Influencing Behavior
in the Workplace
Dr. Germaine Brewington, CPA, CFE (Director)
Sonal Patel, CPA, CIA (Assistant Director)
Influencing Behavior in the Workplace
Dr. Germaine Brewington
Sonal Patel
Durham- Where Great Things Happen
Organizational Impact
Neighborhood
Improvement Services
General Services
Budget and Management
Services
Fire
Influencing Behavior in the Workplace
Durham Police
Department
Office of Economic and
Workforce Development
Fleet Management
Water Management
Public Works
Solid Waste
Transportation
Public Affairs
City/County Inspections
Community Development
Finance
Technology Solutions
City Manager’s Office
City/County Planning
Emergency
Communications
Human Resources
Dr. Germaine Brewington
• The Audit Services Department staff have examined
Sonal Patel
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
Durham- Where Great Things Happen
To discuss how we can
influence behaviors
 Identify what behaviors we
Purpose of
this Session
Durham- Where Great Things Happen
will focus on;
 Identify what we will not
focus on; and
 Identify what we cannot do
 Productivity
Why is
influencing
behavior
important?
Durham- Where Great Things Happen
 Brand Equity
Be proactive
and set the
temperature
Durham- Where Great Things Happen
VS
Staff stop “challenging the
process”
How does
ineffective
behavior
begin?
http://youtu.be/y-PvBo75PDo
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
DurhamWhere
Great
Things
Happen
DurhamWhere
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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”.
DurhamWhere
Great
Things
Happen
DurhamWhere
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
DurhamWhere
Great
Things
Happen
DurhamWhere
Great
Things
Happen
How Does the City of Durham
Influence the Behavior
of its Employees
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
DurhamWhere
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DurhamWhere
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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?
DurhamWhere
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DurhamWhere
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Understand Employee Views
 Analyze Results of Survey
 Develop Plans
 Implement Plans
DurhamWhere
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DurhamWhere
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Happen
How does the City assess employee
views?
1. Department does
25%
25%
25%
2
3
25%
ethics related survey
2. City does ESS survey
3. Both 1 & 2
4. Contact staff by phone
1
4
Tools Used at the City
to Influence Behavior
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
DurhamWhere
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Things
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DurhamWhere
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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.
DurhamWhere
Great
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Happen
DurhamWhere
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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
DurhamWhere
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Happen
DurhamWhere
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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
DurhamWhere
Great
Things
Happen
DurhamWhere
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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
DurhamWhere
Great
Things
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DurhamWhere
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Things
Happen
How can you influence behavior?
1. Create Code of
Conduct
2. Hire the right
people
3. Train staff
4. All of the above
0%
1
0%
2
0%
3
0%
4
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
DurhamWhere
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DurhamWhere
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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.
DurhamWhere
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DurhamWhere
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Communicate Results
Recognize National Internal Audit Week
 Fraud prevention awareness
 Involve employees
 Bring in experts in the field
 Department’s newsletter highlights
unethical behavior
DurhamWhere
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DurhamWhere
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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
0%
1
0%
2
0%
3
0%
4
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)
DurhamWhere
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DurhamWhere
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Things
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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
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DurhamWhere
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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
DurhamWhere
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DurhamWhere
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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
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0%
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4
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
DurhamWhere
Great
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Happen
DurhamWhere
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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
DurhamWhere
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DurhamWhere
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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.
DurhamWhere
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DurhamWhere
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Which ACC basketball team is the best
in NC?
1. UNC
2. Duke
3. Wake Forest
4. NC State
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Questions or Comments?
DurhamWhere
Great
Things
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DurhamWhere
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Things
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