2019-2020 Annual Report to Parliament – Administration of the Access to Information Act – DND

Department of National Defence and the Canadian Armed Forces

1. Introduction

The Department of National Defence and the Canadian Armed Forces are pleased to present to Parliament their annual report on the administration of the Access to Information ActFootnote 1 (ATI Act). Section 94 of the ATI Act requires the head of every federal government institution to submit an annual report to Parliament on the administration of the Act each financial year. This report describes National Defence activities that support compliance with the Act for the fiscal year (FY) commencing 1 April 2019 and ending 31 March 2020.

1.1. Purpose of the Access to Information Act

The purpose of the ATI Act 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:

2. Access to Information and Privacy at National Defense

2.1. Mandate of National Defence

Who we are

The Department of National Defence (DND) and the Canadian Armed Forces (CAF) make up the largest federal government department. Under Canada’s defence policy, the Defence Team will grow to over 125,000 personnel, including 71,500 Regular Force members, 30,000 Reserve Force members and 25,000 civilian employees.

What we do

DND and the CAF have complementary roles to play in providing advice and support to the Minister of National Defence, and implementing Government decisions regarding the defence of Canadian interests at home and abroad.

At any given time, the Government of Canada can call upon the CAF to undertake missions for the protection of Canada and Canadians and to maintain international peace and stability.

Canada’s defence policy presents a new strategic vision for defence: Strong, Secure, EngagedFootnote 2. This is a vision in which Canada is:

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Strong at home, with a military ready and able to defend its sovereignty, and to assist in times of natural disaster, support search and rescue, or respond to other emergencies.

Secure in North America, active in a renewed defence partnership in the North American Aerospace Defense Command (NORAD) and with the United States to monitor and defend continental airspace and ocean areas.

Engaged in the world, with the Canadian Armed Forces doing its part in Canada’s contributions to a more stable, peaceful world, including through peace support operations and peacekeeping.

The National Defence Act (NDA) establishes DND and the CAF as separate entities, operating within an integrated National Defence Headquarters as they pursue their primary responsibility of providing defence for Canada and Canadians.

2.2. National Defence organization

Senior leadership

The Governor General of Canada is the Commander-in-Chief of Canada. DND is headed by the Minister of National Defence. The Associate Minister of National Defence supports the Minister of National Defence. The Deputy Minister of National Defence is the Department’s senior civil servant. The CAF are headed by the Chief of the Defence Staff, Canada’s senior serving officer. These senior leaders each have different responsibilities:

Defence organization

The National Defence organizational structure is represented in the diagram below. Additional information about the National Defence organization is available onlineFootnote 3.

Figure 1 : National Defence Organization Chart

2.3. The Directorate of Access to Information and Privacy

Delegation of authority

In accordance with section 95(1) of the Access to Information Act, a delegation of authority, signed by the Minister, designates the Deputy Minister, Corporate Secretary, Access to Information and Privacy (ATIP) Director, and ATIP Deputy Directors to exercise all powers and functions of the Minister, as the head of institution under the Act. It also designates other specific powers and functions to employees within the Directorate Access to Information and Privacy (DAIP).

Under the authority of the Corporate Secretary, the ATIP Director administers and coordinates the Access to Information Act and the Privacy Act, and acts as the departmental ATIP Coordinator. In the administration of the Act, the ATIP Directorate seeks advice on legal, public affairs, policy, and operational security matters from other organizations and specialists as required.

A copy of the Access to Information Act and Privacy Act Designation Order is provided at Annex A.

The ATIP Directorate

The ATIP Directorate is responsible for matters regarding access to information and privacy protection within the National Defence portfolio, except in the case of the following organizations: the Military Police Complaints Commission, the Military Grievances External Review Committee, the Office of the National Defence and Canadian Forces Ombudsman, the Office of the Chief Military Judge and the Director of Defence Counsel Services, and the Canadian Forces Morale and Welfare Services.

As a result of ATIP program review, the ATIP Directorate conducted an organization review and design exercise supported by Human Resources and staff which resulted in organizational changes aimed to increase efficiencies, build a robust support system and to streamline Access Operations. The Director Access to Information and Privacy was elevated to an Executive Director level position and a new Chief of Operations position was created to oversee all ATI Operations from intake to disclosure. The System Liaison Team was staffed with a Database Administrator to support case management and redaction software and a Corporate Services Manager position was created to ensure strengthened oversight of our financial and human resources.

The Chief of Operations position established a centralized leadership role which ensures consistency across teams, quality assurance activities for data and compliance to processes, tracking performance as well as monitoring for the identification of trends and horizontal issues. The ATIP Intake team, Systems Liaison Team and ATI Operations teams report to Chief of Operations. The Chief of Operations, Privacy Operations, Policy and Governance Team and the Chief of Staff report to the Executive Director.

The Directorate’s ATIP program management workforce is divided functionally into four main areas, and supported by Defence organization liaison officers, as illustrated in the diagram at Figure 2.

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Figure 2: National Defence ATIP Operational Workforce

Figure 2: Long description

National Defence ATIP operational workforce

ATIP Intake receive requests from outside of the Department, send tasking notices to request records from National Defence organizations and prepare records for review.

ATI Operations process access to information requests, conduct line-by-line review of records, consult other parties for disclosure recommendations and apply Access to Information Act provisions.

ATI Liaison Officers is a role performed within each of the organizations identified in the National Defence organization chart.  This role supports the ATIP program by coordinating the ATI activities for their respective groups.

Privacy Operations process personal information requests, conduct line-by-line review of records, apply Privacy Act provisions, process requests for disclosures in the public interest and retain records of disclosures to investigative bodies.

Policy and Governance provides strategic advice and issues management support, develop policy instruments, deliver training and awareness program, perform data analysis and report on program performance, manage privacy incident response process, and conduct privacy risk assessments.

The Privacy Liaison Officers is a role performed within each of the organizations identified in the National Defence organization chart.  This role supports the ATIP program by coordinating the privacy incident response activities for their respective groups

The ATIP Directorate is supported by a Systems Liaison Team that maintains the ATIP application system and database, and a Business Management Office that is responsible for business planning, budgeting, human resources, physical security, and other administrative duties.

In response to a key National Defence priority, The ATIP Directorate maintained a Litigation Support Team. This unit performs an ATIP-like review of records in support of class action settlements such as the LBGT Class Action and the DND/CAF Sexual Misconduct Class Action settlements.

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3. Highlights of the Statistical report

The statistical report at Annex B consists of data submitted by National Defence as part of Treasury Board Secretariat (TBS) annual collection of ATIP-related statistics. The following sections contain highlights, trends and an analysis of notable statistical data from a departmental perspective.

3.1. Informal requests processed

In FY 2019-2020, National Defence responded to 246 informal requests, 149 of these were completed in 30 days or less representing a production efficiency increase approaching 10%. An informal request is a request for information made to a government institution subject to the ATI Act that is either not made or not processed under the Act. To support increased transparency and the principles of Open Government, National Defence encourages informal access to records wherever possible.

Informal requests reported in this section include:

3.2. Requests received

In FY 2019-20, DND/CAF received 1,972 new ATI requests, a 15% reduction in requests from the previous reporting period. Combined with a carry-over of 1,013 files from FY 2018-19, this represents a total ATI workload of 2,985 requests during this reporting period. The number of request files carried over decreased from 1,256 requests in FY 2018-19 to 1,013 in the current reporting period.

Figure 3: ATI request workload (Last five years)

Figure 3: Long description

Access to Information Request workload

In 2015-2016, 2189 requests were received, 620 requests were carried over from the previous reporting period. A combined workload of 2809 requests.

In 2016-2017, 2838 requests were received, 673 requests were carried over from the previous reporting period. A combined workload of 3511 requests.

In 2017-2018, 2055 requests were received, 1279 requests were carried over from the previous reporting period. A combined workload of 3334 requests.

In 2018-2019, 2275 requests were received, 1256 requests were carried over from the previous reporting period. A combined workload of 3531 requests.

In 2019-2020, 1972 requests were received, 1013 requests were carried over from the previous reporting period. A combined workload of 2985 requests.

Since FY 2011-2012, National Defence has ranked in the top five federal institutions for highest volume of requests received according to annual statistics compiled by Treasury Board Secretariat (TBS).

Sources of requests

The general public remains the largest source of requests, accounting for over half of all requests received. The remaining sources of requests were more evenly distributed across the remaining categories than noted in previous reporting periods.

Figure 4: Sources of requests received (FY 2019-2020)

Figure 4: Long description

Sources of Requests Received

259 requests were received from Media

104 requests were received from Academia

118 requests were received from Organizations

208 requests were received from Business (Private Sector)

1107 requests were received from the Public

176 requests were received where the source decline to identify

3.3. Requests completed

A total of 1,691 requests were completed during the reporting period, 827 fewer requests than in FY 2018-19 representing a 33% decrease. Even though fewer requests were completed this FY, the total pages processed remained consistent with the previous reporting period which is indicative of a steady workload year over year.

One request was closed during FY 2019-20 in which National Defence neither confirmed nor denied the existence of the records, in accordance with subsection 10(2) of the ATI Act. Defence only invokes this provision in those limited circumstances where the mere confirmation of a record’s existence (or non-existence) would reveal information that could be protected under the ATIA. Typically, these situations relate to the defence of Canada or the possible disclosure of personal information.

Figure 5: Disposition of requests completed and total requests closed (last five years)

Figure 5: Long description

Disposition of Request Completed and Total Requests Closed

In 2015-2016, 326 were all disclosed, 853 were disclosed in part, 52 where nothing was disclosed, 368 were transferred or does not exist, and 539 were abandoned.  A total of 2136 requests were closed.

In 2016-2017, 353 were all disclosed, 823 were disclosed in part, 50 where nothing was disclosed, 338 were transferred or does not exist, and 668 were abandoned.  A total of 2232 requests were closed.

In 2017-2018, 285 were all disclosed, 773 were disclosed in part, 29 where nothing was disclosed, 405 were transferred or does not exist, and 590 were abandoned.  A total of 2082 requests were closed.

In 2018-2019, 344 were all disclosed, 1047 were disclosed in part, 60 where nothing was disclosed, 349 were transferred or does not exist, and 718 were abandoned.  A total of 2518 requests were closed.

In 2019-2020, 164 were all disclosed, 449 were disclosed in part, 29 where nothing was disclosed, 386 were transferred or does not exist and 662 were abandoned. A total of 1691 requests were closed. closed.

A number of requests (531) were abandoned within the first 15 days primarily as a result of the TBS ATIP Online Request initiative where a large number of requests for personal information were submitted under the ATI Act. These files were initially opened as ATI requests but were determined to be more appropriately administered under the Privacy Act.

Pages reviewed

While there was a decrease in the number of requests processed during this reporting period, the volume of pages reviewed remained consistent with the number of pages reviewed during the last reporting period; with 202,834 pages processed during the reporting period – representing only a 0.3% decrease in pages processed as compared to FY 2018-19.

The number of pages reviewed represents the total processed pages for closed requests and does not include the number of pages processed for requests that were carried over into the next reporting period.

Figure 6: Number of pages reviewed for requests closed, where records existed (last three years)

Figure 6: Long description

Number of Pages Reviewed for Requests Closed, where Records Existed

In 2017-2018, 170 771 pages reviewed for 1677 requests closed

In 2018-2019, 203 685 pages reviewed for 2171 requests closed

In 2019-2020, 202 834 pages reviewed for 1305 requests closed

Exemptions and exclusions

Consistent with the previous reporting period, in FY 2019-20, Defence applied the majority of exemptions under the following four sections of the ATI Act:

Extensions

The ATI Act provides for extending the statutory time limits to respond to a request beyond 30 days if:

  • It involves a large number of records or requires a search through a large number of records, and meeting the original time limit would unreasonably interfere with the operations of the institution
  • External consultations are necessary and cannot reasonably be completed within the original time limit
  • Notice to a third party is required to advise them their information is the subject of a request

Figure 7: Reasons for extension (FY 2019-2020)

Figure 7: Long description

Reasons for Extension

41 extensions were taken for external consultations

258 extensions were taken for interference with operations

284 extensions were taken for third-party notice

In FY 2019-20, 67% of all extensions taken for closed requests were required to conduct external consultations with other bodies such as federal government institutions, provincial or municipal governments, or international organizations or governments. The majority of extensions (78%) were for 60 days or less.

The number of extensions should not be interpreted as the number of files for which extensions are claimed. A single file could, and quite often does, qualify for multiple extensions. For example, a file could be extended because it has a large volume of records, and also be extended because consultations (one or multiple) are required. This appears in the statistical report as multiple extensions but only for a single file.

Completion time

Figure 8 illustrates the number of files closed within the 30 day statutory timeframe over a five year period. The Department noted a 10% increase in files closed within 30 days over the last reporting period (59% of files were closed within 30 days during this reporting period vs 49% closed within 30 days during the previous reporting period). In addition, some of these requests were abandoned in favour of processing under the Privacy Act and files closed beyond 30 days were not necessarily late as legal extensions may have been applied.

Figure 8: Request completion time (Last five years)

Figure 8: Long description

Request Completion Time

In 2015-2016, 1019 requests were closed in 30 days or less, 226 requests were closed between 31-60 days, 306 requests were closed between 61-120 days and, 548 requests were closed in 121 days or more

In 2016-2017, 1061 requests were closed in 30 days or less, 335 requests were closed between 31-60 days, 363 requests were closed between 61-120 days and, 472 requests were closed in 121 days or more

In 2017-2018, 870 requests were closed in 30 days or less, 158 requests were closed between 31-60 days, 247 requests were closed between 61-120 days and, 806 requests were closed in 121 days or more

In 2018-2019, 1222 requests were closed in 30 days or less, 306 requests were closed between 31-60 days, 288 requests were closed between 61-120 days and, 702 requests were closed in 121 days or more

In 2019-2020, 103 requests were closed in 30 days or less, 59 requests were closed between 31-60 days, 84 requests were closed between 61-120 days and 337 requests were closed in 121 days or more

On-time compliance

Improvements in on-time compliance were realized in FY 2019-20 with National Defence responding to 66% of requests within legislated timelines which represents a 5% improvement over the last reporting period where 61% of requests were closed within legislated timelines.

Workload continued to be the most common reason for deemed refusal, cited for over 44% of requests closed late during the reporting period. Figure 9 illustrates the reasons contributing to late file closures in FY 2019-20.

Figure 9: Reasons for deemed refusal (FY 2019-2020)

Figure 9: Long description

Reasons for Deemed Refusal

1108 requests were closed on time while 583 requests were closed late

258 requests closed late is due to workload

47 requests closed late is due to internal consultations

41 requests closed late is due to external consultation

237 requests closed late is due to other factors

While Defence performance increased in this reporting period, some factors affecting performance and deemed refusal rates include:

3.4. Consultations received and completed

During the reporting period, Defence received a total of 404 requests for consultation – 368 from other Government of Canada institutions and 36 from other organizations. The total workload for consultation requests increased by 7% over FY 2018-2019.

While the number of consultations received has remained relatively stable over the last five years, the Department has noted a carry-over of consultations, which has resulted in an increasing overall workload volume. National Defence had 253 consultations pending at the end of this reporting period.

Figure 10: ATI consultation workload (Last five years)

Figure 10: Long description

Access to Information Consultation Workload

In 2015-2016, 416 consultations were received during the reporting period, 80 were carried over, for a total of 496

In 2016-2017, 400 consultations were received during the reporting period, 71 were carried over, for a total of 471

In 2017-2018, 433 consultations were received during the reporting period, 116 were carried over, for a total of 544

In 2018-2019, 376 consultations were received during the reporting period, 211 were carried over, for a total of 587

In 2019-2020, 368 consultations were received during the reporting period, 175 were carried over, for a total of 543

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4. COVID-19 Impacts to ATI Operations

Operation LASER

Operation LASERFootnote 5 is the Canadian Armed Forces’ response to a worldwide pandemic situation.

During Operation LASER, the CAF implemented certain measures on their personnel and Department of National Defence (DND) employees to reduce the impacts of a pandemic situation. These measures were implemented in order to maintain operational capabilities and readiness to support Government of Canada objectives and requests for assistance.

On March 13, 2020, DND/CAF initiated its Business Continuity Plan (BCP) in response to the evolving COVID-19 pandemic. A limited number of employees across the Department in positions designated as essential services worked in various office locations, while others were equipped with government supplied laptops and established connectivity to the Defence Wide Virtual Private Network (VPN) to enable them to work remotely from home.

ATIP Operations

The ATIP Operations teams assumed a telework posture. VPN access was initially limited to ensure essential DND/CAF services could be performed. In addition to limited VPN capability, the majority of ATI work requires access to secure networks to review and redact information which significantly impacted ATI Operations.

National Defence took a proactive approach to managing COVID-19 impacts to ATIP program delivery. Following TBS Guidance, applicants were notified of reduced capacity and the expectation of delays due to the exceptional circumstances. Individual applicants were each contacted directly to seek their consent to place request files on hold.

The COVID-19 supplemental statistical report at ANNEX C represents National Defence impacts to ATI Operations. A total of 48 requests made under the Access to Information Act were received during the two-week COVID-19 period in March 2020 during FY 2019-2020.

Policy & Governance

The ATIP Policy & Governance (P&G) team provides strategic advice and support to management. This includes privacy advisory services to the department for matters relating to COVID-19 activities including the collection, use and disclosure of personal information relating to COVID-19 tracking. The P&G team assumed a telework posture with limited VPN connectivity during the initial COVID BCP period.

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5. Complaints, audits and reviews

5.1. Complaints from the Office of the Information Commissioner

In FY 2019-20, National Defence received a total of 216 complaints from the Office of the Information Commissioner (OIC). The number of complaints received increased as compared to 143 requests received in the previous reporting period; however, it is notable that the number of well-founded complaints has decreased from 54 that were well-founded in FY 2018-19 to 30 well founded complaints this reporting period.

Figure 11: OIC findings and nature of well-founded complaints (FY 2019-2020)

Figure 11: Long description

OIC Findings and Nature of Well-Founded Complaints

100 complaints were discontinued, settled, or resolved

30 complaints were well founded, 20 of which were administrative in nature (delays and time extensions), and 10 of which were refusal complaints (application of exemptions or possible missing records)

15 complaints were not well founded

Statistical reporting requirements for complaints and investigations with the OIC are noted below:

Systemic Investigation

In December 2018, the Information Commissioner initiated a systemic investigation into the processing of access requests during the period from January 1, 2017, to December 21, 2018. As noted in the OIC final report, National Defence fully cooperated throughout the investigation.

In January 2020, the OIC issued the Final Report of Findings to the Department which contained 9 specific findings and their associated recommendations. The Department agrees with all 9 recommendations and has developed a Management Action Plan that that will address these and will be implemented in FY 2020-2021.

Complaints Team

The ATIP Directorate continued to operate a dedicated team to manage complaints from the Office of the Information Commissioner (OIC). This team serves as the primary point of contact between National Defence and the OIC; they continue to work closely and collaboratively to strengthen relationships and improve DND ATIP program performance.

5.2. Court decisions

In FY 2019-20, there were no court proceedings actioned in respect of requests processed by National Defence.

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6. Policies and procedures

6.1. Departmental policies

DND/CAF corporate administrative direction is set out in the comprehensive collection of Defence Administrative Orders and Directives (DAOD) that are issued under the authority of the Deputy Minister and the Chief of the Defence Staff.

During the reporting period, the ATIP Directorate finalized the revision of the suite of ATIP DAOD including:

The policy instruments describe authorities and responsibilities to uphold legal requirements under the ATIA. To ensure information is accessible by all, the DAOD are published on the Defence Network for DND/CAF employees and members and are available on the internet to the general public.

6.2. Internal procedures

The ATIP Directorate continues to review and update the ATI Procedure Guide to document improvements to request processing and ensure alignment with TB policies and directives.

A procedure for Reporting Allegations of Obstruction under the ATIA was finalized and implemented this reporting period. It outlines the responsibilities for ATIP employees and provides guidance on consistent practices and procedures for responding to allegations of obstruction under S. 67.1 of the ATI Act.

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7. Training and awareness

7.1. ATIP training program

Departmental ATIP training remained consistent during this reporting period. The previously reported three-pronged training approach was maintained, where Directorate training resources delivered the following training sessions to DND civilian and CAF military members with specific emphasis on those staff with ATIP responsibilities:

Regional training sessions at Canadian Forces Bases Esquimalt, Edmonton, Cold Lake, Gagetown, Greenwood, Halifax, Shearwater, Kingston and Borden were also delivered during this reporting period.

7.2. Training and awareness activities

A total of 87 face-to-face training sessions were delivered to approximately 1,559 Defence employees and CAF members on the administration of both the Access to Information Act and Privacy Act, as well as on appropriate management of personal information under the control of the institution. These training sessions were provided through participation in ATIP 101 (introductory) sessions, ATIP 201 (advanced) sessions, GCDOCS privacy-focused training, and targeted training sessions for specific Defence organizations. Most training sessions were delivered by ATIP Directorate staff in person or through video teleconference technologies, and some organizations conducted their own courses and one-on-one sessions. An example of organizations conducting their own training sessions included the 3 training events provided by the Canadian Forces Health Services group that covered a variety of Privacy topics – for a total of 135 persons trained. Defence employees and CAF members were also encouraged to take the Access to Information and Privacy Fundamentals course offered through the Canada School of Public Service.

In keeping with promoting awareness, ATIP Directorate employees also provided guidance to third parties and requesters on the requirements of the Access to Information Act and the Privacy Act, TB policies and directives, and associated institutional procedures as required.

7.3. Continuous Learning

As a result of the ATIP program review undertaken in 2017, the ATIP Directorate is fully committed to supporting the development and continuous learning for ATIP analysts. During the current reporting period, National Defence participated in a pilot project with several other government departments; Programme de formation professionnelle en intégration en emploi des analystes fédéraux en AIPRP – 1e éditionFootnote 6 course hosted by L’Association des professionnels en accès à l’information et en protection de la vie privéeFootnote 7 (AAPI). This course provides an overview of ATIP legislative considerations and is targeted at junior analysts. Four (4) ATIP analysts from National Defence participated. Additionally, a full day of professional development training was provided to all ATIP staff. The topics included personal information management, privacy incident management, the use of action codes in the ATIP case management and review of cabinet confidences.

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8. Initiatives and projects

8.1. Engagement with Defence organizations

An initiative to engage Defence organizations to enhance ATI performance and strengthen relationships with partner organizations was conducted in FY 2018-2019. The ATIP Directorate continued to conduct targeted training sessions during this reporting period for individuals with responsibilities for ATI activities in their organizations. Beginning last FY and continuing throughout this reporting period, representatives from each ADM level organization received ATIP training.

8.2. Amendments to the Access to Information Act

To further enhance the Government’s commitment to openness, transparency, and accountability a bill to amend the Access to Information Act received royal assent on 21 June, 2019. This represents the first changes to the ATIA since 1983. The amended legislation brought changes to the existing right of access to government information and established a new Part II of the Act.

Part II of the Act requires institutions to proactively publish specific information known to be of interest to the public, and provides greater transparency and accountability for the use of public funds. Proactive disclosures are posted on the TBS Open Government websiteFootnote 8.

Implementation of Proactive Publishing Requirements

On behalf of the Corporate Secretary, the ATIP Directorate coordinated efforts with key departmental stakeholders to develop process maps and define responsibilities for each proactive publishing requirement to assist the Department to uphold its obligations under the ATIA. The ATIP Directorate plays a primary role in the review and posting of documents, including conducting internal consultations.

Promoting Awareness

A Directive was issued by the DM/CDS to describe proactive publishing obligations to the Department. Prior to royal assent, tools and reference material were provided to support the Department. Awareness sessions to further educate staff on the requirements of proactive disclosure were provided, including a series of in person training sessions to support individuals on the proactive publication of Briefing Note titles.

8.3. Backlog Reduction Team

The ATIP Directorate established a dedicated Backlog Reduction Team in October 2019. The team focused exclusively on reducing the backlog of ATI files. To date, this team has successfully reduced one third of backlogged files and continues to focus on reducing the inventory of old, large and/or complex files. This initiative enables other ATI Operations Teams to focus on on-time compliance.

8.4. Technological Improvements

Reducing Paper Records

Further to the ATIP program review initiated in 2017, National Defence continues to explore and implement technological solutions to enhance ATIP business processes. Throughout the reporting period, the ATIP

Directorate laid the foundation for significant improvements in reducing paper records. Throughout the reporting period, National Defence trialed the use of shared drives to share records electronically between OPIs and the ATIP Directorate. Additionally, National Defence engaged Canada Post to use EPost as a means to replace traditional mail to release documents to applicants.

New Case Management Solution

The ATIP Directorate developed and implemented an innovative case management system to better manage the ATIP related activities outside of formal ATIP requests. This new case management system improves tracking and trend analysis for governance and compliance activities such as: the provision of advisory services pertaining to the Access to Information and Privacy Acts, Privacy Incident Management, Privacy Impact Assessment development, managing and tracking legal matters and Personal Information Disclosures. It also includes features to maintain Personal Information Banks and Info Source management in a more automated manner.

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9. Monitoring compliance

The ATIP Directorate regularly monitors and reports on a number of ATIP metrics. In FY 2019-2020, the Departmental ATIP Performance Dashboard was refined to provide better overall awareness to Defence leadership on ATIP performance and metrics. In addition, the Department continues to receive on-demand statistical reports and performance compared to previous fiscal years to identify trends. This monitoring allows the ATIP Directorate to track ATIP performance across the Department to identify potential areas for process improvements.

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10. Access to information fees and operating costs

10.1. Reporting on ATI fees for the purposes of the Services Fees Act

The Service Fees Act (SFA) requires a responsible authority to report annually to Parliament on the fees collected by the institution. With respect to fees collected under the Access to Information Act, the information below is reported in accordance with the requirements of SFA section 20.

 

Enabling authority: Access to Information Act
Fee amount for 2019-2020: $5 application fee for each ATIA request
Total revenue: $7,415
Fees waived: 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 Access to Information Act that came into force on June 21, 2019, National Defence 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. A total of $1,040 in fees have been waived during this reporting period.
Cost of operating the program: $5,579,425

The cost of operations includes salaries, overtime, goods and services, contracts and all other expenses specific to the access to information office. Costs associated with time spent by program areas searching for and reviewing records are not included here.

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Annex A: Designation Order

National Defence and the Canadian Armed Forces

Access to Information Act and Privacy Act Designation Order

  1. Pursuant to section 73 of the Access to Information Act and the Privacy Act, the Minister of National Defence, as the head of a government institution under these Acts, hereby designates the persons holding the following positions, or the persons occupying those positions on an acting basis, to exercise or perform all of the powers, duties and functions of the head of a government institution under these Acts:
    1. the Deputy Minister;
    2. the Corporate Secretary;
    3. the Director Access to Information and Privacy; and
    4. Deputy Directors Access to Information and Privacy.
  2. Pursuant to section 73 of the above-mentioned Acts, the Minister also designates the following:
    1. those persons holding the position of Access Team Leader, or the persons occupying this position on an acting basis, to exercise or perform the powers, duties and functions in respect of:
      • The application of the following provisions under the Access to Information Act: section 9; subsection 11(2), 11(3), 11(4), 11(5), 11(6); sections 19, 20, 23 and 24; subsections 27(1) and 27(4); paragraph 28 (1)(b), subsections 28(2) and 28(4); and
      • The response to requests made under the Access to Information Act if no records exist.
    2. those persons holding the position of Privacy Team Leader, or the persons occupying this position on an acting basis, to exercise or perform any of the powers, duties and functions of the head of an institution under the Privacy Act, other than under sub-paragraphs 8(2)(j) and 8(2)(m); and
    3. those persons holding the position of Privacy Senior Analyst, or the persons occupying this position on an acting basis, to exercise or perform the powers and duties in respect of the application of section 26 of the Privacy Act.

 

Original signed by

The Honourable Harjit S. Sajjan, PC, OMM, MSM, CD, MP
Minister of National Defence
Date: 2016-01-12

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Annex B: Statistical Report on the Access to Information Act for 2019-2020

Government of Canada

Statistical Report on the Access to Information Act

Name of institution: National Defence

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

Section 1: Requests Under the Access to Information Act

1.1 Number of requests

- Number of Requests
Received during reporting period 1,972
Outstanding from previous reporting period 1,013
Total 2,985
Closed during reporting period 1,691
Carried over to next reporting period 1,294

1.2 Sources of requests

Source Number of Requests
Media 259
Academia 104
Business (private sector) 208
Organization 118
Public 1,107
Decline to identify 176
Total 1,972

1.3 Informal requests

Completion Time
1 to 15 days 16 to 30 days 31 to 60 days 61 to 120 days 121 to 180 days 181 to 365 days More than 365 days Total
109 40 39 42 16 0 0 246

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

Section 2: Decline to act vexatious, made in bad faith or abuse of right requests

- Number of requests
Outstanding from previous reporting period 0
Sent during reporting period 0
Total 0
Approved by the Information Commissioner during reporting period 0
Declined by the Information Commissioner during reporting period 0
Carried over to next reporting period 0

Section 3: Requests closed during the reporting period

3.1 Disposition and completion time

Disposition of requests Completion time
1 to 15
Days
16 to 30
Days
31 to 60
Days
61 to 120
Days
121 to 180
Days
181 to 365
Days
More Than 365
Days
Total
All disclosed 2 60 40 34 9 11 8 164
Disclosed in part 6 55 48 71 36 80 153 449
All exempted 1 4 0 8 3 2 0 8
All excluded 0 4 2 3 0 0 2 11
No records exist 242 42 39 20 5 2 1 351
Request transferred 35 0 0 0 0 0 0 35
Request abandoned 531 19 7 16 28 15 46 662
Neither confirmed nor denied 0 0 1 0 0 0 0 1
Total 817 184 137 152 81 110 210 1,691

3.2 Exemptions

Section Number of Requests
13(1)(a) 59
13(1)(b) 14
13(1)(c) 8
13(1)(d) 2
13(1)(e) 2
14 0
14(a) 0
14(b) 0
15(1) 1
15(1) - I.A.* 69
15(1) - Def.* 174
15(1) - S.A.* 3
16(1)(a)(i) 2
16(1)(a)(ii) 3
16(1)(a)(iii) 0
16(1)(b) 10
16(1)(c) 2
16(1)(d) 0
16(2) 26
16(2)(a) 1
16(2)(b) 1
16(2)(c) 22
16(3) 0
16.1(1)(a) 0
16.1(1)(b) 10
16.1(1)(c) 2
16.1(1)(d) 0
16(2)(1) 0
16(3) 0
16(31) 0
16.4(1)(a) 0
16.4(1)(b) 0
16.5 0
16.6 0
17 4
18(a) 5
18(b) 7
18(c) 1
18(d) 2
18.1(1)(a) 1
18.1(1)(b) 1
18.1(1)(c) 1
18.1(1)(d) 1
19(1) 333
20(1)(a)
1
20(1)(b)
89
20(1)(b.1)
0
20(1)(c)
93
20(1)(d)
13
20.1
0
20.2 0
20.4 0
21(1)(a) 100
21(1)(b)
90
21(1)(c)
20
21(1)(d)
13
22
8
22.1(1) 8
23 62
23.1 0
24(1) 33
26 1

3.3 Exclusions

Section Number of Requests
68(a) 8
68(b) 0
68(c) 0
68.1 0
68.2(a) 0
68.2(b) 0
69(1) 2
69(1)(a) 5
69(1)(b) 0
69(1)(c) 3
69(1)(d) 5
69(1)(e) 10
69(1)(f) 2
69(1)(g) re (a) 61
69(1)(g) re (b) 0
69(1)(g) re (c) 18
69(1)(g) re (d) 7
69(1)(g) re (e) 12
69(1)(g) re (f) 2
69.1(1) 2

3.4 Format of information released

Paper Electronic Other
154 459 0

3.5 Complexity

3.5.1 Relevant pages processed and disclosed
Number of Pages Processed Number of Pages Disclosed Number of Requests
202,834 87,393 1,305
3.5.2 Relevant pages processed and disclosed by size of requests
Disposition Less Than 100 Pages Processed 101-500 Pages Processed 501-1,000 Pages Processed 1,001-5,000 Pages Processed More Than 5,000 Pages Processed
Number of Requests Pages Disclosed Number of Requests Pages Disclosed Number of Requests Pages Disclosed Number of Requests Pages Disclosed Number of Requests Pages Disclosed
All disclosed 142 2,376 20 4,661 1 310 1 1,364 0 0
Disclosed in part 260 6,203 131 24,016 34 15,916 22 19,889 2 12,658
All exempted 12 0 4 0 0 0 0 0 2 0
All excluded 10 0 1 0 0 0 0 0 0 0
Request abandoned 642 0 13 0 1 0 5 0 1 0
Neither confirmed nor denied 1 0 0 0 0 0 0 0 0 0
Total 1,067 8,579 169 28,677 36 16,226 28 21,253 5 12,658

 

3.5.3 Other complexities
Disposition Consultation Required Assessment of fees Legal advice sought Other Total
All disclosed 20 0 1 1 22
Disclosed in part 203 0 75 2 280
All exempted 11 0 1 1 13
All excluded 3 0 7 0 10
Request abandoned 26 0 8 2 36
Neither confirmed nor denied 0 0 0 0 0
Total 263 0 92 6 361

3.6 Closed requests

3.6.1 Number of requests closed within legislated timelines
- Requests closed within legislated timelines
Number of requests closed within legislated timelines 1,108
Percentage of requests closed within legislated timelines (%) 66%

3.7 Deemed refusals

3.7.1 Reasons for not meeting legislated timelines

Number of Requests Closed Past the Legislated Timelines Principal Reason
Interference with Operations / Workload External consultation Internal Consultation Other
583 258 41 47 237

3.7.2 Requests closed behond legislated timelines (including any extention taken)

Number of Days Past Legislated Timelines Number of Requests Past Legislated Timeline Where No Extension Was Taken Number of Requests Past Legislated Timelines Where an Extension Was Taken Total
1 to 5 days 50 18 68
16 to 30 days 23 12 35
31 to 60 days 40 19 59
61 to 120 days 66 18 84
121 to 180 days 54 16 70
181 to 365 days 49 24 73
More than 365 days 129 65 194
Total 411 172 583

3.8 Requests for translation

Translation Requests Accepted Refused Total
English to French 0 0 0
French to English 0 0 0
Total 0 0 0

Section 4: Extensions

4.1 Reasons for extensions and disposition of requests

Disposition of Requests where an extension was taken 9(1)(a) Interference with operations 9(1)(b) Consultation 9(1)(c) Third-party notice
Section 69 Other
All disclosed 11 1 30 4
Disclosed in part 39 4 141 27
All exempted 3 0 5 6
All excluded 0 2 4 0
No records exist 0 0 3 1
Request abandoned 8 1 14 2
Total 61 8 197 40

4.2 Length of extensions

Length of extensions 9(1)(a) Interference with operations 9(1)(b) Consultation 9(1)(c) Third-party notice
Section 69 Other
30 days of less 39 2 92 2
31 to 60 days 12 1 52 38
61 to 120 days 8 4 546 0
121 to 180 days 1 1 5 0
181 to 365 days 1 0 2 0
365 days or more 0 0 0 0
Total 61 8 197 40

Section 5: Fees

Fee type Fee collected Fee waived or refunded
Number of requests Amount Number of requests Amount
Application 1,483 $7,415 208 $1,040
Other fees 0 $0 0 $0
Total 1,483 $7,415 208 $1,040

Section 6: Consultations Received From Other Institutions and Organizations

6.1 Consultations received from other Government of Canada institutions and other organizations

Consultations Other Government of Canada Institutions Number of Pages to Review Other Organizations Number of Pages to Review
Received during reporting period 368 13,216 36 6,692
Outstanding from the previous reporting period 175 32,447 1 62
Total 543 45,661 37 6,754
Closed during the reporting period 301 24,621 26 3,882
Pending at the end of the reporting period 242 21,040 11 2,872

6.2 Recommendations and completion time for consultations received from other Government of Canada institutions

Recommendations Number of Days Required to Complete Consultation Requests
1 to 15 Days 16 to 30 Days 31 to 60 Days 61 to 120 Days 121 to 180 Days 181 to 365 Days More Than 365 Days Total
Disclosed entirely
45 43 43 32 13 6 3 185
Disclosed in part 2 2 10 21 22 13 35 105
Exempted entirely
0 0 0 0 0 0 0 0
Excluded  entirely 0 0 0 0 0 0 0 0
Consult other institution 1 0 0 0 0 0 0 1
Other 3 1 1 3 0 1 1 10
Total 51 46 54 56 35 20 39 301

6.3 Recommendations and completion time for consultations received from other organizations

Recommendations Number of Days Required to Complete Consultation Requests
1 to 15 Days 16 to 30 Days 31 to 60 Days 61 to 120 Days 121 to 180 Days 181 to 365 Days More Than 365 Days Total
Disclosed entirely
3 3 4 2 3 0 0 15
Disclosed in part 1 1 2 3 0 1 0 8
Exempted entirely
0 0 1 0 0 0 0 1
Excluded entirely 0 0 0 0 0 0 0 0
Consult other institution 0 0 0 0 0 0 0 0
Other 1 0 0 0 1 0 0 2
Total 5 4 7 5 4 1 0 26

Section 7: Completion Time of Consultations on Cabinet Confidences

7.1 Requests with Legal Services

Number of Days Fewer Than 100 Pages Processed 101-500 Pages Processed 501-1,000 Pages Processed 1,001-5,000 Pages Processed More Than 5,000 Pages Processed
Number of Requests Pages Disclosed Number of Requests Pages Disclosed Number of Requests Pages Disclosed Number of Requests Pages Disclosed Number of Requests Pages Disclosed
1 to 15 52 599 4 246 0 0 0 0 0 0
16 to 30 16 160 1 0418 0 0 0 0 0 0
31 to 60 4 37 0 0 0 0 0 0 0 0
61 to 120 2 78 3 221 0 0 0 0 0 0
121 to 180 1 0 0 0 0 0 0 0 0 0
181 to 365 1 16 0 0 0 0 0 0 0 0
More than 365 1 12 0 0 0 0 0 0 0 0
Total 77 902 8 885 0 0 0 0 0 0

7.2 Requests with Privy Council Office

Number of Days Fewer Than 100 Pages Processed 101-500 Pages Processed 501-1,000 Pages Processed 1,001-5,000 Pages Processed More Than 5,000 Pages Processed
Number of Requests Pages Disclosed Number of Requests Pages Disclosed Number of Requests Pages Disclosed Number of Requests Pages Disclosed Number of Requests Pages Disclosed
1 to 15 0 0 0 0 0 0 0 0 0 0
16 to 30 0 0 0 0 0 0 0 0 0 0
31 to 60 0 0 0 0 0 0 0 0 0 0
61 to 120 0 0 0 0 0 0 0 0 0 0
121 to 180 0 0 0 0 0 0 0 0 0 0
181 to 365 0 0 0 0 0 0 0 0 0 0
More than 365 0 0 0 0 0 0 0 0 0 0
Total 0 0 0 0 0 0 0 0 0 0

Section 8: Complaints and Investigations Notices Received

Section 32 Notice of intention to investigate 216
Subsection 30(5) Ceased to investigate 0
Section 35 Formal representations 4
Section 37 Reports of finding received 30
Section 37 Reports of finding containing recommendations issued by the Information Commissioner 0
Section 37 Reports of finding containing orders issued by the Information Commissioner 0

Section 9: Court action

Court actions on complaints received before the coming into force of Bill C-58 and on-going

Section 41 (before C-58) Section 42 Section 44
0 0 0

9.2 Court actions on complaints received after the coming into force of Bill C-58

Section 41 (after the coming into force of Bill C-58)
Complainant (1) Institution (2) Third Party (3) Privacy Commissioner (4) Total
0 0 0 0 0

Section 10 – Resources related to the Access to Information Act

10.1 Costs

Expenditures Amount
Salaries $3,509,274
Overtime $6,393
Goods and services $2,033,758
- • Professional services contracts $1,756,852 -
- • Other $276,906
Total $5,579,425

10.2 Human resources

Resources Access to Information
Full-time employees 47.38
Part-time and casual employees 0.12
Regional staff 0.00
Consultants and agency personnel 9.38
Students 0.38
Total 57.26

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Annex C: Supplemental Statistical Report on the Access to Information Act for 2019-2020

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.

Table 1 - Requests Received

- Number of requests
Received from 2019-04-01 to 2020-03-13 1,924
Received from 2020-03-14 to 2020-03-31 48
Total 1,972

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 2019-04-01 to 2020-03-13 and 2020-03-14 to 2020-03-31

Table 2 - Requests Closed

- Number of requests closed within the legislated timelines Number of requests closed past the legislated timelines
Received from 2019-04-01 to 2020-03-13 and outstanding from previous reporting periods 1,052 582
Received from 2020-03-14 to 2020-03-31 56 1
Total 1,108 583

Table 3 - Requests Carried Over

- Number of requests
Requests received from 2019-04-01 to 2020-03-13 and outstanding from previous reporting period that were carried over to the 2020-2021 reporting period 1,252
Requests received from 2020-03-14 to 2020-03-31 that were carried over to the 2020-2021 reporting period 42
Total 1,294

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