Management Practices Audit of the Alberta Region - Follow-up Report Status Update as of September 30, 2012

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Action Plan Implementation Status Update Report to the Audit Committee - As of September 30, 2012

Alberta Region, Human Resources & Workplace Services

Management Practices Audit of the Alberta Region
Approval Date: 20/06/2011
Project Recommendations Action Plan Expected Completion Date Program Response
1. The Regional Director General of the Alberta Region should collaborate with Headquarters to define external client services offered by AANDC and to develop performance targets for the delivery of these services as part of on-going monitoring and management of the performance against established standards. To ensure a consistent, national approach is adopted; standards, performance expectations and monitoring requirements should be formally communicated by Headquarters to all regions. RO Headquarters will work with other sectors and regions to develop departmental approaches to service management that are consistent with Treasury Board Secretariat guidance. These approaches include appropriate governance and management oversight, identifying services that the department offers, setting appropriate service standards and monitoring regimes, and clarifying roles and responsibilities. The Regional Directors General will work will work closely with HQ and other Regions to assist with the development of national approaches. Work is underway. Initial discussions have taken place at DGIOC (April 11, 2011).

Actions:
Programs with existing service standards:
  Status: Underway

Update/Rationale:
As of 30/09/2012:

RO Head Quarters is the lead.

Region is supporting initiative. Documented FNITP service standards are reported on a regular basis to Senior Management and Program Management.

AES: Implementation on-going
Formalize existing service standards in a document September 2011
Programs without service standards:

Direct services
March 2012
Grants and Contributions March 2012
Internal Services June 2012
2. The Director General of the Human Resources and Workplace Services Branch (HRWSB) should revise regional human resources reports to help ensure that sufficient information is provided to management in order to identify and monitor exceptional staffing actions, such as acting assignment extensions greater than one year, to ensure compliance with relevant policies. Where possible, these reports should be consistent nationally and should be incorporated into the existing departmental reporting structure. In cooperation with IT Services, HRWSB released the staffing component of "the Human resources Reporting & Analysis (HRRA) project". This will enable regions to produce their own reports and make their own analysis.

In addition, monitoring of the acting appointment department-wide is conducted on a regular basis, with follow-ups on remedial actions when required. Monitoring reports are presented to HRWSMC.
Implemented
Q4 2010-11
HRWSB Update

Status: Request to close

Update/Rationale:
As of 30/03/2012:
  • National deployment of IHRRS has been released for:
    • Staffing
    • Rentention and Mobility
    • Leave Management
    • Employment Equity
  • Business object reports are available to all the regions. (Leave without pay, End of Acting, End of Assignment / Secondment, End of Student Employment, End of Term , End of Casual employment)
  • HRWSB – Process Improvement launched an automated PeopleSoft report request to increase efficiency and availability for all regions.




AES: Fully Implemented. Closed.
3.The Regional Director General of the Alberta Region should ensure that the Alberta Region Human Resources (HR) Directorate revises the requirement to conduct monitoring of the completion of interim reviews. AES understands that monitoring completion of interim reviews is not required nationally, however good practices in employee management include monitoring. The Alberta Region will continue to actively promote the importance of interim performance reviews through region-wide communiqués from the HR Directorate. The HR Directorate will deliver Employee Performance Management (EPM) and Learning Plan (LP) information sessions in April, May, September, and October for all regional supervisors and managers. The HR Directorate will provide tools, advice and guidance to supervisors and managers at all organizational levels to support them in holding regular EPM and LP meetings / discussions with their staff. April 2011, ongoing Alberta Update
Status: Request to Close (Completed)

Update/Rationale:
As of 31/03/2012:

EPM and LP information sessions developed and delivered to regional supervisors and managers in Quarter 1 (April and May 2011). Session was also held in October 2011.

EPM and LP Quality Assurance Checklists and Communiqué developed and distributed regionally and nationally in Quarter 1- 2011.

Managers Handbook/Guide to EPMs and LPs developed and distributed to regional supervisors and managers in Quarter 1 - 2011.

AES: Fully Implemented. Closed.
4. The Regional Director General of the Alberta Region should develop and conduct a quality review of a sample of completed Employee Performance Management (EPM) forms to verify that forms are being consistently completed in line with expectations. This action would help to supplement the EPM training already planned by the Region with the aim of improving the performance management process. Based on the preliminary MPR debrief in January, the HR Directorate developed an EPM and Learning Plan (LP) Quality Assurance Checklist. The checklist was distributed to all supervisors and managers in the Alberta Region, the DG HRWSB, the Associate DG HRWSB, the Director of Learning as well as all Regional Directors, Human Resources Services. The Regional Director of HR recommended to the Regional HR Committee (RHRC) that 1 in 4 EPMs and LPs be reviewed by the HR Directorate against the checklist – the recommendation was accepted by RHRC in March and will be implemented in 2011-2012.   Alberta Update
Status: Request to Close (Completed)

Update/Rationale:
As of 31/03/2012:

100% EPMs and LPs (210) were reviewed by HR against the Quality Assurance Checklist in Quarter 1 – 2011, returning documents to Directorates that did not meet established standards. This is an Ongoing management practice in the Alberta Region.









AES: Fully Implemented. Closed.
Actions:
HR Directorate developed and distributed EPM and Learning Plan (LP) Quality Assurance Checklist.
February 2011, completed
The Regional Director of HR recommended to the Regional HR Committee (RHRC) that 1 in 4 EPMs and LPs be reviewed. March 2011, completed
Recommendation to be implemented in 2011-2012. April 2011, ongoing
5. The Director General of the Human Resources and Workplace Services Branch (HRWSB) should review and modify the EPM Completion Rate report generated through the Human Resource Management System (HRMS) to help ensure that the manual adjustments, currently required to eliminate duplicate counting of acting employees, are no longer necessary. In cooperation with IT Services, the reports were updated to eliminate duplicated entries of acting employees.

For this year, the report will be generated for more accurate data
  HRWSB Update

Status: Request to close

Update/Rationale:
As of 30/03/2012:

Corrections to report parameters completed by end of Q3 (2010).

Report available as of beginning of Q1.

AES: Fully Implemented. Closed.
Actions:
Corrections to report parameters (complete)
End of Q3 (2010-11)
Upgraded report available as of beginning of Q1. Q1 2011-12
6. The Regional Director General of the Alberta Region should develop and implement a formal documented approach to risk management, including an ongoing process and governance structure for identifying, assessing, and monitoring risk mitigation actions. Headquarters should communicate guidance to all Regions and Sectors to ensure a consistent, national approach to risk management. ("Headquarters" includes Policy and Strategic Direction, the AANDC Risk Champion, and the Risk Management Centre in Audit and Evaluation Sector). Short-term:
Continue on-going risk assessments (FSR, Compliance, Gas, etc.) and continue to report on activities in the quarterly business plans.
  Status: Underway

Update/Rationale:
As of 30/09/2012:

In partnership with the Audit & Evaluation Sector, developed a draft regional risk profile. Ongoing discussions with Senior Management on draft regional risk profile. Profile to be finalized in Quarter 4.

Key regional planning commitments are linked with the Corporate Risk Profile. Regional participation on the national Risk Management Community of Practice Conference calls. Regional Planners are engaged with Regional Operations in reviewing and identifying standard indicators for the Business Plans.

AES: Implementation ongoing. The recommendation will be closed upon completion of the Regional Risk Profile.
Medium-term:
The Risk Champion for the department, with support from the Chief Risk Officer will develop department-wide risk management tools.
Initiate tool discussion in September 2011
Regional Directors General will support these and implement risk management tools in their regions that support and are consistent with the national approaches.

HQ Risk leads visited regions in October 2010 to review risk practices and provide training. Regions to continue ongoing liaison with risk leads re: support for regional risk management practices. Regional Corporate Risk Profiles to be integrated into regional business planning process and documents for 2012/2013
Implement tools by March 2013
7. The Regional Director General of the Alberta Region should collaborate with Headquarters to establish service standards for all corporate services, including Accounting, IM/IT, Administration and Resource Management. The standards established should be applied consistently across the Department and be reported and monitored in the Regional Quarterly Report, as is currently the case for Human Resources. Alberta Region, Director Corporate & Funding Services to engage with RO Regions to gather current performance measures for functional areas, propose recommendations to standardize and address potential gaps.

Provide consolidated Regional RO Sector recommendations for Review and endorsement from the CFO Sector (functional lead).
  Update/Rationale:
As of 30/09/2012:

Regional Planners are engaged with Regional Operations in reviewing and identifying standard indicators for the Business Plans.

AES: Implementation on-going.
Actions:
Regional review and consolidation of functional performance indicators
Completed by end of Q1 2011-12
Review and endorsement by CFO Sector Q2, 2011-12
Implementation of recommendations End of Q2 2011-12
8. The Regional Director General of the Alberta Region should collaborate with Headquarters to expand the financial information captured in the regional planning documents that support the Regional Quarterly Report, such that the cost of planned activities are documented and monitored. As articulated in the 2011-14 Corporate Business Plan, the department will work at improving integrated planning and resource alignment by establishing principles and process (including schedule and calendar) for integrated planning and consult with internal partners (HR, CFO, AES) March 2012 Alberta Update

Status: Request to Close (Completed)

Update/Rationale:
As of 31/03/2012:

Financial status information has been integrated in the regional Quarterly Report

AES: Fully Implemented. Closed.
9. The Director General of the Human Resources and Workplace Services Branch (HRWSB) should coordinate the updating of the revised directorate titles for the Alberta Region in PeopleSoft. This will help to ensure that the system appropriately reflects the true structure of the Alberta Region. The reorganisation, including the revision of the titles for Alberta region, has been completed in PeopleSoft as of April 1, 2011. Because PeopleSoft has a limit in the amount of characters in the description, acronyms must be used to represent the Divisions specific needs. April 1, 2011 HRWSB Update

Status: Request to close

Update/Rationale:
As of 30/03/2012:

Completed in PeopleSoft as of April 1, 2011

AES: Fully Implemented. Closed.
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