Evaluation of Recruitment, Development and Retention Activities at Indigenous and Northern Affairs Canada

2.1 Objective and Scope

The objective of the evaluation was to determine the extent to which there are appropriate systems and processes in place to facilitate the recruitment, development and retention of staff in support of the achievement of HRWSB's vision, and the work completed by the Department. Recruitment, development and retention activities are fundamental components of the standard business process model for the human resources management function, as illustrated in Figure 3.

Text alternative for Figure 3: Human Resource Management function – Management Business Process (Sub-functions)

This diagram describes the management business process sub-functions in the Human Resource Management function.  A circular arrow shows a cyclical relationship between five phases:

• Recruit: Attracting, assessing, selecting, staffing and integrating human resources.
• Develop: Developing the knowledge and capabilities of human resources.
• Retain: Providing the terms and conditions of employment, ensuring a safe and healthy workplace, and managing the separation of employees.
• Measure (performance): Evaluating the effectiveness of human resource functions.
• Plan: Determining how human resources will be used to achieve goals and objectives.

Based on the accountabilities outlined in the Common Human Resources Business Process, as well as other models used in the public service to describe the business activities associated with recruitment, development and retention, each of these can be defined to include the following set of activities:

• Recruitment – Refers to the activities or transactions that relate to or affect, in a specific manner, the recruitment of human resources, including the selection and deployment of new employees.^{Footnote 15} These activities are described sequentially in the Common Human Resources Business Process under the category 'Staffing and Employee Integration'. They include: the process of planning a recruitment approach; attracting applicants; assessing applicants and candidates; selecting candidates; and documenting and integrating new employees.^{Footnote 16} As a result, this evaluation covers the theme of staffing processes within the theme of recruitment.
• Development – Refers to activities and transactions that relate to or affect, in a specific manner, the development of human resources. This may include planning, designing and delivering professional development for employees within an organization.^{Footnote 17} Development may also include those activities described in the Common Human Resources Business Process under the category 'Employee Performance, Learning, Development, and Recognition', including: the process of addressing organizational learning requirements; developing performance agreements; managing employee performance; managing employee learning and development; and managing employee recognition.^{Footnote 18}

• Retention – Refers to activities and transactions that relate to or affect, in a specific manner, retaining human resources such as the provision of the terms and conditions of employment, including: payment, benefits and employee assistance programs; creating a safe and healthy workplace; administering collective agreements among various groups; and releasing employees from employment at an institution or the public service in general.^{Footnote 19} These activities are described in the Common Human Resources Business Process under the category 'Workplace Management' and include the process of managing grievances, complaints and discipline, and managing scheduling and modified work arrangements.^{Footnote 20}

In terms of the period of activity examined, the evaluation covers the five fiscal year period from April 2010 to March 2015. At a minimum, five years provides a sufficient timeline to examine changes to recruitment, development and retention within INAC, influenced notably by external and internal factors that have been established to drive a reduction in federal resource utilization.

The evaluation therefore focuses on:

• The external and internal factors that lead to a high-risk rating for Human Resources Capacity at INAC;
• The key structures and processes established and monitored by the Branch, which support recruitment, development and retention within the Department; and
• The performance of these structures and processes, and any positive or negative impacts that they have had on recruitment, development and retention.

2.2 Evaluation Management and Quality Assurance

The Terms of Reference for the Evaluation was approved by Evaluation, Performance Measurement and Review Committee on November 28, 2014. Fieldwork and analysis was undertaken from November 2014 to November 2015. The final draft report was presented to INAC's Evaluation, Performance Measurement and Review Committee on January 25, 2016.

2.3 Lines of Evidence

The following lines of evidence were used to collect data and undertake evaluative work.

Document Review – Over 150 documents were reviewed in support of the evaluation. Internal and external documents were selected based on their relevance to the evaluation research questions pertaining to the themes of recruitment, development and retention at INAC and across the federal government. Documents were categorized as follows: reports (31 percent); planning documents (20 percent); websites (17 percent); guidance documents (seven percent); data tables (three percent); and minutes and presentations (two percent).

Departmental Risk Assessments – Risk assessments conducted between fiscal year 2010-11 and 2014-15 at the program, regional and corporate level were reviewed to provide insight into the human resources risks affecting departmental operations at each level. A sector-based risk assessment for the Northern Affairs Organization was included in the review to account for the challenges and risks specific to meeting the needs of remote northern clients and funding recipients. The complete analysis can be found in Annex A.

Data Review – Internal INAC performance data that detail recruitment, development and retention activities within the Department were reviewed. Data sources included quarterly reports on corporate indicators, HRWSB dashboard reports, and historical data extracted from internal data management systems. Also examined were open-source data for the public service as a whole, available through Treasury Board Secretariat, Statistics Canada and the Public Service Commission. This data was examined in order to compare INAC's performance to other medium-sized federal departments.

Key Informant Interviews and Group Interviews – Interviews and group interviews were conducted with both staff and non- managers. In the conduct of evaluative work, the evaluation distinguished between staff (i.e., employees whose substantive positions are to provide internal services) and non- managers (i.e., managers who engage in -related activities).

Non- managers included regional directors general, directors, managers, and Business Management Units heads. key informants included advisors and assistants located at National Headquarters and in regional offices, as well as the three Service Centres, and employees within HRWSB. Approximately one third (50) of the internal key informant interview and management group interview participants were HRWSB staff, and two thirds of all interviewees (97) were non- directors, managers, advisors and Business Management Unit heads.

Efforts were made to engage other government departments in the evaluation in order to gain an external perspective of recruitment, development and retention activities across the federal government and identify potential lessons learned and best practices. Due to lack of resources and availability of invited parties, only the Public Service Commission was able to participate as an external stakeholder. Four key informants from Public Service Commission participated in interviews.

For a detailed overview of qualitative data collection conducted in support of the evaluation, refer to Appendix A: Key Informant Interview Methodology.

The majority of interviews were completed in person, with some feedback being received via email. Several group interviews were conducted via teleconference and telephone. Feedback was coded using NVIVO, a qualitative software analysis tool used to identify qualitative research trends based on interviewee and group interview findings.

Public Service Employee Survey Analysis – EPMRB commissioned Statistics Canada's Social Analysis and Modeling Division to produce comparative analysis of INAC's Public Service Employment Survey (PSES) results from surveys conducted in 2008, 2011 and 2014.

Statistics Canada compared INAC's results to a sample of five departments of similar size, mandate and composition in order to obtain a sense of performance in the areas under evaluation among a comparator group. Existing PSES analysis compared aggregate departmental results by question and theme; to support this evaluation, a more detailed analysis comparing the differing results of employees within the Department based on identity characteristics, employee tenure, geographic location, and other variables was completed. This commissioned work allowed for more in-depth comparison of INAC performance than what was available in open-source data on the Treasury Board Secretariat website. Additional information on this analysis can be found in Appendix B: Data Analysis of Public Service Employee Survey Methodology.

Site Visits – Service Centres were visited between March and June 2015. Concurrent with each site visit, key informant interviews were held with the Regional Director of Services and group interviews were held with advisors and assistants. In total, 23 informants participated in the facilitated sessions. Relevant documents were also collected during site visits and were included in the document review.

2.4 Strength and Limitations

The following strengths and limitations relevant to the evaluation are worth noting.

3.1.1 Legislative and Policy Framework

Numerous acts, legislation, and various government-wide initiatives have influenced human resources activities across the federal public service over the recent past. Key legislation that sets the groundwork for recruitment, development and retention activities in the public service in Canada include the Financial Administration Act, the Public Service Employment Act, and the Public Service Labour Relations Act.^{Footnote 23}

With respect to initiatives and frameworks, a few key ones are discussed here in order to provide context for the reader and reference when considering the findings of the evaluation.

Public Service Modernization – The Public Service Modernization, introduced in 2003, represented a significant reform of federal human resources management within the last four decades. Its objectives were to create a more flexible staffing framework to manage and support employees and to attract the best people, to foster more collaborative labour-management relations, and to clarify accountability for deputy heads and managers. The Public Service Modernization was crucial as it moved responsibilities and accountabilities for staffing from the Public Service Commission to deputy ministers. Most importantly, under this transition, deputy ministers were given the authority by the Public Service Commission to allocate a range of -related responsibilities by sub-delegating authorities to the lowest management level within departments. Departments were encouraged to pay as much attention to planning to meet their staffing needs as they did to their business cases and budgets. Ultimately, the Public Service Modernization was intended to streamline human resource management in the public service.

The Office of the Chief Human Resources Officer – The desire by Government to streamline management and internal services gave rise to the creation of the Office of the Chief Human Resources Officer in March of 2009. It centralized all human resource activities into a single new agency within the Treasury Board Secretariat.^{Footnote 24} The Office of the Chief Human Resources Officer's mandate is to represent the Government of Canada on all issues relating to human resources, pensions and benefits, labour relations, and compensation. It does so by developing broad policy direction and standards to enable deputy ministers to fulfill their responsibility for people management in their organizations. The Office of the Chief Human Resources Officer is also involved in monitoring and reporting on people management, providing guidance on performance management, and improving policies and processes.

Deficit Reduction Action Plan – DRAP was first introduced in the Federal Budget of 2011 as a strategy to contain resource activities into single ongoing savings by 2014-15.^{Footnote 25} In implementing cost containment and efficiency improvement strategies, DRAP ultimately influenced activities in terms of spending and hiring processes.^{Footnote 26} The overall impact of DRAP on INAC is discussed further in the report.

Canada School of Public Service – The Canada School of Public Service offers opportunities for managers across the federal government to develop skills needed to be effective leaders and for employees to develop skills needed to excel at their jobs. It aims to provide foundational development aimed at laying the groundwork for a common set of skills and values within the public service.

Public Service Commission – The Public Service Commission safeguards merit-based hiring, non-partisanship, representativeness (Indigenous people, visible minorities, women, and people with disabilities) and the use of both official languages in the public service. The Public Service Commission delegates to deputy ministers the appointment related authorities they require to execute their management responsibilities and human resources plan.

Blueprint 2020 – Blueprint 2020, released in June of 2013, defined a vision for Canada as having a world-class public service equipped to serve Canada and Canadians. In order to achieve this, four guiding principles were established including: an open and networked environment that engages citizens and partners for the public good; a whole of government approach that enhances service delivery and value for money; a modern workplace that makes smart use of new technologies to improve networking, access to data and customer service; and, a capable, confident and high-performing workforce that embraces new ways of working and mobilizing the diversity of talent to serve the country's evolving needs.^{Footnote 27}

The next phase of Blueprint 2020, Destination 2020, was released by the Clerk of the Privy Council and Head of the Public Service in May of 2014. Within the report, the theme of People Management involves an improved approach to staffing, focused on results, simplified job descriptions, enhanced tools and capacity for learning official languages, and a government-wide commitment to learning.^{Footnote 28}

The remainder of the report outlines the key findings from the evaluation as they relate to the themes of recruitment, development and retention. Where feasible, data and information has been included in areas of greatest relevance, recognizing that all three areas can be interconnected, as each represent a key component of the standard human resources business process model (refer to the model shown in Figure 3 earlier in the report).

4.1.1 Vacancies

During the period covered by this evaluation, vacancy rates across the Department increased slightly. Figure 6 shows changes in vacancy rates over time. The average vacancy rate increased from 10 percent in 2011–12 to approximately 15 percent in 2014–15, leaving average vacancy rates below the levels observed in 2010–11. By contrast, vacancy rates in INAC's offices located in the northern territories have seen substantial increases from 15 percent in 2010–11 to 36 percent in 2014–15, as shown in Figure 6 below.

Text alternative for Figure 6: Northern and Regional Vacancy Rates Comparison, 2010 – 11 to 2014 – 15.

This line graph compares vacancy rates in the Northern Region; all Regions excluding the North; and departmental total vacancy rates on average. The x-axis is labeled by fiscal year form 2010-11 to 2014-15. The y-axis is labelled by percentage from 0 - 40%. The lines indicating Non-northern regional vacancy rates and departmental averages are relatively flat over the five year period. The line for Northern vacancy rates is highest on the graph and upward sloping, showing an increase from 15% vacancy in 2010-11 to 36% in 2014-15.

Text alternative for Figure 7: Vacancy Rates by Territory, 2010–11 to 2014–15

This line graph compares vacancy rates in the Northern Region by territory, including Nunavut, Northwest Territories and Yukon. The x-axis is labelled by fiscal year from 2010-11 to 2014-15. The y-axis is labelled by percentage from 0-50%. The lines indicating vacancy rates in each territory are upward sloping.

• Nunavut's vacancy rates increase from approximately 27% in 2010-11 to approximately 31% in 2012-13, and then to approximately 35% by 2014-15.
• Vacancy rates in the Yukon increase steadily from approximately 19% in 2010-11 to approximately 25% in 2013-14 and remain stable.
• Vacancy rates in the Northwest Territories are approximately 10% in 2010-11, then increase to approximately 20% in  2012-13. The vacancy rates increase again to approximately 43% in 2014-15.

While vacancies have increased in all three northern territories, the change was most significant in the Northwest Territories. Vacancies in this region spiked between 2013-14 and 2014-15, coinciding with devolution of additional responsibilities to the Government of the Northwest Territories. Devolution resulted in a loss of 30 percent of regional staff, as illustrated in Figure 7, and a number of these vacancies were at the senior management level. At the end of the time frame examined by the evaluation (2014–2015), the region was continuing efforts to develop and implement a post-devolution organizational structure and plan to fill vacancies.^{Footnote 31}

Throughout these changes in population, the ratio of indeterminate to determinate staff (temporary or term staff, including students, seasonal, and casual employees), has remained constant and comparative in both the National Headquarters and the regions (See Figures 8 and 9 below). At National Headquarters, 88 percent of employees are indeterminate and 12 percent are determinate. In the regions, 85 percent of employees are indeterminate and approximately 15 percent are determinate.

*Source: HRWSB Internal Program Data – Service and Data Integrity Directorate

Text alternative for Figure 8: Proportion of Indeterminate to Determinate Staff, National Headquarters (2010-11 to 2014-15)*

This line graph shows the proportion of INAC’s indeterminate staff compared to determinate staff at National Headquarters from 2010-11 to 2014-15. The x-axis is labelled by fiscal year from 2008-09 to 2015-16. The y-axis is labelled by percentage from 0 – 100%. The lines for both determinate and indeterminate staff proportions are flat over the 8 year period are flat. At National Headquarters, 88% of employees are indeterminate and 12% are determinate.

The consistent ratio of indeterminate to determinate (term or temporary) staff in both the National Headquarters and the regions suggests that where vacancies arise for indeterminate positions, they are being replaced with indeterminate employees or remaining vacant. This is contrary to the perceptions of non-HR manager interviewees and group discussion participants, some of whom suggested that indeterminate positions were either filled by determinate staff or remaining vacant, because the staffing process for indeterminate positions was too time-consuming, and hiring casual workers was easier.

Text alternative for Figure 9: Proportion of Indeterminate vs. Determinate Staff, Regions (2010-11 to 2014-15)

This line graph shows the proportion of INAC’s indeterminate staff compared to determinate staff in the Regions from 2010-11 to 2014-15. The x-axis is labelled by fiscal year from 2008-09 to 2015-16. The y-axis is labelled by percentage from 0 – 100%. The lines for both determinate and indeterminate staff proportions are flat over the 8 year period are flat. In the Regions, 85% of employees are indeterminate and approximately 15% are determinate.

Student Recruiting

INAC participates in student recruiting to help renew the workforce as employees leave their positions. The Department participates in Public Service Commission – recognized student employment programs, including the Federal Student Work Experience Program, co-operative education programs, and the Research Affiliate Program. Students who complete one of these Public Service Commission-recognized programs with the Department are eligible for "bridging" up to 24 months after the completion of their studies.^{Footnote 33} Student bridging allows managers to recruit individuals who already have valuable work experience and knowledge of the Department.^{Footnote 34}

The Department also leverages recruitment programs designed to encourage departments to hire recent university graduates at all levels. Managers are encouraged to use the Public Service Commission Post-Secondary Recruitment inventory. The organization also participates in Recruitment of Policy Leaders Program and Financial Officer and the Internal Auditor Recruitment and Development Program run by Public Service Commission. These programs provide an inventory of pre-screened and qualified university graduates for different positions within INAC.

Northern Recruitment

As demonstrated by high vacancy rates in the northern territories, the Department often faces challenges recruiting for positions located in Canada's North. Lower rates of graduation in secondary and post-secondary programs, a younger and more mobile workforce, and elevated cost-of-living contribute to difficulties attracting qualified and representative candidates for northern-based positions.

INAC has taken several steps to support northern recruitment in the five years covered by this evaluation. In 2013, it established an internship program in partnership with the Nunavut Arctic College. The internship is a Public Service Commission-recognized student work program that provides the possibility of bridging for students, thus, building a pool of experienced and educated candidates in the North.^{Footnote 35} A similar pilot initiative targeted towards on-the-job training for Nunavut Land Claim Agreement beneficiaries called the Inuit Learning and Development Pilot Project was also launched in 2013; however, this initiative is not Public Service Commission recognized. Participants are therefore not eligible for student bridging.

4.3.1 Indigenous Workforce Representation

While Indigenous representation in the INAC workforce has remained stable over the past five years given workforce adjustments, the absolute number of Indigenous people working in the Department has declined. As depicted in Table 3, there was a marked decline in Indigenous entries to the INAC workforce between 2011-2012 and 2013-2014, with a slight increase in 2014-15. Whereas Indigenous entries were at approximately 17 percent, they have declined to just over 13 percent.

4.3.2 Challenges to Indigenous Recruitment

Interviewees and group interview participants identified that there was a lack of qualified Indigenous applicants for many positions. Many positions in the federal public service require undergraduate or graduate degrees. Based on Census data it is known that approximately 1.4 million Canadians self-identified as Indigenous, comprising approximately four percent of Canada's population. Forty-eight percent of Indigenous people aged 25 to 64 in Canada had a certificate, diploma or degree from a trade school, college or university. The comparable percentage for non-Indigenous counterparts was 65 percent.^{Footnote 39} Thus, fewer Indigenous are eligible for employment in the federal government.

Additionally, interviewees noted lower levels of Indigenous representation in student work placements. They described low numbers of Indigenous co-op students, resulting in fewer Indigenous employees available for bridging, and also low levels of Indigenous participation in the Federal Student Work Experience Program.

It was felt by evaluation participants that Indigenous youth, in particular, are not always aware of programs similar to the Federal Student Work Experience Program and other student employment programs that exist for the recruitment of Indigenous students. Interviewees based this assertion on firsthand experience obtained from conducting outreach at local universities. According to respondents, some Indigenous students did not view self-declaration as beneficial, or were not aware of the purposes and benefits of Employment Equity self-declaration.

Participants in focus groups and key informant interviews noted that gaps in information about Indigenous-specific recruitment programs exist within some First Nations communities. They felt that additional communications between the Department and Indigenous communities as a whole would be beneficial. These challenges, according to interviewees and focus group participants, are emphasized by difficulties contacting potential Indigenous employees as well as individuals being reluctance to move away from home communities for work.

4.3.3 Indigenous Recruitment Initiatives

INAC's role in the recruitment of Indigenous peoples, both to the Department and to Government as a whole, was an area touched on by the evaluation. Initiatives in which the Department participates include, as an example, the Indigenous Workforce Participation Initiative. The Indigenous Workforce Participation Initiative was launched in 1991 and responsibility for it is shared between INAC and the Treasury Board Secretariat. Its mandate is to increase the participation of Indigenous peoples in the labour market. It does this by supporting individuals and organizations that share the goal of breaking down barriers and overcomin the hurdles (real or imagined) that deter the employment of Indigenous peoples.

As part of its Human Resources Strategy, which includes an Indigenous Hiring Strategy that is developed in consultation with the Committee for the Advancement of Native Employment, INAC participates in career fairs, including those of colleges and universities. The participation in such activities is deemed by INAC as an efficient way to maintain a connection and visibility with potential Indigenous candidates for the future.^{Footnote 40} With its focus on recruitment, development, and retention, interviewees noted that the Committee for the Advancement of Native Employment prioritizes working toward the 50 percent Indigenous employee target. The Committee for the Advancement of Native Employment's prioritization also complements the Department's efforts to establish a workforce that reflects the diversity of Canada and is linked to the Deputy Minister's Aboriginal Workforce Initiative, which was implemented in 2007.

Through the Workforce Initiative was developed the Aboriginal Leadership Development Initiative, in 2009. Its goal is to build leadership capacity among Indigenous employees in executive feeder groups. The Aboriginal Leadership Development Initiative is further addressed under Section "5.0 Evaluation Findings – Development."

The Department maintains a Statement of Roles and Responsibilities for Hiring Aboriginal Peoples, accessible to all employees at the Department through its intranet. This document outlines key responsibilities of the Deputy Minister, the HRWSB, sub-delegated managers, and advisors towards achieving increased levels of Indigenous representation across INAC. Most importantly, this document supports some agreements, including the Letter of Understanding INAC signed with the Assembly of Manitoba Chiefs, and various land claim agreements.

Flexible work arrangements also exist to encourage recruitment of Indigenous employees where Indigenous peoples living on-reserve are allowed to work from a remote office. The Department also provides flexible work arrangements such as leave without pay and assignment opportunities to Indigenous employees who would prefer to take a leave from INAC and work in their communities.

Many sectors reported that other approaches taken include a focus on hiring Indigenous students in order to promote Indigenous employee hiring. Respondents note that this, however, is sometimes difficult due to the limitations in isolating self-identified individuals in the Federal Student Work Experience Program inventory. To enhance Indigenous recruitment, some INAC branches indicated that they are working closely with university cooperative education programs and university Indigenous student groups in order to improve the pool of Indigenous applicants. As noted by respondents, universities are also aware of this gap and have begun dedicating cooperative education positions or Indigenous peoples to help this partnership.

Currently, INAC National Headquarters has a Liaison with the Indigenous Centre of Excellence at the Public Service Commission. The Indigenous Centre of Excellence offers specialized staffing and assessment services aimed at recruiting Indigenous persons. INAC communicates with the Indigenous Centre of Excellence and discussions center on outreach and awareness (i.e., applying to the public service and to INAC employment offers). For example, the two entities attend job fairs at universities and conferences to recruit Indigenous students.

Regardless of the efforts made, some evaluation participants felt that Indigenous recruitment efforts have seen a decline since the implementation of DRAP. It was felt that the Department has not been in a recruitment mode, although also a sense that it might return to one in the near future. There was general interest in seeing the Department reengage and expand its activities in this area.

4.3.4 Indigenous Student Recruitment

The Department also leverages student recruitment to support Indigenous representation within INAC. In addition to the initiatives described above, the Department provides an "Indigenous student incentive" wherein managers who hire Indigenous summer students are eligible for a 50 percent reimbursement of the student's wages.

Regional approaches to Indigenous recruitment have also yielded some early success. A Quebec region student recruitment drive, aligned with the Iembaucheautochtone initiative, a project initiated under Blueprint 2020 and done mainly through the Federal Student Work Experience Program, allowed the region to achieve 50 percent Indigenous student hiring during the summer of 2014.^{Footnote 41} The region intends to build on the project to increase the representation of Indigenous youth within its workforce. A presentation made to the Human Resources Workplace Services and Management Committee in March 2015 stated that the Quebec region is depending on an Indigenous Student Ambassador Program and a video that promotes the diversity of jobs in the public service in help increase the number of Indigenous student hires.

4.3.5 INAC National Resourcing Strategy

INAC uses external and internal employment opportunity advertisements to target potential Indigenous employees. According to the Employment Equity Act, a department can include membership in a designated group in a job posting's Statement of Merit Criteria if required to support their organizational needs. INAC's National Resourcing Strategy affirms that managers are required to note that employment eligibility may be restricted to employment equity designated groups on external and internal postings.^{Footnote 42} Indigenous Status should be considered an asset when screening and selecting candidates. Through these practices, it is expected that INAC's hiring managers can contribute to increasing Indigenous representation within INAC and the wider federal public service. The presence of the Strategy is evidence of measures being taken by the Department to establish a workforce that reflects Canada's cultural diversity and that is representative of its Indigenous partners.

4.4.1 Staffing Oversight

The function in federal departments performs activities related to recruitment and staffing under the constraints of a multitude of laws, directives and regulations. With respect to staffing, advisors are responsible for ensuring that managers' staffing actions conform to current regulations; and HRWSB and the Human Resources Operations Committee monitors and approves high risk actions. Additionally, HRWSB safeguards the Deputy Minister's delegated authority for human resources, which was conferred by the Public Service Employment Act, and is sub-delegated to INAC managers in the Departments' Sub-Delegation Instrument (2014) for human resources, which is developed and updated by the HRWSB and signed by the Deputy Minister. However, the Common Human Resources Business Process, implemented between 2013 and 2014, increased the supervisory role of HRWSB over the staffing process at INAC.^{Footnote 55}

Information gathered through the evaluation led to consideration of the role of staffing oversight mechanisms in the Department, including the Human Resources Operations Committee and the Workforce Management Board.

The Workforce Management Board was established in 2012 as a temporary measure, to ensure that public servants who had been affected by workforce adjustment during DRAP were prioritized for new appointments. However, it became a permanent governance structure. The Classification and Staffing Associate Risks document, which provides a categorization of classification and staffing actions according to risk levels, indicates that many actions were subject to the Workforce Management Board's approval, including term extensions, and internal-external advertised processes. Some actions required Workforce Management Board's approval even if they were part of an plan that had already been approved by the Workforce Management Board.^{Footnote 56}

In 2014, an internal audit suggested that its mandate be reevaluated, to ensure that managers understood its continued need and purpose.^{Footnote 57} In 2015, the Workforce Management Board was renamed the Human Resources Operations Committee and its mandate was refocused to improve staffing efficiencies.^{Footnote 58} According to Human Resources Operations Committee's Terms of Reference and interviews with staff, the Committee is to focus primarily on higher risk staffing and classification actions, such as staffing actions that require reporting/sharing with the Public Service Commission through the Departmental Staffing Accountability Report. It should also monitor areas of key concern, such as irregularities in merit-based hiring or employment equity that may lead to investigation by the Public Service Commission under the Public Service Employment Act.^{Footnote 59}

In spite of the transition from the Workforce Management Board to the Human Resources Operations Committee, many respondents interviewed as part of the evaluation indicated that the Human Resources Operations Committee was still involved in the approval of what, according to them, should be low-risk actions. They questioned what they believed to be an excessive oversight function that delays staffing processes. A comparison of Workforce Management Board and Human Resources Operations Committee's respective Terms of Reference documents confirmed that more than half of the number of staffing actions that needed to be approved by the Workforce Management Board no longer need to be approved by the new Human Resources Operations Committee.^{Footnote 60} While the Workforce Management Board approved actions at a low risk level, the Human Resources Operations Committee monitors rather than approves many of these actions. A further change in the Terms of Reference was that where the Workforce Management Board was chaired by the Director General, HRWSB, the Human Resources Operations Committee is co-chaired by the Director General, HRWSB and INAC's Chief Financial Officer.

Despite the revised mandate held by the Human Resources Operations Committee, there remain many instances where HRWSB may use its authority over sub-delegated managers to bring forward staffing actions for more thorough consideration by the Committee. For example, advisors are still required to report any instances where managers have not followed their advice with staffing actions; and the Director General, HRWSB has a responsibility to advise the Deputy Minister if the Director General believes any sub-delegated manager is not complying with the many rules and regulations required in staffing in the public service.

Between 2008 and 2010, the Public Service Commission audited INAC's hiring practices in response to allegations within the Department that hiring activities were not being conducted within the rules established by the PSEA that govern merit-based, impartial hiring in the public service.^{Footnote 61} While several non- interviewees and group discussion participants indicated an awareness of this audit and its influence upon at INAC, they maintained that the risk-aversion at INAC was negatively affecting their capacity to complete their work; and they suggested that the need for the Human Resources Operations Committee should be reviewed. However, several interviewees indicated that Human Resources Operations Committee performed a necessary challenge function, and that its mandate had been changed to make lower-risk staffing and classification processes progress more quickly. The November 2013 Management Practices Audit of the Human Resources and Workplace Services Branch had recommended a review of the Branch's governance committees for redundancy.^{Footnote 62}

Examples of monitoring activities, which are mandated and unchangeable and that may lead managers to believe that INAC is operating in risk-adverse atmosphere, include INAC's annual reporting requirements to the Public Service Commission. In 2003, when deputy ministers received delegated authority for -related activities within their departments, the Public Service Commission retained the authority to monitor and ensure compliance with the principles of merit and employment equity representation. To support the delegation process, the Public Service Commission developed a Staffing Management Accountability Framework, which identifies the necessary elements that organizations must have in place in order to benefit from the ability to sub-delegate staffing and human resources authorities.^{Footnote 63} The Commission also maintains a list in the Appointment Delegation and Accountability Instrument and the Staffing Management Accountability Framework of what it considers riskier appointments. Finally, to assist departments in their ongoing monitoring of organizational staffing, the Public Service Commission designed an annual reporting instrument, the Departmental Staffing Accountability Report.^{Footnote 64}

HRWSB's responsibility to monitor the Deputy Minister's delegated authority also includes managing a database of all sub-delegated managers at INAC, including those who exercise acting authorities.^{Footnote 65}

At INAC, the "sub-delegation of human resources authorities is granted on the understanding that the manager will consult with their respective human resources advisor for information, advice and guidance."^{Footnote 66} When hiring managers undertake a more risky staffing and classification action, they are required to submit a Staffing or Classification Action Request Form to their Advisor, who would then submit the request to the Workforce Management Board, now the Human Resources Operations Committee. Although some senior managers believed that they should be able to reject the advice from advisors, advisors are required to comment in writing on managers' staffing decisions, if they feel that these decisions are too risky and/or may not comply with relevant legislation or regulation.

Many non- directors and managers had the impression that their sub-delegated authority to make staffing decisions was being unduly challenged by advisors. They believed that should perform an advisory role, but that the true authority for staffing should lie in the hands of sub-delegated managers. Several directors referred to advisors and HRWSB as performing a 'policing' function, and identified excessive committee oversight as a source of unreasonable delay in the hiring process. These directors stated that the Workforce Management Board and its successor committee, Human Resources Operations Committee, have been operating in a highly risk-averse manner, and that even low-priority staffing actions were scrutinized. This, they felt, resulted in delays to even simple hiring processes. In interviews non – managers maintained that they are responsible enough to exercise this delegated authority and conduct their staffing actions with less supervision. Therefore, while the requirement to protect the Deputy Minister's delegated authority may be apparent to HRWSB employees; it appears that it has not been adequately communicated to sub-delegated hiring managers.

4.4.2 The National Administrative Unit

In alignment with Treasury Board Secretariat' Common Human Resources Business Process, the HRWSB identified the opportunity to re-engineer services delivery by separating administrative from non-administrative staffing and classification actions, and centralizing the processing of administrative actions into the National Administrative Unit located at National Headquarters. The National Administrative Unit was made responsible for administrative staffing actions, which include assignments, student hiring, changes to reporting relationships, and position reactivations. The National Administrative Unit consolidated Fast Track Staffing practices so that it could performs transactional staffing and classification actions nationally. The rationale behind making the National Administrative Unit responsible for administrative actions was to free advisors' time so that they could apply their expertise in guiding hiring managers on more complicated staffing actions.

Despite the National Administrative Unit's primary purpose, a majority of respondents in the regions and at Headquarters believed that the unit contributed to inefficiencies in the staffing process. Managers and staff noted that challenges have arisen as a result of dealing with different National Administrative Unit contacts for each staffing action that they have to undertake.

According to interview participants and Service Centre documentation, administrative officers at the National Administrative Unit are assigned by files or actions, in contrast to the process for non-administrative staffing actions, which are completed by advisors at Headquarters and in the Service Centres, who are assigned by sector or region.^{Footnote 67} As a result, non- managers stated that it was challenging to manage actions processed through the National Administrative Unit. advisors concurred, and stated that they were frequently called upon to assist with what should be routine actions, due to complications arising from the process between non- managers and the National Administrative Unit. advisors found that even with their expertise, they were unable to function efficiently with the National Administrative Unit. Non- managers stated that Staffing or Classification Action Request Forms sent to be processed by the National Administrative Unit sometimes either remained at the National Administrative Unit unprocessed or were returned to the hiring manager to be fixed, thereby delaying the entire process. In contrast, Staffing or Classification Action Request Forms for non-administrative actions were supported by advisors, who contacted hiring managers to fix any errors in the forms before processing each request.

There is a perception that unit staff is not familiar enough with its client groups' needs. During the course of interviews at Headquarters, several advisors suggested having an point-person charged with liaising with the National Administrative Unit, instead of multiple points of contact with requesting managers, in case follow-up action was required. Managers also suggested that having a dedicated contact for issues with generic Statement of Merit Criteria and pools, which suffer from over processing, would be of benefit. Operational efficiencies and effectiveness can be gained through standardization and centralization of business processes and organizational design.

Regional offices have made attempts to mitigate delays related to the National Administrative Unit. The Western Yukon Service Centre designated a developmental human resource advisor to act as a liaison between sub-delegated managers in the regions and the National Administrative Unit. This pilot project took place between April and June 2014. Designated Advisor was charged with tracking Staffing or Classification Action Request Forms sent to the National Administrative Unit. Within the first week, managers noted that "turnaround times had decreased significantly," and mistakes managers sometimes made filling out the forms sent to the National Administrative Unit were less frequent due to the dedicated resource's assistance.^{Footnote 68} The regional director recommended several courses of action, endorsing the creation of a position within the Service Centres to facilitate managers' requests and the creation of an electronic form for managers to track administrative actions.^{Footnote 69}

4.4.3 Regional Offices

According to the 2013 INAC Corporate Risk Profile, the creation of Service Centres caused challenges for -related functions like staffing, due to confusion over roles and responsibilities for all parties involved in the staffing process, and unintended gaps in expertise. In the regions, these challenges have resulted in an incomplete implementation of the Common Human Resources Business Process.

At National Headquarters, the creation of Business Management Units within sectors led to Business Management Units employees' providing some -related functions (e.g., provision of advice to managers) instead of advisors; although some of these functions are often outside of the unit's expertise.

In comparison, regional offices were not provided with Business Management Units. Instead, they retained two or more -related positions that were to provide support for managers on issues related to labour and collective agreements, and planning. According to interviewees and documentation reviewed, these employees or 'footprints', have continued to perform activities related to staffing even though the staffing function was transferred to the Service Centres. Regional senior and middle management, as well as Service Centre interviewees, stated that there has been a need to develop new relationships between regional managers and employees at the Service Centres.

Managers now need to solicit most of their -related advice from Advisors at the Service Centres, which are not located geographically close to all regional offices (see Figure 11). Employees at the Service Centres now serve many new clients, and they may not have the regional expertise necessary to provide the most relevant advice.

Text alternative for Figure 11: Geographic Distribution and Reporting Relationships of Service Centres, Regional Offices, Satellite Offices, and National Headquarters

This map of Canada indicates the physical location and reporting relationships of the Human Resource Service Centers, satellite offices, regional offices, and the department’s National Headquarters. There are nine satellite offices across Canada: 1 in Alberta, 3 in Saskatchewan, 4 in southern Ontario, and 2 in the Atlantic Provinces.

Generally, regional offices are physically located near the Service Centre to which they report. The regional offices in the three Northern territories are the furthest from their respective Service Centres. There is also a significant distance between the Winnipeg, MB regional office and the Central NWT Service Centre in Toronto, ON.

Other challenges that remain as a result of this structural change include the working relationship between the Service Centres and the regional offices due to the lack of clarity surrounding functions, and a lack of expertise felt on both sides. Further, both and non- managers discussed challenges that had arisen with the separation of the Planning function at the regional office and the staffing and classification responsibility resting with the Service Centre. Interviewees believed that for optimal strategic planning purposes and any large-scale reorganization exercises, these functions should be integrated.

According to regional management teams, given the separation of services, they lack a single contact that can see the 'whole picture'. As a result, regional managers use regional footprints for extensive services. This has occurred due to their regional expertise, familiarity, and as a means to expedite actions and reduce the draw on manager time. Many of these requests made to personnel in the regional office should now be the responsibility of the Service Centres.

Information gathered from interviews and group discussion participants indicates that non- directors and non- managers located further geographically from their respective Service Centres experience greater challenges obtaining service from their respective Service Centre than those located in closer proximity. Human resource staff corroborated this finding. staff in the Service Centres spoke to challenges in serving regions with which they were not familiar; having to develop relationships with regional office staff that they had not met face-to-face, and not having enough staff to adequately serve their client bases.

4.4.4 Training and Support

The Corporate Risk Profiles of 2010-11 and 2013-14 (see Annex A) identified a knowledge gap among hiring managers, particularly with respect to business processes related to hiring.^{Footnote 70} Evaluation interviewees and group interview participants admitted that their lack of expertise often added to the length of time it took to complete a staffing action. They cited barriers such as lack of developed tools to assist them and lack of expertise and guidance. respondents shared concern over hiring managers' lack of expertise and its contribution to the lengthening of staffing processes.

Qualitative evidence gathered from interviews and focus groups suggests that managers were unsatisfied with the availability of uniform tools during the implementation phase of the Common Human Resources Business Process at INAC. Respondents in in both and non- positions expressed a belief that the Common Human Resources Business Process was implemented throughout INAC before adequate tools and training were in place. Several respondents in the regions stated that they had expected tools to assist managers in their new -related responsibilities to be developed and provided to them by HRWSB. In some cases, tools and checklists were being developed on an ad hoc basis by regional offices, Service Centres, and sectors at Headquarters rather than coming from one central location. Several Business Management Unit representatives stated that they had created their own process maps to support managers in their hiring processes; and in the regions, some and non- employees have developed their own "checklists" for managers to navigate the hiring process. Tools developed by the Western-Yukon Service Centre over recent years to guide managers through the staffing process were leveraged by both Headquarters and other regions. Service Centres and the National Headquarters continue to face difficulties achieving uniform service delivery across the Department, with each entity operating as a unique unit with differing tools and services to serve their clients.

There is a remaining capacity gap among non- managers, which causes delays in the hiring process. This gap could be addressed by the introduction of uniform tools and increased training for non- managers.

Given transition, Managers expressed a general level of concern with the support and the availability of advisors to provide feedback and advice, as indicated by interviewees in non- management roles. Several senior and middle managers in both Headquarters and in the regions indicated that advisors were too slow to respond to questions and provide advice during the staffing process, causing delays.^{Footnote 71} At Headquarters and in the regions, there was a general feeling that advisors at Headquarters and in the Service Centres were not available; respondents stated that advisors were either physically absent from their posts and working remotely, off on sick leave, or at home on leave. Several respondents also stated that there were many advisors who were new to their positions, and that they too were becoming familiar with their roles. Both and non- respondents acknowledged that employees both at Headquarters and in the Service Centres were under-resourced and over-worked, and attributed lower service standards.

Further, Non- managers also reported that they feel they lack the expertise to complete responsibilities efficiently; as a result, they are making mistakes which may lengthen staffing processes. In both the interviews and group discussions, and the documentation, mistakes made by hiring managers when completing Staffing or Classification Action Request Forms, were identified as a contributing factor to lengthening staffing processes. This factor was most commonly cited by employees; the importance of accuracy appeared on internal training documentation for managers as well. Non- senior and middle management respondents agreed that they were feeling overwhelmed and under-resourced with respect to their responsibilities for staffing, especially under the Common Human Resources Business Process. Both non- and informants stressed the capacity gap.

Established priority lists of indeterminate employees who have been affected by workforce adjustment initiatives must be consulted to ensure these individuals are given first priority at open positions. This practice is applied across the whole of government. At the time when qualitative research was conducted, staffing actions were subject to two priority lists, namely the Public Service Commission's priority list and an internal priority list called the Job Market Unit. Non- managers also expressed lack of clarity about the various priority clearances required for different staffing actions, who was responsible for checking priority lists, and the service standards for each list. Several respondents mentioned delays that were significant enough to require the manager send staffing actions for clearance through priority lists more than once, potentially extending the length of the staffing process.^{Footnote 72}

Additionally, several non- directors stated that it was inefficient for them to perform actions that required expertise that is already held by advisors, who had previously performed many of these activities. As a result, non- managers find it challenging to achieve an efficient and sustainable balance with their day-to-day duties.

Improved communication and department-wide tools and resources for recruitment processes may help address these inefficiencies. Efforts have been made to provide improved guidance to non- managers completing staffing processes. For example, the Western-Yukon Service Centre produced a presentation that described all potential sources of staffing delays, typically caused by incomplete, missing or incorrect information on forms sent to either the National Administrative Unit or the Service Centre.^{Footnote 73} The Western-Yukon Service Centre website, with its many staffing tools, including tip sheets, presentations, and check-lists, was used to assist managers in the regions that it serves.

5.1.1 Employee Learning and Development

One of the key means to support employee development, as well as performance and productivity, is through the use of performance management programs. Such programs include activities that involve planning, developing, coaching and feedback to employees. The Treasury Board Secretariat's Directive on Performance Management replaced INAC's Employee Performance Management Policy on April 1, 2014. The new directive was introduced to support enhanced and consistent performance management in federal organizations. It outlines Deputy Heads' responsibility to, among other things; establish an employee performance management system. As a result, each department is responsible for ensuring that a number of actions occur on an annual basis, including the development of annual performance and learning plans for all employees.^{Footnote 74} This occurs through the development of Public Service Performance Management agreements (PSPM), which are established between managers and employees.

As part of the evaluation, and to gauge INAC's progress in the performance management and learning plan provisions of the Directive on Performance Management, information was sought on the level of implementation of PSPMs. Data indicates, as shown in Table 4, below, that from 2011-12 to 2013-14 INAC achieved a higher percentage PSPM completion rate than planned, and a slightly lower than targeted learning plan rate.^{Footnote 75}

The most recent aggregate analysis of learning plan content was completed at department-wide, sectoral, and regional levels in fiscal year 2013-14. In this year, 88 percent of employees across the Department had a learning plan, though only 86 percent of these plans actually had at least one learning activity planned in their learning plan. Some regions, such as Ontario, Manitoba, and the Northwest Territories had no learning activities for 99 percent or more of their employees.^{Footnote 77} Learning plans promote the creation of an organizational culture of continuous learning at INAC. While it is possible that managers are engaging in informal or alternative methods of development planning outside the formal tools offered by HRWSB and Treasury Board Secretariat, the instances of empty learning plans may indicate that continuous employee development has not be prioritized to the extent desired.

While target levels have been maintained over the three year period for which data was available, there has been a slight decrease in the level of PSPMs and learning plans developed between managers and employees. Despite the high percentage of PSPMs in place, managers indicated concerns about the amount of time it takes to develop performance agreements and learning plans, and complete mid- and end-of-year performance assessments. Most concern centered on efforts needed to prepare action plans to develop poor performers, or talent management plans for strong performers. Both managers and human resources specialists suggested that additional guidance in these areas would be helpful. These concerns were echoed in the Branch's 2014 Review of Services.

5.1.2 Progress in Public Service Performance Management Agreements

Performance management systems are established to support employee performance and productivity. Implementing and following up on performance management agreements is meant to support employees in their development and to provide meaningful feedback on their progress at work.

Information collected from Public Service Performance Agreements, including work objectives and learning plans, are housed in an internal data management system managed by the corporate learning branch of HRWSB. While the previous reporting system was linked manually to the Department's human resources data management system, PeopleSoft, the new PSPM app is linked to pay information only, posing challenges for aggregate data analysis.

Using the new PSPM application, HRWSB can extract data about the content of learning plans. Managers are also able to view the content of all learning plans for employees under their authority through the app, but are not able to easily extract this data for aggregate analysis that would support integrated human resource planning. Key informants noted that analysis for the fiscal year 2014 – 15 was challenging due to issues related to data organization after extraction from the PSPM system.

Performance management tools provide data, which is integral to planning for future training and development activities. Managers can consider maximizing the utility of the PSPM and learning plans by leveraging data provided by HRWSB and housed in the online PSPM application. During the period of transition to a government-wide approach to performance management, departmental Human Resource Functions across the Government face difficulties extracting useable aggregate data from the PSPM application and linking it to employees to track outcomes. Interviewees in non-human resource management positions across INAC as well as professionals reported difficulties accessing useful aggregate data from the new performance management systems during this period of transition. Representatives from HRWSB have expressed an intention to continue producing trend analysis using this data as parallel data storage systems are integrated.

5.1.3 Resources for Learning and Development

INAC employees have access to any number of sources for development and training, including training and events offered by private, not-for-profit and public sector suppliers, offerings available directly from within the Department itself, and courses and training delivered by other government departments, particularly the Canada School of Public Service.

While information on the number of training days or courses attended by employees was not available, Table 5 provides a summary of departmental expenditures on training from Canada School of Public Service and other suppliers between 2011-12 and 2014-15.^{Footnote 78}

The data shows that the Department's expenditures for Canada School of Public Service and other supplier training dropped by approximately 10 percent per year over the four year period for which data were available. Average training cost per employee ranged between $1,050 and $1,400, of which between 35 percent and 42 percent was expended on Canada School of Public Service training, and between 58 percent and 65 percent went to other suppliers.

The Training Cost Analysis completed by the learning and wellbeing directorate states that there has been an increased use of self-paced online training. In 2014-15, classroom training sessions reached 1,827, and the number of online self-paced training sessions enrolled in was 2,181. As shown in Table 6 below, average spending on training per employee has declined by 21 percent since 2011–12, coinciding with the introduction of new training technologies and opportunities. No information on the outcomes of individuals who participated in training was available at the time of this evaluation.

In the absence of substantive quantitative data about training activities, qualitative information gathered as part of focus groups and interviews with INAC staff, as well as the analysis of employee responses to the PSES reveal that when comparing the responses of determinate employees, INAC performs similarly to other government departments when it comes to training and career development themes:

• In 2014, 62 percent of INAC's indeterminate staff agreed that they get the training they need to do their job, compared to 65.1 percent of indeterminate staff in comparable departments. These numbers are slightly higher than rates of agreement found in other government departments.
• 50.7 percent of INAC's indeterminate staff agrees that their department does a good job supporting employee career development, compared to approximately 50.5 percent agreement at similar and dissimilar government departments. Since 2011, the level of agreement to this statement has dropped by approximately 10 percentage points. Other departments also saw a decline in positive responses in this area, the rate of decline was smaller at approximately five percentage points.
• INAC's indeterminate employees who worked as supervisors were less likely to report that they received the support they need from senior management when compared to both similar and dissimilar other government departments. In both cases, the gap was approximately eight percentage points.^{Footnote 81}

While INAC performs similarly to other government departments, positive views of development activities within the Department are lower than desired. Information gathered through focus groups and interviews about development, training and learning revealed the following:

• Overall, Human Resources professional who were interviewed reported that they were adequately trained to complete their jobs. Human Resource Professional at the Department expressed frustration with the level of training and expertise available for managers to complete their new responsibilities following widespread departmental changes.
• Respondents in regional offices and in the National Capital Region reported that they felt employees who received mid-level marks on their PSPM assessments were most in need of training opportunities to advance in their careers. Managers also expressed concern that there has been a lack of opportunity for promotions within the Department, which reduces the incentive for employees to develop their skills.
• Several barriers to development opportunities for employees were identified in key informant interviews: in particular, some interviewees stated that budget constraints restricted the amount of training available in some areas. Additional barriers cited included travel costs, particularly in some regional offices.
• There has been a shift in the Department to online training; initial potential challenges with this transition were identified as: bandwidth issues, user resistance to change and unwillingness to learn a new system. These challenges, however, have been mitigated by collaboration with Information Technology and an increase in training to support employees in the use of these new systems.

The movement towards informal learning mechanisms reflects priorities outlined in the Corporate Human Resources plan in support of Destination 2020 goals for public service innovation. Managers are encouraged to include 20 percent formal and 80 percent informal objectives in their employees learning plans, and to leverage online learning technology as the "default source" of training.^{Footnote 82} Managers at the program, regional and departmental levels have consistently noted that lack of available opportunities for training and development is a key risk for human resources business conditions.^{Footnote 83}

By leveraging modern technologies and addressing barriers to training opportunities, the department can promote a culture of continuous learning. During the period between 2013 and 2015, the learning and wellbeing directorate at HRWSB has transitioned all orientation and INAC-required training online using the Learning Portal, hosted on the Department's intranet. The Learning Portal serves as a single-point of entry for INAC employees across the nation to receive online training, ensuring more consistent access to services outside the National Capital Region. The responsible directorate currently hosts learning roadmaps for employees on the learning portal, and hopes to use the website for learning activity promotion in the future.

5.1.5 Indigenous Employee Learning and Development

INAC places an emphasis on development opportunities for Indigenous Employees in their 2014-2020 Corporate Human Resource Plan.^{Footnote 84} Indeed, two of the largest department-wide development initiatives at INAC are targeted towards employees who self-identify as Indigenous Persons.^{Footnote 85} According to the Public Service Employment Survey, Indigenous employees tended to have slightly lower views of INAC's development activities than non-Indigenous employees.

• On average, Indigenous employees gave positive responses to all development-related questions at slightly lower rates than their non-Indigenous colleagues. On two of seven questions, the gap between Indigenous and non-Indigenous employees was five percentage points or higher.
• Indigenous employees reported satisfaction with the training they receive to do their job at rates approximately five percentage points below their non-Indigenous colleagues at 59 percent agreement compared to non-Indigenous rates of 64 percent.
• In response to the statement "My department […] does a good job of supporting employee career development" 48 percent of Indigenous respondents stated that they agree – this rate is six percentage points lower than non-Indigenous employees.^{Footnote 86}

The gap between Indigenous and non-Indigenous employee satisfaction with development activities is observable in comparable departments and in dissimilar departments. Overall, this trend indicates that Indigenous employees have similar or slightly lower levels of satisfaction with development activities as non-Indigenous employees at INAC.

Despite this gap, the Department has taken steps to promote Indigenous career development with targeted initiatives such as the Aboriginal Leadership and Development Initiative. Indigenous representation within the executive cadre in the Public Service tends to be below workforce availability levels.^{Footnote 87} In response to this challenge, the Department introduced a targeted development program to promote skills development for Indigenous employees. The Aboriginal Leadership Development Initiative was introduced in 2011 – 12. Aboriginal Leadership Development Initiative participants complete the Canada School of Public Service's Direction executive training program in combination with INAC's own Aboriginal Leadership Training.^{Footnote 88} Outcomes for participants in the Aboriginal Leadership Development Initiative's first cohort have indicated some positive impact on participant's upward mobility: three participants held acting assignments at the EX-02 level; and two were promoted to EX-01 positions.^{Footnote 89}

Key Informant Interview respondents expressed that the Canada School of Public Service no longer offers Indigenous-focused development courses, which may indicate the continued need for programs such as the Aboriginal Leadership Development Initiative.

5.1.6 Learning and Development in the Regions and National Capital Region

As previously mentioned the Department has met or exceeded targets for performance management agreement and learning plan completion when considered as a whole. A review of trend data comparing regional completion rates to those in National Capital Region show that Employee Performance Monitoring completion rates were generally higher in the National Capital Region than in the regions. Since 2011–12, average Employee Performance Monitoring completion rates across the Department were above target levels. Despite this, there has been a decline in the aggregate average Performance Monitoring completion rate for employees located in regions outside the National Capital Region.

Text alternative for Figure 12: Employee Performance Monitoring Completion Rate by Physical Location

This line graph compares national average employee performance monitoring completion rates to those observed in the NCR and in the Regions. The x-axis is labeled by year from 2011-12 to 2013-14. The y-axis is labeled by percentage from 84 – 98%. Generally, completion rates in the NCR have increased over the three year period from 94% to approximately 97%. Completion rates in the Regions have decreased from approximately 96% to approximately 89%.

Similar trends are observable in relation to learning plan completion, as shown in Figure 12. While learning plan completion rates have hovered around 88 percent for the Department across the years, the average completion rate for employees working in regions outside the National Capital Region is markedly lower. Key informants indicated that time and budget constraints may contribute to the completion and implementation of learning plans. Figure 13 shows the divergent completion rates for learning plans in regional offices compared to the National Capital Region.

Text alternative for Figure 13: Learning Plan Completion by Physical Location and Year

This line graph compares national average learning plan completion rates to those observed in the NCR and in the Regions. The x-axis is labeled by year from 2011-12 to 2013-14. The y-axis is labeled by percentage from 84 – 98%. From 2011 – 12 to 2012-13, learning plan completion rates converged around 90%. NCR learning plan completion rates increased to 96% while regional completion dropped to approximately 85% in 2013-14.

A 2014 Review of Management Practice Audits at INAC between 2010 and 2014 identified a learning gap for managers to apply Employee Performance Measurement in the workplace. The review notes that managers in the regions often do not prioritize accurate performance measurement due to heavy workloads.^{Footnote 92} Recent changes to the data entry process for PSPMs may help reduce the reporting burden. The new PSPM application hosted by the Treasury Board automatically stores data relating to the content of PSPMs, removing the additional step of data entry into PeopleSoft.^{Footnote 93}

Audits in these years also cited management knowledge as a barrier for learning plan completion. The audits frequently recommended that managers should receive more training so that they are able to effectively execute their new roles in relation to performance management. Audits in this period affirmed the importance of improving both the completion rate and the quality of employee performance measurement.^{Footnote 94}

Developing high quality PSPMs and learning plans helps support the goal of creating a culture of constant learning at INAC and promotes effective talent management.^{Footnote 95} The disparity between regional and National Capital Region completion rates may be indicative of a gap in Learning and Development activities or opportunities based on physical location. This disparity could pose an obstacle for future performance in the area of retention.

The Yukon–Western Regional Service Centre is the only region that has published reports on the content of their learning plans on an annual basis available to the entire department. The goal of this report is to determine trends emerging in PSPM's, providing senior managers with specific information and data that will support effective investment in training and to identify training gaps.^{Footnote 96} Monitoring and communicating the content of learning plans has been identified as a leading practice to maximize the utility of these processes.

6.1.1 Workforce Adjustment Impacting Employee Retention

The "departure rate" is used in HRWSB's internal reporting as an indicator of the extent to which the Department could be impacted by employee mobility. The "departure rate" is calculated by considering the number of indeterminate and determinate employees who leave the organization in a fiscal year divided by the total population at the beginning of this period.^{Footnote 98}

Text alternative for Figure 14a: INAC Departure Rate by Year (2010–11 to 2014–2015)*

This line graph shows the departure rate for INAC over the five year period of the evaluation. The x-axis is labelled by year from 2010-11 to 2014-15. The y-axis is labeled by percentage, from 5-15%. The line graph indicates that departure rates have fluctuated between 9-13% over the period.

Since 2010–11, the departure rate has fluctuated at between nine and 13 percent. Since 2011–12, the proportion of departures has remained higher than entries. This trend is largely explained by transfers out to other departments and an increase in exits attributed to the "other" category, which includes discharges, layoffs, workforce adjustments, individuals who return to school and deaths. The proportion of departures that fall into the "other" category rose significantly between 2010-11 and 2014-15. In 2011–12, "other" departures accounted for approximately five percent of attrition in the Department. This number rose to 35 percent in 2012–13, coinciding with the Department's implementation of DRAP. In the year following DRAP activities, "other" departures dropped to 25 percent of overall departures, however, from 2013-14 to 2014-15, overall departures grew from 464 to 620, and the proportion of departures in the "other" category increased from 25 percent to 38 percent.^{Footnote 99} Further, the number of departures in 2014-15 was more than twice the number of entries into the Department.^{Footnote 100}

The increase in departures and the proportion of departures in the "other" category for 2014-15 indicate that organizational restructuring and workforce adjustment may still be negatively impacting INAC's employee retention.

Text alternative for Figure 14b: Employee Departures at INAC by Year, 2010–11 to 2014–15

This line graph compares employee entry and departure counts over the five year period of the evaluation. The x-axis is labelled by year from 2010-11 to 2014-15. The y-axis indicates the count of entries and exits, labelled from 0-800. Since 2011-12, employee departures have exceeded employee entries.

6.1.2 Retaining a Representative Workforce

The Employment Equity Act stipulates that employees, including all federal government departments, are required to implement employment equity by identifying and eliminating employment barriers against persons in designated groups and instituting positive policies and practices and making reasonable accommodations so as to allow persons in designated groups to achieve a degree of representation in each occupational group in the employer's workforce.^{Footnote 102}

As shown in Table 7 below, the Department has managed to exceed workforce availability levels for all designated groups in the employment equity act over time. Since 2010-11, the proportion of Indigenous peoples, visible minorities, people with disabilities, and women have increased as workforce availability remained constant or decreased. With regards to Indigenous employment, the Department has exceeded workforce availability by an average of 23 percent from 2010-11 to 2014-15. However, as noted in Section 4.4.1, the Department is still working towards its aspirational 50 percent Indigenous representation.

In the period examined by the evaluation, the number of Indigenous "entries" to the Department has been lower than the number of "departures". Indigenous entries have displayed a downward trend since 2011–12, as seen in Figure 14. Indigenous "departures" peaked in 2012–13, aligned with responsible expenditure management and departmental restructuring activities in response to DRAP that occurred at that time, and have remained significantly higher than entries since this point. However, the Indigenous departure rate mirrored that of the Department as a whole at 11.5 percent from 2010-11 to 2014-15, and workforce representation for Indigenous peoples has remained around 29 percent over these five years. ^{Footnote 104}

The data presented in Figure 15 demonstrates that Indigenous departure trend is in line with the Department's overall departure rate. The net loss in the number of Indigenous employees seen by the disparity between the number of Indigenous entries and departures is most likely attributable to larger reductions in the Department's workforce. Indigenous employees appear to have been affected by workforce adjustments at similar rates to the rest of the Department. While INAC is still working towards the aspirational objective of recruiting and retaining a workforce that is 50 percent Indigenous, the departure data for Indigenous employees indicates that INAC has been successful at retaining First Nations employees.

Text alternative for Figure 15: Indigenous Entries and Departures

This line graph compares counts of the entry and exit of Indigenous employees at INAC during the five year period of the evaluation. The x-axis is labelled by year from 2010-11 to 2014-15. The y-axis shows counts of employee exit or entry, labelled from 0-250. Aboriginal exits have exceeded Aboriginal entries in all years, with the greatest gap in 2012-13. Overall, entry counts have declined slightly while exits have increased.

Information about the reasons for departure is pulled from the Department's internal PeopleSoft data management program, but additional details from exit Interviews were not available. At the time of this evaluation, exit interviews were available on a voluntary basis to both employees and students at the time of departure. The exit interview combines elements of survey and formal interview processes aimed at measuring employee experience. The exit interview form for employees includes questions related to physical environment and working conditions; professional development; management support; Indigenous workforce; and respect in the workplace.

Information from exit interviews could provide valuable information needed to present a cogent analysis of factors, which contribute to attrition. The Department may consider implementing mandatory exit interviews for all employees at their time of departure to ensure adequate information is available to assess the success of the Department's retention activities.

6.1.3 Internal Promotions and Career Development at INAC

The availability of promotion and career development opportunities within INAC is linked to both development and retention outcomes. Motivation to develop key skills and abilities is intuitively tied to the possibility of advancement. Lack of promotion opportunities can also create difficulties retaining highly skilled employees in competitive job markets. A risk trend analysis completed by the Department in support of this evaluation identified the risk that "regions will not be able to retain experienced employees (due to turnover, decreased morale, lack of training)" was a key area of concern, associated with a high risk rating.^{Footnote 106}

Thus, it is important to understand employee perceptions of career development opportunities as they relate to retention. Within the federal public service, departments can use several questions from the PSES to determine the extent to which their employees believe promotion and career development opportunities exist within their work unit, branch or department:

• Approximately 51 percent of INAC's indeterminate staff stated that they agree with the statement "my department or agency does a good job of supporting employee career development" in 2014. INAC's affirmative responses have been slightly higher than those of indeterminate employees in comparable departments since 2008. In spite of this, there has been a decline in agreement to this question within INAC over time. Since 2011, the rate of agreement by INAC's indeterminate staff dropped by nearly 11 percentage points.
• Active employees in the Ontario region reported the lowest satisfaction with career development and promotion opportunities – their responses to the above question were 18 percent lower than the departmental mean of 52.2 percent in 2014. Employees in the Atlantic and Quebec regions tend to have higher rates of satisfaction in these areas: The Atlantic region's agreement rate was seven percent higher than the average – in Quebec, agreement was nine percent above the departmental mean.
• Approximately 38 percent of INAC's indeterminate staff stated that they agree with the statement "I believe I have opportunities for promotion within my department or agency, given my education, skills and experience". The rate of agreement has dropped over 16 percent since 2008. While the Department's indeterminate staff once had much higher rates of agreement than comparable departments, in 2014 INAC's results were equal to the average results in comparable departments.
• Indigenous employees were slightly less likely to agree with the above questions than non-Indigenous employees. This gap is only observable in 2014. In previous years, Indigenous employees reported similar satisfaction with career development and promotion opportunities.

Overall, INAC's PSES results indicate that there has been a reduction in satisfaction with promotion and career development opportunities within the Department between 2011 and 2014. Similar reductions in overall satisfaction are observable in comparable departments and the public service as a whole; however the decline has been slightly greater at INAC. In previous years, the Department was a leader in this area.^{Footnote 107}

These results may point to an area of concern for the Department: development and advancement possibilities are important to ensure that INAC maintains a highly skilled workforce to effectively deliver its mandate.

6.1.4 Employee Wellbeing

INAC's Corporate Human Resources Plan notes that the Department recognizes "that providing our employees with a healthy and respectful workplace will lead to higher levels of engagement, increased performance and more innovative service delivery for our clients and stakeholders."^{Footnote 108} Promoting a workplace that ensures the cultural, emotional and physical wellbeing of employees is mandated in policies and legislations, and helps to ensure employee retention in the long-run.^{Footnote 109} The Plan lists "providing a healthy and respectful workplace" as a key priority for the Department.^{Footnote 110} The Department's performance on workplace wellbeing issues can be gauged from PSES results over time. Overall, employees at INAC tend to have lower rates of satisfaction on questions related to wellbeing:

• INAC's indeterminate staff reported that they have support at work to balance their work and personal life at rates 7.7 percentage points lower than similar departments: employees agreed 66 percent of the time compared to approximately 74 percent agreement in comparable departments.
• Indeterminate employees at INAC were less likely to agree to the statement "Overall, I like my job" at rates approximately 5 percentage points below those observed in comparable departments. Similarly, they were less likely to agree to the statement "Overall, my department or agency treats me with respect" by approximately 8 percentage points relative to similar departments, and 4 percentage points below the answers provided by indeterminate staff in the general public service. 72.8 percent of indeterminate respondents at INAC agreed with the first question, 73.6 percent agreed with the latter question.  
• Regionally, employees in the Ontario region tend to have lower rates of satisfaction with respect and wellbeing in their workplace. The Atlantic region and Quebec region tend to have higher levels of satisfaction in this area.^{Footnote 111} In both regions, scores on questions related to wellbeing were higher by five percent in a majority of cases: the Atlantic region displayed increased desirable scores on 7 of 16 questions, and the Quebec region did so in 13 of 16 questions.
• Indigenous employees tend to have similar reported levels of workplace satisfaction as non-Indigenous employees, and were more likely to state that they would prefer to remain at the department even if a comparable job was available at another federal department. Since 2008, Indigenous employees have agreed to this question at rates 6–7 percentage points higher than non-Indigenous employees.

Overall, the PSES results show that indeterminate employees at AANDC are less likely than those at comparable departments to feel satisfied with their work environment. The analysis also shows that there is a great deal of regional variation in workplace satisfaction.

This could pose an obstacle for the organization to retain highly skilled employees. Having the appropriate development opportunities for learning and career advancement, as discussed in the previous chapter, is an integral component of retaining a qualified workforce. The Department also recognizes the importance of a healthy and respectful workplace to achieve retention goals.^{Footnote 112} For this reason, the department has taken steps to improve employee wellbeing and job satisfaction, as described below.

Promoting Health and Work-Life Balance

The Department measures sick leave usage, vacation utilization and unpaid leave as proxies for wellness. According to quarterly reports produced by the HRWSB, unpaid leave has declined significantly since 2011–12. The average amount of sick leave used across the Department has been relatively constant at around 11 days since 2012–13, while average vacation use has increased slightly over the years. Unpaid leave was well below the average for other governmental departments – in 2011-12, public servants took an average of approximately six days unpaid sick leave, whereas employees at INAC took approximately two.^{Footnote 113} This could be an indication of improved workplace wellbeing, as employees are able to maintain work/life balance.

Vacation and Paid Sick leave varies by region: according to the most recent data available, sick leave use was higher in the Ontario region at approximately 13 days per year and lowest in Nunavut, Yukon, and the North-West Territories at eight to nine days on average.^{Footnote 114}

Point for Consideration: The Western Yukon Regional Service Centre provides management teams with region-specific data analysis of Human Resource risks, challenges, and opportunities. The Service Centre monitors sick leave utilization and vacation utilization as proxies for wellness. Promoting vacation use rather than "banked" vacation through effective communication is a best practice for maintaining work-life balance within regions. This practice could be implemented more broadly across the department.

Text alternative for Figure 16: Average Use of Vacation, Paid Sick Leave and Leave without Pay (2010-11 to 2014-15)

This line graph compares average days of leave for vacation, sick leave, and leave without pay. The x axis is labelled by year from 2010-11 to 2014-15. The y axis shows average days of leave and is labelled from 0-20. The graph shows a downward trend in average leave without pay since 2011-12, with slight increases in vacation and sick leave.

 

6.1.5 Harassment and Conflict Resolution

Adequate Harassment prevention and conflict resolution strategies are integral for promoting a safe and healthy workplace and thus retaining staff. The Corporate Human Resources Plan affirms this, stating that "offering and maintaining a workplace that is fair, respectful, harassment-free, enabling, safe and healthy, within the spirit of our Values and Ethics Code" is a key Human Resource priority.

Results from the 2014 PSES indicate that the Department has struggled with effectively preventing and resolving harassment and discrimination. In 2014, PSES results indicated the following:

• When comparing the whole population of the Department, INAC's employees were less likely to state that they feel they can initiate formal processes (i.e. grievances); or that they were satisfied with how matters of harassment and discrimination were resolved. For all three indicators the difference between INAC and comparable departments was between 8 and 10 percentage points.
• Only 32 percent of INAC's indeterminate staff felt they could initiate a formal recourse process such as a grievance, without fear of reprisal. Under half of INAC's indeterminate staff felt satisfied with how matters related to harassment or discrimination were resolved. Decline in satisfaction with harassment resolution occurred predominantly between 2011 and 2014: between these two years, average PSES agreement rates dropped 17 percentage points.
• Employees in the Atlantic region had the poorest results in relation to harassment and discrimination: Only 38 percent of employees in the Atlantic region felt satisfied with how harassment issues are resolved – 16 percentage points below the departmental mean.
• Indigenous employee satisfaction rates lagged 5 percentage points behind non-Indigenous employees in terms of harassment and discrimination resolution.

The Centre for Integrity, Values and Conflict Resolution is the branch responsible for resolving harassment complaints at the Department. In 2015 the Department published a trend analysis describing services it provided. In 2014–15 the Centre facilitated 611 Conflict Resolutions, nine percent of which were in response to an alleged harassment. In this report, the Centre notes that only 13 percent of employees at INAC stated they used conflict resolution to address alleged harassment – this may indicate that for many employees, conflict resolution is not considered a viable solution.

As shown in Table 8, the Centre received 22 complaints of harassment in 2014–15, half of which originated in the regions, the other half originating in the National Capital Region. By contrast, 25 percent of PSES respondents at INAC stated that they had been victims of harassment in the preceding two years, down from 29 percent in 2011. The Centre probed into harassment at INAC, via a series of focus groups held in 2014, to determine the cause of the gap between experienced and reported harassment. They found that many employees believed that there were "no consequences" for behavior considered harassment and that reporting this behavior could exacerbate the situation.^{Footnote 116} Respondents also felt that many harassers may not be aware that their behaviour had a negative impact on others. While it may be the case that some individuals reporting harassment in the PSES have unfounded claims, the Treasury Board's Guide on Applying the Harassment Resolution Process notes that "many behaviors that do not meet the definition of harassment may still undermine wellness and excellence at work".^{Footnote 117}

While the Centre's investigation is a valuable first step towards determining the cause of the gap between INAC's PSES results and reported incidents of harassment, further action may be beneficial to ensure a safe and healthy workplace free of harassment. The Treasury Board's guide for managers Preventing and Resolving Harassment in the Workplace states that frequent harassment complaints may indicate a larger issue that affects the wellness of the entire team and workplace. The Treasury Board suggests a neutral third-party workplace assessment to avoid escalation of conflict by determining what steps should be taken.^{Footnote 118} In instances where multiple reported harassment incidents occur, it may be appropriate to introduce this intervention to better understand causes and solutions.

In instances where undesirable behaviors that do not constitute harassment occur, managers can take steps to address and improve behavior. Employees should be encouraged to familiarize themselves with the definition of Harassment and options for formal and informal conflict resolution.^{Footnote 119} Managers can promote a respectful workplace by ensuring they communicate effectively with staff about expectations for respectful workplace behavior and the processes available to resolve issues related to harassment or other interpersonal conflicts.

HRWSB maintains an Employee Assistance Program aimed to provide confidential assistance or short term counselling to individuals experiencing personal and work-related problems. Employees can call a hotline to receive confidential support and coaching. The employee assistance programs have been shown to provide useful interventions for workplace conflict through educational campaigns for groups or individuals, and provide problem-specific coaching for managers on a case-by-case basis. While no evaluation of the Employee Assistance Program use at INAC was available at the time of this evaluation, Health Canada published survey data of their employee assistance programs and found that 69 percent of clients reported having less emotional difficulties at work, and 71 percent reported they were less absent at work following their Employee Assistance Program counselling sessions.^{Footnote 120} Leveraging individual employee support and a wide variety of formal and informal resolution processes can help prevent unreported harassment and encourage workplace wellness.

7.1.1 Recruitment

Recruitment and staffing are critical to effective Management. However, they must be practiced within the context of other activities including training and development, succession planning, workforce planning, and retention. For example, the process through which candidates go in order to be staffed as an employee is an indicator of the significance of these processes in the efficient functioning of the organization. The evaluation findings suggest that staffing processes require much thought and advanced planning.

Within INAC, the time it takes to staff positions is perceived to be extremely lengthy by non- Managers. The evaluation found that challenges in measurement in the time to staff positions is calculated and reported on differently by the Public Service Commission and INAC; this makes clarity on the issue difficult for non- managers. According to HRWSB data, the length of time to staff at INAC has decreased for the majority of staffing actions. However, average days to staff initial processes for External Advertised Collective increased substantially. The evaluation finds that this gives rise to the development of a consistent set of tools, such as a central library of ready-made general Statements of Merit Criteria to assist managers in initiating a staffing process, or the availability of pools that allow for flexible use by hiring managers. In addition, in order to ensure that hiring managers are well informed, it would be advantageous for INAC's function to proactively communicate with hiring managers.

The evaluation found the efficiency of the staffing process as an area impacted by a lack of clarity around roles and responsibilities of hiring managers and employees. The changes, which came as a result of the Common Human Resources Business Process, are not well-understood across the Department, nor uniformly implemented. The role of the National Administrative Unit has also added to challenges in staffing.

The mandate of the Human Resources Oversight Committee (formerly known as the Workforce Management Board) has changed; this Committee only approves high-risk staffing-related actions. However, since several actions were subject to the former Workforce Management Board's approval including, for example, term extensions, and internal external advertised processes, some senior managers are under the impression that this change is not reflected in the Committee's work. In order to improve on the staffing process, the evaluation found that better communication, appropriate resources for , as well as training and support for non- senior and middle managers will help alleviate these challenges.

In the regions, hiring managers identified challenges associated with the new model. The evaluation found differences in the hiring model of the regional hiring directors and managers at National Headquarters. Within the regions, the evaluation identified challenges that still remain as a result of the re-engineering, including the separation of the Planning function at the regional office and the staffing and classification responsibility resting with the Service Centre. As noted by interviewees, optimal strategic planning and large-scale reorganization exercises will result from an integration of these functions.

With respect to Indigenous recruitment, the aspirational goal of 50 percent Indigenous hires has proven to be challenging even though INAC has several recruitment initiatives that promote the hiring of Indigenous employees. As of December 1, 1993, the Indigenous representation at INAC was 13 percent of all employees which went up, by December 1, 1994, to 15 percent of all employees^{Note de bas de page 121}. The evaluation finds that the level of Indigenous representation and the number of Indigenous peoples working at INAC grew slightly over the evaluation period. In the context of the slight growth of Indigenous representation at INAC, the evaluation encourages the Department to strengthen its facilitation of Indigenous hiring. For example, integrated planning of human resources and recruitment initiatives undertaken within current staffing activities will be beneficial for INAC.

7.1.2 Development

In an effort to be in line with the federal government's priority of fiscal prudence, the evaluation found that the Department has increasingly relied on lower cost online training for their employees to access career-related training.The training and development practices are geared towards building skill competencies performance and productivity.For example, INAC employees have access to any number of sources for development and training, including training and events offered by private, not-for-profit and public sector suppliers, offerings available directly from within the Department itself, and courses and training delivered by other government departments, particularly the Canada School of Public Service.

The evaluation also notes however, that INAC could strengthen its employee development activities. For instance, the availability of information on the number of training days or courses attended by employees would provide senior managers with specific information and data that will support effective investment in training while identifying training gaps. Further, it could help both INAC and the Canada School of Public Service tailor its course offerings to respond to changing INAC and public sector employee needs. This can be done through improved monitoring of planned versus actual training as identified in employee Public Service Performance Management agreements and learning plans. At the same time, recognizing that regional use of PSPM agreements tends to be lower than rates observed in the National Capital Region this is an opportunity for closingthe disparity between regional and National Capital Region completion rates.

In the case of Indigenous employees, the evaluation found that across the Public Service, Indigenous representation within the executive cadre tends to be below workforce availability levels. INAC has taken steps to encourage Indigenous representation in executive levels across the Department with targeted Indigenous leadership development initiatives, which data shows have yielded some positive impact on participant's upward mobility. Although these initiatives are in place, Indigenous learning and development continue to face challenges.

7.1.3 Retention

It is also equally important to note that the benefits of employee development are many, including employee retention. Employees have many options available to them including transferring to another organization if they are not satisfied. Further, the availability of promotion and career development opportunities within the Department is not only linked to retention outcomes but also to development initiatives.

According to INAC's Corporate Human Resources Plan 2014–2020 it is important to retain "sufficiently qualified, experienced and representative employees" to encourage the proper functioning of day to day activities and program delivery and retention. This has remained a critical component of INAC's activities during the period covered by the evaluation. While this may be the case, the data shows that the departure trend in INAC is more than twice the size of entries into the Department, something that can be attributed to different factors. This situation, as the evaluation has found, necessitates a continued need for INAC to identify and deliver activities that aim at retaining an experienced, qualified and representative workforce.

In INAC's regions, the Department's risk trend analysis done in support of this evaluation noted the risk that "regions will not be able to retain experienced employees (due to turnover, decreased morale, lack of training)," a key area of concern that is associated with a high risk. In addition, there has been a reduction in overall satisfaction, which is observable in comparable departments and the public service as a whole; however the decline has been slightly greater at INAC.

In Indigenous employee retention, the situation is similar, showing that in 2014–15, for example, Indigenous departures were more than four times higher than Indigenous entries into INAC. Despite this trend, as the report shows, the departure data for Indigenous employees indicates that INAC has been successful at retaining Indigenous employees given the general decline in the size of the Department's workforce.

Overall, the evaluation concludes that the management of human resources is a priority area of the federal government. Within INAC, is a key organizational leader that partners with other executives to work cross-functionally to integrate objectives into how business gets conducted within the Department. Documents reviewed and interviews have shown that the issues, concerns, and priorities of are regularly discussed at -related Executive Committee meetings to ensure that objectives support the business goals of the Department.

The evaluation indicates that while there is a need for more resources for the function (coupled with required training and support for non- senior and middle managers), ongoing efforts by the function will help position it for enhanced levels of client service, to clarify roles and responsibilities, and to provide guidance and advisory services relating to management-owned processes.

2.1 Considerations and Limitations

The main limitation of this analysis was the lack of readily available risk mitigation information and results at the time EPMRB evaluation (between September, 2014 and December, 2015). A number of program and regional risk profiles were missing mitigation strategies and departmental policy does not require programs to track the results of past risk mitigation strategies. In addition, the departmental requirement of each program to include risk information and mitigation strategies for its top three to five risks in its performance measurement strategy did not come into effect until 2014^{Footnote 134}. Therefore, a number of programs had not yet implemented the requirement at the time this analysis was completed (August, 2015).

A second limitation was that not all programs were captured in the analysis of human resources risks at the program level due to the absence of risk assessments completed by certain program areas. With the support of the Audit and Evaluation Sector, all programs are in the progress of updating performance measurement strategies to include risk analyses. This effort will address the current gaps in program risk information.

A third limitation of this analysis is that it does not examine human resources risks at the branch or sector level. Currently, branches and sectors are encouraged, but not required, to complete a risk assessment; therefore risk information at these levels is minimal. The Northern Affairs Organization is the only sector that had developed a sector risk profile at the time this analysis was completed, although a risk profile for Resolution and Individual Affairs Sector was in development. The Northern Affairs Organization Sector risk profile was reviewed as part of the section of this analysis specific to the northern perspective.

It is important to take into consideration that all risk assessments and profiles at INAC are developed through the use of qualitative data collection, including key informant interviews and facilitated focus groups and workshops. As such, risk documentation reviewed for this analysis capture the opinions of key informants concerning both real and perceived risks to achieving departmental objectives, and findings cannot control for individual biases.

3.1 Human Resources Risks at the Program Level

All INAC programs are required to develop and maintain program risk assessments that will inform program activities, planning, performance measurement, and program renewal^{Footnote 135}. Overall, risk assessments were conducted covering twenty-four INAC programs from 2010 to 2014, inclusively. Of the risk statements assessed by each program, sixty-six percent were rated as high risks, twenty-two percent as moderate, and eleven percent as low.^{Footnote 136} The number of human resources risks identified varied by program from none to seven. Risk ratings varied depending on the program area, with some programs assessing risks at a higher level than others. For example, it was found that programs under The People and The Government strategic outcomes assessed all risks in the category as high, while programs under The North and The Land and Economy strategic outcomes assessed risks as ranging from low to high. At the program level, five key risks were identified by three or more programs. Table 14 presents each of the key program risks and their respective risk rating.

The three most common risks identified by programs were i) the risk that programs did not have the required skills/technical expertise among staff to effectively administer the program (forty-six percent of programs), ii) the risk that the program will have an insufficient level of human resources to maintain current level of service delivery or meet program objectives (twenty-nine percent of programs), and iii) the risk that the program will be unable to retain staff (twenty-nine percent of programs). Each of these risks was consistently assessed as a moderate or high risk, ratings which require monitoring by program senior management and, for high risks, the development of mitigation strategies. Seventeen percent of programs also identified the risk that insufficient knowledge transfer will lead to a decrease in the capacity of program employees as being a moderate to high risk. The risk that the program will be unable to attract and/or hire staff with the right skills in a timely manner was also identified by seventeen percent of programs, although this risk was rated as a low to moderate risk to be monitored through routine program administration.

The analysis of program risk profiles determined 10 key business conditions identified by three or more programs that contribute to the existence, likelihood and impact of each program risk. Many of the key business conditions contribute to multiple risks. Table 15 displays the alignment of each key business conditions with the appropriate key risks.

Turnover and anticipated vacancies, such as the number of employees who are eligible for retirement, was the most common business condition contributing to program risks. Fifty percent of programs stated that turnover significantly impacted their ability to maintain corporate knowledge or was a challenge to the retention of program staff's technical skills and capacity to achieve program objectives. Thirty-eight percent of programs also identified the need for specific skill sets and technical expertise as contributing to their risks of being unable to attract and hire qualified staff, and to deliver quality services. Supplementary commentary provided in some program risk profiles noted that use of general statements of merit and the requirement of recruiting employees from priority lists and established pools limits their ability to hire individuals with the technical expertise required to carry out program activities. Training and capacity building for new employees was identified by twenty-nine percent of programs as contributing to the risks that programs will not be able to retain and attract qualified staff and that staff may not have the required skill sets to effectively administer programs. However, twenty-nine percent of programs also stated that improved alignment and use of available human resources and individuals' capacity would enhance program efficiency and effectiveness.

Thirty-three percent of programs stated government cut back initiatives such as the Deficit Reduction Action Plan and freezes to operational budgets and A-base funding made it difficult to fill key vacant positions and gaps in technical expertise in a timely manner. Limited A-base funding can also result in programs depending on temporary positions. Seventeen percent of programs identified this dependency as a major barrier to attracting and retaining qualified employees and maintaining corporate knowledge.

According to seventeen percent of programs, the risk of insufficient knowledge transfer is also driven by the lack of resources allocated to retaining corporate knowledge. Seventeen percent of programs stated that succession planning is often inadequate and some programs have no succession planning mechanisms in place. This business condition may be exacerbated by the number of anticipated retirements among experienced staff. Twenty-one percent of programs, primarily within the Community Infrastructure Branch and Northern Affairs Organization sector, indicated that sector re-organization and major program changes contributed to program instability and the loss of corporate knowledge.

In 2012-2013, INAC's function and hiring processes underwent major changes as a result of Deficit Reduction Action Plan. A number of functions related to hiring processes were delegated to managers and support from the corporate Human Resources and Support Services Branch was reduced^{Footnote 137}. Due to the learning curve of associated with these this administrative functions, the capacity of managers to focus on operational requirements was negatively impacted. Twenty-one percent of program risk profiles reported that the delegation of hiring responsibilities to managers and the length and complexity of the hiring process significantly contributed to program risk of being unable to hire qualified employees and the risk of having insufficient human resources to carry out their mandate. In some cases, delays in the hiring process may have resulted in losing candidates to other organizations or competitive processes (noted by twenty-one percent of programs).

3.2 Risk at the Regional Level

INAC regions required to develop and maintain a regional risk profile. All ten regions completed risk assessments between 2010 and 2014 inclusively. Overall, seventeen percent of regional risks that were taken to the assessment phase of the risk cycle were rated as being moderate, seventy-five percent were rated as high, and eight percent were rated as extreme. Only three regions assessed one or more risks as moderate, with only one region (Quebec) rating no risks above the moderate level. The number of risks identified in each region varied from one to five.

All key risks identified by three or more regions were assessed as high, and therefore require monitoring by senior program management and the development of mitigation strategies. Of the four regions that identified Key Risk #1, two assessed this risk as extreme, a level that requires close monitoring by senior management and reporting on the risk to department executive, including Operation Committee and the Deputy Minister^{Footnote 138}.

The three most common risks identified by regions were i) the risk that the region did not have the financial and human capacity to meet workload demands and fulfill its mandate (fifty percent of regions); ii) the risk that regional staff do not have the right skills or experience to carry out regional obligations (fifty percent of regions); and iii) the risk that the region will not be able to attract, recruit and retain sufficiently qualified, experienced and representative human resources in a timely manner (40 percent of regions)^{Footnote 139}.

Thirty percent of regions identified the risk that the region will not be able to retain experienced employees. Supplementary commentary provided in these risk profiles indicated this risk was a result of high turnover, decreased employee morale due to increased workloads, and/or a lack of employee training. Thirty percent of regions also indicated that there is a risk that the region does not effectively train employees for assignment roles, either due to a lack of capacity or inadequate use of internal development tools.

The analysis of regional risk profiles revealed ­­12 key business conditions contributing to the existence, likelihood and impact of risks. Table 17 presents the key business conditions identified by three or more regions and aligns each business condition with the key regional risks.

The length and complexity of the hiring process was most common business condition, identified in all of regional risks profiles. The hiring process negatively impacts the capacity of regions to meet workload demands in order to fulfill their mandates (key risk #1), and the ability to attract and recruit qualified staff in a timely manner (key risk #3). This business condition may also lead to a region not having the right skills or experience among staff members to effectively carry out regional obligations (key risk #2). According to forty-four percent of regions, hiring processes are further delayed by government requirements such as advertising positions externally and utilizing staffing pools to fill vacancies. A couple of regions also noted that using staffing pools does not always result in the selection of the candidate who is the "best fit" for the position.

Eighty-nine percent of regions identified changes to the corporate function (including the transition to service centres), high turnover, and a lack of effective formal succession planning as challenging business conditions that contribute to a number of risks.^{Footnote 141} As previously noted, changes to the corporate function in the Department implemented in 2012-2013 included tasking managers in regional offices with additional responsibilities during hiring processes. There is concern among regions that managers were not properly trained prior to the expansion of their role to include these additional responsibilities. In addition, three service centres were established for eastern, central and western regions of the country to provide services previously provided by full time equivalents within regional offices^{Footnote 142}. Regions indicated that there was insufficient time and resources allocated to transitioning to the service centre model, and as a result, there may be gaps in service delivery to regions. The implemented changes also contribute to the lengthy hiring process and impact the department's ability to attract and recruit qualified staff in a timely manner (key risk #3). This business condition is also linked to key risks #1(capacity to meet workload demands) and #2 (staff with right skills and experience) because managers may not have received proper training on the hiring process and their additional responsibilities may distract from effectively fulfilling operational duties.

High turnover throughout the department and anticipated vacancies due to the number of upcoming eligible retirements also contribute to risk of being unable to attract, recruit qualified human resources (key risk #3). This risk is increased by a lack of effective succession planning in most regions. Together, these business conditions may lead to the loss of corporate knowledge and further increase the likelihood of being able to retain staff (key risk #4). Similarly, sixty-seven percent of regions stated that employees are currently not provided with effective training, indicating that the risk that employees in the regions are not being effectively trained (key risk #5) has already materialized in some regions. This business condition also contributes to the risk of being unable to attract and recruit staff (key risk #3) and being able to retain staff (key risk #4) because employees are not being offered opportunities for training and career development. Thirty-three percent of regions also highlighted that fiscal restraint and an insufficient number of classification levels have resulted in reduced mobility and limited opportunities for career advancement, making it difficult for regions to attract, recruit and retain staff (key risks #3 and 4).

Fifty-five percent of regional risk assessments indicated that regions must compete with the private sector and other levels of government in regions in order to attract recruit and retain qualified and experienced employees, noting that the federal government is not always perceived as an employer of choice. This business condition contributes to the risk of being unable to meet workload demands to fulfill the mandate and being unable to attract, recruit and retain staff (key risks #1, 3 and 4).

Fiscal restraint exercised across government significantly contributes to human resources risks in the regions. DRAP resulted in an increase in workload pressure on remaining employees and decreased employee morale across the Department^{Footnote 143}. The effects of DRAP were identified sixty-seven percent of regions as a business condition. Fifty-five percent noted that there are shortfalls in salary funding and managers are unable to backfill positions of departing staff, further increasing workload of employees who remain. Thirty-three of regions highlighted that most regional employees interact directly with clients, funding recipients and the public, and face challenging work conditions such as litigation, media scrutiny and complex local relationships in addition to an increased workload caused by government cutbacks. The challenge of competing with other governments and sectors is also linked to a lack resources allocated to providing effective training to current regional employees, facilitating career development and funding the relocation of successful candidate recruited from outside the region. Business conditions related to fiscal constraint and workload can be linked to all five key risks across regions.

3.3 Risk at the Corporate Level

Every year, the Department produces its Corporate Risk Profile. The Corporate Risk Profile is a point in time reflection of the most significant risks that threaten achievement of INAC's mandate. Effective management of these corporate risks demonstrates accountability, and will support effective and efficient contributions to strategic outcomes. Senior management is accountable for maintaining current controls and developing and implementing mitigation strategies that address the existing business conditions that contribute to each of the corporate risks. The Corporate Risk Profile and corporate business planning process serve as the primary means of assessing and planning to respond to corporate risks. The Corporate Risk Profile process is facilitated by the Risk Management Centre within the Audit and Evaluation Sector and the annual update of the Corporate Risk Profile is championed and led by the Deputy Minister and the Chief Audit and Evaluation Executive. The results of the Corporate Risk Profile feed directly into the corporate business planning process of the department, explicitly informing the establishment of both priorities and plans.^{Footnote 144}

Each Corporate Risk Profile risk statement is validated by the Assistant Deputy Minister lead of that risk and current business conditions and controls are identified. The corporate risks are assessed by Senior Management Committee and risk mitigation is developed, approved and reported to Operations Committee by assistant deputy ministers or directors general assigned by the Deputy Minister to lead each corporate risk.

The Director General of Human Resources and Workplace Services Branch serves as the Capacity risk lead^{Footnote 145}. Capacity risk has been consistently assessed as one of INAC's highest corporate risks. This risk was assessed by Senior Management Committee as "high" in four of the past five years. In 2013, this risk was assessed as "moderate"; however, its rating was elevated to "high" the following year. Table 18 shows the rating results for the Capacity risk as voted by members of the SMC from 2010 to 2014.

Table 18: Rating of the Corporate Human Resources Capacity Risk Over 5 Years (2010-2014)

Business conditions contributing to corporate level risks often change year over year in response to changes to departmental and government priorities. To ensure this analysis provides an accurate depiction of the most current business conditions driving the Department's Capacity risk, this section focuses on the business conditions that have persisted at the corporate and continue to challenge the timely recruitment, development and retention of qualified, experience and representative human resources. The 11 key business conditions presented in Table 19 were selected because they were identified in two or more corporate risk profiles over the last five years, including the 2014 Corporate Risk Profile.

The length of the hiring process has been a consistent business condition negatively impacting the Department's Capacity risk over the past five years, particularly regarding the government's ability to recruit qualified, experienced and representative employees. This business condition was identified in four of the last five corporate risk profiles, the exception being 2012, the year DRAP was introduced and significant human resources cutbacks were implemented across the public service. The corporate risk profiles analyzed noted a number of factors that contributed to the length of the hiring process.

In 2010 and 2013, it was noted that a knowledge gap exists among hiring managers, particularly surrounding hiring administration, and managers may not be receiving adequate support from the departmental function. More responsibility for the hiring process was shifted to hiring managers in 2012-2013, creating a difficult learning curve for which managers may not have been adequately prepared. In 2010, 2011 and 2013, it was also stated that hiring managers may not be aware or effectively making use of available tools to assist in the hiring process, such as pools; however, in the same years, collective hiring process were considered to be time consuming and less effective in the region. The 2013 and 2014 corporate risk profiles noted that the implementation of common processes delay hiring because there are multiple parties involved in the process and hiring managers have less flexibility to hire "best fit" candidates in a timely manner. While the Workforce Management Board has been effective in approving hiring strategies for anticipated vacancies, the Workforce Management Board process has delayed the hiring process for some unforeseen vacancies.

All five corporate risk profiles included in the study indicated that a dispersed location of offices is a key business condition creating a challenge to recruitment and retention. In particular, isolated post such as northern regional offices have difficulty recruiting qualified resources for positions requiring professional and scientific expertise, and as a result these offices sometimes have long-term vacancies. The location of offices also poses a challenge to recruiting qualified Indigenous candidates for position because these candidates may be reluctant to re-locate away from rural communities to the National Capital Region and other city centres.

Competition with the private sector, other federal departments and other levels of government was presented as a risk business condition in all corporate risk profiles analyzed. A number of factors contributing to this business condition include: the negative perception of government as an employer of choice (2010, 2011 corporate risk profiles); pay scales of the federal public service compared to the private sector (2010, 2011, 2013 corporate risk profiles); and a high demand for qualified Indigenous staff creates a challenge to recruiting and retaining a representative work force and meeting Indigenous hiring targets. The length of the hiring process may impact this business condition, as it contributed to the negative perception of government hiring practices, and the department may be losing candidates to competitors as they wait for their letter of offer.

High turnover in the Department was considered a key risk business condition highlighted in multiple corporate risk profiles. In 2010, 2011, and 2013, it appears that the number of employees eligible for retirement was the main concern regarding turnover. Although the number of eligible retirements was not highlighted as a risk business condition in 2014, the department's ability to plan and recruit to fill vacancies caused by turnover is an ongoing challenge.

The Department's corporate risk was significantly impacted by the effects of organizational transition from 2011 to 2014. Major organizational change initiatives were undertaken over the time period covered in the study (fiscal years 2010 to 2014), including the DRAP and Responsible Expenditure Management efforts, territorial devolution, and program and sector restructuring activities. These changes also included the implementation of common and centralized practices and salary envelop freezes, which were deemed so significant that they were identified as separate risk business conditions in the corporate risk profiles analyzed and will be discussed later in the document.

The effects of organizational transition identified in corporate risk profiles included: human resources that would otherwise be spent on hiring, employee wellness and training were consumed by transition activities (2011, 2012 corporate risk profiles); organizational change creates a challenge to determining what skill sets will be required post-transition and to plan recruitment and retention accordingly (2011, 2013); there is often a loss of specialized skill sets (2012, 2013); and there are negative impacts to employee wellness, morale, productivity, and mentoring activities, especially when transition results in loss human resources (2012, 2013, 2014). The devolution of the Northwest Territories Region to the territorial government also created vacancies and the perception of instability in the regional office resulting in further challenges to recruitment. In the future, this factor may increase the risk of retaining staff in the Nunavut regional office as the territory moves toward devolution. In addition, in both 2012 and 2014, it was noted that absenteeism may be increasing, in part due the effects of transition on employee wellness.

Transition exercises resulted in the introduction of salary envelop freezes and limitations on O&M spending. This effect was identified as a key risk business condition in all corporate risk profiles analyzed. Restrictions on available A-base funding challenge the department's ability to recruit and retain qualified and experienced employees to address skill and knowledge shortages caused by organizational transition and turnover. This also puts pressure on remaining employees to do more with fewer resources in order to full departmental obligations. As a result, managers are turning to less costly hiring alternatives, in some cases relying on term hires. However, it is difficult to recruit for temporary position and reliance on these positions can lead to less stability in program and service delivery, and difficulty retaining corporate knowledge.

The implementation of common processes was highlighted as a key business condition contributing the Department's Capacity risk in the 2013 and 2014 corporate risk profiles. As discussed previously, there is a learning curve associated with the additional responsibilities that were placed on hiring managers, and these managers may not be receiving adequate support so that a knowledge gap still exists. Business Management Units (BMUs) have adopted some related activities, such as providing advice to managers; however, this is often outside of the BMU's expertise and can negatively impact decision-making. Having a number of different parties involved in the hiring process results in delays, and hiring managers have less flexibility to hire "best fit" candidates in a timely manner, and while profiles indicated that Workforce Management Board has been effective in approving hiring strategies for anticipated vacancies, the Workforce Management Board process has delayed the hiring unforeseen vacancies. The 2013 Corporate Risk Profile stated that the creation of Service Centres in the Department has caused confusion over roles and responsibilities, and has resulted in unintended gaps in -related functions such as employee recognition, co-ordination of learning and development plans related to training. Although the 2014 Corporate Risk Profile does not attribute these service gaps to the creation of Service Centres, it does identify these gaps as factors to the Capacity risk in relation to ineffective performance management as a key business condition of the department's risk.

In the 2010, 2011, and 2014 corporate risk profiles, ineffective performance management practices were considered key risk business conditions. In all three corporate risk profiles, senior management identified that the department does not effectively address low-performance. A related business condition was identified in corporate risk profiles from 2011 to 2014 is that there is limited opportunity for employee training and career development. Causes for this gap included cuts to operation budgets including travel restrictions (2011-2014) and that learning plans do not always adequately reflect operational skills and development needs of employees (2013, 2014). The 2014 Corporate Risk Profile added that performance management in the Department does not prioritize formally developing strong performers and future leaders, and that training is seen by some managers as not worth the cost or time investment, or as a lower priority in a cost-restrained environment. In addition, financial restrictions on A-base funding also result in reduced opportunities for career advancement, which can create a challenge to retention (2012, 2014).

The final Capacity risk key business condition relates to employee physical security. The 2013, and 2014 corporate risk profiles state that "there are situations in which the inherent threat to the physical safety of INAC employees is heightened (e.g. transporting Treaty Payments, service windows, handling of firearms)" and "[t]here may be security events (e.g. demonstrations) for which employees do not have formal training or tools."

3.4 Common risks and business across all levels of the Department

The tables in this section present the key risks and business conditions that are common across all levels of the department studied as part of the trend analysis. Table 20 indicated that risk statements and their comparative risk ratings. There are three key risk statements that were identified by both programs and regions: i) there is a risk that the [organization] does not have the required skills/technical expertise among staff to fulfill obligations; ii) there is a risk that the [organization] will have an insufficient level of human resources (capacity) to maintain current service delivery and meet objectives; and iii) there is a risk that the [organization] will be unable to retain staff. Programs tended to rate their risks lower than regions, with only one program risk receiving an average rating of "high" compared to all key risks in regions receiving a rating of "high" or above. For example, the regions rated the risk that "the [organization] does not have the required skills/technical expertise among staff to fulfill obligations" as "high", while programs rated this risk as "moderate" on average.

Table 21 demonstrates six key risk business conditions were identified in risk profiles for all levels of the Department that were examined. These six business conditions are:

1. High turnover and anticipated (eligible) retirements in the department can affect the retention of corporate knowledge and organization stability
2. There is a lack of training and capacity building for staff
3. Lengthy hiring process
4. Organizational transitions and re-organizations (DRAP, responsible expenditure management, devolution)
5. Government cutbacks and freezes to salary dollars and operational budgets creating a barrier to recruitment and staffing vacant positions, meeting objectives, and travel for business or training
6. Effects of implementing common processes

Risk Management Policy Instruments