Health Canada Access to Information Act Annual Report 2015-2016

Table of Contents

• Introduction
  • I. Access to Information Act
  • II. About Health Canada
• Access to Information Infrastructure
  • I. The Access to Information and Privacy Operations Division
  • II. Reading Room
• Delegation of Authority
• Requests under the Access to Information Act - Statistical Figures, Interpretation and Explanation
  • I. Statistical Report
  • II. Number of Access Requests and Case Load
  • III. Disposition of Requests Completed
  • IV. Exemptions Invoked
  • V. Exclusions Cited
  • VI. Disposition and Completion Time
  • VII. Extensions
  • VIII. Translations
  • IX. Format of Information Released
  • X. Fees
  • XI. Costs
• Training and Awareness
• Complaints and Court Applications for Reviews
  • I. Complaints to the Information Commissioner
  • II. Types of Complaints and their Disposition Completed in 2015-2016
  • III. Applications/Appeals Submitted to the Federal Court / Federal Court of Appeal
  • IV. Responses to Recommendations raised by other Agents of Parliament
• Appendix A: Access to Information Act and Privacy Act - Delegation Order
• Appendix B: Statistical Report on the Access to Information Act

Introduction

I. Access to Information Act

The Access to Information Act (the Act) gives the Canadian public a right to access information contained in federal government records, subject to certain specific and limited exceptions.

The Act requires the head of every federal government institution to submit an annual report to Parliament on the administration of the Act following the close of each fiscal year.  This annual report is prepared and is being tabled before each House of Parliament in accordance with section 72 of the Act. This report summarizes how Health Canada has fulfilled its access to information responsibilities during the fiscal year 2014-2015.

II. About Health Canada

Health Canada (HC) is the federal department responsible for helping the people of Canada maintain and improve their health.

HC is committed to improving the lives of all of Canada's people and to making this country's population among the healthiest in the world as measured by longevity, lifestyle and effective use of the public health care system.

By working with others in a manner that fosters the trust of Canadians, HC strives to:

• Prevent and reduce risks to individual health and the overall environment;
• Promote healthier lifestyles;
• Ensure high quality health services that are efficient and accessible;
• Integrate renewal of the health care system with longer term plans in the areas of prevention, health promotion and protection;
• Reduce health inequalities in Canadian society; and
• Provide health information to help Canadians make informed decisions.

HC has regional offices in British Columbia, Alberta, Saskatchewan, Manitoba, Ontario, Quebec, and the Atlantic and Northern Regions.

For more information about HC, please visit our website at: http://www.hc-sc.gc.ca/index-eng.php

Access to Information Infrastructure

I. The Access to Information and Privacy Operations Division

The Access to Information and Privacy (ATIP) Operations Division is housed in the Planning, Integration and Management Services Directorate of the Corporate Services Branch at Health Canada (HC).

The ATIP Coordinator is accountable for the development, coordination and implementation of effective policies, guidelines, systems and procedures in order to enable efficient processing of requests under the Act. The Coordinator is also responsible for the implementation of relevant government-wide policies, systems and procedures. The Division is responsible for all Access to Information (ATI) legislative requirements pursuant to the Act such as:

• Responding to access to information requests within the statutory time frame as well as meeting the duty to assist requesters;
• Providing advice and guidance to departmental employees on the application of the Act and Treasury Board of Canada policies and directives;
• Developing corporate-wide access to information protocols and practices to guide the ATI process;
• Promoting awareness and providing training on the Act;
• Preparing annual reports to Parliament; and
• Liaising with the Office of the Information Commissioner (OIC), Treasury Board of Canada Secretariat (TBS), other federal departments and agencies, provincial ministries of health and other key stakeholders.

In 2015-2016, the Act was administered by 26.87 full-time equivalent (FTE) employees with the support of consultant services (9.15 FTE) and some part-time and casual employees (0.97 FTE) for a total complement of 36.99 FTEs.

II. Reading Room

Section 71 of the Act requires government institutions to provide facilities where members of the public may inspect any manuals used by employees of the institution in administering or carrying out programs or activities of the institution that affect the public. HC has a reading room available where members of the public may make arrangements to review materials.

The following HC location in Ottawa has been designated as a public reading room:

Access to Information and Privacy Division
1600 Scott Street, Holland Cross,
Tower B, 7th Floor, Suite 700
Ottawa, Ontario K1A 0K9

Delegation of Authority

On November 25, 2015, a new a delegation order for the Access to Information Act was signed by the Minister of Health. The delegation order extends the delegation of authorities beyond the Coordinator to the Assistant Deputy Minister and Director General levels within HC's Corporate Services Branch. The delegation order recognizes the new Privacy Management Division and provides a distinction between the Privacy Management and ATIP Operations functions. Additionally, the delegation order recognizes the title of Deputy Director, a new position within the ATIP Operations Division.

The Delegation Order is attached as Appendix A.

Requests under the Access to Information Act - Statistical Figures, Interpretation and Explanation

I. Statistical Report

This section of the report includes an interpretation and explanation of the data contained in HC's statistical report which summarizes ATI-related activity for the period between
April 1, 2015 and March 31, 2016 (Appendix B).

II. Number of Access Requests and Case Load

Number of Access Requests

In 2015-2016 HC received 1,222 requests, a decrease of approximately 22% compared to 1,569 in 2014-2015. Some of this decrease is attributed to decisions by requesters to combine requests of a similar nature, which reduce application fees and the administrative burden of processing files separately. However, since the same records are being retrieved, these do not impact the volume of records retrieved, reviewed or released.

Source of Requests: Trends

As with past years, the primary source of requests received by HC are from businesses seeking information related to pharmaceuticals, medical devices and natural health products. Of the 1,222 ATI requests received by HC in 2015-2016, 589 were from the business sector, representing 48% of all new requests. A significant number of the requests processed by HC require several complex third party consultations to identify confidential business information requiring protection. These records often involve large volumes of technical and scientific information, which can take additional time to review.

For fiscal year 2015-2016, the most significant change in source of requests was in the “Decline to Identify” category, which represents 8% of requests received. This is the first full year that this option has been available to requesters, who might have previously identified as from another source (e.g. Media or Public) but are now choosing not to. The table below shows the proportion of requests among sources, including variations from 2014-15. It remains to be seen if this represents a trend or will stabilize in future years.

Informal Requests

Whenever feasible to do so, HC processes requests informally as "access informal". There was a slight increase in the use of this processing method, which includes records previously released under the ATI Act. In 2015-2016, HC processed 391 requests as "access informal" compared to 314 requests in 2014-2015.

Posting of Completed ATI Requests

HC met TBS requirement to proactively post on its web site monthly summaries of completed ATI requests, which assists in facilitating Canadians' right of access to departmental records.

Case Load

During the 2015-2016 fiscal year, HC completed the processing of 1,026 of 2,073 (49%) active requests. Active requests included 1,222 new requests and 851 requests carried over from previous years. Of the requests received in 2015-2016, HC closed 671within the fiscal year, representing 55% of files received during the year.

While 2015-2016 saw a significant decrease from the previous year in the number of pages reviewed, this decrease was largely due to an effort to streamline by ensuring that only records that fell within the scope of the request were reviewed. A focus on improving business processes including a new IT system and training of employees meant that HC was unable to close files within timelines to the desired degree, however these improvements will allow HC to increase its compliance rates in future years.

Consultations Completed from Other Institutions

In 2015-2016, HC completed 180 consultations (8,907 pages) from other federal institutions, and completed 25 consultations from other jurisdictions (1,450 pages). This is comparable to 2014-2015 where HC completed 154 consultations (12,353 pages) from other federal institutions and 23 from other jurisdictions.

III. Disposition of Requests Completed

Completed requests were classified as follows:

Over 60% of the requests completed in 2015-2016 were either disclosed in part (40%) or all disclosed (22%). Additionally, 22% of requests were closed as abandoned. A few factors contributed to this number. First, some requesters abandoned their requests due to the passage of time in processing their requests. The information requested was no longer required, so the requesters agreed to abandon their request. Additionally, many requests were abandoned because the requests were not clear or fees had not been received, and the requesters declined further contact with us. Finally, it sometimes became apparent during the course of processing the request that a requester would be better served by obtaining the records through a different avenue, or that the records requested were not held by any federal institution. These requests were abandoned as a response was no longer required.

Exemptions Invoked

Sections 13 through 24 of the Act set out the exemptions intended to protect information pertaining to a particular public or private interest, and section 26 of the Act is a temporary exception relating to information to be published.

The vast majority of the 887 exemptions invoked by HC focussed on three sections of the Act - section 19 (personal information), section 20 (third party information), and section 21 (operations of government). Together, these accounted for 736 or 83%, of the exemptions applied in 2015-2016. It is worth noting that the invocation of section 20 on 215 occasions necessitated numerous consultations with third parties, many of which were large multi-national corporations. Such consultations are complex and resource-intensive.

V. Exclusions Cited

The Access to Information Act does not apply to published material, material available to the public for purchase or for public reference (section 68); nor does it apply to confidences of the Queen's Privy Council (section 69). Requests containing proposed exclusions under section 69 require consultation with the Department of Justice, and potentially the Privy Council Office.

During 2015-2016, HC applied 9 exclusions pursuant to section 68 of the Act, and 28 exclusions for section 69 of the Act.

VI. Disposition and Completion Time

HC tracks the disposition of closed requests and the length of time taken to process them. Of the total caseload of 2,073 requests, HC completed 1,026 cases and carried over 1,047 active requests to fiscal year 2016-2017.

HC was able to respond within 30 days or less in 366 (36%) of completed cases. The remaining requests, categorized into time segments of 31 to 60 days, 61 to 120 days, and 121 days or more, are depicted in the table below. It is important to note that the deadlines for many of these requests were legally extended under the Act.

An emphasis on processing older files has resulted in an increase in the percentage of files completed in more than 120 days. These files are often voluminous and complex and therefore require more time to process. Additionally, the operational challenges encountered in implementing Windows 7 delayed the processing of all files.

VII. Extensions

Legal extensions were most frequently invoked to provide time to complete third party consultations and notifications, and to process voluminous records. In 2015-2016, HC invoked 522 extensions under section 9(1) of the Act, a decrease from 694 in 2014-2015.

VIII. Translations

No translation was required to respond to requests in 2015-2016.

IX. Format of Information Released

Of requests that were fully or partially disclosed, 490 were sent out in paper format. Comparatively, 148 requests were released electronically.

HC's imaging software allows the department to respond to formal ATI requests using Portable Document Format (PDF) which provides more delivery options to the public. Released documents can be mailed on CD-ROM which eliminates the need for photocopying, and associated costs for requesters. It is anticipated that the use of electronic formats for the release of information will continue to grow in future years.

X. Fees

The Act authorizes fees for certain aspects of processing formal requests and the fee structure is prescribed in the ATI Regulations. Accordingly, HC cannot charge fees for reviewing records, overhead or shipping, nor can it charge for the first five hours needed to search for a record or prepare any part of it for disclosure.

Additionally, HC can no longer charge fees in the search for, or preparation of, any electronic documents. As of March 31, 2015, pursuant to the case Information Commissioner of Canada v. Attorney General of Canada, 2015 FC 405, the Federal Court agreed with the Commissioner's position that ‘non-computerized records' are records which are not stored in electronic format. In practice, this means that if any record is stored electronically, such as in email, word processing applications (Microsoft Word) or in databases no fees can be charged for their processing except for the $5 application fee established by the Act.

Based on requests completed in 2015-2016, HC collected $4,505 in application fees and $280 in search fees for a total of $4,785 submitted to the Receiver General for Canada. In addition, HC waived $3,262 in fees for 662 requests. Fees may be waived for a variety of factors, but are most commonly waived for costs of a paper or digitized copy where the fees chargeable would be less than $25.

XI. Costs

HC spent a total of $4,303,539 on ATI functions in 2015-2016. Of this total, salaries accounted for $2,516,084 and administration for $1,715,511, most of which was used to retain temporary help to address the volume and complexity of requests. Staffing for the fiscal year amounted to 37 FTEs dedicated to ATI activities. In previous years, these figures did not include administrative support, management, reporting, monitoring and policy resources, nor did they include their overhead cost which contributed to overall support of the operations of the application of the Act. In this fiscal year (2015-2016) these elements were incorporated in the above noted costs.

Training and Awareness

Training for HC Employees

Training sessions regarding the Act and related processes are delivered to HC employees on a regular basis. In fiscal year 2015-2016, the ATIP Operations Division delivered 23 “ATI 101” training sessions to 323 participants. In addition, 3 sessions targeting executives were offered to 43 participants in early 2016. The basic objectives of the course are to impart an understanding of the Act, roles and responsibilities, the handling of formal and informal requests, basic grounds to withhold information and how to process an ATI request. Significant efforts have been put into updating training materials and tools. In addition, a new process to identify and strategically assess training needs and to provide customized training to the target groups has been implemented.

Orientation and Awareness

The ATIP Division worked in collaboration with various program areas to promote awareness and develop customized training to address HC needs. As a result of this collaboration, 12 general awareness sessions were delivered to 145 participants. This approach resulted in increased engagement and awareness. The Division also continued to increase awareness among HC employees of their responsibilities under the Act by advertising sessions open to all employees.

Complaints and Court Applications for Reviews

I. Complaints to the Information Commissioner

During 2015-2016, 44 complaints under the Act were filed with the Office of the Information Commissioner of Canada (OIC) related to requests completed by HC.

The Department reviews the outcomes of all OIC investigations, and where appropriate, incorporates lessons learned into business processes.

Health Canada was one of six departments to participate in the OIC's pilot project on the investigation of complaints concerning delays (deemed refusals) and extensions. This pilot project streamlined administrative processes involved in the investigation of these complaints with the goal of quicker resolution for both the complainant and the institution. Early results appear to show a much quicker resolution of these types of complaints than previously.

II. Types of Complaints and their Disposition Completed in 2015-2016

III. Applications/Appeals Submitted to the Federal Court / Federal Court of Appeal

During 2015-2016, one new application, made pursuant to subsection 44(1) of the Access to Information Act for review of HC's decision to disclose information, was before the Federal Court. In this case a third party was seeking a review of Health Canada's decision to disclose information concerning that third party. One new application made pursuant to section 41 was made. In 2014, a requester filed for review of Health Canada's actions following a complaint to the Information Commissioner. The case was dismissed in December 2015.

IV. Responses to Recommendations raised by other Agents of Parliament

There were no recommendations raised by other Agents of Parliament during fiscal year 2015-2016.

Appendix A: Access to Information Act and Privacy Act - Delegation Order

Delegation of Authority

Access to Information Act and Privacy Act

I, the Minister of Health, pursuant to section 73 of the Access to Information Act and section 73 of the Privacy Act, hereby designate the persons holding the positions set out in the Delegation of Authority Schedule attached hereto, or the persons occupying on an acting basis those positions, to exercise the powers, duties and functions of the Minister responsible for Health Canada, under the provisions of the Act and related regulations set out in the schedule opposite each position. This designation supersedes all previous delegation orders.

The Honourable Jane Philpott MP
Minister of Health
Nov 25, 2015

Appendix B: Statistical Report on the Access to Information Act

TBS/SCT 350-62
Name of institution: Health Canada
Reporting period: 2015-04-01 to 2016-03-31

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

Note: Enter values to two decimal places.