HomeMy WebLinkAboutEthics Supervisors, Confidentiality, Privacy, Retaliation Training 2013Supervisor Ethics 2013
Confidentiality, Privacy, Retaliation
Betsy J. Webb, SPHR Professional Development & Training Manager
Montana State University
1
1
Bozeman Ethics 2013
No Ethics “Season”
3 Tracks for employees:
Supervisors: Confidentiality, Privacy & Retaliation
Employees: Everyday Leadership (Fall months)
Employees: Interacting with the Public (Fall
months)
Boards: Updates on changes to the municipal code (gift clause, post-employment activities, conflicts of interest) and Board Scenario (starting now)
Will complete by December
31, 2013
2
2
Confidentiality
Before working for the City, you were employed by a smaller municipality in the same state. You have just become aware that a former colleague, who has a history of mental illness,
is applying for a vacancy with the City.
Your former colleague has made it to the list of final candidates. From previous experience, you know that her attendance is spotty, she causes
a lot of drama in the office, and is unreliable when she does not take her medication. She has not listed you as a reference for this position.
3
3
State of Montana – Standards of Conduct
Self-dealing:
As a state employee, you may not disclose or use confidential information acquired in the course of your job for your personal economic interests. 2-2-104(1)(a)
Public
Trust and Public Duty:
Carry out your duties for the benefit of the people of the state. Avoid taking actions which would cause you to depart from your public duty and violate the
public’s trust.
4
4
City of Bozeman – Standards of Conduct
Officials or employees must:
Act morally and honestly in discharging their responsibilities;
Discharge their duties impartially and fairly;
Devote necessary time and effort;
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 they are directly responsible for (2.03.520)
5
5
Can Employees or Officials Disclose Confidential Information?
City officials or employees are not, without legal authority, permitted to disclose confidential information concerning personnel, property, government, or affairs of the City (2.03.530.A)
Confidenti
al information is defined as any information which is not available to the general public and which is obtained only by reason of an individual’s position with the City (2.03.530.B)
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
(2.03.530.B)
6
6
City employees and officials should use their best judgment to first determine if information is confidential in nature.
If so, employees and officials are under obligation to protect
those confidences.
If an employee or official is in doubt as to whether the information is confidential and must be protected, the employee or officials must contact the City Attorney.
7
7
Discussion of the Scenario
Can you share your former colleague’s history of mental illness for this job search?
Is it relevant?
8
8
How to Maintain Confidentiality in the Workplace
The Human Resource professionals should take necessary steps to prevent the misuse of information that is personal. This is applicable to the HR department as well. Personal files of
employees and the management should be safely stored to avoid misuse, loss or unauthorized access.
Once the policies are devised, the next thing to do is to communicate the same to
all the employees, supervisors and managers. Training them about the confidentiality issues by giving them printouts of the policy or holding meetings and seminars in the office which
teach the importance of confidentiality to the employees, should be done on a regular basis.
9
9
Continued
It is very important that the employees know which actions of theirs will be considered as a breach of confidentiality and what will be the consequences of the same, to deter them from
doing so.
With most of the information these days stored electronically, to ensure its safety, sophisticated electronic methods such as firewalls, password protection, encryption, etc.
should be adopted. This will keep the access, usage and transmission of the protected data, safe.
Disposing of sensitive information in the right manner, if it's not required anymore
is equally important. The employer or the human resource personnel should do it in such a way that there are no potential leaks.
10
10
Right to Privacy
The Montana Constitution guarantees citizens both a right to know and a right to privacy. When it comes to public records, these guarantees sometimes seem to conflict.
Article 2, Section
9 of the state constitution states: "No person shall be deprived of the right to examine documents. of state government and its subdivisions, except in cases in which the demand of individual
privacy clearly exceeds the merits of public disclosure." State law further gives citizens the right to inspect and copy public records.
11
11
Article 2, Section 10 of the constitution states: "The right of individual privacy is essential to the well-being of a free society and shall not be infringed without the showing of
a compelling state interest."
So which is more important? The right to privacy or the right to know?
Sometimes you can provide a citizen with information he or she seeks without
allowing him or her to look at confidential portions of records. You can do this by reading a record yourself and giving the person information verbally or by photocopying the record
and blocking out confidential portions.
In an attempt to balance these two rights, Montana courts have created a body of case law that may provide some guidance. If you are unsure
whether a document is confidential or accessible to the public, consult your attorney.
12
12
Right to Privacy or Compelling Citizen Interest?
University employee accused of sexual misconduct by students
Investigation of complaints begins
Chronicle requests copies of files – personnel file, complaint files, investigation files
University
denies request – University cannot waive an individual’s right to privacy
Chronicle sues University based on compelling state interest and citizen’s right to know
Judge rules in favor
of Chronicle, University must release investigation notes
13
13
Who can waive the right to individual privacy?
14
14
Does the City have a right to privacy?
15
15
Reasonable expectation of privacy?
Personal modesty – bathrooms?
Employee work email accounts?
Know and follow policies
No added expectations of privacy
Assume information is confidential
16
16
Unreasonable searches – theft in office, search everyone’s desk, purses, briefcases
Intruding on seclusion – locked drawers, lockers (spaces reasonably expected to be private)
Improper
surveillance – not 24/7, bathrooms, lounges, beware of smartphones
Off-the-job investigations – following, entering homes, but not worker’s comp
Inadvertent disclosure – FMLA, HIPAA,
SS#, Birth dates
17
17
Retaliation
“Hi I am a custodian. I am afraid to give my name because of the ramifications of the head supervisor. Us as custodians need disposable gloves and at a recent meeting we were to be
trained about proper use of disposable gloves. A 10yr plus custodian said at that meeting we don’t get them. Our supervisor said if you want to give up a position then we can afford
them. He gives us playtex gloves that he wants us to reuse and will only give us one set a week. Can you look into this plz. I don’t want to give my name or email out in fear of being
pushed out of my job or the stopping of cleaning supplies and yes, if you go against him he does do those things. Thank you for your time. Plz again don’t give out this email address
or use my name or my supervisor’s name. Thank you.
18
18
Retaliation
Read excerpt:
19
19
Retaliation
Adverse Action + Protected Activity (complaint about harassment, reprimand)
Protected Activity:
Complaining about bias or harassment
Backing up another employee’s complaint
Refusing
to engage in discrimination
Requesting a reasonable accommodation
Asking for FMLA Leave
Worker’s Compensation Claim
20
20
Adverse Action
Termination
Demotion
Loss of pay
No promotion
Negative evaluation
Increased scrutiny
Change in shift assignments
Exclusion
21
21
ERC Report: Retaliation When Whistleblowers Become Victims
45% of U.S. Workers observe misconduct
65% of those who witnessed wrong-doing reported misconduct
22% of those who reported said they experienced some kind of retaliation
Ethics Resource Center:
2011, Retaliation: When Whistleblowers Become Victims
22
22
More from ERC on whistleblowers and retaliation
Second form of misconduct – new victim – the whistleblower
Retaliation is linked to dramatic decreases in employee engagement
Employees experiencing retaliation intend to leave company
much sooner
23
23
City of Bozeman on Retaliation
City of Bozeman Whistle Blower Policy
Whistleblowing is the reporting of improper governmental conduct or action
Improper governmental action – any action taken by an official or employee
during the performance of their duties that violates the standards of conduct in the City Code of Ethics or Montana state law, or is intended to harass, intimidate, or retaliate against
any other employee, official, or other member of the public.
No official or employee shall retaliate against any employees, official or member of the public regarding and allegation
of improper governmental action (2.03.490.I)
24
24
Not Retaliation
Colleagues act cool towards complainant
Isolated expressions of resentment by co-workers
Discipline – if not related to the protected activity (careful!)
25
25
Blunders
Temporal proximity – discipline soon after the complaint
Poor documentation – never go back and create a discipline file after the fact
Disguised retaliation – did your action create
a problem for the employee, hours worked, reassignments, shift changes
Exclusion – Not getting the promotion, not getting the lunch invitation
26
26
2012 Qualitative Results – City of Bozeman
Bozeman Employees want:
Anonymous avenues to report ethical violations
City employees want a safe environment for questions and access without fear of retaliation
Bridge the gap between
management and employees; perception of distance and need for improved communications
27
27
Sampling of Quotes – 2012 Qualitative Study Safe Environment
EMPLOYEES: “We need to create and reward a culture where questions are invited and asked freely – make it safe.”
“There is a reluctance now to bring things forward or to talk freely.
Make it safe to go to leadership.”
“We would like a retaliation-free environment; if you confront your supervisor or manager, there won’t be repercussions.”
SUPERVISORS:
“The fear of retaliation affects us too. When there is a reluctance to come to management to share concerns, ask questions, or report an unsafe behavior, supervisors can’t
act on information they don’t have. A safe, open environment is needed for all of us – the fear doesn’t serve any of us.”
28
28
Why employees don’t report an unethical incident
58% - Have not been involved in an incident
14% - Don’t believe management or governing authority will handle it appropriately
13% - Not comfortable reporting it
11% - No formal reporting
procedure
8% - Unaware of how to report it
5% - Fearful of retribution
LRN Ethics Study:
Workplace Productivity
2007
29
29
Factors Linked to Lower Retaliation Rates
Ethics programs are highly effective in reducing retaliation
Retaliation is far less common in stronger ethics cultures
When accountability is high, retaliation is less common
When Management
is trustworthy and committed to ethics, retaliation is reduced
30
30
Role of Supervisors (HPO?)
How do you see these issues within the City of Bozeman? Any concerns?
What are some steps you can take regarding issues around confidentiality, privacy, and retaliation?
Identify two
specific things you can do.
Can they happen now, or do new systems need to be put in place?
Report out.
31
31
“It’s not just about knowing your core values – but having the courage to actually stick to those values and speak hard truths”
Judy Nadler
Senior Fellow in Government Ethics
Santa
Clara University
Markkula Center for Applied Ethics
32
32
“It takes many good deeds to build a good reputation, and only one bad one to lose it.”
Ben Franklin
33
33