Aspa code of ethics

James H. Svara is visiting professor

in the School of Government at the

University of North Carolina and former

professor in the School of Public Affairs at

Arizona State University (ASU). He served

as co-chair (with James Nordin) of the

Working Group to Revise the ASPA Code

of Ethics (2011–13) and chair of the Ad

Hoc Committee on Implementation of the

ASPA Code (2013–14). Support for these

activities was provided by the Lincoln

Center for Applied Ethics at ASU.

E-mail: james.svara@sog.unc.edu

Who Are the Keepers of the Code? Articulating and Upholding Ethical Standards in the Field of Public Administration 561

Public Administration Review,

Vol. 74, Iss. 5, pp. 561–569. © 2014 by

The American Society for Public Administration.

DOI: 10.1111/puar.12230.

James H. Svara Arizona State University

University of North Carolina at Chapel Hill

Establishing a code of ethics has been a challenge in public administration. Ethics is central to the practice of administration, but the broad fi eld of public administra- tion has had diffi culty articulating clear and meaning- ful standards of behavior and developing a means of upholding a code of ethics. Although a number of special- ized professional associations in public service adopted codes, starting with the International City/County Management Association in 1924 and others after 1960, the full range of public administrators did not have an association to represent them until the American Society for Public Administration (ASPA) was founded in 1939. Despite early calls for a code of ethics in ASPA, the fi rst code was adopted in 1984, with revisions in 1994, but neither code had a process for enforcement. A new code approved in 2013 builds on the earlier codes and increases the prospects for ASPA to work with other pro- fessional associations to broaden awareness of the ethical responsibilities to society of all public administrators.

It has long been recognized that ethics is inte-gral to public administration. Although ethical behavior is not always achieved at the individual or organizational level, it is obvious that an essential element of administration is missing when unethical behavior occurs. Still, establishing clear and mean- ingful standards to guide behavior has been diffi cult for the practitioners and scholars who make up the fi eld. Although specialized groups of administrators that organized themselves as professional associa- tions developed codes of ethics, starting with the International City/County Management Association (ICMA) 90 years ago, the profession more gener- ally, as represented by a diverse membership asso- ciation such as the American Society for Public Administration (ASPA), was slow in adopting a code of eth- ics. Th is article examines the shifting attitudes about codes of ethics in public administration and the progression of ASPA’s code of ethics as a study of the challenges of developing a set

of enforceable standards for a large and heterogeneous group of practitioners. Understanding the issues and challenges that have infl uenced the development of ethical standards for administrators can contribute to advancing our understanding of ethics and improve the prospects for eff ectively implementing a code of ethics that applies broadly to public service positions.

After calls for establishing a code for the profession of public administration starting in the late 1930s, ASPA—the association created in 1939 with the intention of organizing the fi eld—did not act and was often criticized for its failure to approve a code of eth- ics until its forty-fi fth year. Th e ICMA code of ethics was off ered as an example of what might be created for public administration generally (Mosher 1938), but for decades, scholars and practitioners in public administration generally viewed codes negatively and gave little attention to the study or promotion of ethics (Cooper 1994). ASPA did not take formal actions to advance ethical codes within the fi eld until the 1970s. Th e questions of whether to have a code of ethics and what it should contain have been central to the debate about whether public administration is a profession as opposed to a collection of professions with vague, shared values (Mosher 1968; Pugh 1988).

Th e fi rst code of ethics adopted by ASPA in 1984 was an important step that established fundamental standards shared by public administrators. It was revised in 1994 with reorganization and clarifi cation of the sources of ethical standards. A new version was approved in 2013 that broadened the scope of values and standards for administrators who serve the public across fi elds and levels of government and other sectors.

Th e debate over the appropri- ateness, content, and imple- mentation of a code of ethics for public administration is examined in this article. Th ere were shared values in the public administration community

Who Are the Keepers of the Code? Articulating and Upholding Ethical Standards in the Field

of Public Administration

Th e debate over the appropriateness, content, and implementation of a code of

ethics for public administration is examined.

562 Public Administration Review • September | October 2014

Th e long absence of a code in ASPA and complaints about taking too narrow an approach to developing a code (Chandler 1982, 1983) have led some to conclude that adopting broad ethical standards was a diffi cult departure from earlier thinking in the fi eld that stressed a narrow “technical-rational” approach to administra- tive practice (Adams and Balfour 1998; Pugh 1991). Th e traditional approaches to the theory and practice of public administration, however, were rooted in a broad range of public-serving values.1 As Lewis and Gilman put it, “ethics is more accurately seen as a renewal rather than a radical departure from traditional practice” (2012, 11).

Ethical Values and Standards in Public Administration Th e moral dimension of public administration has deep historical roots. Duty was stressed by Plato (French 1983), virtue by Aristotle (Cooper 1987; Hart 1984), and honesty and respect for cultural values by Confucius (Gladden 1972, 149–50). Many of the values that were promoted in modern American public administration were intrinsic to the fi eld from the eighteenth century onward as developed in Europe (Lynn 2006; Rutgers 1997)—values that refl ect standards for internal administrative performance as well as larger ethical and social values. Th e founders of the federal govern- ment expected administrators to be “public spirited” (Bowman and West 2011, 33), and these same values were explicitly advanced by the reformers of the late nineteenth century (Richardson and Nigro 1987, 368). It is noteworthy that the Congress in 1884, after pas- sage of the Pendleton Civil Service Reform Act in 1883, adopted the oath to be taken by executive branch employees that is still used today (5 U.S.C. § 3331) (OPM n.d.). Administrators in the federal government are not simply expected to passively or obediently discharge the duties of their offi ce; they pledge to uphold the U.S. Constitution and advance its purposes (Rohr 1989, 69–70).

Values in “Traditional” Public Administration Th e fi eld of public administration in the fi rst half of the twentieth century developed more fully the expectation that administrators would demonstrate values that support their shared mission to serve the public and elevate the performance of government. It is com- mon, however, to portray these early administrators as technocrats (Adams and Balfour 1998) who were “value-free” (Henry 1975, 379–80), with an overwhelming commitment to promoting effi - ciency (Waldo 1948, 200) and no interest in promoting democracy (Waldo 1948, 73–74; Waldo 1952, 85). In Pugh’s view, “the cast of mind that dominated this fi eld was essentially bureaucratic” (1989, 2). It is important to recognize that even traditional administrative values such as effi ciency, expertise, and accountability serve a larger social purpose. Th ey take on a “moral character” by promoting “fair- ness, justice, avoidance of favoritism, and the consideration of all relevant interests,” as well as “a commitment to stewardship of the public’s resources through expert management to assure economy, effi ciency, and eff ectiveness” (Denhardt 1989, 188).

In addition, there was also attention among early scholars to a broad range of values that aff ect how administrators should be involved in the interpretation and formation of policy, in the relationship of administrators to citizens and groups, and in the political process in general. Th e public administration literature before 1940 examines both the internal and external responsibilities of administrators and how they relate to each other. “Th e ‘old’ public administration pro- vides prescriptions that are remarkably relevant to current concerns”

historically and early proposals for a code of ethics in 1938 and 1949. Developing a code was delayed by negative views of codes within public administration, but the ASPA code, with revisions over time, has articulated standards for all people in public service. In the conclusion, future steps to implement a code and promote awareness of ethics across public administration are considered.

The Purpose of Codes of Ethics Codes of ethics provoke opposing views in public administration. Th ey have often been criticized for being too abstract or too specifi c to be meaningful (Ink 1979, ii). Ladd (1980) even questioned whether a code of ethics is necessary. In his view, ethics cannot be set by fi at; having a code contradicts the notion of ethics itself. On the other hand, codes of ethics can specify acceptable and unacceptable behaviors in a profession. If accompanied by eff ective implementation that regularly identifi es ethical issues confronted by practitioners, codes can ground ethics in the challenges of practicing a profession (Gilman 2005). Bowman (1990) suggested that codes may be designed to be regulatory, educational, or inspirational. Th e goals expressed in the inspirational tenets in codes are akin to the “internal goods” that associations (or “practices”) are supposed to advance (Cooper 1987). Beyond identifying aspects of unaccept- able behavior, codes can express the expectations of positive ethical behavior by people at all levels of administration (Svara 2007, 76). Finally, codes inform people outside the profession what they can and should expect. For example, one of the explicit purposes of the National Association of Social Workers code is to provide “ethi- cal standards to which the general public can hold the social work profession accountable” (NASW 2008, “Purpose”).

Th e creation of codes occurred along with the development of professional associations in the twentieth century. In contrast to the ICMA’s early action, the NASW adopted its fi rst code of ethics in 1960, fi ve years after the association was formed (Reamer 2009). Th e American Society of Planning Offi cials created its fi rst code in 1962, and the affi liated American Institute of Certifi ed Planners (AICP) established its code in 1971 (Silva 2005, 312). Before 1984, the vast majority of public administrators might have been guided by the codes of these associations if they were aware of them, but these codes were not written for them and did not necessarily match their responsibilities. Th us, most public administrators were left to decide as individuals what standards to adhere to and whether and how to observe them.

Th e question of what approach should be taken regarding the development of a code of ethics is related to the perennial question of whether ASPA is intended to advance the professional qualities of individuals in public administration by promoting research, educa- tion, and networking or lead a profession of public administrators with clear standards of ethical behavior. Instead of viewing itself as a profession of public administration, ASPA “opted for the pursuit of professionalism among its members—a subtle but signifi cant distinc- tion” (Pugh 1988, 3; Pugh 1989). After a code was fi nally adopted in ASPA, the professionalism-versus-profession question became whether individuals should use the code on their own as a guide to their behavior or whether the association should also establish a proc- ess for enforcing the code (commentary by Mylon Winn, in Menzel 2010, 123). Th is question has persisted: can public administration be a profession without an enforceable code of ethics?

Who Are the Keepers of the Code? Articulating and Upholding Ethical Standards in the Field of Public Administration 563

Th e code should be based on four major themes that, in Mosher’s view, are well established and widely accepted: the public interest, relationships with other offi cials and “offi cial-public relationships,” “personal integrity,” and a commitment to serving “the whole public, performing their tasks impartially and without fear or favor” (Mosher 1938, 339). While acknowledging the ICMA code and one for teachers, Mosher argued that developing a code would “go far toward stimulating a professional esprit de corps” among all adminis- trators who are “engaged in serving the public” (336).

Th e second call for a broad code of ethics in the fi eld of public administration came from Fritz Morstein Marx. To promote ethics in administration, he saw the need for the “growth and acknowledg-

ment of an administrative morality always ready to raise its voice in support of the needs of democratic society” (1949, 1144). Like Mosher, Marx stressed the linkage between public service and “popular government” (1127) and “a long-range concept of the general interest” (1132). Administrators are not “inanimate cogs or mindless robots,” but they do not exercise “absolute discretion” to determine the ends they pursue (1127–28).

Administrators have the opportunity or formal responsibility “to render advice” on pending measures (1137). Marx, like Mosher, asserted that “recognition of the importance of common standards of ethics is one of the hallmarks of a profession” (1144). A similar approach was taken by Monypenny, who called for administrators to develop and adopt a “systematic statement of the highest stand- ards of perception and devotion” (1953, 187) that apply to their work. Later scholars would reinforce the importance of enforcement for the standards to be meaningful (e.g., Bowman and Williams 1997; Chandler 1983; Pugh 1989).

Despite these statements that expressed the rationale for having a code and outlined the areas that could be covered, there was little attention given to ethics in the public administration literature before the 1970s. Th e limited articles on the topic of codes con- veyed diff ering views about the nature of ethical standards and expressed reservations about using a code to promote ethics. Nigro and Richardson (1990) observed that the attempt to integrate external and internalized controls suggested by Monypenny was not examined further in subsequent editions of Public Administration Review through the 1980s.2

Criticizing and Ignoring Codes of Ethics A fundamental objection to internal standards within a professional fi eld is based on the importance of external control. As refl ected in the views of Finer (1941), some argue that administrators should be neutral and highly responsive to elected offi cials (Flemming 1953) and that restoration of bureaucratic controls of administrative behav- ior is needed to increase accountability (Gawthrop 1981, summariz-

ing a presentation by Donald Devine). Wood focused on the need to prevent corruption and asserted that “public offi cials have the duty to make sure that their employees are honest” through expanded “administrative investiga- tory facilities” (1955, 3). Although Appleby observed a “special kind of integrity” (1952,

(Svara 1999, 691), including a broad commitment to democracy. In Newland’s view, the ideal of public administration was promotion of the general welfare, supporting democracy, and “giving meaning to civic duty” (1984, 18).

Many of these values were contested and subject to diff ering inter- pretations in the fi rst 50 years of the fi eld of public administration in the United States, and they could easily be overshadowed by the strong emphasis on administration as a science in the 1930s (Martin 1952). Still, the theory and practice of administration did not war- rant the conclusion that administration was a “self-contained world of its own” (Sayre 1958, 102). Scholars who adopted this view that the fi eld was “self-contained” concluded that administrators did not recognize the need to be concerned with value questions because they were resolved by elected offi cials. Reexamination of the early lit- erature challenges the idea that the founders of the fi eld constructed a politics–administration dichotomy and ignored ethical issues (Svara 1999). Furthermore, the “classical” model of public administration in the 1930s includes a “recognition of the policy-making role of civil servants, the inevitability of administrative discretion, … the concomitant requirement for responsible conduct by managers and civil servants, and the necessity for ensuring that citizens can somehow participate actively in matters aff ecting their well-being based on adequate information” (Lynn 2001, 151).

Th e ICMA Code of Ethics, initially adopted in 1924, refl ected these responsibilities. Most city managers before the 1950s were trained as engineers, and the American Society of Civil Engineers (ASCE) was a path setter in adopting a code for its members in 1914. Whereas the ASCE code stressed the responsibilities of engineers to their employers and to each other, the ICMA code articulated the association’s social purpose, respect for the democratic process, and the broad responsibilities of city managers to advise the council, inform the public, and exercise their own executive judgment in accomplishing policies set by the council. Th ere were many bound- ary issues that managers had to confront in the early decades, but they clearly manifested through their association a commitment to a broad set of ethical standards (Arnold and Plant 1994, 39).

Th e administration community that organized as an association in 1939 had a strong value base and extensive informal professional- ism on which to build. Th e question was how the values would be articulated and whether they would be codifi ed and enforced.

Early Calls for a Code of Ethics for the Field William Mosher (1938, 333), who would become the fi rst president of ASPA in 1939, included ethics among the three key factors that would provide the foundation for a “profession of public service” (336). In his view, ethics is both an individual and shared responsibility: “Although each member of the profession is the keeper of the code, its long-run maintenance occasionally calls for disciplinary measures which should be judi- cially applied by a properly constituted body acting under prescribed procedures against those who violate it” (338).

Reexamination of the early literature challenges the idea

that the founders of the fi eld constructed a politics–

administration dichotomy and ignored ethical issues.

A fundamental objection to internal standards within a

professional fi eld is based on the importance of external control.

564 Public Administration Review • September | October 2014

(Cooper 1998, 160). Herman Mertins, the editor of the workbook Professional Standards and Ethics, stated in the introduction that “although it is possible to develop a long list of ‘thou shalts’ and ‘thou shalt nots,’ as many professions have done, ultimate responsi- bility for applying standards and ethics still falls on the individual” (1979, 1). Th us, the workbook provided a diagnostic rather than a prescriptive approach to help individuals assess their responsibilities and decide on an appropriate response to the challenges they faced.

Despite reservations about codes of ethics, the PSEC began working on developing a code. An initial subcommittee draft was proposed in 1981, but it was not acceptable to the full committee despite a spirited defense by the subcommittee chairperson, Ralph Clark Chandler (1982, 1983). In an alternative approach, a Statement of Principles had been developed and was approved by the National Council in 1981. Finding the right content, tone, and rationale for a code that would address the standards of public service profession- als and secure support from the diverse practitioner and academic membership of ASPA was a challenge. Still, no other existing profes- sional code matched the conditions of the broad fi eld of public administration, and work continued on drafting a code.

Codes of Ethics in ASPA From 1984 through 2013, ASPA adopted a code of ethics and approved two revisions. After the features of each code are briefl y reviewed, the development of the content of the code over time will be considered.