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Home My WebLink AboutResearch Paper: The Effectiveness of Online Ethics Training Programs: A Case Study of the City of Bozeman Ethics Program by Joseph Pioro THE EFFECTIVENESS OF ONLINE ETHICS TRAINING PROGRAMS:A CASE STUDY OF THE CITY OF BOZEMAN ETHICS PROGRAM by Joseph Pioro A professional paper presented in partial fulfillment of the requirements for the degree of Master of Public Administration December 9, 2011 1 Abstract Ethics training programs have become increasingly prevalent in the public sector. These programs seek to inform employees about an organization's ethical codes of conduct and assist them in making professional decisions that are in accordance with these rules_ Using a quantitative research strategy with a cross-sectional design, this study examines the impact of ethics training on training outcomes (knowledge, attitudes, and behavior) of city employees, officials, and board members in Bozeman, Montana.All of the respondents (n= 99)participated in the City's online ethics training program and some (n = 70)participated in both the online program and an in-person training session conducted the year before. Training outcomes were measured using an online survey administered to ethics training participants. Mean training outcome scores and distributions were compared by training group and by demographic variables. Scale variables were constructed and analyzed using simple frequencies and independent samples t-tests. Respondents who participated only in the online training sessions self-reported higher mean training outcome scores than those who participated in both the online and in- person training sessions. Changes in means for scale variables measuring ethics training knowledge and overall effectiveness were found to be statistically significant at the 95 percent confidence interval (p=.05). Possible reasons for these differences are discussed, and recommendations are made based on the implications of this case study. Keywords: public-sector ethics, online training 3 Introduction Public sector ethics is an important field for public administration scholars, public administrators, and citizens. Taking steps to increase the administrator's ability and desire to act ethically in his or her professional decisions is vital to ensuring impartial and conscientious decision making at all levels of government. This topic is important to public administration and the public sector because ethical conduct by public sector employees is necessary for the appropriate execution of government mandates, proper administration of public programs, the provision of public services to citizens, and for ethical decision making and responsible administrative discretion. The notion of ethical conduct in organizations has garnered much attention lately, due in part to widely-publicized misconduct in the private sector(Garcia-Sanchez, Rodriguez- Dominguez, and Gallego-Alvarez, 2011). Public sector ethics has become increasingly important in recent years, due to reform movements (Kernaghan, 2000, p. 91), examples of"political corruption" (West and Berman, 2004, p. 189), and a need to clarify and standardize ethical expectations for public employees (Jovanovic and Wood, 2006, p. 387). Public sector ethics scandals and responses have generated a limited body of literature regarding codes of ethics and ethics training, yet"most of the relevant academic literature on ethics training is based on private sector data [and] less is known about the nature, extent, and delivery of ethics programs, especially at the local level" (West and Berman, 2004, p. 189). Berman,West& Cava's (1994) study contributed to this limited body of literature by comparing the ethics management practices of large cities and large firms, yet failed to address the practices of smaller local governments. This study attempts to address the lack of literature in this area. 5 It is particularly important to address local governments because of the increased predisposition toward misconduct that these governments experience. According to the National Government Ethics Survey, "while federal employees reported less inclination toward misconduct on their jobs, 86 percent of state and local government employees reported a lack of a strong ethics program in their workplace,while only 7 percent of state employees and 9 percent of local government employees said they see a truly ethical culture on the job" (Brock, 2008, pp. 8-10). Furthermore, the report found that"employees in environments conducive to misconduct are far more likely to observe unethical acts, "with 68 percent of employees in'conducive environments'reporting misconduct as compared to 35 percent of employees in environments that are not conductive to misconduct, and indicating that'environment plays a role in perpetuating unethical behavior"' (Brock, 2008, p. 8). Howard Prince, director for the Center for Ethical Leadership at the Lyndon B. Johnson School of Public Affairs "agrees with ERC's recommendations that state and local governments create stronger ethics programs [yet] says the most important recommendation in the report is that governments create an ethical environment" (Brock, 2009, p. 10). These perceptions of the ethical "climate" (a term I use to describe both public and organizational/internal perceptions of ethics in government) are an important catalyst for public sector ethics reform. In order to increase adherence to codes of ethics, both public and private sector organizations have developed ethics training programs designed to increase knowledge of these ethical codes and to promote ethical behavior among organizational actors. Organizations have utilized both traditional in-person, classroom-style training sessions and online training modules to conduct ethics training programs yet little research has been conducted to determine if there are differences in training outcomes between these formats. 6 This study addresses this void in the literature by comparing measures of training outcomes of in-person ethics training participants who also completed an online training session with those of online-only ethics training participants. By addressing this lack of research, this study identifies a particular niche in public sector ethics research that deserves further consideration and aims to understand not only if ethics training is effective but how it is effective by comparing the relationship between training format and training outcomes. In addition to considering changes in knowledge, behavior, and attitudes that can be attributed to this training, the degree of effectiveness of an online training format is considered and compared to traditional in-person training methods. Understanding the effectiveness of online education is becoming increasingly important as more of these programs are implemented_ In addition to determining what differences, if any, exist between online and in-person ethics training, this study contributes to the limited body of literature about ethics training as an attempt to improve organizational ethics practices. Pelletier and Bligh (2006)note that, "for many organizations, the primary mechanism [of improving ethics] is the development of a formal ethics program, yet there is a dearth of research on what comprises these programs and what makes them effective" (p. 360). This case study considers both the content and format of a municipal ethics training program. Background In 2009, the Local Government Center at Montana State University was contracted by the City of Bozeman to develop and implement an ethics training program for city employees, officials, and board members based on the City of Bozeman Ethics Handbook, a training resource based on the Bozeman Municipal Code of Ethics. In June and September of 2009, Dan 7 Clark, director of the Local Government Center and Dr. Paul Lachapelle, Montana State University Extension Community Development Specialist and Assistant Professor of Political Science, presented twenty-two training sessions to city employees, board members, and officials. In December 2010, an ethics training program consisting of a series of online training modules with a corresponding quizzes (see Appendix A)was implemented and city employees, officials, and board members (N= 527)were given a link to a web site that presented these training materials. These individuals were instructed by the city clerk to complete the online ethics training program. In June 2011, a link to a voluntary online survey was sent out to training participants and ninety-nine responses were collected(n=99), resulting in a response rate of 18.8 percent. Relevant Literature In order to examine public sector ethics training, it is necessary to explore the foundations of administrative ethics as well as training methods and outcomes. The following discussion of these categories presents relevant findings from previous studies and builds a framework for discussion of the case study. First, underlying notions of ethics informed by public administration theory are presented; second, organizational factors are explored; third, codes of ethics and their relationship to ethics training are examined; fourth, training formats are discussed; and finally, training outcomes are explored. What Are "Ethics"? In order to implement an organizational ethics training program, a basis for the curriculum must be identified. In order to formulate an ethics training program, the notion of 8 "ethics"must be defined in the context of the public sector. Once this abstract notion is defined, it can be codified, considered in the context of the organization itself, and taught to members of the organization in order to encourage ethically-informed behavior. The following discussion outlines the notion of public sector ethics as a foundation for ethics training programs. Ethics, in the public sector sense of the word, are considerations of dominant cultural notions of right and wrong with respect to professional actions and consideration of competing interests (the"public good")when faced with competing decisions. Based on this recognition, the public sector employee must act ethically by avoiding misconduct and making decisions that serve the public interest. However, due to the subjective nature of individual moral decisions and "the need to ground administrative action in moral concepts beyond personal preference" (Stewart, 1991,p. 370), it becomes necessary to construct a system of ethical controls. These controls must be informed by an underlying framework in order to be effective components of a process aimed at improving ethical conditions in an organization. Stewart (1991) contends that "the task is not to choose among philosophical traditions... but, rather, to take seriously the debate and reach into each tradition to build a theory of administrative ethics grounded in our understanding of the implications and assumptions of conceptual building blocks" (p. 370). Along these lines, if ethical decision making is to be standardized and implemented through codification, it must be determined where the basis of this code of ethics comes from. Stewart (1991)makes an important observation about the nature of ethics in the administrative context, saying that"the philosophical underpinning of much work in organizational studies, particularly in public administration, stands antithetical to the systematic study of the rational basis for `ethics'in administration" (p. 358). Stewart(1991) continues: "rather, the strongest elements in our tradition can be interpreted as assuming a worldview that posits a radical 9 distinction between fact and value, between politics and administration, and between means and ends" (p. 358). These notions noted by Stewart(the fact-value dichotomy, the politics- administration dichotomy, and the separation of means and ends)inform the dominant ideology regarding administrative discretion and fair decision-making. Stewart's (1991)notion of administrative ethics encompasses an additional component that deserves consideration: "tracing its intellectual lineage to the philosophy of logical positivism, this underlying theory holds that no conclusion with a valuative or moral content can be derived from factual premises" (p. 358). Stewart notes the consequences of this recognition, stating that"in order to develop a true science of human behavior characterized by general laws, scholarship must expunge all references to intentions, purposes, or other value content from expressions of those laws or principles" (p. 358). Stewart recognizes the impact of this notion on public administration theory, noting that"this theme is inextricably present in a taproot work of contemporary public administration, Simon's (1976)Administrative Behavior" (p. 358). This abstraction of ethics from normative context suggests a degree of consistency and impartiality that underlies many ethical codes. Operationalizing Theory The difficulty in operationalizing an ethical framework extends beyond selecting a basis for a code of ethics that can be exemplified in an organization.As depictions of(desired)human behavior, ethical frameworks offer competing ontologies,while an effective ethical code considers competing decisions that lead the administrator toward a specific course of action. In order to develop a basis for a code of ethics, it is important to operationalize an ethical framework by recognizing how central aspects of the code function in practice.A responsible 10 administrator must measure his or her actions by degree of adherence to the ethos of the organization. In the case of government entities, this ethos encompasses key values of the organization itself(perhaps embodied in the mission statement), broader notions of administrative values (such as serving the public interest), and administrative ideals that permeate the field(efficiency, accountability, transparency). Thus, the challenge becomes not only to act in the public interest, but to do so efficiently, in accordance with one's organizational values, and in a manner that is beyond reproach. Organizational Factors (Values,Discourse, and Environment) According to Pelletier and Bligh (2006), the following factors are within the organization's control: (1) "the development and communication of formal ethical codes," (2) "training in ethical decision making," and (3) "the establishment of congruency between stated policy and actual behaviors" (p. 360). The following section examines relevant aspects of public organizations that contribute to these factors: the values statement as a basis for action and a benchmark for ethical behavior, the role of discourse in advancing ethically-informed behavior, and the role of the ethical environment and organizational culture in advancing organizational ethics goals. These factors interact with external constraints that are beyond the organization's control (e.g., laws, political environment) to shape organizational culture and ethical demands. The Values Statement Kernaghan(2000)notes the importance of"a statement of key values" (p. 91). This statement may be found in an organization's code of ethics and often guides the creation of what Kernaghan (2003) describes as an"ethical regime" (p. 711). Kernaghan(2003) argues that 11 "greater emphasis should be placed on the values statement as the central component of a values regime—that is, of the collectivity of measures for making shared values an integral part of the public-service culture" (p. 711). Development of an ethics program with this statement of values in mind may inform a more effective curriculum that considers and encourages these "shared values"in the context of ethical decision making and standards of conduct. The City of Bozeman identifies and defines four"core values" in the City of Bozeman Ethics Handbook, listed and described below: Integrity:Be honest,hardworking,reliable,and accountable to the public. Leadership:Take initiative,lead by example,and be open to innovative ideas. Service:Work unselfishly for our community and our citizens. Teamwork:Respect others,welcome citizen involves,and work together to achieve the best result. In order for these values to become"shared values," they must be integrated into the ethical environment. Once these values are embodied in a code of ethics, they can inform ethics training programs and potentially manifest themselves in workplace behavior and professional decisions. Similarly, organizational discourse can integrate these values into the organizational environment. The following section discusses the later notion as well as the relationship between ethics training and ethical discourse within an organization. The Role of Discourse In order to examine the relationship between ethics training (and, in turn, the ethics program and code of ethics that informs it) and ethical environment, it is useful to consider organizational discourse about ethics. Jovanovic and Wood's (2006) four-year ethnographic study of the City of Denver's ethics initiative examined"how dialogic moments in a local government provide the possibility for transformation of the organizational culture that results in more ethical 12 decision making" (p. 387). The identification of key values within an organization is an important step, yet, once these values are identified and articulated, the work of integrating them into the organization's ethical program begins. Kernaghan (2003)notes the importance of incorporating values into an ethics regime,noting that"the public administration community needs to focus more attention on how values can be integrated into the structures,processes, and systems of public organizations" (p. 711).According to Jovanovic and Wood(2006), engaging in an open discourse about ethics can be an effective way to engage members of the organization in attempt to build an ethical foundation for the organization. The researchers note that this recognition of the role of dialogue in the process of ethics can create a better ethical environment: "for practitioners and officials interested in advancing organization-wide ethics training, we urge pursuing dialogical means and a `fundamental sort of openness' (Gadamer, 1960, p. 361) to raise ethical concerns and then deliberate them" (p. 387). In the context of this case study, the notions of open discourse and dialogical methods of engagement are reflected in the creation of a board of ethics and opportunities for follow-up sessions for ethics training participants. Specifically, the role of discourse in creating and reinforcing an ethical environment was noted by Dorgan (20 10) in her study of the creation of City of Bozeman's Board of Ethics and content analysis of the city's ethics handbook and related documents. Dorgan (20 10) found that"transparency, education, and the promotion of a dialogue or open forum and conversation of the topic of ethics for organizations, public servants, and community members"was the central theme of the creation of the Board of Ethics (p. 3). Communication can also help administrators articulate and understand the public interest, which is generally considered to be the basis for administrative decision making. Jovanovic and Wood note that"understanding ethics as a communicative activity rooted in interaction,rather 13 than as a prescribed set of rules to guide behavior, has the greatest potential to lead to action in the public interest, especially where administrative and policy decisions reflect an obligation to broad, shared interests rather than limited, particular ones [Cooper, 2004]" (p. 387). Through this process, ethics becomes a dynamic and responsive tool for administrative decision making rather than a static measure of adherence to predefined procedures. While a formal code of ethics forms the basis of an ethics training program, the introduction of this code and other components of an ethics initiative can provide an opportunity for ethical discourse that may not only encourage or reinforce the training itself, but improve the ethical environment through recognition by organizational actors that ethics is an important and tangible aspect of their organization and their specific duties and responsibilities. Environment An important factor to consider when implementing or modifying an organization's ethical standards is the ethical environment of the organization itself. The research identifies key components of organizational culture that must be in place to encourage ethical compliance. According to the a report from the Ethics Resource Center outlining the findings of the 2008 National Government Ethics Survey, an "ethical environment"must be created through the use of organizational ethics programs (Brock, 2008). This recommendation was based on several key findings of the report, including the fact that"almost one-quarter of public sector employees responding to [the survey] said there is a'strong pressure to compromise standards' in their work environments," as well as widespread misconduct (approximately 63 percent of local government employees reported observing"at least one type of misconduct in the previous year, primarily abusive behavior,misuse of the Internet and employees putting their needs above the 14 organization") (Brock, 2008, p. 8).According to the report, "a major ethics scandal may soon unfold in the public sector unless government agencies, particularly local and state governments, institute strong ethics programs" (Brock, 2008, p. 8). In addition to the creation of an ethical environment that discourages ethical misconduct, an effective ethical environment encourages ethical decision making. Brock (2008)notes that, according to Howard Prince, director of the Center for Ethical Leadership at the Lyndon B. Johnson School of Public Affairs, "we know from research and from experience that even people who know what's right, and who agree with what's right, will sometimes behave unethically if the ethical environment is unsound... the most important thing that leaders need to do if they want to fix these kinds of problems [is to] invest in programs to teach leaders that [acting ethically is] part of their job" (Brock, 2008, p. 10). This statement conveys the importance of leadership in the ethical environment. Organizational leaders must recognize the competing values that administrators must consider in the decision making process and work to create an environment that encourages members of the organization to identify the public interest and choose actions based on this recognition. Prince also recognizes the implications of the identification of the public interest in the decision-making role of public employees and suggests that government employees "must be taught the 'content of ethics,' or what is the right thing to do in different situations, and how to influence others to do the right thing" (Brock, 2008, p. 10). This call for articulation of the public interest and organizational leadership necessitates the operationalization of ethical values in ethics training. However, knowledge of organizational ethics does not guarantee compliance, especially with regard to misconduct. Prince continues, "it's not enough to just give people training on what's right and assume that if you know what's right you'll do what's right... the 15 people who are misbehaving, being unethical in government, in most cases know, or at least have some sense, that what they're doing is wrong, and yet they do it" (Brock, 2008, p. 10). This recognition that intentional misconduct is a reality in public organizations, coupled with a call for leadership and conscientious decision-making constitutes the need for an ethical culture in public organizations, explored in the following section. Culture An ethical culture can be encouraged through the recognition of key organizational values, the development of ethical codes, effective leadership, and the encouragement of discourse. The importance of this last component is noted by Jovanovic and Wood (2004),who assert that"the code, the Board of Ethics, training, and the advisory opinion/complaints process only provide the skeleton for an ethical culture" (p. 388). The authors note that"culture must be enacted... in and through communication" (p. 388), suggesting that an organization with ethical aspirations must have a culture that encourages discourse.As noted above, the City of Bozeman's Board of Ethics is a body that facilitates ethical discussion and, as such, is an important part of the City's ethics initiative. By setting providing an opportunity for ethical discourse, the Board of Ethics and similar bodies encourage constructive discourse that promotes a positive and dynamic ethical culture. Codes of Ethics and Ethics Training A code of ethics is a formal document that guides organizational behavior.An organization's code of ethics is based on the organization's mission and vision, societal standards of fairness and impartiality,best practices developed by professional organizations (such as the 16 American Society for Public Administration's code), and applicable laws. Public perception of the actions of public sector employees and the responses of various levels of government have resulted in a series of measures designed to increase ethical actions by public sector employees (codes of ethics, ethics training programs, transparency and accountability initiatives). These codes are distributed to organizational members and, in the case of public sector organizations, are available to the public as well. The mere existence of codes of ethics does not reduce corruption (Garcia-Sanchez, Rodriguez-Dominguez, and Gallego-Alvarez, 2011). The reason for this is unclear, but it may be the case that members of the organization are either unaware of the code itself or are unable or unwilling to incorporate the code into their professional decisions. Indeed, Brock(2008)notes that local government officials are often unaware of ethics codes, while Pesch (2008)recognizes the challenging nature of administrative decision making absent such codes. If either of these explanations are correct, an ethics training program could be used to educate members of the organization about the code of ethics and provide training and examples that allow them to operationalize it and integrate it into the decision making process. Ethics training is becoming increasingly prevalent; results of a national survey show that approximately two-thirds of cities with a population above 50,000 employ some form of ethics training, and in one-third of cities this training is mandatory (as compared with 43.5 percent of cities in which ethics training is voluntary;West and Berman, 2004). As noted earlier, these programs seek to accomplish two objectives: the reduction of misconduct or corruption, and the encouragement of ethical decision-making. Furthermore, these programs can encourage the trust and transparency that codes of ethics encourage. 17 Since ethics training programs are informed by a code of ethics, it is necessary to examine the nature and intent of these codes. West and Berman (2004) differentiate ethics training goals into two categories: "low road" or"defensive" efforts aimed at sparing an organization from "the embarrassment associated with allegations of legal wrongdoing," and "high road" or"aspirational" efforts that seek"develop employees' capacity to identify, articulate, and resolve issues" (p. 190). This later category of training goals "is sometimes complimented by additional efforts to increase openness, communication, and accountability" (p. 190), which, as noted earlier, has been found to encourage the development of an "ethics regime" (Jovanovic and Wood, 2006). For the purposes of this study, "low road" ethics are embodied in aspects of the ethics code that prohibit misconduct, while "high road" ethics are found in components of the code that seek to improve ethical decision-making. The City of Bozeman's charter describes a "low road" or compliance approach to ethics, stating that the city "shall appropriate sufficient funds... to provide annual training and education of city officials, city boards, and employees regarding the state and city ethics codes" (p. 13). These competing notions of the primary goals of ethics training are also reflected in Berman's (2000) observation that"two traditions, first reflected in the landmark Friedrich-Finer debate... have informed the development of ethical standards of public administration" (p. 674). These traditions, which Berman identifies as the "bureaucratic ethos" and the "democratic ethos," represent different philosophical underpinnings of ethical codes.According to Berman, "the bureaucratic ethos (which includes efficiency, efficacy, expertise, loyalty, and accountability) is grounded in Weber's model of bureaucracy, Wilson's politics/administration dichotomy, and Taylor's scientific management" (p. 674). The other tradition, "the democratic ethos (which embraces regime values, citizenship, the public interest, and social equity) is based on Rohr's 18 constitutional values, Cooper's responsible administrator, Lippman's public interest, and Rawl's social equity" (p. 674). While these competing notions of ethical goals consider broader notions of organizational activity and behavior, for the purposes of this study, measures designed to reduce misconduct and increase accountability are identified as components of the bureaucratic ethos, while measures designed to increase ethical consideration in the professional decision making process are considered to reflect the administrative ethos. Dorgan (20 10)notes the "intrinsic and practical value of creating an ethics handbook as a resource and guide for government employees, volunteers, and average citizens," encompassing both of these administrative ethos (p. 4). Ethics Training and Misconduct As noted earlier, Brock's (2008)review of the National Government Ethics Survey suggests that major ethics scandals will occur based on results of the National Government Ethics Survey, which finds an overall lack of ethics programs and a high possibility of misconduct among public sector employees (especially at the state and local levels). These types of warnings constitute the primary conception of ethics training as a tool to discourage misconduct(consistent with the "low road" approach or"bureaucratic ethos" described above). While discouraging misconduct is a vital concern for public organizations, ethics training sessions afford these agencies an opportunity to improve ethical decision making practices within all levels of the organization. In addition to outlining organizational values and expectations, ethics codes often call for the creation of an ethics board. Dorgan (2010)notes that the Bozeman Municipal Code of Ethics both establishes the Board of Ethics and defines its authority and role as an entity created"in 19 order to establish a community-wide standard of conduct" (p. 4). The dynamic nature of ethics boards may allow these bodies to be effective mechanisms for diffusing ethical standards and reducing misconduct. Ethics Training and Ethical Decision Making Pesch (2008)notes that codes of ethics and other similar mechanisms seek"to maintain administrative accountability" (p. 335).According to the researcher, "the advantage of[these] `accountability arrangements'lies in their tangibility: Civil servants are able to determine whether a certain decision is acceptable, and the decisions they make can be evaluated by comparing them with an explicit code of conduct or reference system" (p. 335).A proper code of ethics not only provides these tangible guideposts for administrative decision making, it also encourages administrators to consider competing values. Van Wart (1996)notes this, stating that an "administrator's decisions [can only be determined] by the thorough consideration that they give all legitimate values in formulating the best possible decision when various values compete" (p. 335).A well-constructed code of ethics recognizes and encourages these considerations of administrative decision making. Mason (200 1) adds to the discussion by differentiating between ethical consideration (respect for persons and similar criteria) as compared to decision-making (among competing courses of action for the administrator). The first component, ethical consideration, encompasses the reduction of misconduct, while the second component speaks to responsible execution of job duties. Consistent with other literature, these criteria must be incorporated into components of ethical codes that encourage responsible administrative discretion. 20 Training Format At present, there is no literature comparing the effectiveness of online and traditional ethics training methods. Dedman and Palmer's (2011) survey of social work field instructors found that attitudes toward online instruction are mixed but generally favorable, with less than four percent rejecting the idea entirely and approximately 14 percent responding"probably not," while 50 percent of respondents said they "might" and approximately 32 percent said they would participate in online training. The researchers also identified a weak correlation between computer and Internet skills and willingness to participate in online training. Similarly, the researchers found a weak correlation between previous participation in online courses and willingness to participate in online training and participation in online chatrooms and discussion boards and willingness to participate in online training. With the increasing prevalence of technology in the workplace and the busy schedules of public sector employees, it would be expected that these individuals would increasingly embrace the online training format. The format of ethics training programs is an important consideration when evaluating their effectiveness. Finkel (20 10) examines a private sector program ethics compliance program designed to engage employees with interactive elements and increase the effectiveness of the program, replacing an "off-the-shelf'version previously used by the company. Through the use of surveys and tracking, the company can receive feedback about this program. Like the program described by Finkel, the municipal ethics training program evaluated in this study is a custom training tool with a series of quizzes designed to engage participants and test their knowledge and understanding of the material provided. While Finkel's description of the program offered only anecdotal evidence of effectiveness, future studies may provide empirical data about training outcomes. 21 Online ethics training programs are also being implemented at the federal level. The Office of Government Ethics (OGE) is using"interactive, web-based modules" to address ethics laws and situations as they apply to specific employees (Kavanagh, 2007, p. 18). Educating public sector employees about specific ethical codes and their impact on decision making is important, since, according to Van Wart(1996), "it is generally acknowledged that extremely few administrators willfully break the law, violate public interests, damage their organization, transgress professional norms, or wantonly intrude personal interests such as greed... much more challenging and relevant to most administrators are the situations in which they must discharge a vague law, balance rival public interest groups, sort out the appropriate organizational interests from organizational ego, consider a higher but costly professional standard, and not overstate or abandon personal interests" (p. 532). Interactive components of both online and in-person ethics training sessions may help public sector employees integrate these codes into their professional actions. Training Outcomes In order to evaluate the effectiveness of ethics training, it is necessary to operationalize training outcomes (reduced misconduct and better ethical decision making skills when dealing with competing interests) in terms of knowledge, skills, and behaviors. Ethics training seeks to change the knowledge, skills, and behaviors of training participants. An increase in knowledge about the code of ethics is to be expected following training, and participants should demonstrate relevant skills based on the training (e.g., ethical decision making) and modify their behavior to comply with the code of ethics upon which the training is based. West and Berman (2004) found 22 that the content of these training programs are consistent with "best practices" and have a positive effect on organizational culture. Ethics Training and Proper Conduct Valentine and Fleischman (2004) found that"businesspersons employed in organizations with formalized ethics training have more positive perceptions of organizational ethics than do those working for firms without such training" (p. 386).Although this study was conducted in the public sector, ethics training programs in the public sector may have similar outcomes. Valentine and Fleischman also note that"ethics training can be used as a forum for employees to discuss [ethical] pressures with colleagues and management, covering the legal and ethical challenges common to a particular profession" (p. 387). This opportunity for discourse is consistent with Jovanovic and Wood's (2006)notion of encouraging a"fundamental sort of openness"within the organization to promote ethical discourse (p. 387). Svensson and Wood(2009)found that public servants in organizations with codes of ethics did not feel that they were"using their code of ethics in their every day dealings with society,"yet these same respondents "acknowledged an effect of the code on the achievement of their goals," suggesting the perception of a"link between being ethical and their performance in society" (p. 373). These findings suggest that,while the existence of a code of ethics improves perceptions of organizational performance, it does not necessarily ensure that public employees use the code in their professional decisions.An ethics training program may allow employees to implement their organization's code of ethics into their daily activities. Ethics Training and Ethical Decision Making 23 Klugman and Stump's (2006) study of ethics training in higher education explores two theories of how ethics training affects ethical decision making among participants. The first theory states "that ethicists and ethics training do not simply provide tools for moral reasoning, but rather, through an ethics curriculum, they have the power to change an individual's core values and beliefs" (p. 182). The second theory suggests an opposing view, "that the dominant underlying objective of ethics education is to increase an individual's ability to reason on a moral level when confronted with decision requiring the identification and analysis of problems and various outcomes" (p. 182). Johnson& Corser(1998), as cited by Klugman and Stump, argue that"the goals of ethics training are 'sensitization to ethical issues, improvement of ethical judgments, encouragement of responsible ethical actions, and toleration of ethical decision- making"' (p. 182-183). Lyndale (2004), as cited by Klugman and Stump, "suggests that ethics instruction seeks to promote critical thinking skills and basic knowledge of ethical theory in order to allow the individual to actively evaluate decisions and question moral rather than passively accept them" (p. 183).Along these lines, Jurkiewicz et. al. (2004), as cited by Klugman and Stump, "reiterate the goal of ethics education as relating to the active application of analytical and moral reasoning skills as learned in the classroom into everyday life [and] that the curriculum did not teach specific morals or influence values" (p. 183).At the conclusion of their training session,Klugman and Stump found that"the individuals who identified a shift in opinions or values [as indicated by pre- and post-training surveys] attributed the shift to a recent change in their ability to critically analyze difficult situations" (p. 186). Klugman and Stump's emphasis on critical thinking as a component of ethical decision making is supported by Callan (1992), who found that ethical compliance is independent of personal values, stating that 24 "employees' awareness and regular use of the organization's code of conduct generally proved to be poor predictors of ethical values" (p. 768). Pelletier and Bligh (2006) suggest that"an organization that is seeking to improve ethical practices should ensure that suitable decision-making processes exist [and] those processes should provide mechanisms for involving employees in the decision-making process," and that "decision makers should be exposed to training on deontological evaluation and should be aware of available alternatives to assist them in their decision-making processes" (p. 361). These findings suggest that a comprehensive ethics training program would provide decision making models and resources for decision making, as well as educate members in the organization about the underlying values that these decisions represent. Ethics Courses and Academic Liberalism Klugman and Stump (2006) suggest that ethics courses seek to encourage the first of the three components of academic liberalism, as identified by Nussbaum: "(1) 'the capacity for critical examination of oneself and one's traditions' (1997, p. 9); (2) [students] seeing themselves as 'human beings bound to all other human beings by ties of recognition and concern' (1997,p. 10); and(3) developing the narrative imagination where a person learns to empathize with others (1997,pp. 10-11)" (p. 187). These findings compliment learning theory research that has suggested the role of ethics training is improving the critical thinking skills of participants (see above, Klugman and Stump, 2006). Demographic Variables and Training Outcomes Ethical Values 25 The relationship between demographic variables and ethical values in explored in Callan's (1992) survey of state employees, which found that socio-demographic variables (sex, age, position, years in public sector) "proved to be quite consistent predictors of[the employees'] ethical values,"while job characteristic variables (perceived authority and power, level of outside contact, autonomy in decision-making, frequency of ethical issues)had some impact on ethical values. Callan notes that"in an early study, Hodgkinson (1971)found little relationship between the age, sex, and seniority of administrators and their value orientation [while] more recently, Kidwell and her associates (1987)reported similar attitudes among males and females about the giving of gifts and favors, the use of confidential information, and abuse of an organization's time, services, or goodwill to the advantage of employees" (p. 761). Callan also notes that"the sexes do not appear to differ in their attitudes towards fraud or the improper use of coercion and influence, although it appears that females are less supportive of behavior that involves self interest and cronyism (Harris, 1990)" (p. 761). Rather, Callan(1992) finds that"in contrast, there is considerable evidence that an employee's position in the organizational hierarchy influences his/her ethical values," specifically "employees at higher levels of management are more concerned about ethical practices than staff at lower levels of the organization, and they are generally more disapproving of fraudulent and questionable practices than lower level or less experienced staff' (p. 761). Callan notes that"a second set of factors that can influence the ethical values of employees are more related to the characteristics of an employee's job position [since] the extent to which a position gives an employee power and authority might be expected to influence their ethical standards of conduct" (p. 762). 26 Pelletier and Bligh (2006)found that"demographic variables significantly predicted perceptions of ethics program effectiveness... but accounted for only 5% of the variance" (p. 368). Other limitations of demographic variables as predictors of training outcomes are discussed by Haley (2008),who examines "the relationships between preferences for online or traditional face-to-face training and variables such as ethnicity, gender, age, educational level, and years of experience," (p. 33)noting"that the preference for online training was not related to demographics" (p. 36). Customization of Training Based on Job Characteristics Callan (1992)believes that some ethics "training initiatives... have limited success as many organizations either fail to examine the actual training needs in ethics of employees or they do not design training programs to account for the differing needs of employees due to their position in the organization,job characteristics, or general attitudes to ethics" (p. 761). Gerde and Foster(2008)propose new and innovative strategies for making ethics training more engaging and effective, such as using comic books to teach business ethics. This strategy could be used to create specific training scenarios for employees based on their job characteristics (see the "Results" section for a discussion of customized training scenarios). Summary In sum, ethics training is an attempt by organizational leaders to integrate an ethical framework into the workplace through training sessions based on a code of ethics. These operationalized codes of ethics constitute the content of these programs, however it is also important to consider the format of training session when evaluating training outcomes. This 27 literature review assisted in the formulation of a research question and may be used to inform the data collected through the use of a survey instrument. In addition to drawing from existing literature for insight, this project contributes to the existing literature by evaluating the effectiveness of an online ethics training program based on its effects on attitude, knowledge, and behavior of participants, as well as the effectiveness of the online format as compared to in- person, classroom-style training. The literature also suggests that discourse, leadership, and interactive training elements may be useful to incorporate into public sector training initiatives. The literature suggests that ethics training does change knowledge, attitudes, and behaviors about ethics in the workplace. Based on these findings, the researchers expect to see changes in the sample group. The literature is less clear about the effects of demographic variables on ethical and training outcomes, as Callan (1992)found that socio-demographic characteristics "proved to be quite consistent predictors of[the employees'] ethical values,"while Haley (2008) found"that the preference for online training was not related to demographics" (p. 36). Research Question 1. Does an online ethics training program affect the knowledge, attitudes, and behaviors of public sector employees? a. How does its effectiveness compare to traditional training methods? b. How are demographic and job characteristics related to training outcomes? Methods 28 This project employs a quantitative research strategy with a cross-sectional design. Data was collected from ethics training participants using a survey tool (see Appendix A) consisting of a series of Likert scale questions that operationalize training outcome concepts (knowledge, attitude, and behavior). The survey also addresses training format and content considerations and well as demographic and job characteristic variables. Survey responses were analyzed using comparisons of means tests. Scale variables were created and analyzed using both comparison of means tests and independent samples t-tests to explore the statistical significance of changes in the means of training outcome variables. Sampling considerations, survey design, validity and reliability, and data analysis are reviewed in the following sections. Sampling The invitation to participate in the online survey was sent to all city employees, officials, and board members (N= 527) on June 6th, 2011 in the form of an email from the deputy city clerk with a brief description of the intent of the survey (evaluation and improvement of the ethics training process). Reminders to complete this survey were sent to training participants on June 21st and July 7th, 2011. Responses were collected(n= 99) on August 11, 2011, resulting in a response rate of 18.8 percent. Seventy of the respondents had participated in the in-person training conducted by the Local Government Center and all of respondents had participated in the on-line ethics training class. Survey Overview Data was collected using an online survey sent to participants of the online ethics training program (N= 527). The survey yielded two types of quantitative data: interval-ratio (e.g., age, 29 years of service) and Likert-scale responses,which, although ordinal, can be treated as interval- ratio data according to Bryman (2008), who notes that"many writers argue that [Likert scales] can be treated as though they produce interval/ratio variables" (p. 322). Similarly, Dedman and Palmer(2011)note that"Likert scale data were assumed to be interval level (Ravid, 2000), and standard descriptive statistics of central tendency and variability were measured" (p. 153). In the survey design process, the researcher made every attempt to ensure the construct validity of the survey questions. Previous studies in which researchers administered surveys to public employees were considered during the survey design process. It is important to ensure the construct validity of the survey instrument in order to gain appropriate data from the respondents. Weber(2006)notes "the importance of developing metrics or clear measures to determine the success of the ethics initiative program or to uncover weaknesses with the intention of addressing any shortcomings is paramount" (p. 26). Previous literature also informed the types of data and format of questions for this survey. Haley (2008) administered an online survey that"included categorical data(i.e., gender and ethnicity), numeric data (age, years of education, and years of experience)" in addition to "quantitative Likert scale [data], such as the preference for online training" (p. 34). Haley cites Creswell's (2005) observation that"Likert-type scales provide more variation of responses and lend themselves to stronger statistical analysis" (p. 34). The survey instrument utilized by Haley "consisted of three parts: demographic variables, Likert-scale assessment of online workplace training preference, and open-ended questions that were worded to reflect reasons for training preference" (p. 35). Validity and Reliability 30 Internal Validity The nature of a cross-sectional design results in a low level of internal validity since, as noted by Bryman (2008), "it is difficult to establish causal direction from the resulting data" generated by the survey, and"cross-sectional research designs produce associations rather than findings from causal inferences can be unambiguously made" (p. 46).As an exploratory analysis, the results of this study will be used to further develop a framework for understanding the mechanisms by which ethics training programs affect training participants.Any associations that analyses of survey data yield will contribute to the nascent field of ethics training research. Furthermore, a cross-sectional design allows the collection of many individual cases at a single point in time, allowing the research to examine patterns of association among variables (Bryman, p. 44). External Validity External validity in cross-sectional research designs "is strong when... the sample from which the data are collected has been randomly selected" (Bryman, 2008,p. 46). In this study, the self-selection bias of a voluntary survey decreases the likelihood that the sample is representative of the population, which, in turn, decreases its generalizability. Despite this limitation, a voluntary survey was conducted due to the fact that random sampling was impractical since the survey was not mandatory. In order to increase sample size,responses were solicited from all training participants. Measurement Validity 31 The survey was pilot tested by Local Government Center and city staff and feedback was collected. Based on the pre-testing and feedback, the survey was modified, increasing the content validity (Dedman and Palmer, 2011, p. 153). This pre-testing process increases the likelihood that measures of training outcomes and preferences truly reflect the phenomena that they are designed to measure. Since these measures comprise the variables upon which any associations determined by this study are based on,revisions were made based on the pre-testing process to increase measurement validity. Reliability According to Bryman, "reliability refers to the consistency of a measure of a concept" (p. 149). The primary consideration of reliability in this study is the stability of the measures employed in the survey instrument over time. Ideally, stability would be assessed by using the "test-retest method" in which the survey would be administered to a sample of respondents on two different occasions and the consistency of responses was compared(Bryman, 2008,p. 149). A high level of correlation between responses collected on these two separate occasions would suggest a high level of stability of measurement indicators. Since the timeline of this project did not allow for this method to be employed, reliability of these measures is limited. Internal reliability was assessed for each of the scale variables (knowledge, behavior, and overall effectiveness)by using a Cronbach's alpha test. Bryman (2008)notes that some researchers will accept an alpha as low as 0.60 although the an alpha value of 0.80 is generally accepted as a minimum standard. The relatively high values provided by a Cronbach's alpha test for each of the scale variables (.924, .824, and .931, respectively)indicate a high degree of internal reliability. 32 Data Analysis Data from the survey instrument was analyzed using the Statistical Package for Social Sciences (SPSS). Scale variables were created by combining multiple dependent variables from the survey instrument. The"interrelatedness" of these items was verified by conducting a Cronbach's alpha test (Dedman and Palmer, 2011, p. 153). Values above 0.7 were considered acceptable for this "analysis of internal consistency" (Dedman and Palmer, 2011, p. 153). Three robust interval-ratio dependent scale variables were constructed: overall effectiveness (alpha= 0.93 1), knowledge (alpha= 0.924), and behavior(alpha= 0.834). Simple frequencies were calculated and independent samples t-tests were conducted to determine trends in training outcomes by group. One-tailed independent samples t-tests were selected because this study is concerned with increases in measures of training outcomes that may be correlated with ethics training. Results Demographic Variables Mean scores for each of the scale variables were compared by age, sex, and position. Means were compared for each of the independent variables overall and by group (in-person training and online training), as seen in Table 1. Respondents who had only participated in online training were generally younger than those who had participated in both forms of training. Similarly, online-only respondents had less work experience than in-person and online participants (as measured by years of service to the city and years in current position). 33 Table 1. Demographics of Sample Variable Total n(Valid%) •nline-only n(Valid%) In-person& Age <20 0(0.0%) 0(0.0%) 0(0.0%) 21-25 2(2.0%) 0(0.0%) 2(3.3%) 26-30 6(6.1%) 2(7.4%) 4(6.6%) 31-35 12(12.2%) 4(14.8%) 8(13.1%) 36-40 6(6.1%) 2(7.4%) 4(6.6%) 41-45 1515.3%) 5(18.5%) 10(16.4%) 46-50 10(10.2%) 4(14.8%) 6(9.8%) 51-55 12(12.2%) 2(7.4%) 10(16.4%) 56-60 11 (11.2%) 3(11.1%) 8(13.1%) 61-65 9(9.2%) 2(7.4%) 7(11.5%) >66 5(5.1%) 3(11.1%) 2(3.3%) Total 98(100.0%) 27(100.0%) 61 (100.0%) Sex Male 47(53.4%) 13(48.1%) 34(55.7%) Female 41 (46.6%) 14(51.9%) 27(44.3%) Total 88(100.0%) 27(100.0%) 61 100.0 Position City employee 61 (65.6%) 16(57.1%) 45(70.3%) Board member 30(32.3%) 12(42.6%) 18(28.1%) City official 2(2.1%) 1 (3.6%) 1 (1.6%) Total 93 100.0% 28 100.0% 64 100.0% Yrs service(city) <5 41 (42.3%) 21 (77.8%) 20(30.3%) 5-9 24(24.7%) 1 (3.7%) 23(34.8%) 10-14 9(9.3%) 1 (3.7%) 8(12.1%) 15-19 11 (11.3%) 2(7.4%) 9(12.9%) 20+ 8(8.2%) 2(7.4%) 6(8.6%) Total 97(100.0%) 21(100.0%) 66 100.0 Yrs service(position) <5 56(59.6%) 25(89.3%) 31 (47.0%) 5-9 19(20.2%) 1 (3.6%) 18(27.3%) 10-14 10(10.6%) 1 (3.6%) 9(13.6%) 15-19 8(8.5%) 1 (3.6%) 7(10.6%) 20+ 1 (1.1%) 0(0.0%) 1 (1.4%) Total 94 100.0 0/. 28 100.0% 66 100.0 Total n= 99 (70 in-person & online,29 online-only) Respondents who had participated in both the in-person and online training sessions displayed higher means for most measures of training outcomes, indicating lower levels of training effectiveness as measured by a series of questions relating to training outcomes (see 34 Table 2). Online-only respondents also reported more discussion about ethics (questions 17-19) than those who had participated in both forms of training. Table 2. Training Outcome Variable Descriptions and Comparison of Means Description Total Mean TotalAgrec/ Online- Online-Only In-Pcrson& In-Pcrson& 1 Disagree Only Online Online (Valid 1 Disagree 1 (Valid 0/6) Q1: "I have abetter 2.01 87.8/12.1 1.93 86.2/13.7 2.04 88.6/11.4 understanding of the (99)/_60 (29)/.70 (70)/.55 City of Bozeman's Code of Ethics" Q2: "I have a better 2.08 81.3/19.7 2.04 82.2/17.9 2.10 80.9/17.6 understanding of the 96 /.61 (28)/.58 (68)/.63 State Code of ( ) ( ) ( ) Ethics" Q3: "The City of 1.74 91.8/7.1 1.79 93.1/6.9 1.72 91.3/7.2 Bozeman's Code of (98)/.63 (29)/.56 (69)/.66 Ethics will be reflected in my professional decisions" Q4: "I am more 2.11 72.7/26.3 2.03 75.8/24.1 2.14 71.4/27.1 likely to seek advice (99)/.87 (29)/.78 (70)/.91 on ethics-related decisions from the city's legal department,my supervisor,or the human resources department" Q5: "I have a better 2.07 82.8/17.1 1.93 82.7/17.2 2.13 82.9/17.1 understanding of the (99)/.66 (29)/.66 (70)/.66 City's Standards of Conduct" Q6: "I am less likely 1.80 79.8/15.1 1.72 79.3/13.8 1.83 80.0/15.7 to engage in an act (99)/.86 (29)/.80 (70).88 which could be perceived as a conflict of interest" QT "I have a better 1.94 80.8/16.1 1.72 75.9/13.8 2.03 82.9/17.2 understanding of (99)/.75 (29)/.84 (70)/.70 what constitutes confidential information" Q8: "I am less likely 1.88 83.8/13.2 1.76 75.9/17.2 1.93 87.2/11.4 to disclose (99)/.80 (29)/.83 (70)/.79 confidential information" Q9: "I have a better 1.98 82.8/15.2 1.72 862/6.9 2.09 81.4/18.5 understanding of the (99)/_76 (29)/.70 (70)/.76 laws about accepting gifts" Q10: 1 have a better 2.07 76.5/21.4 1.79 85.7/10.7 2.19 72.9/25.7 understanding of the (98)/.75 (28)/.69 (70)/.75 city's financial disclosure requirements" 35 Q11:"I have a better 2.01 79.8/17.2 1.72 86.2/6.9 2.13 77.2/21.5 understanding of the (99)/.69 (29)/.70 (70)/.66 activities prohibited within 12 months of leaving my position" Q12: 1 have a better 2.13 68.8/27.1 1.93 71.4/21.4 2.21 67.7/29.4 understanding of (96)/.79 (28)/.81 (68)/.76 what constitutes ex parte communication" Q13: 1 have a better 2.09 78.8/19.2 1.90 862/10.3 2.17 75.7/22.8 understanding of the (99)/.73 (29)/.62 (70)/.76 City Whistle Blower Policy" Q14: "I understand 2.05 73.7/222 1.90 82.7/13.8 2.11 70.0/25.7 the reasons to (99)/.77 (29)/.67 (70)/.81 disclose conflicts to the Commissioner of Political Practices" Q15: 1 have a better 2.00 82.6/15.3 1.89 78.6/14.3 2.04 85.7/15.7 understanding of (98)/.63 (28)/.74 (70)/.58 what constitutes nepotism under state law" Q16: "I am less 1.79 79.6/14.3 1.76 34.5/172 1.80 81.1/13.0 likely to violate the (98)/.87 (29)/.83 (69)/.88 Code of Ethics" Q17: 1 have 2.14 48.5/40.4 1.79 40.3/31.0 2.29 51.4/44.3 experienced more (99)/1.10 (29)/1.29 (70)/.98 discussion about ethics within the city organization as a whole" Q18: "My peers and 2.20 43.4/42.4 1.90 37.9/34.5 2.33 45.7/45.7 I are engaging in (99)/1.14 (29)/1.40 (70)/1.00 more one-on-one discussions about ethics" Q19: "My 2.15 33.3/46.4 1.90 31.0/37.9 2.26 34.3/50.0 supervisor and Iare (99)/1.30 (29)/1.50 (70)/1.21 engaging in more one-on-one discussions about ethics" 1 ="strongly agree,"2 = "agree," 3 = "disagree," 4 ="strongly disagree,"N/A= excluded from measurement Scale Training Outcome Variables Respondents who had participated in the both the classroom-style training and online training sessions reported a lower degree of overall effectiveness, indicated by a higher overall effectiveness value (mean = 39.57)than those who only participated in the online training 36 session (mean= 35.36), as indicated by Table 3. Since the Likert scale used in the survey instrument associates positive ethical outcomes with lower numerical values, a lower number indicates a higher measure of effectiveness as measured by training outcomes.A significance value of 0.75 for the Levene's Test for Equality of Variances allowed equal variances to be assumed for the independent samples t-test,resulting in ap-value of 0.045, which is statistically significant at the 95 percent confidence interval (see Table 4). Similarly, respondents who had participated in the both training session formats (in- person and online)reported a lower degree of ethically-informed behavior, indicated by a higher behavior value (mean= 14.07) than those who only participated in the online training (mean = 12.86), as reported in Table 3.As noted above, this lower value indicates a higher degree of training effectiveness as measured by these scale variables.A significance value of 0.58 for the Levene's Test for Equality of Variances allowed equal variances to be assumed for the independent samples t-test, resulting in ap-value of 0.125, which is not statistically significant at the 95 percent confidence interval (see Table 4). Consistent with the previous findings,respondents who had participated in the both the classroom-style and online training sessions reported a lower level of ethical knowledge effectiveness, represented by a higher effectiveness value (mean =23.15) than those who only participated in the online training (mean =20.64), as seen in Table 3.A significance value of 0.44 for the Levene's Test for Equality of Variances did not allow equal variances to be assumed for the independent samples t-test, resulting in ap-value of 0.025,which is statistically significant at the 95 percent confidence interval (see Table 4). 37 Table 3.Training Outcome Scale Variable Descriptions and Comparison of Means Online-Variable Description Cronbach's Alpha Only Online Mean Mean(n)/SD Overall Effectiveness Questions 1-19 .931 35.36 39.57 38.40 19-76 (25)/9.15 (65)/10.85 (90)/10.53 Knowledge Questions 1,2, .924 20.64 23.15 22.46 11-44 5,7,9-15 (25)/5.05 (66)/5.97 (91)/5.81 Behavior Questions 3,4, .834 12.86 14.07 13.71 7-28 6,8,16,18,19 (29)14.66 (68)/4.74 (97)/4.72 Table 4. Independent Samples t-Tests for Training Outcome Scale Variables Variable Significance(1-tailed) Mean Difference Standard Error Difference i Overall Effectiveness *.045 4.21 2.45 Knowledge *.025 2.51 1.25 Behavior .125 1.21 1.05 Comparing scale training outcome variables with age, position, years of service in current position, and years of service to the city did not produce and identifiable trends (see Table 5), as online-only training participants reported higher measures of training outcomes. However, females consistently self-reported higher measures of training outcomes as indicated by training outcome variables both by group (online-only and both training formats) and overall. 38 Table 5. Scale Training Outcome Variables by Demogra hic Characteristics Variable Mean Knowledge • Mean Behavior Behavior SD Mean Overall Overall Knowledge(n) (n)online- Effectiveness tiveness SD online-only/in- only/in-person (n)online- on online (Range 7-28) &online Age Under 30 19.00(2)/22.00 1.41/2.16 17.50(2)/15.00 2.12/2.83 39.00(2)/39.00 4.24/5.10 4 6 4 31-50 20.64 3.88/7.38 12.18 4.42/5.14 34.82 7.70/12.67 (11)/23.82(28) (11)/14.00(28) (11)/40.21(28) Over 51 21.70 6.18/4.35 12.57 4.85/3.61 35.70 10.63/8.10 (10)/21.52 25 (14)/12.20 25 (10)/35.75 24 Total 20.96 4.82/5.99 12.78 4.62/4.41 35.57 8.68/10.60 (23)/22.68 5 (27)/13.34 59 (23)/38.21 56 Sex Male 21.18 5.49/6.98 13.85 4.74/4.93 36.82 9.42/12.03 (11)/23.06(32) (13)/14.24(33) (11)/39.50(32) Female 20.75 4.35/4.51 11.79 4.44/3.39 34.42 8.18/8.26 (12)/22.20(25) (14)/12.19(26) (12)/36.50(24) Total 20.96 4.81/5.99 12.78 4.62/4.41 35.57 8.68/10.60 (23)/22.68 57 (27)/13.34 59 (23)/38.21 56 Position City employee 21.23 6.00/5.85 13.75 4.63/4.02 37.08 10.02/9.97 (13)/23.36(42) (16)/13.91(44) (13)/39.63(41) Board member 19.81 4.07/6.12 11.67 4.83/5.04 33.18 8.42/11.47 (11)/21.35(17) (12)/12.12(17) (11)/35.41(17) City official 22.00(1)/22.00 -/- 13.00(1)/14.00 -/- 37.00(1)/38.00 -/- 1 1 1 Total* 20.96 -/- 12.78 -/- 35.57 (25)/22.68 60 (29)/13.34 62 (25)/38.21 62 Yrs service (City) <5 21.00 4.50/5.88 12.95 4.59/5.09 36.25 8.18/11.55 (20)/22.05(20) (21)/13.26(19) (20)/37.42(19) 5-9 0(0)/23.10(20) 45.16 10.00(1)/14.14 -/3.91 0(0)/39.40(20) -/9.43 (22) 10-14 21.00(1)/28.13 -/8.32 13.00(1)/14.75 -/5.75 34.00(1)/45.38 -/13.54 8 8 8 15-19 17.00(2)/22.13 4.24/5.06 10.50(2)/13.89 7.78/6.43 27.50(2)/38.88 12.02/12.06 (8) (9) (8) 20+ 30.00(1)/21.33 45.16 13.50(2)/13.33 4.95/3.27 50.00(1)/36.67 -/8.41 6 6 6 Total 21.04 4.73/6.02 12.70 4.50/4.74 36.00 8.75/10.92 (24)/23.11 62 (27)/13.84 64 (24)/39.23 61 Yrs service (city) <5 21.41 4.69/5.71 13.32 4.60/4.72 36.77 8.34/10.73 (22)/22.35(31) (25)/13.27(30) (22)/37.77(30) 5-9 14.00(1)/23.60 -/5.17 5.00(1)/14.88 -/3.79 19.00(1)/40.80 -/9.40 (15) (17) (15) 10-14 0(0)/25.56(9) -/9.57 10.00(1)/13.56 -/5.98 0(0)/41.33(9) -/15.72 9 15-19 20.00(1)/22.67 -/2.80 16.00(1)/ -/5.73 36.00(1)/41.00 -/8.41 (6) 14.86(7) (6) 20+ 0(0)/20.00(1) -/- 0(0)/9.00(1) -/- 0(0)/30.00(1) -/- Total 21.04 4.73/6.02 13.00 4.68/4.74 36.00 8.75/10.92 39 (24)/23.11 62 (28)/13.84 64 24)/39.23(61 *some participants hold multiple positions Training Format Respondents were asked to compare the in-person and online training formats; those who had participated in the in-person and online training sessions were asked to respond to the following questions comparing the two formats while online training-only participants were asked to think hypothetically and respond to the same questions. Responses are outlined in Table 6. Respondents who had participated in both training formats rated in-person training as more effective than online training while online-only participants reported scores closer to"no difference" among formats. Both groups considered online training to be more convenient. Table 6. Training Format Responses Concept • • Online Increase in my level of knowledge about 3.03(29)/1.38 2.76(66)/1.18 ethics Changes in my behavior 3.29(28)/.98 2.77(66)/.84 Impact on my professional decisions 3.14(29)/1.13 2.80(66)/.92 related to ethics Content 3.34(29)/1.26 2.83(66)/1.12 Ease of understanding 2.93(29)/1.41 2.73(66)/1.20 Level of engagement 2.86(29)/1.55 2.33(66)/1.19 Convenience 4.21(29)/1.05 3.91(66)/1.44 "Please respond to the following questions comparing the in-person training to the online training. On a scale of 1 to 5 (1=in-person training more effective, 2-in-person training moderately more effective, 3=no difference, 4=on-line training moderately more effective, 5=online training most effective)." Online training-only participants were asked to hypothetically compare the two formats. Online Training Components Respondents were also asked if they would have learned the material presented in the ethics training more effectively if specific training components were integrated into the program 40 design. These questions and responses are displayed in Table 7. Online-only respondents expressed more interest in follow-up sessions with colleagues and the city's legal department that those who had participated in both online and in-person training sessions. Table 7. Perceptions of Online Training Components Concept Online-Only Online There was video with fictional scenarios customized to my position 2.41 (29)/.91 2.28(68)/.91 2.32(97)/.91 I could read about specific fictional case studies customized to my 2.21(29)/.82 2.06(68)/.77 2.10(97)/.78 position There was audio(a recording of someone reading the questions) 2.86(29)/.69 2.97(68)/.69 2.94(97)/.69 throughout the online training There was a follow-up in-person meeting with colleagues to discuss what 2.90(29)/.86 2.76(68)/.78 2.80(97)/.80 I learned There was a follow-up with the City's legal department to discuss what I 3.00(29)/.80 2.69(68)/.87 2.78(97)/.86 learned "For the online ethics training, I would have learned the material more effectively if.." 1=strongly agree, 2=agree, 3=disagree, 4=strongly disagree Discussion Summary of Findings Online-only training participants self-reported higher training outcome scores than those who had participated in both online and in-person training sessions for each of the three training outcome variables. Independent samples t-tests for each of these variables established statistical significance for"knowledge" (p=0.025) and"overall effectiveness" (p=0.045). Comparisons of means tests by demographic variable (age, sex,position)were conducted for each of the three scale training outcome variables (knowledge,behavior, and overall effectiveness). With a few exceptions ("knowledge": over 51, "behavior": under 30 and over 51, "overall effectiveness": no difference for under 30 and a very slight difference for over 51), respondents who had participated in both training formats displayed lower measures of training outcomes for all three scale variables than online training participants regardless of age group.No trends emerged in 41 differences in training outcomes by age. Online-only respondents displayed higher measures of training outcomes than online training participants in all three scale variables regardless of sex. Females also consistently reported higher measures of training outcomes than males for each of the three training outcome variables. Online-only training participants displayed higher measures of training outcomes than those who had only participated in both training formats with the exception of city officials, which showed no difference for the knowledge variable. However, it is important to note the small sample size of city officials (in-person n=1, online n=1) compared to city employees (in-person n=41, online n=13) and board members (in-person n=17, online n=11). Based on the fact that respondents who had only participated in online ethics training reported higher measures of training outcomes than those participated in both formats despite demographic and job characteristic variables, it appears that any these differences span age, sex, and position. Implications Data from this study suggest that online ethics training participants express higher measures of training outcomes than those who participated in both online and in-person training sessions. These differences may result from an initial increase in baseline measures of ethics training outcomes for respondents who had not participated in ethics training programs before that exceeds the net increase in these same outcomes for respondents who had previously participated in an ethics training program (the in-person training sessions in 2009). Comparisons of means for age, sex, and position found that online-only participants consistently displayed higher measures of training outcomes than respondents who had participated in both training formats regardless of these demographic variables. These data suggest that the trend of online- 42 only participants reporting higher measures of training outcomes occurs across age groups, sexes, and positions within the organization. Respondents who had participated in both formats rated in-person training as more effective and engaging than those who had only participated in online training, suggesting that higher self-reported measures of training outcomes for the online-only group may be inaccurate (as noted above). However, this perception of in-person training effectiveness noted by respondents who had participated in both formats must be considered in conjunction with the fact that both groups reported online training as being more convenient, an important factor for busy public servants. Another interesting finding of this case study is that online-only participants expressed more interest in follow-up sessions with colleagues and the city's legal department, suggesting a desire for ethical discourse that the online format may lack. It is possible that the greater effectiveness of in-person training as compared to online training reported by respondents who had participated in both formats could be the result of the opportunity for discourse and communication that in-person training sessions provide. Study Limitations As noted in the "Methods" section, the small population (N=527) and small sample (n=99) resulting from a low response rate limit (18.8%) the generalizability of this study. Another threat to external validity is the possibility of sampling error resulting from possible self-selection bias, also reducing the probability that the sample is representative of the entire population.A larger sample and mandatory participation in the follow-up survey would have negated these limitations, however these elements were not feasible in this study. 43 It is also worth noting that self-reporting unethical behaviors in the workplace (or indicators that imply a lack of ethical knowledge or poor attitudes about ethics) among public sector employees may be problematic; despite assurances of the confidentiality of the survey, respondents may be hesitant to be forthcoming about such issues. Conversely, the self- completion questionnaire format may encourage participants to be more forthcoming than an in- person interview would, due to the fact that the presence of an interviewer may result in a degree of social desirability bias, "a tendency for respondents to under-report activities that induce anxiety or about which they are sensitive" (Bryman, 2008, p. 218). Future Research In order to answer the research question"does ethics training consistently result in increases in measures of training outcomes?,"researcher suggests an experimental study with a group of in-person training participants and a control group of members of the same organization who have not received any ethics training. A follow-up survey could be used to assess training outcomes. Similarly, an experimental study with online ethics training participants and a control group of untrained members of the same organization would be useful for this field of study. To answer the research question "are there training outcome differences between online and in- person training formats?," the results of these two studies could be compared; ideally, both studies would be conducted in the same organization during the same time frame.Another approach to understanding in-person and online training differences would be to conduct two training sessions within the same organization: an in-person session and an online session. Subjects would only participate in one of these sessions and training outcome responses obtained through the use of a survey instrument could be compared. 44 As mentioned above, a larger sample and mandatory survey participation would increase the generalizability of survey results. Future studies could be conducted at different levels of government and in different types of public sector organizations in order to ascertain differences among these populations. This information could be used to make ethics trainings more effective for these public sector employees. Recommendations The City of Bozeman should supplement online ethics training sessions with in-person follow-up sessions in which participants can engage in an open and active discourse about ethics. This recommendation is informed by academic literature (Jovanovic and Wood, 2004) and results of the case study that suggest that online-only participants are interested in follow-up sessions after online training (to a greater degree than respondents who participated in both training formats). The City of Bozeman should also explore customized training scenarios based on specific job characteristics or by department in order to increase training effectiveness and increase engagement. In order to increase the level of engagement experienced by online ethics training participants, customized training modules and interactive features are necessary. Summary While online ethics training appears to increase measures of training outcomes to a greater degree than a combination of online and in-person training, the notion of baseline knowledge and net knowledge gain (discussed above), the lack of a group that had only participated in in-person training, and the lack of control groups caution the researcher not to 45 draw a conclusion about differences in training format effectiveness.Notions of discourse and engagement underscore considerations of ethics training effectiveness regardless of format and any possible dialogical shortcomings of online ethics training must be diminished by providing an opportunity for in-person follow-up sessions. By providing a forum for ethical discourse, the more convenient online ethics training format can be utilized while maintaining the increased engagement and effectiveness of in-person training sessions (as reported by respondents who had participated in both formats). References Berman, E.,West, J., & Cava,A. (1994). Ethics management in municipal governments and large firms: Exploring similarities and differences. Administration & Society, 26(2), 185- 203. City of Bozeman Charter http://weblink.bozeman.net/WebLink8/DocView.aspx?id=33244&page=l&dbid=0 Brock, E. (2008). Study shows lack of ethics programs.American City & County, 123(3), 8-10. 46 Bryman,A. (2008). Social research methods (3rd ed.).New York: Oxford University Press. Callan,V J. (1992). Predicting ethical values and training needs in ethics. Journal ofBusiness Ethics, 11, 761-769. Dedman, D. E., & Palmer, L. B. (2011). Field instructors and online training:An exploratory survey. Journal of Social Work Education, 47(1), 151-161. Finkel, E. (2010).Yahoo takes new'road' on ethics training. Workforce Management, 89(7), 7. Haley, C. K. (2008). Online workplace training in libraries. Information Technology &Libraries, 27(l), 33-40. Howe, L. E. (2003). Ontology and refusal in subaltern ethics.Administrative Theory & Praxis, 25(2), 277-298. Jovanovic, S., &Wood, R. V (2006). Communication ethics and ethical culture:A study of the ethics initiative in Denver city government. Journal of Applied Communication Research, 34(4), 386-405. Kavanagh, S. (2007). OGE introduces online training modules.Federal Ethics Report, 14(8), 18. Kernaghan, K. (2000). The post-bureaucratic organization and public service values. International Review ofAdministrative Sciences, 66(1), 91-104. Klugman, C., & Stump, B. (2006). The effect of ethics training upon individual choice. Journal of Further & Higher Education, 30(2), 181-192. Maesschalck, J. (2004). Approaches to ethics management in the public sector:A proposed extension of the compliance-integrity continuum. Public Integrity, 7(1), 20-41. Mason,M. (2001). The ethics of integrity: Educational values beyond postmodern ethics. Journal of Philosophy & Education, 35(1), 47-69. Pelletier,K. L., & Bligh,M. C. (2006). Rebounding from corruption: Perceptions of ethics 47 training effectiveness in a public sector organization.Journal of Business Ethics, 67(4), 359-374. Stewart, D. W. (1991). Theoretical foundations of ethics in public administration: Approaches to understanding moral action.Administration & Society, 23(3), 357-373. Svensson, G., and Wood, G. (2009). Implementation, communication, and benefits of public sector codes of ethics.International Journal of Public Sector Management, 22(4), 364- 379. Valentine, S., and Fleischman, G. (2004). Ethics training and businesspersons'perceptions of organizational ethics.Journal of Business Ethics, 52(1): 381-390. Van Wart, M. (2003). Codes of ethics as living documents. Public Integrity, 5(4), 331-346. Van Wart, M. (1996). The sources of ethical decision making for individuals in the public sector. Public Administration Review, 56(6), 525-533. Weber, J. (2006). Implementing an organizational ethics program in an academic environment: the challenges and opportunities for the Duquesne University Schools of Business. Journal of Business Ethics, 65, 23-42. West, J. P., & Berman, E. M. (2004). Ethics training in U.S. cities. Public Integrity, 6(3), 189-206. 48 APPENDIX A: ONLINE ETHICS TRAINING MODULES 51 Chapter 1 Background on the City Code of Ethics Ethics are commonly defined as the rules of conduct that govern how a society differentiates between good and bad,right and wrong.In practice,ethics guide individuals in identifying the correct course of action in drr HALL how decisions are made.In local government,the role of ethics is significant in maintaining public trust, fairness,and the appearance of fairness in all government action.Many local governments,including Bozeman,have created laws(the Code of Ethics)that specify the conduct of government actions to ensure that all dealings are conducted fairly and in an unbiased manner in both appearance and fact. The city Code of Ethics applies to all city employees and elected and appointed officials including board members.The Code of Ethics specifically states that"every member of the public has the right to report improper government action"and 'any person"may file a complaint with the Board of Ethics or may request an ethics opinion.In 2010,the city published its city of Bozeman Ethics Handbook for all persons interested in the operation of the Bozeman City government including citizens. Quick Links: City of Bozeman Ethics Handbook City of Bozeman Code of Ethics Montana Code Annotated.Code of Ethics 52 Board of Ethics The city of Bozeman Charter was approved in 2006 and requires the city to establish an independent Board of Ethics and annual trainings and education of city officials,city boards,and employees regarding the state and city ethics codes.The three-member Board of Ethics is made up of individuals who are residents of the city but are not'elected or appointed city officials or city employees."The Board was created to ensure the public and all public servants have a reasonable opportunity and are encouraged to participate in any process for regularly evaluating the city Code of Ethics.The responsibilities of the Board are to evaluate the city Code of Ethics,develop a plan to educate public servants about their rights,duties and responsibilities,submit an annual report of summary decisions, opinions and recommended actions regarding ethical practices or policies,and conduct hearings as needed.Board members serve without compensation.The Board does not have authority to reverse or modify a prior action of the Mayor,governing body or an officer or employee of the city but may refer a matter to the city attorney for review and consideration for appropriate action. In addition to the city Cade of Ethics,all city employees and officials are subject to the state of Montana Code of Ethics.While the city and state Code of Ethics in general offers broad guidelines on behaviors and actions that employees and officials are likely to encounter,the laws can never provide explicit direction on every ethics-related situation.Employees and officials should always seek advice from the city's legal department for clarification on any potential ethics-related situation. Quick Links: City of Bozeman Ethics Handbook City of Bozeman Cade of Ethics Montana Code Annotated,Code of Ethics Chapter 1 Quiz 1 Annual trainings are required for all city officials,employees and board members_ Marks:1 Answer: _?True False 2 City employees are eligible to serve on the Board of Ethics_ Marks:1 Answer True False 3 Citizens serving as members of city boards are not subject to the city Code of Ethics_ Marks:1 Answer True D Fatse 4 Marks 1 The Board of Ethics has the authority to reverse or modify a prior action of the Mayor,governing body or an officer or employee of the city : Answer: v True False 5 The city of Bozeman recently published an Ethics Handbook_ Marks_1 Answer True False 53 6 Under the city Code of Ethics,any person,including citizens may file a complaint with the Board of Ethics_ Marks_1 Answer e True `)False 7 The Board of Ethics has the following responsibilities:(Choose all that apply.) Marks 1 Choose at least one © a_Develop a plan to educate public servants ahout their rights,duties and responsibilities_ answer © b.Enact ethics policies that all employees and officials must follow. Ll c.Evaluate the city Code of Ethics. © d.Submit an annual report of summary decisions,opinions and recommended actions regarding ethical practices or policies_ ❑ e_Conduct hearings as needed_ 8 Only Bozeman employees may request an ethics opinion from the Board of Ethics. Marks:1 Answer_ C;True iu False 9 The goal ofanyethics-miated law and program istotChoose all that apply) _ Marks:1 Choose at least one © a_Guide individuals in identifying the correct course of action in how decisions are made_ answer ❑ h.preserve the public's confidence and trust in government_ ❑ c.Ensure that all dealings with the city are conducted fairy and in an unbiased manner. ❑ d_Dictate exactly how to address every ethics-related situation Chapter 2 Standards of Conduct Standards of conduct refer to the basic legal rules that apply to all employees and officials.These rules are designed to provide practical day-to-day guidance for employees and officials as they fulfill their public duties.The city Code of Ethics states that employees and officials must: o act morally and honestly in discharging their responsibilities, •discharge their duties impartially and fairly,and, • not use their position to secure any financial interest or personal interest,improperly influence any other official or employee in the performance of official duties,or act in a private capacity on matters for which they are directly responsible. For example,employees and officials are not permitted the use of city-owned vehicles,equipment,material,or the use of other city resources for personal use.In addition,no city automobile can be used by a city employee or official going to or from home,except when such use is for the benefit of the city,such as when an employee is on call outside of the employee's working hours. Quick Links: City of Bozeman Ethics Handbook City of Bozeman Code of Ethics Montana Code Annotated.Code of Ethics 54 Conflicts of Interest and Confidential Information A conflict of interest can be either financial or personal.Af nancial interest is defined as any interest (such as ownership,a contractual relationship,or a business relationship),which will result in a monetary or other material benefit that has a value of more than fifteen dollars,other than salary or , compensation,for services to the city.A personal interest is any interest that would affect the action of r the individual other than a financial interest.In general,no city official or employee shall have any financial or personal interest in any transaction with the city without full public disclosure. City officials or employees are not,without legal authority,permitted to disclose confidential information concerning personnel,property,government,or affairs of the city.Confidential information is any information which is not available to the general public and which is obtained only through an individual's position with the city.City officials or employees are not permitted to use confidential information to advance their own financial or personal interest or the financial or personal interests of any other person. Quick Links: City of Bozeman Ethics Handbook City of Bozeman Code of Ethics Montana Code Annotated.Code of Ethics Gifts City officials or employees are not permitted to accept a gift,gratuity,or favor from any person or entity,except as authorized by state law.According to Montana state law,it is unlawful for an official or employee to accept a gift of substantial value(defined as$50 or more),or of a substantial + economic benefit that would improperly influence a person to depart from their duties,or is primarily _ viewed as a reward. Gifts that are exempt from state law include any gift that is returned or given to charity and any of the following: • Food and beverages consumed on the occasion when participation in a charitable,civic, or community event bears a relationship to the public officer's or public employee's office or employment or when the officer or employee is in attendance in an official capacity; a Educational materials directly related to official governmental duties; 4 Public awards recognizing public service;and a Educational activities that clearly serve the public good. In addition,city officials or employees are not permitted to accept loans at a substantially lower rate or compensation at a substantially higher rate. Quick Links: City of Bozeman Ethics Handbook City of Bozeman Code of Ethics Montana Code Annotated.Code of Ethics Chapter 2 Quiz 55 1 Marks 1 A conflict of interest can only he financial and does not involve personal matters_ : Answer: O True False 2 The following gifts are exempt from the state ethics law(choose all that apply): Mark, 1 Choose at least one © a.Educational materials directly related to official governmental duties. answer © b.Public award recognizing public service. LJ c.Food and beverages consumed on an occasion when participation is related to the employee's or official's office. ❑ d.Educational activity that clearly serves the public good. ❑ e.Goods or services provided to reward public employees and officials. 3 Marks 1 Under Montana state law,it is acceptahle to receive a gift if the gift is then given to charity ' Answer: �D True False 4 Marks:1 Emplavees and officials may not act in a private capacity on matters for which they are directly responsible. Answer: c True False 56 5 According to the city Code of Ethics,a financial interest is any which will result in a monetary or other material benefit that has a value of more than$ Marks:1 Answer: 6 Marks 1 Employees and officials are not permitted the use of city-owned vehicles,equipment,material,or the use of other city resources for personal use. : Answer: i=;True G False 7 Confidential information is defined as any information which is not available to the general public and which is obtained only through an individual's position Marks:t with the city Answer e=True False City officials or employees are not permitted to use confidential information to advance their own financial or personal interest or the financial or personal Marks:1 interests of any other person_ Answer: J True O False 9 Marks� Under Montana state law,i1 is legal to accept a gill that is viewed as a reward as long as its value is under$50. : Answer: C)True G False Chapter 3 Financial Disclosure Requirements The financial disclosure requirements of the city Code of Ethics ensure a greater level of accountability and transparency in the management of public resources.The annual filing of a Financial Disclosure Statement is required for officials and employees who are determined by the City Manager and City Commission to be"major financial decision makers-'A list of the"major financial decision makers"in each department is created annually by the City Finance Director and the Human Resource Director.These are the only individuals who are subject to the disclosure requirements and they are notified annually. In addition,the Finance Department creates a list of vendors and service providers for each department who contract for services or materials greater than$2,500 each month or more than$10,000 per year.Each member of a department must disclose if they have an economic relationship with a vendor.The list of vendors is maintained by the Finance Department. Quick Links: Gity of Bozeman Ethics Handbook City of Bozeman Code of Ethics Montana Code Annotated.Code of Ethics 57 Post-Employment Activities City employees and officials are subject to specific rules that apply to post-employment activities. City employees and officials may not,for 12 months following the date on which they cease to be a public servant,make any formal or informal appearance before or negotiate with any decision maker, or for compensation act on behalf of any party on any matter that was under the public servant's direct responsibility,without filing a public notice. ' In addition,during the f rstl2 months after separation from the city,no former official or employee may,without filing a proper disclosure,act on behalf of any party other than the city in connection with any matter in which that official or employee participated personally and substantially in their capacity as an official or employee.The disclosure shall be made with the City Clerk and with the City Attorney. Quick Links: City of Bozeman Ethics Handbook City of Bozeman Code of Ethics Montana Code Annotated.Code of Ethics Ex paste Communication Ex parte communication is defined as a private,one-sided communication between a decision-maker and a parry or person with an issue before that decision-maker.While the city Code of Ethics does not specifically address ex paste communications,individuals should be prudent regarding potential communications, particularly for those employees and officials acting in a quasi-judicial capacity(for example,individuals with authority to adjudicate a situation such as the Board of Adjustment}. If an individual feels that he/she is involved in an ex party communication that may negatively impact his/her ability to perform official duties,the individual should disclose the communication on the record,recuse(meaning to disqualify or remove)him/her self from participating in the discussion and action on the subject,and step away from his/her official position.Regardless of whether the communication affects an official's ability to impartially perform his/her duties,the official should still disclose the existence of the expafte communication on the record. Quick Links: City of Bozeman Ethics Handbook City of Bozeman Code of Ethics Montana Code Annotated.Code of Ethics Whistle Blowing Policy The city refers to whistle blowing as the'reporting of improper governmental conduct or action."The improper conduct or action includes any that violates the fiduciary duty to the city or its citizens or creates a danger to the public health or safety.The city whistle blower policy addresses the potential for harassment,intimidation,or n retaliation against any other employee,official,or any member of the public regarding an allegation of improper 4 governmental action. The Code of Ethics specifically states that every city employee,official or member of the public has the right to report in good faith,information concerning improper governmental action.It is important to note that"improper governmental action"excludes personnel actions,including but not limited to:employee grievances,complaints, appointments,promotions,transfers,assignments,reassignments,reinstatements,restorations,re-employments, performance evaluations,reductions in pay,dismissals,suspensions,demotions,reprimands,violations of collective bargaining or civil service laws,or alleged violations of agreements with labor organizations under collective bargaining. Quick Links: City of Bozeman Ethics Handbook City of Bozeman Code of Ethics Montana.Code Annotated.Code of Ethics 58 Chapter 3 Quiz 1 For a period of months,city employees and officials may not make any formal or informal appearance before or negotiate with any decision Marks:1 maker,or for compensation act on behalf of any party on any matter that was under the public servant's direct responsibility,without filing a public notice. Answer: 2 Marks 1 The city refers to whistle blowing as the"reporting of improper governmental conduct or action." : Answer: O True O False 3 For vendor services or materials received by a department that are greater than$2,500 each month or more than$10,000 per year,each employee must Marks:1 disclose if they have an economic relationship with that vendor Answer_ True False 4 The city whistle blower policy is only far employees and officials and does not apply to members of the public. Marks_1 Answer True False 5 Ex paste communication is a private,one sided communication between a decisiorrmaker and a party or person with an issue before that decision maker Marks:1 and is particularly significant for those individuals acting in a quasi-judicial capacity Answer: True False 6 Marks 1 The city Financial Disclosure Statement must be filled out by all employees and off cials. : Answer: True False 7 1 Marks: If an individual feels that helshe is invoked in an ex parte communication,the individual should(choose all that apply): Choose at least one ❑ a.Not mention the communication to anyone. answer. ❑ b.Disclose the communication on the record. ❑ c.Contact the City Attorney for input or advice 8 Marks_1 The city whistle blower policy addresses the potential for harassment,intimidation,or retaliation regarding an allegation of improper governmental action. Answer: _:True False Chapter 4 59 State of Montana Code of Ethics Employees and officials should understand there are provisions of state law in addition to the city Code of Ethics that apply to employees and officials-State law and the city Code of Ethics prohibit conflict between public duty and private interest as required by the Constitution of Montana-Employees and officials must disclose in writing the nature of any private interest that creates a conflict to the Commissioner of Political Practices based in Helena- According to state law,a former public employee may not within six months following the termination of employment,contract with or be employed by an employer who contracts with the state or any of its subdivisions(including city governments) involving matters with which the former employee was directly involved during employment-This provision does not absolve an employee from complying with the post employment activities of the city Code of Ethics-State law also requires that employees and officials may not receive a salary from two separate public employment positions that overlap for the hours being compensated- Quick Links: City of Bozeman Ethics Handbook City of Bozeman Code of Ethics Montana Code Annotated.Code of Ethics Nepotism City employees and officials are also subject to state laws regarding nepotism-Nepotism is defined as the"bestowal of political patronage by reason of relationship rather than of merit-"It is unlawful to appoint a person who is related by blood _— {consanguinity}or marriage(affinity)to any position of"trust or emolument`(meaning any office or employment that results in compensation or privilege)within certain degrees of relationship-While state law related to nepotism applies only to these relationships,the appearance of favoritism with regard to friends or acquaintances of employees or officials can also be a hindrance to the public's trust in city government- Quick Links: City of Bozeman Ethics Handbook City of Bozeman Code of Ethics Montana Code Annotated.Code of Ethics Penalties and Inquiries Employees and officials should understand that a violation of the city or state Code of Ethics could lead to disciplinary action including termination,removal from office,or even criminal sanctions-If a city employee or official has a question about a potential ethics issue,impropriety,or violation,depending p on the employee's or official's position and the nature of the issue,he/she should consultwith his/her supervisor,Human Resources Department,or seek the advice of the City Attorney-Any member of the _ public may also request a formal or informal City Attorney opinion with respect to the ethical conduct of ` C an employee or official-Any member of the public may also file a complaint with the Board of Ethics or may request an ethics opinion from the Board-Written complaints should be filed with the City Clerk- Quick Links: City of Bozeman Ethics Handbook City of Bozeman Code of Ethics Montana Code Annotated.Code of Ethics Chapter 4 Quiz 60 I Marks 1 Nepotism refers to special favors granted because of relationships of consanguinity(blood)but does not apply to relationships of affinity(marriage). . Answer. 0 True G False 2 Marks'1 Aviolation of the city or state Code of Ethics could lead to(choose all that apps): Choose at least one 0 a_Criminal sanctions answer 0 h_Termination or Removal from office ❑ c.Disciplinary action 3 Marks 1 Employees and officials may receive a salary from two separate public employment positions if there is overlap for the hours being compensated. : Answer G True 0 False 4 Psl 1 Any member of the public may request a formal or informal City Attorney opinion with respect to the ethical conduct of an employee or official_ arks. Answer True False 5 Marks.1 According to state law,a former public employee may not within months fallowing the termination of employment,contract with or be employed by an employer who contracts with the city involving matters with which the former employee was directly involved during employment_ Answer' 6 Marks. Questions aboul a potential ethics issue,impropriety,or violation should be directed to your supervisor,the Hun-on Resources Department,or the City Attorney depending on the nature of the issue_ Answer True False 7 Marks 1 Any member of the public may file a complaint with the Board of Ethics or may request an ethics opinion from the Board. : Answer O Two O False 61 APPENDIX B: ETHICS TRAINING SURVEY 63 M I Hell City alrBazeman Board Members,Employees and Ofnalals: We are Interested In learning from you how we can better design ertecllve training idols and Improve the autcomes DT our ethics programs.As a participant oTthe recent Cliy or Bozeman On-line E:thias Training,we hope that you will take a Term rninules to pamcipate In this Short survey.The survey has been approved by the Montana Stale University Instt6utlonal Review Board FariiclpatDn Is vduntary and your responses will be conndential an d anonyrnaus as mere Is n o Identning Information.The resulls Or this surrey will be made avall able In a summary rep.3- r the ra I of 2011. if you flake questions atuoul 1he research,please conlard the survey caardinalors Paul La0aaelle, &,sVst.3nt PrYessar In the Department f Po .Ir-31 Science at Monthna Stale Universlly or Joe Ploro,Graduate Student In ire Masters or Pht. y Add n sh-a-lor Program{see oanlact Inr,-Ta11Jr, Below). Your time In oompieUrtg this Survey is greatly appreciated!Thank yaj! Paul Laehapel le Tel-�4(115)994-3620 E-mail:paul.lachapellegmontana.edu Jae Ptora Tel:{406}579 221 a E-mail:Ipbrol @gMall.cOM 65 As a result of City of Bozeman Ethics fin-line Training: Strongly Strongly agree Agree disagree disagree I have a better underslanding of the City at Bozeman's Cade of Etttics 1 have a beater understanding at the=1e Cade of Ethics The Chy ar 6oZentan's Code of Elhlcs will be reflected In my prafesslanai declelons I am mare I Rely to seek advice an elhiu related deelslons from rile 0 0 0 0 Gty s legal depar.merl-my supervlsar,or the human rMources department I have a better understanding or the City%51an dards•of CDIYllllct 1 am less likely 10 engay F In an act which could tre perceived as.a conflict of Irrteresl I have a better understanding of what constitutes conlldentlal Inrormatlon I am less likely io dlsciase corndenilal Information I have a better understanding or the laws about accepting gins ,. I have a better Linde rslanding of rite elty's llnanclal dlactasure , requlrementy I halve a betler understanding of the aclivltles pralllbned wlthln 12 0 mordhs or Ieaving my pasltion I have a better understanding of what oonsl toles ex parte 0 communlcadon I have a better understanding or the Clly Whistle Blower Policy 0 0 0 r� f� 1 Irrderstand Me reasons to disclose corrnicts to the Commissioner of I ] [ 1 Pig Meal Pracllces a� �x �✓ r I have a better understanding of what comslltules nepotfsm under state law I am less likely to violate Me Code or Erillcs I rI I have experienced more dlacussion about emfcs within rite ally I _{I I _ orgamkzatlon as a whole My peers and 1 are engaging In mare hne-on-one discussions about I _fI If �1 I e-ihlcs My superulsor and I are engaging In mare oneon-Dne dlscusstans about elhlcs Please list up to 3 actions you have undertaken as a result of the City of Bozeman Ethics On-line Training:: 1. 2. 3. 66 Howe could the City of Bozeman On-line Ethics Training be better designed so that it increases your knowledge of and decisions about ethics' We are interested in your ideas about how'we could design a more effective ethics training in the future. For the ON-LINE ethics training, I would have learned the material more effectively if: Strongly agree Agree Disagree 11rangly disagree There was Y1 ilea wlm ncllanal scenarios cusiomlzed to my position I could read aboul specific nallonal case siudes cuslomized to my position There was audio I,a 0 recording ar sarneane reading the questlansl Mmughout Me on'Ine tral n In There was a'ollow-I.p n- person mee dng w,th colleagues io discuss drat I. learned There was a follow-up i I I{ I meeting wllh the City's LeWl Deparlrnent to dsruss what I learned Oilier fpiease speciryl Did you participate in the in-person ethics training (at city hall or your work location) in 20097 Note: respondents who answered"yes"were taken to the questions on p. 68,respondents who answered"no"were taken to the questions on p. 69. 67 Please respond to the following questions comparing the IN-PERSON training to the ON- LINE training. On a scale of 1 to 5 (1=in-person training most effective. 5=on-line training most effective), please rate the following categories: n-De,ao7 Va ilig on-line training In-person lralrlr-r7_F on-line lralning moss rn cderalely more no dirTerenoe moderately rn ore e1Te+:11'.°e effective eReclive elective Increase -i^-y level.bt 0 knowledg a aboui ethics Charges 7 my behavior Impacl on my processional O 0 decleione related b©ethics Cortent Ease or understanding Level or engagement 0 Canvenlence Please tell us about yourself: Age: Sex: II--J Position (check all that apply) Board member City employee City or Icial .-tonal:Please provide the names}DT Me city board or departrneni you are a member or Total years of service to City of Bozeman Years of service in current position Please provide any additional comments about how we can improve the City of Bozeman Ethics Training Program: 68 Thinking hypothetical ly, please respond to the following iquestions comparing a future IN- PERSON training to the ON-LINE training you recently took. On a scale of 1 to 5 (1=in- person training most effective, 5=on-line training rno&t effective), please rate the following categories: r-: -Sc-1 1-3 117g on-line train Ing In�erscn training mw. oMlne:ralrl7g°oa: v.ya-Fel}more no dirference moderately more erfecllve errecu®e er•ec.:l,a emecd°ee Inerease In my level of knowledge aboul ethics Changes In my trehavlor L Impact on my profeMlonal _.Islons relaied to ethics Cortent Ease or un dersianding Leve°or engagement 0 Convenlenoe Please tel l us nbo ut yourself: Age: Sex: J Position (check all that apply) ❑ I3oaid member City employee City ofilclal Opilonal:Please pmrelde tr=names f M the city Imard or deparhneni you are a member Or Total years of service to City of Bozeman Years of service in current position 69 Please provide any additional comments about how wa can improve the City of Bozeman Ethics Training Program: 70