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Annual Report to Parliament on the Administration of the Access to Information Act - 2017-2018

Table of Contents

Introduction

We are pleased to table the Annual Report to Parliament on the administration of the Access to Information Act (the Act) for fiscal year 2017-2018, as required under section 72 of the Act.

NOTA: The Department is referred to in this report as ¶¶ÒùÊÓƵ. Its legal name, however, remains the Department of Foreign Affairs, Trade and Development, as set out in the Department of Foreign Affairs, Trade and Development Act.

Purpose of the Access to Information Act

The Access to Information Act gives Canadian citizens and permanent residents, as well as individuals and corporations present in Canada, the right to seek access to federally-controlled information and records.

Mandate of the Institution

¶¶ÒùÊÓƵ is Canada’s face to the world, working to advance Canada’s political and economic interests in the international community as well as to apply Canadian experience to help address global issues.

The Department's legal mandate, as set out in the Department of Foreign Affairs, Trade and Development Act, SC 2013, c. 33, s. 174, is to:

The Minister of Foreign Affairs is also responsible for the Export and Import Permits Act, RSC 1985, c. E-19, which authorizes the government to control and monitor the trans-border flow of specified goods, and for the Special Economic Measures Act, SC 1992, c. 17, which authorizes the government to apply economic sanctions in response to a serious threat to international peace and security.

The Department also provides administrative support to other federal government institutions with personnel abroad.

Organizational Structure

The Access to Information and Privacy Protection (ATIP) Division is responsible for the administration of the Act, including the processing of requests and consultations. The Director of the ATIP Division reports to the Corporate Secretary, who in turn reports to the Deputy Minister of Foreign Affairs.

In 2017-2018, the ATIP Division employed 62 Full-Time Equivalents to fulfill the Department’s obligations under both the Access to Information Act and the Privacy Act. During most of the fiscal year, the division’s staff included up to 7 consultants and two students.

The Division’s structure consists of a Director, five Deputy Directors, nine Team Leaders, one Senior Advisor, one Manager, one Administrative Assistant, forty-four Analysts, two System Administrators, and seven Clerks. This list includes the Privacy Policy and Governance Team which is comprised of a Team Leader and three Analysts who do not work on the application of the Act. Not all positions in the Division were staffed during the reporting period.

The ATIP Division’s work includes processing access to information requests addressed to the Department and consultations received from other government departments, as well as providing advice to internal and external stakeholders and training to departmental staff.

Delegated Authorities

Consistent with Section 73 of the Act, the Minister’s authority is delegated to the Deputy Ministers, to the Corporate Secretary, to the Director of the ATIP Division, and to the Deputy Directors of the ATIP Division.

Highlights of the report

NUMBER OF REQUESTS:

The number of access to information requests submitted to the Department continued its steady increase. In 2017-2018, the total number of requests was 36% more than in the previous fiscal year. The increase since 2014-15 was 93%. As a result of this growing volume, the Department received more requests during the reporting period than it closed.

Text version
Access to Information Requests
 2014-152015-162016-172017-18
Received8711,0861,2331,680
Completed9841,1391,2681,569

DEEMED REFUSAL RATE:

The Department’s deemed refusal rate in 2017-18 (i.e. the percentage of access to information requests that received a response beyond the deadline required under the Act) was 22%. This means that 78% of the Department’s responses to access to information requests were provided to requesters on time. The deemed refusal rate for the reporting period represented an improvement over the rate for the previous period, which was 30%. The reduction of the Department’s deemed refusal rate is part of a multiyear trend.

The Department’s on-time performance for the reporting period was on track to be stronger, but it was impaired by mailroom errors that prevented approximately 85 responses and 51 extension notices from been sent on time between December 12, 2017, and January 10, 2018. This event was reported to the Office of the Information Commissioner of Canada and to the Treasury Board Secretariat.

Text version
Deemed Refusal Rate
 2014-152015-162016-172017-18
Percentage41.36%28.97%29.73%22.18%

STAFFING:

The Department took measures to improve its performance by staffing the ATIP Division with additional resources. In 2017-18, the Division had approximately 54 Full-Time Equivalents (FTE) working exclusively on access to information requests. This represented a 10% increase over the previous reporting period.

Text version
Access to Information Total Human Resources in FTE
 2014-152015-162016-172017-18
Total62.7853.8648.8453.72

INNOVATION TO IMPROVE OPERATIONAL EFFICIENCY:

During the reporting period, the ATIP Division undertook a systematic and on-going process to review and streamline its operations. This process involved the identification of specific reforms calculated to improve efficiency, as well as the creation of project teams responsible for the implementation of these reforms. The benefits of these initiatives are expected to be felt during the next fiscal year. In addition, the Division identified a position for a Senior ATIP Policy and Governance Advisor. A key task for this position is to promote improved procedures and training to support the application of the Act.

Administration of Requests

The following section explains key elements of the Statistical Report to the Treasury Board Secretariat provided in annex B.

Access to Information Requests

In 2017-2018, the Department received 1,680 requests for information under the Access to Information Act. In addition, 297 requests were carried over from the previous fiscal year, for a total of 1977 active requests.

During the reporting period, 1,569 requests were completed. As a result, 408 active files were carried over to the next reporting period.

Fiscal year 2017-2018 saw an increase of 24% in the number of requests closed. This improved performance was offset by a 36% increase in the number of requests received.

Requestor Sources

The sources of Access to Information requests received during the reporting period were as follows:

SourceNumber of Requests
Media702
Academia122
Business (private sector)399
Organization70
Public274
Decline to Identify113
Total1,680

Disposition of Completed Requests

The disposition of requests completed during the reporting period was as follows:

DispositionNumber of Requests
All disclosed141
Disclosed in part742
All exempted21
All excluded13
No records exist473
Request transferred22
Request abandoned152
Neither confirmed nor denied5
Total1,569

Exemptions and Exclusions

The exemptions under the Act most commonly used by the Department during the reporting period were sub-sections 19(1) [personal information] and 15(1) [international affairs], as well as paragraphs 21(1)(a) [advice] and 21(1)(b) [consultations and deliberations].

Relevant Pages Processed and Disclosed

During the reporting period, the Department disclosed 83,967 pages of the 141,778 relevant pages processed.

Extensions

During the reporting period, the Department claimed 222 extensions pursuant to paragraph 9(1)(a), 583 pursuant to paragraph 9(1)(b), and 35 pursuant to paragraph 9(1)(c).

Fees and Costs

For the reporting period, the Department collected $7,060 in fees, and waived $785 in fees.

Consultations Received from Other Institutions

When a request addressed to the Department contained records that were of interest to another institution, the Department consulted the ATIP Coordinator of that institution.

Given its mandate and various responsibilities at the international level, the Department played a key role under the Act on behalf of other institutions of the Government of Canada. Specifically, the Department consulted foreign governments and organizations on behalf of other federal government institutions when the latter needed to determine whether they could release records that originated abroad. During the reporting period, the Department received 784 consultations from other government institutions, comprising over 33,537 pages. Most consultations originated from federal institutions subject to the Access to Information Act. A small percentage, however, originated from other governments in Canada and abroad.

Internal Operations

Training and Development

During fiscal year 2017-2018, the ATIP Division continued to provide its analysts with the necessary training and tools to perform their jobs effectively, notably by ensuring that all staff members had learning plans in their performance evaluation agreements.

The ATIP Division benefited from its Professional Development Program, which allows the Department to train and promote its analysts from junior to senior levels. This program has been very successful in addressing recruitment, retention, and succession planning issues. At the end of the fiscal year, 17 employees were in the program and further recruitment was underway.

The ATIP Division continued to broaden its use of internal collaboration tools to share information, best practices, and facilitate cooperation across the Department. A structured, department-wide, ATIP awareness program was in place and included: quarterly formal training sessions, pre-posting training sessions to prepare employees for their work at Canada’s missions abroad, and individualized training sessions. In addition, during the reporting period, 182 employees completed an online interactive ATIP awareness tutorial, developed in collaboration with the Canadian Foreign Service Institute.

To assist Consular Officers in understanding their roles and responsibilities vis-à-vis the Access to Information Act and the Privacy Act in the context of providing consular services to Canadians, a specific training program was delivered using scenario-based practical exercises. Similarly, a tailored training program was offered to the staff of the Summits Management Office in preparation for Canada’s role as host of the 2018 G7 Summit.

The Division’s new Senior ATIP Policy and Governance Advisor was tasked with organizing and delivering training on the application of the Act for departmental employees, as well as training to deepen the expertise of staff in the Division. When the Senior Advisor position was unoccupied, training for the Department was delivered by a roster of experienced members from the Division.

During the reporting period, at least 33 formal ATIP training sessions were delivered to approximately 532 employees. The ATIP Division continuously strove to develop and refine its training tools through comments from employees participating in these training sessions.

New or Revised Policies, Guidelines and Procedures

In September 2017, the Division launched a comprehensive review of its ATIP procedures using the LEAN methodology. By the end of the reporting period, several project teams were finalising detailed plans to implement reforms in the next fiscal year. Initiatives under consideration included internal administrative efficiency enhancements (e.g. eliminating redundant verifications of documents) and wider efforts to change departmental culture (e.g. ensuring that divisions consulted on an ATIP request fully justify any suggested exemptions).

The new Senior ATIP Policy and Governance Advisor position was also entrusted with identifying ways to improve divisional performance. Notably, the tasks assigned to the Senior Advisor include the complete overhaul of the Division’s internal guidelines. The position was vacant at the end of the reporting period, but the project is expected to be implemented once staffing is completed in the next fiscal year.

The Department continued to place a heavy emphasis on educating departmental officials on their ATIP roles and responsibilities to ensure compliance and efficiencies.

Complaints, Audits and Investigations

During fiscal year 2017-2018, 87 complaints were made to the Office of the Information Commissioner of Canada regarding access to information requests to the Department. The reasons for the complaints were as follows:

Reason for ComplaintNumber of Complaints
Correction/Notation1
Delay6
Extension7
Refusal – Exemptions36
Refusal – General36
Refusal – Section 691

Over the course of the reporting period, 69 complaints against the Department were closed. The findings on closed complaints were as follows:

Complaint FindingsNumber of Complaints
Discontinued27
Not Well-Founded4
Well-Founded3
Resolved35

The Department took the issue of complaints seriously and addressed any problems that were identified, notably through training. The Division had a dedicated officer dealing with the resolution of complaints.

Monitoring Processing Times

The Department monitored the processing time for requests and tracked their status. The tools in place for this purpose included:

Annex A: Designation Order

Access to Information Act Designation Order

The Minister of Foreign Affairs, 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 Minister of Foreign Affairs as the head of a Government institution under the sections of the Act set out after each position in the schedule. This designation replaces the designation dated October 2, 2009.

Schedule

Position

  1. Deputy Minister of Foreign Affairs (all sections)
  2. Deputy Minister for International Trade (all sections)
  3. Deputy Minister for International Development (all sections)
  4. Associate Deputy Minister of Foreign Affairs (all sections)
  5. Director General, Corporate Secretariat (all sections)
  6. Director, Access to Information and Privacy Protection Division (all sections)
  7. Deputy Directors, Access to Information and Privacy Protection Division (all sections)

The Honourable Chrystia Freeland, P.C., M.P.
Ottawa, July 4, 2017

Annex B: ¶¶ÒùÊÓƵ 2017-2018 Statistical Report

Statistical Report on the Access to Information Act

Name of institution:
¶¶ÒùÊÓƵ

Reporting period:
2017-04-01 to 2018-03-31

Part 1: Requests Under the Access to Information Act

1.1 Number of requests
SourceNumber of Requests
Received during reporting period1,680
Outstanding from previous reporting period297
Total1,977
Closed during reporting period1,569
Carried over to next reporting period408
1.2 Sources of requests
SourceNumber of Requests
Media702
Academia122
Business (private sector)399
Organization70
Public274
Decline to Identify113
Total1,680
1.3 Informal requests - Completion Time
1 to 15 Days16 to 30 Days31 to 60 Days61 to 120 Days121 to 180 Days181 to 365 DaysMore Than 365 DaysTotal
269511011223348
Note: All requests previously recorded as “treated informally” will now be accounted for in this section only.

Part 2: Requests Closed During the Reporting Period

2.1 Disposition and completion time
Disposition of RequestsCompletion Time
1 to 15 Days16 to 30 Days31 to 60 Days61 to 120 Days121 to 180 Days181 to 365 DaysMore Than 365 DaysTotal
All disclosed2415934500141
Disclosed in part460151317878340742
All exempted186510021
All excluded012811013
No records exist1023213711101473
Request transferred2101000022
Request abandoned7936862615152
Neither confirmed nor denied04100005
Total2094712653819790561,569
2.2 Exemptions
SectionNumber of Requests
13(1)(a)159
13(1)(b)40
13(1)(c)13
13(1)(d)1
13(1)(e)0
145
14(a)25
14(b)8
15(1)11
15(1) - I.A.*523
15(1) - Def.*9
15(1) - S.A.*54
16(1)(a)(i)3
16(1)(a)(ii)0
16(1)(a)(iii)0
16(1)(b)0
16(1)(c)12
16(1)(d)0
16(2)25
16(2)(a)0
16(2)(b)0
16(2)(c)94
16(3)0
16.1(1)(a)0
16.1(1)(b)1
16.1(1)(c)0
16.1(1)(d)0
16.2(1)2
16.30
16.4(1)(a)0
16.4(1)(b)0
16.50
1716
18(a)6
18(b)7
18(c)0
18(d)3
18.1(1)(a)0
18.1(1)(b)5
18.1(1)(c)0
18.1(1)(d)0
19(1)541
20(1)(a)9
20(1)(b)133
20(1)(b.1)1
20(1)(c)158
20(1)(d)24
20.10
20.20
20.40
21(1)(a)309
21(1)(b)336
21(1)(c)69
21(1)(d)21
228
22.1(1)1
23138
24(1)11
262
* I.A.: International Affairs
Def.: Defence of Canada
S.A.: Subversive Activities
2.3 Exclusions
SectionNumber of Requests
68(a)8
68(b)0
68(c)0
68.10
68.2(a)0
68.2(b)0
69(1)0
69(1)(a)25
69(1)(b)1
69(1)(c)0
69(1)(d)12
69(1)(e)29
69(1)(f)0
69(1)(g) re (a)98
69(1)(g) re (b)0
69(1)(g) re (c)36
69(1)(g) re (d)24
69(1)(g) re (e)35
69(1)(g) re (f)8
69.1(1)0
2.4 Format of information released
DispositionPaperElectronicOther Formats
All disclosed80610
Disclosed in part3663760
Total4464370
2.5 Complexity
2.5.1 Relevant pages processed and disclosed
Disposition of RequestsNumber of Pages ProcessedNumber of Pages DisclosedNumber of Requests
All disclosed4,7674,250141
Disclosed in part122,34474,552742
All exempted1,021021
All excluded1,034013
Request abandoned12,6125,165152
Neither confirmed nor denied005
2.5.2 Relevant pages processed and disclosed by size of requests
DispositionLess Than 100 Pages Processed101-500 Pages Processed501-1000 Pages Processed1001-5000 Pages ProcessedMore Than 5000 Pages Processed
Number of RequestsPages DisclosedNumber of RequestsPages DisclosedNumber of RequestsPages DisclosedNumber of RequestsPages DisclosedNumber of RequestsPages Disclosed
All disclosed1301,5159974172511,03600
Disclosed in part4719,41421232,9133714,4452112,64315,137
All exempted20000100000
All excluded8050000000
Request abandoned13714688041,75952,51200
Neither confirmed nor denied5000000000
Total77110,94323234,7674316,9292716,19115,137
2.5.3 Other complexities
DispositionConsultation RequiredAssessment of FeesLegal Advice SoughtOtherTotal
All disclosed80008
Disclosed in part282120285
All exempted20002
All excluded1000010
Request abandoned1200012
Neither confirmed nor denied00000
Total314120317
2.6 Deemed refusals
2.6.1 Reasons for not meeting statutory deadline
Number of Requests Closed Past the Statutory DeadlinePrincipal Reason
WorkloadExternal ConsultationInternal ConsultationOther
3481072081140
2.6.2 Number of days past deadline
Number of Days Past DeadlineNumber of Requests Past Deadline Where No Extension Was TakenNumber of Requests Past Deadline Where An Extension Was TakenTotal
1 to 15 days253762
16 to 30 days282957
31 to 60 days303868
61 to 120 days263460
121  to 180 days82634
181 to 365 days43236
More than 365 days13031
Total122226348
2.7 Requests for translation
Translation RequestsAcceptedRefusedTotal
English to French000
French to English000
Total000

Part 3: Extensions

3.1 Reasons for extensions and disposition of requests
Disposition of Requests Where an Extension Was Taken9(1)(a) Interference With Operations9(1)(b) Consultation9(1)(c) Third-Party Notice
Section 69Other
All disclosed430280
Disclosed in part1481550131
All exempted1070
All excluded0180
No records exist8090
Request abandoned220144
Total2221656735
3.2 Length of extensions
Length of Extensions9(1)(a) Interference With Operations9(1)(b) Consultation9(1)(c) Third-Party Notice
Section 69Other
30 days or less12411154
31 to 60 days451123026
61 to 120 days3441974
121 to 180 days160241
181 to 365 days3010
365 days or more0000
Total2221656735

Part 4: Fees

Fee TypeFee CollectedFee Waived or Refunded
Number of RequestsAmountNumber of RequestsAmount
Application1412$7,060157$785
Search1$900$0
Production0$00$0
Programming0$00$0
Preparation0$00$0
Alternative format0$00$0
Reproduction0$00$0
Total1413$7,150157$785

Part 5: Consultations Received From Other Institutions and Organizations

5.1 Consultations received from other Government of Canada institutions and organizations
ConsultationsOther Government of Canada InstitutionsNumber of Pages to ReviewOther OrganizationsNumber of Pages to Review
Received during reporting period73532,284491,253
Outstanding from the previous reporting period13030,174567
Total86562,458541,320
Closed during the reporting period62042,648411,116
Pending at the end of the reporting period24519,81013204
5.2 Recommendations and completion time for consultations received from other Government of Canada institutions
RecommendationNumber of Days Required to Complete Consultation Requests
1 to 15 Days16 to 30 Days31 to 60 Days61 to 120 Days121  to 180 Days181 to 365 DaysMore Than 365 DaysTotal
Disclose entirely42596427151199
Disclose in part10471199222204314
Exempt entirely10010002
Exclude entirely20000002
Consult other institution241115930264
Other1979300139
Total9812420713226258620
5.3 Recommendations and completion time for consultations received from other organizations
RecommendationNumber of Days Required to Complete Consultation Requests
1 to 15 Days16 to 30 Days31 to 60 Days61 to 120 Days121  to 180 Days181 to 365 DaysMore Than 365 DaysTotal
Disclose entirely284200117
Disclose in part027711119
Exempt entirely00010001
Exclude entirely10000001
Consult other institution00000000
Other10110003
Total410121111241

Part 6: Completion Time of Consultations on Cabinet Confidences

6.1 Requests with Legal Services
Number of DaysFewer Than 100 Pages Processed101-500 Pages Processed501-1000 Pages Processed1001-5000 Pages ProcessedMore Than 5000 Pages Processed
Number of RequestsPages DisclosedNumber of RequestsPages DisclosedNumber of RequestsPages DisclosedNumber of RequestsPages DisclosedNumber of RequestsPages Disclosed
1 to 1544310250000000
16 to 3042312611915010000
31 to 60161743110000000
61 to 12021732630011800
121 to 1800000000000
181 to 3650000000000
More than 3650000000000
Total10481314542150111800
6.2 Requests with Privy Council Office
Number of DaysFewer Than 100 Pages Processed101-500 Pages Processed501-1000 Pages Processed1001-5000 Pages ProcessedMore Than 5000 Pages Processed
Number of RequestsPages DisclosedNumber of RequestsPages DisclosedNumber of RequestsPages DisclosedNumber of RequestsPages DisclosedNumber of RequestsPages Disclosed
1 to 150000000000
16 to 300000000000
31 to 600000000000
61 to 1200000000000
121 to 1800000000000
181 to 3650000000000
More than 3650000000000
Total0000000000

Part 7: Complaints and Investigations

Section 32Section 35Section 37Total
87369159

Part 8: Court Action

Section 41Section 42Section 44Total
0000

Part 9: Resources Related to the Access to Information Act

9.1 Costs
ExpendituresAmount
Salaries$3,736,679
Overtime$12,296
Goods and Services$872,529
• Professional services contracts$821,311 
• Other$51,218
Total$4,621,504
9.2 Human Resources
ResourcesPerson Years Dedicated to Access to Information Activities
Full-time employees45.46
Part-time and casual employees2.11
Regional staff0.00
Consultants and agency personnel4.79
Students1.36
Total53.72
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