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EGPA 2010: ETHICS AND INTEGRITY OF GOVERNMENT STUDY GROUP

EFFECTIVE TEACHING OF WORKPLACE ETHICS

Ray Plibersek

Toulouse - September 2010

EGPA 2010: Ethics and Integrity of Government Study Group

EGPA 2010: Ethics and Integrity of Government Ray Plibersek 12 August 2010 NOT FOR PUBLICATION

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EFFECTIVE TEACHING OF WORKPLACE ETHICS

1. Introduction Teaching workplace ethics has always been difficult and is often ineffective. This is because it is usually delivered by teaching the detail of ethics policies to people who think the training does not apply to them and is of little practical value in their job or workplace. The challenge to those teaching workplace ethics is to make the subject relevant, understandable and part of the daily routines of all staff in their workplaces. In this paper we will first describe a traditional method of teaching workplace ethics and consider why such approaches are ineffective. We will then briefly examine theories of learning to see if they can suggest better ways of teaching workplace ethics. Two case studies of state and local government agencies trying new methods will then be analysed to see if there are more effective methods of teaching workplace ethics. 2. Sutherland Shire Council’s 2007 workplace ethics training. Sutherland Shire Council (Council) is a large metropolitan local (or municipal) government area in southern Sydney, Australia. It has an annual budget of about 145 million Euros and employs about 1,400 staff. It is responsible for providing services to the local area such as: planning/building controls, road construction, childcare, tourism, environmental services and cleaning/waste collection. In late 2007 there was no organised policy or procedure for training Council employees or elected officials in workplace ethics or specific policies such as the Code of Conduct. Workplace ethics education consisted of an induction program for new staff and additional training to meet specific or identified needs. This additional training would be provided where circumstances appeared to show it was needed. Such circumstances could include where: • new or amended Council policies were introduced; • there was evidence of staff failing to be aware of, understand or apply policy or

ethical practices at a corporate level; or • suggestions were made for training by senior managers. In late 2007 examples of the types of policies then in existence included: • Code of Conduct for Councillors, Staff and Delegates of Council; • Conflicts of Interest Policy; • Statement of Business Ethics; • Fraud and Corruption Prevention Policy; • Gifts, Benefits and Hospitality Policy and Procedures; • Whistleblowers Policy and Procedures; • Customer Response Policy and Procedures; • Use of Council Resources for Private Purpose Policy; • Councillors Access to Information and Interaction with Staff.


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The previous workplace ethics training was reactive and often only given infrequently and usually only in conjunction with the implementation of a new policy. The existing system did not anticipate potential ethical or corruption risks in Council. As time for training was limited, no time was available to analyse the ramifications of this reactive approach to ethics training for individuals and Council. The responsibility for designing and delivering the ethics training rested with the Probity Manager. Although unit managers had responsibility to ensure their staff followed Council ethics policies, the existing training system did not allow unit managers any control or input into ethics training in their own work units. Feedback commonly given by staff receiving this training was that it was: too theoretical, not relevant to their jobs, did not apply to them and was not practical. 3. How do adults best learn ? Adult learning principles which have been developed from Malcolm Knowles and his theory of adult learning provide some theoretical background to understand what training methods are most effective with adults.1 Knowles developed the process model of learning which concludes that active learning is best suited to adults and is facilitative rather than the passive content driven model which is less effective for adult learning. Adult learning principles are essentially that adults :

• Are autonomous and self-directed.

• Have life experience and prior knowledge: which means they respond to training methods that draw on that such as discussion, problem-solving, case studies, group work, simulations.

• Are goal oriented – they need to understand why they are doing the training – its objectives and the training needs to be focussed.

• Are looking for relevance – they want training to be relevant to their job/role.

• Want practical assistance – want training that provides something they can apply in their role.

• Require respect – need the trainer to consider them as equals – rather than the expert who lectures.2

There is also a well know and frequently referenced "Cone of Learning" graph which purports to show that we tend to remember 10% of what we read, 20% of what we

1 http://www.icvet.tafensw.edu.au/resources/adult_learners.htm is a good site for coverage of adult learning

principles and http://tip.psychology.org/ which appears in the website section under theory in practice heading

provides references for a range of theories including Knowles. 2 Please refer to the following for more detailed information on adult learning:

Hawe, Degling and Hall [1990], Evaluating Health Promotion: A Health Worker’s Guide,

Kirkpatrick [1996], Great Ideas Revisited Training & Development. Jan:54-59 ASTD USA

Knowles [1990], The Adult Learner: A Neglected Species. 4th Ed. Gulf.

Reynolds, Dr J [2001] How do people learn? CIPD University of Cambridge


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hear , 30% of what we see but 90% of what we say and do3. This graph has been widely used to support different learning methods. The graph shows passive learning, such as listening, being the least effective while active learning, such as doing a task, is the most effective. The graph can be represented as a pyramid.4

The “Cone of Experience" was first developed in the 1940's by Professor Edgar Dale.5 It originated from a paper written by Dale about how to effectively create a high school film appreciation class and a methodology for analysing the content of motion pictures. Significantly Dale included no numbers or percentages in his original model and there was no research used to generate support for any findings about such numbers. Dale warned his readers not to take the model too literally. Dale's Cone, as it appears in the 3rd and final edition of his book does not contain any numbers or percentages.6 Thus it seems that claims about effective learning based on Dale's "Cone of Experience" have been overstated by having unsupported figures added to it. Despite not accepting the figures that appear to have been added without evidence, it seems that based on Dale's studies we can still rely on his broad conclusion that active (or experiential) learning is more effective than passive study. As shall be described, the adult active learning principles briefly referred to above form the theoretical basis for the ethics training approach adopted by Council. 4. RTA - Management Assurance Program The Roads and Traffic Authority is the NSW State Government agency responsible for: improving road safety; testing and licensing drivers; registering and inspecting vehicles; and managing the road network. The RTA employs about 6,900 staff in more than 180 offices throughout NSW, including 129 Motor Registries. It is responsible for 4.3 million drivers and owners of 4.8 million vehicles in NSW. The RTA generates over 24 million road-related transactions per year. In 2005 the RTA started a new corruption risk management strategy.7 This new strategy was part of an overall corporate governance program. The central idea of the strategy was that corruption risk management is part of the responsibilities of all line management including senior executives and Directors of the Board. The Corruption Risk Management Unit developed a training program which supported all levels of management to deliver anti-corruption training.8 The program is called the

3 Will at Work Learning

Will Thalheimer's research-based commentary on learning, performance, and the industry thereof. http://www.willatworklearning.com/2006/05/people_remember.html 4 An example is set out in attachment 1.

5 Dale, E. (1946, 1954, 1969). Audio-visual methods in teaching. New York: Dryden. 6 See attachment 2.

7 The information about the RTA program is based on a seminar delivered at a Corruption Prevention Network

Forum, Sydney Australia, Peter Houston and David O’Sullivan “Risk Management at the RTA”, 8 September

2005 8 Refer to the RTA Management Assurance Program Form which stets out the principals taught by the MAP

program.


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Management Assurance Program (MAP). The Management Assurance Program (MAP) was developed to raise staff awareness of ethical issues. The Program involved a series of briefs each on a particular ethical topic which were available for managers for discussion team briefings to reinforce the Code of Conduct and ethical requirements. Briefings were normally undertaken on a quarterly basis and feedback on the briefings was coordinated to ensure that any areas of potential exposures that were identified were addressed. The MAP training resources are still available to all staff on the intranet but the program has not been actively used in the RTA for a few years.9 The current MAP is expected to be reviewed in the next 12 months. The Program was developed by the Corruption Risk Management Unit who delivered the training and provided support services such as advice, information on a Website, a Hotline for questions. The Management Assurance Program gave training resources and support to line management who were given primary responsibility to deliver the corruption prevention training. The training was designed to address identified areas of generic risk throughout the RTA. The Management Assurance Program provides assurance to the Chief Executive, the Audit & Risk Committee and the Community that the RTA is continually addressing its corruption risks. The program originates at the top of the management structure and provides an important tool for managers and supervisors. It involves briefings and training for all staff from senior to the most junior. The program operates on a three year cycle and includes active feedback and evaluation up the management structure. The Management Assurance Program process starts with the CEO briefing Directors, Directors then brief General Managers, General Managers brief Managers, Managers brief Supervisors and Supervisors brief front line staff. After the training is delivered there is a feedback process where issues that were raised at the training or were identified as needing to be addressed during the training are considered. The feedback is a reverse of the training process which is Supervisors to Managers, then Managers to General Managers and so on with an ultimate report made to the Corruption Risk Management Unit. After the Corruption Risk Management Unit receives the feedback it reports to the Chief Executive, and the Audit & Risk Committee and also provides feedback and recommendations to relevant policy and other support areas for action. In addition to the Management Assurance Program the RTA has a number of other current initiatives in its ethics training program.10 The RTA runs a Corporate Refresher program on the Code of Conduct and Ethics every 4 years for all staff (including casuals, limited duration and skill hire). New starters receive a session on

9 Information about the RTA’s current ethics training program was provided by email dated 5 July 2010 from

Paul Wilkinson, Strategic Risk Manager, Governance Branch. 10

Information about the RTA’s current ethics training program was provided by email dated 5 July 2010 from

Paul Wilkinson, Strategic Risk Manager, Governance Branch.


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the Code of Conduct and Ethics as part of their induction process shortly after being appointed. The RTA's Corruption and Fraud Investigations Unit and line management regularly identifies business areas where targeted ethical refresher training needs to be provided as part of day to day activities. Ethics and Corruption Prevention policies are reviewed every three years to ensure currency and changes are made as necessary. The RTA runs an Ethics hotline available to staff and suppliers and this also helps to identify areas where additional training might be required. Probity training is also available on an ongoing basis for all those involved in procuring goods and services in the RTA. This training is now delivered by an external provider. Unfortunately there was no evaluation of the effectiveness of this method of training/corruption prevention available from the RTA. From observation it seems that the RTA method is a significant improvement on previous methods of just teaching existing policies. This is because with the RTA the learning experience is interactive and based on adult learning principles is likely to be more effective. However the RTA approach can be criticised because the training is limited to teaching the same few general points to a wide range of different employees who may require different levels of training. There seems to be limited flexibility in the existing RTA system to enable the training to be tailored according to the duties or abilities of the person being trained. The contrast between the RTA system and the Sutherland system is described below. Essentially the Sutherland system has greater flexibility as it teaches a much wider range of principles and policies, uses experiential learning to reinforce the messages, has different levels that recognise the different levels of staff and requirements of positions.

5. Construction Workplace - “Tool Box” training. The origin of the term “Tool Box” talks or training is unclear but it seems to have arisen in the construction industry where it is taken to mean brief talks or training about safety issues in particular work places. These meetings are brief, typically 10 or 15 minutes, and are held every day or few days. They are commonly held in the construction, mining and other heavy manufacturing industries. The topics discussed are primarily work place safety issues where the work planned for the day is described and any potential safety concerns raised and preventative safety steps put in place. The talks are short and focussed on that particular work place and the safety issues relevant to that job. The aim of the talks is to encourage all workers to take responsibility for their own safety and the safety of their work mates, to report safety hazards and take action and ensure there are systems in place to prevent workplace injury. For example some workers may be using cranes to install large windows in a high rise tower. Those workers would meet, discuss the method of work to install the windows, the need to wear a safety harness and stay tethered to a safety line while installing the windows. The responsibility of employers and employees to ensure safety at work and prevent injury is set out in legislation.11 In Australia tool box talks are mandatory in the

11 See for example sections 8 and 20 of the New South Wales state Occupational Health and Safety Act 2000

No 40 which provide as follows.


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construction and mining industries. Most large work sites have a workplace safety manager and an Occupational Health and Safety Committee that ensures that these meetings take place and that the necessary safety issues are raised and dealt with and brief records kept of those meetings and actions taken.12 The success of “Tool Box” talks seems to be attributable to the nature of the training. It is short, practical, delivered by direct supervisors at the work site using language and examples readily understood by all employees, focussed on issues directly relevant to that particular job and is reviewed and reinforced regularly. It was this example of successful workplace training that the Sutherland Shire Council ethics program sought to emulate. 6. Description of Council’s new system. A new way of teaching ethics and underlying values has been developed and implemented at Sutherland Shire Council.13 Essentially Council’s new system of workplace ethics training combines adult learning principles, the features of the RTA Management Assurance Program with workplace safety “Tool Box” talks. This approach gives participants opportunities to discuss real life situations and use experiential learning methods to reinforce what they learn. The previous system used at Council was that all staff were given ethics training based on informing staff about each individual Council policy. This was found to be ineffective. The new ethics training program consists of a two level system. The first level gives several sessions of training to all staff on the general principles of ethics and good decision making contained in Council’s policies such as its Code of

8 Duties of employers

(1) Employees

An employer must ensure the health, safety and welfare at work of all the employees of the employer.

That duty extends (without limitation) to the following:

(a) ensuring that any premises controlled by the employer where the employees work (and the means of access

to or exit from the premises) are safe and without risks to health,

(b) ensuring that any plant or substance provided for use by the employees at work is safe and without risks to

health when properly used,

(c) ensuring that systems of work and the working environment of the employees are safe and without risks to

health,

(d) providing such information, instruction, training and supervision as may be necessary to ensure the

employees’ health and safety at work,

(e) providing adequate facilities for the welfare of the employees at work.

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(1) An employee must, while at work, take reasonable care for the health and safety of people who are at the

employee’s place of work and who may be affected by the employee’s acts or omissions at work.

(2) An employee must, while at work, co-operate with his or her employer or other person so far as is necessary

to enable compliance with any requirement under this Act or the regulations that is imposed in the interests

of health, safety and welfare on the employer or any other person.

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For an example of such a workplace saftey “ToolBox” form please see attachment 3. 13 This section of the presentation is closely based on the written work and training materials developed and

written by Sutherland Shire Council’s Probity and Policy Manager Sara McMahon. The summary of the

evaluations and feed back is also taken from reports written by Sara McMahon.


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Conduct. Those nine principles are: Integrity, Selflessness, Objectivity, Honesty, Accountability, Openness, Respect, Leadership, Economy and Efficiency. The aim of adopting this approach is to ensure that staff have a good understanding of the principles which form the basis of corporate policies on staff conduct and ethics. The aim is to allow staff to understand the type of behaviour expected of them and to differentiate proper from improper conduct. The second level is entitled “Management Assurance” training. This second level is a decentralised training program of short (15 minutes) regular training delivered by local managers at the workplace. It follows the approach used in “Tool Box” training described above. Local managers are provided with notes, training resources and support and those managers provide regular briefings to staff in relation to new policy or other issues directly relevant to those employees at that workplace. This type of targeted training is designed to capture staff attention as it is short, focused specifically on their needs and relevant. As it is delivered regularly it acts as a reminder to staff as to what ethical conduct and decision making is expected of them. It enables employees to discuss ethical problems as they arise in the workplace and learn directly from their colleagues’ experiences. This new style of ethics training aims to overcome past criticism made by some staff that the previous training was too theoretical and did not have practical application to their workplace. This model of regular, short and tailored training is based on proven successful models of workplace occupational health and safety training used in Australia. The first level of the training program is entitled “Ethics in Practice”. It will provide targeted training for all staff of the concepts of ethics, being those principles embodied in the Code of Conduct for Staff and Councillors. The features of this program include : • A centralised basic training program which is compulsory for all staff; • Differing levels of additional training dependent upon the role of the staff; • An annual training program linked to the same framework as OH&S training. The second level is called “Management Assurance Training” This is a training program delivered by Managers in the workplace. Managers are provided training resources and support to provide briefings to staff in relation to existing or new policies, or other ethics/anti-corruption issues arising in Council. The features of the second level of the program will be : • Annual Training Program; • Short and relevant training sessions for staff (10 to15 mins); • Training to be provided by Managers utilising comprehensive training notes and

materials (with support if required); • Flexibility for Managers as to the timing of training sessions within a 12 month

period, and ; • Flexibility to ensure content is relevant for that specific work group.


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Tier 1 – Ethics in Practice The first level of the program entitled “Ethics in Practice’ will provide an overview for all staff on the concepts of ethics, being those principles embodied in the Code of Conduct. Those 9 Principles will be grouped into four modules of like principles in the following manner : 1. Integrity, Selflessness, Objectivity and Honesty 2. Accountability and Openness 3. Respect and Leadership 4. Economy and Efficiency. The aim of adopting this approach is to ensure that staff have a good understanding of the basic principles which form the basis of corporate policies on conduct and ethics. The idea is to enable all staff to distinguish proper from improper conduct at a basic level. The training will also touch on the specific issues or requirements of our Council’s policies, procedures and regulations. This approach should result in a better application of policy and improved conduct. An example of this training approach is how bribes offered to employees in the workplace should be dealt with. In this example, the aim of this method of teaching ethics is to make it clear that integrity, selflessness, objectivity and honesty are basic requirements of employees in their role as a public official and that a public official should not accept bribes. An individual may not be aware of the detail of relevant Council policies such as the Code of Conduct; Gifts, Benefits and Hospitality Policy; or the Fraud and Corruption Prevention Policy. But if they achieve a basic understanding of the principles and follow the required conduct, they will incidentally comply with those policies.14 Each module will have 2 levels of training - Level 1 being basic training will be short in duration (less than 1 hour). Level 2 will be advanced training of longer duration (2 to 4 hours). Candidates for this training are selected and the training is administered by way of a training matrix similar to that currently employed for the OH&S training system. The training requirements of each individual employee will be determined in relation to the position, responsibilities and duties held by that person. The position held also provides an indication of the potential corruption risks. These two factors determine the level of training offered to each individual.

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See Facts Sheet on Bribery, Attachment 4.


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In summary the Ethics in Practice program has the following features :

Steps Features

Participants • All staff to receive training • Selected on risk assessment basis - via a training matrix similar

to that used for OH&S training. • 2 Differing levels of training for each module

Schedule • 3 year program of training to be scheduled with a view to provide a number of training sessions on each module each year

Presentation • Detailed presentation with ample opportunity for discussion of participants on the topics and working through relevant case studies.

Staff Hours • Minimum time for participants 4 hours over 3 years. • The maximum time for a participant under this training tier will be

16 hours over 3 years. • It is envisaged that refresher training may be required after 3

years.

Monitoring/ review and Feedback

• Feedback to be obtained by participants under normal feedback mechanisms

• Annual report to Council to evaluate effectiveness

Tier 2 - Management Assurance Training (MAT) The second tier of the program entitled Management Assurance Training will provide specific training for staff on current issues of policy, regulations and other important corporate information and instructions. The specifics of relevant Council policies are included. This training is modelled on the MAP training program currently provided by the NSW Roads & Traffic Authority which is referred to above. This training program provides detailed information and instructions to managers on each topic. Managers will provide quick and focussed training sessions (10 -15 minutes) for their team members using the training resources provided. Where it is required, additional support will be provided to managers to complete the training. The idea is to allow managers and supervisors to display their leadership qualities and knowledge of the subjects and to be viewed by staff as a champion for these matters. One of the additional benefits of equipping managers to train staff is that it seems to significantly improve the managers understanding and support for Council’s ethics policies as before they can deliver the training they have to themselves have a detailed knowledge and clear understand of the policies. It is proposed that there will be a program set where a manager will need to provide at least 6 of these training sessions on different topics throughout the year. This will allow flexibility for managers to train in a manner and timetable suitable for their operations. It is envisaged that this training will take place as a component in regular “tool box” type team meetings or perhaps as a training block for the group.


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Each training package includes an overview of the topic, a handout (or brochure) that may be used as a future reference and at least one scenario for discussion about the topic. In addition to the training, a manager will be given one basic task to complete for each topic, to ensure compliance with the policy within their area of responsibility. After training is completed the manager will report back to ensure complete coverage of the required training. If required the training packages can then be utilised again to remind staff of requirements if issues arise. An example of a MAT package for the subject of Conflicts of Interest is Attachment 5. In summary, the Management Assurance Training has the following features :

Steps Features

Participants • All staff for one level of training

Schedule • Short and to-the-point training sessions for staff in work- team environment (15mins)

• Annual program where managers complete training on 6 modules over a 12 month period

• Sessions to be scheduled by manager to best suit work requirements.

Presentation • Sessions to be provided managers utilising comprehensive training notes and materials. With support if required.

Staff Hours • Minimum time for participants 1 1/2 hrs per annum

• Preparation, presentation and reporting by Managers at minimum of 3 hours per year.

• Hours dedicated to the program may be increased if a manager chooses to provide more than 6 modules per annum or wishes to dedicate more time on any of the modules.

Monitoring/ review and Feedback • Manager to complete a sign-off for training modules and report on the training program to Council

7. What are the outcomes, what is the feedback and can we measure success? Having described the new workplace training methods the crucial question becomes: how can we judge or evaluate if this new approach is being successful in improving ethics in the workplace. Although the program is only just commencing encouraging preliminary results are available.


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The first module to be introduced is called “Ethics in Practice Training, Advanced Module A”. This module aims to teach the first group of ethics principles which are about: Integrity, Selflessness, Objectivity and Honesty. This module used workplace examples, role plays, group discussion and vidoes as a basis for examining conflict of interest, accepting gifts, confidential information and procedures for dealing with complaints. Training was provided to 208 staff on the first advanced module of the Ethics in Practice Training program. Results from the training were very favourable with participants responding that training : • was very or extremely informative on the areas of ethics, public duty and code of

conduct obligations (75%); • was helpful or very helpful in the completion of their work (99%); • advised the training provided ideas and information for further discussion and / or

action in their workplaces (99%). The participants also gave the following feedback about the course:

- “Understanding other people’s views and listening to their scenarios” - “Very interactive. Used real life situations to help put the information into

context” - “Discussing actual case scenarios that come up in day to day work” - “Ability and opportunity to ask questions and seek clarification of work

situations” - “Relating the Council’s policies and rules on ethics to every day practices and

situations in my unit” - “Learning about Ethics in my everyday work and also upholding Council’s

policy.” The second program to be introduced is called “Learning to Lead”. It is about learning the skills of leadership within the ethical framework of Council ethics policies.

Before the course starts participants are requested to submit between 3-5 current people management or ethics “challenges” they face in their workplace as managers. These challenges are used as the basis for discussion in the course.

In the first session, participants are reminded of the ethical policy and procedural requirements of their jobs as set out in their job descriptions. The main principles for ethical behaviours contained in the Code of Conduct, Fraud & Corruption Prevention and Fair Workplace policies are reviewed. In addition the managers are given information and tools in relation to managing their people. Issues covered include: performance management, procedural fairness, receiving complaints, record keeping, discussions with staff and approaches available to reward and motivate staff. Participants practice resolving various conflict or work place ethics problems or scenarios in pairs and discussion groups.

Stage 1 sets the foundation of knowledge on which they can build leadership skills whilst adhering to Council's policy and procedures.


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On the second day, stage 2 focuses on leadership in practice. This full day session provides development and self-assessment in the following areas:

- values – Council values/ethics compared to personal leadership values/ethics; - leadership styles – situational leadership; - handling difficult people and situations; and - six step approach to resolving workplace conflict.

At the completion of Stage 2, participants reconsider one of their “challenges” and apply their newly acquired knowledge about leadership and the main principles of ethical behaviour and policies. Finally participants meet with their managers to discuss what they have learnt and how they will apply this to resolve their current people management or ethical challenges. This step aims to maintain momentum and change in the workplace. By early 2010, 65 managers had completed Stage 1 and 63 have completed Stage 2 An evaluation of responses from course participants gave the following results. Stage 1 - Acquiring the Knowledge 72% of participants advised that they would manage their people differently as a result of the training. 87% of participants advised that they had come away with new ideas to address their pre-work challenges. 91% of participants felt they were better able to address employee issues. 83% felt their skills as a supervisor were improved as a result of the training. 95% of participants advised that they would recommend the training to other supervisors or managers. 96% of participants advised that the training was pitched somewhat well (41%) or very well (55%) to their level of knowledge and interest. Stage 2 - Leadership in Practice 84% of participants advised that they would manage their people differently as a result of the training. 95% of participants felt they were better able to address employee issues and were improved as a supervisor as a result of the training. 96% of participants advised that they would recommend the training to other supervisors or managers. 98% of participants advised that the training was pitched somewhat well (45%) or very well (52%) to their level of knowledge and interest. In addition participants volunteered the following feedback:

- the interaction and networking with other council managers and supervisors was valued;

- participants realised that other supervisors and managers face similar challenges;

- they felt they had been given tools to assist with tasks which can be uncomfortable or difficult;


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- they preferred experiential training style instead of lecturing; - they appreciated the availability of people to support them and provide advice.

8. Conclusion Sutherland Shire Council previously delivered ethics training by giving induction training to new starters and then training existing staff on specific policies . The feedback from those receiving this training was that it was: too theoretical, not relevant to their jobs, did not apply to them and was not practical. Because the previous system of ethics training was found to be ineffective a new system was introduced. This system combines three important features. It relies on adult learning principles which use active and experiential learning techniques. Compared to just teaching content, this approach is more effective as it facilitates the understanding and acceptance of the information taught. The program teaches ethics principles using relevant examples provided by the participants (not just policies in isolation). The training is delivered in regular and relevant workplace “Tool Box” sessions by immediate supervisors. Training delivered in this way appears to be more effective because it is short, practical, delivered by direct supervisors at the work site using language and examples readily understood by all employees. It is focussed on issues directly relevant to that particular job and is reviewed and reinforced regularly. Preliminary results based on the feedback from participants in the first few courses shows that this method of delivering training is highly effective and is preferred by participants. The participants obtained an understanding of the ethical principles they are required to follow and an ability to apply those principles in practice in their own workplaces. AUTHOR

Ray Plibersek is the Internal Ombudsman for a local government area in metropolitan Sydney (Australia). Previously he was a prosecutor with Australian Commonwealth Director of Public Prosecutions specialising in the prosecution of tax and corporate fraud. He has worked as a lawyer for the NSW State government safety regulator and a legal and policy adviser in the NSW Cabinet Office. He is also a qualified mediator and has presided as a part-time member of the Consumer Tenancy and Trader Tribunal.

AUTHORS ACKNOWLEDGEMENT AND THANKS.

I would like to acknowledge that sections five and six of the presentation are closely based on the written work and training materials developed by Sutherland Shire Council’s Probity and Policy Manager Sara McMahon. The summary of the evaluations and feed back are also taken from reports written by Sara McMahon. I would also like to thank Paul Wilkinson, Strategic Risk Manager, Governance Branch at the RTA for the information supplied on the RTA ethics training program detailed in section four.


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Attachment 1- “Cone of Learning ”


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Attachment 2- Dales “Cone of Experience”

Dale's "Cone of Experience," developed in 1946 by Edgar Dale.

Dale's Cone of Experience (Dale, 1969, 3rd

edition p. 107)

Attachment 3 – Tool Box Talk Record – Workcover NSW

Completed by: Nigel

Date: 25/6/05

Talk run by: Supervisor - Dave

Tick ( ✓) for YES or cross ( ✗) for NO. Record any action taken.


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Attachment 4 – Bribery Facts Sheet. Sutherland Shire Council

What is a Bribe?

Bribery is defined as receiving or offering any undue

reward by, or to, any person in public office in order to

influence his or her behaviour in that office, and to incline

that person to act contrary to the known rules of honesty

and integrity.

Bribery or inducement may take the form of a blatant offer

of money or inducement or the offer or a gift, benefit or

hospitality by a person who has improper motive for doing

so.

Bribery and Council Policy

Sutherland Shire Council Code of Conduct states at

Section 8.1:

“ 8.1 You must not:

a) seek or accept a bribe or other improper

inducement

b) seek gifts or benefits of any kind

c) accept any gift or benefit that may create a

sense of obligation on your part or may be

perceived to be intended or likely to influence

you in carrying out your public duty

d) accept any gift or benefit of more than token

value

e) accept an offer of money, regardless of the

amount. (The only exception is for hospitality

staff working at Sutherland Entertainment

Centre and Hazelhurst Gallery Café, where

tips are to be pooled and shared jointly

amongst hospitality staff on duty.)”

Bribery and the Law

Corruptly receiving a gift or benefit is an offence under

both the common law and NSW legislation. The offence

extends to the offering or seeking of a gift or benefit.

Offences under Section 249B of the Crimes Act, 1900

(NSW)

The Crimes Act, 1900 includes wide-ranging offences in

relation to the provision of improper gifts or benefits to

public officials. These include:

• Receiving or soliciting benefits

o Corruptly agreeing to receive or solicit any benefit for doing something (or not doing something) or showing favour or disfavour to any person in relation to any person in relation to their official duties.

o Corruptly receiving or soliciting any benefit

for doing something (or not doing something) or showing favour or disfavour to any person in relation to any person in relation to their official duties.

• Offering benefits:

o Corruptly agreeing to give or to offering to give any benefit as an inducement or reward for a person doing something (or not doing something) or showing favour or disfavour to any person in relation to any person in relation to their official duties.

o Corruptly giving or offering to give any

benefit as an inducement or reward for the agent doing something (or not doing something) or showing favour or disfavour to any person in relation to any person in relation to the person’s official duties.

A person cannot rely on the fact that it is customary to

offer and receive gifts and benefits in his or her trade,

business, profession or calling, as a defence.

Bribes & Inducements

FACT SHEET

For further information in relation to the Code of

Conduct, or the subject of bribes and improper

inducements, contact Council’s Corporate Probity

and Policy Manager on 9710 0837or Council’s

Ethics Hotline on

1800 072 323


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FACT SHEET

May 2009

Step 1 Refuse the Bribe or Inducement.

If you are ever offered a bribe or inducement you should

always refuse the offer. Accepting, offering or seeking a

bribe is against Council policy and the law.

You could inform the person offering the gift or benefit

that acceptance would be inappropriate.

You may also choose to terminate the particular task you

are undertaking.

If you fear a blunt rejection could place you at risk, you

could try and disengage from the conversation and use

an excuse for not accepting the offer straight away.

Regardless of the type of strategy you adopt, the

important point to remember is that you should not

accept the offer

Step 2 Make notes immediately

Make notes immediately after the conversation has

occurred. Try and frame the notes in the first person

using "I said" and "he said" or "she said" to ensure

clarity.

Step 3 Inform your supervisor

You must inform your supervisor of the offer, and all

relevant details, as soon as possible.

If your supervisor is involved in the offer, report the

incident to an appropriate senior manager. This may be

your Manager, Director, the General Manager or the

Internal Ombudsman. (You may also be able to seek

protection against reprisal in accordance with Council’s

Whistleblower’s Policy.)

Step 4 Prepare a detailed record

You should provide the person you advised with a

record outlining the incident.

Include in the record:

a. the date, time and place of the incident

b. what was offered

c. to whom the bribe or inducement was offered

d. who offered the bribe or inducement and contact

details (if known)

e. your response or reaction to the offer

f. any other relevant details of the offer

g. your signature and the date.

Step 5 Any person receiving information about a

bribe or inducement must advise the Office of the

Internal Ombudsman immediately.

If your supervisor (or appropriate senior officer) does

not do this, you should inform senior management

yourself.

Your detailed notes will be reviewed and assessment of

the allegation and recommendation for actions with be

provided by the Internal Ombudsman to the General

Manager

Step 6 Action to be taken by General Manager

The General Manager must inform the ICAC and the

Police under Section 11 of the Independent Commission

against Corruption Act, 1988 (ICAC Act) about any

matter that he suspects on reasonable grounds concerns

or may concern corrupt conduct. Recommendations

will be made as to any other actions to be taken and

how future relations with the person who offered

the bribe should be conducted

Bribes & Inducements

WHAT TO DO IF YOU ARE OFFERED A BRIBE OR INDUCEMENT

For further information in relation to The Code of Conduct or the subject of bribes and improper inducements,

contact Council’s Corporate Probity and Policy Manager on 9710 0837, or ring the Council’s Ethics Hotline on

1800 072 323.

effective teaching of workplace ethics ray plibersek ... · egpa 2010: ethics and integrity of...

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