Strong

The CRA human resources management regime has the strong leadership and enabling infrastructure necessary to contribute to the achievement of priorities and program results guided by CRA values and ethics.

The CRA possesses a human resources management regime that is sustainable and responsive to changing environments.

The Agency has established human resources management policies that are communicated throughout the organization.

Executive leaders are engaged in an ongoing dialogue with employees that ensure the Agency processes and work environment are meeting the evolving needs of its diverse workforce.

The Agency workforce is guided by CRA values and ethics ensuring a respectful workplace.

Acceptable

The CRA human resources management regime has for the most part the strong leadership and enabling infrastructure necessary to contribute to the achievement of priorities and program results guided by CRA values and ethics.

The CRA possesses a human resources management regime that for the most part is sustainable and responsive to changing environments.

Human resources management policies exist and are for the most part communicated throughout the organization.

Executive leaders are for the most part engaged in an ongoing dialogue with employees that ensure Agency processes and work environment are meeting the evolving needs of its diverse workforce.

The Agency workforce is for the most part guided by CRA values and ethics ensuring a respectful workplace.

Opportunity For Improvement

The CRA human resources management regime has limited leadership and enabling infrastructure necessary to contribute to the achievement of priorities and program results guided by CRA values and ethics.

The CRA possesses a human resources management regime that is limited in terms of sustainability and responsiveness to changing environments.

Human resources management policies are under development and require further integration within the Agency.

The Agency has limited success in hiring and keeping necessary talent.

Limited attention is paid to promoting values and ethics in the Agency.

Attention Required

The CRA human resources management regime is demonstrating deficiencies in terms of leadership and the enabling infrastructure necessary to contribute to the achievement of priorities and program results guided by CRA values and ethics.

The CRA human resources management regime is deficient in terms of sustainability and responsiveness to changing environments.

Human resources management policies are deficient and lack integration within the Agency.

The Agency is unable to mobilize its employees to achieve Agency priorities.

No effort is made to promote value and ethics in the Agency.

Expectation (a): Workforce –The Board must assure itself that the Agency has a Human Resources management regime that attracts, develops and retains the workforce that it needs to achieve its business goals.

Overview

The CRA is committed to attracting, developing, and retaining the talent it needs through an integrated planning approach which includes national, functional, and regional planning levels. A central element of this approach is Competency‑Based Human Resources Management (CBHRM) which enables the Agency to evaluate, select, and develop employees based on core competencies identified by the Agency.

An integrated approach to planning, which includes a comprehensive demographic analysis and the development and implementation of the Agency's Strategic Workforce Plan continues to help the Agency in making human resources (HR) planning decisions based on the environment and business objectives. This planning process has identified technical capacity and knowledge transfer as important HR priorities. As a result of its succession planning activities for the EC group and non‑ EC positions, the CRA is well positioned to meet the future Human Resources and business needs of the organization.

The CRA participates in job fairs at universities and colleges, as well as in communities across the country. The CRA offers flexible hours of work, opportunities for advancement, career mobility, and employee development programs all of which are attractive to prospective employees. The Agency has a well‑established history of investing in its workforce and supporting the development of its employees. All non‑ EC employees complete an individual learning plan on an annual basis which captures learning activities related to their current job and professional development. Employees have access to internal and external learning providers which extend the range of learning opportunities available to employees to develop their skills. In addition, technological solutions to learning continue to be explored and developed. Opportunities for employee mobility support individual learning and provide outstanding career opportunities.

In addition to the activities mentioned above that support retention, the Agency has a CRA Action Plan for the Renewal of Official Languages which establishes targets against which the Agency reports. The Agency continues to look for ways to improve return on investment and better target resources based on the demographic changes and on HR needs.

The promotion of employment equity in the workplace is of great importance for the Agency, and a strategic direction for the Agency with defined objectives has been prepared. On a national level, all four designated groups continue to be fully represented across the CRA with representation exceeding their labour market availability in most areas.

Key Questions

1. Does the Agency attract, develop and retain the talent it needs?

Recruitment

Overall Recruitment:

The Agency's recruitment rate for indeterminate employees for the year was 5.9% or 2,101 recruits, which is a decrease from 8.6% or 2,975 recruits from the previous year. It is also important to note that the high rate of recruitment in 2008‑2009 was due to the acquisition of the new program “Corporate Tax Administration for Ontario”.

• The internal recruitment rate of indeterminate employees (from term employees) was 4.2% in 2009‑2010 compared to 4.9% in 2008‑2009.
• The recruitment rate of indeterminate employees from other government departments was 0.5% in 2009‑2010 compared to 3.1% in the previous year.
• The recruitment rate of indeterminate employees from outside of the federal public service was 1.2% in 2009‑2010 compared to 3.1% in 2008‑2009.

As a result of new business acquisition, 247 provincial employees impacted by the Provincial Sales Tax Reform (PSTAR) in Wave 1, were offered employment at the CRA starting November 2010. Of these, 214 accepted. (116 /144 in Ontario and 98/103 in British Columbia).

Letters of offer were also made to Ontario provincial employees for Wave 2 on‑boarding in March 2010 and to 35 B.C. employees for on‑boarding in July 2011. Current results are:

• Ontario Region: Letters of offer: 912; Accepted: 836; Declined: 37; No response to date: 33; Rescinded: 6 (employees no longer impacted). Response deadline was January 17, 2011. The Ontario Region and the Province of Ontario are attempting to verify the status of the 33 non‑respondents. Adjusted acceptance rate (of those responding) 95.8%
• Pacific Region: Letters of offer: 35; Accepted: 19; Declined: 0; No response: 16. The Wave 2 B.C. employees have until February 7, 2011, to respond.
• Offers for 9 Wave 3 B.C. employees will be made in September 2011, for March 2012 on‑boarding, and for 134 Wave 4 B.C. employees in January 2012, for July 2012 on‑boarding.

The Agency had a projected target of 232 new graduates to be hired for 2010‑2011. In the first two quarters, the CRA was at less than 50% (109) of its target; 20% (22) are self‑identified visible minorities. Due to an anticipated decrease in external hiring, the Agency is not expected to reach its target.

Executive Cadre (EC) Recruitment:

During 2009‑2010, 39 ECs were hired. From within the CRA, 33 ECs were hired (85%); 4 were hired from Public Works and Government Services Canada (10%); and 2 from the private sector (5%).

The following are highlights of EC population demographics as of April 1, 2010:

• The CRA's EC population is 604‑337 at Headquarters (56%) and 267 in the regions (44%). This represents 1.2% of the Agency's population compared to 2.4% for the Public Service of Canada.
• Succession planning activities show that, overall, there is a large number of potential successors for most positions and that the Agency is well positioned to meet future needs.

End‑State Pre‑Qualification Processes (PQPs) and Time to Staff (TTS):

CRA's migration to End‑State Pre‑Qualification Processes is complete. Effective April 1, 2010, End‑State PQPs are mandatory for all internal selection processes that will result in permanent promotions across the Agency. Many areas of the Agency have already succeeded in reducing the time it takes to staff.

As a result of End‑State PQP implementation within the Agency, the methodology used to calculate TTS performance metrics was revised and implemented in the second quarter of 2009‑2010. This change resulted in a performance indicator more reflective of the current staffing process.

While the definition of TTS remained the same, the average TTS is now based on selection processes that were completed in the year ending on the reporting date. For example, second quarter 2010‑2011 average TTS is based on selection processes completed between October 1, 2009, and September 30, 2010. In order to provide a valid year‑over‑year comparison, the new methodology has been applied to historical data.

As of October 2010, a national TTS report is provided quarterly to each Assistant Commissioner (AC). The report provides the average TTS for internal, external, and interdepartmental selection processes (including PQP and non‑PQP processes). Statistics from this report show the average TTS as:

• Overall — 230 days
• Internal selection processes — 221 days
• External selection processes — 242 days
• Interdepartmental selection processes — 375 days.

Results for End‑State PQPs demonstrated the potential for a reduced TTS average of 80 days for internal processes. Between April and October 2010, 205 internal selection processes were started within the Agency and all but one of those processes were End‑State PQPs.

The methodology for calculating time to staff was changed in 2010 and consequently it is not possible to compare the current TTS numbers to the numbers that were reported last year. However, when using the new methodology to compare the TTS for a one‑year period (October 1, 2009, to October 1, 2010) there has been a 7% decrease in the overall TTS and a 14% decrease in the TTS for internal selection processes.

Staffing Policy and Plan:

The Agency is adopting a responsible human resources management approach. The Agency Staffing Management Committee has implemented a CRA‑wide Staffing Management Plan (SMP) and has started a Staffing Policy Simplification Project. The project's aim is to simplify and consolidate the Agency's staffing policy documents to make it easier for managers, the HR community, and employees to understand and apply. The project is also expected to streamline and improve the staffing processes.

Development

Development Programs:

Total intake to Management Development Programs for 2009‑2010 was 70 participants.

• 51 participants were accepted into the Middle Management Development Program for 2009‑2010.
• 23 people qualified for the Executive Development Program (EXDP) and 19 participants were accepted into the EXDP for 2009‑2010.

Individual Learning Plans (ILPs):

ILPs demonstrate the CRA's commitment to invest in the development of its workforce talent. The ILP completion rate for 2010‑2011 is approximately 93%.

Retention and Promotion

Retention and Promotion Rates:

In 2009‑2010, the retention and promotion rates were 95.3% and 8.3% respectively. The Agency's separation rate for indeterminate employees decreased slightly, dropping to 4.7% (1,677 separations) from 5.4% (1,850 separations) in 2008‑2009.

Sources of Evidence

• Permanent Post‑Secondary Recruitment for 2010‑2011 Actuals Reports
• Electronic Recruitment System (ERS) Pilot Report 1
• ERS Communication Strategy
• ERS Learning Strategy
• 2009‑2010 Second Quarter Performance Report
• Final Report — Consultations on the Canada Revenue Agency Employee Assistance Program — November 2009
• Staffing Management Plan (SMP) Quarterly Reporting
• CAS

2. What is management doing to ensure that the capacity and talent of the CRA meets current and future Agency needs?

Executive/Cadre (EC) Succession Planning Process

The CRA has had a robust EC succession planning process in place since 2006, and regular meetings are held with potential successors. In addition, the CRA has participated in the Talent Management exercise for EC5s and EC6s with the Core Public Administration for the last three years. Since the Agency Management Committee (AMC) review in November 2009, EC succession plans for each branch and region have been updated. More than 3,800 potential successors have been identified for 507 EC positions. From the total number of successors, approximately 55% are repeaters (that is, successors have been identified for more than one position).

On October 19, 2010, the AMC participated in an all‑day succession planning session. A follow‑up session took place on November 19, 2010. The purpose of these sessions was to review the potential successors that had been identified for positions in an open discussion forum, and to identify potentially vulnerable areas in order to put risk mitigation strategies into place. The goal was to make sure that the CRA completes an in‑depth analysis of critical positions and key areas of the Agency, and reviews the quality and quantity of potential successors identified to enable senior management to assess the Agency's strengths and/or risks in relation to business needs.

Overall, the CRA is in a good position and we will continue to identify, through integrated planning, the skills and/or competencies required to fill gaps to make sure that there is capacity to meet short‑ and long‑term business needs. More specifically, functional program branches will work together horizontally to address common technical capacity issues. The official languages proficiency of executives has been identified as a possible barrier to succession. To address this, there is an annual official languages review and action planning process for the EC community.

Learning and development of potential successors will be the focus of a separate AMC discussion that will take place on February 10, 2011. The next succession planning review will take place in the fall of 2011.

Development of Risk Mitigation Strategies

Risk mitigation strategies, such as targeted learning and development, knowledge transfer, and external recruitment strategies are being put in place where the CRA is vulnerable in terms of readiness of potential successors.

Certain impediments to effective succession planning were identified, specifically retention and acquisition of official languages proficiency and the importance of confirming the anticipated retirement date and mobility of executives. Increased accountability and communication at each layer will continue to be reinforced.

Integrated Planning

The CRA identifies, through integrated planning, the skills and/or competencies needed to fill gaps to make sure that there is the capacity to meet short‑ and long‑term business needs. The CRA establishes the readiness and willingness of individual employees to fill positions, both in the CRA current executive complement and in the feeder group. The Agency will continue to make sure that there is an appropriate support system in place to advance succession planning, such as an effective performance management regime, and fair access to learning and development tools.

Agency Strategic Workforce Plan (ASWP)

Since its first publication in 2008‑2009, the ASWP has matured into an effective planning tool that establishes the workforce goals and objectives that the Agency must achieve to support the strategic priorities in the corporate business plan. The same approach is being applied at the branch and regional levels, and by July 2011, all branches and regions are to publish a workforce plan that integrates their workforce and business needs. This reflects the next steps highlighted by the Board in the 2009‑2010 Assessment.

The third iteration of the ASWP was published on InfoZone in July 2010. To support the ASWP's goal/objective, the Strategic Workforce Planning Guidelines and a series of templates and other tools were also published on InfoZone.

Performance Rating

As of October 1, 2010, 96% of the Agency's managers have a rating of “mostly meets” or higher for core business responsibilities and 92% have a rating of “satisfactory” or higher for effective people management. Also, 94% of Agency employees have a rating of “mostly meets” or higher for core business responsibilities.

As the Agency enters its second decade, the Human Resources Branch will continue to build on its strong foundation to ensure that it provides leadership and strategic support to ensure that the CRA has the right people in the right place at the right time, with the right tools enabling excellence in program delivery, within a workplace that is both respectful and conducive to helping each employee reach his or her full potential.

Sources of Evidence

• EC Succession Plans and Learning and Development Plans per branch and region
• Agency Strategic Workforce Plan 2010‑2011 to 2012‑2013
• Deck: CRA Workforce and Demographics Indicators: An Overview for 2005 to 2010
• Performance Management Report as of November 24, 2010
• Corporate Business Plan 2010‑13
• Agency Strategic Workforce Plan 2010‑13
• Optimizing Organizational Performance Through an Effective Workforce Discussion Paper

3. Are CRA employees using the official language of their choice in their workplace?

Language of Choice

The CRA is committed to fully meet its responsibilities under the Official Languages Act, to comply with the spirit of the Act in all its business activities, and to take a proactive approach to implementing the Act.

Language Training:

For the 2009‑2010 fiscal year, the CRA had 114 employees participating in full‑time language training and more than 2,700 employees participating in part‑time language training. In addition, a total of 2,247 licenses were distributed on the language training program “Pour l'amour du français/For the Love of English.”

Language of Work:

Sustained efforts have been made to make sure that employees work in a bilingual environment and that managers' have the bilingual capacity to respond to the needs of their employees. Across the Agency, champions continue to provide reminders to managers of their responsibility to have a work environment that is conducive to the use of both official languages and where employees are free to be supervised in the language of their choice.

The Human Resources Branch is developing information/ training tools that will increase manager and employee awareness of their rights and responsibilities with respect to language of work.

Significant efforts have been made by the branches and regions during 2009‑2010 to improve opportunities for supervisors to meet their linguistic profile. Increases have been noted in the number of supervisors attending full‑time language training. Branches and regions are incorporating second language training in their workforce planning documents and increasing investment in this area.

Despite the continuous efforts being made across CRA, there are challenges remaining in the following areas:

• In terms of supervisory services, the number of supervisors who meet the linguistic profile of their position has increased to 90%. However, this result is below the expected target of 92% for 2009‑2010; and
• 90% of employees providing internal services now meet the language requirements of their position, falling below the 92% target for 2009‑2010.

Service to the Public:

The targets that were to be achieved by March 31, 2010, for this area have been exceeded. Of employees providing service to the public, 90% meet the language requirements of their position (exceeding 88% target for 2009‑2010).

Overall, the number of incumbents providing service to the public has increased and the capacity gap has been reduced. The Agency continues to develop its bilingual capacity by actively offering a language training program to its employees and hiring bilingual employees.

To help achieve this objective, the Official Languages Division now provides monthly reports on bilingual capacity and on employees who do not meet the language requirements of their positions.

Sources of Evidence

• Quarterly Performance Reports, Office of the Commissioner of Official Languages (OCOL) Report Card
• Annual Review by the Chief Human Resources Officer
• CRA Action Plan for the Renewal of Official Languages 2008‑2011
• CAS data
• Office of the Commissioner of the Official Languages (OCOL Office)—file maintained on CRA G drive

4. Is the CRA meeting its Employment Equity targets?

Employment Equity

As of March 31, 2010, results of the CRA's most recent workforce analysis indicate that all four designated employment equity groups (Aboriginal Peoples, persons with disabilities, visible minorities, and women) continue to be fully represented at the national, Agency‑wide level. Representation of all four groups has surpassed their respective labour market availability (LMA):

• Representation of Aboriginal Peoples within the Agency increased from 2.9% to 3.0%, remaining above their LMA of 2.4%.
• Representation of persons with disabilities increased from 5.5% to 6.1%, remaining above their LMA of 3.8%.
• Representation of visible minorities increased from 16.5% to 17.7%, remaining above their LMA of 15.8%.
• Representation of women decreased slightly from 61.1% to 60.6%, remaining above their LMA of 58.8%.

Employment Equity in the Executive Group:

As of March 31, 2010, persons with disabilities and women are fully represented, while under‑representation exists for Aboriginal Peoples and visible minorities.

• Representation of Aboriginal Peoples decreased from 2.1% in 2008‑2009 to 1.7% in 2009‑2010, below their LMA of 2.0%. Overall, this translates to a national gap of two employees.
• Representation of visible minorities decreased from 10.4% to 10.2%, below their LMA of 13.3%. Overall, this translates to a national gap of 17 employees.

In the most recent Strategic Direction for EE (for 2010‑2011 to 2012‑2013), the following objectives were established:

• To increase the participation rate of Aboriginal Peoples in management development programs from 4.1% as of March 31, 2009, to 6.0% as of March 31, 2013; and
• To increase the participation rate of visible minorities in management development programs from 19.0% as of March 31, 2009, to 20.0% as of March 31, 2013.

As of March 31, 2010:

• The participation rate of Aboriginal Peoples decreased from 4.1% to 3.6%.
• The participation rate of persons with disabilities decreased from 7.5% to 7.1%.
• The participation rate of visible minorities increased from 19.0% to 20.2%.
• The participation rate of women increased from 49.7% to 53.6%.

Sources of Evidence

• CRA's Workforce Analysis as of March 31, 2010 (Note: Internal representation rates are based on CAS data as of March 31, 2010; LMA rates for Aboriginal Peoples, visible minorities, and women are based on 2006 census benchmarks; LMA rates for persons with disabilities are based on the 2006 Participation Activity and Limitation Survey)
• CRA's Annual Employment Equity Report for 2009‑2010 (not yet tabled in Parliament)
• For the executive group and Management Development Programs, information is based on CAS data as of March 31, 2010, and data provided by the CRA's Executive Personnel and Programs Directorate (EPPD)

5. Does the Agency provide opportunities for employees to develop their knowledge, competencies, and abilities?

Investment in Learning

The Agency's investment in learning in 2010‑2011, fiscal year‑to‑ date (FYTD), is $101.5 million or 4.7% of payroll. This annual expenditure reinforces the CRA's continuous efforts to have a competent, knowledgeable, and engaged workforce that meets its business needs.

CRA Report Card on Learning

The report card provides an overview of the Agency's achievements in learning each fiscal year. In 2009‑2010, managers and employees averaged approximately 9.4 learning days. The average for 2010‑2011 (FYTD) is approximately 7 days.

Learning Products

Significant learning products were released during the fiscal year: T1 Outage, Delegation of Financial Authorities, Administered Activities, Aboriginal Awareness — E‑Learning, End State PQP for Selection Board Members, and Manager On‑boarding. In addition:

• New managers continued to benefit from the regular MG Learning Program sessions. For all three modules of the program combined (Orientation and Leadership, Finance and Administration, and Human Resources) a total of 44 sessions were given, and 889 participants were trained.
• The number of participants in Management Development Programs (MDP) fluctuates throughout the fiscal year due to intake and graduation. By fiscal year‑end, there will be about 200 MDP participants.
• There are 49 current interchange agreements and 22 System Assignment Pay Plan (SAPP) appointments.
• For 2010‑2011, the Career Management Web site received on average 5,763 hits per month and was rated the fourth most popular site on the Druid Web platform.
• In addition, over 200 managers participated in a specially designed course “Career Conversations: Engaging the Possibilities in 2010/11,” providing managers with opportunities to develop the necessary skills to help with the retention and development of employees.

To support Provincial Sales Tax Reform (PSTAR) and GST/HST Program Enhancement, a learning needs analysis was conducted for the redesign of the Basic Audit Skills learning product and four modules were redesigned from the original GST/HST Legislation for Auditors curriculum. The requirements for new learning solutions and other redesigns are also being scoped. Integrated (corporate and technical) learning paths were developed to support an effective on‑boarding of employees and managers. Progress has been achieved in the development of PSTAR‑related learning solutions.

Mentoring Programs

National support for both corporate and regional mentoring programs and initiatives continued throughout 2010.

• The Ontario Region's Mentoring Program has been evaluated, which indicated that 95% of participants perceived the program to be a positive investment for the CRA.
• An evaluation will be conducted in the next fiscal year on the Corporate Audit and Evaluation Branch's (CAEB) Mentoring Program.

Employee Assistance Program (EAP)

The advisory services, training, and other learning tools offered by the EAP contribute to the development of leadership qualities necessary to create a culture of well‑being in the organization. EAP management training specifically fills a void in the training on people‑management skills available to managers. The advisory services are seen as a support for ongoing management skill development.

Competency Profiles

With respect to base competency profiles, as of October 1, 2010, 59% (23,983) of the Agency's employees have achieved five or more base competency levels required for their current substantive job; 77% (31,234) of employees have achieved four or more of the base competency levels; and 92% (37,135) of employees have achieved one or more of the base competency levels. Additionally, 99.4% (40,452) of Agency employees have completed job competency profiles.

Sources of Evidence

• Final Report — Consultations on the Canada Revenue Agency Employee Assistance Program — November 2009
• CRA Report Card on Learning 2009‑2010
• Quarterly reports (PMPS)
• % of payroll
• Average learning day
• Directory of Learning Products
• CAS‑TEM data
• Career Management Web site
• Ontario Regional Office — Results of the Year End Review of the Year‑End Mentor Program Pilot, Executive Summary, 2010.
• 2009‑2010 Second Quarter Performance Report

6. Does the Agency use the most effective training approaches?

E‑Learning Products

In addressing next steps identified by the Board in last year's assessment, the CRA provided relevant up‑to‑date learning events in a number of delivery formats, leveraging e‑learning technology, where applicable, and, as much as possible, to enable staff to have greater access to information when it is needed. For instance, 68% of new learning product designs incorporated e‑learning. Additional examples illustrating how the Agency uses current technology to enhance learning include:

• Online discussion forums (such as, The Café at Manager's Corner) provide an online environment that encourages communication, collaboration, and connections among the Agency's managers and employees on a national scale.
• Webinar technologies used for MG Focal Point, where live sessions were hosted featuring subject matter experts (SMEs) from various disciplines to present specific items of interest to managers.

Furthermore, the CRA Strategic Direction for Learning Technologies (formerly known as the CRA e‑Learning Strategy) is current and published on InfoZone.

Evaluation of Learning Products

CRA learning products continue to be evaluated by participants. The overall learning satisfaction for CRA national learning products in 2010‑2011 is 4.24/5 (FYTD), above the accepted value for overall satisfaction of 3.5/5. These figures remain consistent with statistics from previous years. In addition, design approaches and strategies for national products are consistently piloted with sample learner audiences before being published for distribution, to assure the approaches will be well received and effective.

To address the next steps identified by the Board, the Agency is exploring measures to evaluate return on investment on learning.

Sources of Evidence

• CRA Report Card on Learning 2009‑2010
• Manager's Community
• Webinar
• CRA Strategic Direction for Learning Technology 2010‑2013
• Quarterly reports (PMPS)

Board's Assessment and Related Comments

	2009‑2010	2010‑2011
Board's Assessment and Related Comments	Strong	Strong
Next Steps	Learning priorities for the Agency will be identified in line with the development of the Agency Workforce Strategy and the Corporate Business Plan.Completed. That investments in learning will begin to be evaluated in terms of outcomes of the learning activities, enabling the development of measures of Return on Investment for different types of learning. Addressed. The Agency will maximize the use of technology with respect to learning and evolve the way learning products are delivered. Completed.

Expectation (b): Workplace – The Board must assure itself that the Agency has a Human Resources management regime that promotes a healthy, safe, fair and productive workplace.

Overview

The CRA has processes in place to make sure that the workplace is safe and that employees' health and wellness are being considered. In support of a healthy and safe workplace anchored on employee wellness, the CRA has realigned its occupational health and safety policies. Workplace wellness was improved by the creation of a site on InfoZone which underlines workplace practices and programs in support of wellness. Various activities have been undertaken by local Employee Assistance Program (EAP) personnel with the goal of promoting wellness.

The Canada Revenue Agency provides a healthy and safe working environment for its employees, as stipulated in the Canada Labour Code, Part II and the CRA Occupational Health and Safety Policy.

Labour relations are supported through various initiatives such as labour relations advisors who provide consulting services to managers and a training unit dedicated to labour relations in the Management Learning Program.

The CRA continues to maintain open lines of communication between management and the unions. The Agency continues to clearly communicate its willingness towards resolving bargaining issues within the current prescribed economic parameters established by the Government of Canada. The collaborative efforts of two national joint union‑management committees, the National Conflict Resolution Committee and the National UMI Steering Committee, work together to make sure that there is a productive working relationship.

The Agency makes sure that collective agreements are respected by applying the provisions in a consistent manner and negotiating the terms and conditions of employment in accordance with the provisions of the Public Service Labour Relations Act.

The CRA Conflict Resolution Program provides a mechanism to support managers and employees in preventing and resolving workplace conflicts before they escalate.

The Discipline Policy and Guidelines have all the elements required to ensure cases involving misconduct are investigated and addressed while ensuring due process.

In 2009, the Agency released an updated Preventing and Resolving Harassment Policy which directs employee conduct and supports behaviour that reflects the values of the Agency.

The Injury and Illness Policy, created in 2004, is complemented by the 2010 Managing Injury and Illness Process Tool for Managers. The tool supports managers and provides for a consistent and standardized approach in managing disability cases, ensuring that employees are treated with fairness and respect.

Key Questions

1. How is the Agency working to improve its workplace wellness practices/programs, and are they effective?

Respectful Workplace

The results of the 2008 Public Service Employee Survey (PSES) led to action plans at the local level that contributed to the national theme of Respectful Workplace. In support of this theme, the following has been done nationally:

• A site was created on InfoZone, which has become one of the most visited sites on InfoZone.
• A video campaign featuring the Commissioner was launched for CRA employees between October and December 2010. Over 400 presenters supported ECs and MGs in the facilitation of the video viewing and the discussion on respectful workplace. Based on the feedback received by the national project office to date, nearly 90% of the business areas have embraced the opportunity to renew their commitment to a respectful workplace. The feedback is being analyzed to steer the next segment of tools and services supporting the CRA in fostering respect and wellness in the workplace for the years to come.

The commitment to a respectful workplace has been included in the Effective People Management section of the EC Foundation Table.

At the regional and local levels, specific action plans have been created and follow‑up activity will be carried out within the respective areas in support of the national theme.

National Health and Safety Policy Committee (NHSPC)

A Working Group of the NHSPC was established to examine the various options presented in the Phase III Report, and to determine how to best address the risks and hazards identified as a result of the Job Hazard Analysis (JHA). The JHA Action Report, prepared by the Working Group, outlines the proposed course of action that the Agency should take to address the hazards faced by “field employees”. It will be shared with the Board in June 2011.

An action plan has been approved that will facilitate the implementation of the JHA Action Report within reasonable time frames.

Occupational Health and Safety Complaints

The number of complaints for the 2009‑2010 fiscal year are as follows:

• 367 disabling accidents
• 253 non‑disabling (minor) accidents

Conflict Resolution Program

The program provides a mechanism to support managers and employees in preventing and resolving workplace conflicts before they escalate.

The program includes the delivery of short‑term counselling services to CRA employees and their family members; advisory services to managers, union representatives, and human resources professionals; as well as a variety of preventative wellness information sessions and fairs, as discussed in the annual report.

Sources of Evidence

• 2008 Public Service Employee Survey results
• National Respectful Workplace site on InfoZone
• Regional and local action plans posted on the Respectful Workplace site
• Guidelines to Complete Executive/Cadre (EC) Performance Agreement and Manager's Y280‑1 Performance Agreement
• Management Report and Addendum to the Employee Performance Management Report
• The Job Hazard Analysis for Field Employees Action Report
• CRA Conflict Resolution Program
• Employee Assistance Program Annual Report 2009‑2010

2. How effective is the working relationship between the unions and management?

Relationship Between the Unions and Management

The Agency has a good working relationship with each of its unions.

The Terms of Reference for Union Consultation, which was signed by the CRA and each of its unions, includes a set of guiding principles that promote healthy working relationships between the parties. It encourages concerted efforts to resolve issues at the lowest possible level as soon as they arise. Unions and management have a shared agenda whereby union involvement occurs at various levels in the organization.

In addition to the number of well‑established formal consultation forums, the CRA regularly meets its unions, at the local, regional, and national levels, to consult and/or brief them on Agency and/or Government matters such as the Public Service Employee Survey, PSTAR, staffing, and Agency priorities.

CRA and the Professional Institute of the Public Service of Canada / Public Service Alliance of Canada:

Discussions between the CRA and PIPSC started again in February 2010 regarding the harmonized sales tax new business acquisition.

On April 20, 2010, the CRA and /AFS reached an agreement with respect to provincial employees joining the CRA as a result of harmonization of sales tax. This agreement put the CRA in a position to offer certain provincial staff positions in the AFS group, which was agreed to by the provinces in the amended human resources agreements.

The CRA has met, briefed, and shared information with and PSAC/UTE at the national, regional and local levels during the PSTAR initiative, and relations will continue through the implementation phase at the regional and local levels.

In support of the business lines, bargaining agents were informed as the GST/HST Program Enhancement decisions were taken and classification and organization structures implemented.

The CRA and are working jointly to resolve issues, such as concerns the union has related to the grievance process and the definition of audit. At the request of the union, a pay study is underway in preparation for upcoming negotiations.

UTE Collective Agreement:

The UTE collective agreement expired on October 31, 2010. Negotiations were successful in securing a new two‑year agreement. Ratification of the new agreement was finalized, and the new collective agreement was signed on October 29, 2010.

Sources of Evidence

• Terms of Reference for Union Consultation; Minutes of National Union‑Management Consultation Committee Meetings; Minutes of National Occupational Health and Safety Committee Meetings.
• CRA Directive on Compensation for the Executive/Cadre Group
• MoU regarding PSTAR job matching
• PSTAR and GST/HST Program Enhancement union/management relations

Board's Assessment and Related Comments

	2009‑2010	2010‑2011
Board's Assessment and Related Comments	Strong	Strong
Next Steps	None indicated.

Expectation (c): Leadership – The Board must assure itself that the Agency demonstrates excellence in leadership which supports the on‑going delivery of its programs today and in the future.

Overview

The Agency has demonstrated excellence in leadership by supporting its managers and leaders and by building bench strength for executive leadership. The Agency continues to support development programs to help with succession plans, and it continues to identify future leaders through meticulous succession planning. Executives at all levels have clear accountability aligned with the Agency priorities identified in the corporate business plan and the Agency strategic workforce plan.

Succession planning for the Executive/Cadre (EC‑1 to EC‑6) is a well‑established process within the CRA. High‑risk positions have been examined and risk mitigation strategies, such as targeted learning and development, as well as knowledge transfer and external recruitment strategies, are being put in place where the CRA is vulnerable in terms of readiness of potential successors.

The Agency continues to align its current and future business requirements with its workforce capability. Investment in technology and in human resources are equally important in the alignment with current and future business requirements.

Key Questions

1. Have knowledge transfer initiatives functioned to safeguard corporate memory?

Knowledge Management Advisory Group

This new group has been formed to look into knowledge management and knowledge transfer. Strategies are being developed under their oversight.

As part of the non‑ EC succession planning guidelines, a knowledge transfer tool is being developed with a scheduled date for release in March 2011.

Feeder Population Data

For most EC positions, the feeder population data suggests there is a large number of potential successors and that the Agency is well positioned to meet its future needs. Learning and development of potential successors will be the focus of a separate AMC discussion in early 2011.

Sources of Evidence

• EC Succession Plans and Learning and Development Plans per branch and region

2. Does the CRA Learning Program align with Agency business requirements?

Learning Policy

The supporting policy instruments to the Learning Policy have been approved by the Assistant Commissioner of the Human Resources Branch (HRB). The new directive and procedures aim to enhance the planning and evaluation of learning in the Agency by highlighting the integration of workforce planning and learning priorities, thus better aligning learning with CRA business goals and better enabling the Agency to continue to build its technical capacity with a planned approach. Progress has been made on implementation of the new Directive and Procedures on the Planning and Evaluation of Learning.

As a first step in the implementation, a draft Agency Learning Priorities (ALP) document has been prepared following HRB/TLD conversations with branches on their business priorities, learning strategies, and solutions. The ALP also includes a section on learning evaluations to be undertaken, some of which are underway. These evaluations will provide information on the effectiveness and efficiency of products and events, with a focus on learning transfer. Results will be available over the course of the next fiscal year.

EC Learning and Development Initiatives

These initiatives are aligned to Agency business requirements and have been implemented or are under development or consideration. These would include EC Orientation and Fundamentals.

Sources of Evidence

• CRA Directive and Procedures on the Planning and Evaluation of Learning.
• Orientation

Board's Assessment and Related Comments

	2009‑2010	2010‑2011
Board's Assessment and Related Comments	Strong	Strong
Next Steps	None indicated.

Expectation (d): Values and Ethics – The Board must assure itself that the Agency has a Human Resources management regime that is guided by CRA values and ethics.

Overview

Trust begins with the CRA's values that reflect its principles and beliefs which guide behaviour and practices. The Agency has taken considerable steps towards fostering and promoting CRA values and ethics throughout the organization. The CRA Code of Ethics and Conduct (Code), last revised in 2009, provides an overview of CRA values, policies, and guidelines and clearly outlines the standard of conduct for employees. Each new employee has to sign a copy of the Code; existing employees receive an annual reminder of it. When workplace issues do arise, the CRA's Conflict Resolution Program provides a mechanism to support managers and employees in preventing and resolving workplace conflicts before they escalate.

The Discipline Policy and Guidelines have all the elements required to make sure that cases involving misconduct are investigated and follow due process. The Discipline Policy and Guidelines are being reviewed to make sure that the Agency has a clear and consistent approach to discipline management that respects the rights of all parties. The current guidelines will be replaced with a user‑friendly, process‑oriented tool for managers called Procedures for Addressing Employee Misconduct. The revised policy is scheduled for presentation to the Board in June 2011.

The CRA Values and Ethics Office (established in 2009) is continuing the development of several national values and ethics initiatives.

The Agency is concentrating its efforts on promoting a national theme of a “Respectful Workplace” to strengthen the positive behaviour that all employees should adopt. In 2009, the Agency released an updated Preventing and Resolving Harassment Policy that is reflective of the CRA values and focuses on mechanisms that help prevent harassment, and where this is not possible, supports an efficient harassment resolution process. The policy is supported by an awareness session available to all employees. The Agency continues to address issues raised during the review of the Public Service Employee Survey results. The CRA is vigilant in addressing and assessing the identified issues and manages them in a systematic manner.

Key Questions

1. Does the number of security incidents involving CRA employees track favourably over the last three years?

Security Incident Status Reports

The Security and Internal Affairs Directorate provides quarterly security incident status reports to the Board of Management. The purpose of these reports is to provide statistical information and a narrative summary on significant internal affairs investigations, security incidents, and information security issues for the periods under review. The statistical appendices are divided into two distinct categories: high‑risk and low‑risk incidents.

A trend analysis at the fourth quarter of 2009‑2010 compared to the same period in 2008‑2009 shows an increase in the number of investigations into allegations of misuse of CRA systems. This increase is due to cases involving large numbers of employees in the same office in the Ontario and Pacific regions, as well as an increased number of proactive reviews at Headquarters at the request of senior managers. The analysis also revealed a decrease in the overall number of security incidents reported during the period compared to the same period of the last fiscal year.

Recently the investigative priorities have been refocused to concentrate on high‑risk incidents (for example, abuse of authority, breach of trust, fraud, off‑duty conduct, unauthorized access and unauthorized disclosure) as opposed to low‑risk incidents (for example, inappropriate use of the email system).

Sources of Evidence

• Security Incident Status Report — Period Ending March 31, 2010

2. How does the Agency foster and promote the values and ethics of the CRA?

Public Servants Disclosure Protection Act

During 2009‑2010, the Chief Audit Executive (CAE), as the Senior Officer for Internal Disclosure, continued to raise management and employee awareness of the internal disclosure function including delivering several presentations in the Pacific Region as a culmination of the regional visits started in 2008‑2009. Over 40 presentations have been given to an audience of over 2300 employees across the country and at Headquarters.

Internal Fraud Control Program

The CRA is enhancing its Internal Fraud Control Program (MGs). The goal of the program, which is in its third year, is to further ensure that the CRA continues to take all reasonable measures to safeguard the assets, resources, information, and reputation of the organization. The MGs will continue to strengthen the fraud control environment of the Agency by conducting fraud risk assessments, which will allow the CRA to focus its controls, detection procedures, and investigations in higher‑risk areas. In conjunction with training and awareness communications, these compliance activities will contribute to promoting the core values, ethical behaviour, and integrity framework of the CRA. The MGs has developed the Internal Fraud Control Policy, which defines internal fraud for the CRA and describes roles and responsibilities for the control of fraud.

Integrity Framework

To continue to promote and embed a culture governed by values and ethics, the CRA is enhancing its Integrity Framework, which is expected to be completed in 2011. The Integrity Framework will illustrate how CRA policies, instruments, and programs contribute to the integrity of the Agency. In partnership with branches, this Framework will combine key foundation pieces such as the report on “Benchmarking Values and Ethics at the CRA” and the “Ethical Risk Assessment” to highlight the Agency's strengths and encourage a more firmly entrenched culture of integrity.

Code of Ethics and Conduct

All new CRA employees review and sign off on the CRA Code of Ethics and Conduct, and the Conflict of Interest Policy. Each year, all employees are reminded of their obligations.

Training Products

Three new/updated training products, including sections relating to values and ethics and standards of conduct, were launched during 2010:

• A Good Start — Employee Orientation Program (TLD)
• Manager On‑boarding Program (TLD)
• Pilot EC Learning Program (EPPD)

Sources of Evidence

• Annual Report on Internal Disclosures
• Draft CRA Internal Fraud Control Policy
• National Conflict Resolution Office Annual Report 2009‑2010
• Integrity Framework—being developed
• Presentation on DRAFT Concept Integrity Framework made to HR Committee of the Board on September 20, 2010
• Code of Ethics and Conduct, and the Conflict of Interest Policy

Board's Assessment and Related Comments

	2009‑2010	2010‑2011
Board's Assessment and Related Comments	Strong	Strong
Next Steps	None indicated.	The CRA to continue to implement its values and ethics by updating its integrity framework, discipline policy, and internal fraud control program.