staff of the non-public funds, canadian forces making ethical decisions

Staff of the NPF, Canadian Forces

Serving Those Who Serve À votre service

Personnel des FNP, Forces canadiennes

Presented by

ROGER YOUNGHuman Rights, Harassment Prevention & Ethics

AdvisorDirector General Personnel & Family Support

Services

Staff of the Non-Public Funds, Canadian Forces

MAKING ETHICAL DECISIONS

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STAFF OF THE NON-PUBLIC FUNDS, CANADIAN FORCESPERSONNEL DES FONDS NON PUBLICS, FORCES CANADIENNES

HEINZ’S DILEMMA

• Heinz’s wife is dying from a rare form of cancer.• There is only one drug that can save her.• Heinz’s druggist has discovered this drug. Although it

only cost $200 to obtain, he demands $2,000 for it.• Heinz uses all his savings and tries to borrow money but

can only raise $1,000.• Heinz tells the druggist his wife will die without the drug

and begs the druggist to let him pay less or pay later.• The druggist refuses.• Heinz becomes desperate. He breaks into the drugstore

and steals the drug.• Was Heinz right or wrong to do this?


MORAL DEVELOPMENT

WHAT REASONING WOULD YOU APPLY?:

1. Fear of punishment and need to obey the law (pre – conventional)

2. Conformity with what society or peers expect (conventional)

3. Principled conscience based upon ethical values (post – conventional)

…. Lawrence Kohlberg, Psychologist, Univ. of Chicago

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AN ORGANIZATIONAL CULTURE

“A system of shared meanings and common perceptions held by members of an organization which distinguish it from other organizations” ….Organizational Behaviour, 2001

What defines the character of an organization or society. The context within which ethics apply

- How we do things, - How we make decisions, - How we solve problems,

An organization’s “corporate DNA”

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AN ETHICAL CLIMATE

The cultural context within which Ethical Principles must be considered, e.g. two models;

Collectivist Societies e.g. China, Cuba

Individualist Societies e.g. The United States, France

CANADA freedom, tolerance, mutual respect, cultural pluralism and democratic principles “Peace, Order and Good Government”

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FOUNDATIONS

The Canadian Charter of Rights and Freedoms

Formally recognizes the fundamental values upon which Canadian society is based:

• Individual rights & freedoms - subject to reasonable limits (not included in US constitution)

• Democracy – Supremacy of Parliament• Personal security & privacy - The rule of law • Equality & diversity-The Canadian Human Rights Act• Respect for the dignity of all persons - our social

safety net (Justice, Health care, Education)

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BUILDING AN ETHICAL CULTURE

Values and Ethics Code for Public Sector

COMPLIANCE BASED ETHICS

A set of “must do” rules, too often complex and hard to follow and full of loopholes

ETHICAL PRINCIPLES BASED A set of values that establish……

“A framework of fundamental Ethical Principles upon which to guide, practice, promote and evaluate conduct.”

.… NPF Ethical Principles Policy

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NPF EP POLICY & PSC

On March 13, 2009 NPF established an Ethical Principles Policy (EPP) parallel to and harmonized with TBS and CF policy

• The CFwas excluded from the definition of “public sector” in S2 of the PSDPA

On April 2, 2012 TBS issued a new Values and Ethics Code for the Public Sector (PSC) to replace the old Values and Ethics Code for the Public Service

• As an umbrella document the new PSC applies to the entire federal public sector including NPF employees

• All NPF employees are subject to and must adhere to both our own internal EPP as well as the PSC

On May 16, 2011 the DGPFSS notified all NPF Divisions Heads accordingly


NPF POLICY

“CFPFSS is committed to vigorously supporting and maintaining a workplace culture of integrity for all NPF employees that is founded upon Ethical Principles”

…. NPF Ethical Principles Policy

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NPF ETHICAL PRINCIPLES

• Respect the dignity & well being of all persons

• Serve the interests of Canada and the CF above self interests

• Act consistently to benefit CF members, former members and their families

• Support and willingly comply with legitimate authority, within the norms of ethical

conduct …. NPF Ethical Principles

Policy10


SPECIFIC RESPONSIBILITIES

• Practice courtesy, reliability, trustworthiness & honesty

• Practice due diligence• Practice equity, fairness, impartiality &

objectivity• Avoid retaliation, unfair advantage, or abuse

of authority• Maintain safety, security, confidentiality &

loyalty

…. NPF Ethical Principles Policy 11


FOUR CORE VALUES

HONESTY: Telling the truth

RESPECT: Treating others with dignity

FAIRNESS: Playing by the rules

INTEGRITY: Keeping your promises

(Doing the right thing ….

even when no one is watching)

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PERSONAL ETHICS & WORK

• PERSONAL - everything concerning your private life (religious practices, political beliefs, sexual orientation)

• WORK - everything concerning your role and position as an employee, (duties, contractual obligations, hours of work, conduct toward coworkers)

• OVERLAP - If both are in harmony – great! • If not - it can be very difficult for an employee

to isolate personal values from work values (e.g. if a single parent EE has a sick child)

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COMPONENTS OF ETHICAL CONDUCT

8) LEADERSHIP

7) Performance 1) Standards

6) Enforcement 2) Training

5) Monitoring 3) Communication

4) Procedures …. Centre for Organizational Values & Ethics - Carleton Univ.

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ETHICALCULTURE


ETHICAL LEADERSHIP

KNOWING: – What is right and what is wrong– What can be changed and what can’t

MODELING ethical conduct:• Recognize that ethical principles are fundamental

to the organization’s image• Demonstrate how ethical reasoning is applied to

make decisions and solve problems • Cultivate others to follow by example and

encourage dialogue and active involvementThis builds the character of an organization

ETHICS WITHOUT LEADERSHIP = poor RESULTS LEADERSHIP WITHOUT ETHICS = poor CREDIBILITY

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WHY THIS IS IMPORTANT

your THOUGHTS BECOME your WORDS,

your WORDS BECOME ACTIONS,

your ACTIONS BECOME HABITS,

your HABITS BECOME CHARACTER, and

your CHARACTER BECOMES your DESTINY. .... MAHATMA GHANDI, Political Leader, 1869-

1948

“OUR DEEDS DETERMINE US…. AS MUCH AS WE DETERMINE OUR DEEDS” .... GEORGE ELLIOT (Mary Ann Evans), British

novelist, 1819 -1880 16


TRUST IS ESSENTIAL

An attitude based upon beliefs, feelings and expectations that creates a positive sense of

competence. By trusting someone we willingly surrender our

vulnerability to someone over whose behavior we have no control.

THE DETERMINANTS OF TRUSTWORTHINESS Honesty

Competence Consistency/predictability Loyalty Openness

…. Organizational Behaviour, 3rd edition17


ACCOUNTABILE LEADERSHIP

LEADERSHIP BUILDS AN ETHICAL CULTURE &

- ACCOUNTABILITY HOLDS IT TOGETHER

Individual Integrity Organizational Integrity

AUTONOMY AUTHORITY

(freedom to choose) (controlled with rules)

ACCOUNTABILITY is established when a balance is achieved in the natural tension

between these 2 interdependent qualities

…. Prof M Hoffman, Centre for Business Ethics18

ETHICAL LEADERSHIP


RESPONSIBILITY

ALL NPF PERSONNEL - ethical conduct is required in the performance of all duties

MANAGERS - ensure ethical principles are successfully implemented at all levels

DIVISION HEADS - ensure adequate steps are taken to monitor that ethical principles are encouraged, practiced, and enforced

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COURAGE

Courage is not a principle by itself but the one that champions all other principles.

“ Courage is the first of human qualities because it is the one that guarantees all the others” .... Winston Churchill

• to individually confront difficult situations without fear of reprisal,

• to accept the risks and responsibilities of one’s position, and

• to act upon values one believes are ethically right …. NPF Ethical Principles Policy

When you’re scared to death…. but you saddle-up anyway”

.... John Wayne, Hollywood Legend

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ETHICAL RISKS

When an individual exhibits conduct that is not compatible with ethical principles

Risks arise because of:

- Deliberate deception or unintended error

- Individual performance deficits, conflicts of interest

- Diverse values arising from culture, age, gender or lifestyle differences

- Changes in the economic, technical or physical environment

Risks can be short-term, long-term, narrow or broad, significant or minor, frequent or infrequent

FAILURE TO TAKE ACTION CAN PRODUCE A RISK!

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FRAMES OF ANALYSIS

LENSES THROUGH WHICH THE VALUES INVOLVED ARE IDENTIFIED AND A STRATEGY TO SOLVE A PROBLEM PLANNED

1. JUSTICE BASED

2. CONSEQUENCE BASED

3. COMPASSION BASED

4. VIRTUE BASED

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1) JUSTICE BASED

Moral Absolutism

Required adherence to a strict set of universally applicable rules, laws, regulations or policies that apply to every person in every instance without exception

• Can exceptions ever be made? e.g. Refereeing sports competitions

• Can the method of an action justify the outcome? • How do you resolve a conflict between two rules? • Can a decision ever be consequence free?

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2) RESULTS BASED

Utilitarianism

An action or policy that results in

“the greatest good for the greatest number”- Limited concern for individual fairness

- Can the outcome of an action justify the method?

e.g. Are smokers good for the economy? Is euthanasia, abortion, torture, or execution ever OK?

e.g. How to choose flood victims? (Manitoba, 2011)

Transparency, explore all options and select the least

invasive one, minimize impacts, compensate losses.

too many exceptions = anarchy 24


3) COMPASSION BASED

Feminism

All human beings are entitled to humane treatment

• Can compassion replace justice?

• Broad moral reasoning replaces universal laws• Moral concepts based upon relationships

determine responsibility

The right option in any given situation can be identified by determining how each option respects human commitments and needs.

But can you ignore the rules?25


DO YOU HAVE A BIAS?

ARE YOU COMPASSIONor JUSTICE ORIENTED?

(Handout Questionnaire)

• Compassion (sympathetic, nurturing, emotional) • Justice (right or wrong, unyielding, competitive)

TO BE OBJECTIVE You need to; 1. BE AWARE OF YOUR OWN BIASES

2. CONSCIOUSLY BALANCE THOSE BIASES with COUNTERSTEREOTYPICAL QUALITIES

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4) VIRTUE BASED

Virtue based ethics always questions the goal

“The golden mean” A desirable BALANCE between two extremes: one of excess - the other of deficiency. .... Aristotle

• Every situation is unique and the result will depend upon all of the specific circumstances

• Virtue is role determined - e.g. Police Officer, Priest• Virtue is acquired by the practice of good habits; - ASSERTIVE (not aggressive) - EMPATHETIC (by listening) - PRINCIPLED NEGOTIATION (focus on problem)

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DYNAMIC IMPACTS

Magnitude: The quantitative or qualitative harm or benefit that will result

Probability: The likelihood that a specific action, or inaction, will produce a specific result

Social Consensus: The entire cultural context Immediacy: The length of time between an action

and the consequenceProximity: How close the decision maker is,

physically or psychologically, to those affectedConcentration: How the results are distributed

…. Organizational Behaviour, 8th edition, 1998

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ETHICAL DEFICITS

Deficit of Reflection - Too much emphasis upon quick action and not enough upon careful reflection

Deficit of Character Development - Good leadership is not sufficiently practiced or demonstrated

Deficit of Respect - Ethical treatment is not valued or protected, and undermines the integrity of the workplace

Deficit on use of power - No emphasis upon understanding the use or abuse of power or its effects

Deficit of Mentoring - Value is placed upon technical achievement over and above developing interpersonal skills & competence to achieve (winning at all costs)

….Patrick O’Neill, Management Consultant,Toronto

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ETHICAL DILEMMAS

When there are two or more solutions to a problem, and each produces an undesirable result;

Uncertainty Dilemma – when the best option is not clear (too many options to choose

from)

Competition Dilemma – when similar values compete - honesty/respect (isn’t the baby cute?)

- privacy/security (airport screening)

Conflict Dilemma – when dissimilar values collide (transparency v confidentiality)

Harm Dilemma – when, no matter what, some harm will result (find the least worst option)

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A DECISION MAKING MODEL

“An Ethics tool kit for Managers”

1. Have you accurately defined the problem?2. Have you defined the same problem from other

sides of the issue?3. What caused the situation to occur in the first

place?4. Where does your loyalty lie personally, or as a

member of your team, or your organization?5. What is your intention in making a decision?6. What is the relationship between your intention and

the anticipated outcome?7. Whom could your decision or action harm?

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A DECISION MAKING MODEL

8. Have you discussed the problem, the options you considered and the decision to act, with the parties affected, before you act?

9. Are you confident your position will remain valid over time?

10. Can you disclose your decision to your boss, your friends, society as a whole without any qualms?

11. What would the symbolic potential or precedent of your decision be if understood, or misunderstood?

12. Under what conditions would you make an exception?

….Laura Nash, Harvard Business Review, 1981

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CONFLICTS OF INTEREST

REAL: When an individual knows that he or she has a private vested interest, whether financial or non-financial, that could potentially bias or prejudice the individual in the exercise of his or her duties or responsibilities

PERCEIVED: When there is a reasonable apprehension that a real conflict of interest exists

POTENTIAL: When it is reasonably foreseen that a real conflict of interest situation might develop

…. NPF Ethical Principles Policy

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WHISTLEBLOWER PROTECTION

The PUBLIC SERVICE DISCLOSURE PROTECTION ACT (PSDPA)

The PSDPA establishes a legislative mechanism for the disclosure of wrongdoing in the federal public sector, including Crown corporations and other public agencies, and protects public servants in those departments and organizations who, in good faith, disclose “wrongdoings”, including all NPF employees.

To disclose a “wrongdoing” or seek advice regarding the PSDPA,

contact the DND Internal Disclosure Office (IDO) at:

the Disclosure Hotline - 1 866 236 4445

Internal Disclosure Office - (613) 992-0356

email - +IDO@CRS@Ottawa-Hull 34


WHAT IS A “WRONGDOING”?

a) a contravention of any Act of Parliament or legislature (or regulations)

b) a misuse of public funds or assets

c) gross mismanagement

d) an act or omission that creates a danger to the life, health or safety of persons or the

environment, other than a danger inherent to ones duties

e) a “serious breach” of a code of conduct

f) knowingly directing or counseling a person to commit a wrongdoing

…. The PSDP Act

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WHAT IS A “SERIOUS BREACH”?

• An adverse impact upon an organization’s ability to fulfill its mandate or duty

• The degree of departure from accepted standards, policies or accepted practices

• The position of trust held by the wrongdoer• The degree of malice, intent or recklessness to

deliberately cause harm or do wrong• The frequency of wrongful actions• The consequences upon the wellbeing of others or

the environment …. from TBS Guidelines

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WHAT WOULD YOU DO?

• In Bosnia, hundreds of refugees were being slaughtered by the Serbs and sought refuge in a UN “Safe zone”.

• The Canadian Commander was ordered by UN HQ in NY to refuse entry to them.

• The choice was to either follow orders and witness the murder of hundreds of people, or disobey orders and risk a Courts-Martial, but save the refugee’s lives.

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WHAT’S IN IT FOR ME

DOING THINGS RIGHT v DOING THINGS THE RIGHT WAY

Be prepared to speak truth to power

You need to be able to look in the mirror forever after and know that you made the

right decision for the right reasons!

“All that is necessary for evil to triumph is for good men (or women) to do nothing”

…. Edmund Burke, Parliamentarian UK, 1700s

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ASSESSING ETHICAL RISKS

Present:

“MOMENT OF TRUTH”

Movie( 22 minutes )

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ASSESSING ETHICAL RISKS

ASK YOURSELF Is it the TRUTH ? Is it FAIR ? Is it free from HARM ? Am I PROUD to do it ?

(Will it pass the front page “smell” test) Famous last words: “NO ONE WILL EVER KNOW” WHAT WILL YOU DO WHEN YOU FACE

YOUR MOMENT OF TRUTH?

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RESOURCES

ETHICS ADVISOR: Roger Young, HRHP&EA 1 613 996 3866

[email protected]

Kim Ann Chute, HR&HPO 1 613 996 6743

[email protected]

Toll free: 1 800 506 6679 Fax: 1 613 944 5924 http://www.cfpsa.com

4210 Labelle, Ottawa ON K1A OK2

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staff of the non-public funds, canadian forces making ethical decisions

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