Ethics and Performance Evaluations

4.8 Ethics and Performance Evaluations

Controversies: 3.15, 6.15, 6.16 Key Words: evaluations, city, ethics standards Case Complexity → High CD: 3.9 Performance Evaluation for Managers CD: 4.12 Ethics Management in Cities and Counties

Your city workforce has been experiencing a rash of ethical lapses. It seems as if nearly everyone, from the janitorial staff to the department managers

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to the deputy directors, has had an ethics miscue over the past year. As the director of human resources, you feel strongly that it is time to put an ethics component in the annual evaluation of hourly workers and managerial/profes-

sional employees. You realize, of course, that your boss must agree and begin to think about how you will make the case to evaluate the ethical behavior of employees.

Ah, you have it, why not collect information from cities like yours to iden- tify what others are doing? After a few weeks of telephone calls and e-mails, you discover that very little is being done, but you do find one municipality that has an ethics component in the annual evaluation of the city manager, the city clerk, and the city attorney. The evaluation instrument asks the evaluator to rate the city manager/clerk/attorney as “Excellent,” “Fully Satisfactory,” “Satisfactory,” or “Unsatisfactory” in response to the statement: “Conducts self in accordance with the ethical standards of the office of Charter Officer.”

Disappointed by what you learn, you decide to form a committee to draft lan- guage that could be placed on the form to evaluate professional/management per- sonnel. You decide to do the same thing with the hourly employees’ evaluation language but at a later date. The committee takes their assignment to heart and produces the following set of evaluative statements:

1. Demonstrates an ethical approach in the discharge of duties.

2. Displays ethical behavior—promotes an environment that is open, fair, tol- erant, trustful, and respectful. Values public interest over self-interest and is accountable.

3. Clearly understands and communicates ethical practices, policies, and goals relevant to the community.

4. Shows respect for the views of others, takes pride in work products, places public interest over own self-interest.

5. Demonstrates integrity in all aspects of work.

6. Adheres to the city’s ethics code.

7. Demonstrates a clear ability to identify, evaluate, and resolve issues related to ethics.

8. Demonstrates sound ethical judgment and encourages ethical behavior in others.

9. Complies with rules and laws defined by the city Personnel Manual and pro- fessional standards and conducts self with integrity while avoiding undue influence.

10. Displays proper attitude toward organizational transparency and has suffi- cient knowledge of city’s ethical standards.

11. Demonstrates ethical judgment as defined by the city code of ethics or appli- cable professional standards.

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Discussion Questions

1. Which of these eleven statements do you like the best? Like the least? Why?

2. Rank order three statements, with one being the best.

3. Would the list differ in any significant manner for hourly employees?

4. In forming the committee to draft language to be placed on the performance evaluation, what should be the key criteria for membership?

5. Do you anticipate resistance from the workforce about including an ethics component in the annual evaluation? Why or why not?

6. Do you believe that the ethical performance of an employee can be evaluated fairly and accurately? Why or why not?

7. What do you say to persuade your boss that the city should place your pre- ferred statement on the annual performance evaluation form for managerial/ professional staff?

Case Assessment

Karl Nollenberger, Assistant Professor, University of Wisconsin–Oshkosh and for- mer Administrator of Lake County, Illinois:

Th e top management of the city needs to clearly articulate the ethical standards that it expects to maintain in the organization. The city is part of the public service that is committed to providing services to all citi- zens in a manner that promotes equity and fairness with integrity. The city is responsible to the entire citizenry and must forego any appear- ance of favoring certain individuals or groups in the community.

While all of the committee’s suggested evaluation questions are well thought out and of good quality, an evaluation needs to focus on three questions to articulate the importance of the topic area. The following three questions reflect the overall values of the committee and can be addressed in an evaluation annually for each employee:

1. Demonstrates an ethical approach in the discharge of duties.

2. Displays ethical behavior—promotes an environment that is open, fair, tolerant, trustful, and respectful. Values public inter- est over self-interest and is accountable.

3. Complies with rules and laws defined by city Personnel Manual and professional standards and conducts self with integrity while avoiding undue influence.

All employees need to be reminded at least annually of the impor- tance of ethical behavior in the performance of their positions. They are the embodiment of the public trust! An annual seminar for all employ- ees on the significance of the ethical dimension of public service would

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also help to emphasize the importance that the management accords to this topic. The communication of values in an organization is the most important element of effective management. Employees throughout the organization are called upon to make decisions daily, and if they are doing so within the values of the organization, the community will appreciate the quality of public service.

Robert Lee, (former) City Manager, Gulfport and Naples, Florida, and Past President of the Florida City and County Management Association:

Although the intentions of the human resources director are good, the approach that is being taken in this case study is destined to fail. First and foremost, it is critical that the agency’s CEO (e.g., city or county manager, elected executive, etc.) and not the human resources direc- tor, take the lead in changing this culture. The CEO should appoint

a committee of employees (with the active participation of the human resources director) and task them with evaluating the agency’s existing ethics policies (if any). Are they comprehensive? Are they clear? That is, are they written so the average person can understand them? Do they meet or exceed federal and state requirements? Are they agency specific? Th at is, do the policies cover situations that employees encounter in their jobs? The CEO should establish a timeline for completing the task and attend some of the meetings to discuss the committee’s progress and to answer questions regarding policies discussed. The CEO must evidence he or she is 100-percent committed to this assignment. In evaluating existing policies or in establishing policies, a review of ethi- cal policies established by other agencies is a good start.

Once a fair, understandable, interpretable, and enforceable ethics policy is established, and the employees are recognized for their role in its development, the next important step is training the agency’s employees so they understand the expectations therein. Training is a requisite. In addition to formal training (which the CEO must attend as well), daily and weekly reminders via e-mail, at staff meetings, in the organization’s newsletter, etc., are necessary to continue to remind employees of their ethical expectations. There should also be one or more people that employees know they can feel free to call to discuss or clarify ethical situations that confront them.

Th e third step in establishing an ethical culture, in this case study, is to make certain that violators are held accountable in a fair and con-

sistent matter. Employees are always watching how management han- dles situation that involve policy violations. Fair and consistent action will achieve the balance needed for employees to know that they will

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be held accountable for their actions, yet also feel free to be innovative and make mistakes (if pursuing solutions in the agency’s best interest) without retaliation. By repeating ethical expectations, the differences between a mistake and a conscious decision to violate policies will be clear in most cases.

Adding an ethical section in employee evaluations can now be con- sidered. The section could be applicable to all employees. A suggestion would include: “Promotes and demonstrates the agency’s ethical poli- cies in their day to day responsibilities.” A section should be available for written comments as well.