Report 22 - Access to Information Review Task Force

SURVEY OF ACCESS TO INFORMATION UNITS
IN GOVERNMENT INSTITUTIONS

ANNEX 5

• Request received in ATI office.
• A memo is sent to the appropriate offices of primary interest requesting that they retrieve the relevant records and that a response is requested within 8 days.
• Once all records are received, the ATI office has 6 days to process the request if no extensions for volume or consultations are necessary.
• Once the ATI office has processed the request, two days are set aside for the preparation of media lines.
• Two days are set aside for sign off at the ADM level.
• When the proposed response has received sign off at the ADM level, it is forwarded to the Deputy head for approval and signature.
• At the time when the request is forwarded to the ADM level for sign off the proposed response is also sent to the Minister’s office as a heads up.

• Indexing – in ATIPFlow
• Record Retrieval
• Record Review
• Consultations
• Sign-Off

• Retrieval of records – program staff are sent a memo requesting that all relevant information be retrieved, photocopied and sent with recommendations to the ATI unit within seven (7) days of the date on the memo. Should the program staff feel that the retrieval of records will take more than 5 hours, they are asked to estimate the amount of time necessary to retrieve the relevant records and forward that estimate to the ATI unit.
• Processing of request by ATI analysts – once records are received from program staff, the ATI analyst proceed with the processing of the request.  Where extensions are necessary for volume, consultations with foreign, or  consultations with third parties, the ATI analyst sends out notices to the requester that such extensions are necessary to complete the request.  When necessary, consultations are processed according to section 27, 28 and 44 of the ATI Act.
• Approval of response by ATI Coordinator and Senior Management – when the initial review is complete, the ATI coordinator is asked to approve the proposed release package. Should the coordinator feel that the response in hand should be seen by senior management, then it is passed along for their approval.
• Preparation of the response to requester – when review and approval process is complete and depending on the number of pages and exemptions, either the ATI analyst or clerical staff will apply tape to exempted information and make copies of the records. Should preparation or photocopy fees apply, the requester is advised of the costs. If fees do not apply, the ATI coordinator signs the letter of response and the release package is forwarded to the requester.

• Request is received and acknowledged by letter. If request is not complete, missing information is requested.
• Request for records from applicable OPI area(s) is sent. Records are gathered and sent to ATI. The OPI area(s) indicates recommendations regarding exemptions and the need for a briefing. Records are to be sent within 8 calendar days.
• If OPI area is in a search scenario, the ATI Division is contacted to confirm search factors. A fee letter would then be prepared and forwarded to the requester.
• If search aspects do not apply, the file is subsequently sent for processing upon receipt of the records. Extension aspects are considered when the file is assigned to processing based on Treasury Board guidelines and in-house data on average file size.
• Fees for reproduction are also determined either as an estimate prior to actual processing or upon conclusion of the actual processing of the request.
• Once file is approved, records are sent to the requester.
• ATI will also return to the OPI area(s), a package which contains the specific exemptions that were applied to the records involved for reference purposes.

• After a request is received in the ATI Unit a call out is sent to the responsible OPIs who are given seven (7) days to retrieve relevant records.  Should it be deemed that the issue at hand is a sensitive one, a heads up is sent out. When relevant records are provided by the OPI, the ATI staff begin the review process which may require consultations with third parties and other governments. Once the review process is complete, the response is prepared and approval is sought. Should the request be deemed as sensitive, the proposed response is reviewed by communication, an issue sheet is sent out to interested parties, ATI release advisories are sent out and finally the records are released to the requester.

• Retrieval of records - program staff are sent a memo via e-mail requesting that all relevant records be retrieved, photocopied and sent with any recommendations on disclosure, exemptions, and to identify sensitive issues. Program staff are given eight (8) days to retrieve records.
• Program staff advise if fees are applicable, requests extensions due to volume, refer requests to regions (when necessary) or provide nil responses.
• Once received in Corporate ATI, the documents are reviewed, consultations processed (if necessary), exemptions applied, package paginated and prepared for release.
• It should be noted that from the 4th day of the process, program staffs along with communications staffs are tasked with the preparation of briefing and communications material so that they may be ready once a file is ready for release. At this point in time, briefing and communication material is prepared for all files including nil record responses.
• Once reviewed in Corporate ATI, the proposed release package is sent to the program areas for review of the proposed release package and sign off and is then returned to Corporate ATI.
• Various approvals are given and the records are released to the requester.

• Request received, ATI Unit determines which areas of the Department may be in possession of files/records relevant to the request. In most cases, the ATI Unit sends a request for the relevant documents to the records offices, one or more of the directorates, and Executive Services.
• When the ATI Unit receives records, a review file is created, comprising all relevant documents. The file is reviewed by the ATI Unit for exemptions and exclusions, and the ATI Unit also makes recommendations for consultations outside the Department.
• The file is sent to the directorate for an in-depth review. The directorate recommends additional exemptions and exclusions, if any, as well as other required consultations, and provides comments on the review undertaken by the ATI Unit. The file is returned to the ATI Unit.
• The ATI Unit then consults, as needed, with other organizations. When the ATI Unit receives replies to the consultations, the file is returned to the directorate for a follow-up review. This follow-up review provides the directorate the opportunity to review the recommendations from other organizations. Where the directorate agrees with the recommendations, the file is routed by the directorate to the ADM for review, and then returned to the ATI Unit.
• The ATI Unit prepares the file for the DM's approval of exemptions; at the same time, a copy of the proposed disclosure package is sent to the Minister's office.
• Following approval of the exemptions, the ATI Unit sends the records, with any exempt and excluded information deleted, to the applicant.

• The request is received and entered into the ATIPFLOW database.
• Six (6) days are allocated to the retrieval of the records by the appropriate branch(s) and to send them to the ATI office. Time allocated to these step may be increased if a legal extension is allowed by the legislation.
• A total of 8 days is allocated to the review of records by the ATI office. Time allocated to these steps may be increased if a legal extension is allowed by the legislation.
• Review by the Communications Group (as required). Eight (8) days allocated for this task.
• Two days allocated for the approval stage by the delegated authority.
• Preparation of response package for the requester and review of sensitive files (as required). 2 days allocated for this task.

• ATI administrative tasks for retrieval – 1 day
• Retrieval memo sent to branches involved and branches have 10 working days to provide response.
• ATI Review process – 4 to 10 days
• Routing – ATI Coordinator – 1 day
      >   Communications – 2 days
      >   ADM responsible for ATI – 1 day
      >   Associate DM – 1 day
      >   ATI response – 1 day

• In comparison with other department our process is similar with the exception that our requests do not incur any delays in the Minister’s Office or with Senior Management, in comparison with other departments.

• Analysis of request – Upon receipt of the request, the ATI office makes sure that it complies with the legislation and regulatory requirements, ie) the requester has a right of access to the records, has enclosed the application fee, etc. The request is also analyzed to ascertain its subject of  interest and scope. This often calls for contact with the requester and with departmental employees in the office of primary interest (OPI) who have the best knowledge of the subject matter.
• Request for Material-Gathering – Once the scope and subject of the request is clear, the ATI office forwards a memorandum and the ATI request checklist to request material from the appropriate OPI(s), asking for all records on the subject, regardless of their number, content or form (hard copy and electronic format). The identity of an individual requester is considered to be personal information and the names will be removed from all copies of the request that are sent outside the ATI office.
• If there is any question about the scope or relevance of records, the OPI consults the ATI office immediately. The ATI office will make the final determination on the relevance of records in consultation with the OPI and the requester.
• Receipt of Documents – Once the ATI office has received the records that have been gathered from all sources, copies are made and the originals are returned.
• Review of Records and Consultations – A full review of the relevant records begins at this stage. The ATI office examines each record to determine if it can be released or whether it should be exempted or excluded.  Consultations are sent to the departments that have an interest in the records and to the OPI to obtain their comments and recommendations on the disclosure of the records. The OPI must provide a written rationale concerning the records which in their view should not be released.
• The ATI office reviews the recommendation received from the OPI and, in case of disagreement, discusses them with the OPI. The OPI’s advice will be taken into consideration in determining whether circumstances require the protection of information that falls within a discretionary exemption. The final decision rests with the ATI Director, with the exception of the disclosure of records containing information subject to solicitor-client privilege. Only the client may waive the privilege.
• Approval – Following the review and consultation process, the ATI officer makes a final recommendation on the disposition of the request to the ATI  Director. The ATI Director then reviews the recommendations and decides, on behalf of the Minister, what records can be released in whole or in part in response to the request. The requester will then be informed in writing of the Department’s decision and will be provided with a copy of the releasable records. The requester will also be advised of the right of complaint about the response to the Information Commissioner.

• Retrieval of Records – program staff are sent a memo requesting that all relevant records be retrieved, photocopied and sent with recommendation to the ATI unit within seven (7) to ten (10) days.
• Review Stage – This involves the review of OPI’s proposed exemptions and recommendations, to conduct all necessary consultations etc…
• Approval Stage – Two steps are involved in the approval of requests. The first entails the review of proposed disclosures pursuant to the ATI Act by a dedicated ATI Communications Officer who identifies those issues contained in, or likely to arise from, the disclosure of subject records. This communications officer is an ATI branch employee and works solely on ATI issues. This same individual is responsible for the research and creation of appropriate communications products in the format accepted by those who will be using them.
• The second step entails review of the records intended for disclosure by a second individual dedicated to the identification of issues having political sensitivities attached to them. Once the individual responsible for this process feels confident that there are no issues of concern, or that the prepared communication product reflect the contents of the file being released it is signed by that individual and returned to the ATI Coordinator for release to the applicant. Concurrently, the individual responsible for the latter review is responsible for briefing the Minister’s staff. Issues of concern are discussed at that stage, as is the need for any additional communications products that may be needed such as QP cards.
  

The approval of release packages occurs at the ADM level for non-sensitive requests and at the Deputy head level for sensitive requests.

Non-Sensitive requests: ATI staff within the ATI Division approves all such release packages (infrequent program input). Legal input not sought.

Sensitive requests: ATI staff approves all such release packages with considerable input regarding exemptions from programs and where appropriate (e.g., involving sensitive material regarding current/former employees), from senior management. Legal Services is infrequently involved.

For non-sensitive request the actors involved in the approval are the ATI analysts who briefs the ATI Coordinator who ultimately approves the proposed response. In these cases the ATI Coordinator reviews the proposed exemptions and concerns brought forth by the analysts and makes the ultimate decision on whether to sign the proposed letter of response.

For sensitive requests the actors involved in the approval process are the ATI analysts who brief the ATI Coordinator. In these cases the ATI Coordinator reviews the proposed exemptions and concerns brought forth by the analysts and brings these and any other concerns to the attention of the Corporate Secretary. Following deliberations and approval of senior management the ATI Coordinator signs the letter of response.

The approval process for any file entails a review by the ATI manager. The ATI manager will approve the file except where exemptions are being applied which are not delegated to the manager as per the instrument of delegation. In these instances, the ATI Coordinator who has full signing delegation will approve the file.

For non-sensitive requests the actors involved in the approval are the ATI Head Advisor, the Deputy Coordinator and finally the Coordinator (if required).

For sensitive requests the actors involved in the approval process are the ATI Head Advisor, the Deputy Coordinator, and the Coordinator who consult closely with the ADMs, the Communications' Director and the DM (as required) in order to accommodate any concerns they may have on a given issue.

This "approval process" will however not prevent the ATI Unit from releasing the information by the legislated due date.

No distinction is made between sensitive and non-sensitive files. All files are approved at the ADM and DM levels.

The DG of the OPI approves the proposal for exemptions/disclosure of information following review by ATI and the OPI, and receipt of recommendations further to external consultations. Depending on the directorate involved, the file is then signed by the senior ADM or the ADM. It is then routed to the DM for final approval, by way of the Director, Coordination and Liaison, and the Director General, Strategic Operations.

The Coordinator reviews the recommendations of the ATI Advisors for all requests (sensitive and non-sensitive). The RDGs review and the ADMs approve the recommendations.

The ATI Coordinator, the Communications branch, the ADM and the Senior Associate Deputy Minister approve all ATI requests.

All requests are signed off by the ATI Director with the exception of releases of personal information under section 8(2)(m), for which approval is obtained through the responsible ADM.

Analyst - initial review
Team leader - second review
Director - final approval and signature

Non-sensitive documents are sent to the ATI Director for approval and signature. Sensitive documents are sent to the Executive Assistants, Deputy Minister’s office and Minister’s office, for review; they are then forwarded to the ATI Director for final approval and signature.

The principal actors involved in the approval process are the team leaders and the Deputy ATI Coordinator.

A total of 2 days are spent on non-sensitive requests and 4 days on sensitive requests.

Non-Sensitive Request Approval: One or two days (sometimes longer depending upon bottlenecks) Sensitive Request Approval: One or two days (Sometimes longer depending upon bottlenecks) N.B.: Delegation of Authority was amended in 2000 to give the ATI office Senior Officers the authority to apply exemptions for all non-discretionary exemptions and for some of the discretionary exemptions.

Non-sensitive: different with every request depending on the volume, number of exemptions applied etc… Sensitive: different with every request depending on the volume, number of exemptions, complexity of the issue at hand.

Approximately 70% of a manager's time is spent in the review of the file once processed by a consultant. No information is available as to the ATI Director's time.

A total of 10 minutes can be spent on non-sensitive requests and one hour for sensitive ones.

No distinction is made between sensitive and non-sensitive files during the approval process. Program staff are given 4 days to approve and then the records are sent for review for impact analysis which on average takes 34 days.

A total of 2 days can be spent on both non-sensitive and sensitive requests.

There is no difference made between sensitive and non-sensitive requests, all take 5 days for approval.

Actually very little, as this is always determined in the initial stage and our Communications and Parliamentary relations division must prepare accordingly and thus, avoiding unnecessary delays. Again this is only for sensitive requests.

Non-sensitive documents: 1 working day.
Sensitive documents: average of 13.6 days working days.

No distinction is made between sensitive and non-sensitive requests at the approval stage. At most the approval process can take up to five (5) days. At the ATI level, approval typically takes one day.

ATIP FLOW, a specialized computer database is used to track and aid in the processing of requests. This department also uses a specialized photocopier that exempts all items highlighted with a red marker or highlighter.

ATIP Flow: all ATI request file tracking and monitoring is done through this system. Statistics generated are used to make informed decisions.

ATIP FLOW, a specialized computer database is used to track and aid in the processing of requests.

ATIP IMAGE, a specialized computer database that allows records to be scanned as images and for exemptions to be applied electronically. This department started its use of this tool only a few months ago. Not all files are treated using this tool at this time.

The management and processing of requests is assisted by the knowledge base of individuals involved in the processing of requests within the ATI Division. On the job coaching and training, team meetings and management meetings are also useful tools. Progress reports on inventory and completed files, weekly reports to senior management, use of legal services as needed, use of Treasury Board Secretariat, results of complaints.

Other tools available include standard texts and the availability of working documents in electronic format.
While it is difficult to assess the contribution of each of the above, ATI staff involved in the processing of requests can determine the inventory status of their files, files that have been closed and a determination as to the achievement of the legislative time period involved. The day to day coaching and exchanges between consultants and managers serves to enhance the completion of ATI requests. As of this year, total compliance with timelines has increased 500%.

ATIP FLOW, a specialized computer database is used to track and aid in the processing of requests.

ATIP Liaison, a specialized computer database that is very much like ATIP FLOW but that is used by all the liaison officers in the regions and sectors.

ATIP Consult, an intranet application that acts as a search engine to be used by department staff to see at what stage requests are at.

E-print, allows for reports to be sent via email.

ATIP FLOW software, request status list (updated weekly), the Acts and guidelines, advice from counsel, recommendations derived from external consultations and from OPIs. On a day-to-day basis, probably the chief tools/resources are ATIPFLOW and the OPIs. The Treasury Board guidelines are not very helpful.

ATIP FLOW, a specialized computer database is used to track and aid in the processing of requests. Other resources used are the INFOSOURCE, Acts and Regulations, OPIs, Liaison officers.

We have a Guide available; policies and memorandums that have been issued on privacy and access procedures. The availability of proper tools certainly play a major role as it contributes to facilitate the work of the Analysts, Clerk, regional staff, etc, and it also enhances the knowledge of ATI issues within the department. Resources within ATI shops must be properly assess by each department and staff appropriately in order to meet legislative deadlines and provide a reasonable service to requestors.

ATIP FLOW, a specialized computer database is used to track and aid in the processing of requests.

ATIP IMAGE, a specialized computer database that allows records to be scanned as images and for exemptions to be applied electronically.

ATIP Flow is used to track all requests processed by the ATI Office. The system is user-friendly, provides an overall view of the workload of each ATI Officer as well as visual reminders of approaching deadlines. It also provides good search and reporting capability.

Other tools used include personal computers, telephone, facsimile machine and electronic mail.

ATIP Flow, a specialized database is used to help manage and track ATI requests.

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