Review of the management of data quality in the My Government of Canada Human Resources system. Office of Audit and Evaluation

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1 Review of the management of data quality in the My Government of Canada Human Resources system Office of Audit and Evaluation

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3 Table of Contents Executive summary... i Introduction... 1 Definition of internal audit and review... 3 Focus of the review... 3 Statement of conformance... 4 Observations... 5 Management of data integrity and issue resolution... 5 Prior to implementation of MyGCHR, some processes and controls were implemented by the department s project implementation team for the conversion and migration of human resources data from the Human Resources Management System to MyGCHR... 5 Improvements could have been made to enhance Public Services and Procurement Canada s readiness for the implementation of MyGCHR... 7 Subsequent to the implementation of MyGCHR, validation of integrity of data was completed... 8 Prior to the launch of Phoenix, reconciliation of data in MyGCHR to data in the Regional Pay System was completed... 9 Data quality controls and monitoring activities over human resources data in MyGCHR could be strengthened... 9 Management of technology Functionality limitations in MyGCHR restricted the department s ability to effectively manage data quality and resolve issues Management of user community Opportunities existed to strengthen training and communication Management of shared accountabilities Roles and responsibilities and services to be provided were not formally documented and agreed-upon Shared accountabilities created challenges in ensuring data integrity and resolving issues.. 19 Conclusion Management response Recommendations and management action plan About the review Public Services and Procurement Canada

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5 Executive summary i. The My Government of Canada Human Resources (MyGCHR) 1 is the Government of Canada's new system for the management of all human resources information in the federal public service. The system is a key component of the Government of Canada Human Resources Modernization Initiative. ii. iii. iv. The business owner, who is responsible for the functionality of the system, is the Treasury Board Secretariat, Office of the Chief Human Resources Officer. Public Services and Procurement Canada, through the Integrated Services Branch, acts as the common service provider, and is responsible for the provision of MyGCHR development (design and delivery of enhancements/new functionalities) and management services to client departments. The infrastructure to support MyGCHR is provided by Shared Services Canada. Client organizations, who use MyGCHR as their Human Resources Management System, are responsible for conducting a business readiness self-assessment and make required adjustments to their processes to align with the Common Human Resources Business Process at the time of onboarding and during subsequent releases of MyGCHR. They are also responsible for identifying their business requirements through the collective business requirements definition process, developing and implementing change management plans (including training and support services for end-users). During the onboarding stage, they are responsible for putting in place a MyGCHR project implementation team composed of relevant staff from their departments. In December 2014, the Public Services and Procurement Canada s Human Resources Branch implemented MyGCHR to replace its legacy Human Resources management system and related application suite. The deployment of the system was a complex endeavor which involved the conversion and migration of large quantities of data from multiple existing human resources applications. Ensuring completeness and accuracy of data transferred into MyGCHR and maintaining it post conversion and migration were critical for the successful deployment of the new system. v. The need for a high degree of integrity of MyGCHR data was heightened by the migration from the legacy, Regional Pay System to the Government of Canada 1 MyGCHR is the Government of Canada's new system for the management of all human resources information in the federal public service. Public Services and Procurement Canada i

6 new pay system, Phoenix 2. Phoenix was not included in the scope of the MyGCHR project but was implemented as part of the Pay Modernization Project. One of the goals of the pay project was to improve efficiency of pay processes by eliminating duplication of data entry into human resource systems and the pay system. Accordingly, MyGCHR was to interface with Phoenix by providing key human resource information necessary for the processing of compensation transactions. Thus, the integrity of MyGCHR data was pivotal to the overall effectiveness and success of the Pay Modernization Project. Phoenix was implemented by Public Services and Procurement Canada, Pay Administration Branch (formerly Accounting, Banking, and Compensation Branch), as common service provider to the Government of Canada in April 2016 to replace the Regional Pay System. vi. vii. viii. This review was conducted to provide moderate assurance that control activities in place for the Public Services and Procurement Canada conversion and migration from the Human Resources Management System to the MyGCHR system were adequate to maintain the accuracy and completeness of the data converted; and ongoing processes and controls at Public Services and Procurement Canada were adequately designed and implemented to support data integrity in the MyGCHR system. Overall, the review concluded that some processes and controls were implemented at Public Services and Procurement Canada for the migration of data from the Human Resources Management System to MyGCHR. Prior to implementation of MyGCHR, data cleansing and testing activities were implemented by the department s project implementation team which was composed of employees from the Human Resources Branch, the Integrated Services Branch, and the Chief Information Officer Branch; as well as staff from the Correctional Services Canada. The project implementation team was responsible for business transformation, training for MyGCHR users, and conversion activities. Reports reviewed indicated that prior to go-live, the Human Resources Branch s targeted data quality objectives were accomplished. Review of the results of the system testing indicated that test results met acceptance criteria defined by the project implementation team. In addition, a training plan was developed and implemented by the project implementation team to provide users with training related to MyGCHR prior to go-live. While we were informed that user acceptance testing was conducted by the Human Resources Branch, documentation related to the user acceptance testing and the Human Resources Branch project sponsor sign-off was not available. 2 Phoenix is the Government of Canada s new pay system. Public Services and Procurement Canada ii

7 ix. We noted that improvements could have been made by the project implementation team and other involved stakeholders (including the Office of the Chief Human Resources Officer and the Integrated Services Branch) to better prepare business users and operations for the use of MyGCHR. Based on the review of the lessons learned documentation, the user acceptance testing was not sufficient in terms of duration, user involvement and scope of testing. In addition, interviews indicated that the impact of the future integration of MyGCHR with Phoenix may not have been sufficiently considered. x. Data cleansing processes conducted by the Human Resources Branch prior to the launch of Phoenix were adequate to ensure consistency of MyGCHR data with the Regional Pay System. However, the evidence available did not allow us to conclude whether MyGCHR data was complete and accurate and suitable for integration into Phoenix. xi. xii. xiii. xiv. Data quality controls and monitoring activities existed within the Human Resources Branch. Furthermore, the Human Resources Branch established MyGCHR post implementation processes to identify data errors and update information accordingly. However, functionality issues within MyGCHR were creating anomalies in employee information such as leave and schedule information. Although the Human Resources Branch was responsible for identifying the functionality issues, they were dependent upon the Integrated Services Branch to implement fixes to address the issues identified (in coordination with the Office of the Chief Human Resources Officer). A Data Management Strategy was developed by the Human Resources Branch but was not implemented due to data integrity and functionality issues that occurred and remained in both MyGCHR and Phoenix. As a result, there is a risk that the department may be unable to ensure that the integrity of MyGCHR data is being maintained on an ongoing basis. Based on our employee file review, an opportunity for improvement was identified with respect to timeliness of data entry, accuracy and consistency of MyGCHR information. There is also an opportunity for improved timeliness of submission of information related to staffing and classification actions to the Human Resources Branch by managers and employees. As a result, there is a risk that the department may not be able to provide assurance over the integrity of data in MyGCHR and whether it can be relied upon for decision making. Processes were in place within the Human Resources Branch to identify functional issues post-implementation. The Integrated Services Branch, in coordination with the Office of the Chief Human Resource Officer, have worked with the Human Resources Branch to implement fixes and enhancements to address issues identified and reported by the Human Resources Branch. Public Services and Procurement Canada iii

8 xv. xvi. xvii. xviii. xix. xx. xxi. Although the system has improved over time, remaining limitations related to the MyGCHR Absence Management module, reporting capabilities and the interface between MyGCHR and Phoenix have impeded the Human Resources Branch s ability to effectively manage data quality. Workarounds created in MyGCHR by the Integrated Services Branch for client departments to address functional limitations have created data integrity risks for the Human Resources Branch. As a result, instances were reported where employees pay was negatively affected due to Phoenix s dependence on information from MyGCHR. Communication and training were available to human resources staff and managers. In addition, measures were implemented by involved stakeholders (the Human Resources Branch, the Integrated Services Branch and the Office of the Chief Human Resources Officer) to address concerns raised by staff related to training. However, there remained an opportunity for improvement with respect to the training process, training material and other areas affected by the existing training. This would ensure that relevant employees have the knowledge and skills required to effectively use system. In addition, managers in functional areas may need additional training and awareness on human resources policies and internal processes. A better understanding of relevant business processes related to staffing may increase the likelihood that required information will be communicated to the Human Resources Branch in a more timely fashion. Roles and responsibilities and support services provided to the Human Resources Branch by the Integrated Services Branch (in conjunction with the Office of the Chief Human Resources Officer as business owner) were not formally articulated in a service level agreement. Service level agreements are being developed. At the end of January 2018, they were not finalized and implemented. Service standards were also not developed by the Integrated Services Branch for services to be provided to the Human Resources Branch by the Integrated Services Branch s MyGCHR helpdesk. As a result, issues were not always resolved to the Human Resources Branch s satisfaction. Further, shared accountabilities of all stakeholders, volume of service demands, as well as limitations of access of the Human Resources Branch to MyGCHR and Phoenix are impacting the Human Resources Branch s ability to ensure data integrity and timely and effective resolution of issues. Within the accountability structure for MyGCHR, various stakeholders (including MyGCHR clients departments, the Office of the Chief Human Resources Officer, Treasury Board of Canada Secretariat and the Integrated Services Branch) are collectively responsible for the implementation of measures to support the effective management of data quality in MyGCHR. At the conclusion of this review, we were informed that a collective governance structure, which includes various Public Services and Procurement Canada iv

9 interdepartmental committees and working groups, has been put in place to address the issues that have arisen since the implementation of MyGCHR and the subsequent launch of Phoenix. xxii. A Collective Management Board for MyGCHR 9.1 was put in place in June 2017 which includes membership from all organizations currently using MyGCHR. This board is a director-level (or equivalent) committee responsible for managing and providing operational direction and leadership to the daily operations of MyGCHR, such as the prioritization of work and release schedules. The board is a decisionmaking body co-chaired by the Office of the Chief Human Resources Officer (on a permanent basis) and a client department (on a rotational basis). The Public Services and Procurement Canada s Human Resources Branch was the co-chair of the board until January The current co-chair is Environment and Climate Change Canada. Management response Management has had the opportunity to review the report and agrees with the conclusions and recommendations found therein. As MyGCHR is an enterprise solution, the business owner, Office of the Chief Human Resources Officer, and the service providers, Pay Solutions and Pay Administration Branch, are accountable for some of the actions responding to recommendations. The Assistant Deputy Minister of Human Resources will work through the appropriate enterprise governance committees to identify, prioritize and support the governance structure to meet the expectations of the audit, as a contributor and participant in interdepartmental committees. The Assistant Deputy Minister of Human Resources is and will continue to closely monitor the progress improving data quality in My GCHR, which affects the pay of employees, as a priority, and will work towards maintaining data accuracy and ensuring processes are in place for continued improvement going forward. Finally, the Assistant Deputy Minister of Human Resources developed a landscape document to ensure alignment with various audits and recommendations such as the Gartner MyGCHR Health Check Assessment (03/31/17) and Recommendations (03/24/17), Key Findings and Recommendations of the Office of the Auditor General 2017 Report on Phoenix, the MyGCHR Collective Management Board Priorities and the PSPC Review of Management of Data Quality in MyGCHR. Recommendations and management action plan Recommendation 1: Data quality 1.1 The Assistant Deputy Minister, Human Resources Branch should ensure that the data management strategy is finalized and implemented to monitor the quality of MyGCHR data to ensure that the integrity of MyGCHR data is being maintained on an ongoing basis. Public Services and Procurement Canada v

10 Management Action Plan 1.1.1: the Human Resources Branch will update and launch the National Data Management Strategy. The strategy will establish the monitoring; procedures and controls, and measurements necessary to improve accountability, reporting and performance. Management Action Plan 1.1.2: Human Resources Operations has put in place a task force with the objective of clearing the existing backlog in staffing. Going forward and based on trends of peak volume times, as well as in response to external factors outside of the Human Resources Branch control (i.e. Phoenix issues), Human Resources Operations will adopt such task force/swat team approaches to avoid increasing backlogs. Management Action Plan 1.1.3: Furthermore, Human Resources Operations will rely on availability of a matrix workforce to prevent such backlogs and remain within service standards. The Human Resources Branch relies on managers to submit the requests to us in a timely fashion. Therefore as a mitigation strategy, it will organize and deliver Branch and Sector sessions to inform managers on importance of timeliness of submitting paperwork to the Human Resources Branch. Management Action Plan the Human Resources Branch engagement and outreach activities will continue to identify, develop and disseminate tools, guides and communications products that enable and promote behavior change and good practice by MyGCHR end-users in PSPC. Recommendation 2: Functional limitation 2.1 The Assistant Deputy Minister, Human Resources Branch should work with the Assistant Deputy Minister, Pay Solutions and the Office of the Chief Human Resources Officer to identify and resolve functionality issues that affect the Human Resources Branch s ability to manage data quality. Management Action Plan 2.1.1: The Human Resources Branch will continue to collaborate with the Office of the Chief Human Resources Officer, the Pay Services Branch and other MyGCHR departments and agencies pursuant to its commitment to be a model user of MyGCHR and a leader in helping establish the GC HR standard. Management Action Plan 2.1.2: Through the MyGCHR Collective Management Board (CMB), the Human Resources Branch will contribute to an action plan to address MyGCHR organizations key priorities including those of PSPC. 2.2 The Assistant Deputy Minister, Human Resources Branch should encourage the automation of the process for data correction following system changes, to support the integrity of data in the system. Management Action Plan 2.2.1: The Human Resources Branch will raise to Pay Services and the Office of the Chief Human Resources Officer every data impact Public Services and Procurement Canada vi

11 and possible automation that could support departments in data correction/cleanup in order to ensure the integrity of existing data in the system. Recommendation 3: Training 3.1 The Assistant Deputy Minister, Human Resources Branch, in consultation with the Office of the Chief Human Resources Officer should identify the training needs for each departmental user group (including employees, managers and human resources staff), and where possible, leverage the services offered by the Integrated Services Branch (as the MyGCHR service provider) to deliver relevant MyGCHR training and tools to departmental employees. Management Action Plan 3.1.1: The Human Resources Branch contributed to an interdepartmental working group led by the Office of the Chief Human Resources Officer (My GCHR Government Wide Learning and Training Strategy Working Group) which identified the training needs for every MyGCHR users. The Human Resources Branch will adopt the Learning approach once launched by the Office of the Chief Human Resources Officer. Management Action Plan The Human Resources Branch will continue to collaborate with the Office of the Chief Human Resources Officer, Pay Services and other MyGCHR departments and agencies, in identifying its training needs through governance. Management Action Plan The Human Resources Branch will continue to collaborate with the Office of the Chief Human Resources Officer, Pay Services and other MyGCHR departments and agencies, pursuant to its commitment to be a model user of MyGCHR and a leader in helping establish the GC HR standard. Management Action Plan The Human Resources Branch will establish a training strategy for users of MyGCHR which will identify various phases for providing the training. The strategy will comprise of evaluating the training needs for MyGCHR and identify the level of resources required to meet the needs. It will also consider how we staff vacant positions and ensure succession planning, training of the new trainers, develop training material and identify quick wins. The Human Resources Branch will prioritize critical integration data entry and as new business procedures and training material are provided to the departments by the Service Providers, the Human Resources Branch will transition to the delivered product as appropriate. Management Action Plan Human Resources Operations is sending frontline staff to required training as it becomes available. The intent is to track completion with the objective of having a fully trained Human Resources Operations team. In parallel, The Human Resources Branch is working on the development of new business process guides as well as updating the existing ones to adjust to systems changes 3.2 The Assistant Deputy Minister, Human Resources Branch should establish a process to measure the effectiveness of the training and provide feed-back to relevant parties (Office of the Chief Human Resources Officer and Pay Solutions). Public Services and Procurement Canada vii

12 Management Action Plan The Human Resources Branch continues to work through the MyGCHR governance committees to identify improvements needed to training programs for employees, managers and human resources professionals concerning: HR-to-Pay stabilization, and MyGCHR. Management Action Plan The Human Resources Branch developed a survey and is compiling the feedback from the training sessions. Once the service providers deliver the training material, the Human Resources Branch will submit its feedback on the content of the material to the Service Providers by via the Office of the Chief Human Resources Officer generic box. Recommendation 4: MyGCHR support services 4.1 The Assistant Deputy Minister, Human Resources Branch should develop and implement service standards for the support services provided by the Human Resources Branch help desk Management Action Plan 4.1.1: The Human Resources Branch will develop service standards for the services it provides PSPC MyGCHR users within the Human Resources Branch service desk. When support is required by the service providers, the service standard will fall under the established service standard of the provider. Management Action Plan 4.1.2: The Human Resources Branch developed and is monitoring service standards for My HRResource 3 as these are being tested, services standards will be communicated. The Human Resources Branch s Human Resources Service Centre, implemented in September 2016 to support managers, is now accessible to all employees of the Department across Canada. The centre is named My HRResource to differentiate it from the Pay Call Centre and the Pay Services Centre. HRB is implementing this change to support departmental employees who are experiencing pay problems, to support the HR-to-Pay approach and to contribute to achieving stability (Phoenix pay system). 4.2 The Assistant Deputy Minister, Human Resources Branch should work with the Assistant Deputy Minister, Pay Solutions and the Office of the Chief Human Resources Officer to ensure service level agreement with Pay Solutions reflect departmental requirements. Management Action Plan 4.2.1: The Human Resources Branch provided initial comments on the Publish draft Service Statement to MyGCHR presented to member departments (includes a service catalogue and roles and responsibilities). 3 My HRResource is a resource implemented by the Human Resources Branch to guide PSPC s employees on the tools and resources available to manage pay issues and questions. Public Services and Procurement Canada viii

13 Recommendation 5: Integration with Phoenix 5.1 The Assistant Deputy Minister, Human Resources Branch should work with the Assistant Deputy Minister, Pay Solutions and the Office of the Chief Human Resources Officer to identify and resolve the integration issues between MyGCHR and Phoenix. Management Action Plan 5.1.1: The Human Resources Branch continues to work through the MyGCHR governance committees to identify and report integration issues. Management Action Plan 5.1.2: The Human Resources Branch continues to raise production issues and service requests when an integration issue is found. These issues are prioritized and planned in the quarterly releases by the Office of the Chief Human Resources Officer and Pay Solutions. Public Services and Procurement Canada ix

14 Introduction 1. This engagement was included in the Public Services and Procurement Canada 2015 to 2018 Risk-Based Audit and Evaluation Plan. 2. The My Government of Canada Human Resource (MyGCHR) is the Government of Canada's new system for the management of all human resources information in the federal public service. The system is a key component of the Government of Canada Human Resources Modernization Initiative. The goal of this initiative is to enhance the efficiency of human resources service delivery while taking advantage of economies of scale through the standardization and consolidation of human resources processes and systems. 3. MyGCHR is a common configuration of PeopleSoft 9.1, which is a commercially available human resources management system from the Oracle Corporation. MyGCHR has been replacing existing human resources applications in federal organizations since 2014 and is to become the Standard Government of Canada human resources system by The Treasury Board Secretariat, Office of the Chief Human Resources Officer is the business owner responsible for the functionality of the application. As such the Office of the Chief Human Resources Officer is responsible for providing the business direction for the configuration and build of MyGCHR, and engaging with Public Services and Procurement Canada, Integrated Services Branch, as the service provider, and client organizations, such as, Public Services and Procurement Canada as a user. 5. They are also responsible for defining end-to-end business requirements (including interoperability and integration with other systems), ensuring the provision of sufficient training and support to client organizations and assessing whether these meet their needs, and providing change management leadership. 6. The Public Services and Procurement Canada s Integrated Services Branch, is the common service provider for the implementation of MyGCHR. The Integrated Services Branch, as directed by the Office of the Chief Human Resources Officer, is responsible for supporting the implementation of MyGCHR by enhancing, hosting and maintaining the system. The Integrated Services Branch also develops and provides training and support services to organizations onboarding and onboarded to MyGCHR and the human resources community. Funding for the Integrated Services Branch s MyGCHR services is provided through a memorandum of understanding with the Office of the Chief Human Resources Officer and agreements with client departments. The infrastructure to support MyGCHR is provided by Shared Services Canada. 7. Client organizations are responsible for conducting a business readiness selfassessment and make required adjustments to their processes to align with the Common Human Resources Business Process at the time of onboarding and during Public Services and Procurement Canada 1

15 subsequent releases of MyGCHR. They are also responsible for developing and implementing change management plans (including training and support services for end-users). During the onboarding stage, they are responsible for putting in place a project implementation team composed of relevant staff from their departments. 8. In December 2014, the Public Services and Procurement Canada s Human resources Branch implemented MyGCHR to replace its legacy Human Resources Management System and related application suite. The deployment of MyGCHR was a complex endeavor since it involved the conversion and migration of large quantities of data from multiple existing human resources applications to MyGCHR. Complete and accurate data was pivotal for the successful deployment of MyGCHR. 9. Plans were established by the Public Services and Procurement Canada s project implementation team for the cleanup and preparation of human resources data in the Human Resources management system for conversion and migration to MyGCHR. The department s project implementation team was composed of employees from the Human Resources Branch, the Integrated Services Branch, and the Chief Information Officer Branch, as well as staff from Correctional Services Canada. The project implementation team was responsible for business transformation, training of MyGCHR users and conversion activities (data clean up, testing and migration). 10. The need for a high degree of integrity of MyGCHR data was heightened by the April 2016 launch of the Government of Canada new Pay System, Phoenix, to replace the old Regional Pay System. MyGCHR and Phoenix, both PeopleSoft products, were integrated so that pay related data could flow directly from MyGCHR to Phoenix. Phoenix was implemented as part of the Government of Canada Pay Modernization Project. One of the goals of this project was to improve the efficiency of pay processes by eliminating duplication of data entry into human resource management systems and the Regional Pay System. 11. Accordingly, MyGCHR was to interface with Phoenix by providing key human resources information necessary for the processing of compensation transactions. As a result of this integration (which did not exist between the previous Human Resources Management System and the Regional Pay System), data issues in MyGCHR have the potential to become data issues in Phoenix, and as such, maintaining accuracy and completeness of data post implementation of MyGCHR was pivotal for the accurate, timely, and successful processing of employees pay after the launch of Phoenix. In preparation for the launch of Phoenix, the Human Resources Branch undertook data reconciliation activities to align human resources data in MyGCHR to pay data in the Regional Pay System. 12. Since the implementation of MyGCHR, the Human Resources Branch has continued to implement activities to ensure the accuracy and completeness of MyGCHR information. As the owner of human resources information, the Assistant Deputy Minister of the Human Resources Branch has the overall accountability for ensuring the integrity of MyGCHR information. However, the responsibility for implementing Public Services and Procurement Canada 2

16 various measures aimed at ensuring that MyGCHR information is maintained accurately, lies with various stakeholders, including the Pay centre, the Finance and Administration Branch, and the regions. Due to the shared accountability structure for the management of data integrity, it is necessary to ensure the establishment of effective processes and controls to ensure key stakeholders share a common understanding of roles and responsibilities and services to be provided. Definition of internal audit and review Audit 13. Provides a reasonable level of assurance by designing procedures so that the risk of an inappropriate conclusion being drawn based on the audit procedures performed is reduced to a low level. This includes inspection, observation, inquiry, confirmation, recalculation, re-performance and analytical procedures. Review 14. Provides a moderate level of assurance by designing procedures so that the risk of an inappropriate conclusion being drawn based on the review procedures being performed is reduced to a moderate level. Procedures are normally limited to inquiry, analytical procedures and discussion. Risk is reduced to a moderate level when the evidence obtained enables us to conclude that the subject matter is plausible in the circumstances. Focus of the review 15. The objective of the review was to provide moderate assurance that control activities in place for the Public Services and Procurement Canada conversion and migration from the Human Resources Management System to the MyGCHR system were adequate to maintain the accuracy and completeness of the data converted; and that on-going processes and controls at Public Services and Procurement Canada were adequately designed and implemented to support data integrity in the MyGCHR system. 16. The focus of the review was on ensuring the completeness and accuracy of human resources data at the time of the conversion and migration from the Human Resources Management System to MyGCHR and subsequently to the launch of Phoenix and going forward. The engagement reviewed activities and outputs undertaken from January 2013 to May Specifically, the review assessed activities implemented by Public Services and Procurement Canada (more specifically the Human Resources Branch as a client department) to prepare for the implementation of MyGCHR and to maintain integrity of information in preparation for the launch of Phoenix and going Public Services and Procurement Canada 3

17 forward. These included: (i) activities conducted to cleanse and test data prior to conversion and migration to MyGCHR; (ii) activities conducted to validate completeness and accuracy of data immediately after conversion and migration to MyGCHR; (iii) reconciliation of MyGCHR data with the Regional Pay System, (iv) quality assurance monitoring activities in place to maintain and support data integrity within the system on an ongoing basis; (v) training, communication and awareness activities to support the adequate discharge of roles and responsibilities; (vi) defining roles and responsibilities and services to be provided by the application provider, as well as (vii) developing processes to identify, report and resolve issues and concerns with MyGCHR. 17. In addition, due to the shared accountability structure of MyGCHR, the roles and responsibilities of the various stakeholders involved in the management of MyGCHR were also reviewed (including MyGCHR client departments, the Office of the Chief Human Resources Officer, Treasury Board of Canada Secretariat and the, Integrated Services Branch in Public Services and Procurement Canada. 18. The scope excluded activities that were implemented by Public Service and Procurement Canada s Integrated Services Branch as a common service provider to other government departments related to the implementation of MyGCHR and/or Phoenix. 19. The review covered the period from January 2013 to May However, we reviewed some documentation until March 2018 to obtain an understanding of activities undertaken subsequent to the review to address some of the issues observed. 20. More information on the review objective, scope, approach and criteria can be found in the section About the review at the end of the report. Statement of conformance 21. The review conforms with the Internal Auditing Standards for the Government of Canada, as supported by the results of the quality assurance and improvement program. 22. A review provides a moderate level of assurance by designing procedures so that the risk of an inappropriate conclusion being drawn based on the review procedures being performed is reduced to a moderate level. These procedures are normally limited to inquiry, analytical procedures and discussion. Such risk is reduced to a moderate level when the evidence obtained enables us to conclude that the subject matter is plausible in the circumstances. Public Services and Procurement Canada 4

18 Observations 23. Review observations were developed through a process of comparing criteria (the correct state) with condition (the current state). The following observations may note satisfactory performance, where the condition meets the criteria, or they may note areas for improvement, where there was a difference between the condition and the criteria. Management of data integrity and issue resolution Prior to implementation of MyGCHR, some processes and controls were implemented by the department s project implementation team for the conversion and migration of human resources data from the Human Resources Management System to MyGCHR 24. To implement new applications and technology solutions that operate without major issues, the following were among the key activities that needed to be implemented prior to conversion and migration to the operational environment: conduct data cleansing; establishing a test methodology that ensured sufficient testing (including technical unit, system, functional, on boarding and user acceptance testing, and dress rehearsal), prior to implementation; and, preparing business users and operations on how to efficiently use the new applications and technology solutions. 25. We expected that prior to implementation of MyGCHR, data cleansing would be conducted and testing of My CGHR would be performed to ensure accuracy of data and to verify that MyGCHR would be working as expected. We also expected that end users would be provided with sufficient training related to MyGCHR. 26. During the implementation of MyGCHR, client departments were responsible for establishing their own project implementation team which was responsible for business transformation, training of users, and conversion (including unloading their human resources data, transforming, testing and validating the data). In addition, client departments were also responsible for the extent of testing conducted (including duration, user involvement and scope of testing). 27. The project implementation team established by Public Services and Procurement Canada s was composed of personnel from various branches (including the Human Resources Branch, the Chief Information Officer Branch, and the Integrated Services Branch) and staff from Correctional Services Canada. While human resources staff from the project implementation team were responsible for data cleansing activities and training, information technology staff were responsible for the overall functional Public Services and Procurement Canada 5

19 and data conversion/migration testing, and leading the final user acceptance testing activities. 28. Data Cleansing: The Business Systems and New Initiatives directorate in the Human Resources Branch was responsible for overseeing and coordinating data cleansing activities performed by the human resources staff in their branch and the regions. Data cleansing activities started in January 2013, and were ongoing until December 3, Documentation review indicated that at the time of implementation, data issues identified were corrected and the Human Resources Branch s target objective of less than 5% error rate was met. 29. Testing: Testing of MyGCHR, which had the objective of identifying and addressing data conversion, data integrity and functional issues, was completed between June and November MyGCHR-related testing activities were conducted by information technology staff from the project implementation team supported by the former MyGCHR Centre of Excellence. 30. The former MyGCHR Centre of Excellence was the common service provider at the time of Public Services and Procurement Canada s implementation of MyGCHR. The centre was responsible for assisting Public Services and Procurement Canada s project implementation team by providing the testing environment and the data conversion scripts. It also provided technical advice, coordinated the integrated testing (once the conversion was completed by the project implementation team), and the final production load to MyGCHR. The Centre of Excellence was composed of personnel from the Chief Information Officer Branch and the Integrated Services Branch. The centre was later disbanded and replaced by separate MyGCHR support groups within the Chief Information Officer Branch and the Integrated Services Branch. 31. Detail test logs were not available for review. However a summary of test results was available. Review of the test summaries indicated that test results met acceptance criteria defined by the project implementation team. 32. Interviews indicated that the user acceptance testing of MyGCHR, which had an objective of validating MyGCHR functionality and the data conversion, and confirming acceptance by business clients, was conducted by users from the Human Resources Branch and lasted between two to three weeks. Where the system did not meet the Human Resources Branch s requirements, changes were requested to the Integrated Services Branch, and when ultimately approved by the Office of the Chief Human Resources Officer, were put into the Integrated Services Branch s queue for development and inclusion in future releases of the application. 33. While we were informed that detailed test scripts and test results were prepared by the project implementation team for the user acceptance testing, these test results, as well as the project sponsor sign off by the Human Resources Branch, were not available for review. The project implementation team was dismantled in 2015 after the implementation of MyGCHR in 2014, and members had since moved to other sectors Public Services and Procurement Canada 6

20 or departments. They advised us that they no longer had access to project documentation. As a lesson learned, any future similar transformation projects should ensure that project documentation is collected and maintained in a manner that permits neutral/independent evaluation, audit and review. 34. Training: A training plan was developed and implemented by the Public Services and Procurement Canada s project implementation team to provide users from human resources groups with training related to MyGCHR prior to the implementation of the system. Training and communications were available in various formats such as webex sessions, weekly bulletins, and in class and online training. 35. Based on our examination, we concluded that prior to conversion and migration from the Human Resources Management System to MyGCHR, data cleansing and testing activities were implemented by the Public Services and Procurement Canada s project implementation team. At the time of implementation of MyGCHR, targeted data quality objectives were accomplished. Review of the results of the system testing indicated that test results met acceptance criteria defined by the project implementation team. While we were informed that user acceptance testing was conducted, documentation related to the user acceptance testing and project sponsor sign-off by the Human Resources Branch was not available. A training plan was developed and implemented to provide users with training related to the application prior to implementation. Improvements could have been made to enhance Public Services and Procurement Canada s readiness for the implementation of MyGCHR 36. Public Services and Procurement Canada was one of the early adopters of MyGCHR. At the time of implementation, the implications of the new system were not fully understood and the on-boarding processes were not mature. Based on interviews and review of documentation, we noted that improvements could have been made by involved stakeholders (including the Office of the Chief Human Resources Officer, the Integrated Services Branch and the project implementation team) to better prepare business users and operations for the implementation of MyGCHR. For example, lessons learned documentation stated that the user acceptance testing developed by the project implementation team was not sufficient in terms of duration, user involvement and scope of testing. In addition, the system, particularly the Absence Management module, had more functionality challenges than anticipated. 37. Some human resources advisors commented that although training and communication was available, they were not sufficiently adapted to their function. Furthermore, interviews with various stakeholders indicated that the impact of the future integration of data from MyGCHR with Phoenix may not have been sufficiently understood. Public Services and Procurement Canada 7

21 38. We were informed by the Integrated Services Branch that improvements have since been made to the on-boarding process. The Office of the Chief Human Resources Officer and the Integrated Services Branch work more collaboratively with onboarding departments to provide advice and guidance, and support them in assessing the magnitude of the change involved in adopting MyGCHR. They also help the client departments to adjust their business processes and data accordingly, and establish change management planning processes. Subsequent to the implementation of MyGCHR, validation of integrity of data was completed 39. Public Services and procurement Canada implemented MyGCHR on December 15, Subsequent to implementation, testing was performed by the project implementation team to validate the data. Testing information was kept on Infowiki 4 which is a website on Public Services and Procurement Canada's Intranet which is used for knowledge management and collaboration. 40. Summary results that were available on Infowiki indicated that the testing identified various data integrity issues due to the Integrated Services Branch conversion scripts errors. For example, some employee information (such as geographical location, leave balance, benefits service dates) had changed in MyGCHR. Interviews and summary sheets that were on Infowiki indicated that issues were documented and were addressed with the involvement of relevant stakeholders, including information technology staff from the project implementation team, the former MyGCHR Centre of Excellence (Chief Information Officer Branch and Integrated Services Branch) and the Human Resources Branch. 41. We reviewed some documentation related to the correction of data integrity issues; however, we were not able to confirm that all data issues were corrected as supporting documentation was not available. As mentioned above, the project implementation team members no longer had access to project documentation which was originally stored in the Electronic Document and Record Management system and other shared drives. We were informed by the Human Resources Branch that documentation was later moved or deleted during the implementation of GCDOCS and the Transformation Initiatives. 4 Infowiki is a website on Public Services and Procurement Canada's Intranet which is used for knowledge management and collaboration. Public Services and Procurement Canada 8

22 Prior to the launch of Phoenix, reconciliation of data in MyGCHR to data in the Regional Pay System was completed 42. In June 2015, in preparation for the launch of Phoenix, which would rely on data from MyGCHR to process pay, a data cleansing strategy was developed and implemented by the Human Resources Branch to reconcile information between the Regional Pay System and MyGCHR. This included 17 employee data fields which were identified as critical for data clean-up. Progress reports were prepared on a regular basis (weekly or more often) to track the differences in the data between the two systems. 43. Progress reports reviewed indicated that there were significant differences in data between the Regional Pay System and MyGCHR at the beginning of the reconciliation. These differences were mainly caused by a lack of timeliness in data entry. However, by April 2016, at the launch of Phoenix, consistency of data between the two systems was confirmed. As the review was conducted a year after the completion of the data reconciliation process, original data was no longer available for review. While the progress report allowed us to conclude on the consistency of data between the two systems, we could not validate that MyGCHR data was complete and accurate and suitable for integration into Phoenix. 44. Based on our examination, we concluded that data cleansing processes conducted by the Human Resources Branch prior to the launch of Phoenix, were adequate to ensure consistency of MyGCHR data with the Regional Pay System. As the review was conducted a year after the completion of the data reconciliation process, original data was no longer available for review. While the progress reports allowed us to conclude on the consistency of data between the two systems, they did not allow us to conclude whether MyGCHR data was complete and accurate and suitable for integration into Phoenix. 45. The Pay Administration Branch (formerly the Accounting, Banking and Compensation Branch) was responsible for Phoenix implementation. Although we were informed that various issues arose after the implementation of Phoenix that impacted MyGCHR data, we did not review processes designed and implemented for the launch of Phoenix since they were outside of the scope of the review. Data quality controls and monitoring activities over human resources data in MyGCHR could be strengthened 46. Quality information is necessary for effective decision making and the achievement of organizational objectives. The ability to generate quality information begins with the quality of data. Inaccurate and incomplete data and the information derived from such data could result in potentially erroneous judgments, estimates and management decisions. Public Services and Procurement Canada 9

23 47. Monitoring must be performed to ascertain if established controls and procedures are effective in maintaining the quality of data to a level acceptable to management. Where deficiencies exist, their root causes should be identified and addressed with corrective actions in a timely manner. 48. We expected that quality controls and monitoring activities would be in place within the Human Resources Branch to maintain the integrity of MyGCHR data on an ongoing basis. 49. The Human Resources Branch s Business Systems and New Initiatives directorate is responsible for implementing measures for ensuring integrity of MyGCHR data. Since the launch of Phoenix, the integrity of MyGCHR data has become more critical due to its direct impact on compensation transactions performed in Phoenix. However, it has also become more difficult to assure that integrity. 50. We found that a number of factors influenced the integrity of the data in MyGCHR. These included the backlog of data entries by human resources and the Pay Centre, human error and information not always being provided in a timely manner to the Human Resources Branch regarding staffing activities and reorganization occurring across the department. In addition, since the launch of Phoenix, data entry into MyGCHR has become more complex as a result of workarounds that were created by the Integrated Services Branch, which were approved by the Office of the Chief Human Resources Officer, to allow for data to be accepted by Phoenix from MyGCHR through the integration. 51. Functionality issues in the Absence Management module in MyGCHR were also creating anomalies in employees leave and schedule information. Issues were reported to the Integrated Services Branch s help desk. While some of the errors were being fixed on an ongoing basis, new issues were simultaneously being identified. 52. While data quality monitoring existed within the Human Resources Branch, the monitoring approach was more reactive than proactive. The Human Resources Branch s Business System and New Initiatives directorate established processes to monitor data entry into MyGCHR performed by departmental human resources employees. These consisted of generating weekly reports to identify errors in data entered that week and providing them to human resources staff who made the necessary corrections. We noted that a periodic verification of human resources data in MyGCHR for validation of quality was not established, except for leave data that was periodically monitored by the Human Resources Branch for the purpose of the Leave Year-End process. 53. A Data Management Strategy was developed by the Human Resources Branch but was not finalized and implemented at the time of the review due to data integrity and functionality issues that occurred and remained in MyGCHR since migration and the launch of Phoenix. Interviews indicated that there were no expectations of achieving full data integrity until the issues that have arisen since the launch of Phoenix are Public Services and Procurement Canada 10