ETHICS IN PUBLIC ADMINISTRATION by Dr. Ronald M. Henson Management Consultant

Ethics in Public Sector ethics is a branch of philosophy which seeks to address morality. In the public sector, ethics addresses the fundamental premise of a public administrators duty as a "steward" to the public ethics is a branch of philosophy which seeks to address morality. In the public sector, ethics addresses the fundamental premise of a public administrators duty as a "steward" to the public ethics moral justification and consideration for decisions and actions made during the completion of daily duties when working to provide the general services of government and nonprofit organizations moral justification and consideration for decisions and actions made during the completion of daily duties when working to provide the general services of government and nonprofit organizations nonprofit accountability standard by which the public will scrutinize the work being conducted by the members of these organizations accountability standard by which the public will scrutinize the work being conducted by the members of these organizations accountability

I. Serve the Public Interest Serve the public, beyond serving oneself. Serve the public, beyond serving oneself. Exercise discretionary authority to promote the public interest. Exercise discretionary authority to promote the public interest. Oppose all forms of discrimination and harassment, and promote affirmative action. Oppose all forms of discrimination and harassment, and promote affirmative action. Recognize and support the public's right to know the public's business. Recognize and support the public's right to know the public's business. Involve citizens in policy decision-making. Involve citizens in policy decision-making. Exercise compassion, benevolence, fairness and optimism. Exercise compassion, benevolence, fairness and optimism. Respond to the public in ways that are complete, clear, and easy to understand. Respond to the public in ways that are complete, clear, and easy to understand. Assist citizens in their dealings with government. Assist citizens in their dealings with government. Be prepared to make decisions that may not be popular. Be prepared to make decisions that may not be popular.

II. Respect the Constitution and the Law Respect, support, and study government constitutions and laws that define responsibilities of public agencies, employees, and all citizens. Respect, support, and study government constitutions and laws that define responsibilities of public agencies, employees, and all citizens. Understand and apply legislation and regulations relevant to their professional role. Understand and apply legislation and regulations relevant to their professional role. Work to improve and change laws and policies that are counterproductive or obsolete. Work to improve and change laws and policies that are counterproductive or obsolete. Eliminate unlawful discrimination. Eliminate unlawful discrimination. Prevent all forms of mismanagement of public funds by establishing and maintaining strong fiscal and management controls, and by supporting audits and investigative activities. Prevent all forms of mismanagement of public funds by establishing and maintaining strong fiscal and management controls, and by supporting audits and investigative activities. Respect and protect privileged information. Respect and protect privileged information. Encourage and facilitate legitimate dissent activities in government and protect the whistleblowing rights of public employees. Encourage and facilitate legitimate dissent activities in government and protect the whistleblowing rights of public employees. Promote constitutional principles of equality, fairness, representativeness, responsiveness and due process in protecting citizens' rights. Promote constitutional principles of equality, fairness, representativeness, responsiveness and due process in protecting citizens' rights.

III. Demonstrate Personal Integrity Demonstrate the highest standards in all activities to inspire public confidence and trust in public service. Demonstrate the highest standards in all activities to inspire public confidence and trust in public service. Maintain truthfulness and honesty and to not compromise them for advancement, honor, or personal gain. Maintain truthfulness and honesty and to not compromise them for advancement, honor, or personal gain. Ensure that others receive credit for their work and contributions. Ensure that others receive credit for their work and contributions. Zealously guard against conflict of interest or its appearance: e.g., nepotism, improper outside employment, misuse of public resources or the acceptance of gifts. Zealously guard against conflict of interest or its appearance: e.g., nepotism, improper outside employment, misuse of public resources or the acceptance of gifts. Respect superiors, subordinates, colleagues and the public. Respect superiors, subordinates, colleagues and the public. Take responsibility for their own errors. Take responsibility for their own errors. Conduct official acts without partisanship. Conduct official acts without partisanship.

IV. Promote Ethical Organizations Strengthen organizational capabilities to apply ethics, efficiency and effectiveness in serving the public. Strengthen organizational capabilities to apply ethics, efficiency and effectiveness in serving the public. Enhance organizational capacity for open communication, creativity, and dedication. Enhance organizational capacity for open communication, creativity, and dedication. Subordinate institutional loyalties to the public good. Subordinate institutional loyalties to the public good. Establish procedures that promote ethical behavior and hold individuals and organizations accountable for their conduct. Establish procedures that promote ethical behavior and hold individuals and organizations accountable for their conduct. Provide organization members with an administrative means for dissent, assurance of due process and safeguards against reprisal. Provide organization members with an administrative means for dissent, assurance of due process and safeguards against reprisal. Promote merit principles that protect against arbitrary and capricious actions. Promote merit principles that protect against arbitrary and capricious actions. Promote organizational accountability through appropriate controls and procedures. Promote organizational accountability through appropriate controls and procedures. Encourage organizations to adopt, distribute, and periodically review a code of ethics as a living document. Encourage organizations to adopt, distribute, and periodically review a code of ethics as a living document.

V. Strive for Professional Excellence Strengthen individual capabilities and encourage the professional development of others. Strengthen individual capabilities and encourage the professional development of others. Provide support and encouragement to upgrade competence. Provide support and encouragement to upgrade competence. Accept as a personal duty the responsibility to keep up to date on emerging issues and potential problems. Accept as a personal duty the responsibility to keep up to date on emerging issues and potential problems. Encourage others, throughout their careers, to participate in professional activities and associations. Encourage others, throughout their careers, to participate in professional activities and associations. Allocate time to meet with students and provide a bridge between classroom studies and the realities of public service. Allocate time to meet with students and provide a bridge between classroom studies and the realities of public service.

Elements of Public Service Ethics Accountability Accountability –Follow laws –Obey higher directives or resign in protest –Strive for efficiency, economy, effectiveness Ethical behavior Ethical behavior –Adherence to standards –Leaders set sound standards –Avoid even the perception/appearance of wrongdoing –Leaders create an ethical environment

Control systems Control systems –Voluntary compliance based on perception of legitimacy and trust –Standard setting Expectations Expectations Communicate concerns of leaders and control agencies Communicate concerns of leaders and control agencies –Monitoring Audits Audits Inspections Inspections –Sanctions Self control vs. External control Self control vs. External control Elements of Public Service Ethics

What to control What to control –Fiscal controls: legal expenditures –Process controls: waste, fraud, abuse, mismanagement to achieve efficiency –Program controls: effectiveness, achieving goals of annual and strategic plans

Elements of Administrative Morality What else is there? What else is there? –Leadership Personal example Personal example Establish an ethic of public service Establish an ethic of public service Develop moral capacity of others (is that really part of my job?). How can you do this with adults at work? Develop moral capacity of others (is that really part of my job?). How can you do this with adults at work? Establish an ethical environment Establish an ethical environment

Elements of Administrative Morality What are the limits of control? What are the limits of control? –An ethic of compliance? or –An ethic of public service? What else is there? What else is there? –Find moral people? Recruitment Recruitment Screening (background checks) Screening (background checks) Selection Selection –Ethical Influence (Leadership)?

Elements of Administrative Morality What is the content of a public service ethic for public managers and administrators? What is the content of a public service ethic for public managers and administrators? What values support the role of the public manager and administrator? What values support the role of the public manager and administrator?

The Ethical Responsibilities of The Leader The distinguishing mark of leadership and executive responsibility is influencing the moral behavior of others. Chester Barnard Chester Barnard The Functions of the Executive The Functions of the Executive

The Ethical Culture: Influencing The Actions of Others The example of leaders The example of leaders Leaders gain support and commitment from everyone to shared values Leaders gain support and commitment from everyone to shared values The quality of leader-follower relationships The quality of leader-follower relationships Leaders set expectations, clear guidelines, norms Leaders set expectations, clear guidelines, norms Leaders develop moral capacity of organization and individuals Leaders develop moral capacity of organization and individuals Leaders manage competition and stress Leaders manage competition and stress Leaders reward ethical behavior Leaders reward ethical behavior Leaders punish unethical behavior Leaders punish unethical behavior Leaders must neutralize potentially harmful contextual forces Leaders must neutralize potentially harmful contextual forces

REPUBLIC ACT NO CODE OF CONDUCT AND ETHICAL STANDARDS FOR PUBLIC OFFICIALS AND EMPLOYEES CODE OF CONDUCT AND ETHICAL STANDARDS FOR PUBLIC OFFICIALS AND EMPLOYEES AN ACT ESTABLISHING A CODE OF CONDUCT AND ETHICAL STANDARDS FOR PUBLIC OFFICIALS AND EMPLOYEES, TO UPHOLD THE TIME- HONORED PRINCIPLE OF PUBLIC OFFICE BEING A PUBLIC TRUST, GRANTING INCENTIVES AND REWARDS FOR EXEMPLARY SERVICE, ENUMERATING PROHIBITED ACTS AND TRANSACTIONS AND PROVIDING PENALTIES FOR VIOLATIONS THEREOF AND FOR OTHER PURPOSES AN ACT ESTABLISHING A CODE OF CONDUCT AND ETHICAL STANDARDS FOR PUBLIC OFFICIALS AND EMPLOYEES, TO UPHOLD THE TIME- HONORED PRINCIPLE OF PUBLIC OFFICE BEING A PUBLIC TRUST, GRANTING INCENTIVES AND REWARDS FOR EXEMPLARY SERVICE, ENUMERATING PROHIBITED ACTS AND TRANSACTIONS AND PROVIDING PENALTIES FOR VIOLATIONS THEREOF AND FOR OTHER PURPOSES

Norms of Conduct (a) Commitment to public interest - Public officials and employees shall always uphold the public interest over and above personal interest. All government resources and powers of their respective offices must be employed and used efficiently, effectively, honestly and economically, particularly to avoid wastage in public funds and revenues. (a) Commitment to public interest - Public officials and employees shall always uphold the public interest over and above personal interest. All government resources and powers of their respective offices must be employed and used efficiently, effectively, honestly and economically, particularly to avoid wastage in public funds and revenues. (b) Professionalism - Public officials and employees shall perform and discharge their duties with the highest degree of excellence, professionalism, intelligence and skill. They shall enter public service with utmost devotion and dedication to duty. They shall endeavor to discourage wrong perceptions of their roles as dispensers or peddlers of undue patronage. (b) Professionalism - Public officials and employees shall perform and discharge their duties with the highest degree of excellence, professionalism, intelligence and skill. They shall enter public service with utmost devotion and dedication to duty. They shall endeavor to discourage wrong perceptions of their roles as dispensers or peddlers of undue patronage. (c) Justness and sincerity - Public officials and employees shall remain true to the people at all times. They must act with justness and sincerity and shall not discriminate against anyone, especially the poor and the underprivileged. They shall at all times respect the rights of others, and shall refrain from doing acts contrary to law, good morals, good customs, public policy, public order, public safety and public interest. They shall not dispense or extend undue favors on account of their office to their relatives whether by consanguinity or affinity except with respect to appointments of such relatives to positions considered strictly confidential or as members of their personal staff whose terms are coterminous with theirs. (c) Justness and sincerity - Public officials and employees shall remain true to the people at all times. They must act with justness and sincerity and shall not discriminate against anyone, especially the poor and the underprivileged. They shall at all times respect the rights of others, and shall refrain from doing acts contrary to law, good morals, good customs, public policy, public order, public safety and public interest. They shall not dispense or extend undue favors on account of their office to their relatives whether by consanguinity or affinity except with respect to appointments of such relatives to positions considered strictly confidential or as members of their personal staff whose terms are coterminous with theirs. (d) Political neutrality - Public officials and employees shall provide service to everyone without unfair discrimination and regardless of party affiliation or preference. (d) Political neutrality - Public officials and employees shall provide service to everyone without unfair discrimination and regardless of party affiliation or preference.

Norms of Conduct (e) Responsiveness to the public - Public officials and employees shall extend prompt, courteous, and adequate service to the public. Unless otherwise provided by law or when required by the public interest, public officials and employees shall provide information of their policies and procedures in clear and understandable language, ensure openness of information, public consultations and hearings whenever appropriate, encourage suggestions, simplify and systematize policy, rules and procedures, avoid red tape and develop an understanding and appreciation of the socio-economic conditions prevailing in the country, especially in the depressed rural and urban areas. (e) Responsiveness to the public - Public officials and employees shall extend prompt, courteous, and adequate service to the public. Unless otherwise provided by law or when required by the public interest, public officials and employees shall provide information of their policies and procedures in clear and understandable language, ensure openness of information, public consultations and hearings whenever appropriate, encourage suggestions, simplify and systematize policy, rules and procedures, avoid red tape and develop an understanding and appreciation of the socio-economic conditions prevailing in the country, especially in the depressed rural and urban areas. (f) Nationalism and patriotism - Public officials and employees shall at all times be loyal to the Republic and to the Filipino people, promote the use of locally produced goods, resources and technology and encourage appreciation and pride of country and people. They shall endeavor to maintain and defend Philippine sovereignty against foreign intrusion. (f) Nationalism and patriotism - Public officials and employees shall at all times be loyal to the Republic and to the Filipino people, promote the use of locally produced goods, resources and technology and encourage appreciation and pride of country and people. They shall endeavor to maintain and defend Philippine sovereignty against foreign intrusion. (g) Commitment to democracy - Public officials and employees shall commit themselves to the democratic way of life and values, maintain the principle of public accountability, and manifest by deeds the supremacy of civilian authority over the military. They shall at all times uphold the Constitution and put loyalty to country above loyalty to persons or party (g) Commitment to democracy - Public officials and employees shall commit themselves to the democratic way of life and values, maintain the principle of public accountability, and manifest by deeds the supremacy of civilian authority over the military. They shall at all times uphold the Constitution and put loyalty to country above loyalty to persons or party (h) Simple living - Public officials and employees and their families shall lead modest lives appropriate to their positions and income. They shall not indulge in extravagant or ostentatious display of wealth in any form (h) Simple living - Public officials and employees and their families shall lead modest lives appropriate to their positions and income. They shall not indulge in extravagant or ostentatious display of wealth in any form

Prohibited Acts and Transactions (a) Financial and material interest - Public officials and employees shall not, directly or indirectly, have any financial or material interest in any transaction requiring the approval of their office. (a) Financial and material interest - Public officials and employees shall not, directly or indirectly, have any financial or material interest in any transaction requiring the approval of their office. (b) Outside employment and other activities related thereto - Public officials and employees during their incumbency shall not: (b) Outside employment and other activities related thereto - Public officials and employees during their incumbency shall not: (1) Own, control, manage or accept employment as officer, employee, consultant, counsel, broker, agent, trustee or nominee in any private enterprise regulated, supervised or licensed by their office unless expressly allowed by law; (1) Own, control, manage or accept employment as officer, employee, consultant, counsel, broker, agent, trustee or nominee in any private enterprise regulated, supervised or licensed by their office unless expressly allowed by law; (2) Engage in the private practice of their profession unless authorized by the Constitution or law, provided, that such practice will not conflict or tend to conflict with their official functions; or (2) Engage in the private practice of their profession unless authorized by the Constitution or law, provided, that such practice will not conflict or tend to conflict with their official functions; or (3) Recommend any person to any position in a private enterprise which has a regular or pending official transaction with their office. (3) Recommend any person to any position in a private enterprise which has a regular or pending official transaction with their office. These prohibitions shall continue to apply for a period of one (1) year after resignation, retirement, or separation from public office, except in the case of subparagraph (b) (2) above, but the professional concerned cannot practice his profession in connection with any matter before the office he used to be with, in which case the one-year prohibition shall likewise apply. These prohibitions shall continue to apply for a period of one (1) year after resignation, retirement, or separation from public office, except in the case of subparagraph (b) (2) above, but the professional concerned cannot practice his profession in connection with any matter before the office he used to be with, in which case the one-year prohibition shall likewise apply.

Prohibited Acts and Transactions (c) Disclosure and/or misuse of confidential information - Public officials and employees shall not use or divulge, confidential or classified information officially known to them by reason of their office and not made available to the public, either: (c) Disclosure and/or misuse of confidential information - Public officials and employees shall not use or divulge, confidential or classified information officially known to them by reason of their office and not made available to the public, either: (1) To further their private interests, or give undue advantage to anyone; or (1) To further their private interests, or give undue advantage to anyone; or (2) To prejudice the public interest. (2) To prejudice the public interest. (d) Solicitation or acceptance of gifts. - Public officials and employees shall not solicit or accept, directly or indirectly, any gift, gratuity, favor, entertainment, loan or anything of monetary value from any person in the course of their official duties or in connection with any operation being regulated by, or any transaction which may be affected by the functions of their office. (d) Solicitation or acceptance of gifts. - Public officials and employees shall not solicit or accept, directly or indirectly, any gift, gratuity, favor, entertainment, loan or anything of monetary value from any person in the course of their official duties or in connection with any operation being regulated by, or any transaction which may be affected by the functions of their office. As to gifts or grants from foreign governments, the Congress consents to: As to gifts or grants from foreign governments, the Congress consents to: (i) The acceptance and retention by a public official or employee of a gift of nominal value tendered and received as a souvenir or mark of courtesy; (i) The acceptance and retention by a public official or employee of a gift of nominal value tendered and received as a souvenir or mark of courtesy; (ii) The acceptance by a public official or employee of a gift in the nature of a scholarship or fellowship grant or medical treatment; or (ii) The acceptance by a public official or employee of a gift in the nature of a scholarship or fellowship grant or medical treatment; or (iii) The acceptance by a public official or employee of travel grants or expenses for travel taking place entirely outside the Philippine (such as allowances, transportation, food, and lodging) of more than nominal value if such acceptance is appropriate or consistent with the interests of the Philippines, and permitted by the head of office, branch or agency to which he belongs. (iii) The acceptance by a public official or employee of travel grants or expenses for travel taking place entirely outside the Philippine (such as allowances, transportation, food, and lodging) of more than nominal value if such acceptance is appropriate or consistent with the interests of the Philippines, and permitted by the head of office, branch or agency to which he belongs. The Ombudsman shall prescribe such regulations as may be necessary to carry out the purpose of this subsection, including pertinent reporting and disclosure requirements. The Ombudsman shall prescribe such regulations as may be necessary to carry out the purpose of this subsection, including pertinent reporting and disclosure requirements. Nothing in this Act shall be construed to restrict or prohibit any educational, scientific or cultural exchange programs subject to national security requirements. Nothing in this Act shall be construed to restrict or prohibit any educational, scientific or cultural exchange programs subject to national security requirements.

Penalties (a) Any public official or employee, regardless of whether or not he holds office or employment in a casual, temporary, holdover, permanent or regular capacity, committing any violation of this Act shall be punished with a fine not exceeding the equivalent of six (6) months’ salary or suspension not exceeding one (1) year, or removal depending on the gravity of the offense after due notice and hearing by the appropriate body or agency. (a) Any public official or employee, regardless of whether or not he holds office or employment in a casual, temporary, holdover, permanent or regular capacity, committing any violation of this Act shall be punished with a fine not exceeding the equivalent of six (6) months’ salary or suspension not exceeding one (1) year, or removal depending on the gravity of the offense after due notice and hearing by the appropriate body or agency. If the violation is punishable by a heavier penalty under another law, he shall be prosecuted under the latter statute. If the violation is punishable by a heavier penalty under another law, he shall be prosecuted under the latter statute. Violations of Sections 7, 8 or 9 of this Act shall be punishable with imprisonment not exceeding five (5) years, or a fine not exceeding five thousand pesos (P5,000), or both, and, in the discretion of the court of competent jurisdiction, disqualification to hold public office. Violations of Sections 7, 8 or 9 of this Act shall be punishable with imprisonment not exceeding five (5) years, or a fine not exceeding five thousand pesos (P5,000), or both, and, in the discretion of the court of competent jurisdiction, disqualification to hold public office.

Divestment public official or employee shall avoid conflicts of interest at all times public official or employee shall avoid conflicts of interest at all times when a conflict of interest arises, he shall resign from his position in any private business enterprise within thirty (30) days from his assumption of office and/or divest himself of his shareholdings or interest within sixty (60) days from such assumption when a conflict of interest arises, he shall resign from his position in any private business enterprise within thirty (30) days from his assumption of office and/or divest himself of his shareholdings or interest within sixty (60) days from such assumption