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8/14/2019 2009 City of Chicago Compliance and Integrity Survey
http://slidepdf.com/reader/full/2009-city-of-chicago-compliance-and-integrity-survey 1/59
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2009 City of ChicagoCompliance and Integrity Survey
City of Chicago Report of Overall Findings
December 15, 2009
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Roadmap
Background Survey Results Review of Findings and NextSteps
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About ERCThe Ethics Resource Center is a private, nonprofit organizationdevoted to independent research and the advancement of highethical standards and practices in public and private institutions.
Established in 1922.
ERC provides the benchmark on
compliant/ethical conduct in the USworkforce:
National Workplace Ethics Survey –independent, objective research studyon compliance/ethics violations, strengthof compliant/ethical cultures and theimpact of organizational compliance/
ethics programs across the country.Published every two years for government, business and nonprofitsectors.
ERC also issues regular whitepapers and research reports based onanalysis of national surveys and our
survey database.
Research
Confidential employee surveys –
conducted within individualorganizations to gather baseline data or to measure the impact of acompliance/ethics program effort.Gauges levels of misconduct, tone fromthe top, strength of compliant/ethicalculture and program impact.
ERC is the leading source of surveysand benchmarks for corporations,government and nonprofits. Surveyfindings are compared to national andpeer data.
Benchmarking
Opportunities for CEOs, policymakers
and senior government officials toidentify emerging compliance/ethicsissues.
ERC Fellows – A forum for research,publishing and the exchange of ideasamong scholars and senior compliance/ethics executives and public officials.
ERC professionals appear as keynotespeakers and participate in panels andseminars around the country.
Online resources via www.ethics.org
Publications – Ethics Today e-newsletter; white papers; national
workplace surveys.
Public Education
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Survey ObjectivesTo inform senior officials as to the current perceptions of
compliance and integrity* among City of Chicago employeesTo identify strengths and areas of opportunity in the City’s fairlynew program
To provide external, U.S. Local Government Average, measures**(averages of responses of employees who work in localgovernments) against which the City can compare its results
To provide critical information and insight necessary to not onlyformulate and implement an effective compliance and integrity
program, but also to establish priorities among limited resourcesFirst time survey of City employees to provide baseline informationfor future comparisons
**The data are collected in ERC’s 2007 National Workplace Ethics Survey,® a nationally representative poll of a random sample of employees at all levelsacross the United States. The survey provides insight into how employees view compliance and ethics at work.
*The terms: compliance and integrity, compliance and ethics, and compliance/ethics are used interchangeably throughout this report.
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Sampling and MethodologyManaged by Office of ComplianceSurvey Instruments
OnlineApproximately 150 questions plus 8 demographics
Stratified Sample and Census Survey of All
Departments: 7,928 of 37,858 employeesDistribution Method
3,002 email invitations to online survey4,926 paper invitations to online survey, mailed to home addresses
Participation Rate and Margin of Error 1,840 valid responses from 7,928 invited to participateResponse rate: 23.2%Margin of error: +/- 2.2%
Survey Conducted in August – September 2009
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Selected Terms and Definitions Used in Survey*Compliance Standards
The written guidelines, policies, rules, regulations, court orders, and federal, state, and local lawsincluding federal mandated consent decrees and mayoral executive orders that guide City of Chicago employees on proper workplace behavior (following the rules).
Ethical StandardsThe City of Chicago guidelines and/or organizational standards that help define right from wrongbehavior.
MisconductConduct that violates the City of Chicago’s compliance standards, ethical standards, and/or thelaw.
Ethical workplace conduct / Ethical behavior Following the compliance and ethical standards of the City of Chicago.
Employee GroupingsTop Management: Mayor, City Council, Commissioner and Deputy level employeesMiddle Management: Supervising personnel except Commissioners, Deputies, and immediatesupervisors
Non-management Employees: Non-supervising personnel*Definitions were developed in conjunction with City Office of Compliance and other departments; and were provided to survey participants.
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Context for Interpreting ResultsCompliance Program in Nascent Stage
This is a relatively new office within the City of Chicago and willrequire time to be fully integrated with day-to-day operations
Baseline Data Collection InitiativeThe City of Chicago has not implemented this type of employeesurvey related to employee ethics in the past so this effort will providea baseline to measure performance in the future
Data Collected During a Transition PeriodLike many other organizations, the City of Chicago was conductinglayoffs as a result of the recession and this can impact howemployees perceive their place of employment
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Executive SummaryEarly Rollout of the Compliance Program Has Raised
AwarenessHigh awareness of formal program elements, with all measures higher than 2007 Local Government Average82% of employees found training to be applicable, although only 57%cited training as valuable
Nearly one in five employees (17%) believe the City of Chicagorewards employees who follow compliance standards
Next Priority for the City Is a Focus on CultureApproximately two-thirds of employees (62%) perceive the City
overall has a strong compliance and integrity cultureOf the four ERC compliance and integrity culture components,supervisor reinforcement scored most favorably (69%) whilecompliance and integrity leadership scored least favorably (50%)Employees perceive that various levels of management communicateregarding compliance and integrity conduct but employees are notnecessarily satisfied with what they hear
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Executive Summary (continued)
Metrics the Office of Compliance Needs to Monitor onan Ongoing Basis
Pressure to compromise standards (9%) lower than 2007 LocalGovernment Average (16%), with greatest source of pressure comingfrom supervisors (77%)
Although City of Chicago employees observe less misconduct (28%)compared to the 2007 Local Government Average (34%), half of these observations go unreported (50%)The primary reason for not reporting observed misconduct is belief that no corrective action would be taken (81%)
City of Chicago employees cite a higher perception of experiencingretaliation for reporting (26%) than the 2007 Local GovernmentAverage (20%)
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Survey Results
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ERC Model of a Well-Implemented Program
– Written standards of conduct – Advice line – Anonymous or confidential reporting
mechanism – Training on compliance/ethics standards – Discipline system – Evaluation of compliance/ethics conduct
Awareness**
– Employees seek compliance/ethics advice – Receipt of positive feedback for
compliant/ethical conduct – Employee preparedness for misconduct – Mgmt can be questioned without fear – Rewards for following compliance/ethics
standards – Questionable means NOT rewarded
Implementation**
Based on the perceptions of government respondents tothe 2007 NGES survey, just under two in ten perceive their organization to have a well-implemented compliance and
ethics program*
71%
11%
18%
PRESENCE OF WELL-IMPLEMENTEDCOMPLIANCE & ETHICS PROGRAM
Well-Implemented Program
Little/No Program Implementation
Poorly Implemented Program
*Data is from ERC’s 2007 National Government Ethics Survey
**Blue text indicates that the question (or a similar version) was asked in the City of Chicago Compliance and Integrity Survey
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Awareness of All Program Elements Higher than2007 Local Government Averages
PercentAware of…
Compliance and Integrity Program Elements
Compliance and Integrity Program Awareness across City of Chicago
* Local Government Average asked a single question about obtaining advice about workplace ethics issues
2009 City of Chicago
2007 LocalGovernment Average
93% 92% 92% 92% 93% 91%
71%
82%
90%
68%
85%**85%**
68%*68%*
50%
75%
100%
Advice Line(for
compliance)
Advice Line(for
misconduct)
AnonymousReporting for ComplianceStandards
AnonymousReporting for Misconduct
ComplianceStandardsTraining
Discipline for Violators
Evaluation of compliant/ethical
Conduct
** Local Government Average asked a single question about reporting violations of ethics standards
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82% of Employees Find Training to BeApplicable to Their Jobs
Training Utilization
Employee Utilization of Training across City of Chicago2009 City of Chicago
PercentAgreeing
82%
74% 68%
57%
0%
50%
100%
Applicability of training Effectiveness of Codeof Conduct training
Effectiveness of compliance training
Compliance trainingvaluable
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Seventeen Percent of Chicago EmployeesBelieve the City of Chicago Rewards Employees
Who Follow Compliance Standards
PercentAgreeing
2009 City of Chicago
2007 LocalGovernment Average
Compliance and Integrity Program Incentives across City of Chicago
Compliance and Integrity Program Incentives
* n/a - Question not asked
53%59% 54%
17%
61%54%
n/an/a*0%
50%
100%
City of Chicago doesnot reward
questionable actionsif they get results
Supervisor does notreward questionable
actions if they getresults
Coworkers do notshow respect for those who use
questionable actionsto get results
City of Chicagorewards employees
who followcomplianceStandards
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Measuring a Strong Compliance and Integrity Culture
– Compliance and Integrity Leadership: tone at the topand belief that leaders can be trusted to do the rightthing.
– Supervisor Reinforcement: individuals directly abovethe employee in the company hierarchy set a goodexample and encourage compliant/ethical behavior.
– Peer Commitment to Compliance and Integrity: compliant/ethical actions of peers support employeeswho “do the right thing.”
– Embedded values: compliance/ethics values promotedthrough informal communication channels arecomplementary and consistent with a company’s officialvalues.
Culture Strength
Observed Misconduct
Percentobservingmisconductandreportingmisconduct
Strong CultureStrong Leaning
Weak LeaningWeak Culture
Reporting
Strength of Compliance and Integrity CultureDrives Down Compliance/Ethics Risk Compliant/ethical culture is the “unwritten
code” that tells employees how to think and act – how things are ‘actually done around here’*
42%
86%
19%11%
0%
50%
100%
69%
60%
85%88%
0%
50%
100%
Note: Data shown is from ERC’s 2007 National Government Ethics Survey (Federal, State, and Local combined)*Treviño, Weaver, Gibson and Toffler. (1999) Managing Ethics and Compliance: What Works and What Hurts. California Management Review, 41 (2).
**Treviño, L.K., Hartman, L.P., and Brown, M.. (2000) Moral Person and Moral Manager: How Executives Develop a Reputation for Ethical Leadership.California Management Review, 42 (4).
Tone at the top is one’s moral reputation and thedemonstration of moral behavior.**
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Measuring a Strong Compliance and Integrity Culture
– Top management talks about importance of doingthe right thing
– Satisfied with information from top management – Top management sets a good example – Trust top management to keep promises and
commitments
– Top management supports employees – Top management does not tolerate retaliation – Top management would be held accountable
Compliance and IntegrityLeadership
A compliant/ethical environment is formed and created through the perceptions that employees at all levels are engaging in compliant/ethical actions and behaviors
– Direct supervisor talks about importance of doingthe right thing
– Satisfied with information from direct supervisor – Direct supervisor sets a good example – Trust direct supervisor to keep promises and
commitments
– Direct supervisor supports employees – Direct supervisor would be held accountable
Supervisor Reinforcement
– Coworkers talk about importance of doing the rightthing
– Coworkers set a good example – Trust coworkers to keep promises and
commitments – Coworkers support employees – Coworkers consider compliance issues
Peer Commitment
– When employees in my company make businessdecisions they consider the effect on:
– Society and community – The environment – Employee well-being – Future generations
Embedded Values
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Two-thirds of Employees Perceive the City of Chicago Overall Has a Strong Compliance and
Integrity CultureOverall Compliance and Integrity Culture Strength City of Chicago
Culture Strength
62%
80%
0%
45%
90%
2009 Cityof Chicago
2007 LocalGovernment Average
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Compliance and Integrity Culture Dashboard
Compliance andIntegrity Leadership
Supervisor Reinforcement
Peer Commitment Embedded Values
69%80%
0%
45%
90%
2009 City of Chic ago 2007 Loc alGovernment Average
67%
80%
0%
45%
90%
2009 City of Chic ago 2007 Loc alGovernment Average
53%68%
0%
45%
90%
2009 City of Chic ago 2007 Loc alGovernment Average
50%
74%
0%
45%
90%
2009 City of Chic ago 2007 Loc alGovernment Average
CultureStrength
CultureStrength
CultureStrength
CultureStrength
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Although 67% of Employees Perceive TopManagement Communicates Importance of
Following the Rules, Less than Half Satisfiedwith the Information They Receive
2009 City of Chicago
2007 LocalGovernment Average
Elements of Compliance and Integrity Leadership
PercentAgreeing
Elements of Compliance and Integrity Leadership across City of Chicago
Who Do Employees Consider to Be Top Management?34% Immediate Supervisor 19% Deputy Commissioner 30% Commissioner
7% Mayor 10% Mayor’s Office and/or City Council
42%
61% 57% 60%
82% 77% 75%70%
80%73%
78%
38%
54%
67%
0%
50%
100%
Top mgmtcommunicates
importanceof following the
rules
Satisfied withinformation
from
Top mgmtsets a good
example
Trust top mgmtto keep
promises andcommitments
Top mgmtsupportsfollowing
standards
Top mgmtdoes nottolerate
retaliation
Top mgmtIs held
accountabletop mgmt
20
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Seventy-Seven Percent of Employees BelieveSupervisors Communicate Importance of
Following the Rules Though Only 57% AreSatisfied with the Message
2009 City of Chicago
2007 LocalGovernment Average
Elements of Supervisor Reinforcement
PercentAgreeing
Elements of Supervisor Reinforcement across City of Chicago
57%
76% 78%82% 80% 83% 80%85%
82%77% 76%64%
0%
50%
100%
Supervisor
communicatesimportance of following the
rules
Satisfied with
informationfrom
supervisor
Supervisor
sets a goodexample
Trust
supervisor tokeep promises
&commitments
Supervisor
supportsfollowing
standards
Supervisors
are heldaccountable
21
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Sixty-one Percent of Employees TrustCoworkers to Keep Promises and Commitments
2009 City of Chicago
2007 LocalGovernment Average
Elements of Peer Commitment
PercentAgreeing
Elements of Peer Commitment across City of Chicago
* n/a - Question not asked
65%72%
61%70% 65%
87%84% 81% 84% 79%
n/a*
74%
0%
50%
100%
Coworkers/peers talk
aboutimportance of following the
rules
Coworkers/peers set a
good example
Trustcoworkers to
keeppromises &
commitments
Coworkers/peers support
followingstandards
Coworkers/peers
consider compliance
stds indecision-making
Coworkers/peers are heldaccountable
22
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More than 60% of Employees Perceive thatEmployees Consider Effects on Society when
Making Decisions
2009 City of Chicago
2007 LocalGovernment Average
Embedded Values
PercentAgreeing
Embedded Values across City of Chicago
* n/a - Question not asked
63%56%
46%40%
59%
85%
65% 69%
n/a*
73%
0%
50%
100%
Consider effectson society
Consider effectson employee
well-being
Consider effectson environment
Consider effectson future
generations
Consider effectson quality of
products andservices
23
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Program Targets (Outcomes) in the ERC Model
High profile corporate debacles, followedby passage of SOX (2001-2002)
-
Fewer Observations
MoreObservations
NBES 2000 NBES 2003 NBES 2005 NBES 2007
60%62%
58%
0%
50%
100%
NBES 2000 NBES 2003 NBES 2005 NBES 2007
70%
Observed Misconduct
Reporting of Observed Misconduct
Rate of Misconductcombined with
Rate of Reportinghelps identify
Level of Compliance/Ethics Risk
Note: All data shown is from ERC’s 2007 National Government Ethics Survey (Federal, State, and Local combined)
The level of compliance/ethics risk is consideredalong a continuum. A severe risk is presented when
a behavior happens frequently and usually goesunreported; high risk is presented when a behavior
happens often and often goes unreported; and aguarded risk is presented when a behavior happens
less frequently and may go unreported.
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Compliance/Ethics Risk Dashboard
Observed Misconduct
Reporting of Misconduct
Retaliation for a Report
Perceived Pressure
9%
16%
0%
13%
25%
2009 Cityof Chicago
2007 LocalGovernment Average
28%34%
0%
25%
50%
2009 Cityof Chicago
2007 LocalGovernment Average
50%
67%
0%
35%
70%
2009 Cityof Chicago
2007 LocalAverage Government
26%
20%
0%
15%
30%
2009 Cityof Chicago
2007 LocalGovernment Average
25
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Supervisors Are Perceived to Be theGreatest Source of Pressure
Perceived Sources of Negative Pressure across City of Chicago,of the 9% Who Perceived Pressure to Violate Standards or the Law
Sources of Pressure
PressureFelt (%)
2009 City of Chicago
2007 LocalGovernment Average
77%71% 69% 65% 62%
54%
83%
68% 69%
44%
59%
44%
0%
50%
100%
Supervisorypressure
Keeping my job
Meetingperformance
goals
Saving others' jobs
Demandsfrom outsidestakeholders
Advancing myown career or
financialinterests
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Observation of Discrimination Almost Twicethat of 2007 Local Government Average
Observation of Specific Forms of Misconduct in the Workplace across City of Chicago Overall
Note: n/a - Question not asked
Behaviors2009 City of
Chicago2007 Local Gov't
Average
Abusive Behavior 27% 26%
Lying to Employees 21% 22%
Discrimination 20% 12%
Conflicts of Interest 15% 26%
Improper Hiring Practices 15% 17%
Safety Violations 13% 17%
Email/Internet Abuse 12% 23%
Misuse of City's Services or Property 12% n/a
Other 12% n/a
Misreporting Hours Worked 11% 18%
Poor Service/ Product Quality 11% 10%
Retaliation for Reporting Misconduct 10% n/a
Ly ing t o Ex ternal St ak eholders 9% 16%
Sexual Harassment 9% 9%
Substance Abuse 7% n/a
M isuse of Cit y's Confident ial Info 6% 6%
Alteration of Documents 6% 7%
Falsi ficat ion of Reports or Records 5% 6%
Violation of Environmental Regulations 5% 12%
Bribes/Kickbacks/Gifts 4% 4%
Stealing/theft 4% 10%
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Sexual Harassment, Improper Hiring Practices,and Computer Abuse Least Reported Forms of
MisconductObservation and Reporting of Specific Forms of Misconduct in the Workplace across City of Chicago Overall
Note: n/a - Question not asked
BehaviorsObserved 2009City of Chicago
Reported 2009City of Chicago
Reported 2007Local Gov't Avg
Falsification of Reports or Records 5% 62% 58%Retaliation for Reporting Misconduct 10% 59% n/aSafety Violations 13% 57% 69%Poor Service/Product Quality 11% 55% 65%Alteration of Documents 6% 55% 67%Other 12% 52% n/aViolation of Environmental Regulations 5% 52% 52%Abusive Behavior 27% 50% 61%Conflicts of Interest 15% 47% 50%Misreporting Hours Worked 11% 47% 55%Bribes/Kickbacks/Gifts 4% 45% 56%Misuse of City's Confidential Info 6% 43% 62%Lying to External Stakeholders 9% 42% 40%Discrimination 20% 41% 50%Misuse of City's Services or Property 12% 41% n/aSubstance Abuse 7% 40% n/aStealing/theft 4% 40% 59%Lying to Employees 21% 39% 62%Sexual Harassment 9% 37% 66%Improper Hiring Practices 15% 37% 55%Email/Internet Abuse 12% 35% 52%
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Employees Cite Not Believing Corrective ActionWould Be Taken as Primary Reason Not to
ReportReason for Non-Reporting
2009 City of Chicago
2007 LocalGov't
Average
I didn't believe corrective action would be taken 81% 59%
I didn't trust that my report would be kept confidential 64% 67%
I feared retaliation from management 60% 28%I feared retaliation from coworkers 41% 26%
I did not think it was significant enough to report 41% n/a
I didn't know whom to contact 36% 15%
I would have to report it to the person involved 36% 30%
I did not believe it was my responsibility 35% n/a
I did not want to get someone fired 34% n/a
The issue had been addressed my someone else 26% 49%
I thought someone else would report it 25% 21%
It was to my advantage not to report 23% n/a
I resolved the issue myself 21% 47%
Note: n/a - Question not asked
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‘Compliance/Ethics Risk’ Increases with More FrequentObservation Coupled with Decreased Reporting
50th50thPercentile for Percentile for
ObservationObservation
50th50thPercentile for Percentile for
ReportingReporting
MoreMoreFrequentlyFrequently
ReportedReportedLessLessFrequentlyFrequentlyObservedObserved
LessLessFrequentlyFrequently
ReportedReported
MoreMoreFrequentlyFrequentlyObservedObserved
‘Compliance/Ethics Risk’ across City of Chicago Overall
IncreasedIncreasedCompliance/Compliance/
Ethics RiskEthics RiskEmail/Internet Abuse
Improper Hiring PracticesSexual
Harassment
Lying to Employees
DiscriminationMisuse of City'sConfidential InfoBribes/Kickbacks/Gifts
Conflicts of Interest
Other
Poor Service/Product
QualitySafety Violations
Falsification of Reportsor Records
Substance AbuseStealing/theftMisuse of City's Services
or PropertyLying to External
Stakeholders
Misreporting Hours Worked
Abusive Behavior
Violation of EnvironmentalRegulations
Alteration of Documents
Retaliation for Reporting Misconduct
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Review of Findings and
Next Steps
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Review of Findings and Next StepsCompliance Program Awareness and Use
Program awareness highConsider adding a compliance and integrity dimension to performanceevaluations beginning with higher management
Employees find training applicable and effective more than they find itvaluable
Review current training methods to identify opportunities to increaseperception of its value
Identify employee groups where additional job-specific compliance/ethicstraining might be applicable
One in five perceives that the City rewards following the standards, andsomewhat more than half do not perceive that questionable practices arerewarded or respected
Conduct further inquiry to understand employee perceptions aboutrewards. Develop messaging that achieving organizational goals neednot occur at the expense of compliant/ethical behavior
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Review of Findings and Next Steps (cont.)Compliance and Integrity Culture
Two-thirds perceive City has a strong compliance and integrity culturePerceptions about immediate supervisors’ compliant/ethical behavior morefavorable than about top management’sOne-third perceive that top management is their immediate supervisor Less than half (42%) satisfied with the information they receive from top
managementTrain managers on techniques for modeling compliant/ethical behavior and bringing the compliance and integrity dialogue into the workplacein everyday situationsCity of Chicago management might publicize its efforts to modelcompliant/ethical behavior by speaking about efforts to do the rightthing, issuing printed or online announcements of compliant/ethicalactions, making known decisions that involve complexcompliant/ethical choices
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Review of Findings and Next Steps (cont.)Program Targets
Perceived pressure to violate standards less than the 2007 LocalGovernment Average, with greatest pressure coming from supervisors
Work with supervisors and managers to help them distinguish normalworkplace pressures from improper pressures and to develop ways toconvey organizational demands to employees with the objective of
limiting potential misperceptionsAlthough observation of misconduct is below the 2007 Local GovernmentAverage, only half of observed misconduct is reported
Develop campaign to highlight multiple reporting channels that areavailable to employees
Belief that no corrective action would be taken is the primary reason citedfor not reporting
Strengthen mechanisms to respond to reports of misconduct, whilealso protecting confidentiality of those involvedProvide organization-wide, sanitized reports of cases that are being
handled by the City
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Review of Findings and Next Steps (cont.)Program Targets (continued)
Of those that reported misconduct, 26% perceived experiencingretaliation as a result of their report
Use existing mechanisms, such as training or awareness campaigns,to remind employees that retaliation is not to be tolerated
Consider concurrent actions with other City Programs
Highlight City Compliance and Integrity Program components in ARRACompliance Program Training
Provide Compliance and Integrity training and support for City M/WBEProgram participants
Compliance and Integrity focus groups can include City Departmentsas well as Delegate Agencies
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For More Information
Ethics Resource Center Ethics Resource Center
www.ethics.orgwww.ethics.org
703-647-2185703-647-2185
[email protected]@ethics.org
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Appendix
Additional Findings
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Additional FindingsCompliance Program Awareness and Use
Employees less likely to seek guidance from the Office of Compliance thanfrom other City of Chicago resources
Slightly more employees perceive the City compliance and integrity cultureto be compliance rather than value oriented
Compliance and Integrity CultureAbout 40% of employees trust top management to keep their promises andcommitments, and a little over half feel that top management sets a goodexample
Perceptions about compliant/ethical behaviors of middle managementemployees somewhat more favorable than those of top management
Strongest perceptions of accountability exist for supervisors
Almost 70% perceive supervisors do not tolerate retaliation
Slightly more than half of coworkers provide positive feedback
About half of employees (49%) perceive that non-management employees
consider compliance standards when making decisions
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Additional Findings (continued)Program Outcomes
Fifty-one percent of employees perceive exposure to compliance/ethics riskMore in middle management feel pressure to violate standards than in top or non-management positions
Top management cites most observed misconduct compared to other employee groups
76% of top management reports misconduct compared to 40% of non-management employees reporting misconduct they perceive
Most reports made to immediate supervisors (39%) followed by higher management (23%)
Resources used when deciding whether to report misconduct all found tobe similarly useful
30% of non-management employees perceive retaliation for reportingcompared to 8% of middle management employees perceiving retaliation
Satisfaction with the City of Chicago’s response to reported misconductgreatest amongst top management (50%) and least amongst non-management employees (23%)
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Additional Findings (continued)Program Outcomes (continued)
More than three-quarters of employees at all levels do not believe their personal values conflict with those of the City of Chicago
Fifty percent perceive that the organization values them as an employee,with more management than non-management employees concurring
Sixty-four percent of employees are satisfied working for the City of Chicago
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A Smaller Percentage of Employees Feel Preparedto Handle Questionable Compliance/Ethics/Legal
Situations than Local Government Average
Compliance and Integrity Program Effectiveness Measures
Perceived Overall Compliance and Integrity Program Effectiveness across City of Chicago
PercentAgreeing
* n/a - Question not asked
2009 City of Chicago
2007 LocalGovernment Average
85%
63%
89%
70%
40%
n/a
65%
n/a*0%
50%
100%
Employees seekguidance from Office
of Compliance
Employees seekguidance from own
department, Board of Ethics, Law, or other
City department
Feel prepared tohandle situations
Confident in ability torecognize
compliance/ethicalissues
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Slightly More than Half (55%) of EmployeesBelieve the City of Chicago Emphasizes Its
Values and PrinciplesOrganization Emphasis for City of Chicago
Emphasis of Organization
PercentAgreeing
2009 City of Chicago
2007 LocalGovernment Average
100%
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Although Nearly Two-thirds of Employees FeelTop Managers Emphasize Following the Rules,
Less than 40% Receive Positive Feedback
Top Management Behaviors
PercentAgreeing
Additional Top Management Behaviors across City of Chicago
2009 City of Chicago
39%
52%63%64%
0%
50%
100%
Top mgmtemphasizes followingthe rules even under
pressure
Top mgmt providespositive feedback Top mgmt holds allemployeesaccountable
Top mgmt considerscompliancestandards in decision-
making
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Less than Half of Employees Trust MiddleManagement to Keep Promises and
Commitments
Middle Management Behaviors
PercentAgreeing
Middle Management Behaviors across City of Chicago2009 City of Chicago
72%
46%
63%
46%58%
69%
0%
50%
100%
Middle mgmt
communicatesimportance of following the
rules
Satisfied with
informationfrom middle
mgmt
Middle mgmt
sets a goodexample
Trust middle
mgmt to keeppromises &
commitments
Middle mgmt
does nottolerate
retaliation
Middle mgmt is
heldaccountable
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Over 60% of Employees Believe MiddleManagement Holds Other Employees
Accountable
Middle Management Behaviors
PercentAgreeing
Additional Middle Management Behaviors across City of Chicago2009 City of Chicago
44%
57%64%65%
0%
50%
100%
Middle mgmtemphasizes followingthe rules even under
pressure
Middle mgmt providespositive feedback
Middle mgmt holdsother employees
accountable
Middle mgmtconsiders compliancestandards in decision-
making
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Almost 70% of Employees Perceive ImmediateSupervisors Do Not Tolerate Retaliation
Immediate Supervisor Behaviors
PercentAgreeing
Additional Immediate Supervisor Behaviors across City of Chicago2009 City of Chicago
62%68%71%70%76%
0%
50%
100%
Supervisor emphasizesfollowing the
rules even under pressure
Supervisor provides positive
feedback
Supervisor holdsother employees
accountable
Supervisor considers
compliancestandards in
decision-making
Supervisor doesnot tolerateretaliation
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Slightly More Than Half of Coworkers ProvidePositive Feedback
Peer Behaviors
PercentAgreeing
Additional Peer Behaviors across City of Chicago2009 City of Chicago
53% 50%60%58%
66%
0%
50%
100%
Coworkers/peersemphasize
following therules even under
pressure
Coworkers/peersprovide positive
feedback
Coworkers/peershold other employees
accountable
Coworkers/peersdo not tolerate
retaliation
Satisfied withinformation fromcoworkers/peers
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Forty-four Percent of Employees Trust Non-management to Keep Promises and
Commitments2009 City of Chicago
2007 LocalGovernment Average
Non-management Employee Behaviors
PercentAgreeing
Non-management Behaviors across City of Chicago
* n/a - Question not asked
55%41%
57%44%
51%
80%
n/a*
89%
n/an/an/an/a0%
50%
100%
Non-mgmtempl
communicatesimportance of following the
rules
Satisfied withinfo from non-mgmt empl
Non-mgmtempl set a
good example
Trust non-mgmt empl tokeep promises
&commitments
Non-mgmtempl do not
tolerateretaliation
Non-mgmtemployees are
heldaccountable
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About Half of Employees Perceive Non-management Employees Consider Compliance
Standards when Making Decisions
2009 City of Chicago
Non-Management Employee Behaviors
PercentAgreeing
Additional Non-Management Behaviors across City of Chicago
53%
37%
53%49%
0%
30%
60%
Non-mgmt emplemphasize followingthe rules even under
pressure
Non-mgmt emplprovide positive
feedback
Non-mgmt empl holdothers accountable
Non-mgmt emplconsider compliance
standards indecisions
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About Half of City of Chicago Employees PerceiveExposure to Compliance/Ethics/Legal Risk, with
Immediate Supervisors Citing Least ExposurePerceived Exposure to Compliance/Ethics/Legal Risk across City of Chicago
Employee Group
PerceivedExposure
to Risk (%)
Managerial Level
45%
54%
45%50%
55%51%
0%
35%
70%
2009 Cityof Chicago
2007 LocalGovernment
Average
TopManagement
MiddleManagement
ImmediateSupervisor
Non-Management
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Pressure to Commit a Compliance/Ethics/LegalViolation Nearly Half 2007 Local Government
AveragePerceived Pressure to Commit a Compliance/Ethics/Legal Violation across City of Chicago
Employee GroupManagerial Level
9%
16%
10%
14%
7%8%
0%
10%
20%
2009 Cityof Chicago
2007 LocalGovernment
Average
TopManagement
MiddleManagement
ImmediateSupervisor
Non-Management
PerceivedPressure (%)
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Top Management Cites Most ObservedMisconduct across Employee Groups
Observed Misconduct in the Workplace across City of Chicago
Employee Group
ObservedMisconduct (%)
Managerial Level
28%34%
36%33%
19%
28%
0%
25%
50%
2009 Cityof Chicago
2007 LocalGovernment
Average
TopManagement
MiddleManagement
ImmediateSupervisor
Non-Management
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Half of All Observed Misconduct is Reported,with Non-management Employees Least
Likely to ReportReporting of Observed Misconduct in the Workplace across City of Chicago
Employee Group
ReportedMisconduct (%)
Managerial Level
50%
67%76%
70%64%
40%
0%
50%
100%
2009 Cityof Chicago
2007 LocalGovernment
Average
TopManagement
MiddleManagement
ImmediateSupervisor
Non-Management
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Consistent with Local Government Average,Most Reports Are Made to Supervisors
Locations for Reporting Specific Types of Misconduct
Sources Where Employees Report Observed Specific Violations across City of Chicago
ReportingChannel (%)
2009 City of Chicago
2007 LocalGovernment Average
* n/a - Question not asked
39%
7% 5% 3%
17%
49%
18% 19%
4% 5%
23%
7%n/a
6%
0%
30%
60%
Supervisor Higher management
Inspector General's
Office
Someoneoutside Cityof Chicago
Other responsible
person
Helpline(Office of
Compliance)
Other
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Resources Used When Deciding Whether to Report Misconduct All Found to Be
Similarly Useful
Resource Referred to by Employee
Perceived Usefulness of Resources When Deciding What to Do about Observed Misconduct across City of Chicago
Found ResourceUseful (%)
2009 City of Chicago
* n/a - Question not asked
58% 60%68%
57%65%
0%
40%
80%
Ethical
standards
Compliance
standards
Ethics training Compliance
training
Helpline (Office
of Compliance)
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Overall, One-quarter of Those Who ReportedObserved Misconduct Perceived Experiencing
RetaliationReporters of Misconduct Who Perceived They Experienced Retaliation across City of Chicago
Employee Group
PerceivedRetaliation (%)
Managerial Level
26%
20% 21%
8%
22%
30%
0%
20%
40%
2009 Cityof Chicago
2007 LocalGovernment
Average
TopManagement
MiddleManagement
ImmediateSupervisor
Non-Management
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One in Four (26%) of Those Who ReportedWere Satisfied with the City of Chicago’s
Response
Employee Group
Managerial Level
Reporters of Misconduct Who Were Satisfied with Organization’s Response across City of Chicago
Satisfied w/Response (%)
50%
23%
33%35%
26%
0%
30%
60%
2009 Cityof Chicago
TopManagement
MiddleManagement
ImmediateSupervisor
Non-Management
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More than Three-quarters of Employees atAll Levels Do not Perceive that Their Values
Conflict with Those of the OrganizationEmployees Who Do not Perceive Conflict between Their and Organization’s Values across City of Chicago
Employee Group
Values notin Conflict (%)
Managerial Level
70%80%77% 77% 76% 77%
0%
50%
100%
2009 City of Chicago
2007 LocalGovernment
Average
TopManagement
MiddleManagement
ImmediateSupervisors
Non-management
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Half (50%) Perceive that the OrganizationValues Them as an Employee
Employee Group
Feel Valuedby Organization (%)
Perception that Organization Values Employee across City of Chicago
Managerial Level
80%69%
47%57%
63%
50%
0%
50%
100%
2009 City of Chicago
2007 LocalGovernment
Average
TopManagement
MiddleManagement
ImmediateSupervisors
Non-management
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Sixty-four Percent of Employees Are SatisfiedWorking for the City of Chicago
Employee Group
Satisfied w/Organization (%)
Employee Satisfaction w/ Organization across City of Chicago
Managerial Level
71%61%
75%76%
64%
84%
0%
50%
100%
2009 Cityof Chicago
2007 LocalGovernment
Average
TopManagement
MiddleManagement
ImmediateSupervisor
Non-Management