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PADM505 | LESSON 7: ETHICS CODES

Introduction

Topics to be covered:

· Codes of Ethics and Codes of Conduct

· Principles of Ethics

· ASPA Code of Ethics

· Ethics Training

· Ethics Audits, Hotlines, Ombudsmen, and Ethics Boards

· More Methods to Encourage Ethical Behavior

Lesson 2 explained that public administrators are subject to legal requirements intended to promote the practice of ethical behavior. In addition, professional associations, such as the American Society for Public Administration (ASPA), have formal codes of ethics intended to provide guidance to public administrators for how to behave ethically. To supplement these directives, government organizations and agencies also have codes of ethics, as well as codes of conduct, to help public administrators understand the behavior expected of them as they strive to be ethical.

This lesson will take a closer look at codes of ethics, codes of conduct, training, and ethics audits, providing additional information about how they can be used as tools to encourage public administrators to behave ethically. In addition, this lesson will introduce ethics hotlines and ombudsmen, which are additional tools that can help government organizations and agencies ensure that public administrators are as ethical as possible.

Codes of Ethics and Codes of Conduct

Ethics codes come in a variety of forms and titles. You may have heard of similar concepts called principles, codes of conduct, standards, tenets, rules, canons, regulations, etc. They can be aspirational or provide a very bright line definition.

CODE OF ETHICS

Code of ethics  refers to a written document that outlines an organization’s mission and values, explaining the ethical principles that the organization promotes based on its mission and values. It also details the standards of professional behavior that employees are expected to maintain, including how they should approach problems.

CODE OF CONDUCT

Code of conduct  refers to a written set of rules that delineates the specific types of behavior that employees are expected to practice at work. This includes specifying norms for on-the-job behavior, particularly as they pertain to each job.

It is important to note that a code of ethics

and a code of conduct are not the same thing. A code of conduct is related to the code of ethics, but it is more detailed and specific. Both codes of ethics and codes of conduct are intended to supplement legal requirements and other directives that provide written guidance for how public administrators should practice ethical behavior.

Many scholars—including Cooper (2006), and Verschoor (2007)—agree that codes of ethics and codes of conduct can be useful to help instill an ethical environment in an organization. Such codes can help restore and maintain the public’s trust in government and can help establish government’s legitimacy. They also can provide public administrators with advice and direction on ethical dilemmas and can become a source of professional identity that helps public administrators in their relationships with government stakeholders, including citizens.

Despite their usefulness, codes of ethics and codes of conduct can be problematic. For example, the codes can make relationships with government’s vendors more difficult since they often specify how contracts will be handled. This may change the contracting process, making it more restrictive.

Principles of Ethics

Since codes are often developed and implemented in response to an ethics scandal, they may have a negative tone. In addition, once the scandal has passed, the codes may be forgotten. Despite these and related issues with codes, many argue that codes can be useful and government organizations and agencies should develop and implement such codes. To be most useful, these codes should be customized to meet the needs of the particular government organization or agency.

For government organizations and agencies in the United States, codes of ethics and codes of conduct should be based on the “ 14 General Principles ” established by the U.S. Office of Government Ethics (OGE).

14 GENERAL PRINCIPLES

1. Public service is a public trust, requiring employees to place loyalty to the Constitution, the laws and ethical principles above private gain.

2. Employees shall not hold financial interests that conflict with the conscientious performance of duty.

3. Employees shall not engage in financial transactions using nonpublic Government information or allow the improper use of such information to further any private interest.

4. An employee shall not, except as permitted by subpart B of this part, solicit or accept any gift or other item of monetary value from any person or entity seeking official action from, doing business with, or conducting activities regulated by the employee’s agency, or whose interests may be substantially affected by the performance or nonperformance of the employee’s duties.

5. Employees shall put forth honest effort in the performance of their duties.

6. Employees shall not knowingly make unauthorized commitments or promises of any kind purporting to bind the Government.

7. Employees shall not use public office for private gain.

8. Employees shall act impartially and not give preferential treatment to any private organization or individual.

9. Employees shall protect and conserve Federal property and shall not use it for other than authorized activities.

10. Employees shall not engage in outside employment or activities, including seeking or negotiating for employment, that conflict with official Government duties and responsibilities.

11. Employees shall disclose waste, fraud, abuse, and corruption to appropriate authorities.

12. Employees shall satisfy in good faith their obligations as citizens, including all just financial obligations, especially those—such as Federal, State, or local taxes—that are imposed by law.

13. Employees shall adhere to all laws and regulations that provide equal opportunity for all Americans regardless of race, color, religion, sex, national origin, age, or handicap.

14. Employees shall endeavor to avoid any actions creating the appearance that they are violating the law or the ethical standards set forth in this part. Whether particular circumstances create an appearance that the law or these standards have been violated shall be determined from the perspective of a reasonable person with knowledge of the relevant facts.

ASPA Code of Ethics

In Public Administration, we start with the ASPA Code of Ethics.

The American Society for Public Administration (ASPA) established a formal code of ethics in 1984. The code was revised in 2013. The  ASPA Ethics Code  is aspirational in nature. It lays out principles to which public administrators should strive. It is short and concise and follows in its entirety.

There is a corresponding  list of practices  which help guide supportive behavior. Finally, there is a  workbook  which expands further on the principles.

Though ethics codes are important to provide guidelines and sometimes bright-line tests to ethical behavior. Not all public positions lend themselves to a strictly written code. Take law enforcement for instance. Many times ethical challenges come in the form of the use of force, discretion, and application of codified rights in constantly evolving situations. Please take some time to review the  Law Enforcement Code of Ethics  adopted in 1957 by the International Association of Chiefs of Police. Theirs is also an aspirations code. There is also an  Oath of Honor  which supports those principles.

Codes of Ethics are meant to demonstrate the moral and ethical ideas and behaviors an organization wishes to support. But as noted above, how helpful will it be when an officer has to face a situation that is not directly addressed or worse yet (remember the lesson regarding utilitarianism?) when there is a choice of two or more responses, none of which offers the aspirational outcome. Can you think of a situation where this might be the case? How would you respond?

ASPA CODE OF ETHICS

The American Society for Public Administration (ASPA) advances the science, art, and practice of public administration. The Society affirms its responsibility to develop the spirit of responsible professionalism within its membership and to increase awareness and commitment to ethical principles and standards among all those who work in public service in all sectors. To this end, we, the members of the Society, commit ourselves to uphold the following principles:

ADVANCE THE PUBLIC INTEREST. Promote the interests of the public and put service to the public above service to oneself.

UPHOLD THE CONSTITUTION AND THE LAW. Respect and support government constitutions and laws, while seeking to improve laws and policies to promote the public good.

PROMOTE DEMOCRATIC PARTICIPATION. Inform the public and encourage active engagement in governance. Be open, transparent and responsive, and respect and assist all persons in their dealings with public organizations.

STRENGTHEN SOCIAL EQUITY. Treat all persons with fairness, justice, and equality and respect individual differences, rights, and freedoms. Promote affirmative action and other initiatives to reduce unfairness, injustice, and inequality in society.

FULLY INFORM AND ADVISE. Provide accurate, honest, comprehensive, and timely information and advice to elected and appointed officials and governing board members, and to staff members in your organization.

DEMONSTRATE PERSONAL INTEGRITY. Adhere to the highest standards of conduct to inspire public confidence and trust in public service.

PROMOTE ETHICAL ORGANIZATIONS. Strive to attain the highest standards of ethics, stewardship, and public service in organizations that serve the public.

ADVANCE PROFESSIONAL EXCELLENCE. Strengthen personal capabilities to act competently and ethically and encourage the professional development of others (ASPA n.d.).

Ethics Training

Cooper (2006) recommended that any code of ethics and code of conduct must be supported by other techniques to promote ethical behavior before the codes can be effective. One such technique is ethics training. Verschoor (2007) agreed, stressing that a code will not be effective unless it is enforced.

· ETHICS TRAINING

Ethics training  refers to the programs and instructions designed by government organizations and agencies to teach public administrators how to practice ethical behavior. As part of this process, ethics training provides public administrators with an understanding of the situations that constitute ethical dilemmas, and with instructions and guidance for the appropriate ways to handle such situations.

· IMPORTANCE OF ETHICS TRAINING

Ethics training is a useful strategy for instilling ethics in an organization. An ethics training program can instruct public administrators on the types of behaviors they should avoid. Training also can assist public administrators to develop the moral reasoning skills needed to handle ethical dilemmas.

Training in ethics is important because it helps to remind government officials that they serve all citizens and as such, must be held accountable. There is a difference between personal ethics and political ethics. For example, from a personal perspective, it may be acceptable to give preferential treatment to a good friend, but from a political perspective, such behavior is unethical.

· EFFECTIVE ETHICS TRAINING PROGRAMS

An effective ethics training program should be based on an organization’s code of ethics and code of conduct, as well as other directives, such as laws, that govern how public administrators are expected to practice ethical behavior. The training should be focused and should not overwhelm trainees with details. It also should be interactive, including opportunities for trainees to role play and practice handling ethical dilemmas and practicing ethical behavior.

The OGE provides guidance for ethics training programs in government organizations and agencies at the federal level. This training includes annual training sessions as well as other workshops and seminars that are available when public administrators need specific ethics training. The OGE also publishes booklets that provide public administrators with basic information on how to practice ethical behavior. Governments at the state and local levels usually have similar support systems in place to help implement and encourage ethical behavior among public administrators.

Ethics training  refers to the programs and instructions designed by government organizations and agencies to teach public administrators how to practice ethical behavior. As part of this process, ethics training provides public administrators with an understanding of the situations that constitute ethical dilemmas, and with instructions and guidance for the appropriate ways to handle such situations.

Ethics Audits, Hotlines, Ombudsmen, and Ethics Boards

Even in the presence of codes of ethics and codes of conduct supported by ethics training and strong ethical cultures, enforcement and oversight is necessary to ensure that public administrators practice ethical behavior. Some of the more common enforcement methods found in government organizations and agencies include ethics audits, hotlines, ombudsmen, and ethics boards.

An  ethics audit  can be defined as an examination of how well a government organization or agency is abiding by ethics requirements, including laws, codes, and professional standards. An ethics audit checks what is actually occurring in an organization against what should be occurring regarding the practice of ethics. For each area reviewed, an ethics audit identifies the differences between what should be happening and what actually is happening to pinpoint areas of concern. The ethics audit will issue findings of ethical issues and offer recommendations for how to resolve these issues.

According to Verschoor (2007), the purpose of an ethics audit is to assess the ethical culture of an organization and the effectiveness of its strategies in achieving compliance. To accomplish this, Verschoor (2007) listed 11 areas that internal auditors should be alert for and review when they conduct an ethics audit:

Code of conduct that it is clear, understandable, and has related statements and policies to reinforce its objectives.

Ethics audits run from local internal audits to those mandated by the US Office of Ethics. We have all seen the headlines regarding FEMA and the issues it has had over the years. Please review the US Office of Ethics  Ethics Program Review of FEMA  in 2013. Some areas of concern are financial compliance and ethics training. They begin with a section of highlights on positive findings then follow with concerns. Please review this report to see one  example of an ethics audit  - of the Board of Ethics in Chicago.

More Methods to Encourage Ethical Behavior

· ETHICS HOTLINES

Another method to enforce ethical requirements and encourage ethical behavior is the implementation of an  ethics hotline , which is a telephone line designated to receive calls from individuals who wish to report ethical violations or issues that they have observed in public administrators’ performance of their jobs. Usually, hotline numbers are made available to the public, and they can be used by anyone to report unethical or illegal behavior. Generally, callers have the option of remaining anonymous if they call a hotline.

· ETHICAL OMBUDSMAN

Some government organizations and agencies have found it beneficial to have an  ethical ombudsman  on staff. This refers to an individual whose role is to be a neutral resource that public administrators can approach for the purpose of discussing ethical concerns. Generally, ombudsmen are independent entities who are not associated with other officials charged with enforcement and compliance duties regarding ethical issues. Rather, ombudsmen work with public administrators who may be uncomfortable approaching their supervisor or other public administrators to discuss ethical concerns. Check out the  Ombuds principles for the FDA .

Ombudsmen maintain a neutral stance while they discuss public administrators’ concerns and try to help them resolve ethical issues. Ombudsmen strive to promote ethical values and encourage accountability among public administrators. In addition, ombudsmen can be a resource to inform public administrators about the procedures they must follow if they wish to make a formal ethics complaint, including whistleblowing. In this regard, ombudsmen do not replace the official process that must be followed to file a formal complaint or become a whistleblower. But they can provide advice and guidance to public administrators involved in this process, ensuring they understand their options, as well as their rights, and how the government will handle their complaint.

· ETHICS BOARD

Every level of government has found it beneficial to have an  ethics board , which is an independent body that helps develop codes of ethics, ethics training programs, and other tools used to promote ethical organizational culture among government organizations and agencies. Such boards also provide enforcement activities, such as requiring public administrators to submit financial disclosures and undergo ethics audits. Also, when someone files an ethics complaint or acts as a whistleblower, ethics boards handle those issues. Ohio has an  Ethics Commission which will be informative to explore.

Another method to enforce ethical requirements and encourage ethical behavior is the implementation of an  ethics hotline , which is a telephone line designated to receive calls from individuals who wish to report ethical violations or issues that they have observed in public administrators’ performance of their jobs. Usually, hotline numbers are made available to the public, and they can be used by anyone to report unethical or illegal behavior. Generally, callers have the option of remaining anonymous if they call a hotline.

Conclusion

Codes of ethics, codes of conduct, training, ethics audits, as well as ethics hotlines, ethical ombudsmen, and ethics boards, can be used as tools to encourage public administrators to behave ethically.

But even under the best of circumstances, public administrators often find it challenging to practice ethical behavior as they perform their duties as public servants. Public administrators, particularly when they work closely with citizens and government clients, are frequently faced with ethical dilemmas. Even with excellent guidance, including thorough ethics training, public administrators may be challenged to handle such dilemmas appropriately. Public administrators must use moral reasoning skills and other tools as they strive to always be as ethical as possible.

References

American Society for Public Administration (ASPA). (n.d.). Code of Ethics. Retrieved November 15, 2017, from https://www.aspanet.org/ASPA/Code-of-Ethics/ASPA/Code-of-Ethics/Code-of-Ethics.aspx?hkey=5b8f046b-dcbd-416d-87cd-0b8fcfacb5e7

ASPA National Council. (2013, March 16). Practices to Promote the ASPA Code of Ethics. Retrieved November 15, 2017, from https://www.aspanet.org/ASPADocs/ASPA%20Code%20of%20Ethics-2013%20with%20Practices.pdf

Cooper, T.L. (2006). The Responsible Administrator: An Approach to Ethics for the Administrative Role, Fifth Edition, San Francisco: Jossey-Bass Publishers.

Federal Emergency Management Agency. (2014). Ethics Program Review (Rep. No. 14-02). Retrieved November 15, 2017, from https://www.oge.gov/Web/OGE.nsf/Program%20Review%20Reports/92EB16D4E3E4F1FA85257EA40070E438/$FILE/294be1640c86424ea9f605c39f6044482.pdf?open

International Association of Chiefs of Police (IACP). (n.d.). Ethics Toolkit. Retrieved November 15, 2017, from http://www.theiacp.org/ethics

International Association of Chiefs of Police (IACP). (n.d.). Oath of Honor. Retrieved November 15, 2017, from http://www.theiacp.org/oathofhonor

Ethics and Standards Implementation Committee. (n.d.). Implementing the ASPA Code of Ethics: Workbook and Assessment Guide. Retrieved November 15, 2017, from https://www.aspanet.org/ASPADocs/Resources/Ethics_Assessment_Guide.pdf

Office of Inspector General, City of Chicago. (2016, March 17). Audit of Board of Ethics Lobbyist Registration. Retrieved November 15, 2017, from http://chicagoinspectorgeneral.org/publications-and-press/audit-of-board-of-ethics-lobbyist-registration/

The Ohio Ethics Commission. (n.d.). Retrieved November 15, 2017, from http://www.ethics.ohio.gov/

United States Office of Government Ethics (OGE). (2009, May 7). 14 General Principles Card. Retrieved November 15, 2017, from https://www.oge.gov/Web/OGE.nsf/Resources/14 General Principles Card

U.S. Food and Drug Administration (FDA). (n.d.). Ombuds Principles and Code of Ethics. Retrieved November 15, 2017, from https://www.fda.gov/AboutFDA/CentersOffices/OfficeofMedicalProductsandTobacco/CDER/ContactCDER/CDEROmbudsman/ucm221271.htm

Verschoor, C. C. (2007). Ethics and Compliance: Challenges for Internal Auditing. Altamonte Springs, Florida: Institute of Internal Auditors Research Foundation.