ANNUAL REPORT TO PARLIAMENT, 2001-2002
Building on Success
The administration of the Access to Information Act (AIA)and Privacy Act (PA) in
The Department of National Defence And the Canadian Forces
Table of Contents
Annual Report to Parliament, 2001-2002
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Annual report to Parliament |
Section 72 of both the Access to Information Act (AIA) and
the Privacy Act (PA) requires that the head of every Government
institution prepare and submit to Parliament an annual report on the
administration of the Acts within the institution during each financial
year. This is the nineteenth Annual Report to Parliament on performance in
respect to administration of the Acts by the Department of National
Defence (DND) and the Canadian forces (CF). |
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Purpose |
The purpose of this annual report is to describe how the
DND and the CF administered Access to Information and Privacy activities
and fulfilled responsibilities in relation to the Acts during the period
from April 1, 2001 to March 31, 2002. |
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ATIP Administration |
A single coordinator administers both the Access to
Information Act and the Privacy Act within the DND and the CF. The
Canadian Forces Ombudsman's Office, the Canadian Forces Grievance Board
and the Military Police Complaints Commission are all separate
institutions under the control of the Minister of National Defence, and,
as such, are responsible for their own Access to Information and Privacy (ATIP)
administration. |
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Report format |
This annual report has been prepared using the Information
Mapping® methodology. |
Overview
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Proclamation |
The Access to Information Act (AIA) and the Privacy Act
(PA) were proclaimed on July 1, 1983. |
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Purpose of AIA |
The purpose of the Access to Information Act is to afford
Canadian citizens, permanent residents, and any person present in Canada,
the right to access information contained in Government records, subject
to certain specific and limited exemptions. |
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Purpose of the Privacy Act |
The purpose of the Privacy Act is to extend to individuals
the right of access to information about themselves held by the
Government, subject to specific and limited exemptions; and to protect
individuals' privacy by preventing others from having access to their
personal information, and by affording individuals substantial control
over how their personal information is collected, used and disclosed. |
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Formal requests for rights of access |
In addition to establishing rights of access to Government
information, both Acts provide for a formal request mechanism that
individuals may use to exercise those rights. These mechanisms include:
- Time limits and other response obligations for the institutions
holding the information; and
- The procedure for lodging a complaint if an individual is not
satisfied with how the institution handled a formal request.
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Granting informal access |
The statutes, regulations, and Treasury Board (TB)
guidelines clearly encourage institutions to afford individuals access to
information to which they are entitled without having to resort to the
formal procedures provided for in the legislation. The Access to
Information and Privacy Acts are intended to complement, not replace,
other less formal administrative procedures for obtaining government
information. |
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Importance of informal access |
Extensive use of informal access is recognized by the
Department of National Defence as an effective and simple way to further
the principles of open government on which ATIP legislation is based. |
Departmental
mandate |
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Minister's responsibility |
The Minister of National Defence is responsible for all
matters relating to national defence, including the management and control
of the Department of National Defence and the Canadian Forces. |
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Mission of the DND and the Canadian Forces |
The mission of the Department of National Defence and the
Canadian Forces is to defend Canada and Canadian interests and values
while contributing to international peace and security. |
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Defence White Paper |
The 1994 Defence White Paper confirms the federal
government's commitment to maintain multipurpose, combat-capable, sea,
land, and air forces for the protection of Canadian sovereignty and the
projection of Canadian interests and values abroad. The Department and the
CF continue to focus on their employees and members, placing strong
emphasis on Quality of Life issues and ensuring that personnel receive the
proper training and equipment to enable them to carry out operational
missions without unnecessary risk. |
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Defence Plans and Priorities Report
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In the 2001/02 Defence Plans and Priorities Report, the
Minister set five priorities for the Department. They are:
- to put people first, and continue our efforts to make National
Defence and the Canadian Forces employers of choice for Canadians, in
order to address our recruitment challenge and retain the people we
have;
- to optimize the military force structure and invest in the defence
capabilities - like deployability, strategic lift, and Maritime
Helicopters - that Canada needs for the future;
- to modernize Defence's management practices to ensure National
Defence and the Forces maximize the value-for-money that Canadians
receive from their defence investments;
- to foster our defence relationship with the United States, work with
our neighbours to protect critical North American infrastructure, and
ensure the Canadian Forces can inter-operate with Canada's key
international allies in NATO; and
- to contribute to the achievement of broader national priorities.
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Departmental
organization |
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Military and civilian components |
The Department's unique personnel structure is made up of
two separate components - one military and one civilian. This table
depicts the number of personnel in each component: |
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Departmental Personnel Figures by Component
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Military members: |
Regular force: 59 653 |
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Primary Reserve force: 22 314 |
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Civilian employees: 21 478 |
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Total Military and Civilian Personnel: 103 445 |
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Chain of command |
National Defence Headquarters (NDHQ) in Ottawa provides
broad direction for administration and operations, with specific execution
being assigned to the various elements of the Canadian Forces located
across the country. CF regular and reserve force personnel live, train,
and work in every province and territory of Canada, as well as on
operational missions around the world.
The DND/CF Ombudsman reports directly to and is
accountable to the Minister of National Defence. His office was
established to act as a direct source of information, referral and
education to assist individuals to access existing channels of assistance
and redress within DND/CF. To ensure the confidentiality of information
brought to his attention, the Ombudsman has been given autonomy for ATIP
matters related to his office. Accordingly, a separate annual report will
be tabled respecting the administration of the Access to Information and
Privacy Acts within the Office of the Ombudsman.
The Canadian Forces Grievance Board and the Military
Police Complaints Commission are institutions separate and apart from the
Department of National Defence and are recognized as such in the
corresponding schedules to both the Access to Information Act and the
Privacy Act. Consequently, neither of these institutions are accounted for
in this Annual Report. |
Departmental Organization - provide link |
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DND/CF ATIP organization |
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Departmental ATIP Co-ordinator |
At DND, the Director of Access to Information and Privacy
(DAIP) administers and co-ordinates both the Access to Information Act and
the Privacy Act. The DAIP organization comes under the authority of the
Assistant Deputy Minister Finance and Corporate Services. DAIP seeks
specialist advice on legal, public affairs, and policy matters from other
NDHQ organizations and specialists as required. |
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Designation Order |
The departmental designation order, dated 12 July 2000,
for Access to Information and Privacy reads as follows:
"The Minister of National Defence, pursuant to
Section 73 of the Access to Information Act and the Privacy Act, hereby
designates the person holding the position of Director Access to
Information and Privacy and the person holding the position of Deputy
Director Access to Information and Privacy to exercise all powers and
functions of the Minister as the Head of the Department of National
Defence and the Canadian Forces under the Acts.
In the absence of the Director and Deputy Director, the
Minister, pursuant to Section 73 of the Acts, hereby designates the
person holding the position of Assistant Deputy Minister (Finance and
Corporate Services) to exercise the powers and perform the duties and
functions of the Minister under the Acts.
The Minister also designates, pursuant to Section 73 of
the Acts, to the persons holding the positions of Team Leaders, Access
to Information and Privacy, the following powers and functions of the
Minister under the Acts:
- with the exception of Subsection 8(2) of the Privacy Act, Team
Leaders are designated to exercise all powers associated with all
other sections of the Privacy Act;
- Team Leaders are designated to exercise powers associated with the
application of Section 9 (Extensions), Section 11 (Fees), Sections
27 and 28 (Consultations) of the Access to Information Act; and
- Team Leaders are also designated to respond to requests made under
the Access to Information Act where no records exist."
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DAIP's mandate |
The mandate of DAIP is to act on behalf of the Minister of
National Defence in enforcing compliance with legislation, regulations,
and government policy and create departmental directions, including
standards, in all matters relating to the Access to Information Act and
the Privacy Act. DAIP's authority in this regard extends to all elements
of the Canadian Forces and the Department of National Defence - except for
the Office of the Ombudsman, the Military Police Complaints Commission and
the Canadian Forces Grievance Board. |
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Organization across DND/CF |
Within each subordinate headquarters, base, station, and
unit, there is a designated senior CF member or Departmental employee who
is responsible for local ATIP administration.
The national ATIP coordinator (DAIP) is responsible for
ensuring that these officers have the necessary policies and guidance to
carry out their duties and responsibilities in this regard. |
Part 2
The Year in Review
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Ministerial Support |
In last year's annual report, the Information Commissioner
noted the progress in reducing the department's deemed refusal rate and
recommended that "The department should continue to devote the
resources and effort necessary to build on its performance in meeting the
time requirements of the Access to Information Act to come into
substantial compliance with the time requirements of the Act by March 31,
2002." Evidence of the department's commitment to do so is
demonstrated in the 2001 report card, which shows a further improvement in
the deemed refusal rate of 17% in the previous year to 11.8%. The
Minister, senior DND/CF management and all staff remain committed to
ensuring sustainable improvement in institutional ATIP performance. |
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DAIP Organization
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The ATIP organization at National Defence (DAIP) employs
43 civilian and 4 military personnel, an overall increase of 10
indeterminate positions. This increase helped to offset a significant
reduction in contract personnel, some of whom were engaged at various
levels during the year on an as required basis.
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Caseload |
In FY 01/02, DAIP received 1,358 requests for information
under the Access to Information Act, and 4,443 requests for personal
information under the Privacy Act. Figures for FY 00/01 were 1,088 and
5,279 respectively.
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| Fiscal Year |
AIA Requests |
AIA Requests Responded To |
Pages Released |
| 97-98 |
861 |
846 |
N/A |
| 98-99 |
1 031 |
885 |
282,476 |
| 99-00 |
1,063 |
1,252 |
166,343 |
| 00-01 |
1,088 |
1,107 |
102,591 |
| 01-02 |
1,358 |
1,318 |
142,658 |
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DND continues to aggressively pursue reductions in its
backlog of unanswered Privacy Requests. The number of such cases has been
reduced from 343 on 1 April 2000 to a total of 269 by 31 March 2001.
Monthly reports have been provided to the Privacy Commissioner to keep him
informed of the Department's steady progress.
In 1998 the Department amended its policy to permit
employees and members to gain access to many categories of personal
information about themselves - without having to make formal requests
under the Privacy Act. These amendments have been successful. In the
period following their promulgation in August of 1998, the number of
formal Privacy Act requests received by DND has decreased sharply as
reflected in the following table:
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| Fiscal Year Requests |
Formal Privacy Received |
Formal Privacy Requests Completed |
Formal Privacy Pages Released |
| 97-98 |
12,355 |
11,375 |
N/A |
| 98-99 |
8,830 |
10,194 |
907,935 |
| 99-00 |
6,587 |
9,039 |
768,322 |
| 00-01 |
5,279 |
5,668 |
558,688 |
| 01-02 |
4,443 |
4,517 |
452,721 |
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It is not expected that DND will return to the period when
upwards of 13,000 formal Privacy Act requests could reasonably be expected
annually - of which 75% to 85% were for routine records such as annual
performance evaluation reports, individual merit list standings, medical
records and dental documents.
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Team Structure and Recruitment |
The organizational refinements made to DAIP's Team
structure that were reported last year have nearly been completed. Some
contract personnel remain to complete ongoing tasks and to make up for
those Public Service positions yet to be staffed. The opportunity for
junior support staff to learn new skills and progress in their careers as
ATIP case officers continues to produce dividends in increased
cost-effectiveness, productivity and morale. The training and work
experience of the most recently promoted and recruited staff is
progressing very well and the teams have stabilized at or near the maximum
expected size. The process of filling the few remaining team positions has
already begun and should be completed sometime in the next fiscal year.
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Improved ATIP Case Management |
Building on recommendations made by the Information
Commissioner, DAIP has continued to proactively manage individual AIA case
files to ensure that legally allowable and appropriate extensions to
response deadlines are claimed consistently and systematically. The same
action is being taken with respect to requests for personal information
submitted under the Privacy Act. The percentage of AIA cases completed
within allowable time frames increased from 35.7% for FY 98/99, to 47.8%
for FY 99/00, to 68.6% for FY 00/01 and most recently to 87.7% for FY
01/02. The number of Privacy Act requests responded to within allowable
time frames increased from 16.4% to 85.9% over the same period.
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Policy |
The DAIP Policy and Training (P&T) section has
increased modestly in size, allowing for a greater emphasis on internal
policies and educating employees and members of the CF. Although still in
early development, P&T has begun a review of work processes within the
directorate with a view to determining best practices and creating
information resources for DAIP staff. The intent is to provide easy access
to standardized and updated resources through a desk reference manual that
describes the departmental standards for all ATIP procedures and provides
one-stop access to such things as internal and external directives &
regulations, case law, sample documents and direct links to other
information resources such as web sites. Ideas continue to be solicited
from within the department as well as from the greater ATIP community.
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Training |
On 1 April 1998, the Department began development and
delivery of formal ATIP education. In the four years that have passed,
generic and custom designed ATIP courses, briefings, and information
sessions have been delivered to more than 4,400 members and employees.
This continues to relieve the pressing need that had accumulated in some
parts of the institution, and enabled an increasingly proactive,
'outreaching', and systematic delivery of training. DAIP has continued
with last year's approach in which Departmental Assistant Deputy
Ministers, their Canadian Forces counterparts, and other members of the
institution's senior management team have been asked to identify the ATIP
training needs of their respective organizations for programming and
delivery by FY 02/03. The call for identification of training requirements
is now conducted at the beginning of each fiscal year, thus shifting the
emphasis to proactive training and sensitization, which has resulted in
greater awareness and compliance with federal Access to Information and
Privacy laws. This growing awareness is a contributing factor to the
department's continually improving deemed refusal rate.
During FY 2001/02 DAIP instituted an internal training
program for analysts that emphasizes standardized interpretation and
updated knowledge of case law related to those sections of the Act under
which severances are applied. These training sessions consist of 3-hour
periods every three weeks and have been conducted by the departmental
legal advisor on Access and Privacy. The sessions have been well received
by DAIP analysts as they have improved the knowledge base within the
directorate with a consequent improvement of analyst confidence. During
this collective training, questions on ATIP matters can be answered to the
benefit of all, ensuring a more consistent and up-to-date response to both
public requests and to departmental staff who are seeking guidance on ATIP
matters.
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Contact with the OPI Community |
Closer contact with the Office of Primary Interest (OPI)
community has been accomplished as a result of training initiatives as
well as through the establishment of an ATIP Advisory Committee. The
increased OPI contact attributable to training initiatives is the result
of normal training sessions where the OPIs are made aware not only of ATIP
procedures but also of the existence of DAIP as a source of guidance and
information. During training sessions, OPIs have been directed to
resources such as the DAIP and TB web sites, where they can find
information on the request process (including forms), a summary of
completed requests, publications and reports, the Access and Privacy Acts
and direct links to the web sites of the Access and Privacy Commissioners.
The Policy and Training section has been particularly affected by the
amount of time spent responding to departmental queries, communicating
policy and providing guidance. These functions have become a substantial
part of that section's day to day activities. This guidance from DAIP
staff has allowed OPIs to conduct more informal releases, thus allowing
for quicker public access to information. |
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The ATIP Advisory Committee met for the first
time during this reporting period. Chaired by DAIP, it consists of
representatives of all Level 1s within the department. The committee was
created with the intention of soliciting advice from and involving the
entire department in decisions regarding Access and Privacy. With the
creation of this body, the department as a whole becomes involved not only
in the creation of policy and directives on ATIP matters but also in
contributing ideas for implementation and practical advice from the
perspective of those most affected. Finally, being composed of
representatives of the highest levels, the committee provides the
authority and a convenient forum for disseminating ATIP related direction
throughout the department. |
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DND/CF Reading Room |
DND began providing an informal access service in FY 95/96
that enabled individuals to request and receive copies of records
requested by, and released to previous applicants - without having to
submit a separate formal AIA request. While the informal process does not
confer the rights of complaint that accompany formal requests, the number
of individuals opting for the informal method of access remains quite high
as evidenced by the following table. |
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FY |
Formal requests received |
Informal requests received |
Informal requests as a percentage of total
requests |
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1995-96 |
869 |
57 |
5,9 % |
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1996-97 |
942 |
80 |
7,8 % |
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1997-98 |
861 |
130 |
13,3 % |
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1998-99 |
1,031 |
422 |
29 % |
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1999-00 |
1,063 |
541 |
33 % |
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2000-01 |
1,088 |
511 |
32 % |
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2001-02 |
1,358 |
318 |
19 % |
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National Defence has led the Public Service in applying
Web-based technology to provide Canadians with information respecting
records released under the AIA. To improve the delivery of informal access
services, for example, the Department began posting synopses of many of
its closed AIA cases to the Internet in 1997. Not only has this initiative
successfully enabled the delivery of these services to an increasing
number of Canadians as indicated in the table on the preceding page, it
has provided tangible evidence of the department's commitment to the
principles of openness and transparency. |
Part 3
The Year Ahead
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Transparency |
DND continues to actively pursue opportunities to increase
institutional transparency by exploring technological opportunities to
create greater access to records released under the AIA. Throughout the
coming year DND intends to continue pursuing such initiatives either
individually or in partnership with other ATIP offices in the federal
government. The issues related to information technologies have
complexities associated with them that will take vision and energy to
resolve. The rapid growth in technological capability within society
combined with a necessity to use systems common to different levels of
government that are accessible to the general public dictates a cautious
approach to purchase and implementation. It is important to be compatible
with the various technology initiatives being studied within the
department and within the government as a whole. For example, DAIP has
contributed to and will continue to provide input to a departmental study
of the Public Key Infrastructure (PKI) initiative. This initiative could
make electronic receipt of and reply to AIA requests and the electronic
payment of chargeable fees possible through a commonly used system. It may
well allow for the transfer of electronic information directly to DAIP
from the OPIs. It is anticipated that such a system will do so through the
use of verified electronic signatures and the transfer of classified
information via coding/decoding software.
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DAIP has already begun the purchase and installation of
ATIPimage software and associated hardware such as scanners, and larger
monitors. In the coming year, DAIP will install a Local Area Network that
will allow for the storage and processing of protected information. While
it is expected that implementation of this new system will initially slow
the processing of requests due to the necessity for training and
familiarization as well as a consequential re-engineering of work
processes, it will eventually result in an overall increase in efficiency.
The acquisition of this system brings the Department of National Defence
among the top level of departments in terms of technological capabilities
and begins the process of eliminating highlighters and severing
photocopiers. The purchase and implementation of the new system has been
fully supported by departmental officials at all levels and DAIP will be
looking to involve the OPIs in the electronic transfer of files as well as
the indication electronically of recommendations for release and
severance. This opens the possibility as well of providing applicants with
documents on disk and CD and, perhaps ultimately, via the internet. |
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Management of Information Holdings |
Last year's report indicated that DND is migrating from a
paper-based environment to one that is primarily electronic. This
continues to be the case and the requirement for improved records keeping
and information management remains paramount. Unless signatures are
required, documents may never have to exist in hard copy or be stored in
traditional manner if all users are able handle them electronically. The
implementation of ATIPimage allows for departmental OPIs to transfer
electronic documents directly to DAIP for processing and DAIP continues to
improve its capability to provide documents to applicants in different
electronic formats. It goes without saying that effective records and
information management practices will contribute to the Department's
ability to respond fully and completely to AIA requests in a timely
manner. DAIP staff continue to act as a catalyst for improving the capture
and retrieval of information in hard-copy and electronic media and to
provide advice to the department on these matters. |
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Privacy Policy and Direction |
DND continues to revise and update Defence Administrative
Orders and Directives (DAOD) relating to policy and legislative
requirements of the AIA and Privacy Act. These directives become ever more
important as improved technology provides a potential for easier access
and transfer of records. DND is aware that while easier availability of
information is generally beneficial from an Access perspective, obvious
concerns exist from a Privacy perspective. DAIP must continue to assist
the department to remain vigilant so that access to personal information
remains restricted to authorized users. With the upcoming Treasury Board
implementation of Privacy Impact Assessment Policy and Guidelines, it is
expected that a formal consultation process involving DAIP will be
established whenever a new project having privacy implications is
proposed. |
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Training and Education |
Departmental ATIP staff will continue to provide
specialized and institutionally unique ATIP training to address the
requirements of individual organizational elements. DAIP is also exploring
the feasibility and necessity of instituting a training course of 3 or 4
days for those tasking liaison officers responsible for coordinating and
responding to requests on behalf of bases, elements and directorates.
Well-informed and well-trained personnel at the local unit level will
further enhance the Department's ability to respond to ATIP requests with
maximum efficiency and effectiveness. DAIP will also continue with the
professional development training of our own staff. |
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Statistics
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| AIA: |
Access to Information Act |
| ATIP: |
Access to Information and Privacy |
| CAC: |
Consulting and Audit Canada |
| CDS: |
Chief of the Defence Staff |
| CF: |
Canadian Forces |
| DAIP: |
Director or Directorate of Access to Information
and Privacy |
| DM: |
Deputy Minister |
| DAOD: |
Defence Administrative Order and Directive |
| DSCDS: |
Defence Subject Classification & Disposition
System |
| DND: |
Department of National Defence |
| FY: |
Fiscal year |
| Level 1: |
Senior managers who have direct accountability to
DM/CDS |
| MND: |
Minister of National Defence |
| NDHQ: |
National Defence Headquarters |
| OCIPEP: |
Office of Critical Infrastructure Protection and
Emergency Preparedness |
| OPI: |
Office of Primary Interest |
| PA: |
Privacy Act |
| TB: |
Treasury Board |
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