Departmental Plan 2019–2020

Supplementary Information Tables

Key risks

To effectively address corporate risks, CAS has in place risks management process through which corporate risk profiles are developed and used annually to develop an Enterprise Risk Management Framework for the fiscal year. This process is applied consistently throughout the organization and engages the most senior levels of the organization—the Chief Justices of the Courts, the Departmental Audit Committee, the Executive Committee, and the Senior Management Committee—in the identification and evaluation of the most pertinent risks, and the determination of appropriate risk response strategies to effectively manage these risks. Assigned risk owners are responsible for monitoring risks and the effectiveness of mitigation strategies, and presenting quarterly reports to the Executive Committee.

The table below provides an overview of CAS’s key risks and risk response strategies for 2019–20.

Risk Risk response strategy Link to the department’s Core Responsibilities Link to departmental priorities

Access to Justice:

There is a risk that the funding model for the Courts could compromise access to justice and impact the judicial independence of the Courts.

Priority funding:

Secure funding for:

  • New CRMS.
  • Translation of unfunded federal court decisions.
  • Montreal courthouse.

Propose Funding Model:

  • Identify a funding model, anchored in legislation that supports the minimum requirements of judicial independence.
  • Liaise with representatives of central agencies and the Department of Justice in establishing a strategy to meet this objective.

Administration services for the federal courts
  • Courts and Registry Management System
  • Transition to Digital Environment
  • Translation
  • Security
  • Facilities
  • Communications
  • Human Resources

Courts and Registry Management System (CRMS):

There is a risk that system applications and infrastructure will be unable to respond to the evolving requirements of the Courts, litigants and CAS, impacting service delivery efficiency and access to justice.

Funding:

  • Secure funding for a new CRMS.

Judicial and Registry Systems Infrastructure: Continue to implement the five-year IT Infrastructure Management Plan.

  • Advance efforts to optimize IT infrastructure and network to support electronic courts.
  • Continue to address recommendations from the assessment of the CAS network, architecture and computing environment to ensure a robust efficient and sustainable IT environment.

CRMS Implementation:

  • Develop a plan for the implementation of the new CRMS.

Administration services for the federal courts
  • Courts and Registry Management System
  • Transition to Digital Environment
  • Translation
  • Security
  • Human Resources

Human Resources Management:

There is a risk that a lack of adequate resources could negatively impact change management, succession planning, resource capacity, work culture and environment and wellness and productivity of employees.

HR Strategy:

  • Develop and implement a change management strategy.
  • Development of a 5-year Integrated HR Plan.
  • Review current strategy for approach for raising awareness among employees and managers about mental health and harassment prevention in the workplace.
  • Ensure ongoing HR planning at section levels.
  • Continue to focus on CAS’s four-year work description update.
  • Work with universities and colleges to develop a pool of talent critical to the organization’s ongoing long term goal.
  • Identify resources for training of new hires.

Resource Capacity and Training:

  • Work with the Courts to address critical resource shortfalls.
  • Dedicate resources to meet the level of training necessary to support the operational needs of the Courts and CAS.
  • Provide training to augment staff competencies, skills and knowledge.
  • Update procedures and training manuals to reflect current court rules, practices and procedures.

Succession Planning:

  • Develop a pool of talent to staff positions critical to the organization’s ongoing operations and long-term goals.
  • Continue to provide employees with a combination of formal training, coaching and developmental assignments.

Workplace Wellness Strategy:

  • Implement a workplace wellness strategy and programs inclusive of plans for mental health, civility and respect, values and ethics, occupational health, disability management and barrier-free accommodation, and duty to accommodate.
  • Inform employees and managers of services available to employees.

Administration services for the federal courts
  • Human Resources

Information Management:

There is a risk of loss, damage or inability to access records of business value or historical jurisprudence which may in turn, impact decision-making.

Document Management System:

  • Continue to ensure proper alignment of information management with modern principles, practices and standards.

CAS Classification and Retention System:

  • Invest in an Electronic DMS for information of business value.
  • Continue to ensure suitable conditions for storing archived court documents.

Hard Copy Storage:

  • Increase storage space for storing and archiving hard copy court documents.

Access to Information:

  • If amendment to Access to Information Act is passed develop plan to address impact on members of the courts and CAS.

Administration services for the federal courts
  • Courts and Registry Management System
  • Transition to Digital Environment
  • Security

IT Security:

There is a risk that the security of information IT infrastructure could be compromised.

IT Security:

  • Continue to make improvements to IT security.
  • Maintain sound network access controls.
  • Support the Government of Canada’s National Cyber Security Strategy.

Administration services for the federal courts
  • Courts and Registry Management System
  • Transition to Digital Environment
  • Security

Physical Security:

There is a risk that the physical security of the members of Courts, court users, employees and facilities could be compromised.

Court Security:

  • Conduct a new comprehensive threat and risk assessment of the Courts’ systems to identify potential new risks and validate the efficiency of mitigation measures taken.
  • Continue to implement comprehensive security programs.
  • Continue to make enhancements to the physical security of facilities.
  • Continue to adopt strategic risk-based approaches to security management.
  • Continue to implement the organization’s Health and Safety Plan.
  • Update business continuity plans.
  • Continue collaboration with the law enforcement community to inform strategic security decisions and strengthen services provided to the Courts.

Administration services for the federal courts
  • Security

Access to Justice

There is a risk that the funding model for the Courts could compromise access to justice and impact the judicial independence of the Courts.

This risk is driven by a number of factors including the scope and complexity of the federal courts system; the increasing workload of the courts; the growing demands on the limited resources; the requirement to support Canada’s fiscal objectives; government-wide rules and legislative changes; amendments to the Courts Rules; technological advancements; public demands for online services; the non-discretionary work associated with the escalation in the number of multi-day hearings; the yearly increases in the number of documents received by the Courts; and increases in the number of self-represented litigants.

To mitigate this risk, CAS will seek funding in Budget 2019 for a new CRMS for the Courts, the unfunded cost of translation of court decisions in both official languages and for the long-term, continued operations of the Montreal courthouse.

Courts and Registry Management System

There is a risk that system applications and infrastructure will be unable to respond to the evolving requirements of the Courts, litigants and CAS, impacting service delivery efficiency and access to justice.

Many factors are driving this risk including the growing public demand for the digital transformation of the court and registry management systems and access to new technology in conducting business with the Courts. Other important drivers include the insufficiency of specialized resources to implement important IT projects and to support the transition to electronic courts; incompatibility of new technology with existing; the results of various assessments of CAS’s network architecture and computing environment conducted over the past few years; absence of a backup for designated proceedings files; and the different governance regime for judicial information. These drivers pose serious limitations on CAS in trying to meet the evolving program needs.

Risk mitigation strategies in 2019–20 include seeking funding in Budget 2019 for the implementation of a new CRMS. In addition, CAS will continue to address recommendations from the assessment of the its network, architecture and computing environment to ensure a robust efficient and sustainable IT environment and to optimize IT infrastructure and networks to support e-courts and digital transformation.

Human Resources Management

There is a risk that a lack of adequate resources could negatively impact change management, succession planning, resource capacity, work culture and environment and wellness and productivity of employees.

The critical challenge remain to attract and retain skilled employees with the unique competencies required in support of the distinct needs of the individual courts. CAS must also ensure that modern work tools are made available to employees that respond to the evolving technological requirements. Additionally, addressing workload pressures, particularly within the registries of the Courts, while providing a safe and healthy work environment, will also remain a challenge for CAS to address in 2019–20.

To respond to this risk, CAS will develop a new Integrated Human Resources Plan and ensure ongoing HR planning at the section levels. CAS will also continue with succession planning to develop a pool of talent to staff positions critical to the organization’s ongoing operations and long-term goals. Efforts will also be deployed to work with the Courts to hire additional resources to adequately support the operational needs of the Courts. Investments will also be made in operational training to augment staff competencies, skills and knowledge. In support of a healthy work environment, CAS will review current strategy for approach for raising awareness among employees and managers about mental health and harassment prevention in the workplace.

Information Management

There is a risk of loss, damage or inability to access records of business value or historical jurisprudence which may in turn, impact decision-making.

A confluence of drivers continues to propel this risk. The most prescient drivers are: the expected impacts of the amendments to the Access to Information Act regarding publication of judiciary's travel information, if implemented; absence of backup for paper court records; lack of resources to safeguard original document in an alternative format; stringent rules and regulations regarding the safeguard of court documents; the potential impact of loss of information of business value; the precedent-setting nature and historical importance of information held by CAS; repeated public demands for e-services and the corresponding need to share information electronically; inability of current systems to meet evolving IM needs; delays in addressing identified system gaps; and the need to complete the implementation of CAS’s Document Management System for corporate documents.

The materialization of this risk could lead to many issues for CAS and the Courts including: risk of loss of information of business value, as well as historical and precedent-setting importance; increases in data inaccuracies and reduced data integrity; impact on stakeholders, including court users; erosion of CAS’s reputation and reduced client confidence and trust in the Courts and CAS.

To mitigate this risk in 2019–20, CAS must continue to ensure proper alignment of information management with modern principles, practices and standards. CAS will also continue to invest in an Electronic DMS for information of business value. Additionally, CAS will continue to ensure suitable conditions for storing archived court documents, including storage space for storing and archiving hard copy court documents. If amendment to Access to Information Act are passed, CAS will develop plan to address new requirements following implementation.

IT Security

There is a risk that the security of information and IT infrastructure could be compromised.

CAS’s IT Security risk is driven by the increase in the number of National Security and other files that are sensitive and potentially attractive to outside actors — including immigration, taxation and intellectual property; the ongoing need for enabling infrastructure and tools to support security, confidentiality, integrity and privacy of information; demands of the Government of Canada’s new National Cyber Security Strategy; the need to protect the safety and security of the critical infrastructure of the Courts and CAS; repeated calls for e-service in doing business with the Courts; results of various assessments of CAS’s network, architecture and computing environment conducted over the past few years; and emergence of new technology (including Artificial Intelligence and quantum computing).

The materialization of this risk could have serious consequences for the Courts and CAS including a substantial and unfavourable impact on Access to Justice; inability to meet the organizational strategic outcome and priorities; inability to meet the standards of the Policy on Government Security and erosion of CAS’s reputation – reduced confidence of users, the Courts and Canadians.

The most critical risk response strategies planned for 2019-20 remains the implementation of plans to improve IT security; maintain sound network access controls; and support the Government of Canada’s National Cyber Security Strategy.

Physical Security

There is a risk that the physical security of the members of Courts, court users, employees and facilities could be compromised.

Increases in number of national security files; upturn in the number of self-represented litigants; demands on limited resources; and amendments to the Access to Information Act legislating possible disclosure of travel information of members of the judiciary will drive this risk in 2019–20.

If this risk is materialized it could result in increased risk to the physical security of members of the judiciary while on travel; security incidents with impact on Access to Justice; inconsistencies and serious gaps in the application of security measures; diminished safety and security of members of the courts and CAS employees; inability to meet the organizational strategic outcome and priorities; reduced confidence in CAS’s capability to deliver a secure environment; inability to meet the standards of the Policy on Government Security; and erosion of CAS’s reputation – reduced confidence of users, the Courts and Canadians.

To respond to this risk, CAS will undertake a comprehensive threat and risk assessment of the Courts’ systems in 2019–20 to identify potential new risks and validate the efficiency of the mitigation measures taken. CAS will continue to implement comprehensive security programs; make enhancements to the physical security of facilities; update business continuity plans; and continue to adopt strategic risk-based approaches to security management. CAS will also maintain ongoing collaboration with the law enforcement community across Canada to inform strategic security decisions and strengthen services provided to the Courts.

Gender-based analysis plus

Introduction

The Government of Canada defines the term “gender-based analysis plus” (GBA+) as an analytical approach used to assess how diverse groups of women, men and gender-diverse people may experience policies, programs and initiatives. The “plus” in GBA+ acknowledges that the gender-based analysis goes beyond biological (sex) and socio-cultural (gender) differences. We all have multiple identity factors that intersect to make us who we are; GBA+ considers many other identity factors, such as race, ethnicity, religion, age, and mental or physical disability.

The Government of Canada is committed to supporting the full implementation of GBA+ across federal departments, so that differential impacts on diverse groups of people are considered when policies, programs and legislation are developed. In 2015, the government renewed its commitment to GBA+ and mandated the Minister of Status of Women to work with the President of the Treasury Board and Minister of Digital Government to ensure that GBA+ is incorporated into Departmental Results Frameworks, Departmental Plans and Departmental Results Reports, and performance reporting.

More information on GBA+ is available on the GBA+ Portal on GCpedia.

General information
Governance structures

CAS remains committed to the implementation of Gender-based Analysis Plus (GBA+) and the continued review and development of policies, programs, approaches and initiatives and the consideration of their impacts on diverse groups.

The following accountability mechanisms ensure that GBA+ is integrated into departmental decision making processes:

  • The CAS Executive Committee (ExCom), headed by the Chief Administrator is responsible for the approval of CAS GBA+ policies, frameworks, procedures and action plans.
  • The CAS Responsibility Center for developing, monitoring and implementing a framework and practices of GBA+ is the Strategic Planning, Communications and Corporate Secretariat Directorate. The Responsibility Center is also charged with conducting annual reviews and assessments of the implementation of CAS’s GBA+ Framework and Departmental Action Plan, and reporting to ExCom on progress.
  • A CAS GBA+ Advisory Committee is an integral part of the CAS Diversity Committee which comprises of senior management and employee representatives from across Canada. This committee will assist in the development, update and implementation of such plans.
  • In December 2018 a GBA+ Champion was appointed to advance the implementation of a comprehensive GBA+ framework and Departmental Action Plan for CAS.
Human resources
  • In 2019-20, the plans for the implementation of a CAS GBA+ Framework and Departmental Action Plan will be incorporated into the Integrated Human Resource Plan.
  • Executives will be required to continue to support CAS’s commitments to GBA+ and demonstrate progress made on items outlined in the Departmental GBA+ Action Plan.
  • Plans will also include CAS’s management commitment to discuss the results of annual reviews and assessments of the implementation of the CAS GBA+ Framework and Departmental Action Plan with employees.
Planned initiatives
  • In 2019–20, CAS will implement a GBA+ Framework and a Departmental Action Plan to strengthen the use of GBA+ as a key tool in informing decision making.
  • Continue to maintain and promote articles promoting GBA+ in the “Positive Space” section of the employees Insight Magazine – a quarterly online publication.
  • Continue to take into consideration lessons learned and best practices from other federal government departments and agencies and contribute to CAS’s capacity to learn about, apply and report on the organization’s GBA+ activities.
  • Provide mandatory GBA+ training management and employees.
  • Continue to develop guides, manuals and other communication tools for promoting GBA+

Raison d’être, mandate and role: who we are and what we do

Raison d’être

The Courts Administration Service (CAS) was established in 2003 with the coming into force of the Courts Administration Service Act, S.C. 2002, c. 8 (CAS Act). CAS’s raison d’être is to provide administrative services to four superior courts of record — the Federal Court of Appeal (FCA), the Federal Court (FC), the Court Martial Appeal Court of Canada (CMAC) and the Tax Court of Canada (TCC). CAS recognizes the independence of the Courts in the conduct of their own affairs and aims to provide each Court with quality and efficient judicial, registry, and internal services. Placing administrative services at arm’s length from the Government of Canada safeguards judicial independence and enhances accountability for the use of public money.

Mandate and role

As stated in section 2 of the CAS Act, CAS is mandated to:

  • facilitate coordination and cooperation among the FCA, the FC, the CMAC and the TCC for the purpose of ensuring the effective and efficient provision of administrative services;
  • enhance judicial independence by placing administrative services at arm’s length from the Government of Canada and by affirming the roles of Chief Justices and judges in the management of the Courts; and
  • enhance accountability for the use of public money in support of court administration while safeguarding the independence of the judiciary.
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