Annual Report to Parliament on the administration of the Access to Information Act 2019-2020

Document Properties

  • Type of Publication: Annual Report
  • Date: August 2020

Table of Contents

1. Introduction

The purpose of the Access to Information Act (ATIA) is to enhance the accountability and transparency of federal institutions in order to promote an open and democratic society and to enable public debate on the conduct of those institutions. In furtherance of that purpose, Part 1 of the ATIA extends the present laws of Canada to provide a right of access to information in records under the control of a government institution in accordance with the principles that government information should be available to the public, that necessary exceptions to the right of access should be limited and specific and that decisions on the disclosure of government information should be reviewed independently of government. Part 2 of the ATIA sets out requirements for the proactive publication of information.

This annual report was prepared and submitted in accordance with sections 94(1) and 94(2) of the ATIA as well as Section 20 of the Service Fees Act and covers the period from April 1, 2019 to March 31, 2020.

2. Mandate of the Office of the Superintendent of Financial Institutions (OSFI)

Under its legislation, OSFI's mandate is:

Fostering sound risk management and governance practices

OSFI advances a regulatory framework designed to control and manage risk.

Supervision and early intervention

OSFI supervises federally regulated financial institutions and pension plans to determine whether they are in sound financial condition and meeting regulatory and supervisory requirements.

OSFI promptly advises financial institutions and pension plans if there are material deficiencies, and takes corrective measures or requires that they be taken to expeditiously address the situation.

Environmental scanning linked to safety and soundness of financial institutions

OSFI monitors and evaluates system-wide or sectoral developments that may have a negative impact on the financial condition of federally regulated financial institutions.

Taking a balanced approach

OSFI acts to protect the rights and interests of depositors, policyholders, financial institution creditors and pension plan beneficiaries while having due regard for the need to allow financial institutions to compete effectively and take reasonable risks.

OSFI recognizes that management, boards of directors and pension plan administrators are ultimately responsible for risk decisions, that financial institutions can fail, and pension plans can experience financial difficulties resulting in the loss of benefits.

In fulfilling its mandate, OSFI supports the government's objective of contributing to public confidence in the Canadian financial system.

The Office of the Chief Actuary is an independent unit within OSFI that provides a range of actuarial valuation and advisory services to the Government of Canada. In conducting its work, the OCA plays a vital and independent role towards a financially sound and sustainable Canadian public retirement income system.

3. Strategic Outcomes

Primary to OSFI's mandate and central to its contribution to Canada's financial system are two strategic outcomes:

  1. A safe and sound Canadian financial system
  2. A financially sound and sustainable Canadian public retirement income system.

For the purposes of the Access to Information Act, the head of OSFI is the Superintendent and the responsible minister is the Minister of Finance.

4. Administration of the Access to Information Act

4.1 Access to Information and Privacy (ATIP) Unit

The Access to Information and Privacy (ATIP) Unit is part of the Enterprise Information Management (EIM) Directorate within the Information Management/Information Technology (IM/IT) Division. The unit is responsible for administering the Act for the Office of the Superintendent of Financial Institutions (OSFI). As such, the ATIP unit coordinates the timely processing of requests under the legislation, handles complaints lodged with the Information Commissioner, and responds to informal inquiries. The ATIP unit also provides advice and guidance to Office staff on matters involving the Act.

The Manager, Privacy and Access to Information reports to the Director, EIM and is supported by an ATIP Officer and a Junior ATIP Officer. In 2019-2020, the Senior ATIP Officer – Open Government position was created and staffed in preparation of Bill C-58 receiving royal assent in June 2019. The ATIP unit also relied upon the support of contract resources.

4.2 Institutional changes to the administration of the Access to Information Act

There were no significant institutional changes to the administration of the Access to Information Act to report during this reporting period.

4.3 Education and Training

Training efforts in 2019-2020 have been focused on ensuring OSFI staff understand their roles and responsibilities in the effective management and protection of OSFI's information resources as an enabler in the delivery of the ATI program through a combination of presentations, information sessions and information bulletins. Training efforts focused on ATIP awareness for new OSFI staff as part of an Information Management and ATIP awareness program (5 sessions, 14 participants) as well as tailored sessions for participants in the processes stemming from new proactive disclosure requirements as set out in the Act (17 sessions, 43 participants). In addition, 3 application-specific ATIP training sessions were held for 24 users.

4.4 Processing of access to information requests

All formal Access to Information requests are submitted to the Manager, Privacy and Access to Information, who reviews and assigns them to an ATIP Officer. The Officer requests the information from the appointed sectoral ATIP Liaison Officer(s) concerned. In gathering the material and subsequently reviewing it, the ATIP Office provides advice and direction to ensure that the provisions of the Act are respected.

Assembled material is reviewed by the ATIP Officer and the Manager, Privacy and Access to Information. The material and the recommendations pertaining to each request are then submitted to the program area for validation. Once agreed to, the release package is submitted to the Assistant Superintendent, Corporate Services for review and approval.

4.5 Delegation of Authority

Delegation orders set out what powers, duties and functions, for the administration of the Access to Information Act, have been delegated by the head of the institution and to whom. Administration of the Access to Information Act at OSFI is the responsibility of the Superintendent. The authority to claim exemptions and to issue various statutory notices has been delegated to the Assistant Superintendent, Corporate Services. The authority to issue various statutory notices has also been delegated to the Director, Enterprise Information Management and the Manager, Privacy and Access to Information.

4.6 Monitoring Compliance

The time taken to process access to information requests is tracked in the ATIP tracking system. The ATIP caseload is reviewed monthly with the Director, EIM and the proposed final responses to ATI requests are ultimately reviewed and approved by the Assistant Superintendent, Corporate Services. Concerns are raised as appropriate throughout the lifecycle of the request and priority is given to fulfilling OSFI's statutory obligations.

4.7 When Bill C-58 received royal assent

In support of the new proactive disclosure requirements introduced when Bill C-58 receive royal assent on June 21st 2019, OSFI has developed several processes to facilitate the identification, collection, review and publication of relevant material for proactive disclosure. These processes utilize functionality currently available through OSFI's electronic document and record management system (eSpace). ATIP Sector Contacts have been appointed by each Sector to coordinate proactive disclosure efforts for their groups and to ensure timely release of briefing note titles, contracts, travel & hospitality expenses, Parliamentary Appearance briefing binders and other material as required by the updated ATIA. These processes are overseen by the Senior ATIP Officer described in section 4.1.

In 2019-2020, an external consultant was engaged to perform a LEAN assessment of OSFI's ATIP processes. Several recommedations were subsequesntly made and are under consideration. The most significant of these recommendations was the establishment of the ATIP Liaison role. The ATIP Office has since developed and implemented the role of ATIP Liaison within each sector. The Liaisons facilitate the ATIP process by acting as subject matter experts (SME's) and as a single point of contact for their respective sectors.

OSFI's existing Information Management/Information Technology (IM/IT) polices and infrastructure allowed the organization to avoid any significant disruptions relating to the COVID- 19 pandemic and have had little effect on OSFI's ability to fulfill its Access to Information responsibilities. The planned review of current ATIP procedures and the selection/training of new ATIP Liaisons was accelerated to coincide with OSFI's work -from-anywhere posture. With the closure of OSFI's offices on March 13th, employees were no longer able to access paper files. Requests received by OSFI through the mail are retrieved by the Manager, Access to Information and Privacy on a weekly basis.

4.8 Reading room

In accordance with the Access to Information Act, a public reading room is available in Ottawa. It is located at 255 Albert Street, on the 16th floor. The reading room was not available to the public as of March 13th 2020 due to necessary restrictions arising from the COVID-19 pandemic.

5. Interpretation of the Statistical Report

Due to the nature of OSFI's work regulating financial institutions and private pension plans under federal jurisdiction, much of the information in its possession is third-party information about these supervised institutions and pension plans.

Part 1 – Requests under the Access to Information Act

Access to Information Consultation Requests to OSFI: Received, Outstanding from Previous Year, Closed, and Pending at End of Year: 2015-2016 to 2019-2020
Text description
Access to Information Consultation Requests to OSFI:Received, Outstanding from Previous Year, Closed, and Pending at End of Year: 2015-2016 to 2019-2020
 ReceivedOutstanding From Previous YearClosed During YearPending at End of Year
2015-2016374356
2016-2017636618
2017-20184573913
2018-201933133412
2019-20203912429

OSFI saw a 15.4% increase in ATI requests received in 2019-2020 - 39 requests were received compared to the 33 requests received the year prior. 42 requests were closed in 2019-2020. 12 requests were outstanding from the previous reporting period and 9 requests were carried over to the next year. Since the inception of the Act to March 31, 2020, OSFI has received 1,278 Access to Information requests.

Number and Source of Access to Information Requests at OSFI: Reporting Year 2015-2016 to 2019-2020
Text description
Number and Source of Access to Information Requests at OSFI: Reporting Year 2015-2016 to 2019-2020
 MediaAcademiaBusinessOrganizationPublicNot Disclosed
2015-201611061190
2016-2017112310190
2017-2018230110110
2018-20197017180
2019-2020150100131

The profile of requesters has also changed in 2019-2020, with a marked increase from requestors identifying themselves as media (15 in 2019-2020, up 114% compared to 7 in 2018-2019). This is in line with the trend of requests from the media seen over the last 5 years, with a peak of 23 in 2017-2018.

2019-2020 also saw a significant decrease in requests from the private sector (10, down 41% from 17 in 2018-2019) and an increase in requests from the public (13, up 62% from 8 in 2018-2019)

The number of informal requests completed in 2019-2020 was 88.8% higher than the previous year (17 in 20019-2020 compared to 9 in 2019-2020).

Part 2 – Requests closed during the reporting period

Disposition and completion time

The following table summarizes the actions taken with respect to the completed requests:

DispositionNumber of requests
All disclosed8
Disclosed in part28
All exempted0
All excluded0
No records exist4
Request transferred0
Request abandoned2
Neither confirmed nor denied0
Total42

Parts of the records were subject to exemptions. In every case, where applicable, the applicant was given access to the remaining portion of the records relevant to the request.

There was a marked increase in both the number of pages processed (66,3660 in 2019-2020 compared to 9,290 in 2018-2019) and the number of pages disclosed (3,660 in 2019-2020
compared to 1,861 in 2018-2019).

Exemptions

In the 2019-2020 reporting year, for the 42 requests completed, OSFI applied exemptions to withhold information under subsections 13(1)(a)(b) and (c), 14, 14(a), 15(1), 16(1)(b) and (c), 16(2), 16(2)(c), 16.1(1)(c), 18(d), 19(1), 20(1)(a), (b), (c) and (d), 21(1)(a), (b), (c) and (d) and 23 of the Act, as applicable.

Exclusions

Subsection 68(a) was applied twice.

Format of information released

Responses for 27 requests were provided in electronic format and paper copies were provided for another 9 requests.

Relevant Pages Processed and Disclosed

66,382 pages were processed and 3,660 pages were disclosed during the reporting period. In 2019- 2020, the majority of requests (28) resulted in partial disclosure. 8 requests were all disclosed and 2 requests were abandoned. The remaining 4 requests were not counted in this section as OFSI held no responsive records.

Deemed Refusal

92.9% of all requests closed in 2019-2020 were closed within legislated timelines. There were 3 requests for which responses were provided past the statutory deadline. The rate of deemed refusals has decreased this year over last reporting period – 3 of 42 (7.1%) compared to 7 of 35 (20%) in the previous year.

Request for Translation

No translations were requested in 2019-2020.

Part 3 – Extensions

5 request required extensions of 31 days to 60 days for:

  • interference with operations pursuant to 9(1)(a) and/or
  • consultation with another government department pursuant to section 9(1)(b).

13 requests required an extension of 61 to 120 days for:

  • interference with operations pursuant to 9(1)(a) and/or
  • consultation with another government department pursuant to 9(1)(b) and/or
  • consultation with third parties pursuant to section 9(1)(c).

3 requests required an extension of 121 to 180 days for:

  • consultation with another government department pursuant to 9(1)(b).

3 requests required an extension of 181 to 365 days for:

  • consultation with another government department pursuant to 9(1)(b).

4 requests required extensions of 365 days or more for:

  • interference with operations pursuant to 9(1)(a) and/or
  • consultation with another government department pursuant to section 9(1)(b).

Part 4 – Fees

The Service Fees Act requires a responsible authority to report annually to Parliament on the fees collected by the institution. With respect to fees collected under the Access to Information Act, the information below is reported in accordance with the requirements of section 20 of the Service Fees Act.

Application fees of $165.00 were collected for 33 of the 39 requests received over this period. The total amount of fees waived was $30.00.

In accordance with the Interim Directive on the Administration of the Access to Information Act, issued on May 5, 2016, and the changes to the Access to Information Act that came into force on June 21, 2019, OSFI waives all fees prescribed by the Act and Regulations, other than the $5 application fee set out in paragraph 7(1)(a) of the Regulations.

Part 5 – Consultations Received from Other Institutions and Organizations

In 2019-2020, OSFI saw a 13.5% increase in consultations received. 50 consultations were processed during this reporting period, compared to 44 in the previous year. In total, 1,456 pages were reviewed, a decrease of 2.3% from 2018-2019.

Recommendations and completion time for consultations received from other government institutions

33 consultations were processed within 1 to 15 days, 12 were processed within 16 to 30 days and 3 were processed within 31-60 days. 2 consultations were carried over to the next reporting period. OSFI recommended that the records contained in 21 consultations be disclosed in their entirety, 26 be disclosed in part and 1 request was abandoned.

In the last 6 years, OSFI has responded to 209 of the requests within 1 to 15 days, 48 within 16 to 30 days, 10 within 31 to 60 days and 1 within 61 to 120 days.

Recommendations and completion time for consultations received from other organizations

In 2019-2020, OSFI received 2 consultations from another organization outside of the Government of Canada for a total of 28 pages. One request was completed within 1 to 15 days and the other within 16 to 30 days. For both consultations, OSFI recommended the disclosure of the documents in their entirety.

Part 6 – Completion Time of Consultations on Cabinet Confidences

OSFI did not consult on Cabinet Confidences during the reporting period.

Part 7 – Resources Related to the Access to Information Act

Access to Information at OSFI: Costs and Human Resources: 2015-2016 to 2019-2020
Text description
Access to Information at OSFI: Costs and Human Resources: 2015-2016 to 2019-2020
YearCostsHuman Resources
2015-2016$104,8620.68
2016-2017$219,2591.25
2017-2018$440,5252.61
2018-2019$389,2814.6
2019-2020$543,9193.96

The cost to administer the Act during the reporting period was $543,919. Due to the volume and increasing complexity of the requests received in 2019-2020, OSFI employed multiple agency- supplied consultants to supplement its small ATIP team and ensure the delivery of Access to Information requests within statutory timelines. The aforementioned amount also includes the costs of the new Senior ATIP Officer – Open Government position and the new Junior ATIP Officer. Employee salaries accounted for 61% of total costs incurred, and represent 77% of the 3.96 person/years required to administer the Act. OSFI's reliance on agency-supplied consultants is diminishing as a result of hiring employees, representing only 30% of the total cost.

6. Complaints and Investigations

There were 6 new complaints received during the reporting period. 6 delay complaints under investigation were closed during the same period and the Information Commissioner provided OSFI with their findings. At the end of the reporting period, there were 7 complaints still under investigation by the Office of the Information Commissioner.

7. Appeals to the Federal Court of Canada

7.1 Major changes implemented as a result of concerns or issues raised by the Information Commissioner of Canada in her annual report to Parliament

The Information Commissioner of Canada did not raise any concerns or issues related to OSFI, therefore no major changes were implemented.

7.2 Major changes implemented as a result of concerns or issued raised by other agents of Parliament

No major changes were implemented by OSFI, as other agents of Parliament did not raise any concerns or issues.

7.3 Number of applications or appeals to the Federal Court or the Federal Court of Appeal during the fiscal year

There were no access to information related applications or appeals to the Federal Court or the Federal Court of Appeal during this fiscal year related to OSFI.

APPENDIX A

Statistical Report on the Access to Information Act

Name of institution: Office of the Superintendent of Financial Institutions

Reporting period: 2019-04-01 to 2020-03-31

Section 1: Requests Under the Access to Information Act

1.1 Number of requests

Number of Requests
Received during reporting period39
Outstanding from previous reporting period12
Total51
Closed during reporting period42
Carried over to next reporting period9

1.2 Sources of requests

SourceNumber of Requests
Media15
Academia0
Business (private sector)10
Organization0
Public13
Decline to Identify1
Total39

1.3 Informal requests

Completion Time
1 to 15 Days16 to 30 Days31 to 60 Days61 to 120 Days121 to 180 Days181 to 365 DaysMore Than 365 DaysTotal
1221010117

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

TBS/SCT 350-62

Section 2: Decline to act on vexatious, made in bad faith or abuse of right requests

Number of Requests
Outstanding from previous reporting period0
Sent during reporting period0
Total0
Approved by the Information Commissioner during reporting period0
Declined by the Information Commissioner during reporting period0
Carried over to next reporting period0

Section 3: Requests Closed During the Reporting Period

3.1 Disposition and completion time

Disposition of RequestsCompletion Time
1 to 15 Days16 to 30 Days31 to 60 Days61 to 120 Days121 to 180 Days181 to 365 DaysMore Than 365 DaysTotal
All disclosed22301008
Disclosed in part183425528
All exempted00000000
All excluded00000000
No records exist22000004
Request transferred00000000
Request abandoned11000002
Neither confirmed nor denied00000000
Decline to act with the approval of the Information Commisioner00000000
Total6136435542

3.2 Exemptions

SectionNumber of
Requests
SectionNumber of
Requests
SectionNumber of
Requests
SectionNumber of
Requests
13(1)(a)416(2)518(a)020.10
13(1)(b)216(2)(a)018(b)020.20
13(1)(c)216(2)(b)018(c)020.40
13(1)(d)216(2)(c)518(d)421(1)(a)15
13(1)(e)016(3)018.1(1)(a)021(1)(b)16
14116.1(1)(a)018.1(1)(b)021(1)(c)4
14(a)216.1(1)(b)018.1(1)(c)021(1)(d)2
14(b)016.1(1)(c)118.1(1)(d)0220
15(1)616.1(1)(d)019(1)2522.1(1)0
15(1) - I.A.*016.2(1)020(1)(a)2236
15(1) - Def.*016.3020(1)(b)1723.10
15(1) - S.A.*016.31020(1)(b.1)024(1)0
16(1)(a)(i)016.4(1)(a)020(1)(c)21260
16(1)(a)(ii)016.4(1)(b)020(1)(d)11 
16(1)(a)(iii)016.50 
16(1)(b)116.60
16(1)(c)14170
16(1)(d)0 
  • * I.A.: International Affairs
  • * Def.: Defence of Canada
  • * S.A.: Subversive Activities

3.3 Exclusions

SectionNumber of
Requests
SectionNumber of
Requests
SectionNumber of
Requests
68(a)269(1)069(1)(g) re (a)0
68(b)069(1)(a)069(1)(g) re (b)0
68(c)069(1)(b)069(1)(g) re (c)0
68.1069(1)(c)069(1)(g) re (d)0
68.2(a)069(1)(d)069(1)(g) re (e)0
68.2(b)069(1)(e)069(1)(g) re (f)0
69(1)(f)069.1(1)0

3.4 Format of information released

PaperElectronicOther
9270

3.5 Complexity

3.5.1 Relevant pages processed and disclosed
Number of Pages
Processed
Number of Pages
Disclosed
Number of Requests
66382366038
3.5.2 Relevant pages processed and disclosed by size of requests
DispositionLess 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 disclosed86500000000
Disclosed in part1224158312610515474366
All exempted0000000000
All excluded0000000000
Request abandoned2000000000
Neither confirmed nor denied0000000000
Total2230658312610515474366
3.5.3 Other complexities
DispositionConsultation
Required
Assessment of
Fees
Legal Advice
Sought
OtherTotal
All disclosed10102
Disclosed in part1004014
All exempted00000
All excluded00000
Request abandoned00000
Neither confirmed nor denied00000
Total1105016

3.6 Closed requests

3.6.1 Number of requests closed within legislated timelines
Requests closed within
legislated timelines
Number of requests closed within legislated
timelines
39
Percentage of requests closed within legislated
timelines (%)
92.9

3.7 Deemed refusals

3.7.1 Reasons for not meeting legislated timelines
Number of Requests Closed
Past the Legislated Timelines
Principal Reason
Interference
with
Operations / Workload
External
Consultation
Internal
Consultation
Other
31020
3.7.2 Requests closed beyond legislated timelines (including any extension taken)
Number of Days Past
Legislated Timelines
Number of Requests
Past Legislated
Timeline Where No
Extension Was Taken
Number of Requests Past
Legislated Timeline Where
an Extension Was Taken
Total
1 to 15 days000
16 to 30 days000
31 to 60 days011
61 to 120 days000
121 to 180 days000
181 to 365 days000
More than 365 days022
Total033

3.8 Requests for translation

Translation RequestsAcceptedRefusedTotal
English to French000
French to English000
Total000

Section 4: Extensions

4.1 Reasons for extensions and disposition of requests

Disposition of Requests Where
an Extension Was Taken
9(1)(a)
Interference
With Operations
9(1)(b) Consultation9(1)(c)
Third-Party
Notice
Section 69Other
All disclosed1020
Disclosed in part101113
All exempted0000
All excluded0000
No records exist0000
Request abandoned0000
Total111133

4.2 Length of extensions

Length of Extensions9(1)(a)
Interference
With Operations
9(1)(b) Consultation9(1)(c)
Third-Party
Notice
Section 69Other
30 days or less0000
31 to 60 days4010
61 to 120 days4153
121 to 180 days0030
181 to 365 days0030
365 days or more3010
Total111133

Section 5: Fees

Fee TypeFee CollectedFee Waived or Refunded
RequestsAmountRequestsAmount
Application33$1656$30
Other fees0$00$0
Total33$1656$30

Section 6: Consultations Received From Other Institutions and Organizations

6.1 Consultations received from other Government of Canada institutions and organizations

ConsultationsOther
Government of
Canada Institutions
Number of Pages to
Review
Other
Organizations
Number of
Pages to Review
Received during reporting period491578228
Outstanding from the previous reporting period15000
Total501628228
Closed during the reporting period481428228
Carried over to next reporting period220000

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

RecommendationNumber 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 entirely1920000021
Disclose in part13103000026
Exempt entirely00000000
Exclude entirely00000000
Consult other institution00000000
Other10000001
Total33123000048

6.3 Recommendations and completion time for consultations received from other organizations

RecommendationNumber 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 entirely11000002
Disclose in part00000000
Exempt entirely00000000
Exclude entirely00000000
Consult other institution00000000
Other00000000
Total11000002

Section 7: Completion Time of Consultations on Cabinet Confidences

7.1 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 150000000000
16 to 300000000000
31 to 600000000000
61 to 1200000000000
121 to 1800000000000
181 to 3650000000000
More than 3650000000000
Total0000000000

7.2 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 RequestsPages
Disclosed
Number of RequestsPages
Disclosed
Number of RequestsPages
Disclosed
Number of RequestsPages
Disclosed
Number of RequestsPages
Disclosed
1 to 150000000000
16 to 300000000000
31 to 600000000000
61 to 1200000000000
121 to 1800000000000
181 to 3650000000000
More than 3650000000000
Total0000000000

Section 8: Complaints and Investigations

Section 32
Notice of
intention to
investigate
Section 30(5)
Ceased to
investigate
Section 35
Formal
representations
Section 37 Reports
of finding received
Section 37 Reports
of finding
containing
recommendations
issued by the
Information
Commissioner
Section 37
Reports of
finding
containing orders
issued by the
Information
Commissioner
610400

Section 9: Court Action

9.1 Court actions on complaints received before June 21, 2019 and on-going

Section 41
(before June 21, 2019)
Section 42Section 44
000

9.2 Court actions on complaints received after June 21, 2019

Section 41 (after June 21, 2019)
Complainant (1)Institution (2)Third Party (3)Privacy Commissioner (4)Total
00000

Section10: Resources Related to the Access to Information Act

10.1 Costs

ExpendituresAmount
Salaries$333,050
Overtime$0
Goods and Services$210,869
Professional services contracts$164,895
Other$45,974
Total$543,919

10.2 Human Resources

ResourcesPerson Years Dedicated to
Access to Information Activities
Full-time employees2.33
Part-time and casual employees0.00
Regional staff0.73
Consultants and agency personnel0.85
Students0.05
Total3.96

Supplemental Statistical Report on the Access to Information Act

The following table reports the total number of formal requests received during two periods; 2019-04-01 to 2020-03-13 and 2020-03-14 to 2020-03-31.

Table 1 – Requests Received

 Column (Col.) 1
Number of requests
Row
1
Received from 2019-04-01 to 2020-03-1337
Row
2
Received from 2020-03-14 to 2020-03-312
Row
3
TotalTable 1 - Footnote 139
Table 1 - Footnote 1

Total for Row 3 should equal the total in the ATI Statistical Report section 1.1 Row 1

Return to Table 1 - Footnote 1

The following table reports the total number of requests closed within the legislated timelines and the number of closed requests that were deemed refusals during two periods 2019-04-01 to 2020-03-13 and 2020-03-14 to 2020-03-31.

Table 2 – Requests Closed

 Col. 1Col. 2
Number of requests
closed within the
legislated timelines
Number of requests
closed past the
legislated timelines
Row
1
Received from 2019-04-01 to
2020-03-13 and outstanding from
previous reporting periods
393
Row
2
Received from 2020-03-14 to
2020-03-31
00
Row
3
TotalTable 2 - Footnote 1393
Table 2 - Footnote 1

Total for Row 3 Col. 1 should equal the total in the ATI Statistical Report section 3.6.1 Row 1 -- Total for Row 3 Col. 2 should equal the total in the ATI Statistical Report section 3.7.1. Col. 1 Row 1

Return to Table 2 - Footnote 1

The following table reports the total number of requests carried over during two periods; 2019-04-01 to 2020-03-13 and 2020-03-14 to 2020-03-31.

Table 3 – Requests Carried Over

 Col. 1
Number of requests
Row
1
Requests received from 2019-04-01 to 2020-03-13 and
outstanding from previous reporting period that were
carried over to the 2020-2021 reporting period
7
Row
2
Requests received from 2020-03-14 to 2020-03-31 that
were carried over to the 2020-2021 reporting period
2
Row
3
TotalTable 3 - Footnote 19
Table 3 - Footnote 1

Total for Row 3 should equal the total in the ATI Statistical Report section 1.1 Row 5

Return to Table 3 - Footnote 1

APPENDIX B

DESIGNATION / DÉLÉGATION

ACCESS TO INFORMATION ACT /
LOI SUR L'ACCÈS À L'INFORMATION

Access to Information Act Designation Order

By this order made pursuant to section 73 of the Access to Information Act, I hereby authorize those officers and employees of the Office of the Superintendent of Financial Institutions occupying, on an acting basis or otherwise, the positions identified within the attached schedule to perform on my behalf any of the powers, duties or functions specified therein.

This designation replaces and repeals all previous orders.

Dated in Ottawa on this 5th day of July, 2016

Arrêté sur la délégation en vertu de la Loi sur l'accès à l'information

Par le présent arrêté pris en vertu de l'article 73 de la Loi sur l'accès à l'information, j'autorise les agents et les employés du Bureau des institutions financières occupant, par intérim ou autrement, les postes identifiés dans l'annexe ci-jointe à exercer en mon nom, les attributions, les fonctions et les pouvoirs qui y sont spécifiés.

Le présent document remplace et annule tous les arrêtés antérieurs.

Fait à Ottawa en ce 5 jour de juillet, 2016

Jeremy Rudin

Superintendent of Financial Institutions/
Le surintendant des institutions financières

SCHEDULE 1

Designation Order - Access to Information Act

SectionPowers, Duties or FunctionsAssistant
Superintendent,
Corporate
Services
Director,
Enterprise
Information
Management
Manager,
Privacy &
Access to
Information
ATIP
Coordinator
17To refuse to disclose a record referred to in
that section
XXX
18To refuse to disclose a record referred to in
that section
XXX
18.1To refuse to disclose a record referred to in
that section
XXX
19To refuse to disclose a record referred to in
that section
XXX
20(1)To refuse to disclose a record referred to in
that section
XXX
20(2)To refuse to disclose a record referred to in
that section
XXX
20(3)To disclose part of a record referred to in
that subsection and provide written
explanation
XXX
20(5)To disclose , with the consent of third
party, a record referred to in subsection
20(1)
XXX
20(6)To disclose , in the public interest, a record
referred to in paragraphs 20(l)(b) ,(c) or (d)
XXX
21(1)To refuse to disclose a record referred to in
that section
XXX
22To refuse to disclose a record referred to in
that section
XXX
21.1To refuse to disclose a record referred to in
that section
XXX
23To refuse to disclose a record referred to in
that section
XXX
24To refuse to disclose a record referred to in
that section
XXX
25To disclose information that can
reasonably be severed
XXX
26To refuse to disclose a record referred to in
that section
XXX
27(1)To give to third party notice of intent to
disclose
XXXX
27(4)To extend time limit set out in 27(1)XXXX
28(1)To decide on disclosure after third party
representation and to give notice of
decision to third party
XXXX
28(2)To waive requirement for written
representations
XXXX
28(4)To give access unless review of decision is
requested
XXX
29(1)To give notice to applicant and to third
party
XXX
33To advise the Information Commissioner
of any third party who received
notification or, if the document would have
been disclosed, would have received
notification
XXXX
35(2)To make representations to the Information
Commissioner
XXXX
37(4)To give notice to the Information
Commissioner that access to a record will
be given
XXXX
43(1)To give notice to a third party of
application for Court review
XXXX
44(2)To give notice to applicant that third party
has applied for Court review
XXXX
52(2)To request hearing in the National Capital
Region
XXX
52(3)To request opp01tunity to make
representations ex parte
XXX
71(1)To provide facilities where manuals may
be inspected by public
XXXX
71(2)To exempt information severed from
manuals
XXX
72(1)To prepare annual report for submission to
Parliament
XXXX

Access to Information Regulations

SectionPowers, Duties or FunctionsAssistant
Superintendent,
Corporate
Services
Director,
Enterprise
Information
Management
Manager,
Privacy &
Access to
Information
ATIP
Coordinator
6(1)9Transfer of requestXXXX
7(2)Search and preparation feesXXXX
7(3)Production and programming feesXXXX
8Providing access to record(s)XXXX
8.1LimitationXXX