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Why Ethics Proceedings Should Not Be Delayed Due to a Criminal Proceeding
Tuesday, November 19th, 2013
Robert Wechsler
A
Hartford Courant editorial on Friday asked a question that is
not asked enough, Why delay an ethics investigation until a criminal
investigation is complete? Another such question that is not asked
enough is, Why delay an ethics proceeding until a criminal
proceeding is complete?
The editorial takes the position that an ethics investigation should go forward, despite the fact that a criminal investigation is ongoing. It makes some good points, which I have put in my own words below and, in some cases, added to:
1. Criminal investigations and proceedings can take a long time. Ethics investigations and proceedings tend to take less time because so much less needs to proved. For example, ethics investigations do not require proof of motive, intent, or quid pro quo.
2. Delaying an ethics investigation or proceeding may mean that, when the investigation or proceeding may finally begin, there may be little interest in it, because so much time has passed, or no jurisdiction over the matter, because the respondent has been convicted or has resigned.
3. Ethics proceedings are not just about enforcement. They help an ethics program clarify ethics guidelines and provide an education in government ethics to officials and to the community. Criminal proceedings have less to do with guidance or education. And if an ethics proceeding does not occur and the criminal proceeding was dismissed or settled as a misdemeanor, there is often no opportunity for the community to learn what happened, or for officials to learn from their colleague's mistakes.
4. It is bad for a government and a community to have allegations of misconduct hanging over high-level officials. It is best for the community to deal with ethics allegations as quickly as possible. It is also more fair to officials when the allegations are false.
5. Many people assume that an ethics investigation will interfere with a criminal investigation. But there is no reason why this should be true. In fact, the investigators might be able to cooperate. Usually, ethics allegations are related to only a small part of criminal allegations. These could be investigated first and dealt with while the rest of the criminal allegations are being investigated.
6. What the criminal justice system treats as an individual problem may turn out to be an institutional problem. If the matter is not investigated by the government, the institutional problem may never even be recognized.
Robert Wechsler
Director of Research-Retired, City Ethics
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The editorial takes the position that an ethics investigation should go forward, despite the fact that a criminal investigation is ongoing. It makes some good points, which I have put in my own words below and, in some cases, added to:
1. Criminal investigations and proceedings can take a long time. Ethics investigations and proceedings tend to take less time because so much less needs to proved. For example, ethics investigations do not require proof of motive, intent, or quid pro quo.
2. Delaying an ethics investigation or proceeding may mean that, when the investigation or proceeding may finally begin, there may be little interest in it, because so much time has passed, or no jurisdiction over the matter, because the respondent has been convicted or has resigned.
3. Ethics proceedings are not just about enforcement. They help an ethics program clarify ethics guidelines and provide an education in government ethics to officials and to the community. Criminal proceedings have less to do with guidance or education. And if an ethics proceeding does not occur and the criminal proceeding was dismissed or settled as a misdemeanor, there is often no opportunity for the community to learn what happened, or for officials to learn from their colleague's mistakes.
4. It is bad for a government and a community to have allegations of misconduct hanging over high-level officials. It is best for the community to deal with ethics allegations as quickly as possible. It is also more fair to officials when the allegations are false.
5. Many people assume that an ethics investigation will interfere with a criminal investigation. But there is no reason why this should be true. In fact, the investigators might be able to cooperate. Usually, ethics allegations are related to only a small part of criminal allegations. These could be investigated first and dealt with while the rest of the criminal allegations are being investigated.
6. What the criminal justice system treats as an individual problem may turn out to be an institutional problem. If the matter is not investigated by the government, the institutional problem may never even be recognized.
Robert Wechsler
Director of Research-Retired, City Ethics
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