1. Influencing Behavior in the Workplace Dr. Germaine Brewington, CPA, CFE (Director) Sonal Patel, CPA, CIA (Assistant Director)

2. Dr. Germaine Brewington Sonal Patel Influencing Behavior in the Workplace Durham- Where Great Things Happen

3. Dr. Germaine Brewington Sonal Patel Influencing Behavior in the Workplace Durham- Where Great Things Happen Organizational Impact Neighborhood Improvement ServicesGeneral Services Budget and Management ServicesFire Durham Police Department Office of Economic and Workforce Development Fleet ManagementWater Management Public WorksSolid WasteTransportationPublic Affairs City/County InspectionsCommunity DevelopmentFinanceTechnology Solutions City Manager’s OfficeCity/County Planning Emergency Communications Human Resources The Audit Services Department staff have examined processes in 20 of 23 departments at the City over the past three years The staff have impacted every City employee through mandatory Ethics Training

4. Durham- Where Great Things Happen Purpose of this Session To discuss how we can influence behaviors Identify what behaviors we will focus on; Identify what we will not focus on; and Identify what we cannot do

5. Durham- Where Great Things Happen Why is influencing behavior important? Productivity Brand Equity

6. Durham- Where Great Things Happen Be proactive and set the temperature VS

7. Durham- Where Great Things Happen How does ineffective behavior begin? Staff stop “challenging the process” http://youtu.be/y-PvBo75PDo

8. Durham- Where Great Things Happen City of Durham’s Experience with Monkey See, Monkey Do Implemented the City’s Strategic Plan First attempt- 1999; Plan failed Second attempt- 2004; Plan failed Third attempt- 2011; Plan succeeded

9. Durham- Where Great Things Happen City of Durham’s Experience with Monkey See, Monkey Do Calculation of Overtime Timekeepers stated, “This is how we have always calculated overtime. I was told by the previous timekeeper to do this”.

10. Durham- Where Great Things Happen City of Durham’s Experience with Monkey See, Monkey Do Unproductive Culture at a Department Crews were not held accountable Several complaints were received through the Fraud Tip Hotline that crews were out of place Employees engaged in this behavior because of “Social Proof”-everyone else was doing it with no repercussions

11. How Does the City of Durham Influence the Behavior of its Employees

12. Durham- Where Great Things Happen How Do Employees View the Organizational Culture? Employee Satisfaction Survey (ESS) A question relating to the City’s ethical culture A question relating to fairness of practices Questions relating to effectiveness of communication o With direct supervisor o With the City Manager’s Office

13. Durham- Where Great Things Happen How Do Employees View the Organizational Culture? Surveys conducted by the Audit Department Are you more likely to report unethical behavior? Do you have a better understanding of what is expected of you from an ethical perspective?

14. Durham- Where Great Things Happen Understand Employee Views Analyze Results of Survey Develop Plans Implement Plans

15. How does the City assess employee views? 1. Department does ethics related survey 2. City does ESS survey 3. Both 1 & 2 4. Contact staff by phone

16. Tools Used at the City to Influence Behavior

17. Durham- Where Great Things Happen Activities to Address ESS Results The City’s Process Results shared with each department Departments engage in activities to address areas of concern Results are communicated back to the City Manager’s Office Performance evaluations for Department Heads are impacted

18. Durham- Where Great Things Happen Hire the Right People The City’s Process Perform higher level background checks Use NeoGov – a human resources application platform This platform ensures all employees meet the job requirements Directors can no longer circumvent the system to hire friends, etc.

19. Durham- Where Great Things Happen Define a Set of Values The City’s Process A cross functional team of staff were convened This cross functional team conducted focus groups with employees at all levels The staff adopted seven values that achieved the highest rankings

20. Durham- Where Great Things Happen Create a Code of Conduct City established a set of 8 ethics policies These policies clearly define the behavioral expectations These policies provide employees with a way to interpret the policies or get questions answered The policies specifically target supervisors because they are held to a higher standard

21. Durham- Where Great Things Happen Create a Training Program The Audit Services staff develop the content for the ethics training program Mandatory training for all staff Upper management involved in training program Encourage staff to challenge the process

22. How can you influence behavior? 1. Create Code of Conduct 2. Hire the right people 3. Train staff 4. All of the above

23. Durham- Where Great Things Happen Results of the Director’s Research A statistically significant positive impact on ethical behavior occurred when: Ethics training is mandated; All Tip Hotline allegations are investigated; and Appropriate sanctions are imposed on confirmed allegations

24. Durham- Where Great Things Happen Investigate All Unethical Behavior Staff are accountable for overseeing the Tip Hotline; Residents and employees can access the anonymous URL or they can call in or stop by to report allegations; Staff investigate all allegations; and Staff report all activity to the City Manager and ASOC.

25. Durham- Where Great Things Happen Communicate Results Recognize National Internal Audit Week Fraud prevention awareness Involve employees Bring in experts in the field Department’s newsletter highlights unethical behavior

26. What factors positively impact bad ethical behavior? 1. Review only allegations you think you can substantiate 2. Impose sanctions when allegations confirmed 3. Communicate allegations to the newspaper 4. None of the above

27. Durham- Where Great Things Happen Sanctions Imposed Fraud policies identify the possible sanctions for confirmed acts of unethical behavior City does not currently have a standard list of sanctions That effort is underway Consistency (fairness)

28. Durham- Where Great Things Happen Positive Reinforcement Senior Management Staff (ADs and above) are: Rated in their performance evaluations Held accountable for ESS results Required to attend Executive Leadership Program

29. Durham- Where Great Things Happen STAR Awards All City staff are eligible for recognition Employees are encouraged to be actively engaged in the City’s Culture of Service Program: o Service to Self o Service to Co-Workers o Service to the Community

30. What role does communication play in impacting behavior? 1. Employees know management is serious when sanctions are imposed 2. Rewards reinforce positive behavior 3. Employees learn to challenge the process 4. All of the above

31. Durham- Where Great Things Happen Summary How do we influence behavior? We try to hire the right staff on the front end We encourage staff to challenge the process We train staff on the expectations for their professional behavior We created a code of conduct and set of ethics policies We investigate all allegations of fraud, waste or abuse

32. Durham- Where Great Things Happen Summary How do we influence behavior? We use senior management staff to model behavior through facilitating training We should impose consistent sanctions when allegations are confirmed We reward positive behavior Upper management is held accountable for ESS results We conduct exit interviews when an employee leaves

33. Durham- Where Great Things Happen Summary Why do we influence behavior? To maintain the brand equity of the City that has been developed over the past 7 years; To ensure the resources of the City that the residents entrust to us are used effectively and efficiently; and that they are safeguarded.

34. Which ACC basketball team is the best in NC? 1. UNC 2. Duke 3. Wake Forest 4. NC State

35. Durham- Where Great Things Happen Questions or Comments?