Transition book for the Chair and CEO 2021 - Organizational structure and branch overview

Mandate (Chair's Office):

The roles of the Chair and CEO's Office are similar to those played by corporate secretariats and Deputy Ministers' Offices in other departments and agencies. The office contributes to the systematic management of the Agency's priorities, promotes an organizational environment focused on achieving results, and puts in place the essential conditions for effective strategic direction.

Description of roles and responsibilities:

• Chair and CEO: France Pégeot
  • Leads the Agency
  • Assumes the role of Member
  • Promotes public awareness
  • Supervises work of Members and staff
• Vice-Chair: Liz Barker
  • Assumes the role of Member
  • Acts as Chair in Chair's absence
• Members
  • Governor-in-council appointees that make decisions
• Chair's Office
  • Implement the Agency's priorities
  • promotes an organizational environment focused on achieving results
  • maintains essential conditions for effective strategic direction
  • manages issues
  • makes recommendations to support Chair and CEO decision making
  • provides strategic advice to the Chair and CEO
  • integrates input from across the Agency for non-case-specific briefing notes and correspondence for the Chair and CEO's signature
  • assists in managing the Agency's governance structure, including performing secretariat functions
  • collaborates internally and with other government departments
  • initiates corporate outreach and stakeholder relations
  • establishes timelines, monitors progress, and performs quality-assurance for the planning cycle, budgeting processes and other broad Agency initiatives
  • leads projects or contributes to initiatives as part of a broader team.

Internal partners (Chair's Office):

The Chair's Office works with all directorates.

EC members:

• France Pégeot – Agency Chair and CEO
• Liz Barker – Vice-Chair
• Mireille Drouin – Secretary and Chief Corporate Officer
• Paul Kelly – a/Chief Dispute Resolution Officer
• Tom Oommen – Chief Compliance Officer
• Allan Burnside – a/Chief Strategy Officer
• Doug Smith – Senior Special Project Officer
• Valérie Lagacé – Senior General Counsel and Secretary
• Sébastien Bergeron – Chief of Staff

Champions - overview

• Code of Values and Ethics: Mireille Drouin
  • supports and advises employees on their professional conduct within the context of the Code of Values and Ethics.
• Preventing Harassment, Promoting Respect: Allan Burnside (A)
  • promotes the prevention of harassment and supports prompt resolution of harassment complaints.
• Mental Health and Social Connections: Doug Smith
  • make information about mental wellness and related resources easily accessible to employees.
  • stimulate conversation around mental wellness and promote a healthy workplace by offering opportunities to be active and engaged within the community.
• Official Languages: Valérie Lagacé
  • supports and advises employees on their use of both official languages.
  • oversees and promotes official language policies and activities for internal and external communications.
  • chairs the Official Languages Committee (Agency).
• Equity, Diversity, Inclusion: Tom Oommen
  • supports and advises EC, HR, and staff on ensuring a workplace characterized by equity, diversity and inclusion
• Innovation: Allan Burnside (A)
  • promote knowledge sharing and transfer.
  • nurture agility, energy and creativity.
  • promote collaboration across organizational lines.
  • foster innovation through smart risk-taking and exploration through alternative ways to do business.
  • enhance ability to navigate change and deal with novelty.
• Public Service Employee Survey: Mireille Drouin
  • promotes employee participation in the survey
  • commits to making workplace improvements based on evidence and using the survey as a tool for better people management practices.
• Government of Canada Workplace Charitable Campaign: Tom Oommen
  • encourages employee participation in the campaign
  • oversees the campaign

Designated Officials

• Departmental Officer for Conflict of Interest and Post-Employment: Mireille Drouin
  • supports and advises employees on minimizing the possibility of conflicts arising between their private interests and public service duties.
  • has delegated responsibility and authority for the implementation of the Conflict of Interest provisions in the Values and Ethics Code.
• Protected Wrongdoing Disclosures: Mireille Drouin
  • provides information, advice and guidance to employees regarding the Agency's internal disclosure procedures, including the making of disclosures, the conduct of investigations into disclosures, and the handling of disclosures made to supervisors.
  • delegated to receive and investigate disclosures, decide on the appropriate action, and inform the discloser of the action taken.
• Political Activities: Mireille Drouin
  • supports and advises employees on their responsibilities with respect to political activities, including impartiality and non-partisanship.
• Designated Senior Officials for Employment Equity Diversity and Inclusion (EEDI) : Mireille Drouin
  • Engaging, consulting and collaborating with employees who are members of designated groups under the Employment Equity Act, managers, departmental bargaining agents and other employees in all aspects of employment equity, diversity and inclusion, including plans, systems, policies, practices and processes.

Analysis and Outreach Branch include (AOB)

• Analysis and Regulatory Affairs Directorate
• Communications Directorate
• Centre of Expertise for Accessible Transportation (Directorate)

Branch Head: Allan Burnside (A)

• Research and analysis of transportation system, issues, trends and risks
• External communications and outreach
• Advisory and analytical services to other areas of Agency
• Coordination of Agency work on legislative/regulatory modernization
• Centre of Expertise for Accessible Transportation

Broad, strategic focus, not case specific

Provides expertise to other Branches on files and seeks modal expertise from other Branches

Analysis and Regulatory Affairs Directorate (ARAD) – Allan Burnside

Mandate (ARAD) :

Research and analysis of transportation system, its issues, trends and risks. Legislative review and regulatory review and development. Provision of advisory and analytical services. Outreach to industry stakeholders, other government departments and international organizations.

Description of roles and responsibilities (Analysis and Outreach Branch):

• Strategy and Analysis Team – Team Lead: David Dawson:
  • industry analysis: environmental scans/intelligence gathering, stakeholder engagement, critical issues identification (i.e., emerging and cross-cutting developments), issues/industry research and analysis, organizational strategy and analysis
  • horizontal program policy initiatives: business strategy, intergovernmental affairs, ministerial inquiries, cabinet submissions, memoranda of understanding, corporate planning, TBS regulatory reporting requirements (e.g. Forward Regulatory Plan, Administrative Burden Baseline Count, Posting of Service Standards, Interpretation Policy, etc.])
  • support for annual assessment of the administration of the Act
  • provision of input respecting legislative changes impacting the Agency
• Economics Team – Team Leads: Rakesh Manhas (Air) / Ryan Dallaway (Rail):
  • analytical support to other Branches (e.g. historical price indices, net salvage value determinations, other reviews as requested, compensation under paragraph 116(4)(c.1))
  • rail costing development (e.g. unit costs, depreciation, cost of capital, variability and contribution to fixed costs development, productivity analysis)
  • rail costing applications (e.g. regulated interswitching rate determinations, public passenger service provider cost determinations, FOA costing analysis, Guide to Railway Charges for Crossing Maintenance and Construction)
  • maintenance and updating of the Uniform Classification of Accounts and Related Railway Records
  • regulatory cost benefit analysis
  • industry data and statistical analysis
  • stakeholder engagement
• Regulatory Affairs Team – Team Lead: Caitlin Hurcomb:
  • regulatory review and development
  • regulatory policy research / harmonization
  • Guidance renewal project
  • Indigenous consultation

Internal partners (Analysis and Outreach Branch):

Rail & Marine Determinations Directorate : Grain Division re: VRCPI, MRE.

Compliance Monitoring and Enforcement Directorate (CMED): : Engage CMED Auditors on matters such as assistance on accounting issues, assistance in assessing rail data and systems, etc.

Dispute Resolution Branch: : Issues around Final Offer Arbitration (FoA), Public Passenger Service Provider (PPSP) rates, Long Haul Interswitching (LHI), rail Level of Service (LoS), economic analysis in support of determinations/adjudications.

Financial Services and Asset Management Directorate: : Collaboration around costing and financial analysis of horizontal policy initiatives, business strategies and cabinet submissions (e.g. budget requests, Treasury Board submissions, etc.).

Legal Services: Assistance/advice respecting regulatory drafting and analysis, legal issues respecting data management, etc.; legal analysis of horizontal policy initiatives, business strategies and cabinet submissions.

Communications Directorate (CD) – Vacant

Mandate (Communications Directorate)

Deliver high-quality, well-planned strategic communications and outreach activities to support the Agency, its management and staff in the fulfillment of its three core mandates.

Manager (Communications Directorate)

Manager : Cynthia Jolly

Assistant Director : Vincent Turgeon

Description of roles and responsibilities (Communications Directorate):

• Communications advice, planning and coordination :
  • provide external communications advice, planning and issues management in alignment with policy directions
  • plan and implement proactive communications, outreach and promotional campaigns across all media and platforms
  • plan and coordinate public opinion research
  • plan and coordinate paid advertising campaigns
  • plan and manage the production of corporate videos
  • plan and manage all external communications and promotional projects
  • manage and coordinate speeches for senior officials
• Corporate publishing:
  • manage the Agency's brand and develop visual identities for public programs services
  • plan and implement proactive communications, outreach and promotional campaigns across all media and platforms
  • plan and coordinate public opinion research
  • plan and coordinate paid advertising campaigns
  • plan and manage the production of corporate videos
  • plan and manage all external communications and promotional projects
  • manage and coordinate speeches for senior officials
• Media issues management:
  • monitor, track and report on issues arising in the media
  • monitor and report on parliamentary affairs
  • coordinate responses to Order Paper questions (from parliamentarians)
  • plan and manage public communications and media events
  • manage media relations and its coordination with Chair's office
  • maintain relationships with journalists, respond to media inquiries and proactively outreach to journalists to promote Agency activities
  • manage and coordinate responses to public inquiries
• Oversight :
  • ensure alignment with the Government of Canada Policy on Communications and Federal Identity and the Directive on the Management of Communications
  • coordinate key communications activities with central agencies and the Office of the Minister of Transport
  • oversee implementation of the Government of Canada (wordmark) and Agency corporate branding
  • oversee procurement for designated communications commodities

Internal partners (Communications Directorate):

Provides operational and strategic external communications advice and services to, and seeks content approvals as subject matter experts with, all parts of the Agency.

Centre of Expertise for Accessible Transportation (CEAT) – Sonia Gangopadhyay

Mandate (Centre of Expertise for Accessible Transportation)

Enhance the accessibility of the federal transportation system on all modes by developing related standards and guidelines through consultations, outreach, research and analysis. Ensure that the Agency's accessibility mandate is delivered in an efficient and effective manner.

Manager (Centre of Expertise for Accessible Transportation)

Manager : Susan Clarke

Manager : Shafi Askari

Description of roles and responsibilities (Centre of Expertise for Accessible Transportation):

• Consultations and outreach with industry and persons with disabilities to:
  • identify and assess issues and gaps
  • enhance the accessibility of the network
  • lead on the Mobility Forum in which key stakeholders can provide input on accessibility related matters
• Regulatory development and innovation:
  • develop and review regulations related to accessibility
  • implement innovative solutions related to accessibility of the transportation system
• Research and analysis of information and data:
  • develop/amend codes of practice
  • develop guidance for persons with disabilities and industry to support compliance with regulations and codes of practice
• Advice and guidance for:
  • development of tariff provisions
  • elaboration of regulations and legislation
  • renewal and rewriting of regulations, for example in the context of the Regulatory Modernization Initiative
  • resolution of disputes

Internal partners (Centre of Expertise for Accessible Transportation):

Dispute Adjudications Directorate: Collaborate on adjudication of accessibility-related disputes within the Agency's jurisdiction.

Alternative Dispute Resolution Directorate: When needed ADRD asks advice from CEAT on mediation and facilitation of accessibility related matters.

Compliance Monitoring and Enforcement Directorate: CMED consults with CEAT on decisions about accessibility matters and on priority areas for compliance.

Air Determinations Directorate:

• Licensing & Charters: CEAT must be provided a copy of the letter granting a new license to a passenger air service operator
• International Agreements: CEAT staff is available for consultation on any accessibility-related matters.

Determinations and Compliance Branch (DCB) include :

• Air Determinations Directorate
• Rail and Marine Determinations Directorate
• Compliance Monitoring and Enforcement Directorate

Branch head: Tom Oommen

• Determinations and authorities pursuant to legislation and regulations
• Monitoring compliance of regulated entities and enforcement

Operationally focused

Determinations, authorities and licenses issued by Agency that must, by law, be issued for a party to undertake or discontinue some activity

Provides expertise on air tariffs, rail engineering, grain transportation.

Issues monetary penalties for non-compliance

Case-specific, single-party (although sometimes contested after application)

Air Determinations Directorate – John Touliopoulos

Mandate (Air Determinations Directorate)

Facilitate timely Agency issuance of determinations of Canadian ownership and control in fact; domestic, transborder and international air licences; and, extra-bilateral air transport authorities. Provide expertise and management of air tariff issues. Effectively serve as the Agency's aeronautical authority representatives on Canada's international bilateral air agreement negotiation team with Canada's Chief Air Negotiator and Transport Canada. Serve as Canada's Designated Member and delegation lead to the International Civil Aviation Organization's Facilitation Panel and Chair of Canada's National Facilitation Committee.

Description of roles and responsibilities (Air Determinations Directorate):

• Licensing and charters: Martin Dalpé
  • issuance, amendment, suspension, reinstatement and cancellation of licenses
  • conduct insurance reviews and monitoring
  • issue charter permits and notifications
• Tariffs and Research: Moira Reid
  • administer international air carrier tariff filings (rates/fares, terms and conditions)
  • review tariff amendments directed by Agency decisions and orders, and provide advice to CMED
  • manage associated application-generated and own-motion cases, conduct analysis, develop recommendations
  • serve as an Agency central hub for detailed tariff and passenger protection knowledge, including APPR
• Financial Evaluation: Ousmane Alkaly
  • review Canadian requirements for air licence applicants
  • review start-up or market-entry financial requirements
  • review advance Canadian status determinations and corporate restructuring of existing air licensees
  • review advance payment protection in place for air charter flights
• International Agreements: Nuno Bellem
  • assess and issue Agency code shares, wet leases and extra-bilateral authorities
  • serve as subject-matter experts in the implementation of air transport agreements (ATA) and represent the Agency, as an aeronautical authority of Canada, on the Canadian delegation negotiating ATAs
  • provide guidance to Agency Members and staff with respect to the effective and efficient administration of ATAs
  • serve as designated representative at the International Civil Aviation Organization (ICAO) Facilitation Panel

Applicable CTA sections : 59, 64, 66, 67

Internal partners (Air Determinations Directorate):

Compliance Monitoring and Enforcement Directorate: Provides advice and information to inform CMED activities

Communications Directorate: Provides input for media issues and content to reply to inquiries

DRB and AOB: Provides tariff expertise.

Rail & Marine Determinations Directorate – Luc Chamberland

Mandate (Rail & Marine Determinations Directorate)

Administers rail and marine programs, making recommendations for statutory and regulatory authorities regarding the market entry and exit of railway companies, Maximum Revenue Entitlement for western grain, rail liability insurance requirements, Coasting Trade applications, as well as providing rail-specific advisory and research services.

Description of roles and responsibilities (Rail & Marine Determinations Directorate):

• Grain Division: Steve Aubut
  • determine maximum revenue entitlement
  • determine volume-related composite price index
• Rail and Marine Determinations Division: VACANT (to be combined with Engineering & Advisory Services Division)
  • administer the Coasting Trade program to determine whether a suitable Canadian vessel is available to perform Coasting Trade activities
  • administer Certificates of Fitness program to determine if a company proposing to construct or operate a railway under federal jurisdiction has the required liability insurance, including the review of annual insurance-related submissions.
  • administer applications for net salvage value determinations
• Engineering and Advisory Services Division: Jason Tsang
  • provide engineering advice and technical recommendations with respect to various types of railway disputes related to crossings, noise and vibration, and net salvage valuations
  • lead the Agency's review process for railway line construction applications

Applicable CTA sections : 90-95, 95.1, 98, 99(1), 101-103, 140, 144-146, 150-151

Railway Safety Act: 16

Canadian Environmental Assessment Act: 18(1)

Coasting Trade Act: 8, 10

Shipping Conferences Exemption Act, 1987

Internal partners (Rail & Marine Determinations Directorate):

AOB: Provides advice and information to RMDD on matters related to the MRE

Compliance Monitoring and Enforcement Directorate: Provides advice and information to inform CMED activities

DRB: Provides expertise on rail-related disputes.

Communications Directorate: Provides input for media issues and content to reply to inquiries.

Point of contact (licensing and charters):

licence@otc-cta.gc.ca

Compliance Monitoring and Enforcement Directorate – Marc Thomson

Mandate (Compliance Monitoring and Enforcement Directorate)

Ensure effective monitoring and enforcement of industry compliance with legislative and regulatory provisions, which is in the interests of travellers, shippers, and the transportation companies that follow the rules and should not face unfair competition from those who don't.

Description of roles and responsibilities (Compliance Monitoring and Enforcement Directorate):

• Compliance Monitoring and Enforcement: Simona Sasova
  • proactively and systematically monitor and enforce compliance in accessibility and in air, rail and marine modes with: legislation, regulations and codes of practice.
  • quality assurance of filings made to the Agency (e.g. MRE, costing)
  • manage inspection programs in regions
• Verification and Assurance
  • monitoring of compliance with rail insurance
  • quality assurance of filings made to the Agency (e.g., MRE, data verification)
  • related monitoring and compliance process guidance
• Compliance Planning, Research and Outreach: Susan Clarke
  • risk-based core program/business activity monitoring
  • trend analysis
  • identify areas of focus for outreach efforts to support regulatory compliance
  • development of policies and procedures

Applicable CTA sections : Part VI

Canadian Transportation Agency Designated Provisions Regulations

Internal partners (Compliance Monitoring and Enforcement Directorate):

Air Determinations Directorate

Licensing and Charters: Information transfer for the inscription, Licensing and Charters has information on the air carriers and they send updates on carriers.

Tariffs and Research: Tariffs flags to CMED when there is a possible non-compliance.

Financial Evaluation: CMED goes to Financial Evaluation when seeking clarifications on Canadian ownership and company structure matters related to Canadian ownership.

Grain Division: CMED undertakes the verification of data submissions for the MRE program and the annual VRCPI exercise.

Centre of Expertise for Accessible Transportation: CMED consults CEAT on compliance with accessibility decisions and regulations for their expertise and to establish priority areas of compliance.

Dispute Adjudications Directorate: After adjudication, decisions where Agency orders remedial action are sent to CMED for review of compliance and monitoring.

Legal Services: CMED’s notices of violation are reviewed by Legal before they are issued. CMED goes to Legal for any clarifications on the Canada Transportation Act and other legislation and regulations

Dispute Resolution Branch (DRB) include :

• Triage and Reporting Division
• Alternative Dispute Resolution Directorate
• Dispute Adjudications Directorate

Branch Head: Paul Kelly (A)

Alternative dispute resolution and adjudication of all air, rail, marine and accessibility disputes within the Agency's jurisdiction

Operationally focused

ADR and support for rulings based on applications filed by parties at their discretion

Case-specific, involves two or more parties

Processes cases and seeks input from other expert areas as required

Triage and Reporting Division – Kimberly Vivarais

Mandate (Triage and Reporting Division)

Administers complaint intake and triage; all branch reporting; help line support; and branch business improvement functions.

Manager (Triage and Reporting Division)

Kimberly Vivarais

Description of roles and responsibilities (Triage and Reporting Division):

• Intake-Triage
  • intake and initial triage of new air travel complaints and mediation services
  • determine jurisdiction
  • processing documents submitted by the parties
  • provision of information to callers
  • Rail help line
  • Accessible help line
• Reporting
  • All reporting (corporate, parliamentary, media)
• Automation and Case Management System preparation (CMS)
  • Streamlining of business processes and automation (CMS)

Internal partners (Triage and Reporting Division):

Alternative Dispute Resolution Directorate: Work very closely together, assist each other for clarifications and direct files the right way.

Dispute Adjudication Directorate: Certain cases are referred directly to adjudication (to identify cases which require regulatory interpretation).

Air Determinations Directorate: Tariffs and Research: for advice on complex tariff matters and interpretation.

Communications Directorate: Developing outreach products, responding to media inquiries, issues management.

Chair's Office: Issues management, specific initiative program support / advice / approvals.

Alternative Dispute Resolution Directorate – Paul Kelly

Mandate (Alternative Dispute Resolution Directorate)

informally resolve disputes across federally regulated air, rail and marine modes including accessible transportation.

Manager (Alternative Dispute Resolution Directorate)

Bonnie O'Boyle, Kurtis Harrison, Maryse Messier, Katie Fillmore

Description of roles and responsibilities (Alternative Dispute Resolution Directorate) :

• facilitate and mediate of all types of disputes, across all modes (including extra-provincial bus accessibility) involving the federal transportation network:
  • rail: road, utility and private rail crossings; cost apportionment; noise and vibration; level of service; competitive access (interswitching, running lights, etc.); public passenger service provider; discontinuance; recovery of costs incurred by provinces and municipalities in responding to a fire resulting from railway operations;
  • marine: pilotage authority tariff proposals; port authority user fees
  • air: adjudication of air travel consumer complaints; NAV Canada issues, disputes involving tariffs and pricing
  • marine: adjudication of disputes involving pilotage, ports, SCEA
  • accessibility: adjudication of disputes respecting the accessibility of the federal network for persons with disabilities
• Responsible for operation of MOUs with Canadian Human Rights Tribunal, as well as the provinces of Ontario and BC.

Applicable CTA sections : 36.1, 36.11, 36.2, 85.1, 95.1, 101 - 103, 113, 116.1, 120.1, 137-137.1, 140 to 146.1, 161 to 169, 169.1, 170 – 172

ATR section: 67.1

Air Passenger Protection Regulations

Montreal, Warsaw Conventions

EU Regulations 261/2004

Civil Air Navigation Services Commercialization Act: 35, 36, 37, 42, 43, 48

Canadian Transportation Agency Rules

Railway Safety Act: 6, 7, 23

Accessible Canada Act

Shipping Conferences Exemption Act, 1987 (SCEA) sections: 13 to 16

Canada Marine Act: 52, 94

Pilotage Act: 33 to 35

Seaway International Bridge Corporation Ltd. Regulations and Jacques-Cartier and Champlain Bridges Inc. Regulations: 5

Internal partners (Alternative Dispute Resolution Directorate):

Triage and Reporting Division: Tightly integrated for file processing.

Legal Services: Various legal advice and issue analysis.

Centre of Expertise for Accessible Transportation: Various accessibility related questions and advice.

Rail and Marine Determinations Directorate (RMDD): For crossing and noise/vibration questions.

Air Determinations Directorate: Tariffs and Research: Frequent air tariff and related issues advice.

Communications Directorate: Web, comms products, automation advice, media inquiries, certain reporting.

Dispute Adjudication Directorate – Dany Ross

Mandate (Dispute Adjudication Directorate)

supports adjudication of disputes across federally regulated air, rail and marine modes , including accessible transportation, and certain types of arbitration.

Manager (Dispute Adjudication Directorate)

Diane Fusco, Krista Warnica, Patricia Lavigne, Valérie Sicard

Description of roles and responsibilities (Dispute Adjudication Directorate) :

• supports Members' adjudication of all types of disputes, across all modes (including extra-provincial bus accessibility) involving the federal transportation network:
  • rail: road, utility and private rail crossings; cost apportionment; noise and vibration; level of service; competitive access (interswitching, running lights, etc.); public passenger service provider; discontinuance; recovery of costs incurred by provinces and municipalities in responding to a fire resulting from railway operations;
  • marine: pilotage authority tariff proposals; port authority user fees
  • air: adjudication of air travel consumer complaints; NAV Canada issues, disputes involving tariffs and pricing
  • marine: adjudication of disputes involving pilotage, ports, SCEA
  • accessibility: adjudication of disputes respecting the accessibility of the federal network for persons with disabilities
• case management from opening to closing of pleadings (including oral hearings)
• adjudication of objections and disputes concerning FOA and LOS
• preparation of industry guidance on various adjudication processes
• arbitration services on the final offer (FOA) and of level of service disputes

Applicable CTA sections : 95.1, 101 - 103, 113, 116.1, 120.1, 137-137.1, 140 to 146.1, 161 to 169, 169.1, 170 – 172

ATR section: 67.1

Air Passenger Protection Regulations

Montreal, Warsaw Conventions

EU Regulations 261/2004

Civil Air Navigation Services Commercialization Act: 35, 36, 37, 42, 43, 48

Canadian Transportation Agency Rules

Railway Safety Act: 6, 7, 23

Accessible Canada Act

Shipping Conferences Exemption Act, 1987 (SCEA) sections: 13 to 16

Canada Marine Act: 52, 94

Pilotage Act: 33 to 35

Seaway International Bridge Corporation Ltd. Regulations and Jacques-Cartier and Champlain Bridges Inc. Regulations: 5

Internal partners (Dispute Adjudication Directorate):

Legal Services: Part of every adjudication, a member of Legal gets assigned every time.

Centre of Expertise for Accessible Transportation: DAD goes to CEAT for expertise if they have an accessibility case.

Compliance Monitoring and Enforcement Directorate: After the case is closed, DAD sends to CMED to monitor and ensure compliance.

Rail and Marine Determinations Directorate (RMDD): DAD goes to RMDD engineers if they have a noise, vibration or crossing case.

Air Determinations Directorate: Tariffs and Research: DAD goes to Tariffs for advice when needed.

Communications Directorate: DAD gives information to CD for cases receiving media coverage.

Alternative Dispute Resolution Directorate: Work very closely together, assist each other for clarifications and direct files the right way.

Dispute Adjudication Directorate: Certain cases are referred directly to adjudication (ATCFD to identify cases which require regulatory interpretation).

Internal Services Branch (ISB) include :

• Workplace and Workforce Services Directorate
• Financial Services, Procurement and Asset Management Directorate
• Information Technology Services Directorate
• Strategic Planning

Branch head: Mireille Drouin

• Finance
• Procurement and Contracting
• Physical Security
• Facilities Management
• Human resources
• Corporate business planning and reporting
• Audit / Evaluation
• Information Technology Services

Financial Services and Asset Management Directorate (FSAMD) – Vick Chauret

Mandate (Financial Services and Asset Management Directorate)

Ensure the prudent use and stewardship of financial resources in an effective, efficient and economic manner.

Description of roles and responsibilities (Financial Services and Asset Management Directorate):

• Internal Control and Financial Reporting Division: Mélissa Loiselle
  • provide accounting for financial transactions and reporting of financial information in corporate reports, including the Public Accounts, Departmental Financial Statements, Future-Oriented Statements of Operations, Proactive Disclosures of Travel and Hospitality, Report on Annual Expenditures for Travel, Hospitality and Conferences Expenditures, etc.;
  • ensure that departmental budgets and limitations on delegated authority are respected and ensuring compliance with central agency policies;
  • provide timely confirmation of the receipt of goods or services, and approval of invoices for payment;
  • Provide timely deposit and recording of receipts, and the recording and collection of monies due to the Crown; and,
  • timely recording and reporting of transactions relating to capital assets and liabilities.
• Procurement Division : Bernadette Beaudoin
  • fulfill requests for goods or services, including requests for proposals (RFPs), bid solicitations, bid evaluations and contract awards;
  • manage a procurement from contract award to contract close, including the monitoring of the contract, verification of receipt of deliverables, progress payments, etc.;
  • support various reporting requirements (both departmental and government-wide), including reporting requirements, ongoing monitoring of processes and general planning activities, that ensure sound procurement practices; and,
  • inventory and material management.
• Budgeting Division: Sylvie Valiquette
  • forecast financial requirements to support achieving program objectives;
  • salary forecasting, including approval of payroll transactions in Phoenix; and
  • report financial information in corporate reports, including the Annual Reference Letter Update, Main Estimates, Supplementary Estimates, Quarterly Financial Reports, etc.
• Corporate Planning, Monitoring and Reporting Sylvie Valiquette
  • manage Departmental Results Framework (DRF)
  • report on Management Accountability Framework (MAF)
  • support Audit, Evaluation and Performance Measurement Committee
  • manage Agency Operational / Planning / Monitoring
  • support Treasury Board Submissions
  • monitor Internal Services Standards

Internal partners (Financial Services and Asset Management Directorate):

Workplace and Workforce Services Directorate : Salary forecasting, quarterly budget reviews, approval of payroll transactions in Phoenix.

Chair's Office: Internal and external reporting, quarterly budget review and approval.

Analysis and Outreach Branch: Integrated Planning Cycle, Departmental Plan, Departmental Results Report, Quarterly Financial Reports.

Communications Directorate: Publication of external financial reports, parliamentary questions.

Administrative Professionals and Delegated Managers

Point of contact (Financial Services and Asset Management Directorate)

Services-FinPlanSec@otc-cta.gc.ca

Workforce and Workplace Services Directorate – Nadine Brisson

Mandate (Workforce and Workplace Services Directorate)

Oversee organizational development and design. Administer human resources policies, procedures and programs.

Description of roles and responsibilities (Workforce and Workplace Services Directorate):

• Operational Effectiveness
  • helping generate a productive and structurally sound workplace that allows for the alignment of priorities, plans and accountabilities
    • classification
    • operational design
    • human resources planning
    • human resources systems and data integrity
    • human resources reporting
• Workplace Management
  • establishing conditions in the workplace that favour higher levels of employee engagement, greater productivity and performance in order to maximize the contribution of employees
    • labour relations
    • occupational health and safety
    • harassment and violence prevention
    • disability management
    • duty to accommodate
    • wellbeing (including Mental Health)
    • EAP and ICMS
    • values and ethics
    • performance management
    • talent management
    • conflict of interest and post-employment
    • compensation and benefits
    • physical security
    • facilities management
    • draft / monitor Business Continuity Plan / Security Plan / Emergency Plan
• Workforce Services
  • building a competent, diverse and inclusive workforce by developing the abilities and behaviours of employees to achieve the strategic and operational objectives and by finding the right talent to meet organizational needs
    • staffing
    • diversity and employment equity
    • official languages
    • learning and development
• Employee engagement
  • manage Onboarding program
  • manage Awards program: Peer Awards, Long Service Awards and Chair's Awards of Excellence
  • manage staff surveys: PSES, Post Town Hall Surveys, Pulse Survey
  • develop and coordinate implementation of the People Action Plan
  • plan and organize National Public Service Week and other corporate events
  • coordinate and facilitate Managers Network

Internal partners (Workforce and Workplace Services Directorate):

WWSD works for/with every employee in the Agency.

Point of contact (Workforce and Workplace Services Directorate)

Services-RH-HR@otc-cta.gc.ca

Information Technology Services Directorate – Antoine Chevrette

Mandate (Information Technology Services Directorate)

Provide IT Strategy and Operations Services, as well as IT Security.

Description of roles and responsibilities (Information Technology Services Directorate):

• IT Planning and Business Solutions
  • application development (e.g. case management system)
  • application support
  • IT policy development and directive implementation
  • IT stakeholder management
  • IT business intake
  • IT project management
  • information and data management
• Operational Services
  • networks and infrastructure support
  • desktop engineering
  • desktop support and help desk service and training
  • provide advice and guidance to clients
  • telecommunications' services
  • videoconference support
  • records and IM systems management
  • licences/Mou management and renewal.
• IT Security
  • IT threat and risk analysis
  • IT security program: IT security monitoring, IT security policy program, IT security Requests for Proposals elements and contracts, IT security contract
  • IT security advice for senior management
  • IT security awareness
  • Proactive monitoring
  • Intrusion detection monitoring
  • IT risk management and strategic advice
• IT Procurement
  • Licences/Mou renewal
  • IT hardware/COTS solution acquisition

Internal partners (Information Technology Services Directorate):

ITSD works with all areas of the Agency to support IT needs.

Point of contact (Information Technology Services Directorate)

Services-TI-IT@otc-cta.gc.ca

Legal and Secretariat Services Branch (LSSB) include

• Registrar and Secretariat Services Directorate
• Legal Services Directorate
• Information Management Services Directorate

Branch head: Valérie Lagacé

• Legal advice on all Agency issues, as well as on cases
• General counsel and Secretary to the Agency
• Support for the development of regulations, guidance material and other informational content
• Registrar and Secretariat services
• Translation services
• Information management and technology
• Access to information and privacy

Legal Services Directorate – Valérie Lagacé

Mandate (Legal and Secretariat Services Branch)

Provide advisory, litigation and hearing registrar services to the Agency.

Description of roles and responsibilities (Legal and Secretariat Services Branch):

• Legal services
  • advice and opinions on issue raised in dispute adjudication and regulatory determination and arbitration cases, as well as issues raised in the development of rules, regulations, processes, guidance material and other content
  • advice and guidance to the Internal Services Branch on issues related to corporate functions
  • provide support to the Chair and CEO
  • represents the Agency in all appeals and other tribunal and court proceedings, including Transportation Appeal Tribunal reviews
  • provide legal support for all oral hearings
• Paralegal services
  • legal research
  • oral hearing logistics coordination/support
  • court activities support

Internal partners (Legal and Secretariat Services Branch):

Dispute Adjudications Directorate: Legal is part of every adjudication, a legal counsel is assigned to every case, including arbitrations.

Air Determinations Directorate: A legal counsel is assigned to every regulatory determination cases, except routine matters as well as special initiatives/projects. ADD also seeks advice from Legal on issues relating to the work of ADD generally.

Compliance Monitoring and Enforcement Directorate: CMED's notices of violation are reviewed by Legal before they are issued. CMED goes to Legal for any clarifications on the Canada Transportation Act and other legislation and regulations. Legal represent the Agency in TATC hearings, in which CMED staff are called as witnesses.

Rail and Marine Determinations Directorate: A legal counsel is assigned to every regulatory determination cases, except routine matters as well as special initiatives/projects. RMDD also seeks advice from Legal on issues relating to the work of the RMDD generally.

Analysis and Outreach Branch: a legal supports AOB in the development of major initiatives, such as regulation and guidance material, production of corporate reports, development of rail costs and indices. Legal counsel also support AOB in developing communications material and media responses.

Registrar, Secretariat and Information Management Services Directorate – Patrice Bellerose

Mandate (Registrar, Secretariat and Information Management Services Directorate)

Provide registrar, Secretariat, Information Management, ATIP and translation services.

Description of roles and responsibilities (Registrar, Secretariat and Information Management Services Directorate):

• Decisions and orders
  • editing, review and comparative review in both official langues
  • processing and publishing of decisions and orders
  • ensure quality control
  • create templates and guides for re-usable messaging
• Registry Services
  • one entry for adjudication submissions
  • Member sign-off and one-exit for all rulings
  • issuance and distribution of rulings (decisions/determinations, orders, interim decisions and permits)
  • official record-keeping for submissions and rulings (decisions/determinations, orders, interim decisions and permits)
  • preparation and dissemination of certified true copies
  • registrar services/procedural advice to Agency and public
• ATIP
  • administration of and compliance with the Access to Information Act (ATIA) and Privacy Act (PA) and associated directives and policy instrument issued by the TBS
  • processes ATIA and Privacy requests
  • responds to ATIA consultation requests received from other government institutions
  • provides advice and guidance to requesters and Agency staff
  • ATIP advice, guidance and awareness
  • updates, develops and implements Agency's ATIP procedures
  • liaison with the Offices of the Information and Privacy Commissioners
  • prepares statistical reports and annual reports to Parliament on the administration of the Acts
• Information Management
  • IM planning
  • IM policy and directive implementation
  • IM stakeholder management
  • IM business intake
  • IM project management
  • Information and data management
  • Library and Archives Canada liaison
  • Records and IM management
  • RDIMS support
  • IM security advice for senior management
  • IM security awareness
  • IM risk management and strategic advice
• Translation Services
  • develop a terminology lexicon for translation of Agency documents (including decisions and orders)
  • produce guidance documents on language
  • translation of Agency documents
  • provide expert linguistic advice and recommendations

Internal partners (Registrar, Secretariat and Information Management Services Directorate):

works with all areas of the Agency for issuance of rulings, translation, IM and ATIP.

Point of contact (Registrar, Secretariat and Information Management Services Directorate) :

Secretariat.Secretariat@otc-cta.gc.ca , OTC.AIPRP-ATIP.CTA@otc-cta.gc.ca and traduction-translation@otc-cta.gc.ca and Services-GI-IM@otc-cta.gc.ca

Branch Overview (Analysis and Outreach Branch)

Allan Burnside
A/Chief Strategy Officer

June 2021

Primary Responsibilities (Analysis and Outreach Branch)

• Research and analysis of the transportation system, issues, trends and risks
• External communications, outreach and media monitoring
• Internal Communications and web renewal
• Advisory and analytical services to other areas of the CTA
• Coordination of CTA's work on legislative/regulatory modernization
• Center of Expertise for Accessible Transportation

Branch Structure (Analysis and Outreach Branch)

Allan Burnside A/Chief Strategy Officer
Krystel Desrochers, Administrative Services Coordinator

• Caitlin Hurcomb, A/Senior Director, Analysis and Regulatory Affairs
• Chloe Neault, Administrative Assistant
  • David Dawson, Team Lead, Strategy and Analysis Team
  • Caitlin Hurcomb, Team Lead, Regulatory Affairs Team
  • Ryan Dallaway, Team Lead, Rail Economics Team
  • Rakesh Manhas, Team Lead, Air Economics Team
• Cynthia Jolly, A/Director, Communications
• Charlene Gbor, Administrative Assistant
  • Vincent Turgeon, Assistant Director, Issues and Media Management
  • Cynthia Jolly, Manager, Outreach and Corporate Communications
• Sonia Gangopadhyay, Director, Center of Expertise for Accessible Transportation
• Claire Lauzon, Operations Support Officer
  • Susan Clarke, Manager, Outreach, Research and Analysis
  • Shafi Askari, Manager, Regulations and Data Analysis

Analysis and Regulatory Affairs Directorate (Analysis and Outreach Branch)

A/Senior Director: Caitlin Hurcomb

Strategy and Analysis Team, David Dawson (5 FTEs/1 Casual)

• Industry analysis: environmental scans/intelligence gathering, stakeholder engagement, critical issue identification & research, organizational strategy
• Horizontal program/policy initiatives and coordination of CTA-wide initiatives: business strategy, intergovernmental affairs, Ministerial inquiries, Cabinet submissions, Chair requests

Regulatory Affairs Team, Caitlin Hurcomb (3 FTEs)

• Regulatory Review and Development
• CTA guidance development
• Indigenous consultation to meet the duty to consult

Rail Economics Team, Ryan Dallaway (5 FTEs/1 Student)

• Data and statistical analysis with respect to the rail industry(e.g. trend analysis, market share analysis)
• Provide analytical support to other CTA teams, including data analysis on rail volumes and financial trends
• Rail cost determinations
• Targeted consultations, and outreach on rail related issues

Air Economics Team, Rakesh Manhas (4 FTEs)

• Data and statistical analysis with respect to the air Industry (e.g. trend analysis, market share analysis)
• Conduct regulatory cost-benefit analysis (CBA)
• Provide analytical support to other CTA teams

Communications Directorate (Analysis and Outreach Branch)

Cynthia Jolly, A/Director, oversees 12 FTEs (+5 casuals)

Issues and Media Management, Vincent Turgeon

• Air, Accessibility and Public opinion Research Portfolio
• Rail, Consultations and Annual Report Portfolio
• Annual Report Publishing
• Media Monitoring and Social Media
• Public Inquiries

Outreach and Corporate Communication, Cynthia Jolly

• Web Renewal Project
• Web Publishing and Virtual Engagement
• Accessible Design and Web Publishing
• Internal Communications and Change Management
• Web Publishing and Outreach
• Move and Employee Engagement

Center of Expertise for Accessible Transportation (Analysis and Outreach Branch)

• Director's Office, Sonia Gangopadhyay (4 FTEs)
  • Advice to the Director, Chief Strategy Officer and Executive Committee on issues related to disabilities
  • Implementation of innovative projects related to accessibility
  • Provide support to the development of various policy related initiatives for accessibility
• Outreach, Research and Analysis, Susan Clarke (4 FTEs)
  • Consultations, outreach, research and analysis to enhance the accessibility of the federal transportation system to inform development of standards and guidelines
  • Provide advice to other areas of the CTA for functions related to accessible transportation (e.g. dispute resolution, tariffs, compliance and monitoring, etc.)
• Regulatory Development and Data Analysis, Shafi Askari (5 FTEs)
  • Development and review of regulations related to the accessibility of the transportation system
  • Consultations with representatives of persons with disabilities, the industry and the public
  • Collaboration with other government departments to collect and analyze data related to accessibility

CTA Key Relationships (Analysis and Outreach Branch)

Accessibility (CTA Key Relationships)

• Accessibility Advisory Committee:
  • Composed of 40 members in total - 20 organizations representing persons with disabilities and 20 organizations representing the industry (i.e., 18 transportation service providers + Canadian Air Transport Security Authority and Canada Border Services Agency)
  • Includes representatives from the community of persons with disabilities, such as: Alliance for Equality of Blind Canadians, Canadian Association of the Deaf, Canadian Mental Health Organization, Council of Canadians with Disabilities, Guide Dog Users of Canada, etc.
  • The AAC also includes representatives from the transportation industry, such as: Air Canada, Air Transat, Air Transportation Association of Canada, Canadian Airports Council, National Airlines Council of Canada, etc.
• National Research Council
  • The CTA hired the NRC to facilitate an International Working Group (IWG), which in collaboration with interested stakeholders including International Air Transportation Association (IATA), will gain an understanding of the various factors that impact issues related to Special Service Request (SSR) codes
  • The IWG will work together to find solutions that will help carriers in improving the services provided to persons with disabilities.
  • The IWG will allow for ongoing discussions with person with disabilities and the air industry to participate and share their knowledge and experience in order to identify possible issues and solutions for the benefit of both PWDs and the air industry.

Air (including on Air Passenger Protection Regulations and Accessible Transportation)

• Large Canadian Airlines (Air Canada, WestJet, Sunwing, Porter Airlines, Air Transat)
• Small Canadian Airlines (Porter, Flair, Air Inuit)
• Airport Associations/Organizations (Airports Council International, Canadian Airports Council)
• Consumers Advocacy (Option Consommateurs, Air Passenger Rights, Canadian Automobile Association, Public Interest Advocacy Centre)
• Industry Associations (National Airlines Council of Canada, Air Transport Association of Canada, Northern Air Transportation Association)

• The CTA collaborates and engages with these stakeholders to consult on regulatory and legislative developments, especially on issues such as air passenger protection and accessible transportation
• The CTA also regularly meets with these stakeholders to create an open dialogue about how to improve the accessible transportation in the air industry, both domestically and internationally

Rail (CTA Key Relationships)

• Canadian Railways (Canadian National Railway, Canadian Pacific Railway)
• Railway-related Associations/Corporations (Railway Association of Canada, Western Canadian Shippers' Coalition, Freight Management Association of Canada, Chemistry Industry Association of Canada, Via Rail, Alaska-Alberta Railway Development)
• Forest/Mining/Agriculture (Prairie Oat Growers Association, Forest Products Association of Canada, Mining Association of Canada)

• The CTA consults with these stakeholders on its rail-related activities, including on regulatory developments, annual site visits (for railways), and annual rail determinations
• The CTA also regularly meets with these stakeholders to stay updated on data analysis and issues affecting grain handling
• Finally, the CTA regularly engages with these stakeholders to discuss any issues or challenges that affect the shipper/rail industry, that are within the purview of the Agency.

International (CTA Key Relationships)

• International Air Transportation Association (IATA)
  • The CTA meets with IATA on an annual basis to discuss all issues under the CTA's mandate.
  • Of note, the CTA is currently working with IATA on Special Service Request codes to improve accessibility and passenger experience on international flights
• International Civil Aviation Organization (ICAO)
  • The CTA participates in ICAO's events on a regular basis; the most recent of which is the ICAO luncheon in February 2019.
  • In June 2019, representatives from Transport Canada and the CTA, along with the Airports Council International (ACI), presented to the Council of the International Civil Aviation Organization (ICAO) on accessible air transportation for persons with disabilities.
• Airport Council International (ACI)
  • In February 2019, the CTA participated in an ACI/ICAO luncheon. As per above, ACI provided a presentation over lunch on accessibility challenges globally and strategies to improve accessibility of airports, including in developing countries.
  • The CTA also discussed with ACI shared goals of advancing accessibility internationally. At this discussion, ACI expressed strong support for the CTA's efforts to raise the profile of accessibility at ICAO
• OECD Network of Economic Regulators (NER)
  • The CTA is part of the Network, and regularly participates in ongoing discussions with the NER to share experiences, solutions and best practices.
• Mexican Rail Regulatory Agency/ Agencia Reguladora del Transporte Forroviario de Mexico (the “ARTF”):
  • A Memorandum of Understanding to promote information sharing and collaboration between the CTA and the ARTF was signed in February 2018, which facilitated ongoing working level discussions.
• U.S. Surface Transportation Safety Board (STB)
  • In July 2016, and the CTA and STB signed a memorandum of understanding on engagement and information sharing in December 2016.
• Ministry of transportation and Communications (MTC) of Peru:
  • At the working level, the CTA has been in discussions with MTC since early 2020. The goal is to deepen cooperation and information sharing with the MTC.

Analysis and Regulatory Affairs Directorate (ARAD)

Overview (ARAD)

The Analysis and Regulatory Affairs Directorate (ARAD) is responsible for research and analysis of the transportation system, its issues trends and risks. ARAD is also responsible for legislative review, and facilitating regulatory and legislative developments on behalf of the Canadian Transportation Agency (CTA). The Directorate also provides advisory and analytical services to other areas of the CTA.

Directorate Structure and Responsibilities

A/Senior Director: Caitlin Hurcomb, Caitlin.Hurcomb@otc-cta.gc.ca

The Directorate is comprised of four teams (17 FTEs/1 student/1 casual) with managers reporting to the Senior Director who has an administrative assistant.

The following provides a brief outline of the directorate's roles, key files, as well as the completed and ongoing initiatives.

Strategy and Analysis Team

Team Lead: David Dawson, David.Dawson@otc-cta.gc.ca (5 FTEs)

Roles (Strategy and Analysis Team):

• Conducts industry analysis through environmental scanning, intelligence gathering, and stakeholder engagement;
• Coordinates and advances horizontal program/policy initiatives across the CTA: including business strategy, intergovernmental affairs, Ministerial inquiries, Cabinet submissions, and requests from the Chair's office.

Key Files (Strategy and Analysis Team):

• Budget and supporting initiatives: The team works with internal and external stakeholders to prepare and advance budget-related proposals on behalf of the CTA. This includes liaising with Treasury Board Secretariat and Finance Canada to seek proposal requirements and timelines, and developing proposals according to these requirements.
• Periodic Review of Legislation: The team reviews legislation on an as-needed basis to identify issues and ensure the CTA is appropriately equipped to meet evolving needs of Canadians and the industry.
• Memorandum of Understanding and Agreements (MOUs, MOAs): The team is responsible for coordinating and leading various MOUs and MOAs on behalf of the CTA. For example, the CTA is currently working on amending a data sharing MOU with Transport Canada related to exchanging air passenger related data.
• Regulatory and Reporting Duties: The team is responsible for developing products to meet Treasury Board Secretariat Policies such as the Cabinet Direction on Regulations, and Regulatory Filing Requirements. The Team is also responsible for preparing corporate planning reports such as the Departmental Plan and the Departmental Results Report.
• Industry Trends Presentations: The Team works closely with the Rail and Air Economics Teams to develop industry trends presentations, which are presented to the Executive Committee, the Members, as well as at modal meetings.
• Building Environmental Scanning Repository: The Team is responsible for developing a scanning information database for the air and rail industry. This involves the ongoing collection and compiling of more detailed information to help the CTA stay informed of ongoing trends and issues in the industry, as well as to help identify issues impacting the CTA. This information feeds into the industry trends presentations, the annual report and briefing notes.

Major Initiatives in the last five years (Strategy and Analysis Team):

• CTA's Financial Assessment: An assessment of the CTA’s financial situation with the aim of providing valuable information to support budget decisions regarding resource requirements was conducted between April and August 2017. The genesis of the financial assessment was an exchange of correspondence between the Ministers of Transport and Finance in Fall 2016, which was prompted by a budget submission from the CTA. The assessment allowed for a comprehensive analysis of the Agency's financial situation; the identification of new savings options; the identification and validation of resource requirements, including those associated with new and anticipated legislation; the development of viable cost recovery options; and the identification of an additional measure to strengthen an already-robust set of financial oversight structures and procedures.
• Cost Recovery Report: The CTA, in partnership with Transport Canada (TC) and in consultation with central agencies (CA), prepared a report between August and December 2020 that provides a preliminary assessment of cost recovery (CR) approaches for the CTA. It was provided to the Minister of Transport (Minister) in support of meeting the conditions outlined in the May 2020 off-cycle budget decision. In summary, the report examined the various possible approaches to CR for the CTA. Specifically, transaction fees and regulatory charge regime. Consideration was also given to a combination of the two regimes, called a hybrid approach.

Ongoing Major Initiatives (Strategy and Analysis Team):

A majority of the team's work falls under ongoing initiatives:

• Memoranda of Understanding/Agreements (MOUs/MOAs): On an ongoing basis, the team coordinates and leads various MOUs/MOAs on behalf of the CTA. For example, the team is involved with MOUs/MOAs such as the Umbrella Memorandum of Understanding with Transport Canada which expands upon cooperation and communications in areas of mutual interest between Transport Canada and the CTA. The team is also involved with coordinating meetings, and engaging with partners such as the Mexican Rail Regulatory Agency (ARTF) to carry-out commitments as per the signed MOU with the ARTF.
• Initial Assessment of the CTA's Alternative Dispute Resolution Program: The CTA is in the process of hiring a contractor to assist in understanding the functioning of its alternative dispute resolution program (ADR) for air complaints. This is to be done by conducting an initial assessment of the informal services of the program (i.e., facilitation and mediation) and associated processes and technologies used by the CTA to deliver its complaint-handling services to Canadians. The results of the initial assessment would inform the CTA of industry best practices and identify potential improvements to processes and technologies for the ADR program. This work will be used to support future budget requests and/or towards informing any future progress related to potential cost recovery at the CTA. The team is responsible for coordinating the contract required to conduct this initial assessment (i.e. preparing the statement of work, and liaising with the contractor to ensure expectations are met).
• Identification and Costing of Activities/Services Administered by the CTA: the CTA is in the process of hiring a contractor to help understand the costs it incurs in administering all of its activities/services except those related to the facilitation and mediation of air travel complaints (i.e. ADR program). This is to be done by identifying all of the activities/services the CTA administers and establishing corresponding profiles and frameworks. This will be followed by the development of cost estimates for all the activities/services except those related to the ADR program. This work will be used to support future budget requests and/or towards informing any future progress related to potential cost recovery at the CTA. The team is responsible for coordinating the contract required to conduct this work (i.e. preparing the statement of work, and liaising with the contractor to ensure expectations are met).
• Corporate Planning: On a regular basis, the team works with other areas of the CTA to prepare corporate planning documents as per Treasury Board Secretariat requirements, such as the Departmental Results Report, and the Departmental Plan. In addition, the team also works closely with the Communications Directorate to prepare the CTA's annual report to meet reporting requirements under the Canada Transportation Act.
• Finance/Budget Related Proposals and Reporting: The team works with the CTA's Internal Services Branch to prepare and advance budgetary proposals to Finance Canada. The team also prepares Treasury Board Submissions to access funding allocated to the CTA. This ongoing initiative also includes liaising with Central Agencies to seek timelines, submitting proposals as per those timelines, and responding to any follow-up questions.
• TBS Regulatory Requirements: The team prepares and updates materials in order to meet Treasury Board Secretariat reporting requirements. For example, the team updates, on a quarterly basis, the Forward Regulatory plan which is intended to help Canadians, including business, Indigenous peoples and trading partners plan for opportunities to provide feedback during the regulatory development and future regulatory changes. The Team also prepares input to Transport Canada's Transportation Sector Regulatory Review Roadmap to ensure the CTA's regulatory initiatives are reflected accurately.

Short-term, Medium-term and Long-term Decision Points (Strategy and Analysis Team):

• Strategic Approach to Budget Proposal for FY 2022-23 (medium-term): Approval of strategic approach to proposal for increased funding for the CTA to be advanced for inclusion in the Budget 2022 process.

Regulatory Affairs Team

Team Lead: Caitlin Hurcomb, Caitlin.Hurcomb@otc-cta.gc.ca (3 FTEs)

Roles (Regulatory Affairs Team):

• Leads the regulatory development process on behalf of the CTA (except for accessibility-related regulations);
• Policy lead on regulations related to air passenger protection;
• Responsible for the guidance renewal project; and,
• Responsible for Indigenous consultation when a CTA decision or authorization triggers the duty to consult.

Key Files (Regulatory Affairs Team):

• CTA's Guidance Renewal Project: The team leads the CTA's guidance renewal project, which was announced in June 2019. The goal of this project is to ensure all guidance documents are are accurate, accessible to persons with disabilities, and drafted with a consistent approach based on plain language. In addition, the project aims to identify and fill any gaps in the guidance, reduce the number of guidance documents, as appropriate.
• Regulatory Development and Consultations: The team is responsible for leading regulatory developments on behalf of the CTA. For example, the Team is currently working to develop regulations amending the Air Passenger Protection Regulations to establish an obligation for airlines to provide a refund when there is a flight cancellation, or a lengthy delay, for reasons outside of the airline's control and the airline cannot complete the passenger's itinerary within a reasonable time. In addition to developing the regulations, the team also consults various stakeholders, and the public to seek input.

Major Initiatives in the last five years (Regulatory Affairs Team):

• Regulatory Modernization Initiative: In 2019–2020, the CTA completed the Regulatory Modernization Initiative (RMI), which was launched in 2016 to ensure that the full suite of the CTA's regulations keeps pace with evolving business models, user expectations and best practices in the regulatory field. The RMI consisted of four different components: accessible transportation, air transportation, consumer protection for air passengers, and rail transportation. The initiative resulted in the creation of two new regulations: the Accessible Transportation for Persons with Disabilities Regulations and the Air Passenger Protection Regulations, as well as a number of updates to the Air Transportation Regulations and rail-related regulations. The Regulatory Affairs team coordinated the regulatory development and was the policy lead on the Air Passenger Protection Regulations.

Ongoing Major Initiatives (Regulatory Affairs Team):

• Guidance Renewal Project: Launched in summer 2019, the aim of the Guidance Renewal Project is to review all CTA guidance material for stakeholders and the public and to: ensure they are consistent with current legislative and regulatory provisions, and jurisprudence; identify and fill any gaps in guidance; streamlining the number of guides, where appropriate; write all guidance documents in a succinct manner and using plain language, without sacrificing any important content; and ensure the accessibility of guidance material to persons with disabilities.
• New Airline Refund Regulation: On December 18, 2020, the Minister of Transport gave the CTA the authority, through a Ministerial Direction, to make a regulation establishing an obligation for airlines to provide a refund when there is a flight cancellation, or a lengthy delay, for reasons outside of the airline’s control and the airline cannot complete the passenger’s itinerary within a reasonable time. This will address a gap in the passenger protection framework highlighted by the mass flight cancellations due to the COVID-19 pandemic. Public consultations on this new requirement were held from December 21, 2020 to March 1, 2021. The aim is to pre-publish the draft regulations in summer 2021.

Short-term, Medium-term and Long-term Decision Points (Regulatory Affairs Team):

• New Airline Refund Regulation (short-term): Approval of draft and final regulations. This will involve policy discussions with staff and Members, and potentially with Transport Canada's DM and the Minister of Transport.

Rail Economics Team

Team Lead: Ryan Dallaway, Ryan.Dallaway@otc-cta.gc.ca (5 FTEs)

Roles (Rail Economics Team):

• Conducts annual rail cost determinations;
• Conducts data and statistical analysis with respect to the Canadian Rail Industry (e.g. trend analysis, market share analysis);
• Provides analytical support to other branches and directorates;
• Assists other areas of the CTA with investigations, determinations and disputes; and,
• Engages in targeted consultations and outreach and assists with guidance renewal material for issues related to rail.

Key Files (Rail Economics Team):

• Annual interswitching determinations: Interswitching is part of the competitive access provisions that gives some shippers access to the services of railway companies that do not directly serve their facilities or sidings. The interswitching provisions require that these services be done at a prescribed rate. The team is responsible for calculating and publishing such rate. The Transportation Modernization Act (TMA) requires the CTA to: determine the interswitching rates no later than December 1 of every year; publish the method that it followed for determining the rate; and, requires the railway companies to provide to the CTA, the information or documents that the it requires to exercise its powers or perform its duties or functions under the interswitching provisions. On an annual basis, the team is responsible for liaising with railway companies to conduct site visits, seek proper documentation, and calculate annual interswitching rates. The team is also responsible for publishing the rates and methodology used to calculate such rates.
• Annual determinations for Cost of Capital: Cost of capital is an estimate of the total return on net investment that is required by debt holders and shareholders, so that debt costs can be paid and equity investors can be provided with a return on investment consistent with the risks assumed for the period under consideration. On an annual basis, the team is responsible for determining unique cost of capital rates for three different purposes: to support other calculations required to regulate the transportation of Western grain (e.g., the Maximum Revenue Entitlements); to support other calculations required for regulated interswitching; and, for other regulatory purposes requiring costing determinations (such as final offer arbitration). In addition, the team is also responsible for conducting consultations with the industry in such case where the methodology for calculating the cost of capital is amended.
• Annual calculation the Volume-related Composite Price Indices (VRCPI): The VRCPI is an inflation factor. It reflects a composite of the forecasted prices for railway labour, fuel, material and capital purchases. As part of the process of determining the annual VRCPI, the team examines and verifies detailed railway submissions. The team is responsible for the annual calculation of labour, fuel and material price indices for cost analysis to determine the annual VRCPI.
• Coordinating stakeholder outreach and consultations with rail stakeholders on a range of topics, and issues: At the broader level, the team is responsible for reaching out to, and consulting with stakeholders for rail-related issues, such as annual calculations and determinations for which the CTA is responsible. The team also meets regularly with rail stakeholders to conduct site visits, and discuss rail-related concerns that fall under the purview of the CTA.

Major Initiatives in the last five years (Rail Economics Team):

• Regulatory Modernization Initiative – Rail Updates: Between May 2016 and July 10, 2019, the team completed the update of the Rail Interswitching Regulations to ensure these align with the changes made under legislation. This includes drafting required amendments to the regulations, consulting with stakeholders, amending the regulations as necessary, and finalizing the regulations.
• Review of the CTA's interswitching methodology: Between 2018 and 2020, the team completed a review of the CTA's interswitching methodology to ensure it is fair, and reflective of market realties. The CTA's review of the regulated interswitching rate methodology included the potential for changes to the Railway Interswitching Regulations (Interswitching Regulations). This major initiative was completed in 2020.
• Review of Cost of Equity Models: In 2019, the team completed a review of CTA's methodology for determining a railway company's cost of equity, a component of the determination of cost of capital determinations which are made annually for CN and CP. The review led to minor changes to some of the technical details, but reaffirmed the overall approach using the Capital Asset Pricing Model.
• Updating of railway variability analysis for costing analysis: As part of the costing procedures used in assessing railway costs for Interswitching and other costing determinations, one important consideration is how railway input costs are impacted by in railway service activities. This relationship is described as a rail cost variability and is determined for the various cost accounts used in filing rail costs. Staff is required to gather and analyze detailed, disaggregated cost data in performing this function. The process is on-going and evergreen, and as such does not have discreet start and end dates, but it is anticipated that this round of review will be conclude in fiscal year 2021-22.

Ongoing Major Initiatives (Rail Economics Team):

• Consultation on Capital Structure: The capital structure refers to the combination of the various sources of capital used to finance the net rail investment. Each year, Canadian National Railway (CN) and Canadian Pacific Railway (CP) submit their capital structures, based on book values from their most recent year's preliminary annual report schedules that are to be filed with Transport Canada, with certain CTA-approved adjustments. These submissions are reviewed by the team and are adjusted or approved for use in the determination of the cost of capital rates. In September 2020, the team launched a consultation on capital structure to allow consideration for the multiple and complex issues surrounding CN and CP's trans-border operations, and its impacts on the financial structure of the regulated Canadian rail entity. A second round of consultation is currently being developed, and will be launched by mid-June. This will help inform Members on the nature of long-term corporate (or General Purpose) debt issued by CN and CP, often through their parent corporations. A CTA decision will be issued by the Annual Determinations Panel, setting a standard approach to the assessment for CN and CP. Once set, the team will be required to work with the railways to ensure proper implementation, and to develop a clear process for annual assessment of compliance.

Short-term, Medium-term and Long-term Decision Points (Rail Economics Team): N/A

Regulatory and Data Analysis Team

Team Lead: Rakesh Manhas, Rakesh.Manhas@otc-cta.gc.ca (4 FTEs)

Roles (Regulatory and Data Analysis Team):

• Conducts all cost-benefit analysis required by the CTA for regulatory packages;
• Conducts data and statistical analysis with respect to the Canadian Air Industry (e.g. trend analysis, market share analysis); and,
• Provides analytical support to other branches and directorates.

Key Files (Regulatory and Data Analysis Team):

• Ongoing Cost Benefit Analysis for the CTA's Regulatory Packages: In November 1999, the Government of Canada instituted the policy that a cost-benefit analysis must be carried out for all significant regulatory proposals to assess their potential impacts on the environment, workers, businesses, consumers, and other sectors of society. Regulatory authorities must demonstrate not only that the benefits to Canadians outweigh the costs, but also that they have structured the regulatory program so that the excess of benefits over costs is maximized. The team regularly conducts cost benefit analysis on behalf of the CTA to meet this requirement.
• Air Industry Data Dashboard: Beginning in the Spring/Summer 2021, the team will be developing a database which will contain useful air industry related data from across several sources. This dashboard will enable other areas of the CTA access information more readily, and allow the CTA to keep updated on a wide range of air related issues. The dashboard will also support the Chair in keeping aware in preparation for meetings with any stakeholders.

Major Initiatives in the last five years (Regulatory and Data Analysis Team):

• Cost Benefit Analysis – Accessible Transportation for Persons with Disabilities Regulations (ATPDR): In 2018-19, the team completed the cost benefit analysis required to advance the ATPDR. This includes estimating the costs and benefits of the proposed ATPDR on Canadian Transportation Service Providers, and on persons with disabilities. This is a requirement of the Regulatory Impact Analysis Statement. On June 25, 2019, the ATPDR was published in Canada Gazette II.
• Cost Benefit Analysis – Air Passenger Protection Regulations (APPR): In 2019, the team completed the cost benefit analysis required to advance the APPR. This includes estimating the costs and benefits of the proposed APPR on Canadian airlines, and on Canadian air passengers. This is a requirement of the Regulatory Impact Analysis Statement. On December 15, 2019, the APPR was published in Canada Gazette II.

Ongoing Major Initiatives (Regulatory and Data Analysis Team):

• Cost Benefit Analysis – New Airline Refund Regulation: The team is working on the cost benefit analysis required for the proposed amendments to the APPR to require airlines to provide refunds to passengers for cancellations and long delays outside their control on Canadian airlines, and Canadian passengers. This initiative was launched immediately following the Minister of Transport's announcement in late December 2020. The proposed amendments will be pre-published in Canada Gazette I, which will be followed by a consultation phase. Changes will be required to the Cost Benefit Analysis should the proposed regulations be adjusted following the consultation.
• Cost Benefit Analysis - Accessible Transportation Planning and Reporting Regulations (ATPRR): The team is working on the cost benefit analysis required for the proposed ATPRR on Canadian Transportation Service Providers and on persons with disabilities. This initiative started in 2020, and is currently ongoing. The proposed regulations have been published in Canada Gazette I, and are currently in the consultation stage. Following the consultation period, changes will be required to the Cost Benefit Analysis in accordance with changes made to the proposed regulations.
• Data Dashboard: Beginning in Spring/Summer 2021, the team will be developing a central internal database, which will contain useful air industry data from across several sources (see description above).

Short-term, Medium-term and Long-term Decision Points (Regulatory and Data Analysis Team): N/A

Center of Expertise on Accessible Transportation Directorate (CEAT)

Overview (CEAT)

The Center of Expertise on Accessible Transportation (CEAT) supports the Canadian Transportation Agency's (CTA) mandate of protecting the fundamental human right of persons with disabilities to accessible transportation services by creating regulations and guidelines for accessibility, and by supporting, as subject matter experts, the adjudication of individual complaints related to accessibility. In addition, CEAT engages with its Accessibility Advisory Committee, made up of representatives from the community of persons with disabilities, the transportation industry and other interested parties, to seek advice on accessibility issues. CEAT also liaises with other department/agencies to discuss accessibility issues, and advance common policies on accessibility.

Directorate Structure and Responsibilities (CEAT):

Director: Sonia Gangopadhyay, Sonia.Gangopadhyay@otc-cta.gc.ca

The Directorate is comprised of two teams: the outreach, research and analysis team (4 FTEs), and the Regulatory Development and Data Analysis Team (5 FTEs). Each team is headed by a manager who both report to the Director, who also has an office, comprised of 2 senior advisors and one administrative assistant (4 FTEs (including the Director)).

The following provides a brief outline of the directorate's roles, key files, as well as completed and ongoing initiatives.

Director's Office:

Roles (Director's Office):

• Provides advice to the director, AOB Chief Strategy Officer and the Executive Committee on specific issues related to disabilities;
• Responsible for innovative projects related to accessibility; and,
• Supports development of policy related to accessibility of the transportation system.

Outreach, research and analysis

Manager: Susan Clarke, Susan.Clarke@otc-cta.gc.ca (4 FTEs)

Roles (Outreach, research and analysis):

• Conducting consultations, outreach, research and analysis to enhance the accessibility of the federal transportation system – these activities inform the development of related accessibility standards and guidelines;
• Providing advice to other areas of the CTA with specific functions related to accessible transportation (e.g. dispute resolution, tariffs, compliance monitoring, etc.);
• Serves as the subject matter expert on regulatory matters pertaining to accessible transportation (ATPDR, ATPRR, PTR, Part VII of the ATR) and for voluntary codes of practice, including providing advice on accessible transportation to the CTA Chair and Members.

Key Files (Outreach, research and analysis):

• Development of policy products: In conjunction with the Communications Directorate, the team is responsible for developing communication products related to accessible transportation on behalf of the CTA. This includes developing guidance material, on all accessibility-related regulations of the CTA to support the stakeholders and the public in their understanding of the provisions of the regulations. In addition, the team is also responsible for developing a wide-variety of policy products related to the accessibility mandate of the CTA. For example, the team is responsible for developing the policy regarding the CTA's Participant Funding Program, whereby funding is provided to participants of accessibility-related hearings to ensure there are no barriers to recourse provided by the CTA.
• Communication and activities with the CTA's Accessibility Advisory Committee (AAC): The CTA's AAC provides advice on accessibility issues, and is made up of representatives from the community of persons with disabilities, the transportation industry, as well as other parties. Usually, the committee meets on an annual basis, however, additional meetings are scheduled on an ad-hoc basis. The team is responsible for coordinating ongoing AAC meetings to ensure the CTA is continuously discussing accessibility issues with the stakeholders that belong to the AAC. In addition, the team is also responsible for communicating with members of the AAC and responding to any questions they may have regarding the CTA's accessibility initiatives, as well as seeking feedback and input from members as required.
• Providing Accessibility expertise to the CTA: Other areas of the CTA turn to the team on a regular basis to provide accessibility expertise in order to help these other areas advance their activities. For example, the team participates in compliance inspections to provide subject matter expertise and performs outreach with industry stakeholders to ensure the industry is complying with all their legal obligations. In addition, the team provides expert advice to enforcement officers and compliance analysts on any issues related to the application or the interpretation of policy guidelines and regulations.
• International collaboration: The team is also responsible for engaging with international stakeholders to discuss and share innovative ideas regarding accessibility. For example, between 2012 and 13, the team led an international working group to update the Standards and Recommendation Practices related to accessible transportation found in Annex 9 of the Convention on International Civil Aviation and to develop an accompanying manual. Then, following Canada’s presentation of a Working Paper regarding the advancement of accessibility in aviation at the September 2019 ICAO Facilitation Panel (FALP) meeting, the FALP supported the paper and suggested that a compendium on the laws and regulations of Member States be developed to include baseline information on best practices and potential gaps. A State letter and survey has been developed by a working group led by CTA staff to gather this information.

Regulatory Development and Data Analysis

Manager: Shafi Askari, Shafi.Askari@otc-cta.gc.ca (5 FTEs)

Roles (Regulatory Development and Data Analysis):

• Leads the review and development of regulations related to the accessibility of the transportation system;
• As part of the regulatory process, consults with representatives of persons with disabilities, the industry, as well as the Canadian public;
• Participates on interdepartmental committees, task forces and working groups and provides transportation and accessibility policy advice; and,
• Collaborates with federal organizations to collect and analyze data related to accessibility.

Key Files (Regulatory Development and Data Analysis):

• Development of all Accessibility-related regulations: On an ongoing basis, the team leads the regulatory development pertaining to accessible transportation. This includes leading the development of triage, regulatory impact analysis statements (RIAS), drafting instructions and preparation of regulatory packages for the Treasury Board Secretariat, Canada Gazette I and Canada Gazette II, as well as preparation of required cabinet documents and Treasury Board submissions.
• Socio-economic Studies and Initiatives on Accessible Transportation: The team is responsible for working collaboratively with the Analysis and Regulatory Affairs Directorate, Employment and Social Development Canada (ESDC), as well as Statistics Canada to undertake socio-economic studies and projects relevant to accessible transportation, and ensure initiatives are aligned, were feasible. For example, as ESDC is developing accessible regulations for entities in respect of matters under their jurisdiction, the team is working closely with them to ensure accessibility initiatives of the CTA align with those being advanced by ESDC.

CEAT - Major Initiatives in the last five years:

• Mobility Aids and Air Travel: In 2018, the CTA created an international working group to develop recommendations for future action related to issues around the safe storage and transportation of mobility aids. Working group members included airlines and their trade associations, aircraft manufacturers, mobility aid manufacturers, disability rights organizations, regulators, ground handlers and other interested stakeholders. The forum served as a catalyst for follow up dialogue and innovation, resulting in a final report and recommendations which were published in 2019. The CTA, together with Transport Canada and the National Research Council completed in-depth research and analysis of securement and containment of mobility aids in the cargo compartment with a view towards reducing the number of mobility aids damaged during transport.
• Accessibility during COVID-19: Measures to mitigate the spread of COVID-19 – such as masks and physical distancing – can create barriers to accessible transportation in the federal transportation network. To respond to the impact on accessible transportation, the CTA published tips for transportation service providers and persons with disabilities during these challenging times. In addition, the CTA worked in collaboration with the National Research Council and Transport Canada to develop and publish additional guidance on this topic. The guidance, called Best Practices for Accessible Travel in the Context of COVID-19 , was developed from a review of COVID-19 transportation practices and interviews with persons with disabilities and transportation service providers. It covers best practices in areas such as physical distancing and navigation; mask use; sanitization and hand washing; and communicating information.
• Coming into Force of the ATPDR: Most provisions of the Accessible Transportation for Persons with Disabilities Regulations (ATPDR) came into force on June 25, 2020. One of the CTA's core mandates is to protect fundamental right of persons with disabilities to accessible transportation services. The ATPDR helps to do this by providing a set of clear, consistent accessibility requirements for all types of federally-regulated transportation. The ATPDR applies to all modes of transport under the CTA's jurisdiction – air, and interprovincial and international passenger rail, bus, and ferry – as well as security and border screening. With the coming into force of the ATPDR, the CTA published a wide range of guides available in accessible formats – including in ASL/LSQ – to make sure passengers know their rights and transportation service providers understand their responsibilities.

CEAT - Ongoing Major Initiatives include:

• Safe Securement and Containment of Mobility Aids During Transport: In 2021, following on the recommendations set out in the Mobility Aids and Air Travel Final Report, the CTA, together with Transport Canada and the National Research Council completed in-depth research and analysis of securement and containment of mobility aids in the cargo compartment with a view towards reducing the number of mobility aids damaged during transport. The work includes a literature review, interviews with stakeholders, and an on-site task analysis at the Ottawa Airport, an analysis of cargo door sizes in aircraft due to variability in reporting, and analysis of a novel cargo containment system. A final report will be produced which will include recommendations for best practices and process improvements. Additional deliverables include the development of a prototype on-line tool, tested by end-users, to find cargo door information for aircraft, and a presentation and report specific to the novel cargo containment system being investigated by the National Research Council (NRC). The project is anticipated to be complete in April 2021.
• Temporary Delays to the ATPDR: On June 25, 2020, most of the ATPDR provisions - over 200 - came into force. Due to the severe disruptions to the transportation sector caused by COVID-19, a handful of more technically or operationally complex provisions were delayed, by order of the CTA with the approval of the Governor in Council, until December 31, 2020.
  • Since the order was issued, transportation service providers have filed additional requests to the CTA for temporary exemptions from certain ATPDR requirements. The submissions were posted online and the disability community, members of the public, and other interested stakeholders had an opportunity to provide comments.
  • CEAT staff have established a working group to discuss aspects of the exemption requests, including facilitating a better understanding of the regulatory requirements, discussing potential strategies for implementation of and adherence to these requirements given the current challenges posed by COVID-19, and exploring measures that could meet the outcomes and intentions of those required by the regulations. The Panel assigned to make a determination regarding the requests may consider the transcript of the working group meetings and will make their decision regarding the requests in due course.
• Request to exempt certain carriers from s. 62 of the Accessible Transportation for Persons with Disabilities Regulations: The CTA has received a request from the National Airlines Council of Canada and Airlines for America to exempt its member carriers from s. 62 of the ATPDR, which requires carriers to advise a person with a disability who uses a mobility aid when travelling, about the option to make a special declaration of interest. This declaration sets out the monetary value of the mobility aid and a description of its identifying features. A Panel has been established in respect of this request. Members of the disability community, the public, and other interested stakeholders had an opportunity to comment.
• ATPDR Phase II - Consultation on Accessible Transportation Guidelines for Medium and Small Transportation Service Providers: The ATPDR represents an important milestone in accessible transportation. However, there is more work to be done to protect the rights of persons with disabilities to an accessible transportation network. The CTA held consultations from December 3, 2019 to February 28, 2020 to seek input on three key outstanding issues of the ATPDR: the One Person, One Fare (1p1f) requirement for international travel and for small TSPs; the carriage of emotional support animals (ESAs) in travel; and, how the ATPDR should apply to small transportation service providers.
  • The input received during consultations did not lead to a clear regulatory option for ESAs and 1p1f. As such, CEAT is continuing to examine options and addressing individual ESA-related complaints filed with the CTA on a case-by-case basis.
  • CEAT's consultations also showed that further discussions are required regarding the application of the ATPDR that reflects the unique operating environment of smaller transportation service providers, including those in Canada's north. As such, the CTA held consultations on guidelines for small and medium transportation service providers from December 2, 2020 to March 31, 2021. The input sought will be used to finalize guidelines for these transportation service providers to help them meet their human rights obligations.
• Accessible Transportation Planning and Reporting Regulations: The CTA has also moved forward with the proposed Accessible Transportation Planning and Reporting Regulations (ATPRR). These regulations will implement accessible planning and reporting obligations under the Accessible Canada Act (ACA) for transportation service providers. These include requirements to develop and publish an accessibility plan for achieving barrier-free operations, establish a process to receive feedback regarding the implementation of the accessibility plan and remove any barriers in operations, and prepare and publish progress reports on the implementation of their plan. Under the ACA, ESDC is developing parallel regulations for entities in respect of matters under their jurisdiction. The CTA has worked closely with ESDC to align planning and reporting requirements, to the extent feasible, including timelines for implementation. The CTA will continue working, in lockstep with ESDC, towards the goal of publishing final regulations in fall 2021.
• No Wrong Door Policy: The ACA mandates the CTA, Canadian Radio-television and Telecommunications Commission, Canadian Human Rights Commission, Federal Public Sector Labour Relations and Employment Board and Accessibility Commissioner (a new position) to work together on a "No Wrong Door" approach to make sure accessibility-related complaints are promptly and seamlessly referred to the right agency. These organizations, together with the Canadian Human Rights Tribunal, established a Council of Federal Accessibility Agencies in August 2019. Among its roles, the Council will engage stakeholders to ensure that the voices of persons with disabilities and others inform its work.
• Special Service Request Code Project: The CTA is starting a new project with the NRC, with the active involvement of IATA, to help improve international air travel experience for persons with disabilities. CEAT's work will focus on Special Service Requests (SSR) codes, which are used to relay information between airlines and also from airlines to airports. The NRC research will provide a better understanding of how the SSR codes are communicated and implemented, and, potentially, identify areas for future improvement.

Communications Directorate

Overview (Communications Directorate)

The Communications Directorate provides timely, objective, strategic communications advice and delivers well-planned outreach activities to support the CTA, its management and staff in the fulfillment of the CTA's three core mandates.

Directorate Structure and Responsibilities (Communications Directorate)

A/Director: Vincent Turgeon, Vincent.Turgeon@otc-cta.gc.ca and Cynthia Jolly, Cynthia.Jolly@otc-cta.gc.ca

The Director's position is currently vacant; however, the Assistant Director and the Manager are currently acting on a rotational basis. The Directorate has a total of 12 FTEs and 5 casual positions, and is comprised of two teams, one of which reports to the Assistant Director, and the other reports to the Communications manager.

The following provides a brief outline of the directorate's roles, key files, as well as completed and ongoing initiatives.

Director's Office (Communications Directorate):

Roles (Director's Office):

• Ensures alignment with the Government of Canada Policy on Communications and Federal Identity and the Directive on the Management of Communications;
• Publishes information in accordance with Official Languages Act and considers the needs of official language minority communities in Canada including sign language;
• Leverages a variety of media and platforms to maximize reach, and seeks innovative ways to use technology (Directive on Service and Digital);
• Creates digital platforms that meet the requirements of the Standard on Web Accessibility and publishing of information on request that is substantially equal for people with disabilities; and,
• Provides oversight on the procurement for designated communications commodities.

Issues and Media Management (Communications Directorate)

Assistant Director, Vincent Turgeon, Vincent.Turgeon@otc-cta.gc.ca ( 4 FTEs/3 casuals)

Roles (Issues and Media Management):

• provides external communications advice, planning and issues management in alignment with policy directions;
• plans and coordinate public opinion research;
• manages media monitoring and public inquiries; and,
• manages and coordinate speeches for senior officials.

Key Files (Issues and Media Management):

• Air, Accessibility and Public Opinion Research Portfolio: As per TBS policies, the team used to contract out public opinion research until 2015-2016. The Agency has since changed how it does client satisfaction surveying (CSS), moving away from the one-time annual survey to a more dynamic, on-going "feedback" collection mechanism done using Simple Survey, which is summarized the CSS annual report.
• Rail, Consultations and Annual Report Portfolio: The team works with internal and external stakeholders to prepare web content to support consultations when those occur. The team posts information on our website, in addition to the Open Government Consultations Registry, administered by the Privy Council Office. In 2021, as per new transparency requirements stemming from the US-Canada-Mexico trade framework, the CTA will begin posting consultations (Canada Gazette items) on an additional registry, the Online Regulatory Consultation System, that is administered by Treasury Board Secretariat. In addition, the team works with internal stakeholders to ensure the final version of the CTA's Annual Report is submitted to the Minister of Transport by the third week of May, for information. Following this step, and working in collaboration with TBS, it then gets transmitted to GiC, before being tabled in Parliament by TC Minister.
• Media Monitoring and Social Media: Through the use of procured media monitoring tools, the team offers media and social media (Twitter) monitoring on an ongoing basis to equip CTA employees with timely information reflecting the media coverage about the CTA and the entities\business sectors it regulates. Traditional media monitoring is offered daily in two packages (around 9AM and 3PM), whereas social media is monitored on an ongoing basis, for information and to answer questions from the public. Metrics about those functions are found in the quarterly report produced by the Communications unit.
• Public Inquiries: The team works with internal and external stakeholders to answer queries received from the public. It does in two ways: it responds to queries received by way of an email address (info@otc-cta.gc.ca). The latest estimate of queries answered for 2020-21 is close to 4,800. In addition, the CTA also contracts out call centre capacity (via ESDC) to answer about 10,000 calls\year. To do so, the team regularly updates information sheets to be used by ESDC call centre agents.

Major Initiatives in the last five years (Issues and Media Management):

• 2020-21 CTA COVID-19 Response: In October 2020, the Team developed a public page called "How the CTA is Adapting to Unprecedented and Challenging Times". This page was helpful in providing the public with information on how the CTA has adapted to working from home arrangements, as well as how it continues to process air travel complaints despite challenges surrounding working from home arrangements. It also provided the public with information regarding the CTA's air travel complaints volumes, highlighting that the organization has experienced a 23-fold growth in volumes over the last five years.
• 2020 Inquiry into complaints regarding reasons for flight delays or cancellations: In February 2020, the CTA opened an inquiry into complaints from air passengers alleging that airlines were not accurately communicating the reasons for flight delays or cancellations. The inquiry focuses on 567 complaints involving flights operated by Air Canada, WestJet, Sunwing, Air Transat, Swoop and United Airlines. The team developed a page that provides the public with information on the CTA's inquiry; the page also provides a link to all related news releases, and included links to all of the CTA's related orders and decisions. The page also includes a section on the respondents' submission, allowing for ease of reference.
• 2019 Vancouver Freight Rail Investigation: In January 2019, the CTA initiated an investigation into possible freight rail service issues in the Vancouver area. The team developed a page that includes background information on the investigation, as well as all related orders and decisions by the CTA. The Team also uploaded, and included links to all of the oral hearings conducted during the investigation, as well as all the submissions and news releases relevant to the investigation.
• 2018 Sunwing Flight Incidents: In 2018, the CTA held an inquiry on Sunwing international flights that flew to or from the Toronto Pearson Airport or the Montreal Pierre Elliot Trudeau International airport. The inquiry's focus is on whether Sunwing treated its passengers in a manner consistent with its terms and conditions of carriage for international flights and whether those terms and conditions are reasonable. The Team developed a webpage that included a list of all of the flight numbers that were implicated in the incidents. The webpage also included a Q/A portion to respond to the most commonly raised questions by the public. In addition, the webpage included a reference materials section which included all of the relevant decisions and determinations, as well as any related news releases by the CTA on this matter.
• 2017 Air Transat Tarmac Delay: In August 2017, the CTA held public hearings into the tarmac delay incidents involving two Air Transat flights on July 31 2017. In this proceeding, the CTA considered whether or not Air Transat properly applied its tariff during the incidents, and whether Air Transat's applicable tariff provisions are reasonable. The team developed a page that includes background information on the inquiry, as well as all related reports, decisions and determinations by the CTA. The Team also uploaded, and included links to all of the oral hearings conducted during the investigation, as well as all the submissions and news releases relevant to the investigation.

Ongoing Major Initiatives include (Issues and Media Management):

A significant portion of the team's responsibilities are ongoing, a few examples have been listed below.

• Monitor, tracking and reporting on issues arising in the media (daily detect and correct exercise): On an ongoing basis, the team monitors, tracks and reports on issues identified in the media. This includes reviewing media sources on a daily basis, and compiling those that are related to the CTA's mandate. Once compiled, the team sends media monitoring articles to all employees of the CTA to summarize any relevant articles for the day. The team is also responsible for correcting any inaccurate media articles.
• Maintaining relationships with external media outlets: On an ongoing basis, the team maintains relationships with journalists, responds to media inquiries and proactively reaches out to journalists to promote the CTA's activities and plan media events. This is important as it supports the CTA in its outreach activities, and increases awareness and visibility of the CTA's services and work.
• Monitoring and reporting on parliamentary affairs: On an ongoing basis, the team is also responsible for monitoring and reporting on parliamentary affairs in order to identify any issues related to the CTA's mandate. This staying tuned with Question Period, and House of Commons and Senate sittings to ensure that any transportation related issues are flagged to relevant parts of the CTA; the team also includes a summary of this matter in the daily media monitoring articles that are widely distributed to the CTA's employees. In addition, the team also works with other areas of the CTA to coordinate responses to Order Paper Questions received by the CTA.
• Developing and Publishing the Annual Report: As required by the Canada Transportation Act, the CTA is to develop an annual report including the activities of the CTA for each fiscal year. Beginning in January, the team works with internal stakeholders to draft and review the CTA's annual report which details the evolving work of the CTA and the entities it regulates. Once final, the team works with Transport Canada (Crown Corporation and Portfolio Governance directorate) to ensure it is submitted to the Minister of Transport by the third week of May, for information. Then, working in collaboration with TBS and TC, it then gets transmitted to Governor in Council, before being tabled in Parliament by the Minister of Transport.

Outreach and Corporate Communications

Communications Manager: Cynthia Jolly, Cynthia.Jolly@otc-cta.gc.ca ( 6 FTEs/2 casuals)

Roles (Outreach and Corporate Communications):

• provides accessible communications advice and engagement activities support in alignment with policy directions;
• plans and implements proactive communications, outreach and promotional campaigns and advertising across all media and platforms;
• manages the Agency's website, publications and corporate videos; and,
• manages internal communications and employee engagement activities.

Key Files (Outreach and Corporate Communications):

• Web Renewal Project: The team is working on a two year project to upgrade design features to improve accessibility (which has improved 30% since 2019). In 2021/22 the team is focused on content review of 4,000 web pages. This includes upgrades to the rulings database which contains all Agency public Decisions, Determinations, Orders and certain Interim Decisions since 1988 (35,000+ cases).
• Web Publishing and virtual engagement: The team plans, manages and maintains the CTA's website. The CTA is required to follow the Government of Canada’s Standard on Web Accessibility. This standard reflects the World Wide Web Consortium (W3C) Web Content Accessibility Guidelines (WCAG) 2.0. The team also explores digital opportunities to innovate and improve accessible communications.
• Accessible design and web publishing: The team manages the Agency's brand and develops visual identities for programs/services and produces publications in accessible formats (print, video and digital display). We also provide advice and support to internal clients including plain language writing.
• Public outreach/stakeholder engagement: The team supports public outreach through the production of accessible content for social media (Twitter and YouTube) and paid digital advertising. We invest in digital ad campaigns to promote awareness of new regulations and dispute resolution services. In 2020/21 a Railway, Rail Shipper and Community Helpline an ad campaign ran to promote awareness to shippers and producers. "Know your rights" digital ad campaigns for APPR and ATDPR regulations are planned to resume when travel restrictions are lifted. We also support public outreach events/conferences and internal stakeholder consultations by organizing accessible, interactive virtual conferences.
• Internal communications and change management: The team provides internal communication advice to Executive committee and supports the Chair's office for all-staff events and employee engagement activities. We produce and curate content for the Agency's Intranet site (Hub), digital platforms (Yammer, video, digital signage). We advocate for the production and support accessible content for staff as per TBS's Accessibility Strategy for the Public Service of Canada.

The team also provides change management advice and communications services for the relocation (to a new building) and workplace modernization project. The team develops communications plans and promotes: MS0365 digital tools, IM Paperless strategy, and My CTA/Hub content review and renewal.

Major Initiatives in the last five years (Outreach and Corporate Communications):

• 2021 Rail Help Line Campaign: In 2021, the CTA developed a Railway, Rail Shipper and Community help line where by help line staff are available Monday-Friday from 8 AM to 5 PM EST. The help line offers information and guidance on the CTA's dispute resolution services about level of service provided by railway companies to shippers; rail noise and vibration; and railway crossings. The help line is also available to provide information regarding shipper and community rights and obligations.
• Accessible Sample Air Tariff: A tariff sets out an individual air carrier’s fares, rates, charges and terms and conditions of carriage and constitutes the contract of carriage between the passenger and the carrier. Tariff provisions are enforceable by the Agency. In 2021, the team published a sample tariff, containing rules applicable to air services in Canada outside of Canada. The sample tariff assists air carriers in meeting their regulatory obligations, and simplifies the language used in tariffs to help readers find information.
• Accessible Transportation and Air Passenger Rights Microsites: The team is responsible for developing and uploading microsites to inform the public of new regulations incoming into force. For example, between 2019 to present, the team has published two microsites regarding the coming into force of two of the CTA's latest regulations – the Accessible Transportation for Persons with Disabilities Regulations as well as the Air Passenger Protection Regulations. These microsites provide a quick overview of the provisions in plain language, which helps to understand the new provisions coming into force.
• 2018 in-person air passenger protection consultations: In June and July 2018, the CTA conducted public in-person consultations across the country. The in-person and call-in sessions are part of the comprehensive consultation process that the CTA launched in May 2018. The Team was responsible for coordinating these in-person consultations, which ended in August 2018; all received input was considered during the drafting of the regulations.

Ongoing Major Initiatives include (Outreach and Corporate Communications):

• Web Renewal Initiative: One of the team's largest initiatives is the ongoing web renewal project. The team is responsible for updating the internal and external CTA websites to reflect the 2018-2021 strategic priorities, including a modern framework that reflects the Regulatory Modernization Initiative outcome. The project also aims to upgrade the sites to ensure relevant CTA web services meets or exceeds current standard of web accessibility. Specifically, this project includes content review and correction of over 3,500 web pages, development of new menus for enforcement and complaints, internal CTA website's accessibility upgrade, and a new menu to support the new Chair's announcement and activities.
• Plan, manage and maintain the Agency's web site: On an ongoing basis, the team is responsible for planning, managing and maintaining the CTA's internal and external website. This includes exploring digital opportunities to innovate and improve accessible communications.
• Plan and produce and corporate publications (print, video and digital display): The team is also responsible for producing and publishing corporate planning products in all forms, including print, video and digital display to ensure accessibility for all viewers. This also includes working with other areas of the CTA and providing advice on best practices for creating accessible publications including plain language writing for all CTA products.
• Internal Communications: On an ongoing basis, the team provides internal communication advice and guidance to Executive committee and Manager's network, working groups and committees. The team also provides support to the Chair's office for all-staff events and employee engagement activities and organizes employment engagement activities in collaboration with other working groups and committees. Finally, the team provides change management advice and communications support for the Destination60Laval Inclusion – Collaboration – Innovation.

Tom Oommen, Chief Compliance officer

March 2021

Primary Responsibilities (Determinations and Compliance)

Monitor and enforce industry compliance with the legal obligations the Agency oversees and provide expert advice to the Agency on authorities required by rail, air and marine transportation sectors to operate in Canada.

Responsibilities

• Recommendations regarding Statutory and Regulatory Authorities
  • Air licensing, Canadian ownership and control of air carriers, Maximum Revenue Entitlement for Western Grain, rail certificates of fitness, rail construction permits, rail liability insurance, Coasting Trade licenses
• Advisory and research services
  • Rail engineering and environmental
  • Air carrier tariffs
  • International air agreements
• Compliance monitoring & enforcement
  • Ensuring compliance by regulated entities with their legal obligations, including Agency orders
  • Following up on credible information about possible contraventions

Legal Framework (Determinations and Compliance)

Statutory

• Canada Transportation Act
  • Part II (Air Transportation)
    • Licensing & Permits
  • Part III (Rail Transportation)
    • Certificates of Fitness, New Line Construction & Discontinuance, Noise & Vibration, Maximum Revenue Entitlement, Insurance Requirements
• Canadian Environmental Assessment Act and the Impact Assessment Act
• Coasting Trade Act

Regulatory

• Accessible Transportation for Persons with Disabilities Regulations
• Air Passenger Protection Regulations
• Air Transportation Regulations
• Railway Third Party Liability Insurance Coverage Regulations
• Designated Provisions Regulations

Structure (Determinations and Compliance)

• Tom Oommen, Chief Compliance Officer
  • Joëlle Cléroux, HR & Finance Advisor
• Marc Thomson, Senior Director, Compliance Monitoring & Enforcement
  • Compliance and Enforcement (Simona Sasova, Manager)
    • Regional Designated Enforcement Officers (Vancouver, Toronto, Montreal, Moncton)
  • Compliance Program Planning & Analysis (Rachael Donovan, Manager)
• John Touliopoulos, Director, Air Determinations
  • Licensing (Martin Dalpé, Manager)
  • Tariffs and Research (Moira Reid, Manager)
  • Financial Evaluation (Ousmane Alkaly, Manager)
  • International Air Agreements (Nuno Bellem, Team Leader)
• Luc Chamberland, Director, Rail & Marine Determinations
  • Engineering and Rail & Marine Authorities (Jason Tsang, Manager)
  • Grain Division (Steve Aubut, Manager)

Air Determinations (Determinations and Compliance)

Expert advice to Agency in support of air determinations:

• Air Licensing & Charter Division (8 FTEs)
  • Licence issuance (e.g. A-2020-180), suspension (e.g. 2021-A-58), and reinstatement;
  • Charter permit issuance (e.g. 21-02097) and filing of charter notifications;
  • Administer filing notice requirements for discontinuance of domestic service (e.g. 2021-A-2); and
  • Assess requests for exemptions to permit carriers to offer for sale an air service prior to obtaining a licence (e.g. A-2021-13).
• Financial Evaluation Division: (3 FTEs)
  • Canadian ownership reviews (e.g. LET-A-33-2020);
  • Financial requirements reviews (market entry requirement) for medium or large licence applicants,
  • Whether a publicly-available air service is being operated and therefore a licence is required (e.g. 100-A-2016)
• Tariffs and Research Division (5 FTEs)
  • Review international tariff filings (fares, rates, and terms and conditions), including requests for exemptions (e.g. 2021-A-3 and 2020-A-96);
  • Consideration of whether tariff filings are reasonable (e.g. A-2019-241);
  • Provide tariff guidance to Dispute Resolution Branch and to government and industry on passenger rights and carrier liability, including on Air Transportation Regulations, Air Passenger Protection Regulations, and Montreal Convention.
• International Agreements (4 FTEs)
  • Member of Canada's international air transport agreements negotiation team, with GAC & TC (international agreements);
  • Provide guidance to government and industry on international aviation rights;
  • Processing of code share notifications and extra-bilateral (e.g. A-2019-55), wet lease (e.g. A-2020-11) and additional capacity applications (e.g. A-2018-20).
  • Canada's designated member on the ICAO Facilitation Panel and head and secretary of Canada's National Facilitation Committee.

Rail & Marine Determinations (Determinations and Compliance)

Expert advice to Agency in support of rail and marine determinations

• Grain Division (4 FTEs)
  • Maximum Revenue Entitlement: Annual determination limiting revenue for CN and CP each crop year for movement of western grain (e.g. Determination R-2020-207)
  • Volume-Related Composite Price Index: Annual determination setting railway-specific inflationary factor to be used in calculating CN and CP's annual MRE (e.g. Determination R-2020-81)
• Rail & Marine (4 FTEs)
  • Certificate of Fitness applications: License to operate or construct a federal railway for companies that hold required third party liability insurance coverage (e.g., Decision No. R-2018-215; Decision No. R-2021-36)
  • Net Salvage Value (NSV) applications: Determine the NSV of railway assets as part of statutory process to facilitate orderly transfer of lines (e.g., Decision No. 21-R-2013)
  • Filing of railway crossing and marine shipping conference agreements: When filed, agreements become an order of the Agency
  • Coasting trade applications: Minister of Public Safety issues licence permitting a foreign flagged vessel to be used in Canadian waters when, as determined by the Agency, there are no suitable Canadian vessels available (e.g., Decision No. 79-W-2020)
• Engineering & Advisory Services (4 FTEs)
  • Railway line construction and relocation applications: Approval based on reasonableness of proposal considering the (i) requirement for railway operations and services and (ii) interests of the localities that will be affected by the line (e.g., Decision No. 85-R-2013)
  • Engineering advice: Noise and vibration disputes (e.g., Decision No. 51-R-2017), crossing disputes (e.g., Decision No. 34-R-2019), support of net salvage value determinations as it relates to value of existing railway infrastructure, and provide environmental, railway operations, and noise and vibration technical expertise to the Impact Assessment Agency of Canada, upon request, as part of an environmental impact assessment

Compliance Monitoring and Enforcement (Determinations and Compliance)

Ensure compliance by regulated entities with their legal obligations, including Agency orders, and follow up on credible information regarding potential violations

• Enforcement: Designated Enforcement Officers (DEOs) issue Notices of Violations (NOV) with warnings or administrative monetary penalties for contraventions of certain legislative and regulatory provisions
  • DEOs are designated by Members to exercise the authority under the Act to issue NOVs
• Compliance Monitoring and Enforcement Policy - https://www.otc-cta.gc.ca/eng/compliance-and-enforcement-policy
• Types of Enforcement Action and Severity Levels - https://otc-cta.gc.ca/eng/enforcing-compliance-enforcement-actions-and-types-violations
• Enforcement Actions taken - https://otc-cta.gc.ca/eng/summaries-enforcement-actions

Recently completed modernization of the compliance monitoring and enforcement program

• Staff: 23 FTEs - includes 7 Regional DEOs; Vancouver (2), Toronto (2), Montreal (2) and Moncton (1)

Enforcement – Key Statistics (Determinations and Compliance)

Air Determinations Directorate

Overview (Air Determinations Directorate)

The Air Determinations Directorate (ADD) is responsible for the development and issuance of Member-approved air authorities including air licences, charter permits, and wet lease approvals. The group undertakes Canadian ownership and control reviews, reviews air carrier filed tariffs (fares, rates and charges, and terms and conditions of carriage) and serve as the subject matter experts on consumer protection matters. Staff also participate as members of Canada's bilateral air transportation agreements negotiating team.

Directorate Structure and Responsibilities:

The Directorate is comprised of four teams (21 FTEs) with managers reporting to the Director, John Touliopoulos.

The following provides a brief outline of each Division's roles and workload, including examples of key files.

1. Licensing and Charters Division (LCD)

Manager: Martin Dalpé, martin.dalpe@otc-cta.gc.ca (8 FTEs)

Roles (Licensing and Charters Division):

• Provide the necessary regulatory authorities (licences, charter permits, domestic wet leases, and exemptions) to air carriers to operate publicly available air services.
• Confirm advance payment protection is in place for charter permit applications for Canadian-originating passenger resalable charter flights. A valid financial guarantee in favour of the tour operator must be in place to protect passengers in the event the air carrier becomes insolvent.
• Monitor liability insurance renewals, suspend licences when the air insurance or the Transport Canada-issued Canadian Aviation Document is no longer valid and reinstate licences when the requirements are once again met.

Workload Volumes (Licensing and Charters Division):

• Panel approvals: 94 new licences, 42 amendments to licences, 464 licence suspensions, 13 exemptions/rulings, 395 charter permits.
• Routine processes and applications that do not require panel approval: monitor annual insurance renewals of 1394 air carriers, acknowledge 1521 charter notifications, confirm 171 licence reinstatements and 52 licence cancellations.

Recent Panel Approvals (Licensing and Charters Division):

• Domestic discontinuance requirements: Determination No. A-2021-13 – the Agency granted air carriers a temporary exemption from the provisions of section 64 of the CTA to permit them, during the pandemic, to suspend the operation of domestic air services, as they consider necessary, without having to provide the normal 120 days of notice to affected communities and to local carriers or to engage in the required consultations.
• Indro Robotics Inc.: Determination No. A-2020-180 – the Agency issued its first ever licence to an operator that was proposing to operate an air service using remotely piloted aircraft (i.e. drones) to transport cargo.
• WestJet: Determination No. A-2021-13 – the Agency recognized circumstances whereby the interests of consumers would not be adversely affected by allowing WestJet to sell an air service before it obtains the necessary licence.

2. Financial Evaluation Division (FED)

Manager: Ousmane Alkaly, Ousmane.Alkaly@otc-cta.gc.ca (3 FTEs)

Roles (Financial Evaluation Division):

Ensuring compliance with Canadian ownership requirements (market entry and ongoing):

• On initial licence application, conducts a verification of Canadian status for applicants that do not already hold a licence. Analysis is included in the Licence and Charter Division's licence approval process that ultimately flows to Members.
• On application by air carriers for an advance Canadian status determination to confirm that the air carrier will continue to meet the Canadian ownership requirement following the execution of a proposed business agreement involving non-Canadian parties. Advance Canadian status determinations involve significant interaction with Members due to their complexity.
• On significant proposed merger and acquisition transactions that the air carrier must report to the Commissioner of Competition, the Minister of Transportation and the Agency. In particular, when the Minster determines that the transaction raises issues of public interest as it relates to national transportation, the Agency (Members) is required to determine whether the proposed transportation undertaking would be Canadian, a precondition to the transaction being completed.
• Determinations involving monitoring and compliance cases where staff is of the view that the licensee may no longer be Canadian. These always require an Agency (Member) determination.

Ensuring compliance with financial requirements (market entry requirement for air carriers proposing to operate medium and large aircraft):

• A financial fitness test whose purpose is to ensure new start-up carriers have a reasonable chance at success. These always require a determination by a Panel of Members.
• This activity is time-consuming due to the detailed analysis required to assess financial fitness.

Evaluation as to whether one operates a publicly-available air service:

• Purpose is to ascertain whether a licence is required . These always require a determination by a Panel of Members.
• These types of reviews are very rare following the Agency's determination that defines when a publicly available air service is being operated (see below).

Workload Volumes (Financial Evaluation Division):

• 20 Canadian status determinations for licence applications.
• Panel approvals: 3 Advance and other Canadian status determinations and 1 financial requirements determination.

Recent Member Determinations (Financial Evaluation Division):

• Onex Corporation: Letter Decision No. LET-A-99-2019 – the Agency issued an advance determination on whether WestJet and Swoop Inc. would continue to meet the Canadian ownership requirement, following their proposed acquisition by Onex.
• Air Canada: Letter Decision No. LET-A-33-2020 – the Agency's determination on whether Air Canada’s proposed acquisition of Transat A.T. Inc. would result in an air transportation undertaking that is Canadian.
• Who is required to hold a licence: Decision 100-A-2016 – the Agency determination providing guidance to industry on whether a person operates the air service (i.e., needs licence) or is merely acting as a reseller of air services and, therefore, is not required to hold a licence.

3. Tariffs and Research Division (TRD)

Manager: Moira Reid, Moira.Reid@otc-cta.gc.ca, (5 FTEs)

Roles (Tariffs and Research Division):

• Accepts and reviews, in respect of international air services, air tariff filings (fares, rates, charges and terms and conditions of carriage) and service schedules submitted by air carriers to the Agency.
• Reviews the tariff to ensure tariff and service schedules are in the style and contain the information, particulars and details required by the Air Transportation Regulations and that they are consistent with any applicable air transport agreement, the Air Passenger Protection Regulations, the Accessible Transportation of Persons with Disabilities Regulations (in collaboration with CEAT), Agency policies and previous Agency orders.
• Briefs Members regarding filings that are potentially contrary to requirements (upon complaint for domestic tariffs and on complaint or on own motion authority for international tariffs). The Agency has the power to determine whether a tariff is in compliance with the Canada Transportation Act, the Air Transportation Regulations and other related regulations and to also determine whether a tariff is unreasonable or unduly discriminatory and to, accordingly, accept, reject, suspend, allow or disallow tariffs and the Agency may also order a carrier to amend its tariff as the Agency sees fit.
• Monitors international air carriers' websites to confirm that their current tariff is available to the public.
• Oversees the administration of the Air Passenger Protection Regulations, including responding to questions from industry, helping to prepare replies to media and reviewing whether air carriers' obligations as stated within their tariffs are consistent with the regulatory requirements.

Workload Volumes (Tariffs and Research Division):

• 24,000 tariff fare filings, 375 tariff terms and conditions filings, and 1,800 service schedule filings.

Recent Member Determinations (Tariffs and Research Division):

• Swoop Basic Fare: Determination No. A-2020-28 – the Agency determined it is impractical for Swoop, an ultra-low-cost carrier (ULCC) offering only “unbundled” fares, to comply with the basic fare requirement (i.e. to provide bundled fares) and accordingly exempted Swoop from the requirement.
• CargoJet Airways: Order No. 2020-A-96 – the Agency exempted the carrier from filing cargo rates in its tariff applicable to non-scheduled cargo services on the basis of reciprocity as there is no similar requirement for a carrier to file charter tariff rates under China's and Japan's regulatory regime. Affording the carrier the same treatment in Canada helps to ensure that it can remain competitive in the marketplace with other carriers that face no similar requirement.
• Tariff and Filing Schedules: Order No. 2021-A-3 – the Agency exempted air carriers from the statutory filing notice periods applicable to tariffs (45 days) and service schedules (10 days) applicable to international air services. The change will enable air carriers to quickly update their fares, rates and charges, terms and conditions, and service schedules to respond to operational and competitive considerations.

4. International Agreements (IA)

Supervisor: Nuno Bellem, Nuno.Bellem@otc-cta.gc.ca (4 FTEs)

Roles (International Agreements):

• Participate in the negotiation and administration of Canada's international air transport agreements, which provide rights to airlines from one or multiple state(s) to operate international air services to another state. The Ministers of Global Affairs Canada (GAC) and Transport Canada (TC) establish the negotiating mandate and Agency staff engage heavily in drafting of the proposed text and proposals or position papers related to areas of Agency jurisdiction or expertise. During negotiations, Agency staff provide advice to the Chief Air Negotiator (GAC) and present explanatory information to the foreign government as required. Staff maintain an extensive, secure database of air transport agreements and related correspondence (BAAS) which is relied upon as a research tool for the preparation and negotiation of agreements. Staff provide information and advice to Agency Members and staff on the results of negotiations, such as administrative actions that may be required (e.g. issuance of new licences or tariff filing requirements).
• Respond to industry requests for information, including serving as a point of contact with foreign aeronautical authorities and industry stakeholders by providing guidance on international aviation rights and on Canadian laws and regulations with respect to operating flights to and from Canada. In many cases, a Canadian carrier may encounter difficulties obtaining its licence or permit from a foreign government and Agency staff provide explanatory information in support of the Canadian carrier to address the issue (i.e. a letter of reciprocity).
• Provide support to other Government of Canada departments and agencies, including Canada's Mission to the International Civil Aviation Organization (ICAO) on matters related to ICAO Annex 9 (Facilitation), including the filing of any differences for Canada to the Standards and Recommended Practices contained in Annex 9. Staff serve as Canada's designated member on the ICAO Facilitation Panel and head and Secretary of Canada's National Facilitation Committee.
• Process Canadian and foreign air carrier applications for permission to operate wet lease arrangements, extra bilateral flights and requests for additional capacity to increase in the frequency of service, as well as acknowledging code sharing notifications. Cases are presented to a single Member panel in electronic format.

Workload Volumes (International Agreements):

• 4 amended/new international agreements; 6 wet lease applications, 0 extra-bilateral authorities, 0 additional capacity, 16 code share notifications.

Recent Agency Rulings (International Agreements):

• Wet Lease: Determination No. A-2020-11 - the Agency approved the application by Sunwing Airlines to provide its international air services using an aircraft operated, on a wet lease basis, by a foreign air carrier. The Agency was satisfied that the application met the requirements of the Air Transportation Regulations as well as the criteria of the 2014 Wet-Lease Policy, namely the 20% cap on foreign operated aircraft.
• Extra-Bilateral: Determination No. A-2019-55 - the Agency granted Air Canada and Turkish Airlines extra-bilateral rights to offer services (through code sharing) to additional points not permitted under the Canada / Turkey agreement.
• Additional Capacity: https://www.otc-cta.gc.ca/eng/ruling/a-2018-20 - the Agency after receiving the support from the aeronautical authority of Tunisia and on being informed by Air Canada that it had no objections, approved the application by Tunisair permitting it on a short-term basis to operate one additional weekly flight each way to what is permitted under the agreement.

Annex A – Guidance Material References

Charters (Annex A – Guidance Material References)

• International Air Charters: A Guide

Licensing (Annex A – Guidance Material References)

• Canadian Air Carrier Licence Application Guide
• Non-Canadian Air Carrier Licence Application Guide
• Financial Requirements Guide for Canadian Air Carrier Licence Applicants
• Extra-bilateral air service
• Applying for Code-Share and Blocked-Space Approval
• Applying for Wet-Lease Approval
• Is your air carrier licensed?

As part of the Licensing Requirements (Annex A – Guidance Material References)

• Tariffs
• How to file a service schedule
• Guide to Canadian Ownership and Control in Fact for Air Transportation
• Notice to Industry: Criteria to Determine What Constitutes an Air Service

Compliance Monitoring and Enforcement Directorate

Overview (Compliance Monitoring and Enforcement Directorate)

The Compliance Monitoring and Enforcement Directorate (CMED) is responsible for monitoring and enforcing industry compliance with over 700 provisions enforceable by administrative monetary penalties. In 2020–2021, the Agency completed modernizing the program, drawing on best practices within Canada and around the world to ensure the effectiveness of monitoring and enforcing regulatory compliance.

The three priority areas to which compliance resources are first allocated are:

1. Follow-up on all Agency orders to ensure that regulated entities comply with the requirements of the orders.
2. Follow-up on credible information (e.g. media reports, complaint patterns, formal and informal submissions) indicating that a contravention of legal obligations might have occurred.
3. Annual verification that each regulated railway company holds required liability insurance coverage.

The Agency applies a risk-based approach to inform decisions about the allocation of compliance monitoring and enforcement resources beyond the key areas listed above. This approach directs more Agency resources to where the likelihood and/or impact of non-compliance is higher.

The Agency encourages and ensures compliance through a variety of activities ranging from promoting compliance, through monitoring and verification, to enforcement.

The Agency has designated enforcement officers (DEO) and compliance analysts at headquarters as well as in regions across the country delivering on its compliance assurance mandate. Their work is informed and supported by staff with subject matter expertise in the air, rail, marine and interprovincial bus modes of transportation and in accessible transportation, as well as in business and data analysis.

For additional details, the Agency’s Compliance and Enforcement Policy sets out the tools it uses and the manner in which it targets its compliance monitoring and enforcement resources to maximize proactive compliance by regulated entities with the legal obligations the Agency oversees.

Directorate structure and responsibilities (Compliance Monitoring and Enforcement Directorate)

The directorate is comprised of two divisions and three auditors – 23 FTEs, including 7 designated enforcement officers in Vancouver (2), Toronto (2), Montreal (2) and Moncton (1). Both managers, a program officer, as well as the three auditors, report directly to the Senior Director, Marc Thomson.

The following provides a brief outline of each division’s roles and responsibilities.

Compliance and Enforcement Division (Compliance Monitoring and Enforcement Directorate)

Manager: Simona Sasova, Simona.Sasova@otc-cta.gc.ca (12 FTEs)

The Compliance and Enforcement Division is responsible for conducting all enforcement activities – such as inspections, various compliance verifications, and targeted investigations. A DEO’s response to non-compliance escalates in severity depending upon the nature of the violation and the compliance history of the regulated entity.

DEOs are persons designated by Members to exercise the authority under the Canada Transportation Act (Act) to issue notices of violation (NOV). When a DEO believes that a regulated entity has committed a violation of the Act or regulations, or when a regulated entity has not complied with an Agency order, the following enforcement actions are available:

• Issuing a notice of violation setting an administrative monetary penalty
  • A DEO may issue an NOV setting out an administrative monetary penalty (AMP) of up to $25,000 – and up to $250,000 for non-compliance with certain accessibility-related requirements. AMPs are administered based on a progressive scheme of penalties aimed at fostering compliance.
• Issuing a notice of violation that contains a warning for contraventions of accessibility provisions
  • A DEO who believes that a regulated entity has committed a violation of an obligation made for the purpose of identifying or removing barriers or preventing new barriers in the federal transportation network to the mobility of persons with disabilities may issue an NOV that contains a warning.
  • This is a new power under the Act, as amended by the Accessible Canada Act.
• Issuing a Cautionary Notice
  • A DEO may issue a Cautionary Notice to a regulated entity in a limited set of circumstances when the DEO believes that certain acts or omissions on the part of the entity could be in contravention of the Act or regulations.

Details related to enforcement actions taken by the Agency’s enforcement officers can be found on the Agency’s website.

Compliance Program Planning and Analysis Division (Compliance Monitoring and Enforcement Directorate)

Manager: Rachael Donovan, Rachael.Donovan@otc-cta.gc.ca (6 FTEs)

The Compliance Program Planning and Analysis Division is responsible for the ongoing review and update of the Compliance Monitoring and Enforcement Program, including all compliance verification and inspection tools, to keep it current and ensure continued effectiveness; program planning; implementing and maintaining the compliance risk assessment tool; data analytics to identify existing and emerging compliance issues; monitoring compliance with Agency orders; and legislative and regulatory interpretations, among other things.

The division is also responsible for coordinating Agency approval of compliance agreements, including providing information and advice to Agency Members. Once an NOV that sets out an AMP has been issued for an accessibility-related matter, the Agency may, upon request by a regulated entity, enter into a compliance agreement subject to terms that the Agency considers appropriate for the purpose of ensuring the entity’s compliance with its legal obligations.

Auditors (Compliance Program Planning and Analysis Division)

Three auditors report directly to the Senior Director. Their functions include supporting specific determinations related to statutory requirements of the Act, including the maximum revenue entitlement, cost of capital and the volume-related composite price index. Staff review industry submissions and perform verifications related to railway accounting data and also provide expert advisory services to the Rail and Marine Determinations Directorate as to whether railways can sustain self-insurance amounts.

Major Initiatives in the last five years (Compliance Program Planning and Analysis Division) :

A major project to modernize the Agency’s Compliance Monitoring and Enforcement Program was recently completed, drawing on best practices within Canada and around the world.

Ongoing Major Initiatives (Compliance Program Planning and Analysis Division):

The directorate is in the process of adapting recently purchased risk software to our data-driven risk assessment model, in collaboration with the vendor. The goal is to produce risk assessments to inform compliance activities in the new program. A partnership was formed with the National Research Council’s (NRC) Data Analytics Centre to ensure the successful integration of our risk data with this new software.

Rail and Marine Determinations Directorate

Overview (Rail and Marine Determinations Directorate)

The Rail and Marine Determinations Directorate (RMDD) is responsible for the review of applications and submissions, analysis and recommendations to Panel Members regarding railway construction and relocation permits, net salvage value applications, Maximum Revenue Entitlement (MRE) and Volume-Related Composite Price Index (VRCPI) determinations for the movement of regulated western grain, Certificate of Fitness (COF) applications for railway construction or operations and coasting trade applications. Directorate staff also serve as subject matter experts on railway noise and vibration disputes, railway crossing disputes and environmental issues. Finally, the Directorate plays a number of administrative functions such as the filing of railway crossing agreements and marine shipping conference agreements.

Directorate Structure and Responsibilities (Rail and Marine Determinations Directorate)

The Directorate is currently comprised of three Divisions (12 FTEs), two of which are being combined under one manager given the relatively small size of the organization.

Luc Chamberland is currently the head of the Directorate.

The following provides a brief outline of the Directorate's roles as well as key initiatives.

Grain Division (Rail and Marine Determinations Directorate)

Manager: Steve Aubut, Steve.Aubut@otc-cta.gc.ca (4 FTEs)

Roles (Grain Division)

• Annually calculates the maximum revenue entitlements for CN and CP (these are statutory limits on the amount of revenue that can be earned for moving western grain in a given crop year - from August 1st to July 31st ); determines the revenues earned by each railway company; and, ascertains whether or not the revenues exceed the respective entitlements. The statutory deadline for issuing the determination is December 31st (e.g. Determination R-2020-207).
• Determines the Volume-Related Composite Price Index (VRCPI) for CN and CP in advance of each crop year. The VRCPI is an inflationary factor that reflects a composite of the forecasted prices for railway labour, fuel, material and capital purchases and reflects any additional costs incurred by each railway for the acquisition of hopper cars. The statutory deadline for issuing the determination is April 30th (e.g. Determination R-2020-81).
• Supports the calculations of the cost of capital for both CN and CP, which is led by the economic team of the Analysis & Regulatory Affairs Group. These calculations play an important role in the VRCPI determination and the interswitching rate determinations.
• Assigns and maintains Standard Point Location Codes for all Canadian rail stations (administrative function).

Key initiatives (Grain Division)

• Seeking further automation of its data analysis pertaining to the MRE and VRCPI in order to alleviate predictable workload surges during the annual cycle.
• Assessing the impact of the carbon tax (scheduled to go from the current rate of $30/ton to $170/ton) on the MRE up to 2030, in order to be able to provide analysis and information, as required.

Rail & Marine Division (to be combined with Engineering & Advisory Services)

Manager: Vacant (4 FTEs)

Roles (Grain Division)

• Reviews coasting trade applications, providing analysis to Panel members on whether or not there are suitable and available Canadian-flagged vessels to perform the activities stipulated in the applications. The Minister of Public Safety issues licenses permitting foreign flagged vessels to be used in Canadian waters when, as determined by the Agency, no such vessels are suitable and available in Canada (e.g., Decision No. 79-W-2020).
• Reviews Certificate of Fitness (COF) applications and variances, and makes related recommendations to Panel members when the criteria to operate or construct a federal railway company are met, in particular the requirement for third party liability insurance coverage (e.g., Decision No. R-2018-215; Decision No. R-2021-36). There are currently 25 federally regulated railways holding a COF, including 6 providing passenger rail services.
• Conducts annual compliance monitoring of federal railway companies COF
  • (e.g. type/volume of commodities carried), including renewal of Certificates of Insurance (e.g. third party liability insurance and self-insurance), and refers non-compliance matters to the Compliance Monitoring & Enforcement Directorate, where warranted.
• Determines the Net Salvage Value (NSV) of railway assets as part of a statutory process to facilitate orderly transfer/discontinuance of railway lines (e.g., Decision No. 21-R-2013).
• Files railway crossing agreements and marine shipping conference agreements, which become, upon filing, an order of the Agency (administrative function).
• Administers requests for rail decisions issued prior to 1988 (as they are not on the CTA website, and they are usually known as Board Orders) including applications to vary or rescind the same (administrative function).

Key initiatives (Grain Division)

• In 2020, the Agency reissued all COFs involving the carriage or hosting of freight to state:
  • the volume of the prescribed commodities the COF holder is authorized to carry in a calendar year (referred to as ''Class of Railway Operations'' in Schedule IV of the CTA); and
  • whether the COF holder is authorized to include the carriage of crude oil in its CoF.
• For 2021-22, the COFs will be published on the Agency's website.
• On-board the new Case Management System for coasting trade applications and filed railway crossing agreements.
• Review our methodology for determining the adequacy of third party liability insurance for passenger rail transportation carriers in order to achieve a more predictable and timely process.

Engineering & Advisory Services Division

Manager: Jason Tsang, Jason.Tsang@otc-cta.gc.ca (4 FTEs)

Roles (Engineering & Advisory Services Division)

• Reviews railway line construction and relocation applications, and makes related recommendation to the Panel based on reasonableness of proposal considering:
  • the requirement for railway operations and services and (ii) the interests of the localities that will be affected by the line (e.g., Decision No. 85-R-2013).
• Provides engineering advice regarding noise and vibration disputes (e.g., Decision No. 51-R-2017), crossing disputes (e.g., Decision No. 34-R-2019), support of net salvage value determinations as it relates to value of existing railway infrastructure; and provides environmental, railway operations, and noise and vibration technical expertise to the Impact Assessment Agency of Canada, upon request, as part of an environmental impact assessment.
• Responds to enquiries pertaining to railway line discontinuance processes and notices of discontinuance, and provides advice to the Compliance and Enforcement Directorate in this regard (administrative function).

Key initiatives (Engineering & Advisory Services Division)

• As part of the merger of the two divisions, train staff to be able to provide surge capacity on COF applications and NSV determination; engineers will also acquire marine technical expertise to further support the team in reviewing highly technical/complex disputed coasting trade applications, which have become more frequent in the last couple of years.
• On-board the new Case Management System for NSV applications.

Additional initiatives targeted by the Directorate for FY 2021-22

• Develop Standard Operating Procedures (SOPs) for our internal processes in order to achieve efficiency gains, leverage synergies among divisions and with other groups, and facilitate knowledge transfer.
• Update our Intranet tool box, in alignment with the SOP initiative.

Additional contribution of the Directorate

• Chair the Rail & Marine Modal Network, whose objective is to create a space for managers and employees to share knowledge and exchange information in a timely manner, proactively address policy and operational issues, and continuously monitor trends, innovations and learning opportunities. The network meets once every six to eight weeks.
• Participate as a member of the Federation of Canadian Municipalities (FCM) and Railway Association of Canada (RAC) Proximity Initiative Steering Committee. The committee consists of members from the FCM (elected officials), RAC (senior railway representatives), Canadian Association of Municipal Administrators, and various federal departments.

Annex A – Guidance Material References

MRE (Annex A – Guidance Material References)

• Maximum Revenue-Entitlement- A Guide

Coasting Trade (Annex A – Guidance Material References)

• Guidelines Respecting Coasting Trade Licence Applications

COF (Annex A – Guidance Material References)

• Rail certificates of fitness (licences)

NSV (Annex A – Guidance Material References)

• Transfer and discontinuance of railway lines
• Guidelines Respecting Net Salvage Value Applications

Railway construction and relocation (Annex A – Guidance Material References)

• How to Apply for Approval to Construct a Railway Line: A Guide for Federally Regulated Railway Companies

DCB statistics

The Determinations and Compliance Branch (DCB) is responsible for development and implementation of regulatory authorities and for the Agency's enforcement activities. The tables below highlight some of this activity over a five-year period.

An important element of this activity is air carrier licensing. There are about 1400 air carriers licensed by the Agency. In any given year, air carriers will apply for licences, licences will be suspended, reinstated, and cancelled. This activity is highlighted in the table below.

In 2020, the Agency strengthened its air insurance monitoring process to suspend air carriers' licences immediately upon expiry of their filed certificate of insurance. Previously, air carriers had been afforded two additional days to demonstrate compliance with the insurance requirements. (Licences are reinstated if and when the appropriate documentation is filed.) This resulted in an increase in licence suspensions (and reinstatements) in 2020-21. As the new approach was only implemented in October 2020, it is expected that the number of suspensions and reinstatements will continue to be high in 2021-22.

The Agency also receives and processes applications for the use of foreign vessels in Canadian waters. These applications, submitted under the Coasting Trade Act, are highlighted in the table below.

2020-21 was a notable year in terms of the proportion of contested coasting trade applications, which are applications in which someone is seeking to use a foreign vessel, but one or more Canadian ships are proposed by others for use instead. Contested trade applications are much more demanding procedurally for the Agency, and many of them in 2020-21 were also technically complex, requiring consideration of vessel technical requirements and the specifics of the proposed marine activity and operating environment. If the uptick in contested coasting trade applications continues as a trend, this will have a significant impact on Agency resources going forward.

With respect to compliance monitoring and enforcement, the Agency has experienced a substantial expansion in the number of statutory requirements subject to enforcement as a result of legislative and regulatory changes. The Agency is currently responsible for verifying compliance with about 700 provisions enforceable by means of administrative monetary penalties (AMPs). In 2019, this number was around 260, and will increase to about 780 provisions by 2022.

As part of the recent project to modernize the compliance monitoring and enforcement program, and in response to the COVID-19 pandemic, increased emphasis has been placed on remote or virtual verification activities, such as desk audits. This trend will continue as it is cost effective, allows staff to verify compliance with more provisions by more regulated entities, and enables the Agency to resort to on-site inspections only where necessary.

The table below highlights enforcement activities by the Agency's small contingent of designated enforcement officers (currently eight).

Paul Kelly, Chief Dispute Resolution Officer (A)

May 2021

Primary Responsibilities

Responsibilities

• Dispute Resolution:
  • We resolve disputes that arise between transportation providers on the one hand, and their clients and neighbours on the other, using a range of tools from facilitation and mediation to arbitration and adjudication.

Branch Structure

• Paul Kelly, Chief Dispute Resolution Officer (A)
  • Lea Katz, Administrative Services Coordinator
• Dany Ross, Director, Adjudication Directorate
  • Diane Fusco, Manager, Pleadings and Hearings
  • Krista Warnica, Manager, Air Disputes
  • Patricia Lavigne, Manager, Rail, Marine & NAV Disputes
  • Valerie Sicard, Manager, Accessibility Disputes
• Paul Kelly, Director, Alternative Dispute Resolution Directorate
  • Bonnie O'Boyle, Manager, Facilitation A
    • Team Leaders: Angela Gaetano, Patricia MacGregor, Andrea Wilby
  • Kurtis Harrison, Manager, Facilitation B
    • Team Leaders: Tammy Chrusch, Ghislaine Tossou, Nathalie Héroux
  • Katherine Fillmore, Manager, Rail Facil/Med
    • Team Leader: Jacob Van Dusen
  • Maryse Messier, Manager, Air and Accessibility Facil/Med
    • Team Leader: Andre Rakotoarivony
• Kimberly Vivarais, Manager, Triage and Reporting Directorate
  • Team Leaders: Mark Tweddle & Karine Gravelle

Dispute Resolution Continuum

Informal Dispute Resolution - Facilitation

• Vast majority of Agency complaints are settled via facilitation where Agency staff serve as facilitators
• Process is voluntary and free of charge
• Service standard to facilitate complaints is 20 business days
• Informal written & oral exchanges between parties and Agency staff:
  • Role of Agency; dispute resolution processes;
  • Assessment of complaint issues raised against applicable legislation, regulations, tariffs, decisions, etc.,
• Agency facilitators are neutral and have no decision-making authority
• A facilitation does not result in a decision of the Agency and is not enforceable under the Agency's legislative or regulatory frameworks

Informal Dispute Resolution - Mediation

• Mediation is a structured process yet informal, voluntary, confidential, and free of charge
• Statutory deadline of 20 business days, unless both parties agree to an extension
• Mediator is Agency staff and appointed by Agency Chair
• Mediator is neutral and has no decision-making authority
• Typically written, oral and face-to-face communications, with direct communications between parties during mediation sessions
• Mediator assists the parties in their discussions by focusing on the parties’ interests and developing options to resolve the dispute
• Mutually satisfactory settlement
  • Parties can document the terms of the settlement in a 'Settlement Agreement'
  • Settlement agreements can be enforced (if filed) as orders of the Agency
• When parties resolve a matter in mediation, the Agency may not "re-hear" the matter in adjudication

Formal Dispute Resolution - Arbitration

• Typically confidential
  • Arbitrations are confidential if one of the parties request as such
• Rail Level of Service Arbitration
  • Free of charge
  • Agency-appointed arbitrator hears the case
  • Written binding decision issued within 45 - 65 days
• Final Offer Arbitration – rates
  • Paid for by parties
  • Arbitrator selected from an Agency-administered roster
  • Binding decision issued within 60 days

Formal Dispute Resolution - Adjudication

• Adjudication is generally the final step in the Agency's dispute resolution process
  • Unless otherwise required (e.g. noise and vibration disputes), parties can opt to immediately attempt to resolve dispute through formal adjudication process and skip facilitation and/or mediation
• Decisions made by the Agency are legally binding on the parties and made public (subject to any Agency determination of confidentiality)
• The Agency follows the principles of natural justice and procedural fairness
  • To ensure procedural fairness is respected, cases governed by the Agency’s Dispute Adjudication Rules
• A Panel of Members is assigned to a case and will consider written arguments and evidence from each party; pleadings are usually written
• The Agency may hold public hearings for cases that are more complex, have a public interest element, require expert evidence, or when the Agency deems it appropriate

Staff's Role in Case Adjudication

• The analyst's role in adjudication is to provide analysis, advice, and recommendations to Members on all modes of transportation (air, rail, and marine) and accessibility (including accessibility of extra-provincial bus operations)
• Pursuant to Members' direction, analysts draft decisions for Panel Members' consideration and deal with any issues that arise from the process
• A lawyer is assigned to the case to ensure the Agency is within its jurisdiction and recommendations made by staff are legally sound
• Analysts do not have any interaction with the parties – the Secretariat is the voice of the Agency and all correspondence is sent and received through the Secretariat

Adjudication Process Life-Cycle

Air Disputes – Types of Complaints

• Travel issues
  • Flight disruptions (delays, cancellations, missed connections, schedule changes, etc.)
  • Baggage (loss, damage, delay, etc.)
  • Denied boarding due to over-booking (bumping)
  • Refusal to transport
• Air carrier tariffs
  • Terms and conditions of carriage that are unclear, unreasonable or unduly discriminatory
• Costs
  • Air fares or charges
  • Fares and rates on domestic routes with little or no competition
  • Cargo rates
  • NAV Canada, new or increased charges

Rail Disputes – Types of Complaints

• Shippers
  • Level of service / Level of service agreements
  • Charges and associated terms and conditions
  • Line transfer and discontinuance
  • Running rights and joint track usage
  • Interswitching
• Carriers/operators
  • Crossings
  • Line relocation or re-routing of traffic in urban areas
  • Line transfer and discontinuance
  • Interswitching / Long-Haul Interswitching
  • Running rights and joint track usage
• Residents, communities and governments
  • Noise and vibration
  • Crossings
  • Line relocation or re-routing of traffic in urban areas
  • Line transfer and discontinuance
  • Running rights and joint track usage
  • Fires resulting from railway operations

Accessibility-Related Disputes

• The Agency determines whether there is an undue barrier to the mobility of a person with a disability using a two-part approach:
  • Part I - The onus is on the applicant to demonstrate, on a balance of probabilities, that they have a disability and that they faced a barrier;
  • Part II - If it is determined that applicant has a disability and faced a barrier, the onus shifts to the respondent to either explain how it proposes to remove the barrier, or demonstrate that it cannot remove the barrier without experiencing undue hardship.
• Types of Complaints:
  • Design of equipment and facilities
  • Training of carrier and terminal personnel
  • Lack of assistance/service
  • Carrier's policies in respect of different types of accommodation measures
  • Carriage of mobility aids
  • Communication

Marine Disputes – Types of Complaints

• Coasting trade
• Fees:
  • Port authority
  • Pilotage
  • St. Lawrence Seaway Management Corporation
  • Federal Bridge Corporation Ltd. (Champlain and Jacques Cartier bridges)
  • Seaway International Bridge Corporation Ltd.
• Movement of goods by water for northern marine resupply
• Unreasonable price increases or reductions of service by a shipping conference

Triage and Reporting Division (within CDRO)

Structure, Management, FTEs CDRO

Chief Dispute Resolution Officer: Paul Kelly (acting)

Branch oversight and performance management; all branch administrative support.

FTE Count: 8 (5 permanent, 3 term/casual)

Structure, Management, FTEs TRD

FTE Count: 18 (4 permanent, 14 term/casual)

Director: Paul Kelly

• Manager: Kimberly Vivarais
• Team Leaders: Mark Tweddle, Karine Gravelle

Overview (Triage and Reporting Division)

Administers all Agency dispute intake and triage (except for periodic adjudication complaints which are filed directly with the Agency Secretary); all branch reporting; help line support; and branch business improvement functions.

Responsibilities (Triage and Reporting Division)

Intake-Triage

• Intake and initial triage of new air travel complaints and mediation services
• Correspondence and case document processing
• Inquiries & help lines
  • Railway, Rail Shipper and Community Help Line
  • Accessible Transportation Complaints Help Line

Reporting (Triage and Reporting Division)

• Branch reporting that includes data collection and reporting in the context of Branch workload, performance, throughput/productivity, as well as supporting corporate reporting (e.g., feeding data to other areas which administer activities such as the DP, Annual Report, parliamentary committees, media requests).

Branch business process improvement (Triage and Reporting Division)

• Business processes improvement, automation to achieve substantial operating efficiencies and cost savings, and thereby sustain long-term program viability. Process automation represents the single greatest opportunity to achieve these efficiencies and savings, and to develop innovative service delivery solutions.
• Preparation to move to new case management system. Formal Adjudication to move to the new case management system in the Fall of 2021 and Alternative Dispute Resolution Directorate in the winter of 2022.

Workload (Triage and Reporting Division)

• Intake / triage for all new facilitation and mediation complaints (currently about 700 per month)

Key cases / initiatives (Triage and Reporting Division)

• Branch business process improvement, automation;
  • Continue to assess, map and improve branch and tribunal business processes to achieve greater efficiencies and capacity, including the continued pursuit of automated approaches for all applicable clerical, administrative and correspondence-related processes; and to explore means by which to achieve further efficiencies within adjudicative processes.
• Preparation to move into new case management system
• Pandemic complaint files processing (air sector financial assistance package / ticket refunds)
• Inquiry file processing

Operational considerations (Triage and Reporting Division)

• Resourcing (80% term employees vs. 20% indeterminate)
• Backlog reduction

Alternative Dispute Resolution Directorate (ADR)

Overview (Alternative Dispute Resolution Directorate)

Informally resolve disputes across federally regulated air, rail, and marine modes including accessible transportation.

Structure, Management, FTEs (Alternative Dispute Resolution Directorate)

FTE Count: 81 (23 permanent; 68 term/acting)

Director: Paul Kelly

• Air Facilitation A - Manager: Bonnie O'Boyle
  • Team Leaders: Angie Gaetano, Patricia MacGregor, Andrea, Wilby
  • FTE Count: 25 (6 permanent)
• Air Facilitation B - Manager: Kurtis Harrison
  • Team Leaders: Tammy Chrusch, Ghislaine Tossou, Nathalie Héroux
  • FTE Count: 25 (5 permanent)
• Air & Accessibility Facilitation/Mediation - Manager: Maryse Messier
  • Team Leader: Andri Rakotoarivony
  • FTE Count: 16 (6 permanent)
• Air and Rail Facilitation/Mediation - Manager: Katie Fillmore
  • Team Leader: Jacob Van Dusen
  • FTE Count: 13 (4 permanent)

Responsibilities (Alternative Dispute Resolution Directorate)

Facilitate and mediate of all types of disputes, across all modes (including extra-provincial bus accessibility) involving the federal transportation network:

• air: facilitation and meditation of consumer complaints between passengers and airlines; disputes involving tariffs, the Air Passenger Protection Regulations, NAV Canada issues, and pricing.
• rail: road, utility and private rail crossings; cost apportionment; noise and vibration; level of service; competitive access (interswitching, running rights, etc.); public passenger service provider; discontinuance; recovery of costs incurred by provinces and municipalities in responding to a fire resulting from railway operations;
• marine: pilotage authority tariff proposals; port authority user fees; Shipping Conferences Exemption Act (SCEA)
• accessibility: facilitation and mediation of disputes respecting the accessibility of the federal network for persons with disabilities

Responsible for operation of MOUs with Canadian Human Rights Tribunal, as well as the provinces of Ontario and BC.

Major Initiative (Alternative Dispute Resolution Directorate)

Efficiency Evaluation of the Air Travel Complaints Facilitation Program

In collaboration with the Analysis and Regulatory Affairs Directorate, the directorate is undergoing an initial evaluation of the air travel complaint facilitation program. It is intended to be a preliminary evaluation to evaluate the operational efficiency and performance of the program and management of the current backlog, high case volumes as well as explore strategies and best practices to provide appropriate recommendations.

Workload (Alternative Dispute Resolution Directorate)

• Currently received about 700 cases per month; processing 1500 per month
• Over the last five years, the number of air travel complaints submitted to the branch has risen from 3,367 in 2016-2017, 5,565 in 2017-2018, and 7,650 in 2018-2019. In 2019-2020, that number leapt to almost 19,392 following the entry-into-force of the APPR in 2019, and the beginning of the COVID-19 pandemic. In the 2020-2021 fiscal year the branch received 13,275 new air travel complaints.

Directorate complaints resolved by mode (Alternative Dispute Resolution Directorate)

• See Appendix A

DRB 2020-21 Snapshot – Total complaints received by function and mode

• See Appendix B

Legislative / Regulatory references

• See Appendix C

Operational considerations

• Backlog reduction

Appendix A – Disputes resolved by the ADR Directorate

Appendix B – DRB 2020-21 Snapshot – Total Complaints Received by Function and Mode

Appendix C – Enabling Legislative and Regulatory Provisions

The following provisions are generally applicable to both informal (ADR) and formal (Adjudication) processes, except as noted.

Air (Appendix C – Enabling Legislative and Regulatory Provisions)

Canada Transportation Act:

• Section 85.1 (enables hearing of air travel complaints, as well as informal resolution ("facilitation")
• Sections 36.1, 36.11, 36.2 (enable ability to resolve disputes via mediation (all modes))

• Section 65 (notice of discontinuance or reduction of certain domestic services);
• Subsection 66(1) (unreasonable fares or rates for domestic service);
• Subsection 66(2) (inadequate range of fares or rates for domestic service);
• Section 67.1 (proper application of a domestic tariff); and
• Section 67.2 (unreasonable or unduly discriminatory terms and conditions in a domestic tariff).

• Subsection 86.11(1) (carrier obligations towards passengers)
• Subsection 86.11(2) (compensation payable only from one passenger rights regime)
• Subsection 86.11(3) (APPR form part of the terms and conditions)

Air Passenger Protection Regulations (baggage liability, standards of treatment, communications requirements and compensation for inconvenience for denied boarding, flight cancellation and delay; seating of children; and carriage of musical instruments for domestic and international service)

Montreal, Warsaw Conventions (limitations of liability for passenger delay, and baggage loss, damage and delay for international service within member states)

European Union Regulations 261/2004* (standards of care and compensation for inconvenience for denied boarding, flight cancellation and long delay for flights departing from the European Union or arriving in the European Union with a European Union carrier).

*the Agency does not have the authority, per se, to enforce the EU regulations, but if incorporated into a tariff, the Agency can determine if the related obligations set out in the EU regulations were properly applied.

Air Transportation Regulations:

• Subsection 111(3) (unjust discrimination in an international tariff);
• Section 113 (reasonableness of an international tariff); and
• Section 113.1 (proper application of an international tariff)

Civil Air Navigation Services Commercialization Act:

• Section 35 (charging principle)
• Sections 36 and 37 (notice and announcement requirements)
• Sections 42 ,and 43 (appeal and grounds to appeal)
• Section 48 (time for deciding the appeal)
• Section 50 (preponderance of evidence)

Rail (Appendix C – Enabling Legislative and Regulatory Provisions)

Canada Transportation Act:

• Section 95.1(noise and vibration)
• Sections 101 to 103 (road, utility and private crossings)
• Section 113 (level of service –accommodation for traffic)
• Section 116 (level of service – complaint and investigation in relation to company's obligations)
• Section 120.1 (unreasonable charges or terms)
• Sections 121, 126 and 127 (competitive access)
• Sections 137-137.1 (carrier's liability)
• Sections 140 to 146.1 (transfer and discontinuance of railway lines)
• Sections 152.1to 152.4 (public passenger service providers)
• Sections 161 to 169 (final offer arbitration)
• Sections 169.31 (level of service arbitration)

Railway Safety Act:

• Section 6 (agreement with the Agency)
• Section 16 (apportionment of liability for the construction, alteration, operational or maintenance costs of railway work)
• Section 23 (fire)
• Section 26 (compensation pursuant to subsection 24(2) or 25(3)

Canadian Transportation Agency Rules (Dispute Proceedings and Certain Rules Applicable to All Proceedings)

Regulations on Operational Terms for Rail Level of Services Arbitration

Rules of Procedure for Rail Level of Service Arbitration

Accessible Canada Act

Marine (Appendix C – Enabling Legislative and Regulatory Provisions)

Shipping Conferences Exemption Act, 1987 (SCEA)

• Sections: 13 to 16 (investigation of complaints and conference)

Canada Marine Act:

• Section 52 (complaint on port authority's fee)
• Section 94 (complaint on Seaway's fee)

Pilotage Act:

• Section 33 (pilotage charges)
• Sections 33.3 and 33.4 (notice of proposal and announcement)
• Section 34 (filing of a notice of objection)
• Section 35 (orders of Agency)

Seaway International Bridge Corporation Ltd. Regulations and Jacques-Cartier and

Champlain Bridges Inc. Regulations

Accessibility (Appendix C – Enabling Legislative and Regulatory Provisions)

Canada Transportation Act:

• Section 171 (Coordination with the CHRC)
• Section 172 (1) (Inquiry – barriers to mobility)
• Section 172(2) (Inquiry – remedies)
• Section 172(3) (Inquiry – compliance with regulations)
• Section 172.1 (1) (Inquiry – psychological harm)
• Section 172.1(2) (Inquiry – remedies)
• Section 172.3 (Inquiry – transportation of persons with disabilities)
• Section 180.61 (request for review – warning)

Application of the Personnel Training for the Assistance of Persons with Disabilities Regulations and Part VII of the ATR through section 172 (1)

Dispute Adjudication Directorate (DAD)

Overview (Dispute Adjudication Directorate)

The Dispute Adjudication Directorate (DAD) is responsible to support the Agency's members in their decision-making process on disputes across all modes of transportation. DAD is also responsible to support members during the conduct of rail level of service arbitrations (SLA) as well as administering the final offer arbitration (FOA) process.

Directorate Structure and Responsibilities (Dispute Adjudication Directorate):

Director: Dany Ross, Dany.Ross@otc-cta.gc.ca (32 FTEs – 19 permanent, 13 term)

The following provides a brief outline of the directorate's roles, key active files, as well as the key recent decisions and ongoing initiatives.

Pleadings and Hearing Team (Dispute Adjudication Directorate)

Team Lead: Diane Fusco, Diane.Fusco@otc-cta.gc.ca (14 FTEs)

Roles (Pleadings and Hearing Team):

• Manage the intake of applications referred to adjudication; conducting the completeness review against the criteria prescribed in the Dispute Adjudication Rules – Schedule 5.
• Creating the e-binders, including collecting the applicable tariff provisions.
• Process procedural requests filed during adjudication proceedings; analyse parties' submissions, write briefing materials for panel consideration and write Members' directives and decisions.
• Perform the fact checking of decisions.
• Review the translation of decisions.

Key Active Files (Pleadings and Hearing Team):

• The team is currently handling 138 files.
• City of Port Moody v Canadian Pacific Railway Company
  • The Canadian Pacific Railway Company filed multiple requests: a request to dismiss the application, a request to stay the proceeding and a request for confidentiality. The panel has considered the requests and has directed staff to write a decision addressing these procedural requests.

Ongoing Major Initiative (Pleadings and Hearing Team):

• DAD Workplan: Maintaining the green document, which provides staff with guidance information on the processing of cases and procedural requests.

Air Adjudication Team (Dispute Adjudication Directorate)

Team Lead: Krista Warnica, Krista.Warnica@otc-cta.gc.ca (9 FTEs)

Roles (Air Adjudication Team):

• Support the Members in the adjudication of air tariff disputes.
• Support the Members in the drafting of air-related Inquiry decisions.
• Assisting in the completeness assessments for newly received air applications.

Key Active Files (Air Adjudication Team):

• The team is currently handling 89 air tariff related files and there is currently a queue of 66 files to be assigned.
• Multiple applicants v Multiple Carriers (Inquiry)
  • The Agency launched this inquiry in February 2020 – shortly before the COVID-19 pandemic hit Canada – in order to efficiently deal with a surge of communications-related complaints it received from air passengers in the period immediately after the coming into force of all provisions of the Air Passenger Protection Regulations (APPR) on December 15, 2019. The inquiry considered 567 complaints, involving a total of 182 flights operated by Air Canada, WestJet, Sunwing, Air Transat, Swoop and United Airlines.
  • In November 2020, the Agency opened pleadings on eight general questions of interpretation. The pleadings have closed in March 2021 and the panel is deliberating on the matter.
• Multiple applicants v Interjet
  • The Panel Members on several applications against Interjet have agreed to stay the cases for a period of 6 months in light of reports that the carrier intended to file before a Mexican court a petition in bankruptcy in the reorganization stage. The Decisions on these cases are currently being circulated for approval and they will be used as templates for any further applications filed against the carrier.

Major Files in the last five years (Air Adjudication Team):

• Multiple applicants v Multiple Carriers
  • On March 18, 2020, the Agency, of its own motion, issued Order No. 2020-A-32, where it found that in light of the extraordinary circumstances caused by the COVID-19 pandemic, it would be just and reasonable to temporarily stay dispute proceedings involving air carriers to permit them to focus on immediate and urgent operational demands. On March 25, 2020, the Agency extended the stay of proceedings, pursuant to Order No. 2020-A-37, until June 30, 2020.
• Mony and Shanbag v Porter
  • In Decision No. 59-C-A-2020, one of the issues considered by the Agency was baggage liability regarding a single piece of lost baggage containing items that belonged to both applicants. The Agency noted that this was a novel issue, one to which the limited Ontario law cited by the parties specifically leads to a conclusion that two passengers may not make separate claims with respect to the same piece of baggage. The Agency therefore found that the carrier properly applied the terms and conditions of its tariff when it only compensated one of the applicants for lost bag.
• Pieters v WestJet
  • In Decision No. 9-C-A-2019, the Agency expanded on its discretionary power under Section 37 of the CTA. The Agency states in the Decision that Section 37 of the CTA provides the Agency with the discretion to hear a complaint, and that the word “may” in this provision suggests that there is no obligation to hear every complaint, but that the Agency may exercise a certain amount of discretion when determining whether to hear a particular complaint. The Decision points out that this discretion was confirmed by the Supreme Court of Canada in Delta Air Lines Inc. v. Lukács, 2018 SCC 2(Delta).
  • The Decision further indicates that although the Delta case dealt with the issue of standing before the Agency, the Supreme Court’s decision confirmed that, with regard to the Agency exercising discretion under section 37 of the CTA, standing was but one element that could be considered in determining whether to hear a complaint. The Decision further points out that the Supreme Court decision provided a non-exhaustive list of potential factors that could be considered by the Agency in the exercise of its discretion, but underscored that it remained for the Agency to determine how to exercise its discretion under section 37 of the CTA. The only limitation imposed by the Supreme Court on the Agency's discretion was reasonableness.
• Cuthbert v Air Canada
  • In February 2018, the CTA issued a decision where it found that the amounts offered by Air Canada as denied boarding compensation from international points to Canada, as set out in the terms and conditions of Air Canada's international tariff, were unreasonable. The decision stemmed from a complaint made against Air Canada and filed with the CTA by Jeffrey Cuthbert, who argued that Air Canada's denied boarding compensation for flights originating in Costa Rica and destined to Canada were unreasonable and did not respect the order made by the CTA in Decision No. 71-C-A-2017.
  • After considering the matter, the CTA found that Air Canada's denied boarding compensation for flights departing from international points to Canada (except where foreign legislation applies), needs to be the same as the amount it provides for flights departing from Canada to international points. The CTA also found that when travel vouchers are offered in lieu of cash compensation, they should be three hundred percent of the amount of the cash compensation equivalent.
  • As a result this decision, the amounts offered by Air Canada as compensation for denied boarding from international points to Canada now range from $400 to $800, depending on the length of the delay.

Ongoing Major Initiatives (Air Adjudication Team):

• Checklists and performance analysis:
  • Providing weekly updates to Panel Members on active cases via recently launched case management checklist and maintaining the master table of all Checklists for the analysis of productivity and internal processes.
• Air Adjudication Workplan:
  • Creating and maintaining the green document, which provides staff with guidance information on the processing of cases. The maintenance of the Decision Table, which forms part of the workplan, is also maintained.

Rail and Marine Adjudication Team (Dispute Adjudication Directorate)

Team Lead: Patricia Lavigne, Patricia.Lavigne@otc-cta.gc.ca (4 FTEs)

Roles (Direction du règlement des différends):

• Supporting the Members in the adjudication of rail and marine disputes.
• Supporting the Members in the adjudication of NAV Canada appeal.
• Conducting the completeness review for rail and marine applications.
• Operationalizing the MOU with Transports Canada on noise and vibration applications, and crossing applications.
• Administer the final offer arbitration (FOA).

Key Active Files (Rail and Marine Adjudication Team):

• The team is currently handling 20 files.
• Richardson International Limited v Canadian National Railway Company
  • Re-hearing the application following the decision from the Federal Court of Appeal on the application for an order allowing traffic originating at two of Richardson International Limited grain elevators in the Province of Alberta that are served exclusively by CN to be interswitched to CP in the Edmonton area.
• Canada Malting Co. v Canadian Pacific Railway Company
  • Application for an order determining that the charges and associated terms or conditions of CP's certain Tariffs are unreasonable, and requiring CP to amend these items to bring them into line with the statutory requirement of reasonableness; application for an order prohibiting CP from attempting to collect charges under any provisions of Tariff 2 that the Agency has determined to be inconsistent with the statutory requirement of reasonableness.
• Shipping Federation of Canada v Great Lake Pilotage Authority
  • The SFC files an objection to the proposed regulations amending the Great Lakes Pilotage Tariff regulations as published on January 11, 2020. The SFC argues that the proposed tariff amendments are prejudicial to the public interest.
• Canadian National Railway Company v Town of Milton, Ontario
  • Application for an order respecting the construction, maintenance and apportionment of costs of a grade separation to be built at Lower Base Line at Mile 40.69 of CN's Halton subdivision required as part of CN Milton logistics hub.

Major Files in the last five years (Rail and Marine Adjudication Team):

• WestJet v NAV Canada
  • In Decision No. 4-A-2021, the Agency dismissed WestJet's appeal. In coming to this conclusion, the Agency examined the meaning and purpose of the charging principles and the requirement for reasonable and prudent projections in the context of a pandemic. It also ruled that it does not have jurisdiction to decide whether NAV CANADA has a duty of procedural fairness in setting charges for air navigation services.
• City of Montréal v Canadian Pacific Railway Company
  • In its Decision No. 34-R-2019 of what constitutes a suitable crossing, the CTA considers the impact of a crossing on railway operations; the impact on the safety of persons and property transported by railway companies and the safety of other persons and other property. The CTA also considers the impact, if any, of changes in railway operations created by the new road crossing on people in the area, including changes in noise and vibration levels. It also considers any technical restrictions with respect to the construction of a particular type of road crossing (at-grade or separated, either passing over or under the railway), among other factors.
  • For three of the five crossings, the CTA authorized the construction of at-grade crossings, as requested by the City of Montréal, because they were adequate and appropriate for the intended purposes. For the other two crossings, the CTA authorized the construction of grade separations at the proposed locations because the requested at-grade crossings would not be adequate or appropriate for the intended purposes.
  • The CTA determined that the City of Montréal is responsible for the costs of construction and maintenance of all five crossings.
• Greater Vancouver Water District v British Columbia Railway Company
  • In Decision No. 28-R-2019, the Agency determined that its authority under subsection 101(3) of the CTA is limited to authorizing the crossing and specifying who shall maintain it. It concluded that it does not have jurisdiction to order terms and conditions in relation to a utility crossing other than the terms and conditions directly related to the suitability of the crossing, namely, that related to construction and maintenance.
  • The Agency authorized GVWD to construct and maintain, at its own expenses, the water main.
• Univar v Canadian Pacific Railway Company
  • In Decision No. CONF-4-2017, the Agency decided that CP failed to fulfill its level of service obligations when its rail service ceased completely following a fire that damaged a bridge, except during two "reasonable pause" periods, which correspond to is the period of time that it would reasonably take to rehabilitate the damage to the infrastructure. The Agency ordered that CP compensate Univar for expenses it incurred as a result of CP's failure to fulfill its level of service obligations during the cessation of service.
  • The Agency stated that, "a railway company is not required to provide service that is previously provided when factors beyond its control make it impossible or clearly unreasonable for it to do so… any interruption in the obligation that would otherwise exist to provide rail service on the line should be as limited as possible, consistent with the purposes of the level of service provisions."
  • Appeal dismissed in Canadian Pacific Railway Company v. Univar Canada Ltd., 2019 FCA 24.
• Paterson v Canadian National Railway Company and Burlington Northern and Santa Fe
  • The Agency considered whether a facility was "reasonably close" to an interchange such that CN and BNSF would be required to provide reasonable facilities for convenient interswitching at the rates prescribe in the Railway Interswitching Regulations, SOR/88-41.
  • In Decision No. CONF-15-2018, the CTA found that, while it may consider service issues and competitiveness, the most pertinent consideration is distance when deciding whether interconnection should be ordered at a location deemed to be within 30 km of an interchange pursuant to subsection 127(4) of the CTA. It further specified that the primary consideration is radical distance, and that track distance would be considered where it is substantially longer than the radial distance.

Ongoing Major Initiatives (Rail and Marine Adjudication Team):

• Guidance Renewal Project:
  • Participate as subject matter expert in the revision of existing Agency guidance materials to ensure that they are clear, up-to-date and follow plain language principles.
• Web Content Review:
  • Assign a content owner for each rail and marine related web pages, review 15 pages per quarter and suggest either that the page be archived or amended, and provide amended content when applicable.

Accessibility Adjudication Team (Dispute Adjudication Directorate)

Team Lead: Valérie Sicard, Valerie.Sicard@otc-cta.gc.ca (3 FTEs)

Roles (Accessibility Adjudication Team):

• Support the Members in the adjudication of accessibility-related disputes.
• Support the Members in the review process for Notices of Violations that set out a warning for contraventions of designated accessibility provisions.
• Operationalizing the MOU with the Canadian Human Rights Commission with respect to the coordination of activities.
• Assisting in the completeness assessments for newly received accessibility-related applications.

Key Active Files (Accessibility Adjudication Team):

• The team is currently handling 31 files.
• JX v WestJet
  • The Agency granted JX's anonymity in this proceeding in which JX purchased a basic fare ticket for a round-trip from Vancouver to Montréal via Calgary and Toronto, returning to Vancouver via Toronto, all in a 28-hour period from June 3 to an arrival in Vancouver on June 5, 2019.
  • JX requested that the ticket be cancelled but the request was denied; WestJet advised that 24 hours cancellation period had expired and the ticket is non-refundable. JX states that she was “psychotic” when she purchased the ticket and not of sound mind and, as such, was not able to understand the terms and conditions of the ticket, including that it was not eligible for a refund. JX seeks a full refund of the ticket in the amount of CAD 757.79.
• Rose v Air Canada
  • Timothy Rose filed an application against Air Canada because the aircraft that Air Canada uses to transport passengers from Toronto to Cleveland cannot accommodate Mr. Rose’s power wheelchair. Mr. Rose also indicates that there are several other Air Canada routes that are inaccessible to him as the aircraft used on those routes cannot accommodate his power wheelchair.
  • Mr. Rose originally asked the Agency to order that the cargo doors and spaces of aircraft currently owned by or purchased by Air Canada be customized to accommodate a power wheelchair. However, the Terms of Reference for this proceeding, defined by the Agency, did not refer to retrofitting aircraft; rather, they refer to the allocation of existing aircraft on routes.
  • The Agency found that Mr. Rose who has cerebral palsy is a person with a disability who encountered an obstacle because Air Canada exclusively assigns aircraft for its route between Toronto and Cleveland that cannot accommodate the applicant’s power wheelchair. The Agency also found that Air Canada’s decision to operate other transborder routes in its network that are served only by aircraft that cannot accommodate larger mobility aids creates an obstacle to the mobility of all persons who use these devices.
  • Prior to the COVID-19 pandemic, the Agency conducted an oral hearing on whether Air Canada can remove the obstacles without experiencing undue hardship. As a result of the pandemic, Air Canada filed a request to submit fresh evidence on undue hardship due to the significant impact of the pandemic on its operation. The Agency granted Air Canada's request to adduce new evidence. The pleadings recently closed and the panel is deliberating on the matter.
• Greco v Air Canada
  • Lui Greco filed an application against Air Canada regarding the inaccessibility of the carrier’s website. Since Air Canada launched its new website in January 2017, Mr. Greco has substantial difficulty in using Air Canada's online reservation system.
  • The Agency found that Mr. Greco who has a vision impairment is person with a disability and the he encountered an obstacle to his mobility as his access to Air Canada's website is unequal to that of persons without a disability.
  • The Agency then opened pleadings on undue hardship and ordered Air Canada to provide written submission. As the request of both parties, the oral hearing scheduled for January 2021 as been postponed and the Agency is currently working with the parties to schedule the hearing before the summer.

Major Files in the last five years (Accessibility Adjudication Team):

• Sleeva v Rider Express Transportation Corporation
  • In Decision No. 26-AT-MV-2021, the Agency found that the applicant is a person with a disability and that they encountered an obstacle to their mobility when they were told that they could not travel on the respondent's buses. The Agency further found that that there is no basis to conclude that Rider Express cannot remove the obstacle without experiencing undue hardship and ordered it to provide bus services that are wheelchair accessible. The decision attracted media interest (CBC and Global NEWS).
• Kormod v Porter
  • In Decision No. 29-AT-C-A-2020, the Agency determined that the safety requirements in Porter’s emotional support animal policy are consistent with established rules and guidance and that they were adopted, and applied, in good faith to avoid obstacles for persons with disabilities while ensuring the safety and security of everyone travelling on their aircraft.
  • The Agency found that the emotional support animal was agitated, erratic, nervous, jumping on seats, and unwilling to lie on the floor, and that Porter was justified in refusing to transport the applicant and their ESA in light of the ESA's behaviour, as the resulting safety risks would have constituted undue hardship.
• Interpretive Decision – Applications made Pursuant to Subsection 172(1) of the CTA – Test for Dealing with Accessibility Complaints
  • In Decision No. 33-AT-A-2019, the Agency:
    • Recast its approach when considering applications made pursuant to section 172 of the CTA as a two-part approach to better reflect human rights jurisprudence;
    • Discussed the definitions of "disability" and "barrier" that were added through an amendment to the CTA;
    • Discussed the type of evidence that may be necessary for an applicant to prove that they have a disability;
    • Clarified that transportation service providers must first consider general modifications to remove a barrier. If such general modifications would result in undue hardship, then individual accommodation measures may be relied upon to remove the barrier;
    • Clarified that the threshold to establish undue hardship is high and that evidence in respect of the constraints must be objective, direct and, where appropriate, quantifiable.
• Jodhan v Greater Toronto Airports Authority
  • In Decision No. LET-AT-A-78-2017, the Agency found that wheelchair assistance is not an acceptable substitute for guiding persons who are blind and concluded that that the fact that it was offered "is indicative of a lack of awareness of, and sensitivity to, the disability-related needs of travellers with low vision or blindness, which in turn suggests a gap in policies and procedures and/or a lack of adequate training for staff."
  • As an interim measure pending regulatory developments, the Agency ordered GTAA to convene consultations to assess the effectiveness of current arrangements for the provision of accessibility-related assistance for people who are blind and travelling through the Pearson Airport, identify any areas that need improvement, and determine how appropriate measures will be implemented and monitored. GTAA was further ordered to file a report on these consultations with the Agency for review, and submit a plan with the Agency for approval describing measures to be implemented and monitored.

Ongoing Major Initiatives (Accessibility Adjudication Team):

• Web Content Review:
  • Assign a content owner for each accessibility-related web pages, review 15 pages per quarter and suggest either that the page be archived or amended, and provide amended content when applicable.
• Creation of a tool kit for the adjudication of accessibility files:
  • Creating and maintaining the green document, which provides staff with guidance information on the processing of accessibility-related cases. The maintenance of the Decision Table, which forms part of the tool kit, is also maintained.

DRB Statistics

Branch Overview (Internal Services Branch)

Mireille Drouin
Chief Corporate Officer

February 2021

Structure : Who we are (Internal Services Branch)

Mireille Drouin, Chief Corporate Officer and CFO
Executive Assistant: Julie Rehaluk
(2 FTEs)

• Vick Chauret, Director, Financial Services, Procurement and Asset Management (13 FTEs)
• Nadine Brisson, Director Workplace and Workforce Services (13 FTEs)
• Antoine Chevrette, Director Information Technology Services (17 FTEs)

What we do (Internal Services Branch)

• The Internal Services Branch supports Agency programs in the delivery of their mandates by providing a suite of corporate services including:
  • Financial Services, Procurement and Asset Management;
  • Workforce and Workplace Services (Human Resources, Facilities Management and Occupational Health and Safety);
  • Information Technology Services;
• In addition to these ongoing activities, ISB is leading a number of Agency major projects:
  • Internal response to Covid-19 pandemic
  • CTA Relocation Project to 60 Laval
  • Development of a New Case Management System

Financial Services, Procurement and Asset Management (Internal Services Branch)

Planning and Financial Management (Financial Services, Procurement and Asset Management)

• Lead Agency financial forecasting & reporting exercises
• Contribute to Agency funding requests
• Coordinate the preparation of the Departmental Plan and Departmental Results Report

Procurement (Financial Services, Procurement and Asset Management)

• Provide procedures and tools to enable the procurement of goods and services from external suppliers

Internal Control and Financial Reporting (Financial Services, Procurement and Asset Management)

• Public Accounts and Quarterly Financial Reporting
• Vendor payments and Employee reimbursements (membership fees, travel, training, conference, etc.)
• Acquisition card management
• Travel management

Workforce and Workplace Services (Internal Services Branch)

Workforce Management (Workforce and Workplace Services)

• Plan and manage the delivery of operational human resources services and activities directed to clients : staffing, classification, human resources systems, performance management & talent management, labour relations (the CTA has manages its own compensation using Phoenix – we are not clients of the Miramichi pay center)
• Develop and lead a suite of other programs to support the Agency's legal requirements in the areas of diversity, inclusion and employment equity, official languages, learning and development, harassment and violence prevention, disability management, duty to accommodate, values and ethics, conflict of interest and post-employment
• Develop and implement a variety of employee engagement programs and activities: new employee onboarding, wellbeing (including Mental Health), Employee Assistance Program and Informal Conflict Management Services, awards and recognition, Public Service Employee Survey.

Workplace Management (Workforce and Workplace Services)

• The CTA is currently located at 15 Eddy St, Gatineau and will be moving to a new building located at 60 Laval in Gatineau in the Fall of 2021.
• At its current location, the CTA is not the main tenant and therefore relies on other larger departments (HC and INAC) for the provision of most facilities management and security related services.
• The CTA will be the main tenant at 60 Laval and will therefore be responsible to manage and offer these services to other tenants.
• Workplace management services include facilities management, physical and personnel security, occupational health and safety.
• The team has lead the Agency's internal response to Covid 19. Agency employees have been working remotely since March 2020 with the exception of approximately 15 staff who are required to work onsite as needed to support essential services.

Information Technology Services (Internal Services Branch)

The CTA does not rely on Shared Services Canada for the provision of IT Services. A team of approximately 12 employees supports a full suite of IT Services:

Operations (Information Technology Services)

• Procure, configure and support IT equipment provided to employees (laptops and mobile Manage the IT Help Desk services
• Application and Infrastructure Support

IT Security (Information Technology Services)

• Awareness , Risk assessment, Monitoring, Investigation and Business Continuity

Solutions (Information Technology Services)

• Custom application development
• Database support

IT Procurement (Information Technology Services)

• Licences/MOU renewal
• IT hardware/solution acquisition

Internal response to Covid-19 pandemic (Internal Services Branch)

• Regular communication to staff on the impact of the pandemic and workplace health and safety measures in place.
• Provided employees with equipment to work from home (i.e. laptops, mobile devices, work surfaces, keyboards, headphones, mouse, chairs etc…).
• Prepared the workplace for a gradual return to the worksite by critical employees (i.e. signage, Plexiglas etc.).
• Personal protective equipment was made available onsite.
• Implemented a number of measures to ensure that staffing could proceed during the pandemic and that employees could be onboarded virtually.
• Electronic Signatures were implemented for all administrative processes.

CTA Relocation to 60 Laval (Internal Services Branch)

• The Agency will be moving to a newly constructed building located at 60 Laval in Gatineau in the Fall of 2021.
• The Agency will be the main tenant at the new location and will occupy 3 of the building's 5 floor. No other tenants have been confirmed to date.
• The design will follow GC Workplace standards which encourages collaboration, using technology in smarter ways, and fostering a culture of health and well-being.
• The Agency worked closely with the Rick Hansen Foundation in all phases of the building design to deliver a showcase in terms of accessibility.
• The server room currently located at 15 Eddy will be moved to a Shared Services Canada enterprise data center located in Borden, Ontario.

Case Management System (Internal Services Branch)

Project Purpose (Case Management System)

The purpose of this project is to develop a case management system (CMS) which will encompass the following long-term goals:

• harmonizing as well as standardizing data processing across the Agency;
• centralizing data storage solutions for better access across business lines;
• providing more user-friendly functions, and;
• introducing the capacity for automation within business process as related to case management.

Other Responsibilities (Internal Services Branch)

The Chief Corporate Officer has been designated by the Agency for the following roles, as required by Central Agencies:

• Chief Financial Officer
• Chief Security Officer
• Chief Information Officer
• Head of Human Resources
• Designated Official for Equity, Diversity and Inclusion
• Head of Performance Management
• Head of Evaluation

All Directorates (Internal Services Branch)

Internal Services Branch

Branch Head – Chief Corporate Officer: Mireille Drouin

The Internal Services Branch includes 3 Directorates and one special-project team:

• Workplace and Workforce Services Directorate
• Finance and Asset Management Services Directorate
• Information Technology Services Directorate
• CTA Relocation Project Team

The Chief Corporate Officer is the Agency's designated official in the following areas:

• Chief Financial Officer
• Head of Human Resources
• Chief Security Officer
• Chief Information Officer
• Senior Designated Official for Employment Equity, Diversity and Inclusion
• Senior Designated Official for the Public Servants Disclosure Protection Act
• Head of Evaluation
• Head of Performance and Evaluation
•  

Workforce and Workplace Services Directorate

Director: Nadine Brisson

Overview (Workforce and Workplace Services Directorate)

The Workforce and Workplace Services Directorate (WWSD) offers the full range of human resources services including the delivery of compensation services, as well as the delivery of services related to installations, physical and personnel security.

The Director of WWSD is the Agency's Deputy Chief Security Officer.

Directorate Structure and Responsibilities (Workforce and Workplace Services Directorate)

HR Planning and Classification (Workforce and Workplace Services Directorate)

Team Leader: Sylvain Lavoie

This unit is responsible for the development of the HR strategic planning and related action plan. They are also responsible for the organisational design and classification services for the agency at the corporate and operational level. The work is carried out by a team leader accredited in classification.

HR Centre of Expertise (Workforce and Workplace Services Directorate)

Team Leader: Flora Sigeris (acting)

The HR Centre of Expertise is responsible for the development and management of all HR programs directed to employees (Employee Assistance Program, Informal Conflict Management Services, Ombudsman, training, awards and recognition, onboarding/offboarding, diversity and inclusion, occupational health and safety, values and ethics, performance management, Public Service Employee Survey).

To compensate for the lack of internal expertise and capacity in some areas, the unit has established multiple memorandums of understanding with other departments. They also leverage the work of various Agency champions and committees to develop working plans and coordinate efforts in the promotion and development of guidance.

This unit also has a mandate more directed towards managers, in the areas of disability management, harassment and violence prevention, conflict of interests situations as well as the advice and interpretation related to labour relations services.

Staffing and Opertaions Group (Workforce and Workplace Services Directorate)

Team Lead: Camille Trudel (acting)

The staffing and operations group is at the heart of the HR Services. They develop, provide advice and monitor policies and activities related to the staffing framework, official languages, political activities as well as the personal data of employees (i.e. leave information). They work directly with managers to provide an efficient and agile staffing service. They also work closely with the compensation unit to ensure that employees are paid on time and are not affected by changes to their position or particular situation. They are also responsible for promoting, monitoring and reporting on Official Languages.

Compensation Unit (Workforce and Workplace Services Directorate)

Team Lead: Brigitte Lemieux

In contrast to most departments, the Agency has retained its compensation services and officers. The team of 3 employees provides day-to-day compensation and benefits services to all employees including Agency members. The Agency is proud to report that its employees are paid accurately and on-time and that we have had no grievance or official complaints regarding the impact of Phoenix. This team works with the MyGCHR and Phoenix systems.

Installations and Security (Workforce and Workplace Services Directorate)

Team Lead: Martin Rainville

This unit is responsible for the management of installations and of physical and personal security. On the security side, the team ensures the efficient and effective management of security, more specifically of the safeguarding of assets and people. On the installations' side, they are responsible to ensure that installations meet the requirements for security, health and safety, environment, accessibility and ease of access. This unit is also a key player in the move to 60 Laval.

Challenges

In 2021-22, WWSD will continue to face challenges related to the management of the Covid-19 pandemic, the Agency move to 60 Laval and the eventual return to the worksite in late 2021.

One of the Directorate's priorities this year will be the close monitoring of the Agency's Equity, diversity and inclusion plan, the Harassment and violence prevention program and the anticipated departure of approximately 100 temporary employees.

Upcoming changes to Official Languages Act as well as the Public Service Employment Act are also part of the landscape for this year.

What's Next

The following activities are part of the Directorate's priorities this year:

• Review of the Agency's HR Delegation
• Creation of a new 3 year HR strategic plan
• Review of the Agency's staffing framework and sub-delegation
• Conversion of IT positions in the fall of 2021 and preparation for the conversion of the PA group planned for the fall of 2022
• Finalization of the staffing cyclical review planned for the fall 2021
• Develop and implement the Agency's Return to the workplace policies and guidance material
• Implementation of the Agency's equity, diversity and inclusion plan
• Ongoing monitoring of the implementation of the Harassment and Violence Prevention (Bill C-65) related activities.
• Update the Agency's Business Impact Analysis for security at our new location
• Update the Agency's Business Continuity Plan in light of our move to a new location
• Creation of a Directive on Conflict of interest and post-employment
• Continue to improve the efficiency and flexibility of HR processes

Finance and Asset Management Services

Director: Vick Chauret

Overview (Finance and Asset Management Services)

The Finance and Asset Management Services Directorate is responsible for all activities related to Finance, Procurement and Financial Planning. The Directorate also provides support to the Chief Corporate Officer in the areas of results and evaluation. The Director of FAMS is the Agency's Deputy Chief Financial Officer.

Directorate Structure and Responsibilities (Finance and Asset Management Services)

Planning and Financial Management (Finance and Asset Management Services)

Team Lead: Sylvie Valiquette

• Lead Agency financial forecasting and reporting exercises
• Lead the budget allotment process (Main Estimates, Supplementary estimates etc..)
• Contribute to Agency funding requests
• Coordinate the preparation of the Departmental Plan and Departmental Results Report

Procurement (Finance and Asset Management Services)

Team Lead: Bernadette Beaudoin

• Lead the procurement process
• Provide procedures and tools to enable the procurement of goods and services from external suppliers

Internal Control and Financial Reporting (Finance and Asset Management Services)

Team Lead: Mélissa Loiselle

• Public Accounts and Quarterly Financial Reporting
• Vendor payments and Employee reimbursements (membership fees, travel, training, conference, etc.)
• Delegation of Authority
• Acquisition card management
• Travel management

Major Projects (Finance and Asset Management Services)

Cost Recovery Project (redacted)

Challenges (Finance and Asset Management Services)

The CTA currently lacks sufficient and stable funding to address its core mandate and fully support the delivery of services.

Funding requests developed over the last three years were mostly focussed on supporting the CTA's new responsibilities and changes in business volumes. In addition to these pressures, the CTA also faces other financial pressures in all programs and internal services.

The following presents the CTA's permanent and temporary funding leading up to fiscal year 2022-23 when all temporary funding will have sunset. Approximately 100 FTEs (of the Agency's current 375 FTEs) are currently funded by temporary funds expiring this year. Most of these FTEs work in the Dispute Resolution Branch.

The following table presents business volumes (air travel complaints only) covered by current funding levels above. This data has been extracted from the CTA's last funding request (B2020):

Opportunities(Finance and Asset Management Services)

Proceed with a program integrity budget request to secure funding for the next 5 years allowing the CTA to maintain operations with sufficient resources while the CTA develops and implements a new funding model.

Information Technology Services Directorate

Director: Antoine Chevrette

Overview (Information Technology Services Directorate)

The Information Technology Services Division (ITSD) provides a plethora of IT services to enable the Canadian Transportation Agency (CTA) in the delivery of its business mandate. ITSD is divided into three main technological units, each with their own technology-specific responsibilities to allow the successful delivery of the IT program.

The CTA currently operates and own its own IT infrastructure and therefore is required to have advanced expertise in a varied range of IT domains.

Directorate Structure and Responsibilities (Information Technology Services Directorate)

The Agency also devotes in-year operational funding for the procurement of IT equipment and software needed to maintain the currency of end-user computing devices and update the backend server infrastructure to support the delivery of IT-based projects. This year's IT operating budget is of $1,747,622, which is average and can slightly vary from year to year in correlation with the staffing level.

Application Solutions (Information Technology Services Directorate)

Team Lead: Ryan Guthrie

The Application Solutions (AS) unit is responsible for the development of business solutions to support the delivery of the Agency's core programs and services. This work unit has established strong architecture principles and uses Agile development methodologies in their quest to deliver quality business solutions that leveraging both commercially available software and custom coded applications. As well, this group is primarily responsible for the alignment between the IT and the business lines of the agency, crucial for establishing workload priorities and the most efficient use of IT resources.

Operations and Infrastructure (Information Technology Services Directorate)

Team Lead: Jonathan Guindon

The Operations and Infrastructure unit has two main mandates. First, it provides IT Help-Desk support services to Agency staff for such components as computer hardware, telephones, and conference room technology. Secondly, this unit supports the Agency's backend computing and related network infrastructure environments to ensure that the IT components on which the operations of the Agency's core services are dependent, continue to function without unplanned service interruptions.

Cyber-Security (Information Technology Services Directorate)

Team Lead: Gordon Estabrooks

The Cyber-Security unit focuses safeguarding the Agency's physical and information assets. The CTA IT Cyber security group works in conjunction with the Chief Security Officer and the Physical Security unit, as well as with IT Security colleagues from across the GoC to implement policies and practices to protect the Agency as best possible, against a wide range of attacks. The role of supporting staff in maintaining information security, the monitoring and reporting of information breaches is also the responsibility of the CS unit.

Major Projects (Information Technology Services Directorate)

The year 2020-2021 saw a major shift in the technological landscape of the Agency when the Covid-19 pandemic mandated telework across the public service. The IT division was able to react to this unprecedented shift by providing every staff with the ability to work remotely and obtain access to applications and office automation tools required to do their job, all the while accomplish this with minimal interruptions to the critical services provided by the Agency.

In addition to the ongoing operations, the IT Division is currently focusing on a number of projects that have been approved by the Executive Committee:

• Server Room move: Move the current CTA IT server and networking infrastructure to the SSC enterprise-class data centre in Borden, Ontario.
• Office Move Project: Deploy the necessary telephony and networking equipment to ensure a seamless move of the new office space to 60 Laval.
• Audio Visual/Video Conferencing: Implement an AV/VC solution in the new office space in 60 Laval.
• IT Strategic Plan: Submit a departmental IT Strategic Plan to TBS, serving to communicate the Agency's IT needs and technological direction, including our Cloud strategy, to key GoC stakeholders.
• Case Management System (redacted)
• Form Migration: Transfer the external respondents online forms to a modern platform and integrate these forms into the CTA automated case triage system.
• Air Travel Complaints (ATC) Web Guided Form: Build a guided web experience for respondent to file a complaint and auto-resolve the complaint based on the respondent answers.
• IT Business Continuity Plan: update the IT BCP.
• Office 365 : Deploy Microsoft Office 365 across the entire Agency, including MS-Teams in a Protected B environment.
• Cloud Onboarding: Develop an Agency Cloud adoption strategy with the goal of decreasing the Agency's physical server footprint.
• MyCTA : Add the HR automated onboarding/offboarding process to the CTA intranet site.
• IT Security: Review the CTA IT security landscape and improve the Agency's IT security safeguards by completing a number of sub-initiatives, including coordinating awareness campaigns, perform Security Risk Assessment on CTA public-facing applications and introduce the Security Assessment and Authorization process in major projects.

ITSD is also involved in 20 additional projects of lesser visibility, requiring the IT management team to balance the deployment of IT resources across all projects as well as the demand for user and application support. This is a complex balance due to the limited number of IT staff on the team.

On a quarterly basis, major projects are presented to the Executive Committee (EC) in the form of a dashboard in order to engage and obtain guidance from the Agency's leadership group.

Challenges (Information Technology Services Directorate)

The most significant challenge facing the IT Division is resourcing. The IT Division is a small but mighty team. It is responsible for many of the same IT services provided in much larger organizations, with much larger IT budgets. The limited resources allocated to IT means that the agency's IT environment has operated with a level of risk that put the Agency's mission critical service at a level of risk that is uncommon when compared to other GoC organizations. Examples of this include:

• limited redundancy in the IT infrastructure that provides online access to the Agency's core services;
• the inability to bring onboard subject matter experts in various domains of IT, instead opting for generalists when there is staff turnover;
• the high pace of work resulting in staff fatigue; and
• the inability to proactively focus on strategic outcomes such as innovation.

In addition, the organization's expectations in the area of support to Agency staff has increased, in fact outgrown the capacity that exists within the IT Support group. This is causing the reassignment of IT staff to perform IT support functions, putting in jeopardy other IT services. This has become a difficult situation to sustain over a long period of time.

It is crucial that a solution is identified in order to achieve a good balance between the demand for service and the capacity of the IT team. The IT Division has undertaken significant efforts to developing strategies in order to address many of these shortcomings and will engage the Agency's Senior Management Team in its delivery in order to ensure that we are mitigating the most pressing risks facing the entire organization.

In mid 2020, EC approved a temporary increase in funding for 2020-2021 and 2021-2022. This means that ITSD staffing levels have to adjust downward by April 1, 2022 to be in line with its base budget. This will require careful planning and a close evaluation of potential impact to the service levels currently provided across the entire division. ITSD commits to engaging EC on this issue before the end of the current fiscal period.

Opportunities (Information Technology Services Directorate)

One of the main opportunity described in the IT Strategic Plan is to leverage common GoC IT services made available by central agencies by removing the agency's dependency on its own proprietary IT services and associated infrastructure. Some of these services include the Agency's Email system, Document Management System, Office Automation tools and Collaboration tools, as well as a number of core infrastructure services.

The Agency's IT Division is entering into a healthy relationship with SSC with the intention of leveraging many of the services hosted by SSC for use by organizations across the entire GoC ecosystem. These services have been designed with flexibility to meet the needs of small and large organizations and intended to eliminate the duplication of effort that has traditionally existed across the departmental landscape.

As part of the CTA office move to 60 Laval, the IT team is moving its entire backend IT infrastructure to an enterprise level data centre owned and operated by SSC. This move will be completed by Summer 2021 and will bring immediate benefits by ensuring that CTA IT services are provided with first class environmental services, resulting in higher availability of CTA IT-based business solutions.

A strategic direction to the CTA IT plan is to leverage Cloud-based solutions offered by the industry. Through established procurement vehicles, SSC is making Cloud technology accessible to GoC organizations and through active research, the CTA IT team is investigating business opportunities that can take advantage of this relatively new service delivery model.

What's Next (Information Technology Services Directorate)

This year, the CTA will be responding for the first time to the TBS call out for departmental IT Strategic Plans. Although the Agency in not obligated to participate in this annual activity, we feel there are many benefits in communicating our information and technological plans in order to ensure that the IT Division is strategically positioned to enable the agency's business direction by providing a multi-year view of Agency priorities.

This inaugural plan provides a view of the activities taking place within the agency to advance the digitization of services the agency provides to Canadians and to its employees. In addition, the plan describes the areas where the agency will leverage various IM/IT enterprise services that are available across the GoC, namely Shared Services Canada and Public Services and Procurement Canada.

Another priority for IT Directorate's management team is to bring all around best practices to the day to day operations of the Agency, which we call Improving the Business of IT. The agency will benefit from an even stronger IT group as it supports many of the business transformation initiatives, as well as provide an environment that will allow our IT professionals with developmental opportunities to benefit them in their work with the Agency and for the longer term in their career.

Special attention will be given to the following IT domains:

• developing a disciplined approach in all areas of IT Security;
• formalizing service levels for all IT services;
• defining project controls in an Agile/DevOps delivery methodology to ensure the successful completion of Agency projects; and
• improve and formalize a business portfolio management model to ensure close alignment between business and IT.

The IT management team will continue to engage the Executive Committee on key decisions that will impact Agency services and in managing risks to an appropriate level for Agency operations.

Destination 60 Laval Project

Background (Destination 60 Laval Project)

The CTA will be moving to a newly constructed building located at 60 Laval in November/December 2021. Office accommodation is to be designed and implemented in accordance with the Government of Canada Workplace 2.0 Fit-up Standards utilizing an Activity Based Workplace approach.

Project Structure and Responsibilities (Destination 60 Laval Project)

The move project team is led by one consultant (Margaret Ebrecht) reporting to the Chief Corporate Officer, supported by one temporary project coordinator.

The CTA has been given authority by the Treasury Board (TB) to spend up to $3.5M on the Destination 60 Laval Project. All amounts spent are funded through a budget reprofile, which means that the CTA is borrowing spent amounts from its future reference levels (i.e. if we spend $1M on the project, our future reference levels will be reduced by $100K for the next 10 years).

In fiscal year 2020-21, Public Services and Procurement Canada (PSPC) adopted a new funding model for accommodation projects and as a result, have agreed to cover most expenditures. The CTA will therefore only be responsible for costs associated to IT equipment, video conferencing and audio visual hardware, filing room (considered special purpose space), some accessibility related customization and project team salaries.

Status Update (Destination 60 Laval Project)

60 Laval

The building and exterior shell have been completed and construction on the CTA floors has now started.

15 Eddy

The 19th, 18th and 15th floors of 15 Eddy need to be handed over to Public Service and Procurement Canada (PSPC) by September to allow the Les Terrasses de la Chaudière complex project to start (complete refit for future tenants).

The 17th floor will be left to CTA for essential employees and act as the staging area to consolidate move boxes and items from the other floors until the move date.

A project schedule was developed for the packing, cleanup and decommissioning of the floors over a 16 week timeframe. As restrictions to access the building due to COVID are maintained, a 7 week compressed timeframe was developed.

Change Management and Communications (Destination 60 Laval Project)

A pulse survey focussing on the current pandemic's impact on work habits and the move to 60 Laval was completed in May 2021. Tools and strategies are being refined based on the survey results, with milestones and activities in development with the Move team and Communications' Directorate.

In early June 2021, the change management team is hoping to have an opportunity to consult with the new Chairperson and the Executive Committee on broad policy decisions which will have an impact on the future of work at the CTA namely:

• Will employees be allowed to work from a remote location all the time or will there be a minimum number of days where employees will be expected to report to the worksite for in person meetings.
• Will offices be assigned or unassigned and under which circumstances will employees be assigned an office.
• Other key decisions required based on survey results.

Information Technology (Destination 60 Laval Project)

The CTA currently manages its entire backend IT infrastructure. Our server room is currently located at 15 Eddy, on the 17th floor.

As part of the move, the infrastructure will be moved to an enterprise data centre owned and operated by Shared Services Canada in Borden, Ontario. This move will be completed by the end of Summer 2021 and will bring immediate benefits by ensuring that CTA IT services are provided with first class services, resulting in higher availability of CTA IT-based business services.

Information Management (Destination 60 Laval Project)

Our new location at 60 Laval will be a paperless environment. A shift to this way of operating would normally have taken years to implement but the pandemic has taken care of most of our change management and we are now mostly paperless and have implemented e-signatures in all areas.

As part of the move, the information management team will digitize most documents, send to Library and Archives documents that have historical value and only move some paper files where it makes more sense. A filing room (secret level) is being constructed on the main level of 60 Laval.

Accessibility (Destination 60 Laval Project)

Mindful of its Accessibility mandate, the Agency decided at the onset of the project to make 60 Laval a showcase in terms of accessibility. The Move team has therefore worked closely with the Agency's Diversity and Inclusion Committee, the Rick Hansen Foundation and the Shared Services Canada's Accessible Technology centre of expertise in all phases of the project.

Going forward, work continues with the Rick Hansen Foundation who are currently assessing our building's accessible features, aiming to provide us with their Gold + Certification. This certification measures the level of meaningful access beyond building code, and is based upon the holistic user experience of people with varying disabilities affecting their mobility, vision, and hearing.

Security (Destination 60 Laval Project)

As a secondary tenant of Les Terrasses de la Chaudière, the Agency currently relies on Heritage Canada (PCH) and Crown-Indigenous Relations and Northern Affairs Canada (INAC) for its security services at 15 Eddy.

As the main tenant at 60 Laval, the Agency will be responsible for its own security services (i.e. security plan, emergency management plan, commissionaires etc…).

Annex A - All Directorates

Overview (Legal and Secretariat Services Branch)

The Legal and Secretariat Services Branch (LSSB) is the Agency's own in-house counsel, law department and its secretariat.

It is comprised of two directorates:

• the Legal Services Directorate, which provides a full range of legal advisory services on transportation, administrative and corporate matters as well as court litigation services, and hearing registrar services, and;
• the Secretariat, Registrar and Information Management Services Directorate, which is responsible for the issuance of all Agency rulings, for translation of all Agency prepared materials, for the direct communications with parties in dispute cases, for information management activities and for access to information and privacy.

Legal Services Directorate (Legal and Secretariat Services Branch

• 17 FTEs, including 14 legal counsel and two paralegal officers reporting to the
  • Senior General Counsel and Secretary – Valérie Lagacé: valerie.lagace@otc-cta.gc.ca
• Directly, or through the
  • Manager and Senior Counsel – Simon-Pierre Lessard: simon-pierre.lessard@otc-cta.gc.ca

Roles and workload volumes (Legal Services Directorate):

Agency Legal Counsels are Agency employees, not lawyers of the Department of Justice (DoJ). As such, they are responsible for providing legal advice on issues related to a broad range of legal fields (transportation, constitutional, administrative law, contract, insurance, indigenous, labour, human rights, access to information and privacy, procurement, etc.) and do not have access to DoJ's resources and expertise when doing so.

The Legal Services Directorate's three main functions are:

• Advisory services:
  • providing legal support to the Agency Chair, Members and/or staff on all aspects of the Agency's business, including dispute adjudication and regulatory determinations files, regulation development work and corporate matters.
  • An agency counsel is assigned to each dispute adjudication case, determination case (except routine determinations such as air licence or permit applications, non contested Coasting Trade Act applications, etc.), notice of violation and regulatory development and other major initiative files.
  • Agency legal counsels support Agency staff and Members at all stages of the processing of cases or the development of other initiatives. They actively participate in briefings with Agency staff and Members, provide strategic advice and recommendation on the Agency's proposed approaches or analysis of situations or issues, provide opinion on specific legal issues, prepare or review material prepared by Agency staff, including draft reasons, reports, web pages, media responses, regulation drafting instructions, guidance materials, etc.
  • As a result, the Legal Services Directorate's workload volumes, as it relates to advisory services, are commensurate to the workload volumes of other branches and to the level of complexity of each case and initiative
• Litigation services:
  • acting as the Agency's legal representative in proceedings before any court, tribunals or investigative bodies.
  • On average, the Legal Services Directorate is involved in 10-12 active litigation cases before higher courts (Federal Court of Appeal, Federal Court and Supreme Court of Canada) at any given time.
  • A large part of litigation cases involve statutory appeals of Agency decisions under section 41 of the Canada Transportation Act (CTA). However, other types of proceedings have become more common: appeals of rules of regulations (s. 41 of the CTA), judicial review of Agency actions that are not subject to the statutory right of appeal, petitions to the Governor in Council (section 40 of the CTA) and Transportation Appeal Tribunal (TATC) reviews (section 180.3 of the CTA), etc.
  • In particular, the Legal Services Directorate has been active in an increased number of TATC cases this year, compared to previous periods, which is directly resulting from the modernization of the compliance and monitoring program.
  • Work in any of these cases include the preparation and filing of written pleadings (memorandum of fact and law on leave to appeal applications and on the merit of appeals, motions and response to motions, response to court directions, etc.), the preparation of witnesses for cross-examinations and the presentation of oral arguments in court hearings.
  • In fiscal 2020-2021, the Legal Services directorate
    • responded to three motions for leave to appeal, including one to the Supreme Court of Canada;
    • filed written arguments on the merits of three appeal cases;
    • filed written arguments for two judicial review cases;
    • responded to 10 motions and directions of the court;
    • made oral arguments in one appeal case; and
    • filed submissions in 3 Governor in Council petition cases.
  • As of March 31, 2021, there are currently 11 active cases before the Federal Court or Federal Court of Appeal and 9 Transportation Appeal Tribunal review cases.
  • Three Transportation Appeal Tribunal review hearings have been scheduled for the spring and we are awaiting hearing dates in two Federal Court of Appeal cases.
• Hearing registrar services:
  • coordinating logistics and overseeing oral hearings convened by the Agency
  • The hearing registrar functions are performed by paralegal officers. Their involvement begins with the case once the panel of Agency Members determine the need for an oral hearing – either on the merits of the case or on preliminary or procedural matters. They actively participate in briefings with Agency staff and Members, as it relates to the oral hearing. The Hearing Registrar is required to provide an analysis of the logistical considerations and provide advice and recommendations to the panel of Agency Members, and separately to the CEO with respect to the financial considerations (hospitality, contractors, etc.) associated with an oral hearing.
  • As a result, the workload volume varies based on the number and complexity of the oral hearings held by the Agency. In this last fiscal year, the Agency transitioned to hosting oral hearings remotely, via Zoom. In an effort to better manage the expectations of the parties and the public/media, the Hearing Registrar is developing user guides for the participants and the public to better understand how a remote hearing will be conducted.
  • The paralegal unit coordinated two hearings in fiscal year 2020-2021, one with respect to a Level of Service arbitration case and one in the Greco v Air Canada case, which was postponed to a date to be determined by the end of May, 2021.

Secretariat, Registrar and Information Management Services Directorate (Legal Services Directorate)

• 28 FTEs (including casuals and term positions) reporting to the
  • Director, Secretariat, Registrar and Information Management Services – Patrice Bellerose: Patrice.Bellerose@otc-cta.gc.ca

Roles and workload volumes (Secretariat, Registrar and Information Management Services Directorate):

• Ruling issuance services (6 FTE):
  • all activities necessary for the issuance of Agency Decisions, Determinations, Orders, Letter Decisions and permits (rulings).
  • Each ruling is revised and edited by SRIMSD (Secretariat, Registrar and Information Management Services Directorate) staff to ensure it is accurate, grammatically correct and consistent with the Agency's style and terminology preferences. Once the text of a draft ruling has been edited, the directorate is responsible for obtaining approvals and final sign-offs from Members, and then issuing the ruling to parties. SRIMSD staff are also responsible for the formatting and the subsequent publication of final decisions and determinations on the Agency web site, once they have been translated.
  • The Secretariat, Registrar and Information Management Services Directorate (SRIMSD) is also responsible for maintaining and managing the use of over 150 templates.
  • This fiscal year, the directorate has processed and issued 1,115 rulings, including:
    • 107 Letter Decisions
    • 216 Determinations
    • 104 Decisions
    • 292 Orders
    • 396 Permits
  • These numbers are fairly consistent with previous fiscal years, despite COVID-19.
• Translation services (3 FTE):
  • translation of all Agency written materials which must be made available in both official languages.
  • The Secretariat, Registrar and Information Management Services Directorate (SRIMSD) delivers translation services for the entire organization. Material translated include rulings, internal and external guidance material, web content and other communications material, corporate reports and publications.
  • Translation is done internally by SRIMSD staff, or externally, by the Translation Bureau or private translation service providers. The Director of SRIMSD currently manages contracts with two translation service providers and a multiyear Memorandum of Agreement with the Translation Bureau.
  • All material translated externally is revised and edited by SRIMSD staff before being delivered to the client Branch.
  • As of March 31, SRIMSD translated or coordinated the translation of 972,165 words.
• Registrar services (6 FTE):
  • responsible for all direct communications to industry stakeholders and members of the public in dispute adjudication cases and for administration of the one entry one exit process.
  • The Registrar is the single communication channel between the Agency and the parties in all dispute adjudication cases. Under the one entry one exit process, the registrar receives, acknowledges receipt, keeps record and distributes to relevant Agency Staff and Members all incoming submissions of parties, and issues all Panel rulings to parties. The Registrar is also responsible for all other direct written or verbal communications with parties. The purpose of these communications is to inform them or answer their questions about the Agency's rules, processes and directions and how to fulfil their requirements. Each adjudication case may require multiple communications with parties, in particular where applicants are self-represented members of the public or when the adjudication case raises procedurally complex issues. For the adjudication function alone the Registrar team processed 9,651 submissions in Fiscal year 2020-21.
• Information Management (IM) (9 FTE):
  • all activities required to fulfill the Agency's IM obligations.
  • IM staff are responsible for all business processes relating to the creation of documents, such as electronic forms for ensuring that records are kept and managed in accordance with applicable statutes and central agencies' policies and other instruments, and disposed of at the end of their life cycle in accordance with the record disposition schedule.
  • This year, the Information Management team has converted approximately 30 wet signature forms into electronic forms, and assisted in refining 15 business processes within weeks of the beginning of the pandemic.
  • The team, with the help of temporary staff, is currently focussing on activities necessary for the move to 60 Laval. The Agency’s new offices will have limited storage capacity and the Agency needs proper IM solutions for preserving historical records. The IM team is leading the transformation to a paperless environment as well as the clean-up process, which includes providing direction to Agency staff regarding the proper triaging of records and subsequently ensuring that records are securely destroyed or, if they have business value, stored or digitized.
    • Scheduled disposition activities of records are 95% completed, unscheduled 40% completed.
    • 22,000 Rail Transport Committee files have been packed and inventoried for storage offsite.
    • 3,950 boxes have been sent offsite for shredding.
    • 4,500 boxes have been transferred to Library and Archives Canada.
    • 18,000 files from Department of Railways and Canals are being packed and inventoried for transfer to Library and Archives Canada.
    • 298 folders of paper files have been digitized to facilitate working from home for Agency employees.
    • 72,000 files have been updated in the file management system to reflect their current status (closed, transferred, scheduling, etc.)
• Access to Information and Privacy (4 FTE):
  • all activities required to fulfill the obligations of the Agency under the Access to Information Act and the Privacy Act.
  • The Access to Information and Privacy office receives access to information and privacy requests and prepares the agency's responses to requests, which involves collecting information from Offices of Primary Interest (OPIs) and applying exemptions and exceptions. The ATIP Office is also responsible for coordinating responses to complaints to the Access to Information and Privacy Commissioners. In addition, they are responsible for the production of the Agency's Annual Report on the Access to Information and Privacy Acts, the coordination and publishing of proactive disclosure summaries on Open Government and the publishing of the Agency’s Information about programs and information holdings (formerly InfoSource).
  • We have observed a constant growth in both the number and the complexity of requests received under both Acts over the last 5 years. In fiscal year 2020-2021, the ATIP office received and responded to 84 requests, collected and analysed 94,055 pages of records and released 12,441 pages of relevant records.

Chair & CEO - GIC

Chief Strategy Officer - M. Jones(Secondment out) / A. Burnside (acting)

Chief Compliance Officer - T. Oommen

Chief Dispute Resolution Officer - D. Smith (Assigned or acting in another position) / P. Kelly (acting)

Chief Corporate Officer - M. Drouin

Senior General Counsel and Secretary - V. Lagacé