Ethics: Working in the Grey Area

your logo

Today’sAgenda

page02

Why Ethics?

LawsRulesIndustry Standards

Case Studies

Best Practices

Why ethics?

It’s not the reality of the world which shapes us, but the lens by which we see the world which shapes us

- Shawn Anchor

your logo

What are ethics?

page05

www.menti.com

46 05 69 9

your logo

Sources of ethics

page06

Values

Character

MoralitySocial Norms

Law

your logo

Basic requirements for ethics

page07

EQIQ

your logo

Tone at the Top

page08

Senior Leadership

Middle Management

Front Line Staff

Headlines

$1.1 billion audited

164 investigations

25 convictions

71 years of jail time/probation

- 2017 OIG Report

Laws, Rules & Industry Codes

your logo

State Code of EthicsMinn. Stat. 43A.38

page011

01

Gift Prohibition

02

State Property

03

Confidential Info

04

Conflict of Interest

MnDOT Policy

If conflict arises employees must notify supervisor or HR within 3 working days

your logo

Board RulesChapter 1805

page013

Safety

Integrity

Honesty

Conflicts of Interest

Competence

Non-Discrimination

your logo

What if I’m not a licensed professional?

page014

Courts look at what a reasonable person

would do under similar

circumstances

01

Courts

Level of skill and diligence others in

your profession would ordinarily

exercise

02

Reasonableness

Lorem ipsum dolor sit amet, consectetuer adipiscing elit. Maecenas porttitor congue

massa. Fusce posuere, magna sed pulvinar ultricies, purus lectus

malesuada libero, sit amet commodo magna

Eros quis urna.

03

Due Care

your logo

Honesty & Integrity

page015

No false statements or misstatement of qualifications

Conduct to maintain reputation for professional integrity with clients & public

Minn. R. 1805.0200

Avoid acts which diminish public confidence in yourself or the profession

your logo

Prohibitions

page016

Illegal conductMoral turpitude

Use another to break a rule

Sign plans you didn’t prepare or directly supervise

DishonestyDeceitFraudMisrepresentation

your logo

Conflicts of Interest

page017

Compensation

Were you paid twice for the same amount of

work?

Minn. R. 1805.0300

Gifts

Did you accept payment for a project without telling your

employer?

Employment

Does a personal interest conflict with

your public duty?

your logo

Competency

page018

Don’t give money/ gifts to get a job

Minn. R. 1805.0300

Don’t misrepresentqualifications or prior

employment

Don’t send/give false info about your qualifications

Only work with competent, qualified

licensees

your logo

Non-Discrimination

page019

15% Women 20% Non-White

Industry Codes of Ethics

your logo

Industry StandardsAmerican Society of Civil Engineers

page021

01 Advance communities

02 Humility03 Potential conflicts of interest04 Negotiate fairly

your logo

Industry StandardsProfessional Appraisers

page022

Good faith negotiations

Unbiased

Cannot advocate for a cause

Case Studies

your logo

Case Study #1Milgram’s Experiment

page024

your logo

Case Study #1Milgram’s Experiment

page025

your logo

Case Study #2The Challenger

page026

your logo

Case Study #3The UAW cookie jar

page027

your logo

Learning Lessons

page028

Unclear Procedures

Poor Leadership

Resource Constraints

Deadlines

Performance Measures

your logo

Report WrongdoingWhistleblower Protections

page029

Best Practices

INVESTIGATIONS

NATURE

HARM CAUSED

INTENT

SKILL LEVEL

PAST VIOLATIONS

What was the type of violation?

Was the violation minor?

Was a client or member of the public harmed?

Was the violation inadvertent or unintentional?

Was the violation willful?

Was it a result of knowing disregard for the Code?

How much experience did the violator have?

Should they have known better?

How often?

How recent?

Is the current violation similar to past violations?

Self-report

Preserve documents

Promptly respond to inquiries

Acknowledge misconduct

Cooperate with humility & empathy

Comply with order & pay

fine

MITIGATION

COMPLIANCE

your logo

Best Practices

page033

Know Your Values

WhitespaceSeek helpRead up

your logo

Best Practices

page034

Find Your Courage

The Newspaper Test

Know Your Vulnerabilities

Platinum Rule

your logo

Creating Ethical Organizations

page035

Personal Values & Training

Ethical Culture

Governance & Management

Leadership

Performance Expectations

your logo

Ethics in 2 Minutes

page036

deliver the best quality on the market

help to make this world a better place to live in

promote awareness and sustainability

thank you.

Joshua Root651-366-4799joshua.root@state.mn.us

Slide Number 1Today’s�AgendaSlide Number 3Slide Number 4What are ethics?Sources of ethicsBasic requirements for ethicsTone at the TopSlide Number 9Slide Number 10State Code of Ethics�Minn. Stat. 43A.38Slide Number 12Board Rules�Chapter 1805What if I’m not a licensed professional?Honesty & IntegrityProhibitionsConflicts of InterestCompetencyNon-DiscriminationSlide Number 20Industry Standards�American Society of Civil EngineersIndustry Standards�Professional AppraisersSlide Number 23Case Study #1�Milgram’s ExperimentCase Study #1�Milgram’s ExperimentCase Study #2�The ChallengerCase Study #3�The UAW cookie jarLearning LessonsReport Wrongdoing�Whistleblower ProtectionsSlide Number 30Slide Number 31Slide Number 32Best PracticesBest PracticesCreating Ethical OrganizationsEthics in 2 MinutesSlide Number 37