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 professiona.

1. 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

2. 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

3. 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

4. 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

5. 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

6. 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

7. 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,

8. 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

9. 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

10. 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 Commissionwhich 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-

11. 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%20
Ethics-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%20Rep
orts/92EB16D4E3E4F1FA85257EA40070E438/$FILE/294be164
0c86424ea9f605c39f6044482.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_Assessm
ent_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

12. 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/OfficeofMedica
lProductsandTobacco/CDER/ContactCDER/CDEROmbudsman/u
cm221271.htm
Verschoor, C. C. (2007). Ethics and Compliance: Challenges for
Internal Auditing. Altamonte Springs, Florida: Institute of
Internal Auditors Research Foundation.