Annual Report to Parliament 2019-2020 - Access to Information Act

I. Introduction

The National Research Council of Canada (NRC) is pleased to present to Parliament its annual report on the administration of the Access to Information Act (ATIA) for the 2019-2020 reporting period. This is done in accordance with section 94 of the ATIA, which requires the head of every government institution to submit an annual report to Parliament on the administration of the Act during the period beginning on April 1 of the preceding year and ending on March 31 of the current year.

The purpose of the ATIA is to enhance the accountability and transparency of federal institutions in order to promote an open and democratic society and to enable public debate on the conduct of those institutions. In furtherance of that purpose, Part 1 of the Act extends the present laws of Canada to provide a right of access to information in records under the control of a government institution in accordance with the principles that government information should be available to the public, that necessary exceptions to the right of access should be limited and specific and that decisions on the disclosure of government information should be reviewed independently of government. Part 2 of the Act sets out requirements for the proactive publication of information.

This thirty-sixth annual report on the administration of the ATIA at the NRC provides an overview of the activities by the Council undertaken during the 2019-2020 reporting period.

Mandate of the National Research Council of Canada

The NRC supports industrial innovation, the advancement of knowledge, technology development, and public policy mandates. The NRC plays a unique role in Canada, undertaking large-scale mission-oriented research and development programs. With a presence in every province, the NRC combines its strong national foundation with international linkages to help Canada grow in productivity and remain globally competitive. The NRC works in collaboration with industry, governments, and academia to maximize Canada’s overall R&D investment.

II. Organizational structure and delegation of authority

From April 1, 2019, to March 31, 2020, NRC’s President delegated full authority for the application and administration of the ATIA to the Vice-President, Business and Professional Services, to the Chief Information Officer & Director General of Knowledge, Information and Technology Services, and to the Director, Library and Information Management Services. Partial authority was delegated to the Access to Information and Privacy (ATIP) Coordinator.

A copy of the current signed Delegation Order can be found at Annex A.

During the 2019-2020 reporting period, the NRC’s ATIP Office was part of the Library and Information Management Services Directorate within the Knowledge, Information and Technology Services Branch.

The ATIP Office has three full-time positions: one ATIP Coordinator, one Senior ATIP Officer, and one Junior ATIP Officer. During this reporting period, NRC experienced challenges in staffing a full complement of ATIP Officers. As noted by other institutions subject to the Act, as well as by the Information Commissioner of Canada, a shortage of experienced ATIP personnel presents a challenge for staffing in both short and long term capacities.

The ATIP Office works closely with the NRC’s Information Management team, the Industrial Research Assistance Program ATIP Liaison Officer, Executive Advisors, the Communications Branch, and senior management across the organization.

The ATIP Office is responsible for the coordination and implementation of policies, guidelines, and procedures to ensure the organization’s compliance with the ATIA. To this end, the Office provides the following services:

• Promotes awareness of the ATIA within the organization;
• Processes and manages access to information requests and complaints;
• Manages the ATIP electronic case management system;
• Processes consultations received from other institutions;
• Provides professional advice and guidance to senior management and all departmental staff on the Act;
• Prepares the annual report to Parliament and the annual statistical report;
• Maintains NRC’s Info Source chapter;
• Reviews departmental documents (such as audit and evaluation reports prior to their proactive disclosure on the organization’s website), Parliamentary Questions and Harassment Reports for access-related considerations;
• Develops internal procedures; and,
• Participates in forums for the ATIP community, such as the Treasury Board of Canada Secretariat (TBS) ATIP Community meetings and working groups.

The NRC also offers facilities where members of the public may obtain and read information on the Council,including the inspection of manuals used by employees to administer or carry out programs or activities that affect the public. These facilities are located in Building M-55 of the NRC Montreal Road Campus, Ottawa, Ontario. Other arrangements can be offered if requested.

During the period covered by this report, the NRC was not party to any service agreements under section 96 of the ATIA.

III. Interpretation of Statistical Report

The complete statistical report on the administration of the ATIA by the NRC from April 1, 2019, to March 31, 2020, is included as Annex B. This section provides an interpretation of the statistics presented in that report.

During the 2019-2020 reporting period, the NRC received 58 new access to information requests. Six requests were outstanding from the previous period. Of the 64 requests processed during this period, 54 were completed, and 10 were carried over to the next reporting period.

The figures, as reflected in the chart below, indicate the number of requests received and processed over the past three years. These figures do not include requests processed informally or other types of queries (requests transferred from the NRC call centre, from other branches, from the Industrial Research Assistance Program, etc.) that were also addressed by the ATIP Office.

Long description for Chart 1: Volume of access to information requests

	Received	Completed	Carried forward
2017-2018	33	34	7
2018-2019	23	24	6
2019‑2020	58	54	10

The complexity associated with the processing of requests continued to increase, primarily due to:

• An increase in the average volume of pages requiring review; and,
• The broad scope of numerous requests, requiring the ATIP Office to retrieve records from multiple individuals and organizational groups.

The ATIP Office and the Information Management team continue to provide training and guidance to employees on the effective management of information (drafts, emails, duplicates, etc.) to address challenges with volume.

Of the 58 requests received, 19 were filed by the media, none by academia, 14 by business, 3 by organizations, 18 by members of the public and 4 by requestors who declined to identify.

Long description for Chart 2: Access to information requests received by source

	Access to information requests received by source
Media	33%
Academia	0%
Business	24%
Organization	5%
Public	31%
Decline to identify	7%

As a result of the posted summaries of completed access to information requests, the NRC received additional informal requests for previously released information. The ATIP Office processed 26 informal requests (not subject to the ATIA) in this reporting period.  This was a decrease of 38%, as compared to 42 informal requests received in the 2018-2019 reporting period.

Long description for Chart 3: Volume of informal access to information requests

	Volume of informal access to information requests
2016-2017	24
2017-2018	21
2018-2019	42
2019-2020	26

In terms of topics, the subject matter of the 58 requests received during this reporting period related to various activities across the organization as follows:

• Grants and contributions including the Industrial Research Assistance Program  – 11
• Contracting including call-ups and purchase orders – 9
• Program research – 6
• Other (including management correspondence and other specific requests) – 32

With regard to completion times, out of the 54 requests completed during this reporting period, 29 were completed in 30 days or less, 6 were completed within 31 to 60 days, 12 were completed between 61 and 120 days, 3 were completed in 121 to 180 days, 4 were completed between 181 and 365 days, and no requests were completed in excess of 365 days. All levels of the NRC worked diligently to ensure that statutory deadlines were met to the greatest extent possible, with 78% of requests responded to within legislated timelines.

 

Long description for Chart 4: Timelines and extensions – completed requests

	Consultation requests received by source
between 1 and 30 days	29
between 31 and 60 days	6
between 61 and 120 days	12
between 121 and 180 days	3
between 181 and 365 days	4
over 365 days	0

During the 2019-2020 reporting period, the NRC had 12 requests that were closed past the projected timelines, which accounted for 22% of the total requests.

Section 9 of the ATIA allows institutions to extend the time limit for the processing of requests if: (a) the request is for a large number of records or necessitates a search through a large number of records and meeting the original time limit would unreasonably interfere with the operations of the government institution; (b) consultations are necessary to comply with the request that cannot reasonably be completed within the original time limit; or, (c) as a result of the third party notice process carried out under section 27 of the Act. The NRC invoked an extension in the case of 25 requests. The extensions involved records containing confidential information which necessitated consultations with other institutions, organizations, and third parties, as well as in cases for which meeting the original time limit of thirty days would have unreasonably interfered with the operations of the Council.

Sections 3.2 and 3.3 of the Statistical Report focus on the application of exemptions and exclusions under the ATIA. During this reporting period, the most commonly invoked exemptions by the NRC were as follows:

• Section 18 (Economic interests of Canada)
• Section 19 (Personal information)
• Section 20 (Third party information)
• Section 21 (Advice, etc.)

As a government agency, the NRC is asked by other Government of Canada institutions, as well as other organizations (such as universities and provincial governments) for its input on disclosure of information about or originating from the NRC. During this reporting year, 61 consultation requests were received from other Government of Canada institutions, and 4 consultation requests were received from other organizations. This compares with 60 from other Government of Canada institutions and 5 from other organizations received in 2018-2019, and 76 from other Government of Canada institutions and 4 from other organizations received in 2017-2018. Providing timely responses to consultations represents a significant portion of the ATIP Office workload.

 

Long description for Chart 5: Consultation requests received by source

	Consultations from OGD	Consultations from organizations
2019-2020	61	4
2018‑2019	60	5
2017‑2018	76	4

The ATIP office works closely with the offices of primary interest at NRC to respond effectively to these requests.

With regard for the provisions of the ATIA, the NRC’s ATIP Office reviewed a total of 105 Parliamentary Questions received during this reporting period, compared to 148 reviewed in 2018-2019 and 98 reviewed in 2017-2018.

Long description for Chart 6: Parliamentary Questions

	Parliamentary questions
2017‑2018	98
2018‑2019	148
2019‑2020	105

At the end of the 2019-2020 reporting period, ATIP Offices across most Government of Canada institutions were functioning at reduced operational capacities due to exceptional measures put in place to curb the spread of the novel coronavirus (COVID-19). As a result, the processing of requests and consultations, as well as other activities that support ATIP program administration, were either delayed or temporarily suspended.

Beginning on March 13, 2020, the large majority of NRC activity moved offsite to teleworking as part of anti-COVID-19 measures. This impacted ATIP operations as ATIP staff adjusted to the new work environment and determined the best way to deliver on obligations in the new circumstances. Nevertheless, for the period since March, the ATIP Office made every reasonable effort to maintain service delivery in accordance with its operational realities.

For the 2019-2020 reporting period, the NRC was asked to complete a supplemental report on the impact of measures to curb the spread of the novel coronavirus on its performance. This supplemental statistical report is included as Annex C.

IV. Reporting on access to information fees for the purposes of the service fees act

The Service Fees Act requires a responsible authority to report annually to Parliament on the fees collected by the institution.

With respect to fees collected under the ATIA, the information below is reported in accordance with the requirements of section 20 of the Service Fees Act.

• Enabling authority: Access to Information Act
• Fee amount: $5 application fee
• Total revenue: $280
• In accordance with the Interim Directive on the Administration of the Access to Information Act, issued on May 5, 2016, and the changes to the ATIA that came into force on June 21, 2019, the NRC waives all fees prescribed by the Act and Regulations, other than the $5 application fee set out in paragraph 7(1)(a) of the Regulations.
• Fees waived: the application fee for 2 requests was waived during this reporting period.
• Cost of operating the program: $166,967

V. Access to information-related training and education

To increase the knowledge and understanding of the ATIA across the NRC, training and awareness sessions are delivered on an ongoing basis to NRC employees. These sessions provide basic information on the purpose and provisions of the Act, roles and responsibilities, and general best practices for information management. All training sessions include information on the identification and management of personal information and the Privacy Act. During this reporting period, the ATIP Office delivered a total of 3 training sessions to 48 employees located in the National Capital Region and in regional offices. The ATIP Office also delivered training to small groups on requests throughout the reporting period.

In support of ATIP activity across the Council, tools and guidance are updated regularly and are made available on NRC’s external and internal websites.

The ATIP Office continually works to sensitize and guide employees, third parties, and requesters on the requirements of the ATIA through ongoing dialogue and bilateral discussions. During the reporting period, the ATIP Coordinator and Officers responded to numerous inquiries from colleagues (Industrial Research Assistance Program, management, etc.), providing advice and guidance on various access-related matters.

The ATIP Office promoted Data Privacy Day within NRC through postings on the NRC internal website. Throughout this reporting period, the ATIP Coordinator and Officers attended ATIP community meetings and various training sessions offered by the TBS.

VI. Procedures, guidelines and directives

During this reporting period, the NRC refined its processes to comply with new proactive publication requirements following the Royal Assent of Bill C-58, An Act to amend the Access to Information Act and the Privacy Act and to make consequential amendments to other Acts. To this end, the ATIP Office participated in the creation of new internal procedures that support compliance with Part 2 of the ATIA which legislates the proactive publication of certain records produced by government institutions.

VII. Complaints, investigations and audits

One (1) complaint against the NRC was filed with the Office of the Information Commissioner (OIC) during the period covered by this report. In support of the OIC’s investigative process, the ATIP Office transferred all necessary records for their review. At the end of the reporting period, the complaint was unresolved.

There were no court cases and no audits of the NRC under the ATIA during this reporting period.

VIII. Monitoring of access to information requests

In keeping with TBS policies and directives, the ATIP Office has established internal ATIP procedures and business practices to ensure the efficient and timely processing of access requests, while making every effort to assist applicants in the most expeditious manner without regard for their identity.

The ATIP Office uses a case management system that tracks both active and closed requests. This system is designed to follow the legislative deadlines.

The ATIP Office holds weekly meetings to discuss request-related activities, determine timelines, and ensure that all team members are informed of the status of files. Weekly meetings also take place with the Director, Library and Information Management Services.

A report of active ATIP files (which maintains the privacy of the requesters’ identities) is shared with the NRC senior management team every week and a more detailed report is provided to delegated authorities. A weekly report is also shared with the Minister of Innovation, Science and Economic Development Canada.

Annex A: Delegation order

Access to Information and Privacy Act Delegation Order

The President of the National Research Council of Canada, pursuant to section 73 of the Access to Information Act and the Privacy Act, hereby designates the persons holding the positions set out in the schedule hereto, or the person occupying on an acting basis the position, to exercise the powers and functions of the President as the head of a government institution, under the section of the Acts set out in the schedule opposite each position. This Designation Order supersedes all previous designation orders.

Dated, at the City of Ottawa
10 October 2017

Iain Stewart
President of the National Research Council of Canada

Access to Information and Privacy Acts Delegation Order

The President of the National Research Council of Canada, pursuant to section 95 of the Access to Information Act and section 73 of the Privacy Act, hereby designates the persons holding the positions set out in the schedule hereto, or the person occupying on an acting basis the position, to exercise the powers and functions of the President as the head of a government institution, under the section of the Acts set out in the schedule opposite each position. This Designation Order supersedes all previous designation orders.

Dated, at the City of Ottawa
4 August 2020

Iain Stewart
President of the National Research Council of Canada

Annex B: Statistical report on the Access to Information Act

Name of institution: National Research Council Canada

Reporting period: 2019-04-01 to 2020-03-31

Section 1 – Requests under the Access to Information Act

Note: All requests previously recorded as "treated informally" will now be accounted for in this section only.

Section 2 – Decline to act on vexatious, made in bad faith or abuse of right request

Section 3 – Requests closed during the reporting period

3.5 Complexity

3.6 Closed requests

3.7 Deemed refusals

Section 4 – Extensions

Section 5 – Fees

Section 6 – Consultations received from other institutions and organizations

Section 7– Completion time of consultations on cabinet confidences

Section 8 – Complaints and investigations

Section 9 – Court action

Section 10 – Resources related to the Access to Information Act

Note: Enter values to two decimal places.

Annex C: 2019-2020 Supplemental Statistical Report – Requests affected by COVID-19 measures

In addition to completing the forms for the Statistical Reports on the ATIA and Privacy Act for 2019-20, institutions are asked to complete this Supplemental Report to help identify the impact of COVID-19 measures on institutional performance for 2019-20 and going forward. The data requirements are set out in the tables below.

Supplemental Statistical Report on the Access to Information Act

The following table reports the total number of formal requests received during two periods; 2019-04-01 to 2020-03-13 and 2020-03-14 to 2020-03-31.

The following table reports the total number of requests closed within the legislated timelines and the number of closed requests that were deemed refusals during two periods from 2019-04-01 to 2020-03-13 and 2020-03-14 to 2020-03-31.

The following table reports the total number of requests carried over during two periods; 2019-04-01 to 2020-03-13 and 2020-03-14 to 2020-03-31.