2014 to 2015 Annual report on the Access to Information Act

The Access to Information Act (Revised Statutes of Canada, 1985, Chapter A-1) was proclaimed on July 1, 1983. The Act was amended as a result of the royal assent of the Federal Accountability Act on December 12, 2006. Certain provisions came into force on December 12, 2006, and others took effect on April 1, 2007, and September 1, 2007.

The Access to Information Act gives Canadian citizens, permanent residents as well as individuals and corporations present in Canada a right of access to information contained in government records subject to certain specific and limited exceptions.

Section 72 of the Access to Information Act requires that the head of every federal government institution prepare, for submission to Parliament, an annual report on the administration of the Act within their institution during each fiscal year.

This annual report provides a summary of the management and administration of the Access to Information Act within Public Works and Government Services Canada for the fiscal year 2014 to 2015.

Part I: Introduction

1. Background

The Department, founded in 1841 and originally known as The Board of Works, was instrumental in the building of our nation's canals, roads and bridges, the Houses of Parliament, post offices and federal buildings across the country.

In 1993, the Department became Public Works and Government Services Canada (PWGSC) through the amalgamation of the former Supply and Services Canada, Public Works Canada, Government Telecommunications Agency (Communications Canada), and the Translation Bureau (Secretary of State of Canada).

The Department of Public Works and Government Services Act, passed in 1996, established the Department and set out the legal authorities for PWGSC's services. The Act established PWGSC as a common service organization that provides government departments, boards and agencies with support services for their programs.

Today, PWGSC has evolved into a sophisticated operational arm of government that employs approximately 12,000 people working across Canada and headquartered in the National Capital Area.

The Office of the Procurement Ombudsman, an independent office, and part of the portfolio of the Minister of Public Works and Government Services, was established on May 5, 2008, as one of the final steps in the implementation of the Federal Accountability Act.

2. Raison d'être and responsibilities

PWGSC plays an important role in the daily operations of the Government of Canada. It supports federal departments and agencies in the achievement of their mandated objectives as their central purchasing agent, real property manager, linguistic authority, treasurer, accountant, and pay and pension administrator. The Department's vision is to excel in government operations, and its strategic outcome and mission are to deliver high-quality, central programs and services that ensure sound stewardship on behalf of Canadians and meet the program needs of federal institutions. The goal is to manage business in a way that demonstrates integrity, accountability, transparency, and adds value for our client departments and for Canadians.

The Office of the Procurement Ombudsman, which reports to the Minister and operates independently, reviews complaints from suppliers. It also reviews procurement practices in departments and agencies, and makes recommendations for the improvement of those practices to ensure fairness, openness, and transparency in the procurement process.

3. Strategic outcome and program alignment architecture

PWGSC's program alignment architecture (PAA), as approved by the Treasury Board, supports the strategic outcome to deliver high-quality, central programs and services that ensure sound stewardship on behalf of Canadians and meet the program needs of federal institutions. The following lists the programs that comprise PWGSC's PAA:

• Acquisitions
• Accommodation management and real property services
• Receiver General for Canada
• Integrity programs and services
• Federal pay and pension administration
• Linguistic management and services
• Specialized programs and services
• Internal services
• Procurement Ombudsman^{Footnote 1}

Part II: The Public Works and Government Services Canada Access to Information and Privacy Program

1. Access to Information and Privacy Directorate structure and responsibilities

The Access to Information and Privacy (ATIP) Directorate administers the provisions of the Access to Information Act for PWGSC, including one special operating agency, the Translation Bureau, as well as the Office of the Procurement Ombudsman.

In 2014 to 2015, the ATIP Directorate operated with up to 17 ATIP officers, five students and six consultants who worked under five team leaders to manage the requests received within the Department, as well as four senior ATIP policy advisors.

The Director, ATIP, reports to the Director General, Ministerial Services and Access to Information (DG-MSAI), who, in turn, reports to the Assistant Deputy Minister, Policy, Planning and Communications Branch (ADM-PPCB). Reporting to the Director, ATIP, the teams are overseen by the three Managers, ATIP Operations, and the Manager, ATIP Policy and Governance. The operational units are responsible for processing ATIP requests, consultations, complaints, and court cases; the other unit is responsible for policy, governance, advice and training. The administrative functions are supported by an administrative assistant, an office manager and up to eight support staff members.

The ATIP Directorate is responsible for establishing and directing all activities within the Department relating to the management of the departmental ATIP program, in accordance with the related PWGSC delegation instruments and the provisions of the Act, Regulations, directives, policies and guidelines.

The administration of the Act by the ATIP Directorate is also facilitated at the branch and regional office levels of PWGSC. Each organizational branch has an ATIP liaison officer who coordinates the collection of information and provides guidance to branch managers on the application of the Act, as well as related departmental directives and procedures.

2. Delegation instruments

Under section 3 of the Act, the Minister is designated as the head of the government institution for purposes of the administration of the Act. Pursuant to section 73, the Minister may delegate any of her powers, duties or functions under the Act by signing an order authorizing one or more officers or employees of the institution, who are at the appropriate level, to exercise or perform the powers, duties or functions of the head, specified in the order.

Within PWGSC, this delegation instrument is based on a centralized process with the Director and managers of the ATIP Directorate having full delegated authority under the Act. Certain administrative functions are also delegated to the ATIP team leaders to speed up the processing of requests. Full authority under the Act is also delegated to the ADM-PPCB and the DG-MSAI who are responsible for the ATIP program.

An excerpt of the delegation of authorities approved by the former Minister of Public Works and Government Services is provided in Annex A: Delegation of authorities (excerpt).

3. Policies and procedures

3.1 Departmental Policy on Access to Information and Privacy

For the reference of all employees, departmental policies are posted on PWGSC's intranet.

The Access to Information and Privacy Program (002) outlines the delegation of authority and sets out the definitions, and the roles and responsibilities of all stakeholders within PWGSC. The policy has been updated to provide a common understanding of what "under the control" means in relation to the retrieval of information from a contractor following a request for information, and to ensure consistent practices when responding to access to information requests for documents held by third parties acting on behalf of the Crown.

3.2 Access to Information and Privacy liaison officer handbook

The ATIP liaison officer handbook is produced by the ATIP Directorate and is posted on PWGSC's intranet as a guide to:

• introduce departmental ATIP liaison officers to the Access to Information Act and regulations
• outline the roles and responsibilities of each PWGSC ATIP stakeholder; and
• provide national processing standards and guidelines for the centralized handling of requests

3.3 Access to Information and Privacy Directorate desk procedures

The ATIP Directorate has an ATIP officer desk procedures manual in place to standardize the work procedures used by staff, to facilitate the training of new hires and to complement the functionality of the electronic ATIP tracking system.

4. Training

4.1 Departmental employees

Given the complex nature of the Access to Information Act, and the need to balance the public's right to access information with the need to protect the legitimate interests of other parties, the ATIP Directorate provides regular guidance and information sessions.

During the fiscal year, the ATIP Directorate delivered 27 training and awareness sessions to 379 managers and employees at all levels from all branches of the Department.

As well, a section on ATIP is included in the Department's orientation program for new employees. This section provides information on employee obligations under the Act, including an explanation of the duty to assist, a reminder that only those delegated under the Act can make disclosure decisions, a reference to procedures for reporting suspected contraventions, as well as a link to the departmental policy on ATIP.

4.2 Access to Information and Privacy Directorate staff

The ATIP officer development program created in 2006 was revised in 2014 to 2015 to address the Department's mid and long-term shortage of skilled ATIP professionals by recruiting new employees at the junior level, and preparing them to fill senior ATIP officer positions at the PM-4 group and level up to a five-year horizon. The program is also intended to reduce the costs associated with the competitive staffing process and the use of consultants.

ATIP staff has the opportunity to register and complete certification programs such as the University of Alberta Information Access and Protection of Privacy certification program, take advantage of the ATIP training offered in house and by Treasury Board Secretariat (TBS), and also attend conferences such as the Canadian Access and Privacy Association (CAPA) conference.

Part III: Interpretation and explanation of trends of the statistical report

Statistical reporting on the administration of the Act has been conducted since 1983. Since 2011 to 2012, government institutions have completed more in-depth statistical reporting forms on the administration of the Act as prescribed by the TBS. The 2014 to 2015 statistical report on the Access to Information Act is provided in Annex B: Statistical report on the Access to Information Act.

1. Departmental overview of requests received

The ATIP Directorate processes all requests received by the Department pursuant to the Access to Information Act. Each request is first reviewed for clarity and is then assigned to one or more organizational units of the Department that become responsible for locating and retrieving the records containing the information sought, and identifying any costs or fees for processing the request.

Organizational units review their relevant records and provide recommendations to the ATIP Directorate on any sensitivity related to their disclosure. Where necessary, the ATIP Directorate also undertakes consultations with other organizations and third parties before a skilled ATIP analyst reviews each record to make a decision on disclosure. The ATIP Directorate then notifies the requester and provides access to all of the records that can be disclosed.

The majority of the access to information requests received by the Department during 2014 to 2015 related to the contracting and procurement services provided by PWGSC, of which a good number related to the National Shipbuilding Procurement Strategy and the replacement of the fighter jets. There was also a significant volume of requests for briefing notes to the Minister and Deputy Minister, as well as records pertaining to real property.

2. Requests under the Access to Information Act

In the 2014 to 2015 fiscal year, the media was the highest percentage of users of the Act, generating 37% of the requests received by PWGSC. The public represented the second largest source of requests, constituting 25% of those received, whereas the business sector accounted for 24%. Nine percent of the requesters declined to identify, and the remaining came from organizations and the academic community. Chart I provides the related details.

Chart I: Access to Information requests received by source

A total of 861 requests were in progress during this reporting period, which represents a 14% decrease in volume compared with the previous fiscal year. Of the 861 requests in progress, 691 (80%) were new requests, while 170 requests (20%) were outstanding from the previous years. Chart II provides an overview of the trends related to the volume of requests processed by PWGSC over the past three fiscal years.

Chart II: Processing trends for access to information requests

3. Requests closed during the reporting period

Of the 861 requests in progress, 641 requests (74%) were completed during the 2014 to 2015 reporting period, which represents a 23% decrease compared with the previous fiscal year. The remaining 220 requests (26%) were carried forward to the next fiscal year.

In addition to the above workload, PWGSC responded to 182 informal requests for records previously released under the Act. This is a 15% decrease compared with the previous reporting period.

Of the 641 cases completed, information was released either in whole or in part in 483 requests (75%), with more than 190,000 pages reviewed, and approximately 115,000 pages released. Chart III provides an overview of the disposition of requests closed by PWGSC during the fiscal year.

Chart III: Disposition of access to information requests closed

4. Exemptions and exclusions

Sections 13 through 24 of the Act set out the exemptions intended to protect information pertaining to a particular public or private interest, and section 26 of the Act is an administrative exception relating to the publication of information.

Pursuant to section 68, the Act does not apply to material that is published or available for purchase, library or museum material preserved solely for public record, material deposited with Library and Archives Canada, as well as records considered to be confidences of the Queen's Privy Council of Canada pursuant to section 69 of the Act.

Annex B: Statistical report on the Access to Information Act shows the types of exemptions and exclusions invoked to refuse access. For clarity purposes, if five different exemptions and/or exclusions were used in one request, each relevant section would be reported for a total of five. If the same exemption or exclusion was used several times for the same request, it would be reported only once.

PWGSC is the recipient of a considerable amount of commercial, technical and financial information from third parties and, as in past years, the majority of the requests received by the Department were for records containing third party information. While most third party information is of a sensitive nature, PWGSC has endeavoured to release as much as possible, to remain consistent with the spirit of the Act and the severability provisions of its section 25.

As noted in Annex B: Statistical report on the Access to Information Act, personal information [subsection 19(1)], third party information [paragraphs 20(1)(b) and (c)] as well as statutory prohibitions [subsection 24(1)] of the Act accounted for the majority of the exemptions applied by the Department.

In the 2014 to 2015 fiscal year, exclusions were applied pursuant to sections 68 and 69 of the Act on 48 requests or seven percent of the total number of cases completed. This represents a two percent increase compared with the previous reporting period.

5. Format of information released

Of the 483 requests in which information was released, the requesters received copies of the records in all cases. There were no cases where access was provided by a combination of copies and in-person examination. It should be noted that the data in this section reflect only requests for which information was all disclosed or disclosed in part.

Records were provided in the form of paper copies for 315 requests (65%), whereas 168 cases (35%) were in electronic format, representing a four percent decrease compared with the previous fiscal year. With either method of access, as well as in-person examination, the ATIP Directorate offered the choice to the requester.

6. Complexity

PWGSC processed over 190,000 pages during the reporting period. This represents a 25% decrease compared with the previous fiscal year. While the files contained an average of 352 pages to be processed, 35 of the 641 requests completed (5%) had over 1,000 pages, including eight with more than 5,000 pages. Chart IV provides the trends related to the relevant pages processed and disclosed by PWGSC over the past three fiscal years.

Chart IV: Trends for relevant pages processed and disclosed

In addition to the high volume of records, consultations were required for 265 of the 641 requests completed (41%). Other complexity factors included the assessment of fees, multiple tasking and clarifications of requests, unprecedented cases, as well as the processing and disclosing of electronic records in their original software format.

The consultation process on Cabinet confidences is also complex as detailed schedules must be prepared. In some cases, consultations have been returned to the ATIP Directorate seeking additional information that in turn required further internal and/or external consultations. This contributed to increasing the complexity and processing time. The consultation process took up to 268 days with the Privy Council Office and up to 182 days with Legal Services.

7. Processing time

Due to the nature of PWGSC's mandate, the records requested often contain commercial and/or government sensitive information. As a result, many of the requests were extended pursuant to paragraphs 9(1)(b) and/or (c) of the Act, in order to undertake the necessary consultations with other government institutions and third parties prior to disclosure. Time extensions under paragraph 9(1)(a) of the Act were also required for requests involving a large number of records.

Of the 641 requests completed during the fiscal year, 294 (46%) needed to be extended in accordance with section 9 of the Act. While on average a 96-day time extension was taken, the average completion time for these requests was 150 days.

Despite the volume and complexity, 324 requests (51%) were completed within the initial 30-day period. The average processing time for all requests completed was 80 days. This is 25 days less than the previous fiscal year.

Since 2009 to 2010, the Department has strived to maintain a high performance and attained a 95.2% compliance rate in 2014 to 2015 for responding to access to information requests within the legislated timelines.

During the reporting period, 31 requests fell in a deemed refusal status and were closed after the statutory deadline. On average, PWGSC needed an additional 321 days to complete these late files.

The ATIP Directorate workload and the external consultations undertaken were the principal reasons for delays in 90% of the 31 late cases. Other factors such as the complexity of requests and the reassignment of files within the ATIP Directorate also contributed to the delays.

The Department's timeliness and compliance continue to be closely monitored and reported to senior management on a weekly basis. Progress, success and performance are also reported to the Deputy Minister Executive Committee on an annual basis.

8. Translation

There were no requests for the translation of information from one official language to another.

9. Fees

The Access to Information Act authorizes fees for certain activities related to the processing of formal requests under the Act. In addition to the $5 application fee, other fees may apply for search, preparation and reproduction of the various records, as specified in the Access to Information Regulations.

No fees are imposed for reviewing records or for overhead or shipping. Moreover, in accordance with section 11 of the Act, no fees are charged for the first five hours to search for records or to prepare any part of it for disclosure.

It is the Department's practice to waive fees where (a) the total costs assessed are less than $25 and (b) the legislative time limits have been exceeded by more than six months. Furthermore, since April 2011, when photocopying fees assessed are over $25, the Department provides the records in electronic format, on disc, waiving the related $2 fee. As per the delegation instrument, any decision to waive fees is made by the ATIP team leaders in accordance with the ATIP Directorate fee policy.

The fees collected during this reporting period totalled $6,107, while the fees waived in accordance with subsection 11(6) of the Act were $2,604. Fees collected for this reporting period are estimated to represent less than one percent of the Department's total cost of administering the ATIP program.

An electronic payment system continues to be used to facilitate the payment of fees by debit and credit cards.

10. Consultations from other government institutions and organizations

In addition to ATI requests, the Department received 378 consultations during the reporting period, amounting to 37,198 pages of records to review. Chart V outlines the government institutions that consulted PWGSC most frequently in 2014 to 2015.

Chart V: Consultations received by originating institution

A total of 394 consultations were in progress during the reporting period. PWGSC responded to 375 consultations, within an average of 25 days. This is comparable to the previous fiscal year. Chart VI provides consultation trends over the last three years.

Chart VI: Processing trends for consultations

11. Complaints and court actions

Table I provides the breakdown of complaints made to the Office of the Information Commissioner of Canada (OIC) and of requests for judicial review filed with the Federal Court and the Federal Court of Appeal.

11.1 Complaints to the Office of the Information Commissioner of Canada

In 2014 to 2015, the OIC notified the Department that it had received 27 new complaints, 14 of which related to requests received in previous fiscal years. This represents a slight decrease compared with the previous fiscal year.

Of the 27 new complaints, eleven (41%) related to information withheld under the Act, seven (26%) pertained to time extensions taken, seven (26%) concerned missing records, and two (7%) were about delays.

In 2014 to 2015, the OIC closed 27 complaints. Of these, 12 were well founded, nine were not well-founded, and six were discontinued. Forty-five complaint investigations were still ongoing at the end of the fiscal year.

Of the 12 complaints deemed well founded in 2014 to 2015, five concerned the time extensions greater than that necessary to process the requests, three related to missing records, three pertained to information withheld under the Act, and one concerned delays in the processing of requests. While the valid complaints represent less than two percent of requests closed during the reporting period, PWGSC regularly reviews investigative findings to improve its administration of the Access to Information Act.

11.2 Court actions

In 2014 to 2015, two third parties filed three applications for judicial reviews with the Federal Court pursuant to section 44 of the Act. Below is a summary of these cases.

• Federal Court numbers T-1172-14 and T-1173-14: ADGA Group Consultants Inc. requested a judicial review of PWGSC's decision to disclose correspondence, reports and records regarding contract W8484-13BN06 for professional management and engineering support services to National Defence. ADGA Group Consultants Inc. claimed that the records contain confidential and trade secret information the disclosure of which, without their permission, is contrary to the provisions of section 30 of the Defence Production Act. The applicant filed notices of discontinuance on August 12, 2014
• Federal Court number T-1964-14: Roche Ltée, Groupe-Conseil requested a judicial review of PWGSC's decision to disclose their proposals and records related to Request for Standing Offer EP168-133052/A (structural engineering services). The company claimed that it never received a notice pursuant to section 27 of the Act and that certain information should be exempted under subsection 19(1) and paragraphs 20(1)(b), (c) and (d) of the Act. A notice of discontinuance was filed on May 4, 2015

There were three judicial reviews carried over from previous fiscal year, as follows:

1. Federal Court number T-1429-13: Provincial Aerospace Limited (PAL) requested a judicial review of PWGSC's decision to disclose documents and contracts pertaining to the Fisheries and Oceans Canada Air Surveillance Program from 2009. PAL claimed that releasing the information including the bid/contract details as well as the names and contact information of employees would be contrary to subsection 19(1) and paragraph 20(1)(c) of the Act. Discontinuance with consent on behalf of all parties was filed on October 17, 2014
2. Federal Court number T-1861-13: First North Health Group (FNHG) requested a judicial review of PWGSC's decision to disclose records pertaining to contracts for short term nurse relief services in Manitoba. They claimed that the records contain information revealing their inner-workings, arrangements and internal organization including how they put together a winning bid and manage their resources. They are of the view that releasing this information would be contrary to paragraph 20(1)(c) of the Act. Discontinuance on behalf of applicant was filed on November 4, 2014
3. Federal Court number T-291-14: Calian Ltd. requested a judicial review of PWGSC's decision to release the per diem rates in contract W0046-080001/001TOR (provision of research assistance) based on a disclosure clause contained therein. The hearing took place on June 2, 2015 before Justice Henry Brown of the Federal Court. The judge has reserved his decision until later

12. Resources related to the Access to Information Act

Total operations and maintenance costs amounted to $2,632,047. This included $554,437 for temporary help resources and $135,070 for other goods and services as well as the maintenance of the secret local area network and the case management and redaction systems.

The total salary costs of the Access to Information program were $1,940,901 or 74% of the ATIP Directorate's budget. The number of employees and temporary help resources utilized was estimated at 31 for fiscal year 2014 to 2015.

Annex A: Delegation of authorities (excerpt)

Please note that the November 4, 2011 version has been updated as follows:

Changes to Schedule 1

• Integration of "printing" under goods procurement within department-wide authorities. While printing is currently covered under standing offers which offer specific authorities, integrating printing within the goods procurement will provide additional clarity and flexibility
• Increased limits for the Software Licensing Supply Arrangements (SLSA) from $40,000 to $100,000 upon review of business volumes in collaboration with Acquisitions Branch
• Integration of new travel authorities and revision of hospitality, events and conferences authorities in order to be aligned and compliant with the revised TB Directive on travel, hospitality, conference and event expenditures, effective August 1, 2013
• Integration of a new authority for the Chief Financial Officer to act as the delegated travel and hospitality approval authority in situations where the Deputy Minister participates at the hospitality event or is the traveler
• Modification of the delegations pursuant to the Access to Information Act and the Privacy Act in order to reflect the transfer of the mandate for these authorities from the DG, Executive Secretariat to the DG responsible for the ATIP program, and the provision of additional authorities to team leaders
• Amendment to revenue agreement memoranda of understanding and specific services agreements authorities in order to allow incumbents of certain Real Property positions (level 3 and 4) to perform low risk transactions in order to avoid project delays
• Modification of the authority to make changes to the table of equivalent positions in order to allow the Deputy Minister to perform changes to the specific delegation of authorities in accordance with the TB Directive on delegation of financial authorities for disbursements
• Addition or change to the "table of equivalent positions" and "specific delegation of authorities" tables to reflect the current organizational structures

Minister's and Deputy Minister's delegation of authorities

We hereby delegate the powers vested in the offices of the Minister and Deputy Minister of Public Works and Government Services, in the manner defined in Schedules 1 to 4, the associated tables of equivalent positions and specific delegations in the notes to these schedules, including officers appointed on a temporary or acting basis to positions so defined, subject to the principles, guidelines, limitations and restrictions described in the department's delegation of authorities manual and all relevant legislation, regulations and policies.

Specifically, this instrument is intended to delegate authority, as defined by:

Schedule 1

"Department-wide authorities", the "table of equivalent positions" for Schedule 1 and the specific delegations contained in the "notes to Schedule 1"

Schedule 2

"Real Property authorities", the "table of equivalent positions" for Schedule 2 and the specific delegations contained in the "notes to Schedule 2"

Schedule 3

"Common service acquisition authorities", the "table of equivalent positions" for Schedule 3 and the specific delegations contained in the "notes to Schedule 3"

Schedule 4

"Receiver General for Canada authorities"

Further, these delegations are made on the explicit understanding that they are to be used only to:

• commensurate with the level of responsibility assigned to the position and when required to undertake the duties of that position as described in the operational plans of the Department
• attain departmental objectives, within the departmental mandate
• attain clients' objectives when providing common services to client departments

The department's delegation of authorities manual documents the delegated authorities of Public Works and Government Services Canada and includes important information on the conditions under which we have made these delegations. All officers of the Department who are acting on our behalf in any matter related to these delegations must make themselves familiar with the contents of the manual to ensure that they are fully cognizant of the conditions and implications of doing so.

Annex B: Statistical report on the Access to Information Act

Name of institution: Public Works and Government Services Canada

Reporting period: April 1, 2014 to March 31, 2015

Part 1: Requests under the Access to Information Act

1.1 Number of requests

1.2 Sources of requests

1.3 Informal requests

Note: All requests previously recorded as "treated informally" will now be accounted for in this section only.

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: 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

6.1 Requests with Legal Services

6.2 Requests with Privy Council Office

Part 7: Complaints and investigations

Part 8: Court action

Part 9: Resources related to the Access to Information Act

9.1 Costs

9.2 Human resources

Note: Enter values to two decimal places.