Archived - Department of Finance Canada Annual Report to Parliament on the Administration of the Access to Information Act 2013–2014

Introduction

Purpose of the Access to Information Act

History of the Department of Finance Canada

The Department Today

Mandate of the Department of Finance Canada

Strategic Outcome

Administration of the Access to Information Act

• Access to Information and Privacy Division
• Principles on Assistance to Applicants
• Educational and Training Activities
• Institutional Changes to the Administration of the Access to Information Act
• Delegation of Authority

Information Holdings

Interpretation of the Statistical Report (Annex A)

• Part 1 – Requests under the Access to Information Act
  • Number of Formal Requests
  • Other Requests
  • Sources of Requests

• Part 2 – Requests Closed During the Reporting Period
  • Disposition of Requests
  • Completion Time
  • Exemptions Invoked
  • Exclusions Cited
  • Format of Information Released
  • Complexity
  • Deemed Refusals
  • Translations

• Part 3 – Extensions
• Part 4 – Fees
• Part 5 – Consultations
• Part 6 – Completion Time of Consultations on Cabinet Confidences
• Part 7 – Resources Related to the Access to Information Act

Complaints/Investigations/Audits

Appeals to the Federal Court of Canada

Monitoring of Requests

Informal Requests

ANNEX A - Statistical Report on the Access to Information Act

This Annual Report to Parliament on the Administration of the Access to Information Act (the Act) within the Department of Finance Canada is prepared and tabled in Parliament in accordance with section 72 of the Act and covers the period from April 1, 2013 to March 31, 2014.

The Act came into force on July 1, 1983. Its purpose is to provide a right of access to information in records under the control of a government institution in accordance with the principles that such information should be available to the public, that necessary exceptions to the right of access should be limited and specific, and that decisions on the disclosure of government information should be reviewed independently of government. The Act is intended to complement existing procedures for access to government information; it is not intended to limit access to information that is normally available to the general public. Under the Act, Canadian citizens, permanent residents, or any person or corporation present in Canada have the right to request access to information contained in government records.

The Department recognizes that the right of access to information in records under its control and other federal government institutions is an essential element of our system of democracy. It is committed to openness and transparency, respecting both the spirit and the requirements of the Act, its regulations and related policy instruments. The Department further acknowledges the importance of facilitating access to records by requiring that its employees make every reasonable effort to assist applicants.

In 1867, Canada became a self-governing dominion, comprising New Brunswick, Nova Scotia, Ontario and Quebec. The first Minister of Finance, Alexander Galt, had previously served in the same capacity for the Province of Canada (made up of parts of present-day Ontario, Quebec and Labrador).

The Department of Finance Canada was one of the original departments of the Government of Canada. Others included Agriculture, the Penitentiary Service, Public Works, Post Office, Secretary of State, and the Privy Council Office. Originally, the Department of Finance's primary functions were bookkeeping, administering the collection and disbursement of public monies, and servicing the national debt. The total number of officers, clerks, and messengers in the Department in 1867 was twenty-eight.

In June 1869, John Rose, who succeeded Alexander Galt as Finance Minister, introduced a statute spelling out the Department's duties, which were basically doing everything not assigned to any other department.

At various times since its establishment, the Department has done the work of the Treasury Board Secretariat, the Comptroller of the Treasury, the Royal Canadian Mint and the Canadian International Trade Tribunal, as well as taking charge of tax inspection and old age and public service pensions.

During World War I, the federal government borrowed from, and taxed, individual Canadians directly for the first time, through Victory Loans and income tax, which was introduced in 1917.

In the early 1930s the Government transferred detailed operational and program responsibilities to other departments or agencies, so the Department of Finance could concentrate on essential analytical and policy work.

In 1939, departmental officials developed a new approach to the federal budget. Instead of simply attempting to balance expenditures with revenues, they began to use taxing powers and spending policies to influence economic development in general.

During World War II, Canadian Gross National Product (GNP) doubled and annual federal spending increased to 10 times that of the 1939 figure, significantly increasing the influence of the department. Much of that influence was exercised through its budgets.

Canada's first Budget, tabled on December 7, 1867, showed $7.4 million in receipts and $5.3 million in expenditures. The shortest interval between Budgets was four months (June 18, 1971 to October 14, 1971). The longest was 16 months (February 25, 1937 to June 16, 1938).

In the early years, the Budget consisted simply of a speech by the Finance Minister in the House of Commons, which was recorded by hand in Hansard. Newspaper reporters sitting in the Press Gallery made notes on the speech, from which they wrote their stories. The Department did not provide the media with special Budget documentation or briefings. By the 1960s, copies of the Budget speech were produced on an ink-fed duplicating machine and collated by hand in the Minister's office. This document was given to reporters as the Minister began his speech.

Today, the Department helps the Government of Canada develop and implement strong and sustainable economic, fiscal, tax, social, security, international and financial sector policies and programs. It plays an important central agency role, working with other departments to ensure that the government’s agenda is carried out and that ministers are supported with high-quality analysis and advice. It does so as one of the Government of Canada's smallest departments, with fewer than 1,000 people working in its ten branches:

• Economic and Fiscal Policy
• Economic Development and Corporate Finance
• Federal-Provincial Relations and Social Policy
• Financial Sector Policy
• International Trade and Finance
• Tax Policy
• Law
• Corporate Services
• Consultations and Communications
• Internal Audit and Evaluation

The Department’s responsibilities include:

• preparing the federal Budget and the Update of Economic and Fiscal Projections;
• preparing the Annual Financial Report of the Government of Canada and, in cooperation with the Treasury Board of Canada Secretariat and the Receiver General for Canada, the Public Accounts of Canada;
• developing tax and tariff policy and legislation;
• managing federal borrowing on financial markets;
• designing and administering major transfers of federal funds to the provinces and territories;
• developing financial sector policy and legislation; and
• representing Canada in various international financial institutions and groups.

The Department of Finance Canada is established under section 14 of the Financial Administration Act. Under section 15 of that Act, The Minister of Finance “has the management and direction of the Department, the management of the Consolidated Revenue Fund and the supervision, control and direction of all matters relating to the financial affairs of Canada not by law assigned to the Treasury Board or to any other minister.” Certain other authorities have been entrusted to the Minister of Finance through various Acts of Parliament, including the Federal-Provincial Fiscal Arrangements Act, the Income Tax Act, the Excise Tax Act, the Canada Business Corporations Act, and the Proceeds of Crime (Money Laundering) and Terrorist Financing Act.

The Department of Finance Canada contributes to a strong economy and sound public finances for Canadians. It does so by monitoring developments in Canada and around the world to provide first-rate analysis and advice to the Government of Canada and by developing and implementing fiscal and economic policies that support the economic and social goals of Canada and its people. The Department also plays a central role in ensuring that government spending is focused on results and delivers value for taxpayer dollars. The Department interacts extensively with other federal organizations and acts as an effective conduit for the views of participants in the economy from all parts of Canada.

The Department’s most visible output is the federal budget. The budget speech provides an authoritative review of past, present, and future economic factors that will affect Canada’s economic performance and finances. The budget reviews government accounts for the past period and presents its fiscal projections for the coming years including the government’s expenditure program, revenues from existing sources, taxation changes, and debt levels.

The Department of Finance Canada provides effective economic leadership with a clear focus in 2013-2014 on one strategic outcome, which expressed a long-term and enduring benefit for Canadians:

• A strong and economy and sound public finances for Canadians

The Department has four programs, each of which consists of a varying number of sub-programs. The four programs are Economic and Fiscal Policy Framework, Transfer and Taxation Payment Programs, Treasury and Financial Affairs, and Internal Services.

The Economic and Fiscal Policy Framework program is the primary source of advice and recommendations to the Minister of Finance on issues, policies and programs of the Government of Canada in the areas of economic, fiscal and social policy; federal-provincial relations; financial affairs; taxation; and international trade and finance.

The Transfer and Taxation Payment Programs support provinces and territories with funding for health and social programs. Through transfer payments, this program activity enables less prosperous provincial governments to provide their residents with public services that are reasonably comparable to those in other provinces, at reasonably comparable levels of taxation, and provides territorial governments with funding to support public services, in recognition of the higher cost of providing programs and services in the North. This program also includes the collection and remittance of provincial, territorial and aboriginal taxes under tax collection and administration agreements.

The Treasury and Financial Affairs program manages debt operations and other financial operations of the Government of Canada.

The Internal Services program includes a number of functions and resources that support the Department as a whole in achieving its strategic outcome.

The Access to Information and Privacy (ATIP) Division is part of the Law Branch and is responsible for administering the Access to Information Act and the Privacy Act for the Department of Finance Canada. As a centralized operation, the ATIP Division coordinates the timely processing of requests under the legislation, conducts interdepartmental consultations, handles complaints lodged with the Information Commissioner, and responds to informal inquiries. Division staff also provides guidance to departmental officials on matters involving the Act. The ATIP Division comprises a director, two team leaders, nine full-time ATIP analysts and two administrative assistants.

With the passing of the Federal Accountability Act , section 4(2.1) was added to the Act :

• “The head of a government institution shall, without regard to the identity of a person making a request for access to a record under the control of the institution, make every reasonable effort to assist the person in connection with the request, respond to the request accurately and completely and, subject to the regulations, provide timely access to the record in the format requested.”

The Department of Finance is committed to both the spirit and intent of these principles, and adheres to the Act and to the Directive on the Administration of the Access to Information Act with respect to their application when processing requests under the Act.

This year, the ATIP Division participated in two Orientation Sessions. These are provided to employees who are new to the Department as a means to introduce them to the activities of each Branch. It also provided information about the ATIP Division, the Act, and information management practices to 34 new employees.

The Department’s Learning and Development team continued to assist the ATIP Division in providing monthly ATIP training sessions to departmental employees. In the early spring, a training schedule was posted on the intranet site which outlined all of the sessions to be given in 2013-2014. This reporting year, a total of 21 employees attended sessions given on:

• an overview of the Access to Information Act;
• “Openness, Transparency, and Discretion”.

Ad hoc training on a variety of subjects was also provided as needed to individuals throughout the Department including to ATIP branch contacts.

For many years ATIP offices have been required by policy to consult with the Office of the Counsel to the Clerk of the Privy Council where possible Cabinet confidences fall under the ambit of a request made under the Act. However, effective July 1, 2013, ATIP offices must instead consult with their departmental legal services unit (DLSU) which, as legal advisors, confirms whether the Cabinet confidence exclusion applies.

In order to develop a solid knowledge base with respect to Cabinet confidences, the ATIP Division ensured that all ATIP personnel and all DLSU personnel involved in the process received training from a subject matter expert. Sessions were provided in July and September 2013 to a total of 28 ATIP and DLSU personnel.

A number of changes concerning the administration of the Act took place within the Department this reporting year, including as previously noted, ATIP offices must now consult with their DLSU’s for the confirmation of Cabinet confidences.

In addition, changes were made to the internal approval process which required an update to the Designation Order which is included in this report. On July 16, 2013, a new delegation of authority was approved. A new Minister was appointed in March 2014, and the delegation order will be updated accordingly. Depending on the nature of the information requested and its sensitivity, the authority to approve or deny the release of departmental information requested under the Act is shared by the Deputy Minister, the Associate Deputy Minister and G7 Deputy for Canada, the Associate Deputy Minister, the Assistant Deputy Minister and Counsel to the Department, the Executive Director General Legal Services, the Executive Director Tax Counsel Division, and the Access to Information and Privacy Director. Generally, the ATIP Director approves all exemptions.

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 Department’s functions, programs, activities and related information holdings can be found in Sources of Federal Government and Employee Information. 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.

During this reporting period, the ATIP Division re-organized the content of its Info Source chapters, including the descriptions of its information holdings, by institutional functions, programs and activities. The Department’s chapter is now laid out in line with the Department’s Program Alignment Architecture. Under this approach, all classes of records and personal information banks are directly linked to the relevant institutional program and/or activity.

All Info Source publications are available free of charge on the Internet.

The number of formal requests received in this reporting period was 547, a 9.5% increase from 495 formal requests received the previous reporting year. The total number of requests considered was 654 as 107 requests remained outstanding from 2012–2013. By the end of 2013–2014, 573 requests were completed and 81 were carried forward to 2014–2015.

Table 1 illustrates a three-year trend.

In 2011-2012 the Department received 155 informal requests, a number which jumped considerably in 2012-2013 to 242, an increase of 56.1%. This reporting year, the Department received 627 informal requests, a significant increase of 159%. The vast majority of informal requests came from members of the media, followed by the business community and members of the public.

In 2011–2012, the Department received 270 consultations from other federal government institutions on matters of interest to the Department, a number which dropped by nine in 2012-2013 to 261. This reporting year, the Department received 189 consultations; 191 were completed with 8 carried forward to 2014-2015.

When combining formal Access to Information Act requests, Privacy Act requests, informal requests, and consultations received from other government institutions, in 2010-2011 the ATIP Division’s overall caseload was 535 files. In 2011-2012, the overall caseload was 737 files, an increase of 202 files, or 37.7%. At the end of 2012-2013, the overall caseload was 1,003 files, an 87.4% increase over 2010-2011, and a 36% increase from 2011-2012. In 2013-2014, the overall caseload was 1368, an increase of 365 or 35.9%.

Despite this increase, the Department’s on-time response rate to formal Access to Information Act requests was 91.9%, a slight decline over last year’s rate of 92.3%.

The greatest changes seen this reporting year were in the numbers of requests received from media, business, and the public as shown below:

The following table indicates the disposition of the 573 requests completed during this reporting period:

The following is a comparison of the disposition of requests completed in 2013-2014 to the disposition of those completed in 2012-2013.

The changes in most of the categories were minimal—the largest change was in the number of requests in which records were disclosed in part or abandoned. Given the increase in the overall number of requests closed this fiscal year, the change in that category is not unexpected.

Of the 573 requests completed this fiscal, 527(91.9%) were closed on time, a slight decrease over 2012-2013’s 92.3% even though the Department completed 24.8% more requests this year than last. Many requests could not be responded to on time due to outstanding consultations with other government institutions.

Of the 573 requests closed during the reporting period, 325 (56.7%) were completed within the first 30 days of the receipt of the request, 174 (30.4%) were completed within two to four months, 53 (9.2%) were completed within four to six months, and 21 (3.7%) took more than six months to complete. Requests requiring more than six months usually involved large numbers of documents that required extensive internal consultations, consultations with third parties and, often, consultations with other government institutions. Given the nature of the work done by the Department, consultations must be conducted with other federal government institutions on many of its requests and completion time is consequently impacted by the amount of time required of the other institutions to respond to those consultations.

During the period, the following exemptions were invoked:

During this reporting period, the following exclusions applied:

Records were provided to applicants in 408 cases, 279 of those (68.4%) in paper format and 129 (31.6%) on compact disc. No applicants asked to view the records as opposed to receiving a copy.

Many of the requests processed by the Department in 2013-2014 involved complex issues raising the need to consult with other government institutions. The number of pages in any given file can also be a factor in the length of time it takes to complete a file. This year saw a number of files which contained more than 1,000 pages, with the largest comprising 4350 pages.

Forty-six requests were closed past the statutory deadline for various reasons including workload and consultations, both external and internal. In 29 instances, extensions of the statutory time limit had been claimed but the files were nonetheless late, due mainly to consultations with other government institutions. In the remaining 17 instances, no extension of the statutory deadline was taken. Of the late responses, 20 (43.5%) were made within 15 days past the deadline, 4 (8.7%) within 16 to 30 days, 4 (8.7%) within 31 to 60 days, 5 (10.9%) within 61 to 120 days, 3 (6.5%) within 121 to 180 days, 7 (15.2%) within 181 to 365 days, and 3 (6.5%) of more than 365 days.

No requests for translations were received.

During the reporting period, 299 extensions were taken for the following reasons:

Interference with government operations

23

Consultations required (section 69 and others)

189

Notification to third parties

87

In 69 cases, an extension of 30 days or less was required, 59 of which were invoked in order to consult with other federal government institutions, provincial government institutions and third parties. Extensions of 31 to 120 days were required in 223 cases, 210 of which were taken for consultations under paragraphs 9(1)(b) and 9(1)(c). Extensions of more than 121 days were required in 7 cases and all were taken for consultations with other organizations and/or third parties.

There have been no changes to the departmental fee policy. The $5.00 application fee is normally charged and fees assessed at less than $25.00 are waived.

During this reporting year, $2,805.00 was collected in application and search fees. Application, search and reproduction fees in the amount of $1,314.00 were either waived or refunded in 18 cases.

The Department received a total of 189 consultations from other government institutions and organizations this reporting year, carried over 10 from the previous fiscal year, and closed 191. The on-time response rate to all consultations was 93.2%.

Of the 191 consultations from other government institutions which were closed this year, the department responded to 158 (82.7%) in 30 days or less; 32 (16.7%) were responded to in 31 to 60 days, and one (0.5%) required 61 to 120 days to complete.

The Privy Council Office and the Departmental Legal Services Unit responded to 68 consultations in order to confirm documents as Cabinet confidences. In 46 of those cases (67.6%), the responses to the consultations were received after the deadline.

Costs incurred in the reporting period are calculated on the salaries of ATIP staff and the administrative expenses associated with administration of the Act. Costs do not include salaries of other departmental personnel involved in processing requests. Administration of the Act cost the Department $1,014,141.00 this reporting year.

There were 19 complaints lodged against the Department during the reporting period. Three complaints were classified as “refusal al-general”, nine concerned the exemption of information, two concerned the exclusion of information under section 69 of the Act and five concerned extensions taken.

Ten findings were rendered by the Office of the Information Commissioner this year: four complaints were concluded as “not well-founded”, three were concluded as “well-founded, resolved without recommendation”, and three were “discontinued” by the complainant.

None of the Information Commissioner’s investigations raised any specific issues or concerns with respect to the Department’s handling of these requests and no action was required of the Department.

No other investigations or audits were conducted this reporting period.

No appeals to the Federal Court were made in this reporting period.

The ATIP Division produces weekly and monthly statistics on branch performance across the Department. Statistics are shared with branch heads, branch ATIP contacts, the Deputy Minister’s Office and the Minister’s Office.

In fiscal year 2010-2011, the Department of Finance Canada received 20 informal requests for copies of records released in other requests. As a direct result of posting completed requests on the departmental website, that number increased in 2011-2012 to 155, again in 2012-2013 to 264 and again in 2013-2014 to 627.

Name of institution: Department of Finance Canada
Reporting period: April 1, 2013 to March 31, 2014