2017 to 2018 Annual Report on the Access to Information Act: Treasury Board Secretariat

On this page

• 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 about programs and 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, 2017 to March 31, 2018.

2. Mandate of the Treasury Board of Canada Secretariat

As the administrative arm of the Treasury Board, the Secretariat has a dual mandate: to support the Treasury Board as a committee of ministers and to fulfill the statutory responsibilities of a central government agency. The Treasury Board’s mandate is derived from the Financial Administration Act.

To fulfill its mandate, the Secretariat has 3 roles:

• a challenge and oversight role, which includes supporting Cabinet decision making, reporting on the government’s management and budgetary performance, and developing government-wide management policies and directives
• a community-enabling role, which involves helping organizations improve management performance and program results
• a leadership role, which involves driving and modelling excellence in public sector practices

The Secretariat is tasked with providing advice and support to Treasury Board ministers in their role of ensuring value-for-money, as well as providing oversight of the financial management functions in departments and agencies.

The Secretariat makes recommendations and provides advice to the Treasury Board on policies, directives, regulations, and program expenditure proposals with respect to the management of the government's resources. Its responsibilities for the general management of the government affect initiatives, issues, and activities that cut across all policy sectors managed by federal departments and organizational entities (as reported in the Main Estimates). The Secretariat is also responsible for the comptrollership function of government.

Within the Secretariat, the Comptroller General of Canada provides government-wide leadership, direction, oversight and capacity building for financial management, internal audit and the management of assets and acquired services. The Chief Human Resources Officer provides government-wide leadership on people management through policies, programs and strategic engagements, and by centrally managing labour relations, compensation, pensions and benefits, and contributing to the management of executives. The Chief Information Officer provides government-wide leadership, 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.

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 Secretariat employees as they fulfill their obligations under both acts.

In fiscal year 2017 to 2018, the ATIP Office was comprised of a director supported by ATIP officers at various levels and a part-time university student. A consultant and a part-time casual employee were also hired for 6-month contracts to assist with the backlog and older complex operational files. There were 2 categories of responsibility, which included the following key activities:

ATIP Policy and Processes (3.15 officers)

• Provided expertise on 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
• Prepared the Secretariat’s annual reports to Parliament on the administration of the acts

Operations (9 officers, 1 consultant (6-month contract) and 1 part-time student)

• Provided training and expertise on 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
• Acted as the point of contact to resolve formal complaints by oversight bodies

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 in February 2016.

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 a statistical information bulletin and is included with the annual reports on access to information and privacy tabled in Parliament by each institution.

The Secretariat’s statistical report on the Access to Information Act for fiscal year 2017 to 2018 is provided in Appendix A.

Table 1 presents an overview of fiscal year 2017 to 2018 statistics on the Secretariat’s processing of access to information requests in relation to statistics for the 3 previous years.

In the reporting period from April 1, 2017 to March 31, 2018, the Secretariat received a total of 574 new requests under the Access to Information Act. This represents an increase of 40 requests (7%) from last year’s total of 534. In addition to the new requests, 133 requests were carried forward from fiscal year 2016 to 2017.

Of the 574 requests received during the 2017 to 2018 reporting period, 183 (32%) came from the public; the remaining 68% were requests from the media (174 requests or 30%), businesses (67 requests or 12%), academia (19 requests or 3%), individuals who declined to identify themselves (98 requests or 17%), and organizations (33 requests or 6%).

The Secretariat was successful in completing 34 more requests, an increase of 7%, and reviewed 18,912 more pages, an increase of 33%, compared to last year. Furthermore, the department released 17,668 more pages, an increase of 55% compared to last year.

Of the 557 requests completed, 134 were requests that were either abandoned by the applicant (58 or 10%) or for which the Secretariat had no records (76 or 14%). In addition, 25 requests (10%) pertained to subjects outside the Secretariat’s mandate and were transferred to other federal institutions for processing. Compared to the previous year, this represents a continued decrease of 6% of misdirected requests, which could be attributed to more institutions participating in the ATIP Online Request service.

Of the remaining 398 requests completed, a total of 388 requests (97%) were fully or partially disclosed. Records were sought and provided on paper in 69 cases and in electronic format in 319 cases. This represents an increase of 20% of records being provided in electronic format (82%) than on paper.

A total of 116 requests involved the review and processing of more than 100 pages in each case (34 more than the previous year), with the release of 44,975 pages in total compared to last year’s 26,922 pages. Processing of large files takes significantly longer given complexity and volume.

Compared to last year, there was an increase of 13% in requests carried forward to the next reporting period, which can be attributed to the greater increase in new requests received. There has been a steady increase in the number of requests carried forward over the past 4 years.

Although the number of staffing activities continued to present a challenge within the ATIP Office again this year, the Secretariat was successful in processing more pages, completing more requests, and maintaining a 93% on‑time compliance rate.

6. Other requests

During the reporting period, the Secretariat received 220 access to information consultation requests from other federal institutions involving Secretariat records or issues, an increase of 20 requests (10%) from the previous year. The Secretariat was asked to review a total of 9,861 pages of information as part of these consultations, which is comparable to last year’s total of 9,974 pages.

The ATIP Office processed 357 informal requests (not subject to the Access to Information Act) compared to last year’s total of 281, which represents an increase of 27%. 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. Last year a total of 10,000 pages were released informally compared to 6,006 pages the previous year.

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 on 270 occasions. 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 fiscal year 2017 to 2018, a total of 557 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/abandoned after advising the requester of the appropriate organization.

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 consultations with other organizations.

Table 3 provides the response times for the 557 access to information requests that the Secretariat completed in fiscal year 2017 to 2018.

The Secretariat received a number of requests that fell under the mandate of other government organizations and addressed these within 15 days of receipt. Requests that were processed after 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 261 instances (50%) 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 557 requests, 517 (93%) 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 received by the Secretariat were often complex and pertained to briefing materials prepared for the President and the Secretary of the Treasury Board, open government initiatives, security, changes proposed to the Access to Information Act, statistical information on the Government of Canada’s management of human resources and on the Pay Modernization initiative.

Of the 75,958 pages reviewed, 20,600 pertained to 23 of the 41 late files closed. All the late files from 2012 to 2014 have been closed with only 3 remaining from 2015.

Several factors contributed to the Secretariat’s on-time response rate of 93%: 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 fiscal year 2017 to 2018 the Secretariat invoked a total of 765 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 (4)
• Section 15: Exempting records expected to be injurious to the Government of Canada in the conduct of international affairs, and subversive activities and the defence of Canada (32)
• Section 16: Exempting records containing law enforcement and security information (55)
• Section 18: Exempting records expected to prejudice the economic interests of Canada (31)
• Section 19: Exempting records containing personal information (138)
• Section 20: Exempting records containing third-party business information (85)
• Section 21: Exempting records containing information related to the internal decision-making processes of government (343)
• Section 22: Exempting records containing test procedures, tests and audits (7)
• Section 23: Exempting records related to solicitor-client privilege (68)
• Section 24: Exempting records where there are statutory prohibitions against disclosure (1)
• Section 26: Exempting records where information is to be published within 90 days (1)

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 279 times:

• Section 68(a) for information that could be found in the public domain (5)
• Section 69 for confidences of the Queen’s Privy Council for Canada (274)

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 $1,920 in application fees. The Secretariat also waived $950 in application fees.

12. Costs

During fiscal year 2017 to 2018, the ATIP Office incurred $708,958 in salary costs and $71,416 in other administrative costs (consultant, software licences, 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 act.

13. Education and training

During the 2017 to 2018 fiscal year, the ATIP Office continued to expand on its outreach activities by offering training sessions to the Secretariat’s employees on a regular basis. 22 sessions were provided to 595 staff (doubling last year’s efforts). Some of these sessions were adapted to the specific needs of divisional teams and sectors of the Secretariat, including an ATIP privacy presentation at the Executive Town Hall. This presentation provided senior program officials at the executive level with an overview of privacy practices, on the importance of sound information management practices and writing for openness and transparency, in keeping with commitments set out in the Prime Minister’s Mandate Letter to the Treasury Board President. The ATIP Office also provided a presentation to a federal/provincial committee on open publication protocols. In support of Right to Know Week, the ATIP Office also held an open door day to showcase its services and promote sound information management and privacy practices. In addition, the ATIP Office further engaged with sector liaison officers to discuss best practices, expectations and the implementation of a number of new initiatives.

14. Policies, guidelines, procedures and initiatives

During the 2017 to 2018 reporting period, the ATIP Office implemented a number of initiatives both within its operational unit and with stakeholders in the institution. These initiatives were in keeping with a continued approach to streamlining its operational processes. Part of these initiatives included leveraging secure IT solutions to reduce transition times between various units in processing ATIP requests.

The ATIP Office policy unit continued to provide ongoing support to Secretariat programs on open government initiatives, including increased engagement with Canadians and with industry stakeholders. This support also included review and assessment of records destined to be published on the Open Government Portal. The ATIP Office privacy unit also worked closely with the Information and Privacy Policy Division within the Chief Information Officer Branch on a number of pan-government initiatives, including, a workshop and guidance materials on disclosure of briefing note titles in preparation for Bill C-58 implementation. ATIP Office officials are pursuing a plan to add capacity to these functions going forward.

Furthermore, there are a number of new program initiatives involving the potential for personal information collection, use and disclosure. With growing interest in the use of cloud technologies, and the increase in public engagement activities, the ATIP Office will work closely with the Secretariat’s Internal Audit and Evaluation Branch this year to undertake a department-wide privacy audit/evaluation. We look forward to reporting a summary of results for this assessment in next year’s annual report.

Finally, in order to ensure continued compliance with the acts and related policies, the ATIP Office disseminated a variety of tools and checklists, and held face-to-face meetings with program officials to ensure compliance with relevant policy and legislative requirements.

15. Complaints, investigations and federal court cases

Requesters are entitled to file a complaint with the Office of the Information Commissioner of Canada regarding the processing of their requests.

The reasons for the new complaints were as follows:

• 14 complaints related to refusal of records (invoking exemption and/or exclusion of information and allegations of missing records). 5 complaints were filed by 2 requesters on 2 requests.
• 3 complaints pertained to time limits (extensions taken or time taken to respond to requests).

Of the 17 complaint investigations received in the 2017 to 2018 fiscal year, 5 were closed within the same reporting period: 1 was discontinued and 4 were well-founded, resolved. The remaining 12 complaints were still under investigation at the end of the reporting period.

The Office of the Information Commissioner issued findings on 14 complaint investigations during the reporting period. The nature of these complaints and their findings are summarized below:

• 10 complaint investigations were related to the refusal of records (invoking exemption and/or exclusion of information, allegations of missing records) and time extensions taken.
• 3 departmental complaints were closed that related to the publication requirement set out in paragraph 5(1)(c) of the act. The allegation related to instruction provided to institutions regarding listing of manuals in the Info Source publications.
• 1 complaint was closed, alleging that government policies and policy instruments related to communications and media relations restrict or prohibit government scientists from speaking with or sharing research with the media and the Canadian public, and that this impedes the right of access to information under the act. Although the Treasury Board Secretariat was not named in the complaints, it was incorporated into the investigation from the outset given its role in overseeing both the communications policy of the Government of Canada and the administration of the federal access to information regime.

There were no new court cases in fiscal year 2017 to 2018. 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 about programs and information holdings

TBS publishes an inventory of its information holdings, as well as relevant details about personal information under its control.

The primary purpose of this series of publications containing information about, and collected by, the Government of Canada is to assist individuals in exercising their rights under the Access to Information Act and the Privacy Act. It 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).

Fiscal year 2017 to 2018 was the final year of a 3-year action plan to update the Secretariat’s publication. In the coming year, the ATIP Office will update its publication on TBS information holdings found both in classes of records and within institution-specific personal information banks. These updates are based on information provided by TBS program sectors.

All these publications are available online free of charge.

Appendix A: Statistical Report on the Access to Information Act

• In this section

  • Part 1: Requests under the Access to Information Act
  • Part 2: Requests closed during the reporting period
  • 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

Name of institution: Treasury Board of Canada Secretariat
Reporting period: 2017-04-01 to 2018-03-31

Appendix B: Delegation Order

• In this section

  • Schedule A – Sections of the Access to Information Act to be delegated

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

© Her Majesty the Queen in Right of Canada, represented by the President of the Treasury Board, 2018,
Catalogue No. BT1-5/1E-PDF
ISSN: 2371-2910