ARCHIVED - Office of the Commissioner of Lobbying of Canada - Report

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Section II: Analysis of Program Activities by Strategic Outcome

Strategic Outcome

Transparency and accountability in the lobbying of public office holders contribute to confidence in the integrity of government decision-making.

2.1 Registration of Lobbyists

Program Activity: Registration of Lobbyists

2009–10 Financial Resources ($ thousands)			2009–10 Human Resources (FTEs)
Planned Spending	Total Authorities	Actual Spending	Planned	Actual	Difference
1,552	1,357	1,256	10	8	(2)

Expected Result	Performance Indicator	Target	Performance Status	Performance Summary
All lobbying activities are carried out by individuals, organizations and corporations that are properly registered in the Lobbyists Registration System.	Number of active registrations processed in the Lobbyists Registration System.	Increase the number of active registrations processed from 7,500 to 7,875 (5%) by March 2010.	Exceeded by 62%.	A total of 12,513 active registrations were processed, which represents a 67% increase over the 7,500 base level. This was largely due to high activity levels resulting from the Act's increased disclosure requirements.

Performance Analysis

The OCL took several steps to improve its client services and meet the demands on the registration front. It implemented a new software-based system to manage telephone enquiries more effectively, and redesigned its online multimedia tutorial series.

The OCL continued to advance its commitment to implementing a series of adaptive and corrective functionalities within the Lobbyists Registration System (LRS), aimed at simplifying and facilitating the registration process as well as fostering overall compliance with the Act. To this end, the OCL implemented an annual maintenance program for the LRS in 2009–10. This program included the initiation of a redesigned LRS interface known as the Registrant's Dashboard, which registrants use to manage their registrations. Efforts were also invested to simplify business processes within the LRS for tasks such as a change to the Responsible Officer for corporations and non-profit organizations.

Lessons Learned

The Lobbyists Registration System and its public interface, the Registry of Lobbyists, must continually be improved to meet the increasing expectations of users, whether to register or to search information. In addition, increasingly sophisticated analytical and reporting tools must be developed to support the complex registration requirements of the Act. The OCL will continue to invest significant resources into adaptive maintenance to improve the compliance-related functionalities of the system.

Benefits for Canadians

The registration of lobbyists made information on lobbyists and their activities available to the public. As such, the Registry contributed to greater transparency of lobbying activities which helped bolster the confidence of Canadians in the decisions made by the federal government.

Strategic Outcome

Transparency and accountability in the lobbying of public office holders contribute to confidence in the integrity of government decision-making.

2.2 Education and Research

Program Activity: Education and Research

2009–10 Financial Resources ($ thousands)			2009–10 Human Resources (FTEs)
Planned Spending	Total Authorities	Actual Spending	Planned	Actual	Difference
1,097	1,103	943	5	5	—

Expected Result	Performance Indicators	Targets	Performance Status	Performance Summary
Lobbyists, their clients, public office holders and the public are aware of the scope and requirements of the Lobbying Act.	Number of outreach activities conducted by the OCL.	Increase the number of outreach activities from 33 to 50 by March 2010.	Exceeded.	The OCL conducted 58 outreach activities, which included: speaking at conferences; presentations to professional lobbying groups; delivering information sessions to public officer holders; and delivering workshops to various audiences. It also included meetings with international and provincial counterparts.
	Survey conducted in the third quarter of every year.	80% of respondents say their awareness has increased.	Not met.	No survey was conducted this year due to changing priorities. However, the vast majority of participants at outreach meetings and presentations indicated a high level of awareness and understanding of the Act. The demand and interest in outreach meetings and presentations has increased. As a result, in-depth presentations are being requested, and the questions being asked indicate a greater awareness and understanding of the Act.

Performance Analysis

The Office of the Commissioner of Lobbying (OCL) refined its approach toward outreach and education by focusing its efforts on four main groups through:

• exchanging information with lobbyists and ensuring they understand the legislative requirements of the Lobbying Act (the Act);
• developing presentation material to provide an overview of the rationale and requirements of the Act to public office holders, including designated public office holders;
• connecting and sharing experiences with international and provincial counterparts through bilateral meetings and the annual Lobbying Commissioners' and Registrars' Conference; and
• giving presentations to interested groups to raise awareness among Canadians about the Act.

Activities conducted by the OCL to deliver on the above included: direct communication with lobbyists, media, public office holders and the public; advisory letters to corporations and organizations who may have conducted lobbying activities requiring registration; information sessions with lobbyists, public office holders and other interested groups; presentations at conferences; and use of the OCL's website to disseminate new educational and advisory materials. In addition, the OCL's website continues to be a powerful and affordable tool for disseminating information to lobbyists, public office holders and the general public. Direct communication with registrants through e-mail and telephone allowed for guidance, technical assistance and a variety of information to be shared effectively and at a low cost.

Lessons learned

The OCL refined its approach to education and outreach by attempting to meet the specific needs of stakeholders. A series of meetings between the Commissioner and designated public office holders within the 20 most-lobbied government institutions highlighted areas where outreach materials might be beneficial. In the coming year, the OCL will work towards developing key documents, for example, a brochure entitled "10 Things You Should Know About Lobbying" to help parliamentarians understand the Lobbying Act, and a document that will provide an overview of the Lobbying Act to be used in orientation binders for employees of the federal government. The OCL will also continue to refine its existing materials.

A meeting with the Chairs of the Federal Regional Councils highlighted a need for more outreach in the regions. Therefore, the OCL will increase its efforts to reach a wider segment of regional stakeholders. It will continue to deliver information sessions to groups of public office holders, as requested.

The OCL did not undertake a survey this year to measure public awareness of the Act. Information was gathered through other methods such as examining the types of presentations being requested and the types of questions being asked at meetings with stakeholders. A survey will be conducted in 2010–11 to collect better data and measure more accurately the public's understanding of the Act.

Interested parties wishing to obtain additional information can access multimedia tutorials, PowerPoint presentations, guidance documents, and various other documents on the OCL's website.

Benefits for Canadians

The education and research program activity included a broad range of outreach activities, the goal of which was to increase awareness of the Lobbying Act and of the Lobbyists' Code of Conduct. Increased awareness translated into enhanced accountability and transparency in the lobbying of public office holders and, subsequently, improved the confidence of Canadians in the decisions made by the federal government.

Strategic Outcome

Transparency and accountability in the lobbying of public office holders contribute to confidence in the integrity of government decision-making.

2.3 Reviews and Investigations

Program Activity: Reviews and Investigations

2009–10 Financial Resources ($ thousands)			2009–10 Human Resources (FTEs)
Planned Spending	Total Authorities	Actual Spending	Planned	Actual	Difference
1,041	1,033	886	8	7	(1)

Expected Result	Performance Indicator	Target	Performance Status	Performance Summary
Alleged breaches of the Lobbying Act and the Lobbyists' Code of Conduct are determined to be either unfounded or true so that they may be subject to the appropriate sanctions.	Number of alleged breaches of the Lobbying Act and the Lobbyists' Code of Conduct which result in decisions.	Increase the percentage of enforcement actions on alleged breaches from 80% to 90% by March 2010.	Exceeded	The OCL initiated monitoring activities, Administrative Reviews or Investigations of 100% of alleged breaches that were brought to its attention. The OCL must continue to streamline its administrative review and investigation processes to keep pace with the growing number of new files initiated.

Performance Analysis

The OCL undertook various administrative and enforcement measures to foster compliance with the Act. At the beginning of the fiscal year, the OCL carried a caseload of 51 files, which included 41 administrative reviews, six investigations and four exemption reviews. Over the course of 2009–10, the OCL initiated 16 new administrative reviews and three new investigations. Additionally, four new applications for exemption for the five-year prohibition on lobbying were received.

In 2009–10, ten Administrative Review files were completed, and four of them referred to the RCMP for investigation. No Investigations Reports were tabled. At the close of the fiscal year, the caseload had grown to 57 files.

As part of its monitoring efforts, the OCL continued to verify the registration status of corporations and organizations that were linked to lobbying activities in media reports. Ninety percent of those verified had filed returns in the Registry of Lobbyists. Where appropriate, the OCL sent advisory letters to educate potential registrants about the requirements of the Act.

The OCL took steps to confirm the accuracy and completeness of a sample of monthly reports filed by registrants in respect of communication with designated public office holders. Eighty-six percent of the communication reports sampled were found to be accurate. Approximately 25 percent of errors found involved over-reporting of communications with individuals who were not designated public office holders. While Members of Parliament and Senators (who are not Ministers or Ministers of State) are public office holders, they are not "designated" public office holders under the Lobbying Act. Therefore, reports of communications between lobbyists and these individuals are not required. To improve the accuracy of monthly communication reports filed, an analysis of those communication entries filed was conducted. The OCL contacted registrants to either clarify or correct errors which were brought to its attention.

The OCL also reviewed requests for exemption from the five-year prohibition on lobbying set out in the Act. This past year, we refined our processes in order to be more efficient and to ensure that thorough reports are presented to the Commissioner in a timely fashion. Seven reviews of applications for exemption to the five-year prohibition were completed.

Information on the OCL's monitoring activities, Administrative Reviews, Investigations and reviews of applications for exemption to the five-year prohibition can be found in its 2009–10 Annual Report.

Lessons Learned

The OCL has learned through compliance verification, media monitoring, reviews and investigations that transgressions of the Lobbying Act and Lobbyists' Code of Conduct range in gravity and in complexity. An error or omission found in the contents of a return may be an unintentional oversight, or the result of a misunderstanding about the requirements of the Act. The failure to register, or provide all required information in a timely fashion, may also be the result of negligence or, in extreme cases, intent. The OCL must take into account the degree of negligence or intent when determining a suitable means of ensuring compliance. In some cases, education or outreach is required. In others, a formal investigation may be initiated or the matter may be referred to a peace officer. Compliance measures undertaken by the OCL take into account issues such as the nature and gravity of each transgression, the degree of injury (decreased transparency, or the impact on public trust in the integrity of decision-making), and the subject's compliance history.

Whenever possible, the OCL strives to improve compliance with the Act by advising registrants of frequent and recurring errors through mass e-mails. These messages request that they verify and amend entries containing errors. Correspondence with individual registrants may occur as a result of the targeted or random sampling conducted during the communication verification process.

Benefits for Canadians

Reviews and investigations contributed to public confidence in decisions made by federal institutions by ensuring that lobbying activities were conducted in accordance with the requirements of the Act. Lobbyists must also adhere to the principles and rules set out in the Lobbyists' Code of Conduct. Increased conformity with the lobbying registration regime helped ensure accountability and transparency in the lobbying of public office holders.

2.4 Internal Services

Program Activity: Internal Services

2009–10 Financial Resources ($ thousands)			2009–10 Human Resources (FTEs)
Planned Spending	Total Authorities	Actual Spending	Planned	Actual	Difference
884	1,334	1,094	5	5	—

Performance Analysis

In February 2010, the Office of the Commissioner of Lobbying's internal services were consolidated under the newly created position of the Deputy Commissioner. As a result, the roles and responsibilities of the other executives have been modified to reflect the new organizational structure and accountabilities. The intention behind this initiative was to allow each executive to better focus on their respective responsibilities, and achieve the expected results for which they are accountable.

A redesign of the governance structure was initiated in 2009–10, with implementation scheduled for 2010–11. This has been done to streamline and better inform decision-making by the Commissioner and the management team.

In 2009–10, the OCL made significant progress toward the development of its first Corporate Risk Profile. In addition, the Departmental Audit Committee, established in 2008–09, completed its first full year of operation, providing valuable advice to the Commissioner.

Finally, the organization made progress in developing and implementing the full range of human resources and other administrative policies that will help guide and inform management decisions in the future.

Lessons Learned

Prior to the realignment, responsibility for specific corporate functions was shared among senior managers and functional specialists across the OCL. This allocation of corporate responsibilities restricted operational efficiency. It also affected the capacity of the organization with respect to corporate functions such as business planning, human resources planning and strategic policy, particularly in view of increasing reporting requirements from central agencies.

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