laws, regulations, codes clarify, simplify, reduce numbers, and ‘mainstream’ as part of the job...

LAWS, REGULATIONS, CODES

CLARIFY, SIMPLIFY, REDUCE NUMBERS,

AND ‘MAINSTREAM’ AS PART OF THE JOB

TO WIN COMPLIANCE

Slides for a session with Denis Osborne, 2007

Ethics and Good Governance

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WHY HAVE LAWS? TO PROTECT

NOT to protect the Rulers from the People(we have called that RULE BY LAW)

But to protect People from each other and from their rulers by limiting the Rulers’ powers (we called that the RULE OF LAW)

TO SET STANDARDS? Ideal patterns for behaviour? (Future aim) or

minimum standards that ‘all’ accept? (Past) Should laws set patterns from past, or

Visions for future?


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LAWS MULTIPLY

Changing circumstances and technologies

make it necessary to change the rules. Lawyers aim laws cover every possibility Result – too many laws, confuse, delay, cost De Soto reports 27,000 new laws or

regulations a year in Peru for 40 years

– about 100 every working day


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DEREGULATION?

A thought experiment: imagine Regulanda –

a country where there were no laws or rules … Chaos: no protection for people or property One law would be better than none Add another, then another (choose the best each

time), things get better and better, but law 1,001 might bring less benefit than no 11 Seek ‘not too many, not too few’, but Seek better laws. How make laws better?


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BRIGHTLINE LAWS & RULES AIM to keep laws and regulations simple

so that we find it easy to know what we should do Whether we comply is better assessed

by aiming to judge only clearly discernible facts British law says a bribe is a gift that is

‘intended to corrupt’: difficult to know! Very few convictions in courts

A ‘Brightline Law ’ may forbid gifts above a chosen limit – if well known, that’s fair

Think of other examples…


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PUBLIC SERVANTS OBEY … Does ‘obeying the rules’ ensure good service?

That must depend partly on the rules but even perfect rules, charters, performance standards

and targets don’t guarantee good service How well do we obey the rules?

If rules are ‘wrong’, how do we get them changed? Or ‘waived’? (Don’t ask ‘may I do…?’ ask ‘how?’)

We will need to motivate officers To want to win and hold public’s trust in our

competence, commitment and integrity


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PUBLIC SERVICE PATTERNS On work placement in England public servants from

central Europe were horrified. They found: UK civil servants seemed never to consider the laws and

regulations that should guide their work, but… ‘Knew what to do’ based on past experience of others

One UK writer compared this with a genetic code

of behaviour, codes were not needed, but ‘reforms’ have made codes necessary and Britain has now a civil service code


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CODES CODES OF CONDUCT

Usually a list of bad things; precise, detailed Voluntary / whitewash; or Mandatory / enforce

CODES OF ETHICS Descriptions of good things we should do Sometimes vague, often voluntary, eg ‘be client friendly’ But sometimes with quantified targets

CORE VALUES: ‘RICE’Respect, Integrity, Communication, Excellence

Those were core values for ENRON staff Reinforced by assessment rules!


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CODES AS OPPORTUNITIESNew or revised Codes give opportunities to:

raise awareness of standards among those to whom the code applies and among their clients

ask where we face the greatest risks of failure and how service and products can be improved

provide faster disciplinary procedures that are management-focused and cost less but remain fair to staff, and are easy to apply

For that it helps if breaches of codes arematters of fact not difficult ‘judgement’


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CODES AND DISCIPLINE If a Code sets standards for discipline, it helps if: Copies are given to all the staff involved, and staff are asked to sign a slip confirming that

‘I have received, read and understood’, and copies are given to clients with whom they

deal explaining that these show the standards of service to expect

and to contractors / suppliers requiring their staff to match this behaviour


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STAFF REACTIONS

INTRODUCING NEW / REVISED CODES Reactions in N America found age-dependent Oldest: Yes, we need it (to get young into

line?) Middle: Cynical; seen before; no difference Young: What’s in it for me?

Seen by author of study as generation shift: response of young as part of obsession with usefulness (eg computers), she thinks attitudes will not change with ageand parenting or management experience


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STUDY REACTIONS

We may challenge the conclusions of the North American study

But there could be value in many places from finding how staff react to codes

How would you react? How might your staff react? Often resented as ‘extra burden’

and implying poor performance


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CODES, CORE VALUES CENTRAL Observing code seen by staff as an extra Even a distraction from ‘the real work’ Managers can make codes part of the job

Include in job description, objectives, targets Include in job appraisal or review,

for example asking,‘How have you told your clients where they should make any complaints?’ and ‘How quickly do they get a response or remedy?’


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CIVIL SERVICE DISCIPLINEOften quasi-judicial, decided by committee

Suspicion or allegation Succession of ‘warnings’ Suspension (on part or full pay?) Investigation, charges, hearing, appeal … Why? Fair. Saves public funds if

sued for ‘wrongful dismissal’ But what value do we place on work

lost and unfair load on other staff?


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CIVIL SERVICE MANAGEMENTCould more discipline be a matter for managers

– an administrative matter, as in private sector? Suspicion or allegation? Warn for small offences Let managers decide dismissal or other penalties

With no long periods of suspension for investigation

Any staff member dismissed can appeal But pay expenses for appeal if judged ‘frivolous’ Saves other staff extra unfair loads All staff have less uncertainty, ‘suspense’

Introduce with pay-rise ‘package’?


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COMPLIANCE

Citizens are required to obey the law Staff have to obey regulations, rules, orders Need to check compliance Managers reward compliance, punish if disobey Do staff comply only because they

expect their behaviour to be known? AIM to internalise values

As appears to happen among threatened minorities who benefit from trustin each other


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COMMITMENT

RATHER THAN STRUGGLE TO ENFORCE RULESWOULD IT BE BETTER

to convince staff the rules are good, that they enable us to do the job well,and help us to give good service … ?

AND AIM AT ‘Compliance through Commitment’ Commitment to service, to people, giving

value-driven, ethical good governance


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THANK YOU

For listening

if you have been

and

for joining in discussion

if I gave you the

time to do so

laws, regulations, codes clarify, simplify, reduce numbers, and ‘mainstream’ as part of the job...

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