maximizing our potential - oaspolicy priorities. as canada’s financial intelligence unit, we have...

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Unclassified FINTRAC Strategic Human Resources Plan 2016‐2019

Maximizing Our Potential

Strategic Human Resources Plan 2016-2019

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Table of Contents A Solid Foundation for Success

3

A Complex and Changing Environment 3

A High‐Performing Organization 4

A New Strategic Direction 4

Renewing the Policy and Legislative Agenda Leadership Competencies

5

Achieving Compliance through Collaboration Compliance Training Program

5

Modernizing Analysis to Bolster Intelligence Analytics Modernization Change Management Financial Intelligence Operations Training Program

6

Harnessing the Power of Strategic Intelligence 7

Advancing Enterprise‐Wide Initiatives Enterprise‐Wide Commitment to Learning

8

Ensuring Our Structure Supports Success 8

Renewing the Workforce Student Hiring Recruitment Inventory On‐Campus Recruitment and Post‐Secondary Recruitment Program New Tools and Branding

9

Growing Talent from Within Leadership Development FINTRAC 101 and Best of EXCO Second Language Training and Language Buddy System Take Me with You Program FINTRAC Exchange Program

10

Capitalizing on the Richness of Diversity Employment Equity and Multiculturalism Federal Student Work Experience Program

11

Nurturing a Culture of Inclusiveness and Respect FINTRAC Code of Conduct Values and Ethics Training and Tools

12

Cultivating Excellence through Collaboration and Engagement FINTRAC Skills Bank Public Service Employee Survey

12

A Call to Action 13

Annex A: Key Initiatives and Timelines for Maximizing our Potential 2016‐2019 14

Annex B: FINTRAC People Management Framework and Key Initiatives 2016 15

Annex C: FINTRAC Population 2016 (Demographics Infographic) 16

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As the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) enters its sixteenth year in operation, we have reached a seminal point in our evolution from fledging agency to internationally respected financial intelligence unit. As we look to the future, we will achieve our vision to be the leader in the exploitation of financial intelligence by maximizing the potential of our people, strengthening and expanding our partnerships, and leveraging our expertise to anticipate and address future challenges. The purpose of this plan is to articulate the key people management strategies that will assist us in achieving these strategic objectives.

A Solid Foundation for Success In 2011, FINTRAC adopted a comprehensive People Management Framework that linked the Leadership, Workforce, and Workplace drivers of a high performing organization. Since that time, we have worked steadily to develop and enhance the components of the framework. Even as the organization’s operating environment and priorities evolve, the framework provides a solid yet flexible foundation on which to build. Annex B highlights many of our successes to date, and this plan represents a significant new milestone for the Leadership driver, setting the direction for continued success.

A Complex and Changing Environment The world’s financial systems are rapidly evolving, becoming increasingly transnational and technology‐enabled. As detailed in the FINTRAC 2015 Environmental Scan, the volume of international transfers to developing countries has increased significantly and the number of online transactions is estimated to have doubled since 2010. Technology companies are now entering the financial services markets and the use of digital currencies is on the rise. With global remittances in the billions, organized crime groups, cybercriminals, human traffickers and terrorist organizations, among others, are growing more sophisticated, seeking to manipulate any vulnerability to their advantage. Similarly, the global terrorism threat environment is multifaceted and fluid, marked by international political and civil unrest in several regions. The rise of the Daesh and other terrorist organizations, an increase in the recruitment and financing activities of foreign terrorist fighters, and effective radicalization tactics that incite domestic acts of terrorism complicate the work of FINTRAC and its partners at home and abroad. In light of these and other considerations, the Department of Finance has already signalled its intention to review various aspects of the anti‐money laundering/anti‐terrorist financing (AML/ATF) regime. In order to better understand, predict and capitalize on opportunities to enhance the profile and value of financial intelligence and deliver meaningful results for Canadians in the fight against money laundering and terrorist financing, we must maximize the potential of our greatest asset – our people.

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A High‐Performing Organization In 2015‐2016, FINTRAC received and safeguarded more than 23 million financial transaction reports. We answered 5,468 reporting entity enquiries, issued 302 policy interpretations, and imposed our first administrative monetary penalty on a federally regulated financial institution. We also received an increased number of voluntary information records from our partners and the public, and provided a record 1,655 disclosures of actionable financial intelligence to support investigations across the country and around the world. In addition, we completed 15 strategic intelligence projects delving into areas such as priority threat actors, professional money laundering networks and emerging trends in fintech, and collaborated closely with regime partners on Canada’s preparations for the Financial Action Task Force (FATF) Mutual Evaluation.

FINTRAC has come a long way, particularly in the past four years. With a mantra of compliance for intelligence and intelligence for enforcement, we have strengthened our programs systematically to improve results. Our new approach to compliance is risk‐based, aimed at maximizing the intelligence value of information received and addressing potential vulnerabilities proactively. We established a dedicated team to work with our major reporters, who are the source of over 80% of the reports the Centre receives, and by targeting outreach efforts on suspicious transactions we have helped reporting entities increase this key type of reporting by 63% over the past five years. By keeping abreast of law enforcement and national security partner priorities, we have also significantly enhanced the value of the financial intelligence we provide. FINTRAC is the only non‐law enforcement agency to ever be granted full membership on the Canadian Integrated Response to Organized Crime (CIROC) Committee, and our contributions were publicly recognized in at least eleven significant investigations in the last year alone. In addition to assisting our partners with individual investigations, FINTRAC is an internationally recognized centre of expertise for the development and dissemination of strategic financial intelligence. We are actively involved in international capacity building efforts as a member of the Egmont Group’s Technical Assistance and Training Working Group, among others, and we continue to evolve our relationships with our Five Eyes partners, sharing intelligence as well as best practices and approaches to compliance, legislation and other areas of mutual interest. In achieving these exemplary results, our collective commitment to excellence is evident. From the compliance officers out in the field to the information technology professionals maintaining our critical systems, from the intelligence analysts tracking transaction flows to the finance and administration officers managing our resources, every FINTRAC employee makes a valuable contribution. Our employees are highly skilled and knowledgeable, committed to a common purpose, and eager to collaborate to maximize results.

A New Strategic Direction Our new Strategic Plan supports our vision to be the leader in the exploitation of financial intelligence and will guide our activities for the next three years. The plan articulates an ambitious transformation agenda that challenges us to re‐examine our roles, reimagine our programs and renew our technologies and processes. In order to successfully transform our business and achieve our vision, it is essential that

Did you know?

Approximately 94% of FINTRAC employees have completed at least one post‐

secondary degree, diploma or certificate program.

The disciplines are broad and include business, economics, computer science,

law, engineering, criminology, psychology, and political science.

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we maximize the potential of our people. To this end, we will recruit and manage our talent strategically to ensure that our employees have the expertise, skills, agility and attitude to position the Centre for success in a rapidly changing world.

Renewing the Policy and Legislative Agenda FINTRAC’s financial intelligence supports Canada’s broader public safety, national security and foreign policy priorities. As Canada’s financial intelligence unit, we have a responsibility to engage and inform partners, policy leaders and other stakeholders to ensure that the role and value of financial intelligence are clearly and broadly understood. At this critical juncture, we are seizing the opportunity to modernize our legislative environment. By engaging with key partners, such as the Department of Finance, the Royal Canadian Mounted Police, Public Safety Canada, the Department of Justice and the Privy Council Office, we are identifying important legislative changes that will enhance our contributions to the AML/ATF regime. Through our Policy Research and Development Agenda, we will seek to further enhance the efficacy and impact of the Compliance Program, and in particular its administrative monetary penalty and money services business registration components. We will also review the types and timeliness of information we receive and our list of disclosure recipients, looking for opportunities to enhance or expand where appropriate because a globally networked problem requires an equally coordinated response. In order to tell a comprehensive and compelling results story and make the case for the changes we envision, we will need to mobilize policy and program expertise from across the Centre and engage with a broader base of stakeholders both domestically and internationally. As we look to expand our sphere of influence, strong leadership and strategic thinking skills will be essential to our success. The FINTRAC Leadership Competencies are at the core of our Talent Management System and encourage employees to consistently demonstrate values and ethics, strategic thinking, engagement and excellence in all they do. The competencies were first adopted in 2011, and were based on the Key Leadership Competencies employed by the broader public service. The Treasury Board of Canada Secretariat has since introduced new leadership competencies for executives, which include upholding integrity and respect, creating vision and strategy, promoting innovation and guiding change, mobilizing people, collaborating with partners and stakeholders, and achieving results. Once the equivalent profiles for our team leaders and supervisors have been released, we will integrate the new competencies within our existing framework. By enhancing alignment with our public service colleagues we better position ourselves to leverage enterprise‐wide leadership development programs, and improve mobility for employees looking to broaden their experience.

Achieving Compliance through Collaboration Given the nature of our work, high‐value partnerships have always been critical to our success. We receive transactions from more than 31,000 businesses across the country, provide disclosures to a long list of police, law enforcement and national security partners, collaborate with federal and provincial

Did you know?

59% of our occupied positions are identified as bilingual, and as of May 2016 all employees in these positions met their bilingual requirements.

In addition, FINTRAC employees collectively boast capacity in more than 30 languages, including

Mandarin, Spanish, Arabic and Russian.

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government regulators, and maintain strong relationships with foreign financial intelligence units and other international organizations. In recent years, some of these partnerships have led to new, more collaborative ways of working. For example, FINTRAC and the Canada Revenue Agency developed a shared reporting process for Electronic Funds Transfers that employs a “tell us once” strategy, minimizing the administrative burden for Canadian businesses that must provide information to both organizations while ensuring the integrity of our data holdings. Similarly, building on the success of our concurrent examination approach, FINTRAC and the Office of the Superintendent of Financial Institutions (OSFI) are establishing a joint assessment process that further leverages our combined expertise and reduces the regulatory burden on financial institutions. Once the Memorandum of Understanding between FINTRAC and OSFI has been signed, it will be made public reinforcing our shared commitment to transparency and open government. These highly complex and innovative collaborations require an advanced level of strategic thinking that maximizes value and minimizes risk in the current context, while anticipating the opportunities and challenges of the future. The fight against money laundering and terrorist financing begins on the front lines of Canada’s legitimate economy. Beyond conducting examinations to measure compliance, our employees play a key role in building relationships with reporting sectors, promoting greater transparency, improving the entities’ understanding of their legislative obligations, and ultimately enhancing compliance behaviours. As we continue to advance our risk‐based Compliance Program, we will seek to mature our relationships with reporting entities and embolden them to take a more prominent role in the fight. The goal is to move from a model of audit to one of assessment, working with reporting entities to create an increasingly hostile environment for those who seek to abuse or threaten Canada’s financial system. At the same time, we will strengthen the consequences for reporting entities that through complacency or complicity undermine the integrity of that system. This change in focus will necessitate a shift in mindset and an evolution in skill set. We will also be encouraging reporting entities to view our role and their responsibilities in a new light which will require significant engagement. Through our new national Compliance Training Program, we will be equipping our compliance officers to do their work differently, focusing on essential business acumen as well as areas such as effective assessments, interview techniques, and industry knowledge. The program will be robust and leverage a wide variety of the latest techniques and tools. Our aim is to create a world‐class program with the potential to be leveraged more broadly both internally and externally.

Modernizing Analysis to Bolster Intelligence With an inflow of more than 20 million financial transaction reports each year, leading‐edge tools are required to ensure compliance and support the production of actionable financial intelligence. Through our Analytics Modernization (AMO) initiative, we are investing strategically in our analytical system and business processes in order to enhance the value and timeliness of the financial intelligence disclosed to partners. The new system will automate manual processes and more fully exploit the Centre’s vast data holdings. These advancements will enable intelligence analysts to focus on more strategic, value‐added activities, exercising greater judgement and making broader connections to meet partner priorities and needs.

Did you know?

52% of Compliance Sector employees

work out of FINTRAC’s regional offices, located in Toronto, Montreal and Vancouver.

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The purchase of a significant commercial‐off‐the‐shelf (COTS) tool also changes the work of our information technology (IT) and security professionals, who were previously responsible for developing in‐house solutions. In the short‐term their ingenuity and expertise is needed to optimize the new COTS solution within the Centre’s technical environment. Once implemented their steady hands will be responsible for maintaining the system to ensure its on‐going security and effectiveness. Eventually, the implementation of AMO will liberate capacity that can be redeployed internally to address other priority needs. Looking ahead, we will continue integrating and aligning systems, modernizing processes, and improving data integrity to enhance results. For example, the existing compliance workbench is approaching the end of its life cycle and our current development platform imposes limitations that restrict the nature and types of applications our IT staff can deliver. Building on the success of initial AMO releases, we will seek to further capitalize on our investments with a view to creating a single enterprise system that results in greater integration and lower operating and maintenance costs. Implementation of game‐changing technology under AMO necessitates advanced analysis, judgement, adaptability and stress resilience skills. Employees are being supported through this important transformation with the help of a change management strategy that includes sector‐specific and FINTRAC‐wide communications and engagement sessions, as well as just‐in‐time training tailored to need. This strategy will continue to evolve throughout the phases of the project. As we move from concept to reality, we will learn more about the impacts and opportunities for the Centre as a whole. The way employees work will be different and the skill sets required will change, but through training and development opportunities, employees will be positioned for continued success. Once the system has been implemented, the increased analytical capacity it brings will enable FINTRAC to produce a greater number of more complex disclosures faster than ever before. By training our intelligence analysts to think more like investigators, we have an opportunity to enrich the value of our products by tailoring them to better serve the needs of our partners. To this end, we will continue to enhance our Financial Intelligence Operations Training (FIOT) Program, and also seek out new opportunities to work more closely with our partners to develop training that addresses common needs on a national and even international scale.

Harnessing the Power of Strategic Intelligence Criminal and terrorist organizations are employing the latest techniques and technologies to acquire, store and move money in support of their illicit enterprises. To detect, prevent and deter them effectively, we need to get ahead of them. From a strategic perspective, this means incessantly developing our expertise in an ever‐evolving range of areas, including priority threat actors, such as organized crime, foreign terrorist fighters and Daesh, high‐risk jurisdictions, professional money laundering networks, trade‐based money laundering, beneficial ownership, geospatial analysis, and the emerging field of fintech, which includes innovations such as mobile payments, peer‐to‐peer lending, blockchain technologies and cryptocurrencies. This type of knowledge cannot only be acquired in a classroom. Our strategic intelligence and data exploitation analysts will continue to innovate and engage in extensive research and work

Did you know?

Since the FINTRAC 101 learning series was

launched in 2012, more than 30 sessions have been offered to employees at

large on a variety of topics including compliance for intelligence, trade‐based money laundering and

international relationships.

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closely with domestic and international partners, as well as external experts in their fields. Collaboration with the Operations sectors is also more important than ever as a means to strengthen the intelligence gathered and produced by the Centre. The FINTRAC Exchange Program provides an opportunity for a cross‐pollination of expertise and looking ahead, AMO will provide a powerful tool for enhancing data mining and other strategic analysis capabilities.

Advancing Enterprise‐Wide Initiatives As a federal government institution, FINTRAC is also called upon to contribute to enterprise‐wide initiatives, including those linked to Blueprint 2020. Despite the significant challenges posed by competing timelines and limited resources, FINTRAC works diligently with the Treasury Board Secretariat, Public Services and Procurement Canada, Shared Services Canada and other partners to determine how key modernization initiatives, such as Back Office Transformation, Infrastructure Renewal and Web Renewal can be integrated with the Centre’s operations. In implementing the government‐wide Phoenix Pay System, the Centre partnered with the Communications Security Establishment (CSE) and Canadian Security Intelligence Service (CSIS) to share knowledge and expertise, particularly in areas of common concern. Now, as the Government of Canada looks to replace 70 distinct systems with My GCHR, FINTRAC is working assiduously with the Office of the Chief Human Resources Officer to determine if this would be an appropriate option for replacing our outdated legacy system. As new priorities and initiatives are identified, we take a strategic and measured approach to ensure that we are able to fulfill our obligations without overextending our resources. The Government of Canada has its own ambitious change agenda. There is a renewed focus on open and transparent government, outcome‐driven results and delivery, and achieving savings through increasingly coordinated back office administration. As more services are outsourced and more COTS tools are introduced there will also be heightened demand for project management and vendor relationship management skills. FINTRAC’s corporate strength must keep abreast of these changes, measuring performance and looking for innovative ways to achieve efficiency while maintaining a high calibre of support for our business operations. Helmed by the Canada School of Public Service (CSPS), the new enterprise‐wide commitment to learning enhances access for all public servants to a wider variety of learning opportunities. Under the new service delivery model, FINTRAC is allocated a specific number of seats for CSPS leadership development programs and signature events, and a total number of participant days for other programs and courses. An increasing number of online courses and resources accessible from any Internet connection are also available to employees free of charge. The new approach is of particular interest to our corporate teams because the CSPS has established learning communities for functional specialists in areas such as access to information and privacy, communications, finance, human resources, information management (IM), IT, policy, procurement, real property and security. FINTRAC will leverage its own needs analysis and utilization reports from the CSPS to ensure that it maximizes the value of these opportunities.

Ensuring Our Structure Supports Success As FINTRAC matures its business operations, it is important that its structures are optimized for success. Over the past year and a half, we have implemented a number of significant organization changes designed to help transform our business operations, concentrate our focus on policy and strategic

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intelligence, and provide more streamlined corporate support to the Centre as a whole. By optimizing our structures, we were able to pare down our executive positions by 15%, achieving savings to further strengthen operations. By providing a common vision and strategic direction for the Compliance and Intelligence Sectors, the new Deputy Director, Operations, has already advanced the single end‐to‐end process that underpins the compliance for intelligence and intelligence for enforcement concept. Linkages between the two sectors will continue to deepen, maximizing efficiency and effectiveness while respecting important legislative considerations and constraints. The streamlined structure and focus of the new Collaboration, Development and Research (CDR) Sector enables FINTRAC to enrich its contributions on a variety of domestic and international fronts. Drawing on the broad expertise and agility of its employees, CDR will continue to anticipate and respond to the most important policy and strategic intelligence questions facing the Centre, its partners and the Government of Canada. Consolidation of corporate functions, including Finance and Administration, Communications, Corporate Business Planning and Management, Security and IM/IT, under one umbrella has positioned the new Corporate Management Services Sector to be a true business partner, providing effective and integrated internal services to the Centre. Given FINTRAC’s unique legislated authority, the Human Resources Directorate continues to report directly to the Director and remains steadfastly committed to helping the Centre and its employees excel. All organization changes are implemented with a view to enhancing collaboration, innovation and results for the Centre. Moving boxes on a chart is easy, but it is the dedication and adaptability of our employees that is enabling us to fully realize the benefits of these moves. Together we ensure that our structure and ways of working support our continued success.

Renewing the Workforce Turnover is a natural occurrence in any organization and the Centre expects to maintain its healthy rate of 10‐15% per year. The annual staffing plan exercise enables us to make timely and strategic staffing and recruitment decisions. The staffing values of competence, fairness, transparency, access, non‐partisanship and representativeness provide a consistent frame to guide all recruitment decisions. We employ a variety of advertised and non‐advertised processes to meet temporary and permanent needs, taking into consideration labour market conditions, employment equity, skill shortages, and other relevant factors. As we look toward the future, we will continue to recruit talented people who share our commitment to collaboration, innovation, excellence and mutual respect. Our new recruits will reflect confidence, patience, an interest in new ideas, a willingness to share and get the job done, and a good sense of humour when the time is right. Our bar is set high and competition for this type of talent is intense so we must become more strategic in our approaches. Student hiring is one of the strategies we employ to renew our workforce. Over the past three years, we have hired an average of 53 students per year. This year, we bridged seven students upon completion of their studies, bringing the total to 47 since the inception of the program in 2009. A new recruitment inventory will assist us in streamlining the hiring process for generic, entry‐level positions. A pilot intake focused on a select number of job types will enable us to fine‐tune our assessment tools and multi‐phased approach, which will take into consideration the skills we need today and for the future. Based on the results of the pilot, the inventory may be adapted to suit a wider variety

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of requirements. At the same time, we will also be developing innovative strategies to address positions that are difficult to fill, for example because of unique specialization, skills shortages, or high turnover. As part of the inventory and other strategies, we will explore avenues such as on‐campus recruitment and the Public Service Commission’s Post‐Secondary Recruitment program as a means to generate interest and high potential applications. With a goal of attracting the brightest and best, we will also enhance our broader recruitment tools and branding. Taking cues from partners like CSE and CSIS, we envisage a new, more vibrant recruitment site that better promotes our career opportunities and the benefits of working at FINTRAC. It will also provide information regarding our selection processes in a helpful question and answer format. In addition, we will explore social media to tap new sources of candidates, and evaluate the potential of innovative online tools as a means to streamline our assessment processes. We want the candidate experience to be reflective of the dynamic nature of our organization. The work we do may be secret, but our status as an employer of choice should not be.

Growing Talent from Within The majority of the talent we will leverage to achieve our ambitious objectives is in fact already with us. Therefore, succession planning will become a focal point and we will be investing in development strategically and managing performance proactively to enhance the contribution of each and every employee. A move to implement a team leader structure more consistently across the organization and an unusually high turnover in our executive cadre in 2015‐2016, created new career development opportunities and encouraged a renewed focus on leadership development activities. Under the enterprise‐wide commitment to learning, the CSPS is launching a series of new leadership development programs, which feature a blend of online and in‐class learning. Last year, FINTRAC maxed out its seat allocation for the new Manager and Supervisor Development Programs and was able to secure extra spots for this year. In addition, the CSPS Learning Communities for Managers/Supervisors and Executives provide access to a wealth of courses, events, videos, blogs and other resources, accessible free of charge to all public service leaders through the GCcampus. The FINTRAC Leadership Forum provides a unique professional development opportunity for the executive cadre that fosters greater collaboration and a common understanding of our values, vision and goals across all sectors. Themes from the Forum are mirrored in other activities and events such as the Leadership Series and corporate training to ensure that key messages also reach the broader FINTRAC audience. By equipping our leaders to excel in their roles, we will better position the Centre for success particularly in times of transformation. FINTRAC ensures that its learning and development investments support its current and emerging business priorities, as well as employees’ professional development, in a manner that promotes knowledge sharing and value for money. In addition to sector‐specific training programs, the Centre offers a variety of internal learning opportunities, such as the FINTRAC 101 series, part‐time second language training, and the Language Buddy System. Building on the success of the FINTRAC 101 series, we will launch two new programs aimed at helping employees better understand our governance and

Did you know?

FINTRAC’s integrated approach to compensation includes

monetary components such as salary, performance pay and

awards, as well as non‐monetary components such as learning and development, various types of leave and flexible work arrangements, and health and other benefits.

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decision‐making processes. The “Take Me with You” program will enable interested employees to observe the Executive Committee (EXCO) and other standing committees, as well as sector and other meetings. The quarterly “Best of EXCO” series will allow employees at any level to see a select number of presentations that went forward and were approved. These exciting initiatives were proposed by employees and received enthusiastic support from management. The new FINTRAC Exchange Program is the Centre’s premiere formalized internal assignment program. Its objective is to promote collaboration, capacity building, leadership development and the retention of a highly engaged and talented workforce. The program is targeted at all indeterminate non‐executive employees who meet certain minimum requirements and are recommended by their manager. A call of interest is issued annually and matches are based on a narrative assessment of business needs, fit of skills, track record, and the development needs and interests identified in the employee’s application. Once assignment agreements are finalized, performance and learning are managed through existing processes. By facilitating internal mobility, we offer a wider variety of career development opportunities for employees and strengthen the linkages between business units.

Capitalizing on the Richness of Diversity As Canada’s newly elected Government was proud to avow in the Speech from the Throne to Open the First Session of the Forty‐second Parliament of Canada, diversity is Canada’s strength. As described in the demographics snapshot found at Annex C, we are pleased to note that we continue to have no significant representation gaps and that as of March 2016 our representation of both women and Aboriginal peoples was above workforce availability. Nonetheless, we have identified a few opportunities to improve. Over the past two years, slight gaps have emerged with respect to the representation of visible minorities and persons with disabilities, and while women are well represented in general, they tend to be underrepresented in leadership positions. At FINTRAC, we are dedicated to ensuring that our workforce is representative. We will continue to include employment equity considerations in our recruitment processes, with a special focus on any significant gaps that may arise. The Federal Student Work Experience Program is a well‐established program that may also be used to recruit a more diverse pool of students, with the potential for bridging them upon completion of their studies, and the new recruitment inventory will provide further opportunities for maintaining and improving our workforce representation over the long‐term. Women make up 53% of the FINTRAC population but only 33% of the executive cadre. As a group, the performance of female employees rivals that of their male colleagues. In fact, two‐thirds of the non‐executive employees who achieved a performance rating of exceptional in 2015‐2016 were women. To improve our representation of women in leadership positions, we need only concentrate on

Did you know?

The new FINTRANET Learning and Development Portal is designed to assist

employees and supervisors in identifying and planning for learning and training needs. Learning plans are analyzed annually to identify and address high‐priority needs

through corporate training.

Did you know?

Activities such as the World Map and

Multiculturalism Food Samplers enable all employees to get

involved in celebrating our diversity.

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development of our current workforce, and we will strengthen the performance of the Centre as a whole by ensuring that leadership development opportunities are equitably distributed. By taking a proactive approach to recruitment and development, we will ensure that our workforce capitalizes on the richness of Canada’s diversity.

Nurturing a Culture of Inclusiveness and Respect FINTRAC is committed to providing a workplace that is safe, inclusive and respectful. The FINTRAC Code of Conduct, Values and Ethics outlines the values and expected behaviours that guide our employees in all activities related to their professional duties, including their responsibilities regarding conflict of interest and post‐employment. Accepting and adhering to the Code is an on‐going condition of employment and in respecting its values, employees collectively foster a culture of excellence that is people‐focused, results‐oriented and serves the public interest. In addition to providing regular messaging and tools that support employee well‐being and a respectful workplace, FINTRAC will develop and deliver further practical training that clarifies the processes and resources available through the Policy on the Prevention and Resolution of Conflict and Harassment. Mental health will be another important topic given its importance to employee and organizational well‐being. The training will respond to the unique needs of employees and leaders, and include a description of internal and external resources available including the confidential Employee Assistance Program. Complementary guides and other tools will also be enhanced, and convenience copies of key documents will be made available directly on the FINTRANET for private viewing. By working together and honouring each other, we will maintain an inclusive and respectful workplace that supports employee mental and physical health.

Cultivating Excellence through Collaboration and Engagement Although each FINTRAC sector has distinct roles and responsibilities, there is tremendous value in horizontal collaboration. There are several established committees and groups that work to advance policy, operations, people management and corporate service priorities, with membership refreshed regularly to encourage new perspectives and expand development opportunities. In addition, cross‐functional teams are often struck to address priorities and projects of common interest and informal collaboration is encouraged as a powerful tool for achieving results in efficient and innovative ways. We value the ideas and talents of our people and actively seek their input on our most important priorities. Efforts are made to solicit ideas and perspectives broadly through Town Hall and other presentations, online surveys and chats, and engagement sessions such as the Leadership Series and Policy and Legislative Framework Blue‐Sky Brainstorming Sessions.

Did you know?

The new online FINTRAC Skills Bank facilitates collaboration and networking,

enables employees to showcase the diversity of their talents, and assists management in identifying potential capacity when new or

uncommon needs arise.

Did you know?

According to the results of 2014 PSES, 95% of FINTRAC respondents

agree that they have positive working relationships with their

co‐workers, and 91% agree that in their work unit, individuals behave

in a respectful manner.

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Over 96% of FINTRAC employees participated in the 2014 Public Service Employee Survey (PSES), which demonstrated their collective commitment and belief in the importance of having their say. Overall, the results were strong in all areas, including Employee Engagement, Leadership, Workforce and Workplace. Although the Centre’s results are enviable, we remain committed to continuous improvement. All employees were subsequently invited to participate in engagement sessions to further discuss key themes including Leadership, Staffing and Career Development, Respect in the Workplace, and Sustaining Excellence. Feedback from the sessions as well as other engagement activities, informed the development of the 2014 PSES Action Plan, and inspired many of the strategies highlighted in this plan. Looking ahead, the 2017 PSES and the engagement sessions that will follow the release of the survey’s results will provide concrete measures for evaluating the effectiveness of this plan and our People Management Framework in general. As we implement our plans and strategies, we will continue to inform and involve employees at all levels of the organization because maintaining a high level of employee engagement is fundamental to supporting our culture of excellence and maximizing our collective potential.

A Call to Action The FINTRAC Strategic Human Resources Plan 2016‐2019 reflects the shared vision, leadership and collaboration of all sectors. Expectations for the Centre have never been higher, but together we will rise to the occasion by maximizing our collective potential. As we were proud to affirm in our most recent Blueprint 2020 report, FINTRAC’s future is bright because our people are innovative, collaborative and committed to excellence in leading the exploitation of financial intelligence.

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Annex A FINTRAC Strategic Human Resources Plan 2016‐2019 Unclassified

Key Initiatives and Timelines for Maximizing Our Potential 2016‐2019

April 2016 to March 2017 April 2017 to March 2018 April 2018 to March 2019

Initiative Leader Spring (Q1) Summer (Q2) Autumn (Q3) Winter (Q4) Spring (Q1) Summer (Q2) Autumn (Q3) Winter (Q4) Spring (Q1) Summer (Q2) Autumn (Q3) Winter (Q4)

Growing Our Talent

Leadership Competencies HR Planning Communication Implementation throughout Talent Management

FINTRAC 101

HR and Learning and Leadership Development Sub‐Committee

Monthly Events

Best of EXCO Quarterly Events

Skills Bank Design/Launch On‐going Use and Maintenance

Take Me with You Design/Launch On‐going Use and Maintenance

Corporate Training New ILPs Analysis Offerings Tailored to Priority Needs New ILPs Analysis Offerings Tailored to Priority Needs New ILPs Analysis Offerings Tailored to Priority Needs

Enterprise‐Wide Learning Allocation Maximization New Allocation Allocation Maximization New Allocation Allocation Maximization New Allocation

Exchange Program HR, EXCO and CSC Assignments New Intake Assignments New Intake Assignments New Intake

Leadership Forum Leadership Committee Forum Forum

Financial Intelligence Operations Training Program Intelligence Sector On‐going Onboarding and Events Focus on AMO Release 1 Focus on AMO Release 2 On‐going Onboarding and Events

Compliance Training Program Compliance Sector Design, Development and Release of Tier 1 Training Design, Development and Release of Tier 2 Training

Part‐Time Language Training HR Spring Session New Intake Autumn Session Winter Session Spring Session New Intake Autumn Session Winter Session Spring Session New Intake Autumn Session Winter Session

Language Buddy System HR New Intake Self‐Directed Sessions New Intake Self‐Directed Sessions New Intake

Performance Management HR New PAs On‐going

Feedback Mid‐Year Reviews

Final Reviews New PAs On‐going Feedback

Mid‐Year Reviews

Final Reviews New PAs On‐going Feedback

Mid‐Year Reviews

Final Reviews

Recognition HR … eCards Formal Award

Nominations Instant Awards and eCards Formal Award

Nominations Instant Awards and eCards Formal Award

Nominations Instant Awards and eCards

Staffing Planning HR and Sector Management Teams

Annual Plan Implementation Annual Plan Implementation Annual Plan Implementation

Student Hiring Co‐op, FSWEP and Bridging

Recruitment Inventory Planning Pilot Intake On‐going Intake

Recruitment Tools HR Progressive Planning and Implementation

Tran

sform

ing Our Business

Analytics Modernisation (AMO) AMO Governance Solution Design and Change Management Activities Release 1 … Change Management Activities Release 2 Planning for future requirements

Policy Agenda and Parliamentary Review CDR and Policy Working Group

Solidification of Policy Agenda Proposal Development Consultation Paper (TBC by Finance)

Consultations with Private Sector (TBC)

Parliamentary Review of the PCMLTFA (TBC)

Implementation of Actions resulting from the Parliamentary Review (TBC)

Infrastructure Renewal CMS Preliminary Analysis Phase Underway (Timelines TBC)

Web Renewal (Canada.ca) CMS Planning Content Migration On‐going Maintenance

Blueprint 2020 EXCO Year 4 Launch Report to PCO Year 5 Launch Report to PCO Year 6 Launch Report to PCO

Government of Canada Back Office Transformation Initiatives

Phoenix HR and CMS Implementation

My GCHR HR and CMS Preliminary Analysis Phase Underway (Timelines TBC)

GCDOCS CMS Preliminary Analysis Phase Underway (Timelines TBC)

SAP CMS Preliminary Analysis Phase Underway (Timelines TBC)

Email Transformation Initiative CMS On Hold

Reinforcing Our

Culture

Respectful Workplace HR On‐going Messaging Mandatory Training for all Employees

On‐going Messaging Training for New Employees

On‐going Messaging Training for New Employees

On‐going Messaging

Public Service Employee Survey (PSES) HR and PSES Working Group

2014 PSES Action Plan Implementation 2017 PSES Data Collection Data Release and Analysis Engagement and Action Planning Action Plan Implementation

Official Languages (OL) Action Plan HR and OL Committee Report to TBS Linguistic Duality Day

Action Plan Implementation Report to TBS Linguistic Duality Day

Action Plan Implementation Report to TBS Linguistic Duality Day

Action Plan Implementation

Employment Equity and Multiculturalism (EEM) Action Plan

HR and EEM Committee

Action Plan Implementation

Report to CH World Map

Report to TBS Food Sampler

Action Plan Implementation Report to CH Report to TBS Action Plan Implementation Report to CH Report to TBS Action Plan Implementation

FINTRAC Human Resources Plan 2016‐2019 Annex B Unclassified

RDIMS 563969 15

FINTRAC launched its reinvigorated Policy on the Prevention and Resolution of Conflict and Harassment in 2014-2015. Complementary training will be available later this fiscal year as one of the actions stemming from the 2014 PSES Action Plan under the theme of respect in the workplace.

FINTRAC maintains its own rigorous Performance Management Program. All employees on the job for more than three months in a given fiscal year have a performance agreement in place outlining work commitments for the year ahead.

Supervisors provide regular feedback, assessing performance throughout the year both in terms of results achieved and success in demonstrating the Leadership Competencies and Values.

The formal year-end review includes a summary performance rating which determines the rate of advancement within the salary range if merited. The program guide details all aspects of the program including performance agreement components, performance pay and performance rating considerations, and other factors such as eligibility.

The Official Languages Action Plan promotes bilingualism and linguistic duality in the workplace. Events and activities such as Linguistic Duality Day and the Language Buddy System encourage employees to develop their second language abilities.

The Employment Equity and Multiculturalism Action Plan promotes diversity and inclusiveness. Events and activities such as the FINTRAC Employee World Map and Multiculturalism Food Samplers foster engagement across the Centre.

FINTRAC’s classification system is based on one occupational group with eight levels. Jobs are described using a streamlined Accountability Profile format, with increasing use of generic job concepts and standardized titles. Jobs are evaluated using the unique FINTRAC Classification Standard, which is based on a modified version of the Hay Plan. Organization analysis tools and concepts facilitate the realignment of new structures based on changing business needs.

Under its values-based Staffing Policy, FINTRAC employs a variety of processes and tools to meet its short and long-term business needs.

A pilot recruitment inventory will be launched this year to staff a variety of entry-level positions.

The FINTRAC Strategic Plan highlights the Centre’s new Vision and Strategic Objectives and will guide the Centre’s activities from 2016-2017 to 2018-2019.

FINTRAC partnered with CSEC and CSIS to implement Phoenix, and the Centre is working with TBS to explore the feasibility of implementing My GCHR to replace its legacy HR information system.

The FINTRAC Code of Conduct, Values and Ethics provides a solid foundation for the framework and is considered in all its components. The Values and Ethics Portal aggregates information regarding the Code, the Public Servants Disclosure Protection Act, political activities, and respect in the workplace. Adhering to the Code is an on-going condition of employment for all and by respecting its principles, employees collectively foster a culture of excellence that is people-focused, results-oriented and serves the public interest.

Formal Awards recognize excellence, leadership, innovation and teamwork, while Instant Awards and e-Cards strengthen the culture of recognition and enable more immediate demonstration of appreciation.

The Leadership Competencies are at the core of the system and encourage all employees to consistently demonstrate values and ethics, strategic thinking, engagement and excellence in all they do.

The FINTRAC People Management Framework links the Leadership, Workforce and Workplace drivers of a high-performing organization. Since the launch in 2011, the Centre has worked systematically to develop and enhance the components of the framework.

The three-year strategic Human Resources Plan articulates the Centre’s approach for meeting its first strategic objective (to maximize the potential of our people).

The annual Staffing Plan exercise enables strategic staffing and recruitment decision-making and proactive and efficient processes.

The Talent Management System formalizes the Centre’s approach to attracting, developing, retaining and maximizing the contributions of all employees.

FINTRAC People Management Framework and Key Initiatives 2016

The Public Service Employee Survey (PSES) provides concrete measures for evaluating the effectiveness of the People Management Framework.

Over 96% of FINTRAC employees completed the 2014 PSES, which was the highest response rate among small, medium and large organizations and a new record for the Centre.

All employees were invited to participate in engagement sessions to explore key themes such as leadership, staffing and career development, respect in the workplace, and sustaining excellence.

The resulting 2014 PSES Action Plan, which was developed collaboratively by the members of a horizontal working group, addresses all four themes with practical, employee-driven solutions.

Progress against the action plan commitments will be communicated semi-annually leading up to the 2017 survey.

The FINTRAC Context – Separate and unique, values-based

FINTRAC was established and operates within the ambit of the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA).

Under the PCMLTFA, FINTRAC is the ‘Employer’ and the Director is given authority for all aspects of Human Resources Management (HRM).

FINTRAC has established its own terms and conditions of employment and HRM policies, programs and processes that are guided by public service values and objectives, but tailored to its unique context and business needs.

Its overall HRM approach leverages best practices of both the public service and industry, including the People Management Drivers of a High Performing Public Service, Key Leadership Competencies, and Public Service Employee Survey.

Additional information is highlighted in The Blueprint 2020 Story of FINTRAC (December 2015), available on GCpedia.

A series of first day briefings is used to onboard new employees. They also subsequently attend a Corporate Overview session that describes FINTRAC’s mission, vision and operations. Sectors provide additional orientation as appropriate.

All employees on the job for more than three months have a learning plan to complement their performance agreement. The Learning and Development Portal assists employees and supervisors in identifying and planning for current and career development learning needs. The learning plans are analyzed annually to identify opportunities to achieve economies of scale through corporate training.

The FINTRAC 101 series enables all employees to learn more about various aspects of the Centre and its business. Similarly, the new Best of EXCO series showcases select presentations tabled at the Executive Committee.

The Part-time Second Language Training Program offers weekly two-hour classes in fall, winter and spring terms to empower employees to maximize their skills for both current business needs and longer term career objectives.

The FINTRAC Exchange Program is the Centre’s new formalized internal assignment program. Its objective is to promote collaboration, capacity building, leadership development, and the retention of a highly engaged and talented workforce.

A new online searchable Skills Bank builds on existing FINTRANET technology to enable employees to identify subject matter expertise and transferable skills that could be leveraged more broadly by the organization.

RDIMS 563969 16

2014 12% 2015 12% 2016 15%

FINTRAC Strategic Human Resources Plan 2016‐2019

FINTRAC Population 2016 Where do we work?

5%

6%

3% 86%

372

341

206

68

2016

2011

2006

2001

How has our population changed over time?

We peaked at 384 in 2013.

EO1%

HR5% CDR

9%

OPS ‐Intelligence

23%

OPS ‐Compliance

27%

CMS35%

How many are we?

372

Our term population is 4.8%, as compared to the 9.0% most recently

reported for the Federal Public Service.

42

12

34

6

21

11

Advertised Appointments Non‐Advertised Appointments

FINTRAC Public Sector Private Sector

What are our key sources of talent?

77% of appointments were advertised. More than half of non‐advertised appointments were temporary (term or

acting).

52% of Compliance Sector employees

work in the regions.

Unclassified

33

62 60

35

62

19

5045 44

106

< FT‐02 FT‐03 FT‐04 FT‐05 FT‐06 FT‐07 <

Female Male

What is our gender distribution by FT level?

Women make up 53% of the FINTRAC

population but only 33% of the executive

cadre (FT‐06 +).

53.2%

19.1%

3.5% 2.2%

47.2%

20.9%

4.1%1.9%

Women Visible Minorities Persons withDisabilities

AboriginalPeoples

FINTRAC Employees Canadian Workforce Availability

What is our Employment Equity representation as compared to workforce availability?

FINTRAC’s small overall gap for visible minorities persists in 2016. A new slight gap has emerged for persons with disabilities, but

representation of Aboriginal peoples is for the first time above availability.

English61%

French39%

What is our first official language?

According to the 2011 Census, 75% of Canadians identify their first official language as English, and 23% identify their first

official language as French.

What are the language profiles of our positions?

59% of occupied positions are

designated bilingual, and 99.7% of

incumbents meet their bilingual requirements.

English Essential

41% BBB

28%

CBC

23% BBC

4% CCC

3% CBB

1%

61%

27%

8%4%

62%

27%

7%4%

65%

26%

6%3%

0‐7 days 8‐15 days 16‐30 days 30+ days

2014 2015 2016

What is our paid sick leave usage?

Average paid sick leave use declined to 6 days, excluding employees

who took more than 30 days.

What is our turnover rate?

The turnover rate at the executive level (FT‐06+) was 32%.

How old are we?

50+

40‐49

30‐39

Under 30

15%

35%

34%

16%

Baby Boomers1946‐1965

13%

Gen X1966‐1971

20%Gen Y

1972‐199265%

Gen Z1993‐2%

24%

59%

16%

Graduate Degree

Bachelor's Degree

Diploma or Certificate

What is our education?

94% of employees have completed at least one post‐secondary degree, diploma or certificate

program.

Data as of March 31, 2016.

Annex C

Average age has remained stable at 40 since 2014, compared to 45 in the Federal

Public Service.

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