Ethical Foundations for Public Service

Part 1: Philosophy and Principles

 

 
 
 
 
 

Handbook  
  August 2010

    Training & Organizational Effectiveness

Office of Human Resources
Oregon State University

 
  
Table  of  Contents  
Introduction .......................................................................................................................................... 2

Overview ............................................................................................................................................. 3

Guidance
Oregon Government Standards & Practices Commission ...................................................... 3
Applicability ........................................................................................................... 3
Prohibitions ............................................................................................................ 4
Conflict of Interest ................................................................................................. 4
Who May Request an Advisory Opinion? .............................................................. 5
Contact .................................................................................................................. 5
Carrying Out Ethics
Making the Tough Ethical Decisions ....................................................................................... 5
A Beginning Point in Decision Making: A Simple Ethical Behavior Test ............................................ 6
Incorporate Ethical Conversation Into the Culture .................................................................. 6

Principles of Public Service .................................................................................................................. 6

Principle #1: Public Office as a Public Trust ........................................................................... 6
Principle #2: Independent Judgment ...................................................................................... 8
Principle #3: Accountability ..................................................................................................... 9
Principle #4: Democratic Leadership .................................................................................... 10
Principle #5: Respectability ................................................................................................... 11

Two Elements of Reasonable Reasoning for Difficult Circumstances ............................................... 12

Exercise: Ethical Values and Principles for Public Sector Professionals ........................................... 14

1   Ethical  Foundations  for  Public  Service.  Training  &  Organizational  Effectiveness,  Office  of  
Human  Resources,  Oregon  State  University,  August  2010  ©.  
 
Introduction
Ethics is a branch of philosophy that addresses questions about morality—that is concepts of
right versus wrong, good versus bad, and noble versus ignoble, etc. As managers and
supervisors, you’ll be faced with situations where you'll ask yourself, “What is the right thing to
do?” While it is easiest if the situation has a clear solution, many ethical dilemmas live in "gray"
with no definite answer.

As a state entity, OSU’s work lies in providing public service and upholding public trust. The
question of how the public is best served will inevitably result. As a land grant institution, OSU is
responsible for expanding knowledge (research focus), transferring knowledge (teaching
emphasis) and sharing this knowledge with the public (Extension and outreach to its citizens).
With this broad constituency, you may be faced with the need to resolve competing interests,
and the manner in which you uphold the ethical values of OSU can impact areas beyond your
work place.

As a state agency, there are numerous, written ground rules to be aware of depending on your
specific responsibilities. As a manager or supervisor, it is your obligation to become familiar with
the laws, policies, procedures, professional standards, and other guidelines and protocols to
help you make consistent, effective and ethical decisions.

Though this series provides an overview of written ground rules, practical applications, and
scenarios around the topic of ethics, ultimately that which is written is carried out through your
behaviors and practices in the workplace. In the end, what you do and how you do it defines the
ethical foundation and practices of an organization.  
 

2   Ethical  Foundations  for  Public  Service.  Training  &  Organizational  Effectiveness,  Office  of  
Human  Resources,  Oregon  State  University,  August  2010  ©.  
 
 Overview
Learning Objectives

This module is Part 1 of a 3-Part online series. It provides Participants will:

an overview of the philosophical and broader principles of
• Become familiar with the
ethics for public servants to help guide you when faced with
Oregon Government
possible ethical issues. Much of the content is cited from
Standards and Practices
different sources, therefore the principles and guidelines
Laws: A Guide for Public
provided may overlap at times in terminology and concepts.
Officials.
• Be encouraged to understand
The module will include areas for you to think through the
the laws, policies and
ethical principles outlined to help you transfer ideas into
procedures, guidelines and
your place of work.
OSU practices to guide day-to-
day work.
• Consider ways to affirmatively
Guidance define and example the
principles of public service at
Oregon Government Standards and OSU. Position Description
Practices Commission Importance at OSU

The Government Standards and Practices Commission was established   in January 1975 and is
composed of seven members. Its mission is to fairly and impartially administer the regulatory
provisions of ORS Chapter 244, Oregon Government Standards and Practices law; ORS
171.725 to 171.785 and 171.992, Lobby Regulation and Oregon Public Meetings law; ORS
192.660, efficiently, expediently and with the highest possible emphasis on customer service for
complainants, respondents and the general public of Oregon. Records of the Commission are
public record.

The Oregon Government Standards and Practices Laws guide is not designed to prevent
conflicts of interest from arising, but to help you know the appropriate action to take when
potential or actual conflicts occur.

Applicability

You are a public official if you serve the State of Oregon or any of its political
subdivisions or any other public body of the state as an officer, employee, agent, or
otherwise, and irrespective of whether the person is compensated for such services.

3   Ethical  Foundations  for  Public  Service.  Training  &  Organizational  Effectiveness,  Office  of  
Human  Resources,  Oregon  State  University,  August  2010  ©.  
 
 Prohibitions

The Code of Ethics prohibits certain conduct. For instance, you may not:

1. Use your public office either to obtain financial gain or avoid financial detriment
for:

• Yourself;
• Your household; or
• A business in which you or a member of your household is associated.

2. Use confidential information received because of your public office for private
gain.
3. Solicit or receive a promise of future employment with the understanding that
such employment will influence your official action. In addition, the following are
prohibited from being employed (one year) or from lobbying (two years) after
leaving office, with or on behalf of the entities they regulated:

• Public Utility Commissioner

• Director of the Department of Consumer and Business Services
• Insurance Commissioner
• Supervisor of the savings and loan, credit union and consumer finance
sector
• Supervisor of the banking sector

4. Solicit or receive, during a calendar year, gifts with an aggregate value of over
$50 from a source that has a legislative or administrative interest in your office.
(Gifts from relatives, campaign contributions, or your own travel reimbursement
from the host or sponsor of an office-related event are not prohibited)
5. Solicit or receive campaign contributions during a regular session for legislative
or statewide officials, political candidates and associated campaign committees.

Conflict of Interest

A potential conflict of interest exists when you:

Conflict of
• are acting as a public official; and Interest Example

• take any action (i.e., vote, debate, recommend or A legislator owning a car
discuss) where the effect of which would be to the need NOT declare a
financial gain or loss of yourself, a member of your potential conflict of
household, or an associated business of either. interest before voting on
a bill raising registration
• A potential conflict of interest does not exist when your
fees for all car owners.  
financial gain or loss arises because:

4   Ethical  Foundations  for  Public  Service.  Training  &  Organizational  Effectiveness,  Office  of  
Human  Resources,  Oregon  State  University,  August  2010  ©.  
 
 • you have an interest or membership required by law before you may hold your public
office; or

• your action effects to the same degree all people in Oregon, or a large class of
people, with which you are associated.

Who May Request An Advisory Opinion?

Any person with a question regarding the laws may request an advisory opinion, however,
please consult with your supervisor; s/he may know the answer.

Contact the Government Standards & Practices Commission

For more information, contact:

Oregon Government Standards and Practices Commission

885 Summer St NE, 2nd Floor
Salem, OR 97302-2522
Phone: (503) 378-5105

Web site: http://www.oregon.gov/GSPC/index.shtml. Within this site, go to “Forms and

Publications,” then download the “Guide for Public Officials.” As of August, 2010, this publication
was being updated by the state. If it is not accessible, please come back to it.

Carrying Out Ethics

Making the Tough Ethical Decisions
If you talk to most public officials and employees, they want to do the right thing. They are hard
working and have the best interest of the organization and public in mind in the decision making
process. It is the exceptional incident that, unfortunately, makes the news and creates a
negative image for the public.
“People sometimes lie
As supervisors and public officials, you are required to make
awake at night precisely
decisions. This can be especially challenging when competing
because they have done
interests make the decision difficult. A decision that requires you to
the ‘right’ thing.”
layoff a good employee may be necessary and in the best interest
of the organization and the public because of limited resources. -­‐Wheatley  &  Kellner-­‐
How does one make the tough decision when faced with an ethical Rogers  
dilemma?

5   Ethical  Foundations  for  Public  Service.  Training  &  Organizational  Effectiveness,  Office  of  
Human  Resources,  Oregon  State  University,  August  2010  ©.  
 
A Beginning Point in Decision Making: A Simple Ethical Behavior Test
When faced with ethical dilemmas, consider using the following questions as an initial guide in
your decision making process:

1. Is it legal? Is it moral? Is it safe?

2. If somebody else did it to you, would you think it was fair?
3. How would it appear as a headline on the front page of the newspaper?
4. Would you like your mom or dad to see you do it?
5. How is it consistent with the organizational values?

If this doesn’t provide an answer, whom can you consult within your organization? Outside your
organization?

Incorporate Ethical Conversation into the Culture

One of the most difficult times to address an ethical dilemma is when you’re in the middle of the
issue. Whereas, if ethical decision making and dilemmas were incorporated into your manager’s
meetings once a month or quarterly, you would have the collective background thinking of your
colleagues. This collective thinking will provide you with a foundation for how and why decisions
are made. This also establishes a ready network in which to consult.

Principles of Public Service

The following principles are condensed from Preserving the Public “The affirmative dimension
Trust: Principles of Public Service Ethics, issued in 1990 by the of ethics focuses on
Josephson Institute for the Advancement of Ethics at the request of producing good rather than
the Government Ethics Center. The Government Ethics Center was on avoiding harm. Under
established to assist those who work in government to build and this view, ethical principles
maintain public trust by enhancing their ethical consciousness, are not merely burdens
proficiency and practical judgment. and limitations. They are
beacons leading us to our
Principle #1: Public Office as a Public Trust highest selves. They
provide opportunities to
Public servants should treat their office as a public trust, using the
make a positive difference
power and resources of public office to advance public interest, and
in the lives of others.”
not to attain personal benefits or pursue any other private interest
incompatible with the public good. Ethical ground rules to promote -­‐Miichael  Josephson  
public trust include:

6   Ethical  Foundations  for  Public  Service.  Training  &  Organizational  Effectiveness,  Office  of  
Human  Resources,  Oregon  State  University,  August  2010  ©.  
 
 • Administrators defer to the policy-making prerogative of the legislature and
implement laws in good faith.

• Demonstrates highest loyalty to the broadest public good.

• Maintains integrity of democratic process; honors the spirit and intent of rules and
laws.

• Does not use government resources for personal gain, campaigning or party work.

• Does not use title, prestige or the implicit power of public office for personal benefit.

Thinking  it  Through…What  Would  YOU  Do?  

• A  small,  political  constituency  that  financially  contributes  to  your  research  efforts  is  
pressuring  you  to  support  their  efforts  over  another  larger  entity.  How  do  you  handle  
this  to  meet  the  broader  public  trust?  

• In  non-­‐work  time,  you  have  been  politically  active.  Your  party  is  encouraging  you  to  
lobby  those  you  know  to  support  particular  candidates  in  a  tight  race.  How  can  you  
meet  both  your  work  obligations  and  your  activism  interests  while  adhering  to  the  
issues  of  public  trust?  

• You  must  implement  a  revised  law  that  was  passed  by  Oregonians  in  a  recent  
election  that  you  are  strongly  opposed  to.  To  fulfill  your  obligations  to  the  public,  
what  do  you  do?  

• An  organization  you  work  closely  with  has  invited  you  and  your  family  to  their  box  
office  seating  and  accommodations  for  a  professional  sports  game.  What  do  you  do?  

7   Ethical  Foundations  for  Public  Service.  Training  &  Organizational  Effectiveness,  Office  of  
Human  Resources,  Oregon  State  University,  August  2010  ©.  
 
Principle #2: Independent Judgment
Public servants employ independent, objective judgment in performing their duties, deciding all
matters based on merit, free from avoidable conflicts of interest, and both real and apparent
improper influences. Ethical ground rules that demonstrate independent, objective judgment
include:

• Make independent, fair and impartial judgments; avoid conflicting financial, social and
political interests.
• Exercise the power of office fairly and without prejudice or favoritism.
• Make employment decisions based on merit; not patronage.

Thinking  it  Through…What  Would  YOU  Do?  

• A  person  who  is  in  a  significant  position  of  influence  has  shown  favoritism  towards  
several  people  at  the  expense  of  the  greater  good.  How  would  you  handle  this?  

• A  manager  in  a  high-­‐profile  role  appears  to  be  hiring  his  colleagues  and  friends.  
You’re  questioning  whether  or  not  these  hires  were  the  most  qualified  candidates.  
What  do  you  do?  

• A  supervisor  for  whom  you  work  has  made  subtle  comments  about  a  class  of  people  
that  may  be  perceived  as  prejudicial.  You’re  concerned  about  how  this  might  affect  
this  class  of  people,  who  make  up  a  large  proportion  of  seasonal  hires.  What  do  you  
do?  

8   Ethical  Foundations  for  Public  Service.  Training  &  Organizational  Effectiveness,  Office  of  
Human  Resources,  Oregon  State  University,  August  2010  ©.  
 
Principle #3: Accountability
Public servants should assure that government is conducted openly, efficiently and honorably in
a manner that permits the citizenry to make informed judgments and hold government officials
accountable. Ethical ground rules that promote accountability include:

• Openness: exercise public power so as to allow public scrutiny.

• Improve System: take affirmative steps to avoid waste, inefficiency, illegality or
unintended consequences.
• Self-Policing: take whatever steps are necessary, including reporting, to prevent unlawful
or unethical use of public position, authority or resources.

Thinking  it  Through…What  Would  YOU  Do?  

• Your  relative  has  asked  you  to  assist  him  in  obtaining  contractual  work  with  OSU.  
How  can  you  help  him  in  a  way  that  doesn’t  violate  legal  or  ethical  principles?  

• You  see  numerous  ways  to  gain  efficiencies  and  improve  systems  in  your  work  unit.  
Your  Director  has  not  been  open  to  your  ideas.  You  continue  to  be  bothered  by  what  
you’re  observing.  What  might  you  do?  

• Your  office  engages  in  a  fund-­‐raising  activity  that  will  mostly  occur  over  the  lunch  
period,  but  overlaps  into  regular  working  hours.  The  fund-­‐raising  activity  is  for  a  
worthy,  non-­‐profit  group  that  will  benefit  families  in  need  during  the  holiday  season.  
Is  the  work  time  spent  in  this  endeavor  justifiable?  

• Your  unit  head  decides  to  close  the  office  the  afternoon  before  a  major  holiday  
telling  everyone  to  just  go  home.  Is  this  okay?  What  might  be  the  implications?  

9   Ethical  Foundations  for  Public  Service.  Training  &  Organizational  Effectiveness,  Office  of  
Human  Resources,  Oregon  State  University,  August  2010  ©.  
 
Principle #4: Democratic Leadership
Public servants honor and respect the principles and spirit of representative democracy and set
a positive example of good citizenship by scrupulously observing the letter, and spirit of laws
and rules. Ethical ground rules that establish democratic leadership include:

• Obey all laws and rules.

• Avoid artifices and schemes that undermine the spirit of the law.
• Use leadership power only in a manner consistent with representative democracy.
• Civil Disobedience: may exercise prerogative of conscientious objection, but must do so
openly and be accountable for the consequences.

Thinking  it  Through…What  Would  YOU  Do?  

• Several  employees,  on  their  lunch  hour  are  active  in  a  political  cause  and  are  doing  
so  in  an  approved  area.  You’re  strongly  opposed  to  their  position  and  the  fact  that  
they  are  routinely  engaged  in  this  cause.  These  employees  are  following  the  
appropriate  guidelines.  You  feel  that  this  may  be  perceived  negatively  on  your  office.  
As  a  manager,  what  are  the  implications  and  your  responsibility  as  their  supervisor?  

• A  person  in  a  leadership  role  is  strongly  advocating  a  highly  questionable  political  
position  without  consulting  a  representative  group.  This  will  have  a  significant  impact  
on  policy,  budget  and  the  organization.  What  do  you  do?    

• A  manager  decides  to  ignore  addressing  blatant  performance  issues  of  a  union-­‐
represented  employee.  In  fact,  this  manager  has  given  a  positive  performance  
appraisal,  ignoring  all  performance  issues.  The  manager  then  eliminates  the  position,  
in  effect  laying  the  employee  off.  What  are  the  implications?  

10   Ethical  Foundations  for  Public  Service.  Training  &  Organizational  Effectiveness,  Office  of  
Human  Resources,  Oregon  State  University,  August  2010  ©.  
 
Principle #5: Respectability

Public servants should safeguard public confidence in the integrity of the government of being
honest, fair, caring and respectful, and by avoiding conduct that creates the appearance of
impropriety, or which is otherwise unbefitting a public official. Ethical ground rules that enhance
the principle of respectability include:

• Honor and Respect: conduct professional and personal life so as to be worthy of trust.
• Honesty: avoid lying, deception, deviousness and cheating.
• Integrity: principle over expediency; courage of convictions.
• Appearance of Impropriety: avoid otherwise proper conduct that creates in the minds
of significant number of reasonable impartial observers the perception that the public
trust has or will be violated.
• Private Conduct: improper if it demonstrates character traits, attitudes or judgments
unbefitting public office.

Thinking  it  Through…What  Would  YOU  Do?  

• An  employee  you  supervise  who  coordinates  travel  informs  you  that  a  group  of  
researchers  insist  on  using  a  particular  airline  because  of  the  personal  mileage  
credits  they  receive.  On  several  occasions  the  employee  has  informed  them  of  
significantly  lower  airfares  on  other  airlines,  but  they  insist  on  booking  a  specific  
airline  carrier.  What  do  you  do?  

• As  a  manager,  you  are  aware  of  a  group  of  employees  whom  your  colleague  
supervises  and  who  consistently  come  in  late,  take  extended  breaks,  and  leave  early.  
What  do  you  do?  

• As  a  manager,  it's  brought  to  your  attention  that  several  people  in  your  office  abuse  
the  internet  routinely  doing  non-­‐work  business,  however,  you  have  not  personally  
observed  this.  What  do  you  do?  

11   Ethical  Foundations  for  Public  Service.  Training  &  Organizational  Effectiveness,  Office  of  
Human  Resources,  Oregon  State  University,  August  2010  ©.  
 
Two Elements of Reasonable Reasoning for Difficult
Circumstances
As a manager, you'll likely run into situations that are particularly challenging and that will test
your ability to stay level-headed, maintain a degree of neutrality, and engage in fact finding as
you investigate the circumstances. Your ability to apply these behaviors will effect how you are
perceived as a supervisor. Being able to remain respectful and thoughtful without reacting, as
well as a willingness to ask for help or call on resources to assist, will positively direct the
circumstances.

Rationality and respect are two important behavioral skills to employ while working through
ethical dilemmas.

Element #1-- Rationality

• Thoughtful, orderly information processing
• Conscientious design of alternatives
• Mindful consideration or consequences
• Identification of practical constraints
• Goal and purpose clarity
• Regard for implementation details
• Accountable feedback mechanisms

Element #2-- Respect

• Identification of stakeholders
• Awareness of divergent points of view
• Empower others with knowledge and information
• Welcome inquiry and informed criticism
• Search for shared values
• Collaborate on solutions
• Confront others assertively

12   Ethical  Foundations  for  Public  Service.  Training  &  Organizational  Effectiveness,  Office  of  
Human  Resources,  Oregon  State  University,  August  2010  ©.  
 
 Thinking  it  Through…What  Would  YOU  Do?  

A  unit  head  has  ignored  the  calls  of  help  from  various  employees.  Two  of  the  supervisors  
involved  are  abrasive  and  react  strongly  and  are  known  to  raise  their  voice  when  
confronted  with  the  circumstances.  The  third  supervisor  has  simply  said,  “I’m  done  
dealing  with  this  issue  –  grow  up!”  Employees  describe  the  environment  as  toxic  and  
unhealthy.  Everyone  is  on  edge.  People  are  leaving.    

Would  you  want  to  accept  a  position  as  a  new  employee  under  these  conditions?    

How  do  the  skills  of  rationality  and  respect  come  into  play  for  the  unit  head?  

13   Ethical  Foundations  for  Public  Service.  Training  &  Organizational  Effectiveness,  Office  of  
Human  Resources,  Oregon  State  University,  August  2010  ©.  
 
Exercise: Ethical Values and Principles for Public Sector
Professionals

Select the three values from this list that are most important to you. If there’s a value missing
that is important, just add it. Additional instructions are on the next page.

£ Caring. Concern for the well-being of others manifests itself in compassion, giving,
kindness and serving; it requires one to attempt to help those in need and to avoid
harming others.

£ Honesty. Honest persons are truthful, sincere, forthright, straightforward, frank, candid;
they do not cheat, steal, lie, deceive or act deviously.

£ Integrity. Persons with integrity are principled, honorable and upright; they are
courageous and act on convictions; they are not self-serving; they will fight for their
beliefs and will not be expedient at the expense of principle, nor be two-faced or
unscrupulous.

£ Respect. Ethical persons demonstrate respect for human dignity, privacy, and the right
to make self-determination of all competent adults; they are courteous and decent; they
help others to make informed decisions about their own lives.

£ Fairness. Fair persons manifest a commitment to justice, the equal treatment of

individuals, acceptance of diversity, and they are open-minded; they are willing to admit
they are wrong and, where appropriate, change their positions and beliefs; they do not
overreach or take undue advantage of another’s mistakes or difficulties.

£ Promise-Keeping. Persons worthy of trust keep promises, fulfill commitments, abide by

the spirit as well as the letter of an agreement; they do not try to find technicalities or
loopholes in order to rationalize noncompliance or create justifications for escaping their
commitments.

£ Accountability. Ethical persons accept responsibility for decisions, for the foreseeable
consequences of their actions and inactions, and for setting an example for others. An
accountable person does not shift blame or accept credit for another’s work.

£ Fidelity/Loyalty. Persons worthy of trust demonstrate fidelity and loyalty to persons and
institutions by friendship in adversity, support and devotion to duty. However, the
principal of loyalty would not justify subordination of other ethical principles such as
honesty, integrity or fairness.

14   Ethical  Foundations  for  Public  Service.  Training  &  Organizational  Effectiveness,  Office  of  
Human  Resources,  Oregon  State  University,  August  2010  ©.  
 
£ Excellence. Public sector professionals are concerned with the quality of their work;
they pursue excellence, are well informed, diligent, committed to improvements. Results
are stressed as well as method of achievement.

£ Civic Duty. In a democracy, civic duty is an ethical obligation; it involves abiding by the
laws and rules of society, voting and expressing informed views, social consciousness
and public service. Public sector professionals have the additional responsibility of
encouraging participation of others, a special obligation to respect and honor democratic
processes of decision making.

£ Public Trust. Because of the unique importance of credibility and public trust, public
sector professionals do not use or disclose information learned in confidence for
personal or political advantage; they safeguard the ability to make independent
professional judgments by scrupulously avoiding undue influences and conflicts of
interest. They must be beyond reproach, avoiding even the appearance of impropriety.

£
£

Please  explain  how  does  each  of  these  values  influence  your  professionalism  and  the  quality  of  work  you  
produce?  

15   Ethical  Foundations  for  Public  Service.  Training  &  Organizational  Effectiveness,  Office  of  
Human  Resources,  Oregon  State  University,  August  2010  ©.