Annual Report to Parliament

Transcription

1 Aual Report to Parliamet o the Admiistratio of the Access to Iformatio Act RC4415(E) Rev. 16

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3 Foreword Each fiscal year, the head of every govermet istitutio prepares ad submits a aual report to Parliamet o the admiistratio of the Access to Iformatio Act. This aual report is tabled i Parliamet i accordace with sectio 72 of the Access to Iformatio Act uder the directio of the Miister of Natioal Reveue ad the Commissioer of the Caada Reveue Agecy (CRA). It describes how the CRA admiistered ad fulfilled its obligatios uder the Access to Iformatio Act betwee April 1, 2015, ad March 31, It also discusses emergig treds, program delivery, ad areas of focus for the year ahead. The Access to Iformatio Act The Access to Iformatio Act came ito force o July 1, It gives Caadia citizes, alog with persos ad corporatios physically preset i Caada, the right to request access to federal govermet records. The Access to Iformatio Act is based o three mai priciples: Govermet iformatio should be available to the public. Exceptios to the right of access should be limited ad specific. Decisios about disclosures should be reviewable idepedetly of govermet. The Access to Iformatio Act s formal processes do ot replace other ways of obtaiig govermet iformatio. The CRA ecourages idividuals, busiesses, ad other groups to cosider gettig iformatio through the followig iformal methods: topical idexes o the CRA website: idividual icome tax ad trust equiries (icludig for forms ad publicatios): equires from busiesses ad self-employed idividuals (icludig for forms ad publicatios): uiversal child care beefit, Caada child tax beefit, ad related provicial ad territorial programs, child disability beefit, ad childre s special allowaces equiries: Charities Cliet Assistace (iformatio about registered charities): Part XIII tax ad o-residet withholdig accouts: TTY (teletypewriter for persos who are deaf or hard of hearig or who have a speech impairmet): The Admiistratio of the Access to Ifor matio Act

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5 Table of Cotets Overview of the Caada Reveue Agecy... 4 The Access to Iformatio ad Privacy Directorate... 5 The Access to Iformatio ad Privacy Oversight Review Committee... 6 Delegatio of resposibilities uder the Access to Iformatio Act... 6 Schedule Access to Iformatio Act... 8 Iterpretatio ad Explaatio of Appedix A - Statistical report... 9 Operatioal eviromet Policies, guidelies, ad procedures Moitorig request ivetories Complaits ad ivestigatios, ad Federal Court cases Collaboratio with oversight bodies ad other orgaizatios Coclusio Appedix A Statistical report The Admiistratio of the Access to Ifor matio Act

6 Overview of the Caada Reveue Agecy The Caada Reveue Agecy (CRA) admiisters tax laws for the Govermet of Caada ad for most provices ad territories. It also admiisters various social ad ecoomic beefit ad icetive programs delivered through the tax system. I additio, the CRA has the authority to eter ito ew parterships with the provices, territories, ad other govermet bodies at their request ad o a cost-recovery basis to admiister o-harmoized taxes ad other services. Overall, the CRA promotes compliace with Caada s tax legislatio ad regulatios ad plays a importat role i the ecoomic ad social well-beig of Caadias. The Miister of Natioal Reveue is accoutable to Parliamet for all of the CRA s activities, icludig admiisterig ad eforcig the Icome Tax Act ad the Excise Tax Act. The Caada Reveue Agecy Act provides for the establishmet of the Board of Maagemet cosistig of 15 directors appoited by the Goveror i Coucil. They iclude the Chair, the Commissioer ad Chief Executive Officer, a director omiated by each provice, oe director omiated by the territories, ad two directors omiated by the Govermet of Caada. Uder the provisios of the Caada Reveue Agecy Act, the Board of Maagemet oversees the orgaizatio ad admiistratio of the CRA, icludig the maagemet of its resources, services, property, persoel, ad cotracts. I fulfillig this role, the Board of Maagemet brigs a forward-lookig strategic perspective to the CRA s operatios, fosters soud maagemet practices, ad is committed to efficiet ad effective service delivery. As the CRA s Chief Executive Officer, the Commissioer is resposible for the day-to-day admiistratio ad eforcemet of the program legislatio that falls uder the Miister s delegated authority. The Commissioer is accoutable to the Board of Maagemet for maagig the CRA, supervisig employees, ad implemetig policies ad budgets. Moreover, the Commissioer must assist ad advise the Miister with respect to legislated authorities, duties, fuctios, ad Cabiet resposibilities. The CRA is made up of 12 braches ad 5 regioal offices across the coutry. Braches Appeals Assessmet ad Beefit Service Audit, Evaluatio, ad Risk Collectios ad Verificatio Compliace Programs Fiace ad Admiistratio Huma Resources Iformatio Techology Legal Services Legislative Policy ad Regulatory Affairs Public Affairs Strategy ad Itegratio Regios Atlatic Otario Pacific Prairie Quebec Aual Report to Parliamet

7 The Access to Iformatio ad Privacy Directorate The Access to Iformatio ad Privacy Directorate helps the CRA meet its requiremets uder the Access to Iformatio Act ad the Privacy Act. To fulfill this madate, the Directorate: respods to ad equiries uder the Access to Iformatio Act ad the Privacy Act provides advice ad guidace to CRA employees o for, ad the proper maagemet ad protectio of, persoal iformatio uder the CRA s cotrol coordiates privacy impact assessmet processes withi the CRA, icludig givig expert advice to CRA employees o privacy implicatios, risks, ad optios for avoidig or reducig risks gives traiig ad awareess sessios o the Access to Iformatio Act ad the Privacy Act ad the practices ad requiremets for maagig persoal iformatio commuicates with the Treasury Board of Caada Secretariat ad the offices of the iformatio ad privacy commissioers of Caada about complaits, audits, ad policy ad legislative requiremets fulfills corporate plaig ad reportig obligatios such as the CRA s aual reports to Parliamet o the admiistratio of the Access to Iformatio Act ad the Privacy Act The Director has the full delegated authority of the Miister of Natioal Reveue uder the Access to Iformatio Act ad the Privacy Act. The Director also maages ad coordiates the Access to Iformatio ad Privacy Program, leads strategic plaig ad developmet iitiatives, ad supports the Assistat Commissioer, Public Affairs Brach, ad Chief Privacy Officer. The Directorate is made up of two mai divisios: processig; ad program support ad traiig (withi the Directorate ad CRA-wide). I additio to its headquarters office i Ottawa, there is a office i Vacouver ad a office i Motréal. I , 110 full-time employees admiistered the Access to Iformatio Act ad the Privacy Act. Director, Access to Iformatio ad Privacy (ATIP) Directorate Assistat Director, ATIP Productios Corporate & Complex Case Divisio Assistat Director, ATIP Productios Strategic Compliace Divisio Assistat Director, ATIP Productios Legislative & HQ Operatioal Case Divisio Assistat Director, ATIP Productios Regioal Operatios Case Divisio Motreal Assistat Director, ATIP Productios Regioal Operatios Case Divisio Vacouver Assistat Director, Program Support ad Traiig Divisio Tax Compliace Sectio Operatios Traiig Maual Complaits Project Legislative Case Sectio HQ Operatios Sectio Goverace & Corporate Reportig Sectio Busiess Process Sectio The Admiistratio of the Access to Ifor matio Act 5

8 The Access to Iformatio ad Privacy Oversight Review Committee The Access to Iformatio ad Privacy Oversight Review Committee is a Assistat Commissioer level committee, chaired by the Chief Privacy Officer. The Committee was established to esure horizotal cosultatio, collaboratio, ad decisio-makig o emergig access to iformatio ad privacy issues at the CRA. Amog other resposibilities, the Committee reviews high-risk privacy impact assessmets; idetifies measures to support more effective admiistratio of access to iformatio ad privacy matters; ad champios related activities. Delegatio of resposibilities uder the Access to Iformatio Act As head of the CRA, the Miister of Natioal Reveue is resposible for how the CRA admiisters the Access to Iformatio Act ad complies with the Access to Iformatio Regulatios ad Treasury Board of Caada Secretariat policy istrumets. Sectio 73 of the Access to Iformatio Act gives the Miister the authority to desigate oe or more officers or employees of the CRA to exercise or perform all, or part, of the Miister s powers, duties, ad fuctios uder the Act. The CRA s curret delegatio order for the Access to Iformatio Act was siged by the Miister of Natioal Reveue o Jauary 14, It idetifies specific provisios of the Access to Iformatio Act ad its regulatios that the Miister has delegated to various positios withi the CRA. The Access to Iformatio ad Privacy Director ad Assistat Directors, as well as the maagers of the processig uits, approve resposes to uder the Access to Iformatio Act. Delegatios are also exteded to the Commissioer, the Deputy Commissioer, the Assistat Commissioer, Public Affairs Brach, ad Chief Privacy Officer Aual Report to Parliamet

9 Miister of Natioal Reveue Miistre du Reveu atioal Ottawa, Caada K1A 0A6 Access to Iformatio Act Delegatio Order Arrêté sur la délégatio e vertu de la Loi sur l accès à l iformatio I, Diae Lebouthillier, Miister of Natioal Reveue, do hereby desigate, pursuat to sectio 73 of the Access to Iformatio Act, the officers or employees of the Caada Reveue Agecy who hold the positios set out i the attached Schedule to exercise or perform the powers, duties, or fuctios that have bee give to me as head of a govermet istitutio uder the provisios of the Access to Iformatio Act as set out i the Schedule. This desigatio replaces all previous delegatio orders. Je, Diae Lebouthillier, miistre du Reveu atioal, délègue par les présetes, e vertu de l article 73 de la Loi sur l accès à l iformatio, aux cadres ou employés de l Agece du reveu du Caada déteteurs des postes metioés das l aexe ci joite les attributios dot je suis, e qualité de resposable d ue istitutio fédérale, ivestie par les dispositios de la Loi sur l accès à l iformatio qui sot metioées das l aexe. Le préset documet remplace et aule tout arrêté atérieur. La miistre du Reveu atioal, Diae Lebouthillier Miister of Natioal Reveue Siged i Ottawa, Otario, Caada this 14th day of Jauary, 2016 Sigé à Ottawa, Otario, Caada le 14 e jour de javier 2016 The Admiistratio of the Access to Ifor matio Act 7

10 Schedule Access to Iformatio Act The CRA positios that are authorized to perform the powers, duties, ad fuctios give to the Miister of Natioal Reveue as head of a govermet istitutio uder the provisios of the Access to Iformatio Act ad its regulatios are the followig: Commissioer Full authority Deputy Commissioer Full authority Assistat Commissioer, Public Affairs Brach ad Chief Privacy Officer Full authority Director, Access to Iformatio ad Privacy Directorate, Public Affairs Brach Full authority Assistat Directors, Access to Iformatio ad Privacy Directorate, Public Affairs Brach Full authority Maagers, ATIP Directorate, PAB Subsectio 4(2.1); paragraphs 7(a) ad (b); subsectio 8(1); sectio 9; subsectios 11(2) to (6); paragraphs 12(2)(b) ad 12(3)(b); sectios 13 to 16; sectios 17 ad 18.1; sectios 19 ad 20; sectio 21 to 26; subsectios 27(1) ad (4); paragraph 28(1)(b); subsectios 28(2) ad (4); subsectio 29(1); sectio 33; paragraph 35(2)(b); subsectios 37(4), 43(1), 44(2) ad 71(1) of the Access to Iformatio Act; subsectios 6(1), 7(2) ad 7(3); ad sectios 8 ad 8.1 of the Access to Iformatio Regulatios Aual Report to Parliamet

11 Iterpretatio ad explaatio of Appedix A Statistical report Appedix A provides a statistical report o the CRA s activities uder the Access to Iformatio Act for the reportig period. The followig explais ad iterprets the statistical iformatio. Requests uder the Access to Iformatio Act Durig this reportig period (April 1, 2015, to March 31, 2016), the CRA received 3,139 ew uder the Access to Iformatio Act. This is a icrease of 133 (4%) over last year s total of 3,006. With the 926 carried forward from , there were 4,065 active. The followig table shows the umber of access to iformatio the CRA received ad completed i the past five fiscal years. Fiscal year Requests received Requests completed Pages processed ,237 2, , ,137 3,083 1,203, ,751 2,795 1,636, ,006 2,668 1,306, ,139 2,572 1,233,194 The followig table shows the breakdow of the source of the 3,139 received durig the reportig period. Source Percetage Media % Academia % Busiess (private sector) % Orgaizatio % Public 1, % Declie to idetify % The Admiistratio of the Access to Ifor matio Act 9

12 Other Requests I , the Access to Iformatio ad Privacy Directorate closed 128 cosultatio from other govermet istitutios ad orgaizatios. A total of 6,326 pages were reviewed to respod to these. Additioally, 13 cosultatio were carried forward to the reportig period. For more details o the cosultatios received from other govermet istitutios ad orgaizatios, icludig dispositio ad completio times, see Appedix A. Durig the same reportig period, the CRA received 595 for previously released iformatio, a icrease of 266 (81%) over the previous year. These are cosidered iformal disclosures ad do ot fall uder the Access to Iformatio Act. I additio, the Directorate s Program Support ad Traiig Divisio respoded to 4,710 s ad 733 telephoe equiries received through the geeral equiries mailbox ad lie. The equiries related maily to how to submit a access to iformatio or privacy request, the status of the request, ad equires that were redirected because the iformatio requested is ot retaied by the ATIP Directorate, such as for forms ad tax iformatio. Dispositio of completed Durig the reportig period, the Access to Iformatio ad Privacy Directorate completed 2,572 related to the Access to Iformatio Act. 542 were fully disclosed (21.07%) 1,250 were disclosed i part (48.60%) 16 were exempted i their etirety (0.62%) 1 was excluded i its etirety (0.04%) 179 resulted i o existig records (6.96%) 10 were trasferred to aother istitutio (0.39%) 573 were abadoed by requesters (22.28%) 1 was either cofirmed or deied (0.04%) For more details, see table 2.1 of Appedix A. Exemptios The Access to Iformatio Act allows a istitutio to refuse access to specific iformatio. For example, iformatio about idividuals other tha the requester caot be disclosed if the idividual has ot give his or her coset. Exemptios are applied by aalysts to support o-disclosure i these cases. Exemptios must be limited ad specific. I , the CRA applied the followig exemptios uder the Act to exempt iformatio i full or i part for 1,267 (49%) of the 2,572 closed durig the reportig period. Sectio 13 Iformatio obtaied i cofidece (76 ) Sectio 14 Federal-provicial affairs (10 ) Aual Report to Parliamet

13 Sectio 15 Iteratioal affairs ad defece (43 ) Sectio 16 Law eforcemet ad ivestigatio, ad security (857 ) Sectio 17 Safety of idividuals (3 ) Sectio 18 Ecoomic iterests of Caada (23 ) Sectio 19 Persoal iformatio (804 ) Sectio 20 Third-party iformatio (47 ) Sectio 21 Operatios of govermet (451 ) Sectio 22 Testig procedures, tests, ad audits (20 ) Sectio 23 Solicitor-cliet privilege (196 ) Sectio 24 Statutory prohibitios (1,000 ) Sectio 26 Iformatio to be published (3 ) Exclusios The Access to Iformatio Act does ot apply to iformatio that is already publicly available, such as govermet publicatios ad material i libraries ad museums. It also excludes material such as Cabiet cofideces. I , the CRA applied exclusios 89 times: 24 times for iformatio that was publicly available ad 65 times for Cabiet cofideces. Format of iformatio released Requesters ca choose to receive their respose package i paper, CD, or DVD format. Providig documets electroically sigificatly reduces maual processes ad paper cosumptio. I , of the 1,792 for which iformatio was disclosed i full or i part, 1,569 (88%) were released i electroic format. This is a 3% icrease over the previous reportig period. Completio time ad extesios The Access to Iformatio Act sets the timelies for respodig to access to iformatio ad allows time extesios whe there is a large volume of records to be processed or a eed to complete cosultatios (for example, if there is a eed to cosult aother taxpayer or aother govermet istitutio). Of the 2,572 closed i , the CRA took extesios for 1,290 (50%) of them. Extesios were take 93% of the time because of workload ad meetig the origial 30 day time limit would have resulted i ureasoable iterferece with CRA operatios. The remaiig 7% of extesios were take to cosult with third parties or other govermet istitutios. The Admiistratio of the Access to Ifor matio Act 11

14 The followig chart shows the completio times for the 2,572 closed i The Access to Iformatio ad Privacy Directorate completed 1,901 (74%) withi the timelies required by law. This meas that resposes were provided withi 30 caledar, or whe a extesio was take, withi the exteded deadlie. Deemed refusals ad complexities A deemed refusal is a request that was closed after the deadlie of 30 caledar or, if a time extesio was take, after the exteded deadlie. Of the 2,572 closed durig the reportig period, 671 were closed after the deadlie, resultig i a deemed refusal rate of 26%. Although the CRA cotiues to work toward a deemed refusal rate of zero, as recommeded by the Office of the Iformatio Commissioer, high volumes, broad scope of may, ad operatioal pressures make achievig this goal a cotiuig challege. The Treasury Board of Caada Secretariat defies complexity usig two criteria: the umber of pages to process; ad the ature ad sesitivity of the subject matter. Based o these criteria, the CRA hadles a large umber of complex. For closed i , the CRA reviewed 1,233,194 pages. Of these, 227 required the processig of more tha 1,000 pages. Thirty of these required the processig of more tha 5,000 pages. For more details, see Table of Appedix A. I additio to large volumes, the CRA processes may complex, for example, that ivolve tax litigatio or require cosultatio with third parties, such as provicial, federal, ad iteratioal bodies Aual Report to Parliamet

15 Completio time of cosultatios o Cabiet cofideces Although Cabiet cofideces are excluded from the applicatio of the Access to Iformatio Act (sectio 69), the policies of the Treasury Board of Caada Secretariat require agecies ad departmets to cosult their legal services to determie if the iformatio should be excluded. If there is ay doubt, or i cases whe the records cotai discussio papers, legal cousel must cosult the Office of the Cousel to the Clerk of the Privy Coucil Office. I , the CRA applied 14 Cabiet cofidece exclusios. These exclusios were applied after the Access to Iformatio ad Privacy Directorate cosulted the Legal Services Brach ad received cofirmatio that the iformatio qualified as a Cabiet cofidece. Requests for traslatio I , the CRA traslated records i respose to two access to iformatio. Records are ormally released i the laguage i which they exist. However, records may be traslated i a particular official laguage whe requested, ad the istitutio cosiders it i the public iterest to do so. Fees Fees collected durig the reportig period amouted to $11,496. For more details, see Part 4 of Appedix A. Costs I , the Access to Iformatio ad Privacy Directorate s direct cost to admiister the Access to Iformatio Act was $4,738,983. This excludes sigificat support ad resources from the braches ad regios. For more details, see Table 9.1 of Appedix A. The Admiistratio of the Access to Ifor matio Act 13

16 Operatioal eviromet Request volume The CRA s Access to Iformatio ad Privacy Directorate processes a large volume of access to iformatio, amog the largest of all federal orgaizatios. The CRA is historically amog the top five federal orgaizatios for received ad pages processed. I , the CRA processed the secod largest volume of pages (1.3 millio). Volumes have grow from 1,604 received ad just over 400,000 pages processed i , to 3,139 received ad over 1.2 millio pages processed i Sice 926 were carried over from the previous reportig period, the Access to Iformatio ad Privacy Directorate s total ivetory i was 4,065 With the 2,572 closed i , the CRA bega with 1,493 i its ivetory The umber of iformal has also sigificatly icreased: 595 iformal were received durig the fiscal year, a 81% icrease from the previous reportig period (these are that do ot fall uder the Access to Iformatio Act) As the followig table demostrates, the Directorate s workload has icreased steadily over the past 10 years. Complex I additio to large volumes, the CRA processes may complex, for example, that ivolve tax litigatio or require cosultatio with third parties, such as provicial, federal, or iteratioal bodies. I there was a 20% icrease i the umber of complex files compared to the previous reportig period Aual Report to Parliamet

17 Staffig Durig the fiscal year, the Access to Iformatio ad Privacy Directorate faced staffig challeges due to attritio. Actio was take to address these challeges icludig hirig several aalysts ad clerks. Raisig awareess To ehace employees awareess of the sigificat part they play i the public s right of access to iformatio, for the fifth cosecutive year, the CRA participated i Right to Kow Week. The purpose of Right to Kow is to raise awareess of a idividual s right to access govermet iformatio, while promotig freedom of iformatio as essetial to both democracy ad good goverace. Durig the week, the CRA highlighted that as the Govermet of Caada moves towards providig more iformatio iformally ad icreased proactive disclosures through ope govermet, the CRA cotiues to be committed to providig quality service to Caadias by makig iformatio available to them i the most efficiet ad proactive way possible. Through a mothly ewsletter ad a quarterly telecoferece call, the Directorate commuicates regularly with access to iformatio ad privacy (ATIP) cotacts i braches ad regios to raise awareess about access to iformatio ad privacy ad the role they play i supportig soud privacy maagemet at the CRA. New tools were also developed to support the ATIP cotacts i the executio of their roles ad resposibilities. For istace, a recommedatios memoradum was developed to help the CRA employees who provide recommedatios to access to iformatio ad privacy aalysts to support the severig of iformatio. To further support ATIP cotacts, durig the fiscal year, the Directorate lauched a ew tool, DropZoe, so that resposive records could be trasmitted electroically to the Directorate. This ew method saves the CRA time, resources, ad promotes sustaiable developmet. The Directorate is also leadig a project to icrease employee awareess ad uderstadig of roles ad resposibilities associated with how to respod to access to iformatio ad privacy through the developmet of KowHow products. KowHow provides user-friedly istructios to CRA employees ad maagers. Traiig The Access to Iformatio ad Privacy Directorate provides traiig to CRA employees about the requiremets of, ad their resposibilities uder, the Access to Iformatio Act ad the Privacy Act. This traiig is tailored to the eeds of specific audieces. For istace, employees who have little or o kowledge of the subject take the ATIP 101 course or the Caada School of Public Service ATIP Fudametals olie course. Subject matter experts take more specific traiig, such as o how to respod to for records. I total, this fiscal year: 1,211 employees participated i 40 sessios across Caada 97 employees atteded the Caada School of Public Service ATIP Fudametals olie course The Admiistratio of the Access to Ifor matio Act 15

18 135 maagers received olie traiig uder the CRA s maagemet learig program 6 presetatios were give to CRA seior maagemet committees, i additio to those presetatios give at the quarterly Access to Iformatio ad Privacy Oversight Review Committee meetigs The CRA s Legal Services Brach provided specialized traiig o the Access to Iformatio Act. I total, the Brach provided 14 traiig sessios to 131 employees. These sessios focused o advisig CRA staff o how to prepare documets for release i CRA readig rooms ad o legal iterpretatio of the Access to Iformatio Act for specialized CRA staff. Beyod classroom traiig, the Directorate also iitiated a strategy to expad awareess traiig through other mediums, such as webiars. Movig to e-traiig will eable the Directorate to reach a wider audiece ad to develop more targeted traiig to specific audieces i a more effective ad efficiet way. I March 2016, the first webiar was delivered to ATIP cotacts through the Natioal Techical Capacity Forum. Cosultatios were also held with the Huma Resources Brach to develop job aids for CRA staff o access to iformatio ad privacy. I , these job aids will be posted o KowHow. I additio to traiig for employees across the CRA, the Directorate developed ad delivered traiig for 15 ew employees who joied the Directorate as aalysts i March Work was also iitiated to create e-modules for access to iformatio ad privacy staff, the first of which will be rolled out i CRA website Durig the fiscal year, the ATIP Directorate worked with iteral stakeholders across the CRA to draft revised access to iformatio ad privacy webpages to better iform taxpayers that there are may ways to request iformatio from the CRA, apart from makig a access to iformatio or privacy request. The revised pages will be posted i Ope govermet The CRA fully supports ope govermet by: cotiually expadig ad ehacig its services ad web presece to esure Caadias have easy access to the iformatio they eed proactively disclosig iformatio to the public about CRA corporate plas ad procedures, acts, regulatios, completed access-to-iformatio, the virtual readig room, ad more makig aoymized datasets available o the Govermet of Caada s Ope Govermet portal tryig ew ideas, adaptig to ew techology, ad seekig cotiuous improvemets that are fudametal to achievig the goal of maximizig the effectiveess of CRA service optios for Caadias Aual Report to Parliamet

19 Ope Govermet Implemetatio Pla Durig the fiscal year, the Access to Iformatio ad Privacy Directorate worked closely with the Strategy ad Itegratio Brach to idetify activities related to ope iformatio for iclusio i the CRA s Ope Govermet Implemetatio Pla. These activities icluded those liked to the Govermet of Caada s plas to moderize the Access to Iformatio Act ad to develop a virtual readig room o the CRA website. The pla is updated o a aual basis. Virtual readig room I March 2016, the CRA lauched its virtual readig room o the CRA website. This readig room expads the way the CRA discloses iformatio to the public by providig them with immediate access to the CRA s most frequetly requested mauals. This iitiative also supports the CRA s iformal disclosure objectives ad respods to recommedatios from both the Office of the Iformatio Commissioer ad the Office of the Taxpayers Ombudsma to expad the iformal release of iformatio. Policies, guidelies, ad procedures The CRA cotiues to promote ad support compliace with the Treasury Board of Caada Secretariat policies, guidelies, ad procedures through its commuicatios ad traiig. Durig the fiscal year, guidace documets were drafted to expad awareess o iformal disclosure across the CRA. Moitorig request ivetories The CRA s Access to Iformatio ad Privacy Directorate produces a mothly report that captures key statistical iformatio about the CRA s ivetory of access to iformatio ad privacy. This report shows the average time a request remais at each phase of the request process (for example, itake, search ad locate records, ad aalysis). The report also provides statistical iformatio about the umber of extesios take, completio times, pages processed, complaits, ad complait dispositio. These reports are used by maagemet to moitor treds, measure the Directorate s performace, ad determie ay process chages required to improve performace. Complaits ad ivestigatios, ad Federal Court cases Durig , the CRA received 271 access to iformatio complaits, which is a icrease of 22 complaits (8%) from the 249 complaits received i the previous reportig period. The Admiistratio of the Access to Ifor matio Act 17

20 I , the CRA closed 176 complaits. The followig chart shows the dispositio of the complaits closed durig the fiscal year. For defiitios of the dispositio categories, go to 12 complaits were pursued to the Federal Court i Of these, 11 related to the same requester. Office of the Iformatio Commissioer certificatio letters I , the Office of the Iformatio Commissioer asked the CRA to complete certificatio for their ivestigatios o 25 missig records complaits. The purpose of certificatio is to make sure that all reasoable measures were take to properly idetify resposive records, esure they are provided, ad prevet ay lack of due diligece i the search for records. The CRA iitiated the certificatio process at the ed of March I , the Iformatio Commissioer requested certificatio o 21 further missig records complaits. I total, certificatio for 46 files was set to the relevat program areas, 27 were completed ad retured to the Iformatio Commissioer, with additioal documets provided i some cases. The remaiig certificatio letters will be siged i Aual Report to Parliamet

21 Collaboratio with oversight bodies ad other orgaizatios The CRA cotiues to work closely with the Office of the Iformatio Commissioer, the Treasury Board of Caada Secretariat, ad other orgaizatios to stregthe access to iformatio at the CRA. Office of the Iformatio Commissioer The CRA worked closely with the Office of the Iformatio Commissioer i , primarily with respect to maagig complaits of requesters ad coordiatig the certificatio letter process. Treasury Board Secretariat The CRA stregtheed its relatioship with the Treasury Board of Caada Secretariat throughout the fiscal year by: cosultig with the Treasury Board of Caada Secretariat Iformatio ad Privacy Policy Divisio o umerous occasios participatig i access to iformatio ad privacy commuity meetigs participatig i the director-geeral-level Access to Iformatio ad Privacy Traiig Workig Group participatig i discussios with federal orgaizatios about the costs associated with the Access to Iformatio ad Privacy Program ad how to stregthe decisio makig o access to iformatio ad privacy issues Coclusio The CRA is committed to providig all Caadias with access to iformatio i keepig with the requiremets of the Access to Iformatio Act. I , the CRA made sigificat progress i addressig challeges ad respodig to the recommedatios made by oversight bodies to further stregthe its access to iformatio processes. I , the CRA will cotiue these efforts by: promotig the use of iformal disclosure expadig the CRA virtual readig room implemetig ehaced quality assurace practices i the Access to Iformatio ad Privacy Directorate ehacig awareess about access ad privacy related issues through ew platforms such as webiars, job aids, ad KowHow respodig to all recommedatios made i reviews ad audits of the access to iformatio ad privacy fuctios The Admiistratio of the Access to Ifor matio Act 19

22 Appedix A Statistical report Statistical Report o the Access to Iformatio Act Name of istitutio: Caada Reveue Agecy Reportig period: April 1, 2015 to March 31, 2016 PART 1 Requests uder the Access to Iformatio Act 1.1 Received durig reportig period 3,139 Outstadig from previous reportig period 926 Total 4,065 Closed durig reportig period 2,572 Carried over to ext reportig period 1, Sources of Source Media 202 Academia 24 Busiess (Private sector) 907 Orgaizatio 40 Public 1,789 Declie to idetify 177 Total 3, Iformal 1 to to to 60 Completio time 61 to to to 365 More tha Total Aual Report to Parliamet

23 PART 2 Requests closed durig the reportig period 2.1 Dispositio ad completio time Dispositio of 1 to to to 60 Completio time 61 to to to 365 More tha 365 All disclosed Disclosed i part ,250 All exempted All excluded No records exist Request trasferred Request abadoed Neither cofirmed or deied Total ,572 Total The Admiistratio of the Access to Ifor matio Act 21

24 2.2 Exemptios Sectio Sectio Sectio Sectio 13(1)(a) 35 16(1)(b) (1)(b) 0 20(1)(c) 21 13(1)(b) 2 16(1)(c) (1)(d) 1 13(1)(c) 37 16(1)(d) (1)(d) 2 16(2) 5 18(a) (1)(e) 0 16(2)(a) 1 18(b) (2)(b) 0 18(c) 0 21(1)(a) (a) 9 16(2)(c) 69 18(d) 20 21(1)(b) (b) 1 16(3) (1)(a) 0 21(1)(c) 17 15(1) (1) (a) 15(1) - Iteratioal Affairs 15(1) - Defece of Caada 15(1) - Subversive Activities (1) (b) (1)(b) 0 21(1)(d) (1)(c) (1)(c) (1)(d) (1) (1) (d) 0 19(1) (1)(a)(i) (1) 0 20(1)(a) 0 24(1) 1,000 16(1)(a)(ii) (1)(b) (1)(a)(iii) (1) (a) 0 20(1)(b.1) Exclusios Sectio Sectio Sectio 68(a) 24 69(1)(a) 3 69(1)(g) re (b) 0 68(b) 0 69(1)(b) 0 69(1)(g) re (c) 9 68(c) 0 69(1)(c) 0 69(1)(g) re (d) (1)(d) 0 69(1)(g) re (e) (a) 0 69(1)(e) 1 69(1)(g) re (f) (b) 0 69(1)(f) (1) 0 69(1) 0 69(1)(g) re (a) Aual Report to Parliamet

25 2.4 Format of iformatio released Dispositio Paper Electroic Other formats All disclosed Disclosed i part 102 1,148 0 Total 223 1, Complexity Relevat pages processed ad disclosed Dispositio of pages processed pages disclosed All disclosed 29,435 29, Disclosed i part 1,187,100 1,095,991 1,250 All exempted All excluded Request abadoed 16, Neither cofirmed or deied Total 1,233,194 1,125,426 2, Relevat pages processed ad disclosed by size of Dispositio of Less tha 100 pages processed Pages disclosed pages processed Pages disclosed pages processed Pages disclosed pages processed Pages disclosed More tha 5000 pages processed Pages disclosed All disclosed , , , , Disclosed i part , , , , ,526 All exempted All excluded Request abadoed Neither cofirmed or deied Total 1,523 27, , , , ,526 The Admiistratio of the Access to Ifor matio Act 23

26 2.5.3 Other complexities Dispositio Cosultatio required Assessmet of fees Legal advice sought Other All disclosed Disclosed i part All exempted All excluded Request abadoed Neither cofirmed or deied Total Total 2.6 Deemed refusals Reasos for ot meetig statutory deadlie closed past the statutory deadlie Workload Pricipal reaso Exteral cosultatio Iteral cosultatio Other past deadlie past deadlie past deadlie where o extesio was take past deadlie where a extesio was take Total 1 to to to to to to More tha Total Aual Report to Parliamet

27 2.7 Requests for traslatio Traslatio Requests Accepted Refused Total Eglish to Frech Frech to Eglish Total Part 3 Extesios 3.1 Reasos for extesios ad dispositio of Dispositio of where a extesio was take 9(1)(a) Iterferece with operatios 9(1)(b) Cosultatio Sectio 69 Other 9(1)(c) Thirdparty otice All disclosed Disclosed i part All exempted All excluded No records exist Request abadoed Total 1, The Admiistratio of the Access to Ifor matio Act 25

28 3.2 Legth of extesios Legth of extesios 9(1)(a) Iterferece with operatios 9(1)(b) Cosultatio Sectio 69 Other 9(1)(c) Thirdparty otice 30 or less to to to to or more Total 1, Part 4 Fees Fee Type Fees Collected Amout $ Fees Waived or Refuded Amout $ Applicatio 2,258 $11, $320 Search 1 $165 0 $0 Productio 0 $0 0 $0 Programmig 0 $0 0 $0 Preparatio 0 $0 0 $0 Alterative format 0 $0 0 $0 Reproductio 1 $41 0 $0 Total 2,260 $11, $ Aual Report to Parliamet

29 Part 5 Cosultatios received from other istitutios ad orgaizatios 5.1 Cosultatios received from other govermet istitutios ad orgaizatios Cosultatios Other govermet of Caada istitutios pages to review Other orgaizatios pages to review Received durig reportig period 116 4, Outstadig from the previous 15 2, reportig period Total 131 7, Closed durig the reportig period 119 6, Pedig at the ed of the reportig period 12 1, Recommedatios ad completio time for cosultatios received from other Govermet istitutios Recommedatio 1 to 15 required to complete cosultatio 16 to to to to to 365 More tha 365 Total Disclose etirely Disclose i part Exempt etirely Exclude etirely Cosult other istitutio Other Total The Admiistratio of the Access to Ifor matio Act 27

30 5.3 Recommedatios ad completio time for cosultatios received from other orgaizatios Recommedatio 1 to 15 required to complete cosultatio 16 to to to to to 365 More tha 365 Disclose etirely Disclose i part Exempt etirely Exclude etirely Cosult other istitutio Other Total Total Part 6 Completio time of cosultatios o Cabiet cofideces 6.1 Requests with Legal Services Days Fewer Tha 100 Pages Processed Pages disclosed Pages Processed Pages disclosed Pages Processed Pages disclosed Pages Processed Pages disclosed More tha 5000 pages Processed Pages disclosed 1 to to to to to to More tha Total Aual Report to Parliamet

31 6.2 Requests with Privy Coucil Office Days Fewer Tha 100 Pages Processed Pages disclosed Pages Processed Pages disclosed Pages Processed Pages disclosed Pages Processed Pages disclosed More tha 5000 pages Processed Pages disclosed 1 to to to to to to More tha Total Part 7 Complaits ad ivestigatios Sectio 32 Sectio 35 Sectio 37 Total Part 8 Court actio Sectio 41 Sectio 42 Sectio 44 Total Part 9 Resources related to the Access to Iformatio Act 9.1 Costs Expeditures Amout $ Salaries $3,633,077 Overtime $59,665 Goods ad Services $1,046,241 Professioal services cotracts $863,680 Other $182,561 Total $4,738,983 The Admiistratio of the Access to Ifor matio Act 29

32 9.2 Huma Resources Resources Perso years dedicated to access to iformatio activities Full-time employees Part-time ad casual employees 0.00 Regioal staff 0.00 Cosultats ad agecy persoel 9.50 Studets 0.00 Total Aual Report to Parliamet