Module 2 Lecture Notes

Module 2 Lecture Notes

How does this week relate to PA?

Ethics is a driving force in creating/shirking policy, as well as executing government operations

Delaying or ignoring can be viable options

Outsourcing government activities has an impact on how much control an agency can have

Example: Overexpansion of business

It’s easy to ensure the quality of a Starbucks Frappuccino when there are 10 locations. They will generally taste the same. The same cannot be said if there are 2,700 locations, right?

With government the same type of idea exists:

More variables involved – more to manage to ensure consistency

Less control – over moving parts

Questions to Think About

ow For the field: Coopers questions – how to we infuse ethics into public administration?

For yFFor yourself: How do you reason executing your job requirements when there is a feeling of personal moral disagreement with the executing action that is taking place?

FFor field application: What lessons can public administration learn about ethics from other fields?

Ethics in the Past

The study of ethics has been at the core of intellectual writing by the Ancient Greeks, with writings still relevant in today’s society

Aristotle, Plato, Athenian Oath

Athenian Oath – an oath sworn by citizens of ancient Athens to serve their fellow citizens. James Madison expressed this in the Federalist papers

“The public good, the real welfare of the great body of the people, is the supreme object to be pursued”

Ethics grounded in Greek tradition

Teleological – “Telos” (Result): Importance of maximizing what is good

Theory of morality that derives duty or moral obligation from what is good or desirable as an end to be achieved

Example: Stealing could be viewed as right or wrong depending on the consequences. Suppose I were thinking about stealing a loaf of bread from the grocery store. My motive would have nothing to do with the rightness or wrongness of the act. What matters is the potential for short-term and long-term consequences. If my children were starving and stealing a loaf of bread would immediately prevent them from starving, then I might seriously consider it, But I’d have to know if the consequences would significantly harm the grocery story. What are the odds of getting caught? If I were caught, what would happen to me? Jail? Fined? If I went to jail, who would take care of my children?

Therefore, even if my motive for stealing (preventing my children from starving) was praiseworthy, the act of stealing might still be wrong because other actions might be more cost-effective in bringing about the desired results.

Maybe I could sign up for food stamps? Or Ask the store owner to give me a loaf of day-old bread.

However, if there were no other options and I was sure that I wouldn’t get caught, would it be wrong to do within teleological ethics?

Deontological – “Deon” (That which is binding/duty): emphasizes motivations/intentions instead of consequences as the most influential element in decision making

An action is considered morally good because of some characteristic of the action itself, not because the product of the action is good.

Some acts are morally obligatory regardless of their consequences for human welfare

Human beings are morally required to do (or not do) certain acts in order to uphold a rule or law. The rightness or wrongness or a moral rule is determined independently of its consequences or how happiness or pleasure is distributed.

Example: Many members of the anti-slavery movement in early 19th century America argued that slavery was wrong, even though slave holders and southern society in general economically benefited from it. Suppose that they slave holders were able to condition the slaves to enjoy living under those conditions (eye roll). From a teleological perspective, slavery would appear to be an ideal economic institution. Everyone is happy! A deontologist would argue that even if the American government conducted a detailed cost/benefit analysis and decided that slavery created more pleasure in society than pain, it would still be wrong. They would argue that using human beings solely for the purpose of increasing the pleasure of others is simply wrong, even if they seem to consent to such an arrangement.

Essentially, within deontological ethics, morality is based on whether acts conflict with moral rules or not, and the motivation behind those acts.

Ethics Definitions

Ethics was a branch philosophy and is considered a normative science because it’s concerned with the norms of human conduct, as distinguished from formal sciences (math and logic) and empirical sciences (chemistry and physics).

It’s ongoing contribution to the advancement of knowledge and science continues to make ethics a relevant, if not vital aspect of management theory

French and Grandrose (1995): “A set of normative guidelines directed at resolving conflicts of interest as to enhance societal well-being.”

Thompson (1985): Good administrative ethics:

The rights and duties that people should respect when they act in ways that significantly affect the well-being of others.

The conditions that shared behaviors and policies should satisfy when they similarly affect the well-being of society.

Bottorff (1997): “Body of principles or standards of human conduct that govern the behavior of individuals and groups — Its Ongoing contribution to the advancement of knowledge and science continues to make ethics a relevant, if not vital aspect of management theory.”

Martin Luther King, Jr.: The time is always right to do what is right

Need for Administrative Ethics

The organization structure in which public employees currently operate engenders ethical dilemmas

Glass, China, and Reputation are easily cracked and never well mended – Franklin

Should administrators obey policies? OR serve the needs of the client

This is a major issue administrators face

Strait (1998): Public employees must deal with the challenge of balancing diverse and competing demands.

Must be able to work within framework of three goals:

Loyalty to the organization

Responsiveness to needs of the public

Consideration for the employees own objectives and desires

Infusion of ethics in public administration

Athenian Oath

Public officials’ oath

Elected and public officials are sworn into service by taking an oath

Physicians “do no harm”

Attorneys must swear to uphold the constitution (federal and state)

Like an oath of office, organizational codes of ethics affirm the importance of ethical standards of conduct

Potential to reduce corruption (not completely erase)

Fourteen Principles of Ethical Conduct for Federal Employees

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 the Standards of Ethical Conduct, 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 interest may be substantially affected by the performance or non-performance 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 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 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 the Standards of Ethical Conduct. 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.

Ethical or Nah?

Paula works in the public information office of the Internal Revenue Service. A private trade association offers to pay her to teach a short course on a new taxpayer assistance program being implemented by the IRS.

Can Paula accept the offer?

Ethical or Nah?

No!

An employee may not receive compensation from any source other than the government for teaching, speaking, or writing that relates to the employee’s official duties.

Corruption

It starts small

Shirking responsibility

Time bandits

Arrive late to work, leave early, take long lunch breaks, and manipulate leave records

Take supplies

Stealing office supplies, abusing expense accounts

Unauthorized use of supplies

online shopping, making personal calls, Photocopying/printing for personal use

Run a small personal businessat work

Judith Hawkins ran a ministry in her courtroom, used court time and resources

Condoning corruption is the result of lowering ethical expectations(Roberts, 2007)

Misdeeds acceptable as long as they aren’t egregious or newsworthy

Solutions to Corruption?

Petty corruption is widely tolerated

Almost everyone is guilty of this. PA would be gutted if this were a fire able offence (taking home a pen, making a personal phone call)

By engaging in petty corruption, it provides a foundation for building criminal momentum (slippery slope)

Toned down if logged in

People rarely object to them openly

Is a psychological deterrent for slacking or non-work endeavors

Large-scale corruption countering is difficult

Public servants can establish an anticorruption culture

Disgust or making it known that you an individual are not okay with what happened

Requesting an explanation of what happened

Similar to having someone clarify an inappropriate joke

Calling out misbehavior – showing that someone noticed

Bringing it to the attention of supervisors

Ethical or Nah?

Sylvia, an employee of the Securities and Exchange Commission, offers to help a friend with a customer complaint by calling the manufacturer of a household appliance. In the course of the conversation with the manufacturer, Sylvia states that she works for the SEC and is responsible for reviewing the manufacturer’s SEC filings.

Has Sylvia misused her public office?

Ethical or Nah?

Yes!

Employees may not use their public offices for private gain, either their own gain OR that of others. Sylvia used her office to induce a benefit for private purposes.

Whistleblowers

Whistleblowing is the disclosure by organizational members (former or current) or illegal, immoral or illegitimate practices under the control of their employers, to persons or organizations that may be able to effect action

Can be reported within existing organizational mechanisms or through outlets such as the inspector Generals that may be internally connected by independent of normal chain-of-command, or through other public avenues like news agencies or law enforcement, outside of the organizations

In the public sector, whistleblowing, as a form of “prosocial behavior” in support of public interest, is expected, and sometimes legally required.

In order for this prosocial behavior to be recognized as such, organizational culture must view whistleblowing as a positive action designed to protect and improve the work environment, creating stronger accountability and transparency within the organization

Why do workers not whistle blow regularly?

Internal pressures

Fear of retaliation

Let my team down, let the people down in my group

“Going along to get along”

Organizational openness (or lack) for whistleblowing

Org culture and leadership

HR policies

Internal reporting mechanism

External Pressures

Not getting another job

Snowden is still in Russia

Fear of a tainted reputation

Negative stereotypes of whistleblowing

Deep Throat didn’t reveal who he was until he was out of government

Threats from other officials to proceed

And if you still do

Government may just pretend to listen

Buried in bureaucratic backwaters in the hope that they will be forgotten

What scenarios are most likely to be reported?

Legal issues, including theft, discrimination, and harassment, or issues affecting the health and safety of employees (Near et al., 2004)

Who is most likely to report?

Employees with higher public service motivation

Women have been found to whistleblow less than men

Why do you think this is?

Fears of retaliation

Job advancement insecurities

Socialization theory – gender expectations for women to be more submissive and obedient (social role expectations)

Social role expectations for increased acquiescence and compliance by women, particularly in regard to power dynamics within a hierarchical bureaucratic structure, have been analyzed in respect to whistleblowing and increased retaliation for women

As job security and advancement opportunities for women continue to improve, and workplace environments and human resource practices continue to adapt to the needs of an increasingly diverse workforce, impediments such as increased fears of retaliation against women whistleblowers may decrease.

Alternatively, evolution in societal conditions and expectations based on gender norms could also reduce this disparity

A 2011 study (Liyanarachchi and Adler) found that men are more likely to engage in whistleblowing than women at the beginning of their careers and are more likely to whistleblow regardless of retaliation than women when they have strongly established careers.

When paired with a 2009 study (Kaplan et al.,) showing that women were more likely to report through anonymous channels, this suggests that women’s propensity to engage in whistleblowing is impacted by gender differences in career advancement and job security.

Notable Unethical Activities in PA

Tuskegee Study (Syphilis): 1932-1972

President Nixon’s Watergate Scandal

President Clinton’s Intern Scandal

Senator Rob Blagojevich selling of Barack Obama’s U.S. Senator seat

Prison torture

Extraordinary rendition abroad

How NOT to Run an Organization – Machiavellian

Niccolo Machiavelli’s beliefs run opposite to good ethics

The Prince (1532): Provides recommendations on how rulers can gain and maintain power.

“Means to an ends” philosophy

A prince never lacks a legitimate reason to break his promises

Reinforces ideas of corruption

His works illustrated corruption and misdeeds in government

8 Characteristics of Machiavellian Individuals

They are dishonest

They are cunning

Usually narcissistic

Their ends justify their means

All of their “moves” are part of a game

Subtle use of control and manipulation

They loved to be loved, but not at the expense of being “respected”

They only reveal true intentions if it provides an advantage to them

Machiavellian Examples

Frank Underwood

House of Cards

Ruthless pragmatist, consummate liar, capable of sabotage, killer

Petyr “Littlefinger” Baelish

Game of Thrones

“Chaos is a ladder”

Takes advantage of the chaos, backstabbing

Gustavo Fring

Breaking Bad

Scar

The Lion King

Deceitful, ambitious, sly, amoral

Lord Varys

Game of Thrones

Master of Whispers – employs an army of children who act as informants

Will do whatever it takes to serve the realm

Tom Ripley

The Talented Mr. Ripley

Amoral, does not allow emotions to impact behavior, will use violence to achieve his goals

Cartman

South Park

Will do anything to further a goal

Framed his mother for drug production/distribution

Minced two people (parents) into festival chili con carne for revenge

Talented manipulator – emotional blackmail

Game of chess lacking empathy

Stalin

Stalin epitomized the “New Prince” Machiavelli described

Ruthless in his conduct – responsible for the death of approx. 40 million people

Eliminated all opposition – crushing those who threatened the stability of his regime

Random purges and stream of executions ensured that the civilians were too weak/afraid to pose a significant threat

However, the majority of Russians were loyal to him

Frederickson

“The hope of virtue in the public life is to be found not just in the individual propensity to be ethical, but more so in the development of organizational rules and procedures, in virtuous leadership, and in the development of virtuous public cultures,” Frederickson (2010).

Argues that public administration has been slow to react to different types of “public contexts” and ethical issues that emerge in those contexts.

Public?

Due to the increase in private and non-profit work in the field of government due to privatization and contracting out, Frederickson believed organizations are now public (though not fully governmental)

This meant a dynamic range of clearly public to slightly public

Example: School districts – now have charter school options, vouchers, etc.

Charter schools (NGOs) are public but not as governmental

Institutions and organizations (NGOs) have an impact on public life, thus all are on the spectrum of publicness

Traditional Ethics Canon of PA – Slide

Virtue

Traditional public administration ethics canon didn’t fix big issues (Goal displacement, poverty/homeless).

It did fix small issues (misuse of PCs, Car regulations, cellphones)

Red Tape still arose.

Focused on what should not be done rather than what should be done

Did little to reduce corruption at the political/electoral level, focused on small ethics

We are now in an era of “Really Big Government”

Not so much public workers (which there are a lot), but contracting has expanded greatly.

American governments at all levels have moved steadily in the direction of taking managerial and service-delivery functions out of the hands of civil servants and putting them in the hands of nonprofit and for-profit third-party contractors and grantees

Core administrative functions like HR, Payroll, Budgeting, IT, and Record Keeping

Could ethical issues arise when outsourcing these functions?

Big Government

The civil service decreased almost 25 percent from 1974-1999, while the contract workforce doubled at the federal level during the same time period.

For every non-uniformed federal employee, there are now more than seven contract workers

What does this mean? More “third-party” work!

Decentralization- As activities get outsourced, there is often less quality control, ability to monitor actions.

What is the difference between a federal employee and a federal contractor?

Federal contractors are paid higher salaries (sometimes)

Contractors have less job security/stability

Easier to get a contractor job

Contractors don’t get the same level of retirement benefits

Contractor – good in the short term; shitty in the long term

How Big is It?

33 – 50 percent of budgeted activities at the state level are for federal activities to be carried out at the state level (Medicare, Medicaid, job training, etc.).

Outsourcing federal policy implementation to the states, who then outsource to their counties, who then work with private and non-profit organizations to do the work

Extraordinary rendition

CIA outsourced the interrogation and torture of suspects arrested abroad.

As of 2010, 17 million people make up the extended workforce.

The number will continue to rise!

Institutions now function on a spectrum of publicness (clearly public, slightly public)

Each institution’s place on the spectrum is fluid

Back to Virtue

Frederickson believed that public life needed to be focused

Full understanding of the public sector broadly defined

Followed by ethics and morality collectively rather than individually

Ethics and morality includes government AND all institutions and organizations that are public and have public obligations

Ethics canon must be built as you build ethics in the modern public sector

What do YOU think?

What issues do you see?

Governmental control?

Accountability?

What organization earns contracting?

Enforcement of issues?

Confusion?

Others?

Recap!

Ethics are grounded in Greek tradition

Teleological / Deontological

Athenian Code

Outsourcing of Government

Civil service decreased almost 25 percent from 1974-1999, while the contract workforce doubled at the federal level during the same time period.

What does this mean? More “third-party” work!

Decentralization- As activities get outsourced, there is often less quality control, ability to monitor actions.

As of 2020, 5 million people make up the contracted workforce.

How does this section relate to PA?

Ethics is a driving force in creating policy, as well as executing government operations.

Many elements are considered when thinking about public health threats domestically and internationally

Who is at risk domestically?

How fast does it spread?

If it is quickly, should we quarantine?

Does quarantining violate citizen rights?

Friedrich-Finer Debate

1935 – Carl Friedrich initiated a debate with Herman Finer on the relationship between ministers and public servants

Central issue in the debate: tension between accountability and responsibility

Nature of Public Service

Friedrich – a responsible person gives an account. Accountability + Responsibility = rational account to be given

Finer – responsibility involves a relationship of obedience to an external controlling authority. Accountability + Responsibility = obedience of one to another

Politics and Administration

Friedrich – Politicians can’t oversee every last detail of the work of public servants (may not be understood by anyone but a specialist – best left to experts). Argued that policy and administration, though conceptually distinct, blend together in practice, making policy dependent on administrative knowledge of technical details and likewise administration involved political judgement about what can/can’t be done in a social context. Two way flow.

Finer – Says he’s wrong. He sees their difference as a difference between the “sense of duty” (Friedrich) and the “fact of responsibility” (Finer). Argues that the fact of responsibility is obedience to explicit direction. Politics and administration must be sharply distinguished with the former to direct and the latter to obey. One way relationship. Ministers must supervise administrators in the name of democracy, as the elected representatives of the people.

Responsibility

Finer – Responsibility is an arrangement of correction and punishment even up to dismissal both of politicians and officials (compliance-based)

Friedrich – Responsibility cannot be seen strictly in policy-neutral compliance or in legalistic notions of accountability. Functional responsibility – adherence to professional standards based on objectivity and detachment (rational based)

Remind you of Weber?

Carl Friedrich (1901-1984)

PhD in History from U. Heidelberg

German / Lecturer @ Harvard

(1940)

Ethics was a moral compass that would guide public administrators through the chaos of ethical dilemmas

Code of ethics with internalized standards

PA literature has sided mostly with Friedrich

Later predicted that US would be totalitarian by 2000

Herman Finer (1898-1964)

PhD in Economics from U. London

Russian / Lectured at Harvard & Chicago

(1941)

Argued that external controls is most compatible with a view of public administrator as a neutral person who merely carries out tasks

“Obedience to explicit direction”

Holding an official accountable for their actions is an arrangement of checks and balances

Most of PA practice has been directed at external controls

Seen in additional laws and regulations to promote ethics

Adams & Balfour

Little recognition of the most fundamental ethical challenge to administration: Once can be “good” or responsible as an administrator and at the same time commit / aide to considerable acts of administrative evil.

Milgram (1974) “Agentic Shift” – where professional administrators acts responsibly toward the hierarchy of authority, public policy, and the requirements of the job or profession while abdicating any personal or social responsibility for the content or effects of administrative actions

Rubenstein (1975): No laws against genocide were broken by people that perpetrated the Holocaust. Everything was legally sanctioned and administratively approved by a legitimated authority

Administrators in the Holocaust were effective and responsible administrators who used administrative discretion to both influence and carry out the will of their superiors

Rubenstein IS NOT supporting the Holocaust in any fashion with this statement!

Moral void is evidenced by the fact that many people that participated in The Holocaust weren’t punished and even received jobs in postwar Germany.

The need for “good managers” to rebuild the German economy and to develop US rocket program outweighed any consideration of the administrative evil they were a part of.

Similarly to Tuskegee, scientific methods were used in ways that dehumanized and murdered innocent human beings. Professionalism consistent with modernity drives away moral reasoning.

Adams & Balfour

History has shown that people are rather powerless in terms of exercising moral conscience when compared to a legitimate authority

Currently, one can’t be a “civil servant” and be in public disagreement with legally constituted political authorities.

One can voice disagreement with a public policy privately, but if this does not result in a change of policy, the only acceptable course of action that remains are to leave or comply.

Think about – teachers and mask mandates this fall

Holocaust shows us that civil servants are likely to be helpless victims or willing accomplices

What kind of ethical system allows an individual to be a good administrator while committing acts of evil?

Adams & Balfour argue that it doesn’t: Morally wrong

Norms of legality, efficiency and effectiveness do not necessarily promote or protect the well-being of individuals, especially of society’s most vulnerable populations

Adams & Balfour

Reconstructing Public Ethics

American liberal democracy is vastly procedural: Based on elements that are laid out, it is black-and-white and methodical.

Civil liberties, voting, fair procedures in decision making, technical-rational policy making, equal employment opportunity – address outcomes

Not based on “real” day-to-day conditions of people’s lives.

Which ultimately enable or disallow them to act as citizens in a democratic state

Our core American value of individualism is contradicted at time via maneuvering through cultural / social norms and the constant bombardment of the attempt by others to influence us.

Alasdair MacIntyre: Bureaucratic Individualism

The freedom to make private decisions is bought at the cost of turning most public decisions to bureaucratic managers and experts.

Individualism has the tendency to destroy its own conditions

Adams & Balfour: Communitarism

We are all interdependent – fates are intertwined (no one will acknowledge this)

Want to maintain the perception of our individuality

Social groups are fractioned (racism, homophobia, etc.)

We have been held together, as a country, through coercive power and public policies of elimination

Technical/rational solution to social and political disorder

A challenge that America faces is paradoxical: