2013–14 Annual Reports on the Access to Information Act and the Privacy Act
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1. Report on the Access to Information Act
1.1 Introduction
The Access to Information Act gives Canadian citizens, permanent residents, and all individuals and corporations present in Canada the right of access to records under the control of a government institution subject to the Act. The Act complements, but does not replace, other means of obtaining government information.
This report is prepared and tabled in Parliament in accordance with Section 72 of the Access to Information Act. It covers the period from April 1, 2013, to March 31, 2014.
1.2 Mandate of the Treasury Board of Canada Secretariat
As the administrative arm of the Treasury Board, the Treasury Board of Canada Secretariat has a dual mandate: to support the Treasury Board as a committee of ministers and to fulfill the statutory responsibilities of a central government agency. It is headed by a Secretary who reports to the President of the Treasury Board.
The Secretariat provides advice and support to Treasury Board ministers in their role of ensuring value for money and providing oversight of the financial management functions in federal departments and agencies.
The Secretariat makes recommendations and provides advice to the Treasury Board on policies, directives, regulations and program expenditure proposals with respect to the management of the government’s resources. The Secretariat is also responsible for the comptrollership function of the government.
Under the broad authority of Sections 5 to 13 of the Financial Administration Act, the Secretariat supports the Treasury Board in its role as the general manager and employer of the public service.
1.3 Organization
The Access to Information and Privacy (ATIP) Office is part of the Ministerial Services Division of the Secretariat’s Strategic Communications and Ministerial Affairs Sector. The ATIP Office coordinates responses to ATIP requests and consultations from other government institutions for the Secretariat as a department. This office also provides advice to the Secretariat’s employees as they fulfill their obligations under the Access to Information Act and the Privacy Act.
The ATIP Office has nine full-time positions to fulfill the Secretariat’s obligations under the Access to Information Act and the Privacy Act. The staff of the ATIP Office in 2013–14 consisted of eight employees: a Director and seven access to information officers at various levels. The officers’ work ranges from processing access to information requests to carrying out consultations with departments or third parties and responding to calls and informal requests for information.
1.4 Delegation Orders
Delegation orders set out what powers, duties and functions for the administration of the Access to Information Act have been delegated by the head of the institution and to whom. The President of the Treasury Board has delegated most of the responsibilities set out in the Access to Information Act and the Privacy Act to the ATIP Director and the Senior Director, Ministerial Services, Strategic Communications and Ministerial Affairs, within the Secretariat. The Secretary has been delegated responsibilities for addressing complaints not resolved between the ATIP Office and investigators from the Office of the Information Commissioner and the Office of the Privacy Commissioner.
Copies of the approved Secretariat delegation orders can be found in Appendix C.
1.5 Statistical Report
Statistical reporting on the administration of the Access to Information Act and the Privacy Act has been in place since 1983. The statistical reports prepared by government institutions provide aggregate data on the application of the Access to Information Act and Privacy Act legislation. This information is made public on an annual basis in an Info Source Bulletin and is included with the annual reports on access to information and privacy, which are tabled in Parliament by each institution.
The Secretariat’s 2013–14 statistical report on the Access to Information Act is provided in Appendix A.
1.6 Interpretation of the Statistical Report for Requests Under the Access to Information Act
In this reporting period (April 1, 2013, to March 31, 2014), the Secretariat received a total of 578 new requests under the Access to Information Act. This represents an increase of 277 requests (92%) from last year’s total of 301. In addition to the new requests, 60 requests were carried forward from 2012–13.
Of the 578 new requests, 331 (57%) were transferred or redirected to other federal institutions, as they were on subjects within their mandates or on topics on which the Secretariat had no records.
Of the 578 requests received during the 2013–14 reporting period, 346 (60%) came from the public, and the remaining 40% were requests from media, businesses, academia and organizations.
In 2013–14, the Secretariat’s ATIP Office responded to formal access to information requests involving the review of 57,175 pages (23,362 fewer pages, or 29% less, than last year). The Secretariat recommended for release 27,299 pages (48%) of the 57,175 pages reviewed. This reflects the nature of the Secretariat’s work, which involves a large number of Cabinet confidences. The decrease in the total volume of pages processed is due to three key factors:
- Proactive posting of frequently sought information and completed access to information summaries on the government’s Open Data Portal;
- Proactive negotiation with the requestors on files that had a large volume of records to reduce superfluous information and expedite processing; and
- A larger number of requests for information that was either outside of the Secretariat’s mandate or for which the Secretariat had no records.
In 138 cases, requestors wanted to receive the information in a paper copy, and in 44 cases records were sought and provided in an electronic format. Requestors continue to have the option of receiving information on CD-ROM at no extra charge, thereby eliminating the cost of photocopies.
About 10% of the access to information requests (51 requests) involved the review and processing of up to 500 pages. Six cases involved the release of a total of 8,000 pages, averaging about 1,300 pages each. Processing of such large files takes significantly longer and requires closer attention to ensure internal consistency and proper sequencing of records.
Table 1 shows the latest three-year trend of the Secretariat’s processing of access to information requests.
| Fiscal Year | Requests Received | Requests Completed | Number of Pages Processed | Number of Pages Released | On-Time Compliance Rate |
|---|---|---|---|---|---|
|
|||||
| 2013–14 | 578 | 563 | 57,175 See Table 1 footnote * | 27,299 See Table 1 footnote * | 98% See Table 1 footnote ** |
| 2012–13 | 301 | 324 | 80,537 | 56,654 | 95% |
| 2011–12 | 354 | 336 | 47,472 | 27,897 | 99% |
Although the volume of pages reviewed and processed is 29% lower than last fiscal year, the number of access to information requests that the Secretariat received has gone up 92%, the largest increase in the past three years. This increase can be attributed to requestors’ continued interest in leave usage, collective bargaining and disability management issues, and to a temporary surge of requests that the Secretariat received as part of the ATIP online purchase initiative.
1.7 Other Requests
During this same period, the Secretariat received 173 Access to Information Act consultation requests from other federal government departments involving Secretariat records or issues, a decrease of 90 requests (34%) from the previous year. The Secretariat was asked to review a total of 6,339 pages of information as part of these consultations. This decrease may have been due to the Secretariat’s proactive disclosure practices, which reduced the need for consultation on records that are already public.
As a result of the web posting summaries of completed access to information requests, the Secretariat received additional informal requests for previously released information. The ATIP Office processed 159 informal requests (not subject to the Access to Information Act), as compared with 97 in the previous year (a 64% increase). These informal requests are processed as part of the Secretariat’s broader objective of providing Canadians with relevant information on an informal and timely basis, and in the spirit of transparency and open government.
As in previous years, the ATIP Office acted as a source of expertise for Secretariat officials, providing advice and guidance on the provisions of the legislation. It was consulted regularly on the disclosure and collection of data on a wide range of subjects, and provided advice to ensure transparency and compliance with the legislation. This included publications to be posted on the Open Government website, surveys and forms, proactive disclosures on travel and hospitality, advice on information management, security of information, and the review of audits to be posted on the Internet. The Secretariat also participated and contributed information to the investigation on instant messaging conducted by the Office of the Information Commissioner.
Throughout the year, the ATIP Office continued to receive frequent telephone calls and emails from the general public seeking guidance on how to obtain information under the Access to Information Act and the Privacy Act and where they should forward their requests. Many of these enquiries were redirected to the Royal Canadian Mounted Police, the Canada Border Services Agency, Citizenship and Immigration Canada, and occasionally, to provincial Freedom of Information Offices.
1.8 Disposition of Completed Requests
In 2013–14, 563 requests were completed, with information disclosed in accordance with the provisions of the legislation. Table 2 provides an overview of the disposition of the completed requests.
| Number of Requests See Table 2 footnote * | Disposition |
|---|---|
|
|
| 59 (10%) | Fully disclosed |
| 123 (22%) | Partially disclosed |
| 5 (1%) | Excluded in entirety |
| 15 (3%) | Exempted in entirety |
| 17 (3%) | Transferred to another institution |
| 314 (56%) | No existing records |
| 29 (5%) | Withdrawn by applicant |
| 1 (0%) | Treated informally |
Most requests that fall within the Secretariat’s mandate were partially disclosed due to the nature of the Secretariat’s business, which involves a significant number of Cabinet confidences and sensitive advice and recommendations to the President. Because the President of the Treasury Board is responsible for ensuring compliance with the Access to Information Act and the Privacy Act government-wide, the Secretariat receives a large number of requests that fall within the mandates of other federal departments. Such requests are registered, reviewed and redirected to the appropriate organization. In Table 2, these requests are presented as “Transferred to another institution” and “No existing records.”
1.9 Completion Time and Extensions
The legislation sets timelines for responding to access to information requests and allows for extensions when responding to the request requires review of a large amount of information or extensive consultations with other organizations.
Table 3 provides the response times for the 563 access to information requests that the Secretariat completed in 2013–14.
| Number of Requests See Table 3 footnote * | Completion Time |
|---|---|
|
|
| 304 (54%) | Within 1 to 15 days |
| 109 (19%) | Within 16 to 30 days |
| 42 (7%) | Within 31 to 60 days |
| 50 (9%) | Within 61 to 120 days |
| 34 (6%) | Within 121 to 180 days |
| 22 (4%) | Within 181 to 365 days |
| 2 (0%) | More than 365 days |
The Secretariat received a number of requests that fall under other departments’ mandates; these requests are completed within 1 to 15 days. Requests that were processed after the initial 30 days required consultations with other government departments or the Secretariat’s Legal Services Division in order to confirm Cabinet confidences. In this reporting period, the Secretariat sought extensions in 124 instances (22%) in order to consult with other government institutions or third parties. Overall, of the 563 requests, 550 (98%) were completed within the prescribed time limits, which includes all extensions which were taken in accordance with sub-paragraphs 9(1)(a)(b) and (c) of the Act.
As in the previous year, access to information requests that the Secretariat received in this reporting period were complex and often required cross-departmental, regional or cross-jurisdictional data that is not readily available. These requests resulted in requestors paying additional search and retrieval fees as well as programming fees.
Several factors contributed to the Secretariat’s 98% on-time response rate, including weekly statistical performance reports, strong case file management, conducting information sessions with Secretariat officials and sector contacts, and a streamlined process for confirmation of Cabinet confidences and delegation orders.
1.10 Exemptions Invoked
The Access to Information Act allows, and in some instances requires, that information such as on national security, law enforcement or trade secrets be exempted and not released.
In 2013–14, the Secretariat invoked a total of 442 exemptions as per specific sections of the Access to Information Act. The exemptions were as follows:
- Section 13: Exempting records obtained in confidence from other levels of government (5);
- Section 14: Exempting records related to federal-provincial affairs (2);
- Section 15: Exempting records expected to be injurious to the conduct of international affairs and the defence of Canada (18);
- Section 16: Exempting records containing law enforcement and security
information (17); - Section 18: Exempting records expected to prejudice the economic interests of Canada (43);
- Section 19: Exempting records containing personal information (67);
- Section 20: Exempting records containing third-party business information (41);
- Section 21: Exempting records containing information related to the internal decision-making processes of government (208);
- Section 23: Exempting records related to solicitor-client privilege (33);
- Section 24: Exempting records related to statutory prohibitions (7); and
- Section 26: Exempting records where information is to be published within 90 days (1).
1.11 Exclusions Invoked
The Access to Information Act does not apply to information that is already publicly available, such as government publications and material in libraries and museums. It also excludes material such as Cabinet confidences. Consistent with the Act, exclusions were invoked 142 times: twice for information that could be found in the public domain (Section 68(a)) and 140 times under Section 69 for confidences of the Queen’s Privy Council for Canada. Because the Secretariat provides administrative support to the Treasury Board, which is a Cabinet committee, it has a large number of documents classified as Cabinet confidences.
1.12 Fees
During the reporting period, the Secretariat collected $1,610 in application fees, $780 in search fees, $60 in programming fees and $124 for reproduction of material to be released or for response preparation time.
1.13 Costs
During 2013–14, the ATIP Office incurred $462,444 in salary costs and $105,343 in administrative costs (software licences, professional services fees, office equipment and supplies, training) to administer the Access to Information Act.
These costs do not include resources expended by the Secretariat’s program areas to meet the requirements of the Acts.
1.14 Education and Training
During 2013–14, the ATIP Office continued to conduct training sessions for the Secretariat’s employees on a regular basis—13 sessions were provided to 228 staff. Some of these sessions were tailored to specific needs of divisional teams and sectors across the Secretariat.
1.15 Policies, Guidelines, Procedures and Initiatives
To make the process of requesting government records simpler and more convenient, on April 9, 2013, the Government of Canada launched a pilot initiative that enables Canadians to submit their ATIP requests and fees online. Citizenship and Immigration Canada, Shared Services Canada and the Treasury Board of Canada Secretariat were the participants in the pilot. The service has now been expanded to include 23 federal government institutions, making it easier to submit an access to information or privacy request across government. This initiative is part of the modernization of the administration of access to information, one of the commitments of Canada’s Action Plan on Open Government.
To ensure policy compliance and adherence to procedures for appropriate handling and preparation of responses to ATIP requests, the Secretariat’s ATIP Office continued to disseminate a variety of tools and checklists and held face-to-face meetings with new staff and contacts. These tools and meetings were instrumental in ensuring that the Secretariat’s employees are aware of their roles and responsibilities related to ATIP requests.
1.16 Complaints, Investigations and Federal Court Cases
Clients of the Secretariat filed 19 new complaints with the Information Commissioner in 2013–14, a slight decrease of 2 complaints from a total of 21 in 2012–13.
The reasons for the new complaints were as follows:
- 9 were related to the exemption or exclusion of information;
- 8 pertained to time limits (i.e., extensions taken or time taken to respond to requests);
- 1 related to fees assessed for a request; and
- 1 was regarding the new online request form and its collection of information on categories of applicants.
Eighteen of the new complaints received dealt with formal requests made under the Access to Information Act.
During this fiscal year, 21 complaint investigations, which included 8 carried over from the previous year, were completed. Results were as follows:
- 2 complaints were determined not to be well-founded;
- 7 complaints were withdrawn by the complainant;
- 6 complaints were assessed as well-founded and resolved without recommendations;
- 1 completed complaint was the Information Commissioner’s systemic investigation on the use of text-based messaging functions. The Information Commissioner considered the complaint to be well-founded and provided recommendations;
- 4 complaints were assessed as resolved; and
- 1 complaint was settled in the course of the investigation.
All completed complaints dealt with formal responses to requests made under the Access to Information Act.
There were no new court cases in 2013–14. There have been no new court cases against the Secretariat in relation to the Access to Information Act and the Privacy Act in the last six years.
1.17 Information Holdings
Info Source is a series of publications containing information about and collected by the Government of Canada. The primary purpose of Info Source is to assist individuals in exercising their rights under the Access to Information Act and the Privacy Act. Info Source also supports the federal government’s commitment to facilitate access to information regarding its activities.
A description of the Secretariat’s functions, programs, activities and related information holdings can be found in Sources of Federal Government and Employee Information 2013. Info Source also provides private individuals and federal government employees (current and former) with the information required to access their personal information held by government institutions that are subject to the Privacy Act.
Since the Access to Information Act and the Privacy Act were enacted, technology and communications approaches have evolved. In order to improve service delivery and reduce reporting burdens on institutions, the Chief Information Officer Branch of the Secretariat undertook to transform Info Source: Sources of Federal Government and Employee Information from a static electronic document to a responsive web resource and to improve service to both the public and to ATIP professionals in federal departments. The ATIP Office of the Secretariat participated in the initial pilot to test a decentralized approach to publishing of Info Source. This initiative has made it easier to access government information, and it helped strengthen transparency to the public.
All Info Source publications are available online free of charge.
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