il'd ('I'~:tllinli'"I>. l:"'l'I'T1TlI,'nl' :lml
p"hlll',tI>lIll1.lil'l'IOIlSIII<H.uf.allllllon-prulilorg;llIinli"n>'I
, it! ~ :-ill! 1 I \ppItCI1I"n '''ll' U! \ Till' "1'~~;lIlif:ltI"Il:l1 ",'lIl\'lI\,illl: ~lIl(h'IIII\"
appll 11' "n,rpllrali"I\>, jl:lrllll'l'>hip>_ ,1"'H'iati"Il', i'>iIU-'I()r~ ,'ompalll">_
tltlil>TI>, Irll'h, pt'II'i('11 lund,. 1IIlIIlr"rp"r;lll'd ,'r:~:mi/J.li'>lI>. g'IIl"rllm"i1b
:lIl<ll'"lilicd >1I1"lill,ioll' (Iu'n',,!. :1I1l1111l11-l'rulil nr~:lIli/;lTi"n,-j
I'
Recommended Elements of an
Ethics Law Training Program
71Jere:\' tI big diJ}ereuce bel/l'l'euu'btll )'011
bm'f'tI rigbllo do nud lI'bnl is rigbl to do,
- POTrER STEWAltT
An overall training program for ethics and laws governing public
oHicial conduclshould cover the following mpects of those laws:
o Personal financial gain laws (for example, disclosure and
disqualification requirements, prohibited interests in
contracts, bribery)
o Special privileges and perks lows (gift limits and disclosure
requirements, prohibitions against personal and political use
of public resources)
o Fairness laws (bios, procurement, hiring]
o Open government lows (public records, open meetings
requirements)
[] Whistle-blowing protections
...J Stoff relations issues (for example, working through the city
manager to give direction to stoff and stoff neutrality in
campaigns for elective office]
Because of the complexity of those subiects, training should
occur in discrete segments to maximize both comprehension
and retention. For example, if an agency provides periodic
ethics low training for its officials and staff, the agency can
focus on different topics during each s.ession.
In addition, on agency should communicate information about
ethics low requirements through multiple communications
channels. An example is periodic bulletins or memos. to
relevant agency officials reminding them of relevant ethical
standards. and legal requirements.
Finally, all training should emphasize the loci that the law is
o floor for acceptable conduct, not 0 ceiling. Moreover,
focusing on minimum levels of compliance with legal standards
is 0 risky compliance strategy in and of its.elf. A truly effective
compliance training program will focus on the values and
ideals that the law is trying to protect-sometimes known os
complying with not only the letter of the low, but also its spirit.
Local agency officials con keep thes.e valves. and ideals in
mind to enrich their analys.is. on what the overall "right" thing
to do might be in 0 given s.ituation-ideally above and beyond
what the low requires. A pos.itive, value-based code of ethics
for the agency con be a helpful tool in this regard (for more
information, see www.co-ilo.orq/ethicscodes.). In short, ethics
is not simply about compliance, but integrity.
,
~~~-
TAKING SELF-ASSESSMENT
ONE STEP FURTHER
Gelluille slIccess does 1101 come ji"rJlII
Ilme/aimillg our (!alues, hili fi'Om collsislelll!t'
/Jllllillg Ibem ill/o dail)' actioll,
_ KEN BLINCIIARD AND MICIIAEL O'CONNOR,
MIN,IGING HI' V,IH'ES
Every agency should on a periodic basis. engage in
the self-assl'ssment process suggested hy Ihe ahove
chl'cklist. This is part of the agency's dul' diligence
with respecl to ethics laws, Ahhough compliance
with ethics laws is a \1oor - and nol a criling - for
elhical conduct, it is non('\heil'ss impurlant for an
agency to assure ilSdf it is meeting minimum legal
requirements for its activities.
As the Federal Sentencing (;uiddines suggest.
however. the etbical culture of an agency is
important for promoting both ethics law compliancl'
and ellcouraging the agl'llcy to operatl' on a higlll'f
ethical plane than hare minimull1 legal requirl'lllellts.
Such assessml'nts explore how employees feel ahout
lhe organization's standanls and behavior, including
the pl'rcl'ivl'd priorities and ethicall'ffl'ctiveness
of individuals and sub-units of the organization. as
well as the organization as a whole. This can assist
the agency in n'<lching a preliminary conclusion that
ill(fl'ased attention lo l.'thical iSS1H.'S would
he hl'neficial.
For more information 011 such asseSSlllents, visit tlH'
Institute's \\l'hsite at w\\'w.GI-ilt!,on!/culturechecks.
,
Generous sUjJjJorl.fiJr tbis
resource jitln,ided {~J':
11-l1~&
IJIX
ATTORNEYS AT LAW
l
INDIAN WEllS RIVERSIDE
IRVINE SACRAMENTO
ONTARIO SAN DIEGO
WALNUT CREEK
h"p://bbklaw.com
J
Does your agency engage in
"best practices" that are not
covered in this checklist?
Let us know: ilg@cacities.org.
INSTITUTE for LOCAL GOVERNMENT
1400 K Street, Suite 400
SlllTameulO CA 95814
916/658-8208 Facsimile: 916{444-7535
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ABOUT THE INSTITUTE FOR LOCAL GOVERNMENT
The Institute's mission is to develop forward-thinking resources to help
local officials serve their communities. This year. the Institute celebrates
50 years of service [0 local officials. This resource was produced as part
of the Institute's ongoing efforts to promote public confidence in local
governmem. For more information about this program and additional
resources, visit www.ca-ilg.org/trust.
Generous support for and input
on this project provided by
The Institute's work is supported by grants, the League of California
Cities, private sector sponsorships, publications sales and individual
donations (including gifts of surplus campaign funds and bequests).
HAnson
BRIDGHl
m~~n~
H~~~~
~~~nlr
ABOUT WESTERN CITY MAGAZINE
Walking the Line: What to Do When You Suspect an Ethics Problem was
first poblished in Western City magazine in August and September 2005
under the title "Navigating the Perils of Public Service." western City is
the League of California Cities' monthly magazine. western City pro-
vides lively. interdisciplinary analyses of issues affecting local governance.
and offers practical ideas. information and bigger-picture policy issues
and trends. For more information, visit www.wesrerncity.com.
Legal Partners You Can Count On
www.hansonbridgett.com
San Francisco. North Bay. Sacramento
@ 2005 Insriunc for Local Government
For additional copies of this publication, coman CiryBooks at (916) 658.8257 or visit our websire for an electronic copy at www.ca-ilg.org/whattodo.
WALKING THE LINE:
What to Do When You Suspect an Ethics Problem
he vast majority of public
servants are selfless, well-intended
and community-minded indivi-
duals. However, occasionally an
agency will find itself dealing with indi-
viduaLs who arc either unf.1miliar with or
disregard lilC norms and law,'; governing
public service.
\Vhar is a conscientious fellow public ser-
vant to do ifhc or she suspects wrongdo-
ing? While it's difficult to give advice that
addresses every sirualion. the following
eight-step process provides an analytical
framework. In addition, this arrick- offers a
number of resources to help local officials
achieve the difficult balance between not
turning a blind eye [() potential wrong-
doing while avoiding unjustly accusing
someone of it.
The first thing you should do in any
situation is consult your agency counsel.
Dealing with possible wrongdoing can be
a very lengthy and personally demand-
ing process, and it's essenrial to seek legal
counsel before planning your course ofac-
tion. Once yotl have the advice of counsel,
there arc eight steps to take in addressing
a public servant's suspected or potential
wrongdoing. These are explored in detail,
step by step, in the following pages.
Step 1. Stop. Examine
Your Motivations.
Ethics is about promoting fidelity to uni-
versal values (for example, tfUstworrhi-
ness, respect, responsibility and fairness).
In public service, it's also about fostering
the public's confidence in its governing
institutions, their employees and public
www.ca.ilg.org
servants. A key g031 is assuring the public
that governmemal decisions are made
based on the public's interests - nor
narrow private or self-serving ones.
When considering what you should do
about someone else's perceived elhical or
legal lapse, reRect on your moriv,Hions.
Ask yourself whether your goal is truly to
promote more ethical conduct in public
service and increase public confidence in
government. If the issue is a violarion of
the law, is it a technical "gorcha" viola-
tion or docs the violation truly reprcscnr
a betrayal of the public's Ifust? Even if
you are confidenr about the technical
aspects, the laws that address Ihese issues
are very complicated, and you should
consult your agency's counsel bd()re mov-
ing forward.
There can be at least four motivarions for
calling a perceived transgression to light:
I. Organizational Loyalty - Individuals
in this category are truly loyal to the
Suggested Steps to Take When You Suspect a
Colleague Has Crossed Over the Ethical Line
1.
2.
3.
Stop, Examine your motivations,
Figure out what the "wrong" might be,
Determine the potential consequences of letting the situation
go unaddressed,
4.
5.
Speak with others to see if they share your concerns,
Discuss the issue with the individual (or have a trusted
confidant do so),
6.
7.
Determine whether an internal investigation is appropriate,
,
Determine whether external enforcement authorities should
be contacted,
8.
Consider steps to prevent the situation from recurring,
Institute for local Government
1
Walking the Une: What to Do When Yc.l1l S'usp,'ct an Ethics Problem, continued
In public service, ethics is also about fostering the publics
confidence in its governing institutions, their employees
and public servants.
organization and report concerns in
order to remedy problems that could
ultimately harm the organization.
In addition, many people are strong-
ly committed to simply doing the
right thing.
2. Disillusionment - Some people
may be motivated to speak out against
perceived transgressions because their
expectations exceed organizational
realities. An important qucstion to ask
is whether these expectations reHect a
full analysis of ethical considerations,
including the ["let that some ethical
dilemmas reRect a conflict between
competing legitimate ethical values.
An example of such conflict is the
tension between absolute fidelity to
being honest (rdated to the value of
trustworthiness) and avoiding un-
necessarily hurting someone's fedings
(related to the value of compassion).
3. Defensiveness - Some people believe
"the best defense is a good offense."
They could be employees who antici-
pate disciplinary proceedings for poor
performance or perhaps an elected of-
ficial who fears that a transgression of
his or her own is about to be revealed.
The goal is not to vindicate ethical or
legal principles but to lay a foundation
f()r claiming rctaliation when fault is
found with their own conduct.
4. Desire to Harm - Some individuals
reveal or claim wrongdoing either to
hurt or embarrass rivals or an organi-
zation or as a form of rctribution for
perceived mistreatment.
If your motivations [.II into the latter two
Gltegories, carefully consider whether you
arc making an unethical use of ethics. The
practice of co-opting ethics for personal or
political advantage has come to be known
2
Institute for Local Government
as "vigilante ethics. n Vigilante ethics is a
destructive dynamic that ultimately dam-
ages the public trust by impugning the
motivations of public servants or would-
be public servants for personal reasons
that have nothing to do with creating a
more ethical environment.
Vigilante ethics can also be an inherently
shoft-tcrm strateb'Y' People reap what
they sow. Ultimately, an environment
characterized by ethical charges and
counter-charges ends up reHecting badly
on everyonc.
Step 2. Figure Out What
The "Wrong" Might Be.
Ethics ~rsus the LAw
A... you contemplate the nature of the
"wrong" you observed, it can be helpful
to keep in mind the distinction between
the law and ethics. following the law is
what people must do; there arc penalties
and other consequences associated with
violating the law. Thc chart on the f()lIow-
ing pages explains some of the ways local
officials can find themselves at odds with
the laws governing public service.
Ethics tends to be what people ought to
do based on commonly held values: trust-
worthiness, rcspect, fairness, compassion,
loyalty and responsibility (including public
servants' responsibility to act in the best
interests of the community as a whole).
While there arc many laws that reRect
these values (for example, laws making it
illegal to lie in government documents),
Vigilante ethics is a destructive dynamic that ultimately
damages the public trust.
www.ca-ilg.org
conducr can be technically within the
law hut nevertheless unethical. If you
believe a colleague's conduct may be un-
ethic.1l- even if it's not unlawful - YOll
need 10 carefully consider wIry you think
it's unethical.
Tbe Nature O/tlll Etbical Dilemma
Some kinds of actions are clearly unethi-
cal, while others involve a more search~
ing analysis. There are two kinds of
ethical dilemmas. One involves conRiers
between two "riglu" sets of values. The
other involves situations in which doing
the righl thing comes at a personal cost.
Think critically abow the kind of ethical
dilemma your colleague faced and the
kinds of competing considerations thai
had [0 be weighed.
Does }'our AgelUJ' Have a Code of Etbics?
Referring to an agency code of ethics can
be helpful in such an analysis. A code of
elhics highlights the kind of values that are
important for those who serve the agency
and how those values apply in the public
service context. Funhermore, because
there can be room for disagreement about
whal kind of conduct violates the lener
or spirit of the code, it's lIseful if the code
provides practical examples of the kind
of conduct that is consistenr with its
provisions (and, by negative impliCltion,
what kind of conduct is nor). For more
infi:mnatioll about local elhics codes, visit
www.ca-ilg.org/ethicscodes.
TO Wlull Extent is Etbics all Importa"t
Part oftbe Orga"izational Culture?
Even if the agenL)' doesn't have a formal
ethic" code, the community or [he organiza-
tions Icadership may have communicated
in other ways their expectations about the
importance of elhics and values in deci-
SioIHllaking and behavior. If your agency
has a strong culture of ethics, it is easier to
idenrif)' actions that arc Oll[ of step widl
[he organization's norms. In such a culture,
leaders "walk the ethics talk" and there is
a history of making difficult choices based
011 e[hical considerations.
for further information ahout Ihe kinds of
organiz,alional hehaviors that foster a culture
of ('[hies, visit ww\v.ca-ilg.org/culturechecb.
www.ca-ilg.org
Institute for Local Government
3
..~------ -
\Va/king the Line: Whlit to Do Whm Yrllt Suspect an Ethics Problem, continued
Step 2. Figuring Out What the "Wrong" Might Be
Links to all publications referenced under "For More Information" are available in the electronic version of this article online at www.ca-ilg.org/whattodo.
Issue: Does the situation involve Law Potentially Enforcement
an official... Violated Mechanism(s)
Incompletely disclosing their finan- Political Reform Act' Local agency attorney,
cial interests? Fair Political Practices
Commission (FPPC),
district attomey or
private lawsuif
Participating in or influencing deci-
sions in which they have a disquali-
fying financial interest?
Influencing agency decisions relat-
ing to prospective employees?
Having an interest in a contract Prohibition against Local agency attor-
to which the official's agency is interests in contracts3 ney, district attorney
a party? or private lawsuit
Receiving advantages or anything State and federal District attorney or
of value in exchange for their deci- criminal bribery laws4 U.S. Attorney
sions (bribery)?
Acquiring property interests within Redevelopment law5 Grand jury
their agency's redevelopment area?
For More Information
Remember. your agency's attorney is an excellent resource.
Seek their counsel in these situations too.
Attorney General publication, Conflicts of Interest (2004);
FPPC publication, Your Duty to File: A Basic Overview of
State Economic Disclosure Law; Institute for Local Govern-
ment (ILG) publication, A Local Official"s Reference on
Ethics Laws
Attorney General publication, Conflicts of Interest (2004);
FPPC publication, Can I Vote? Conflicts of Interest Overview;
ILG publication, A Local Official's Reference on Ethics Laws
Attorney General publication, Conflicts of Interest (2004);
ILG publication, A Local Official's Reference on Ethics Laws
Attorney General publication, Conflicts of Interest (2004);
ILG publication, A Local Official's Reference on Ethics Laws
ILG publication, A Local Official's Reference on Ethics Laws
ILG publication, A Local Official's Reference on Ethics Laws
.
,
P E R K S
Not disclosing gifts from a single Political Reform Act6 Local agency attorney, FPPC publications, Limitations on Gifts, Travel and Loans
source aggregating to $50 or more FPPC, district attorney for Local Officials and Receiving Gifts as a Public Official;
in a year? or private lawsuit? ILG publication, A Local Official's Reference on Ethics Laws
Receiving gifts aggregating to more FPPC publications, Limitations on Gifts. Travel and Loans
than $360 from one source in the for Local Officials and Receiving Gifts as a Public Official:
past 12 months? ILG publication, A Local Official's Reference on Ethics Laws
Not disqualifying themselves from FPPC publications. Limitations Oil Gifts, Travel and Loans
participating in decisions involving for Loeal Officials and Receiving Gifts as a Public Official;
someone who gave them a gift ILG publication, A Local Official's Reference on Ethics Laws
worth more than $360 during the
preceding 12 months?
Receiving loans over $250 from FPPC publications, Limitations on Gifts, Travel and Loans
those within the agency or who do for Local Officials and Receiving Gifts as a Public Official;
business with the agency? ILG publication, A Local Official's Reference on Ethics Laws
Receiving compensation for speak- FPPC publications, Limitations on Gifts, Travel and Loans
ing, writing an article or attending a for Local Officials and Receiving Gifts as a Public Official;
conference? ILG publication, A Local Official's Reference on Ethics Laws
Participating in decisions that af- Attorney General publication, Conflicts of lnterest (2004);
feet personal interests? FPPC publication, Can I Vote? Conflicts of Interest OvelView;
ILG publication, A Loeal Official's Reference on Ethics Laws
Sending mass mailings at public ILG publication, A Loeal Official's Reference on Ethics Laws
expense?
Using public agency resources for Government Code and Grand jury, district at- ILG publications, A Local Official's Reference on Ethics Laws
personal or political purposes? Penal Codes torney, private lawsuit and Of Cookie Jars and Fishbowls: A Public Official's Guide
to Use of Public Resources
Making gifts of public resources or California Constitution9 Private lawsuit ILG publication, Of Cookie Jars and Fishbowls: A Public
funds? Official's Guide to Use of Public Resources
Accepting free transportation from California Constitution'O Removal from office Attorney General publication, Conflicts of Interest (2004);
transportation companies? through a lawsuit ILG publication, A Local Official's Reference on Ethics Laws
known as a quo war-
ranto action, involving
the attorney generalll
--
~
4
Institute for Local Government
www.ca-ilg.org
Step 2. Figuring Out What the "Wrong" Might Be
Links to all publications referenced under "For More Information" are available in the electronic version of this article online at www.ca-ilg.org/whattodo.
Issue: Does the situation involve
an official...
Law Potentially
Violated
Enforcement
Mechanism(s}
For More Information
Remember, your agency's attorney is an excellent resource,
Seek their counsel in these situations too.
Participating in decisions that will
benefit their immediate family
(spouse and dependent children)?
Soliciting campaign contributions
as an appointed official from permit
applicants while the application
is pending and for three months
afterward?
Participating in quasi-judicial
proceedings in which they have a
strong bias with respect to the par.
ties or the facts?
Holding multiple public offices
that involve potentially conflicting
loyalties?
Circumventing the agency's com-
petitive bidding processes?
Political Reform Act1;?
Common law13
Government Code'.
Public Contract
Code,!6 local charters17
or ordinances
Local agency allor.
ney, FPPC, district
allorney or private
lawsuit
Local agency attor-
ney, FPPC, district
allorney or private
lawsuit
Local agency attor-
ney, private lawsuit
Removal from office
through a lawsuit
known as a quo war-
ranto action, involving
the attorney generaP~
Private lawsuit1a
Allorney General publication. Conflicts of fnterest(2004);
FPPC publication. Can I Vote? Conflicts of Interest Overview:
ILG publication, A Local Official's Reference on Ethics Laws
Attorney General publication, Conflicts of fnterest (2004);
FPPC publication. Campaign Contributions May Cause
Conflicts for Appointees and Commissioners; ILG publica-
tion. A Local Official's Reference on Ethics Laws
Attorney General publication, Conflicts of Interest (2004);
ILG publication. A Local Official's Reference on Ethics Laws
Allorney General publication, Conflicts of Interest (2004);
ILG publication, A Local Official's Reference on Ethics Laws
Western City article, "Let's Make a Deal: Securing Goods
and Services for Your Agency," October 2004
GOVERNMENTAL TRANSPARENCY
Conducting the public's business
outside open and publicized meet-
ings. except for the limited circum-
stances in which closed sessions
are allowed?
Refusing to allow public inspection
of documents and other written
records or electronic data except
when the law allows nondisclosure?
Not disclosing significant ($5,000
or more) fund-raising activities for
legislative, governmental or chari.
table purposes?
Ralph M. Brown Act19
Public Records ActZO
Political Reform AcFl
Local agency attor-
ney, district attorney
or private lawsuit
Local agency attor-
ney. district attorney
or private lawsuit
Local agency attor-
ney, FPPC. district
attorney or private
lawsuit
League of California Cities publication, Open & Public 3: A
Guide to the Ralph M. Brown Act; Attorney General publica-
tion, The Brown Act; lLG publication, A Local Official's Refer-
ence on Ethics Laws
Attorney General publication. Public Records Act Summary
(2004); ILG publication, A Local Official's Reference on
Ethics Laws
Western City article, "Fund-Raising Ethics: Brother. Can
You Spare a Dime?" February 2004; ILG publication, A Local
Official's Reference on Ethics Laws
Giving direction to staff instead of
the city manager?
STAFF.RELATED ISSUES
See www.ca-ilg.orglstaffrelations.
Discrimination based on protected
characteristics (gender, race, relj.
gion, sexual orientation) or speech?
Violation of a professional code of
ethics for a certain profession?
An agency prohibiting whistle-
blowing or retaliating against an
employee for whistle-blowing?
www.ca-i1g.org
Local ordinaneezz
State and federal civil
rights lawsZ3
Professional asso.
eiation
Labor Code2.
Local agency attor-
ney. district attorney
State Department
of Fair Employment
and Housing, private
lawsuit
Professional asso-
ciation
District attorney.25
private lawsuit~
California Department of Fair Employment and Housing
website (www.dfeh.ca.gov)
See www.ca-i1g.orglstatfreJations for a list of professional
codes of ethics.
Western City article. "For Whom the Whistle Blows,ft April
2005
Institute for Local Government
5
V1tdking the UJU': What to Do Whel/ You .s'uspect an Ethics Problem, cOl/tinued
Step 2, Figuring Out What the "Wrong" Might Be, continued
Links to all publications referenced under "For More Information" are available in the electronic version of this article online at www.ca-ilg.org/whattodo.
Issue: Does the situation
involve ...
Law Potentially
Violated
Enforcement
Mechanism(s)
Qualifications or requirements
for holding office (for example,
residency)?
State law,27 local
charters28
Misconduct or errors by a precinct
board member?
Election contest,
removal from office
through a lawsuit
known as a quo war-
ranto action, involving
the attorney general29
Election contest
State elections law30
Giving bribes or rewards for voting
(or other offenses against the
election franchise)?
Illegal voting (votes cast by those
not eligible or votes cast in an
unlawful manner)?
Eligible voters turned away
from voting?
Errors in counting ballots?
Failure to disclose in a timely
manner campaign contribution
amounts and sources?
Election contest
Election contest
Election contest
Political Reform ACP'
Election conlest
Failure to identify the source of
campaign advertising?
Step 3. Determine the
Potential Consequences
Of Letting the Situation
Go Unaddressed.
Keep in mind that the consequences
listed here ;1re only the pOlenriallegal
consequences. Just being accweri of viola[-
ing tit(. law can have unpleasant results,
including embarrassment (to the ex[ent
[hat some officials have even moved Ollt
of their comnlllllilY). losing a good
repU[;1[ion and the community's respeC(,
financial costs (hiring an auorney and
the potenrialloss of one's job or profes-
sionallicense) and being recalled or
losing (he next election bd{)re [he legal
process has concluded. The chart on
pages 8-<) explains the consl.:qul.:nces of
violating ethics laws.
6
Institute for Local Government
Local agency
attorney, FPPC,
district attorney or
private lawsuit32
Local agency
attorney, FPPC,
district attorney or
private lawsuit
For More Information
Remember, your agency's attorney is an excellent resource.
Seek their counsel in these situations too.
California Secretary of State publication, Voter Fraud
Protection Handbook
California Secretary of State publication, Voter Fraud
Protection Handbook
California Secretary of State publication, Voter Fraud
Protection Handbook
California Secretary of State publication, Voter Fraud
Protection Handbook
California Secretary of State publication, Voter Fraud
Protection Handbook
California Secretary of State publication, Voter Fraud
Protection Handbook
Win the Right Way, Chapter 8, Complying with the Law;
FPPC publications. Candidates: Important Things to Re-
member and Campaign Disclosure Manual 2: Information
for Local Candidates
Win the Right Way, Chapter 8, Complying with the Law;
FPPC publications, Candidates: Important Things to Re-
member and Campaign Disclosure Manual 2: Information
for Local Candidates
A Note About Violations of Local
Agel'll)' Ethics Codes
If [he conducr in question involves a vio-
lation of an agency ethics code, thl.: code
may provide accountability mechanisms.
The availabili[y and application of such
mechanisms vary bascd on whether [he
individual in question is an employee or
an elected official.
ror employees, feedback 011 cthical be-
haviors (or lapses in e[hical hehaviors)
can be incorporated in the lIsual processes
for providing input to employees and the
employee review process.
ror elected officials, [he voters arc the
ultimate source of ft'edback and review.
The ethics code .~ection of the I LC \veb-
site (\v\vw.ca-ilg.orgll.:thicscodes) has a
white paper by Dr. Torn Shanks of the
Markkula Cenrer for Applied Ethics on
accoun[ability mcchanisms f{)r elecled
oHicials that may be helpful.
Step 4. Speak With Others
To See ifThey Share
Your Concerns.
If you arc all elected oHlcial, talk wi[h a
trustcd colleague, your agency adminis-
trator or counsel about your concerns.
If YOll arc an cmployce, talk with your
supervisor or the next person up in (he
chain of command. The agency's Human
Resourccs Department may also be able
10 serve as a sounding board.
frequently, sllch consul[arion will give
you a more comple[c piC[ure of what is
going Oil and whether indeed the situ-
ation involves truly inappropriate con-
duct. This minimizes [he likelihood of
www.ca-ilg.org
YOll mispercciving the situation based on
speculation, conjecture or inaccurate or
incomplete infi.mnatioll. Such a consulta-
tion will also widen the range of thinking
about the best way to proceed in terms
of achieving an overall positive resulr for
the agency.
C011l11luIlicatiolls Tips
Ethicist Michael Josephson otters the
fllllowing tips on how to bring whistle-
hlowing concerns about a particular
situation to others' attention.
I. Be prepared. Be sure you have your
Clets correct and you are speaki ng
with the riglH person.
2. Be respectful. Watch your tone. Be
earnest but not self-riglueous or accu-
satory. Don't r;lise your voice or make
threats. Be willing to listen as well
as talk.
3. Be fair. Don't assume bad motives;
he open to new facts ;1I1d cxplana-
tions. Don't equ3te not agreeing with
YOll with not listening, nO( clring or
heing stupid.
4. Be honest. Don't exaggerate or omit
important facts.
5. Stick to the point; stay focu.sed.33
~':"~~
The Agellry Attomey's Role
Agency counsel may he in a particularly
sticky situation if he or she has given ad-
vice that h3s not been followed. St;HC law
imposes a duty on all attorneys to keep
cliem communications confldemia1.34 Un-
der the State Bar's Rules of Professional
Responsibility, in such an instance, an
attorney can only work his or her way lip
the agency's hierarchy, sharing concerns
ultimately with the.: highest-level decision-
makers (which usually, but not always, is
the agency governing body).3~ If that deci-
sion-maker does not heed these concerns,
an attorney's professional responsihilitie.~
preclude him or hef from disclosing the
problematic conduct olltside the org3ni-
zation.36 Repeated dlorrs to change this
prohibition for puhlie agency attorneys
have been vetoed.37
Step 5. Discuss the
Issue With the Individual
(or Have a Trusted
Confidant Do So).
Once you have determined that someone
i.~ on a path to vioLue the bw or the pub-
lic's trust (or already has), the first goal is
to get him or her to stop. But how?
Figure Out the Motivatioll
One strategy is to try to dctefmine what the
individuals motiv3tions are. For many, it's
about outcomes - for example, personal
financial gain or political advaIHage. This
is why sOllletimes it can he a challenge to
motivate Pl."Ople to "do the righr thing" in
the abstract, since "the right thing" can in-
volve forgoing a benefit like financial gain
or perceived political advantage.
For other individuals, the motivation can
he a sense of self-importance. Author 1:S.
Eliot ohserved that half the wrongs in this
world afe cllIsl"l1 by people who want to
fed important.
Idelltify the Gaps ill Allillysis
for some public officials who step over the
line, the thought process also can involve
rationalizations. A common one is that
somehow the individual "deserves" what
might be considered an improper benefit
because of his or her otherwise self-less
commitment to public service. Another
is that rhe law doesn't make.: sellse. Yet an-
other is "rhe end justifies the means" - in
other words, a worthy goal justifies taking
legal/ethical shortcuts. The evidence is
that neither the public nor the courts tend
to huy tlu:sc rationaliz3tions.
,,.:.,
.~
i
--
Walking the Une: What to Do Whm You Swprct an EthicJ Problem, continued
Potential Consequences of Violating Federal or State Ethics Laws
Political Reform Act (includes
disclosure and disqualification
requirements, mass mailing
prohibition, campaign regulation
violations)
Violations of the Political Reform Act are punishable by a variety of sanctions, depending on the severity of the
violation and the degree of intent to violate the law that enforcement entities can demonstrate.36
Criminal Sanctions. A knowing or willful violation of the Political Reform Act's requirements is a misdemeanor,39
A person convicted of a misdemeanor under these laws may not be a candidate for elective office for four years
following the conviction.4O Such a conviction may also create an immediate loss of office under the theory that the
official violated his or her official duties,41 or create a basis for a grand jury to initiate proceedings for removal on the
theory that failure to disclose constitutes willful or corrupt misconduct in office.42 Jail time is also a possibility.4J
In addition, the Fair Political Practices Commission (FPPC) may levy fines of up to $10,000 per violation or more,
depending on the circumstances.44
Civil Sanctions. Violations prosecuted as a civil matter can also be punishable by civil Iines.45 Also, district attorneys,
some city attorneys, the FPPC or a member of the public can bring an action to prevent the official from violating the
law.46 If the action is brought by a member of the public, the violator may have to reimburse the costs of the litigation,
including reasonable attorneys' fees.47
Administrative Fines. In addition to civil and criminal penalties, the FPPC may impose administrative penalties.
The administrative penalty for violating the Political Reform Act is a fine of up to $5,000 per violation.46
Employment Consequences. Employees who do not comply with the Political Reform Act may be subject to
discipline and possibly dismissal under an agency's personnel regulations.49
Effect on the Agency and Those Affected by Agency's Decision. When a disqualified official participates in a
decision, it can void the decision.50 This can have serious consequences for those affected by the decision as well as
the public agency. If someone is being encouraged to participate despite a disqualifying interest, point out to them the
costs that would be incurred if the agency's decision has to be undone - not to mention the legal consequences.
Prohibition Against Interests
In Contracts
Criminal Penalties. Willful violations are a felony and may be punished by fines of up to $1,000, imprisonment and
being disqualified from ever holding public office again.51
Effect on Contract. The contract also is void, which means the local agency does not have to pay for goods or
services received under the contract.52 The agency may also seek repayment of amounts already paid.~
Personal or Political Use 01
Public Resources
Public officials face both criminal and civil penalties for using public resources for personal benefit.54 Criminal pen.
alties include a two- 10 four-year state prison term and permanent disqualification from public office.55 Civil penalties
include a fine of up to $1,000 for each day the violation occurs, plus three times the value of the resource used.56
At some point, personal use of public resources becomes embezzlement - a form of theft..'>T Embezzlement may
constitute "willful misconduct," which warrants removal from office, or it may be prosecuted as a felony violation. A
public officer convicted of embezzlement is guilty of a felony punishable by imprisonment; in addition, that person is
thereafter ineligible to hold public office in California.[>Il
Federal prosecutors have been known to treat the receipt of illegitimate expense reimbursements or advances
as income to the official. Because the official has not typically reported these payments as such on personal tax
returns, the otficialthen becomes subject to an action for income tax evasion.
The Internal Revenue Code is notoriously complex and its penalty sections are no exception. The general penalty
for willful income tax evasion is a fine of up to $100,000 and up to five years in prison or both. Those convicted are
also responsible for paying the costs of prosecution.59 Failure to report information to the tax authorities is punish-
able by fines of up to $25,000 and/or a year in federal prison, plus the costs of prosecution.&O
If the U.S. Postal Service was used in any way, such use can also be the basis for a charge of mail fraud.6! Mail
fraud is punishable by up to five years in federal prison per violation and/or a fine of the greater of: 1) twice the
gain to the violator; or 2) $250,000 per violation.62
If the program has any degree of federal funding, the federal criminal laws against corruption and embezzlement6J
also apply.
Violation 01 Ralph M. Brown Act
And Open Meeting Laws
...
8
Institute for Local Government
Nullification of Decision. As a general matter, decisions that are not made according to open meeting laws are
voidable.&( After asking the agency to correct the violation, either the district attorney or any interested person may
sue to have the action declared invalid.65 Costs and attorneys' fees may be awarded to those who successfully
challenge Brown Act violations.6IJ
Criminal Sanctions. Additionally, governing body members who intentionally violate the open meeting laws may
be guilty of a misdemeanor.tlT The penalty for a misdemeanor conviction is imprisonment in county jail for up to six
months or a fine of up to $1,000 or both.lS6
Other Measures. Either the district attorney or any interested person may sue to remedy past and prevent future
violations of the open meeting laws.M Another remedy. under certain circumstances, is for a court to order that all
closed sessions be tape recorded,1O Costs and attorneys' fees may be awarded tOO.T1
www.ca-ilg.org
~--
Potentiat Consequences of Violating Federal or State Ethics Laws
Public Records Act
Anyone can sue a public agency 10 enforce his or her right to access public records subject to disclosure.72 If the
agency loses or otherwise produces the records as the result of the lawsuit, it must pay costs and attorneys' fees.73
State and Federal Criminal
Bribery laws
State law Penalties for Bribery. Receiving or agreeing to receive a bribe is a criminal act punishable by a combina-
tion of prison time, fines, losing one's office and being forever disqualified from holding public oflice.74 The specified
prison sentence is two to four years in slate prison. The lines vary according to whether the bribe was actually re-
ceived. If it was, the fine is a minimum of $2,000 up to either 510,000 or double the amount of the bribe, whichever
is greater, If a bribe was not actually received, there is still a fine of between 52,000 and $10,000.
State law Penalties for Extortion. Extortion by public officials is a misdemeanor.75 Misdemeanors are punishable
by up to six months in county jail, a fine of up to $1,000 or both.7u Extortion can also be the basis for a grand jury to
initiate removal-tram-office proceedings for official misconduct.T7
State Law Penalties for Appointing Someone to Office. An official who receives payment or favors tor an ap-
pointment faces the following punishments: forfeiture of office; disqualification trom ever holding public office again;
and a fine ot up to $10,000.78
Federal Penalties. If an agency receives more than $10,000 in federal monies (which many agencies do), an
official could be subject 10 federal prosecution if the amount at stake (for example, a bribe) exceeds 55,000.79 The
penalty for bribery under federal law is a fine of up to three times the amount of the bribe or $250,000 (whichever
is more), up to 10 years imprisonment or both.5O
Restitution. The official may be ordered to pay restitution to the agency in the amount ot the profit or advantage
received (or loss to the agency) as the result of the misuse of the official's position.81
Misconduct in Office
Willful or corrupt official misconduct can create a basis for a grand jury to initiate proceedings for removing an
official fram office.82
Election law Violations
Election Contest. An election result may be challenged in an election contest. the primary purpose of which is
to ascertain the will of the people and to make certain that mistake or fraud has not frustrated the public's exercise
of its wil1.8s Any elector of any county, city or of any political subdivision of either may contest any election held in
the jurisdiction.B4
Quo Warranto. The entitlement of a public officer to hold oftice may be contested in quo warranto proceedings.1I5
In rare instances, the attorney general may pursue such actions; more often the attorney general's role is one of
granting or denying permission to private individuals to bring such actions on behalf of the public.86 Private individu-
als cannot bring such actions without first obtaining the attorney general's permission. For more information, visit
http://caag.state.ca.us/opinions/quo.htm.
Whistle-Blower Protections
Any employer who violates this law is guilty of a misdemeanor punishable, in the case of an individual. by im.
prisonment in the county jail not to exceed one year or a fine not to exceed 51,000 or both and, in the case of a
corporation, by a fine not to exceed $5,000.81 A private lawsuit for damages is also possible.aa
Another thought process can involve
an incomplete assessment of dle overall
COStS and benefits of a particular course
of action. If an individual is on a path to
violate either the law or the public's trust
(or bO[h), this cost-benefit assessment
needs (0 include nor only the anticipated
benefits of this path bur the political,
legal, financial and emotional costs as
\vell. These include loss of one's respected
standing in the community (again. pride
and feelings of importance can be power-
ful motivators), loss of office and even
the loss of one's freedom if the oHense
potentially involves jail time.
Be aware too that there is a strong hu-
man tendency to underestimate these
www.ca-ilg.org
likely COSts ("The law isn't really clear,"
''I'll never get caught." "They won't be
able to prove it" or even "After all I've
done for the community, the public or
the judge would surely go easy on me").
The objective reality is that prosecutors
can offer strong incentives for people to
testifY against one another and no one
is particularly sympathetic to politicians
and public employees who violate the
public's trust,
Appeal to Enlighte1led Self-blte,.est
Both the rationalization and underesti-
mation thought processes tend to be fun-
damentally self-deluding. Because many
people in this situation are motivated
by outcomes, the task becomes one of
diplomatically demonstrating rhe flawed
narure of such reasoning and appealing to
a person's sense of cnliglHened sclf-inrerest
by helping him or her to appreciate the
full range of potential consequences, The
chart on pages 8-9 may be a useful tool
in this kind of conversarion.
Assess tbe Results. o/tbe Converslltion
Again. the goal is to get the individual in
question to voluntarily Stop the problem-
atic behavior and take whatever remedial
steps are appropriate. If the individual de-
nies the conduct or comends that there's
no problem with it, and the agency still
Institute for Local Government
9
V::1dking the Line: What to Do When }(m Swpe.t (/n Ethics Pmb/on. continued
has concerns, the next step may be either
an internal investigation or referral or the
matter (0 an external enforcement agency.
Step 6. Determine Whether
An Internal Investigation
Is Appropriate.
An inrernal investigation may help an agen-
cy resolve the controversy over whether dle
conduCt in question occurred and whether
it was improper. This enahles an agency
to proactivcly respond (0 allegations of
misconduct. The scope of the investiga-
tion willlikcly turn on whether the issue
involves violations of inrernal procedures!
standards or violations of the law. If it's
the latter, consultation with your agency
counsel will determine whether and (0
what extent an inrernal investigation will
be a constructive and helpful approach.
Tbe Nuts ftud Bolts of
11ltenlllllnvest;gat;ofls
The fundamental goals of an internal
investigation are (0 determine the truth
and demonstrate rhe agency's commit-
ment to adhering both to the law and
its internal procedures. Using a f:lir
investigation process is part and parcel of
achieving these goals.
Tips for Conducting an Effective Internal Investigation
Select an appropriate investigator. Issues to consider include credibility, impartiality and discretion, interview-
ing skills, ability to understand the purpose of the investigation and diligence in terms of recording the information
collected, If the investigation involves a high-level individual in an organization or is otherwise particutarly sensi-
tive or complex, the agency may be weil served by using an outside investigator, If the agency chooses to do so,
the outside investigator must be an attorney or a licensed private investigator,
Have an investigation strategy. Identify potential witnesses (those who would have information that would
either prove or disprove the conduct occurred) and documentation relevant to the claims under investigation,
Develop an investigation strategy, including a timeline for compteting the investigation - a timely completion
reinforces perceptions of fairness,
Encourage cooperation. Those asked for information should be assured that the agency encourages their full
and truthful participation in the investigation, The agency should make it clear that it will not take adverse action
against those who participate in good faith in the investigation and who have done nothing wrong, The agency
may also want to have a policy stating that any adverse consequences that may flow from any wrongdoing dis-
covered in the investigation will be influenced by the degree of cooperation demonstrated,
Engage in careful and documented fact-finding. Take steps to ensure that relevant documents are pre-
served (and not destroyed), This can include e-mails and telephone records, Interview questions should be
probing and open-ended and, to preserve confidentiality, focus only on the detaiis that particutar person should
know, The tone of each interview should be professional. The investigator shoutd be as impartial as possible
and not comment on any aspect of the investigation, Conversations should be recorded if possible and it may
be helpful to secure signed statements if it appears that witnesses may not be available in the future,
Prepare a detailed report of findings. Once the investigation is completed, prepare a detaited report
that describes:
1, The allegations;
2, The facts that were ascertained during the investigation (particularly where the facts are not clear); and
3, The investigator"s tentative conclusions on whether procedures, policies or laws were violated,
If appropriate, provide the accused an opportunity to respond before finalizing the report and determine
whether the response indicates that additional investigation is warranted,
Determine remedial action. Actions taken to remedy existing problems and prevent future problems can include;
1, Reprimanding, disciplining or censuring the accused;
2, Adopting new policies or procedures;
3, Notifying external enforcement authorities; andlor
4, Public disclosure,
1 0 Institute for Local Government
www.ca.ilg.org
Having an established investigation pro-
(Ocol can he helpful in this regard. Such
a protocol enables the agency to explain
the investigative process and its purpose
(generally to discover the facts necessary to
make a decision about a particular alleged
behavior or action). It also communicates
what to expect from the process and em-
phasizes its f.....irness and objectiveness. Is-
sues that a protocol can cover include:
. Steps for initiating the process;
. The process to bl': llsed in thl': inves-
tigation (for example, fact-finding,
interviewing witnesses and assembling
documentation);
The final decision process; and
How (including how widely) the results
will be communicated.
Step 7. Determine Whether
External Enforcement
Authorities Should
Be Contacted.
'1 'here are numerous types of external
enforcement elHities and mechanisms,
including the following.
District Attorney. District attorneys pros-
ecute violations of state criminallaws.~9 For
Ethics Tools
For Self-Assessment
The Institute for Local Govern-
ment has produced two tools
designed to help local agen-
cies evaluate their ethics pro-
grams, One is called "Ethics
Law Compliance Best Prac-
tices" (online at www.ca-ilg.
orglbest practices), The other
is "Assessing Your Agency's
Ethics Culture: Questions to
Ask" (online at www.ca-ilg.orgl
culturechecks),
www.ca-ilg.org
a roster of district attorneys in California,
see www.cdaa.org/daroster.htm.
U.S. Attorney. These attorneys prosecute
violarions of federal law. For more infor-
mation and a lisr of links ro offices, see
www.usdoj.gov/usao.
Grand Jury. Grand juries have the author-
ity to investigate public official miscon-
duct.90 For grand jury contact information,
see www.nvo.com/cgjallinks/. For more
general information, see "How a Civil
Grand Jury Works" at W\V\v.san mateo
court.orgl director. php?filename:::.I grand
jury/cgjhow.html.
Fair Political Practices Commission
(FPPC). The FPPC investigates alleged
violations of the Political Reform Act. im-
poses penalties when appropriate, and as-
sists state and local agencies in developing
and enforcing conAict-of-interest codes.
The FPPC interprets the laws relating to:
Campaign financing and spending;
Financial conflicts of interest;
Lobbyist registration and reporting at
the state level;
Post-governmental employment;
Mass mailings at public expense; and
Gifts and honoraria (speaking and
writing fees) given to public officials
and candidates.
For more information on the FPPC, visit
www.fppc.ca.gov ot call toll-ftee: (866)
275-3772. Two useful publications are
What Happens After 1 File" Complaint
with the FPPC? (online at www.fppc.
ca,gnv/pdflenfntce,pdf) and How Do 1
Get Advice fiom the FPPC' (www.fppc.
ca.gov/pdf/advice.pdf). Note that advice-
giving is limited to those who have duties
under rhe Political Reform Act or their
designated representatives.
Attorney General. State law requires
the attorney general (0 provide a whistle-
blower hotline to respond to concerns
about potentially unlawful conduct,91
which is handled through the Public
Inquity Unit at (800) 952-5225, The
attorney general also weighs in on the
issue of whether an individual is unlaw-
folly holding public office: typically rhe
anorney general's role is one of granting
or denying permission to private indi-
viduals to bring such actions (known as
quo warranto actions) on behalf of the
public, although the attorney general has
authority to bring these actions him- or
hersclf.92 The attorney general also issues
opinions on general questions of law,
upon request by a state officer, legislator,
Institute for Local Government
11
walking the Line: What to Do When You Suspect dn Ethics Problem, continual
COlInty counsel, district attorney, sheriff
or city prosecutor (for the latter, only on
questions of criminal law). Por more about
the Attorllt~y General's Office, visit http://
caag.state.ca. us/i ndex.h t 111.
Private Right of Action. Under certain
circulllstances, an individual can bring a
lawsuit to challenge unlawful behavior.
The League offers Munilink (www.caci
ties.org/munitink), an online directory of
service and product providers (including
auorneys) that specialize in municipal
law, including ethics laws. The California
Political Attorneys As.sociation is another
possible source of counsel (www.cpaaon
line.com/members.php); this group of
lawyers specializes in the Political Reform
An and state and federal election laws.
The State Bar website also has advice on
locating and selecting lawyers at www.
calbar.ca.gov/.~tatel calbarl cal bar_
generic.jsp?cid= 1 0180&id= 1396.
W'hat About Going to the Media?
Generally, the media should not be an early
contact when a person believes an agency
or ~omL'()JH: within an agency has engaged
in misconduCl. Although there arc llIany
skilled investigarive journalists, there arc a
number of reasons for [his view:
. Approaching the media in the first
inst~lI1('e calls the accuser'.s motivations
imo question.
The media is unlikely ro be able to
conduct as thorough an investigation
as a well-intended agency.
Media attention may hinder an internal
or external investigation.
Allowing the accused and rhen the agen-
cy to take corrective action is more con-
ducive to promoting public confidence.
Motivations. In evaluating whether to
contacr the media, once again you have to
examine your motivations. Is rhe moti-
vation for taking action organizational
loyalty? Disillusionment? Defensiveness?
Or a desire to harm?
If the motivation is organizational loyalty,
then a key objective of any actions taken
will be (0 determine whether a bona fide
transgression has occurred and, if so, pur-
sue appropriate redre.ss. The most likely
12
Institute for Local Government
way to achieve this objective is (0 first go
through an organization's internalmech-
anisms and then, if those prove unavail~
ing, to external law enforcement aurhori-
ries. This is because rhe media typically
will not have rhe expertise (spccifically
legal expertise) to truly evaluate whethl.:r
a transgression has indeed occurred. The
media lllay interview attorneys, but those
interviewed arc not likely to have thc
kind of in-depth inlc)fInation nccessary
to responsibly opine definitively whether
a rransgression occurred.
Media Capacity. Furthermore, as one
ethics website nores, there are studies that
indicale reporters can pursue whistle-
blowing claims in a way that actually
impedes dlorts (0 rectify a sitlJation (see
www.onlineethics.org).93 For these rea-
sons, going to the media should generally
be a last resort, perhaps only after law
enforcement agencies have refused to act
and there is a sound basis for believing
a tramgression damaging to the organi-
zalion - and the public's trust in the
organization - has occurred.
Going (0 the media earlier on generally
suggests thar one's motivations are less
erhical: for example, our of a desire (0
harm; or to .secure strategic advantage,
should one's own conducr be subject to
question (dcfemiveness). Responsible
members of the media adhere to their
own code of ethics, whose central tenets
include being fair and honest in reporting
information.94 This code also encourages
journalists (0 avoid allowing themselves
to be manipulated by resting the accu-
racy of information from all sources
and quesrioning sources' motives befilfe
promising anonymity.
This is not to say that media coverage of
transgressions, perhaps as the result of
investigative reponing, is in any way un-
ethical. The media has an important role
(0 play in fitirly and factually reporting
on lransgressions. This notion is also part
of journalists' ethics code: that puhlic en-
lightenment is the forl.:runner of justice
and the foundation of democracy.
What Best Promotes Public Trust? One
of the questions you should always ask
yourself when confronted with an ethical
dilemma is: "What course of aClion will
most promote public confidence in illY
leadership and my agency?" The reality
is that the media is not likely to report
on an ethical transgression in a way that's
likely to promote public confidence. The
only exception might be if the agency
had been given an opportunity and took
advantage of it to deal decisively with a
claimed transgression. Even in rhis latter
situation, there is no guarantee that the
media would rl.:port favorahly on rhe
agency's actions.
Step 8. Consider Steps
To Prevent The Situation
From Recurring.
Education is often the best preventive
measure. The Institute for Local Govern~
l11ent oHers a number of resources to help
local agencies address and educate their
staff about ethics issues. They include:
IdenrifYing best practices fc)r complying
wirh ethics laws, online at \vww.ca-ilg,
org/bestpractices;
Fostering an ethical culture, ar www.
ca-i Ig.orgl cui turechecks;
Promoring ethics through codes of eth-
ics, at w\.yw.ca~i[g.org/ethicscodes;
Promoting campaign ethics, at W\vw.
ca-ilg.org/campaignethics; and
Providing training and conducting
workshops.
For More Information
The following entities have published ;1
number of resources that describe some
of the issues identified above in more de-
rail. These resources are available without
charge from their respective websites:
. The Institute for Local Government:
www.ca-ilg.org/trust;
The State Attorney General: hrtp:11
caag.state.ca.us/publications; and
The State Fair Political Practices
Commission: www.fflf1C.ca.gov/index.
html?id=9. .
www.ca-ilg.org
II
II
II
1 Gal. Gov't Code ~ 81000 and following.
2 See Gal. Gov't Code S 91000 and following.
3Cal. Gov't Code S 1090 and following.
'Cal. Penal Gode 9 68(a); 18 U.S.C. 9 201; see a/so
Gal. Penal Code 9 74 (receiving rewards fOf appoint-
ments to public office or tetting someone perform
the duties of public office), 518 (obtaining property
by wrongful use of public position).
~Cal. Health & Safety Code 9 33130.
6Ga!. Gov't Code 9 81000 and following.
1 See Gal. Gov'! Code 9 91000 and following.
6Ga!. Penal Code 9 424; Gal. Gov', Code 9 8314.
9Ga!. Const. art. XVI, 9 6.
lOCal. Canst. art. XII, 9 7.
11 See, for example, 79 Gal. Op. Att'y Gen. 21 (1996).
12Ca!. Gov't Code 9 81000 and following.
13 Breakzone Billiards v. City of Torrance, 81 Gal.
App. 4th 1205, 1234 n. 23, 97 Cat Rplr. 2d 467 (2d
Dist. 2000) (common law bias); Clark v. City of Her-
mosa Beach, 48 Cal. App. 4th 1152, 56 Cal. Aptr. 2d
223 (2d Dist. 1996) (common law bias); Desert Turf
Club v. Board of Sup'rs of Riverside County, 141
Cal. App. 2d 446, 455. 296 P.2d 882, 887-8 (1956)
(evidence must be produced at the hearing and
subject to some degree of cross-examination).
14 Cal. Gov't Code 9 1126.
I~See, for example, 79 Gal. Op. Att'y Gen. 21 (1996).
16 See general/yGal. Pub. ConI. Code 9 20100 and
following.
17 R&A Vending Services v. City of Los Angeles, 172
Gal. App. 3d 1188, 218 Gal. Rptr. 667 (1985) (state
general competitive bidding statutes do not bind
charter cities when subject of the bid constitutes a
municipal affair).
18 See Gal. Giv. Proc. Gode 9 1085; Marshall v.
Pasadena Unified School Dist., 119 Gal. App. 4th
1241,1251-53,120 Cal. App. 4th 881C, 15 Cal.
Aptr. 3d 344, 352-54 (2d Dist. 2004) (finding public
entity's failure to comply with the competitive bid-
ding statutes may be challenged by a mandate
action to set aside award of contract; also upholding
citizen standing under case's circumstances). See
alsoCal. Pub. Cont. Code 9 20104.70 (action for
damages by second lowest bidder if low bidder
violates workers compensation or unemployment
insurance laws; costs and attorneys fees may be
awarded to prevailing party).
19 Gal. Gov't Code 9 54950 and following (for cities,
counties, schools and special districts); Cal. Educ.
Code 9 72121 and following (for community college
districts).
20 Cal. Gov't Code 9 6250 and following.
21Cal. Gov't Code 9 81000 and following.
22Cal. Gov't Code 9 34851 and following.
23 See, for example, 42 U.S.C. 9 2000e (Title VII of
the Civil AightsAct of 1964); 29 U.S.C. 9 621 and
following (Age Discrimination in Employment Act);
42 U.S.C. 99 1981, 1983, 1985 (Civil Rights Act);
Cal. Const. art I, 9 8, Cal. Gov'l Code 9 12920 and
following (Fair Employment and Housing); Cal. Lab.
Code 91197.5 (equal pay); Gal. Civ. Code 99 51,
52,
2'Cal. Lab. Code 91102.5.
25 Cal. Lab. Code 9 1103 (violation is a misde-
meanor).
28Cal. Lab. Code 9 1105 (allowing damage
recovery).
27 See, for example, Cal. Elec. Code 9 321 (defining
elector); Cal. Gov't Code 99 34882, 36502(a) (city
www.ca-i1g.org
council), 25041 (county supervisor); Cal. Educ.
Code 9 35107 (school board).
28 For links to city charters, see www.cadties.
org/charters.
29 See, for example, 79 Cal. Op. Att'yGen. 21 (1996).
:lOCal. Elec. Code 99 16100, 18000 and following.
31 Cal. Gov't Code 9 81000 and following.
~ See Gal. Gov't Code 9 91000 and following.
33 Michael Josephson Commentaries, Being an
Effective Gritic 350.1 (March 26, 2004) (www.
josephsoninstitute .org).
:w Cal. Bus. & Prof. Code 9 6068.
35 California Rules of Professional Conduct, Aule
3'600(8),
3!1 See 71 Cal. Op. AlI'y Gen. 255 (1988) (finding
whistle-blowing statutes do not override the attor-
ney-client privilege).
37 See, for example, AS 363 (Steinberg) (introduced
in 2002 and vetoed by Governor Davis) and AS
2713 (Pavley) (introduced in 2004 and vetoed by
Governor Schwarzenegger).
38 See generallyCal. Gov't Code 9 91000 and
following.
39 SeeCal. Gov't Code 9 91000(a).
40 See Gal. Gov't Code 9 91002.
41 See Cal. Gov't Code 9 1770(h) (providing a va-
cancy occurs upon conviction of a felony or of any
offense involving a violation of official duties).
42 Cal. Gov't Code 99 3060-3074 (providing for
proceedings to be brought by the grand jury for
removal from office).
43 See Gal. Penal Code 9 19 (providing misdemean-
ors are punishable by imprisonment in county jail up
to six months, a fine not exceeding $2,000, or both).
.... Cal. Gov't Code 9 91000(b).
'" Cal. Gov't Code 9 91004.
<Ill Cal. Gov't Code 99 83116, 91001(b), 91001.5,
91004,91005,91007.
.7 Cal. Gov't Code 9 91012.
411 Cal. Gov't Code 9 83116.
.9 See Cal. Gov't Code 9 91003.5.
~ SeeCal. Gov't Code 9 91003(b).
5' See Cal. Gov't Code 9 1097.
~ Thomson v. Call, 38 Cal. 3d 633, 214 Cal. Rptr.
139 (1985),
~ See Cal. Gov't Gode 91092.
s.t See Cal. Penal Code 9 424; Cal. Gov't Code 9
8314.
55 Cal. Penal Code 9 424.
58 Cal. Gov't Code 9 8314(c)(1).
57 Cal. Penal Code 9 504.
58 Cal. Penal Code 9 514.
59 See 26 U.S.C. 9 7201.
eo See 26 U.S.C. 9 7203.
81 See generally 18 U.S.C. 9 1341 and following.
82 See generally 18 U.S.C. 9 3571 (b) and (d).
63 See, for example, 18 U.$.C. 99 641 (crime of em.
bezzlement against the United States), 648 (misuse
of public funds).
e.l Cal. Gov't Code 9 54960.1; Gal. Educ. Code 9
72121(b),
Mid.
fie Gal. Gov't Code 9 54960.5.
87 Cal. Gov't Code ~ 54959.
58 See Cal. Penal Code 9 19.
89 Cal. Gov't Code 9 54960.
rold.
71 Cal. Gov't Code 9 54960.5.
72 Cal. Gov't Code ~ 6258.
7J Cal. Gov', Code 9 6259(d).
74 See generallyCal. Penal Code 9 68(a).
75 Cal. Penal Code 9 521-
7tI Cal. Penal Code 919.
n Cal. Gov't Code 99 3060-3074.
78 Cal. Penal Code 9 74.
7918 U.S.C. 9 666.
eo See 18 U.S.C. 99 666 (specifying maximum 10
year prison term and line ~under this titlefl), 3571
(general fine for violating federal criminal laws).
91 U.S. v. Gaytan, 342 F.3d 1010 (9th Cir. 2003).
92 Cal. Gov't Code 99 3060.3074 (providing for
proceedings to be brought by the grand jury for
removal from office).
83 See generally Cal. Elec. Code 9 16000 and fol-
lowing. Hardeman v. Thomas. 208 Cal. App. 3d 153,
256 Cal. Aptr. 158 (1989).
e.lSee Cal. Elec. Code 916100.
85 See Cal. Civ. Proc. Code 9 803 and following.
See also Nicolopulos v. City of Lawndale, 91 Cal.
App. 4th 1221, 1225, 111 Cal. Aptr. 2d 420, 428
(2d Dist. 2001).
86 See, for example, 79 Cal. Op. Att'y Gen. 21
(1996),
87 See Cal. Lab. Code 91103.
III! See Cal. Lab. Code 9 1105.
89 Cal. Gov't Code 9 26500 and following.
90 Cal. Gov't Code 99 3060-3074 (providing for
proceedings to be brought by the grand jury for
removal from office).
91 See Cal. Lab. Code 9 1102.7 (requiring the At-
torney General 10 set up the hotline).
9:2 See, for example, 79 Cal. Op. Att'y Gen. 21
(1996),
83 See www.onlineethics.org (a website developed
by Case Western Reserve University and dedicated
to engineering ethics); see specifically http://online
ethics.org/moraVboisjoly/RSl-3-a7.html (noting thaI
whistleblowing case histories indicated that going
to the media can be counterproductive vis-a.-vis
engineering safety issues).
~ See Society of Professional Journalists Code of
Ethics, hnp:/Iwww.spj.orglethics_code.asp.
Institute for Local Government
13
For additional copies of this publication,
contact City Books at (916) 658-8257
or visit www.cacities.org/store.
5KU# 178
Price: $1 0,00
I
I
I
,
Institute for Local Government
1400 K Street
Sacramento, CA 95814
(916) 658-8208
Fax: (916) 444-7535
www.ca-ilg.org
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for Local Officials
Doing the Right Thing, 2006. Perplexed about AB 1234's requirements that mandatory ethics training cover
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(only sold in sets of 5) I Set
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Win the Right Way: How to Run Effective Local Campaigns in 1779 $20,00
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Local Officials Ethics Checklist: Questions to Ask in Sticky Situations 1536 $5 for I
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Developing a Local Agency Ethics Code: A Process Oriented Guide 1505 $20,00
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. Cannot request, receive or agree to receive anything of
value or other advantages in exchange for a decision.
. Cannot influence agency decisions relating to potential
prospective employers.
. May not acquire interests in property within
redevelopment areas over which they have decisiol1-
making influence.
PERSONAL ADVANTAGES & PERKS
Public officials:
. Must disclose all gifts received of $50 or more and may not
receive gifts aggregating to over $360 (2006) from a single
source in a given year.
. Cannot receive compensation from third parties for
speaking, writing an article or attending a conference.
,...
~
. Cannot use public agency resources (money. travel
expenses, staff time and agency equipment) for personal or
political purposes.
. May only be reimbursed for actual and necessary expenses
consistent with their agency's reimbursement policy.
. Cannot participate in decisions that may affect (positively
or negatively) their personal interests.
. Cannot accept free transportation from transportation
companies.
. Cannot send mass mailings at public expense.
. Cannot make gifts of public resources or funds.
. Cannot receive loans over $250 from those within the
agency or those who do business with the agency.
GOVERNMENT TRANSPARENCY
Public officials:
. Must disclose their financial interests.
. Must conduct the public's business in open and publicized
meetings, except for the limited circumstances when the
law allows closed sessions.
. Must allow public inspection of documents and records
generated by public agencies, except when non-disclosure
is specifically authorized by law,
. Must disclose information about significant ($5000 or
more) fundraising activities for legislative, governmental or
charitable purposes.
FAIR PROCESSES
Public officials:
. Have a responsibility to assure fair and competitive agency
contracting processes.
. Cannot participate in decisions that will benefit their
immediate family (spouse/domestic partner or dependent
children),
. Cannot participate in quasi-judicial proceedings in which
they have a strong bias with respect to the parties or facts.
. Cannot simultaneously hold certain public offices or
engage in other outside activities that would subject them
to conflicting loyalties.
. Cannot piHticipale in entitlement proceedings - such as
land use permits - involving campaign contributors (docs
not apply to elected bodies).
. Cannot solicit campaign contributions of more than $250
from permit applicants while application is pending and
for three months after a decision (does not apply to elected
bodies),
. Cannot represent individuals before their agency for one
year after leaving agency service.
. !\lust conduct public hearings in accordance with due
process principles.
I~
INSTITUTE FOR
LOCAL GOVERNMENT
A Public Official's Conflict Of Interest Checklist
KEY CONCEPTS
./
A public agency's decision should be based solely on
what best serves the public's interests.
./' The law is aimed at the perception, as well as the reality,
that a public official's personal interests may influence a
decision. Even the temptation to act in one's own interest
could lead to disqualification, or worse.
Having a conflict of interest does not imply that you
have done anything wrong; it just means you have
financial or other disqualifying interests.
./' Violating the conflict of interest laws could lead to
monetary fines and criminal penalties for public
officials, Doo't take that risk,
./
BASIC RULE
A public official may not participate in a decision - including
trying to influence a decision - if the official has financial or,
in some cases, other strong personal interests in that decision.
\Vhen an official has an interest in a contract, the official's
agency may be prevented from even making the contract.
WHEN TO SEEK ADVICE FROM
AGENCY COUNSEL
The rules are very complex. Talk with your agency counsel 1)
early and ofteo 2) when an action by your public agency 3)
may affect (positively or negatively) 4) any of the following:
./' Income. Any source of income of $500 or more
(including promised income) during the prior 12
months for you or your spouse/domestic partner.
./' Business Management or Employment. An entity for
which you serve as a director, officer, partner, trustee,
employee. or manager.
./ Real Property. A direct or indirect interest in real
property of $2000 or more that you or your immediate
family (spouse/domestic partner and dependent
children) have, including such interests as ownership,
leaseholds (but not month-to-month tenancies), and
options to purchase. Be especially alert when any of
these are located within 500 feet of the subject of your
decision.
./' Personal Finances. Your or your immediate family's
(spouse/domestic partner and dependent children)
personal expenses, income, assets, or liabilities.
./' Gift Giver. A giver of a gift of $360 or more to you in the
prior 12 months to you, including promised gifts.
./ lender/Guarantor. A source of a loan (including a loan
guarantor) to you.
./ Contract. You or a member of your family would have
an interest (direct or indirect) in a contract with the
agency.
./' Business Investment. An interest in a business that you
or your immediate family (spouse/domestic partner and
dependent children) have a direct or indirect investment
worth $2000 or more.
./' Related Business Entity. An interest in a business that
is the parent, subsidiary or is otherwise related to a
business where you:
Have a direct or indirect investment worth $2000
or more; or
Are a director, officer, partner, trustee, employee,
or manager.
./ Business Entity Owning Property, A direct or indirect
ownership interest in a business entity or trust of yours
that owns real property.
./' Campaign Contributor. A campaign contributor of
yours (applies to appointed decision-making bodies
only),
./ Other Personal Interests and Biases. You have
important, but non. financial, personal interests or biases
(positive or negative) about the facts or the parties that
could cast doubt on your ability to make a fair decision.
o
o
WHAT WILL HAPPEN NEXT?
Agency counsel will advise you whether 1) you can
participate in the decision and, 2) if a contract is involved,
whether the agency can enter into the contract at all.
Counsel may suggest asking either the Fair Political Practices
Commission or the State Attorney General to weigh in.
EVEN IF IT'S LEGAL, IS IT ETHICAL?
The law sets only minimum standards. Ask yourself whether
members of the public whose opinion you value will
question whether you can act solely in the public's interest. If
they might, consider excusing yourself voluntarily from that
particular decision-making process.
GC'lerolls Sllpport for this pl/blication provided by:
m~~ RICHARDS I WATSON I GERSHON
~~[f ATTORNEYS AT LAW - A PROFESSIONAL CORPORATION
o
LOS ANGELES ORANGE COUNTY SAN FRANCISCO
www.rwglaw.com
f'or additio1lal copies of this checklist. visit www.ca.ilg/ilgpllbs Copyright @2006 by the Institl/te for Local Govemmcllt
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