Modern Comptrollership is much more than effective management. It is a principle-based work ethic for improved effectiveness that infuses and influences every aspect of an organization; managers manage and staff carry out their activities by living these principles, they are embodied into the very nature of the organization. The following action plan is based on this belief; the Canadian Human Rights Tribunal is striving not just to complete the activities required for modern comptrollership for the sake of “looking good” on paper, but to ensure that modern comptrollership principles are integrated at the foundation level and the appropriate tools and mechanisms are in place to implement and sustain this work ethic.

The Canadian Human Rights Tribunal (CHRT) is a very unique organization. A small agency consisting of approximately 25 people, it is a quasi-judicial administrative Tribunal that hears and decides cases relating exclusively to discrimination in accordance with the Canadian Human Rights Act and the Employment Equity Act. Its mandate is to ensure that both Acts are applied and interpreted fairly and impartially at all hearings. This mandate is supported by Members, who hear and rule on all cases, and are supported by an administrative staff, which coordinate and direct the CHRT’s daily operations.

This Action Plan has been modified to reflect this unique environment of the CHRT (size, resources, quasi-judiciary work). For example, Section 1 of the Action Plan is shorter than suggested in the Treasury Board guide, and while it responds to all detailed items in a comprehensive manner, it clearly reflects the small and unique nature of the organization. In Section 2, although the capacity assessment identified priority areas, the timelines identified in the Action Plan reflect the reality of when each initiative can reasonably expected to be completed. As a result, priority areas may have a longer time frame than non-priority areas due to the impact addressing the initiative will have on the CHRT. As well, all the initiatives identified in the action plan are the responsibility of the Registrar and are supported by the four Unit Heads.

Section I: Context

Background

Intrinsic to the success of the CHRT’s operations are the integrity of the organization’s values and ethics, the transparency of its communications, and the support and cooperation of staff to work together in a cohesive manner. Many of these principles are echoed in the principles of Modern Comptrollership, and as such the CHRT recognized the drive towards Modern Comptrollership as an opportunity to enhance the daily operational and management effectiveness. This Action Plan provides a simple yet comprehensive tool to implement certain principles and more deeply integrate others and will provide managers with the tools needed not only to make decisions but also to ensure they are comfortable and confident in their decisions. Specifically, this Action Plan addresses management concerns such as maintaining progress and momentum on Modern Comptrollership initiatives already underway in junction with results of the Capacity Assessment.

The Capacity Assessment was developed in the spring of 2002 through 6 individual interviews and a group working session for validation purposes. In the assessment three key areas were identified as a priorities: Strategic Leadership, Motivating People, and Performance. This Action Plan addresses not only these priority areas but also the remaining key principles of modern comptrollership: Accountability, Stewardship, Risk Management, and Values and Ethics. Please see Appendix A for an Executive Summary of the CA results.

Commitment

To a certain extent, the CHRT has incorporated many of the principles of Modern Comptrollership as a result of good management practices that are relevant and appropriate to a small agency. Identified above, they include Values and Ethics and aspects of Motivating People and Accountability. The CHRT’s vision of the future is an enhancement of their current management practices and inclusion of others to reflect the sound management principles embodied in Modern Comptrollership. With these principles entrenched in the organization, the objectives of Results for Canadians will be met, reflecting a paradigm shift of managing a process to managing for results.

As an organization that has considerable responsibility and visibility to the public, as well as to Parliament as a Departmental Agency, this paradigm shift is integral to the CHRT’s ongoing success. As such, the CHRT is committed to this change, but recognizes that it will not happen overnight. It is a long-term effort that involves undertaking numerous initiatives that are detailed in the Action Plan. These initiatives include each and every unit of the organization and all registry staff, and have an overall 3-year timeframe target for the principles of Modern Comptrollership to be fully entrenched and reflected in the daily management and operations of the CHRT.

As well as completing the Capacity Assessment, the CHRT has already begun a series of initiatives that move the organization closer to a state of Modern Comptrollership. These include:

n Increased Delegation to Unit Heads from the Registrar, and where applicable, more delegation from unit heads to staff to improve accountability and motivating people.

n Performance Indicators are currently being developed for the Unit Heads, who will in turn establish them for their staff.

n Training Plans have been initiated for each staff member to address training needs in key areas and budgets are being developed to allocate specific funds to training.

n Client Improvement Services such as sending out a client satisfaction survey have been undertaken as part of the government-wide initiative and the CHRT is currently awaiting results.

n IT Improvement Initiatives to improve IT services to internal and external clients is currently being addressed.

Another, external initiative in which the CHRT is involved and that impacts Modern Comptrollership is the Small Agencies Administrative Network (SAAN). A two-year initiative funded by Treasury Board, the SAAN aims to identify the objectives that should be measured for small agencies (based on groupings of similar agencies) and how these objectives should be evaluated. Currently, the CHRT is represented at the Steering Committee.

Ensuring Success

Ensuring the success of this Action Plan and championing its momentum will be the Registrar, with the four Unit Heads and the Tribunal’s counsel providing key support. Together, this Senior Management Team will develop work plans (i.e. Microsoft Project Plans) for the more comprehensive initiatives identified in the Action Plan, and leads for each initiative will be assigned on an ongoing basis according to the timelines provided. The Registrar will meet with the leads regularly for status updates and progress checks through both formal and informal activities as identified in the Action Plan table.

As with undertaking any organizational change, there are risks associated with the success of this Action Plan and thus reaching a state of Modern Comptrollership. These risks are not just the areas identified in the Capacity Assessment, but reflect other internal and external influences that may have implications for Modern Comptrollership. These include:

n Potential Changes to the Canadian Human Rights Act: As identified in the capacity Assessment, the Department of Justice is reviewing the Report of the Canadian Human Rights Act Review Panel and depending on the results of that review, the caseload of the Tribunal could increase by as much as 500 to 1000%. Responding to this additional workload would require a substantially larger administrative capacity and more complex and sophisticated quasi-judicial processes. The impact of this will be mitigated to some extent by establishing Modern Comptrollership initiatives; although there is the risk that the Modern Comptrollership momentum could be lost. As such, the CHRT is committed to immediately begin addressing the initiatives outlined in the Action Plan table.

n Institutional Independence and Impartiality: The CHRT is currently operating in a state of ambiguity due to the upcoming decision of the Supreme Court of Canada regarding the organization’s institutional independence and impartiality. It is unlikely that a decision will be made for at least 12 months. Until that time the CHRT will continue to carry on business as usual. Although this decision may have significant effects on the future of the organization, implementing the Action Plan and taking steps now towards a Modern Comptrollership culture will position the CHRT in a more favorable strategic place no matter what the effects of the Court’s decision may be.

n Succession Issues: The Chairperson, Vice-Chairperson and Registrar may be leaving within the next 12 –14 months and their replacements may not champion or support the action plan and modern comptrollership. Mitigating these risks will differ depending on the positions being vacated. The Chairperson and Vice-Chairperson are a ministerial appointments and the Tribunal may have no influence over who is appointed to this position. As such, mitigation for this issue is to plan for a worst-case scenario (i.e. Members do not endorse Modern Comptrollership). Conversely, the Tribunal staff may, although unlikely, have some input and control over the selection of the next Registrar, and can thus choose someone who is supportive of MC initiative, will further its implementation, and can defend and lobby the new Chairperson on the benefits of Modern Comptrollership.

Communicating the Action Plan progress, and thus the progress towards a modern comptrollership culture, will occur on a formal and informal basis. As a first step, the Action Plan will be distributed to all staff and shortly thereafter a debriefing will be held to communicate the impacts of the Action Plan on staff. Communications post the initial distribution will occur through the informal activities that result from the small nature of the organization. These informal communications, while being very open and transparent, will be augmented by formal communication mechanisms such as monthly meetings between the Registrar as the Action Plan champion and the Unit Heads / Initiative leads, and the Intranet. These tools and mechanisms will be used to communicate not only the details regarding the progress of the Action Plan, but the other Modern Comptrollership initiatives to all areas of the organization. As such, these tools will be multi-purpose and will involve and include every member of the CHRT, which will create synergy and optimize the integration of Modern Comptrollership activities.

Accountability

Being a very small organization, the CHRT has the benefit of leveraging both formal and informal processes to the successful monitoring and reporting on activities. This not only ensures that controls are in place to mitigate risks and respond to issues, but that a sense of teamwork and organizational camaraderie are maintained. Monitoring and reporting on the Action Plan specifically and Modern Comptrollership progress will leverage both of these processes.

Monitoring of the Action Plan will be conducted through formal monthly meetings between the Registrar, as the Action Plan Champion, and the Unit Heads / Initiative Leads to determine progress, outstanding items, and next steps. As well, the nature of the CHRT organization facilitates and “open door” environment, and informal monitoring will happen on an ongoing basis through discussions between individuals and the Registrar. The results of these monthly meetings will be posted on the Intranet when it is established (see Action Plan Table), and until then, results will be posted through email communication bulletins. The Registrar will report the results of the monthly meetings to the Chairperson, and these status/progress reports will be rolled into the annual performance reports issued to Parliament.

To reinforce the CHRT’s commitment to Modern Comptrollership, and to facilitate the Action Plan progress, Unit Heads will be made accountable by having the relevant modern comptrollership initiatives written into their performance targets. Progress towards these targets will be monitored through the formal and informal mechanisms identified above, and reinforced through ongoing conversations / discussions with the Registrar.

Evaluating the results of Action Plan will be an ongoing process focusing on the specific activities detailed in the Action Plan, and the overarching implementation of Modern Comptrollership principles into the CHRT culture and environment. An evaluation of the specific activities in the Action Plan will be conducted at the end of each key milestone (based on the timelines provided in the Table portion of this action plan) through a survey and / or questionnaire (the CHRT will be developing a tool for this purpose). An evaluation of the success of implementing Modern Comptrollership will be conducted at the end of the target timeframe identified above (fall 2004/winter 2005) using the evaluative framework developed by Treasury Board and modified. To ensure the continuing success of Modern Comptrollership, the CHRT will determine the best method for post-implementation checkpoints and evaluations at that time.

Section II: Modern Comptrollership Action Plan

Desired Outcomes	Link to CA Results	Other Links		Actions to Take	Timelines and Resource Estimates	Progress to Date	What You Can Do
1. *Leadership*
a. Registrar and Unit Heads champion the action plan and creates a climate for its success	a. Strategic Leadership, Values and Ethics, People, Performance, Accountability	a. Increased Delegation initiative, senior management involved		a. Registrar will assign areas of responsibility to staff (one staff member per Action Plan component) and will communicate MC impacts to the CHRT	a. Ongoing, .25 FTE over 6 people	a. Staff aware of MC initiative and impacts	a. Consult with Registrar
b. Registrar and Unit Heads understand client requirements, accurately assess requirements and manage for results according to MC principles	b. Performance People, Values and Ethics	b. N/A		b. Develop workplan to identify and document internal and external client requirements and expectations and capacity of CHRT to respond to those requirements	b. June 1, 2003 estimate .2 FTEs among 6 people over 6 months	b. None to date	b. Consult with Registrar / Unit Heads
c. Registrar and Unit Heads align resource allocations to employee lifestyle and needs	c. People, Values and Ethics	c. Increased Delegation initiative, senior management involved		c. Include staff in planning of activities and workloads, develop flexible work strategies	c. April 30, minimal resourcing required	c. Policy statement developed and communicated to staff, need to implement plan	c. Define workplace needs to Registrar / Unit Heads
2. *People*
a. The CHRT has a clear organizational HR plan that reflects MC principles and is communicated and understood by all staff	a. People, Leadership, Accountability		a. N/A	a. Revise current competency profiles to reflect skill sets, criteria for each level etc (revise in priority sequence according to succession issues) and develop Employment Equity Plan	a. Priority competencies completed by end of June 2003, remaining competency profiles completed by Nov 2003, estimate $15,000 in consulting fees , Employment Equity Plan by March 31	a. Partial completion of priority profiles	a. Consult with Registrar / Unit Heads
b. The CHRT has in place an effective training plan that addresses current and future needs for the organization and staff	b. People, Leadership		b. Training Plan initiative, all units involved	b. Develop implementation plan for training that includes acquiring a training package, ensuring unit heads identify individual staff training needs, identifying staff to be trained, and delivering training	b. Basic training outline by March 31, 2003, full training package implemented by October 2003, estimate $25k in consulting fees	b. Informal workplan developed and preliminary training requirements identified	b. Identify and communicate training needs to Registrar / Unit Heads
3. *Values and Ethics*
a. Enhance and further instill organizational values by incorporating MC principles into effective management	a. Values and Ethics, Leadership	a. All Units and all initiatives involved		a. Incorporate values and ethics into CHRT operational policies and procedural manual	a. June, 2003, minimal resources required	a. None to date	a. N/A
4. *Performance*
a. Maintain and constantly improve service to external clients	a. Performance, People	a. Client Satisfaction Survey, all units involved; IT Improvement Initiatives		a. Leverage and implement TB evaluative framework according to client service initiative, follow-up with client satisfaction survey and conduct every 2 years thereafter	a. Implement evaluative framework by September 2004, immediate follow up with client satisfaction survey, resources estimated at ¼ FTE over 2 yrs and 10-15k in consulting fees	a. Initial client survey completed	a. Address areas of concern as identified by clients
b. CHRT staff operates against a set of defined targets that are aligned with overall strategic objectives and staff are striving for identified results	b. Performance, People, Stewardship, Accountability	b. Performance Target initiative, all units involved		b. Liaise with SAAN Evaluation Committee to establish relative outcomes and develop evaluative techniques and systems	b. Two-year initiative, minimal time required on part of Registrar only	b. Steering Committee established, Treasury Board agreed to fund	b. Consult with Registrar / Unit Heads
c. Effective mechanisms are in place to monitor and report on progress and performance that are aligned with the CHRT environment and MC principles	c. Performance, Values and Ethics, Stewardship	c. All units involved		c. Establish an Intranet and use as a communication / reporting tool, hold monthly meetings with people responsible for Action Plan items and communicate results through email / bulletins / Intranet, provide monthly updates to Chairperson	c. Complete Intranet by Sept 2003, estimate $15k in consulting fees, and .5 FTEs over 4 people; begin holding monthly meetings immediately	c. Intranet being developed, currently have informal status meetings with staff, problem tracking system implemented to respond to performance issues	c. Consult with Registrar / Unit Heads
5. *Accountability*
a. Roles and responsibilities are clearly laid out and communicated to staff	a. Accountability, People, Performance	a. All units involved		a. See first action item under People	a. Links to People Action Item a; see Timeline and Resource estimate	a. Links to People Action Item a; see Progress to Date, and Action Plan developed	a. Consult with Registrar / Unit Heads
b. Maintain clear and open communication with staff on potential organizational changes due to outside influences	b. Accountability, People	b. All units involved		b. Maintain informal and formal communications	b. Links to Performance Action Item d; see Timeline and Resource estimate	b. Links to Performance Action Item d; see Progress to Date	b. Consult with Registrar / Unit Heads
6. *Risk Management*
a. Risks are identified, documented, communicated and understood by all staff and are aligned with identified objectives and MC principles and monitored according to the CHRT environment	a. Risk Management, Values and Ethics, Performance, Risk Management, People	a. All units involved		a. Develop workplan with staff for determining methodology or criteria (define high, medium, low risks), documenting risks on an ongoing basis, identifying actions to take / mitigation strategies, and monitoring processes	a. Finalize risks with staff by march 2003, ongoing thereafter; minimal resources required	a. Risks informally communicated to staff	a. Consult with Registrar / Unit Heads
7. *Stewardship*
a. The CHRT is providing valuable services to Canadian taxpayers that reflect sound financial management and principles	a. Stewardship, Performance, Risk Management	a. Client Satisfaction Survey initiative, Performance Target initiative; all units involved		a. Identify services and develop rationale for why they add value; and incorporate into performance targets for Unit Heads	a. Links to Performance Action Item b; See timeline and resource estimates	a. Links to Performance Action Item b; See Progress to Date	a. Consult with Registrar / Unit Heads
b. Mechanisms and tools to support daily operations are available to registrar and staff	b. Stewardship, People	b. IT Improvement initiative, primarily IT unit		b. Develop workplan for establishing the Intranet, maintain and revise operational / HR policies / manuals as required	b. Links to Performance Action Item d and Values and Ethics Action item a; See Timeline and Resource Estimates	b. Links to Performance Action Item d and Values and Ethics Action item a; See Progress to Date	b. Identify what tools work well and what can be improved and communicate to Registrar / Unit Heads
c. The CHRT has a full inventory of its assets and has identified future requirements	c. Stewardship	c. Future involvement of all units		c. Conduct inventory assessment and establish control mechanisms for all units	c. Complete inventory by August 31, 2003; minimal resources required	c. None to date	c. Consult with Registrar / Unit Heads
d. Formal internal and external audit process established and coordinated by Treasury Board for small agencies are followed	d. Stewardship, Performance	d. Future involvement of all units, other small agencies, and Treasury Board		d. Liaise with Treasury Board internal audit branch to understand, communicate, and apply internal audit processes for small agencies, and ensure that the results of the most recent external audit are maintained and/or address on an ongoing basis	d. Liaise with TB on an ongoing basis; target to complete initial audits by March 31, 2004; resource estimate uncertain at this time	d. Liaising has begun with TB	d. COnsult with Registrar / Unit Heads

Summary of Capacity Assessment Results

In the spring of 2002, the Canadian Human Right Tribunal undertook a Capacity Assessment to determine where the CHRT resided in a Modern Comptrollership environment. This assessment examined the CHRT against the seven key components for Modern Comptrollership:

Ø Strategic Leadership

§ Includes Leadership commitment; Managerial commitment; Senior departmental functional authorities; Planning; Resource management; Management of partnerships; and Client relationship management.

Ø Clear Accountability

§ Includes Clarity of responsibilities and organization; Performance agreements and evaluation; Specialists support; and External reporting.

Ø Shared Values and Ethics

§ Includes Values and ethics framework.

Ø Mature Risk Management

§ Includes Integrated risk management; and Integrated management control framework.

Ø Integrated Performance Information

§ Includes Integrated departmental performance reporting; Operating information; Measuring client satisfaction; Service standards; Evaluative information; Financial information; and Cost management information.

Ø Motivated People

§ Includes Modern management practices competencies; Employee satisfaction; Enabling work environment; Sustainable workforce; and Valuing peoples’ contributions.

Ø Rigorous Stewardship

§ Includes Business process improvement; Management tools and techniques; Knowledge management; Accounting practices; Management of assets; Internal audit; and External audit.

As outlined in the Capacity Assessment report, the CHRT demonstrated particular strengths in the areas of Strategic Leadership and Motivated People. It also demonstrated good management practices in some of the criteria under Integrated Risk Management, Clear Accountability, Integrated Performance Information and Rigorous Stewardship. However, capabilities in these areas were generally in the formative stages and considerable work is required to advance the status quo. The least mature capabilities are in the area of Shared Values and Ethics primarily due to the absence of formal mechanisms to promote a set of shared values and ethical practices and ensure consistency in application.

The table below summarizes key observations and recommendations by Modern Comptrollership element. Recommendations in italics were considered to be the highest priority, and these have been addressed in the Action Plan

Modern Comptrollership Element	Key Observations	Key Recommendations (italics represent priority recommendations)
Strategic Leadership	· The Chairperson of the Tribunal has a broad understanding of Modern Comptrollership (MC) and is committed to its implementation in order to further improve the management of the Tribunal and the services provided to clients/stakeholders. · Awareness of modern comptrollership amongst managers is starting to develop primarily due to discussions and presentations on the baseline assessment. While managers do not necessarily understand the theoretical aspects of MC, in practice they are already applying many of the concepts underlying the initiative. · There are clear functional authorities for Finance, IT and Corporate Services. Heads of functional areas are members of the senior management team for Registry Operations. The roles of functional authorities are well understood and highly valued within the organization. · Business planning is primarily aimed at meeting central agency requirements. Business plans are not prepared below the corporate level. · There is a clear and formal budgeting process. Each manager is required to prepare a budget for his/her area. Resource levels are adjusted from year-to-year primarily based on the expected volume and types of cases. · The Tribunal is very sensitive to the needs of its primary clients and continually updates or changes its processes and procedures to better meet the needs of clients.	· Actively communicate the anticipated benefits of MC, how the Tribunal will go about implementing MC and how MC will impact the roles and responsibilities of managers. · Prepare business plans for Registry Operations, Corporate Services, Networks and Systems and Finance that are tied to the RPP and budgets and develop mechanisms to track and report results against these plans. · Strengthen the linkage between priorities, desired outcomes and allocation of budgets.
Shared Values and Ethics	· Formal values and ethics statements aimed at ensuring consistent behaviors do not exist. Values and ethics are implicitly understood. The Chairperson leads by example by demonstrating equity and fairness in the hearing and decision process.	· Develop and/adapt values and ethics statements for the CHRT based on the Principles of the Public Service of Canada.
Mature Risk Management	· Risks within the context of the CHRT are well understood. Managers are aware of the legal, political and other ramifications of the risks facing the organization. · The management control framework consists of both manual and system controls. Controls are seen as both effective and sufficient. · Given the size of the Tribunal and the number of employees, integration of systems is not critical at this time.	· Provide formal risk management training to new managers and staff as part of their orientation to the CHRT. · Document key controls, processes and policies. Periodically review or audit controls to identify weaknesses or problems that are not readily apparent.
Motivated People	· Modern management competency requirements have not been developed for either managers or functional specialists. · The CHRT follows the same cycle as the Public Service for conducting employee surveys. In addition, managers informally monitor employee satisfaction on an ongoing basis. Some managers are tracking proxy employee satisfaction measures such as leave and attendance. · There is good flow of information throughout the Tribunal. Regular staff meetings are held and a “chron” file is distributed to keep everyone apprised of new developments. · The Tribunal has identified significant succession planning issues and has initiated dialogue on how to address them. · Work/life balance is encouraged. Flexible work arrangements are in place and include compressed workweek, flexible start and end times and telework. · Although there are no formal measures of productivity or workload, case assignments are based on capacity considerations and equitable work distribution.	· Proactively delegate activities/tasks currently performed by the Registrar to other managers, within Registry Operations, to broaden their roles and responsibilities, advance their decision-making skills and develop new capabilities. · Create a comprehensive succession planning document (e.g., identify key positions, qualifications required, potential candidates, training requirements, etc) aimed at addressing current succession planning issues. · Define relevant modern management competencies for management positions within the CHRT. · Develop training plans for all Tribunal staff and managers.
Clear Accountability	· Roles and responsibilities are clearly defined down to the most junior levels of the organization. · Performance agreements are not in place for all Registry staff. The Registrar has an agreement in place with the Chairperson regarding corporate objectives. - Performance evaluations are done verbally and, in some instances, in written form. · The role of specialists is primarily transaction processing and provision of information. · External reports are of high quality and submitted on a timely basis.	· Formally articulate results expectations for all managers in light of the strategic outcomes of the CHRT. · Establish performance accords for managers entitled to performance pay and link accords to the RPP. · Develop a more disciplined approach to performance evaluations and ensure that all staff receive a written evaluation at least once a year.
Integrated Performance Information	· The Tribunal reports performance based on the planned results/strategic outcomes identified in its RPP. However, it has not developed an organization-wide performance measurement framework that delineates outputs and outcomes by key activity areas and clearly articulates performance measures for each activity area and outcome. · The Tribunal closely tracks operational information related to cases. Spreadsheets are used to track information on the progress of each case, identify slippage and take corrective action as necessary. · Formal mechanisms do not exist to measure client satisfaction. Informal feedback is obtained through the interaction between Registry Officers and clients. · The CHRT has established two measurable goals regarding the quality of services it provides to clients (i.e., Render Tribunal decisions within four months of the conclusion of the hearing 90% of the time; have hearings commence within five months of referral 80% of the time). · The CHRT implemented an in-house financial management system (Freebalance) on April 1, 2002. The system is considered to be user-friendly and accurate. · Detailed cost information is maintained on salaries and O&M for all areas of the Tribunal. Detailed O&M information is also maintained on each case. This information is analyzed on a trend basis and used for planning and forecasting purposes.	· Develop a comprehensive performance measurement framework that applies to all of the activities of the Tribunal and delineates a set of relevant performance measures and targets. · Provide selected staff with performance measurement training. · Develop a user-friendly report that provides information on the extent to which client/stakeholder goals are being met, on a regular basis (e.g., quarterly).
Rigorous Stewardship	· Service delivery processes are well understood and documented. Service delivery improvements occur on a continual basis. Changes to procedures occur either in response to amendments to the Canadian Human Rights Act or on the basis of staff/client suggestions. · There are few tools available to managers. These include budget templates and case tracking tools. · Senior management recognizes the importance of effective knowledge sharing within the Tribunal. A number of mechanisms have been established to actively share knowledge and lessons learned both internally and with external stakeholders/clients. · The Tribunal has implemented the Financial Information Strategy (FIS) and is compliant with Generally Accepted Accounting Practices (GAAP). · The Auditor General last audited the Tribunal in 1998. No major deficiencies were identified in this audit.	· Identify tools and techniques that would be most useful to managers in their day-to-day work and make these available on an organization-wide basis.

Modern Comptrollership Element

Key Observations

Key Recommendations

(italics represent priority recommendations)

Strategic Leadership

· The Chairperson of the Tribunal has a broad understanding of Modern Comptrollership (MC) and is committed to its implementation in order to further improve the management of the Tribunal and the services provided to clients/stakeholders.

· Awareness of modern comptrollership amongst managers is starting to develop primarily due to discussions and presentations on the baseline assessment. While managers do not necessarily understand the theoretical aspects of MC, in practice they are already applying many of the concepts underlying the initiative.

· There are clear functional authorities for Finance, IT and Corporate Services. Heads of functional areas are members of the senior management team for Registry Operations. The roles of functional authorities are well understood and highly valued within the organization.

· Business planning is primarily aimed at meeting central agency requirements. Business plans are not prepared below the corporate level.

· There is a clear and formal budgeting process. Each manager is required to prepare a budget for his/her area. Resource levels are adjusted from year-to-year primarily based on the expected volume and types of cases.

· The Tribunal is very sensitive to the needs of its primary clients and continually updates or changes its processes and procedures to better meet the needs of clients.

· Actively communicate the anticipated benefits of MC, how the Tribunal will go about implementing MC and how MC will impact the roles and responsibilities of managers.

· Prepare business plans for Registry Operations, Corporate Services, Networks and Systems and Finance that are tied to the RPP and budgets and develop mechanisms to track and report results against these plans.

· Strengthen the linkage between priorities, desired outcomes and allocation of budgets.

Shared Values and Ethics

· Formal values and ethics statements aimed at ensuring consistent behaviors do not exist. Values and ethics are implicitly understood. The Chairperson leads by example by demonstrating equity and fairness in the hearing and decision process.

· Develop and/adapt values and ethics statements for the CHRT based on the Principles of the Public Service of Canada.

Mature Risk Management

· Risks within the context of the CHRT are well understood. Managers are aware of the legal, political and other ramifications of the risks facing the organization.

· The management control framework consists of both manual and system controls. Controls are seen as both effective and sufficient.

· Given the size of the Tribunal and the number of employees, integration of systems is not critical at this time.

· Provide formal risk management training to new managers and staff as part of their orientation to the CHRT.

· Document key controls, processes and policies. Periodically review or audit controls to identify weaknesses or problems that are not readily apparent.

Motivated People

· Modern management competency requirements have not been developed for either managers or functional specialists.

· The CHRT follows the same cycle as the Public Service for conducting employee surveys. In addition, managers informally monitor employee satisfaction on an ongoing basis. Some managers are tracking proxy employee satisfaction measures such as leave and attendance.

· There is good flow of information throughout the Tribunal. Regular staff meetings are held and a “chron” file is distributed to keep everyone apprised of new developments.

· The Tribunal has identified significant succession planning issues and has initiated dialogue on how to address them.

· Work/life balance is encouraged. Flexible work arrangements are in place and include compressed workweek, flexible start and end times and telework.

· Although there are no formal measures of productivity or workload, case assignments are based on capacity considerations and equitable work distribution.

· Proactively delegate activities/tasks currently performed by the Registrar to other managers, within Registry Operations, to broaden their roles and responsibilities, advance their decision-making skills and develop new capabilities.

· Create a comprehensive succession planning document (e.g., identify key positions, qualifications required, potential candidates, training requirements, etc) aimed at addressing current succession planning issues.

· Define relevant modern management competencies for management positions within the CHRT.

· Develop training plans for all Tribunal staff and managers.

Clear Accountability

· Roles and responsibilities are clearly defined down to the most junior levels of the organization.

· Performance agreements are not in place for all Registry staff. The Registrar has an agreement in place with the Chairperson regarding corporate objectives.

- Performance evaluations are done verbally and, in some instances, in written form.

· The role of specialists is primarily transaction processing and provision of information.

· External reports are of high quality and submitted on a timely basis.

· Formally articulate results expectations for all managers in light of the strategic outcomes of the CHRT.

· Establish performance accords for managers entitled to performance pay and link accords to the RPP.

· Develop a more disciplined approach to performance evaluations and ensure that all staff receive a written evaluation at least once a year.

Integrated Performance Information

· The Tribunal reports performance based on the planned results/strategic outcomes identified in its RPP. However, it has not developed an organization-wide performance measurement framework that delineates outputs and outcomes by key activity areas and clearly articulates performance measures for each activity area and outcome.

· The Tribunal closely tracks operational information related to cases. Spreadsheets are used to track information on the progress of each case, identify slippage and take corrective action as necessary.

· Formal mechanisms do not exist to measure client satisfaction. Informal feedback is obtained through the interaction between Registry Officers and clients.

· The CHRT has established two measurable goals regarding the quality of services it provides to clients (i.e., Render Tribunal decisions within four months of the conclusion of the hearing 90% of the time; have hearings commence within five months of referral 80% of the time).

· The CHRT implemented an in-house financial management system (Freebalance) on April 1, 2002. The system is considered to be user-friendly and accurate.

· Detailed cost information is maintained on salaries and O&M for all areas of the Tribunal. Detailed O&M information is also maintained on each case. This information is analyzed on a trend basis and used for planning and forecasting purposes.

· Develop a comprehensive performance measurement framework that applies to all of the activities of the Tribunal and delineates a set of relevant performance measures and targets.

· Provide selected staff with performance measurement training.

· Develop a user-friendly report that provides information on the extent to which client/stakeholder goals are being met, on a regular basis (e.g., quarterly).

Rigorous Stewardship

· Service delivery processes are well understood and documented. Service delivery improvements occur on a continual basis. Changes to procedures occur either in response to amendments to the Canadian Human Rights Act or on the basis of staff/client suggestions.

· There are few tools available to managers. These include budget templates and case tracking tools.

· Senior management recognizes the importance of effective knowledge sharing within the Tribunal. A number of mechanisms have been established to actively share knowledge and lessons learned both internally and with external stakeholders/clients.

· The Tribunal has implemented the Financial Information Strategy (FIS) and is compliant with Generally Accepted Accounting Practices (GAAP).

· The Auditor General last audited the Tribunal in 1998. No major deficiencies were identified in this audit.

· Identify tools and techniques that would be most useful to managers in their day-to-day work and make these available on an organization-wide basis.