Annual Report to Parliament 2014 – 2015: Access to Information Act

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Table of contents

Introduction

I. Introduction

The purpose of the Access to Information Act (ATIA) is to provide Canadians with access to records under the control of federal institutions, except for records subject to limited and specific exemptions and exclusions.

The annual report, submitted to Parliament pursuant to section 72 of the Act, describes the activities of Aboriginal Affairs and Northern Development Canada (AANDC) that support compliance with access to information legislation. The report details the activities and accomplishments of AANDC's Access to Information and Privacy (ATIP) Directorate, including highlights such as:

  • Creation of the ATIP Liaison Officer Manual
  • Creation of the Privacy Breach Manual
  • Posting of Summaries of Completed Access to Information on the Government of Canada website;
  • Continued training initiatives to increase departmental ATIP capacity and awareness.

Our Department

AANDC supports Aboriginal peoples (First Nations, Inuit and Métis) and Northerners in their efforts to:

  • Improve their social well-being and economic prosperity;
  • Develop healthier, more sustainable communities; and
  • Participate more fully in Canada's political, social and economic development – to the benefit of all Canadians.

AANDC is the federal department primarily responsible for meeting the Government of Canada's obligations and commitments to First Nations, Inuit and Métis, and for fulfilling the federal government's constitutional responsibilities in the North. AANDC's overall mandate and wide-ranging responsibilities are shaped by centuries of history and unique demographic and geographic challenges. The mandate is derived from the Constitution Act 1982, the Indian Act, the Department of Indian Affairs and Northern Development Act, territorial Acts, treaties, comprehensive claims and self-government agreements, as well as various other statutes affecting Aboriginal people and the North.

Most of the department's programs, representing a majority of its spending, are delivered through partnerships with First Nation and Aboriginal communities and federal-provincial or federal-territorial agreements. AANDC also works with urban Aboriginal people, Métis and non-status Indians (many of whom live in rural areas).

II. Organization

ATIP Directorate at AANDC

The ATIP Directorate is responsible for the administration of requests made under the ATIA. It was established within the Corporate Secretariat and reports to the Corporate Secretary, who is directly accountable to the Deputy Head and is a member of the AANDC Senior Management Committee (SMC). The Directorate also coordinates and implements policies, guidelines and procedures to ensure departmental compliance with the ATIA. Workshop presentations, training courses and awareness sessions designed to increase access to information and privacy capacity across the Department are also provided by the Directorate.

The Directorate comprises two divisions: the Operations Unit and the Privacy Policy Unit. The structure of the Privacy Policy Unit can be found in the 2014 – 2015 AANDC Annual Report to Parliament on the Privacy Act, while the Operations Unit, which is responsible for the processing of requests and consultations, is structured as follows:

Directorate schema
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This flow chart describes the structure of the Operations Unit within the Access to Information and Privacy (ATIP) Directorate.

The Director's Office is composed of the following:
The Director (EX-01), as institutional ATIP Coordinator, holds full delegated authority under the Act. The Director is supported in day-to-day administrative tasks by the Deputy Director (PM-06), Administrative Assistant (AS-01) and in reporting and policy initiatives by the Reporting Analyst (PM-03).
Under the Director's Office are the following Teams:

The Intake Team:
The Intake Team is comprised of one Intake Officer (PM-01) and 1 Clerk (CR-04), who enter all applications into the electronic case management system, acknowledge receipt of requests, perform imaging services and are responsible for other administrative tasks.

Ops Teams:
Two Ops Teams are each lead by Team Leaders (PM-05), who are responsible for the oversight of request administration by their team, including review of completed requests, training and capacity building. Each Ops Team consists of Analysts (a varying mix of PM-04, PM-03 and PM-02 levels), who process requests of varying volume and complexity based on their level.


Within each of the sectors and regional offices of AANDC are ATIP Liaison Officers (ALOs) who receive callouts from the ATIP Directorate and subsequently task the request to appropriate areas within their sector. ALOs plays a crucial role in ensuring requests are clear to the record retrievers and that the appropriate records, impact statements and approvals are obtained and communicated to ATIP Directorate officials in a timely manner.

The Access to Information and Privacy Operations Unit coordinates the receipt of requests for information under the control of the department made pursuant to the Access to Information Act and the Privacy Act, and ensures that a response is provided within the legislated timeframe (usually 30 days). All requests are monitored by using our tracking system AccessPro Case Management. To do so, ATIP analysts work closely with the relevant program areas in order to ensure that all responsive documents are provided and to ensure that the information contained within those documents is treated in accordance with the Acts to allow for government records to be safely disclosed to the Canadian public.

III. Delegation Order

Under section 73 of the ATIA, the Minister's authority may be delegated to departmental officials in order to administer the Act within AANDC.

During the reporting period, the delegation order signed by Minister John Duncan on August 30, 2011 was in effect
(Appendix A). Under section 73 of the Act, the order delegates full authority and responsibility for the ATIA to the following positions:

  • Deputy Minister
  • Associate Deputy Minister
  • Corporate Secretary
  • Departmental ATIP Coordinator

The ATIP Coordinator can also sub-delegate to either one of the Team Leader positions.

Statistics

IV. Interpretation of the Statistical Report

AANDC's Statistical Report was submitted to the Treasury Board Secretariat (TBS) on May 1, 2015 (Appendix B). The Report details various aspects of the requests AANDC received and processed during the period of April 1, 2014 to March 31, 2015.

Part 1. Requests under the Access to Information Act

1.1 Number of requests

In 2014 – 2015, AANDC received 720 requests under the ATIA in addition to 72 requests that were carried over from the previous year (Table 1.1). Of these 792 requests, the ATIP Directorate completed 667 requests and carried 125 requests over into the 2015 – 2016.

Table 1.1 Number of Requests from 2014 – 2015
Number of Requests 2013 – 2014 2014 – 2015
Received during reporting period 556 720
Outstanding from previous reporting period 101 72
Total 657 792
Closed during reporting period 586 667
Carried over to next reporting period 71 125
1.2 Sources of requests

Of the 720 requests received during the reporting period, 377 (52.4%) were received from members of the media, followed by 144 (20%) from the general public, and 88 (12.2%) from businesses (Table 1.2).

Table 1.2 Sources of Requests
Source 2013 – 2014 2014 – 2015
Media 229 (41.4%) 377 (52.4%)
Public 213 (39.3%) 144 (20%)
Business 65 (11.7%) 88 (12.2%)
Organization 27 (4.9%) 71 (9.9%)
Academia 21 (3.8%) 40 (5.6%)
Total 556 720

AANDC continues to receive requests predominantly from the public and media. Media requests, in particular, became more frequent (148 or 82.7% more requests) as journalists sought records related to high-profile topics.

1.3 Informal Requests

During the 2014 – 2015 reporting period, AANDC received and completed 132 informal requests. Over 100% of these informal requests were completed in less than 60 days.

Part 2. Requests closed During the Reporting Period

2.1 Disposition and completion time

Of the 667 requests closed during the reporting period (Table 2.1), AANDC was able to fully or partially disclose records in 442 cases; that is, 66.3% of the time a request was submitted to AANDC, the result was a disclosure of records (significantly higher than the 43.4% rate reported in 2013 – 2014). In these cases, the majority of requests (203, or 45.9%) took 30 days or less to complete. Overall, 387 (58%) of the 667 requests were closed within the statutory 30 day timeframe.

Eight percent of requests were abandoned by the requester, treated informally, or transferred to the appropriate government institution. Only in 53 cases (8% of all requests) were the relevant records fully exempted or excluded under provisions of the ATIA.

There were 280 requests that required greater than 30 days to process, 59 of which took greater than 120 days to complete. However, 54 of these 59 requests resulted in the full or partial disclosure of records

The most frequent outcome of the requests processed during the reporting period was ‘Disclosed in part', which was the result of 318 requests (48%), followed by ‘All disclosed' which was the result of 124 requests (18.6%). In 56 instances, the request was abandoned by the requester, likely because the original request was not complete, clarification could not be obtained, or because the cost estimate for search fees was not accepted.

Figure 2.1 Outcomes of Closed Requests

figure2.1
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During the reporting period:
48% of requests resulted in a disposition of "Disclosed in part";
18.6% of requests resulted in a disposition of "All disclosed";
16.6% of requests resulted in a disposition of "No records exist";
8% of requests resulted in a disposition of "Request abandoned";
6.7% of requests resulted in a disposition of "All exempted";
1.2% of requests resulted in a disposition of "All excluded";
0.6% of requests resulted in a disposition of "Request transferred"; and
0.1% of requests resulted in a disposition of "Neither confirmed nor denied".


Table 2.1 Disposition and completion time of requests made under the Access to Information Act
Disposition of requests Completion Time
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
Total 165 222 77 144 51 8 0 667
All disclosed 22 73 23 6 0 0 0 124
Disclosed in part 19 89 43 113 47 7 0 318
All exempted 10 13 5 13 3 1 0 45
All excluded 1 0 0 6 1 0 0 8
No records exist 63 41 3 4 0 0 0 111
Request transferred 4 0 0 0 0 0 0 4
Request abandoned 46 6 2 2 0 0 0 56
Neither confirmed nor denied 0 0 1 0 0 0 0 1
2.2 Exemptions

As seen in previous years, the most commonly invoked exemption during the reporting period was the severing of government operations information pursuant to subsection 21(1) of the ATIA, which was cited in 279 (73.7%) release packages (Table 2.2). The next most common exemptions applied were under those subsection 19(1) (222 instances (68.7%)) and 20(1) (147 instances (52.9%)), which protect personal information and certain third party information, respectively.

In general, exemptions were used more frequently throughout 2014 – 2015 in comparison to previous years, with 885 total exemptions applied across 495 requests where relevant records were retrieved and treated.

Table 2.2 Number of requests closed where exemption provisions were invoked
Section Number of requests
13(1)(a) 4
13(1)(b) 5
13(1)(c) 16
13(1)(d) 2
13(1)(e) 0
14 28
14(a) 0
14(b) 0
15(1) – I.A*. 2
15(1) – Def.* 5
15(1) – S.A.* 0
16(1)(a)(i) 2
16(1)(a)(ii) 2
16(1)(a)(iii) 0
16(1)(b) 0
16(1)(c) 0
16(1)(d) 0
16(2) 30
16(2)(a) 0
16(2)(b) 0
16(2)(c) 0
16(3) 0
16.1(1)(a) 0
16.1(1)(b) 0
16.1(1)(c) 0
16.1(1)(d) 0
16.2(1) 0
16.3 0
16.4(1)(a) 0
16.4(1)(b) 0
16.5 0
17 7
18(a) 2
18(b) 2
18(c) 0
18(d) 0
18.1(1)(a) 0
18.1(1)(b) 0
18.1(1)(c) 0
18.1(1)(d) 0
19(1) 222
20(1)(a) 4
20(1)(b) 78
20(1)(b.1) 0
20(1)(c) 32
20(1)(d) 47
20.1 0
20.2 0
20.4 0
21(1)(a) 102
21(1)(b) 70
21(1)(c) 85
21(1)(d) 22
22 5
22.1(1) 0
23 99
24(1) 1
26 11
Total 885
* I.A.: International Affairs		Def.: Defence of Canada		S.A.: Subversive Activities
2.3 Exclusions

In 2014 – 2015, out of 129 requests where relevant records were retrieved and exclusions were applied. Exclusions were predominantly cited pursuant to subsection 69(1)(g), which was applied in 80 requests (62%) (Table 2.3). These exclusions generally contained references to records related to funding via TBS Submissions and Memoranda to Cabinet.

Table 2.3 Number of requests closed where exclusion provisions were applied
Section Number of requests
Total: 129
68(a) 2
68(b) 0
68(c) 0
68.1 0
68.2(a) 0
68.2(b) 0
69(1) 0
69(1)(a) 10
69(1)(b) 2
69(1)(c) 4
69(1)(d) 7
69(1)(e) 15
69(1)(f) 9
69(1)(g) re (a) 80
69(1)(g) re (b) 0
69(1)(g) re (c) 0
69(1)(g) re (d) 0
69(1)(g) re (e) 0
69(1)(g) re (f) 0
69.1(1) 0
2.4 Format of information released

Over the course of this reporting period, the majority of responses were provided to the requester in CD ROM format. In total, AANDC conveyed response packages electronically in 393 requests (88.9% of all responses) where records were disclosed.

Table 2.4 Format of information released
Disposition Paper Electronic Other formats
Total 49 393 0
All disclosed 25 99 0
Disclosed in part 24 294 0
2.5 Complexity

The following sections detail several factors affecting the complexity of requests that were completed throughout
2014 – 2015.

2.5.1 Relevant pages processed and disclosed

During the reporting period, the ATIP Directorate retrieved and reviewed 311,571 pages across 552 requests of records under the control of the Department (Table 2.5.1). This is a decrease of over 12,476 pages from 2013 – 2014. To view the full listing of AANDC's completed access to information requests since 2010, go to:

http://www.aadnc-aandc.gc.ca/eng/1392740423294/1392740855490

In addition, 44.7% (139,344 pages) of the total records processed during the reporting period were disclosed partially, or in their entirety, an increase of over the previous year's 38.7% release rate.

Table 2.5.1 Relevant pages processed and disclosed
Disposition of requests Number of pages processed Number of pages disclosed Number of requests
Total 311,571 139,344 552
All disclosed 17,563 9,548 124
Disclosed in part 281,779 129,796 318
All exempted 11,517 0 45
All excluded 712 0 8
Request abandoned 0 0 56
Neither confirmed or denied 0 0 1
2.5.2 Relevant pages processed and disclosed by size of requests

Over half of the requests (320 or 58%) required 100 pages of processing or less (Table 2.5.2). At the other end of the spectrum, 68 requests required the review of over 1,000 pages, including 11 requests of over 5,000 pages to process. These 68 high-volume requests accounted for 100,389 (72%) of all pages of records released over the course of 2014 – 2015.

Table 2.5.2 Relevant pages processed and disclosed by size of request
Disposition Less than 100 pages processed 101 – 500 pages processed 501 – 1000 pages processed 1001 – 5000pages processed More than 5000 pages processed
Requests Pages disclosed Requests Pages disclosed Requests Pages disclosed Requests Pages disclosed Requests Pages disclosed
Total 320 3,788 117 17,935 47 17,232 57 56,857 11 43,532
All disclosed 98 1,407 21 3,257 2 1,255 3 3,629 0 0
Disclosed in part 128 2,381 91 14,678 37 15,977 51 53,228 11 43,532
All exempted 34 0 0 0 8 0 3 0 0 0
All excluded 6 0 2 0 0 0 0 0 0 0
Abandoned 54 0 2 0 0 0 0 0 0 0
Neither confirmed nor denied 0 0 1 0 0 0 0 0 0 0
2.5.3 Other complexities

During the reporting period, AANDC faced several challenges that increased the complexity of its requests. Such requests sought records pertaining to high-profile issues in the media, budget and spending information related to Aboriginal groups, and allegations and complaints.

Consultations with stakeholders remained an important factor for the processing of requests at AANDC.AANDC most frequently consulted with the Departmental Legal Services Unit (DLSU) regarding potential Cabinet Confidences and the Department of Justice (DOJ) regarding information that is subject to solicitor-client privilege. AANDC also frequently consulted with Canada Post Corporation (CPC), Environment Canada (EC), the Department of Foreign Affairs and International Trade (DFAIT), Health Canada (HC), Natural Resources Canada (NRCAN), Public Works and Government Services Canada (PWGSC) and the Royal Canadian Mounted Police (RCMP).

AANDC continued to collect application fees with most new requests (see Part 4).

Table 2.5.3 Other complexities related to requests closed during the reporting period
Disposition Consultation required Assessment of fees Legal advice sought Other Total
Total 215 11 85 0 311
All disclosed 16 0 0 0 16
Disclosed in part 171 5 70 0 246
All exempted 20 0 8 0 28
All excluded 7 0 7 0 14
Abandoned 1 6 0 0 7
Neither confirmed nor denied          

As it did in 2013 – 2014, AANDC continued to encounter complex files with a high number of pages for review. One approach that was taken in previous years was used once more, and proved successful yet again in 2014 – 2015. When multiple requesters made identical or similar requests for the same large set of records, AANDC obtained consent from each of the requesters to apply an extension to their file and administer all requests as one single file. In return, AANDC committed to waiving all search and retrieval fees and making interim releases to the requesters if possible. The approach was well-received and each of these files was closed during 2014 – 2015 with no subsequent complaint filed.

2.6 Deemed refusals

During the reporting period, AANDC failed to comply with statutory deadlines on three occasions. One request was closed past the statutory deadline due to an external consultation, and two were closed past the statutory deadline due to an internal consultation. Workload was never the cause of a request closing past statutory deadline.

2.7 Requests for translation

During the reporting period, there were no instances where a requester asked that responsive records be translated to another official language.

Part 3. Extensions

3.1 Reasons for extensions and disposition of requests

A total of 308 extensions under section 9(1) of the ATIA were applied in 2014 – 2015. The most prevalent reason for extending deadlines this reporting period was for consultation with Other Government Departments (OGDs) (115 times, or 37.3% of all extensions) and legal advice (85 times, or 27.6% of all extensions).

In all cases where extensions pursuant to 9(1)(a) were taken, and records existed, the requests resulted in dispositions of ‘Disclosed in part' 96% of the time. Where an extension was taken under either 9(1)(a), (b) or (c), records were fully or partially disclosed in 274 out of 308 (89%) instances (Table 3.1). Only in 12 cases were extensions applied for external consultations with OGDs or third parties and no records released due to exemptions.

Of the 85 requests where extensions were taken for the purpose of consulting the DLSU on potential Cabinet confidences, 70 resulted in the disclosure of records (for more on DLSU consultations, see Part 6).

Figure 3.1 Extensions and workload over the past three years

chart
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This bar graphs shows the trends of extensions and workload of requests from 2012 – 2013 to 2014 – 2015.

In 2012 – 2013:
31 extensions were applied pursuant to paragraph 9(1)(a);
101 extensions were applied pursuant to paragraph 9(1)(b);
57 extensions were applied pursuant to paragraph 9(1)(c);
189 total extensions were taken;
731 formal requests were completed

In 2013 – 2014:
24 extensions were applied pursuant to paragraph 9(1)(a);
141 extensions were applied pursuant to paragraph 9(1)(b);
48 extensions were applied pursuant to paragraph 9(1)(c);
213 total extensions were taken;
657 formal requests were completed

In 2014 – 2015:
29 extensions were applied pursuant to paragraph 9(1)(a);
200 extensions were applied pursuant to paragraph 9(1)(b);
79 extensions were applied pursuant to paragraph 9(1)(c);
308 total extensions were taken;
792 formal requests were completed


Number of Extensions Applied/Workload of Requests

Table 3.1 Reasons for extensions and disposition of requests
Disposition of requests where an extension was taken 9(1)(a) Interference with Operations 9(1)(b) Consultation 9(1)(c) Third Party Notice
Section 69 Other
Total 29 85 115 79
All disclosed 0 0 12 5
Disclosed in part 26 70 90 71
All exempted 1 8 10 2
All excluded 0 7 0 0
No records exist 2 0 3 1
Request abandoned 0 0 0 0
3.2 Length of extensions

The majority (97.1%) of extensions applied during the reporting period were less than 180 days.

Extensions greater than 181 days were only taken on 9 requests, a significant decrease from the 44 instances of extensions greater than 181 days from 2013 – 2014. In addition to this, in 2014 – 2015, AANDC never took an extension greater than 365 days.

Table 3.2 Length of extensions
Section 69 Other
Length of extension 9(1)(a) Interference with Operations 9(1)(b) Consultation 9(1)(c) Third Party Notice
Total 29 85 115 79
30 days or less 0 5 1 2
31 to 60 days 2 1 33 4
61 to 120 days 13 74 64 50
121 to 180 days 8 4 16 22
181 to 365 days 6 1 1 1
365 days or more 0 0 0 0

The length of extensions applied under paragraphs (b) was largely dependent on timeframes decided by the other organization. Whenever an extension of over 30 days was applied, AANDC notified the Office of the Information Commissioner (OIC).

Part 4. Fees

AANDC collected $3,140 in application fees and waived $690 in fees over the course of the reporting period (Table 4). For five requests, search fees were assessed and collected for a total of $1,131.

The movement toward electronic release of information has allowed the Department to avoid assessing fees for reproduction and preparation costs in most scenarios. AANDC will continue to emphasize electronic release of records wherever possible.

Table 4. Fees collected and waived
Fee Type Fee Collected Fee Waived or Refunded
# of Requests Amount # of Requests Amount
Total 667 $4,271 3 $690
Application 664 $3,140 0 $0
Search 3 $1,131 3 $690
Production 0 $0 0 $0
Programming 0 $0 0 $0
Preparation 0 $0 0 $0
Alternative format 0 $0 0 $0
Reproduction 0 $0 0 $0

Part 5. Consultations Received from other Institutions and Organizations

5.1 Consultations received from other Government of Canada institutions and organizations

AANDC received 164 consultations for a total of 6,385 pages from other government institutions. AANDC carried over another 4 files from last year, for a total of 168 consultations (Table 5.1). This figure represents a 9.5% decrease from the 184 consultations received in 2013 – 2014.

The ATIP Directorate completed 163 consultations, reviewing 6,433 pages in the process, and carried over 5 into the 2015 – 2016.

Consultations Other government institutions # Pages to review Other organizations # Pages to review
Received during reporting period 164 6,385 0 0
Outstanding from the previous reporting period 4 48 0 0
Total 168 6,433 0 0
Closed during the reporting period 163 6,291 0 0
Pending at the end of the reporting period 5 142 0 0
5.2 Recommendations and completion time for consultations received from other Government of Canada institutions

For the purposes of this section, "other government institutions" are other institutions subject to the Access to Information Act . In the majority of cases (118 consultation requests, or 72.4% of all consultation requests) AANDC recommended that the government institution disclose the consulted pages in their entirety (Figure 5.2).

The bulk of consultations processed by the ATIP Directorate (158 consultation requests, or 96.9% of all consultation requests) were completed within 30 days of their receipt (Table 5.2). There were no occurrences where AANDC required longer than 60 days providing a response to the consulting institution.

Table 5.2 Recommendations and completion time for consultations received from other government institutions
Recommendations Number of days required to complete consultations
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
Total 112 46 5 0 0 0 0 163
Disclose entirely 86 31 1 0 0 0 0 118
Disclose in part 19 13 3 0 0 0 0 35
Exempt entirely 3 2 0 0 0 0 0 3
Exclude entirely 0 2 0 0 0 0 0 2
Consult other institution 1 0 1 0 0 0 0 2
Other 3 0 0 0 0 0 0 3
5.3 Recommendations and completion time for consultations received from other organizations

In 2014 – 2015, AANDC received no consultation requests from other organizations. For the purposes of this section, other organizations include the governments of the provinces, territories and municipalities and of other countries.

Table 5.3 Recommendations and completion time for consultations received from other organizations
Recommendations Number of days required to complete consultations
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
Total 0 0 0 0 0 0 0 0
Disclose entirely 0 0 0 0 0 0 0 0
Disclose in part 0 0 0 0 0 0 0 0
Exempt entirely 0 0 0 0 0 0 0 0
Exclude entirely 0 0 0 0 0 0 0 0
Consult other institution 0 0 0 0 0 0 0 0
Other 0 0 0 0 0 0 0 0

Part 6. Completion time of Consultations on Cabinet Confidences

During 2014 – 2015, AANDC sent 83 consultations on the application of section 69 of the ATIA to DLSU for Cabinet confidences certification (Table 6). Only three consultations on Cabinet confidences took greater than 180 days to complete

Throughout 2014 – 2015, AANDC did not send any consultation requests to the Privy Council Office.

Table 6.1 Requests with Legal Services
Disposition Less than 100 pages processed 101 – 500 pages processed 501 – 1000 pages processed 1001 – 5000 pages processed More than 5000 pages processed
Requests Pages disclosed Requests Pages disclosed Requests Pages disclosed Requests Pages disclosed Requests Pages disclosed
Total 26 275 24 3,089 12 3,987 17 15,153 4 16,952
1 to 15 0 0 0 0 0 0 0 0 0 0
16 to 30 0 0 1 147 0 0 0 0 0 0
31 to 60 2 15 1 274 0 0 0 0 1 4,792
61 to 120 24 260 12 1,726 3 1,009 5 5,125 0 0
121 to 180 0 0 10 942 9 2,978 10 9,667 2 8,124
181 to 365 0 0 0 0 0 0 2 361 1 4,036
More than 365 0 0 0 0 0 0 0 0 0 0
Table 6.2 Requests with Privy Council Office
Disposition Less than 100 pages processed 101 – 500 pages processed 501 – 1000 pages processed 1001 – 5000 pages processed More than 5000 pages processed
Requests Pages disclosed Requests Pages disclosed Requests Pages disclosed Requests Pages disclosed Requests Pages disclosed
Total 0 0 0 0 0 0 0 0 0 0
1 to 15 0 0 0 0 0 0 0 0 0 0
16 to 30 0 0 0 0 0 0 0 0 0 0
31 to 60 0 0 0 0 0 0 0 0 0 0
61 to 120 0 0 0 0 0 0 0 0 0 0
121 to 180 0 0 0 0 0 0 0 0 0 0
181 to 365 0 0 0 0 0 0 0 0 0 0
More than 365 0 0 0 0 0 0 0 0 0 0

Part 7. Complaints and Investigations

During the 2014 – 2015 reporting period, there were 23 complaints registered with the Office of the Information Commissioner (OIC) against AANDC (Table V.1). Approximately 65% of the complaints received cited one of two reasons: the application of exemptions or exclusions (26 complaints, 43.3%) or the ‘no records'/incomplete response that was received by the requester (13 complaints, 21.7%).

Of the 20 complaints that were closed during the reporting period, half (9, or 45.0%) were deemed well-founded by the OIC but all were resolved without the OIC providing AANDC with recommendations (Table V.2). Almost a third (6, or 30%) was deemed not well-founded while five complaints were discontinued by the requester.

Table 7.1 Complaints and Investigation
Section 32 Section 35 Section 37 Total
23 0 0 23

Part 8. Court Action

During 2014 – 2015, the ATIP Directorate within AANDC did not partake in any court action.

Part 9. Resources related to the Access to Information Act

9.1 Costs
Table 9.1 Costs for the administration of the ATIA
Expenditures Amount
Total $749,700
Salaries $696,194
Overtime $0
Goods and Services $53,506
 • Professional services contracts  $14,917  
 • Other  $38,589  

In 2014 – 2015, AANDC spent $749,700 on the administration of the ATIA, which is a decrease of $253,410 (or 25.3%) from the $1,003,100 expended in 2013 – 2014 (Table 9.1). In particular, $251,795 less was devoted to salary.

Figure 9.1 Budget figures for the administration of the Access to Information Act over the previous four years

Figure 9.1
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In 2011 – 2012:
$568,790 was expended on salary;
$174,034 was expended on operations and management (O&M);
$748,970 in total was expended to administer the Access to Information Act at Aboriginal Affairs and Northern Development Canada

In 2012 – 2013:
$616,886 was expended on salary;
$248,112 was expended on operations and management (O&M);
$868,576 in total was expended to administer the Access to Information Act at Aboriginal Affairs and Northern Development Canada

In 2013 – 2014:
$947,989 was expended on salary;
$53,744 was expended on operations and management (O&M);
$1,001,733 in total was expended to administer the Access to Information Act at Aboriginal Affairs and Northern Development Canada

In 2014 – 2015:
$696,194 was expended on salary;
$53,506 was expended on operations and management (O&M);
$749,700 in total was expended to administer the Access to Information Act at Aboriginal Affairs and Northern Development Canada


9.2 Human Resources

The Operations Unit within the ATIP Directorate consisted of 8.00 full-time equivalents (FTEs) dedicated to access to information activities (Table 9.2). All 8.00 FTEs were dedicated fully to access to information activities. Over the course of the reporting period, AANDC hired 2.00 FTEs of Students or agency personnel.

Table 9.2 Human resources dedicated to the administration of the Access to Information Act
Resources Person Years Dedicated to Access to Information Activities
Total 10.00
Full-time employees 8.00
Part-time and casual employees 0.00
Regional staff 0.00
Consultants and agency personnel 0.00
Students 2.00

HIGHLIGHTS

V. 2014 – 2015 Points of Interest

Under the leadership and support of the Corporate Secretary and ATIP director, the ATIP Directorate focused its business in 2014 – 2015 upon three key pillars: legislative and policy compliance, modernization, and engagement and support. The following are highlights of some activities undertaken this year under these key areas.

ATIP Liaison Officer Manual

An ATIP Liaison Officer Manual was created to answer and support all questions of the work at AANDC ATIP Liaison Officers across the country. ATIP Liaison Officers act as the main point of contact between the ATIP Directorate and sectors. ATIP Liaison Officers ensure that requests are clear, and that the appropriate records, impact statements, and approvals are communicated to the ATIP Directorate. This manual is intended to be used as a general reference tool to build the knowledge about ATIP, provide guidance and advice to our OPIs and senior management; and overall, to ensure a consistent approach to treating access to information requests.

Posting of Completed ATI Request Summaries on Open.Canada.ca

In 2014 – 2015, AANDC started to post all of their completed Access to Information Summaries on Open.Canada.ca. A direct link has been installed by AANDC to Open.Canada.ca, the new Open Government centralized system for posting of all completed ATI request summaries. This system supports a standardized search function, and a common look and feel for users.

Ongoing ATIP Online Request Pilot Project

The Access to Information and Privacy Online Request Pilot Project is still ongoing. Of the 720 requests received during the reporting period, 259 (36%) were received through the online process.

Education and Training

Educating staff on the ATIA as well as its implications for the Department and its operations continues to be of high importance to AANDC.

AANDC recognizes that a solid understanding of the ATIA allows analysts to better handle requests for records and respond with greater confidence and efficiency. Ongoing training of ATIP staff will positively impact how AANDC meets its legislative obligations and implements TBS policies and procedures including the "Duty to Assist" requesters.

To this end, several training sessions were offered over the year to ATIP employees regarding jurisprudence and the application of specific sections of the ATIA. ATIP employees are also encouraged to attend ATIP community conferences hosted by TBS or the OIC. In addition, opportunities were given to several ATIP employees to provide training to departmental staff and to build relationships with the various program areas of AANDC.

With respect to departmental training, AANDC continued its successful training campaign of 2014 – 2015. In total, the ATIP Directorate held 21 formal training sessions on the ATIAto an average of 8 to 10 employees, as well as numerous informal ad hoc sessions as requested by AANDC program areas.

VI. Changes to the Organization, Policies, Guidelines and Procedures

Organization Changes

In 2014 – 2015, the Directorate had a few modifications to the organization structure. An acting Director (EX-1) was appointed to head the directorate and a Team Leader position (PM-05) was filled through the use of another departmental pool. The Directorate also established a Deputy Director position (PM-06) to provide further organizational support to the Director and to manage daily ATIP activities.

The Directorate launched four competitive staffing processes (PM-01, PM-03, PM-04, and PM-06). The goal of these processes was to establish pools of qualified candidates in each PM level which would be open to all ATIP offices across government. In the spirit of further collaboration, the PM-04 competitive process was chaired jointly by AANDC and Industry Canada's ATIP Directors.

The Directorate also continued its practice of hiring several FSWEP students and providing them with a meaningful work experience, which included a rotation through each of the Privacy Policy, Intake and Operations Units.

Procedural Changes

Beyond the transition to electronic record retrieval, and creation of the ATIP Liaison Shared Drive, no significant procedural changes were undertaken in 2014 – 2015.

Appendix A

Order of Delegation of the Access to Information Act dated August 30, 2011.

Pursuant to the powers of designation conferred upon me by Section 73 of the Access to Information Act, the persons exercising the functions or positions of Deputy Minister (position number 00001), Associate Deputy Minister (position number 00000006), Deputy Minister's Office; Corporate Secretary, (position number 12294), Corporate Secretariat; and the departmental Access to Information and Privacy Coordinator (position number 20003872) and their respective successors, including in their absence, a person or officer designated in writing to act in the place of the holder of any such functions or positions are hereby designated to exercise those powers, duties or functions of the Minister as the Head of the government institution under the Act, and as set out in the attached Schedule A.

The departmental Access to Information and Privacy Senior Advisors (position numbers 62364, 12590 and 12061) and their respective successors, including in her/his absence, a person or officer designated in writing as being authorized to act in the place of the holder of any such function or position, are hereby designated to exercise those powers, duties or functions of the Minister as the Head of the government institution under the Act, and as set out in the attached Schedule B.

Original signed by
_______________________________________________

Minister of Indian Affairs and Northern Development
Dated at Gatineau, 2011

SCHEDULE A

DEPARTMENT OF INDIAN AFFAIRS AND NORTHERN DEVELOPMENT SCHEDULE TO DELEGATION ORDER

DESIGNATION PURSUANT TO SECTION 73 OF THE ACCESS TO INFORMATION ACT

Sections and Powers, Duties or Functions

Advise requesters that we need additional information to proceed with their request
6
Give written notice to requestor that we can proceed with the request
7(a)
Transfer request to another institution or accept transfer from another institution
8(1)
Extend time limits
9
Refuse to acknowledge or deny the existence of records
10
Charge additional fees
11
Provide access in alternate format
12(2)(3)
Exempt information obtained in confidence
13
Exempt information pertaining to federal-provincial affairs
14
Exempt information pertaining to international affairs and/or defence
15
Exempt information pertaining to law enforcement and investigations
16
Exempt information pertaining to the safety of individuals
17
Exempt information pertaining to the economic interests of Canada
18
Exempt personal information
19
Exempt or disclose third party information
20
Exempt information pertaining to advice, decision-making processes of government plans and positions etc.
21
Exempt information pertaining to testing procedures or audits
22
Exempt information pertaining to solicitor-client privilege
23
Exempt information subject to statutory prohibitions or other Acts of Parliament
24
Sever information
25
Exempt information to be published within 90 days
26
Notify third parties of their rights to provide comments/representations regarding the disclosure of their records
27(1)(4)
third party representations; make a decision as to whether to disclose the record or part thereof; and, notify third party of right to appeal to Federal Court
28(4)
Disclose information on Information Commissioner's recommendation
29(1)
Advise the Information Commissioner of any third party involvement
33
Make representations to the Information Commissioner during an investigation
35(2)
Release information to complainant
37(4)
Issue a notice to a third party of an application for Court review
43(1)
Issue a notice to an applicant that a third party has applied for Court review
44(2)
Request special rules for hearings
52
Exclude Cabinet Confidences
69
Inspect and exempt information in manuals
71
Prepare Annual Report to Parliament
72(1)
Carry out responsibilities conferred to the Head of the institution by the regulations made under section 77 which are not included in the above
77

SCHEDULE B

DEPARTMENT OF INDIAN AFFAIRS AND NORTHERN DEVELOPMENT SCHEDULE TO DELEGATION ORDER

DESIGNATION PURSUANT TO SECTION 73 OF THE ACCESS TO INFORMATION ACT

Sections and Powers, Duties or Functions

Advise requesters that we need additional information to proceed with their request
6
Give written notice to requestor that we can proceed with the request
7(a)
Transfer request to another institution or accept transfer from another institution
8(1)
Extend time limits
9
Charge additional fees
11
Notify third parties of their rights to provide comments/ representations regarding the disclosure of their records
27(1)(4)
Receive third party representations
28(1)(2)
Make a decision as to whether to disclose the record or part thereof; and, notify third party of right to appeal to Federal Court
28(4)
Advise the Information Commissioner of any third party involvement
33
Make representations to the Information Commissioner during an investigation
35(2)
Issue a notice to a third party of an application for Court review
43(1)
Issue a notice to an applicant that a third party has applied for Court review
44(2)

Appendix B

Statistical Report on the Access to Information Act

Name of institution: Aboriginal and Northern Development Canada

Reporting period: 2014-04-01 to 2015-03-31

Part 1: Requests Under the Access to Information Act

Table 1.1 Number of Requests
Number of Requests
Received during reporting period 720
Outstanding from previous reporting period 72
Total 792
Closed during reporting period 667
Carried over to next reporting period 125
Table 1.2 Sources of Requests
Source Number of Requests
Total 720
Media 377
Academia 40
Business (private sector) 88
Organization 71
Public 144
Decline to Identify 0
1.3 Informal requests
Completion Time
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
74 27 19 10 0 2 0 132

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

Part 2: Requests Closed During the Reporting Period

2.1 Disposition and completion time
Disposition of requests Completion Time
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
Total 165 222 77 144 51 8 0 667
All disclosed 22 73 23 6 0 0 0 124
Disclosed in part 19 89 43 113 47 7 0 318
All exempted 10 13 5 13 3 1 0 45
All excluded 1 0 0 6 1 0 0 8
No records exist 63 41 3 4 0 0 0 111
Request transferred 4 0 0 0 0 0 0 4
Request abandoned 46 6 2 2 0 0 0 56
Neither confirmed nor denied 0 0 1 0 0 0 0 1
Table 2.2 Exemptions
Section Number of requests
13(1)(a) 4
13(1)(b) 5
13(1)(c) 16
13(1)(d) 2
13(1)(e) 0
14 28
14(a) 0
14(b) 0
15(1) – I.A*. 2
15(1) – Def.* 5
15(1) – S.A.* 0
16(1)(a)(i) 2
16(1)(a)(ii) 2
16(1)(a)(iii) 0
16(1)(b) 0
16(1)(c) 0
16(1)(d) 0
16(2) 30
16(2)(a) 0
16(2)(b) 0
16(2)(c) 0
16(3) 0
16.1(1)(a) 0
16.1(1)(b) 0
16.1(1)(c) 0
16.1(1)(d) 0
16.2(1) 0
16.3 0
16.4(1)(a) 0
16.4(1)(b) 0
16.5 0
17 7
18(a) 2
18(b) 2
18(c) 0
18(d) 0
18.1(1)(a) 0
18.1(1)(b) 0
18.1(1)(c) 0
18.1(1)(d) 0
19(1) 222
20(1)(a) 4
20(1)(b) 78
20(1)(b.1) 0
20(1)(c) 32
20(1)(d) 47
20.1 0
20.2 0
20.4 0
21(1)(a) 102
21(1)(b) 70
21(1)(c) 85
21(1)(d) 22
22 5
22.1(1) 0
23 99
24(1) 1
26 11
        * I.A.: International Affairs      Def.: Defence of Canada     S.A.: Subversive Activities
    
2.3 Exclusions
Section Number of requests
Total: 129
68(a) 2
68(b) 0
68(c) 0
68.1 0
68.2(a) 0
68.2(b) 0
69(1) 0
69(1)(a) 10
69(1)(b) 2
69(1)(c) 4
69(1)(d) 7
69(1)(e) 15
69(1)(f) 9
69(1)(g) re (a) 80
69(1)(g) re (b) 0
69(1)(g) re (c) 0
69(1)(g) re (d) 0
69(1)(g) re (e) 0
69(1)(g) re (f) 0
69.1(1) 0
2.4 Format of information released
Disposition Paper Electronic Other formats
Total 49 393 0
All disclosed 25 99 0
Disclosed in part 24 294 0

2.5 Complexity

2.5.1 Relevant pages processed and disclosed
Disposition of requests Number of pages processed Number of pages disclosed Number of requests
All disclosed 17,563 9,548 124
Disclosed in part 281,779 129,796 318
All exempted 11,517 0 45
All excluded 712 0 8
Request abandoned 0 0 56
Neither confirmed or denied 0 0 1
Total 311,571 139,344 552
2.5.2 Relevant pages processed and disclosed by size of request
Disposition Less than 100 pages processed 101 – 500 pages processed 501 – 1000 pages processed 1001 – 5000pages processed More than 5000 pages processed
Requests Pages disclosed Requests Pages disclosed Requests Pages disclosed Requests Pages disclosed Requests Pages disclosed
Total 320 3,788 117 17,935 47 17,232 57 56,857 11 43,532
All disclosed 98 1,407 21 3,257 2 1,255 3 3,629 0 0
Disclosed in part 128 2,381 91 14,678 37 15,977 51 53,228 11 43,532
All exempted 34 0 0 0 8 0 3 0 0 0
All excluded 6 0 2 0 0 0 0 0 0 0
Abandoned 54 0 2 0 0 0 0 0 0 0
Neither confirmed nor denied 0 0 1 0 0 0 0 0 0 0
2.5.3 Other complexities
Disposition Consultation required Assessment of fees Legal advice sought Other Total
Total 215 11 85 0 311
All disclosed 16 0 0 0 16
Disclosed in part 171 5 70 0 246
All exempted 20 0 8 0 28
All excluded 7 0 7 0 14
Abandoned 1 6 0 0 7
Neither confirmed nor denied          

2.6 Deemed refusals

2.6.1 Reasons for not meeting statutory deadlines
Number of Requests Closed Past the Statutory Deadline Principal Reason
Workload External Consultation Internal Consultation Other
3 0 1 2 0
2.6.2 Number of days past deadline
Number of Days Past Deadline Number of Requests Past Deadline Where No Extension Was Taken Number of Requests Past Deadline Where An Extension Was Taken Total
Total 0 3 3
1 to 15 days 0 0 0
16 to 30 days 0 0 0
31 to 60 days 0 0 0
61 to 120 days 0 3 3
121 to 180 days 0 0 0
181 to 365 days 0 0 0
More than 365 days 0 0 0
2.7 Requests for translation
Translation Requests Accepted Refused Total
Total 0 0 0
English to French 0 0 0
French to English 0 0 0

Part 3: Extensions

3.1 Reasons for extensions and disposition of requests
9(1)(b) Consultation
Disposition of requests where an extension was taken 9(1)(a) Interference with Operations Section 69 Other 9(1)(c) Third Party Notice
Total 29 85 115 79
All disclosed 0 0 12 5
Disclosed in part 26 70 90 71
All exempted 1 8 10 2
All excluded 0 7 0 0
No records exist 2 0 3 1
Request abandoned 0 0 0 0
3.2 Length of extensions
Section 69 Other
Length of extension 9(1)(a) Interference with Operations 9(1)(b) Consultation 9(1)(c) Third Party Notice
Total 29 85 115 79
30 days or less 0 5 1 2
31 to 60 days 2 1 33 4
61 to 120 days 13 74 64 50
121 to 180 days 8 4 16 22
181 to 365 days 6 1 1 1
365 days or more 0 0 0 0

Part 4. Fees

4. Fees collected and waived
Fee Type Fee Collected Fee Waived or Refunded
# of Requests Amount # of Requests Amount
Total 667 $4,271 3 $690
Application 664 $3,140 0 $0
Search 3 $1,131 3 $690
Production 0 $0 0 $0
Programming 0 $0 0 $0
Preparation 0 $0 0 $0
Alternative format 0 $0 0 $0
Reproduction 0 $0 0 $0

Part 5. Consultations Received from other Institutions and Organizations

5.1 Consultations received from other Government of Canada institutions and organizations
Consultations Other government institutions # Pages to review Other organizations # Pages to review
Received during reporting period 164 6,385 0 0
Outstanding from the previous reporting period 4 48 0 0
Total 168 6,433 0 0
Closed during the reporting period 163 6,291 0 0
Pending at the end of the reporting period 5 142 0 0
5.2 Recommendations and completion time for consultations received from other government institutions
Recommendations Number of days required to complete consultations
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
Total 112 46 5 0 0 0 0 163
Disclose entirely 86 31 1 0 0 0 0 118
Disclose in part 19 13 3 0 0 0 0 35
Exempt entirely 3 2 0 0 0 0 0 3
Exclude entirely 0 2 0 0 0 0 0 2
Consult other institution 1 0 1 0 0 0 0 2
Other 3 0 0 0 0 0 0 3
5.3 Recommendations and completion time for consultations received from other organizations
Recommendations Number of days required to complete consultations
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
Total 0 0 0 0 0 0 0 0
Disclose entirely 0 0 0 0 0 0 0 0
Disclose in part 0 0 0 0 0 0 0 0
Exempt entirely 0 0 0 0 0 0 0 0
Exclude entirely 0 0 0 0 0 0 0 0
Consult other institution 0 0 0 0 0 0 0 0
Other 0 0 0 0 0 0 0 0

Part 6. Completion time of Consultations on Cabinet Confidences

6.1 Requests with Legal Services
Disposition Fewer than 100 pages processed 101 – 500 pages processed 501 – 1000 pages processed 1001 – 5000 pages processed More than 5000 pages processed
Requests Pages disclosed Requests Pages disclosed Requests Pages disclosed Requests Pages disclosed Requests Pages disclosed
Total 26 275 24 3,089 12 3,987 17 15,153 4 16,952
1 to 15 0 0 0 0 0 0 0 0 0 0
16 to 30 0 0 1 147 0 0 0 0 0 0
31 to 60 2 15 1 274 0 0 0 0 1 4,792
61 to 120 24 260 12 1,726 3 1,009 5 5,125 0 0
121 to 180 0 0 10 942 9 2,978 10 9,667 2 8,124
181 to 365 0 0 0 0 0 0 2 361 1 4,036
More than 365 0 0 0 0 0 0 0 0 0 0
6.2 Requests with Privy Council Office
Disposition Less than 100 pages processed 101 – 500 pages processed 501 – 1000 pages processed 1001 – 5000 pages processed More than 5000 pages processed
Requests Pages disclosed Requests Pages disclosed Requests Pages disclosed Requests Pages disclosed Requests Pages disclosed
Total 0 0 0 0 0 0 0 0 0 0
1 to 15 0 0 0 0 0 0 0 0 0 0
16 to 30 0 0 0 0 0 0 0 0 0 0
31 to 60 0 0 0 0 0 0 0 0 0 0
61 to 120 0 0 0 0 0 0 0 0 0 0
121 to 180 0 0 0 0 0 0 0 0 0 0
181 to 365 0 0 0 0 0 0 0 0 0 0
More than 365 0 0 0 0 0 0 0 0 0 0

Part 7: Complaints and Investigation

7 Complaints and Investigation
Section 32 Section 35 Section 37 Total
23 0 0 23

Part 8. Court Action

8 Court Action
Section 41 Section 42 Section 44 Total
0 0 0 0

Part 9. Resources related to the Access to Information Act

9.1 Costs
Expenditures Amount
Total $749,700
Salaries $696,194
Overtime $0
Goods and Services $53,506
 • Professional services contracts  $14,917  
 • Other  $38,589  
9.2 Human Resources
Resources Person Years Dedicated to Access to Information Activities
Total 10.00
Full-time employees 8.00
Part-time and casual employees 0.00
Regional staff 0.00
Consultants and agency personnel 0.00
Students 2.00
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