Module 11 – Staff management and developing capacities for

Module 11 – Staff management and developing capacities for integrity Toolkit on Transparency, Accountability and Ethics in Public Institutions

Module 11 – Staff management and developing capacities for integrity Training agenda Time Day 1: Fundamentals of ethics and public integrity Day 2: Ethics and public integrity at the institutional and policy level Day 3: Organizational change for enhanced ethics and integrity Day 4: Individual ethical behavior Day 5: Developing a strategy, roadmap and action plan for enhanced ethics and public integrity Morning Module 1 - How would a world without corruption look? Module 6 Accountability institutions Module 11 - Staff management and developing capacities for integrity Module 14 - Ethical leadership Module 18 Preparation phase Module 2 Essentials of ethics and public integrity Module 7 - Social accountability mechanisms Module 12 - Creating an organizational culture of ethics and integrity Module 15 Assessing personal vis-à-vis organizational values Lunch break Afternoo n Module 3 Transparency and accountability Module 8 - Integrity codes Module 4 Understanding and assessing corruption Module 9 - Managing conflict of interest Module 5 International frameworks for integrity and anticorruption Module 10 Whistleblowing Module 13 Transparent public procurement Toolkit on Transparency, Accountability and Ethics in Public Institutions Module 16 Behavioral insights and staff incentives Module 18 Presentation and feedback phase Module 17 - How to promote desired behavioral change? 2

Module 11 – Staff management and developing capacities for integrity of staff 01 Importance management for throughout th 02 Integrity e employment cycle 1. 2. 3. 4. 5. integrity Module agenda 03 Developing capacities for integrity Recruitment Training Staff rotation Promotion and rewards Post-employment regulations 04 Practical examples Working 05 Activity: groups on HR management for integrity UN Photo/Stuart Price Toolkit on Transparency, Accountability and Ethics in Public Institutions 3

Module 11 – Staff management and developing capacities for integrity In this module you will learn : Learning objectives How to untilize staff management to enhance integrity in the public sector; About orruption and integrity risks throughout the employment cycle; About ractical approaches for enhancing staff integrity; How to develop capacities for integrity. Toolkit on Transparency, Accountability and Ethics in Public Institutions 4

Module 11 – Staff management and developing capacities for integrity of staff 01 Importance management for throughout th 02 Integrity e employment cycle 1. 2. 3. 4. 5. integrity 03 Developing capacities Module agenda for integrity Recruitment Training Staff rotation Promotion and rewards Post-employment regulations 04 Practical examples Working 05 Activity: groups on HR management for integrity UN Photo/Stuart Price Toolkit on Transparency, Accountability and Ethics in Public Institutions 5

Module 11 – Staff management and developing capacities for integrity Importance of staff management for integrity Reducing the occurrence of corruption ; Enhancing efficiency and performance of public sector institutions ; Building trust between citizens and public sector institutions ; Furthering organizational integrity through individual integrity ; Where integrity is clearly linked to the professional identity associated with a position in the public sector, acting with integrity becomes an act of pride and duty ; Integrity fundamentally concerns human behavior. As such, the public service and human resource management play aAccountability key role and in its Toolkit on Transparency, Ethics in Public Institutions promotion (OECD 2018). 6

Module 11 – Staff management and developing capacities for integrity of staff 01 Importance management for throughout th 02 Integrity e employment cycle 1. 2. 3. 4. 5. integrity 03 Developing capacities Module agenda for integrity Recruitment Training Staff rotation Promotion and rewards Post-employment regulations 04 Practical examples Working 05 Activity: groups on HR management for integrity UN Photo/Stuart Price Toolkit on Transparency, Accountability and Ethics in Public Institutions 7

Module 11 – Staff management and developing capacities for integrity Integrity throughout the employ ment cycle Recruitme nt Postemploym ent regulation s OECD 2018: 34-35 Promotion and rewards Training Staff rotation Toolkit on Transparency, Accountability and Ethics in Public Institutions 8

Module 11 – Staff management and developing capacities for integrity of staff 01 Importance management for throughout th 02 Integrity e employment cycle 1. 2. 3. 4. 5. integrity 03 Developing capacities Module agenda for integrity Recruitment Training Staff rotation Promotion and rewards Post-employment regulations 04 Practical examples Working 05 Activity: groups on HR management for integrity UN Photo/Stuart Price Toolkit on Transparency, Accountability and Ethics in Public Institutions 9

Module 11 – Staff management and developing capacities for integrity Recruitment (1) - Fair; - Favoritism; Transparent; - Nepotism; - Merit- based. Chêne & Heinrich 2015 Toolkit on Transparency, Accountability and Ethics in Public Institutions 10

Module 11 – Staff management and developing capacities for integrity Recruitment (2) Openly advertise for jobs; Develop job descriptions / requirements with ethical considerations in mind; Incorporate ethical scenario type questions in interviews and use behavioral interviewing techniques; Background check of candidates; Merit-based selection informed by objective criteria and formalized procedures. Toolkit on Transparency, Accountability and Ethics in Public Institutions 11

Module 11 – Staff management and developing capacities for integrity Recruitment (3) Multiplier effect of integrity problems in the recruitment system: One individual disadvantaged during a hiring process because another applicant exploited personal connections, might lose trust in the system and decide to rely on connections themselves in the future (OECD 2018: 34-35). Toolkit on Transparency, Accountability and Ethics in Public Institutions 12

Module 11 – Staff management and developing capacities for integrity of staff 01 Importance management for throughout th 02 Integrity e employment cycle 1. 2. 3. 4. 5. integrity 03 Developing capacities Module agenda for integrity Recruitment Training Staff rotation Promotion and rewards Post-employment regulations 04 Practical examples Working 05 Activity: groups on HR management for integrity UN Photo/Stuart Price Toolkit on Transparency, Accountability and Ethics in Public Institutions 13

Module 11 – Staff management and developing capacities for integrity Training - Objectives OECD 2018: 39 Toolkit on Transparency, Accountability and Ethics in Public Institutions 14

Module 11 – Staff management and developing capacities for integrity Training - Requirements OECD 2018: 40-42 Toolkit on Transparency, Accountability and Ethics in Public Institutions 15

Module 11 – Staff management and developing capacities for integrity Training - Incidence in OECD countries OECD n. y.: 10 Toolkit on Transparency, Accountability and Ethics in Public Institutions 16

Module 11 – Staff management and developing capacities for integrity Training - Continuous reflection Regularily encouraging ethical reflections can contribute to maintain awareness of integrity as part of the identity of public employees: Discussion in team meetings ; E-mail reminders; Competitive quizzes ; References to core public sector values in the workplace and in official communications ; Signatures for decision that pose integrity risks (OECD 2018: 3536; Shu 2012). Toolkit on Transparency, Accountability and Ethics in Public Institutions 17

Module 11 – Staff management and developing capacities for integrity Training Guidance and timely advice Providing public servants with clear and up-to-date information about the organization’s policies, rules and administrative procedures throughout their careers ; Providing easily accessible formal and informal guidance and consultation mechanisms; Ad-hoc guidance for public servants faced with specific doubts; Written guidance for common scenarios or classical dilemmas Toolkit on Transparency, Accountability and Ethics in Public Institutions (OECD 2017: 11). 18

Module 11 – Staff management and developing capacities for integrity REFLECT: Guiding public officials facing ethical dilemmas Recognise a potential issue or problem Find relevant information Do I have a feeling that something is not right or that this is a risky situation? Is this a right vs. right or a right vs wrong issue? What was the trigger and circumstances? Identify the relevant legislation, guidance, policies. Identify the rights and responsibilities of relevant stakeholders. Identify any precedent decisions. Linger at the “fork in the Talk it through, use intuition (emotional intelligence and rational road” processes), analysis, listen and reflect . Evaluate the options Discard unrealistic options. Apply the accountability test – public scrutiny and independent review. Be able to explain your reasons/decision. Come to a decision Come to a decision, act on it and make a record if necessary. Take time to reflect How did it turn out for all concerned? Learn from your decision. IfCommissioner you had2018; to OECD do it all over again, would you do it differently? Australian Government – Office of the Merit Protection 2018: 42 Toolkit on Transparency, Accountability and Ethics in Public Institutions 19

Module 11 – Staff management and developing capacities for integrity of staff 01 Importance management for throughout th 02 Integrity e employment cycle 1. 2. 3. 4. 5. integrity 03 Developing capacities Module agenda for integrity Recruitment Training Staff rotation Promotion and rewards Post-employment regulations 04 Practical examples Working 05 Activity: groups on HR management for integrity UN Photo/Stuart Price Toolkit on Transparency, Accountability and Ethics in Public Institutions 20

Module 11 – Staff management and developing capacities for integrity Staff rotation (1) Regularly changing the persons in charge of vulnerable positions (e.g. procurement); Long-term relationships between bribers and staff members create a particularly advantageous environment for bribery, as corruption is built on trust and reciprocity; Staff rotation increases uncertainty about the other person’s behavior and thus reduces the temptation to engage in unethical conduct ; Staff rotation increases work motivation and reduces the incentive for unethical behavior (Abbink 1999). Toolkit on Transparency, Accountability and Ethics in Public Institutions 21

Module 11 – Staff management and developing capacities for integrity Staff rotation (2) Requirement: Clear organizational structure and job descriptions in place to manage staff rotation programs ; Definition of ‘hot staff’ is any staff member within an organization who had been charged or convicted of corrupt practice or received most complaints on corrupt practices; Staff members placed at ‘Hot Spot’ and staff members doing ‘Hot Jobs’ will be rotated every three years; After rotating the ‘hot staff’, the job rotation focus will be on the staff members who had been working at the same place for a period of more than 5 years. Internal transfer within the same building but to another unit, section or division; The next step will be a transfer externally to the same agency within the state for a close service department/agency or to another department for open services department or transferable services (Water Integrity Network 2015). Toolkit on Transparency, Accountability and Ethics in Public Institutions 22

Module 11 – Staff management and developing capacities for integrity of staff 01 Importance management for throughout th 02 Integrity e employment cycle 1. 2. 3. 4. 5. integrity 03 Developing capacities Module agenda for integrity Recruitment Training Staff rotation Promotion and rewards Post-employment regulations 04 Practical examples Working 05 Activity: groups on HR management for integrity UN Photo/Stuart Price Toolkit on Transparency, Accountability and Ethics in Public Institutions 23

Module 11 – Staff management and developing capacities for integrity Promotion and rewards Ethics as a perform ance indicato r Abstract rewards: Publicly recognize the ethical, efficient and effective work of the public servant frequently and sometimes even immediately after appropriate performance. Developmental rewards: Training, interesting and challenging assignments, delegation of authority and responsibility. Non-monetary incentives: Employees who feel they are trusted, appreciated and recognized will be motivated to reciprocate through strong performance. Effects of performace-related pay should not be overestimated. Ensuring a fair and open system for promotion: Based on objective criteria and a formalized procedure, and an appraisal system that supports accountability and a public service ethos (OECD 2018: 49; OECD 2019: 5; UNODC 2018). Toolkit on Transparency, Accountability and Ethics in Public Institutions 24

Module 11 – Staff management and developing capacities for integrity of staff 01 Importance management for throughout th 02 Integrity e employment cycle 1. 2. 3. 4. 5. integrity 03 Developing capacities Module agenda for integrity Recruitment Training Staff rotation Promotion and rewards Post-employment regulations 04 Practical examples Working 05 Activity: groups on HR management for integrity UN Photo/Stuart Price Toolkit on Transparency, Accountability and Ethics in Public Institutions 25

Module 11 – Staff management and developing capacities for integrity Post-employment regulations Risk assessment Examples: A former public servant attempting to influence former colleagues to make decisions that favor their new employment or private business. A current public servant using their position to obtain an advantage for their future employment. A current public servant stealing information, intellectual property, or other resources to develop their own business and/or to enhance employment prospects with other agencies and organizations (Independent Commission Against Corruption (New South Wales) n. y.). Toolkit on Transparency, Accountability and Ethics in Public Institutions A former public servant establishing their own business in the same field as the public agency and approaching the agency's clients for business, using confidential information gained from the agency. A former public servant becoming a lobbyist for a private organization or specialist group and trying to gain confidential information or favorable treatment from former colleagues. 26

Module 11 – Staff management and developing capacities for integrity Post-employment regulations - Further implications Ensure that public sector decisions are made only on their merits and not compromised by extraneous considerations or personal interests; The type of employment which may be cause for concern is that which bears a close or sensitive relationship with the person’s former position as a public servant; The risk of corruption is higher if the post-separation work involves contact with the former department, colleagues or staff of the former public servant; Cooling-off period. Toolkit on Transparency, Accountability and Ethics in Public Institutions 27

Module 11 – Staff management and developing capacities for integrity of staff 01 Importance management for throughout th 02 Integrity e employment cycle 1. 2. 3. 4. 5. integrity 03 Developing capacities Module agenda for integrity Recruitment Training Staff rotation Promotion and rewards Post-employment regulations 04 Practical examples Working 05 Activity: groups on HR management for integrity UN Photo/Stuart Price Toolkit on Transparency, Accountability and Ethics in Public Institutions 28

Module 11 – Staff management and developing capacities for integrity Awareness-raising, guidance and training Ensure wide publication and understanding of the conflictof-interest policy Toolkit on Transparency, Accountability and Ethics in Public Institutions 29

Module 11 – Staff management and developing capacities for integrity Other preventive measures of 'An ounce n is preventio ound worth a p of cure.' Publication of meeting procedures (e.g. providing agendas of senior staff in advance) Tests / checklists for identifying conflicts of interest and atrisk areas Provisions in employment contracts Screenings as part of public procurement and recruitment procedures Clear and efficient rules and procedures for recusal Disciplinary measures as deterrence OECD 2005 Toolkit on Transparency, Accountability and Ethics in Public Institutions 30

Module 11 – Staff management and developing capacities for integrity Checklist example: Receiving gifts and gratuities Genuine: Is this gift genuine, in appreciation for something I have done in my role as a public servant, and not sought or encouraged by me? Independent: If I accepted this gift, would a reasonable person have any doubt that I would be independent in doing my job in the future, when the person responsible for this gift is involved or affected? Transparent: Am I prepared to declare this gift and its source transparently - to my organization and its clients, to my professional colleagues, and to the media and the public generally? (Bertók 2007: Toolkit on Transparency, Accountability and Ethics in Public Institutions 13) Free: If I accepted this gift, would I feel free of any obligation to do something in return for the person responsible for the gift or for his/her family or friends/associates? 31

Module 11 – Staff management and developing capacities for integrity of staff 01 Importance management for throughout th 02 Integrity e employment cycle 1. 2. 3. 4. 5. integrity 03 Developing capacities Module agenda for integrity Recruitment Training Staff rotation Promotion and rewards Post-employment regulations 04 Practical examples Working 05 Activity: groups on HR management for integrity UN Photo/Stuart Price Toolkit on Transparency, Accountability and Ethics in Public Institutions 32

Module 11 – Staff management and developing capacities for integrity Practical examples : Mexico Moral ers remind Toolkit on Transparency, Accountability and Ethics in Public Institutions ia: Austral Staff en recruitm t 33

Module 11 – Staff management and developing capacities for integrity Mexico: Moral reminders The project What? Behavioral project to achieve compliance with gift registration policy . Who? Cooperation between Secretaría de la Function Pública (SFP) and Centro de Investigación y Docencia Económicas. How? Emails reminding staff to register received gifts, incl. random variation of the text message. Results: Reminders increased the number of gifts registered ; Some messages were more effective than others ; Reminders of legal obligations, appeals to impartiality and honesty triggered more registrations than referring to sanctions or registrations made by colleagues (OECD 2018: 15-16). Types of reminders used Legal: It is your legal obligation to register received gifts. Honesty: We recognize your honesty as a public official. You are required to register gifts. Show your honesty. Impartiality: Receiving gifts can compromise your impartiality. When you receive a gift, register it. Social: More than 1000 registrations per year are made by your colleagues. Do the same! Sanction: If you receive a gift and you do not inform us, someone else might. Don’t get yourself punished. Register your gifts. Toolkit on Transparency, Accountability and Ethics in Public Institutions 34

Module 11 – Staff management and developing capacities for integrity Australia: Staff recruitment Problem: In Australia, one agency analyzed disciplinar y issues among new recruits after 12 months on the job and identified a need to better manage integrity indicators earlier in the selection process. 1 Solution: Filters during the recruitment process. 2 Self-filtering Q&A survey for potential applicants to identify how candidates felt about certain working conditions and interactions. Based on an indicative score, candidates were encouraged to proceed or reconsider their interest. Comparison between The application asked more targeted integrity candidates questions about the background and experiences of applicants (e.g. dealing with authority, diverse cultures and financial management). 3 4 Validation In the next stage, applicants were asked to retake the integrity questions, in order to identify discrepancies or anomalies. Scenarios Interviews with final candidates included an integrity role play (OECD 2018: 39). Toolkit on Transparency, Accountability and Ethics in Public Institutions 35

Module 11 – Staff management and developing capacities for integrity of staff 01 Importance management for throughout th 02 Integrity e employment cycle 1. 2. 3. 4. 5. integrity 03 Developing capacities Module agenda for integrity Recruitment Training Staff rotation Promotion and rewards Post-employment regulations 04 Practical examples Working 05 Activity: groups on HR management for integrity UN Photo/Stuart Price Toolkit on Transparency, Accountability and Ethics in Public Institutions 36

Module 11 – Staff management and developing capacities for integrity Activity UN Photo/Mark Garten Toolkit on Transparency, Accountability and Ethics in Public Institutions 37

Module 11 – Staff management and developing capacities for integrity Working groups on HR management for integrity Why? The aim of this activity is to encourage participants to evaluate their immediate working environment and ways in which they could contribute to immediate change. Participants reflect upon the human resource management practices and structures in place in their specific institutions or the public sector in general. What? - In groups, reflect on the guiding questions on the following slide; - If present, HR practitioners can lead the discussions and working groups; - Propose 2-3 concrete and simple actions for improving staff integrity. Time You have 30 minutes to reflect in groups on the different questions and each participant has 1-2 minutes to propose the simple actions for improving staff integrity. Resources Guiding questions on the following slide. Toolkit on Transparency, Accountability and Ethics in Public Institutions 38

Module 11 – Staff management and developing capacities for integrity Guiding questions 1. What are some of the barriers to guaranteeing staff integrity throughout the employment cycle? 2. How do these barriers impact on staff integrity? Can you provide examples? 3. What are problems in implementing a more integrity-friendly HR management? 4. How could these problems be resolved? Toolkit on Transparency, Accountability and Ethics in Public Institutions 39

Module 11 – Staff management and developing capacities for integrity Quiz (1) 1. Why is staff management important for integrity (choose all that apply)? A. It can reduce the occurrence of corruption . B. It can enhance organizational integrity through individual integrity . C. It ensures that those with close ties to people in power are promoted. 2. In which parts of the employment cycle is integrity an important issue (choose all that apply)? D. Recruitment E. Staff rotation F. Promotion G. Post-employment regulations H. All of the above Toolkit on Transparency, Accountability and Ethics in Public Institutions 40

Module 11 – Staff management and developing capacities for integrity Quiz (2) 3. Ethics and integrity training in the workplace should (choose all that apply): A.Start soon after recruitment B.Be continuous C.Be offered to only those in management positions 4. Staff rotation is important because (choose all that apply): D.Long-term relationships between bribers and staff members create a more advantageous environment for bribery. E.It increases uncertainty about the other person’s behavior and reduces the temptation to engage in an unethical conduct . F.It can increase work motivation and reduces the incentive for unethical behavior . G.All of the above. Toolkit on Transparency, Accountability and Ethics in Public Institutions 41

Module 11 – Staff management and developing capacities for integrity In this module you have learned that: Learning outcomes Ensuring integrity throughout the employment cycle from recruitment to post-employment regulations is crucial; Providing continuous assistance and support for employees to handle integrity dilemmas and challenges is key; Ongoing reflection through trainings and guidance will help raising ethical awareness and changing mindsets and attitudes in the long-term ; Behavioral insights can help planning targeted interventions. . Toolkit on Transparency, Accountability and Ethics in Public Institutions 42

Module 11 – Staff management and developing capacities for integrity Abbink, K. (1999). Staff Rotation: A Powerful Weapon Against Corruption? Germany: University of Bonn (Laboratorium für experimentelle Wirtschaftsforschung). Retrieved from https://www.wiwi.uni-bonn.de/sfb303/papers/1999/b/bonnsfb460.pdf (last accessed on April 28, 2020). Australian Government - Office of the Merit Protection Commissioner (2018). Ethical decision making. Retrieved from https://www.apsc.gov.au/ethical-decision-making (last accessed on April 24, 2020). Bertók, J. (August 2007). Conflict of Interest: Tools for implementation and enforcement. OECD Public Governance and Territorial Development Directorate. Retrieved from https://www.oecd.org/site/adboecdanti-corruptioninitiative/39368002.pdf (last accessed on April 7, 2020). References (1) Chêne, M. & Heinrich, F. (March 2015). Corruption and anti-corruption practices in human resource management in the public sector. U4 Expert Answer. U4 Anti-Corruption Resource Centre. Retrieved from https://www.transparency.org/files/content/corruptionqas/Corruption and anticorruption practices in human resource management in the public sector 2015.pdf (last accessed on April 7, 2020). Gilman, S. C. (2005). Ethics Codes and Codes of Conduct As Tools For Promoting An Ethical And Professional Public Service. Comparative Successes and Lessons. Prepared for the PREM, the World Bank. Retrieved from https://www.oecd.org/mena/governance/35521418.pdf (last accessed on April 7, 2020). Independent Commission Against Corruption (New South Wales) (n. y. ). Post-separation employment. Retrieved from https://www.icac.nsw.gov.au/prevention/basic-standards/post-separationemployment (last accessed on April 28, 2020). Jenkins, M. (June 2015). Topic Guide: Codes of Conduct. Implementation. Transparency International. Retrieved from https://knowledgehub.transparency.org/guide/topic-guide-on-codes-of-conduct/5440 (last accessed on April 7, 2020). OECD (2005). Managing Conflict of Interest in the Public Sector A Toolkit: A Toolkit. Retrieved from https://www.oecd.org/gov/ethics/49107986.pdf (last accessed on April 7, 2020). OECD (2017). OECD Recommendation on Public Integrity. Retrieved from http://www.oecd.org/gov/ethics/OECD-Recommendation-PublicIntegrity.pdf (last accessed on April 24, 2020). OECD (2019). Recommendation of the Council on Public Service Leadership and Capability. OECD Legal Instruments. Retrieved from https://www.oecd.org/gov/pem/recommendation-on-public-service-leadership-and-capabilityen.pdf (last accessed on April 24, 2020). OECD (April 2009). Global Forum on Public Governance Towards a Sound Integrity Framework: Instruments, Processes, Structures and Conditions for Implementation. Retrieved from http://www.oecd.org/officialdocuments/publicdisplaydocumentpdf/? doclanguage en&cote GOV/PGC/GF(2009)1 (last accessed on April 7, 2020). OECD (March 2018). Behavioural Insights for Public Integrity. Harnessing the Human Factor to Counter Corruption. Retrieved from http://www.oecd.org/gov/ethics/behavioural-insights-for-public-integrity-9789264297067en.htm (last accessed on April 24, 2020). OECD (n. y.). Public Sector Integrity. OECD country experiences and lessons learned. Presentation by Janos Bertok. Retrieved from https://www.stjornarradid.is/media/forsaetisraduneyti-media/media/ymislegt/public-sector-integrityjb.pdf (last accessed on April 24, 2020). Shu, L. L. et al. (September 2012). Signing at the beginning makes ethics salient and decreases dishonest self-reports in comparison to signing at the end. Proceedings of the National Academy of Sciences of the United States of America, 109(38), 15197-15200. Retrieved from https://www.pnas.org/content/109/38/15197 (last accessed on April 24, 2020). Toolkit on Transparency, Accountability and Ethics in Public Institutions 43

Module 11 – Staff management and developing capacities for integrity UNODC (2018). Module 13: Public Integrity and Ethics. E4J University Module Series: Integrity & Ethics. Retrieved from https://www.unodc.org/e4j/en/integrity-ethics/module-13/key-issues.html (last accessed on April 24, 2020). Water Integrity Network (2015). Tool: Staff Rotation. Retrieved from https://www.waterintegritynetwork.net/2015/12/03/staffrotation/ (last accessed on April 28, 2020). References (2) Toolkit on Transparency, Accountability and Ethics in Public Institutions 44

Thank you.