Access to Information Act – Annual Report – April 1^st, 2016, to March 31, 2017

Table of Contents

• Introduction
• Part I – General information on the Public Service Commission of Canada
  • 1. Raison d'être and mandate
  • 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
• Annex A – Delegation Instrument
• Annex B – 2016-2017 Annual Access to Information Act Statistical Report

Introduction

The Access to Information Act (Revised Statutes of Canada, Chapter A-1, 1985) 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 (the 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 three 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 (PSC) for the fiscal year 2016-2017.

Part I — General Information on the Public Service Commission of Canada

1. Raison d'être and mandate ^{Footnote 1}

Raison d'être

The mandate of the Public Service Commission (PSC) 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 PSC reports independently on its mandate to Parliament.

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

Responsabilities

The PSC is 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.

The PSC is 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 the deputy heads subject to the PSEA, across the federal government;
• Administer the provisions of the PSEA that are related to the political activities of employees and deputy heads. Part 7 of the PSEA recognizes the right of employees to engage in a political activity, while maintaining the principle of political impartiality in the public service. It also sets out specific roles and responsibilities related to political activities for employees and for the PSC; and
• Oversee the integrity of the staffing system and, in collaboration with other stakeholders, ensure non-partisanship. 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 and the conduct of investigations of staffing processes and improper political activities by public servants.

2. Strategic outcome and Program Alignment Architecture

The PSC Program Alignment Architecture consists of one strategic outcome and four 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 activity – 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 Public Service Commission (PSC) policies and standards; providing advice, interpretation and guidance; and administering delegated and non-delegated authorities, including official languages, the political activities regime and priority entitlements program.

Program activity – 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 activity – 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 activity – Internal Services

Internal Services are groups of related activities and resources that are administered to support the needs of programs and other corporate obligations of an organization. Internal services include only those activities and resources that apply across an organization, and not those provided to a specific program. The groups of activities 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; and
• 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 (PSC) is designated as the head of the government institution for the administration of 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.

The powers, duties and functions of the PSC President, under the Act, are delegated to the Chief of Staff, who is the designated ATIP Coordinator for the PSC. 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 and accountable for the development, coordination and implementation of effective policies, guidelines, systems and procedures to enable the efficient processing of requests under the Access to Information Act and the Privacy Act.

The Coordinator is also responsible for the development, coordination and implementation of 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 PSC in dealings with Treasury Board Secretariat (TBS), the Office of the Information Commissioner (OIC) and other government departments and agencies on matters related to the Act;
• Responding to consultation requests submitted by other federal institutions for PSC documents;
• Reviewing information collection 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 PSC employees to ensure responsiveness to the obligations of both Acts, TBS policies and their impact on various program initiatives; and
• Monitoring the PSC's 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 TBS policies for the PSC. The ATIPO is currently comprised of a manager, two analysts and one administrative assistant.

During the reporting period, the ATIP functions transferred from the Corporate Affaires Branch to the Corporate Secretariat.

Due to a temporary sharp increase in the number of requests, the ATIPO hired four consultants during the course of this reporting period to assist with the processing of official requests.

The analysts are responsible for processing requests and consultations under both the Access to Information Act and Privacy Act, preparing responses to complaints, reviewing the PSC’s Info Source chapter and supporting all other ATIP responsibilities.

The ATIPO updates its intranet site on a regular basis and uses it as the primary vehicle for communicating with PSC employees. In addition, the ATIPO delivers training sessions for PSC employees.

The ATIPO also reviews policies and procedures to improve the support it provides to its branch liaison officers and 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 branch’s activities. There is one liaison officer for each branch as well as for the Corporate Secretariat. In addition to acting as the point of contact between their branch and the Office, ATIP liaison officers are responsible for:

• Tasking the appropriate program experts within their branch 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
  (that is, delays, interference with operations, consultations required); and
• Duly delivering to the ATIPO the relevant records, complete with branch recommendations. Liaison officers play an important role in ensuring that the Commission conducts a thorough and complete search of its record holdings when processing information requests.

The ATIPO regularly holds meetings and discussions with liaison officers to discuss best practice and explore improvements to internal processes. The ATIPO will also reach out to liaison officers to obtain background information to assist in the clarification of requests with requesters.

2. Statistical report: Interpretation

Over the last two reporting periods, the PSC experienced a sharp, yet temporary, surge in the number of requests. Beginning in May 2015, a single requester began periodically submitting multiple requests under both Acts, totalling 1,048 requests in fiscal year 2015-2016 and 3,009 requests in fiscal year 2016-2017

If we exclude this temporary surge, the number of requests submitted under both Acts during the 2016-21017 reporting period was 179. This represents a 6% increase in requests received when compared with the previous year. The PSC received approximately twice the historical average of requests during each of the last two reporting periods. The nature and outcomes of these remaining requests are consistent with previous years.

The following detailed analysis is based on the Statistical Report in Annex B, including the temporary surge.

2.1 Requests under the Access to Information Act

From April 1, 2016, to March 31, 2017, the PSC received 126 new requests under the ATIA (the Act) in addition to the 12 that were carried over from the previous reporting period. This represents a 30% decrease in requests received compared with the previous year. However, this amount represents a 220% increase over the historical average.

The PSC responded to 128 requests during the reporting period, requiring the review of 31,934 pages of records. Ten requests were ongoing at the end of the reporting period and were carried forward to the next one.

2.2 Nature of requests

As in previous years, the nature of the 128 requests closed during this reporting period align with the distribution of subjects that characterized requests received in previous years.

• Thirty-three requests (25.8%) dealt with staffing activities. Most requesters were seeking information related to staffing documents, Priority Administration and assessments;
• Twenty-two requests (17.2%) were related to contracts, call-ups and temporary help;
• Twenty requests (15.7%) pertained to investigations and audits conducted under the PSEA;
• Twelve (9.3%) requests were to obtain statistical information or raw data related to the PSC’s program activities; and
• The remaining 41 requests (32%) were on a variety of subjects.

2.3 Inter-organizational consultations

The PSC received 46 requests for consultation from other government departments and agencies. The processing of these requests required a review of 1,700 pages of documents. 43 consultation requests were closed during this reporting period with three carrying over into 2017-2018.

In response to these 43 consultation requests, the PSC recommended that information be:

• Disclosed in full for 31 requests;
• Disclosed in part for 11 requests; and
• One request could not be processed.

The PSC consulted other government departments and agencies 110 times in relation to the processing of 20 requests completed during the reporting period.

2.4 Informal requests

In an attempt to increase and facilitate access, the PSC provides copies of previously released requests that are not of a personal nature. During the reporting period, 48 such informal requests were made and completed.

Summaries of completed Access to Information Act requests are available at the Open Data Portal: http://open.canada.ca/en/search/ati.

2.5 Disposition of requests completed

For the 128 closed requests, information was released either in whole or in part in 66 cases, representing 51.6% of the requests.

When compared to the previous reporting period, there is an apparent increase 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 the PSC 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 21(1)(b) [consultations or deliberations]. 

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, the PSC 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 26 extension provisions were invoked in the processing of 20 (14.8%) requests that were completed during the reporting period.

2.9 Completion time

Of the 128 closed during the reporting period, 96 of the requests were closed within the initial 30 days, representing 75% of all the requests completed. Twelve requests (9.4%) were completed within 31 to 60 days, 15 (11.7%) within 61 to 120 days and five (3.9%) required more than 120 days to process.

Of these, 118 (92.2%) were closed within the allowable time limit.

2.10 Translation

The PSC did not receive any valid requests for the translation of records, in accordance with subsection 12(2) of the Act. 

2.11 Format of information released

Regarding the 66 requests for which information was released in whole or in part, records for 29 requests (44%) were provided on paper, 37 (56%) 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.

The PSC collected $590, and waived $40, 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 such, no fees were imposed for the search, preparation or reproduction during the reporting period.

However, search fees of $70 were charged before Interim Directive on the Administration of the Access to Information Act came into effect. As this request was completed during this reporting period the fee appears in this reporting period’s statistical report.

2.13 Costs

During the reporting period, the ATIP Office spent $82,791 on salaries and $51,770 on goods and services, including $47,775 for professional service contracts, for the administration of the Act.

The salary and professional services costs represented 1.22 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

Special procedures were created in response to receiving groups of several hundred requests. With the assistance of our Liaison Officers, procedures were developed in order to efficiently and effectively process surges of requests for information held by individual employees of the department. These procedures were successfully put into place with positive results.

3.2 Advice and training

Advice

In addition to processing Access to Information Act and Privacy Act requests, the Office provides advice to PSC 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, 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 reports) prior to disclosure to the concerned parties to ensure that information is released in accordance with the principles of exemptions defined in the Acts; and
• Answering general written and telephone enquiries from the public.

Participation in the governance process

The ATIP coordinator is a member of the Information Management, Information Technology Committee, the Integration Committee, the Resource Management Committee and the Open Government Advisory Group. The ATIP manager is a member of the Project Review Committee, the Security Committee and the Open Data Core Project Team. Active participation in these committees and various other working groups allows the Office to:

• Be aware of upcoming issues, initiatives and projects that may have ATIP implications; and
• Integrate ATIP considerations in the planning for and implementation of initiatives and projects.

Open Government

The PSC’s Open Government Implementation Plan (OGIP) outlines a set of activities and deliverables for the PSC to meet its requirements under the TBS Directive on Open Government. The goal of the OGIP is for the PSC to develop the internal mechanisms necessary to maximize the release of government information and data of business value. As members 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

In order to keep senior management informed of trends in access to information requests, the ATIPO provides ad hoc briefings as required.

Training

The Office delivered an ongoing core training program for supervisors and managers of the PSC. The primary goal of the program is to ensure that managers are fully aware of their responsibilities under both Acts and related policies. The Office delivered 14 training sessions.

The ATIP Liaison Working Group met five times during the reporting period to discuss best practices, address gaps and to provide training opportunities.

3.3 Tracking systems and imaging software

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

4. Complaints

4.1 Number of complaints

During the reporting period, the PSC was advised of 19 complaints to the OIC regarding the processing of Access to Information Act requests. Most of these are tied to the increase in the number of requests. Thirteen complaints originated from the requester who submitted a large number of requests.

There were also 88 complaints carried over from the 2015-2016 reporting period.

4.2 Nature of complaints

The complaints received during the reporting period concerned the following issues:

• One complaint that the PSC did not respond within the statutory deadline;
• One complaint that the PSC did not provide the records in the requested official language;
• Two complaints regarding the use of extensions;
• Five complaints regarding the use of exemptions; and
• Seven complaints alleging that the some records were missing from the response; and
• Three complaints alleging obstruction of the right of access.

4.3 Complaints closed

During the reporting period the OIC confirmed that 100 investigations were discontinued, with the consent of the complainant.

The OIC completed three investigations. The three complaints regarding the use of extensions, the application of exemptions and missing records, were deemed to be well founded.

Six investigations remain active at the end of the reporting period and will carry over to the next.

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 – 2016-2017 Annual Access to Information Act Statistical Report

Name of institution: Public Service Commission of Canada

Reporting period: 2016-04-01 to 2017-03-31

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