Access to Information Act – Annual Report – April 1^st, 2017, to March 31, 2018

Table of Contents

• Introduction
• Part I – General information on the Public Service Commission of Canada
  • 1. Raison d'être, mandate and role: who we are and what we do
    • Raison d'être
    • Mandate and role
      
  • 2. Strategic outcome and Program Alignment Architecture
• Part II – Report on the Access to Information Act
  • 1. Organization of delegation and activities
    • 1.1 Delegation order
    • 1.2 The Access to Information and Pravacy Coordinator
    • 1.3 The Access to Information and Privacy Office
    • 1.4 Access to Informationand Privacy liasion officers
  • 2. Statistical report: interpretation
    • 2.1 Requests under the Access to Information Act
    • 2.2 Nature of requests
    • 2.3 Inter-organizational consultations
    • 2.4 Informal requests
    • 2.5 Disposition of requests completed
    • 2.6 Exemptions invoked
    • 2.7 Exclusions invoked
    • 2.8 Extensions of time limits
    • 2.9 Completion time
    • 2.10 Translation
    • 2.11 Format of information released
    • 2.12 Fees
    • 2.13 Costs
  • 3. Summary of Access to Information and Privacy office activities
    • 3.1 Development of policies, directives, guidelines and other key documents
    • 3.2 Advice and training
    • 3.3 Tracking system and imaging software
  • 4. Complaints
    • 4.1 Number of complaints
    • 4.2 Nature of complaints
    • 4.3 Complaints closed
  • 5. Court cases
• Annex A – Delegation Instrument
• Annex B – 2017-2018 Annual Access to Information Act Statistical Report

Introduction

The Access to Information Act (the Act) came into force on July 1, 1983. It was amended as a result of the Royal Assent of the Federal Accountability Act on December 12, 2006. Certain provisions came into force on December 12, 2006 and others took effect on April 1, 2007 and September 1, 2007.

The Access to Information Act gives Canadian citizens and individuals present in Canada a broad right of access to information contained in government records, subject to certain specific and limited exceptions.

Section 72 of the Act requires that the head of every federal government institution prepare an annual report, for submission to Parliament, on the administration of the Act within the institution. Every report shall be laid before each House of Parliament within 3 months after the financial year in respect of which it is made or, if that House is not then sitting, on any of the first 15 days next thereafter that it is sitting.

This annual report provides a summary of the management and administration of the Act within the Public Service Commission of Canada for the fiscal year 2017-2018.

Part I – General information on the Public Service Commission of Canada

1. Raison d’être, mandate and role: who we are and what we do^{Footnote 1} 

Raison d’être

The mandate of the Public Service Commission is to promote and safeguard merit-based appointments and, in collaboration with other stakeholders, to protect the non-partisan nature of the public service. The Minister of Public Services and Procurement Canada as designated minister, tables our Annual Report and special reports in Parliament.

Under the delegated staffing system set out in the Public Service Employment Act (PSEA), we fulfill our mandate by providing policy guidance and expertise as well as by conducting effective oversight. In addition, we deliver innovative staffing and assessment services.

Mandate and role

We are responsible for promoting and safeguarding merit-based appointments that are free from political influence and, in collaboration with other stakeholders, for protecting the non-partisan nature of the public service.

We are mandated to:

• Make appointments to and within the public service, based on merit and free from political influence. The PSEA provides the authority to the Commission to delegate to deputy heads its authority to make appointments to positions in the public service. This authority is currently delegated to deputy heads subject to the PSEA, across the federal government.
• Administer the provisions of the PSEA related to the political activities of employees and deputy heads. Part 7 of the PSEA recognizes the right of employees to engage in political activities, while maintaining the principle of political impartiality in the public service.
• Oversee the integrity of the staffing system and, in collaboration with other stakeholders, ensure non-partisanship of the public service. This oversight role includes:
  • the regulatory authority and policy-setting function
  • the ongoing support and guidance and the monitoring of the staffing performance of delegated organizations
  • the conduct of audits that provide an independent assessment of the performance and management of staffing activities
  • the conduct of investigations of staffing processes and improper political activities by public servants

2. Strategic outcome and Program Alignment Architecture

Our Program Alignment Architecture consists of one strategic outcome and 4 programs.

Public Service Commission strategic outcome

To provide Canadians with a highly competent, non-partisan and representative public service, able to provide service in both official languages, in which appointments are based on merit and the values of fairness, access, representativeness and transparency.

Program – Staffing System Integrity and Political Impartiality

The Staffing System Integrity and Political Impartiality program is focused on independently safeguarding merit and non-partisanship in the federal public service. This program includes developing and advancing strategic policy positions and directions; conducting policy research; establishing our policies and standards; providing advice, interpretation and guidance; and administering delegated and non-delegated authorities, including official languages, the political activities regime and priority administration.

Program – Staffing Services and Assessment

The Staffing Services and Assessment program maintains the systems that link Canadians and public servants seeking employment opportunities in the federal public service with hiring departments and agencies. It provides assessment-related products and services in the form of research and development, consultation, assessment operations and counselling for use in recruitment, selection and development throughout the federal public service. This program also includes delivering staffing services, programs and products to departments and agencies, to Canadians and public servants, through client service units located across Canada.

Program – Oversight of Integrity in Staffing and of Non-partisanship

The Oversight of Integrity in Staffing and of Non-Partisanship program provides an accountability regime for the implementation of the appointment policy and regulatory framework for safeguarding the integrity of public service staffing and ensuring staffing is free from political influence. This program includes monitoring departments’ and agencies’ staffing performance and compliance with legislative requirements; conducting audits and studies; carrying out investigations; and reporting to Parliament on the integrity of public service staffing and the non-partisanship of the public service.

Program – Internal Services

Internal Services are those groups of related activities and resources that the federal government considers to be services in support of programs and/or required to meet corporate obligations of an organization. Internal Services refers to the activities and resources of the 10 distinct service categories that support program delivery in the organization, regardless of the internal services delivery model in a department. The 10 service categories 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

Part II – Report on the Access to Information Act

1. Organization of delegation and activities

1.1 Delegation order

The President of the Public Service Commission is designated as the head of the government institution for the administration of the Access to Information Act (the Act).

Pursuant to section 73 of the Act, deputy heads may delegate any of their powers, duties or functions under the Act by signing an order authorizing one or more officers or employees of the institution, who are at the appropriate level, to exercise or perform the powers, duties or functions of the head specified in the order.

A large portion of the powers, duties and functions of the President, under the Act, are delegated to the Chief of Staff, who is the designated Access to Information and Privacy (ATIP) Coordinator for the Public Service Commission. Operational responsibility for the application of the Act resides with the ATIP Manager, who has partial delegation. See Annex A – Delegation Instrument.

1.2 The Access to Information and Privacy Coordinator

The ATIP Coordinator is responsible for developing, coordinating and implementing effective policies, guidelines, systems and procedures to ensure requests are processed efficiently under the Access to Information Act and the Privacy Act (the acts).

The Coordinator is also responsible for developing, coordinating and implementing policies, systems and procedures that are required by both acts as well as Treasury Board of Canada policies and directives. The activities of the Coordinator include:

• processing requests made under both Acts
• acting as spokesperson for the Public Service Commission in dealings with the Treasury Board Secretariat, the Office of the Information Commissioner, the Office of the Privacy Commissioner and other government departments and agencies on matters related to the acts
• responding to consultation requests submitted by other federal institutions with respect to Public Service Commission documents
• reviewing information collected in accordance with the Communications Policy of the Government of Canada and the Procedures for the Management of Public Opinion Research
• preparing the Annual Report to Parliament and other statutory reports, as well as other material that may be required by central agencies
• promoting awareness and providing advice to our employees to ensure the obligations of both acts and Treasury Board Secretariat policies are met, and assessing their impact on various program initiatives
• monitoring our compliance with both acts, regulations and other relevant policies and procedures

1.3 The Access to Information and Privacy Office

The Access to Information and Privacy Office (the ATIPO) supports the ATIP Coordinator in administering the provisions of the acts and related Treasury Board Secretariat policies for the Public Service Commission. The ATIPO currently comprises a manager, 2 analysts and one administrative assistant. The ATIPO falls under the Corporate Secretariat.

The analysts are responsible for processing requests and consultations under both the Access to Information Act and the Privacy Act, preparing responses to complaints, reviewing our Info Source chapter and supporting all other ATIP responsibilities. The analysts provide privacy advice and support in the evaluation of program activities and aid in the creation of privacy compliance documents, such as privacy notice statements and privacy impact assessments. Additionally, the analysts help departmental officials manage privacy breaches and disclosures of personal information.

The ATIPO delivers general and customized training sessions for our employees.

The ATIPO also reviews its policies and procedures to improve the support it provides to its sector liaison officers and to promote a better understanding of their roles, responsibilities and obligations related to the processing of requests under both acts.

1.4 Access to Information and Privacy Liaison Officers

The ATIPO processes requests with the assistance of ATIP liaison officers, who are employees knowledgeable of their sector’s activities. There is one liaison officer for each sector as well as for the Corporate Secretariat. In addition to acting as the point of contact between their sector and the Office, the ATIP liaison officers are responsible for:

• tasking the appropriate program experts within their sector to search for relevant records
• advising if there are other offices of primary interest
• keeping the ATIPO apprised of any issues in relation to specific requests (delays, interference with operations, consultations required)
• duly delivering to the ATIPO the relevant records, complete with sector recommendations
  • liaison officers play an important role in ensuring that the Commission conducts a thorough and complete search of its record holdings when processing requests

The ATIPO regularly holds meetings with liaison officers to discuss best practices and explore improvements to internal processes. The ATIP Liaison Working Group met 3 times during the reporting period to discuss best practices, address gaps and to provide training opportunities. The ATIPO will also contact liaison officers to obtain background information for the purpose of clarifying requests with requesters.

2. Statistical report: interpretation

Over the last reporting period, we received a total of 151 requests submitted under both acts and responded to 158 requests. This number represents a 95% decrease in requests received compared to the previous year. When compared to our historical average, which excludes a temporary surge in 2015-2017, these 151 requests represent a 49% increase.

2.1 Requests under the Access to Information Act

From April 1, 2017, to March 31, 2018, we received 100 new requests under the Act, in addition to the 10 that were carried over from the previous reporting period. This represents a 20% decrease in requests received compared with the previous year.

We responded to 104 requests during the reporting period, requiring the review of 21,963 pages of records. At the end of the reporting period, 6 requests were ongoing and were carried forward to the next period.

2.2 Nature of requests

The nature of the 104 requests closed during this reporting period was consistent with requests received in previous years:

• 20 requests (19.2%) were related to contracts, call-ups and temporary help
• 16 requests (15.4%) concerned staffing activities; most requesters were seeking information related to staffing documents, priority entitlements and assessments
• 12 (11.5%) requests were to obtain statistical information or raw data related to our program activities
• 10 requests (9.6%) pertained to investigations and audits conducted under the PSEA
• the remaining 46 requests (44.3%) were on a variety of subjects

2.3 Inter-organizational consultations

We received 48 requests for consultation from other government departments and agencies. The processing of these requests required a review of 923 pages of documents. All 48 consultation requests were closed during this reporting period, with none carrying over into 2018-2019.

In response to these 48 consultation requests, the Public Service Commission had no objections to the disclosure of the records for 40 requests, recommended partial exemptions for 7 requests  and recommended 1 request be entirely exempted.

We consulted other government departments and agencies 16 times in relation to the processing of 8 requests completed during the reporting period.

2.4 Informal requests

In an attempt to improve and facilitate access, we provided copies of previously released requests that are not of a personal nature. During the reporting period, 29 such informal requests were made and completed.

Summaries of completed Access to Information Act requests are available on the Open Data Portal.

2.5 Disposition of requests completed

For the 104 requests closed in this reporting period, information was released either in whole or in part in 53 cases, representing 51% of the requests. The remaining 51 requests were either abandoned (26%), transferred (14.4%) or no records existed (8.7%).

When compared to the previous reporting period, there is an apparent decrease in the proportion of requests that were transferred. This is accompanied by a drop in the number of requests where no records existed.

2.6 Exemptions invoked

Sections 13 through 24 of the Act set out the exemptions intended to protect information pertaining to particular public or private interests. Whenever we invoked exemptions, the principle of severing, as described in section 25 of the Act, was applied in order to release as much information as possible. During the reporting period, the most frequently invoked exemptions were subsection 19(1) [personal information], paragraph 20(1)(b) [third party information] and paragraph 16(1)(c) [investigations].

2.7 Exclusions invoked

Sections 68 to 69 of the Act outline certain types of information to which the Act does not apply. These exclusions relate to published material, library and museum material, material placed in Library and Archives Canada by or on behalf of third parties, some materials relating to Atomic Energy of Canada Limited, the Canada Broadcasting Corporation and Cabinet confidences.

During the reporting period, we did not exclude any information.

2.8 Extensions of time limits

Extensions of the 30-day statutory response time are permissible under subsection 9(1) of the Act. A request may be extended in accordance with multiple provisions of this subsection. During the reporting period, a total of 15 extension provisions were invoked in the processing of 8 (7.6%) requests that were completed during the reporting period.

2.9 Completion time

Of the 104 requests closed during the reporting period, 93 were closed within the initial 30 days, representing 89.5% of all the requests completed. 5 requests (4.8%) were completed within 31 to 60 days, 2 (1.9%) within 61 to 120 days, and 4 (3.8%) required more than 120 days to process.

Of these, 103 (99%) were closed within the allowable time limit.

2.10 Translation

We did not receive any requests for the translation of records, pursuant to subsection 12(2) of the Act.

2.11 Format of information released

Regarding the 53 requests for which information was released in whole or in part, records for 18 requests (34%) were provided on paper, and 35 (66%) were provided electronically.

2.12 Fees

Under the Act and Regulations, fees for certain activities related to the processing of formal requests can be levied. In addition to the $5 application fee, other charges may also apply for search, preparation and reproduction of the various records, as specified in the Access to Information Regulations.

We collected $485, and waived $30, in application fees for requests completed during this reporting period.

On May 5, 2016, the President of the Treasury Board of Canada Secretariat issued an Interim Directive on the Administration of the Access to Information Act whereby all fees other than the initial application fee would no longer be charged. As a result, no fees were imposed for the search, preparation or reproduction of information during the reporting period.

2.13 Costs

During the reporting period, the ATIPO spent $146,798 on salaries and $8,644 on goods and services, including $5,286 for professional service contracts, for the administration of the Act.

The salary and professional services costs represented 1.82 full-time equivalent positions.

3. Summary of Access to Information and Privacy Office activities

3.1 Development of policies, directives, guidelines and other key documents

In this reporting period, the ATIPO engaged a consultant to produce a Privacy Impact Assessment (PIA) Architecture. Using the Departmental Program Inventory, this document examines privacy risks in Public Service Commission programs and illustrates which PIAs should be completed. Using this architecture, the ATIPO will create an action plan and a timeline during which we plan to address these assessments.

Additionally, the ATIPO completed a review of ATIP request procedures using the LEAN methodology. Several possible areas of improvement were identified, and a draft work plan will be established for consultation for fiscal year 2018-2019.

3.2 Advice and training

Advice

In addition to processing Access to Information Act and Privacy Act requests, the ATIPO provides advice to Public Service Commission managers and employees, as well as to other organizations and members of the public regarding a variety of issues and questions related to both acts.

Requests for guidance and advice were of the following nature:

• reviewing memoranda of understanding and information-sharing agreements to ensure compliance with the requirements of the acts and associated policies
• reviewing audit reports, responses to parliamentary questions and other documents prior to publication to ensure that information is released in accordance with the acts
• reviewing administrative investigation reports (such as reports on violence in the workplace or harassment) prior to disclosure to the concerned parties to ensure that information is released in accordance with the principles of exemptions defined in the acts
• answering general written and telephone enquiries from the public

Participation in the governance process

The ATIP Coordinator is a member of the Integration Committee, the Resource Management Committee and the Open Government Advisory Group. The ATIP Manager is a member of the Information Management, Information Technology Committee, the Security Committee and the Open Data Core Project Team. Additionally, the ATIPO sits as a non-voting member of the Project Review Committee. The ATIPO also acts in an advisory capacity on the New Direction in Staffing Innovation working group.

Active participation in these committees and various other working groups allows the ATIPO to:

• be aware of upcoming issues, initiatives and projects that may have ATIP implications
• integrate ATIP considerations in the planning and implementation of initiatives and projects

Open government

Our Open Government Implementation Plan outlines a set of activities and deliverables to meet our requirements under the Treasury Board Secretariat’s Directive on Open Government. The plan’s goal is for the Public Service Commission to develop the internal mechanisms necessary to maximize the release of government information and data of business value. As a member of the Open Government Advisory Group and the Open Data Core Project Team, the ATIPO provides ongoing strategic advice regarding privacy, confidentiality, and security concerns.

Internal reporting

We have a stable and effective ATIP program. As a result, the ATIPO only reports on significant issues in an ad hoc manner, when required. The ATIPO meets with individual senior executives to address specific issues.

The ATIPO also provides annual updates to the Executive Management Committee on the administration of the ATIP program and the status of privacy impact assessments.

Training

The ATIPO delivered an ongoing core training program for supervisors and managers. The primary goal of the program is to ensure that managers are fully aware of their responsibilities under both acts and related policies. The ATIPO delivered 3 training sessions attended by 11 participants during this reporting period.

3.3 Tracking system and imaging software

The ATIPO continues to use AccessPro Case Management and AccessPro Redaction. With the eventual department-wide migration to Windows 10, the latest release of AccessPro Suite is being tested prior to deployment within the ATIPO.

4. Complaints

4.1 Number of complaints

During the reporting period, we were advised of 2 complaints to the Office of the Information Commissioner regarding the processing of Access to Information Act requests.

In addition, there were 4 complaint investigations carried over from the 2016-2017 reporting period.

4.2 Nature of complaints

The 2 complaints received during the reporting period related to alleged missing records and the application of exemptions.

4.3 Complaints closed

During the reporting period the Office of the Information Commissioner confirmed that 2 complaints were discontinued, with the consent of the complainants.

The Office of the Information Commissioner completed 3 investigations. The 3 complaints regarding the use of extensions, the application of exemptions and missing records, were deemed to be well-founded.

5. Court cases

During the reporting period, one application was filed to the Federal Court pursuant to section 41 of Act. The applicant was denied access to a record following a request under the Act. The Federal Court application was discontinued by the applicant.

Annex A – Delegation Instrument

Access to Information Act – Delegation Order

The President of the Public Service Commission of Canada, as the head of the government institution, hereby designates pursuant to section 73 of the Access to Information Act, the persons holding the positions set out below, or the persons occupying on an acting basis those positions, to exercise or perform any of the powers, duties or functions of the Head of the government institution vested in him by the Access to Information Act..

This delegation is effective as of December 29^th, 2016.

Appendix A

Access to Information Act

4(2.1)

Responsibility of government institutions

7(a)

Notice when access requested

7(b)

Giving access to record

8(1)

Transfer of request to another government institution

9

Extension of time limits

11(2), 11(3), 11(4), 11(5), 11(6)

Fees

12(2)(b)

Language of access

12(3)(b)

Access in an alternative format

13

Exemption - Information obtained in confidence

14

Exemption - Federal-provincial affairs

15

Exemption - International affairs and defence

16

Exemption - Law enforcement and investigations

16.5

Exemption - Public Servants Disclosure Protection Act

17

Exemption - Safety of individuals

18

Exemption - Economic interests of Canada

18.1

Exemption - Economic interest of the Canada Post Corporation, Export Development Canada, the Public Sector Pension Investment Board and VIA Rail Canada Inc.

19

Exemption - Personal information

20

Exemption - Third-party information

21

Exemption - Operations of Government

22

Exemption - Testing procedures, tests and audits

22.1

Exemption - Audit working papers and draft audit reports

23

Exemption - Solicitor-client privilege

24

Exemption - Statutory prohibitions

25

Severability

26

Exception - Information to be published

27(1), 27(4)

Third-party notification

28(1)(b), 28(2), 28(4)

Third-party notification

29(1)

Where the Information Commissioner recommends disclosure

33

Advising Information Commissioner of third-party involvement

35(2)(b)

Right to make representations

37(4)

Access to be given to complainant

43(1)

Notice to third party (application to Federal Court for review)

44(2)

Notice to applicant (application to Federal Court by third party)

52(2)(b), 52(3)

Special rules for hearings

71(1)

Manuals may be inspected by public; exempt information may be excluded

72

Annual Report to Parliament

Access to Information Regulations

6(1)

Procedures relating to transfer of access request to another government institution under 8(1) of the Act

7(2)

Search and preparation fees

7(3)

Production and programming fees

8

Providing access to record(s)

8.1

Limitations in respect of format

Annex B – 2017-2018 Annual Access to Information Act Statistical Report

Name of institution: Public Service Commission of Canada

Reporting period: 2017-04-01 to 2018-03-31

Part 1: Requests Under the Access to Information Act

Part 2: Requests Closed During the Reporting Period

2.5 Complexity

2.6 Deemed refusals

Part 3: Extensions

Part 4: Fees

Part 5: Consultations Received From Other Institutions and Organizations

Part 6: Completion Time of Consultations on Cabinet Confidences

Part 7: Complaints and Investigations

Part 8: Court Action

Part 9: Resources Related to the Access to Information Act