Topic Guide: Codes of Conduct

There is no sure-fire method of implementing an effective code of conduct, but efficacy and compliance can be improved by:[1] 

Impartial commissions

The OECD study on implementation of codes of conduct recommends that codes establish an impartial public ethics body to administer the code and provide guidance to public officials. This prevents enforcement of ethical behaviour from becoming a partisan political tool.[2] Such bodies should be empowered to audit risks to the integrity of important processes in public life such as tendering, financial management, recruitment, promotion, dismissal and discipline.[3]  

Ensuring a participatory development process

Most studies of codes of conduct emphasise the importance of consultation when drawing up codes of conduct for public bodies. This should involve a range of stakeholders such as public officials themselves, end-users of the public service in question and civil society.[4] This allows for valuable input from those who will be subject to the new code and helps convey a sense of ownership.[5]  

The 12 step model development process, advocated by the Ethics Resource Centre, recommends that an organisation empowers a core task force, made up of employees from diverse positions, responsible for the progression and implementation of the code. The literature also stresses that codes be revisited and revised at regular intervals to ensure their continued relevance.[6]  

Leadership

Effective codes of conduct for public officials and elected representatives should have the full support from the highest levels of government. In that way, bodies tasked with monitoring and enforcement are free to go about their activities without fear of partisan interference from above.[7]  

Embedding the code into a wider integrity management framework

Codes of conduct should form one part of a wider ethical framework and an integrated and sustained anti-corruption initiative which could include right to information laws, ethical training programmes, asset declaration and conflict of interest resolution mechanisms, whistleblower protection, and support for a free media and engaged civil society.[8] Crucially, when enacting codes of conduct, there should be no discrepancies between the proposed code and other existing laws.  

Identifying administrative bodies responsible for implementation

The OECD notes that establishing a specific administrative structure with a mandate to oversee the implementation process is a precondition for a code of conduct's success.[9] Other studies have recommended assigning responsibility for the overall public ethics framework to one central body to oversee public officials' codes of conduct.[10]  

Dissemination and ethics training

Public officials must be acutely aware of a code's provisions for it to be effective. A programme of dissemination and training is essential to ensure that officials understand the regulations, their obligations and the standards they are expected to comply with. A 2005 study demonstrated that codes of conduct are most effective when ethical standards are clearly known, as officials are then more likely to identify and denounce wrongdoing and are themselves less likely to behave in an unethical manner.[11]  

Competency-based training is held by some experts to be essential to "go beyond" a code's basic prohibitions in order to train officials to recognise and appropriately manage ethical dilemmas and integrity risks.[12] This could include situational-based training to help officials learn how to apply fundamental values to complex ethical situations not provided for by the code and to which there is no easy solution.  

Creating incentives for compliance

A recent paper argued that compliance rates can be improved through the creation of incentives for public officials to behave ethically. Approaches include linking adherence to codes of conduct to performance evaluations and the introduction of the code of conduct during appraisal interviews for public sector jobs.[13]