CONTENTS. Objective. Method. Conclusions regarding PEOPLE IN AID Accreditation. Other Findings

Transcription

1 Auditor s Report on Tearfund Accreditation Process for The People In Aid Code of Good Practice Quality Mark 2 verified compliant by Richard Evans, ethics etc CONTENTS Objective Method Conclusions regarding PEOPLE IN AID Accreditation Other Findings 1 ethics etc Tearfund QM2 audit may 2013

2 Objective i. to provide assurance to managers of Tearfund 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 Tearfund and implemented in practice. This process will assess the performance of Tearfund 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 Tearfund s HR management systems and performance are consistent with the requirements for the award of People In Aid s Second Kite Mark verified compliant ; iii. to facilitate continuous self-evaluation against the People In Aid Code. 2 ethics etc Tearfund QM2 audit may 2013

3 Method The normal audit process is described in the People In Aid Code Implementation Manual. Until recently, all member agencies seeking accreditation for the second People In Aid Quality Mark (QM2) have submitted a report, the purpose of which 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 Kitemark. This was the process used when Tearfund was last audited for People In Aid s QM2 in The accreditation process for Tearfund in 2012/13 Tearfund is a very large international organisation. This makes the normal People In Aid compliance reporting process very demanding in terms of resources to produce the report. It also ignores the high level of organisation and competence that the larger international agencies have developed. ethics etc has worked with People In Aid to design an alternative method that does not involve the production of a compliance report by the organisation. The alternative method (SPACI Systems and Performance Assurance of Code Implementation) 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? 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 3 ethics etc Tearfund QM2 audit may 2013

4 to ascertain the quality and effectiveness of consultation and communication of its policies and performance with stakeholders. The framework of this alternative accreditation process was considered appropriate by Tearfund. The organisation has a devolved management structure. Local: The key focus of human resource development, policy and practice is at a local level, reflecting local law, practices and culture within clear global frameworks and standards. This approach applies across all areas i.e. HO departments, regional teams and countries. Regional: The regional resource is focused on capacity building at country level and contributing to wider regional and global objectives. Global: The human resources function at the global level focuses on the strategy (e.g. what the organisation works on, how and where); setting core frameworks and monitoring progress and standards against them and providing special global expertise, for example resourcing; global talent development and succession; global good practice HR, measurement & benchmarking etc. HR data is collated and managed at local level. It is audited at local and regional level. Duplicating this auditing process with an independent People In Aid Code compliance audit would be costly and time consuming. The alternative method has focused on Tearfund s systems for communicating policies, managing performance, auditing outcomes and supporting improvements. What we did Established Tearfund s strategies, standards (policies and practice) and performance in relation to each of the seven Principles of the People In Aid Code at a Global and Local level, through: o an examination of policy and strategy documents, records of relevant consultations, training initiatives and correspondence. o interviews, face to face at HO and by telephone, with selected managers 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 implementation; o reviewing results and feedback from the 2012 Organisation and Culture Survey. o telephone interviews, with managers, Human Resources Managers and employees, including selected country reps and programme managers, to ascertain 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 ethics etc Tearfund QM2 audit may 2013

5 Investigated governance arrangements for human resource management and support and formed a view about the effectiveness of policy and strategy implementation and on-going development at local and regional level, through: interviews with key managers at a global, regional and local level consideration of documentary evidence Interviews list Teddington Office Henrietta Blyth David Bainbridge Patrick Goh Glenn Stead José Martinez de Cruz Charlie Walker Sudan Douwe Dijkstra DRC Congo Justine Nola Malawi Vincent Mayo People and Organisational Development Director International Director Global HR Manager International HR Adviser Internal Communications Manager Staff Council (International Finance and Logistics) Country Director Programme Director Country Representative Notes on the 2012 Staff Organisation and Culture Survey. Detailed results and analysis of the March 2012 survey of all staff were examined. 28 % of the total staff internationally responded to the survey. Tearfund stated The idea was for 'all' staff to complete the staff survey, however in reality many national staff working overseas do not have access to computers so line managers tried to have a group meeting and then ask staff questions because each question had to be translated into a local language. So all staff were asked to complete the survey - about 1400 in total (Glenn Stead ). 388 Questionnaires were completed and returned. While the overall response rate is significantly lower than is usually achieved by similar sized relief and development agencies, the total number of respondents had increased by 22% compared to a similar survey a year earlier, and the 2012 survey response had an even balance between UK & Ireland based staff and international staff, and is a significant improvement on surveys for the QM2 process in 2008/9. 5 ethics etc Tearfund QM2 audit may 2013

6 I recognise the difficulty of conducting total staff surveys where many national staff working overseas do not have access to computers and where translation into local languages is an issue. I recommend that, for future staff surveys, Tearfund restrict on-line surveying to those who have direct access to computers and can work in the language/s used for the survey and that it devises alternative methods for ascertaining the views of staff who do not have such access. Acceptable methods might include: documenting structured group discussions; or a much shorter, simpler questionnaire which they could be assisted in completing on-line by another member of staff. Overall, and given the organisational change and challenges staff have faced, the headlines demonstrate a high level of engagement with the organisation and its values and satisfactory levels of confidence in its leadership, management and strategic direction. It should be remembered that the respondents were largely the people who have survived the reorganisation up to the time of the survey (March 2012), so it would not be useful to compare responses with previous years. However, it would be useful to monitor progress in the following survey in September I would also encourage Tearfund to make sure it continues to increase response rates across the organisation. 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 Tearfund 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 Tearfund policies; and d. that implementation is monitored, recorded and reported. These requirements were tested against Tearfund s management of HR policy development and implementation in general, in the interviews with field based managers and by reviewing the process of communication and consultation in the International Division in particular. 6 ethics etc Tearfund QM2 audit may 2013

7 Conclusions regarding People In Aid accreditation Based on the documentary evidence, staff survey feedback, interviews with London HO managers and interviews with operational regional and country managers, I believe there is good evidence to support the following conclusions. 1. The policies, strategies and systems Tearfund has in place for the management and support of personnel are consistent with the People In Aid Code Principles. Evidence: Tearfund HR Policies; Corporate Action Plan; POD Group Plan. 2. The policies, strategies and systems are understood throughout Tearfund and implemented in practice. Evidence: Interviews and Organisation and Culture Survey. 3. Adherence to the People In Aid Code Principles is embedded in operational and management practices throughout the organisation. Evidence: Interviews; POD updates and HR performance reports. 4. The quality and effectiveness of consultation and communication of Tearfund 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; International Director and employees in three countries. 5. Processes and systems are in place and effective for continuous selfevaluation against Tearfund s people management standards and the People In Aid Code. Evidence: Based on interviews with HO managers and employees in three countries; Corporate Action Plan; POD Group Plan and updates. 6. Good governance and high level reporting and monitoring are secured through Tearfund s Board and Trustees. 7. Tearfund s HR management systems and performance are consistent with the requirements for the award of People In Aid s verified compliant Second Kite Mark. 7 ethics etc Tearfund QM2 audit may 2013

8 Other findings The following observations are more detailed notes of issues that arose mainly during the interviews with employees, including: Tearfund head office staff; Staff Council representative; and international staff. The interviews were conversational rather than restricted to a pre-determined set of questions. Interviewees were encouraged to raise issues they considered relevant. International Staff During 2012 Tearfund has undertaken a major review and restructuring of its international operations. Its main objective and outcome has been to integrate the separate strategies and management of Disaster Management and Partnership and Development into a single set of strategies for each country under the overall management a Country Representative in each. During the interviews with field staff a number of issues were raised which do not materially affect the assessment of TEARFUND s HR policies and their implementation in relation to compliance with the People In Aid Code of Good Practice. However, they are relevant to the retention and development of people in the organisation and should be of interest to Global HR and senior HO management. These observations are set out under the People In Aid Code Principles. 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. Tearfund s People and Organisational Development Group Plan is integral to its overall corporate strategy. The organisation has been undergoing a major change process to bring it into line with its vision and strategy and to address a significant historic funding issue. An important part of this has been the Restoring the Country Rep Model Project in the International Division. The goal of the project is to become a highly effective de-concentrated organisation focussed on building strong strategic relationships with partners in the countries where Tearfund operates and merging humanitarian crisis response and church and community mobilisation in a new single management structure. The aim is to empower partners and front line staff and to streamline management processes. Across the wider organisation there has been recognition of a silo-mentality, particularly through the 2010/11 Staff Survey and the One Change Challenge. The issue is being addressed through a range of initiatives in the POD Group Plan, and staff in the Global HR department are working with departments and cross department teams to implement changes in patterns of working that are considered fundamental to future organisational strategy. 8 ethics etc Tearfund QM2 audit may 2013

9 The results of the March 2012 Staff Survey indicate high levels of staff : understanding Tearfund s strategic vision (85% agree); being excited and inspired about what the organisation is trying to achieve (90% agree); and understanding the organisational changes Tearfund is making (69% agree). Interviews also indicated a strong sense that Tearfund is making the right decisions and is strongly people orientated. Principle Two: Staff policies and practices Our human resource policies aim to be effective, fair and transparent. There is sound evidence, from interviews at Head Office and of field based staff, that HR policies are communicated to all staff and well understood. The interviews confirmed that policies are generally considered to be up-to-date, effective, fair and transparent and that staff are systematically consulted about policy changes. The March 2012 Staff Survey found 85% of respondents agreed they were familiar with Tearfund s policies and procedures and that the policies were effective, fair and transparent. Principle Three: Managing People Good support, management and leadership of our staff is key to our effectiveness. The POD Group has outcome and activity foci to address working patterns across the organisation through: a talent management strategy; leadership development; learning and development strategy; performance management; succession planning; and capacity building of staff and partners. Responses to questions about leadership and management in the March 2012 Survey were consistently positive. Field staff also commented positively on the support they receive from London although some said that HR support is sometimes stretched with the volume of work and recent changes in HO HR personnel. International staff also commented on the honest and straightforward advice and practical support to implement HR management decisions they receive from London colleagues in the International Group. Regular, quarterly reporting of performance against the Corporate Plan (Scorecard) through Group Barometers provides detailed, timely and systematic support to managers and the Executive Team. Tearfund has long placed emphasis on pastoral support for the spiritual and mental wellbeing of its entire staff and particularly for staff based outside the UK. Primary responsibility rests with HR, departmental team leaders and the staff council. It has also made available access to an individual Pastoral Adviser. The value of this provision was commented on by all the international staff interviewed. In 2011 the organisation undertook a far reaching review of pastoral support based on the Framework for Good Practice in Member Care developed by Global Connections. It is not possible to do justice to the scope of this review and the many recommendations arising from it in a short comment here, other than to say it provides an outstanding model of care for individuals working in a large organisation, often in very difficult conditions. 9 ethics etc Tearfund QM2 audit may 2013

10 International staff I interviewed placed great value on the advice they received and availability of the previous Pastoral Adviser (now retired), and great affection too! There was some concern that the plan in the Pastoral Review to appoint a part time pastoral adviser based in Nairobi had not happened and hopes expressed that the two new UK based pastoral advisers will quickly make good connections with field based staff. 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. Staff responses in the Survey were less positive about general internal communications than about other issues though communications and consultation about policies affecting staff were reported by interviewees to be good. The more general communications issues relate to a lack of coherence and co-ordinated and timely delivery. These are being addressed through a Corporate Communications Plan and revised strategies for the Tearnet and In Touch communication platforms. The reorganisation of the International Development division was an outstanding example of timely, considerate and effective consultation with staff, where radical changes to the structure of the division, regional organisation and responsibilities and individuals jobs were being proposed. 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 Policies and procedures are good. A system has been put in place to monitor the diversity of applications and offers and performance is reviewed quarterly. An agreement has been made with the local authority to provide work experience to young adults with disabilities. Work is in progress to ensure that vacancies are advertised in ways that can attract ethnic minority applicants. Succession Planning, Gender Strategy and a Global Reward Strategy are in place. Principle Six: Learning, training and development Learning, training and staff development are promoted throughout the organisation. This is an area that is very actively managed by Tearfund. The succession planning tool and personal development plans are used to identify learning opportunities and learning and development advisers are actively engaging with Global HR advisers and line managers across the organisation to support the process of identifying and offering training. 10 ethics etc Tearfund QM2 audit may 2013

11 The March 2012 survey responses indicated that a good percentage (64%) of staff believed Tearfund provided relevant learning and development opportunities, and over 70% believed their manager was committed to L&D and spent time with them to identify L&D needs. Principle Seven: Health, safety and security The security, good health and safety of our staff are a prime responsibility of our organisation. International staff expressed confidence in the policies, briefing and debriefing provided by Tearfund in relation to their own health, safety and security and that of their staff. In the March 2012 Survey 80% of respondents agreed that Tearfund gives a high priority to staff welfare, health, safety and security. The POD Action Plan to follow up findings from the March 2012 Survey includes: inclusion of H&S in all new starter inductions; international managers including H&S in their teams daily briefings; creation of an International Safety and Security google website; new simplified incident reporting; and creation of a database of incidents across all programmes to ensure strong responses and prevention strategies. Environmental Sustainability This is not an area covered by the People In Aid Code of Good Practice at this time. I welcome the fact that Tearfund includes in its People and Organisational Development strategy outcomes: To ensure that Tearfund continues to reduce the CO 2 emissions that we are responsible for and is an organisation that it true to its values. Activities that focus directly on employees are: a) Improving communication to staff on how to reduce both Tearfund s and their own CO 2 emissions and make more environmentally friendly decisions about their travel; b) Reduction in flights. The objective is supported by relevant indicators and reporting. People In Aid may consider environmental sustainability guidelines for employees and monitoring in any future revision of the Code. I am satisfied that the POD Group has identified all material issues in relation to the Code Principles and has documented detailed, time based action plans. Tearfund s human resource management has made remarkable progress since the last People In Aid audit in Credit must be given to Tearfund s People and Organisational Development Director and I thank her and Glenn Stead, together with the other staff I interviewed, for their patience and co-operation during the audit process. Richard Evans ethics etc 18 June ethics etc Tearfund QM2 audit may 2013