E T H I C S RESOURCE C E N T E R

Prepared for IACC Conference-May 2003

The Merit Based System: Just One Part of An Anticorruption

Initiative—The US Example

Introduction…

• Development of merit based systems• Current status of US Federal Government• Merit based systems, alone, are

insufficient• Additional institutions are necessary to

combat corruption• Additionally, some US States as

examples

Notion of a Merit Based System

• Considered a critical element in anticorruption initiatives

• Process of de-politicization

• Important to control risks such as patronage and corruption

• Traditional misperception of the US as an ideal-type of merit system

Merit based system notions, cont..

• US as a model but not ideal Unevenly applied Difficult to emulate Offers applicable examples for other,

developing countries

• Presidential vs. Prime Ministerial Systems

Historical Development

• US Civil Service Reform-From Patronage to Merit The Early Republic Federalist Papers Merit as a basis for political

appointments (not in the current sense of the word)

Effective at dealing with conflicts of interest—potentially due to the small size of the government at that point

Stage II: Jacksonian PeriodThe Uneven Path

• Implemented the rotation of offices attempting to eliminate elitist bureaucracy

• Based on the idea that almost anyone is qualified for public service

• Cure for previous transgressions ended up worse than the disease

The Pendelton Act--Halfway House to Reform• Enacted in 1883 to regulate and improve

the civil service of the US in response to the assassination of President Garfield

“Be it enacted…That the President is authorized to appoint, by and with the advice and consent of the Senate, …”

Pendelton Act, Cont…

• Created the concept of job classification

• Created the US Civil Service Commission

• Classified employees grew in number, exponentially during its initial stages of implementation

The Evolution of the Merit System-The Twentieth Century

• Growth in numbers of merit based employees was uneven throughout the twentieth century

• Social and political issues became major determinants Example of Woodrow Wilson

administration

Current Status US Federal Government • A large number of senior officials

are not merit based employees• Much “thicker” than most western

governments• Significant numbers of political

appointees, exempt employees and senior select service members

• Rapid increases, recently, in contracting and/or sub-contracting

Merit System, alone, is not enough

• US remains a cautious example for developing countries

• Procurement and contracting process one of the most transparent in the world

• Yet, compared with OECD countries, US ranks with Mexico as having the largest number of non-civil service appointees

• What can we learn from all of this?

Institutions are essential

• Oath of office required by all government employees—not an oath to the president, congress or agency head—but the US Constitution

• Establishment of Government offices and agencies to promote ethics OGE OSC MSPB

Institutions, cont…

• Use of disclosure as a tool for achieving greater accountability

• Detailed rules to govern the conduct of government officials

• Legislative initiatives

• Efforts to increase government efficiency and effectiveness

At the Federal Level…An Ethics Infrastructure

• Framework provided by the US Constitution

• Subject areas include… Financial disclosure Conflicts of interest Employee conduct Fraud

Federal infrastructure, cont…

• Capacities in investigation and prosecution

• Special bodies responsible for ethics

• Effective accountability and control mechanisms

• Regulation via a Code of Ethics

At the State Level…Merit and Integrity, An Uneven System

• The “politics of patronage” is still an issue

• Policy and practice varies widely from State to State

Wisconsin: Merit Based Exemplar

• Leader in good government and integrity systems

• Approx. 37,000 civil servants and 2,000 political appointees

• Effective (not the “strongest” in the draconian sense) Code of Ethics

California: Mystique of the Golden State• Traditionally, large numbers of

patronage employees

• Approx. 200,000 civil service employees, indeterminate number of political appointees

• Relatively weak Ethics System lacking in effectiveness and systems for evaluation

Florida: The Almost Sunshine State• Appearance of impropriety an issue

from 2000 election (Secretary of State example)

• Approx. 120,000 civil service employees, est. 8-10,000 political appointees

• Active Ethics Commission

Conclusions

• Exploring the myth of the merit based system in the US

• Merit systems alone do not prevent corruption

• An ethical infrastructure, and institution-building, is also essential

Woodrow Wilson…Congressional Government

“…human nature is much the same in government as in dry-goods trade. Power and strict accountability for its use are the essential constitutions of good government…an official station so conspicuous that no faithful discharge of duty can go unacknowledged and un-rewarded and no breach of trust undiscovered and unpunished…”