Heintzman Presentation

Public Service Values & Ethics:From Principles to Results: 

Public Service Values & Ethics: From Principles to Results Presented by: Ralph Heintzman to the Saskatchewan Federal Council February 1, 2005

Structure of Presentation: 

Structure of Presentation Values and Ethics Code for the Public Service Values and Ethics as Management of Risk Values and Ethics as Management Practice and Results Roadmap to Results

Vision: 

Vision A public service that earns and deserves the respect and trust of Ministers, parliament and Canadians – as an important national institution – through its dedication to the public interest, and its strong culture of democratic, professional, ethical and people values.

1. Values and Ethics Codefor the Public Service: 

1. Values and Ethics Code for the Public Service

Background: 

Background The Code results from a 10-year focus on values and ethics in government. In December 1996, A Strong Foundation (Tait Report) identified the need for greater government-wide emphasis on values and ethics. The Tait Report came out within the context of Program Review that shook the confidence of public servants. A Strong Foundation recommended: Wide-ranging and honest dialogue on values and ethics. A Statement of Principles. Accountability by Deputy Heads for leading by example and ensuring understanding and respect of core Public Service values.

Context: 

Context 1. Global 2. National 3. Policy & Practice Last 30 years: Diminishing confidence United Kingdom: Code of values & Code of management Other countries: Principles of management/ Values & Ethics OECD : Initiatives Australia: Code of values & Code of conduct Organization of American States: Convention on anti-corruption United Nations: Publications World Bank/IMF: More demanding on recipients Asian Development Bank: Anti-corruption initiative Action Plan Americas Summit 2001 End of the Cold War: Democratization 1994 Office of Ethics The Code September 2003 Implementation strategy Tools Web site Videos Guidance on interpretation Alignment with Public Service Modernization Act Office of Public Service Values & Ethics Training and education Information sessions and workshops Guide for Ministers and Secretaries of State Dialogue Principles Responsibilities 2000 Auditor General’s Report Statement of Values & Ethics 2002 Modern Comptrollership Management AccountabilityFramework Guidance for Deputy Ministers 1996 A Strong Foundation/Tait Report Prime Minister’s Action Plan Co-champion consultations (55, 000) 2000 Results for Canadians Consultations

Values and Ethics Frameworkfor Good Government: 

Values and Ethics Framework for Good Government Guide for Ministers and Ministers of State (PCO) Conflict of Interest and Post-Employment Code for Public Office Holders Guidance for Deputy Ministers Management Accountability Framework Values and Ethics Code for the Public Service Policies related to the Values and Ethics Framework Prevention of harassment, internal disclosure.

Objectives of the Code: 

Objectives of the Code Articulate the values and ethics of public service to guide and support public servants in all their professional activities Maintain and enhance public confidence in the integrity of the Public Service Strengthen respect for the role played by the Public Service within Canadian democracy

Chapters of the Code: 

Chapters of the Code 1 Statement of Public Service Values and Ethics 4 Avenues of Resolution 2 Conflict of Interest Measures 3 Post-Employment Measures

Democratic Values: 

Democratic Values Honest and impartial advice to Ministers Making all relevant information available to Ministers Helping Ministers under law to serve the public interest Loyally implementing lawfully taken Ministerial decisions Supporting individual and collective ministerial accountability Providing Parliament and Canadians with information on work results

Professional Values : 

Professional Values Working within the laws of Canada; Maintaining political neutrality Serving with competence excellence efficiency objectivity impartiality Continual improvement of quality of service, respecting both Official languages Upholding transparency in Government while respecting confidentiality Ensuring proper, effective use of public money Ensuring the means are as important as the ends

Ethical Values : 

Ethical Values Conserving, public trust in the integrity, objectivity and impartiality of government Acting at all times in such a way as to uphold the public trust Resolving official duties vs private interest conflicts in favour of the public interest Acting at all times in a manner that will bear the closest public scrutiny Taking all decisions in the public interest

People Values : 

People Values Exercising authority and responsibility with respect for human dignity Demonstrating respect, fairness and courtesy in all dealings with citizens and fellow public servants Leading by participation, openness and communication, with respect for diversity Treating people with fairness and civility at all times Fundamental in recruitment evaluation promotion Basing appointment decisions on merit

Chapter 2: Conflict of Interest Measures: 

Chapter 2: Conflict of Interest Measures Gifts, hospitality and other benefits Rules of conduct Measures Complement the four values Methods of compliance Assets Outside employment or activities Solicitation Preferential treatment

Chapter 3:Post-Employment Measures: 

Chapter 3: Post-Employment Measures Rules of conduct Measures complement four Public Service values All public servants should respect the spirit of the measures Deputy Heads may designate other positions as subject to measures Measures pertain specifically To EX, -1, -2

Chapter 4: Avenues of Resolution: 

Chapter 4: Avenues of Resolution Public Servant Experiencing an Ethical Dilemma Issues to clarify and questions to discuss Internal to organization Public Service Integrity Officer Internal to organization External Assistance Dialogue Witness of wrongdoing or breach of the Code Refer to the Code and the Policy on Internal Disclosure Refer to the Code Senior Official Manager/ Supervisor Disclosure of wrongdoing or breach of the Code Senior Officer Steps of reasoning

Responsibilities and Accountabilities: 

Responsibilities and Accountabilities Comply with Code: A condition of employment Public Servants Deputy Heads Exemplify in their actions and behaviour the values of public service Ensure mechanisms are in place to help public servants discuss/resolve issues Can delegate responsibilities and authorities, but not accountability

Responsibilities and Accountabilities: 

Public Service Human Resources Management Agency of Canada Office of Public Service Values and Ethics Review, with TBS, the performance of departments through the management accountability framework Advisory support on the interpretation and promotion of the Code Disseminate information and educational materials Responsibilities and Accountabilities

Responsibilities and Accountabilities: 

Responsibilities and Accountabilities Disseminate information and educational materials Public Service Human Resources Management Agency of Canada Advisory support on the interpretation and promotion of the Code Public Service Integrity Officer Receive, record and review disclosures of wrongdoing and breaches of the Code Make recommendations for resolution Report on cases dealing with breaches of the Code in annual report to Parliament Review, with TBS, the performance of departments through the management accountability framework

Competing Public Service Values : 

Competing Public Service Values The democratic duty to support individual ministerial accountability the democratic duty to support the collective accountability of the ministry must be balanced with The “people” value of respect for the value of every person must be balanced with The professional duty to continually improve efficiency and effectiveness in gov’t programs Activity 1.3, Content

Reconciling Conflicting Values: 

Reconciling Conflicting Values Public Servant Experiencing an Ethical Dilemma Values-based decision or judgment to be made Decision led by pursuit of the public good Review V&E Code Values bearing on the decision are in conflict Trade-offs needed to reconcile competing interests are guided by the widest range of highest principles and values Manager/ Senior Official Dialogue Steps of reasoning Consider all competing relevant views, interests purposes

Summary: 

Summary A key policy of the Government of Canada Establishes the values and ethics of public service to guide us in all of our professional activities Describes conflict of interest and post-employment measures Provides avenues of resolution Compliance is a condition of employment

2. Values and Ethics asManagement of Risk: 

2. Values and Ethics as Management of Risk

Slide24: 

Ethics and Values Cases: Frequency and Public Profile High Public Profile High Frequency Low Public Profile Low Frequency Harassment HR Abuses Contract abuses Gross waste or mismanagement Grants & Contributions abuses Fraud, Embezzlement Bribery, corruption, gifts Abuse of State Power/human rights Travel/Expenses Conflict of interest

3. Values and Ethicsas Management Practiceand Results: 

3. Values and Ethics as Management Practice and Results RDIMS 43341

Management Accountability Framework: 

Management Accountability Framework Public Service Values Customized PS values statement and ethical guidelines regularly discussed with all staff Sound advisory and recourse mechanisms in place Orientation, learning and other tools to support staff Staff assessment of organizational performance against PS values and ethics Learning, Innovation and Change Management Progress in improving organizational learning and knowledge management practices Investments in organizational learning Stakeholder/staff perceptions of organizational adaptability, change and innovation Performance measurement used to improve organizational results Results and Performance Quality of RPPs and DPRs Staff and client survey results Progress in strengthening financial and program results, and performance measurement Corporate monitoring and review of performance Risk-based evaluation plans (reviewed regularly) and follow-up Performance against external benchmarks Policy and Programs Confidence of the Minister and the PCO in the quality of policy options and advice Recruitment/development/succession plans for policy community Investments in policy capacity/analytic tools Accountability Clarity of accountabilities Delegations regularly reviewed Executive committee oversight of performance management and regular review of performance Alignment of individual with corporate commitments People Comprehensive HR development plan in place, including leadership, recruitment, retention, succession, learning, QWL, OL, EE Progress against HR targets Progress in measuring/improving employee engagement Quality of leadership Quality of labour relations Risk Management Corporate Risk Profile, reviewed regularly Tools, training, support for staff Evidence of risk considerations in strategic planning Engagement of external stakeholders in assessing/ communicating risks Governance & Strategic Direction Minister’s confidence in departmental support Perceived coherence of policy agenda Strength of the management team Corporate management framework used for priority setting, reallocation, and alignment to government-wide priorities Management improvement agenda integrating HR, comptrollership, service, etc. Leadership/ participation in PS-wide initiatives Stewardship Risk-based audit plans (reviewed regularly) and follow-up Progress in integrating corporate information systems and controls Audit findings and control failures Quality assurance in contracting, financial, knowledge and asset management, and IT stewardship Citizen Focused Service Service improvement and transformation plans in place for major services/regulatory programs Client satisfaction measured annually Client satisfaction targets and results Progress toward GOL targets Collaboration with other governments and partners Information for citizens

MAF Measures: 

MAF Measures Public Service Values Customized PS values statement and ethical guidelines regularly discussed with all staff Sound advisory and recourse mechanisms in place Orientation, learning and other tools to support staff Staff assessment of organizational performance against PS values and ethics Learning, Innovation and Change Management Progress in improving organizational learning and knowledge management practices Investments in organizational learning Stakeholder/staff perceptions of organizational adaptability, change and innovation Performance measurement used to improve organizational results Results and Performance Quality of RPPs and DPRs Staff and client survey results Progress in strengthening financial and program results, and performance measurement Corporate monitoring and review of performance Risk-based evaluation plans (reviewed regularly) and follow-up Performance against external benchmarks Policy and Programs Confidence of the Minister and the PCO in the quality of policy options and advice Recruitment/development/succession plans for policy community Investments in policy capacity/analytic tools Accountability Clarity of accountabilities Delegations regularly reviewed Executive committee oversight of performance management and regular review of performance Alignment of individual with corporate commitments People Comprehensive HR development plan in place, including leadership, recruitment, retention, succession, learning, QWL, OL, EE Progress against HR targets Progress in measuring/improving employee engagement Quality of leadership Quality of labour relations Risk Management Corporate Risk Profile, reviewed regularly Tools, training, support for staff Evidence of risk considerations in strategic planning Engagement of external stakeholders in assessing/ communicating risks Governance & Strategic Direction Minister’s confidence in departmental support Perceived coherence of policy agenda Strength of the management team Corporate management framework used for priority setting, reallocation, and alignment to government-wide priorities Management improvement agenda integrating HR, comptrollership, service, etc. Leadership/ participation in PS-wide initiatives Stewardship Risk-based audit plans (reviewed regularly) and follow-up Progress in integrating corporate information systems and controls Audit findings and control failures Quality assurance in contracting, financial, knowledge and asset management, and IT stewardship Citizen Focused Service Service improvement and transformation plans in place for major services/regulatory programs Client satisfaction measured annually Client satisfaction targets and results Progress toward GOL targets Collaboration with other governments and partners Information for citizens Public Service Values Customized PS values statement and ethical guidelines regularly discussed with all staff Sound advisory and recourse mechanisms in place Orientation, learning and other tools to support staff Staff assessment of organizational performance against PS values and ethics

The Research on Values and Ethics:the Determinants of Performance: 

The Research on Values and Ethics: the Determinants of Performance Research by the OPSVE, by the New South Wales Government, by the Government of Queensland, and by scholars in the field suggests that several key factors drive and determine organizational results in values and ethics: The effectiveness of an organization’s leaders in providing clear values and ethics leadership to its people; The strength of the values and ethics culture within the organization; The identification and management of high risk “zones” which require strong control and monitoring activity The strength and efficacy of the control systems within the organization

Drivers of Values & Ethics Performance : 

Drivers of Values & Ethics Performance Achieving High Levels of Values and Ethics Performance Preventing and Managing Values and Ethics Problems RESULTS Leadership People Organizational Culture Risk Assessment,Controls Standards, Recourse Drivers

The Two Foundation Blocks: 

The Two Foundation Blocks According to the research findings, preventing serious high profile ethical scandals involves the implementation of clear Ethical Standards and Recourse Mechanisms, as well as Risk Assessment and Controls; Ethical Standards should be clearly set and communicated, and clear, safe Recourse Mechanisms must be in place to encourage staff to report breaches of ethical standards and guidelines. Risk Assessment involves the identification of those functions and areas within the organization that are high risk for ethical breaches (e.g. application of the Risk Matrix), then ensuring that strong Controls and oversight are in place within high risk areas of activity.

Risk Assessment and Risk Management: 

Risk Assessment and Risk Management Research shows that breaches of values and ethics occur more frequently in certain programs and areas of public organizations, especially where staff have the ability to confer or withhold a benefit, or can exercise organizational power; Therefore, organization Values & Ethics performance can be improved if organizations: Regularly assess their areas of greatest risk for breaches of values & ethics performance, based on public sector research, and on their own historic areas of poor performance; Establish a Values and Ethics risk management strategy based on this assessment.

Establishing Effective Controls: 

Establishing Effective Controls Public sector research suggest that effective controls may be the most significant single factor in ensuring high levels of values and ethics performance in public organizations; Effective control systems mean: Clear policies, procedures and controls; Separation of duties and effective oversight; Effective monitoring, audit and reporting; Clear mechanisms for reporting wrongdoing; Effective and transparent action when wrongdoing is discovered.

The Three Pillars of High Performance: 

The Three Pillars of High Performance Achieving high levels of positive values and ethics performance for an organization (in contrast to preventing high-profile ethical cases) involves three foundation pillars: Leadership Organizational Culture People Management Achieving high levels of ethics and values performance can lead to higher levels of public trust and confidence.

The Three Pillars: Values and Ethics Leadership: 

The Three Pillars: Values and Ethics Leadership Executive leadership is the foundation of an organization’s positive values and ethics performance; Effective values and ethics leadership means that leaders: Establish clear values and ethics (democratic, people profession & ethical) standards for the the organization; Personally walk and model the values and ethics talk; Build and reinforce a strong values and ethics culture; Assess and manage the areas of high risk; Establish effective control and monitoring systems; Act decisively and transparently when values & ethics standards are breached.

The Three Pillars: A Strong Ethics & Values Culture: 

The Three Pillars: A Strong Ethics & Values Culture According to the research, the values and ethics culture of an organization can either deter or promote unethical behaviour; A strong values and ethics culture means: Establishing clear standards and expectations for values and ethics behaviour for staff; Creating an environment where staff are comfortable reporting wrongdoing; Regularly measuring staff’ perception of the the organization’s values and ethics culture, and the performance of the organization’s leaders; Implementing improvements in values and ethics culture based on the results of staff surveys.

The Three Pillars:People Management: 

The Three Pillars: People Management Research suggests that organizations where staff feel valued, have high job satisfaction, and are committed to the goals of the organization, have fewer values and ethics problems. This suggests that organizations seeking high levels of performance need to: Regularly measure employee satisfaction, commitment, and quality of working life; Respond to employees’ priorities for improvement through a systematic organizational development plan..

The Building Blocks of Values and Ethics Performance: 

The Building Blocks of Values and Ethics Performance Standards & Recourse Mechanisms Risk Assessment and Controls PROBLEM PREVENTION Org”l Culture Leadership People Mgt . HIGH PERFORMANCE OUTCOMES Trust & Confidence In Public Institutions

Achieving Strong Values & Ethics Performance: an Integrated Approach: 

Achieving Strong Values & Ethics Performance: an Integrated Approach To prevent ethics issues, and to achieve high levels of values and ethics results, organizations should: Set strong ethical standards and recourse mechanisms for the organization; Implement an effective risk assessment and risk management system, along with corresponding control systems. Provide strong values and ethics leadership, and strong leadership of people; Develop a strong values and ethics culture. To achieve continuous improvement, these elements should be integrated into an annual Values and Ethics Assessment and Improvement Plan;

Measuring Performance and Results: 

Measuring Performance and Results The OPSVE is developing a measurement framework and roadmap for departments and agencies to use in assessing and improving their values and ethics performance; Ultimately, better organizational values and ethics performance will be an important contributor to improving Canadians’ trust and confidence in public institutions.

4. Roadmap to Results: 

4. Roadmap to Results RDIMS 43341

Draft Values and Ethics Results Roadmap: 

Draft Values and Ethics Results Roadmap Based on research, have made initial attempt to develop a roadmap to results in values and ethics Results Roadmap is intended as a a tool for departmental professionals to use to assess and improve their department’s performance Current draft is for discussion purposes only Looking for input from those with expertise and experience to further develop the Roadmap

Draft Values and Ethics Results Roadmap: 

Draft Values and Ethics Results Roadmap Y-Axis: 8 Key Factors Affecting V&E Performance Top 4: Key Results Areas 8. Trust 7. Culture 6. People 5. Leadership Bottom 4: Key V&E “mechanisms” 4. Risk Assessment 3. Controls 2. Recourse and Disclosures 1. Guidelines, Standards and Frameworks

Draft Values and Ethics Results Roadmap: 

Draft Values and Ethics Results Roadmap X-Axis: Steps for Improving/Demonstrating Improvement in Values and Ethics

Slide44: 

Draft Values and Ethics Results Roadmap

Vision/Outcome: 

Vision/Outcome A public service that earns and deserves the respect and trust of Ministers, parliament and Canadians – as an important national institution in support of democratic government – through its dedication to the public interest, and its strong culture of democratic, professional, ethical and people values.