2013-2014 Departmental Performance Report

Foreword

Departmental Performance Reports are part of the Estimates family of documents. Estimates documents support appropriation acts, which specify the amounts and broad purposes for which funds can be spent by the government. The Estimates document family has three parts.

Part I (Government Expenditure Plan) provides an overview of federal spending.

Part II (Main Estimates) lists the financial resources required by individual departments, agencies and Crown corporations for the upcoming fiscal year.

Part III (Departmental Expenditure Plans) consists of two documents. Reports on Plans and Priorities (RPPs) are expenditure plans for each appropriated department and agency (excluding Crown corporations). They describe departmental priorities, strategic outcomes, programs, expected results and associated resource requirements, covering a three-year period beginning with the year indicated in the title of the report. Departmental Performance Reports (DPRs) are individual department and agency accounts of actual performance, for the most recently completed fiscal year, against the plans, priorities and expected results set out in their respective RPPs. DPRs inform parliamentarians and Canadians of the results achieved by government organizations for Canadians.

Additionally, Supplementary Estimates documents present information on spending requirements that were either not sufficiently developed in time for inclusion in the Main Estimates or were subsequently refined to account for developments in particular programs and services.

The financial information in DPRs is drawn directly from authorities presented in the Main Estimates and the planned spending information in RPPs. The financial information in DPRs is also consistent with information in the Public Accounts of Canada. The Public Accounts of Canada include the Government of Canada Consolidated Statement of Financial Position, the Consolidated Statement of Operations and Accumulated Deficit, the Consolidated Statement of Change in Net Debt, and the Consolidated Statement of Cash Flow, as well as details of financial operations segregated by ministerial portfolio for a given fiscal year. For the DPR, two types of financial information are drawn from the Public Accounts of Canada: authorities available for use by an appropriated organization for the fiscal year, and authorities used for that same fiscal year. The latter corresponds to actual spending as presented in the DPR.

The Treasury Board Policy on Management, Resources and Results Structures further strengthens the alignment of the performance information presented in DPRs, other Estimates documents and the Public Accounts of Canada. The policy establishes the Program Alignment Architecture of appropriated organizations as the structure against which financial and non-financial performance information is provided for Estimates and parliamentary reporting. The same reporting structure applies irrespective of whether the organization is reporting in the Main Estimates, the RPP, the DPR or the Public Accounts of Canada.

A number of changes have been made to DPRs for 2013−14 to better support decisions on appropriations. Where applicable, DPRs now provide financial, human resources and performance information in Section II at the lowest level of the organization's Program Alignment Architecture.

In addition, the DPR's format and terminology have been revised to provide greater clarity, consistency and a strengthened emphasis on Estimates and Public Accounts information. As well, departmental reporting on the Federal Sustainable Development Strategy has been consolidated into a new supplementary information table posted on departmental websites. This new table brings together all of the components of the Departmental Sustainable Development Strategy formerly presented in DPRs and on departmental websites, including reporting on the Greening of Government Operations and Strategic Environmental Assessments. Section III of the report provides a link to the new table on the organization's website. Finally, definitions of terminology are now provided in an appendix.

Minister's Message

Lisa RaittIt is my pleasure to present the 2013–14 Departmental Performance Report of the Transportation Appeal Tribunal of Canada.

The Tribunal is quasi-judicial and focuses on the independent review of administrative and enforcement actions taken under the Transportation Appeal Tribunal of Canada Act, the Aeronautics Act, the Canada Shipping Act, 2001, the Marine Transportation Security Act, the Railway Safety Act, the Canada Transportation Act, the International Bridges and Tunnels Act and the Canada Marine Act.

Matters that the Tribunal hears include medical cases, the suspension and cancellation of licenses, certificates and other documents of entitlement, the issuance of railway orders and the administration of monetary penalties under various federal statutes.

The Tribunal conducts its review and appeal hearings throughout Canada in accordance with procedural fairness and the rules of natural justice. It provides an accessible, transparent forum for communication and conflict resolution between the federal government and various transportation industry stakeholders. As such, the Tribunal plays a unique and active role in the aviation, marine and rail sectors of the country, from coast to coast to coast.

Members are appointed with transportation-specific experience and/or law backgrounds in order to efficiently and effectively address the myriad of issues that the Tribunal encounters. This has allowed the Tribunal to become an expert transportation-related, quasi-judicial review body and has enhanced the credibility and value of its decision-making process.

I remain confident in the ability of the Transportation Appeal Tribunal of Canada to continue to be recognized as a leader in its field, both nationally and internationally.

The Honourable Lisa Raitt, P.C, M.P.
Minister of Transport

Chairperson's Message

John BadowskiI am pleased to report on the activities of the Transportation Appeal Tribunal of Canada for 2013–14. This year has seen a continuation of the high standards and results that Canadians expect of a public quasi‑judicial institution.

As the forum for reviewing enforcement and licensing decisions of the Minister of Transport, the Tribunal provides an accessible, transparent mechanism for communication and conflict resolution between the federal government and the national transportation industries that it regulates.

The Tribunal's success is built on a solid foundation of skilled members who play a unique and active role in rendering decisions that have an impact on Canada's multimodal transportation system. We remain guided by basic principles of independence, fairness and expertise in transportation administrative law.

It has been my privilege to begin to serve Canadians as part of a thriving national institution that contributes to the federal government's commitment to a safe and secure Canada. The Tribunal continues to make progress in the context of an expanding mandate which now covers the aviation, marine, rail and international bridges and tunnels sectors.

The Tribunal hears matters related to licenses, certificates and other documents of entitlement, the issuance of railway orders, and the administration of monetary penalties under various federal statutes. Our adjudicative process of reviews and appeals also extends to transportation security issues and medical cases.

This year saw a continuing rise in the number of cases based on enhanced monitoring of federally-regulated transportation, and in particular the expanded mandate and increasing visibility that the Tribunal now has in the marine sector.

With this trend projected to continue in conjunction with ongoing regulatory amendments in other modes, Canadians can expect to further benefit from the increasing confidence that the federal government has placed upon the Tribunal. Canada's transportation sectors can be equally confident of an independent review process led by a Tribunal that is committed to meeting future challenges with the same professionalism and dedication demonstrated throughout its nearly three decades of service to the country.

John Badowski
A/Chairperson
Transportation Appeal Tribunal of Canada

Section I: Organizational Expenditure Overview

Organizational Profile

Appropriate Minister: The Honourable Lisa Raitt, P.C, M.P.

Institutional Head: John Badowski

Ministerial Portfolio: Transport

Enabling Instrument: Transportation Appeal Tribunal of Canada Act, S.C. 2001, c. 29

Year of Incorporation / Commencement: 2003

Organizational Context

Raison d'être

The mandate and jurisdiction of the Transportation Appeal Tribunal of Canada (Tribunal) are provided for by the Transportation Appeal Tribunal of Canada Act. The Tribunal's principal mandate, as a multimodal review body, is to hold review and appeal hearings at the request of interested parties concerning certain administrative and enforcement actions taken under various federal transportation Acts.

Responsibilities

The Tribunal provides the national transportation community with the opportunity to have the Minister of Transport's enforcement and licensing decisions reviewed by an independent body.

The Minister's enforcement and licensing decisions may include monetary penalties or the suspension, cancellation, refusal to renew, or refusal to issue or amend documents of entitlement on medical or other grounds.

These decisions are reviewed through a two-level adjudicative process that comprises a review hearing and an appeal hearing. All hearings are to be held expeditiously and informally, in accordance with the rules of fairness and natural justice.

At the conclusion of a hearing, the Tribunal may confirm the Minister's decision, substitute its own decision, or refer the matter back to the Minister for reconsideration.

Strategic Outcome and Program Alignment Architecture

1. Strategic Outcome: To provide the Canadian transportation community with the opportunity to have administrative or enforcement actions under federal transportation Acts reviewed by an independent body.

1.1 Program: Review and Appeal Hearings

Internal Services

Strategic Outcome and Program Alignment Architecture

Organizational Priorities

The Tribunal identified three priorities for 2013-14. These priorities are aligned with Government of Canada priorities, support the achievement of its Strategic Outcome and help the Tribunal address risks. The following tables provide a summary of the progress made during the year against these priorities.

Organizational Priorities

Priority TypeNote 1 Strategic Outcome
Hold hearings expeditiously and informally Ongoing To provide the Canadian transportation community with the opportunity to have administrative or enforcement actions under federal transportation Acts reviewed by an independent body.
Summary of Progress
  • The Tribunal has performed a review and analysis of its processes for issuing decisions and has tightened timelines to reduce delays.
  • The Tribunal is developing strategies to educate Tribunal members on the various facets of decision writing. Training sessions will be delivered through teleconferences and webinars with the aim of shortening the time members require to write their decisions.
Priority Type1 Strategic Outcome
Increase awareness of the Tribunal with respect to its mission, mandate, role and results achieved Ongoing To provide the Canadian transportation community with the opportunity to have administrative or enforcement actions under federal transportation Acts reviewed by an independent body.
Summary of Progress
  • The Tribunal is having articles about its activities published in periodicals in the transportation industry. All sectors have been contacted and at least eight publications are now pending.
  • As part of its communication strategy, presentations are made at various seminars in the transportation industry.
Priority Type1 Strategic Outcome
Recruit additional members Ongoing To provide the Canadian transportation community with the opportunity to have administrative or enforcement actions under federal transportation Acts reviewed by an independent body.
Summary of Progress
  • Two members were newly appointed, and three were re-appointed in 2013–14.

Risk Analysis

The most significant risk is the number of members available to conduct hearings and their skill sets. In order to deliver on its mandate and program, the Tribunal needs to have members with the right mix of skills and talents in the various modes of the transportation sector, as well as legal and medical expertise.

Key Risks

Risk Risk Response Strategy Link to Program Alignment Architecture
Low availability of qualified persons to be appointed as members may increase the time required for applicants to have their case heard
  • Response is to increase awareness of Tribunal and intensify recruitment efforts
Review and appeal hearings
Increasing backlog of cases may affect the Tribunal's reputation
  • Develop strategies to expedite the hearing process
  • Reviewed and implemented a new process for issuing decisions
Review and appeal hearings

Actual Expenditures

Budgetary Financial Resources (dollars)
2013–14
Main Estimates
2013–14
Planned Spending
2013–14
Total Authorities
Available for Use
2013–14
Actual Spending
(authorities used)
Difference
(actual minus planned)
1,419,871 1,419,871 1,503,848 1,471,037 51,166
Human Resources (Full-Time Equivalents [FTEs])
2013–14
Planned
2013–14
Actual
2013–14
Difference
(actual minus planned)
12 11 (1)

Actual spending in 2011–12 increased due to the rise in the number of cases for the Tribunal. While the caseload continued to increase in 2012–13, spending decreased due to operational efficiencies that were found. In 2013–14, the Tribunal's caseload decreased. 

Budgetary Performance Summary for Strategic Outcome and Program (dollars)
Strategic Outcome(s), Program(s) and Internal Services 2013–14
Main Estimates
2013–14
Planned Spending
2014–15
Planned Spending
2015–16
Planned Spending
2013–14 Total Authorities Available for Use 2013–14
Actual Spending (authorities used)
2012–13
Actual Spending (authorities used)
2011–12
Actual Spending (authorities used)
Strategic Outcome: To provide the Canadian transportation community with the opportunity to have administrative or enforcement actions under federal transportation Acts reviewed by an independent body.
Review and Appeal Hearings 1,079,871 1,079,871 1,079,081 1,079,871 1,163,848 1,163,848 1,243,208 1,375,240
Subtotal 1,079,871 1,079,871 1,079,871 1,079,871 1,163,848 1,163,848 1,243,208 1,375,240
Internal Services Subtotal 340,000 340,000 336,203 336,203 340,000 307,189 341,710 480,965
Total 1,419,871 1,419,871 1,416,074 1,416,074 1,503,848 1,471,037 1,584,918 1,856,205

Alignment of Spending With the Whole-of-Government Framework

Alignment of 2013-14 Actual Spending With the Whole-of-Government Framework (dollars)
Strategic Outcome Program Spending Area Government of Canada Outcome 2013-14 Actual Spending
To provide the Canadian transportation community with the opportunity to have administrative or enforcement actions under federal transportation Acts reviewed by an independent body. Review and Appeal Hearings Social Affairs A safe and secure Canada 1,163,848
Total Spending by Spending Area (dollars)
Spending Area Total Planned Spending Total Actual Spending
Economic Affairs 0 0
Social Affairs 1,079,081 1,163,848
International Affairs 0 0
Government Affairs 0 0

Departmental Spending Trend

Departmental Spending Trend

Actual spending in 2011–12 increased due to the rise in the number of cases for the Tribunal. While the caseload continued to increase in 2012–13, spending decreased due to operational efficiencies that were found. In 2013–14, the Tribunal's caseload decreased.

Estimates by Vote

For information on the Transportation Appeal Tribunal of Canada's organizational Votes and statutory expenditures, consult the Public Accounts of Canada 2014 on the Public Works and Government Services Canada website.

Section II: Analysis of Program(s) by Strategic Outcome

Strategic Outcome: To provide the Canadian transportation community with the opportunity to have administrative or enforcement actions under federal transportation Acts reviewed by an independent body.

Performance Measurement

Performance Indicators Targets Actual Results
% of disposition of review and appeal hearings within 120 days of request for hearing. 100% decisions rendered within 120 days. Decisions were rendered on average within 158 days of the hearing for reviews and 159 days for appeals.
% of members provided with training or refresher courses. 100% of members provided with training within 120 days of appointment. All newly-appointed members were provided with training within 120 days of their appointment.
% of registry staff provided with training. 100% of staff provided with training at fiscal year-end. All registry staff was provided with training opportunities.
% of decisions published on website. 100% of decisions are published on the website within 120 days of the date of the decision. All decisions are published on the website within 120 days of the date of the decision.

Program 1.1: Review and Appeal Hearings

Description

Provides for the operation of an independent tribunal to conduct hearings and to respond to requests from the transportation community for the review of enforcement and licensing decisions made by the Minister of Transport under the following Acts:

Budgetary Financial Resources (dollars)
2013–14
Main Estimates
2013–14
Planned Spending
2013–14
Total Authorities
Available for Use
2013–14
Actual Spending (authorities used)
2013–14
Difference
(actual minus planned)
1,079,081 1,079,081 1,079,081 1,163,848 84,767
Human Resources (Full-Time Equivalents [FTEs])
2013–14
Planned
2013–14
Actual
2013–14
Difference
(actual minus planned)
9 8 (1)

Performance Results

Expected Results Performance Indicators Targets Actual Results
Access to an independent assessment governed by considerations of natural justice. Hearings conducted in a timely manner. 100% of decisions rendered within 120 days of a hearing. Decisions were rendered on average within 158 days for reviews and 159 days for appeals
Improved awareness and better information among the Transportation community and key stakeholders with respect to the Tribunal's mission, mandate, services and decisions. Tribunal information accessible to the lay person in a timely manner. Ongoing No (0) complaints received from applicants
Participating in conferences and trade association meetings to enhance citizen engagement and public access to the Tribunal's program. Ongoing The Chairperson participated in numerous events to engage citizens and to enhance communication with various stakeholders.
Promote the Tribunal's program at public events. Ongoing
Building and maintaining communication partnerships with the Transportation community to help meet diverse needs. Ongoing
Redesigning the Tribunal's website. Tribunal's website updated by March 31, 2013. The Tribunal's website was updated.
Performance Analysis and Lessons Learned

The program's effectiveness can be measured by its ability to provide the Canadian transportation community with the opportunity to have ministerial decisions reviewed fairly, equitably and within a reasonable period of time.

The Tribunal encourages the use of pre-hearing conferences to assist the parties appearing before it, to identify the issues for determination by the Tribunal and to disclose and exchange documents. This reduces the length of the hearings and avoids last-minute adjournments necessitated by late disclosure of information.

Facilitating discussions between the parties has also been particularly effective in settling licence suspensions and refusals to renew on medical grounds without the necessity of a review hearing. Cases settled by the parties without the need for a hearing increased by 59 per cent this year. For those cases that proceed to a hearing, the Tribunal registrars contact the parties to schedule mutually-agreed-to hearing dates to the extent possible to avoid unnecessary adjournments.

In 2013–14, as in 2012–13, the Tribunal referred five cases back to the Minister of Transport for reconsideration pursuant to section 7.1 of the Aeronautics Act, which does not provide the Tribunal with the power to substitute its own decision for that of the Minister in those cases. The average elapsed time between the conclusion of a review hearing and the issuance of a determination is 158 days and 159 days for an appeal hearing.

Lessons Learned

To promote communication between the parties with a view to settlement, the registry encourages early disclosure of documents to the applicant. In order to resolve outstanding issues that may delay the scheduling of a review or appeal hearing, the registry will arrange a teleconference with a Tribunal member.

In order to achieve its targets, the Tribunal is developing strategies to eliminate the backlog and meet its objective. These strategies include the tightening of internal timelines to reduce delays in decisions being issued. In addition, through teleconferences and webinars, there has been a focus on the professional development of Tribunal members to shorten the time members require to write their decisions.

Internal Services

Description

Internal Services are groups of related activities and resources that are administered to support the needs of programs and other corporate obligations of an organization. These groups are: Management and Oversight Services; Communications Services; Legal Services; Human Resources Management Services; Financial Management Services; Information Management Services; Information Technology Services; Real Property Services; Materiel Services; Acquisition Services; and Other Administrative Services. Internal Services include only those activities and resources that apply across an organization and not to those provided specifically to a program.

Budgetary Financial Resources (dollars)
2013–14
Main Estimates
2013–14
Planned Spending
2013–14
Total Authorities
Available for Use
2013–14
Actual Spending (authorities used)
2013–14
Difference
(actual minus planned)
340,000 340,000 340,000 307,189 (32,811)
Human Resources (FTEs)
2013–14
Planned
2013–14
Actual
2013–14
Difference
(actual minus planned)
3 3 0
Performance Analysis and Lessons Learned

The Tribunal underwent a Core Control Audit in the previous fiscal year. The objective of this audit was to ensure that core controls over financial management within the Tribunal result in compliance with key requirements contained in selected financial legislation, policies and directives. The Tribunal has taken note of the deficiencies outlined in the Report and has implemented its Management Action Plan to address these deficiencies.

The Tribunal's Core Control Audit Report and related Management Action Plan are found at:

http://www.tatc.gc.ca/s2/s45/eng/audits

Section III: Supplementary Information

Financial Statements Highlights

Condensed Statement of Operations and Departmental Net Financial Position (unaudited) for the Year Ended March 31, 2014 (dollars)
  2013–14
Planned
Results
2013–14
Actual
2012–13
Actual
Difference (2013–14 actual minus 2013–14 planned) Difference (2013–14 actual minus 2012–13 actual)
Total expenses 1,678,778 1,701,819 1,824,247 23,041 (122,428)
Total revenues 0 0 39 0 (39)
Net cost of operations before government funding and transfers 1,678,778 1,701,819 1,824,208 23,041 (122,389)
Departmental net financial position (44,403) (30,042) (50,547) 14,361 20,505
Condensed Statement of Financial Position (unaudited) as at March 31, 2014 (dollars)
  2013–14 2012–13 Difference
(2013–14 minus
2012–13)
Total net liabilities 125,498 259,275 (133,777)
Total net financial assets 83,584 193,791 (110,207)
Departmental net debt 41,914 65,484 (23,570)
Total non-financial assets 11,872 14,937 (3,065)
Departmental net financial position (30,042) (50,547) 20,505

Financial Statements

The Tribunal's financial statements are available on its website at: http://www.tatc.gc.ca/s2/s29/eng/financial-statements

Tax Expenditures and Evaluations

The tax system can be used to achieve public policy objectives through the application of special measures such as low tax rates, exemptions, deductions, deferrals and credits. The Department of Finance Canada publishes cost estimates and projections for these measures annually in the Tax Expenditures and Evaluations publication. The tax measures presented in the Tax Expenditures and Evaluations publication are the sole responsibility of the Minister of Finance.

Section IV: Organizational Contact Information

Transportation Appeal Tribunal of Canada
333 Laurier Avenue West, Room 1201
Ottawa, ON  K1A 0N5
Telephone: 613-990-6906
Fax: 613-990-9153
Website: www.tatc.gc.ca

Appendix: Definitions

appropriation:
Any authority of Parliament to pay money out of the Consolidated Revenue Fund.
budgetary
expenditures: Include operating and capital expenditures; transfer payments to other levels of government, organizations or individuals; and payments to Crown corporations.
Departmental Performance Report:
Reports on an appropriated organization's actual accomplishments against the plans, priorities and expected results set out in the corresponding Reports on Plans and Priorities. These reports are tabled in Parliament in the fall.
full-time
equivalent: Is a measure of the extent to which an employee represents a full person-year charge against a departmental budget. Full-time equivalents are calculated as a ratio of assigned hours of work to scheduled hours of work. Scheduled hours of work are set out in collective agreements.
Government of Canada outcomes:
A set of 16 high-level objectives defined for the government as a whole, grouped in four spending areas: economic affairs, social affairs, international affairs and government affairs.
Management, Resources and Results Structure:
A comprehensive framework that consists of an organization's inventory of programs, resources, results, performance indicators and governance information. Programs and results are depicted in their hierarchical relationship to each other and to the Strategic Outcome(s) to which they contribute. The Management, Resources and Results Structure is developed from the Program Alignment Architecture.
non-budgetary expenditures:
Include net outlays and receipts related to loans, investments and advances, which change the composition of the financial assets of the Government of Canada.
performance:
What an organization did with its resources to achieve its results, how well those results compare to what the organization intended to achieve and how well lessons learned have been identified.
performance indicator:
A qualitative or quantitative means of measuring an output or outcome, with the intention of gauging the performance of an organization, program, policy or initiative respecting expected results.
performance reporting:
The process of communicating evidence-based performance information. Performance reporting supports decision making, accountability and transparency.
planned spending:
For Reports on Plans and Priorities (RPPs) and Departmental Performance Reports (DPRs), planned spending refers to those amounts that receive Treasury Board approval by February 1. Therefore, planned spending may include amounts incremental to planned expenditures presented in the Main Estimates.
A department is expected to be aware of the authorities that it has sought and received. The determination of planned spending is a departmental responsibility, and departments must be able to defend the expenditure and accrual numbers presented in their RPPs and DPRs.
plans:
The articulation of strategic choices, which provides information on how an organization intends to achieve its priorities and associated results. Generally a plan will explain the logic behind the strategies chosen and tend to focus on actions that lead up to the expected result.
priorities:
Plans or projects that an organization has chosen to focus and report on during the planning period. Priorities represent the things that are most important or what must be done first to support the achievement of the desired Strategic Outcome(s).
program:
A group of related resource inputs and activities that are managed to meet specific needs and to achieve intended results and that are treated as a budgetary unit.
results:
An external consequence attributed, in part, to an organization, policy, program or initiative. Results are not within the control of a single organization, policy, program or initiative; instead they are within the area of the organization's influence.
Program Alignment Architecture:
A structured inventory of an organization's programs depicting the hierarchical relationship between programs and the Strategic Outcome(s) to which they contribute.
Report on Plans and Priorities:
Provides information on the plans and expected performance of appropriated organizations over a three-year period. These reports are tabled in Parliament each spring.
Strategic Outcome:
A long-term and enduring benefit to Canadians that is linked to the organization's mandate, vision and core functions.
sunset program:
A time-limited program that does not have an ongoing funding and policy authority. When the program is set to expire, a decision must be made whether to continue the program. In the case of a renewal, the decision specifies the scope, funding level and duration.
target:
A measurable performance or success level that an organization, program or initiative plans to achieve within a specified time period. Targets can be either quantitative or qualitative.
whole-of-government framework:
Maps the financial contributions of federal organizations receiving appropriations by aligning their Programs to a set of 16 government-wide, high-level outcome areas, grouped under four spending areas.

Notes

Note 1

Type is defined as follows: previously committed to—committed to in the first or second fiscal year prior to the subject year of the report; ongoing—committed to at least three fiscal years prior to the subject year of the report; and new—newly committed to in the reporting year of the RPP or DPR. If another type that is specific to the department is introduced, an explanation of its meaning must be provided.

Return to reference 1