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Annual Report to Parliament on the Administration of the Access to Information Act - 2016-2017

Introduction

We are pleased to table the Annual Report to Parliament on the administration of the Access to Information Act (ATIA or the Act) for fiscal year 2016-2017, as required under section 72 of the Act.

Nota: The Department is referred to in this report as Global Affairs Canada. However, its legal name 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

Global Affairs Canada 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:

conduct all diplomatic and consular relations on behalf of Canada;
conduct all official communication between the Government of Canada and the government of any other country and between the Government of Canada and any international organization;
conduct and manage international negotiations as they relate to Canada;
coordinate Canada’s international economic relations;
foster the expansion of Canada’s international trade and commerce;
foster sustainable international development and poverty reduction in developing countries and provide humanitarian assistance during crises;
coordinate the direction given by the Government of Canada to the heads of Canada’s diplomatic and consular missions;
manage Canada’s diplomatic and consular missions;
administer the foreign service of Canada;
foster the development of international law and its application in Canada’s external relations.

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, 40-41 Elizabeth II, 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 Office (ATIP Office) is responsible for the administration of the ATIA, including the processing of requests and consultations. The Director of the ATIP Office reports to the Corporate Secretary, who in turn reports to the Deputy Minister of Foreign Affairs.

In 2016-2017, the ATIP Office staff fluctuated from forty-five to sixty (including consultants) to fulfill the Department’s obligations under the Access to Information Act and the Privacy Act. As of March 31, 2017, the ATIP Office consisted of: a director, four deputy directors, nine team leaders, twenty nine analysts at various levels, eight clerical staff, four consultants, one student, one part-time student, four casual employees, and one systems administrator. The ATIP Office’s work ranges from processing complex and/or voluminous requests to more straightforward, routine requests and consultations from other government departments, as well as providing advice to internal and external stakeholders and providing 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 Access to Information and Privacy Protection Division, and to the Deputy Directors of the ATIP Office.

Administration of Requests

The following section explains in more detail the TBS statistical report as provided in Annex B.

Access to Information Requests

In 2016-2017, the Department received 1 233 requests for information under the Access to Information Act. There were 332 requests carried over from the previous fiscal year for a total of 1 565 requests.

During the reporting period, 1 268 requests were completed and 297 active files were carried over to the next reporting period. Due to a multi-year initiative, the active file “inventory” dropped to its lowest level in several years. The current year was also notable as we closed a larger number of files than the number received. To accomplish this work, an effort was made by the management team to keep positions fully staffed throughout the year.

Requestor Sources

Access to Information requests received during this reporting period are as follows:

Table 1: Requestor Sources
Access to Information Requests	Number of Requests
Media	624
Academia	97
Business	141
Organizations	82
Public	289
Decline to Identify	0
Total	1233

Disposition of Completed Requests

The distribution of requests completed during this reporting period is as follows:

Table 2: Disposition of completed requests
Access to Information Requests	Number of Requests
All disclosed	116
Disclosed in part	819
Nothing disclosed (exempted)	23
Nothing disclosed (excluded)	16
No records exist	165
Request transferred	26
Abandoned by applicant	101
Treated informally	2
Total	1268

Exemptions and Exclusions

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

Relevant Pages Processed and Disclosed

During this reporting period, the Department disclosed 97 330 pages of the 159 788 relevant pages processed.

Extensions

During the reporting period, the Department claimed extensions pursuant to paragraphs 9 (1) (a), 9 (1) (b) and 9 (1) (c): 203, 691 and 64 times, respectively.

Fees And Costs

For the reporting period, the Department collected $6 225 in fees, and waived $765 in fees.

Consultations Received from Other Institutions

When a request contains records that are of interest to another institution, the Access to Information and Privacy Coordinator of that institution is consulted. Given its mandate and various responsibilities at the international level, the Department plays a key role under the ATIA on behalf of other Government of Canada institutions. As well, Global Affairs Canada consults with foreign organizations abroad on behalf of other federal government institutions processing requests the responses to which contain records originating abroad.

During the reporting period, the Department received 800 consultations, comprising over 111 862 pages from other government institutions. Most requests originated from federal institutions subject to the Access to Information Act. However, a small percentage of consultations originated from other governments in Canada and abroad.

Internal Operations

Training and Development

During 2016-2017, the ATIP Office continued to provide analysts with the necessary training and tools to perform their jobs effectively. The Learning Roadmaps developed in a previous year have continued to be an effective tool to identify and formalize the training requirements for employees in the ATIP Division.

The ATIP Office also continued to benefit from its Professional Development Program, which allows the Department to develop its own Analysts due to the shortage within the federal ATIP Community. This program has been very successful in addressing recruitment, retention and succession planning issues. Thirteen employees are presently in the program and recruiting continues.

The Policy and Governance Team assists in addressing the training needs of the ATIP Office and the Department. The Policy and Governance Team also advises the Department regarding compliance with the Access to Information Act, the Privacy Act, their regulations and relevant Treasury Board of Canada policy requirements.

The ATIP Office continues 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 is in place and includes: attendance at staff meetings, “Global Affairs Canada 101” courses which are designed for all employees, pre-posting training sessions in order to better prepare employees for their work at Canada’s missions abroad, and individual sessions with subject matter experts and liaison officers. In addition, an online interactive ATIP awareness tutorial, developed in collaboration with the Canadian Foreign Service Institute, continues to be used.

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 is delivered using scenario-based practical exercises to better prepare employees for situations they may encounter in the course of their duties.

In all, during the reporting period, 21 formal ATIP training sessions were delivered to approximately 502 employees. The Department’s ATIP Division continuously strives to develop and refine its training tools through comments from employees participating in the various training session delivered.

New or Revised Policies, Guidelines and Procedures

While the workload has grown, the Access to Information and Privacy Protection Office at the department is continually working to find efficiencies. The division’s internal guidelines document has been converted to an “evergreen” electronic document which is updated whenever new policies are implemented or new ones are revised.

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

Complaints, Audits, and Investigations

From April 1, 2016 to March 31, 2017, 42 complaints were made to the Office of the Information Commissioner of Canada (OIC) regarding access to information requests to the Department. The reasons for the complaints are as follows:

Table 3: Complaints, audits, and investigations
Reason for Complaint	Number of Complaints
Delay	4
Extension	8
Miscellaneous	12
Refusal – Exemptions	15
Refusal – General	0
Refusal – Section 69	3
Publication	0
Fees	0

Furthermore, during fiscal year 2016-2017, 71 complaints were closed. The findings on closed complaints are as follows:

Table 4: Complaints, audits, and investigations
Reason for Complaint	Number of Complaints
Discontinued	28
Not Well-Founded	4
Well-Founded	3
Resolved	36

The Department takes the issue of complaints seriously and this is being addressed through both ongoing training and growing awareness. The Division also has two dedicated officers dealing with complaint resolution. 2016-2017 was the first fiscal year in a decade where Global Affairs Canada closed more complaints than it received.

Monitoring Processing Times

The Department monitors pressing time for ATI requests and tracks their status.

Active Tasking Report (bi-weekly): Identifies all current active taskings within the Department, and includes for each tasking the responsible area and bureau, type of tasking, summary of the request and the name of the assigned analyst. These are provided to all Assistant Deputy Ministers and Directors General in Global Affairs Canada.
Quarterly Performance Report to the Executive Board: This is a Departmental overview of each area’s compliance with ATIP taskings (number of extensions requested, percentage of completion on time, average response time). The Executive Board consists of Global Affairs Deputy Ministers and Assistant Deputy Ministers, as well as the Corporate Secretariat, Senior General Counsel, and the Chief Audit Executive, and five senior Heads of Mission.
A « Weekly File Discussion » report allows Team Leaders and Deputy Directors to meet weekly to monitor the status of all active requests and resolves issues that could impede their timely completion.

Annex A: Designation Orders

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

Deputy Minister of Foreign Affairs (all sections)
Deputy Minister for International Trade (all sections)
Deputy Minister for International Development (all sections)
Associate Deputy Minister of Foreign Affairs (all sections)
Director General, Corporate Secretariat (all sections)
Director, Access to Information and Privacy Protection Division (all sections)
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: Department of Foreign Affairs, Trade and Development 2016-2017 Statistical Report

Statistical Report on the Access to Information Act

Name of institution: Global Affairs Canada

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

Part 1: Requests Under the Access to Information Act

1.1 Number of requests

Table 5: Number of requests
Source	Number of Requests
Received during reporting period	1233
Outstanding from previous reporting period	332
Total	1565
Closed during reporting period	1268
Carried over to next reporting period	297

1.2 Source of requests

Table 6: Source of requests
Source	Number of Requests
Media	624
Academia	97
Business (Private Sector)	141
Organization	82
Public	289
Decline to Identify	0
Total	1233

1.3 Informal requests

Table 7: Informal requests
Completion Time
1 to 15 days	16 to 30 days	31 to 60 days	61 to 120 days	121 to 180 days	181 to 365 days	More than 365 days	Total
262	38	22	19	10	1	0	352

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

Table 8: Disposition and completion time
Disposition of requests	Completion Time
Disposition of requests	1 to 15 days	16 to 30 days	31 to 60 days	61 to 120 days	121 to 180 days	181 to 365 days	More than 365 days	Total
All disclosed	2	44	46	22	2	0	0	116
Disclosed in part	15	79	142	300	124	104	55	819
All exempted	0	3	10	7	3	0	0	23
All excluded	1	1	4	7	2	1	0	16
No records exist	8	107	29	17	4	0	0	165
Request transferred	25	1	0	0	0	0	0	26
Request abandoned	50	20	4	5	2	3	17	101
Neither confirmed nor denied	2	0	0	0	0	0	0	2
Total	103	255	235	358	137	108	72	1268

2.2 Exemptions

Table 9: Exemptions
Section	Number of Requests
* I.A.: International Affairs Def.: Defence of Canada S.A.: Subversive Activities
13(1)(a)	195
13(1)(b)	55
13(1)(c)	23
13(1)(d)	0
13(1)(e)	0
14	10
14(a)	40
14(b)	18
15(1)	16
15(1) - I.A.*	584
15(1) - Def.*	21
15(1) - S.A.*	100
16(1)(a)(i)	1
16(1)(a)(ii)	0
16(1)(a)(iii)	2
16(1)(b)	3
16(1)(c)	9
16(1)(d)	0
16(2)	33
16(2)(a)	0
16(2)(b)	1
16(2)(c)	60
16(3)	0
16.1(1)(a)	2
16.1(1)(b)	0
16.1(1)(c)	1
16.1(1)(d)	0
16.2(1)	0
16.3	0
16.4(1)(a)	0
16.4(1)(b)	0
16.5	0
17	19
18(a)	4
18(b)	9
18(c)	0
18(d)	1
18.1(1)(a)	0
18.1(1)(b)	3
18.1(1)(c)	0
18.1(1)(d)	0
19(1)	529
20(1)(a)	7
20(1)(b)	171
20(1)(b.1)	0
20(1)(c)	204
20(1)(d)	24
20.1	0
20.2	0
20.4	0
21(1)(a)	444
21(1)(b)	403
21(1)(c)	78
21(1)(d)	18
22	6
22.1(1)	3
23	215
24(1)	27
26	4

2.3 Exclusions

Table 10: Exclusions
Section	Number of Requests
68(a)	5
68(b)	0
68(c)	0
68.1	0
68.2(a)	0
68.2(b)	0
69(1)	2
69(1)(a)	16
69(1)(b)	0
69(1)(c)	1
69(1)(d)	10
69(1)(e)	55
69(1)(f)	0
69(1)(g)re (a)	117
69(1)(g)re (b)	0
69(1)(g)re (c)	38
69(1)(g)re (d)	26
69(1)(g)re (e)	45
69(1)(g)re (f)	25
69.1(1)	0

2.4 Format of information released

Table 11: Format of information released
Disposition	Paper	Electronic
All disclosed	94	22
Disclosed in part	468	351
Total	562	373

2.5 Complexity

2.5.1 Relevant pages processed and disclosed

Table 12: Relevant pages processed and disclosed
Disposition of Requests	Number of Pages Processed	Number of Pages Disclosed	Number of Requests
All disclosed	7422	3437	116
Disclosed in part	137164	89371	819
All exempted	870	0	23
All excluded	2668	0	16
Request abandoned	11664	4522	101
Neither confirmed nor denied	0	0	2

2.5.2 Relevant pages processed and disclosed by size of requests

Table 13: Relevant pages processed and disclosed by size of requests
Disposition	Less than 100 pages processed		101-500 pages processed		501-1000 pages processed		1001-5000 pages processed		More than 5000 pages processed
Disposition	Number of requests	Pages disclosed	Number of requests	Pages disclosed	Number of requests	Pages disclosed	Number of requests	Pages disclosed	Number of requests	Pages disclosed
All disclosed	105	1413	10	202	0	0	1	4	0	0
Disclosed in part	536	10123	231	41635	37	16630	13	16825	2	4158
All exempted	21	0	2	0	0	0	0	0	0	0
All excluded	15	0	0	0	0	0	1	0	0	0
Request abandoned	86	141	12	1619	2	784	0	0	1	1978
Neither confirmed nor denied	2	0	0	0	0	0	0	0	0	0
Total	765	11677	255	45274	39	17414	15	16829	3	6136

2.5.3 Other complexities

Table 14: Other complexities
Disposition	Consultation Required	Assessment of Fees	Legal Advice Sought	Total
All disclosed	9	0	0	9
Disclosed in part	367	3	1	371
All exempted	8	0	0	8
All excluded	14	0	0	14
Request abandoned	16	0	0	16
Neither confirmed nor denied	0	0	0	0
Total	414	3	1	418

2.6 Deemed refusals

2.6.1 Reasons for not meeting statutory deadline

Table 15: Reasons for not meeting statutory deadline
Number of Requests Closed Past the Statutory Deadline	Principal Reason
Number of Requests Closed Past the Statutory Deadline	Workload	External Consultation	Internal Consultation	Other
377	150	35	74	108

2.6.2 Number of days past deadline

Table 16: Number of days past deadline
Number of Days Past Deadline	Number of Requests Past Deadline Where No Extension Was Taken	Number of Requests Past Deadline Where An Extension Was Taken	Total
1 to 15 days	18	62	80
16 to 30 days	8	31	39
31 to 60 days	19	48	67
61 to 120 days	10	67	77
121 to 180 days	8	22	30
181 to 365 days	1	43	44
More than 365 days	7	33	40
Total	71	306	377

2.7 Requests for translation

Table 17: Requests for translation
Translation Requests	Accepted	Refused	Total
English to French	0	0	0
French to English	0	0	0
Total	0	0	0

Part 3 - Extensions

3.1 Reasons for extensions and disposition of requests

Table 18: Reasons for extensions and disposition of requests
Disposition of requests where an extension was taken	9(1)(a) Interference with operations	9(1)(b) Consultation		9(1)(c) Third party notice
Disposition of requests where an extension was taken	9(1)(a) Interference with operations	Section 69	Other	9(1)(c) Third party notice
All disclosed	23	2	31	1
Disclosed in part	152	20	575	55
All exempted	2	0	10	1
All excluded	2	5	9	1
No records exist	11	0	11	0
Request abandoned	13	4	24	6
Total	203	31	660	64

3.2 Length of extensions

Table 19: Length of extensions
Length of extensions	9(1)(a) Interference with operations	9(1)(b) Consultation		9(1)(c) Third party notice
Length of extensions	9(1)(a) Interference with operations	Section 69	Other	9(1)(c) Third party notice
30 days or less	103	5	166	6
31 to 60 days	53	15	262	42
61 to 120 days	39	10	195	11
121 to 180 days	5	1	32	5
181 to 365 days	3	0	5	0
365 days or more	0	0	0	0
Total	203	31	660	64

Part 4 - Fees

Table 20: Fees
Fee Type	Fee Collected		Fee Waived or Refunded
Fee Type	Number of requests	Amount	Number of requests	Amount
Application	1115	$5,575	153	$765
Search	1	$650	0	$0
Production	0	$0	0	$0
Programming	0	$0	0	$0
Preparation	0	$0	0	$0
Alternative format	0	$0	0	$0
Reproduction	0	$0	0	$0
Total	1116	$6,225	153	$765

Part 5 - Consultations Received From Other Institutions and Organizations

5.1 Consultations received from other government institutions and organizations

Table 21: Consultations received from other government institutions and organizations
Consultations	Other Government of Canada Institutions	Number of Pages to Review	Other Organizations	Number of Pages to Review
Received during reporting period	800	111862	56	1359
Outstanding from the previous reporting period	105	20454	18	727
Total	905	132316	74	2086
Closed during the reporting period	775	107337	69	2019
Pending at the end of the reporting period	130	24979	5	67

5.2 Recommendations and completion time for consultations received from other government institutions

Table 22: Recommendations and completion time for consultations received from other government institutions
Recommendation	Number of Days Required to Complete Consultation Requests
Recommendation	1 to 15 days	16 to 30 days	31 to 60 days	61 to 120 days	121 to 180 days	181 to 365 days	More than 365 days	Total
Disclose entirely	58	56	80	110	9	0	0	313
Disclose in part	11	57	101	111	20	8	2	310
Exempt entirely	2	4	2	1	1	0	0	10
Exclude entirely	1	1	0	1	0	0	0	3
Consult other institution	22	16	10	15	3	4	1	71
Other	43	4	7	8	0	5	1	68
Total	137	138	200	246	33	17	4	775

5.3 Recommendations and completion time for consultations received from other organizations

Table 23: Recommendations and completion time for consultations
Recommendation	Number of Days Required to Complete Consultation Requests
Recommendation	1 to 15 days	16 to 30 days	31 to 60 days	61 to 120 days	121 to 180 days	181 to 365 days	More than 365 days	Total
Disclose entirely	2	10	3	4	0	2	0	21
Disclose in part	3	6	12	13	4	2	0	40
Exempt entirely	1	1	2	2	0	0	0	6
Exclude entirely	0	0	0	0	0	0	0	0
Consult other institution	1	0	0	0	0	0	0	1
Other	1	0	0	0	0	0	0	1
Total	8	17	17	19	4	4	0	69

Part 6 - Completion Time of Consultations on Cabinet Confidences

6.1 Requests with Legal Services

Table 24: Requests with Legal Services
Number of Days	Less than 100 pages processed		101-500 pages processed		501-1000 pages processed		1001-5000 pages processed		More than 5000 pages processed
Number of Days	Number of requests	Pages disclosed	Number of requests	Pages disclosed	Number of requests	Pages disclosed	Number of requests	Pages disclosed	Number of requests	Pages disclosed
1 to 15	69	437	1	15	0	0	0	0	0	0
16 to 30	39	353	4	49	0	0	1	0	0	0
31 to 60	8	78	5	226	0	0	0	0	0	0
61 to 120	1	32	0	0	0	0	0	0	0	0
121 to 180	0	0	0	0	0	0	0	0	0	0
181 to 365	0	0	0	0	0	0	0	0	0	0
More than 365	0	0	0	0	0	0	0	0	0	0
Total	117	900	10	290	0	0	1	0	0	0

6.2 Requests with Privy Council Office

Table 25: Requests with Privy Council Office
Number of Days	Less than 100 pages processed		101-500 pages processed		501-1000 pages processed		1001-5000 pages processed		More than 5000 pages processed
Number of Days	Number of requests	Pages disclosed	Number of requests	Pages disclosed	Number of requests	Pages disclosed	Number of requests	Pages disclosed	Number of requests	Pages disclosed
1 to 15	0	0	0	0	0	0	0	0	0	0
16 to 30	0	0	0	0	0	0	0	0	0	0
31 to 60	0	0	0	0	0	0	0	0	0	0
61 to 120	0	0	0	0	0	0	0	0	0	0
121 to 180	0	0	0	0	0	0	0	0	0	0
181 to 365	0	0	0	0	0	0	0	0	0	0
More than 365	0	0	0	0	0	0	0	0	0	0
Total	0	0	0	0	0	0	0	0	0	0

Part 7 - Complaints and Investigations

Table 26: Complaints and Investigations
Section 32	Section 35	Section 37	Total
39	5	72	116

Part 8 - Court Action

Table 27: Court Action
Section 41	Section 42	Section 44	Total
0	0	0	0

Part 9 - Resources Related to the Access to Information Act

9.1 Costs

Table 28: Costs
Expenditures		Amount
Salaries		$2,985,318
Overtime		$6,171
Goods and Services		$936,814
Professional services contracts	$871,026
Other	$65,788
Total		$3,928,303

9.2 Human Resources

Table 29: Human Resources
Resources	Person Years Dedicated to Access to Information Activities
Full-time employees	38.72
Part-time and casual employees	5.07
Regional staff	0.00
Consultants and agency personnel	4.33
Students	0.72
Total	48.84

Note: Enter values to two decimal places.

Date modified:: 2021-03-30