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Employee Survey

Why Conduct a Survey?. Assess the control environmentOpportunity to significantly improve employee performance (up to 30%)Meets" vs. Exceeds" expectationsCommunication (A key internal control)Obtain feedbackConveys that management cares about how the place is being managedOpens up an upward

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Employee Survey

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    1. Employee Survey NYSICA Meeting May 26,2005 Mark B. Mitchell, MBA, CIA Why should you pay attention? Because you are responsible for internal controls or assessing ICs If a survey is conducted by someone else, say HR for example, you want input and results so you can assess the IC environment. You may be asked to conduct a surveyWhy should you pay attention? Because you are responsible for internal controls or assessing ICs If a survey is conducted by someone else, say HR for example, you want input and results so you can assess the IC environment. You may be asked to conduct a survey

    2. Why Conduct a Survey? Assess the control environment Opportunity to significantly improve employee performance (up to 30%) “Meets” vs. “Exceeds” expectations Communication (A key internal control) Obtain feedback Conveys that management cares about how the place is being managed Opens up an upward dialog Strengthens communication Benefits: Sends a signal to employees that you care. Who should conduct? Function of Dynamics and Resources Dynamics HR IC Officer Internal Audit Resources: Internal External: GOER Consultants Benefits: Sends a signal to employees that you care. Who should conduct? Function of Dynamics and Resources Dynamics HR IC Officer Internal Audit Resources: Internal External: GOER Consultants

    3. Prerequisites Executive level sponsorship Willing to hear the truth Willingness to make improvements, based upon the results Resources to collect and analyze the information A statistical software package Time and people to analyze the data Who should conduct? Function of Dynamics and Resources Dynamics HR IC Officer Internal Audit Resources: Internal External: GOER ConsultantsWho should conduct? Function of Dynamics and Resources Dynamics HR IC Officer Internal Audit Resources: Internal External: GOER Consultants

    4. Purpose Provide an indication of the characteristics of my agency’s culture. Gauge: The ethical climate Employee moral Employee perceptions of certain manage-ment practices Provide input into the audit plan. Gauge the following five (of eight) internal control components Internal Environment Objective Setting Event Identification Risk Assessment Risk Response Control Activities Information and Communication Monitoring

    5. Developing the Survey: Sources Control Questionnaires Public surveys “Business Ethics and Compliance in the Sarbanes-Oxley Era: A Survey by Deloitte and Corporate Board Member Magazine” NASACT Teleconference, Nov. 3, 2004 GOER handout, HR White papers Business guides on employee morale (www.bguides.com)

    6. Survey Reliability Reliability calculation Cronbach’s Alpha - > .80 is good

    7. Survey Background 704 employees responded to the survey Response Rate 80% Of the 704 employees 528 (75%) Indicated their program area 633 (90%) Indicated who they report to 493 (70%) Indicated years employed at my agency

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