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Message from the Chair and Chief Executive Officer
I am pleased to present the Canadian Transportation Agency's Report on Plans and Priorities for 2011-2012. This document highlights how the Agency intends to continue to enhance its valuable contribution to the efficiency and accessibility of the Canadian transportation system.
With its first multi-year Strategic Plan coming to a close, the Agency will roll out a new corporate Strategic Plan that will guide the organization's work for the next three years, up to and including fiscal year 2013-2014. This plan has been developed through an unprecedented amount of input and engagement on the part of staff from all levels within the Agency.
As outlined in Section I of this report, the Agency will be operating under a modified and streamlined program activity architecture (PAA). The new PAA clarifies the relationship between the Agency's main activities and the overall strategic outcome of transparent, fair and timely resolution and economic regulation of the national transportation system. The Agency's Performance Measurement Framework has also been adjusted to reflect the new PAA.
The Agency also remains committed to the ongoing improvement of its processes and services in order to make them more efficient and effective. Its focus on maintaining and enhancing the use of sound management practices and ensuring optimal resource allocation will continue to guide its work in 2011-2012 and beyond.
Open dialogue, both internally and externally, is one of the Agency's overarching corporate priorities. Expanded external outreach efforts will help the organization better understand the needs and concerns of stakeholders and clients. In 2011-2012, these actions will be guided by, among other things, a broadened pool of client satisfaction survey data covering the full range of dispute resolution and economic regulation activities.
The Agency will also be addressing the recommendations of an internal employee working group that looked at how to make the organization an even better place to work. Agency senior management responded very positively to the group's recommendations on trust, conflict resolution, new employee orientation and career development.
The Agency has pursued an ambitious agenda to improve its services and be responsive to changing environments, and 2011-2012 will be no exception, as it strives to reinforce and build on its reputation as a respected and trusted tribunal and economic regulator. For the transportation sector, the Agency's plans and priorities for 2011-2012 will contribute to the achievement of a fair and secure marketplace – a key Government of Canada objective. More specifically, its dispute resolution and economic regulation work help make the national transportation system competitive, efficient and accessible, in addition to meeting the needs of those who use, provide or are affected by the sector's services and activities.
Geoffrey C. Hare
Chair and Chief Executive Officer
Section I: Overview
Raison d'être and Responsibilities
The Canadian Transportation Agency is an independent administrative body of the Government of Canada. It performs two key functions within the national transportation system:
- as a quasi-judicial tribunal, the Agency, informally and through formal adjudication, resolves a range of commercial and consumer transportation-related disputes, including accessibility issues for persons with disabilities. It operates like a court when adjudicating disputes; and
- as an economic regulator, the Agency makes determinations and issues authorities, licences and permits to transportation carriers under federal jurisdiction.
By administering transportation regulations and providing dispute resolution services, the Agency ensures that transportation users, commercial shippers and individual travellers receive the protection provided for them in the legislation where market forces alone do not result in fair, reasonable services, and ensures that carriers meet regulatory requirements before engaging in transportation activities. In doing so, the Agency continuously sets and strives to achieve high performance standards.
Education and consultation are integral to the Agency's effectiveness in carrying out its mandate. The Agency works closely with transportation service users and providers in Canada, and with other directly affected stakeholders. It helps travellers, shippers, carriers, and others to fully understand not only their rights and obligations under the Canada Transportation Act, but also the Agency's roles and responsibilities.
When appropriate, the Agency encourages parties to resolve disputes informally before issues escalate and impact the transportation system. The Agency consults broadly on issues that are important to the transportation industry. By remaining open and by listening to all affected parties, the Agency ensures that its decisions are both responsive and responsible.
The Agency exercises its powers through its Members, who are appointed by the Governor in Council (GIC): the GIC may appoint up to five full-time Members, including the Chair and Chief Executive Officer (CEO), and the Vice-Chair. The Minister of Transport, Infrastructure and Communities can also appoint up to three temporary Members.
The Chair and CEO is accountable for the Agency's three program activities. The Vice-Chair replaces the Chair and CEO during his absence. All Agency Members, as independent decision-makers, are accountable for making quasi-judicial decisions on matters before the Agency.
Agency Organizational Chart
The Agency's organizational structure is composed of four branches: the Dispute Resolution Branch, the Industry Regulation and Determinations Branch, the Legal Services Branch and the Corporate Management Branch. The heads of each branch, as well as the Communications Directorate, the Internal Audit and Evaluation Services Directorate, and the Secretariat Directorate, report directly to the Chair.
The Agency's headquarters are located in the National Capital Region. Agency personnel working in field offices in six cities across Canada carry out air and accessibility enforcement activities. The Agency's role and structure are described on its Web site.
Parliament funds the Agency through an operating expenditures vote. The Agency operates within the context of the very large and complex Canadian transportation system.
Strategic Outcome and Program Activity Architecture
The Agency reports its plans, priorities and expected results to Parliament on the basis of its Program Activity Architecture (PAA). The PAA explains how the program activities and allocation of resources contribute to the Agency's strategic outcome of transparent, fair and timely dispute resolution and economic regulation of the national transportation system.
This is achieved through three program activities.
| Program Activities | Expected Results |
|---|---|
| Economic Regulation | Economic and other interests of transportation users, service providers and other affected parties are protected through timely and effective intervention |
| Service providers (air, rail and marine) comply with regulatory requirements | |
| The Canadian National Railway Company (CN) and the Canadian Pacific Railway Company (CP) are provided with the information required to ensure they do not exceed the maximum grain revenue entitlements for the shipment of Western grain | |
| Adjudication and Alternative Dispute Resolution | Access to a specialized dispute resolution system that is transparent, fair and timely |
| Internal Services | Support the needs of programs and other corporate obligations of the Agency |
PAA Crosswalk
The Agency modified its PAA for 2011-2012 in order to streamline its reporting structure to clarify the relationship between the program activities and its strategic outcome by removing the sub-activities from its PAA. There were significant overlaps between the expected results and the outputs at the sub-activity level.
This change resulted in adjustments to the Agency's Performance Measurement Framework. The program activities' expected results were updated to incorporate elements from the removed sub-activities. To reflect the diversity of certain activities within Economic Regulation and to provide more accurate reporting, this program activity identifies three expected results.
Also, "Adjudication and Alternative Dispute Resolution" was renamed in French to better reflect the program's activities.
|
Strategic Outcome: |
||
|---|---|---|
|
Transparent, fair and timely dispute resolution and economic regulation of the national transportation system |
||
| Program Activities | ||
| Economic Regulation | Adjudication and Alternative Dispute Resolution | Internal Services |
|
Sub-activities
|
Sub-activities
|
Sub-activities
|
|
Strategic Outcome: |
||
|---|---|---|
|
Transparent, fair and timely dispute resolution and economic regulation of the national transportation system |
||
| Program Activities | ||
| Economic Regulation | Adjudication and Alternative Dispute Resolution | Internal Services |
Planning Summary
| 2011-2012 | 2012-2013 | 2013-2014 |
|---|---|---|
| 27,170 | 27,148 | 27,148 |
| 2011-2012 | 2012-2013 | 2013-2014 |
|---|---|---|
| 264 | 263 | 263 |
| Strategic Outcome: Transparent, fair and timely dispute resolution and economic regulation of the national transportation system | |
|---|---|
| Performance Indicators | Targets |
| Percentage of overall satisfaction with the quality of Agency service delivery | Baseline to be established in 2011-2012 |
| Percentage of discretionary rulings overturned by the Federal Court of Appeal or the Supreme Court of Canada on the basis of procedural fairness | 0% |
| Percentage of formal decisions published on the Agency's Web site within one business day | 95% |
| Program Activity | Forecast Spending 2010-2011 | Planned Spending | Alignment to Government of Canada Outcomes | ||
|---|---|---|---|---|---|
| 2011-2012 | 2012-2013 | 2013-2014 | |||
| Economic Regulation | 13,415 | 11,992 | 11,963 | 11,870 | A fair and secure marketplace |
| Adjudication and Alternative Dispute Resolution | 7,311 | 7,886 | 7,869 | 7,976 | |
| Internal Services | 7,874 | 7,292 | 7,316 | 7,302 | |
| Total Spending | 28,600 | 27,170 | 27,148 | 27,148 | |
Contribution of Priorities to Strategic Outcome
| Operational Priority | Type | Link to Strategic Outcome | Description |
|---|---|---|---|
|
Client service and stakeholder relations Clients and stakeholders are well informed and efficiently served in a reliable, timely, innovative, transparent and responsive manner. The Agency is trusted and its services are independent, fair, innovative, effective and continuously improving |
New | Transparent, fair and timely dispute resolution and economic regulation of the national transportation system |
|
Supporting Program Activity
- Economic Regulation
- Adjudication and Alternative Dispute Resolution
- Internal Services
Plans for Meeting the Priority
- Enhance the Agency's service delivery through ongoing process and service improvements
- Continue to develop client and stakeholder relations through ongoing communication and dialogue in order to understand client needs and respond in a timely, transparent and fair manner
| Operational Priority | Type | Link to Strategic Outcome | Description |
|---|---|---|---|
|
Regulatory regime renewal The Agency's regulatory regime is up-to-date, relevant and responsive to transportation users, service providers and other affected parties |
New | Transparent, fair and timely dispute resolution and economic regulation of the national transportation system |
|
Supporting Program Activity
Economic Regulation
Plans for Meeting the Priority
- Continue to review, renew and implement a relevant regulatory regime composed of essential regulations and a comprehensive suite of information and compliance guidance tools that are responsive to the needs of transportation users, service providers and other affected parties
- Provide transportation users, service providers and other affected parties with clear and relevant guidelines, interpretation bulletins, regulations and rules that meet their needs
- Leverage technology to more efficiently deliver Agency services
| Management Priority | Type | Link to Strategic Outcome | Description |
|---|---|---|---|
|
People The Agency has employees who are engaged, innovative, knowledgeable and client-oriented. They have the necessary tools and technology to enable them to conscientiously and competently fulfill the Agency's mandate |
Ongoing | Transparent, fair and timely dispute resolution and economic regulation of the national transportation system |
|
Supporting Program Activity
Internal Services
Plans for Meeting the Priority
- Foster engagement, values, ethics, responsiveness, change and innovation in the workplace
- Support and create opportunities for employee growth
- Ensure staff recruitment, retention, expertise and capacity to meet changing service requirements
Risk Analysis
The Agency's corporate risk profile is a critical step in implementing an integrated approach to risk management. The Agency has developed a three-year corporate risk profile which describes the three key risk areas that impact its service delivery. These risks are directly related to the Agency's two activities and three strategic priorities.
| Risk | Link to Strategic Priorities | ||
|---|---|---|---|
| Client service and stakeholder relations | Regulatory regime renewal | People | |
| Loss of reputation as a respected and trusted tribunal and economic regulator | X | X | |
| Resource reductions and constraints | X | X | X |
| Loss of business critical knowledge, information and expertise | X | X | X |
Loss of reputation as a respected and trusted tribunal and economic regulator
The Agency wants to maintain its reputation as a respected and trusted tribunal and economic regulator that contributes to a competitive and accessible national transportation system. This reputation is based on the Agency's independence from outside influence, its impartiality, the integrity and timeliness of its procedures, its expertise in transportation and human rights matters, and the deference that the Federal Court of Appeal and the Supreme Court of Canada have given to its past decisions. In order to maintain its reputation, the Agency must continue to be attentive to these aspects in its role as a quasi-judicial administrative tribunal.
Providing the highest quality of service is a core value of the Agency and it demonstrates this commitment through the expertise and professionalism of its staff and by being responsive to its clients and stakeholders. To ensure this is continuously achieved, the Agency must measure client satisfaction to improve service delivery; promote ongoing dialogue with employees, clients and stakeholders to address their concerns; uphold standards for client service; ensure decisions are well-documented, drafted and supported; and ensure regulations, guidelines and codes of practice remain current and responsive to changing needs.
Resource reduction and constraints
As a demand-driven organization with a mandate dependent upon supporting and advancing an efficient, accessible and economically viable national transportation system, the Agency must also ensure it is able to respond in a timely manner to changes in government policy, the external environment, as well as the legislative mandate. Significant changes in these areas could impact the Agency's ability to respond quickly to meet client and stakeholder expectations because of limited resources and capacity.
The Agency continues to adjust to the full implications of additional responsibilities related to legislative amendments, which include the hearing of complaints concerning rail noise and vibration and increased focus on alternative dispute resolution. The Agency closely monitors shifting workload demands and reallocates its staff and budget resources where needed.
Loss of business critical knowledge, information and expertise
The retention of knowledge and expertise is critical to maintaining the level of service already provided, and to adapting to additional responsibilities. The changing demographics of the Agency's workforce present a significant human resource management challenge. Over the next few years, the Agency risks losing significant corporate knowledge and specialized expertise as many long-term and key employees retire. In order to continue supporting its mandate, the Agency will focus its efforts on recruiting, retaining and developing highly competent staff with the capabilities to ensure that knowledge and expertise is retained and transferred.
The competitiveness of today's labour market requires employees to acquire and update a skill set that allows them to reach their full employment potential. This may create a movement of human resources away from the Agency, and can result in the loss of invaluable and sometimes irreplaceable corporate knowledge and expertise. The Agency continues to emphasize the development of a wide range of skills, abilities and knowledge among its employees to minimize the loss when employees leave the organization. It has identified areas where the Agency is most vulnerable to the loss of critical business knowledge and expertise, and ensures knowledge transfer and succession planning, and develops and maintains comprehensive procedures/manuals for retention of corporate knowledge.
Expenditure Profile
Actual spending increased from $25.5 million in 2007-2008 to $27 million in 2008-2009. The increase is due to the $1.1 million carry-forward from 2007-2008 and $0.6 million for costs associated with the implementation of the new organization structure.
From 2008-2009 to 2009-2010, actual spending increased from $27 million to $28 million due to the cost of collective bargaining for various employee groups.
Forecast spending in 2010-2011 is $0.5 million higher than 2009-2010 actual expenditures due to the 2009-2010 carry-forward and the negotiation of collective agreements for the Law employee group.
Planned spending for 2011-2012 and future years is lower than the 2010-2011 forecast spending by $1.4 million as it does not include an amount for a carry-forward ($1.1 million) and has been reduced to reflect the government's Budget 2010 Cost Containment Measures.
2011-2012 Allocation of Financial Resources by Program Activity[i]
The Agency's total planned spending for 2011-2012 is $27.1 million. The Agency's two program activities that directly support the strategic outcome receive 73% of planned spending, while the balance (27%) is allocated to internal services.
The Agency will continue to increase the efficiency and effectiveness of its activities in maintaining sound management practices and ensuring optimal use of its resources.
Estimates by Vote
Estimates by vote are presented in the 2011-2012 Main Estimates, which are available here: http://www.tbs-sct.gc.ca/est-pre/20112012/me-bpd/info/info-eng.asp.
[i] In addition to corporate functions, Internal Services includes a portion of financial resources for common services, Internal Audit, Communications, Secretariat and Legal Services.
