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The Agency is both an economic regulator and a quasi-judicial tribunal. It regulates the national transportation system (air, rail and marine) through the administration of laws, regulations, voluntary codes of practice, and education and outreach programs. It adjudicates disputes between users of, service providers within and others affected by the national transportation system.
As a regulator, the Agency has a mandate to administer the economic regulatory provisions affecting all modes of transportation under federal jurisdiction found in various Acts of Parliament. In 2009–2010, the Agency:
As an adjudicator, the Agency resolves transportation issues within the national transportation system either by investigating and making formal tribunal decisions on complaints and ordering corrective measures as required, or by helping parties resolve their issues through the alternate dispute resolution processes of mediation or facilitation. In 2009–2010, the Agency:
Performance Indicators | Targets | Performance Status | Performance Summary |
---|---|---|---|
Feedback from users of, service providers within, and others affected by the national transportation system on perceived transparency, fairness, and efficiency of the decision-making process. |
Conduct benchmark surveys and set targets. Conduct subsequent survey. |
Conducted survey and collected preliminary data. Benchmarks will be determined upon analysis in fall 2010, and continued and broadened surveying is scheduled for 2010–2011. | Met performance target. Conducted 31 in-depth qualitative interviews with senior officials from major transportation providers and associations; also surveyed participants in mediations and facilitated travel-related cases, with 72 responses received in total. |
Percentage of discretionary rulings overturned by the Federal Court of Appeal on basis of procedural fairness. | 0% | 0% | Met performance target. An alleged breach of the rules of fairness was raised on six cases at the Federal Court of Appeal. Four were denied at the motion for leave to appeal stage, one was discontinued and another was denied at the appeal stage. |
Percentage of cases resolved within prescribed time limits. |
Disputes resolved formally: 65% resolved within 120 days. | 43% | Did not meet performance target. The complexity of formal cases on which the Agency must rule has increased, and as a result, more cases took greater than 120 days to resolve. A priority in 2009–2010 was to re-engineer the Agency's approach to case management to improve efficiency, quality and consistency of decisions in 2010–2011 and beyond. |
Determinations: 95% issued within 120 days. | 97% | Exceeded performance target. | |
Licences: 85% issued within 14 days. | 90% | Exceeded performance target. The Agency processed 154 new air licence applications, out of which 138 were processed within 14 days of the application being complete. | |
Charter permits: 92% issued within 30 days. | 91% | Mostly met performance target. A significant number of applications for sports team charters required approval following ministerial directives | |
Mediation: 100% completed within 30 days (when no extension is requested). | 100% | Met performance target. The Agency's mediation success rate is 83%. Two cases were not resolved through mediation and were referred back for adjudication; one case was subsequently withdrawn. |
In order to successfully deliver its strategic outcome, the Agency divides its programs into three activities (economic regulation, adjudication and alternative dispute resolution, and internal services), which are explained in the following logic model.
Canadian Transportation Agency - Logic Model
[PDF Format][Description of the image]
2009–2010 Financial Resources |
2009–2010 Human Resources |
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Planned Spending | Total Authorities | Actual Spending | Planned | Actual | Difference |
11,902 | 13,324 | 12,324 | 119 | 113 | -6 |
Within the specific powers assigned to it by legislation, the Agency participates in the economic regulation of modes of transportation under federal jurisdiction, including:
The Government of Canada's national transportation policy permits the domestic market to self-regulate. However, it also acknowledges that regulation can be required to meet public objectives or in cases where parties are not served by effective competition.
Expected Results | Performance Indicators | Targets | Performance Status | Performance Summary |
---|---|---|---|---|
Regulatory authorities required to operate publicly available air services are issued on a timely basis upon meeting the regulatory requirements. | Percentage of charter permits issued within 30 days. | 92% | 91% | Mostly met performance target. The small variance is due to a significant number of applications for sports team charters that required approval following Ministerial directives. Results are 95% when the 57 sports team charter cases are excluded. |
Regulatory authorities required to operate publicly available air services are issued on a timely basis upon meeting the regulatory requirements. | Percentage of licences issued within 14 days. | 85% | 90% | Exceeded performance target. The Agency processed 154 new air licence applications, out of which 138 were processed within 14 days of the application being complete. |
Compliance with the Canada Transportation Act and its attendant regulations. | Percentage of compliance with the requirements to hold a valid licence, insurance and Air Operator Certificate, as determined by inspections. | 100% | 100% | Met performance target. The Agency conducted 140 periodic air carrier inspections in 2009–2010 and found all air carriers to be compliant with those basic requirements. |
Compliance with the Canada Transportation Act and its attendant regulations. | Percentage of compliance with requirements of the Act and regulations other than licence, insurance and Air Operator Certificate requirements, as determined by inspections. | 85% | 96% | Exceeded performance target. Of the 159 cases processed, 153 were closed within 120 days with parties complying with these requirements. |
Enhanced monitoring of and compliance with accessibility regulations and codes of practice. | Level of compliance with accessibility provisions. | Development of new monitoring and compliance methodology and tools. | New monitoring and compliance methodology and tools were implemented. | Met performance target. |
Conduct monitoring and set targets. | Monitoring of compliance conducted on targeted service providers for the Communications Code of Practice. | The Communications Code of Practice survey report released in 2009 identified key compliance issues. Follow-up action was taken to enhance compliance. | ||
Conduct assessments and report on compliance. | Compliance assessments conducted and reports issued. | Compliance reports issued on requirements to provide accessible communications systems and information to persons with disabilities in accessible formats. | ||
The Agency efficiently protects the interests of operators of Canadian registered ships while allowing access to foreign ships when suitable Canadian registered ships are not available. | Percentage of applications processed prior to the deadline. | 95% prior to the commencement date when no offers are made. | 100% | Met performance target. All applications without offers (82 in total) were processed before commencement date. |
80% issued within 90 days when offer is made. | 90% | Exceeded performance target. | ||
Environmental, economic and social impacts of railway construction projects, railway lines and yards are mitigated. | Percentage of compliance with prescribed mitigation conditions as determined on follow-up. | 100% | 100% | Met performance target. |
Regulatory authorities required in railway operations are issued on a timely basis upon meeting the regulatory requirements. | Percentage of determinations issued prior to specified timeline of 120 days. | 95% | 100% | Exceeded performance target. All three cases were processed within 120 days. |
The Agency met or exceeded its level of service targets with respect to its economic regulation program.
With respect to its change management agenda, the Agency had two primary objectives for this program, which were captured under two broad headings, namely: 1) to manage its caseload in a sound, responsive and efficient manner; and 2) to maintain up-to-date, relevant and clear regulatory frameworks.
To realize the first objective, the Agency adopted and implemented certain measures to streamline its decision-making process (standardization of decision letters for straightforward applications, removal of unnecessary internal reviews and approvals, standardization of material to be brought forward to Members); established a three-year plan for documenting and streamlining its approach for managing the caseload of its economic regulatory program; automated the production of charter permit documents; and continued to monitor and update its performance monitoring system.
With respect to the second objective, the Agency moved forward simultaneously on a number of fronts:
As part of its review of the interswitching rates, the Agency proposed substantive changes to the methodology it uses in determining interswitching costs incurred by the railway companies. As a result, it decided to initiate further consultations with stakeholders before finalizing the rates and proceeding to amend the current regulations.
The Agency adjusted its Performance Management Framework in light of the experience gained. Further significant improvements to its level of service standards will require a more fundamental look at its existing business processes and the role that automation and Web-based service solutions might play in this regard.
The Agency will continue to put more emphasis on its regulatory role to ensure that its regulations are up to date and reflective of government policies and priorities. More emphasis will be placed on enhancing the transparency of its decision-making processes. Using the forthcoming revised Coasting Trade Guidelines as a guide, the Agency will continue working towards a more comprehensive and up-to-date set of guidance documents to improve the transparency, predictability and fluidity of its decision-making processes for the different categories of applications under its authority.
By ensuring that legislative and essential regulatory requirements are met in a timely manner, the Canadian Transportation Agency contributes to an economic, efficient and safe transportation system meeting the needs of its users. It helps carriers to meet public sector objectives while not unduly restricting their business activities and it contributes to establishing a level playing field for all carriers operating in Canada through its impartiality, consistency and professionalism.
2009–2010 Financial Resources |
2009–2010 Human Resources |
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Planned Spending | Total Authorities | Actual Spending | Planned | Actual | Difference |
6,584 | 7,477 | 7,261 | 62 | 60 | -2 |
The Agency participates in the resolution of disputes on matters related to the national transportation system, including:
Expected Results | Performance Indicators | Targets | Performance Status | Performance Summary |
---|---|---|---|---|
The Agency efficiently resolves complaints on air services, weighing the evidence submitted by the parties. | Percentage of disputes resolved formally within 120 days. | 70% | 44% | Did not meet performance target. Complexity of cases impacted the meeting of this target. |
The Agency efficiently resolves complaints about obstacles to the mobility of persons with disabilities, weighing the interests of persons with disabilities with those of the industry in assessing whether the obstacle is undue. | Percentage of disputes resolved formally within 120 days. | 50% | 67% | Exceeded performance target. Implementation of new processes to enhance the efficiency and effectiveness of case processing contributed to the favourable results as did the greater percentage of accessible disputes being informally resolved. |
The Agency efficiently resolves disputes by determining whether pilotage charges are in the public interest and whether port fees and seaway tolls are not unjustly discriminatory. | Percentage of disputes resolved formally within 120 days. | 70% | No disputes filed this year. | N/A |
The Agency efficiently resolves disputes between shippers, farmers, landowners, road authorities, utility companies, all levels of government and railway companies. | Percentage of disputes resolved formally within 120 days. | 75% | 25% | Did not meet performance target. Complexity of cases had an impact on meeting this target. |
Although the Agency has addressed a number of dispute case processing issues, implemented process improvements and established new practices that promote increased productivity and efficiency, meeting the 120-day target for the resolution of complex cases through the formal adjudicative process continues to be a challenge. This challenge has been made even greater through the increasing share of formal cases that are more complex due to procedural requirements, complexity of the issues and, in some cases, the need for research and for expert opinions.
The Agency encourages parties to work together to either avoid disputes or resolve issues in a collaborative fashion. Informal dispute resolution processes offered by the Agency are quite effective when resolving straightforward disputes. Last year, over 88% of complaints brought by individual consumers were resolved informally by Agency staff, either through facilitation or mediation. Not only are acceptable solutions found relatively quickly, but both parties usually wind up saving considerable time and expense by resolving the issue without resorting to the Agency's formal adjudicative process —making this informal approach a true win-win situation.
However, cases that are not resolved through informal methods tend to be more adversarial in nature, adding to the complexity of these cases. Certain formal cases may also be without precedent, or raise broad systemic, policy or procedural issues. Therefore, additional information and time may be required by the parties and extensions of time are not uncommon.
The Agency re-engineered its formal adjudicative process to improve the timeliness of its decisions. To support this re-engineering, an extensive analysis was undertaken of all the steps of the adjudicative process. The analysis demonstrated that the 120-day deadline for issuing decisions leaves little leeway for many of the procedural issues that are frequently raised in adjudication and must be addressed to ensure natural justice is satisfied.
The Agency must be able to take the time it needs to carefully consider and weigh the evidence before it, with full due process provided to all parties. That responsibility, added to the increasing complexity of certain cases, makes it more difficult for the Agency to meet its 120-day performance target for such cases. Further actions will be taken to address this challenge. The Agency will conduct a review of the Canadian Transportation Agency General Rules to identify alternative approaches that would better respond to the differing needs of the Agency and its clients in disputes and determinations, as well as provide more, clearer guidance to self-represented parties appearing before the Agency. The Agency will also develop ways of stratifying cases based on complexity and establish more relevant performance targets. Also, a comprehensive, customized training program designed for case officers will be provided starting in 2010–2011.
Mediation is actively promoted by the Agency and is used to address cases having multiple issues of high complexity. As a result, the number of persons involved is increasing, as is the workload for each mediation. In 2009–2010, 100% of mediations were completed within the 30-day statutory deadline. However, in order to ensure that future performance targets are met, the current mediation service delivery framework is under review.
In exercising its adjudicative powers, the Agency employs processes that are responsive, fair and transparent, and considers the interests of all parties to disputes involving the national transportation system. Its adjudicative formal decision-making process is governed by the rules of natural justice and fairness.
Through its actions and by working closely with Transport Canada, other departments, its clients and stakeholder groups, the Agency supports the goal of a Canadian transportation system that is competitive, efficient and accessible — and that meets the needs of those who provide or use transportation services.
2009–2010 Financial Resources |
2009–2010 Human Resources |
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Planned Spending | Total Authorities | Actual Spending | Planned | Actual | Difference |
7,666 | 8,743 | 8,456 | 71 | 66 | -5 |
Internal services support the needs and programs and other corporate obligations of the Agency. They apply across the Agency and support the delivery of the Agency's plans and priorities, and are not specific to a program. For the Agency, this includes governance and management support, resource management and asset management.
Internal services refer to both the corporate functions that support the delivery of the Agency's plans and priorities as well as the specialized tribunal services that are an integral part of the delivery of the operational mandate of the Agency.
Corporate functions
Specialized tribunal services
Gap analysis and identification of key positions and Agency vulnerabilities are completed annually as part of the Agency's integrated business and human resource planning exercise.
Agency recruitment strategy and knowledge management activities addressed vulnerabilities in 2009–2010 by focusing on areas that are identified as high risk through the human resources planning and employee performance review processes. There is still work to do to coordinate these activities into everyday human resources management programs such as staffing.
The Agency Student Employment Program expanded in February 2010 to include co-op programs. Six students were hired through the program in 2009 and six more in 2010. The program will be monitored to determine the extent to which students hired under the program are bridged into the public service at the end of their studies.
Given the high position vacancy rate during 2008–2009 and 2009–2010, no pools were established since most qualified candidates were hired immediately at the end of the selection process. The Agency's position vacancy rate has decreased significantly and a proactive approach to staffing is being developed using the human resources planning exercise.
Generic competencies for all positions are still being developed.
Pilot projects on knowledge management were conducted in 2008–2009 to identify best practices and opportunities continue to be implemented on an ad hoc basis.
An internal communications survey and consultations were conducted in 2009 to gain views and ideas on the intranet. Based on this feedback, a plan was set in motion to completely overhaul the intranet and an Intranet Working Group was formed to review the site's content. The old site was significantly streamlined in advance of the migration to the new site, which was launched in May 2010.
More work is needed to integrate human resources planning into everyday human resources management activities, such as staffing to increase staff availability when required and reduce the time between a position becoming vacant and someone being appointed.
Adequate resources are required to ensure that the intranet remains a useful and current information and knowledge-sharing tool for employees.
Effective recruitment, knowledge management and employee development programs ensure that Agency programs and services are delivered to Canadians accurately and efficiently by knowledgeable employees.