Management of Personnel

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

Key Questions 1: Does the Agency acquire, develop and retain the talent it needs?

Response

• The Agency is successful in acquiring and retaining the talent it needs. In 2008-2009:
  • The CRA recruitment rate for indeterminate employees was 8.6% (2,975 recruits) up from 7.5% 2,544 recruits) for the previous year, 2007-2008.
    • The internal recruitment rate of indeterminate employees (from term employees) was 4.9% (1,690 internal recruits) in 2008-2009 compared to 5.3% (1,793 recruits) in 2007-2008.
    • The recruitment rate of indeterminate employees from other government departments was 0.6%. (207 internal recruits) compared to 0.4% (146 recruits) in 2007-2008.
    • The recruitment rate of indeterminate employees from outside of the federal Public Service was 3.1% (1,078 recruits) compared to 1.8% (605 recruits) in 2007-2008
  • The CRA promotion rate for indeterminate employees increased by reaching 12.2% (4,239 promotions) from 11.0% (3,751 promotions) in 2007-2008.
  • The transfer and position change rate within CRA for indeterminate employees was 9.4%.
  • The CRA retention rate for indeterminate employees was 94.6%.
  • The CRA separation rate of indeterminate employees decreased slightly in 2008-2009 by dropping to 5.4% (1,844 separations) from 5.6% (1,932 separations) in 2007-2008.
    • The retirement rate of the indeterminate employees is 3.3% (1,136 retirements) compared to 3.0% (1,040 retirements) in 2007-2008
    • The loss rate for other reasons was 2.1% (708 other losses) compared to 2.6% (892 other losses) in 2007-2008.
• The Agency continues to implement a Competency-Based Human Resources Management (CBHRM) approach to ensure that employees are selected, evaluated, developed and promoted based on competencies that have been identified as crucial to our organizational success.
• Measures are currently underway to significantly reduce the time to staff while ensuring that the CRA has the talent required to meet its current and future business needs.
  • The Agency instituted Pre-Qualification Processes (PQPs) where candidates applying for permanent positions with the Agency must demonstrate the base competencies required for the position.
  • As of April 1, 2010, all selection processes will require that applicants have the base competency profile in advance. The state of readiness for employee feeder groups having reached base competency profiles, is good.
• Human Resource Branch (HRB) has closely monitored End-State PQPs for 2009-10:
  • 82 End-State PQPs were launched with 66 processes completed.
  • Of the 66 End-State PQPs completed as of October 1, 2009, 53% took less than 100 days to complete.
  • 171 End-State PQPs are planned for Q1 2010-11 across the Agency.
  • At the end of the second quarter 2009-10, overall time to staff was 184 days while time to staff for End-State PQPs was 95 days.
• According to the 2008 PSES Survey results, almost 60% of respondents indicated that they have opportunities for promotions within CRA given their education, skills and experience.
• The CRA has committed to permanently hire 275 post-secondary graduates in 2009-10. In the first two quarters, CRA has reached 76% (209) of its target with 19% (40) being self-identified visible minorities. The Agency will be well positioned to meet its goals.
• The CRA continues to pursue the hiring and bridging of students, 20% minimum to be visible minorities for 2009-10 as a means of increasing its capacity and diversity.

Sources of Evidence

• CRA Workforce and Demographic Indicator: Overview for 2004-2009
• Succession Planning Guidelines for Non-ECs
• 2008 Public Service Employee Survey Results

Key Questions 2: What is management doing to ensure the ongoing and effective planning of talent to position the CRA to meet future HR challenges?

Response

• CRA has formalized an integrated HR planning process to ensure that HR planning decisions are made in the context of environmental considerations and business objectives.
• Succession Planning Guidelines for the non-EC community came into effect March 10, 2009 and were published on InfoZone on March 30, 2009. Most branches and regions have initiated work on their own succession plans. The EC succession planning process involving the Agency Management Committee (AMC) members was repeated during the period.
• The CRA is developing a knowledge transfer management framework that is expected to be released during fiscal year 2010-11.

Sources of Evidence

• Commissioner's Mid-Year Assessment with the Board
• Agency Strategic Workforce Plan 2009-10 to 2010-11
• Succession Planning Guidelines for Non-ECs, InfoZone

Key Questions 3: How does the Agency align HR and business requirements?

Response

• At the national level, the Workforce Change Advisory Group (WCAG) identifies CRA-wide HR challenges, considers their impact on the business lines and makes recommendations.
• At the functional level, each business branch has teams focused on business planning which includes an HR component.
• At the regional level, management engages in planning activities which involve the alignment of business activities with people management activities.
• HR specialists are in place throughout the organization to provide support to management at all levels.
• All requests for funding presented to Resource and Investment Management Committee (RIMC) must include an HR impact analysis.

Sources of Evidence

• Commissioner's Mid-Year Assessment with the Board

Key Questions 4: Does the Agency respect and promote Official Languages and Employment Equity in the workplace?

Response

• The CRA adheres to The Official Languages Act (OLA) which establishes the powers, duties, and functions of federal institutions with respect to official languages.
• The 2008-11 CRA Action Plan for the Renewal of Official Languages aims to strengthen the Agency's compliance with the OLA. Targets and results are the percentage of employees who meet the bilingual language requirements of their position for:
  • Service to the Public – 87.5% at March 31/10;
  • Internal Services – 92% at March 31/10; and
  • Supervision – 92% at March 31/10.
• As a result of the Agency's 2008-11 Action Plan for the Renewal of Official Languages, a sub-committee was developed to define the Agency's obligations regarding Part VII of the OLA and to determine how the Agency intends to contribute to the enhancement of the vitality of official language minority communities in its business lines. Expected date of completion is in August 2010.
• For the 2008-09 fiscal year, CRA had 239 employees participating in full-time language training and more than 3,000 employees participating in part-time language training. In 2009-10 approximately $14M was invested in full-time language training for Agency employees.
• Of the 239 employees on full-time language training in 2008-09, 97% achieved the levels necessary for their positions in the allotted timeframe.
• A computer-based language training program, Pour l'amour du français/For the Love of English is currently being used by over 3,800 employees nationally.
• Based on the 2008 Public Service Employee Survey (PSES) results, CRA is doing well in its efforts to support and promote the use of both official languages. According to the survey results:
  • 92% of respondents indicated that they feel free to use the official language of their choice when they communicate with their immediate supervisor and 87% feel the same during meetings within their work unit; and
  • 89% of respondents agreed that they feel free to use the official language of their choice when preparing written material, including electronic mail. 90% mentioned that the training offered by their department or agency is available in the official language of their choice.
• The CRA adheres to the Employment Equity Act which establishes the obligations of federal institutions with respect to employment equity.
• Internal Representation within CRA on March 31, 2009 versus Labour Market Availability (LMA) from 2006 Census:
  • The CRA internal rate of representation of Persons with disabilities is 5.5% compared to LMA of 3.8%;
  • The CRA internal rate of representation of Aboriginal Peoples is 2.9% compared to LMA of 2.4%;
  • The CRA internal rate of representation of the Visible Minorities is 16.5% compare to LMA of 15.8%; and
  • The CRA internal rate of representation of Women is 61.1% compared to LMA of 58.8%.
• The representation of visible minorities in the Executive Cadre Group increased from 9.3% in 2007-08 to 10.4% in 2008-09, but remained below their Labour Market Availability of 13.3%.
• The CRA has a three-year Strategic Direction on Employment Equity outlining the Agency's key goals, objectives and initiatives that will be undertaken towards building and maintaining a representative workforce. A new Strategic Direction for 2010-11 to 2012-13 is currently being developed and will be finalized towards the end of March to be submitted to the BoM in June 2010.
• CRA has established that 20% of new post-secondary graduates will be members of visual minority groups.
• The Aboriginal Tax Officer Apprenticeship Program (ATOAP) was implemented in 2006 as an employment equity initiative that addresses the recruitment, development and retention of qualified Aboriginal college and university graduates. Approximately 57 candidates have been accepted into the program and 42 remain participating in the program or have graduated from ATOAP.

Sources of Evidence

• Quarterly Performance reports
• Office of the Commissioner of Official Language Report Card
• CRA Action Plan for the Renewal of Official Languages 2008-2011
• Annual Review of Official Languages 2008-2009
• Preliminary Annual Report for 2008-2009
• 2008 Public Service Employee Survey results
• The CRA's Annual Employment Equity Report for 2008-2009 was submitted to Treasury Board Secretariat on September 30, 2009 but has not yet been tabled in Parliament.
• Employment Equity- Representation rates compared to labour market availability
• 2008-2009 CRA Employment Equity Annual Report
• CAS on March 31, 2009,
• 2006 Census (for Aboriginal Peoples, visible minorities and women)
• 2006 Participation Activity and Limitation Survey (for persons with disabilities)

Key Questions 5: Does the Agency ensure that its workforce reflects the diversity of the Canadian population?

Response

• See response to previous question.
• Based on first official languages data on March 31, 2009:
  • The percentage of CRA employees (within the Quebec Region) who declared “English” as their first official language is 7.2%; and
  • The percentage of the employees (within CRA overall), who declared “French” as their first official language is 24.6%.

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

Key Questions 1: Does the Agency take steps to foster and promote the values and ethics of the CRA?

Response

• The CRA is establishing a comprehensive national values and ethics program.
• The CRA Code of Ethics and Conduct (Code) provides an overview of CRA values, policies and guidelines, as well as related legislation and jurisprudence, and clearly outlines the standard of conduct for employees. All new employees sign a copy of the Code when hired. All employees receive an annual reminder of their responsibilities under the Code and the Conflict of Interest Policy. A revised Code was released to employees via a National Distribution email in June 2009.
• Statistics kept by the Agency do not show an increase in fraudulent behaviour by CRA employees.
• As per the Public Servants Disclosure Protection Act , employees can report wrongdoing to the Senior Officer for Internal Disclosure.
• The CRA's Conflict Resolution Program is aligned with the Agency's core values of respect, cooperation, integrity and professionalism. The National Conflict Resolution Office (NCRO) supports managers and employees in preventing and resolving workplace conflicts before they escalate. Furthermore, the Agency has made the Conflict Resolution Conversations-Part 1 course mandatory for all employees.
• A commitment was made by senior management to review the Discipline Policy in order to identify any gaps in its application, and to strengthen monitoring. The review is completed and will be directly linked to the establishment of “Chief Risk Officer” who will report directly to the Commissioner.
• The Discipline Policy and Guidelines have all the elements required to ensure cases involving misconduct are investigated while ensuring due process. This helps to ensure the protection of both the integrity of CRA operations and the professional reputation of its employees. To keep it current, the Policy is being reviewed and will be presented to the Board in 2010/2011.
• In response to the 2008 Public Service Employee Survey, the Agency decided to concentrate its efforts on promoting a national theme of a “Respectful Workplace” to strengthen the positive behaviour that all employees should adopt, and is developing an action plan focused especially on preventing harassment and discrimination.
  • A national site on Respectful Workplace will be launched in March 2010 to assist all managers and employees in building and fostering a respectful work environment.
  • The support and promotion of a Respectful Workplace has also been added to the AC, EC and MG Performance Agreements.
• CRA released an updated Preventing and Resolving Harassment Policy in September 2009. This policy strongly directs employee conduct and supports behaviour that reflects the values of the Agency.
• During 2008-09, 10, 486 employees completed the two- hour Preventing and Resolving Harassment awareness session.
• The 2008 Public Service Employee Survey (PSES) indicated that 24% of respondents (7,000 employees) agreed that they had been a victim of harassment on the job in the past two years (29% in the Public Sector) and 17% (4,955 employees) a victim of discrimination (18% Public Sector). However, 82% of employees agreed that the Agency works hard to create a workplace that prevents harassment and discrimination.
• The 2008 PSES reveals significant differences between CRA and the Public Sector for the following statements:
  • In my work unit, we learn from our mistakes and do what it takes to correct them (CRA 84%, PS 78%);
  • If I were to suggest ways to improve how we do things, my immediate supervisor would take them seriously (CRA 81%, PS 77%); and
  • In my work unit, every individual, regardless of race, colour, gender or disability would be/is accepted as an equal member of the team (CRA 88%, PS 81%).

Sources of Evidence

• Revised CRA Code of Ethics and Conduct (June 2009)
• CRA Code of Ethics and Conduct Awareness Session
• Preventing and Resolving Harassment Policy and Awareness Session
• Injury and Illness Tool
• Highlights of Values and Ethics: Key Activities
• Conflict Resolution Program Annual Report 2008-2009
• 2008 Public Service Employee Survey results
• Discipline Policy

Key Questions 2: Does the public believe that CRA employees exhibit the values and ethics of the Agency?

Response

• The 2008 CRA Annual Corporate Survey results demonstrate that ethical conduct by CRA employees continues to resonate with the majority of Canadians. For instance, the results show that 83% of respondents agree that the Agency treats taxpayer information with complete confidentiality while 79% agree that they are treated honestly.

Sources of Evidence

• Annual Corporate Survey (results released December 2009)

Expectation (c): Learning – The Board must assure itself that the Agency has a Human Resources management regime that encourages learning, which includes personal adaptability and knowledge transfer.

Key Questions 1: Does the Agency provide opportunities for employees to develop their knowledge, skills and abilities?

Response

• Employee learning commitments are expressed through Individual Learning Plans (ILPs). This process allows the capture and review of the knowledge and skills managers and employees have agreed on. The Agency expects an overall ILP completion rate of 90%. The preliminary overall ILP completion rate for 2009-2010 is 92%.
• When addressing employee learning needs, the Agency has a well established history of investing in its workforce; expending 6% (the gold standard for the federal government), or $170M of its payroll, to develop employees in each of the last three years – two thirds of this are for technical training. Over the past fiscal year, CRA invested an average of $3,400 per employee. This translated into an average of 11.2 learning days for employees and 10 days for managers.
• Results of the 2008 Public Service Employee Survey demonstrate that the Agency is working to give employees opportunities to develop their knowledge, skills and abilities:
  • 64% of respondents indicated that they believe the organization does a good job of supporting employee career development;
  • Over 70% said they get the training they need to do their job;
  • In terms of career development, 69% of CRA employees said they have opportunities to develop and apply the skills they need to enhance their career; and
  • 62% felt they were able to get on-the-job coaching to help them improve the way they do their work.

Sources of Evidence

• CRA Annual Report Card on Learning 2008-2009
• Quarterly performance reports
• Websites hosting the information:
  • Learning Policy
  • Educational Assistance Directive and Procedures
• 2008 Public Service Employee Survey Results

Key Questions 2: Does the CRA learning program align with Agency business requirements?

Response

• Every year, the Training and Learning Directorate (TLD) is involved in the development of national learning products. Access to external learning providers (such as the Canada School of Public Service (CSPS) and Campusdirect extends the range of learning opportunities available to employees to develop their skills. In addition, technological solutions to learning continue to be explored and developed.
• The CRA Learning Policy, with an emphasis of aligning learning program to business objectives, was approved by Board March 10, 2009 and is being communicated to managers and employees through:
  • Infozone, including posting the Policy;
  • National messages; and
  • Frequently Asked Questions (FAQs).
• The Agency is strengthening its governance over learning through the introduction of new directives and guidelines that will be considered by the Board at its meetings in June.

Sources of Evidence

• Draft policy instruments including:
  • CRA Planning and Evaluation of Learning Directive
  • CRA Planning of Learning Procedures
• CRA Procedures for Evaluation of Learning Products and Events

Key Questions 3: Is the CRA workforce adaptable and continuously learning?

Response

• In 2008-09, the internal mobility rate (including promotions, transfers and lateral moves) was of 21. 6% in the CRA a level considered to be indicative of sound learning and development.
• Technological solutions to learning continue to be explored and developed in the Agency. Cost-savings will be recognized with the move away from traditional classroom to other learning methods.

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

Key Questions 1: What processes are in place to ensure that the workplace is safe and that employees' health and wellness are being considered?

Response

• In order to ensure workplace safety measures are effective, the CRA has realigned its Occupational Health and Safety Policies.
• A number of activities have taken place or are underway including:
  • A Job Hazard Analysis (JHA) is currently underway;
  • Functional Occupational Health and Safety (OHS) Committees in all CRA locations.
• The Employee Assistance Program delivers advisory services, training, and EAP Fact sheets that contribute to employee well being. A total of 9.4% of managers, 4.5% of union representatives and 5.8% of Human Resources professionals consulted EAP's advisory services in 2008-2009. More than 2,300 employees accessed EAP training.

Sources of Evidence

• Employee Assistance Program Annual Report

Key Questions 2: Are the Agency's workplace safety measures and workplace wellness practices and programs effective?

Response

• An update on the Job Hazard Analysis for field employees was provided to the Board at its December 2009 meeting.
• A Job Hazard Analysis for field groups is ready for approval.
• A Job Hazard Analysis for functional groups was recently launched.
• The Agency managed the H1N1 file with respect to communications to all employees, direction/advice to management and collaboration with Central Agencies.

Sources of Evidence

• Job Hazard Analysis for Canada Revenue Agency – Phase III Report

Key Questions 3: How is the Agency working to improve its workplace wellness practices/programs?

Response

• CRA's creation of a Respectful Workplace website underlines the importance of workplace wellness practices and programs for the Agency.
• In Atlantic Region, a project is underway to assess wellness in two Call Centres. A survey was administered and action planning is underway. Report is expected by March 31, 2010.
• National EAP/Wellness Week was celebrated across the Agency the first week of February. Various activities were organized by local EAP Committees with the goal of promoting individual wellness.

Key Questions 4: Does the Agency ensure that collective agreements are respected?

Response

• CRA maintains open lines of communication between Management and the Unions, as demonstrated by the ongoing Management and Union participation in numerous joint committees and meetings to address workplace issues/concerns.
• The regional Workplace Relations Centers of Expertise include Labour Relations Advisors who provide consulting services to managers regarding different aspects of the employer/employee relationship.
• In the Management Group Learning Program, the Human Resources Management Module addresses the basic leadership skills of a newly appointed MG and includes a unit dedicated to Labour Relations.
• Statistical information on grievances include:
• April 1, 2009 -February 5, 2010
  • Total of 748 grievances were received at all levels of the grievance process
  • Of these, 339 (45%) dealt with collective agreement interpretation
  • 71 (9.5%) dealt with discipline and,
  • 338 (45%) were in the “Other” category such as policies, assignment of duties, and administrative measures
• April 1, 2008 to March 31, 2009
  • 1313 grievances were received at all levels of the grievance process
  • 293 (23%) dealt with collective agreement interpretation
  • 66 (5%) dealt with disciplinary actions
  • 750 (57%) were in the “Other” category (253 of those were on training, 93 on assignment of duties, 59 on performance appraisal)
  • There were 178 (13.5%) coded as policy grievances (150 on the Performance Management Policy)
  • 19 (1%) were job content/classification
• Between April 1, 2008, to October 31, 2009, 38% of the grievances were filed by PSAC and 62% by PIPSC

Key Questions 5: Is there a productive working relationship between unions and management (through UMI, joint committees, etc.)?

Response

• The CRA continues to clearly communicate its willingness towards resolving bargaining issues within the current prescribed economic parameters established by the Government of Canada.
• The Professional Institute of the Public Service of Canada (PIPSC) Collective Agreement was implemented within 90 days.
• UMI is working. However, PIPSC has withdrawn from current negotiations and the Agency is looking for opportunities to re-engage PIPSC.

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