Annual Report to Parliament 2020-2021 – Privacy Act

I. Introduction

The National Research Council of Canada (NRC) is pleased to present to Parliament its annual report on the administration of the Privacy Act (PA) for the 2020‑2021 reporting period. This is done in accordance with section 72 of the PA, 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 PA is to extend the present laws of Canada that protect the privacy of individuals with respect to personal information about themselves held by a government institution and that provide individuals with a right of access to that information. The PA also regulates the collection, use and disclosure of personal information held by federal institutions including the NRC.

This thirty‑seventh annual report on the administration of the PA at the NRC provides an overview of the activities by the Council undertaken during the 2020‑2021 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, 2020, to March 31, 2021, the NRC's President delegated full authority for the application and administration of the PA 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 is included as Annex A.

During the 2020‑2021 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 four full‑time positions: one ATIP Coordinator, one Senior ATIP Officer, and two 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 Human Resources Branch, the Information Management team, 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 PA. To this end, the Office provides the following services:

• Promotes awareness of the PA within the organization;
• Processes and manages personal information 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 the NRC's Info Source chapter;
• Assists in the privacy impact assessment process and in creating or modifying personal information banks;
• 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 privacy‑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.

During the period covered by this report, the NRC was not party to any service agreements under section 73.1 of the PA.

III. Interpretation of statistical report

The complete statistical report on the administration of the PA by the NRC from April 1, 2020, to March 31, 2021, is included as Annex B. This section provides an interpretation of the statistics presented in that report.

During the 2020‑2021 reporting period, the NRC received 9 new requests for personal information and no requests were outstanding from the previous period.

The figures, as reflected in the chart below, indicate the number of requests received and processed over the past 3 years. These figures do not include informal privacy‑related queries received in the ATIP Office.

Long description for Chart 1: Volume of requests for personal information

Chart 1: Volume of requests for personal information

Status	2018‑2019	2019‑2020	2020‑2021
Received	16	13	9
Completed	17	13	6
Carried Over	0	0	3

Of the 6 requests completed within the reporting period 17% of records were "all disclosed" and no (0) records were "disclosed in part".

With regard to completion times, out of the 6 requests completed during this reporting period, 6 were completed in 30 days or less. No requests were closed past their statutory deadline, for 100% compliance with legislated timelines.

Long description for Chart 2: Number of days taken to complete requests

Chart 2: Number of days taken to complete requests

Number of days	Number of requests
1 to 30 days	6
31 to 60days	0
Over 61 days	0

Section 15 of the PA allows institutions to extend the time limit for processing requests for a maximum of 30 days if: (i) meeting the original time limit would unreasonably interfere with the operations of the government institution; or, (ii) consultations are necessary to comply with the request that cannot reasonably be completed within the original time limit. Should the records require translation or conversion to an alternative format, a reasonable period of time may also be taken to extend the time limit.

The NRC invoked an extension in 1 case where meeting the original time limit of 30 days would have unreasonably interfered with the operations of the organization due to the large volume of pages.

Sections 2.2 and 2.3 of the Statistical Report focus on the application of exemptions and exclusions under the PA. There were no exemptions invoked by the NRC for the reporting period.

As per the following chart, the number of pages processed in response to requests for personal information decreased from the two previous reporting periods.

Long description for Chart 3: Trends in number of pages disclosed

Chart 3: Trends in number of pages disclosed

Years	Pages processed
2018‑2019	6,542
2019‑2020	1,939
2020‑2021	38

During this reporting period, the ATIP Office processed one consultation under the PA.

With regard for the provisions of the PA and in the context of its general responsibilities, the NRC's ATIP Office reviewed a total of 145 Parliamentary Questions received during this reporting period, compared to 105 reviewed in 2019‑2020 and 148 reviewed in 2018-2019.

Long description for Chart 4: Parliamentary questions

Chart 4: Parliamentary questions

Years	Parliamentary questions
2018‑2019	148
2019‑2020	105
2020‑2021	145

At the end of the 2020‑2021 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 COVID‑19 response 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 2020‑2021 reporting period, the NRC was asked to complete a supplemental report. This supplemental statistical report is included as Annex C.

IV. Privacy‑related training and education

To increase the knowledge and understanding of the PA across the NRC, training and awareness sessions are delivered on an ongoing basis to NRC employees. These sessions provided basic information on the purposes and provisions of the Act, roles and responsibilities, and general best practices (such as email management). All training sessions include information on the identification and management of personal information in accordance with the provisions of the PA as well as the Access to Information Act. During this reporting period, the ATIP Office delivered a total of 5 training sessions to 62 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 regarding the requirements of the PA, through ongoing dialogue and bilateral discussions. During the reporting period, the ATIP Coordinator and Officers responded to numerous inquiries from colleagues (Human Resources Branch, management, etc.), providing advice and guidance on various privacy‑related matters.

The ATIP Office promoted Data Privacy Day within the 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.

V. Procedures, guidelines and directives

Faced with an increase in time sensitive projects (brought on by the shift to remote ways of working), the ATIP Office streamlined its procedures for administering privacy impact assessments (PIAs). The Office developed and implemented a new tool to engage with stakeholders in initial privacy risk evaluation, referred to as a 'preliminary risk assessment (data privacy).' The PRA assists the NRC in verifying whether new or substantially modified programs or activities involve personal information within an administrative context and whether they will have a significant impact upon privacy. The tool operates in parallel with the initial privacy (ethics) reviews undertaken by the Council's Research Ethics Board and the initial threat assessment activity undertaken by the NRC Security Branch.

In addition, the ATIP Office has collaborated with the NRC's Human Resources team to systematize procedures for granting access to personnel records when requested under the PA. The new process functions to improve workflow and transparency.

VI. Complaints, investigations and audits

During this reporting period no complaints against the NRC were registered with the Office of the Privacy Commissioner.

There are no ongoing investigations or audits of the NRC under the provisions of the PA.

VII. Monitoring of request for personal information

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 personal information 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.

No requests for the corrections to personal information were received by the ATIP Office during this reporting period.

VIII. Material privacy breaches

No material privacy breaches occurred during 2020‑2021 reporting period.

IX. Privacy impact assessment activities

The NRC did not complete any privacy impact assessments during this reporting period.

X. Section 8(2)(m) disclosures

Paragraph 8(2)(m) allows for the disclosure of personal information when the public interest clearly outweighs any invasion of privacy or when the disclosure would benefit the individual. There were no disclosures pursuant to paragraph 8(2)(m) for the 2020‑2021 period.

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
4 May 2020

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 October 2020

Roger Scott‑Douglas
(Acting) President of the National Research Council of Canada

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
18 January 2021

Mitch Davies
President of the National Research Council of Canada

Annex B: Statistical report on the Privacy Act

Name of institution: National Research Council Canada

Reporting period: 2020-04-01 to 2021-03-31

Section 1: Requests under the Privacy Act

Section 2: Requests closed during the reporting period

2.5 Complexity

2.6 Closed requests

2.7 Deemed refusals

Section 3: Disclosures under subsection 8(2) and 8(5)

Section 4: Requests for correction of personal information and notations

Section 5: Extensions

Section 6: Consultations received from other institutions and organizations

Section 7: Completion time of consultations on cabinet confidences

Section 8: Complaints and investigations notices received

Section 9: Privacy impact assessments (PIAs)

Section 10: Material privacy breaches

Section 11: Resources related to the Privacy Act

Note: Enter values to two decimal places.

Annex C: 2020‑2021 Supplemental statistical report

Supplemental Statistical Report on the Access to Information Act and Privacy Act

In addition to completing the forms for the Statistical Reports on the ATIA and Privacy Act for 2020-21, institutions are asked to complete this Supplemental Report to help identify the impact of COVID-19 measures on institutional performance for 2020-04-01 to 2021-03-31. The data requirements are set out in the tables below.

Section 1: Capacity to Receive Requests

Enter the Number of weeks your institution was able to receive ATIP requests through the different channels.

Section 2: Capacity to Process Records

2.1 Enter the number of weeks your institution was able to process paper records in different classification levels.

2.2 Enter the number of weeks your institution was able to process electronic records in different classification levels.