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| No.: |
87 |
| DATE: |
April 7, 2003 |
| TO: |
Access to Information and Privacy Coordinators |
| SUBJECT: |
Annual Reports and Statistical Reports of the Access to Information Act and the Privacy Act |
GOVERNMENT INSTITUTIONS ARE REMINDED THAT THEY MUST SUBMIT THEIR 2002-2003 ANNUAL REPORTS TO PARLIAMENT, AS REQUIRED BY THE ACCESS TO INFORMATION ACT AND THE PRIVACY ACT. ANNUAL REPORTS MUST BE SUBMITTED "WITHIN THREE MONTHS AFTER THE FINANCIAL YEAR IN RESPECT OF WHICH IT IS MADE OR, IF THE HOUSE IS NOT THEN SITTING, ON ANY OF THE FIRST FIFTEEN DAYS NEXT THEREAFTER THAT IT IS SITTING" (SECTIONS 72).
GOVERNMENT INSTITUTIONS ARE ALSO ASKED TO SUBMIT THEIR ANNUAL STATISTICAL REPORTS ON THE OPERATION OF THE ACCESS TO INFORMATION ACT AND THE PRIVACY ACT TO THE TREASURY BOARD SECRETARIAT BY
MAY 16, 2003.
Port Authorities are reminded that their reports are co-ordinated by Transport Canada, Port Liaison (613) 993-6447.
ANNUAL REPORTS TO PARLIAMENT
These instructions are intended to assist in the preparation and submission of annual reports to Parliament, as required by sections 72 of the Access to Information Act and the Privacy Act. Further information on this subject may be obtained by referring to the Treasury Board Manuals: Access to Information and Privacy and Data Protection Volumes. The general outline of the reports should conform to the following instructions.
Content
Annual reports are the means by which government institutions account for their efforts to administer access to information and privacy legislation. It is important to emphasize that reports should reflect the unique experiences of institutions and no single format can serve the needs of all departments and agencies. A sample "Table of Contents" listing elements that typically comprise annual reports is attached as
Appendix A.
The reports should provide an overall view of institutions' access to information and privacy policies and procedures. They should highlight recent developments and accomplishments, such as changes aimed at expediting processing activities and reducing turnaround times for requests. Reference should be made to any improvements to the provision of information through both formal and informal access channels. Reports should also identify issues that have privacy implications, such as legislative, policy and service delivery initiatives, data matching and data sharing agreements and the impact of new technologies.
Statistical reports must be included. Any major trends, discrepancies or relationships pertaining to the statistics should be documented in the text. For example, significant relationships regarding the application of exemptions and exclusions, full and partial disclosures of information and extensions should be addressed in the context of complaints to the Commissioners or to actions in the Federal Court. Accounts of the findings, decisions and any remedial actions implemented should be outlined to provide a balanced view of institutions' performances.
Annual reports should describe how access to information and privacy programs operate within the broader information management framework. References to the organizations' information holdings and to their information technology infrastructure will provide Members of Parliament and the public with a more comprehensive view of the institutional environment.
Reports should include references to organizational changes or changes to the decision-making process, notably to delegation orders. There is no need to repeat information provided in earlier reports. In making the distinction between repetition and cross-reference, institutions should be guided by convenience to the reader.
Copies of recent annual reports are available in the Information and Security Policy Division. Anyone who is interested in examining them should arrange to view them at the Treasury Board Secretariat.
Authorization
Although annual reports must be approved by the Minister, they do not have to be signed by the Minister. Reports are to be accompanied by a letter of transmittal from the Minister to the Clerk of the House of Commons and to the Clerk of the Senate.
Institutions subject to both the Access to Information Act and the Privacy Act must prepare separate annual reports for each Act, although they may be submitted under the same cover.
In the letter of transmittal, the Minister must indicate that:
- The reports are tabled in accordance with section 72 of the Access to Information Act and section 72 of the Privacy Act.
- The reports are to be referred to the Standing Committee on Justice and Human Rights.
Submission
Copies of the annual reports to Parliament must be submitted to the following:
Clerk of the House of Commons
Parliament Buildings
Ottawa, Ontario
K1A 0A6
1 copy
Clerk of the Senate
Parliament Buildings
Ottawa, Ontario
K1A 0A4
1 copy
The Information Commissioner of Canada
Tower B, 22nd Floor
Place de Ville112 Kent Street
Ottawa, Ontario
K1A 1H3
1 copy (Access only)
The Privacy Commissioner of Canada
Tower B, 3rd Floor
Place de Ville112 Kent Street
Ottawa, Ontario
K1A 1H3
1 copy (Privacy only)
Colette Dubois
Information and Security Policy Division
Government Operations Sector
Treasury Board of Canada Secretariat
East Tower, 8th Floor
L'Esplanade Laurier140 O'Connor Street
Ottawa, Ontario
K1A 0R5
2 copies
ANNUAL STATISTICAL REPORTS
These instructions are intended to assist in the preparation of the annual statistical reports on the operation of the Access to Information Act and the Privacy Act. Further information on this subject may be obtained by referring to the Treasury Board Manuals: Access to Information and Privacy and Data Protection Volumes. The reports should conform to the following instructions.
Timing
You are asked to prepare and submit your 2002-2003 annual statistical reports to the Treasury Board Secretariat by
May 16, 2003.
Submission
Please refer to Appendix B for instructions on how to submit your data. Please submit your data in an electronic format if at all possible.
Content
The annual statistical reports are intended to provide up-to-date statistics on the operation of the legislation. They enable the government to monitor trends and to respond to enquiries from Members of Parliament, the public and the media. They also form the statistical portion of institutions' annual reports to Parliament.
The following are particular aspects that should be considered when preparing reports:
- All of the categories prescribed on the reporting form must be completed.
- Statistics must be compiled consistently and according to the definitions attached as
Appendix C.
- Statistical categories must be mathematically reconciled and any discrepancies should be explained.
- All fields should be completed using numerical data.
- Statistics submitted to the Treasury Board Secretariat for the fiscal year should be identical to those appearing in the institution's annual report to Parliament.
Enquiries
Please direct any questions regarding these instructions to Information and Security Policy Division at (613) 957-2455 or fax at (613) 952-7287 or by e-mail at
dubois.colette@tbs-sct.gc.ca.
Anne Brennan
Director
Information and Security Policy Division
Government Operations Sector
Appendix A
Annual Report to Parliament
Table of Contents
The following sections may be contained in individual reports:
Access
to Information
(a)
Introduction, including highlights and accomplishments
(b)
Statistical report
(c)
Interpretation of the statistical report, e.g. descriptions of
significant trends and explanations related to the disposition of requests, the
application of exemptions and exclusions, completion times and extensions
(d)
Institutional policies and procedures
(e)
Organization of activities, including the delegation of authority
(f) Significant changes, e.g. to formal and informal access channels or the
use of new technologies
(g) Description of the institutional information
(h)
Education and training activities, including briefing and awareness
sessions indicating the number of sessions and the number of participants
management framework
(i) Complaints and investigations
(j)
Appeals to the Federal Court
Privacy
In addition to (a)
through (j):
(k) Privacy impact of any legislative, policy and service delivery
initiatives or data matching and data sharing agreements
(l)
Improvements to privacy protection, e.g. use of privacy enhancing technologies
Appendix B
Submitting statistical
data to the Treasury Board Secretariat
Forms
Statistical reports
should be completed using the "Report on the Access to Information Act" form (TBS/SCT 350-62) and the
"Report on the Privacy Act"
(TBS/SCT 350-63). These are available under "Access to Information and
Privacy" on the Internet site at:
http://www.tbs-sct.gc.ca/gos-sog/atip-aiprp/forms/list_e.asp
Submission
Copies
of the annual statistical reports must be submitted to the following:
Colette Dubois
Information and Security Policy Division
Government Operations Sector
Treasury Board of Canada Secretariat
East Tower, 8th Floor
L'Esplanade Laurier
140 O'Connor Street
Ottawa, Ontario K1A 0R5
Appendix C
Statistical Report
Definitions
These definitions are intended to provide interpretation for the statistical categories that appear on the forms for the "Report on the Access to Information Act" (TBS/SCT 350-62) and the "Report on the Privacy Act" (TBS/SCT 350-63)
I. Requests under the
Access to Information Act and the Privacy Act
The following is a definition of a "request" for statistical reporting purposes.
A formal application for information meets the following requirements:
- It is in writing, using the "Access to Information Request Form", the "Personal Information Request Form" or, in the case of Access to Information, refers to the Act.
- It adequately identifies the individual submitting the request and includes a signed statement that they have a right of access under the legislation.
- It has been addressed to or received by the official identified in Info Source as the contact person for the government institution.
- It is accompanied by the application fee required by the Access to Information Act.
Received during reporting
period
This category includes requests received for the first time only. The reporting period covers the period between April 1 and March 31. Do not count requests that were re-submitted by the applicant in response to a requirement by the government institution for more information. Do not count requests that were re-submitted because the applicant initially failed to include the application fee under the
Access to Information Act or requests that were received under paragraph 8(2)(e) of the
Privacy Act.
Outstanding from previous
period
These are requests that required a time extension or that were incomplete at the closing date of the previous reporting period.
Completed during reporting
period
Requests are completed when either a disclosure or denial of access has taken place in response to a request, where no definitive answer could be given, e.g. unable to process, abandoned, etc., or when the request has been transferred. Where notification has been sent out that access is to be given but the applicant has not yet been given access to the information, that data should be reported under "carried forward".
Carried forward
Carried forward refers to cases where physical access has not yet been provided or a notification of denial of access has not yet been sent to the applicant.
II. Disposition of requests
completed
Report the disposition of each request under only one of the following categories. In the event where more than one category applies, explain the discrepancy.
All disclosed
This refers to cases where all of the information requested was disclosed to the applicant.
Disclosed in part
As a result of severability, only parts of the records were disclosed. Cite the specific exemptions invoked in section III of the form or the specific exclusions in section IV, in accordance with the definitions listed below.
Nothing disclosed
(excluded)
There was no disclosure because all of the information requested qualified for exclusion under section 68 or section 69 of the Access to Information Act or section 69 or section 70 of the Privacy Act. The specific exclusion is to be cited in section IV of the report.
Nothing disclosed
(exempt)
There was no disclosure because all of the information requested qualified for exemption. Cite as many of the specific exemptions as applicable in section III of the report.
Transferred
This refers to Access to Information Act requests that were transferred to another government institution with "greater interest". The receiving institution will account for the request under "request received".
Unable to process
This category includes the disposition of requests that cannot be accounted for elsewhere, e.g. requests made under the wrong legislation, requests where there was insufficient information to locate any relevant information, or requests for which no identifiable records existed.
Abandoned by
applicant
A request may be considered abandoned when the applicant formally withdraws it for reasons such as the amount of fees assessed or time extensions, or when there is no response to correspondence sent to the applicant within thirty days after the notice.
Treated informally
Requests may be counted as treated informally when it has been determined, through consultation with the applicant, that processing of a formal request can be discontinued in favour of providing the information via another, mutually satisfactory means. A request treated in this manner is not considered to have been abandoned.
III. Exemptions
invoked
For each request indicate the types of exemptions invoked to deny access. For example, if in one request five different exemptions were invoked, this should be reported as one exemption under each relevant section, for a total of five. If the same exemption was used several times for the same request, report it only once.
IV. Exclusions
cited
Included in this section are any requests which cite the Acts but where the records are excluded from access under the Acts. Indicate for each request the type of exclusion cited, not the number of times a particular exclusion is cited for each request. See also the example provided in section III above.
V. Completion time
Completion time is to be counted from the day of receipt of a complete request by the institution until the day the records were given or sent to the applicant or the day when notification of a denial of access was sent. The sum of these sections should be equal to the number of "completed requests".
VI. Extensions
Indicate the number of times an extension was sought during the reporting period, broken down by sub-category. Account for completed requests only.
VII. Translations
The sub-categories are self-explanatory.
VIII. Method of
access
The sum of the sub-categories should equal the sum of "all disclosed" and "disclosed in part".
Copies given
This refers to the number of requests for which access was provided by giving copies of records to the applicants. Include only those cases where copies were the sole method of access. Do not count the number of pages supplied to the applicant.
Examination
Count the number of requests for which access was given by allowing the applicant an opportunity to view the record requested. Include only those cases where no copy was provided.
Copies and
examination
Include all cases where information was both examined and copied, in whole or in part. Do not double-count, i.e. duplicate information included in the two categories above.
IX. Fees (Access to
Information)
The sub-categories are self-explanatory. Fees are to be calculated in accordance with the Regulations.
X. Corrections and notation
(Privacy)
The number of corrections requested should reflect the number of corrections for which processing was completed within the reporting period. The sum of "corrections made" and "notation attached" should equal the number of corrections requested. Correction requests which have not received a response should be counted in the next reporting period.
Each requested correction requiring a separate correction decision should be counted. There may be more than one correction within a document, e.g. spelling of the last name or educational qualifications, or there may be more than one correction affecting more than one document, e.g. an incorrect birth date appearing in several documents.
XI. Costs
Account for all costs involved in administering the legislation by indicating the resources, including staff salary and other estimated operating costs, spent during the reporting period. Do not attempt to simply calculate the costs of processing individual requests. What should be indicated are the total expenditures associated with those activities that are directly related to the administration of the legislation, e.g. training, consultation, etc. Staff resources should be reported in person-years or a decimal thereof (1 PY = 220 working days; 1 working day = 7.5 hours). Include only those costs involved in processing the requests completed during the reporting period. Costs of carried forward cases are to be included in the next report. Attention should be paid to separating access and privacy costs and avoiding double counting.
Source (Access to
Information)
Provide the number of requests received from each of the sources listed on the form. When it is not possible to identify the source, include the request under "public". The sum of these sections should be equal to the number of "requests received".
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