Discussion Thread: Ethics in Public Administration — Context

The Profession of Public Administration: An Ethics Edge in Introductory Textbooks?

Author(s): James S. Bowman, Evan M. Berman and Jonathan P. West

Source: Public Administration Review , Mar. - Apr., 2001, Vol. 61, No. 2 (Mar. - Apr., 2001), pp. 194-205

Published by: Wiley on behalf of the American Society for Public Administration

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James S. Bowman Florida State University

Evan M. Berman University of Central Florida

Jonathan P. West

University of Miami

The Profession of Public Administration:

An Ethics Edge in Introductory Textbooks?

Given the substantial interest in public service ethics, this study examines its foundations as re- flected in paradigmatic textbooks-a unit of analysis that informs both theory and practice in the

field. The interpretative framework employed evaluates the context (the amount and placement of the topic, the use of graphics, and sources cited) as well as the content (conceptualization of management ethics and inclusion of implementation issues) of ethics found in the publications. A limited definition of a professional-one in possession of largely technical skills- is reflected in the textbooks. The implications of the findings are explored.

The ethics boom ignited by Watergate has echoed

throughout the corridors of government and the halls of

academe for more than a generation after the Nixon presi-

dency. Rather than dissipating through the years, the ech-

oes seem to intensify. In the practice of public affairs, the

result has been sensational revelations, numerous investi-

gations, new laws, and chastened officials and agencies.

Within the study of public administration, national ethics conferences have been convened, course offerings have

been expanded, and a growing literature has been created

(Bowman and Menzel 1998). Quite clearly, moral consid-

erations are of fundamental importance to the quality of

democracy and its administration-the soul of modem

public administration (Frederickson 1996).

Given the considerable interest in the topic, this study examines the attention introductory public administration

textbooks devote to it. These volumes define the proper area and focus of a discipline, its paradigm and essential ele-

ments (Kuhn 1970); they also likely affect how ethics is

presented in the classroom (if it is).' Since standards of prac-

tice are inherent in professional life, such self portraits re- veal the nature of the commitment made to excellence in

both technical competence and moral character. Indeed, the distinguishing characteristic or edge of a professional (Berman et al. 1998) is not merely the possession of exper-

tise, but also a dedication to ethical practice. How this com-

194 Public Administration Review * March/April 2001, Vol. 61, No. 2

mitment is fulfilled, especially in light of recent evidence

demonstrating the value of ethics training and education (for

example, Bruce 1998; Menzel 1997), has important impli-

cations for the profession and the public it serves.

James S. Bowman is a professor of public administration at the Askew School of Public Administration and Policy, Florida State University. His primary area is human resource management. Noted for his work in ethics and qual- ity management, he has also done research in environmental administra- tion. He is editor in chief of Public Integrity, a journal sponsored by the American Society for Public Administration, the International City/County Management Association, the Council on Governmental Ethics Law, and the Council on State Governments. He is coauthor of Human Resource Manage- ment in the Public Service: Paradoxes, Processes, and Problems with Evan Berman, Jonathan West, and Montgomery Van Wart (Sage, 2001). Email: jbowman@gamet.acns.fsu.edu.

Evan M. Berman is an associate professor in the Department of Public Ad- ministration at the University of Central Florida (Orlando). He is active in the American Society for Public Administration and is the 1998-2000 chair of the Section of Personnel and Labor Relations. He serves on the editorial boards of Public Administration Review and the Review of Public Personnel Admin- istration. His most recent books include Human Resource Management in the Public Service (Sage, 2001), The Ethics Edge (International City/County ManagementAssociation, 1998), andPublic Sector Performance (Westview, 1999). Email: eberman@cfl.rr.com.

Jonathan P. West is a professor and chair of the Department of Political Science and director of the graduate public administration program in the School of Business Administration at the University of Miami. His research interests include human resource management, productivity, local govern- ment, and ethics. His most recent books are Quality Management Today (1 995) and The Ethics Edge (1 998), both published by ICMA, and Ameri- can Politics and the Environment with Glen Sussman and Byron Daynes (Longman, in press). He is the managing editor of Public Integrity. Email: jwest@miami.edu.

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It should be noted that no formal standards exist for the

scope or content of ethics in public administration educa-

tion; the National Association of Schools of Public Affairs,

Policy, and Administration (1992) requires only that the

curriculum "enhance the student's values, knowledge, and

skills to act ethically and effectively" (3). Nevertheless,

textbooks discuss the topic, and it is therefore sensible to

ask what might and should be included.

The data reported here should be of interest to the en-

tire profession: those involved in standard setting and ac-

creditation (who could require reconsideration of this

essential subject), practicing managers (who sometimes

wonder about the efficacy of academic treatises, espe-

cially on ethics), book authors and their publishers (who

might need to review ethics coverage in their volumes),

and students and instructors (who may wish to check the

adequacy of the textbook they use). The investigation

begins with the identification of essential dimensions

comprising public service ethics. The conceptual frame-

work used in the research is then presented, followed by

the findings from the study, and concludes with a discus-

sion of the implications of the data.

Pillars of Ethics As Callender (1998) observes, "The sense of public ser-

vice, a strong emphasis on ethical behavior, a well-devel-

oped group identity, and well established professional bod- ies that support the ideals of public service all provide part

of the professional identity of the public service practitio-

ner" (1767). Clearly, those who aspire to such status need to buttress their mastery of specialized learning and mana-

gerial skills with ethical sensitivities and a commitment to public service. Given the central place of ethics in profes- sionalism, it is important to briefly canvass its role in cur-

rent public administration theory and practice. A body of literature has developed that goes beyond

values to be upheld and includes insights into ways ethics

can be understood and encouraged in oneself and others.

Specifically, there are four pillars of ethics: (1) value aware- ness; (2) reasoning skills; (3) the role of law; and (4) orga- nizational implementation (modified from Ozar 1998; West et al. 1998).

A near-consensus exists about the values that underpin public life: responsiveness, fairness, economy, integrity, and competence. While authors vary, virtually all believe that these values constitute administrative responsibility. Such norms are thought to promote citizen service and democracy as well as to avoid corruption that causes wide- spread distrust in government (Bell 1997; Cooper 1991; Lewis 1991).

A critical practical question is, how are officials to in-

corporate these values into individual actions and organi-

zational decision making? The second pillar, ethical rea-

soning, can be illuminated using Kohlberg's stages of moral development. Stewart and Sprinthall (1993) find that ad-

ministrators (regardless of rank, age, gender, or race) are

more likely to achieve a high level of moral reasoning when

they are familiar with ethical problems and their context. Accordingly, helping managers frame issues and improve

policy making is the focus of an increasing number of eth-

ics workshops (International City/County Management

Association 1999). While, in the past, such training often

narrowly concentrated on certain values, adherence to le-

gal standards, and avoidance of wrongdoing, today's ef-

forts promote value-centered decision-making processes.

These workshops include scenarios, role-plays, and

group activities that provide in-depth information about

cases and simulate the workplace (Killilea, Pasquerella,

and Vocino 1998; Nelson and Van Hook 1998). Typically,

decision making involves a three-step process of fact gath-

ering, analysis, and problem resolution. Managers are sen-

sitized to ethical warning signs (such as, "no one will ever

know" or "everybody does it") and understanding conse-

quences of actions (Does the proposed action violate an ethical code? My personal values? Those of the commu- nity? Does it harm someone else? Would I be comfortable

explaining it on television?) Third, managers are expected to comply with ethics laws

covering financial disclosure, post-employment, private gain from public office, preferential treatment, impartial- ity, and public trust. Little is known about the effective- ness of these statutes, but what is known suggests that the laws, and the ethics commissions that investigate viola-

tions, are insufficient to ensure exemplary behavior (Dobel 1993; Smith 1999; Williams 1996, 1999). Legal compli- ance is not adequate to avoid wrongful conduct, and fos- tering proper behavior requires ongoing initiatives relevant to daily management (Menzel 1999).

Fourth, beyond training aimed at individuals are pro-

grams to nurture ethics across the organization. Some sug- gest that a key to creating an ethical climate is moral lead- ership (Berman, West, and Cava 1994; Cooper and Wright, 1992; Moore and Sparrow 1990). Brower (1999), for ex- ample, paraphrases Shakespeare, all men are but players on stage, to explain how managers model and employees learn behavior. Other studies (Brumback 1991; Menzel and Carson 1999) suggest that leadership is most effective in conjunction with efforts such as incorporating ethical con- cern into the personnel systems (from selection through training to evaluation), adopting an ethics code, and re- quiring compliance with pertinent laws. At present, the challenge is to persuade organizations that they can im- pact ethical behavior and that this can be done through a multifaceted approach. This is made easier by empirical

research revealing a positive relationship between ethics

The Profession of Public Administration: An Ethics Edge in Introductory Textbooks? 195

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and performance (Berman, West, and Cava 1994; Bruce

1994; Burke and Black 1990; Menzel 1992, 1993, 1995, 1996a, 1996b, 1999). There is also evidence that this be-

havior affects responsible risk taking and community per- ceptions of organizations, although the nexus between

employee behavior and community trust is difficult to

firmly establish (Berman and West 1997, 1998).

In short, the tenets of public service ethics include value

awareness, reasoning skills, law, and implementation strat-

egies. These foundational elements are adapted and ap-

plied below to inform the conceptual framework used in

this inquiry.

The Study Included here are 12 elementary public administration

textbooks from 1995-99 (see appendix).2 As noted, these

works are an appropriate barometer because they certify

the significance of ethics in the profession. The next sec-

tion reports raw data on the context of the ethics material

in the publications: the amount and placement of the topic,

key values and laws, the use of graphics, and sources

cited.3 The five-part interpretive framework below evalu-

ates the content of ethics coverage found in the texts. The

first three categories focus on the components of ethics

in public administration-why it is significant, what it

is, and how it is presented-and speak to the value aware-

ness and reasoning skills components of the foundational

elements previously discussed. The last two rubrics

specify how the books conceptualized the management

of ethics in public agencies, and concerns found in carry- ing out ethics programs; these dimensions pertain to the

role of law and organizational implementation aspects of

the foundational elements.

(1) The stated (or implied) importance of the topic

(the nature of the justification for inclusion in

the textbook).

(2) The definition of ethics (the presence of a clear

explanation of the term).

(3) The descriptive or normative style of the dis-

cussion (the objective or subjective quality of the narrative).

(4) The use of a legal compliance or individual/or-

ganizational development approach (conformity to imposed standards to penalize misconduct or

participatory creation of standards to enable re- sponsible behavior) in providing decision-mak-

ing guidance.

(5) The presentation of implementation techniques and issues (an analysis of ways ethical norms

and practices are transmitted, and the desirabil-

ity as well as feasibility of so doing).

196 Public Administration Review a March/April 2001, Vol. 61, No. 2

While the taxonomy facilitates the task at hand, it is cer-

tainly not definitive; the five classifications are, however, reasonable and useful for exploratory purposes. We inde-

pendently evaluated the textbooks; ambiguous cases were

discussed and resolved. Since the purpose is to provide an

overview of the general treatment of ethics, individual text-

books are not evaluated separately. However, examples from

the database are used to illustrate the inquiry.

Findings

Context

By definition, an introductory textbook (with an aver-

age length of 500 pages) typically presents parameters of

the profession by devoting chapters to a broad scope of

public administration topics-the political environment,

history of the field, organization theory, human resource

management, planning-implementation-evaluation, bud-

geting and finance, policy decision making, and so forth.

The ethics chapter(s), not necessarily so designated (see

appendix), is placed at or near the end of six of the books,

close to the beginning in three, and in both locations in

one. It constitutes an average of 6 percent (332 of 5478

pages) of the 10 textbooks that have separate ethics chap-

ters. In addition, many of the publications (including two

that have no chapter-length treatments) have several rel-

evant, often short, sections elsewhere; when included, the

total attention given to ethics is 7 percent in all 12 books

(473 of 6450 pages).

Most textbooks identify prominent laws and values in

these discussions. Among the former, the most frequently

cited include the Ethics in Government Act of 1978, the

Freedom of Information Act of 1967, the Civil Service

Reform Act of 1978, the Whistleblower Protection Act of

1989, the Administrative Procedures Act of 1946 followed

by the Hatch Act of 1939, the False Claims Act of 1986,

and the Government Performance and Results Act of 1993. Oft-noted values are accountability, responsibility, honesty,

benevolence, public interest, respect for law, fairness (for

example, trust, consistency, truthfulness, integrity, impar- tiality), equity, loyalty, democracy, representativeness, ef- ficiency, and merit. Commonly found index listings in the volumes are terms such as administrative responsibility,

codes, conflicts of interest, legality, professionalism, val-

ues, Watergate, and whistleblowing.

The books had slightly less than two charts or tables

(most often a code of ethics or a narrative case), although three had ten or more such exhibits (Garvey 1997; Shafritz

and Russell 1997; Starling 1998;), and two included pho- tos or cartoons (Shafritz and Russell 1997; Starling 1998). The chapters were substantiated by an average of 32 sources

(ranging from 4 to over 50) plus an additional readings

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section in four cases. These citations comprised a wide

variety of sources (philosophers, politicians, novelists,

scholars, government agencies, newspapers),4 but rarely

incorporated empirical research (save Henry 1999). With

these descriptive background data in hand, it is now time

to turn to the actual content of the literature.

Content

Using the conceptual framework outlined earlier, the

rationale for considering ethics, its definition, as well as

the style of presentation, is shown below. Then the focus

shifts to how the books perceived the management of eth-

ics in agencies and whether implementation issues were

explored.

Importance. All the publications (in an ethics chapter,

section, an exhibit, a preface, or elsewhere) had either a

stated or implied justification for including the topic (re-

spectively, Berkley and Rouse 1997; Denhardt with Grubbs

1999; Fesler and Kettl 1996; Gordon and Milakovich 1998; Henry 1999; McKinney and Howard 1998; versus Cooper

et al. 1998; Johnson 1996; Rosenbloom 1998; Shafritz and

Russell 1997; Starling 1998).

These rationales, with interpolation, were corruption

prevention, decision making, or role definition. Three au-

thors noted, first, the importance of preventing corruption.

The key issue for one is the question "Who guards the

guardians?" with an explicit focus on accountability in

order to understand why some abuse the public trust

(Rosenbloom 1998,529-30). Another notes the importance of morality by emphasizing the detrimental effects cor-

ruption has on the political and social structure of the na-

tion; ethics is therefore central to deter corrupt behavior

(Shafritz and Russell 1996, 592-6). The heavy burden of accountability and untoward problems is again implied by

Garvey (1997, 305-13) who indicates that the study of eth- ics is necessary to avoid undesirable actions; moral de-

mands are imposed on the individual public servant and must be dealt with.

Regarding the second rationale, decision making, one author takes a neutral, pragmatic stance by indicating that ethics can lead to making quicker, better, and more consis-

tent judgments (Starling 1998). Most, however, go beyond this and articulate an important consequence of corrup- tion: the reintroduction of ethics into public affairs and the

reaffirmation of it as central to the lives and role definition.

(the third rationale) of professional managers (for instance,

Cooper et al. 1998, vii). Thus, Denhardt with Grubbs (1999) state, "every ac-

tion of every public official ... carries value implications" (115) and "establishing a proper ethical basis for public

action is itself one of the most important challenges fac-

ing the public service" (425). This includes, according to

Gordon and Milakovich (1998), "defining, establishing,

and maintaining a high level of ethical behavior ... (to)

... enhance workforce effectiveness, improve employee

morale, and promote better public relations" (41), a view-

point echoed in an exhibit provided by Berkley and Rouse

(1997, 371). Henry (1999) opines that "Public adminis- tration is a profession of large responsibilities and moral

choices, and ethical obligations will always be an inte-

gral part of these responsibilities" (472). Since officials

are expected to model leadership, they need a clear moral

framework to deal with ethical challenges if the public is

to be served (McKinney and Howard 1998, 4). "Nothing

is more basic to the role definition of the public adminis-

trator," according to Fesler and Kettl (1996, 367), than the two elements of bureaucratic responsibility: account-

ability and ethical behavior.

Definition. How, then, do the textbooks interpret eth-

ics? Reflecting the eclectic nature of these chapters, as

well as the putative ambiguity of the term itself, most

do not attempt a formal textbook-like definition. Four

of the 12 volumes (Berkley and Rouse 1997; Garvey

1997; Henry 1999; Johnson 1996) provide no explana- tion at all (although the latter briefly describe several

philosophical approaches). Another four (Cooper et al.

1998, 75, 95; McKinney and Howard 1998, 14; Rosenbloom 1998, 529-30; Starling 1998, 186;) prof-

fer, respectively, brief statements about a moral com-

pass, self-accountability, studying values, or a "subjec- tive force" as definitions.

A third group, while not clarifying the word ethics, does

explain closely related terms. Two books discuss ethical behavior as "emphasizing personal honesty and integrity

(that) calls for avoiding personal gain that results from the fulfillment of one's duties" (Gordon and Milakovich 1998,

42), and as "adherence to moral standards and avoidance

of even the appearance of unethical actions (Fesler and Kettl 1996, 367). Likewise, Shafritz and Russell (1997), in a book containing many formal definitions, do not de- fine honor or ethics in their "Honor and Ethics" chapter.

They do, however, furnish a thorough literary treatment of the former as well as a definition-like hierarchy (personal,

professional, organizational, societal) of the latter. One volume, however, unambiguously provides a com-

prehensive definition of ethics as "a systematic attempt

through the use of reason to make sense of our individual and social moral experience in such a way as to deter- mine the rules which ought to govern moral conduct" (Denhardt with Grubbs 1999, 116 quoting DeGeorge). In short, while there are a variety of negative, neutral, and affirmative reasons offered for including ethics in these volumes, the term is not usually clearly explicated. With

this in hand, is the subject matter itself presented in a

generally descriptive-objective or normative-subjective

style, or in a blend of both?5

The Profession of Public Administration: An Ethics Edge in Introductory Textbooks? 197

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Presentation Style. Half of the volumes supply a bal- anced treatment between sheer factual narrative and value-

laden opinion (Denhardt with Grubbs 1999; Gordon and

Milakovich 1998; Henry 1999; Johnson 1996; Shafritz and Russell 1996; Starling 1998). While such coverage con- tains clear instances of both outright description and value

judgements at selected points, the typical approach is to examine, in some detail, the value of administrative re-

sponsibility (for instance), but level that with a discussion

of the importance of readers adhering to proper standards (Starling 1998, 169ff.).

Those less likely to provide this type of presentation

include Berkley and Rouse (1997); Cooper et al. (1998);

Rosenbloom (1998); Fesler and Kettl (1996); and Garvey (1997). For instance, Berkley and Rouse (1997, 371) in- sert a short, normative, free-standing exhibit on the im-

portance of honesty and how to nurture ethical leadership in an otherwise descriptive narrative on administrative law, discretion, and internal-external controls. The others have

still less valuative material as they might discuss several

perspectives on public service standards (such as, Cooper et al. 1998, 4-85), but do not offer advice or urge readers to develop personal or organizational ethics.

Such guidance, however, is more explicit in McKinney and Howard (1998) who indicate that public administra-

tion can no longer be taught apart from ethics (xi); the civil servant is expected to model moral leadership (4) and, therefore, "this text assumes a moral stance ... " (xi). While pertinent sections and chapters are more objective in char- acter, a normative style animates a greater portion of the material than that found in the other texts.

Approach to Ethics Management and Implementation.

Given the rationale for inclusion, terminological defini- tion, and presentation tone, do the publications emphasize

a legal compliance, human development, or a hybrid ap- proach to ethics in organizations? While this time-honored

distinction-the low road, punitive, stay-out-of-trouble versus the high road, preventive, how-to-do-right-things approach-proved serviceable, classification was not an easy task. Still, while entries had characteristics of both strategies, general tendencies were evident especially when comparing the 12 books.

Six textbooks best represent the developmental category. Thus, one emphasizes that organizations mirror the values and behavior of people; yet, ethical controls are inadequate because they reactively focus on incidents, not preventive

organizational processes. Individual and agency develop- ment for "education and training for accountability" is therefore central (McKinney and Howard 1998, 170, 467,

474-6). Another concentrates on the nurturing of personal morality by focusing on integrity and honor, with minimal attention to legal issues (Shafritz and Russell 1997). Simi- larly, Starling (1998) frames ethics around the attributes

198 Public Administration Review a March/April 2001, Vol. 61, No. 2

and values of an "ideal administrator," thereby emphasiz- ing a developmental approach. Garvey (1997), likewise, although mentioning procedural and substantive due pro- cess, stresses high moral standards and duties over legal compliance. Relatedly, Henry (1999), while noting the le- galities of fraud corruption as well as those in the Orange

County, California financing case, focuses on issues such as role morality, individual responsibility, organizational humanism, and justice. Finally, Gordon and Milakovich

(1998) examine key values, the ethical setting of public

servants, and moral dimensions of decision making while

devoting little attention to legal concerns.

A greater mix of the two is found in two works. Denhardt

with Grubbs (1999) give substantial individual and organi-

zational coverage, but also examine legal concerns (nota- bly federal executive orders and statutes) in some detail- their achievements, effects, and compliance issues. Johnson

(1996) reviews formal control mechanisms, while indicat- ing, "procedural checks cannot fully replace individual

moral character ..." (443). The analysis indicates a need for individual and organizational development in discuss-

ing administrative discretion, ethical principles, and

whistleblowing. Finally, the legalistic approach is more evi-

dent in four volumes. Thus, in the context of an "Adminis-

trative Law and Control" chapter, Berkley and Rouse (1997) explore internal and external controls as well as adminis-

trative discretion and responsibility, but just two paragraphs

focus on development-related matters. Similarly Cooper et al. (1998), in a chapter entitled "Law Against Ethics," note the importance of individual values, yet little is said about their development as nearly exclusive attention is devoted

to legal compliance issues. Fesler and Kettl (1996), too, include a small amount of information on ethics and ac-

countability, but from a perspective of legal restrictions and

sanctions. Although exhibiting more balance, Rosenbloom (1998), in a discussion of accountability and ethics, em-

phasizes difficulties in guarding the guardians plus the need

for oversight, regulations, inspections, audits, and enforce- ment with limited attention to nurturing personal responsi- bility (in discussing New Public Management) and organi- zational ethics.

Table 1 provides indicators of compliance, low-road strategies, and the extent to which they receive emphasis.

All but one work (Berkley and Rouse 1997) mention at least one of the fifteen restrictions listed, and four (Denhardt

with Grubbs 1999; Fesler and Kettl 1996; Henry 1999;

Johnson 1996) include eight or more; the average number is five. The most frequently covered are: conflicts of inter- est (nine); financial disclosure (six); open meeting require-

ments (six); use of public position to obtain personal ad- vantage (six); gifts, favors, or extra compensation (five); and post employment issues (five). Extensive attention to restrictions is interesting in light of repeated expressions

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Table 1 Textbook Coverage of Restrictions Found in Ethics Legislation and Policies

Restrictions Number of textbooks discussing

Conflict of interest 9 Requiring financial disclosure 6 Requiring open meetings 6 Use of public position to obtain personal benefits 6 Gifts, favors, or extra compensation 5 Prohibitions on post-government employment 5 Public records access 4 Competitive bidding 3

Discrimination (hiring/promotion) 3 Requiring approval of outside activities 3 Disclosure of confidential information 3 Political activity by employees 2 Fees by public officials 2 Employment of relatives 1 Representation of private clients 1

in these publications about the futility of relying on low-

road approaches (indicators of developmental, high-road

approaches are examined below).

Whichever ethics-management approach the textbook

adopted, does it provide guidance in decision making? One

gauge is the extent to which it analyzes ethical principles

to stimulate questions-the hallmark of moral reflection. Table 2 reports four categories reflecting 16 decision-mak-

ing principles. The five most frequently included questions,

derived from principles, are:

* Will my action deprive any person affected by it of a

right that must be respected? (rights ethic = seven)

* What course of action brings the greatest good for the

greatest number of people? (utilitarian ethic = six)

* What are the good and bad results of this decision and do

the good outweigh the bad? (proportionality ethic = six)

* What course of action feels right to me? (intuition ethic

= six), and

* Will my contemplated action restrict others from actions

that they have a legitimate right to undertake? (equal

freedom = six)

All textbooks, except Fesler and Kettl (1996), mention

at least one of the 16 principles, and Denhardt with Grubbs

(1999) note 11; on average, five are discussed. The au-

thors recognize, albeit to varying degrees, that ethical in-

sight from principles can be useful.

The presence of information on implementation tech-

niques and issues is a cardinal concern. Is there scrutiny of

the ways ethical practices are transmitted as well as the

desirability and feasibility of doing so? Nearly all of the

books offer some coverage, but seldom in-depth. For ex- ample, Berkley and Rouse (1997) supply a brief editorial box that lists ideas as well as control mechanisms to in-

crease responsibility and safeguard the public interest. More

developed, yet not extensive, is Denhardt with Grubbs

Table 2 Textbook Coverage of Questions Derived from Ethical Principles

Ethical principle Questions Number of textbooks discussing

Consequences Utilitarian ethic What course of action brings the greatest good for the greatest number of people? 6 Proportionality ethic What are the good and bad results of this decision and do the good outweigh the bad? 6

Theory of justice Does this action apply impartially to each employee and organizational unit? 5 Golden rule If I were in the position of another person affected by my decision, would my actions be 3

considered fair by that person?

Protect health, safety, welfare What course of action will best protect the health, safety and welfare of others? 3 Reversibility rule Would I be willing to change places with the person affected by my contemplated action? 1

Integrity

Intuition ethic Which course of action feels right to me? 6 Professional ethic Can my action be explained before a committee of my peers? 5 Virtuous character Would this action be undertaken by someone of exemplary or virtuous character? 4

Disclosure rule What course of action would I be comfortable with if it was examined by my friends, 2

Rights family, and associates? Rights ethic Will my action deprive any person affected by it of a right that must be respected? 7

Principle of equal freedom Will my contemplated action restrict others from actions that they have a legitimate right to 6 undertake?

Practicality Organizational versus personal ethic Is this action consistent with both organizational ethics and personal ethics and do 5

organizational considerations override personal ones?

Organizational loyalty What are the organizational goals and what can I do that is good for the organization? 3 Conventionalist ethic What action will further my self-interest without violating the law? 2 Darwinian ethic What course of action will enable me to succeed and survive in this organization? 2

The Profession of Public Administration: An Ethics Edge in Introductory Textbooks? 199

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(1999), which considers steps in deliberation and estab-

lishment of an ethical climate. More typically, authors may

indicate the need for pertinent methods (such as, codes, training, financial disclosure, leadership), but offer no dis-

cussion of how to use them, their effectiveness, or overall results. Finally, several textbooks (Johnson 1996;

Rosenbloom 1998) do not directly address this issue.

A broad range of strategic initiatives can be used to

improve the ethical climate. Such strategies can be cat-

egorized as code-based, leadership-based, or employee-

based, and have been used with varying degrees of suc-

cess by cities, counties, states, and federal agencies (Berman, West and Cava 1994; Bowman and Williams

1997; Goodman et al. 1996; Herrmann 1997; Menzel 1992,

1996a; Menzel and Carson 1999; West, Berman, and Cava

1993; Williams 1996, 1999; Zajac and Comfort 1997). To

what extent do these textbooks refer to such strategies and

report empirical research to document their efficacy? Table

3 shows that ethics management receives very modest treat-

ment: two books do not mention any of the 16 strategies

listed (Cooper et al. 1998; Garvey 1997), two others men-

tion two (Henry 1999; Johnson 1996), while one covers

13; the average is 4.

Code- and leadership-based strategies are the most fre-

quently included: notably, adopting an ethics code (ten text-

books), protecting dissenters (nine), adopting standards of

conduct (five), emphasizing moral leadership (five), and

requiring training (five). While addressed, the discussion

in most is underdeveloped; often it is limited to mention-

ing the strategy with no elaboration or discussion of em-

pirical research regarding its use and effectiveness.

Table 3 Textbook Coverage of Ethics Management Strategies

Ethics management strategies Number of textbooks discussing

Code-based strategies Adopting a code of ethics 10 Adopting a standard of conduct 5 Monitoring of adherence to the code of ethics 3 Required familiarity with the code of ethics 2 Regular communication to employees about ethics 2 Periodic rereading of the code of ethics 1 Statement of principles 0

Leadership-based strategies Exemplary moral leadership by elected officials 5 Exemplary moral leadership by senior management 4

Employee-based strategies Protecting whistle-blowers for valid disclosures 9 Mandatory ethics training for all employees 5 Voluntary ethics training courses 2 Mandatory ethics training courses for violators 1 Making counselors available for ethical issues 1 Surveying employee's opinions about ethics 1 Establishing an ethics hotline 1

200 Public Administration Review * March/April 2001, Vol. 61, No. 2

To summarize briefly, (a) all books contained a stated

or implied logic for including the topic; (b) most did not

provide a rigorous definition of it; (c) half were written in

descriptive-normative hybrid style (five in a descriptive

tone, and one in a relatively normative manner); (d) six represented the developmental approach to ethics (four the

legal compliance and two the hybrid approach); and (e)

ten of the twelve briefly noted follow-through techniques.

A Finale? In the end, did the authors offer the reader a

conclusion, a normative statement (not factual summary)

about ethics in public service? Just over one-half of the

volumes, in varying degrees of detail (and inspiration), ven-

tured an envoi on the centrality of ethics in government.

Berkley and Rouse (1997) point out that democracy rests

on the principles of accountability and responsibility; re-

alization of these tenets "requires a comprehensive sys-

tem of control ... (It) will continue to be needed ... but

growing professionalism ... may make extensive and elabo-

rate control systems somewhat less necessary" (372, 374).

"Accountability is a critically important fact of public

administration life," according to Cooper et al. (1998, 91).

The two mechanisms of accountability, law and ethics,

however, may be "contradictory in concept and practice

.. ." This, they indicate, "has lead to a number of ethics-in-

government programs where it is not ethics but profes-

sional conduct that is in question, and where laws seek to

coerce public service ethics that may, in truth, only be elic-

ited ... (O)ver time, society may move to reconcile the

two (law and ethics) ... but there will always be differ-

ences ... (and) some degree of tension in any given case"

(91). Accountability, Johnson adds (1996, 459), involves

two dilemmas: conflicting responsibilities and the "many

(sometimes dirty) hands" problem in the making of policy.

It follows, as Henry (1999) observes, "Public adminis-

tration is a profession of large responsibilities and moral

choices ... will always be an integral part of these respon-

sibilities" (472). As a consequence, it "offers an unusually

rich variety of opportunities for ... ethical or unethical

choices ... (If you enter the field) ... ask yourself how

people will be helped or hurt by your decisions. Few ques-

tions are more important" (473).

Denhardt with Grubbs (1999), then, emphasize that "It

is within your power as an administrator to undertake pro-

grams to encourage and facilitate a more moral climate

within your organization ... and the most important mes-

sage you can send is that communicated by your own ac-

tions" (141). Such accountability, based on power and

morality, actually produces more accountability and power,

an acceptable consequence provided that internal and ex-

ternal checks ensure that the two are balanced (McKinney

and Howard 1998, 476).

Rosenbloom (1998) captures the crux of the challenge,

"(T)he hard work lies less in identifying ... diverse ethical

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requirements than in integrating them in real world ... situ- ations. Knowing what to emphasize when, how to com- bine or prioritize disparate requirements ... are all part of the art and craft of contemporary public administration.

(I)mproving accountability and advancing ethics ultimately

depends on individual action of public servants" (557). If we are to build trust, he argues, then we have to do it our-

selves. To the contention that this can take a very long time, Rosenbloom quotes Al Gore: "then there's no time to lose" and we had better start now (557).

Discussion: An Ethics Omission? By encompassing the nature of much of the field, the

writers of textbooks under review are owed a debt of grati-

tude by the profession. In addition to addressing a wide variety of topics, they examine the context and content of

ethics in government. All offer some coverage of ethics, discuss a broad group of laws and values, and illustrate and document their work with several graphics and refer-

ences. There is generally an implied or stated rationale for including the topic, but not necessarily an explicit defini- tion of it. The presentations are frequently a blend of de-

scriptive and normative styles. Fully one-half of the books take a developmental approach, four focus on legal com-

pliance, and two demonstrate a greater mix of the two strat-

egies. Most mention implementation techniques (but choose not to examine them in detail), and a slim majority posits a conclusion about public service ethics. Analyzing them in the sequence used above, what can be said of these findings?

Regarding the context within which it occurs, the sheer

quantity of ethics discussion can only be described as mod- est. The present authors cannot quantify what volume of relevant materials should be found in introductory text- books-after all, quality is more important-but the exist- ing amount is clearly not overwhelming. If a professional is defined not only as one with technical expertise, but also

ethical bearing, then perhaps the technical dimension could

be informed by more ethical discourse-and vice versa. It is remarkable, to take just two examples, that ethics is sel-

dom mentioned in budgeting and personnel chapters (or budgeting or personnel in the ethics chapters) where op- portunities for corruption as well as human development are so evident.

Secondly, perhaps the location of the ethics chapters in the textbooks signals its significance in the profession as

either a capstone to the entire work or as a keystone close to the beginning. A reading of the constituent chapters re- veals that neither appears to be the case. Discussions near the end often seem more like an add-on than a culmination

as they seldom flow from the foregoing discussions. Those

that appear early on do not usually affect topics found else-

where. Given that excellence in ethics and technical abil- ity are key to the profession, they seem curiously unre- lated in this literature.

Third, the books allude to many disparate norms, but

rarely as a set of personal, professional, organizational, and societal values and the conflicting demands that in- evitably arise among them. A clear delineation of crucial values would no doubt be helpful for readers in compre- hending the environment of ethical concerns. And finally, with less than two ethics exhibits in these books, the rich

diversity of conceptual schema, provocative commentar- ies, controversial case studies, and empirical data (as noted) seems underrepresented. The discussions, while

innocent of the growing body of behavioral work (sum- marized in Menzel with Carson 1999), are in fact gener-

ally well-documented with qualitative research. In terms

of context, then, there is no omission of the topic or non-

empirical references; however, there does exist something of a lacuna with respect to the impact of the ethics chap-

ter (wherever placed), a comprehensive set of values con- fronting the manager, the use of illustrations, and refer-

ences to quantitative literature.

Concerning the content of the material, all texts in- clude a criterion of inclusion for the topic. Laudably, most refer to the role obligations and opportunities of the pro- fessional; those that do not might wish to consider a more affirmative logic than to simply avoid wrongdoing, how- ever important that is. The second content factor, defini- tion, yielded a serious deficit, as most publications here do not directly explain the "e" word. Surely students de-

serve a lucid detailing of this complex term in order to have a working understanding of the rest of the reading. Third, the style of presentation (suitable for a professional field) in many books was a hybrid of factual description and normative analysis. Other authors, less comfortable with normative literature, might supply editorial exhibits to illustrate its importance for both their pre-professional and professional students.

In light of the frequent overemphasis found on legal compliance in government ethics, just four textbooks used that strategy-a refreshing finding. Instead, most empha- sized individual/organizational development or took a bal- anced compliance-development approach. The latter is rec- ommended here simply because to minimize the legal enforcement is to deny the world of practice-a hazard- ous route at best. Still, the case can be made for a gener- ally developmental stance (found in the six books) on the grounds that some legal issues will be addressed; beyond that, the intricate, jurisdiction-specific details are a more suitable topic for on-the-job training.

A major oversight occurred in the fifth evaluative crite-

rion of the conceptual framework: implementation tech- niques and issues. If ethics is action (a common implication

The Profession of Public Administration: An Ethics Edge in Introductory Textbooks? 201

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of ethics definitions), then a discussion in greater depth than typically provided is needed. That is, to realize the values

and strategies included in the textbooks, to fulfill agency missions, to accomplish goals of democratic government- indeed, to complete the chapters-a careful review of tools

and their efficacy is a necessity to authenticate the rest of the material. In a similar vein, those books that do not at-

tempt a conclusion about the significance of ethics in gov- ernment would do well to do so-if for no other reason than to inspire better ethics initiatives and their execution.

The baseline data reported here sheds light on the pre- sentation of ethics in the profession. If the expertise of the public administration professional with a master's

degree consists largely of the possession of technical

skills, then that characterization is faithfully reflected in the textbooks. While clearly specialized abilities to ana-

lyze issues are necessary, the capacity to grasp those prob- lems in a manner consistent with professional principles

and personal integrity is also essential (Bowman 1998). There are, then, several implications of the findings for stakeholders in the field.

Instructors, first, may wish to change reading assign- ments, expand lecture material, or suggest to authors and

publishing representatives that additional attention be given to the topic. Writers and their publishers, accordingly, can help readers understand that public administration never has been regarded merely as a technical enterprise by pro- viding more thorough coverage, and fuller integration, of

ethics in their titles. Administrators, too, can contribute by volunteering as guest speakers, applying to become ad-

junct professors, providing internship opportunities, and

attending professional society meetings to assist in bring- ing the real world of ethics to students. Accrediting bodies can serve in all of these endeavors by enforcing-as well as strengthening-their standards.

The profession has witnessed much progress in the post-

Watergate era. There has been substantial improvement in

the amount and quality of materials available to students, a maturation that has included the treatment of ethics. Both

casual observation and the literature confirm that the self-

portraits represented by paradigmatic works are more com- plete and accurate than a generation ago. Yet, like medi-

cine, public administration is more than knowing specialized information; rather, the consummate profes- sional is one who exercises the ethical edge of responsible discretion. Clearly, ethics is key to the identity and legiti-

macy of the public service. It is not suggested that a robust examination of ethics in beginning textbooks could be some sort of magic bullet. But ethics material found in elemen- tary books today represents a small, and in most programs perhaps the only required, occasion to study the subject (Bowman 1998). This is all the more reason that the edge needs honing and that any omissions be addressed.

202 Public Administration Review * March/April 2001, Vol. 61, No. 2

Acknowledgments

The authors would like to thank Ms. Roma Perez for her as-

sistance in this project.

Notes

1. Their significance is enhanced by the fact that most masters

of public administration programs do not require an ethics

course; thus, the initial class may be one of the few opportu-

nities to study the topic.

2. Excluded are commonly used textbooks that make no pre-

tense to be core works (for example, anthologies, casebooks,

specialized publications).

3. This section follows Cigler and Neiswender's study (1991)

on the treatment given bureaucracy in elementary American government textbooks.

4. Below is a more specific listing of the most commonly cited

and referenced authors.

Author cited Number of texts Number of times

citing and/or cited and/or

referencing referenced

James S. Bowman 7 14

Terry L. Cooper 5 12

Melvin Dubnick 4 4

Herman Finer 8 9

Carl J. Friedrich 10 11

John Rawls 4 4

JohnA. Rohr 8 11

Barbara Romzek 4 4

David H. Rosenbloom 3 5

Woodrow Wilson 3 3

5. While textbooks inherently are heavily descriptive, each of

these categories represents an overall tendency-for instance,

a broadly narrative treatment does not imply that it is devoid

of normative concerns or any balance between subjectivity

and objectivity. It simply indicates that the bulk of the mate-

rial was factual in nature.

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Appendix Summary of Ethical Content

Authors Ethics chapter title and Ethics sections) or subsections) and page numbers) Total Percentage page numbers number

of pages

George Berkley and John Rouse None "The Craft and Political Culture" (1 8-21) 446 .051 "Conflicting Doctrines in Public Administration" (1 22) "Administrative Discretion and its Limits" (351-5) "Administrative Controls: Internal and External" (363-70) "The Emergence of the Whistleblower" (370-2) "Administrative Responsibility" (414-6)

Phillip J. Cooper, Linda P. Brady, "Law Against Ethics: Legal "The Accountability Problem" (30) 457 0.052 Olivia Hidalgo-Hardeman, Accountability and Ethical Part of "Management Framework" (66) Albert Hyde, Katherine C. Naff, Responsibility" (75-93) Part of "Policy Formulation" (176) J. Steven Ott, Harvey White "Accountability" (398-400)

Robert B. Denhardt with Joseph "The Ethics of Public "Ensuring Accountability" (17-8) 495 0.074 W. Grubbs Service" (1 15-48) "The Ethical Challenges Facing Public Service" (425-6) James W. Fesler and Donald F. "Conclusion" (367-86) "Values" (219-20) 512 0.044 Kettl "Corruption" (306-7)

Gerald Garvey "Introduction to the Ethics "Five Competing Values in Civil Service System" (43-7) 542 0.114 of Public Roles" (305-56) "The Public Bureaucracy as a Rule-Bound Environment"

(128-9) "Is Cost Benefit Analysis Ethically Suspect" (381-4)

George J. Gordon and Michael None "Administrative Values" (38-41) 526 0.036 E. Miakovich "The Ethical Setting: New Emphasis on an Old Challenge"

(41-3) "Bureaucratic Power and Political Accountability" (67-72) "Ethical Dimensions of Decision Making" (1 75-80)

Nicholas Henry "Toward a Bureaucratic "Professionalism" (85-6) 511 0.064 Ethic" (457-74) "Waste, Fraud, and Abuse: The New Meaning of Corrup-

tion" 1 97-8) "Ethical and Moral Problems in Evaluation Research" (232-3) "Revolving Foreign Agents" (378-9) "The Corruption Question" (381-3) "ASPA Code of Ethics" (492-3, Appendix)

William C. Johnson "Administrative Account- "The New Public Administration" (23-4) 494 0.091 ability" (431-60) "The Ethics Issue" (24-7)

"Sources of Conflicts of Interest" (329-30) "Procedural Controls and Legislative Standards" (330-2) "Public Employee Rights, Responsibilities and Empowerment" (332-4) "The Concept of Waste" (427-8)

Jerome B. McKinney and "Ethical Foundations and "Accountability" (36-7) 511 0.090 Lawrence C. Howard Imperatives of Public "MLMs and the Changing Environment of Accountability"

Management" (3-19) (55) "Balancing Power and "Manipulation in Administration" (78-9) Accountability" (463-79) "The New Public Administration" (1 71 -4)

"Praxis as a Learning and Humanizing Factor" (1 75-6) "Organizational Humanism: A Summary" (1 76-8)

David H. Rosenbloom "Accountability and Ethics" "The Political Approach to Public Personnel Administration" 616 0.068 (529-59) (244-7)

"The Individual in the Administrative State" (456-61) "Personal Responsibility" (568-9)

Jay M. Shafritz and E.W. Russell "Honor and Ethics" (581- "Moral Leadership" (372-4) 670 0.088 620) "The Challenge of Accountability" (376-87)

"The Savings and Loan Scandal" (557-60)

Grover Starling "Administrative Responsi- "Legislation with Pervasive Influence" (69-72) 670 0.088 bility and Ethics" (151- "Federal Audit" (522-3) 204)

The Profession of Public Administration: An Ethics Edge in Introductory Textbooks? 205

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