Respect

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reportannual

2016 2017

o n t h e a d m i n i s t r at i o n o f t h e a c c e s s t o i n f o r m at i o n a c t

Contents  Introduction..................................................................................................................................... 1  About the Office of the Information of Commissioner of Canada ................................................. 1  

Organizational structure.............................................................................................................. 2  Access to Information Activities at the Office of the Information Commissioner of Canada ....... 3  

Secretariat ................................................................................................................................... 3  Information Commissioner ad hoc ............................................................................................. 3  

2016–2017 Statistics and Trends .................................................................................................... 4  Workload..................................................................................................................................... 4  Timeliness ................................................................................................................................... 6  Disclosure ................................................................................................................................... 8  Exemptions Claimed, 2016-2017................................................................................................ 9  Complaints .................................................................................................................................. 9  

Appendix A: Delegation Order, Access to Information Act ......................................................... 10  Appendix B: Delegation Order, Information Commissioner ad hoc ............................................ 12  Appendix C: 2016-2017 Statistical Report ................................................................................... 13  

Office of the Information Commissioner of Canada Page  1  

2016–2017  Annual  Report  On  the  Administration  of  the  Access  to  Information  Act  

Introduction   The purpose of the Access to Information Act (Act) is to protect the public’s right to access records under the control of government institutions, while ensuring that the use of exemptions and exclusions is limited and specific. The Act also specifies that any decisions on the disclosure of information should be reviewed independently of government. To this end, the Office of the Information Commissioner (OIC) was established under the Act in 1983 as an independent oversight body reporting to Parliament. When the OIC became subject to the Access to Information on April 1, 2007, the organization committed to providing exemplary service to requesters seeking information about its investigations and operations. The OIC has consistently lived up to that commitment, quickly responding to requests and disclosing a broad range of information. As a further service to requesters, the OIC stopped charging any fees for making access requests in 2010. This report, prepared and tabled in accordance with section 72 of the Access to Information Act, reviews the OIC’s access to information activities for 2016–2017. The OIC received 85 formal access requests in 2016-2017. This is a slight drop from the high of 120 requests in 2015-2016. The organization achieved the notable average completion time for these files of 13.9 days. This is a new record for the OIC.

About  the  OIC   The OIC is an independent public body created in 1983 under the Access to Information Act. The OIC’s primary responsibility is to conduct efficient, fair and confidential investigations into complaints about federal institutions’ handling of access to information requests. The OIC primarily uses mediation and persuasion to resolve complaints. The OIC brings cases to the Federal Court to ensure the Act is properly applied and interpreted.

2016–2017 access highlights • 100% of the requests were

completed within statutory deadlines.

• The average time to complete a request was 13.9 days. This is a new record for the OIC.

Office of the Information Commissioner of Canada Page  2  

The OIC also supports the Information Commissioner in her advisory role to Parliament and parliamentary committees on all matters pertaining to access to information. The OIC actively makes the case for greater freedom of information in Canada through targeted initiatives such as Right to Know Week and ongoing dialogue with Canadians, Parliament and federal institutions.

Organizational  structure  

Complaints Resolution and Compliance mediates and investigates complaints about the processing of access to information requests and any issues related to requesting or obtaining access to records under the Act, and makes formal recommendations to institutions and heads of institutions, as required. Legal Services represents the Commissioner in court as she seeks to clarify points of access law and uphold information rights. Lawyers provide legal advice on investigations, and on administrative and legislative matters, as well as customized reference tools and training on recent case law. Legal Services also monitors legislative developments to determine their possible effect on the Commissioner’s work and access to information in general. Public Affairs conducts communications and external relations with a wide range of stakeholders, notably Parliament, governments and the media. It also provides input to the Treasury Board of Canada Secretariat on improving the administration of the Act. Corporate Services provides strategic and corporate leadership for planning and reporting, human resources and financial management, security and administrative services, internal audit and evaluation, and information management and technology.

Information  Commissioner  

Assistant  Commissioner,  Complaints  Resolution  and  

Compliance  Corporate  Services  

General  Counsel  and  Director,  Legal  Services  Public  Affairs  

Office of the Information Commissioner of Canada Page  3  

Access  to  Information  Activities  at  the  OIC  

Secretariat  The OIC has a small team of specialists who carry out the organization’s access to information and privacy (ATIP) activities. In 2016–2017, the ATIP Secretariat comprised the ATIP Manager (full time) supported by a consultant (part time). The end of the year saw the addition of a full time ATIP Officer as well. Secretariat staff process requests, provide training on access and privacy matters to new staff, and develop and implement policies and procedures. In 2016-2017, the Secretariat held four training sessions for employees on their responsibilities under the Access to Information Act and Privacy Act, with a total of 14 staff in attendance. There was also an initiative undertaken to train new investigators on how to process requests under the Access to Information Act. This is intended to assist them when they are interacting with analysts at institutions under investigation. Since March 2016, the Secretariat publishes A-Tips, a regular series of tips and reminders posted on the OIC intranet to remind employees about their access to information and privacy responsibilities. These posts were rotated on a biweekly basis to ensure awareness of obligations imposed by the Access to Information Act and the Privacy Act, as well as to provide best practices and other helpful information. The feedback from this initiative has been very positive. The ATIP Manager, along with the Director of Information Management and Information Technology, is co-chairing the OIC’s working group on implementing the government’s open government action plan. The working group is reviewing the OIC’s information holdings in order to determine what information could proactively be released online. The ATIP Manager and other OIC officials hold full delegated authority under the Act. Appendix A contains a copy of the delegation order.

Information  Commissioner  ad  hoc  Requesters who are of the view that the OIC has improperly handled their access request are entitled to file a complaint. To prevent any conflict of interest and to ensure the integrity of the complaint process, the independent Information Commissioner ad hoc investigates complaints regarding access requests submitted to the OIC. David Loukidelis was appointed as Commissioner ad hoc on May 4, 2015. The Commissioner ad hoc, who is assisted by an investigator, has the same powers and obligations as the Information Commissioner with respect to conducting investigations and making recommendations. Appendix B contains the delegation order that was in effect for Mr. Loukidelis in 2016–2017.

Office of the Information Commissioner of Canada Page  4  

2016–2017  Statistics  and  Trends   Appendix C contains the OIC’s statistical report on the Access to Information Act for 2016–2017. The following sets out some highlights from that report, along with notable trends related to workload, timeliness and disclosure over the years the OIC has been subject to the Act.

Workload  The OIC received 85 new requests in 2016-2017. This represent a drop of 35 requests from the previous year. There was one request carried over from 2015-2016, and one request was carried over to 2017-2018. As Figure 1 shows, there was considerable interest in accessing records from the OIC in 2007–2008 and 2008–2009, since it was the first time requesters could formally seek such information. The number of requests dropped and levelled off between 2009–2010 and 2013–2014, followed by noticeable increases in 2014–2015 and 2015–2016. In 2016-2017 the interest has remained high, however it has come down from the peak observed in 2015-2016. Figure 1: New requests, 2007–2008 to 2016-2017

Over half (62 percent) of the new requests in 2016-2017 came from members of the public. Members of the media or businesses submitted the remaining requests. Receiving the majority of requests from the public is typical for the OIC. With the exception of the first two years the organization was subject to the Act, individual members of the public have always been the most frequent requesters, accounting for 55 percent or more of new requests each year. In both 2007–2008 and 2008–2009, businesses were the source of most requests.

0  20  40  60  80  100  120  

93  113  

28  46   48   44  

33  

89  

120  

85  

Number  of  requests  

Workload highlights, 2016-2017 Requests carried over from 2015–2016 1 New requests 85 Requests completed 85 Requests carried over to 2016–2017 1 Number of pages processed 17460 Informal requests received and completed

13

Consultation requests received and completed

13

Office of the Information Commissioner of Canada Page  5  

Given the OIC’s work investigating complaints, the OIC receives numerous requests related to complaints each year. In 2016-2017, the OIC received 34 such requests. The remaining requests were for administrative records (such as correspondence, briefing notes and statistics). Figure 2: Number of pages processed, 2010–2011 to 2016-2017

In 2016-2017 the OIC processed 17460 pages. This represents a 59-percent decrease from 2015-2016 and the lowest number of pages processed by the OIC since 2010-2011. In terms of complexity, 6 percent of completed requests in 2016-2017 required ATIP staff to process more than 1,000 pages per request. This is consistent with the proportions seen in 2015-2016. More than half of the requests seen in 2016-2017 required the processing of less than 100 pages. In addition to formal access requests, the OIC receives informal requests each year. These are often requests for records that had been released previously. The OIC responded to 13 such requests in 2016-2017.

7,206  

25,187   27,083   25,782  

36,457  

43,327  

17,460  

0  5,000  10,000  15,000  20,000  25,000  30,000  35,000  40,000  45,000  50,000  

Number  un  pages  processed  

Examples of new access requests, 2016-2017 • Investigation files or documents related to

investigations • Briefing materials prepared for the Commissioner • Information regarding the International

Conference on Transparency in the 21st Century • Contracts for goods and services • Call-ups for services against government

standing offers and other contracting instruments The OIC’s website contains summaries of all completed access requests.

Office of the Information Commissioner of Canada Page  6  

The final component of the OIC’s access request-related workload is consultations—that is, when other institutions seek the OIC’s input on requests they have received that touch on the OIC’s business or involve its records. Institutions generally ask for recommendations on whether any information should be exempted from release. The OIC’s general practice is to not provide recommendations on the application of exemptions in response to consultation requests. This is because the Commissioner could later be required to investigate complaints about the institution’s use of those provisions of the Act to withhold information. Not making recommendations allows the Commissioner to maintain impartiality and avoid conflicts of interest. The OIC nonetheless received 13 such requests in 2016-2017. This is down from the high of 24 such requests in 2015–2016.

Timeliness  A hallmark of exemplary service to requesters is timeliness. Indeed, responding to access requests as promptly as possible underpins the entire access system. Figure 3: Completion time for access requests, 2016-2017

The Access to Information Act sets 30 days as the timeframe within which institutions should respond to requests. When institutions determine that they will be unable to complete a request in 30 days, they may take a time extension. In keeping with the principle of timeliness, the OIC strives to make these extensions as short as possible. Of the 85 requests the OIC closed in 2016-2017, 93 percent were completed in less than 30 days (Figure 3)—67 percent in 15 days or less and 26 percent in 16 to 30 days.

67%  

26%  

6%   1%  

1  to  15  days   16  to  30  days   31  to  60  days   61  to  120  days  

Office of the Information Commissioner of Canada Page  7  

In 2016-2017, the OIC took six time extensions to respond to requests. Three of these were for less than 30 days, and three were for 31 to 60 days. Five of the six extensions taken were for consultations with other organisations. The OIC completed all 85 requests in 2016-2017 before their deadline (either 30 days or the extended date), such that the OIC had no “deemed refusals.” 1 Figure 4: Average completion time for requests, 2008–2009 to 2016-2017

Another measure of timeliness is the average time it takes to complete a request. The OIC’s average completion time for requests for 2016-2017 was 13.9 days, the best average recorded to date. As Figure 4 shows, in six of the nine years for which figures are available, the OIC achieved an average completion time for requests of less than 30 days. The highest average completion time (36.11 days) was in 2008–2009.

1 The time limits set out in the Act are part of the statutory scheme and there are two such limits: the 30-day time limit that arises by operation of section 7 following a request for access and the extended time limit that arises as a result of a notice of extension issued pursuant to section 9. When breached, either of these time limits give rise to a deemed refusal.

36.11  32.97  

15  

22  

30.4  

25.5  

19  16.56  

13.9  

0  

5  

10  

15  

20  

25  

30  

35  

40  

Number  of  days  

Office of the Information Commissioner of Canada Page  8  

Disclosure  The purpose of the Access to Information Act is to protect the right to access records under the control of government institutions, while ensuring that the use of any exemptions and exclusions is limited and specific. In line with this purpose, the OIC seeks to release as much information as possible to requesters and withhold only what the law requires. In 2016-2017, the OIC disclosed all the records in response to 25 requests (29 percent of the 85 files completed, the largest proportion since 2007-2008). These included requests for annual statistics, lists of briefing notes and routine procurement records. The OIC released part of the information requested for 39 of 85 files (46 percent). In many of these cases, the requests were related to investigations. The OIC can not release any investigation records before an investigation is complete and the complaint closed, and only some afterwards, as set out in section 16.1 of the Act. Figure 5 provides a ten year trend. Figure 5: Disclosure of records, 2007–2008 to 2016-2017

In 2016-2017, the OIC received 15 new requests where no records were found. This represents 18 percent of the total request volume, which is consistent with the proportion seen in 2015-2016.

0%  10%  20%  30%  40%  50%  60%  70%  80%  90%  

33%   25%  13%   20%   16%   6%   16%   16%   22%  

29.00%  

46%   59%   74%  43%   48%  

48%  45%  

57%   54%  46%  

All  disclosed   Disclosed  in  part  

Disposition of completed requests Disposition Number of requests

(percentage of total) All disclosed 25 (29%) Disclosed in part 39 (46%) All exempted 4 (5%) No records exist 15 (18%) Request transferred 1 (1%) Request abandoned 1 (1%) Total 85 (100%)

Office of the Information Commissioner of Canada Page  9  

Exemptions  Claimed,  2016-­‐2017  The OIC claimed 6 different exemptions and 1 exclusion to sever information when responding to requests in 2016-2017 throughout the 39 files that were “Disclosed in Part”. Paragraph 16.1(1)(c) of the Act, which specifically exempts records associated with the OIC’s investigations was invoked in 30 of the 39 files where information was withheld. This is a mandatory exemption. Indeed, with the exception of 2008–2009, paragraph 16.1(1)(c) has been either the OIC’s most or second-most used exemption. Section 19 (personal information) has been the other most commonly claimed exemption, having been invoked in 15 of 39 files in 2016-2017. Other exemptions in the top three in at least one year since the OIC became subject to the Act are sections 21 (operations of government), section 20 (third-party information), section 16 (law enforcement and investigations) and section 23 (solicitor-client privilege). The Act also excludes certain information, such as Cabinet confidences (section 69). The only exclusion invoked in 2016-2017 was pursuant to this section of the Act.

Complaints  In 2016-2017, the Information Commissioner ad hoc received 1 complaint about the OIC’s handling of access requests. The Information Commissioner ad hoc investigated this one along with three complaints carried over from 2015-2016 and found them to be not well founded. The annual report of the Information Commissioner ad hoc will be published along with the Commissioner’s annual report.

Office of the Information Commissioner of Canada Page  10  

Appendix  A:  Delegation  Order,  Access  to  Information  Act

Office of the Information Commissioner of Canada Page  11  

Office of the Information Commissioner of Canada Page  12  

Appendix  B:  Delegation  Order,  Information  Commissioner  ad  hoc  

Office of the Information Commissioner of Canada Page  13  

Appendix  C:  2016-­‐2017  Statistical  Report  

Office of the Information Commissioner of Canada Page  14  

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