Annual Report on the Access to Information Act—2017–18

Annual Report on the Access to Information Act—2017–18

ISSN 2561-8555

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 the head of each government institution to prepare an annual report on the administration of the Act within the institution and to 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 2017–18 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:

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

Tel.: 613-952-0213 (ext. 6455)
Fax: 613-954-0441
Email: privacy@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

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 Office of the Auditor General of Canada (OAG) meets its responsibilities under the Access to Information Act and the Privacy Act.

The ATIP Office at the OAG consists of

The main activities of the ATIP Coordinator include

DELEGATION ORDER

ACCESS TO INFORMATION ACT AND PRIVACY ACT

I, Michael Ferguson, Auditor General of Canada, pursuant to section 73 of the Access to Information Act and section 73 of the Privacy Act, hereby designates the persons holding the positions set out in the schedule hereto, or the persons occupying on an acting basis those positions, to exercise the powers, duties and functions as the head of Office of the Auditor General of Canada, under the provisions of the Act and related regulations set out in the schedule opposite each position. This designation replaces all previous delegation orders.

Schedule
Position Access to Information Act and Regulations Privacy Act and Regulations
Senior General Counsel Full authority Full authority
Access to Information and Privacy Coordinator Full authority Full authority

Dated at the City of Ottawa this 10 day of July 2015

Michael Ferguson, Chartered Professional AccountantCPA, Chartered AccountantCA
Fellow Chartered AccountantFCA (New Brunswick)
Auditor General of Canada

Highlights and accomplishments for the 2017–18 fiscal year

One hundred percent compliance

No formal Access to Information Act requests passed their legislative deadlines during the 2017–18 fiscal year. The Office of the Auditor General of Canada (OAG) is proud to have maintained 100 percent compliance with legislated deadlines.

Challenging Access to Information Act request

In the 2017–18 fiscal year, the OAG received a request for all records related to contracts that were issued between 1 January 2016 and 28 March 2017, the date that the request was received by the OAG. The OAG initially estimated that the request applied to approximately 980 contracts.

The request was ultimately abandoned. However, by the time that it was, employees had dedicated 2,716 hours to processing the request, costing a total of $177,432.

Training

The OAG requires that all employees attend mandatory Access to Information and Privacy (ATIP) training, separate from other information sessions or other forms of training. This ATIP-specific training focuses on employee requirements when the OAG receives a request, as well as a significant training component related to personal information handling and the legislation, policies, directives, and best practices related to privacy in the Canadian public sector.

During the reporting period, two training sessions were given, with a total attendance of 198.

Administration of the Access to Information Act

Requests under the Access to Information Act

Received during the reporting period: 18
Outstanding from the previous period: 1
Total: 19

Sources of requests received

During the reporting period, 13 requests were submitted by members of the public, 4 requests were submitted by businesses, and 1 request was submitted by a member of the media.

Disposition of completed requests

The Office of the Auditor General of Canada (OAG) finalized 11 formal requests in the reporting period:

Exemptions invoked

Of the 5 requests in which exemptions were invoked,

Exclusions cited

The OAG did not invoke any exclusions for the reporting period.

Extension of time limits

Section 9 of the Access to Information 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.

Of the 5 requests responded to during the reporting period, 3 were extended for 30 days or less pursuant to section 9(1)(a).

Completion time

Of the 11 requests completed during the reporting period,

Method of access

Where the relevant documents were given in part, electronic copies were provided for 1 request.

Fees

The fees collected during the reporting period totalled $35. The OAG complies with the Treasury Board’s Interim Directive on the Administration of the Access to Information Act and does not charge search or production fees, and waives the application fee when requested. During the reporting period, the $5 application fee was waived in two instances.

Costs

The costs directly associated with administration of the Access to Information Act for the reporting period are estimated to be $266,286 for salaries and $1,197 for goods and services, for a total of $267,483. For more information on the cost of salaries, please see the Monitoring section of this report.

Complaints and investigations

The OAG received no new complaints in the reporting period. The OAG has not received any complaints since the 2011–12 fiscal year.

Institution-specific policies, guidelines, and procedures

The OAG did not revise policies, guidelines, or procedures—or implement new ones—during the 2017–18 fiscal year.

Monitoring

The OAG uses time-code (product-code) management software, essentially a digital “timesheet,” to track all audit and audit-service activities, including

Whenever employees or contractors of the OAG participate in any ATIP-related activity, they must track the time they spend on the activity by entering the number of hours or partial hours into the product-code management software. These records are monitored on a regular basis for human resource and financial purposes. Any employee with access to the OAG network can use the OAG’s INTRAnet (internal Internet) to view this data.

As reflected in part 9.2 of the Appendix, the OAG dedicated 1.75 person-years to ATIP-related activities.

Appendix—Statistical Report on the Access to Information Act

Name of institution: Office of the Auditor General of Canada

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

Part 1: Requests Under the Access to Information Act

1.1 Number of Requests

Number of Requests
Received during reporting period 18
Outstanding from previous reporting period 1
Total 19
Closed during reporting period 11
Carried over to next reporting period 8

1.2 Sources of requests

Source Number of Requests
Media 1
Academia 0
Business (private sector) 4
Organization 0
Public 13
Decline to Identify 0
Total 18

1.3 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
0 0 0 0 0 0 0 0

Part 2: Requests Closed During the Reporting Period

2.1 Disposition and completion time

Disposition of 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
All disclosed 0 0 0 0 0 0 0 0
Disclosed in part 0 0 1 0 0 0 0 1
All exempted 0 2 2 0 0 0 0 4
All excluded 0 0 0 0 0 0 0 0
No records exist 1 2 0 0 0 0 0 3
Request transferred 0 0 0 0 0 0 0 0
Request abandoned 1 2 0 0 0 0 0 3
Neither confirmed nor denied 0 0 0 0 0 0 0 0
Total 2 6 3 0 0 0 0 11

2.2 Exemptions

Section Number of Requests
13(1)(a) 0
13(1)(b) 0
13(1)(c) 0
13(1)(d) 0
13(1)(e) 0
14 0
14(a) 0
14(b) 0
15(1) - International Affairs 0
15(1) - Defence of Canada 0
15(1) - Subversive Activities 0
16(1)(a)(i) 0
16(1)(a)(ii) 0
16(1)(a)(iii) 0
16(1)(b) 0
16(1)(c) 0
16(1)(d) 0
16(2) 0
16(2)(a) 0
16(2)(b) 0
16(2)(c) 0
16(3) 0
16.1(1)(a) 2
16.1(1)(b) 0
16.1(1)(c) 0
16.1(1)(d) 0
16.2(1) 0
16.3 0
16.4(1)(a) 0
16.4(1)(b) 0
16.5 3
17 0
18(a) 0
18(b) 0
18(c) 0
18(d) 0
18.1(1)(a) 0
18.1(1)(b) 0
18.1(1)(c) 0
18.1(1)(d) 0
19(1) 0
20(1)(a) 0
20(1)(b) 0
20(1)(b.1) 0
20(1)(c) 0
20(1)(d) 0
20.1 0
20.2 0
20.4 0
21(1)(a) 0
21(1)(b) 0
21(1)(c) 0
21(1)(d) 0
22 0
22.1(1) 0
23 0
24(1) 0
26 0

2.3 Exclusions

Section Number of Requests
68(a) 0
68(b) 0
68(c) 0
68.1 0
68.2(a) 0
68.2(b) 0
69(1) 0
69(1)(a) 0
69(1)(b) 0
69(1)(c) 0
69(1)(d) 0
69(1)(e) 0
69(1)(f) 0
69(1)(g) re (a) 0
69(1)(g) re (b) 0
69(1)(g) re (c) 0
69(1)(g) re (d) 0
69(1)(g) re (e) 0
69(1)(g) re (f) 0
69.1(1) 0

2.4 Format of information released

Disposition Paper Electronic Other Formats
All disclosed 0 0 0
Disclosed in part 0 1 0
Total 0 1 0

2.5 Complexity

2.5.1 Relevant pages processed and disclosed
Disposition of Requests Number of Pages Processed Number of Pages Disclosed Number of Requests
All disclosed 0 0 0
Disclosed in part 10 7 1
All exempted 803 0 4
All excluded 0 0 0
Request abandoned 318,068 0 3
Neither confirmed nor denied 0 0 0
2.5.2 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
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 0 0 0 0 0 0 0 0 0 0
Disclosed in part 1 7 0 0 0 0 0 0 0 0
All exempted 1 0 2 0 1 0 0 0 0 0
All excluded 0 0 0 0 0 0 0 0 0 0
Request abandoned 2 0 0 0 0 0 0 0 1 0
Neither confirmed nor denied 0 0 0 0 0 0 0 0 0 0
Total 4 7 2 0 1 0 0 0 1 0
2.5.3 Other complexities
Disposition Consultation Required Assessment of Fees Legal Advice Sought Other Total
All disclosed 0 0 0 0 0
Disclosed in part 0 0 0 0 0
All exempted 0 0 0 0 0
All excluded 0 0 0 0 0
Request abandoned 0 0 0 3 3
Neither confirmed nor denied 0 0 0 0 0
Total 0 0 0 3 3

2.6 Deemed refusals

2.6.1 Reasons for not meeting statutory deadline
Number of Requests Closed Past the Statutory Deadline Principal Reason
Workload External Consultation Internal Consultation Other
0 0 0 0 0
2.6.2 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 0 0 0
16 to 30 days 0 0 0
31 to 60 days 0 0 0
61 to 120 days 0 0 0
121 to 180 days 0 0 0
181 to 365 days 0 0 0
More than 365 days 0 0 0
Total 0 0 0

2.7 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

Disposition of Requests Where an Extension Was Taken 9(1)(a)
Interference With Operations
9(1)(b)
Consultation
9(1)(c)
Third-Party Notice
Section 69 Other
All disclosed 0 0 0 0
Disclosed in part 1 0 0 0
All exempted 2 0 0 0
All excluded 0 0 0 0
No records exist 0 0 0 0
Request abandoned 0 0 0 0
Total 3 0 0 0

3.2 Length of extensions

Length of Extensions 9(1)(a)
Interference With Operations
9(1)(b)
Consultation
9(1)(c)
Third-Party Notice
Section 69 Other
30 days or less 3 0 0 0
31 to 60 days 0 0 0 0
61 to 120 days 0 0 0 0
121 to 180 days 0 0 0 0
181 to 365 days 0 0 0 0
365 days or more 0 0 0 0
Total 3 0 0 0

Part 4: Fees

Fee Type Fee Collected Fee Waived or Refunded
Number of Requests Amount Number of Requests Amount
Application 7 $35 2 $10
Search 0 $0 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 7 $35 2 $10

Part 5: Consultations Received From Other Institutions and Organizations

5.1 Consultations received from other Government of Canada 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 63 788 0 0
Outstanding from the previous reporting period 1 6 0 0
Total 64 794 0 0
Closed during the reporting period 59 716 0 0
Pending at the end of the reporting period 5 78 0 0

5.2 Recommendations and completion time for consultations received from other Government of Canada institutions

Recommendation Number of Days Required to Complete Consultation 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
Disclose entirely 32 17 5 0 0 0 0 54
Disclose in part 0 0 0 0 0 0 0 0
Exempt entirely 0 5 0 0 0 0 0 5
Exclude entirely 0 0 0 0 0 0 0 0
Consult other institution 0 0 0 0 0 0 0 0
Other 0 0 0 0 0 0 0 0
Total 32 22 5 0 0 0 0 59

5.3 Recommendations and completion time for consultations received from other organizations

Recommendation Number of Days Required to Complete Consultation 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
Disclose entirely 0 0 0 0 0 0 0 0
Disclose in part 0 0 0 0 0 0 0 0
Exempt entirely 0 0 0 0 0 0 0 0
Exclude entirely 0 0 0 0 0 0 0 0
Consult other institution 0 0 0 0 0 0 0 0
Other 0 0 0 0 0 0 0 0
Total 0 0 0 0 0 0 0 0

Part 6: Completion Time of Consultations on Cabinet Confidences

6.1 Requests with Legal Services

Number of Days Fewer Than 100 Pages Processed 101-500 Pages Processed 501-1000 Pages Processed 1001-5000 Pages Processed More Than 5000 Pages Processed
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

6.2 Requests with Privy Council Office

Number of Days Fewer Than 100 Pages Processed 101-500 Pages Processed 501-1000 Pages Processed 1001-5000 Pages Processed More Than 5000 Pages Processed
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

Section 32 Section 35 Section 37 Total
0 0 0 0

Part 8: 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

Expenditures Amount
Salaries $266,286
Overtime $0
Goods and Services $1,197
Professional services contracts $0
Other $1,197
Total $267,483

9.2 Human Resources

Resources Person Years Dedicated to
Access to Information Activities
Full-time employees 1.25
Part-time and casual employees 0.25
Regional staff 0.00
Consultants and agency personnel 0.00
Students 0.25
Total 1.75