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Access to Information and Privacy Protection

Annual Report 1998-99

Table of Contents

Preface

Responsibilities

The Department of Foreign Affairs and International Trade:

• Manages Canada's political, economic, trade and cultural relations with over 100 other countries.
  
  
• Manages Canada's diplomatic missions and delegations around the world
  
  
• Provides a wide range of services to Canadians who are travelling or living abroad: passports, advice, information, and assistance in the event of natural or other emergencies.
  
  
• Helps Canadian businesses to promote and sell their goods and services in foreign markets.
  
  
• Encourages the flow of investment and new technology into Canada.
  
  
• Negotiates trade and investment agreements, and resolves disputes on behalf of Canadian stakeholders.
  
  
• Promotes international human rights, peace and security through our relations with individual countries as well as through our membership in international organizations.
  
  
• Works with representatives of other countries to develop international laws and regulations.
  
  
• Ensures that Canadian policies are consistent with our international obligations.
  
  
• Promotes Canadian cultural industries and educational institutions abroad.
  
  
• Organizes official visits to Canada by heads of state, heads of government and ministers, and visits by the Governor General, Prime Minister and other ministers abroad.
  
  
• Enhances Canadians' understanding of international trade and foreign policy issues through public information programs, media relations activities, consultations, our Internet web site and other outreach activities.

Organization and Implementation

Organization

• The Director of the Access to Information and Privacy Protection Division (the ATIP Office of the Department) has been delegated full authority to exercise the powers of the Access to Information Act and the Privacy Act.
  
  
• The ATIP Director reports to the Director General of the Executive Services Bureau. In addition to the ATIP Director, the Deputy Minister of Foreign Affairs, the Deputy Minister for International Trade, and the Director General of the Executive Services Bureau are also designated with full powers, and all Heads of Mission are designated to act under Section 8(2)(m) of the Privacy Act.
  
  
• In addition to the Director, the ATIP Office has a complement of four officers, two support staff and two consultants, all of whom are dedicated to access, privacy and directly related issues on a full-time basis. The mix of rotational foreign service and non-rotational specialist staff reflects an appropriate balance between broad ATIP experience and detailed knowledge of the policies and workings of a large and multi-faceted Department.
  
  
• The estimates of salary and operations for the ATIP Office found in the statistical record included in this report combine figures for operations under both the Access to Information Act and the Privacy Act since a breakdown for each Act is not practical.

Activities

• The development, co-ordination and implementation of effective policies, guidelines and procedures to manage the Department's compliance with both Acts.
  
  
• The Canadian Government holds records and information received in confidence from foreign Governments and international organizations. Other federal Government institutions are encouraged to solicit the assistance of the Department in determining the extent to which documents were obtained in confidence or the extent to which disclosure of information would be injurious to the conduct of international affairs. The ATIP Office is responsible for consultations with foreign Governments which are normally undertaken through Canadian posts abroad or resident foreign missions in Canada.
  
  
• Requests by foreign Governments regarding the declassification and disclosure of Canadian documents.
  
  
• Collection, under various legislative authorities or otherwise, of commercial information in confidence from Canadian companies operating abroad or dealing with foreign Governments. In the event of requests for such information, the Department, if it determines it has no substantive interest in the information, will undertake appropriate notification or consultation with interested parties before considering disclosure of any records.
  
  
• Response to requests for release of personal information to federal investigative agencies under Section 8(2)(e) of the Privacy Act.
  
  
• Promoting awareness of both Acts through briefings and guidance to departmental units on compliance with the legislation.
  
  
• Monitoring departmental compliance with both Acts, accompanying regulations and relevant procedures and policies. All requests submitted to the Department within Canada or at Canadian missions abroad are replied to by the ATIP Office in Ottawa.

Additional Responsibilities

Due to the international role of the Department of Foreign Affairs, the Department faces special challenges in the administration of the ATIP legislation. The interests of other states and international organizations would be seriously affected were sensitive information released inappropriately. If such information is not properly protected, significant damage could result - not only in respect of Canada's relations with the affected party, but with others who may be less forthcoming in future matters of interest to Canadians.

The broad rule on state-to-state relations, and Canadian participation in deliberations of international organizations or multilateral bodies, is that communications between and among governments are private. The Canadian legislation, designed for domestic circumstances, must therefore be applied judiciously to retain the trust of other governments and organizations with which Canada deals. Similarly, The Department of Foreign Affairs and International Trade holds data and information provided, usually in confidence, by provincial governments in Canada, by other federal departments and by the Canadian business sector.

Consultation

The Canadian government holds records and information received in confidence from foreign governments and international organizations. Other federal government institutions are encouraged to solicit the assistance of the Department in determining the extent to which documents were obtained in confidence or the extent to which disclosure of information would be injurious to the conduct of Canada's international affairs. These consultations can be lengthy and complex. The ATIP Office is responsible for consultations with foreign governments and international organizations, which are normally undertaken through Canadian posts abroad or, at times, through foreign missions resident in Canada.

The Department also collects, under various legislative authorities or otherwise, an appreciable amount of commercial information obtained in confidence from Canadian companies operating abroad or dealing with foreign governments. In the event of requests for such information, the Department, if it determines is has no substantive interest in the information, will undertake appropriate notification or consultation with interested third parties before disclosing records.

In 1998-99 the Department received 263 consultations from other governments for release of information. Included in these statistics are a number of requests for consultation with foreign Governments for release of information and requests from foreign Governments for the declassification of information by the Canadian Government.

Requests from Investigative Bodies

The ATIP Office processed 125 requests for disclosure of information under Section 8(2)(e) of the Privacy Act.

Enhanced Access

Screening Program

The ATIP Office is responsible for screening Departmental records prior to transfer to the National Archives. This obligatory program allows the department to release records each year that facilitate research access to greater volumes of information concerning Canada's conduct of international relations.

Historical Section: Informal Access Program

This program provides an avenue for academics and serious researchers who seek access to records held by the department in order to carry out to their work. With the assistance of departmental divisions, access to records held by the Department is expedited within a framework ensuring that sensitive information remains protected.

Informal Access

The ATIP Office responded to 23 requests for informal access to information. Informal requests are also addressed to divisions within the Department, the Media Relations Office, the main Departmental library which is located on the main floor of the building for enhanced public access, or to missions abroad. Departmental officers are encouraged to consider responding to informal requests for information.

Reading Room

A reading room is available in the public access area of the Department's headquarters adjacent to the ATIP Office. Current departmental manuals and other documents are available for view by members of the public. This area is also available for requesters who wish to examine directly material being disclosed, to reduce the impact of related photocopying fees.

Challenges

In the past five years, the number of access to information requests to the Department has increased from 191 to 381, the number of privacy requests has increased from 28 to 61 and the number of consultation requests from other departments and foreign governments has increased from 105 to 263. In 1998-99 the Department processed more than 55,000 pages of documents and released more than 38,000 pages.

The Department also faces other challenges, including:

• the need to obtain documents held at diplomatic missions overseas in order to respond to requests
• the high volume of cases requiring consultation with third parties and other governments and international organizations or multilateral bodies
• the complexity and sensitivity of requests received

In 1999, the Information Commissioner of Canada released a report on the performance of the Department in responding to access to information requests. Concerns were expressed regarding the percentage of cases which failed to be processed within the timeframes identified by legislation. The Department is committed to ensuring the transparency mandated the Access to Information Act and, at the direction of the Deputies Minister, has undertaken an aggressive process to improve performance.

Progress

The initiatives undertaken to increase the Department's ability to requests for information include:

• Effective April 1, 1998, the Department implemented a case tracking system which is year 2000 compliant and greatly improves the capacity of management to monitor and track progress on files
• Weekly performance reports to senior management to ensure expedient responses from all parts of the Department
• Expediting the completion of requests, through streamlined approval steps
• Introduction of an ATIP component as part of the Canadian Foreign Service Institute training program for all foreign service recruits
• Development of training modules for identified target groups within the Department

Part I - Access to Information

Statistical Report

The complete statistical report can be found at the end of this report, as Annex A.

Interpretation/Explanation

During fiscal year 1998-99, the Department of Foreign Affairs and International Trade received 381 new requests pursuant to the Access to Information Act. One hundred and three requests were carried over from the previous reporting year. Of these 484 requests, 384 were completed during the period under of this report and 104 were carried forward. One hundred and seventy-nine requests were completed in 30 days or less and a further 62 were completed in less than 60 days. The remainder required more than 60 days to complete.

The disposition of the completed requests is as follows:

The statistical report does not reflect consultation requests, of which the Department received 263 from other departments and other governments.

The breakdown of requesters, below, is not clearly indicative of end users. They must be inferred from information provided with the access to information request. The breakdown is as follows:

The costs identified in Annex A indicate estimated salary and operations budget.

Complaints

Of the 56 complaints received during the year by the two Commissioners' Offices concerning the Department, 52 were under the Access to Information Act.

Twenty-nine of the complaints under the Access to Information Act concerned delays (up from 20 in the previous year). Upon investigation, 35 of the access to information complaints were considered to be well-founded, 8 were judged to be not substantiated and 4 were discontinued.

Applications to the Federal Court

During 1998-99, one application was filed pursuant to section 41 of the Access to Information Act:

Ken Rubin v. the Minister of Foreign Affairs and Minister for International Trade. This application was before the Court during the period under review.

One application, Hien Do-Ky and the Vietnamese Refugee Sponsorship Committee v. the Minister of Foreign Affairs and Minister for International Trade, remained pending before the Federal Court of Appeal:

Designation Order

A current list of officials, by title, who have been designated by the Minister to exercise powers under the Act is located at the end of this report, as Annex B.

Part II - Privacy

Statistical Report

The complete statistical report can be found at the end of this report, as Annex C.

Information/Explanation

During FY 1997-98, 61 Privacy requests were received by the Department. Four requests were carried over from the previous reporting year. Of these 65, 62 were completed during the reporting year. They were processed as follows:

Forty-five of the completed requests were answered within 30 days, 14 took up to 60 days and 3 exceeded 60 days.

Of the 56 complaints received during the year by the two Commissioners' Offices concerning the Department, 4 were under the Privacy Act.

Only 1 of the complaints under the Privacy Act concerned delay (down from 6 in the previous year). Of the four Privacy Act complaints, only the single delay complaint was considered to be well-founded. One of the complaints was abandoned and 1 was resolved through the use of alternative grounds for disclosure.

Requests for Correction of Information

No requests for correction of information held by the Department were received during the period of this report.

As Senior Advisor on privacy issues to the Department, the Director of the Access to Information and Privacy Protection Division (the ATIP Office) regularly provides advice and guidance on important and sensitive policy issues, including the handling and protection of personal information on employee files as well as personal information on others gathered and held on departmental files. Regular intra-departmental briefings and accumulated experience, from training and individual file processing, are resulting in growing awareness of the need to meet the requirements of the Privacy Act. The ATIP Office is consulted with increasing frequency by departmental units at headquarters and abroad on the proper handling and protection of information concerning individuals. Informal requests for personal information from the Department's information banks are also handled in the ATIP Office.

Formal/Informal Interface

There is no change since the last report. Employees of the Department continue to be able to have access to personnel files on an informal basis, usually without recourse to the ATIP Office. Requests from individuals have been handled as expeditiously as possible, formally and informally.

Designation Order

The current list of officials, by title, who have been designated by the Minister to exercise powers under the Act is provided at the end of this report, as Annex D.

Disclosures under 8(2)(e)

One hundred and twenty five requests for disclosure under Section 8(2)(e) of the Privacy Act were received by the Department from federal investigative bodies and all were processed in accordance with theAct.

Use and Disclosure

As the Department controls only a limited number of Personal Information Banks, the implementation of the Use and Disclosure code with respect to personal information has not been a problem.

Applications to the Federal Court

The Federal Court has under consideration one application by an individual concerning a refusal to confirm or deny an action involving personal information.