Source: http://www.pco-bcp.gc.ca/index.asp?lang=eng&page=information&sub=publications&doc=aarchives/parl/2015/information/index-eng.htm
Timestamp: 2017-11-22 14:55:30
Document Index: 76662671

Matched Legal Cases: ['art;\n22', 'art, 68', 'arty\n29', 'arty\n45', 'arty\n8', 'arty\n184']

Annual Report to Parliament on the Access to Information Act 2014-2015 - Privy Council Office
Annual Report to Parliament on the Access to Information Act 2014-2015
Appendix B: 2014-2015 Statistical Report on the Access to Information Act
Despite an increase in the number of pages reviewed over the last three fiscal years, the Privy Council Office (PCO) has maintained a high level of performance in access to information. In 2014-2015, 76,372 pages were processed, which represents a 31% increase in the pages reviewed from last fiscal year and more than double the amount reviewed in 2012-2013. These pages have to undergo a thorough review process in which multiple PCO Secretariats and government departments are consulted. Considering the complexity and increased page volume, it is an achievement that 95.3% of the requests were completed on-time.
A new practice for releasing records was implemented near the close of 2014-2015. Response packages are provided on a CD when packages are more than 125 pages, or when requesters ask for an electronic version. The PDF documents are released in a secure format. This electronic practice eliminates fees to requesters for the cost of reproducing records of more than 125 pages at no additional expense to PCO.
In compliance with Treasury Board Secretariat requirements, PCO posts monthly summaries of completed access to information requests. As of March 1, 2015, summaries are posted on the Open Government website, where visitors can find these abstracts dating back to June 2013. Older lists are accessible via the PCO website. In addition to accepting requests by mail, the Department makes a generic e-mail address available to the public to facilitate submissions. In 2014-2015, PCO released 427 completed records packages informally to the public.
During 2014-2015, PCO also provided support to the Minister of Intergovernmental Affairs; the Leader of the Government in the House of Commons; the Minister of State and Chief Government Whip; and the Minister of State (Democratic Reform).
Advice to the Prime Minister - PCO brings together quality, objective policy advice, analysis and information to support the Prime Minister, the ministers within the Prime Minister's portfolio and Cabinet. This includes:
This is the 32nd Annual Report to Parliament on the administration of the Access to Information Act (ATIA) by PCO, submitted as required by s. 72(1) of the ATIA. This report covers the reporting period of April 1, 2014 to March 31, 2015.
PCO provides support to the Prime Minister and to the ministers within his portfolio, which, in 2014-2015, included: the Minister of Intergovernmental Affairs; the Leader of the Government in the House of Commons; the Minister of State and Chief Government Whip; and the Minister of State (Democratic Reform).
Reporting to the Prime Minister, the Clerk of the Privy Council has three main roles: Deputy Minister to the Prime Minister; Secretary to the Cabinet; and Head of the Federal Public Service. PCO’s Corporate Services Branch, which reports directly to the Clerk, has four divisions, including Access to Information and Privacy (ATIP). The ATIP Division has three functional areas of responsibility: ATIP Policy and Processes; Operations; and Client Services.
The Minister heading each government institution is responsible for the implementation of the ATIA within his/her institution. The Prime Minister, as the Head of the Privy Council Office and pursuant to s. 73 of the ATIA, is responsible for the implementation of the ATIA within PCO. Through the PCO delegation order, the Prime Minister designated the Director, Access to Information and Privacy, as the individual within PCO to perform the powers, duties, functions, or administrative tasks pertaining to the ATIA. PCO Secretariats, or Offices of Primary Interest (OPIs), holders of the information identified in an access request, approve the release of information to requesters and the application of exemptions or exclusions and supporting rationales. This shared delegation of authority for the disposition of information is exercised diligently within PCO, and recorded formally at appropriate stages in the process. The PCO delegation order is shown at Appendix A.
In compliance with s. 12(1) of the ATIA, the ATIP Division also provides a Reading Room where the public may examine requested departmental records, manuals, and publications related to access to information.
Requests Received 646 907 780
Requests Completed 677 772 725
Requests Completed On-Time (%) 95.3% 97.8% 99.7%
Total Pages Reviewed 76,372 58,409 36,443
Since receiving an “F” performance rating by the Office of the Information Commissioner (OIC) for the 2006-2007 fiscal year, the Privy Council Office has steadily improved its performance to the public. For the last three fiscal years (2012-2013 to 2014-2015), the percentage of requests responded to on-time by PCO has been 95% or better, despite a 110% increase in page volume over the same period. PCO has focused on the modernization of its technology and business environment, process improvement, human resources planning, and managing change to reach this goal.
As part of the Open Government Initiative, PCO provides the monthly summaries of completed access to information requests online. This information includes: summary of request text, disposition, and number of pages disclosed. Summaries are available here from June 2013 onward with direct links for requesting a copy of records. The public can also submit informal requests for completed files by mail or via the generic email on the PCO website. This website has lists of request summaries for the time period of December 2011 to December 2014. Requests related to the Public Appointments Commission Secretariat are processed by PCO and are included in the lists. Records are provided in the form that they were released under the ATIA including format, language(s) and any exemptions or exclusions that were applied.
As reported in the Statistical Report, PCO released a total of 427 previously released ATI packages informally between April 1, 2014 and March 31, 2015.
In March 2015, ATIP introduced a new practice for the release of records, in which packages over 125 pages are provided in PDF format on a CD. CDs are also provided if the requester asks for an electronic copy. Verification of the PDF by ATIP officers and management takes place at four stages to ensure its accuracy. The PDF format has been deemed tamper-proof and secure by PCO Security Operations. This initiative also benefits the requesters, who are no longer subject to fees for the cost of reproducing packages that are more than 125 pages. The electronic release packages create no additional expense for PCO. This environmentally-friendly procedure is projected to constitute up to one-third of responses annually. While one package under the ATIA was released electronically in 2014-2015, the policy is fully operational from the start of fiscal year 2015-2016.
In Fall 2014, ATIP operations moved to a new office which made it necessary to re-locate the Reading Room. The Reading Room is now on the first floor of the Hope Building at 63 Sparks Street, Ottawa, Ontario. This secure location allows for an appropriate separation from office activities and provides requesters with a suitable environment to review documents. ATIP officers reserve the space in advance to ensure that it is available to requesters.
The 2014-2015 Statistical Report on the ATIA is shown at Appendix B.
Between April 1, 2014 and March 31, 2015, PCO received 646 requests for information under the ATIA, a decrease of just under 30% from 2013-2014. While generally trending upwards over the last 10 years, request totals have been variable since 2007-2008. The volume of access requests rose over 16% between 2012-2013 and 2013-2014, culminating with the highest request volume on record at 907.
A total of 281 active requests were carried into 2014-2015 from the previous fiscal year, and 250 were carried forward into 2015-2016.
The sources of access to information requests, in descending order by volume, were: media, public; business; academia; and organization.
As shown in the chart below, the breakdown of the requests received during 2014-2015 is as follows:
460 or 71% - media;
112 or 17% - public;
38 or 6% - business (private sector);
24 or 4% - academia; and
12 or 2% - organization, including from Parliament (members of the House of Commons or Senate).
At 460, requests from the media declined by 22% in volume from 2013-2014, but continued to form the largest portion of the request volume at 71%. Requests from the public were second in volume at 112, down slightly from 120 in the last fiscal year. Volume of business requests has been in decline over the last two fiscal years, decreasing by 63% from 2013-14 to only 38 requests. Remaining requests came from academia with 24 requests, and organizations with 12. The number of requests submitted by both of these sources decreased by 27% and 81%, respectively.
In 2014-2015, a total of 427 informal requests were completed compared to 652 completed in 2013 2014, which represents a decrease of 35%. One hundred and forty-two or 33% of informal requests were completed in 30 days or less, 253 or 59% were completed in 31-120 days, 28 or 7% were completed in 121-180 days, and 4 or 1% were completed in 181 days or more.
security in the lead up to, and the aftermath of, the October 2014 deaths of soldiers in Canada;
cyber security issues, including the “Heartbleed” event and the cyber intrusion at the National Research Council;
briefing notes to the Prime Minister for various time periods; and
legislation such as Bills C-23 and C-51.
In 2014-2015, PCO completed 677 requests, 5% more than were received. As shown in the chart below, the breakdown of the disposition of records is as follows:
31 were all disclosed;
396 were disclosed in part;
22 were all excluded;
122 where no records exist;
15 were transferred;
61 were abandoned; and
17 “neither confirmed nor denied”, including 1 neither confirmed nor denied (per s.10(2)) and 16 closed pending consultation.
As these figures indicate, 427 or 63% of all requests were fully or partially disclosed, up from 56% in 2013-2014. The total of requests where no records were disclosed (either exempted or excluded) decreased to 5%, down from 11% in the last reporting year.
In terms of completion times, 265 or 39% of requests sent to PCO were completed within 30 days. The second-largest volume of requests was those completed in 61 to 120 days - 198 or 29%. Nineteen requests or 3% were completed in more than 365 days. The complex, sensitive and multi-jurisdictional nature of PCO records is a factor in the time required to complete requests.
Totals for the six most commonly used exemptions during 2014-2015 were, in order:
342 under s. 19(1) - personal information;
313 under s. 21(1)(b) - consultations or deliberations related to operations of government;
184 under s. 21(1)(a) - advice or recommendations developed by or for a government institution or minister;
146 under s. 15(1) - information related to international affairs and defence of Canada;
99 under s. 14- information related to federal-provincial affairs.
The use of these exemptions is consistent with the role of PCO and the content of the records it controls, both of which involve confidential consultations, deliberations and advice provided to Government on issues of national and international scope. Nonetheless, excluding requests transferred, abandoned, for which no records existed, or neither confirmed nor denied, fully 92% of requesters received records from PCO, in whole or in part, in response to their requests.
Appendix C contains a description of the total exemptions invoked during the 2014-2015 reporting period, as well as those that were not invoked.
The ATIA does not apply to certain information described by s. 68 of the ATIA (published material) or to confidences of the Queen’s Privy Council pursuant to s. 69. Overall in 2014-2015, s. 68 was cited on 27 occasions, and s. 69 was cited on 284 occasions.
A graphic of the relative use of exclusions in 2014-2015 is shown below. The central use of exclusion under s. 69(1)(e), for records used to brief ministers of the Crown, reflects the role of PCO in providing advice and information to the Prime Minister and to Cabinet and its decision-making structures.
Appendix C contains a description of the total exclusions cited during the 2014-2015 reporting period, as well as those that were not cited.
In March 2015, PCO began providing electronic release packages for interested requesters or for those with responses over 125 pages. A total of one request was released in electronic form on CD while 426 requests were released on paper or in other formats. Requesters have the option of receiving the response by mail or by picking it up in person. Nearly all replies were sent to the requester by mail.
A total of 76,372 pages were processed by PCO in 2014-2015, an increase of over 17,900 pages from 2013-2014. For ATI requests which were “all disclosed” or “disclosed in part”, 63,606 pages were processed and 34,996 pages were disclosed. This equates to 55% of these pages having been released, in whole or in part. The pages processed for requests entirely withheld or abandoned amounted to 17% of the total pages processed in 2014-2015, an increase of 5% from the previous fiscal year.
Where records were disclosed in whole or in part, 68% of requests, or 290 out of 427, required the processing of less than 100 pages. A total of 98 requests involved the processing of 101-500 pages, and between 501-1000 pages were processed for 31 requests. Requests of between 1001-5000 pages in size, which require significant time and resources to process, totalled eight and saw over 6,500 pages disclosed.
Consultations were undertaken for 189 (28%) of the 677 requests completed in 2014-2015. A total of 34 requests required the assessment of fees. Note that, as a single request may accrue more than one complexity, the totals in row six of section 2.5.3 of the Statistical Report will not necessarily be equal to the totals in section 2.1.
In 2014-2015, 32 access to information requests were completed past the deadline, or in “deemed refusal”. As shown at section 2.6.1 of the Statistical Report, 15 requests were postponed due to internal consultations. Fourteen requests were affected by the level of workload in 2014-2015, and two requests were delayed by external consultations. The number of days past the deadline for each request is shown at section 2.6.2 of the Statistical Report.
During 2014-2015, PCO took 307 extensions under s. 9(1)(a) for interference with operations due to the volume of records, versus 242 the previous year. Third party notification required 31 extensions under s. 9(1)(c), up from 29.
Consultations were a significant driver of extensions during the reporting year. A total of 54 extensions for consultations on Confidences of the Queen’s Privy Council and 67 extensions for other types of consultations (121 extensions combined) were taken under s. 9(1)(b). Extensions for consultations were down from the 161 extensions taken in 2013-2014.
During the 2014-2015 reporting period, 18% (84) of the total 459 extensions taken were for 30 days or less, up from 15% of total extensions in 2013-2014. Of the six timeframes shown at section 3.2 of the Statistical Report, 61 to 120 days was the most common extension, accounting for 53% of all extensions in 2014-2015. Extensions of 121 days and above remained the same as last fiscal year, comprising a total of 9% of total extensions. These statistics can be considered representative of PCO's consultative requirements and its increase in workload. PCO remains committed to the responsible use of extensions under the ATIA, consistent with operational demands.
The fees collected during the reporting period totalled $6,442.00 up from $5,054.00 in 2013-2014. PCO collected $3,392.00 in application fees on 650 requests, in comparison to $3,717.00 collected the previous year. In 2014-2015, PCO waived fees totalling $2,262.00 for 29 requests, principally for search fees and reproduction costs.
PCO received 381 consultations from other government institutions and organizations during the reporting year, a decrease of 12%, as shown below.
In parallel with the decrease in total consultations received, the number of pages sent for review decreased by 19%, to approximately 12,900 pages. The institutions which sought the views of PCO included the Department of National Defence; the Department of Foreign Affairs, Trade and Development Canada; the Canadian Security Intelligence Service; the Department of Finance; the Royal Canadian Mounted Police; and Public Safety Canada.
A total of 385 consultation requests from other government institutions were completed by PCO during 2014-2015.
Over the last ten years, the volume of consultations sent to PCO has remained high. Consultations account for a significant portion of the workload and make demands on both PCO ATIP resources and on the PCO records authorities who provide consultative guidance. Nonetheless, in 2014-2015, the Department responded to 48% of consultations (186) from other government institutions in 30 days or less. Almost 25% of consultations (95) were responded to in 15 days or less. PCO recognizes that a prompt rate of response to consulting institutions contributes to more timely service to the public at the broader government level. The recommendations given in response to these consultations were predominantly to disclose the records, either entirely or in part.
A total of nine consultation requests from other organizations were completed by PCO during 2014-2015. Three consultations were responded to within 15 days, and the remainder were responded to within 16 to 30 days. All of the consultations were disclosed entirely or in part.
In accordance with Treasury Board guidelines in force in 2014-2015, PCO ATIP consulted with PCO CCC for the review and certification of Cabinet confidences contained in government records. PCO ATIP sent 126 consultations to PCO CCC in the reporting period, up from 94 in 2013-2014.
In 2014-2015, 48 of 646 requests received by PCO were subject to complaints submitted to the OIC. The total remains the second-lowest volume of complaints in the last six years, and a drop of more than 70% in complaints compared to 2009-2010. Similarly, complaints from the media, the largest requester of PCO records, have been reduced by 83% over the same six-year span, from 119 to 20. This was achieved despite a 51% increase in the volume of requests over that time period (429 requests in 2009-2010 vs. 646 requests in 2014-2015).
In the 2014-2015 reporting period, complaints related to a range of issues, including the exemptions invoked or exclusions cited on records, and extensions taken to complete consultations and meet PCO operational requirements.
The breakdown of complaints by source received in 2014-2015 is as follows:
20 or 42% - media;
13 or 27% - public;
2 or 4% - Parliament (members of the House of Commons or Senate); and
13 or 27% - lawyer.
The breakdown of complaints closed in 2014-2015 is as follows:
PCO closed 41 complaints in 2014-2015. While only 25% of the complaints lodged against PCO were well founded, PCO has implemented a series of measures to deal with complaints to ensure they are dealt with in an efficient and timely manner. PCO continues to optimize its work processes by developing expertise and staff appropriately. PCO has spent a considerable amount of time training employees and ensuring they have the proper tools to deal with complaints and investigations from the OIC. PCO also works in close cooperation with the OIC to ensure expectations are met and to ensure that our ATIP Analysts and OPIs have a clear understanding of the complaint process.
In early 2011, the OIC completed its investigation into interference in access to information at PCO. PCO was one of eight government organizations selected for systemic review. During the course of the investigation, departmental staff, including the ATIP Director and Deputy Directors, met with OIC investigators to answer questions, provide records for review, and discuss PCO access to information procedures. While at the end of fiscal year 2014-2015 the investigation was still ongoing, the Information Commissioner informed the President of the Treasury Board on April 9, 2015 that the complaints against the eight institutions which had been the subject of the investigation had been discontinued.
In December 2013, the OIC initiated an investigation related to PCO's information management practices. PCO has cooperated fully with this investigation. While at the end of fiscal year 2014-2015 the OIC investigation was ongoing, on April 24, 2015, the Information Commissioner issued a finding of “not well founded” to PCO.
Salary costs associated with administration of the ATIA were $1,750,871.00 for 2014-2015, up from $1,653,526.00 in 2013-2014. Overtime costs totalled $45,590.00, up from $35,252.00. Goods and services amounted to $424,707.00, up from $342,284.00. The sum of professional services contracts amounted to $276,691.00 and other services amounted to $148,016.00. Total costs were $2,221,168.00, up from $2,031,062.00 in 2013-2014. These costs do not include the resources expended by policy areas of PCO to meet the requirements of the ATIA.
It remains a challenge to attract and retain ATIP personnel, given the shortage of qualified analysts across the federal government. PCO human resources capacity for the 2014-2015 reporting period was 22.19 employees out of 27 approved full time equivalents (FTEs), as shown in the chart below. This is an increase in resources over the 18.8 FTEs of the previous year, and reflects the employment opportunities available to ATIP professionals across government.
2,054 1,951 31
61,552 33,045 396
1,592 0 22
10,737 7,174 61
25 587 6 1,364 0 0 0 0 0 0
265 5,631 92 10,488 31 10,337 8 6,589 0 0
44 70 9 1,572 5 2,303 3 3,229 0 0
380 6,288 112 13,424 37 12,640 11 9,818 0 0
650 $3,395 $85
10 $1,346 $1,645
11 $852 $266
682 $6,442 $2,262
371 12,870 10 210
68 5,023 1 102
439 17,893 11 312
385 13,168 9 202
54 4,725 2 110
102 1,295 19 853 5 65 0 0 0 0
The total numbers of requests for which specific exemptions were invoked during the 2014-2015 reporting period are as follows:
5 under s. 13(1)(a) - information obtained in confidence from the government of a foreign state or institution
1 under s. 13(1)(b) - information obtained in confidence from an international organization of states or an institution
7 under s. 13(1)(c) - information obtained in confidence from the government of a province or institution
1 under s. 13(1)(d) - information obtained in confidence from a municipal or regional government
99 under s. 14 - information related to federal-provincial affairs
7 under s. 14(a) - information expected to be injurious to the government’s federal-provincial affairs, specifically, federal-provincial consultations or deliberations
146 under s. 15(1) - information related to international affairs
5 under s. 16(1)(a)(i) - government records related to the detection, prevention or suppression of crime
5 under s. 16(1)(a)(ii) - government records related to the enforcement of any law of Canada or a province
2 under s. 16(1)(a)(iii) - government records related to activities suspected of constituting threats to the security of Canada
2 under s. 16(1)(c) - information related to law enforcement and investigations, including civil investigations and administrative investigations
73 under s. 16(2) - information related to security methods
7 under s. 16(2)(c) - information which could facilitate the commission of a crime such as the vulnerability or methods employed to protect particular buildings, structures, or systems
2 under s. 16.1(1)(c) - records related to investigations by the Information Commissioner
11 under s. 18(b) - information which could prejudice the competitive position of a government institution
4 under s. 18(d) - information materially injurious to the financial interests of a government institution or to the economic interests of Canada
342 under s. 19(1) - personal information
7 under s. 20(1)(a) - trade secrets of a third party
29 under s. 20(1)(b) - financial, commercial, scientific or technical information supplied to a government institution in confidence by a third party
45 under s. 20(1)(c) - information that could result in material financial loss or gain to a third party
8 under s. 20(1)(d) - information which could interfere with the negotiations of a third party
184 under s. 21(1)(a) - advice or recommendations developed by or for a government institution or minister
313 under s. 21(1)(b) - consultations or deliberations related to operations of government
23 under s. 21(1)(d) - plans for the management of a government institution that have not yet been put into operation
2 under s. 22 - information relating to testing or auditing procedures or techniques
1 under s. 22.1(1) - draft internal audits less than 15 years old
The following exemptions were not invoked by PCO during the 2014-2015 reporting period:
s. 26 - records which will be published by a government institution within ninety days after the request is made
The total numbers of requests for which specific exclusions were cited during the 2014-2015 reporting period are as follows:
25 under s. 68(a) - published material
1 under s. 68.2(a) - administrative records of Atomic Energy of Canada Limited
1 under s. 68.2(b) - operational records of Atomic Energy of Canada Limited
1 under 69(1) - confidences of the Queen’s Privy Council for Canada
13 under s. 69(1)(a) - memoranda to Cabinet
64 under s. 69(1)(e) - records used to brief ministers of the Crown
4 under s. 69(1)(f) - draft legislation
48 under s. 69(1)(g) re (a) - records that contain information about records referred to in s. 69(1)(a)
1 under s. 69(1)(g) re (b) - records that contain information about records referred to in s. 69(1)(b)
27 under s. 69(1)(g) re (d) - records that contain information about records referred to in s. 69(1)(d)
43 under s. 69(1)(g) re (e) - records that contain information about records referred to in s. 69(1)(e)
20 under s. 69(1)(g) re (f) - records that contain information about records referred to in s. 69(1)(f)
The following exclusions were not cited by PCO during the 2014-2015 reporting period: