2015-16 Annual Report on the Access to Information Act

Table of Contents

• 1. Introduction
• 2. Mandate of the Treasury Board of Canada Secretariat
• 3. Organization
• 4. Delegation Order
• 5. Interpretation of the Statistical Report for Requests Under the Access to Information Act
• 6. Other Requests
• 7. Disposition of Completed Requests
• 8. Completion Time and Extensions
• 9. Exemptions Invoked
• 10. Exclusions Invoked
• 11. Fees
• 12. Costs
• 13. Education and Training
• 14. Policies, Guidelines, Procedures and Initiatives
• 15. Complaints, Investigations and Federal Court Cases
• 16. Monitoring of Compliance and Requests
• 17. Information Holdings
• Appendix A: Statistical Report on the Access to Information Act
• Appendix B: Delegation Order

1. Introduction

 The Access to Information Act gives Canadian citizens, permanent residents, and all individuals and corporations present in Canada the right of access to records under the control of a government institution subject to the Act. The Act complements, but does not replace, other means of obtaining government information.

This report is prepared and tabled in Parliament in accordance with section 72 of the Access to Information Act. It covers the period from April 1, 2015 to March 31, 2016.

2. Mandate of the Treasury Board of Canada Secretariat

The Treasury Board of Canada Secretariat (Secretariat) is the administrative arm of the Treasury Board, and the President of the Treasury Board is the Minister responsible for the Secretariat. This organization supports the Treasury Board by making recommendations and providing advice on program spending, regulations and management policies and directives, while respecting the primary responsibility of deputy heads in managing their organizations, and their roles as accounting officers before Parliament. In this way, the Secretariat strengthens the way government is managed and helps to ensure value for money in government spending and results for Canadians.

Through the Office of the Chief Human Resources Officer, the Secretariat provides government-wide leadership on people management; through the Office of the Chief Information Officer, it offers direction, oversight and capacity building for information management, information technology, government security (including identity management), access to information, privacy, and internal and external service delivery. The Secretariat is also responsible for the comptrollership function of the government.

Under the broad authority of sections 5 to 13 of the Financial Administration Act, the Secretariat supports the Treasury Board in its role as the general manager and employer of the public service.

3. Organization

The Access to Information and Privacy (ATIP) Office is part of the Ministerial Services Division of the Secretariat’s Strategic Communications and Ministerial Affairs Sector. This office is responsible for implementing and managing programs and services relating to the Secretariat’s administration of the Access to Information Act and Privacy Act, as well as providing advice to its employees as they fulfill their obligations under both Acts.

In 2015–16, the ATIP Office was comprised of a director supported by eight ATIP officers at various levels. There were two categories of responsibility, which included the following key activities:

1. ATIP Policy and Processes (one officer)
   • Provided expertise in privacy policy to internal clients
   • Developed procedures to optimize operations performance
   • Produced privacy awareness and training program material
   • Coordinated and reviewed updates to the Secretariat’s Info Source chapter
   • Oversaw day-to-day issues management
2. Operations (seven officers)
   • Provided expertise in access to information to internal clients
   • Provided database administration via an intake unit
   • Processed access to information and privacy requests
   • Carried out consultations with government organizations or third parties
   • Responded to calls and informal requests for information
   • Maintained dialogue with sectors and other federal government institutions
   • Acted as the point of contact to resolve formal complaints by oversight bodies
   • Prepared the Secretariat’s annual reports to Parliament on the administration of the Acts

This was a year of transition for the ATIP Office, and through a number of successful staffing actions, its full complement of staff was renewed.

4. Delegation Order

 Delegation orders set out what powers, duties and functions for the administration of the Access to Information Act have been delegated by the head of the institution, and to whom. The ATIP Delegation Order was updated during this reporting period to reflect the direction of the new President of the Treasury Board.

The President has delegated most of the responsibilities set out in the Access to Information Act to the following Secretariat officials: the Assistant Secretary of Strategic Communications and Ministerial Affairs, the Senior Director of Ministerial Services, and the Director of ATIP. The Secretary has been delegated responsibilities for addressing complaints not resolved between the ATIP Office and investigators from the Office of the Information Commissioner. In an effort to streamline the ATIP process, sections of the Delegation Order that allow for time extensions in the processing of requests have been extended to senior officers within the ATIP Office.

A copy of the approved Secretariat Delegation Order can be found in Appendix B.

5. Interpretation of the Statistical Report for Requests Under the Access to Information Act

Statistical reporting on the administration of the Access to Information Act and the Privacy Act has been in place since 1983. The statistical reports prepared by government institutions provide aggregate data on the application of the Access to Information Act and Privacy Act legislation. This information is made public on an annual basis in an Info Source bulletin and is included with the annual reports on access to information and privacy tabled in Parliament by each institution.

The Secretariat’s 2015–16 statistical report on the Access to Information Act is provided in Appendix A.

Table 1 presents an overview of the 2015–16 statistics on the Secretariat’s processing of access to information requests in relation to statistics for the three previous years.

In the reporting period from April 1, 2015 to March 31, 2016, the Secretariat received a total of 503 new requests under the Access to Information Act. This represents an increase of 76 requests (18%) from last year’s total of 427.

Of the 503 requests received during the 2015–16 reporting period, 177 (35%) came from the public; the remaining 65% were requests from the media (162 requests or 32%), businesses (51 requests or 10%), academia (12 requests or 2%), individuals who declined to identify themselves (85 requests or 17%), and organizations (16 requests or 3%).

A total of 44 new requests (9%), where subjects were outside the Secretariat’s mandate or for which the Secretariat had no records, were transferred or redirected to other federal institutions. Compared to the previous year, this represents a decrease of 77 requests (19%), which can be attributed to an increase in the number of institutions participating in the ATIP Online Request service.

In addition to the new requests, 83 requests were carried forward from 2014–15. One of the 83 carried over had been closed in a previous reporting period, but was re-opened for processing during this reporting period in light of the Federal Court of Canada decision Information Commissioner of Canada v. Attorney General of Canada, 2015 FC 405 and the implications it had government-wide on the application of fees for the search of electronic records.

A total of 303 requests were fully or partially disclosed. Records were sought and provided in paper in 265 cases and in electronic format in 38 cases.

In 2015–16, the Secretariat’s ATIP Office responded to 464 formal access to information requests involving the review of 39,310 pages (4,502 more pages, or 13% more than last year). The Secretariat released 23,986 pages (61%) of the 39,310 pages reviewed. This reflects the nature of the Secretariat’s work, which involves a large number of Cabinet confidences.

About 77% of the access to information requests (355 requests) involved the review and processing of up to 500 pages. Thirteen requests involved the review and processing of more than 1,001 pages in each case, with the release of a total of 14,878 pages, averaging about 1,144 pages for each case. Processing of such large files takes significantly longer and requires close attention to ensure the internal consistency and proper sequencing of records.

Compared to last year, 40 more requests are being carried forward to the next reporting period, which can be attributed to the greater increase in new requests received. Although a number of staffing activities presented a period of transition within the ATIP Office, the Secretariat was successful in processing more pages, completing more requests, and maintaining a 95% on-time compliance rate.

The Secretariat dedicated resources to processing complex and high‑volume files that were carried over from previous reporting periods and had exceeded their legislated time limits. Half of these requests (16 out of 32) were completed as a result of the ATIP Office focusing its resources and receiving ad hoc support from other units within the Strategic Communications and Ministerial Affairs Sector. The processing of these 16 requests involved the review of 11,743 pages (representing 30% of the reporting period total) and the release of 5,844 pages (representing 24% of the reporting period total).

6. Other Requests

During the reporting period, the Secretariat received 204 access to information consultation requests from other federal institutions and organizations involving Secretariat records or issues, a decrease of 43 requests (17%) from the previous year. Although there was a decrease in the number of consultations requests, the Secretariat was asked to review a total of 9,311 pages of information as part of these consultations, which is comparable to last year’s total of 10,439 pages.

The ATIP Office processed 45 informal requests (i.e. not subject to the Access to Information Act). Informal requests are processed as part of the Secretariat’s broader objective of providing Canadians with relevant information on an informal and timely basis, and in the spirit of transparency and open government.

As in previous years, the ATIP Office acted as a source of expertise for Secretariat officials, providing advice and guidance on the provisions of the legislation. The Office was consulted regularly on the disclosure and collection of data on a wide range of subjects, and provided advice to ensure transparency and compliance with the legislation. This included consultations on publications to be posted on the Open Government website, surveys and forms, and proactive disclosures on travel and hospitality; advice on information management and security of information; and the review of audits to be posted on the Internet.

Throughout the year, the ATIP Office continued to receive frequent telephone calls and emails from the general public seeking guidance on how to obtain information under the Access to Information Act and the Privacy Act, and where to forward their requests. Many of these enquiries were redirected to other federal government institutions, and occasionally, to provincial Freedom of Information and Privacy Offices.

7. Disposition of Completed Requests

In 2015–16, a total of 464 requests were completed, with information disclosed in accordance with the provisions of the legislation. Table 2 provides an overview of the disposition of the completed requests.

A notable proportion of the requests that fell within the Secretariat’s mandate were only partially disclosed due to the nature of the Secretariat’s business, which involves a significant number of Cabinet confidences and sensitive advice and recommendations to the President of the Treasury Board. Given that the President is responsible for ensuring compliance with the Access to Information Act and the Privacy Act government-wide, the Secretariat often receives requests that fall within the mandates of other federal departments. Such requests are registered, reviewed and either transferred to the appropriate organization upon their acceptance or closed after advising the requestor of the appropriate organization. In Table 2, these requests are represented under “Transferred to another institution” and included in the totals for the “Abandoned by applicant” category.

8. Completion Time and Extensions

The legislation sets timelines for responding to access to information requests and allows for extensions when the response requires the review of a large amount of information or extensive consultations with other organizations.

Table 3 provides the response times for the 464 access to information requests that the Secretariat completed in 2015–16.

The Secretariat received a number of requests that fell under other government organizations’ mandates and addressed these within the first 15 days. Requests that were processed after the initial 30 days required consultations with other federal organizations or the Secretariat’s Legal Services Division in order to confirm Cabinet confidences. During the reporting period, the Secretariat sought extensions in 170 instances (36%) mainly to consult with other government institutions or third parties, but in some cases, because the original time limit unreasonably interfered with operations. Overall, of the 464 requests, 442 (95%) were completed within the prescribed time limits, including all extensions, which were taken in accordance with sub-paragraphs 9(1)(a), (b) and (c) of the Access to Information Act.

This year, the access to information requests that the Secretariat received were often complex and pertained to briefing materials prepared for the President and the Secretary of the Treasury Board, including transition materials prepared for the new President.

Several factors contributed to the Secretariat’s on-time response rate of 95%: weekly statistical performance reports, strong case file management, information sessions with Secretariat officials and sector contacts, and a streamlined process for confirmation of Cabinet confidences and delegation orders.

9. Exemptions Invoked

The Access to Information Act allows, and in some instances requires, that information relating to the internal decision-making processes of government, national security, law enforcement or trade secrets be exempted and not released.

In 2015–16, the Secretariat invoked a total of 643 exemptions as per specific sections of the Access to Information Act. The breakdown of the exemptions is as follows:

• Section 13: Exempting records obtained in confidence from other levels of government (2)
• Section 14: Exempting records expected to be injurious to the conduct by the Government of Canada of federal-provincial affairs (5)
• Section 15: Exempting records expected to be injurious to the conduct of international affairs and the defence of Canada (26)
• Section 16: Exempting records containing law enforcement and security information (31)
• Section 17: Exempting records expected to threaten the safety of individuals (1)
• Section 18: Exempting records expected to prejudice the economic interests of Canada (41)
• Section 19: Exempting records containing personal information (100)
• Section 20: Exempting records containing third-party business information (60)
• Section 21: Exempting records containing information related to the internal decision-making processes of government (322)
• Section 22: Exempting records containing test procedures, tests and audits (9)
• Section 23: Exempting records related to solicitor-client privilege (44)
• Section 26: Exempting records where information is to be published within 90 days (2)

10. Exclusions Invoked

The Access to Information Act does not apply to information that is already publicly available, such as government publications and material in libraries and museums. It also excludes material such as Cabinet confidences. Consistent with the Act, exclusions were invoked 125 times: two times under section 68(a) for information that could be found in the public domain and 123 times under section 69 for confidences of the Queen’s Privy Council for Canada. A large number of Secretariat documents are classified as Cabinet confidences due to the fact that the Secretariat provides administrative support to the Treasury Board, which is a Cabinet committee.

11. Fees

During the reporting period, the Secretariat collected $1,660 in application fees and $905 in programming fees. The Secretariat also waived $9,400 in fees.

Of the total amount of fees waived, $8,790 were search fees that were initially assessed in the 2013–14 reporting period to locate records in response to a request for all information under the control of the Secretariat, over a period of six years, regarding the five‑year review of the Public Servants Disclosure Protection Act. In the decision Information Commissioner of Canada v. Attorney General of Canada, 2015 FC 405, the Federal Court agreed with the Information Commissioner’s interpretation that records in electronic format (such as emails and Word documents) are not considered “non-computerized” records for the purpose of the search and preparation fees authorized by the Access to Information Act and the Access to Information Regulations. Following this decision, the Secretariat undertook discussions with the requestor and the Office of the Information Commissioner to re-initiate the processing of the aforementioned request by refining the scope of the request and suspending fees associated with the search of electronic records.

12. Costs

During 2015–16, the ATIP Office incurred $505,530 in salary costs and $20,102 in administrative costs (software licences, professional services fees, office equipment and supplies, training) to administer the Access to Information Act.

These costs do not include resources expended by the Secretariat’s program areas to meet the requirements of the Acts.

13. Education and Training

During 2015–16, the ATIP Office continued to offer training sessions to the Secretariat’s employees on a regular basis—11 sessions were provided to 197 staff. Some of these sessions were adapted to the specific needs of divisional teams and sectors of the Secretariat. The ATIP Office also provided two sessions in the form of a web seminar specifically tailored to over 200 officers who are responsible for administering the Executive Talent Management Program across federal departments. In addition, two presentations were delivered at ATIP Community meetings to over 100 participants. One session was to relay experiences in “leaning” ATIP office processes, and the other was to discuss fees and extension provisions.

14. Policies, Guidelines, Procedures and Initiatives

To ensure policy compliance and adherence to procedures for appropriate handling and preparation of responses to ATIP requests, the Secretariat’s ATIP Office disseminated a variety of tools and checklists, and held face-to-face meetings to share these tools with new staff and contacts. These tools and meetings were instrumental in ensuring that the Secretariat’s employees remain aware of their roles and responsibilities related to ATIP requests.

During the 2015–16 reporting period, in an effort to build on and streamline the administration of its ATIP program, the ATIP office introduced “lean” practices. This review was first introduced to help reduce redundant administrative activities both internally and externally to the ATIP office in order to ensure a high-level compliance and performance, as well as positive communications with its clients and stakeholders. Key highlights of this review included the creation of an intake unit within the office to handle administrative tasks which allowed senior level officers to handle the more complex issues and become team leaders in order to coach officers throughout their day‑to‑day activities. The ATIP Office continues to engage with office staff on a weekly basis to review, discuss and advance “lean” ideas and principles.

15. Complaints, Investigations and Federal Court Cases

Clients of the Secretariat filed 15 new complaints with the Information Commissioner in 2015–16 and one new complaint was self-initiated by the Information Commissioner.

The reasons for the new complaints were as follows:

• Eight complaints related to the refusal of records (i.e. invoking exemption or exclusion of information, late responses, and allegations of missing records).
• Two of the six extension complaints were taken as a result of the requests that were no longer held in abeyance in response to the Federal Court fees decision rendered in 2015. In light of the volume of records identified by the requests (over 40,000 pages), the ATIP Office took extensions of more than four years in order to respond to the requests.
• One departmental complaint was in relation to the mandatory collection of personal information with regard to the access to information online request form; specifically, the collection of “gender” via the title field and the requirement to collect the date of birth when submitting a request to the Royal Canadian Mounted Police.
• The self-initiated complaint against the Treasury Board Secretariat was in relation to the handling of third party information through the Access to Information process.

During the reporting period, a total of 11 complaint investigations were completed. The results were as follows:

• Two complaints were related to search fees assessed in 2012 and 2013. The two requests were held in abeyance pending a decision from the Federal Court of Canada on whether records in electronic format (such as emails and Word documents) are considered “non-computerized” records for the purpose of search and production fees. Following the Federal Court decision in 2015, the Information Commissioner issued letters of finding to institutions indicating that the complaints concerning fees for search of electronic records were considered to be well founded, and that ATIP offices should reinitiate the processing of these files. The Secretariat is currently treating two such requests.
• Four complaints (three for missing records, and one for exemptions) were related to requests for records in the Office of the President of the Treasury Board from 2006.
  • In a letter to the President, the Information Commissioner indicated that two of the missing records complaints were considered not well founded, and the third missing records complaint and exemptions complaint were considered well founded and resolved.
  • In her letter, the Commissioner made recommendations relating to the management of ministerial records, including strengthening recordkeeping practices by identifying a staff member to be responsible for information management practices and by ensuring ministerial staff receive appropriate training on their responsibilities with respect to information management, as well as the Access to Information Act and Privacy Act.
  • The President of Treasury Board responded positively to the recommendations and indicated that the Prime Minister has tasked him, the Minister of Justice, and the Minister of Democratic Institutions in the review of the Access to Information Act to ensure that it applies appropriately to the Prime Minister’s and Ministers’ Offices.
• The self-initiated complaint against the Secretariat in relation to the handling of third party information through the Access to Information process was discontinued.
• Three complaints were related to extension of time limits and were considered resolved. Two of the three complaints were considered well founded. The ATIP Office had responded within the extended time limits; however, the Office of the Information Commissioner disagreed with the validity of the extension.
• One complaint was related to exemptions invoked. The Commissioner agreed with the Secretariat and the complaint was considered not well founded.

There were no new court cases in 2015–16. There have been no court cases against the Secretariat in relation to the Access to Information Act and the Privacy Act since 2004.

16. Monitoring of Compliance and Requests

The ATIP Office distributes weekly compliance statistics that are shared with the program areas and senior management for all access to information requests.

17. Information Holdings

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 Secretariat’s functions, programs, activities and related information holdings can be found in Treasury Board Secretariat - Sources of Federal Government and Employee Information (Info Source).

This year, the Secretariat’s ATIP Office implemented recommendations provided by the Information and Privacy Policy Division. The Info Source chapter was further realigned to reflect changes in the Secretariat’s Program Alignment Architecture and the ATIP Office will continue to update the chapter based on a three-year action plan, such as updating the description of document types and collapsing certain redundant personal information banks, while re-registering others.

All Info Source publications are available online free of charge.

Appendix A: Statistical Report on the Access to Information Act

Name of institution:

Treasury Board of Canada Secretariat

Reporting period:

2015-04-01 to 2016-03-31

Appendix B: Delegation Order

I, undersigned, President of the Treasury Board, pursuant to section 73 of the Access to Information Act hereby designate Senior ATIP Advisors, the Access to Information and Privacy Director, the Senior Director of Ministerial Services, the Assistant Secretary, Strategic Communications and Ministerial Services and the Secretary, or persons occupying those positions on an acting basis, to exercise signing authorities or perform any of the President’s powers, duties or functions specified in the attached Schedule A. This designation replaces all previous delegation orders.

Original signed by

The Honourable Scott Brison
President of the Treasury Board

Date 2016-02-02