ARCHIVED - Privacy Act: Annual report to Parliament 2017-2018

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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 ATIA, describes the activities of Indigenous and Northern Affairs Canada (INAC) that support compliance with access to information legislation. The report details the activities and accomplishments of INAC’s Access to Information and Privacy (ATIP) Directorate, including highlights such as:

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

Creation of Two New Departments

In August 2017, the Prime Minister announced the dissolution of Indigenous and Northern Affairs Canada and the establishment of two new departments to better meet the needs and aspirations of First Nations, Inuit and Métis Peoples. At that time, he named two Ministers to lead these new departments: a Minister of Crown-Indigenous Relations and Northern Affairs Canada (CIRNAC) and a Minister of Indigenous Services Canada.

The ATIP office provided shared services support for ISC and CIRNAC through a Memorandum of Understanding (MOU) between the departments.

Crown-Indigenous Relations and Northern Affairs Canada’s Mandate

The Ministry of Crown-Indigenous Relations and Northern Affairs will accelerate the work that had already begun to renew the nation-to-nation, Inuit-Crown, and government-to-government relationship between Canada and Indigenous People. The ministry will also modernize our institutional structure and governance so that First Nations, Inuit, and Metis Peoples can build capacity that supports implementation of their vision of self-determination.

The new relationship must be based on the recognition of rights, respect, co-operation, and partnership. The Ministry will build on the progress that has been made already, including the establishment of approximately 60 Indigenous Rights and Self-Determination tables across the country, the creation of bilateral mechanism with National Indigenous Organizations to make progress on shared priorities, and the progress made across government on the Truth and Reconciliation Commission Calls to Action.

Indigenous and Northern Affairs Canada’s Mandate

The annual reports for the fiscal year 2017–2018 are written for the purpose of reporting on requests processed under the authority of INAC. Following the announced dissolution of INAC, the ATIP directorate followed the direction and mandate of CIRNAC to begin processing requests under the new ministry.

INAC is one of the two federal departments who are 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. INAC’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 Indigenous Peoples and the North.

Most of the Department’s programs, representing a majority of its spending, are delivered through partnerships with First Nation and Indigenous communities and federal-provincial or federal-territorial agreements. INAC also works with urban Indigenous people, Métis and Non-Status Indians (many of whom live in rural areas).

II. Organization

ATIP Directorate at INAC

The Access to Information and Privacy Directorate is responsible for the administration of requests made under the ATIA and the Privacy Act (PA). 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 INAC Senior Management Committee (SMC). The Directorate also coordinates and implements policies, guidelines and procedures to ensure departmental compliance with the ATIA and PA. Workshop presentations, training courses and awareness sessions designed to increase access to information and privacy capacity across the Department are also provided by the ATIP Directorate.

Under a shared service MOU, all ATIP analysts processed requests for both ISC and CIRNAC. They processed requests of varying volume and complexity based on their classification level. They also provide critical privacy advice for new initiatives, resulting in privacy protection in departmental programs. Policies and procedures continue to be established to ensure that privacy is considered throughout the life cycle of INAC’s programs and that informed policy decisions are made concerning the collection, sharing and/or use of personal information.

They provide advice and guidance to the Department on a number of topics:

  1. The application of the ATIA and PA;
  2. The release of sensitive or protected information to the public;
  3. Departmental Privacy Impact Assessments (PIAs);
  4. Permissible disclosures of personal information pursuant to subsection 8(2) of the PA;
  5. Appropriate PA Statements on Data Collection Instruments (DCIs), i.e. forms, surveys, etc.;
  6. Updates to Info Source and the preparation and registration of Personal Information Banks (PIBs) and their related Classes of Records (CORs);
  7. Protocols surrounding privacy breaches;
  8. Education and awareness of access to information and privacy issues throughout the Department; and
  9. Provide privacy advice in Memoranda of Understanding (MOUs).
Description of the org chart

Director’s Office

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).

Intake Team

The Intake Team is comprised of one Intake Officer (AS-01) and one Clerk (PM-02), who enter all applications into the electronic case management system, acknowledge receipt of requests, perform imaging services, interact with and respond to inquiries from the public, and are responsible for other administrative tasks.

Operations Team

The Operations Team is led by four Team Leaders (PM-05), who are responsible for the oversight of request processing by their team, including the review of completed requests. The Ops Team consists of Analysts PM-04, PM-03, PM-02 and PM-01 level, who process Access and Privacy requests of varying volume and complexity, respond to Privacy matters (such as breaches), provide training and provide Access and Privacy advice.

Within each of the sectors and regional offices of INAC are ATIP Liaison Officers (ALOs) who receive callouts from the ATIP Directorate and subsequently task the requests as appropriate to 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 within the designated time allowances.

The Intake Team triages and 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. The Operations Team ensures that a response is provided within the legislated timeframe (30 days). All requests are monitored using the tracking system Access Pro 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.

On November 30, 2017, by means of Order in Council #2017-1464 the Department of Indigenous Services Canada (ISC) was created. Effective this date, via Order in Council #2017-1465, INAC transferred responsibility of two sectors to the new department: the Education and Social Development Programs and Partnership Sector (ESDPP) and Regional Operations Sector (RO). Under the same authority (OIC #2017-1465) the Department of Health transferred to ISC the First Nations and Inuit Health Branch (FNIHB).

By written agreement, INAC continued to process ATIP requests for ESDPP and RO related records in order to support continuity of service to the public. Effective April 1, 2018 ISC assumed full responsibility for processing all requests for records relating to its programs, including requests relating to ESDPP and RO received after November 30, 2017.

By written agreement, the Department of Health continued to process requests for FNIHB related records in order to support continuity of service to the public. Effective April 1, ISC assumed full responsibility for processing all requests for records relating to its programs, including requests relating to FNIHB received after November 30, 2017.

III. Delegation Order

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

During the reporting period, the delegation order signed by Minister Carolyn Bennett on March 14, 2018, was in effect (Appendix A). Under section 73 of the ATIA, the order delegates full authority and responsibility for the ATIA to the following positions:

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

Statistics

IV. Interpretation of the Statistical Report

INAC’s Statistical Report was submitted to the Treasury Board Secretariat (TBS) on May 25, 2018 (Appendix B). The Report details various aspects of the requests INAC received and processed during the period of April 1, 2017 to March 31, 2018.

Part 1. Requests under the Access to Information Act

1.1 Number of requests

In 2017–2018 INAC received 516 requests, a decrease of approximately 30% compared to 732 in 2016–2017 (Table 1.1), 162 carried over for a total of 678 requests. The ATIP Directorate completed 567 requests and carried 111 requests over into the next reporting period 2018–2019. The decrease of ATI requests received and completed can be explained by the creation of ISC on November 30th, 2017. Referred to in section II of the INAC annual report.

Table 1.1 Number of Requests from 2015–2018
Number of Requests 2015–2016 2016–2017 2017–2018
Received during reporting period 652 732 516
Outstanding from previous reporting period 123 138 162
Total 775 870 678
Closed during reporting period 627 708 567
Carried over to next reporting period 148 162 111
1.2 Sources of requests

Of the 516 requests received during the reporting period, 166 (32.1%) were from the general public, followed by 140 (27.1%) from the media, and 93 (18.0%) from businesses (Table 1.2). INAC continues to receive requests predominantly from the public and media.

Table 1.2 Sources of Requests from 2015 to 2018
Source 2015–2016 2016–2017 2017–2018
Public 252 (39%) 240 (32.8%) 166 (32.2%)
Media 176 (27%) 212 (28.9%) 140 (27.1%)
Business 101 (15.5%) 136 (18.6%) 93 (18.0%)
Organization 81 (12.4%) 64 (8.7%) 40 (7.8%)
Academia 42 (6.4%) 58 (7.9%) 56 (10.9)
Decline to Identify 0 22 (3%) 21 (4.0%)
Total 652 732 516
1.3 Informal Requests

During the 2017–2018 reporting period, INAC received and completed 197 informal requests compared to 231 in 2016–2017. Ninety two percent (92%) of informal requests received last year were completed in less than 60 days.

Part 2. Requests closed During the Reporting Period

2.1 Disposition and completion time

Of the 567 requests closed during the reporting period, INAC was able to fully or partially disclose records in 350 cases; that is, 62% of the time a request was submitted to INAC, the result was a disclosure of records. Overall, 226 (40%) of the 567 requests were closed within the statutory 30 day timeframe.

Description representing the percentage of each requests disposition.
Disposition % of disposition
All disclosed 16%
Disclosed in part 45%
All exempted 4%
All excluded 2%
No records exist 21%
Request transferred 0%
Request abandoned 10%
Neither confirm nor denied 1%
3333333+9

About twelve percent (12%) of requests were abandoned by the requester, treated informally, or transferred to the appropriate government institution. Only in 35 cases (6.2% of all requests) the relevant records were fully exempted or excluded under provisions of the ATIA.

There were 341 requests that required greater than 30 days to process, 103 of which took greater than 120 days to complete.

The most frequent outcome of the requests processed during the reporting period was 'Disclosed in part’, which was the result of 257 requests (45.3%), followed by 'No records exist’ with 117 requests (20.6%) and then followed by 'All disclosed’ which was the result of 97 requests (16.4%).

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
All disclosed 5 45 23 17 1 2 0 93
Disclosed in part 1 21 55 101 57 29 4 257
All exempted 0 7 7 6 2 3 0 25
All excluded 2 2 2 2 2 0 0 10
No records exist 10 80 22 5 0 0 0 117
Request transferred 1 1 0 0 0 0 0 2
Request abandoned 29 17 4 4 1 0 2 57
Neither confirmed nor denied 5 0 1 0 0 0 0 6
Total 53 173 103 135 63 34 6 567
2.2 Exemptions

As seen in previous years, the most commonly invoked exemption during the reporting period was advice to government pursuant to subsection 21(1) of the ATIA, which was cited in 292 requests (Table 2.2). The next most common exemptions applied were under subsections 19(1) (protection of personal information) which was cited in 203 instances, and 20(1) (189 instances) which protect personal information and certain third party information, respectively.

Table 2.2 Number of requests closed where exemption provisions were invoked
Section Number of requests
13(1)(a) 2
13(1)(b) 2
13(1)(c) 11
13(1)(d) 2
13(1)(e) 1
14 8
14(a) 30
14(b) 22
15(1) 0
15(1) – I.A.* 0
15(1) – Def.* 0
15(1) – S.A.* 0
16(1)(a)(i) 1
16(1)(a)(ii) 2
16(1)(a)(iii) 0
16(1)(b) 0
16(1)(c) 8
16(1)(d) 0
16(2) 2
16(2)(a) 0
16(2)(b) 0
16(2)(c) 30
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) 1
16.4(1)(b) 0
16.5 2
17 1
18(a) 9
18(b) 9
18(c) 0
18(d) 3
18.1(1)(a) 0
18.1(1)(b) 2
18.1(1)(c) 0
18.1(1)(d) 0
19(1) 203
20(1)(a) 5
20(1)(b) 121
20(1)(b.1) 2
20(1)(c) 61
20(1)(d) 50
20.1 0
20.2 0
20.4 0
21(1)(a) 109
21(1)(b) 91
21(1)(c) 63
21(1)(d) 29
22 8
22.1(1) 5
23 68
24(1) 0
26 0
Total 928
* I.A.: International Affairs - Def.: Defence of Canada - S.A.: Subversive Activities
2.3 Exclusions

In 2017–2018, 64 requests applied exclusion provisions. The most commonly applied exclusion was 69(1)(g), which applied to 40 of those 64 requests. 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
68(a) 6
68(b) 0
68(c) 0
68.1 0
68.2(a) 0
68.2(b) 0
69(1) 2
69(1)(a) 7
69(1)(b) 1
69(1)(c) 0
69(1)(d) 3
69(1)(e) 4
69(1)(f) 1
69(1)(g) re (a) 40
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
Total 64
2.4 Format of information released

Over the course of this reporting period, the majority of responses were provided to the requester in paper format. In total, INAC conveyed response packages in 279 requests (80% of all responses) in paper.

Table 2.4 Format of information released
Disposition Paper Electronic Other formats
All disclosed 74 19 0
Disclosed in part 205 52 0
Total 279 71 0
2.5 Complexity

The following sections detail several factors affecting the complexity of requests that were completed throughout 2017–2018.

2.5.1 Relevant pages processed and disclosed

Of the 516 requests received, 117 had no records and 2 were transferred to other departments. The remaining 448 requests generated 206,077 pages to review. The total amount of pages disclosed was 74,635 during the reporting period.

The listing of INAC’s completed access to information requests can be found at: http://www.aadnc-aandc.gc.ca/eng/1392740423294/1392740855490

Table 2.5.1 Relevant pages processed and disclosed
Disposition of requests Number of pages processed Number of pages disclosed Number of requests
All disclosed 17,331 14,872 93
Disclosed in part 156,635 58,895 257
All exempted 22,616 0 25
All excluded 990 0 10
Request abandoned 8,505 868 57
Neither confirmed or denied 0 0 6
Total 206,077 74,635 448
2.5.2 Relevant pages processed and disclosed by size of requests

Half of the requests (231 or 51.5%) processed 100 pages or less (Table 2.5.2). At the other end of the spectrum, 44 requests required the review of over 1,000 pages, including 5 requests of over 5,000 pages to process which accounted for 41,682 (64%) pages of records released over the course of 2017–2018.

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 1001-5000 pages processed More than 5000 pages processed
Requests Pages disclosed Requests Pages disclosed Requests Pages disclosed Requests Pages disclosed Requests Pages disclosed
All disclosed 74 1,248 13 2,612 3 1,581 2 3,353 1 6,078
Disclosed in part 82 1,920 118 16,634 24 8,781 30 22,038 3 9,522
All exempted 15 0 5 0 1 0 3 0 1 0
All excluded 5 0 5 0 0 0 0 0 0 0
Abandoned 49 67 3 110 1 0 4 691 0 0
Neither confirmed nor denied 6 0 0 0 0 0 0 0 0 0
Total 231 3,235 144 19,356 29 10,362 39 26,082 5 15,600
2.5.3 Other complexities

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

Consultations with the Department of Justice (DOJ) were completed regarding information that is subject to solicitor-client privilege. INAC also frequently consulted with other government institution such as: Environment Canada (EC), Global Affairs Canada (GAC), Health Canada (HC), Natural Resources Canada (NRCAN), the Royal Canadian Mounted Police (RCMP), etc.

INAC consulted with other federal government (32), other non-federal government (19), internally (68) and with third parties (72) for a total of 191 consultations.

Table 2.5.3 Other complexities
Disposition Consultation required Assessment of fees Legal advice sought Other Total
All disclosed 19 0 3 0 22
Disclosed in part 153 0 33 0 186
All exempted 9 0 0 0 9
All excluded 2 0 0 0 2
Abandoned 8 0 0 0 8
Neither confirmed nor denied 0 0 0 0 0
Total 191 0 36 0 227
2.6 Deemed refusals

During the reporting period, INAC failed to comply with statutory deadlines on 42 occasions. The reasons to fail with the statutory deadlines are shared among workload (11), external consultation (11), internal consultation (11) and other reasons (9).

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

With a workload of 678 requests for 2017–2018, a total of 405 extensions under section 9(1) of the ATIA were applied in 2017–2018. The most prevalent reason for extending deadlines during this reporting period was for interference with operations (206 times, or 50.1% of all extensions).

In cases where extensions pursuant to 9(1)(a) were taken, and records existed, the requests resulted in dispositions of 'Disclosed in part’ 76% of the time. Where an extension was taken under either 9(1)(a), (b) or (c), records were fully or partially disclosed in 349 out of 405 (86%) instances (Table 3.1). Only in 27 cases were extensions applied for external consultations with OGDs or third parties where no records were released due to exemptions.

Of the 36 requests where extensions were taken for the purpose of consulting the Departmental Legal Services Unit (DLSU) on potential Cabinet Confidences, 36 resulted in the disclosure of records.

Description of the extensions and workload over the past three years

This bar graph displays the number of extensions applied, and total number of requests received, during the fiscal years of 2015–2016, 2016–2017, and 2017–2018.

During the 2015–2016 fiscal year, the Department received 775 requests submitted under the Access to Information Act. Of those requests, an extension pursuant to section 9(1)(a) of the Act, Inference with Operations was applied to 29 requests. An extension pursuant to 9(1)(b) of the Act, for the purpose of consultation was applied to 195 requests. An extension pursuant to 9(1)(c) of the Act, third party notice was applied to 83 requests. As a result, a total of 307 extensions were applied.

During the 2016–2017 fiscal year, the Department received 870 requests submitted under the Access to Information Act. Of those requests, an extension pursuant to section 9(1)(a) of the Act, Inference with Operations was applied to 79 requests. An extension pursuant to 9(1)(b) of the Act, for the purpose of consultation was applied to 191 requests. An extension pursuant to 9(1)(c) of the Act, third party notice was applied to 110 requests. As a result, a total of 380 extensions were applied.

During the 2017–2018 fiscal year, the Department received 870 requests submitted under the Access to Information Act. Of those requests, an extension pursuant to section 9(1)(a) of the Act, Inference with Operations was applied to 79 requests. An extension pursuant to 9(1)(b) of the Act, for the purpose of consultation was applied to 191 requests. An extension pursuant to 9(1)(c) of the Act, third party notice was applied to 110 requests. As a result, a total of 380 extensions were applied.

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
All disclosed 20 3 4 9
Disclosed in part 152 33 74 54
All exempted 11 0 4 5
All excluded 4 0 1 2
No records exist 13 0 1 3
Request abandoned 6 0 2 4
Total 206 36 86 77
3.2 Length of extensions

The majority of extensions applied during the reporting period were less than 120 days (74%).

Extensions greater than 121 days were only taken on 102 requests. In addition to this, in 2017–2018, of those, INAC only took 1 extension greater than 365 days.

Table 3.2 Length of extensions
Length of extension 9(1)(a) Interference with Operations 9(1)(b) Consultation 9(1)(c) Third Party Notice
Section 69 Other
30 days or less 59 1 9 0
31 to 60 days 22 2 13 12
61 to 120 days 78 28 41 38
121 to 180 days 19 3 9 13
181 to 365 days 27 2 14 14
365 days or more 1 0 0 0
Total 209 36 86 77

The length of extensions applied under paragraph (a) and (b) was largely dependent on timeframes decided by the other organizations. Whenever an extension of over 30 days was applied, INAC notified the Office of the Information Commissioner (OIC).

Part 4. Fees

INAC collected $2,340 in application fees over the course of the reporting period (Table 4) and waived 48 requests for an amount of $240.

Table 4. Fees collected and waived
Fee Type Fee Collected Fee Waived or Refunded
# of Requests Amount # of Requests Amount
Application 468 $2,340 48 $240
Search 0 0 0 0
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
Total 468 $2,340 48 $240

Part 5. Consultations Received from other Institutions and Organizations

5.1 Consultations received from other Government of Canada institutions and organizations

INAC received 195 consultations for a total of 11,634 pages from other government institutions and 25 consultations from other organizations with 1,268 pages to review. INAC carried over another 16 files from last year, for a total of 236 consultations in 2017–2018 (Table 5.1).

The ATIP Directorate completed 231 consultations, reviewing 13,677 pages and carried over 5 into the 2018–2019.

Table 5.1 Consultation 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 195 11,634 25 1,268
Outstanding from the previous reporting period 14 991 2 110
Total 209 12,625 27 1,378
Closed during the reporting period 204 12,299 27 1,378
Pending at the end of the reporting period 5 326 0 0
5.2 Recommendations and completion time for consultations received from other Government of Canada institutions

In 2017-2018, the majority of cases (116 consultation requests, or 57% of all consultation requests) INAC recommended that the government institution disclose the consulted pages in their entirety (Table 5.2).

The bulk of consultations processed by the ATIP Directorate (192 consultation requests, or 94% of all consultation requests) were completed within 60 days of their receipt (Table 5.2). There were twelve occurrences where INAC required longer than 60 days providing a response to the consulting institution.

Table 5.2 Consultation and completion time for consultations received from other Government of Canada 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
Disclose entirely 28 45 38 5 0 0 0 116
Disclosed in part 2 25 38 5 0 1 0 71
Exempt entirely 0 1 0 0 0 0 0 1
Exclude entirely 0 0 0 0 0 0 0 0
Consult other institution 0 3 2 0 0 0 0 5
Other 0 3 4 1 0 0 0 11
Total 34 76 82 11 0 1 0 204
5.3 Recommendations and completion time for consultations received from other organizations

In 2017–2018, INAC received 25 new consultation requests from other organizations with 2 carried over from 2016–2017. For the purposes of this section, other organizations include the governments of the provinces, territories and municipalities and of other countries.

All of the consultations processed by the ATIP Directorate (27 consultations requests) were completed within 60 days of their receipt (Table 5.3).

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
Disclose entirely 3 7 8 0 0 0 0 18
Disclosed in part 2 2 2 0 0 0 0 6
Exempt entirely 0 0 0 0 0 0 0 0
Exclude entirely 0 0 0 0 0 0 0 0
Consult other institution 1 0 0 0 0 0 0 1
Other 1 1 0 0 0 0 0 2
Total 7 10 10 0 0 0 0 27

Part 6. Completion time of Consultations on Cabinet Confidences

During 2017–2018, INAC sent 36 consultations on the application of section 69 of the ATIA to Departmental Legal Services Unit for Cabinet confidences Consultation (Table 6). Only ten consultations on Cabinet confidences took greater than 180 days to complete. A total of 3,768 pages were recommended to be disclosed.

Throughout 2017–2018, INAC 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
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 1 26 0 0 0 0 0 0 0 0
61 to 120 4 335 13 766 0 0 0 0 0 0
121 to 180 0 0 8 799 0 0 0 0 0 0
181 to 365 0 0 7 704 0 0 0 0 0 0
More than 365 0 0 3 1138 0 0 0 0 0 0
Total 5 361 31 3,407 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
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
Total 0 0 0 0 0 0 0 0 0 0

Part 7. Complaints and Investigations

During the 2017–2018 reporting period, 38 new complaints were registered with the Office of the Information Commissioner (OIC) against INAC (Table 7.1). Treasury Board of Canada requires institutions track in the statistical report section 35 and 37 of the Access to Information Act. These sections are not cumulative. Section 35 is when the OIC requires the ATIP Directorate to make representations on complaints they received. The Directorate had 49 section 35 letters from the OIC. Section 37 of the ATIA is when the OIC makes a finding on existing complaints. They made 23 findings on complaints. Note section 35 and 37 may be more than the 38 complaints received in 2017–2018 as they make reference to complaints INAC received in previous years.

Table 7.1 Complaints and Investigation
Section 32 Section 35 Section 37 Total
38 49 23 110

Part 8. Court Action

The ATIP Directorate with INAC did not partake in any court action during this reporting period.

Part 9. Resources related to the Access to Information Act

9.1 Costs

The ATIP Directorate functioned under a shared services model to support ISC and CIRNAC. It spent a total of $1,131,661 on staffing, goods and services and was supported by 15.21 human resources.

Calculations for the annual reports reflect the level of effort in support INAC’s responsibilities pursuant to the Acts.

In 2017–2018, INAC spent $774,007 on the administration of the ATIA for a total of 10.72 Human Resources.

Figure 9.1 Resources related to the Access to Information Act
Expenditures Amount
Salaries $753,467
Overtime $4,718
Goods and Services $15,822
Professional services contracts $0
Other $15,822
Total $774,007
9.2 Human Resources

The Operations Unit within the ATIP Directorate consisted of 9.21 full-time equivalents (FTEs) dedicated to access to information activities (Table 9.2). Over the course of the reporting period, INAC hired 1.18 FTEs of students or consultants.

Table 9.2 Human resources dedicated to the administration of the Access to Information Act
Resources Person Years Dedicated to Access to Information Activities
Full-time employees 9.21
Part-time and casual employees 0.33
Regional staff 0.00
Consultants and agency personnel 0.00
Students 1.18
Total 10.72

Highlights

V. 2017–2018 Points of Interest

The ATIP Directorate processed a high volume of requests in 2017–2018 and successfully achieved a 92% compliance rate at INAC for requests for records received under the Access to Information Act.

The ATIP Directorate maintained a strong statutory compliance rate with requests for records received under the ATIA while providing a shared services function to both ISC and CIRNAC. Further, staff within the Directorate mitigated risk of deemed refusal by providing adequate training and support to departmental staff and stakeholders in both ministries in order to facilitate the Directorate’s role of administering the Access to Information Act.

The Directorate continued to recognize the importance of facilitating access to records in addition to its role of assisting applicants by respecting the Access to Information Act’s related regulations and policy instruments established by the Treasury Board Secretariat (TBS).

The Directorate continued to process complex and sensitive requests in 2017–2018 with a specific focus on Qalipu Mi’kmaq First Nation, First Nation Child Family Services, Grassy Narrows First Nation, and finally the Murdered Missing Indigenous Women’s Inquiry (MMIW).

Training, Development and Awareness

The Directorate provided training to over 500 departmental staff on the fundamental principles and concepts of the Access to Information Act. The regular training seminars provided learning and development to staff on their individual role in contributing towards an open and transparent government, and further on their specific role in facilitating access to records to requests for information. The Directorate recognizes its role in providing adequate training to staff in order to respond more accurately and within a timely manner to respect regulatory compliance.

The Directorate continues to provide comprehensive training and awareness to departmental staff at both headquarters and remotely to the regional offices. During the creation of ISC and the transfer of sectors to the new department, the Directorate assisted departmental staff through the transition by providing direction to program sectors and their role in continuing to retrieve records within a timely manner and comply with internal deadlines established by the directorate.

The Directorate further provided in-house training and development to ATIP officers to assist junior and senior staff in responding more accurately to requests for records by using policy tools and instruments to improve processes and procedures. The in-house training seminars further trained staff on administering the appropriate exemptions and exclusions of the Access to Information Act. Staff were trained and continue to be trained to review recommendations of disposition provided by subject matter experts and further to ensure direction and guidance is provided on how to prepare fair and impartial recommendations for the Directorate.

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

Organization Changes

The creation of Indigenous Services Canada and responsibility of two ministries with each receiving their own respective mandates and visions resulted in organizational change within the Directorate. Full-time resources and part-time students served two separate ministers and processed requests for information for both ISC and CIRNAC.

The Directorate continued to hire part-time students through the Federal Student Work Experience Program (FSWEP) and provided training and guidance to process routine files and in some cases sensitive files. Finally, part-time students had the opportunity to shadow senior staff to corporate meetings and events to better understand their individual roles and responsibilities of departmental plans and priorities.

Policy, Guidelines and Procedures

The creation of ISC resulted in changes in processes and procedures for INAC within the Directorate with regards to processing requests for records. The Directorate provided stronger guidance to liaison officers on how and when to seek clarification for vague requests in order to better assist applicants. The Directorate placed greater emphasis on the Intake Team to communicate with applicants upon receipt of the request and seek additional documents and information to respond more accurately and within a timely manner.

In addition to this, the Directorate increased its consultations with third-parties in order to improve the application of third-party exemptions in documents by seeking representations of disclosure. By building on this policy of consultation, the Directorate strengthened its partnership and relationship with First Nation’s communities and Indian band offices.

The Directorate implemented best practices to prevent and mitigate security breaches by providing more resources and tools to program officers on how to protect and transport classified and secret documents.

Appendix A

Order of Delegation of the Access to Information Act dated March 14, 2016.

Access to Information Act — Delegation Order

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 00000001), Associate Deputy Minister (position number 00000006), Corporate Secretary (position number 00012294), and the departmental Access to Information and Privacy Coordinator/Director (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 Deputy Director (position number 20007504) and Team Leaders (position numbers 00012590 and 00012061) including in her/his absence, a person or officer designated in writing as being authorized to act in the place of the holder or 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.

Signed on March 14, 2016

The Honourable Carolyn Bennett
Minister of Indian Affairs and Northern Development

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

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

Appendix B

Statistical Report on the Access to Information Act

Name of institution: Indigenous and Northern Affairs Canada

Reporting period: 2017-04-01 to 2018-03-31

Part 1: Requests Under the Access to Information Act

1.1 Number of requests
Requests Number of Requests
Received during reporting period 516
Outstanding from previous reporting period 162
Total 678
Closed during reporting period 567
Carried over to next reporting period 111

1.2 Sources of requests
Source Number of Requests
Media 140
Academia 56
Business (private sector) 93
Organization 40
Public 166
Decline to Identify 21
Total 516

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
89 30 63 15 0 0 0 197

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
All disclosed 5 45 23 17 1 2 0 93
Disclosed in part 1 21 55 101 57 29 4 257
All exempted 0 7 7 6 2 3 0 25
All excluded 2 2 2 2 2 0 0 10
No records exist 10 80 22 5 0 0 0 117
Request transferred 1 1 0 0 0 0 0 2
Request abandoned 29 17 4 4 1 0 2 57
Neither confirmed nor denied 5 0 1 0 0 0 0 6
Total 53 173 103 135 63 34 6 567
2.2 Exemptions
Section Number of Requests
13(1)(a) 2
13(1)(b) 2
13(1)(c) 11
13(1)(d) 2
13(1)(e) 1
14 8
14(a) 30
14(b) 22
15(1) 0
15(1) – I.A.* 0
15(1) – Def.* 0
15(1) – S.A.* 0
16(1)(a)(i) 1
16(1)(a)(ii) 2
16(1)(a)(iii) 0
16(1)(b) 0
16(1)(c) 8
16(1)(d) 0
16(2) 2
16(2)(a) 0
16(2)(b) 0
16(2)(c) 30
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) 1
16.4(1)(b) 0
16.5 2
17 1
18(a) 9
18(b) 9
18(c) 0
18(d) 3
18.1(1)(a) 0
18.1(1)(b) 2
18.1(1)(c) 0
18.1(1)(d) 0
19(1) 203
20(1)(a) 5
20(1)(b) 121
20(1)(b.1) 2
20(1)(c) 61
20(1)(d) 50
20.1 0
20.2 0
20.4 0
21(1)(a) 109
21(1)(b) 91
21(1)(c) 63
21(1)(d) 29
22 8
22.1(1) 5
23 68
24(1) 0
26 0

* I.A.: International Affairs
Def.: Defence of Canada
S.A.: Subversive Activities

2.3 Exclusions
Section Number of Requests
68(a) 6
68(b) 0
68(c) 0
68.1 0
68.2(a) 0
68.2(b) 0
69(1) 2
69(1)(a) 7
69(1)(b) 1
69(1)(c) 0
69(1)(d) 3
69(1)(e) 4
69(1)(f) 1
69(1)(g) re (a) 40
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
All disclosed 74 19 0
Disclosed in part 205 52 0
Total 279 71 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 17331 14872 93
Disclosed in part 156635 58895 257
All exempted 22616 0 25
All excluded 990 0 10
Request abandoned 8505 868 57
Neither confirmed or denied 0 0 6
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 1001-5000 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 disclosed 74 1248 13 2612 3 1581 2 3353 1 6078
Disclosed in part 82 1920 118 16634 24 8781 30 22038 3 9522
All exempted 15 0 5 0 1 0 3 0 1 0
All excluded 5 0 5 0 0 0 0 0 0 0
Request abandoned 49 67 3 110 1 0 4 691 0 0
Neither confirmed nor denied 6 0 0 0 0 0 0 0 0 0
Total 231 3235 144 19356 29 10362 39 26082 5 15600
2.5.3 Other complexities
Disposition Consultation Required Assessment of Fees Legal Advice Sought Other Total
All disclosed 0 0 0 0 0
Disclosed in part 0 0 0 0 0
All exempted 0 0 0 0 0
All excluded 0 0 0 0 0
Abandoned 8 0 0 0 8
Neither confirmed nor denied 0 0 0 0 0
Total 0 0 0 0 0
2.6 Deemed refusals
2.6.1 Reasons for not meeting statutory deadline
Number of Requests Closed
Past the Statutory Deadline
Principal Reason
Workload External Consultation Internal Consultation Other
42 11 11 11 9
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
1 to 15 days 5 21 27
16 to 30 days 1 2 3
31 to 60 days 2 6 8
61 to 120 days 0 1 1
121 to 180 days 0 0 0
181 to 365 days 0 2 2
More than 365 days 0 1 1
Total 8 34 43
2.7 Requests for translation
Translation Requests Accepted Refused Total
English to French 0 0 0
French to English 0 0 0
Total 0 0 0

Part 3: Extensions

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
All disclosed 20 3 4 9
Disclosed in part 152 33 74 54
All exempted 11 0 4 5
All excluded 4 0 1 2
No records exist 13 0 1 3
Request abandoned 6 0 2 4
Total 206 36 86 77
3.2 Length of extensions
Length of extension 9(1)(a) Interference with Operations 9(1)(b) Consultation 9(1)(c) Third Party Notice
Section 69 Other
30 days or less 59 1 9 0
31 to 60 days 22 2 13 12
61 to 120 days 78 28 41 38
121 to 180 days 19 3 9 13
181 to 365 days 27 2 14 14
365 days or more 1 0 0 0
Total 209 36 86 77

Part 4: Fees

Fee Type Fee Collected Fee Waived or Refunded
Number of Requests Amount Number of Requests Amount
Application 468 $2,340 48 $240
Search 0 $0 0 $0
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
Total 468 $2,340 48 $240

Part 5: Consultations Received From Other Institutions and Organizations

5.1 Consultation received from other Government of Canada institutions and organizations
Consultations Other Government of Canada Institutions Number of Pages to Review Other Organizations Number of Pages to Review
Received during reporting period 195 11,634 25 1,268
Outstanding from the previous reporting period 14 991 2 110
Total 209 12,625 27 1,378
Closed during the reporting period 204 12,299 27 1,378
Pending at the end of the reporting period 5 326 0 0
5.2 Consultation and completion time for consultations received from other Government of Canada institutions
Recommendations Number 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 entirely 28 45 38 5 0 0 0 116
Disclosed in part 2 25 38 5 0 1 0 71
Exempt entirely 0 1 0 0 0 0 0 1
Exclude entirely 0 0 0 0 0 0 0 0
Consult other institution 0 3 2 0 0 0 0 5
Other 0 3 4 1 0 0 0 11
Total 34 76 82 11 0 1 0 204
5.3 Recommendations and completion time for consultations received from other organizations
Recommendations Number 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 entirely 3 7 8 0 0 0 0 18
Disclosed in part 2 2 2 0 0 0 0 6
Exempt entirely 0 0 0 0 0 0 0 0
Exclude entirely 0 0 0 0 0 0 0 0
Consult other institution 1 0 0 0 0 0 0 1
Other 1 1 0 0 0 0 0 2
Total 7 10 10 0 0 0 0 27

Part 6: Completion Time of Consultations on Cabinet Confidences

6.1 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 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 1 26 0 0 0 0 0 0 0 0
61 to 120 4 335 13 766 0 0 0 0 0 0
121 to 180 0 0 8 799 0 0 0 0 0 0
181 to 365 0 0 7 704 0 0 0 0 0 0
More than 365 0 0 3 1138 0 0 0 0 0 0
Total 5 361 31 3,407 0 0 0 0 0 0
6.2 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 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 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
Total 0 0 0 0 0 0 0 0 0 0

Part 7: Complaints and Investigations

Section 32 Section 35 Section 37 Total
38 49 23 110

Part 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
Salaries $753,467
Overtime $4,718
Goods and Services $15,822
Professional services contracts $0
Other $15,822
Total $774,007
9.2 Human Resources
Resources Person Years Dedicated to Access to Information Activities
Full-time employees 9.21
Part-time and casual employees 0.33
Regional staff 0.00
Consultants and agency personnel 0.00
Students 1.18
Total 10.72
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