Independent Auditor s Report

Transcription

1 Independent Auditor s Report Concern Worldwide People In Aid Code of Good Practice accreditation QM2 verified compliant CONTENTS Objective Method Conclusions regarding People In Aid QM2 accreditation Other Findings Date May ethics etc Concern Worldwide QM2 audit 2015

2 Objective i. to provide assurance to managers of Concern that the policies, strategies and systems it has in place for the management and support of personnel are consistent with the People In Aid Code Principles, understood throughout Concern and implemented in practice. This process will assess the performance of Concern against the People In Aid Code as well as providing assurance that reliable management and information systems are in place. ii. to provide assurance to People In Aid that Concern s HR management systems and performance are consistent with the requirements for the award of People In Aid s QM2 Second Quality Mark verified compliant. iii. to facilitate continuous self-evaluation and improvement against the People In Aid Code. iv. to provide evidence to both Concern and People In Aid that Concern s systems and practices for the support and management of its people are sufficiently robust and will be continuously reviewed and adjusted in response to changes in the humanitarian context and in human resource strategies to sustain compliance with the People In Aid Principles until the next accreditation. 2 ethics etc Concern Worldwide QM2 audit 2015

3 Method Until recently, all member agencies seeking accreditation for the second People In Aid verified compliant Quality Mark (QM2) have submitted a report. The process is described in the People In Aid Code Implementation Manual. The purpose of the report is: to inform people, who are interested in, employed by or otherwise involved in, or affected by your organisation, about how you manage your staff and the extent to which the organisation complies with the Principles of the People In Aid Code of Good Practice. (People In Aid, Implementation Manual) On the basis of this report and the auditor s statement that there is sufficient evidence to support the claims made, People In Aid consider awarding the second Quality Mark. The accreditation process for Concern Worldwide in 2014/15 Concern Worldwide is a large, complex organisation employing around 3000 people with an international reach. This makes the normal People In Aid compliance reporting process demanding, and inappropriate, in terms of the resources that would be needed were they to produce a written report. Furthermore the standard method of audit does not easily account for the high level of organisation and competence in human resource management that the larger international agencies like Concern Worldwide have developed. In 2007 ethics etc worked with People In Aid to design an alternative method that does not involve the production of a compliance report by the member organisation. The alternative method Systems and Performance Assurance of Code Implementation (SPACI) was first trialled with Save the Children in 2008 and uses the same audit criteria based on the assurance principles set out in AccountAbility s AA1000AS Assurance Standard: Completeness has the organisation provided sufficient evidence that it is implementing policies in each of the areas of HR management covered by the seven People In Aid Code Principles and that these are applied consistently to all personnel in all areas where the organisation operates? Materiality has the organisation provided sufficient evidence that it understands stakeholders concerns and interests and is providing relevant (material) information that will help them make informed judgments about the organisation s HR management performance? Responsiveness has the organisation provided sufficient evidence that its HR policies and practice are responding to employees concerns, their needs for information, and the specific commitments it has made to improve its performance? 3 ethics etc Concern Worldwide QM2 audit 2015

4 In addition the assurance process seeks: to ascertain the extent to which adherence to the People In Aid Code Principles is embedded in operational and management practices throughout the organisation to ascertain the quality and effectiveness of consultation and communication of its policies and performance with stakeholders. This same method was used when Concern was last audited for People In Aid s QM2 in 2009/10. What we did in 2014/15 1. identified Concern s strategies, standards (policies and practice) and performance in relation to each of the seven Principles of the People In Aid through: an examination of policy and strategy documents; reviewing Concern s self-assessment of its HR functions against the requirements of the People In Aid Code; interviews, face to face at HO and by Skype, with selected employees to establish what policies and strategies relevant to the People In Aid Code are in place and the management systems established to ensure their effective communication and the consistency of their implementation; 2. reviewed results and feedback from the 2013 Staff Survey; 3. sought to ascertain through interviews, with managers, HR managers and employees, whether the policies are implemented effectively at an operational level in: recruitment and selection; induction; security; health and safety; remuneration; retention; performance appraisal; safeguarding and communication; 4. investigated governance arrangements for human resource management and support and formed a view about the effectiveness of implementation and ongoing policy and strategy development. 4 ethics etc Concern Worldwide QM2 audit 2015

5 Interviews and meetings list (in order of interview date/time) Mascha Murphy Louise Supple Anne O Mahony Honor Marr Dominic Crowley Michela Giuliani Susan Finucane Niall Murphy Ruth O Donohoe Barry Roche Isaac Gahungu Danny Harvey Richard Mwape Alessandro Bini Karen Beattie Rose Dew Sheena McCann HR Manager Overseas HR Director International Programme Director Head of Learning and Development Emergency Director Marketing Manager, Public Affairs Desk Officer, International Programmes in Dublin, covering Tanzania, Burundi and Rwanda Head of Digital, Public Affairs HR Manager, Dublin and UK IT Operations Manager (former Unite Representative) Programme Co-ordinator Burundi (on secondment in Chad) Country Director, Zambia District Programme Co-ordinator, Zambia Country Director, Burundi Country Director, Liberia (Surge Team) Country Director, Philippines Country Director, Surge Team, Sierra Leone 5 ethics etc Concern Worldwide QM2 audit 2015

6 Notes on the 2013 Staff Survey. The 2013 Staff Survey took place between the 1 st October and 2 nd December 2013 and was administered to all Concern staff and analysed by Surveylab Ltd. Overall 2,099 people responded which was 70% of the total of employees at the time approximately 3,030. This is an excellent response rate and a very big improvement on the 21% response to the Staff Survey conducted in 2009 as part of the previous People In Aid audit. Fourteen countries, including the UK and Ireland based support staff, out of a total of 25, achieved responses of 80% or more. A lot of effort was put into an information campaign through the second half of 2013, preceding distribution of the survey. The questionnaire was developed by Concern Worldwide s Dublin management team with Surveylab. I was sent a draft in February 2013 and suggested some changes. The scores relating to employees sense of engagement with the organisation were around 80% overall. Over 80% said they knew about Concern s Vision and Mission and its values and interviews and narrative responses to the survey indicate a lot of support for Concern s commitment to working with the world s poorest people. Around 70% overall were satisfied that they were kept informed, though the scores for being listened to were slightly lower. The responses from support staff in these areas were significantly weaker and should be addressed. Around two-thirds of all staff said they knew who Concern s senior managers were and what they did and trusted their leadership and judgement. This is much better than Surveylab s analysis of UK Workplace benchmarks, and there were positive results for employees relationships with their line managers and with colleagues in their workplace. A number of staff compared the organisation to a family. Scores for fair reward and work-life balance were generally low. While this is normal in staff surveys, particularly in the humanitarian sector, a significant number of people I interviewed talked of increasing workload and the impact of the payfreeze. Career development is very important to employees at Concern. The responses in the survey to questions on learning and career development are not great, which contrasted with some very positive views in the staff interviews. The survey scores may well reflect lack of opportunity rather than any lack of will on the part of the organisation. Even when little can be done to improve issues around reward, workload and career opportunities these are issues that need to be discussed and managed. I have reviewed the CD+ June 2014 meeting note identifying issues arising from the survey analysis and proposing actions, responsibilities, timelines and resources. I have also reviewed analyses and action plans from CW Sudan, a Staff Survey Follow-Up Monitoring Report from CW DRC and detailed Action Plans on HRM issues prepared by the HR Director and team and for the HR Department. I am impressed by the thoroughness of these responses to the Staff Survey and the progress monitoring procedures developed to support implementation. Communication by the HR team in preparing the Staff Survey and follow-up has been excellent. I am satisfied that the organisation has heard the views of its staff and is responding with appropriate communications and action. 6 ethics etc Concern Worldwide QM2 audit 2015

7 Note on HR Policy Development and Implementation A major part of the People In Aid audit process is to test the organisation s HR policy framework for completeness in relation to the People In Aid Code and relevance to the needs of all employees. In assessing the effectiveness of Concern s policies, the audit requires evidence that: a. a range of employees are involved in policy development; b. that policies are effectively communicated to all employees and those working alongside them; c. that training is provided where necessary to managers who are required to implement Concern policies; and d. that implementation is monitored, recorded and reported. These requirements were tested against Concern s management of HR policy development and implementation in general and in the interviews with field based managers and HO staff. I have reviewed Concern Worldwide s Human Resource Policy with later policy updates and the CW International Staff Manual. These reproduce the People In Aid Code Principles 1-7. I reviewed Concern s HAP re-certification report. The audit was carried out in April Its conclusions are consistent with the findings contained in this People In Aid audit report. I have also reviewed the Concern HR Strategic Plan finalised at the end of This gives a clear view of HR issues facing the organisation, in the light of Concern s global Strategic Plan and the changing environment for humanitarian action. It states: We believe that the role of HR is to help the organisation to achieve its strategic goals by ensuring that staff with the required skills are in place: that they are being supported by an efficient HR service and that they are being managed effectively. While we recognise many elements of the above are in place, challenges exist and we recognise the need to develop and strengthen HR services. We also recognise that it is necessary to work more closely with managers in order to adequately support the global strategic plan. It is only in this way that an adequate return on investment in human capital will be realised. This statement and the whole document reflect Concern s commitment to the People In Aid Code s Guiding Principle: People are central to the achievement of our mission. Our approach to the people who work for us is fundamental to the achievement of our mission. We recognise that the people who work for us merit respect and proper management, and that the effectiveness and success of our operations depend on the contributions of all salaried and contract staff, and volunteers. 7 ethics etc Concern Worldwide QM2 audit 2015

8 The HR Strategic Plan goes on to identify: evaluations of current performance; specific HR objectives; action plans to achieve these; and indicators to monitor achievement. The Plan concludes with a chapter on Monitoring and Evaluation and a chapter describing How the Human Resource Function Works. I am satisfied that Concern s HR policies, policy development and HR strategy are consistent with the People In Aid Code of Good Practice. 8 ethics etc Concern Worldwide QM2 audit 2015

9 Conclusions regarding People In Aid accreditation Based on the documentary evidence, staff survey feedback, interviews with Dublin HO managers and employees and interviews with Concern staff in the field, it is my opinion that there is good evidence to support the following conclusions. 1. The policies, strategies and systems Concern has in place for the management and support of personnel are consistent with the People In Aid Code Principles. Evidence: Concern HR Policies and Concern HR Strategic Plan. 2. The policies, strategies and systems are understood throughout Concern and implemented in practice. Evidence: Interviews and 2013 Staff Survey. 3. Adherence to the People In Aid Code Principles is embedded in operational and management practices throughout the organisation. Evidence: Interviews, HR Strategy documents, HR implementation against PIA Principles and self-evaluation. 4. The quality and effectiveness of consultation and communication of Concern s HR policies is consistent across all countries and operations, and is managed systematically to a high standard. Evidence: Based on interviews with HO managers and employees in Ireland and field deployments. 5. Processes and systems are in place and effective for continuous selfevaluation against Concern s people management standards and the People In Aid Code. Evidence: Based on interviews with HO managers, Dublin head office employees and international staff. 6. Good governance and high level reporting and monitoring are secured through Concern s Board of Directors, elected by the members of Concern. In my opinion Concern Worldwide s HR policies, management systems and performance are consistent with the requirements for the award of People In Aid s QM2 verified compliant Quality Mark. 9 ethics etc Concern Worldwide QM2 audit 2015

10 Other findings The following observations are more detailed notes of issues that arose mainly during the interviews with employees, including: Concern Head Office Senior Managers Other Dublin Office staff across a range of departments, grades and gender Employees in field based operations The interviews were conversational rather than restricted to a pre-determined set of questions. Interviewees were encouraged to raise issues they considered relevant to Concern s performance against the People In Aid Code. These observations are set out under the eight People In Aid Code Principles. They are not intended as criticisms of the organisation or its human resource policies, practices and managers, but to pass on to Concern s HR management team the more significant observations made by employees. Guiding Principle: People are central to the achievement of our mission. Our approach to the people who work for us is fundamental to the achievement of our mission. We recognise that the people who work for us merit respect and proper management, and that the effectiveness and success of our operations depend on the contributions of all salaried and contract staff, and volunteers. The word family occurred frequently and spontaneously in discussions around peoples experience of working for Concern. I think this is an indication of the respect for people who work for the organisation and the value placed on their contribution. See Note on HR Policy Development and Implementation above. Principle One: Human Resources Strategy. Human resources are an integral part of our strategic and operational plans. Our human resources strategy is central to our organisational strategy. Our human resources strategy is long-term and encompasses every part of the organisation. I have discussed HR strategic planning above. In terms of the impact of a strong strategic approach, staff believe Concern is very professional compared to other charities and has a well-structured approach to HR management and strategy. I saw plenty of evidence that the organisation, and the HR department, think long term about recruitment and developing the competency of staff to address the changing humanitarian environment while sticking to its core mission of tackling extreme poverty in the most difficult disaster and crisis situations. Allocating sufficient human and financial resource to achieve strategic objectives is one of the indicators for this principle. Concern has not been able to achieve this for the last two or three years resulting in stress and loss of effectiveness in support departments and a freeze on pay increases. Concern is very aware of the immediate and longer term risks and is maintaining a good level of dialogue with staff. 10 ethics etc Concern Worldwide QM2 audit 2015

11 Principle Two: Staff Policies and Practices Our human resource policies aim to be effective, fair and transparent. There is good evidence that HR policies are communicated to all staff and are well understood. The interviews confirmed that policies are generally considered to be effective, fair and transparent and that staff are systematically consulted about policy changes. However, there were some dissenting voices saying that quite a lot of policies need updating policies on chronic illness and on accompanied status were cited as examples. There were also pleas for more input into the revision process from the field and for greater contextualisation for different environments, and scope for flexibility in managing real situations. There is also a strong sense of accountability throughout the staff to comply with policies and deliver appropriate behaviours. One interviewee working abroad said, People outside the organisation think it s tough but we like that. The HR department s own analysis identifies areas where policies need to be updated and has recommended appropriate actions. Principle Three: Managing People Good support, management and leadership of staff is key to our effectiveness. The 2013 Staff Survey indicates that the majority of staff is content with the management and support they get from their line manager and that they trust the leadership of the senior management team. Some working overseas suggested senior managers in Dublin should have more recent direct experience of managing field operations. Staff working overseas were generally very positive about their line managers, HR support and the pastoral support available through the Health team, but quite critical of technical support from some other HO departments. They also questioned whether Concern put in place the necessary level of HO support and planning when embarking on emergency response and new overseas operations. Staff who spoke about the PDR system were generally positive about the way it affected them and enthusiastic about using it to support and encourage their reports. Other evidence suggested that the PDR process was not applied consistently and was seen by some managers as a box-ticking exercise rather than a tool for developing their staff. HR is providing more training to managers and is committed to improving monitoring and support. There was also frustration that training budgets had been reduced limiting what could be provided to staff. Concern has developed and disseminated a Competency Framework. My understanding is that this has not yet been incorporated into performance management processes. 11 ethics etc Concern Worldwide QM2 audit 2015

12 Two issues were raised about the organisational structure. The physical separation of Public Affairs from the International and Emergency operations was thought by some to have generated different cultures and some disregard for professional skills that are important for the organisation s ability to generate public support and financial resources. The second was that while some members of the SURGE team were very keen on the concept of SURGE they found it quite isolating. Information sent to other staff overseas was not always communicated and their management was not part of the core Dublin HR and International Operations set up. Another apparent gap in planning or communications was raised around the reorganisation of START and ERT where staff were on different terms and conditions. Principle Four: Consultation and Communication Dialogue with staff on matters likely to affect their employment enhances the quality and effectiveness of our policies and practices. The responses to the Staff Survey question on being regularly kept informed about developments and news within Concern showed a significant difference between Ireland and the USA compared to other countries. With 59% and 54% they had the two lowest scores, with 18 out of 28 countries scoring 70+%. Interviews with senior staff working overseas gave a generally positive account of communications with Dublin and consultation on strategy and policy changes. A number of Dublin staff criticised the silo mentality within the Dublin office. This was perceived as damaging to the achievement of organisational objectives and the effectiveness of policies and practices across the organisation Principle Five: Recruitment and Selection. Our policies and practices aim to attract and select a diverse workforce with the skills and capabilities to fulfil our requirements. Good policies and practice are in place. There were positive comments about the quality and scope of induction. However, recruitment for emergency response operations were heavily criticised by several country directors, both for the time it took and the competence of some of the people recruited by Dublin for their operations. Principle Six: Learning, Training and Development Learning, training and staff development are promoted throughout the organisation. Only half the support staff said in response to the Staff Survey that their manager regularly reviews and discusses my learning and development needs. 12 ethics etc Concern Worldwide QM2 audit 2015

13 However, 60% of support staff said Concern has given me the opportunity to develop my career. Given the limitations on promotion this is a positive result. International staff spoke very warmly of training opportunities and particularly the Pathways learning programme. One phoned me some time after our interview to say he had been promoted, he thought, as a direct result of the skills and experience he had gained through Pathways. Career development within Concern for people on limited term overseas assignments is an issue, but the people I spoke to, on the whole, recognised this was in the nature of their work and the skills and experience they had. They were happy to have their independence and to make their own choices. However, they said Concern could do more to foster continuous professional development especially at higher management levels. One said, We need Pathways Plus. Principle Seven: Health, Safety and Security The security, good health and safety of our staff are a prime responsibility of our organisation. Adequate policies and support are in place to provide a safe and secure working environment for all staff and security and safety in field operations is taken very seriously. The investment in a dedicated Health team in Dublin is very much appreciated by staff. My Thanks I am grateful to all who contributed to and facilitated this audit. I have been supplied with all the information I requested and have appreciated the honesty and enthusiastic cooperation of those I interviewed. My particular thanks go to Mascha Murphy and Sinead O Malley for helping to make it all happen. Richard Evans ethics etc 21 st May ethics etc Concern Worldwide QM2 audit 2015