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Section II – Analysis of Program Activities by Strategic Outcome

Strategic Outcome

The public has timely and fair access to the litigation processes of the Federal Court of Appeal, the Federal Court, the Court Martial Appeal Court of Canada and the Tax Court of Canada

Program Activity 1: Registry Services

Program Activity Description

The Registry Services Branch provides all operational and registry functions necessary for the smooth and efficient functioning of the Federal Court of Appeal, the Federal Court, the Court Martial Appeal Court of Canada and the Tax Court of Canada. Three Registrars, (there is only one registrar for both the Federal Court of Appeal and the Court Martial Appeal Court of Canada) and three Regional Directors General are responsible for ensuring proper court records management and adequate operation of the litigation processes of the courts and access to these by litigants.

The Branch provides registry services through ten points of access across Canada and has negotiated Memoranda of Understanding with provincial and territorial bodies for the receipt of court documents and use of courtrooms in eight additional locations.

The Branch also includes a Modernization directorate that supports all of Registry Services by working closely with Information Technology staff to develop electronic functionalities and equipment to improve court operations and to eventually implement complete electronic files for all courts. This group is also responsible for reviewing and harmonizing registry processes, for drafting service standards and assessing the performance of the different offices and providing specialized registry training to operational staff.

Finally, the Registry Services Branch includes a separate unit composed of senior and experienced staff who are responsible for the quasi-judicial function of assessment/taxation of costs awarded to parties.

Program Activity: Registry Services

2009-10 Financial Resources ($ millions)			2009-10 Human Resources (FTEs)
Planned Spending	Total Authorities	Actual Spending	Planned	Actual	Difference
26.3	28.8	26.1	307	292	15

Expected Results	Performance Indicators	Targets	Performance Status	Performance Summary
Awareness and understanding of the litigation processes in order to ensure that the public and parties have access to the Courts.	Satisfaction rate regarding the quantity and quality of information products.	To be determined based on baseline results Improvements in subsequent years	Mostly Met	Internal satisfaction survey of Judges and Registry employees conducted Satisfaction rate generally high with respect to knowledge and professionalism of employees; accuracy of document preparation and processing can be improved in some areas Action plan to address results of the survey has been prepared The significant preparatory work for the conduct of an external survey of clients has been completed in 2009 2010 and the survey will be conducted in 2010 2011 if resources allow
Access to the Courts through decentralized registry services	Number of recorded entries per region Number of hearings per region	To be determined based on baseline results Improvements in subsequent years	Mostly met	Baseline information was collected in 2009 2010; monitoring and reporting against those results to begin in 2010 2011
Complete files at the time of hearings.	Satisfaction rate of the judiciary and clients with respect to the preparation of files by the registry before the hearing	To be determined based on baseline results Improvements in subsequent years	Mostly met	Satisfaction rate of the judiciary with respect to completeness of files generally high Particular concerns within certain areas noted; to be addressed through the aforementioned action plan

Performance Analysis

Progress continued with respect to the development of a Court Records Management System (CRMS) to support the business of the four courts. Through the operational planning and risk management exercises, this project was highlighted as the main priority for the Service. However, the significant financial constraints facing the Service meant that limited resources were available to dedicate to this critical initiative. The business requirements for the final phases are in the process of being defined, and the Service reallocated resources internally as much as possible in order to continue the essential development work required.

A formal third‑party evaluation of different approaches to electronic filing of documents was conducted in 2009‑2010, which considered existing functionality as well as systems in other courts in Canada and abroad. Senior management has approved a plan to move forward with a single, in-house solution, as resources become available, with a view to improving e-filing functionality to support the continued growth in this area that was noted in last year’s DPR.

Initial meetings between business and IT experts within the Service and a committee of judges concerned with technology matters were held to discuss the vision for implementing integrated, technology‑enabled courtrooms across the country. Significant investment of funds is required to support the concept, funding which was not and is not currently available to the Service. The outline of a plan to move forward has been developed and will be pursued more fully as resources become available.

As noted in the table above, an internal satisfaction survey of the judiciary and Registry employees was conducted in 2009‑2010. The satisfaction rate within the judiciary was generally high with respect to the support provided by the Registry. As well, it should be noted that a very small number of complaints was received during the year with regard to the quality of Registry services. An action plan to address the results of the survey and certain opportunities for improvement has been developed and implemented. A formal survey of external clients by a third party will be conducted in 2010‑2011, resources permitting; the rigorous preparatory work required for such a public opinion survey was undertaken in 2009‑2010 involving consultations with the Privy Council Office (PCO) and Public Works and Government Services Canada (PWGSC).

Progress has been made on the development of common registry procedures across the country for each one of the four courts. The draft service standards were monitored and adjusted as required over the course of the year and the results used to make necessary operational adjustments. The Registry will be consulting further with its clients on the service standards in the upcoming year prior to formal implementation.

Lessons Learned

The development of the CRMS is a significant shared initiative of the business line (the Registry) and the Information Technology unit which requires rigorous documentation of business requirements in order to ensure proper systems development. This relationship is key, and the Service has redoubled its efforts to ensure that requirements are clearly defined and that the ultimate functionality of the new system meets the needs of the end users.

The formal planning and risk management exercises undertaken by the Service during the reporting period have confirmed that the successful rollout of this key project is a fundamental priority as it addresses a significant risk to the organization. A formal business case was prepared with a view to addressing key gaps and taking advantage of significant opportunities with respect to technology‑enabled courtrooms and the infrastructure required for efficient electronic document management, storage and retrieval. Attempts to secure additional funding to support this initiative have not been successful, and the ultimate delivery date of these key technologies continues to be delayed due to a lack of resources.

Benefits for Canadians

The provision of efficient and timely registry services to Canadians facilitates their access to the judicial system. Parties appearing before the Courts – be they counsel, agents or members of the general public – expect high‑quality, technology‑enabled services in order that their case may be heard and disposed of with minimum effort and delay. The Registry provides information related to procedures, document receipt, file creation and maintenance, scheduling of hearings, in-court support, and preparation and issuing of decisions.

Program Activity 2: Judicial Services

Program Activity Description

The Judicial Services Branch provides direct support to all the Judges through the efforts of judicial assistants, law clerks, jurilinguists, chauffeurs and court attendants, and library personnel. The services provided include research, translation and distribution, revision, editing, and linguistic and terminological advice, the object of which is to assist the judges in preparing their judgments and reasons for judgment.

Program Activity: Judicial Services

2009-10 Financial Resources ($ millions)			2009-10 Human Resources (FTEs)
Planned Spending	Total Authorities	Actual Spending	Planned	Actual	Difference
19.3	21.1	20.4	196	169	27

Expected Results	Performance Indicators	Targets	Performance Status	Performance Summary
Judges have the tools and resources they need to perform their functions	Satisfaction rate of judges concerning the services provided	To be determined based on baseline results Improvements in subsequent years	Mostly met	Regular scheduled meetings with the judiciary indicate a generally high level of satisfaction with respect to the quality of work and professionalism of staff; reduction in time taken to staff vacant positions was noted A significant number of judicial appointments led to challenges in ensuring direct support to new judges Significant improvements made to the process for the issuing, translation, posting, and distribution of judicial decisions
Members of the bar, key stakeholders and the public receive information concerning the status of proceedings, judgments rendered and court operations	Demonstration of interest on the part of the groups concerned: presence at open houses, visits to Web site and number of requests for brochures	To be determined based on baseline results Improvements in subsequent years	Mostly met	Court information brochures revised, with a new brochure produced for the Court Martial Appeal Court of Canada Tax Court of Canada website completely redesigned and launched including online video for the benefit of self-represented litigants
Establishment of a communications network with members of the bar and key stakeholders in order to understand their concerns	Number of meetings Number of recommendations Number of participants	To be determined based on baseline results Improvements in subsequent years	Met	Number of meetings of key liaison committees of the courts maintained Open houses conducted for each court

Performance Analysis

The Judicial Services Branch made further significant improvements to the process for translating, posting, and distribution of judicial decisions which was outlined in the 2008‑2009 DPR. A single unit within the Branch is now responsible for this overall process, and has worked closely with colleagues in the Registry and Internal Services Branches to ensure maximum efficiency and timeliness. In particular, concerns with respect to the timely posting of translations of decisions have been examined and are being addressed as resources permit.

The Law Clerk Program provides an opportunity to soon-to-be and recent graduates of law schools in Canada to apply for positions as law clerks to judges; they may also be called upon to undertake research for deputy judges and prothonotaries. Approximately 55 law clerks are employed annually by the Service, generally for a one-year period to meet their articling requirements. Under the direction of members of the judiciary, who may act as principals for articling purposes, law clerks prepare case summaries, research questions of law and prepare detailed memoranda on facts and legal issues.

The process by which the Service hires such Law Clerks has been improved in recent years. Letters of offer are issued in a more timely manner in order to compete with other potential employers in the legal field. In addition, court articling opportunities have been better promoted in Canadian universities, in part through regular visits to law faculties by individual judges of the courts. Exit surveys and interview processes have also been implemented to obtain from the law clerks at the end of their term feedback on their experience.

The library provides resource materials for the judiciary and those that support their activities. The review of the policy on library collections began in 2009‑2010 with a focus on the largest local office collections. With changing demographics, judges and employees increasingly make use of electronic collections and research tools, and it is anticipated that the number of hard-copy subscriptions can be reduced. This would result in reduced costs for those services permitting funds to be reinvested in the improvement of the quality and diversity of electronic services. In addition, agreements and contracts with external providers and partnerships with other libraries will support this concept. Consultation with the Judges’ Library Committee throughout the revision process has been ongoing. An agreement with Carswell for access to WestLaw Canada arrived at in February 2010 will provide increased electronic access in 2010‑2011. Upgrades to the integrated library management system will proceed in the upcoming year, improving access and record-keeping for library collections. Negotiations are proceeding with other library services for additional reciprocal arrangements.

Lessons Learned

A formal evaluation of the level of prothonotary support to the Federal Court was undertaken with a view to supporting the six existing positions and two additional positions requested by the Chief Justice of that Court. Case management of Federal Court files, which is supported by the activities of the prothonotaries, has increased exponentially in the Federal Court over the years. The Service must fund these positions though it has no control over the appointments and the Service has never received permanent funding from the centre for four of the six existing positions. A business case was developed to address this gap, however efforts to secure additional resources have not borne fruit. Without a source of funding, the Service has had to reallocate resources from its core operations to support these prothonotaries as well as Deputy Judges.

Benefits for Canadians

Judicial Services provides a variety of services and direct support to the judges of the four Courts. These include administrative support, library services, legal research, chauffeurs and court attendants, and distribution, translation and revision of judicial decisions. The smooth functioning of the judiciary and the ability of judges to hear and dispose of cases in a timely and efficient manner is key to a well‑functioning judicial system. The Service works closely with the judges to ensure that their needs are met in order that they can devote their time and energy to hearing matters and rendering decisions, for the benefit of litigants.

Program Activity 3: Internal Services

Program Activity Description

Internal Services are groups of related activities and resources that are administered to support and enable the needs of programs and other corporate obligations of an organization. These groups are: Management and Oversight Services; Communications Services; Legal Services; Human Resources Management Services; Financial Management Services; Information Management Services; Information Technology Services; Real Property Services; Materiel Services; Acquisition Services; and Travel and Other Administrative Services. Internal Services include only those activities and resources that apply across an organization and not those provided specifically to a program.

The mandate of the Courts Administration Service is to provide effective and efficient registry and judicial services to the four federal superior Courts of record; the internal services provided are therefore purely operationally driven. Services that directly support the courts and registry operations include technology and videoconferencing support, records management, facilities and security for courtrooms and the judiciary, specialized equipment and supplies, and mail and messenger services. Many other services provide important indirect support to the functioning of these operations.

Program Activity: Internal Services

2009-10 Financial Resources ($ millions)			2009-10 Human Resources (FTEs)
Planned Spending	Total Authorities	Actual Spending	Planned	Actual	Difference
15.8	17.3	19.7	127	148	21

Performance Analysis

Human Resources

During 2009‑2010, the Human Resources Division continued to develop comprehensive learning strategies for employees and talent management of executives, moving ahead with implementation as rapidly as resources permitted. The 2009‑2011 Diversity Action Plan was approved by the Diversity Consultation Committee and the Executive Committee of the Service and its implementation proceeded throughout 2009‑2010. The HR Online system, which provides for online submission and approval of employee leave requests, was implemented in cooperation with the IT group.

Security and Accommodation

The physical security of the judiciary and of the parties appearing at hearings or at the Registry counters continued to be a primary concern. Threat and risk assessments (TRAs) of key facilities were undertaken to inform the development of a National Security Strategy and a National Capital Region Accommodation Strategy, both of which were completed in 2009‑2010. This work enabled the Service to prepare a comprehensive business case that identified and addressed risks and gaps related to physical security. The case dealt specifically with security requirements for facilities, equipment and resources nation-wide, and with the accommodation needs of the Service and the courts in the National Capital Region.

While initial attempts to secure additional funding for this priority were unsuccessful, the Service will continue to work with central agencies and other partners to develop appropriate solutions to meet the security and accommodation needs of the courts and the Service, and to strengthen the business continuity program.

Finance and Contracting Services

During 2009‑2010, the Service continued to develop its capacity for planning, budgeting and analysis, as well as for providing financial information for the use of Parliamentarians and government agencies. An important initiative was the successful implementation of a Financial Dashboard that assists managers in financial and strategic decision-making.

The contracting function was strengthened through expanded efforts to inform, guide and assist staff regarding the acquisition of both goods and services for the organization. During 2009‑2010, the newly created Contract Review Committee continued to ensure that rules, regulations and best practices were followed.

Information Management and Information Technology

The IM/IT Division continued to support the business lines in developing and rolling out the improved Court Records Management System (CRMS), at the same time providing ongoing Information Management and Technology services to the Courts, the judiciary, the Registry and the administrative functions of the Service.

As noted in the Risk Analysis section of this report, the continued use of outdated legacy systems poses significant challenges with respect to maintenance and incompatibility. It also creates serious risks of disruption in service to the courts and to Canadians. In addition, the Service undertook a complete threat and risk assessment of the IT network infrastructure. This assessment revealed many risks and weaknesses in critical areas, again exposing the courts to potential service disruption. A work plan was developed to address the gaps thus identified; it showed that the necessary replacement and upgrading of hardware, software and databases would take about two years.

Purchasing, configuring and implementing new technologies in all of these areas will require significant resources. Maintaining and improving support for the courts and their registry operations, however, is critically dependent on this effort, as is avoiding serious risks of interruption in service or loss of information critical to fulfilling the courts of record role. Therefore, business cases are being developed to demonstrate the opportunities that could be realized in terms of efficiencies, benefits and risk mitigation through investments in accelerated CRMS development as well as in the strengthening of the overall network infrastructure of the Service to rectify its many significant deficiencies.

Planning and Risk Management

As noted throughout this document, considerable progress has been made with respect to risk management, operational planning, resource allocation and the development of high‑level frameworks to address key challenge areas for the Service. The most significant areas include strengthening IT and physical security (including accommodations), and making improvements to enabling technologies and other service‑delivery platforms. In addition, the Service accords high priority to securing permanent funding for certain judicial positions, the costs of which the organization is currently absorbing internally through reallocation from other critical priorities.

A strong focus by senior management on priorities, risks and opportunities has enabled the Service to move forward in a strategic manner with its current limited resources. The development of a number of comprehensive business cases has defined more precisely the nature of the challenges while offering concrete proposals for addressing them. The Service is therefore well positioned to respond in a timely manner when the necessary resources become available.

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