There is an institutional fabric associated with successful ethics codes.
Most effective codes build on a public administration foundation. Laws and rules on human capital management, procurement, contracts, administrative procedures and their implementation add to the likelihood of a codes success. These are most often associated with a culture of integrity in the government and organization, creating incentives for doing the right thing, and clear and timely penalties for doing the wrong thing. This does not mean that the government has integrity, but that the conditions in the country are such the public servants and the public want integrity.
This culture of integrity is usually associated with a professionalized public service. Merit is an important element but strong integrity systems can offset the lack of merit based appointments in a fairly large number of positions.113 This culture is supplemented by a strong sense of personal integrity. Organizational integrity and personal integrity are symbiotic, that is they reinforce each other. Many studies in public administration have shown increased performance and effectiveness when personal values and organizational values are aligned.
C. The Empirical Foundations of an ethics code:
Codes are most often associated with normative values. However, empirical elements are just as critical to make codes viable. Institutions with code responsibility need the right tools to ensure they have an impact. Those tools can come in the form of laws, authorities or requirements. Sometimes it requires technology.114 But to make the ethics regime sensible to public servants they need to be tied back to the code. Disclosure of assets is a concrete empirical tool that can be used to illustrate how these can connect.
In many codes there is a provision that states “public officials shall not use their public office for private gain.” Some asset disclosure systems collect forms and require actions that seem to come from the whim of those who administer the disclosure system. If the code element is linked to disclosure it provides a rational for why asset information is collected. As important, this tool gives the ethics official a way to proactively ensure that officials are not using their public office for private gain. The linkage between codes and empirical tools is essential if both are to be effective.
Assessment is also a strong, empirical link to successful ethics codes. There are a number of robust assessment strategies and several major research papers have been presented at conferences outlining these;115 and are due to be published in early 2005. Without effective assessment strategies it is very difficult to maintain the long term continuity of ethics codes. Inevitably, either executive or legislative leaders will ask the questions: “How do we know it is working” or “How do we know we are getting value for the resources we are providing?” Being able to produce empirical data in response is vital.
D. Sustainability of Programs:
Ethics codes become more effective over time. The longer they are in place the more natural they seem to the public service environment. They also become integrated into the overall management structure and are seen by the public as an effective tool. However, codes also create friction. If there is not political will and institutional vitality to nurture its organic development, the code will have less and less impact. In many models champions are appointed to keep this from occurring. Effective codes have sustainability strategies. Part of this strategy must be developing and maintaining both actual and perceived independence. Secondly, the temptation for new political leaders to recreate ethics codes as if there were none before must be resisted. Many leaders have won elections in part because they promised to clean up the corruption from the previous regime. It is not uncommon that the new leadership is either unfamiliar with the codes or laws, or both. Effective leadership in the ethics regime can allow these successful candidates to save face by suggesting amendments or restructuring, avoiding the common disaster of having to start over completely.
It is important to also recognize that the technical skills and management of ethics programs is difficult to develop and maintain. Code interpretation must be consistent and fair. Those involved in the process must be both knowledgeable of the code and precedents, as well as sensitive to the fact that leaders and administrators have an obligation to do their jobs. These can sometimes conflict, and ethics administrators must constantly balance confrontation and conciliation. Codes often are enforced at the most senior leadership levels. For that reason many ethics officers in both the public and private sector emphasize developing skills for managing upward. The other aspects of code enforcement, from disclosure analysis to education, also require professionals with technical skills.
This is not a program for amateurs. Often leadership for ethics programs will be selected for the wrong reason. The name “ethics” suggests that a theologian, a lawyer or a philosophy professor would be an ideal choice. These professional backgrounds are not a guarantee of success and in some cases might be a detriment. Someone who has worked in corruption prevention and who has a pristine reputation for integrity would be a more effective choice.