Quality, - Home | CaixaBank · Equality and work-life balance Organisational culture 3. Quality, trust and social commitment Human Resources and Organisation Have the best prepared

Quality, trust and social commitment

CaixaBank Group Workforce32 403

Retail Banking4,851

Specialised centres

32,403 Customers13.8 MMCaixaBank Workforce

29,990Central Services Workforce

5.8%Open-ended contracts

Specialised centres176

International Network26

Profit attributable to the Group

95.7%New hires1,071

Women52.6%

Management positions held by women

37.0%to the Group1,047 MM€

Budget for 'la Caixa' Welfare

Projects500 MM€

Personnel costs2,433 MM€Training hours

1.5 MMOnline90%

Workforce trainedPromotions

Shareholdersover

682,000

100% Promotions5,035

Women promoted61.5%Workforce Survey.

Global satisfaction rate

Market capitalisation18,782 MM€

73%

HR Quality Index109.7

2


INDEX

2016 HUMAN RESOURCES AND ORGANISATION

Personnel selection

2016 ACTIVITY

STAFF

Age, gender and length of service

Staff by originAbsences

ORGANISATIONAL STRUCTUREBranch Network Central ServicesInternational presence

INTERNAL GROWTH

Training activity

Development programmesDetecting and appraising talent

Training plansExecutive Development Centre (CDD)

ECONOMIC DATASocial benefits

ENVIRONMENT

Training activity

OrganisationOrganisational cultureInternal communicationWorkforce SurveyEquality and work-life balance

Organisational culture

3


Have the best prepared and most dynamic team possible Human Resources and Organisation

2016 activity has supported the pillars of the StrategicPlan to help adapt the business model and efficiencybj ti

Have the best prepared and most dynamic team possible Objective 5. 2015-2018 Strategic Plan

Human Resources and Organisation 2016

Objective 5Objective 4Objective 3Objective 2Objective 1objectives.

The people management model has put special focuson the key aspects of Objective 5, with significantachievements in financial advice training, empower-ment, implementation of a meritocratic culture and thepromotion of diversity and equal opportunities

Have the best prepared and most dynamic team possible

Lead the digitalisation of the banking industry

Actively manage capital

Attain recurring returns above the cost of capital

Costumer focus: be the best bank in terms of both quality and reputation

promotion of diversity and equal opportunities.

i i l d f i l d l h h

A team of 29,990 people

organisational and functional models so that the teamcan give a quick response to permanent changes inthe environment (customers, competition, digitisation,regulation ...).

The size of the workforce is stable, with significant ro-tation that has allowed optimisation and rebalancingof the various segments and territories.

There have been 729 voluntary redundancies and1,071 new hires, 820 apprenticeship contracts to

iti i ith h t fcover open positions in areas with a shortage ofemployees and 251 specialised roles in emergingareas of Central Services and the Branch Network.

The dynamism of the business model, with a highspecialisation and a gradual transformation of branchmodel has focused the activity of Human Resources

4

model, has focused the activity of Human Resourcesand Organisation in the review of structures and


These actions have helped increase the competence These postgraduate programmes have strengthenedObjective 5. level of our professionals to maximise value contribu-tion.

Diplomas in financial advice. Boost to compliance

To ensure compliance with the requirements of theregulator regarding MiFID II and maximise the quality

the knowledge, integrity and ethical principles ofBranch managers and Private Banking and PremierBanking managers.

The new regulatory training developed during 2016has definitely consolidated the professional training of

Objective 5. Have the best prepared and most dynamic team possible

5.1 Developing professional capacities

regulator regarding MiFID II and maximise the qualityof financial advice we offer to customers, CaixaBankoutperformed its peers and closed the year 2016 withmore than 7,000 professionals certified as financialadvisers, in collaboration with the Universitat PompeuFabra and the Chartered Institute for Securities &I t t

all CaixaBank team to become leaders in quality andreputation, two of the strategic objectives of theEnterprise.

Training schools. Learning model

In February 2016 the Training schools were launched,

We continue adapting the training offer to the needsof different business areas, focusing both on skills andkey segments, as defined in the Strategic Plan and onexternal certification through universities and businessschools.

Investment.y g ,

which aim is to make available to all employees ofCaixaBank a varied training offer according to theirprofessional development needs.

The schools -Risk, Skills, Commercial, SustainablePerformance, Finance and Leadership- are alignedExpertise, integrity and

thi i i lRegulatory t i i with the learning model of CaixaBank, which aims to

facilitate and support the professional development ofany employee, regardless of the segment to whichthey belong to or the function they carry out.

Value contribution+

Competency development

ethic principles training

External Certifications in Financial Advice

Training schools Model

5


Objective 5. Transformational Leadership Model which seeks to serve those who make up the Enter-jHave the best prepared and most dynamic team possible

5.2 Decentralised management, with empowerment

The purpose of a model of leadership is that leadersof the Enterprise exercise a homogeneous influenceconsistent and aligned with the strategy and values ofthe Enterprise on the different stakeholders: share-holders, employees, customers, suppliers and society.

prise and society in general. Thus, the main goals ofour leaders is to be exemplary and convey confidenceand enthusiasm to meet the objectives in a committedand ethical way.

Executive Development Centre (CDD)

In this line, we have continued to promote the Mana-gement Development programmes in order to rein-force the new Transformational Leadership Model thatis committed to leadership in the service mainlyemphasising the ethical behaviour of the leader,

CDD aims to promote managerial skills of people inkey positions in the Enterprise, providing high value-added programmes.

This year, it has again focused on Leadership Deve-lopment programmes for Business Area managersp p g g(DAN) and on 'Leading the Future' programme forArea and Department Directors and Group subsidia-ries managers.

Additionally, we have particularly worked in makingavailable to our management positions the 'FocusedLeadership

scopeScorecard

programmes', which centre on the development of keycompetencies for optimal performance of their func-tion as communication and negotiation skills.

Developing a

Style.Competencies

andb h i

scope

Leadershipappraisal and development

Development

Developing a CaixaBank

leadership style

Tools and channels for display

Leaders’ identity

behaviours

Leadershiphabits Appraisal

6


Objective 5. Remuneration Policy Commercial Banking Bonus management model jHave the best prepared and most dynamic team possible

5.3 Adapting compensation and professional development structures

The activity of adaptation to the Guidelines of theEuropean Banking Authority (EBA) and alignment withthe Strategic Plan of CaixaBank has culminated inupdating the General Remuneration Policy and theRemuneration Policy of the Identified Staff to keep

In line with recent years, the new appraisal schemesproposal for our commercial network professionalsbonus management, aims to be transparent andunderstandable, objective in its measurement, and adriver to align efforts of the network with the

updated our solid corporate governance procedures.

In addition to these policies, in 2016 the incentivemanagement of the Group and other companiesProtocol has been implemented, consolidating thevocation of reference for the Group of these policies

d t d l d i d f th

CaixaBank strategic objectives and encouragingcooperation within and between teams.

The bonus calculation scheme for 2017 has beenworked out taking into account four key elements:contribution to results, quality service, compliance and

ibilit f th bj ti b t B iand management model derived from them. co-responsibility of the objectives between BusinessArea managers (DAN) and Retail Banking managers.

Total remuneration

Responsibilities and competencies

Objectives Individual/Team Benefits

Pension plan

Loans

Fixed Variable Social benefits

competencies Individual/Team

Annual:

Goals programme

Professional itineraries

Branch classification Loans

Health insurance

Study grants

Special pay(birth of child - length of service)

– Goals programmeCentral Services, Branch Network

– Bonus Schemes

– Incentives

Long-term

Branch classification

Central Services contribution model

7

– LTI Plan


This has lead to an increase in presence of women inDetecting and Appraising TalentObjective 5. managerial positions to 37%.

Internal communication

Internal communication in CaixaBank focuses onthree aspects: making the strategic and business prio-rities of CaixaBank known at all times; spreading

During 2016, the Talent process to cover managerialpositions has consolidated, increasing the number oftenders (list of three candidates) in the coverage of allmanagement positions, basing the choice of condi-dates in three axes to strengthen the guidelines of

jHave the best prepared and most dynamic team possible

5.4 Strengthening a culture based on meritocracy and diversity

rities of CaixaBank known at all times; spreadinginternal policies with an impact on professionals, goodpractices and internal and external recognition, whileindividual or collective; and meeting the expectationsand concerns of all employees to perform effectiveaction of communication with them.

Objective 5 of the 2015-2018 Strategic Plan:

• Meritocracy. Promotion based on professional merit(talent, training, competencies, abilities and exper-tise for the job).

• Diversity. Increasing equality and gender diversity.

The promotion of diversity measures has resulted inthe creation of the Diversity Committee, whose mis-sion is the development, promotion and monitoring ofactions to increase the representation of women inmanagerial positions and avoid losing talent. To moni-

In order to achieve this, CaixaBank has among otheronline channels, the 'Personas' webpage which withmore than 1.9 million hits per month, publishes vari-ous news every day, aligned with the above threeobjectives. This year, the new 'Direct Channel' hasbeen created Its bi directional structure offers the

• Transversality. Working out tender options to applyfor a position taking into account professionals fromother departments, areas, Branch Network, etc.

g p gtor the actions defined, we have a cross team thatinvolves several areas of the Enterprise, with theDirectorate-General of Business as Executive Spon-sor.

Thus, it is intended to drive change and enhance thebeen created. Its bi-directional structure offers thepersonal response of senior management to concernsraised by staff in specific forums.

Additionally, to enhance the achievement of theObjective 5 of the Strategic Plan, we intend to havethe most prepared dynamic and supportive team To

Management appraisal

EPC

value of gender diversity, facilitate the implementationof the defined actions and ensure the project'sprogress through indicators associated.

CaixaBank has renewed the EfR Certificate (EmpresaFamiliarmente Responsable) awarded by the Funda-

the most prepared, dynamic and supportive team. Toachieve this, we have launched the #equiposaludablecampaign, which promotes healthy habits among allprofessionals in the Enterprise.

EXECUTIVE Performance appraisal

Executive Talent

appraisal

180º F db k

ción MásFamilia, achieving the level B+ (pro-activecompany) and has acceded to the ObservatorioGeneración & Talento.

8

180º Feedback

2016 Activity


Staff. AGE, GENDER AND LENGTH OF SERVICE

FemaleTotalMale

41

15

42

16

44

17

15,764 (52.6%)29,99014,226 (47.4%)

2016 2015 2016 2015

29,972

42

15

2016 2015

15,674 (52.3%)

41

14

Staff

Average age

Average length of service

43

16

14,298 (47.7%)

50-54

55-59

> 5933

982

2,359

11

400

1,260

35-39

40-44

45-49

,

2,348

3,036

3,910

,

2,119

4,555

5,272

20-24

25-29

30-34881

503

174

1,452

504

191

• The population pyramid is stable presenting generational and gender balance

0 500 1,000 1,500 2,000 2,500 3,000 3,500 4,000 4,500 5,000 6,0006,000 5,000 4,500 4,000 3,500 3,000 2,500 2,000 1,500 1,000 500 05,500 5,500

• The population pyramid is stable, presenting generational and gender balance.• The replacement of the voluntary redundancies has allowed to continuing rejuvenating the workforce.

10


Staff. PERSONNEL SELECTION

Specific internal selection processes External selection processes

Central Services. Central Services managers, managers, employees

Apprenticeship contracts

Specific roles

Interns

846

5

1

24

180

29

CC.SS T.M

Profile

Participants

Processes completed

2,852

257

Total 852233

New hires profile

Average age

Female

27

48

years

%

Profile

Average age


Female

Male

42

15

41

59

years

years

%

% Female

Male

Degree, master, postgraduate

48

52

99

%

%

%Branch Network. Specialists, technicians, employees

Participants

Processes completed

5,691

697

Profile

Average age


Female

M l

41

14

42

8

years

years

%

%

• The implementation of the 2015 2018 Master Selection Plan continues with initiatives such as social media campaign for recruitment and selection of junior profile for

Male 58 %

11

• The implementation of the 2015-2018 Master Selection Plan continues, with initiatives such as social media campaign for recruitment and selection of junior profile for the Branch Network and the technological developments of the internal CV and automated monitoring assessments.

• Selection and recruitment of teams for Control & Compliance area and A and Store branches new openings.


Staff. STAFF BY ORIGIN

688 employees from 67 different countries

France Germany Venezuela MoroccoSwitzerland

84 59554239

ChileCubaPortugal Ukraine Andorra

6 6 554

AustriaBurkina FasoCanadaCosta RicaEl Salvador

11111

ItalyPeruRomaniaPoland Argentina

27 25 25 24 23

BulgariaDenmark HondurasDominican RepublicBelarus

4 4 443

SloveniaFinlandGuatemalaEquatorial GuineaIsrael

11111g

ColombiaChinaUnited KingdomNetherlands Ecuador

23 22 2118 16

Bosnia-HerzegovinaSlovakiaMoldovaNicaraguaAlgeria

3 3 3 3 2

JordanKazakhstanLithuania MauritiusMauritania

11111Ecuador

Brazil Belgium Uruguay United StatesRussia

16 15 15 14 1110

AlgeriaBoliviaEgypt GreeceIranLuxembourg

2 22222

MauritaniaMozambiquePakistanSingaporeSyriaTaiwan

111111

• The diversity of our team allows us to continue providing the best service to our customers giving coverage to their needs in a personalised way

RussiaMexicoSweden India

10997

LuxembourgCzech RepublicTurkeyArmenia

2221

TaiwanTanzania

11

• The diversity of our team allows us to continue providing the best service to our customers, giving coverage to their needs in a personalised way.

12


Staff. ABSENCES

Absenteeism rate. Missed days/total days:

20162015

5.89% 5.22%5.40%

2014

575,324 days599,559 days643,217 days

Illness

2015

Distribution by reason:

20162014

2.64%2.72%2.68%

Accident at work

Maternity and adoption

Paternity

0.05%

1.25%

0.13%

0.06%

1.35%

0.14%

0.06%

1.58%

0.15%

Legal and union representative

• Keeping the manageable absenteeism rate in check we contribute to fulfil the objective of stability

1.15%1.13%1.42%

13

• Keeping the manageable absenteeism rate in check we contribute to fulfil the objective of stability.• The overall absenteeism rate stood at 5.22%, consolidating the downward trend of recent years, mainly due to the decrease in maternity and common illness.


Organisational structure. BRANCH NETWORK

TOTAL País Vasco Cantabria

2016 2015 20152016

Branches*Workforce

TOTAL5,199

27,126

GaliciaBranchesWorkforce

199771

País Vasco - CantabriaBranchesWorkforce

2351,089

196785

5,01026,755

2321,071

NavarraBranchesWorkforce

157831

149825

Aragón - La RiojaBranchesWorkforce

113626

Castilla y León - AsturiasBranchesWorkforce

3201,390

MadridBranchesWorkforce

6323 377

3101,352

5723 152

114629

BarcelonaBranchesWorkforce

8835 378

8275 490

CataluñaBranchesWorkforce

4912,701

BalearesBranches 207

Cast. La Mancha - ExtremaduraBranchesWorkforce

218971

Workforce 3,377

Andalucía OccidentalBranches 630

3,152

217970

622

4812,710

197

Workforce 5,3785,490

CanariasBranchesWorkforce

2571,382

BranchesWorkforce

207928

Comunidad ValencianaBranchesWorkforce

4432,196

Workforce 3,628

Andalucía Oriental y Murcia

3,467

2521,376

197927

4382,163

• The CaixaBank business model has led to a process of optimisation and rationalisation of the Branch Network with a decrease in the number of branches maintaining

Andalucía Oriental y MurciaBranchesWorkforce

4141,858

4031,838

* Retail branches and specialised centres

• The CaixaBank business model has led to a process of optimisation and rationalisation of the Branch Network with a decrease in the number of branches, maintaining presence in 93% of municipalities with more than 5,000 inhabitants. Human Resources and Organisation has accompanied this process with managing synergies, increasing the number of specialised managers and reinforcing training in advice.

14


Organisational structure. CENTRAL SERVICES

Workforce by area

2016

Chairman's Office

ED of Communication Institutional Relations Brand & CSR

43

52ED of Communication, Institutional Relations, Brand & CSR

General Secretary

Deputy Chairman's Office

CEO

DG of Insurance and Asset Management

DG f B i

52

119

7

18

14

268DG of Business

DG of Human Resources and Organisation

DG of Risk

DDG of Internal Audit

ED of Finance

268

105

220

139

38

ED of Resources

ED of International Banking

ED of Audit, Management Control and Capital

SDG of Control & Compliance

435

36

161

79

Total active personnel

• CaixaBank's commitment to the current regulatory and commercial environment has resulted in a bid to adapt the structure and functional map of the company

1,734

• CaixaBank s commitment to the current regulatory and commercial environment has resulted in a bid to adapt the structure and functional map of the company.

15


Organisational structure. INTERNATIONAL PRESENCE

Hong Kong / China

Warsaw

Central and Eastern EuropeNew York

Paris

LondonFrankfurt

TangierPortugal Milan

CairoDubai

New Delhi

New YorkIstambul

Algiers

Beijing

Shanghai

Hong Kong

CasablancaAgadir

Mexico

Bogota

New Delhi

Singapore

São Paulo

Lima

ChileJohannesburg Operational branches

Representation officesBank investee portfolio:

São Paulo

• CaixaBank is present across four continents with 26 operational branches and representation offices

Portugal Central and Eastern Europe

Hong Kong / China Mexico2017: Algiers, Agadir

• CaixaBank is present across four continents with 26 operational branches and representation offices.• Human Resources and Organisation contributes to the selection and management of over 100 people who make up the team of the International network.

16


Internal growth. DETECTING AND APPRAISING TALENT

TALENT COMMITTEE • Identifying, monitoring and appraising key managerial talent. 43 Talent committees.

FEEDBACK 180º • Appraisal of certain functions by their teams.

• Appraisal and appointment of managers.• Follow-up of new appointments and management consolidation.

MANAGERIAL TALENT 396 processes. 657 appraisals. 325 appointments.

Appraised/ function:

- Central Services: Corporate management, Area Director, Department Director, Managing Director.

- Branch Network: Branch Network management, Commercial management, Business Area management (DAN), Business Banking Centre management, Private Banking Centre management.

6 / Corporate mgmt. 20 / Area and Department mgmt.. 14 / Branch Network mgmt. 11 / Commercial mgmt. 233 / Business Area mgmt. (DAN). 61 / Business Banking Centre mgmt

19 / P i t B ki C t t

MANAGEMENT COMPETENCY-BASED APPRAISAL (EPC DIRECTIVA)

• Appraisal and feedback by the Branch Network (to Branch Network mgmt., Business Area mgmt.-DAN, Business Banking Centre mgmt., Private Banking Centre mgmt.) and Central Services Directors.

• Annual appraisal process.

19 / Private Banking Centre mgmt.

647 appraisals.

COACHING • Guidance to executives to further their professional development on a one-to-one and group basis.

Executive Coaching: 5 executives. Team Coaching: 3 teams (40 executives).

• We continue to advance in the implementation of the culture of talent appraisal• We continue to advance in the implementation of the culture of talent appraisal.• In 2016, the Feedback 180º (evaluation by teams) has been extended to managerial functions of both the Branch Network and the Central Services.

17


Internal growth. DEVELOPMENT PROGRAMMES

• Transfer of CaixaBank’s leadership style managerial culture.T l f lf l d hi d l t

Leadership to service 146 Central Services Directions.

• Encouraging the manager at the beginning of the performance.• Introduction to the basis of the manager role at CaixaBank.• Leadership model and people management reinforcement

• Tools for self-leadership and people management.• Design, monitoring and execution of individual action plans to enhance

competencies.

Commitment to service programme

programme

96 managers and Central Services managers.Management skills and competencies development

• Leadership model and people management reinforcement.

• Critical aspects of the new role.• Management skills.• Group session + individual coaching.

• Commercial team management

GPS programme

PROA programme

GPS DAN: 2 editions, 21 participants. GPS CC.SS: 3 editions, 57 participants.

PROA DAN: 3 editions 23 participants

programmes

• Commercial team management.• Planning and follow-up of commercial activity.• Management skills.• Time management.

PROA programme PROA DAN: 3 editions, 23 participants.

MANAGEMENT COMPETENCY-BASED

• Appraisal and feedback from management immediate superior.• Annual appraisal process (30 days)

27.003 appraised:Branch Network: 25 230COMPETENCY BASED

APPRAISAL (EPC) & PERFORMANCE MANAGEMENT

Annual appraisal process (30 days).• Individual improvement plans.• Integration of the EPC model into the Performance management

system.

– Branch Network: 25,230– Central Services: 1,161– Branch Network mgmt.: 612

COACHING • Coaching management to further their professional development on a one-to-one and group basis.

Transition coaching: 89 managers.

• The competency profiles have been revised to suit them to CaixaBank's Strategic Plan and Leadership Model

g p

• Transformational Leadership Model, included in all development programmes.

• Driver of change and innovation.

Currently included in management development programmes.

LEADERSHIP MODEL

• The competency profiles have been revised to suit them to CaixaBank s Strategic Plan and Leadership Model.• Directors from Central Services have followed the coaching certification programme.• In 2016, the Competency-based Appraisal (EPC) has reached 100% of non-management positions.

18


Internal growth. EXECUTIVE DEVELOPMENT CENTRE (CDD)

2016 Milestones

• Leadership Development programme for DAN.

• ‘Leading the Future’ programme: aimed at Central Services and Area Directors and CaixaBank Group subsidiaries management.

• Continuous programme for Area Directors and Department Directors and Cai aBank Gro p s bsidiaries management

4 editions, 63 participants.Bespoke CDD programmes for targeted group 1 edition, 26 participants.

1 diti 15 ti i tDirectors and CaixaBank Group subsidiaries management. Banking simulator.

• Focused programmes. Intensive programmes, designed for executives with the aim of enhancing competencies and facing organisational objectives with a mainly practical methodology:

1 edition, 15 participants.

- ‘Negotiating Intelligence’, for Branch Network management.- ‘The art of communication’, for Branch Network management.

4 editions, 68 participants. 4 editions, 54 participants.

12 sessions, 184 participants.• Projects developed by CDD programme participants, translated into

real changes to the Enterprise.Implementation projects

• Consolidating the area, taking the relationship between managers and the CDD into the online world.CDD digital area

• Under the series ‘Conferences about leadership’.CDD Conferences 3 conferences, 188 attendees.

• After more than five years of success the Executive Development Centre ends its activity integrated in CaixaBank Development department• After more than five years of success, the Executive Development Centre ends its activity integrated in CaixaBank Development department.

19


Internal growth. TRAINING PLANS

• Training schools Finance SchoolRisk School

FSRS

T i i Pl f

Risk SchoolCommercial SchoolSkills SchoolSustainable Performance School

• Bespoke itineraries AgroBank

SS

RSCS

SPS

Training Plan for Branch Network, Central Services and Branch Network areas

Private Banking and Premier BankingAuditInternational'A' / Store branchesNew employees

DAF: Diploma in Financial AdviceCISI: Certificate in Wealth ManagementCAF: Postgraduate in Information and Financial Advice Diploma in Savings and Retirement ExpertPostgraduate in Banking Risk AnalysisC tifi t i B ki Ri k A l i

• Outstanding programmes Branch mgmt. Premier Banking mgmt. and Private Banking

Branch mgmt., Premier Banking mgmt. and Private Banking

Branch mgmt.Branch mgmt. and Branch assistant mgmt.

Branch assistant mgmt.

• Regulatory training

Certificate in Banking Risk AnalysisProduct selling processes. Proactive selling Branch assistant mgmt., Business mgmt. and Employees.

Business mgmt.

• In house trainers community (Formadores Internos) is strengthened as the linchpin of CaixaBank Training Plan This is a key figure in the team of the bank to create

Channels: Renowned consultants and institutions

• In-house trainers community (Formadores Internos) is strengthened, as the linchpin of CaixaBank Training Plan. This is a key figure in the team of the bank, to create a learning environment and good practices.

• Continues the boost of advice regulatory training for compliance with MiFID II, which is a reinforcement to reputation and quality of service.

20


Internal growth. TRAINING ACTIVITIES

29,990

142,558

1,329,579

1,472,137

People trained

Attendance-based training e-learning (Virtaula)Total hours of training

I h t i

100%

10 %

90 %

of workforce Evaluation by participants (out of 4)

Satisfaction

Relevance

3.23.2

SSFSRS CS SPS

1,972In-house trainers

Formal training

Training schools:Sustainable Performance

SchoolRisk School Finance School Commercial School Skills School

Logins

School

71,229 49,918 48,565 17,197 6,769

54,170484,971

Informal training

Access to non-corporate resourcesReading via forumsLibrary material:

2,711477

285,200

Corporate materialNon-corporate material

Plays on videos

• During 2016 the Training schools have been introduced as the main axis of the CaixaBank's pedagogical model• During 2016, the Training schools have been introduced as the main axis of the CaixaBank s pedagogical model.• We continue to develop specific training roadmaps for key segments: Business Banking, Premier Banking, Risk and Corporate & Institutional Banking.• CaixaBank has won the '100 best ideas of 2016' price for the creation of the Risk School, awarded by the magazine Actualidad Económica.

21


Economic data. SOCIAL BENEFITS

BeneficiariesDescripciónItem

Pension PanHealth insuranceLoans

38,24233,483Portfolio,

as of December 2016

Benefits starting at retirement and active personnel risk coverageFree health insurance, which covers direct family members at a discounted rateLow rates of interest on mortgages and loans

Bursaries for education:EmployeesDescendantsNurseries

as of December 2016

28,266

1,97120,1365 161

Up to 90% of the registration fee for university studiesFinancial assistance for offspring under 25 who are studyingAssistance for children under 3Nurseries

Newborn baby bonusLength of service bonusSupplements:Mat./Pat./Accident at work/TI Funeral expenses

5,1611,6981,128

7,615376

Assistance for children under 3Bonus for the birth of a babyAfter 25 and 35 years of serviceUp to 100% of salary for temporary incapacity, accident at work and maternity/paternity leave Covers costs resulting from the death of a first degree relativeFuneral expenses

Other financial benefits376Covers costs resulting from the death of a first degree relative

Special conditions for two current accounts, credit cards and fees

• CaixaBank has a broad programme of social benefits for employees and their families which is one of the main strengths of the Enterprise• CaixaBank has a broad programme of social benefits for employees and their families, which is one of the main strengths of the Enterprise.• On the Workforce Survey Radar conducted in 2016, CaixaBank employees have expressed feeling overall satisfied with social benefits, scoring with 92% satisfaction

(+1 compared to 2015).

22


Environment. ORGANISATION

Milestones as a response to the environment changes

Supporting structures to new business Review and implementation of new organisational models

‘OPTIMIZA’ projectOperating costs restructuring plan and efficiency improvement Creation of the

CaixaBank Business Intelligencesubsidiary

costumers

Creation of the newDigital inTouchservice

Creation of the new Regulatory control operational centrein Torre Sevilla

y

competitors

technologyl ti

• The activity of the Organisation team is a cornerstone for constant adaptation of structures and sizing CaixaBank workforce to the demands from the business

regulation

• The activity of the Organisation team is a cornerstone for constant adaptation of structures and sizing CaixaBank workforce to the demands from the business environment.

23


Environment. ORGANISATIONAL CULTURE

Meritocracy and Diversity

→ Creation of the Diversity Committee with the DG of Business as Executive Sponsor.→ Integration of meritocracy and diversity vision into the HH.RR policies and processes.→ Renewal of the Diversity Charter.→ Accession to the Observatorio Generación & Talento. → 8 f ith E ti h t ith th i f id tif l t

Meritocracy and Diversity

→ 8 focus groups with Executive women have set up with the aim of identify levers to drive up access and promotion in their executive development.

→ Continuous improvement: indicators and equality certifications.

Representativeness of women in management positionsBusiness

model→ Renewal of EfR Certificate (Empresa Familiarmente Responsable) awarded by the

Fundación MásFamilia, achieving the level B+ (pro-active company).→ Radars and Focus group to deepen the effectiveness of the measures implemented.

O th b i f th 2015 W kf S lt th t i it ti i t h

2013-2015 Workforce Survey

model

Climate Leadership and Talent

On the basis of the 2015 Workforce Survey results, the top priority action points have mainly focused on the following areas:→ Working conditions and barriers to performance→ Incentives schemes→ Work-time efficiency→ Development

STRATEGIC PLANMission, Vision and Values

• The key processes with the greatest impact in promoting diversity and meritocracy have been reviewed

→ Trust and commitment to costumer→ Participation and active listening

• The key processes with the greatest impact in promoting diversity and meritocracy have been reviewed.• Within the work frame of the Diversity Project, a considerable progress in the representation of women in managerial positions has been made, reaching 37% in 2016

(35% in 2014).

24


Environment. INTERNAL COMMUNICATION: STRATEGIC TOOL

New campaign:#equiposaludable

‘Personas’ channel Awards for the best sales teams MEV Corporate communication Plan under the 2015-2018 Strategic Plan

1,977,192 visits/month.

93,997 visits/day.

615 published on ‘Personas’.

It promotes healthy habits among all CaixaBank professionals.

– 9,698 staff signed up.

1 582 activities related to the three

14 recognition events to the Branch Network efforts and good job.

12,825 attendees: 43% of CaixaBanktotal workforce

Supporting the Strategic Plan through :

– Communication Plan on ‘Personas’.

– ‘Canal Caixa’ corporate magazine: PRESENTES DE FUTURO un año de

#equiposaludable the 2015 2018 Strategic Plan

29,970 users logins in 2016 (99.9% of workforce).

– 1,582 activities related to the three axes of the campaign: Physical well-being, Positive Attitude and Volunteering.

– 7,200 pictures taken by the participants and uploaded to the platform.

total workforce.

926 professionals awarded, among 157 teams from branches and 74 individual prices.

PRESENTES DE FUTURO, un año de avances en el Plan Estratégico.

– Corporate brochure.

Impact of the news on the Strategic Plan in ‘Personas’

Objective 1: 159 news


25%

16%

Percentage

17%

10%


9% Objective 4: 59 newsObjective 3: 34 news5%

Transversal project: 65 news

• One of the 2016 highlights was the #equiposaludable initiative to promote healthy habits among all professionals in CaixaBank This campaign is based on the

18% Other: 114 news

• One of the 2016 highlights was the #equiposaludable initiative to promote healthy habits among all professionals in CaixaBank. This campaign is based on the definition of health of the World Health organisation: 'Health is a state of complete physical, mental and social wellbeing and not merely the absence of disease or affliction' and was structured on the axes Physical Well-being, Positive Attitude and Volunteering.

25


Environment. WORKFORCE SURVEY

S f Gl b l k l li t i di t A f ll it % f ‘T t ll ’ d ‘A ’

2016 Radar

Results by dimension

2016 Survey – Technical file

Sample

Replays

→ 2,500 people

→ 1,266Sampling error: +/- 2.26%

Global workplace climate indicator. Average for all items. % of ‘Totally agree’ and ‘Agree’.

20162015

73%69%

50%

Variation

+4

Results by dimension

A good organisation to work at

Leadership & progress in the Enterprise

→ 11 survey dimensions→ 67 items and one open question

58 Climate Survey

7 Hay Group Effectiveness Model

Questionnaire

Level of confidence: 95%

89%

79%

2015 Variation

+2

=

Immediate line manager

Customer-focus

Cooperation and team work

2 specific questions

Dissemination

Date → January 17-27, 2017

→ Internet (via website)

79%

72%

71%

+2

+3

+3

Results-orientation 73% +7

Commitment

Working conditions

Communication

71%

68%

+7

+2

67%

+3

Intrinsic motivation

• The results of the 2016 survey show a trend between stable and moderate rise compared to 2015

50%

Organisational environment 66%

64% +4

+6

• The results of the 2016 survey show a trend between stable and moderate rise compared to 2015.• Work fronts set in the improvement plan positively impact the opinion of employees, maintaining the strengths of leadership, ability to compete and pride of ownership.

26


Environment. EQUALITY AND WORK-LIFE BALANCE

Management positions held by women(from Branch assist. mgmt. of A and B category branches)

35% 36% 37%C F l M lR d ti f ki h

(from Branch assist. mgmt. of A and B category branches)

2018 target2016 target

2015-2018 Strategic Plan

36% 38%

Caring for children Caring for a relative (up to 2nd degree) Caring for ill childTotal

35%

2014 2015 2016 2017 2018

1,2841241

1,337

93.6%91.7%92.7%93.6%

6.4%8.3%7.3%6.4%

Cases Female MaleReduction of working hours

Cases Female MalePaid leaveCaring for children Caring for a relative

55520

96.4%85.0%

3.6%15.0%

Cases Female MaleLeaves of absenceWork-life balance - measures in 2016 (total workforce)

Maternity/adoption Paternity Extended maternity leave Extended paternity leaveAccum. hours for breastfeeding breaks

1,320726

1,025581

1,034

98.6%0.4%

99.4%0.5%

96.5%

1.4%99.6%0.6%

99.5%3.5%

Caring for dependantsMantaining cohabitationTraining Solidarity Personal reasons (not specified)

2301258

50.0%90.0%58.3%60.0%62.5%

50.0%10.0%41.7%40.0%37.5%

Total

• The percentage of women in managerial positions from Branch assistant management of A and B category branches has continued to increase reaching 37%

4,686 71.0% 29.0% Total 632 94.1% 5.9%

• The percentage of women in managerial positions -from Branch assistant management of A and B category branches- has continued to increase, reaching 37%.• CaixaBank continues to offer a wide range of policies to promote diversity, responsibility and work-life balance of its workforce.

27

2016 HUMAN RESOURCES AND ORGANISATION ANNUAL REPORT

Av Diagonal 621Av. Diagonal, 62108028 Barcelona

www.CaixaBank.com

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