Management Response and Action Plan (MRAP) - Audit of Data Integrity - HR Advantage

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Management Response and Action Plan (MRAP) Audit of Data Integrity - HR Advantage

Recommendations from Audit and Accountability Bureau	Management Response: 1. Accept 2. Accept with conditions 3. Reject	Planned Management Actions	Deliverables	Expected Completion Date	Accountability
Recommendation 1: It is recommended that the Assistant Deputy Minister, Corporate Services Branch, ensure that changes to an employee's classification status are supported by the appropriate documentation and are reviewed by the Human Resources Directorate	Accept	A. There are two classification directives that exist 03-01 and 87-3 which deal with file documentation requirements. B. A high turnover of classification officers may be the reason for lack of awareness of these directives. As a result, the directives are posted on the Teamworks database, as well as available through the common L: drive. C. Communication was sent to the classification community to enhance awareness of the directives. D. Directives have a cyclical review. As they are updated they are re posted on the HR Intranet site, Teamworks, and L:drive and notification of the updates sent to the appropriate parties. E. Classification Policy Centre (CPC) receives random-sample monthly reports of classification actions from all regions and NCR for monitoring purposes. Checklists exist to ensure each file monitored has the requisite documentation. Files are also monitored for quality of decision. Missing documentation or errors are sent back to the appropriate region for correction prior to final review by CPC.	I. Cyclical review of these directives is ongoing II. Directives are posted on Teamworks. III. Continued communication. IV. Monthly monitoring ongoing/Annual monitoring report for the DM.	Ongoing	HRSD: Director, Corporate Classification.
Recommendation 2: It is recommended that the Assistant Deputy Minister, Corporate Services Branch ensure that there is a reconciliation of data between HR Advantage and SAP.	Accept However, the department is considering a new HR application which may contain this capacity.	A. Amend the HR Advantage system to provide the number of records extracted. Amend the SAP system to provide the number of records read and successfully imported. B. Institute a manual or automated process to compare the statistics to confirm that all extracted transactions are processed by SAP and reconcile differences.	I. Define needed control totals. II. Amend the extraction and load programs to provide sought counts; test and implement the changes. III. Define and implement reconciliation procedures.	March 31, 2010	IMSD: Director, ADS - CSB/CFOB; and Director, Direct Operations - ISIO.
Recommendation 3: It is recommended that the Assistant Deputy Minister, Corporate Services Branch ensure that: i. HR Advantage does not allow any changes to the accumulated leave balance unless Compensation staff provide the necessary comments in HR Advantage explaining the adjustments; ii. Compensation Managers monitor overrides to employee leave balances; and iii. HR Advantage is prevented from accumulating leave for employees who are on LWOP (see Change Management)	Accept	A. Amend the HR Advantage system to ensure that remarks are specified when recording "brought forward" amounts B. Peer verifiers (instead of Compensation Managers) will be responsible for this activity. Standard Operating Procedure (SOP) for Leave Administration will address this issue. C. Implement the corrections made to HR Advantage in work order 397 which prevents the accumulation of leave credits from employees who are on LWOP.	Define the edit. Amend the screen to apply edit; test and implement the change.	March 31, 2010	IMSD: Director, ADS - CSB/CFOB;
			A reminder of this activity will be included in the email when introducing the Leave Administration SOP to the Compensations Units.	2009/10	HRSD: Director, Compensation Policy Centre;
			Test and implement the corrections.	March 31, 2010	IMSD: Director, ADS - CSB/CFOB.
Recommendation 4: It is recommended that the Assistant Deputy Minister, Corporate Services Branch ensure that Compensation Managers review the DSSE report and take the appropriate action necessary to correct the errors in a timely manner.	Accept	A report will be requested by the Compensation Policy Centre to identify which Regions have outstanding errors. Regional HR Directors and Compensation Managers will be reminded of their responsibility to correct these errors in a timely manner. The Centre will follow-up on a quarterly basis.	Request report, identify areas of concern. Send e-mail to Regional Directors and Compensation Managers.	August 2009	HRSD: Director, Compensation Policy Centre.
Recommendation 5: It is recommended that the Assistant Deputy Minister, Corporate Services Branch, ensure that the activities of all users who have access to HR Advantage, including access by the Database Administrator, are periodically monitored.	Accept	A. Institute quarterly reviews of user access rights by providing lists of current users by functional area to the appropriate business owners. Business areas to review lists in a timely manner and promptly identify access rights that should be removed. B. Amend the HR Advantage system to necessitate password changes every 3 months. (Currently the system only prompts the user). C. Develop monitoring procedures for DBA access and have IT security monitor.	Define needed reports; test and implement the report. Define and implement procedures. Business owners review user access lists.	September 30, 2009	IMSD: Director, Client Portfolio Management - CSB; Director, ADS - CSB; and
			Assess feasibility and evaluate cost/effectiveness given the thoughts of transitioning to another Human Resources system. Amend the program to shorten the trigger from 6 to 3 months; test and implement changes. (The system currently prompts and then disables the account if the user has not changed his/her password within the 6 months timeline).	March 31, 2010	HRSD: Executive Director, Corporate Human Resources Management;
			IT security to monitor DBA access on a quarterly basis	March 31, 2010	IMSD: Director, IT Security - ISIO.
Recommendation 6: It is recommended that the Assistant Deputy Minister, Corporate Services Branch, ensure that: i. employee access rights to HR Advantage be documented; and ii. inactive accounts be disabled; and iii. all Security Forms be retained at least 3 years as per the Policy on Information Management.	Accept	A. Institute stringent procedures when providing user access. New requests will be denied if the "HRAD Users Creation Request" form is not completed and approved by the appropriate manager or delegate. Old, undocumented requests will be documented by requesting current users and business owners to confirm access rights. This however is dependent on results of discussions on transitioning to another Human Resources system. B. Accounts will be de-activated upon receipt of request. C. Institute as common business practice.	Update and enforce procedures.	December 31, 2009 2009/10 priority with respect to the undocumented active user accounts.	IMSD: Direct, Client Portfolio Management - CSB;
			Define requirements. Assess feasibility and evaluate cost/effectiveness. If warranted, write program to automatically disable user accounts; test and implement.	Immediately	IMSD: Director, ADS - CSB;
			Update and comply with procedures.	Immediate.	IMSD: Director, Client Portfolio Management - CSB.
Recommendation 7: It is recommended that the Assistant Deputy Minister, Corporate Services Branch ensure that the Branch applies a formal change management process that is consistent with industry best practices.	Accept There is no formal change management process as the process is informal through discussions with clients. Change requests are documented however there is no formal process that each follows to completion.	Define a formal change management process which includes an assessment of the severity of bugs and an assignment of their priority with respect to other bugs and enhancement requests, and confirmation of the need to address the problem/opportunity given the thoughts of transitioning to another Human Resources system.	Document change management process and adhere to procedures.	March 31, 2010	IMSD: Director, Client Portfolio Management - CSB;
			Review, confirm and prioritize outstanding "high" priority work orders.		HRSD: Executive Director, Corporate Human Resources Management.
Recommendation 8: It is recommended that the Assistant Deputy Minister, Corporate Services Branch, ensure that there is a documented backup and recovery plan that includes industry best practices.	Accept	Review and update as needed, the restore and back-up procedures.	Update the restore and back-up procedures.	March 31, 2010	IMSD: Director, Direct Operations - ISIO