Annual Report to Parliament on the Administration of the Access to Information Act 2014-2015

Introduction

4Access to Information Act

The web1 Access to Information Act came into effect on July 1, 1983, giving the public a right of access to information contained in government records, subject to certain specific and limited exceptions.

Section 72 of the 5Access to Information Act requires that the head of every government institution submit an annual report to Parliament on the administration of the lpoAct within the institution for the past fiscal year. It is under this provision that the present annual report is tabled in Parliament.

The present annual report describes how Shared Services Canada (SSC) administered the 6Access to Information Act for the period from April 1, 2014 to March 31, 2015.

Institutional Mandate and Organization

Mandate

Shared Services Canada (SSC) is a federal department created on August 4, 2011 to transform how the Government of Canada manages its information technology (IT) infrastructure. SSC’s mandate was reinforced on June 29, 2012 with the passage by Parliament of the weShared Services Canada Act.

SSC’s focus is to transform how the Government of Canada manages its IT infrastructure, by delivering modern, reliable, and secure cost-effective services to 42 partner organizations. The aim is to maintain and improve IT services delivery across the Government of Canada, generate and reinvest savings, enhance security, and implement government-wide solutions to transform the IT infrastructure to improve services to Canadians.

SSC reports to Parliament through the Minister of Public Works and Government Services and is responsible for delivering mandated email, data centre and network services to the partner departments and agencies (“Partner Organizations,” refer to Annex A) in a modernized, consolidated and standardized manner to support the delivery of Government of Canada programs and services. During 2014–2015, SSC worked toward consolidating a new enterprise email system for the Government of Canada. In addition, the Department continued to consolidate data centres and telecommunication networks, as well as streamline the procurement of IT hardware and software used in the workplace. SSC also continued to support the achievement of Canada’s Cyber Security Strategy.

In addition, SSC contributes to the achievement of other critically important and transformational Government of Canada initiatives such as the Perimeter Security Defence Project, the Transformation of Pay Administration initiative and the vision of the public service of the future as articulated in Blueprint 2020. As an IT security service delivery organization, SSC works collaboratively with other Government of Canada cyber security agencies to support the cyber security strategy.

Organization

During the reporting period, SSC had four branches, each responsible for supporting one of the four elements of SSC’s business model:

• Plan and Design – Transformation, Service Strategy and Design Branch
• Build – Projects and Client Relationships Branch
• Operate – Operations Branch
• Management – Corporate Services Branch

Although the branches were responsible for delivering on the priorities within each of their business lines, one of SSC’s strengths is the synergies that occur when the various branches work together to deliver IT infrastructure services to SSC’s Partner Organizations.

Delegated Authority

In April 2012, pursuant to section 73 of the sdsAccess to Information Act, the President of SSC delegated full powers, duties and functions under the fgfAct to levels down to and including the Director of the Access to Information and Privacy Protection (ATIP) Division, hereafter referred to as the ATIP Division. (See Annex B)

ATIP Division Structure

During the period covered by this report, the ATIP Division structure had 16 full-time positions: the Director, two Deputy Directors, one Team Leader, 11 analysts and one administrative assistant. The ATIP Division maintained an average of 12.85 full-time equivalents, 8.09 of whom were dedicated to the administration of the 2aAccess to Information Act. By the end of the reporting period, the Division had 15 positions staffed.

Dedicated to Access to Information and Privacy Excellence

The ATIP Division is responsible for developing, coordinating, implementing and monitoring compliance with effective ATIP-related policies, guidelines, systems and procedures across SSC. This enables SSC to meet the requirements and to fulfill its obligations under the 9Access to Information Act, and its accompanying piece of legislation, the superPrivacy Act.

The main activities of the ATIP Division are:

• Receiving, coordinating and processing requests under the 39Access to Information Act and the 49Privacy Act;
• Responding to consultations from other government institutions regarding SSC information under consideration for release;
• Developing SSC-specific policy instruments in support of access and privacy legislation;
• Developing and delivering ATIP awareness and training across SSC so that employees and management understand their roles and responsibilities;
• Supporting a network of ATIP Liaison Officers across SSC who assist with requests by coordinating the retrieval of records and recommendations from within their branch or region;
• Monitoring institutional compliance with both Acts and its regulations, as well as relevant procedures and policies;
• Preparing annual reports to Parliament on the administration of the Acts, as well as other material that may be required by central agencies;
• Representing SSC in dealings with the Treasury Board of Canada Secretariat (TBS), and the Information and Privacy Commissioners of Canada regarding the application of both Acts as they relate to SSC;
• Supporting SSC in meeting its commitments to openness and transparency through the proactive disclosure of information and the release of information via informal avenues, such as the Open Government portal; and,
• Participating in whole-of-government initiatives for the federal ATIP community.

Interpretation of the Statistical Report - Access to Information Requests and Consultations

The Statistical Report (Annex C) on the 11Access to Information Act provides a summary of the access to information requests and consultations processed during the 2014-2015 reporting period.

Overview of Workload (Annex C, Part 1, Table 1.1 and Table 1.3; Part 5, Table 5.1)

During the reporting period, the ATIP Division received 189 formal requests under the hupAccess to Information Act, 102 consultations from other government institutions, and 71 informal requests. In addition, 23 requests were carried over from the previous reporting period.

The volume of requests received under the 12Access to Information Act during this reporting period is comparable to the previous reporting period (in which 198 requests had been received). However, of importance to note is that the number of pages processed by the ATIP Division increased eight times, from 22,438 pages processed in 2013–2014 to 183,023 pages processed in 2014–2015. The volume of pages processed increased due to interest in records relating to procurement and cyber security files. The number of pages released increased over three times, from 16,979 pages released in 2013–2014 to 55,725 pages released in 2014–2015.

The ATIP Division closely tracks, on a weekly basis, its turnaround times in processing requests and monitors the timeliness of their completion. Performance reports are communicated to senior management on a monthly basis. In this reporting period, all processed 14Access to Information Act requests were completed within legislated timelines.

Requests Received (Annex C, Part 1, Table 1.1)

During this reporting period, 189 requests were received under the 13Access to Information Act. In addition, 23 requests from the previous reporting period were carried forward, for a total of 212 requests requiring action in this reporting period.

Source of Requests Received (Annex C, Part 1, Table 1.2)

The largest portion of the requests received during the reporting period came from the public, representing 36% of the requests received. The media and private businesses accounted for 31% and 21%, respectively, of the requests received. Requests from organizations represented 2% of the requests received, and 2% of the requests were received from academic sources. Lastly, 8% of the requests received were from sources that declined to identify.

Disposition of Requests Completed (Annex C, Part 2, Table 2.1)

During the reporting period, the requests processed under the 15Access to Information Act (not including transferred or abandoned requests) saw full or partial disclosure of the information 65% of the time. Meanwhile, 33% of the requests consisted primarily of responses indicating that no records existed. The remaining 2% were all exempted.

There was a significant decrease in the number of requests transferred, from 49 in 2013‒2014 to 15 in 2014‒2015. There was a slight increase in the number of requests abandoned, from 18 in 2013‒2014 to 20 in 2014‒2015. There was also a slight increase in the number of requests for which no records exist, from 40 in 2013‒2014 to 45 from 2014‒2015.

Completion Time (Annex C, Part 2, Table 2.1)

The 16Access to Information Act sets the timelines for responding to access to information requests. It also provides for extensions in cases where responding to the request requires the review of a large volume of information or extensive consultations with other government institutions or other third parties. Sixty-three percent of the requests were closed within the 30-day deadline established by the Act. The remaining 37% were closed within an extended deadline permissible under subsection 9(1) of the Act.

Exemptions Invoked (Annex C, Part 2, Table 2.1 and Table 2.2)

Whenever SSC invoked exempting provisions, the principal of severing, as described in section 25 of the Act, was applied in order to release as much information as possible. In fact, there were only three requests that needed to be exempted in their entirety.

The most frequently invoked exempting provisions for SSC were under paragraph 20(1)(b) – Financial, Commercial, Scientific and Technological Information of a Third Party, paragraph 20(1)(c) – Information That Could Lead to Financial Loss or Gain of a Third Party, and subsection 19(1) – Personal Information. These three provisions of the 3aAct are mandatory exemptions.

Exclusions Cited (Annex C, Part 2, Table 2.3)

The exclusion provision used most frequently was in relation to the protection of Confidences of Cabinet, specifically under paragraph 69(1)(g) – Information that Relates to Memoranda to Cabinet.

Extensions (Annex C, Part 2, Table 2.1 and Part 3)

As outlined above in the Completion Time section, extensions permissible under subsection 9(1) of the 4aAct were invoked 37% of the time. Most of these extensions were required in order to conduct consultations with other federal institutions and third parties.

Fees (Annex C, Part 4)

During the reporting period, SSC collected $890.00 and waived or refunded $45.00 in application fees. No other fees were charged or collected on files closed during the reporting period.

Consultations (Annex C, Part 5, Table 5.1)

During the reporting period, SSC received 102 consultations from other government institutions and carried over four consultations from the previous reporting period. SSC’s ATIP Division completed 100 consultations during the reporting period, with six pending at the end of the reporting period.

Informal Requests (Annex C, Part 1, Table 1.3)

During the reporting period, SSC received and processed 71 informal requests for previously released documents.

Costs (Annex C, Part 9, Table 9.1)

According to information provided by SSC’s Finance Division in April 2015, during the reporting period the ATIP Division spent $604,490 on salaries and $180,924 on goods and services, including professional service contracts, for the administration of the a17Access to Information Act.

Institutional ATIP Training and Awareness Activities

The ATIP Division continued its efforts toward embedding a culture of ATIP excellence across SSC. It focused on delivering training and awareness activities on access to information. In order to assess and continuously improve the effectiveness of its training activities, the ATIP Division uses a comprehensive evaluation form for participants to provide feedback regarding their training experience.

A total of ten ATIP sessions were delivered to approximately 180 participants, which included SSC executives, managers and employees at various levels.

Training for the ATIP Liaison Officer Network

As the primary point of contact for a branch or directorate, an ATIP Liaison Officer must have an in-depth understanding of the ATIP process and a heightened understanding of the legislation. The ATIP Division developed a three-hour training session and reference material to address the specific needs of the ATIP Liaison Officers.

During the reporting period, the Director of ATIP delivered six sessions to ATIP Liaison Officers and their delegates (65 participants). In addition, the Deputy Director of ATIP Operations addressed a Branch’s specific training requirements by giving a tailored overview to administrative assistants and Liaison Officers concerning types of ATIP response sheets, context for tasking and Notice of Release processes, and responded to related questions (15 participants).

ATIP Training for Subject Matter Experts in Offices of Primary Interest

Since the number and complexity of requests submitted to SSC was increasing, several program areas requested training on the ATIP process and the nature of exemptions. A 2.5-hour training program was developed with a focus on the legislative context, SSC’s internal process and best practices for responding to ATIP requests. During the reporting period, the Director of ATIP delivered three tailored Office of Primary Interest training sessions, one for the Cyber and IT Security Branch, another for the Extended Enterprise Projects Execution Leadership Team and a third session for the entire staff of the Chief Information and Security Office. All training initiatives were very well received and deemed worthwhile (100 participants).

ATIP in the Government of Canada

The Director of SSC’s ATIP Division also delivered, for the Canada School of Public Service, the three-day ATIP course entitled “Access to Information and Privacy in the Government of Canada” (Course I703), which is intended for federal public servants.

Right to Know (RTK) Week

Initiated in Bulgaria on September 28, 2002, International Right to Know Day is intended to raise awareness about people’s right to access government information while promoting freedom of information as an essential feature of both democracy and good governance. In 2014, the Canadian RTK Week took place from September 22 to 28. SSC promoted RTK Week by highlighting the week in its weekly bulletin to employees and encouraging them to participate in events in their regions and to help protect information by following the Department’s clean desk guidelines.

ATIP Awareness for Managers Network

The ATIP Division collaborated with the SSC Managers Network and the Administrative Professionals Network to promote awareness. In November, a message was sent to all SSC managers informing them of SSC’s Access to Information and Privacy Internal Policy Instruments and the important role they play in meeting the rights of access to information.

ATIP Management Framework

During the reporting period, the ATIP Division introduced an ATIP Management Framework, which sets out a comprehensive governance and accountability structure that, among other things, reflects SSC’s responsibilities under both the 95Access to Information Act and the b2Privacy Act with respect to access rights and with regard to SSC’s collection, use, disclosure, retention and disposal of personal information.

In 2014–2015, the Framework was approved, implemented, posted on SSC’s extranet site and communicated to employees via a communiqué from SSC’s President and Chief Operating Officer. It explains how SSC is organized in terms of its structures, policies, systems and procedures for, among other things, managing privacy risks, assigning privacy responsibilities, coordinating privacy work and ensuring compliance with the gusPrivacy Act, the 111Access to Information Act, related TBS policies and directives, and internal ATIP-related policies.

The following ATIP policy instruments were still in development at the end of this reporting period:

1. Directive on Access to Information and Privacy Training and Awareness – supports SSC in embedding ATIP excellence through training and awareness.
2. Directive on Monitoring ATIP Compliance – supports SSC in monitoring, for compliance with the b3Privacy Act and the topsAccess to Information Act, specific internal policy instruments designed to manage privacy risks and foster access to records containing information, including personal information, under SSC’s control.
3. Standard on Preventing and Managing Obstruction to the Right of Access – establishes the procedures for addressing instances of perceived and actual obstruction of lawful access to information under SSC’s control.

“Duty to Assist” Principle

The ATIP Division’s process is based upon the “duty to assist” principle, which is defined in the TBS gutsDirective on the Administration of the Access to Information Act as follows:

1. Process requests without regard for the identity of the applicant;
2. Offer reasonable assistance throughout the request process;
3. Provide information on the 20Access to Information Act, including information on the processing of requests and the right to complain to the Information Commissioner of Canada;
4. Inform the applicant as appropriate and without undue delay when the request needs to be clarified;
5. Make every reasonable effort to locate and retrieve the requested records under the control of the institution;
6. Apply limited and specific exemptions to the requested records;
7. Provide accurate and complete responses;
8. Provide timely access to the requested information;
9. Provide records in the format and official language requested, as appropriate; and
10. Provide an appropriate location within the institution to examine the requested information.

SSC’s ATIP process is further supported by best practices within the federal ATIP community, which enable SSC to meet the challenges of responding in a timely manner to 176Access to Information Act requests for access and consultations.

Initial Contact with Requesters

As part of the intake process, the ATIP Operations Team Leader reviews all incoming information requests to ensure that they are complete and clear. As appropriate, the requester is contacted and offered the possibility of clarifying the request.

This process provides several benefits. It provides a better service to the requester by clearly determining the scope of the requested information, thereby potentially reducing the processing time. It also makes more efficient use of institutional resources by eliminating the need to search for, retrieve, review and possibly consult on records that are not desired.

ATIP Process Manual

During the reporting period, the ATIP Division continued to update its procedural manual to guide ATIP staff in processing requests received under the retAccess to Information Act and its accompanying piece of legislation, the goesPrivacy Act. The manual provides information about the types of documents processed and how they should be handled pursuant to the Acts. The manual serves as a reference tool for ATIP staff and is designed to ensure consistent application of the Acts and related policy instruments. Further, the manual supports SSC’s “duty to assist” all applicants, so that all reasonable effort is made to help applicants receive complete, accurate and timely responses in accordance with the legislation.

SSC has developed internal procedures and guidelines to ensure appropriate monitoring of and reporting on ATIP requests, as well as compliance with TBS's policies and guidelines. They provide important checks and balances required to maintain SSC’s continued 100% compliance rate.

Cabinet Confidence Process

SSC’s ATIP Division has a Service Level Agreement with its institutional Legal Services Unit for the provision of a review and recommendations on records that may contain information subject to the Cabinet confidences exclusion. This Service Level Agreement allows for an efficient business process related to Cabinet confidences, thereby ensuring that SSC meets the requirements of the revised process and fulfills its obligations under the toPrivacy Act.

Control of Records and Partner Organizations

Given SSC’s mandate, there are challenges surrounding the roles and responsibilities under the yt6Access to Information Act. Section 15 of the hateShared Services Canada Act states that:

…for the purposes of the rutsAccess to Information Act, the records of other government institutions […] that are, on behalf of those institutions or organizations, contained in or carried on Shared Services Canada’s information technology systems are not under the control of Shared Services Canada.

The ATIP Division processes only those records that relate to SSC departmental business. The Partner Organizations continue to be responsible for the creation, maintenance, use, disclosure and disposal of their electronic information holdings and their access rights have not changed.

While SSC does not have control and ownership over the Partner Organizations’ records stored in the shared IT infrastructure, given the responsibilities and thus the shared interest, consultations with the Partner Organizations is an important part of SSC’s processing of requests. Further, a process has been established to enable Partner Organizations to conduct searches of their data held on any SSC server where such searches are necessary in order to properly respond to an 458Access to Information Act request. In such cases, the ATIP Division of the relevant Partner Organization is required to contact its institutional Chief Information Officer, who serves as the primary point of contact between the Partner Organization and SSC’s account executives.

Info Source Modernization Initiative

Info Source: Sources of Federal Government and Employee Information provides information about the functions, programs, activities and related information holdings of government institutions subject to the htrAccess to Information Act and the thePrivacy Act.

TBS requires that the government institutions publish their own Info Source chapter on their Internet site. During the reporting period, SSC completed its review of its Info Source chapter. TBS commented that, “Shared Services Canada has worked diligently to ensure their chapter meets TBS requirements. This is an excellent decentralized published Info Source chapter. Well done!”

ATIP Online Request Service

During the reporting period, SSC received 121 oi9Access to Information Act requests and fees via the Access to Information and Privacy (ATIP) Online Request service. Sixty-eight 8761Access to Information Act requests and fees were received via paper mail service.

ATIP Community Development Initiative

The SSC ATIP Division was also the lead working closely with the federal ATIP community to create generic organizational models and work descriptions for the federal public service. Throughout the process there have been many consultations with the ATIP community at large and other stakeholders, including the Public Service Alliance of Canada. The aim is to eventually have standardized recruitment and staffing tools for the ATIP community.

Complaints and Investigations

During the reporting period, the Office of the Information Commissioner of Canada notified SSC that it had received two complaints against SSC under section 32 of the oklAccess to Information Act.

One complaint alleged that SSC had improperly applied exemptions, so as to unjustifiably deny access to records or portions thereof, as requested under the kjkAct. This complaint has been withdrawn.

The other complaint alleged that SSC had claimed an unreasonable extension of time for responding to a request for records and that SSC had not attempted to accommodate the complainant by providing interim releases. This complaint was still being investigated by the Office of the Information Commissioner of Canada at the end of this reporting period.

Parliamentary Affairs

During the period under review, six Order Paper Questions or “Written Questions” regarding access to information and/or privacy were placed on the Order Paper by Members of Parliament. SSC provided written responses, which were tabled as sessional papers. Upon request, these are available to the public via the Library of Parliament.

 

Next Steps for the Year Ahead

SSC’s ATIP Division appreciates the opportunity to be engaged in the development of a relatively new institution. It will continue to be innovative in its administration of the 1fgAccess to Information Act. The ATIP Division is committed to further supporting SSC as it instils a culture of service excellence and moves toward an efficient and modern paperless environment.

The ATIP Division will map its information holdings against SSC’s 2014–2015 Program Alignment Architecture. This initiative will define SSC’s information holdings in order to provide clarity to its Info Source chapter and will also assist requesters by directing their requests to the appropriate institution.

The ATIP Division has also drafted several other policy instruments and is working towards approval, implementation and communication during 2015–2016. The status will be reported in next year’s Annual Report. These policy instruments include:

1. Directive on Access to Information and Privacy (ATIP) Training and Awareness
2. Directive on Monitoring ATIP Compliance
3. Standard on Preventing and Managing Obstruction to the Right of Access

The ATIP Division will continue to develop knowledge and accountability for the ATIP Liaison Network and provide ATIP training and awareness opportunities for executives, managers and employees across the Department.

Annex A - Partner Organizations

Annex B - Delegated Authority

Access to Information Act Designation Order

The President of Shared Services Canada, pursuant to section 73 of the Access to Information Act, hereby designates the persons holding the positions set out in the schedule hereto, or the persons acting in those positions, to exercise the powers and perform the duties and functions of the President of Shared Services Canada as the head of a government institution under all sections of the Access to Information Act. This designation is effective immediately upon being signed.

SCHEDULE

1. Chief Operating Officer
   
2. Senior Assistant Deputy Minister and Chief Financial Officer
   Corporate Services
   
3. Director General
   Corporate Secretariat
   
4. Director
   Access to Information and Privacy Protection Division

 

Signed on April 2nd, 2012
Liseanne Forand

Ottawa

Annex C - Statistical Report on the Access to Information Act

Name of institution: Shared Services Canada
Reporting period: 2014-04-01 to 2015-03-31

Part 1 – Requests under the Access to Information Act

Part 2 - Requests Closed During the Reporting Period