Employee Survey

1
Employee Survey

• NYSICA Meeting
• May 26,2005
• Mark B. Mitchell, MBA, CIA

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

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

4
Purpose

• Provide an indication of the characteristics of
  my agencys 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
• Cronbachs Alpha - gt .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

Sample
8
Ratings ScaleFive point scale
Sample
9
Survey Results, By Survey Section
Mean Frequency ()
Sample
(Five point scale)
10
Survey Results by Division
Mean Rating
Division
Sample
11
Survey Results By Internal Control Components
Mean Frequency ()
Sample
(Five point scale)
12
Internal Control Components By Division
Mean Rating
Division
Sample
13
Sample Results Overview

• Strengths
• Management is communicating a positive tone
• Activities are linked to objectives
• Morale is good
• Opportunities to improve
• People feel overworked
• Some pockets of ethical concerns exist
• Communication could be strengthened
• Training should improve productivity

14
Questions