Archived - Department of Finance Canada Annual Report to Parliament on the Administration of the Privacy Act 2014–2015

Introduction

Purpose of the Privacy Act

History of the Department of Finance Canada

The Department Today

Mandate of the Department of Finance Canada

Administration of the Privacy Act

Access to Information and Privacy Division

Principles on Assistance to Applicants

Educational and Training Activities

Policies, Guidelines, Procedures and Initiatives

Delegation of Authority

Information Holdings

Interpretation of Statistical Report (Annex A)

Part 1 – Requests under the Privacy Act

Other Requests

Part 2 – Requests Closed During the Reporting Period

Disposition / Completion Time of Requests

Completion Time.

Exemptions / Exclusions

Format of Information Released

Complexity

Deemed Refusals

Translations

Part 3 – Disclosures under Subsection 8(2) and 8(5)

Part 4 – Requests for Correction of Personal Information and Notations

Part 5 – Extensions

Part 6 – Consultations Received from Other Institutions and Organizations

Part 7 – Completion Time of Consultations on Cabinet Confidences

Part 8 - Complaints/Investigations/Audits

Part 9 - Privacy Impact Assessments

Part 10 – Resources Related to the Privacy Act

Appeals to the Federal Court of Canada

Monitoring of Requests

Material Privacy Breaches

Disclosures Pursuant to Paragraph 8(2)(m)

Annex A - Statistical Report on Privacy Act Requests

The Annual Report to Parliament on the Administration of the Privacy Act (the Act) within the Department of Finance Canada (DoF Canada) is prepared and tabled in Parliament in accordance with section 72 of the Act and covers the period from April 1, 2014 to March 31, 2015.

The Act came into force on July 1, 1983. Its purpose is to protect the privacy of individuals with respect to personal information about themselves held by federal government institutions. It also provides Canadian citizens, permanent residents, and individuals present in Canada a right of access to their personal information.

The DoF Canada recognizes that the right of access to personal information 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 DoF Canada further acknowledges the importance of facilitating access to information 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 DoF 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 DoF Canada'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 DoF Canada in 1867 was twenty-eight.

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

At various times since its establishment, the DoF Canada 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 DoF Canada 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 DoF Canada. 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 DoF Canada 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, as we move toward the next milestone of the 150th anniversary, the DoF Canada continues to play a vital role in helping the Government of Canada develop the social and economic policies that will further improve the standard of living and quality of life of Canadians, their families and their communities in the years to come. And 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 DoF Canada’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 Minister of Finance is accountable for ensuring that his responsibilities are fulfilled both within his portfolio and with respect to the authorities assigned through legislation. In particular, the Minister has direct responsibility for a number of acts as well as fiscal and tax policy relating to other acts that are under the responsibility of other ministers.

The DoF 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 DoF Canada, 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, the Proceeds of Crime (Money Laundering) and Terrorist Financing Act and the Special Import Measures Act.

The DoF 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 DoF Canada also plays a central role in ensuring that government spending is focused on results and delivers value for taxpayer dollars. The DoF Canada 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 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 DoF Canada. As a centralized operation, the ATIP Division coordinates the timely processing of requests under the legislation, handles complaints lodged with the Privacy 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, ten full-time ATIP analysts and two administrative assistants.

With the passing of the Federal Accountability Act, section 4(2.1) was added to the Access to Information 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.”

While a similar provision was not included in the Privacy Act, the DoF Canada is nonetheless committed to both the spirit and intent of these principles and to the Directive on Privacy Requests and Correction of Personal Information with respect to their application when processing Privacy Act requests.

This year, the ATIP Division participated in two Orientation Sessions. These are provided to employees who are new to the DoF Canada as a means to introduce them to the activities of each Branch. It provided information about the ATIP Division, the Act, and information management practices to 59 new employees.

Other training sessions were given to divisions of various branches of the DoF Canada. In addition, two sessions on privacy related matters were developed and given to branches who are responsible for a large amount of personal information within the DoF Canada. The sessions focused on privacy breaches, Privacy Impact Assessments and sections 4 to 8 of the Act. In total, 101 employees attended these sessions.

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

To make the process of requesting government records simpler and more convenient, the Government of Canada launched on April 9, 2013, a pilot initiative that enables Canadians to submit their access to information and privacy requests and fees online . On October 29, 2014, the DoF Canada joined 30 other government departments to offer requestors this online service. 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. It has made it easier for requestors to submit an access to information or privacy request across government.

To ensure policy compliance and adherence to procedures for appropriate handling and preparation of responses to ATIP requests, the ATIP Division continued to update tools used by staff both in the ATIP Division and across the DoF Canada and held face-to-face meetings with new staff and contacts. Both tools and meetings were instrumental in ensuring that the DoF Canada’s employees are aware of their roles and responsibilities related to access to information and privacy requests.

The delegation of authority that was approved on March 31, 2008 remained in effect throughout the reporting period. The authority to approve or deny the release of information 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 DoF Canada, and the ATIP Director. The ATIP Director normally performs the function, with the exception of disclosures pursuant to paragraph 8(2)(e) of the Act, which are usually handled by the Assistant Deputy Minister of the Corporate Services Branch.

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 DoF Canada’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 reviewed the content of its Info Source chapters, including the descriptions of its information holdings, by its institutional functions, programs and activities.

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

The number of formal requests received this reporting period was 20, a 300% increase from five formal requests received the previous reporting year. No requests were carried over from 2013-2014. By the end of 2014-2015, 19 requests were completed and one was carried forward to 2015-2016.

Table 1 illustrates a three-year trend.

In 2014-2015, the DoF Canada received one consultation from another government institution on matters of interest to the DoF Canada.

Many individuals who submit Privacy Act requests are under the impression that the DoF Canada holds the same type and amount of personal information about them as is held by the Canada Revenue Agency, banks, and trust companies. That is not the case and explains why many requests do not result in the retrieval of personal information about those individuals. The following table indicates the disposition of the 19 completed requests this fiscal:

Of the 19 requests completed, 17 (89.5%) were closed on time, a decrease over 2013-2014’s 100% even though the DoF Canada completed 300% more requests this year than last. Two requests could not be responded to on time due to the complexity of the information involved. Of the 19 requests closed during the reporting period, 17 (89.4%) were completed within 30 days and two (10.5%) requests were completed within two months.

In 2014-2015, the DoF Canada invoked section 26 – personal information, four times. No exclusions were applied.

Records were provided to applicants in 6 cases, three of those in paper format and three on compact disc. No applicants asked to review the records as opposed to receiving a copy.

Two of the requests were considered complex as they contained personal information about individuals other than the requestors.

Two requests were closed past the statutory deadlines due to the complexity of the information involved. In both instances, no extensions were taken.

There were no requests for translation this reporting period.

Paragraph 8(2)(e) of the Act allows for disclosures of personal information “to an investigative body…for the purpose of enforcing any law.” The DoF Canada did not make any disclosures pursuant to paragraph 8(2)(e) of the Act in this reporting period.

Paragraph 8(2)(m) of the Act allows for disclosures of personal information in the public interest. The DoF Canada did not make any disclosures pursuant to paragraph 8(2)(m) of the Act in this reporting period.

No requests for corrections or notations were received from applicants this reporting period.

No extensions of the statutory time limits under the Act were taken.

One consultation was received from another government institution. No consultations were received from other organizations.

No consultations with respect to Cabinet confidences were required.

No complaints, investigations or audits were received or conducted this reporting period.

The DoF Canada initiated and completed a Privacy Impact Assessment (PIA) of Upward Feedback Exercise for its executives and managers. This exercise enabled employees to provide constructive, anonymous feedback on executives and managers with respect to departmental core competencies and public service key leadership competencies.

Feedback on executives and managers (DoF Canada assistant deputy ministers, executives and managers at the EX-01 minus one level) was sought from employees using a multiple-choice bilingual survey, with additional open questions allowing for narrative feedback. Executives and managers were also being asked to complete a self-assessment.

The PIA concluded that there were some risks associated with the upward feedback exercise. Appropriate mitigation measures have been taken by DoF Canada to ensure that these risks were mitigated as much as possible and that any risk to privacy was minimal. A summary of the PIA can be found on DoF Canada.

Costs incurred in the reporting period are calculated on the salaries of ATIP Division 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 DoF Canada $92,142 this reporting year.

No appeals were made to the Federal Court.

Due to the small amount of requests processed by the DoF Canada under the Act, including corrections or notations, monitoring of requests is conducted within the ATIP Division on a weekly basis or on as a required basis in order to ensure that the DoF Canada meets its legislated obligations. In addition, two sessions on privacy related matters were developed and given to branches who are responsible for a large amount of personal information within the DoF Canada. The sessions focused on privacy breaches, Privacy Impact Assessments and sections 4 to 8 of the Act.

There were no material privacy breaches which occurred this reporting period.

Paragraph 8(2)(m) of the Act allows for the disclosure of personal information when the public interest clearly outweighs any invasion of privacy or when the disclosure would benefit the individual. There were no disclosures pursuant to paragraph 8(2)(m) for the 2014–2015 period.