Model Code of Conduct For Legislative Staff
Table of Contents
Foreward
Acknowledgements
Model Code of Conduct
Staff Contact
Foreword
The Model Code of Conduct for Legislative Staff is intended to guide the
conduct of legislative staff as they serve state legislatures, state legislators
and the public. It was developed by legislative staff working under the
auspices of the National Conference of State Legislatures and reflects
the views of legislative staff from across the United States.
This code is offered as a model for consideration by each state legislature,
recognizing that modifications may be required by the circumstances of
each state. Professional codes governing the work of lawyers, accountants
and public administrators, as well as general analyses of professional
ethics, served as a starting point in developing this code. Initial drafts
were circulated among state legislative staff, and the final code is the
result of more than two year discussion of the proper role and conduct
of legislative staff.
The Code states fundamental principles and then sets forth the obligations
that follow from these principles. It lays out general statements of obligations,
not managerial and procedural details. Comment sections provide brief explanations
and clarifications of the general principles.
Article I describes the three fundamental principles that serve as the
starting point for determining proper conduct:
First, the legislative staff member is a public servant (section 1).
Second, the legislative staff member is a servant of the legislative
branch of government in that branch's accomplishment of its mission (section
2).
Third, the legislative staff member stands in a relationship of trust
to the legislature (section 3).
At the heart of the code is a set of obligations that detail how staff
must conduct themselves to be worthy of the trust placed in them:
Article II describes the obligations of legislative staff members
to legislators.
Article III describes the obligations of legislative staff members to
each other.
Article IV describes the obligations of legislative staff members to
the public.
Finally, legislatures have obligations to staff that, if met, will assist
staff members in serving the legislature well. Article V describes the
expectations legislative staff members have of the legislatures that employ
them.
The development of the code began in 1994 and concluded with its adoption
at the 1995 Annual Meeting of the National Conference of State Legislatures.
John Turcotte, NCSL staff chair (1993-94), appointed the Professional Development
Task Force with Alfred W. Speer as its chair and directed it to draft a
code to govern the conduct of legislative staff. Ted Ferris, NCSL staff
chair (1994-95), continued the work of the Professional Development Task
Force with Anne Walker as its chair. In 1995 the Model Code of Conduct
for Legislative Staff was adopted by the Legislative Staff Coordinating
Committee of the National Conference of State Legislatures and the NCSL
Executive Committee.
It is with a great sense of honor and responsibility to state legislatures
that we submit the Model Code of Conduct for Legislative Staff. The advice
contained in the code provides guidance for legislative staff as they go
about the day-to-day business of serving state legislatures. Through their
dedication to the principles contained in the code and their overall professionalism,
legislative staff have a significant impact on promoting strong, independent
state legislatures. We urge all staff to thoughtfully consider the advice
contained in the code and use it as a guide to their actions.
Alfred W. Speer, Louisiana
American Society of Legislative Clerks and Secretaries
Chair, Professional Development Task Force, 1993-94
Anne Walker, Missouri
Research and Committee Staff Section
Vice Chair, Professional Development Task Force, 1993-94
Chair, Professional Development Task Force, 1994-95
Acknowledgments
For two years, a dedicated, talented and enthusiastic group of legislative
staff served as members of the Professional Development Task Force:
Max Arinder, Mississippi
National Legislative Program Evaluation Society
Joyce Bigbee, Alabama
National Association of Legislative Fiscal Offices
Charlene Byers, Colorado
National Legislative Program Evaluation Society
Alan Briggs, North Carolina
Leadership Staff Section
Bruce Feustel, Wisconsin
Legal Services Staff Section
Vice Chair of Professional Development Task Force, 1994-95
Darrell Jackson, Missouri
Research and Committee Staff Section
Bob Keaton, Louisiana
National Association of Legislative Fiscal Offices
Rebecca Lennahan, Colorado
Legal Services Staff Section
Jim Oliver, Texas
National Association of Legislative Fiscal Offices
John Olsrud, North Dakota
Research and Committee Staff Section
Alfred W. Speer, Louisiana
American Society of Legislative Clerks and Secretaries
Chair, Professional Development Task Force, 1993-94
Tom Tedcastle, Florida
Leadership Staff Section
John Turcotte, Florida
National Legislative Program Evaluation Society
Carlton Turner, Texas
National Legislative Services and Security Association
Pamela Varni, Alaska
National Legislative Services and Security Association
Anne Walker, Missouri
Research and Committee Staff Section
Vice Chair, Professional Development Task Force, 1993-94
Chair, Professional Development Task Force, 1994-95
David Wilkins, Delaware
Leadership Staff Section
Model Code of Conduct for Legislative
Staff
Preamble
In recognition of the importance of staff to the mission of the legislative
branch of state government and of the value of excellence and professionalism
in staff performance, the National Conference of State Legislatures adopts
this code as a model to guide the conduct of staff members of state legislatures
in their service to the state legislature, its members and the public.
Statement Of Intent
Section 1. This code is intended to express an ideal for and provide
guidance to all persons who serve as legislative staff members. It is also
intended to be a model for adoption by each state legislature, which may
modify it. The code contains no recommendations for enforcement. That is
a matter for consideration by any legislative body or staff agency that
adopts it or uses it as a basis for its own code.
Section 2. This code is intended to apply to all legislative staff members,
regardless of their work assignment or responsibility. The variety of staff
functions and of staffing structures within which legislative staff members
serve the legislature requires that they interpret the obligations of this
code from a variety of perspectives. It is particularly important whether
a staff member works primarily or exclusively for an individual legislator,
for a committee, for a partisan or other caucus, for a chamber, or for
the whole legislative institution.
Section 3. This code is intended to supplement existing codes to which
legislative staff members may already be subject. Obligations that staff
members have under these codes, including various professional codes, are
recognized and fully accepted.
Section 4. This code is intended to support the sense of personal responsibility
that legislative staff members feel for their own actions. Reasonable people
may disagree on the particulars of a code of conduct for legislative staff.
The circumstances of life and work present conflicts and hard choices.
Legislative staff members have the ultimate responsibility to make the
day-to-day judgments necessary for this code to guide their service to
the state legislature.
Article I: General Principles Of Conduct
Public Servant
Section 1. A legislative staff member is a public servant. The broad
purpose of his or her work is to assist the state legislature in promoting
the common good of the citizens of the state.
Comment: As employees of the government, staff members have placed their
talents and efforts in the service of the common good. As stewards of public
resources, staff members are responsible for ensuring that these resources
are used to promote the public good, not their own private good.
Loyal To The Legislative Branch
Section 2. The mission of the state legislature is to represent the
people in deliberating and deciding about matters affecting the common
good. The mission of legislative staff members and the purpose of their
public service is to support the state legislature in its mission. Any
action or inaction which could bring disrepute to, or infringe upon the
authority of, the legislative branch of government or the principle of
representative government conflicts with this service.
Comment: The word "staff" refers to an object used for support. The
mission of legislative staff members is to support the state legislature
in making laws and allocating public resources for the common good of the
people of a state. The people of the state have delegated this power to
the state legislature. Legislative staff members have an obligation to
be loyal to the legislature as an institution.
Trustworthy
Section 3. A legislative staff member stands in a relationship of trust,
confidence, and responsibility to the state legislature and has the duty
to act in a way that makes him or her worthy of the trust and confidence
the state legislature places in staff members.
Comment: Staff members stand in a special relationship to legislators.
As staff members they are entrusted with various tasks that give them an
important role in the process by which decisions for the common good are
made by the legislature. In performing these tasks, staff members are expected
to give the legislature the full benefit of their knowledge and skills
without usurping the authority to make legislative decisions, which has
been exclusively delegated to legislators. To be worthy of this special
relation of trust--to be trustworthy--a legislative staff member must meet
certain obligations to legislators, colleagues, and the general public.
Article II: Obligations Of Legislative Staff Members To Legislators
Honest
Section 1. A trustworthy legislative staff member demonstrates the
highest standards of honesty and personal integrity in all of his or her
work for the state legislature.
Comment: A trustworthy staff member does not steal from his or her employer
by taking public property, by using public property or his or her employment
for personal gain, or by failing to give full effort for pay received.
A trustworthy staff member does not lie to his or her employer. Dishonesty
in any aspect of a staff member's life calls into doubt his or her honesty
in work and can also harm the legislature's reputation.
Discrete
Section 2. A trustworthy legislative staff member is discreet in what
he or she reveals about work done for any legislator and, subject to the
law and in accordance with custom or policy of a legislative body or agency,
maintains confidentiality of communications between the staff member and
any legislator.
Comment: Discretion includes knowing when information is confidential
and treating it as such, when carrying out a request must necessarily involve
revealing some information, and when not to speak about nonconfidential
matters both within and outside the legislative context. Because many legislative
staff members work for more than one legislator, including working on a
single project or piece of legislation for legislators with opposing objectives,
it can be difficult to meet this obligation at times. Also, the expectations
of leaders that they be kept informed can place staff members in difficult
situations. To minimize these difficulties, legislatures must clarify the
staff obligation to maintain confidentiality.
Candid
Section 3. A trustworthy legislative staff member renders candid advice
to legislators on matters of policy and procedure within the staff member's
areas of work responsibility.
Comment: Candor is the full sharing of one's knowledge, in the form
of information and advice, with a legislator who needs it in order to make
an informed decision. The ability of a legislator to make a good decision
may be lessened if a staff member fails to give the legislator the full
benefit of his or her expertise. Although the obligation to be candid is
clearest when a legislator asks for information or advice, it may also
apply when a staff member is not asked. Great care needs to be exercised
when advice or information has not been asked for, but relevant knowledge
should be offered. Once the offer is made, a staff member does not have
a duty to advocate or seek another forum, unless advocacy is his or her
specific responsibility. A staff member's duty to give advice and information
to a particular legislator depends on who the staff member specifically
works for. But regardless of this circumstance, a staff member is obliged
to accurately inform any legislator of what services he or she can expect
from the staff member. The obligation to be candid may give rise to tension
with the obligation to be discreet, but the obligations do not contradict
each other. The distinction is that in being candid a staff member gives
each legislator who can request his or her services the full benefit of
his or her broad disciplinary knowledge and skills; in being discreet a
staff member holds communications with legislators in confidence, when
appropriate.
Objective
Section 4. A trustworthy legislative staff member provides objective
advice, information, and alternatives to legislators, independent of the
staff member's personal beliefs or interests or the interests of third
parties. A trustworthy staff member avoids activities that conflict with
this objectivity or give the appearance of conflict.
Comment: It is not expected that a staff member will have no personal
beliefs regarding public policy. What is expected is that in doing his
or her job, the staff member will not let those personal beliefs be limiting,
but rather will be open to alternatives and committed to being comprehensive
in presenting information and providing support. Certain activities can
make it difficult for a staff member to be objective or can give the appearance
that he or she is not objective. In public service, this appearance can
undermine public confidence in the legislature and compromise the effectiveness
of staff members. Because it can be difficult to determine which activities
give the appearance of conflicting with objectivity and reasonable people
may disagree, staff members and their legislative employers have the obligation
to carefully assess the effect of such activities as accepting gifts or
favors from persons with an interest in the legislative process; of taking
an active or leadership role in an organization which attempts to influence
the legislature; and of entering into conversation about potential employment
with an entity which has an interest in the legislative process. Similarly,
staff members and their legislative employers must evaluate any outside
employment by full-time staff members for its potential to compromise objectivity
as well as to weaken diligence.
Competent
Section 5. A trustworthy legislative staff member strives to acquire
and maintain the knowledge and skills necessary to do the work he or she
is expected to do and recognizes when to seek assistance from others.
Comment: To support the legislature in its mission, staff members must
be competent. A staff member needs to be aware of his or her kind and degree
of expertise, to be forthright with legislators about what he or she can
do, to know when to seek assistance, and to take every opportunity to continue
to learn.
Diligent
Section 6. A trustworthy legislative staff member gives a hard-working
effort to each work task, uses available time in a productive and efficient
manner, and completes work in the most timely fashion possible.
Comment: Diligence is the application of full effort to the performance
of one's work. The demands of the legislative process often make it difficult
for a staff member to be as careful and thorough as he or she would like
to be in completing a task. It may be appropriate to inform a legislator
of the constraints of time or resources and to discuss what can reasonably
be accomplished. The obligation of diligence requires that the staff member
do his or her best in the time and with the resources available.
Fair
Section 7. A trustworthy legislative staff member treats all legislators
with equal respect and provides services of equal quality to all legislators
to whom he or she is responsible.
Comment: By virtue of their office, all legislators deserve respectful
and dignified treatment by all legislative staff members. All legislators
who have the right to ask for and receive services from a staff member
expect that a diligent effort will be forthcoming and will not be lacking
due to the legislator's political or religious beliefs, race, ethnic origin,
sex, or physical ability.
Article III: Obligations Of Legislative Staff Members To Each Other
Respectful
Section 1. A trustworthy legislative staff member treats all fellow
legislative staff members with respect and appreciates the pressures they
work under and the difficulty of some of the choices they must make.
Comment: Because legislative staff members are in the best position
to understand the circumstances of other legislative staff members and
to know the obligations they are under, they have a strong obligation to
be considerate of each other.
Supportive
Section 2. A trustworthy legislative staff member supports the efforts
of fellow legislative staff members to meet their obligations and perform
their work and is willing to operate as part of a team when appropriate.
Comment: For a staff member to fail to support a colleague, or to work
against a colleague's efforts to perform his or her work, is to lessen
the ability of the staff as a whole to perform its work for the legislature.
Staff members often work on opposite sides of an issue or for legislators
who oppose each other, but this does not require that they seek to harm
a colleague's reputation, question his or her motives, or affect the terms
of his or her employment. Indeed, because staff members depend on each
other for assistance and support, the obligations to be honest, discreet,
candid, objective, competent, diligent, and fair apply in their relations
to each other as well as in their relations to legislators.
Article IV: Obligations Of Legislative Staff Members To The
Public
Courteous
Section 1. A trustworthy legislative staff member is courteous to all
members of the public with whom he or she interacts in his or her work.
Comment: Some legislative staff members are hired to provide direct
services to the public; many others will from time to time have direct
contact with the public. As government employees, staff members will respect
the need of members of the general public, the press, members of other
governmental agencies, and lobbyists to have information about the legislature.
They will, subject to legal and policy guidelines, attempt to meet that
need. If a staff member does not have what is requested, he or she will
help citizens find the information or assistance they seek.
Law-Abiding
Section 2. A trustworthy legislative staff member is law-abiding. He
or she encourages lawfulness in the activities of all participants in the
legislative process.
Comment: A legislative staff member has the same obligation as any citizen
in this regard. But because of the position he or she holds as the employee
of a law-making organization, the staff member is subject to a high standard
of knowledge and conduct. If a staff member is directly aware of unlawful
activities which involve the legislative process, it is consistent with
this code for him or her to pursue appropriate channels, subject to other
codes and obligations.
Article V: Staff Expectations Of The Legislature
Supportive
Section 1. In placing their knowledge and skills at the service of
the legislature and in committing themselves to be trustworthy servants
of the legislature, legislative staff members rightfully expect that the
legislature will clarify staff responsibilities and will support staff
members in fulfilling their obligations under this code of conduct.
For more information contact:
'Rich Jones
NCSL Director of Legislative Programs
303-364-7700
rich.jones@ncsl.org
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