Topic Guide: Codes of Conduct

A guide to developing your organization’s code of ethics. Ethics Resource Centre, 2001. http://www.shrm.org/about/docu...  

Although not limited to the public sector, this basic guide is an easily accessible manual outlining the role of ethics codes, their function, how to write them, what to include and how to develop a comprehensive code. It also includes sample forms and tools for drafting a code. As this guide is rather old and primarily aimed at the private sector, the emphasis here is on values-based, non-enforceable codes. For public sector bodies seeking to go beyond a list of prohibited activities, however, it provides a helpful overview on how to embed ethical behaviour into the heart of an organisation. For example, the recommendation to empower a task force consisting of a diverse group of people from the organisation to be responsible and accountable for the code’s development is a practical way to ensure broad acceptance and ownership of the code by public officials. See also: What to Do after Your Code of Conduct Is Written, (Ethics Resource Centre, 2003) which underlines the importance of communication of the code, comprehensive ethics training and frequent revision of the code to guarantee continued relevance.  

Handbook on parliamentary ethics and code: A guide for parliamentarians. GOPAC Global Task Force on Parliamentary Ethics, 2009. http://www.coe.int/t/dghl/monitoring/greco/evaluations/round4/GOPAC%20Handbook%202009_EN.pdf  

This handbook provides guidance to politicians on ethical issues in legislative bodies. It was drafted by politicians and addressed to reform-minded MPs and to a lesser extent civil society to help them understand and improve standards of ethical conduct within parliaments. The handbook has two purposes, first, to describe and explain the constituent parts of a system of ethics and conduct that need to be implemented and, second, to identify the key issues for politicians in developing, implementing and enforcing such a system. It places great emphasis on developing effective ethics regimes that are consistent with varied political and cultural contexts while still adhering to fundamental international standards, notably the United Nations Convention against Corruption.  

While not seeking to provide a universal blueprint, the guide sets out the key stages of a political reform process: firstly, establishing political agreement on the broad principles for ethics and conduct, and then building more detailed rules and mechanisms for their enforcement. It conceptualises codes of conduct as made up of three distinct but complementary elements: principles, rules and the regulatory and enforcement framework.  

Implementing a code of conduct for the public sector in Jordan. OECD Joint Learning Study, 2010. http://www.oecd.org/gov/ethics/45916428.pdf  

This is a helpful peer-review methodology to analyse the progress and challenges of implementing codes of conduct in practice and offers lessons that can be applied elsewhere. The study demonstrates how codes of conduct, as a key instrument in integrity management, can be adapted to complement wider efforts to enhance public integrity, fight corruption and modernise the public sector. It also highlights some innovative practices for increasing the efficacy of codes of conduct, in particular emphasising the use of both incentives and sanctions to improve compliance, pre-appointment financial disclosure initiatives to manage potential conflicts of interest before they arise and the development of interactive awareness-raising training programmes (including role-playing, joint problem solving and hypothetical situations).  

How to implement codes of conduct: Lessons from OECD member states. Michael, B., and Hajredini, H., 2011. http://papers.ssrn.com/sol3/papers.cfm?abstract_id=2250999&download=yes  

This article outlines the basic steps for implementing codes of conduct, breaking down the process into four distinct phases: (1) deciding who and what to regulate, (2) data collection to determine what elements to include in codes of conduct, (3) designing/modifying appropriate institutions (such as an ombudsman, and ethics committee) and (4) sustainable implementation. The paper examines how different OECD member states regulate the behaviour of their public officials: using codes of conduct as a guide to well-established principles in administrative law. It is particularly helpful as it explicitly clarifies the relationship between codes of conduct, ethics-related law and other legislation. Also notable is the emphasis placed on the process of legal analysis and data collection which needs to be undertaken before the code of conduct is drafted.  

International best practices for whistleblower policies. Government Accountability Project, 2013. http://www.whistleblower.org/sites/default/files/Best_Practices_Document_for_website_revised_April_12_2013.pdf  

Codes of conduct should also contain provisions on whistleblowing. This document is useful, therefore, as it provides a checklist of 20 requirements to ensure that whistleblower laws are in line with international best practice. These best practice standards are based on a compilation of all national laws and intergovernmental organisation policies, such as those at the United Nations and World Bank. It also compares legal provisions for whistleblowers across many jurisdictions around the world to the Government Accountability Project’s 20 point checklist for strong and effective whistleblower protection.

See also: Whistleblower Protection Frameworks, Compendium of Best Practices and Guiding Principles for Legislation (OECD, 2011) and Draft Model Law to Facilitate and Encourage the Reporting of Acts of Corruption and to Protect Whistleblowers and Witnesses (Organisation of American States, 2011).  

Developing and implementing a code of ethical conduct: A guide for businesses and other organisations. Consultative Committee of Accountancy Bodies, 2014. http://www.ccab.org.uk/PDFs/Code_Guidance_final_SG_Amends2.pdf   

This recent handbook is intended to assist professional accountants to develop or enhance codes of conduct within their organisations, whether in business, the public sector or the third sector. While it covers the typical elements of a code of conduct guide (such as scope and content) its real utility is the very clear and thorough guide to effectively supporting a code and embedding its values and principles within the organisation. It is also helpful as it outlines the central role that professional accountants can take in the development and implementation phase. The Consultative Committee of Accountancy Bodies (CCAB) also publishes some tools for ethics training, the Ethical Dilemmas Case Studies.