ARCHIVED - Annual Report to Parliament 2011-2012 - Privacy Act

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ARCHIVED - Annual Report to Parliament 2011-2012 - Privacy Act (PDF, 1.09 MB)

I. Introduction

The purpose of the Privacy Act is to extend the present laws of Canada that protect the privacy of individuals and that provide individuals with a right of access to personal information about themselves. The federal Privacy Act regulates the collection, use and disclosure of personal information held by federal institutions including the National Research Council of Canada (NRC).

In accordance with Section 72 of the Privacy Act, this twenty-eighth Annual Report on the administration of the Privacy Act at NRC describes how NRC discharged its responsibilities in relation to the Act in the fiscal year 2011-2012. The Annual Report is tabled in Parliament in accordance with section 72 of the Privacy Act.

The National Research Council of Canada is an agency of the Government of Canada established in 1916 under the NRC Act. Its mandate is to help build an innovative, knowledge-based economy for Canada through research and development, technology commercialization and industry support.

As stated in the NRC Act, the agency is responsible for: undertaking, assisting or promoting scientific and industrial research in different fields of importance to Canada; establishing, operating and maintaining a national science library; publishing and selling or otherwise distributing such scientific and technical information as the Council deems necessary; investigating standards and methods of measurement; working on the standardization and certification of scientific and technical apparatus and instruments and materials used or usable by Canadian industry; operating and administering any astronomical observatories established or maintained by the Government of Canada; administering NRC's research and development activities, including contributions used to support a number of international activities; and providing vital scientific and technological services to the research and industrial communities.

II. Delegation of Authority

The NRC President has delegated the responsibilities associated with the administration of the Privacy Act to the Executive Vice President and Secretary General and Director, Corporate Governance. Operational responsibility for the application of the Act has been delegated to the Access to Information and Privacy Coordinator.

A detailed signed Delegation Order can be found at Annex A.

III. Organizational Structure

The Executive Vice President and Secretary General has overall responsibility for ensuring that NRC's policies, procedures and practices are in line with the application and administration of the Privacy Act. As shown in the Delegation Order, the Executive Vice President and Secretary General has delegated some of her authority to the Director, Corporate Governance and to the Access to Information and Privacy (ATIP) Coordinator. The NRC Access to Information and Privacy (ATIP) office is part of the NRC Secretary General's Office (SGO).

The NRC ATIP office is comprised of one full-time Coordinator and one Officer. The NRC ATIP office works closely with the Records Services, Industrial Research Assistance Program ATIP liaison officer, Human Resources ATIP liaison officer, Corporate Communications and senior management across the organization. Procedures are in place to process all privacy requests. These requests are processed by the Access to Information and Privacy Coordinator who has the authority to access all records held by NRC.

The ATIP office is responsible for the coordination and implementation of policies, guidelines and procedures to ensure the organization's compliance with the Privacy Act. To that end, the office provides the following services to the organization:

  • Promotes awareness of the Privacy Act within the NRC
  • Processes privacy requests and privacy complaints
  • Provides advice and guidance to employees and senior officials on Privacy related matters
  • Prepares an Annual Report to Parliament
  • Responds to the SGO on the privacy related matters mentioned in the Management Accountability Framework
  • Coordinates and implements updates to Info Source
  • Administers Privacy Impact Assessments
  • Review Harassment Reports
  • Manages the ATIP electronic management system
  • Develops internal procedures, policies and guidelines
  • Participates in forums for the ATIP Community, such as the Treasury Board Secretariat ATIP Community Meetings, Training and Annual Meetings.

The ATIP office is responsible for the implementation of the new TBS directives, and has worked in consultation with various sectors of the organization to complete a privacy management framework in the form of a policy governing the management of personal information.

IV. Interpretation of Statistical Report

Annex B provides a summarized statistical report on the privacy requests received and processed by the National Research of Council from 1 April 2011 to 31 March 2012. This section provides an interpretation of the statistical report.

During the fiscal year, NRC received eight (8) new privacy requests. One (1) request was outstanding from the previous fiscal year for a total of nine (9) privacy requests to process in this fiscal year. During this reporting period, NRC completed the processing of a total of eight (8) privacy requests. One (1) request was carried forward into 2012-2013.

Section 15 of the Privacy Act allows institutions to extend the legal deadline for processing a request. NRC did not invoke any extensions. All files were completed within the original time limit of thirty days.

The exemptions invoked were pursuant to sections 26 and 27 of the Privacy Act. Section 26 (information about another individual) was applied in one case (1) while section 27 (solicitor-client privilege) was applied in one (1) case.

The figures, as reflected in the chart below, indicate the number of requests received and processed over the past three years. The figures do not reflect requests processed informally or other queries that have been received in the ATIP office. NRC does expect that privacy requests and queries concerning privacy-related matters will continue to represent a significant portion of the workload due to the ongoing organizational changes.

Number of requests received and processed over the past three years

Accessible version of the chart indicates the number of requests received and processed over the past three years. The figures do not reflect requests processed informally or other queries that have been received and processed in the ATIP office.

The annual statistical report for the fiscal year 2011-2012 is included at the end of this chapter, as Annex B.
2009 – 2010 2010 – 2011 2011 – 2012
Received 8 12 8
Completed 9 11 8
Carried Forward 0 1 1

The annual statistical report for the fiscal year 2011-2012 is included at the end of this chapter, as Annex B.

V. Privacy-Related Training and Education

The ATIP office is committed to providing ongoing development and training to NRC’s employees.

During the fiscal year, the ATIP office implemented, in collaboration with Records Services, an Information Awareness Campaign, which included five internal messages related to the ATI and Privacy Acts. As part of this campaign, a formal ATIP and Managing NRC Information Course (3 hours) was developed and promoted by way of the NRC Human Resources Learning Catalogue. The five following courses scheduled for delivery were offered through this joint initiative:

  • 28 April 2011: twelve participants
  • 23 June 2011: twenty participants
  • 30 August 2011: nineteen participants
  • 22 September 2011: eighteen participants
  • 15 December 2011 fourteen participants.

The following training sessions were offered in addition to the formal course programming:

  • 16 May 2011: Material Management Officers: twenty participants
  • 19 May 2011: Communications Branch: twenty-three participants
  • 7 June 2011: IMSB Strategic Services Directorate: thirteen participants.

Informal debriefings and new employee orientation was provided to a new Communications Officer and Vice President. One Director requested a refresher ATIP training session.

Within the context of our roles and responsibilities, NRC's ATIP office reviewed a total of 76 parliamentary questions received for the period of April 2011 to March 2012. In addition, 7 harassment reports, both preliminary and final, were reviewed from a privacy perspective.

All awareness sessions included information on the access to information legislation which has been accounted for in the Access to Information Act annual report.

VI. New Procedures, Guidelines and Directives

As part of NRC's ongoing response to the Treasury Board Secretariat (TBS) directives relevant to Access to Information and Privacy (ATIP) legislation and administration, our Senior Executive Committee (SEC) was informed of the development of three supporting documents: 1. Privacy Protocol for Non-Administrative Purposes, 2. Privacy Impact Assessment Handbook and 3. Privacy Impact Assessment Template. In addition, SEC approved the new NRC Policy Governing the Management of Personal Information. These documents in addition to an Access to Information and Privacy Best Practices guidelines were posted on NRC's internal website. These tools have complemented the training sessions and have been effective in generating greater awareness within the organization.

VII. Privacy Complaints

During this fiscal year, NRC was the subject of one privacy complaint to the Office of the Privacy Commissioner (OPC) of Canada. The requestor complained that the NRC denied her access to personal information. This investigation is ongoing with the OPC.

VIII. Privacy Impact Assessment Activities

NRC did not complete any Privacy Impact Assessments during the reporting period.

IX. Section 8(2)(m) Disclosures

There was no disclosure made pursuant to section 8(2)(m) of the Privacy Act during the reporting period.

ANNEX A: Delegation order

Access to Information and Privacy Acts 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.

Schedule

Position Access to Information Act and Regulations Privacy Act and Regulations
Secretary General Full authority Full authority
Director, Governance General Full authority Full authority
Access to Information and Privacy Coordinator Sections 7(a), 8(1), 9, 11(2) to (6), 12(2)(3), 26, 27(1) and (4), 28(1), (2) and (4), 29(1), 33, 37(4), 43(1), 44(2) Sections 8(2)(j), 8(4), 8(5), 9(1), 9(4), 10, 14, 15, 17(2)(b), 18(2), 31, 35(1), 35(4), 36(3), 37(3), 51(2)(b)
John R. McDougall, ing.,
President of the National Research Council of Canada
Dated, at the City of Ottawa
this 18 day of Jan., 2012

ANNEX B: Statistical report

Statistical Report on the Privacy Act

Name of institution: National Research Council Canada

Reporting period: 4/1/2011 to 3/31/2012

Part 1 - Request under the Privacy Act

Requests under the Privacy Act
Type of requests Number of Requests
Received during reporting period 8
Outstanding from previous period 1
Total 9
Closed during reporting period 8
Carried over to next reporting period 1

Part 2 - Requests closed during the reporting period

2.1 Disposition and completion time
Disposition of requests completed
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 0 1 0 0 0 0 0 1
Disclosed in part 0 2 0 0 0 0 0 2
All exempted 0 0 0 0 0 0 0 0
All Excluded 0 0 0 0 0 0 0 0
No records exist 4 0 0 0 0 0 0 4
Request abandoned 0 1 0 0 0 0 0 1
Total 4 4 0 0 0 0 0 8
2.2 Exemptions
Exemptions
Section Number of request
18(2) 0
19(1)(a) 0
19(1)(b) 0
19(1)(c) 0
19(1)(d) 0
19(1)(e) 0
19(1)(f) 0
20 0
21 0
22(1)(a)(i) 0
22(1)(a)(ii) 0
22(1)(a)(iii) 0
22(1)(b) 0
22(1)(c) 0
22(2) 0
22.1 0
22.2 0
22.3 0
23(a) 0
23(b) 0
24(a) 0
24(b) 0
25 0
26 0
27 1
28 0
2.3 Exclusions
Exclusions
Section Number of times
69(1)(a) 0
69(1)(b) 0
69.1 0
70(1)(a) 0
70(1)(b) 0
70(1)(c) 0
70(1)(d) 0
70(1)(e) 0
70(1)(f) 0
70.1 0
2.4 Format of information released
Format of information released
Disposition Paper Electronic Other formats
All disclosed 0 0 0
Disclosed in part 2 0 0
Total 2 0 0
2.5 Complexity
2.5.1 Relevant pages processed and disclosed
Relevant pages processed and disclosed
Disposition of requests Number of pages processed Number of pages disclosed Number of requests
All Disclosed 22 22 1
Disclosed in part 894 855 2
All expempted 0 0 0
All excluded 0 0 0
Request abandoned 0 0 1
2.5.2 Relevant pages processed and disclosed by size of requests
Relevant pages processed and disclosed by size of requests
Disposition Less than 100 pages processed 101-500 pages processed 501-1000 pages processed 1001-500 pages processed More than 5000 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 1 22 0 0 0 0 0 0 0 0
Disclosed in part 0 0 1 154 1 701 0 0 0 0
All exempted 0 0 0 0 0 0 0 0 0 0
All excluded 0 0 0 0 0 0 0 0 0 0
Abandoned 1 0 0 0 0 0 0 0 0 0
Total 2 22 1 154 1 701 0 0 0 0
2.5.3 Other complexities
Other complexities
Disposition Consultation required Legal advice sought Interwoven Information Other Total
All disclosed 0 0 0 0 0
Disclosed in part 0 0 0 0 0
All exempted 0 0 0 0 0
All excluded 0 0 0 0 0
Abandoned 0 0 0 0 0
Total 0 0 0 0 0

2.6 Deemed refusals

2.6.1 Reasons for not meeting statutory deadline
Reasons for not meeting statutory deadline
Number of requests closed past the statutory deadline Principle Reason
Workload External consultation Internal consultation Other
0 0 0 0 0
2.6.2 Number of days past deadline
Number of days past deadline
Number of days past deadline Number of requests past deadline where no extension was taken Number of requests past deadline where an extension was taken Total
1 to 15 days 0 0 0
16 to 30 days 0 0 0
31 to 60 days 0 0 0
61 to 120 days 0 0 0
121 to 180 days 0 0 0
181 to 365 days 0 0 0
More than 365 days 0 0 0
Total 0 0 0

2.7 Request for translation

Request for translation
Translation Requests Accepted Refused Total
English to French 0 0 0
French to English 0 0 0
Total 0 0 0

Part 3 - Disclosures under subsection 8(2)

Disclosures under subsection 8(2)
Paragraph 8(2)(e) Paragraph 8(2)(m) Total
0 0 0

Part 4 - Requests for correction of personal information and notations

Requests for correction of personal information and notations
Type of requests Number
Requests for correction received 0
Requests for correction accepted 0
Requests for correction refused 0
Total 0

Part 5 - Extensions

5.1 Reasons for extensions and disposition of requests
Reasons for extensions and disposition of requests
Disposition of requests where an extension was taken 15(a)(i) Interference with operations 15(a)(ii) Consultation 15(b) Translation or conversion
Section 70 Other
All disclosed 0 0 0 0
Disclosed in part 0 0 0 0
All exempted 0 0 0 0
All excluded 0 0 0 0
No records exist 0 0 0 0
Request abandoned 0 0 0 0
Total 0 0 0 0
5.2 Length of extensions
Length of extensions
Length of extensions 15(a)(i) Interference with operations 15(a)(ii) Consultation 15(b) Translation purposes
Section 70 Other
1 to 15 days 0 0 0 0
16 to 30 days 0 0 0 0
Total 0 0 0 0

Part 6 - Consultations received from other institutions and organizations

6.1 Consultations received from other government institutions and organizations
Consultations received from other government institutions and organizations
Consultation Other government institutions Number of pages to review Other organizations Number of pages to review
Received during reporting period 0 0 0 0
Outstanding from the previous reporting period 0 0 0 0
Total 0 0 0 0
Closed during the reporting period 0 0 0 0
Pending at the end of the reporting period 0 0 0 0
6.2 Recommendations and completion time for consultations received from other government institutions
Recommendations and completion time for consultations received from other government institutions
Recommendation 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
Disclose entirely 0 0 0 0 0 0 0 0
Disclose in part 0 0 0 0 0 0 0 0
Exempt entirely 0 0 0 0 0 0 0 0
Exclude entirely 0 0 0 0 0 0 0 0
Consult other institutions 0 0 0 0 0 0 0 0
Other 0 0 0 0 0 0 0 0
Total 0 0 0 0 0 0 0 0
6.3 Recommendations and completion time for consultations received from other government organizations
Recommendations and completion time for consultations received from other government organizations
Recommendation 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
Disclose entirely 0 0 0 0 0 0 0 0
Disclose in part 0 0 0 0 0 0 0 0
Exempt entirely 0 0 0 0 0 0 0 0
Exclude entirely 0 0 0 0 0 0 0 0
Consult other institutions 0 0 0 0 0 0 0 0
Other 0 0 0 0 0 0 0 0
Total 0 0 0 0 0 0 0 0

Part 7 - Completion of time consultations on Cabinet confidences

Completion of time consultations on Cabinet confidences
Number of days Number of responses received Number of responses received past deadline
1 to 5 0 0
16 to 30 0 0
31 to 60 0 0
61 to 120 0 0
121 to 180 0 0
181 to 365 0 0
More than 365 0 0
Total 0 0

Part 8 - Resources related to the Privacy Act

8.1 Costs
Costs
Expenditures Amount
Salaried $81,496
Overtime $0
Goods and Services $17,291
   Contracts for privacy impact assessments $0
   Professional services contracts $3,037
   Other $14,254
Total $98,787
8.2 Human Resources
Human Resources
Resources Dedicated full-time to ATI activities Dedicated part-time to ATI activities Total
Full-time employees 1.00 0.00 1.00
Part-time and casual employees 0.00 0.00 0.00
Regional staff 0.00 0.00 0.00
Consultants and agency personnel 0.00 0.00 0.00
Students 0.00 0.00 0.00
Total 1.00 0.00 1.00
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