FINAL INTERNAL AUDIT REPORT Viewpoint Staff Survey (IA 13 139/F) Tricia Riley, HR Director Vernon Everitt, Managing Director, Customer Experience, Marketing and Communications Audit Conclusion: Audit Closed 29 July 2015 Issue categories Agreed actions Satisfactorily Partially No longer applicable Not Priority 1 0 0 0 0 0 Priority 2 2 2 0 0 0 Priority 3 0 0 0 0 0
CONTENTS EXECUTIVE SUMMARY... 3 STATUS OF AGREED ACTIONS... 4 APPENDIX 1 DISTRIBUTION LIST... 5 Audit information Version 1 Draft versions issued Draft report issued 29 July 2015 Audit Manager Joe Palfreeman Director of Internal Audit Clive Walker Page 2
EXECUTIVE SUMMARY Objective To provide assurance over the delivery of the Viewpoint staff survey and how the results are being used to drive performance improvements within TfL. Scope The audit focused on the control environment in relation to the following key risk areas: Key roles and responsibilities Survey communication and conduct Results delivery and communication to the business Action planning and monitoring delivery against these plans including: - Results analysis - Issue identification - Action Plan preparation Post implementation review Summary of findings Our Interim Internal Audit Report dated 11 June 2014 entitled Viewpoint Staff Survey identified two Priority 2 issues resulting in two agreed management actions. Following the issue of our Interim Audit Report responsibility for co-ordinating the Viewpoint Staff Survey has moved from within the HR Directorate to Employee Engagement and Communications (ECE) within the Customer Experience, Marketing and Communications Directorate. A full Viewpoint Survey was completed in 2014 followed by Viewpoint Pulse Survey in spring 2015. We have now carried out a follow up review and can confirm that the two actions have been satisfactorily. Accordingly this audit is now closed. Page 3
STATUS OF AGREED ACTIONS Ref Agreed action Owner and due date Status Priority 2 actions 1. HR Delivery to work with their Communication Business Partners to ensure that there are dedicated senior management sponsors/ leads for action planning and staff engagement throughout the survey. 2. HR Delivery to be included in the Viewpoint Project Team. HR Delivery Jean Cockerill Pete McCurry Penny St Martin Rachel Kerry Michael Joannou Engagement Communication Specialist 30 June 2015 Michael Joannou Engagement Communication Specialist 30 June 2015 Satisfactorily A new approach to action planning has been introduced. The People Group own the pan-tfl action plan on behalf of the whole organisation and individual leadership action plans were produced by Viewpoint Champions in partnership with MDs. Further directorate level action plans were agreed by Director level sponsors and local Viewpoint Champions. The Champions engaged with staff and promoted both the Viewpoint survey and action planning. All action plans are logged by the Champions on the ECE Viewpoint Sharepoint site and tracked to completion by the ECE Viewpoint Team. Satisfactorily HR was included in the Viewpoint Project Team from an early stage with HR Delivery Business Partners participating in the Project Working Group. Page 4
APPENDIX 1 Distribution list This report was sent to Tricia Riley, HR Director, and Vernon Everitt Managing Director, Customer Experience, Marketing and Communications by Clive Walker, Director of Internal Audit, and copied to: Jean Cockerill HR Director, LU Operations Colin Game Head of HR, LU Operations Pete McCurry Head of HR, CPD Penny St Martin Head of HR, ST Rachel Kerry Head of HR, Specialist Services and Rail Hannah Delves Head of HR, Planning and Governance and Delivery Support and Change Martin Boots Head of Employee Relations & HR Policy Kim Travers Head of HR Services Caroline Kelly as Key Risk Representative John Tucker Director ECE Michael Joannou Engagement Communication Specialist, ECE Chris Horrell Customer Insight Manager, Marketing Martyn Loukes as Key Risk Representative Nigel Blore Head of Group Insurance Andrea Clarke Director of TfL Legal Andrew Pollins Interim Chief Finance Officer Howard Carter General Counsel Karl Havers EY Page 5