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

Table of Contents

• Introduction
  • Purpose of the Access to Information Act
  • Mandate of the Institution
  • Organizational Structure
  • Delegated Authorities
  • Highlights of the report
• Administration of Requests
  • Access to Information Requests
  • Requestor Sources
  • Disposition of Completed Requests
  • Exemptions and Exclusions
  • Relevant Pages Processed and Disclosed
  • Extensions
  • Fees and Costs
  • Consultations Received from Other Institutions
• Internal Operations
  • Training and Development
  • New or Revised Policies, Guidelines and Procedures
  • Complaints, Audits and Investigations
  • Monitoring Processing Times
• Annex A: Designation Order
• Annex B: Global Affairs Canada 2017-2018 Statistical Report

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 Global Affairs Canada. 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

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, 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.

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.

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.

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:

Disposition of Completed Requests

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

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:

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

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:

• an Active Tasking Report (weekly): This report identified all current active taskings within the Department. For each tasking, it included the responsible area and bureau, type of tasking, a summary of the request, and the name of the assigned analyst. This report was provided to all Assistant Deputy Ministers and Directors General in the Department;
• a File Discussion (weekly): This meeting included all managers in the ATIP Division. It provided an opportunity to monitor the status of all active requests and resolve issues that could impede their timely completion; and
• a Review Report (weekly): This tool allowed the Director to keep track of any issues affecting a request at the final approval stages.

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: Global Affairs Canada 2017-2018 Statistical Report

Statistical Report on the Access to Information Act

Name of institution:
Global Affairs Canada

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

Part 1: Requests Under the Access to Information Act

Part 2: Requests Closed During the Reporting Period

2.5 Complexity

2.6 Deemed refusals

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