Annual Report on the Access to Information Act and the Privacy Act—2013–14

Annual Report on the Access to Information Act and the Privacy Act—2013–14

Annual Report on the Access to Information Act—2013–14

Introduction

When the Federal Accountability Act was enacted in 2006, amendments were made to the Access to Information Act and the Privacy Act, both of which came into force in 1983. The scope of application of these laws was expanded, and the Office of the Auditor General of Canada (OAG) became subject to the Access to Information Act.

The Access to Information Act gives Canadian citizens and permanent residents, and any person and corporation present in Canada, the right to access information contained in government records, subject to certain specific and limited exceptions.

Section 72 of the Act requires that the head of every government institution prepare an annual report on the administration of the Act within the institution and that they submit the report to Parliament.

This annual report on the administration of the Access to Information Act at the OAG describes how we administered our responsibilities under the Act during the 2013–14 fiscal year.

If you require more information or wish to make a request under the Access to Information Act or the Privacy Act, please direct your inquiries to the following:

Coordinator
Access to Information and Privacy
Office of the Auditor General of Canada
240 Sparks Street
Ottawa, Ontario  K1A 0G6

Tel.: 613-952-0213 (ext. 6455)
Fax: 613-941-8284
Email: atip-aiprp@oag-bvg.gc.ca

Who we are

The Office of the Auditor General of Canada (OAG) audits federal government operations and provides Parliament with independent information, advice, and assurance regarding the federal government’s stewardship of public funds. While the OAG may comment on policy implementation in an audit, it does not comment on policy itself.

We are in the business of legislative auditing. We conduct

• performance audits of federal departments and agencies;
• annual financial audits of the government’s financial statements;
• special examinations and annual financial audits of Crown corporations; and
• audits of the governments of Nunavut, Yukon, and the Northwest Territories.

Since 1995, the OAG has also had a specific environmental and sustainable development mandate, which was established through amendments to the Auditor General Act.

The Auditor General of Canada is the designated head of the institution for the Access to Information Act as well as the Privacy Act. Pursuant to section 73 of both acts, the Auditor General has delegated full authority to the Access to Information and Privacy Coordinator.

Access to Information and Privacy Office

The Access to Information and Privacy (ATIP) Coordinator is accountable for the development and implementation of effective policies, guidelines, systems, and procedures to ensure that the OAG meets its responsibilities under the Access to Information Act and the Privacy Act.

The main activities of the ATIP Coordinator include

• monitoring compliance with the acts, regulations, and relevant procedures and policies;
• processing requests under both acts;
• developing and maintaining policies, procedures, and guidelines to ensure that the OAG respects the acts;
• promoting awareness of the acts within the OAG to ensure that employees are aware of their responsibilities;
• preparing annual reports to Parliament and other statutory reports, as well as other material that may be required by central agencies;
• representing the OAG in dealings with the Treasury Board of Canada Secretariat, the information and privacy commissioners, and other government departments and agencies to determine how the acts apply to the OAG; and
• helping the OAG meet its commitments to ensure openness and transparency, through proactive and informal disclosure of information.

Highlights and accomplishments for the 2013–14 fiscal year

One Hundred Percent Compliance

No formal Access to Information Act or Privacy Act requests have passed their legislative deadline during the 2013-14 fiscal year. The Office is proud to maintain 100 percent compliance with deadlines under both acts.

Training and Awareness

All new employees of the Office receive ATIP training during mandatory orientation days. In addition, awareness sessions and unit-specific training sessions include ATIP components. During the 2013-14 fiscal year, nearly 180 employees received ATIP training during sessions of this type.

Administration of the Access to Information Act

Requests under the Access to Information Act

Sources of requests received

The majority of requests received in the 2013–14 fiscal year were from the media (9), followed by the general public (7), and organizations (3). The remaining requests came from businesses (Private Sector) (1).

Disposition of completed requests

The Office of the Auditor General (OAG) closed 17 requests in the 2013–14 fiscal year:

• 3 requests were disclosed in their entirety,
• 9 requests resulted in partial disclosure,
• 1 request could not be processed because no relevant records existed,
• 3 requests were abandoned by the requester, and
• 1 request was transferred to an institution with a greater interest.

Note: Four requests (1 outstanding from the previous period and 3 that remain open) are carried over to the next reporting period.

Exemptions invoked

Appendix A indicates the number of requests where specific types of exemptions were invoked. For example, if in processing a request the OAG applied five different exemptions, one exemption under each relevant section is reported—for a total of five. If the same exemption was claimed several times for the same request, it is reported only once.

As noted, the OAG invoked exemptions under sections 16(2)(c), 16.1(1)(a), 19(1), 20(1)(b), 20(1)(c), 20(1)(d), and 23 of the Access to Information Act.

Exclusions cited

Appendix A indicates the number of exclusions cited during the reporting period, including only one case in which section 68(a) of the Access to Information Act was invoked.

Extension of time limits

Section 9 of the Act provides for the extension of the statutory time limits, if consultations are necessary or if a large number of records have been requested and processing the request within the original time limit would unreasonably interfere with OAG operations. During the reporting period, one request was extended for less than 30 days under section 9(1)(a) and two more under section 9(1)(b).One other request was extended for more than 30 days under section 9(1)(c).

Completion time

Of the 17 requests completed during the reporting period,

• 15 were completed within the original 30-day deadline,
• 1 required up to an additional 30 days, and
• 1 required between 61 to 180 days.

Method of access

Electronic copies of documents were provided for six requests where the relevant documents were given in part.

Fees

The fees collected during the reporting period totalled $75.00. In accordance with government policy, the OAG’s practice is to waive photocopy or search fees when the total per request is less than $25.00. In all, fees amounting to $15.00 were waived for the 2013–14 fiscal year.

Costs

The costs directly associated with administration of the Access to Information Act for the 2013–14 fiscal year are estimated to be $102,057 for salaries and $2,373 for goods and services, including professional services contracts—for a total of $104,430.

Complaints and investigations

The OAG received no new complaints in the 2013–14 fiscal year. One outstanding complaint received during the 2011–12 fiscal year is currently under investigation by the Office of the Information Commissioner.

Appendix: Report on the Access to Information Act

Name of institution: Office of the Auditor General of Canada

Reporting period: 01/04/2013 to 31/03/2014

Part 1—Requests under the Access to Information Act

1.1 Number of Requests

1.2 Sources of requests

Part 2—Requests closed during the reporting period

2.1 Disposition and completion time

2.2 Exemptions

2.3 Exclustions

2.4 Format of information released

2.5 Complexity

2.5.1 Relevant pages processed and disclosed

2.5.2 Relevant pages processed and disclosed by size of requests

2.5.3 Other complexities

2.6 Deemed refusals

2.6.1 Reasons for not meeting statutory deadline

2.6.2 Number of days past deadline

2.7 Requests for translation

Part 3—Extensions

3.1 Reasons for extensions and disposition of requests

3.2 Length of extensions

Part 4—Fees

Part 5—Consultations received from other institutions and organizations

5.1 Consultations received from other government institutions and organizations

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

5.3 Recommendations and completion time for consultations received from other organizations

Part 6—Completion time of consultations on Cabinet confidences

Part 7—Resources related to the Access to Information Act

7.1 Costs

7.2 Human Resources

Annual Report on the Privacy Act—2013–14

Introduction

The Privacy Act gives individuals the right to access information about themselves that is held by the Office of the Auditor General of Canada, subject to certain specific and limited exceptions. The Privacy Act also protects the privacy of individuals by giving them substantial control over the collection, use, and disclosure of their personal information and by preventing others from having access to that information.

Section 72 of the Act requires that the head of every government institution prepare an annual report on the administration of the Act within the institution and that they submit the report to Parliament.

This annual report on the administration of the Privacy Act at the OAG describes how we administered our responsibilities under the Act during the 2013–14 fiscal year.

If you require more information or wish to make a request under the Access to Information Act or the Privacy Act, please direct your inquiries to the following:

Coordinator
Access to Information and Privacy
Office of the Auditor General of Canada
240 Sparks Street
Ottawa, Ontario  K1A 0G6

Tel.: 613-952-0213 (ext. 6455)
Fax: 613-941-8284
Email: atip-aiprp@oag-bvg.gc.ca

Who we are

The Office of the Auditor General of Canada (OAG) audits federal government operations and provides Parliament with independent information, advice, and assurance regarding the federal government’s stewardship of public funds. While the OAG may comment on policy implementation in an audit, it does not comment on policy itself.

We are in the business of legislative auditing. We conduct

• performance audits of federal departments and agencies;
• annual financial audits of the government’s financial statements;
• special examinations and annual financial audits of Crown corporations; and
• audits of the governments of Nunavut, Yukon, and the Northwest Territories.

Since 1995, the OAG has also had a specific environmental and sustainable development mandate, which was established through amendments to the Auditor General Act.

The Auditor General of Canada is the designated head of the institution for the Access to Information Act as well as the Privacy Act. Pursuant to section 73 of both acts, the Auditor General has delegated full authority to the Access to Information and Privacy Coordinator.

Access to Information and Privacy Office

The Access to Information and Privacy (ATIP) Coordinator is accountable for the development and implementation of effective policies, guidelines, systems, and procedures to ensure that the OAG meets its responsibilities under the Access to Information Act and the Privacy Act.

The main activities of the ATIP Coordinator include

• monitoring compliance with the acts, regulations, and relevant procedures and policies;
• processing requests under both acts;
• developing and maintaining policies, procedures, and guidelines to ensure that the OAG respects the acts;
• promoting awareness of the acts within the OAG to ensure that employees are aware of their responsibilities;
• preparing annual reports to Parliament and other statutory reports, as well as other material that may be required by central agencies;
• representing the OAG in dealings with the Treasury Board of Canada Secretariat, the information and privacy commissioners, and other government departments and agencies to determine how the acts apply to the OAG; and
• helping the OAG meet its commitments to ensure openness and transparency, through proactive and informal disclosure of information.

Administration of the Privacy Act

Requests under the Privacy Act

Disposition of completed requests

The OAG finalized seven requests in the 2013–14 fiscal year. One request was disclosed in part, one was abandoned by the requester, and five had no existing records.

Exemptions invoked

Appendix B indicates the number of requests where specific types of exemptions were invoked. For example, if, in processing a request, the OAG applied five different exemptions, one exemption under each relevant section is reported—for a total of five. If the same exemption was claimed several times for the same request, it is reported only once.

As noted, the OAG invoked exemptions under sections 22.3, 26, and 27 of the Privacy Act.

Exclusions cited

No exclusions were cited.

Completion time

Of the seven requests completed during the reporting period,

• 6 were completed within the original 30-day deadline, and
• 1 required an additional 30 days to complete due to interference with operations under section 15(a)(i).

Extension of time limits

During the 2013–14 fiscal year, one request was extended for a maximum of 30 days due to interference with operations under section 15(a)(i).

Method of access

Copies of the records were provided in digital format (CD) for one request.

Costs

The costs directly associated with administration of the Privacy Act for the 2013–14 fiscal year are estimated to be $23,165 for salaries and $23,558 for goods and services, including contracts for privacy impact assessments, professional services contracts, and other administrative expenses—for a total of $46,723.

Complaints and investigations

The OAG did not receive any complaints pursuant to the Privacy Act during this reporting period, and no investigations regarding the OAG were carried out.

Disclosure of personal information under section 8(2)

During the reporting period, the OAG

• did not disclose personal information pursuant to section 8(2)(m)(i) of the Privacy Act; and
• did not disclose personal information pursuant to sections 8(2)(e), 8(2)(f), and 8(2)(g).

Appendix: Report on the Privacy Act

Name of institution: Office of the Auditor General of Canada

Reporting period: 01/04/2013 to 31/03/2014

Part 1—Requests under the Privacy Act

Part 2—Requests closed during the reporting period

2.1 Disposition and completion time

2.2 Exemptions

2.3 Exclusions

2.4 Format of information released

2.5 Complexity

2.5.1 Relevant pages processed and disclosed

2.5.2 Relevant pages processed and disclosed by size of requests

2.5.3 Other complexities

2.6 Deemed refusals

2.6.1 Reasons for not meeting statutory deadline

2.6.2 Number of days past deadline

2.7 Requests for translation

Part 3—Disclosures under subsection 8(2)

Part 4—Requests for correction of personal information and notations

Part 5—Extensions

5.1 Reasons for extensions and disposition of requests

5.2 Length of extensions

Part 6—Consultations received from other institutions and organizations

6.1 Consultations received from other government institutions and organizations

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

6.3 Recommendations and completion time for consultations received from other organizations

Part 7—Completion time of consultations on Cabinet confidences

Part 8—Resources related to the Privacy Act

8.1 Costs

8.2 Human Resources