Sources of Federal Government Information 2005–2006 Volume 1

Sources of Federal Government Information 2005–2006 Volume 1
Fed Gov Info Covers 05-06
1/19/06
11:43 AM
Page 1
Government Gouvernement
of Canada
du Canada
Sources of Federal
Government Information
2005–2006
Volume 1
(A to H)
Fed Gov Info Covers 05-06
1/19/06
11:44 AM
Page 2
Sources of Federal
Government Information
2005–2006
Volume 1
(A to H)
Fed Gov Info Covers 05-06
1/19/06
11:44 AM
Page 3
© Her
Majesty the Queen in Right of Canada, represented by the Minister of
Public Works and Government Services Canada, 2005.
Catalogue No. BT 51-3/1-2006E
ISBN 0-660-19561-5
Also available on the Info Source Web site at the following address:
www.infosource.gc.ca
This document is available in alternate formats on request.
Table of Contents
Introduction . . . . . . . . . . . . . . . . . . . . .1
14
Canada Industrial Relations Board............195
A.
Foreword........................................................1
15
Canada Lands Company Limited ..............200
B.
Inside Info Source.........................................2
16
Canada Mortgage and Housing
Corporation ................................................202
C.
Using Info Source effectively ........................4
17
Canada Post Corporation ..........................219
D.
Roles and Responsibilities.............................4
18
Canada Revenue Agency ..........................234
E.
Access to Information Act ..............................7
19
Canada School of Public Service ..............289
F.
Privacy Act .....................................................7
20
G.
How to Apply..................................................9
Canada Science and Technology
Museum Corporation .................................296
H.
Where to obtain Info Source ........................11
21
I.
Institutions without Receiver
General Accounts ........................................12
Canada-Newfoundland Offshore
Petroleum Board........................................300
22
Canada-Nova Scotia Offshore
Petroleum Board........................................305
23
Canadian Air Transport Security
Authority....................................................310
24
Canadian Artists and Producers
Professional Relations Tribunal .................317
Index of Standard Personal
Information Banks........................................46
25
Canadian Centre for Occupational
Health and Safety ......................................320
Standard Personal Information
Banks Descriptions ......................................47
26
Canadian Commercial Corporation ...........326
27
Canadian Cultural Property
Export Review Board .................................328
Institutional Chapters
28
Canadian Dairy Commission .....................332
1
Agriculture and Agri-Food Canada ..............53
29
Canadian Environmental
Assessment Agency ..................................336
2
Atlantic Canada Opportunities Agency ........80
30
Canadian Food Inspection Agency............343
3
Atlantic Pilotage Authority Canada ..............91
31
Canadian Forces Grievance Board ...........359
4
Bank of Canada ...........................................93
32
Canadian Grain Commission.....................363
5
Belledune Port Authority ............................112
33
Canadian Heritage.....................................367
6
Blue Water Bridge Authority.......................115
34
Canadian Human Rights Commission.......396
7
British Columbia Treaty Commission.........121
35
Canadian Human Rights Tribunal..............404
8
Business Development Bank of Canada ...124
36
Canadian Institutes of Health Research ....409
9
Canada Border Services Agency...............131
37
10
Canada Council for the Arts.......................163
Canadian International
Development Agency.................................422
11
Canada Deposit Insurance Corporation ....172
38
Canadian International Trade Tribunal ......446
12
Canada Economic Development
for Quebec Regions...................................177
39
Canadian Museum of Civilization
Corporation ................................................449
13
Canada Firearms Centre ...........................186
40
Canadian Museum of Nature.....................454
J.
Useful Terms ...............................................13
ATIP Coordinators ...............................................19
Index of Standard Program Records...................40
Standard Program Records.................................41
41
Canadian Nuclear Safety Commission......458
42
Canadian Polar Commission .....................467
43
Canadian Radio-television and
Telecommunications Commission .............470
44
Canadian Security Intelligence Service .....483
45
Canadian Space Agency ...........................491
46
Canadian Tourism Commission .................500
47
Canadian Transportation Agency...............503
48
Canadian Wheat Board..............................511
49
Citizenship and Immigration Canada.........514
50
Commission for Public Complaints
Against the RCMP .....................................563
51
Copyright Board Canada ...........................566
52
Correctional Service of Canada.................570
53
Defence Construction Canada...................602
54
Department of Finance Canada ................605
55
Department of Justice Canada ..................629
56
Environment Canada .................................643
57
Export Development Canada.....................673
58
Farm Credit Canada ..................................676
59
Federal Bridge Corporation Limited...........682
60
Financial Consumer Agency of Canada ....687
61
Financial Transactions and Reports
Analysis Centre of Canada........................691
62
Fisheries and Oceans Canada ..................696
63
Foreign Affairs Canada ..............................718
64
Fraser River Port Authority ........................743
65
Freshwater Fish Marketing Corporation ....747
66
Great Lakes Pilotage Authority Canada ....749
67
Gwich’in Land and Water Board................752
68
Gwich’in Land Use Planning Board ...........754
69
Halifax Port Authority .................................755
70
Hamilton Port Authority ..............................759
71
Hazardous Materials Information
Review Commission ..................................762
72
Health Canada...........................................767
73
Historic Sites and Monuments
Board of Canada........................................809
74
Human Resources and Skills
Development Canada ................................811
1
Note: This introduction to Info Source is in large print to assist persons with
visual disabilities.
INTRODUCTION
A.
Foreword
Info Source: Sources of Federal Government Information will make it
easier for you to find out about the Government of Canada, its organization
and its information holdings. It will help you determine where you should go,
write or call to make government enquiries, and is likely to be the first and
only step you’ll need to take to locate the source of the information you want.
This publication is one of a series of four reference tools to assist you and
other members of the pubic in exercising your rights under two Canadian laws
- the Access to Information Act and the Privacy Act. The Info Source
publications support the government’s policy to explain and promote open and
accessible information regarding
its activities.
Info Source is comprised of the following publications:
Info Source: Sources of Federal Government Information:
• provides information about the Government of Canada, its organization
and its information holdings.
• helps individuals determine which institution to contact about requesting
information formally or informally.
• provides individuals who are not, and who have never been employees of
the federal government, with relevant information to facilitate access to
personal information about them held by a federal government institution
subject to the Privacy Act.
Info Source: Sources of Federal Employee Information:
• contains information to help current and former federal government
employees to locate personal information held by the government.
• is intended to help former and current government employees to exercise
their rights under the Privacy Act.
2
Info Source: The Access to Information Act and Privacy Act Bulletin:
• provides statistical information about the number of Access to Information
and Privacy requests on an annual basis and cumulative statistics since
1983.
• contains a summary of federal court cases related to Access to
Information.
Info Source: Directory of Federal Government Enquiry Points:
• contains addresses and telephone numbers for federal departments and
agencies subject to the Access to Information Act and/or the Privacy Act.
• other institutions associated with the federal government are included to
facilitate access.
Info Source is distributed to libraries, municipal offices and federal
government offices across Canada.
It is helpful to understand the basic differences between the Access to
Information Act and the Privacy Act. The information accessible under each
Act is different and there are different procedures to obtain it. The following
pages describe the essential details.
B.
Inside Info Source
This Info Source publication has three main components:
1)
Introduction
The Introduction includes:
•
•
•
•
Section A - the Foreword
Section B - a description of the contents of Info Source
Section C - guidance on how to use Info Source effectively
Section D - a summary of the roles and responsibilities of the federal
government institutions that are either responsible for the production of
Info Source or are responsible for the provision of input to the Info
Source publications
• Sections E, F and G - some essential points about the Access to
Information Act and the Privacy Act, and directions on how to locate
information by using Info Source or by making a formal request under
either Act;
• Section H - contact information if you wish to obtain a copy of any of the
Info Source publications
3
• Section I - a listing of those institutions for which Access to Information
Requests must be accompanied by cheques or money orders made out
to the institution itself and not to the Receiver General of Canada; and
• Section J – a glossary of terms used throughout the book.
2)
Standard Program Records and Personal Information Banks
Standard Program Records: There is some information that is almost
universally collected and maintained by federal institutions in support of
common functions and activities, such as Human Resources, Material
Management, Corporate Services, etc.
A number of standard program record descriptions have been established by
Treasury Board Secretariat and are included in this publication. Institutions
may declare one or more of these standard records, rather than develop
institution-specific record descriptions.
Standard Personal Information Banks (PIB): Standardized descriptions of
personal information have been developed by Treasury Board to describe
personal information that may be found in records commonly maintained by
federal institutions. These descriptions are included in this publication.
Institutions may choose to register and declare one or more of these standard
Personal Information Banks rather than develop institution-specific PIBs.
3)
Chapters
There is one chapter for each federal government department or agency
subject to the Access to Information Act and the Privacy Act, or to the Privacy
Act only. Chapters are arranged in alphabetical order by the commonly used
name of the institution. Each chapter contains the following (please note that
institutions that are not subject to the Access to Information Act do not have to
include these elements. Their reporting requirements are limited to Personal
Information Banks):
General Information about the institution, including:
•
•
•
•
Background
Responsibilities
Legislation
Organization
Information Holdings including:
• Program Records
• Standard Program Records
• Personal Information Banks
4
• Standard Personal Information Banks
• Classes of Personal Information
• Manuals
Additional Information including:
• The name of the institution to which any payment should be made if the
institution does not have an account with the Receiver General of
Canada;
• The address of a central information source, as well as regional locations,
if any; and
• The address(es) of Reading Room(s).
C.
Using Info Source effectively
Determine the correct chapter
Turn to the chapter of the department or agency you think has the information,
and check the Program Records and the Personal Information Banks.
If you don’t know if you have the correct department or agency, a telephone
call or letter to any Access to Information and Privacy Coordinator’s office
should provide the answer.
For persons with disabilities
Individuals who are unable to exercise their rights using regular procedures
may obtain further assistance from any Access to Information and Privacy
Coordinator’s office.
D.
Roles and Responsibilities
Treasury Board
In accordance with the Access to Information Act, Treasury Board is
responsible for the annual creation and dissemination of a publication that
provides a description of government organizations, program responsibilities
and descriptions of records with sufficient clarity and detail to enable the
public to exercise its rights under the Access to Information Act.
Treasury Board is also responsible for the annual publication of an index of
personal information that will both serve to keep the public information of how
the government handles personal information, as well as facilitating the
public’s ability to exercise its rights under the Privacy Act. Treasury Board
Secretariat fulfils these requirements through the annual publication of Info
Source.
5
Library and Archives Canada (LAC)
Under the Library and Archives Canada Act, the Library and Archives Canada
is charged with various responsibilities regarding the disposition of information
created by federal institutions in support of public policy, administration of
government and program delivery. These responsibilities include the
authorization of records destruction by government institutions and the
preservation of records for their historical or archival importance.
Questions concerning these responsibilities may be addressed to the
Information Management Centre of the Library and Archives Canada (LAC) at
(613) 944-IMGI (4644) or by e-mailing [email protected]
Individual Institutions
Government institutions are required to provide descriptions of their
organization and information holdings to Treasury Board Secretariat on an
annual basis. These descriptions are utilized in the production of the
publications required by the Access to Information Act and Privacy Act. Each
department and agency is responsible for the information it submits.
Government institutions are also responsible for ensuring that all
information/records are managed within an established life cycle. It is
incumbent upon each government institution to understand and apply any
legislation regarding the retention of information and more specifically, its own
legislation. Each government institution is required to determine the
appropriate retention periods for its records, including those common
administrative records covered by a MIDA. Accountability regarding the
decision to destroy records, once a Records Disposition Authority (RDA) has
been established, and the timing of records destruction rests with individual
government institutions.
Each federal institution has an Access to Information and Privacy Coordinator
or a Privacy Coordinator. The Coordinators’ offices are staffed by people
whose role it is to answer questions and help identify the records or
information you wish to see.
Coordinators may be contacted in person, by telephone, e-mail, letter or
through the submission of a completed Access to Information and/or Privacy
Request Form.
Information Commissioner
The Information Commissioner investigates formal complaints from members
of the public arising from the Access to Information Act. If you have a
complaint about the denial of access to information, fees charged for access,
6
the time taken to respond to requests, refusal to give access in the official
language requested, Info Source publications and other matters that relate to
requesting or obtaining access to records, you may contact:
Office of the Information Commissioner
Place de Ville, Tower B
112 Kent Street, 22nd Floor
Ottawa, Ontario K1A 1H3
General Enquiries . . . . . . . . . . . . . . . . . . . .(613) 995-2410
Fax . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .(613) 947-7294
Toll-free . . . . . . . . . . . . . . . . . . . . . . . . . . . .1-800-267-0441
TTY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .(613) 992-9190
Web Site . . . . . . . . . . . . . . . . . . . . . . . . . . .www.infocom.gc.ca
When the Information Commissioner’s investigation is completed, an
individual who is of the opinion that they have not been given access to all
information which they are entitled to receive has the right to apply to the
Federal Court -Trial Division for a review of the matter.
Privacy Commissioner
The Privacy Commissioner is an ombudsman with the power to look into
complaints of improper collection, use, storage, disclosure or disposition of
personal information. The Privacy Commissioner may also help if you are
dissatisfied with the response to your formal application or the time it has
taken to obtain your response. If the Privacy Commissioner recommends that
you be given access to records and the institution still refuses, an appeal may
be made to the Federal Court.
When the Privacy Commissioner’s investigation is completed, an individual
who is of the opinion that they have not been given access to all of their
personal information to which they are entitled, has the right to apply to the
Federal Court - Trial Division for a review of the matter.
You may write or call the Privacy Commissioner’s office at:
Office of the Privacy Commissioner
Place de Ville, Tower B
112 Kent Street, 3rd Floor
Ottawa, Ontario K1A 1H3
General Enquiries
Fax . . . . . . . . . . .
Toll-free . . . . . . . .
TTY . . . . . . . . . . .
Web Site . . . . . . .
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.(613) 995-8210
.(613) 947-6850
.1-800-282-1376
.(613) 992-9190
.www.privcom.gc.ca
7
E.
Access to Information Act
The Access to Information Act gives Canadian citizens as well as people and
corporations present in Canada the right to have access to federal
government records that are not of a personal nature. The Act complements
but does not replace other procedures for obtaining government information. It
is not intended to limit in any way the access to government information that is
normally available to the public upon request.
Wide range of information
You may ask for information, no matter what form it is in, including letters,
memos, reports, photographs, films, microfilms and computerized data. This
Info Source publication has been designed to help you pinpoint the
department or agency where the information is held and assists you in
obtaining it.
Some information may be exempt or excluded under the Act.
Exemptions: Exemptions protect certain types of information that could cause
harm if released. For example, some information on national security, law
enforcement or trade secrets falls into this category.
Exclusions: The Access to Information Act does not apply to public
information that is already available, such as publications and material in
libraries and museums. It also excludes material such as Cabinet documents.
Note: The Act cannot give you access to records that are not controlled by the
federal government, such as those maintained by provincial or municipal
governments or by private organizations such as commercial banks and credit
bureaus. Most provincial governments have legislation similar to the Access to
Information Act, but may be referred to as a Freedom of Information Act.
Consult the provincial government listings in the blue pages of your local
telephone book.
F.
Privacy Act
In its day-to-day operations, federal government departments and agencies
collect personal information from almost all Canadians. The Privacy Act gives
Canadian citizens and people present in Canada the right to have access to
information that is held about them by the federal government. It also protects
against unauthorized disclosure of that personal information. In addition, it
strictly controls how the government will collect, use, store, disclose and
dispose of any personal information.
8
Most information is available when you ask
Most of your personal information is available to you at your request. This Info
Source publication has been designed to help you pinpoint the department or
agency where the information is held and assist you in obtaining it.
Types of personal information held
You probably already know about many of the programs and operations of the
government that use personal information such as income tax at Canada
Customs and Revenue Agency, citizenship at Citizenship and Immigration
Canada and the Employment Insurance program at Social Development
Canada.
There is personal information that the federal government may not release
under the Privacy Act. For example, some personal information may relate to
individuals other than the person requesting the information, or it may be
about sensitive national security matters or law enforcement investigations.
Note: The Privacy Act does not control nor give you access to records that
are not held by the federal government, such as those maintained by
provincial or municipal governments or by private organizations such as
commercial banks and credit bureaus. Most provincial governments have
legislation similar to the Privacy Act. Consult the provincial government listings
in the blue pages of your local telephone book.
Some personal information is confidential
The federal government must keep some personal information confidential
under the Privacy Act, much of which relates to other people, national security
or law enforcement.
Safeguarding personal information
The protection of your personal information and privacy is a very important
aspect of the Privacy Act. The Act states how and when the government may
collect, store and dispose of personal information. It also covers specifically
why and how the information may be used or given out, as well as who may
use or receive it.
Giving out information
The government may only disclose your information to someone else with
your consent or when one or more of the criteria in the Privacy Act are met,
such as to comply with a subpoena. Such disclosures are discretionary and
are subject to any other Act of Parliament.
9
Personal Information Banks
Personal Information Banks provide a summary of the type of information
about individuals that is held by federal departments and agencies. The
Privacy Act requires that Personal Information Banks include all personal
information that is organized and retrievable by a person’s name or by an
identifying number, symbol or other particular assigned only to that person.
Personal Information Banks must also include personal information that has
been or is being used, or is available for use for an administrative purpose.
Please see the glossary in Section J for definitions of the various types of
PIBs.
G.
How to Apply
Access to Information Act
Once you have decided to make a formal request under the Access to
Information Act, there are certain simple procedures to follow:
• Consult Info Source to find the appropriate department or agency.
• Obtain an Access to Information Request Form from any location
where Info Source is available (including the Web Site: www.tbssct.gc.ca/tbsf-fsct_e.html).
• If it is not convenient for you to fill in a form, you may send a letter,
mentioning the Act (see details below).
• Enclose the application fee (see details below).
• Send the form or the letter to the Access to Information Coordinator at the
appropriate department or agency.
If you decide to submit a letter, you must state clearly that you are requesting
information under the Access to Information Act, and include the following:
• name of the government department or agency you believe has the
information you want;
• description (be as specific as possible) of the records you want to see;
• preferred method of seeing the records (e.g. do you want to receive
photocopies of the original documents or see the originals in the
government office where they are located?); your name, street, address,
city or town, province or territory, postal code, telephone number(s) and
your signature;
• date of your request; and
• application fee.
10
Fees and costs
An application fee of $5 (subject to change) applies and additional costs may
be charged for each request. You will be notified in advance if there are
additional costs and you may be asked to make a deposit.
Cheques and money orders are payable to the Receiver General of Canada
with some exceptions. Please refer to Section I — Institutions Without
Receiver General Accounts for a list of institutions to which Access to
Information Requests must be accompanied by cheques or money orders
made out to the institution itself and not to the Receiver General of Canada.
Turnaround time
Government departments must acknowledge your request within 30 days
under the Access to Information Act. However, in special cases, they may
need more time to process your request. If you feel it’s taking too long, you
may submit a complaint to the Office of the Information Commissioner (See
Section D – Roles and Responsibilities).
Privacy Act
When you have decided to make a formal request under the Privacy Act, there
are certain procedures to follow. Remember, you will find what you are looking
for faster if you already have a good idea of which department or agency has
the information you want.
Obtain a Personal Information Request Form at any location where Info
Source is available (including the Web Site: www.tbs-sct.gc.ca/tbsffsct_e.html).
Fill out the form and identify yourself in such a way that the government may
verify who you are, i.e. that it is you, and not someone else, asking for your
information. The more precise the information you provide, the faster your
request can be answered.
Send the form to the Privacy Coordinator of the appropriate department or
agency.
There is no charge to apply for information under the Privacy Act.
To change the information
If you believe the information that a federal institution has on file about you is
untrue or misleading, you may ask to have it corrected. Even if the department
or agency does not agree to change this information, it must make a note that
you have asked for the change and attach it to the file.
11
Turnaround time
Under the law, all or most of the information you ask for should be disclosed
within 30 days of receiving the request. If a time extension is required, you will
be notified within the first 30 days and told why up to another 30 days may be
needed.
H.
Where to obtain Info Source
For more information about Info Source, the Access to Information Act or the
Privacy Act, you may contact:
Treasury Board of Canada Secretariat
L’Esplanade Laurier, East Tower
140 O’Connor Street, 8th Floor
Ottawa, Ontario K1A 0R5
General Enquiries . . . . . .
Publications . . . . . . . . . . .
Fax . . . . . . . . . . . . . . . . .
TTY . . . . . . . . . . . . . . . . .
General Library Reference
E-Mail . . . . . . . . . . . . . . .
Web Site . . . . . . . . . . . . .
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.(613) 957-2400
.(613) 995-2855
.(613) 996-0518
.(613) 957-9090
.(613) 996-5494
[email protected]
.www.tbs-sct.gc.ca
If you would like a copy of the Directory of Federal Government Enquiry
Points or the Access to Information Act and Privacy Bulletin, please
contact:
Treasury Board Distribution Centre
L’Esplanade Laurier, Level P-1W
300 Laurier Avenue West, Room P-140
Ottawa, Ontario K1A 0R5
Telephone . . . . . . . . . . . . . . . . . . . . . . . . . . .(613) 995-2855
Fax . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .(613) 996-0518
E-Mail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . [email protected]
If you would like to purchase a copy of Sources of Federal Government
Information or Sources of Federal Employee Information, please contact:
12
Publishing and Depository Services
Public Works and Government Services Canada
Ottawa, Ontario K1A 0S5
E-Mail . . . . . . . . . .
Telephone . . . . . . .
Telephone Toll-free
Fax . . . . . . . . . . . .
Fax Toll-free . . . . .
Web Site . . . . . . .
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[email protected]
.(613) 941-5995
.1-800-635-7943 (Canada & US)
.(613) 954-5779
.1-800-565-7757 (Canada & US)
.http://publications.gc.ca
All four Info Source publications are also available free of charge on the
Internet at: www.infosource.gc.ca
Note: Access to Information Act and Privacy Act requests must be addressed
to the appropriate institutions, at the addresses listed in the pages that follow.
I.
Institutions without Receiver General Accounts
Access to Information Requests being sent to the following institutions must
be accompanied by cheques or money orders made out to the institution itself
and not to the Receiver General of Canada:
Atlantic Pilotage Authority Canada
Bank of Canada
Blue Water Bridge Authority
Business Development Bank of Canada
Canada Council for the Arts
Canada Deposit Insurance Corporation
Canada Mortgage and Housing Corporation
Canada Science and Technology Museum Corporation
Canadian Air Transport Security Authority
Canadian Commercial Corporation
Canadian Cultural Property Export Review Board
Canadian Museum of Civilization Corporation
Canadian Polar Commission
Canadian Tourism Commission
Farm Credit Canada
Federal Bridge Corporation Limited
Fraser River Port Authority
13
International Development Research Centre
Jacques Cartier and Champlain Bridges Incorporated, The
Laurentian Pilotage Authority Canada
Mackenzie Valley Environmental Impact Review Board
Montreal Port Authority
National Capital Commission
North Fraser Port Authority
Office of the Chief Electoral Officer
Port Alberni Port Authority
Prince Rupert Port Authority
Royal Canadian Mint
Saguenay Port Authority
Saint John Port Authority
Seaway International Bridge Corporation, Ltd.
Standards Council of Canada
Toronto Port Authority
Trois-Rivières Port Authority
Vancouver Port Authority
Windsor Port Authority
Yukon Surface Rights Board
J.
Useful Terms
TERM
GLOSSARY OF TERMS
DEFINITION
Access to
Information and
Privacy Coordinator
Each federal government department or agency
has an Access to Information and Privacy
Coordinator. The Coordinators’ offices are staffed
by people to answer questions and help identify
the records or information you wish to see.
Administrative
Purpose
The use of personal information in a decision
making process that directly affects the
individual(s) to whom the information relates.
14
TERM
GLOSSARY OF TERMS
DEFINITION
Bank (PIB) Number
A unique identifying number created for each
Personal Information Bank. This number is
assigned by each institution as a finding tool to
link the PIB to the records and information
maintained in their information management
system.
Classes of Personal
Information
Personal information not used administratively or
not retrievable by personal identifier, for instance
unsolicited opinions or general correspondence
may be described under “Classes of Personal
Information”.
• This category was created to ensure that
government departments and agencies account
for all personal information that they hold.
Data Matching
An activity that involves comparing personal data
obtained from a variety of sources, including
personal information banks, for the purpose of
making decisions about the individuals to whom
the data pertains.
Information Life
Cycle
The life cycle of information encompasses the
stages of the planning, collection, creation,
receipt, and capture of information by an
institution. The life cycle includes the
organization, retrieval, use, accessibility,
dissemination and transmission; storage,
maintenance and protection; and disposition and
preservation of information.
Manuals
Directives, instructions, guidelines or procedures
that are used by the employees of a department
or agency to carry out its operations, activities or
programs.
15
TERM
GLOSSARY OF TERMS
DEFINITION
Multi-Institutional
Disposition Authority
(MIDA)
A Records Disposition Authority granted by the
Librarian and Archivist of Canada to government
institutions on a multi-institutional basis. A MIDA
relates to records managed by all or a multiple
number of government institutions, and which
allows the institutions empowered to use the
authority to dispose of records under certain
terms and conditions.
Personal Information
Bank (PIB)
Personal Information Banks provide a summary
of the type of information about individuals that is
held by federal departments and agencies.
• The Privacy Act requires that Personal
Information Banks include all personal information
that is organized and retrievable by a person’s
name or by an identifying number, symbol or
other particular assigned only to that person.
• Personal Information Banks must include
personal information that has been or is being
used, or is available for use for an administrative
purpose.
Personal Information
Bank – Central
Banks
These records and their related PIBs are
maintained by central agencies such as the
Public Service Commission, Public Works and
Government Services Canada, and the Treasury
Board of Canada Secretariat.
• Central PIBs that describe information about
federal employees (current and former) from all or
several government institutions and are identified
with the unique identifier “PCE”.
• Central PIBs that describe information about
the general public, plus federal employees
(current and former) are identified by the unique
identifier “PCU”
16
TERM
Personal Information
Bank – Particular
Banks
GLOSSARY OF TERMS
DEFINITION
Personal Information Banks that describe
personal information about members of the
general public, plus federal employees (current
and former)that is contained in the records of the
particular institution.
• These PIBs are identified with the unique
identifier “PPU”.
Personal Information
Bank – Employee
Particular Banks
PIBs that describe personal information about
current and former Government of Canada
employees only, and are specific to the
requirements of the particular institution. These
PIBs are contained the complementary volume to
this publication — Info Source: Sources of
Federal Employee Information.
• These PIBs are identified with the unique
identifier “PPE”.
Personal Information
Bank – Standard
PIBs
There are a number of Standard Personal
Information Banks (Standard Banks) that describe
personal information contained in records
commonly maintained by most government
institutions. Institutions may require one or all of
these Standard PIBs. Standard PIBs describe
information about such activities as Access to
Information and Privacy Requests, Executive
Correspondence Management Systems, etc.
• Standard PIBs are identified with the unique
identifier “PSU”
Personal Information
Bank – Standard
Employee PIBs
There are a number of Employee Related
Standard Personal Information Banks (Standard
Employee Banks) that describe personal
information contained in records commonly
17
TERM
GLOSSARY OF TERMS
DEFINITION
maintained by most government institutions about
their employees. Institutions may require one or all
of these Standard PIBs. Standard Employee PIBs
describe information about such activities as pay
and benefits, training and development,
performance, etc.,
• Standard Employee PIBs are identified with the
unique identifier “PSE”.
Program Records
Descriptions of the records and information
created, captured and used by each federal
government institution in support of its mandate.
Program Records provide pointers to information
usually held by federal government departments
or agencies in their record keeping system. The
Program Record descriptions identify the subject
areas covered by an institution’s functions,
programs and activities.
Program Record
Number
A unique identifying number created for each
Program Record description.
• This number is assigned by each institution as
a finding tool to access the information contained
in their records.
Reading Room
The Access to Information Act requires all
government institutions to provide facilities where
their information and/or manuals can be reviewed.
One or more location may be provided by an
institution.
Records Disposition
Authority (RDA)
The instrument that the Librarian and Archivist of
Canada issues to enable government institutions
to dispose of records which no longer have
operational or other utility. There are three
18
TERM
GLOSSARY OF TERMS
DEFINITION
disposition methods – destroying the records (at
the discretion of institutions), transferring
historical records to the control of the Library and
Archives of Canada or the removal of records
from the control of the Government of Canada,
i.e. transferring them to a Special Operating
Agency or other level of government.
Retention and
Disposal Standards
Standard Program
Records
A timetable for the length of time institutional
information/record is maintained under the control
of the institution. These standards also indicate
the disposition method to be applied to
institutional records when no longer required to
meet operational, legal or other requirements,
and when the RDA may be applied for final
disposition.
Descriptions of records/information commonly
created, collected and used by federal
institutions, such as Human Resources, Physical
Security, etc.
Federal departments and agencies may declare
one or all of the Standard Program Records
within their chapters instead of developing
institution-specific program record descriptions.
19
Access to Information and Privacy Coordinators
Agriculture and Agri-Food Canada
Amanda Coderre
Access to Information and Privacy
Coordinator
930 Carling Avenue, Room 801
Ottawa, Ontario K1A 0C5
Tel.: (613) 694-2496
Fax: (613) 759-6728
[email protected]
Atlantic Canada Opportunities Agency
Claudia Gaudet
Access to Information and Privacy
Coordinator
Blue Cross Centre
644 Main Street
P.O. Box 6051
Moncton, New Brunswick E1C 9J8
Tel.: (506) 851-3845
Other Tel.: (1-800) 561- 7862
Fax: (506) 851-7403
[email protected]
Atlantic Pilotage Authority Canada
Peter MacArthur
Access to Information and Privacy
Coordinator
Cogswell Tower
2000 Barrington Street, Suite 910
Halifax, Nova Scotia B3J 3K1
Tel.: (902) 426-8657
Other Tel.: (902) 426- 2550
Fax: (902) 426-4004
[email protected]
Bank of Canada
Colleen Leighton
Access to Information and Privacy
Coordinator
West Tower
234 Wellington Street, 4th Floor
Ottawa, Ontario K1A 0G9
Tel.: (613) 782-7104
Fax: (613) 782-7317
[email protected]
Belledune Port Authority
Rayburn Doucett
Access to Information and Privacy
Coordinator
112 Shannon Drive
Belledune, New Brunswick E8G 2W2
Tel.: (506) 522-1200
Fax: (506) 522-0803
[email protected]
Blue Water Bridge Authority
Mary Teft
Access to Information and Privacy
Coordinator
1 Bridge Street
Point Edward, Ontario N7V 4J5
Tel.: (519) 336-2720
Fax: (519) 336-7622
[email protected]
British Columbia Treaty Commission
Mark Smith
Access to Information and Privacy
Coordinator
1155 West Penser Street, Suite 203
Vancouver, British Columbia V6E 2P4
Tel.: (604) 482-9213
Other Tel.: (604) 803- 2240
Fax: (604) 482-9222
[email protected]
20
Business Development Bank of Canada
Robert D. Annett
Access to Information and Privacy
Coordinator
5 Place Ville-Marie, Suite 400
Montreal, Quebec H3B 5E7
Tel.: (514) 283-3554
Fax: (514) 283-9731
[email protected]
Canada Border Services Agency
Paul Colpitts
Access to Information and Privacy
Coordinator
Leima Building
410 Laurier Avenue West, 11th Floor
Ottawa, Ontario K1A 0L8
Tel.: (613) 941-7431
Fax: (613) 957-6408
[email protected]
Canada Economic Development for
Quebec Regions
Andrée Narbonne
Access to Information and Privacy
Coordinator
800 Victoria Square, Suite 3800
P.O. Box 247
Montreal, Quebec H4Z 1E8
Tel.: (514) 283-8418
Fax: (514) 283-9679
[email protected]
Canada Firearms Centre
James Deacon
Access to Information and Privacy
Coordinator
50 O’Connor Street, 10th Floor
Ottawa, Ontario K1A 1M6
Tel.: (613) 952-5082
Fax: (613) 954-9426
[email protected]
Canada Council for the Arts
Irène Boilard
Access to Information and Privacy
Coordinator
350 Albert Street, 9th Floor
P.O. Box 1047
Ottawa, Ontario K1P 5V8
Tel.: (613) 566-4414 Ext. 4261
Other Tel.: (1-800) 263-5588
Fax: (613) 566-4430
[email protected]
Canada Industrial Relations Board
Christine Brûlé-Charron
Access to Information and Privacy
Coordinator
C.D. Howe Building
240 Sparks Street, 4th Floor West
Ottawa, Ontario K1A 0X8
Tel.: (613) 947-5421
Fax: (613) 947-5407
[email protected]
Canada Deposit Insurance Corporation
Chantal M. Richer
Access to Information and Privacy
Coordinator
50 O’Connor Street, 17th Floor
Ottawa, Ontario K1P 5W5
Tel.: (613) 996-2082
Fax: (613) 996-6095
[email protected]dic.ca
Canada Lands Company Limited
Fiorina Guido
Access to Information and Privacy
Coordinator
200 King Street West, Suite 1500
Toronto, Ontario M5H 3T4
Tel.: (416) 952-6194
Fax: (416) 952-6200
[email protected]
21
Canada Mortgage and Housing
Corporation
D.V. Tyler
Access to Information and Privacy
Coordinator
700 Montreal Road, Room C2-218
Ottawa, Ontario K1A 0P7
Tel.: (613) 748-2892
Fax: (613) 748-4098
[email protected]
Canada Post Corporation
Suzanne Bouchard
Privacy Coordinator
2701 Riverside Drive, Suite N0870
Ottawa, Ontario K1A 0B1
Tel.: (613) 734-8561
Fax: (613) 734-7329
[email protected]
Canada Revenue Agency
Danielle Jean-Venne
Access to Information and Privacy
Coordinator
25 Nicholas Street, 11th Floor
Ottawa, Ontario K1A 0L5
Tel.: (613) 688-9065
Fax: (613) 941-9395
[email protected]
Canada School of Public Service
Andrée LaRose
Access to Information and Privacy
Coordinator
373 Sussex Drive, Room B-3
Ottawa, Ontario K1N 6Z2
Tel.: (613) 995-6004
Fax: (613) 995-0331
[email protected]
Canada Science and Technology
Museum Corporation
Ian MacLeod
Access to Information and Privacy
Coordinator
2380 Lancaster Road
P.O. Box 9724, Station T
Ottawa, Ontario K1G 5A3
Tel.: (613) 991-6390
Fax: (613) 998-7759
[email protected]
Canada-Newfoundland Offshore
Petroleum Board
Mike Baker
Access to Information and Privacy
Coordinator
140 Water Street, 5th Floor
St. John’s, Newfoundland and Labrador
A1C 6H6
Tel.: (709) 778-1464
Fax: (709) 778-1473
[email protected]
Canada-Nova Scotia Offshore Petroleum
Board
Michael S. McPhee
Access to Information and Privacy
Coordinator
TD Centre
1791 Barrington Street, 6th Floor
Halifax, Nova Scotia B3J 3K9
Tel.: (902) 422-5588
Fax: (902) 422-1799
[email protected]
22
Canadian Air Transport Security
Authority
Lise Patry
Access to Information and Privacy
Coordinator
99 Bank Street, 13th Floor
Ottawa, Ontario K1P 6B9
Tel.: (613) 990-7703
Fax: (613) 993-7626
[email protected]
Canadian Cultural Property Export
Review Board
Catherine Jensen
Access to Information and Privacy
Coordinator
15 Eddy Street, 3rd Floor
Gatineau, Quebec K1A 0M5
Tel.: (819) 997-8933
Fax: (819) 997-7757
[email protected]
Canadian Artists and Producers
Professional Relations Tribunal
Diane Chartrand
Access to Information and Privacy
Coordinator
240 Sparks Street, 1st Floor West
Ottawa, Ontario K1A 1A1
Tel.: (613) 947-4263
Fax: (613) 947-4125
[email protected]
Canadian Dairy Commission
Amanda Coderre
Access to Information and Privacy
Coordinator
930 Carling Avenue, Room 801
Ottawa, Ontario K1A 0C5
Tel.: (613) 694-2496
Fax: (613) 759-6728
[email protected]
Canadian Centre for Occupational Health
and Safety
Bonnie Easterbrook
Access to Information and Privacy
Coordinator
135 Hunter Street East
Hamilton, Ontario L8N 1M5
Tel.: (905) 572-2981 Ext. 4401
Fax: (905) 572-2206
[email protected]
Canadian Environmental Assessment
Agency
Ann Amyot
Access to Information and Privacy
Coordinator
Place Bell Canada
160 Elgin Street, 22nd Floor
Ottawa, Ontario K1A 0H3
Tel.: (613) 957-0179
Fax: (613) 957-0946
[email protected]
Canadian Commercial Corporation
Sharon Fleming
Access to Information and Privacy
Coordinator
50 O’Connor Street, Suite 1100
Ottawa, Ontario K1A 0S6
Tel.: (613) 943-0953
Fax: (613) 995-2121
[email protected]
Canadian Food Inspection Agency
Debbie Taylor
Access to Information and Privacy
Coordinator
59 Camelot Drive, Room 211 East
Ottawa, Ontario K1A 0Y9
Tel.: (613) 225-2342 Ext. 4728
Fax: (613) 228-6639
[email protected]
23
Canadian Forces Grievance Board
Christian Vianda
Access to Information and Privacy
Coordinator
60 Queen Street, 10th Floor
Ottawa, Ontario K1P 5Y7
Tel.: (613) 995-7986
Fax: (613) 996-6491
[email protected]
Canadian Human Rights Tribunal
Bernard Fournier
Access to Information and Privacy
Coordinator
160 Elgin Street, 11th Floor
Ottawa, Ontario K1A 1J4
Tel.: (613) 995-1707 Ext. 321
Fax: (613) 995-3484
[email protected]
Canadian Grain Commission
Amanda Coderre
Access to Information and Privacy
Coordinator
930 Carling Avenue, Room 801
Ottawa, Ontario K1A 0C5
Tel.: (613) 694-2496
Fax: (613) 759-6728
[email protected]
Canadian Institutes of Health Research
Guy D’Aloisio
Access to Information and Privacy
Coordinator
160 Elgin Street, Room 97
Address Locator 4809A
Ottawa, Ontario K1A 0W9
Tel.: (613) 954-1946
Fax: (613) 954-1800
[email protected]
Canadian Heritage
E.W. Aumand
Access to Information and Privacy
Coordinator
Les Terrasses de la Chaudière
25 Eddy Street, 3rd Floor
Gatineau, Quebec K1A 0M5
Tel.: (819) 997-2894
Fax: (819) 953-9524
[email protected]
Canadian Human Rights Commission
Lucie Veillette
Access to Information and Privacy
Coordinator
Canada Place
344 Slater Street, 8th Floor
Ottawa, Ontario K1A 1E1
Tel.: (613) 943-9008
Fax: (613) 941-6810
[email protected]
Canadian International Development
Agency
Andrée Miller
Access to Information and Privacy
Coordinator
Place du Centre
200 Promenade du Portage, 12th Floor
Gatineau, Quebec K1A 0G4
Tel.: (819) 997-0846
Fax: (819) 953-3352
[email protected]
Canadian International Trade Tribunal
Susanne Grimes
Access to Information and Privacy
Coordinator
333 Laurier Avenue West
Ottawa, Ontario K1A 0G7
Tel.: (613) 993-4717
Fax: (613) 998-1322
[email protected]
24
Canadian Museum of Civilization
Corporation
Mark O’Neill
Access to Information and Privacy
Coordinator
100 Laurier Street
P.O. Box 3100, Station B
Gatineau, Quebec J8X 4H2
Tel.: (819) 776-7115
Fax: (819) 776-7196
[email protected]
Canadian Radio-television and
Telecommunications Commission
Sylvie Locas
Access to Information and Privacy
Coordinator
Les Terrasses de la Chaudière
1 Promenade du Portage, 5th Floor
Gatineau, Quebec K1A 0N2
Tel.: (819) 997-4274
Fax: (819) 994-0218
[email protected]
Canadian Museum of Nature
Greg Smith
Access to Information and Privacy
Coordinator
P.O. Box 3443, Station D
Ottawa, Ontario K1P 6P4
Tel.: (613) 566-4214
Fax: (613) 364-4021
[email protected]
Canadian Security Intelligence Service
Nicole Jalbert
Acting/Access to Information and Privacy
Coordinator
P.O. Box 9732 Station T
Ottawa, Ontario K1G 4G4
Tel.: (613) 231-0121
Fax: (613) 842-1271
[email protected]
Canadian Nuclear Safety Commission
Philip Dubuc
Access to Information and Privacy
Coordinator
280 Slater Street
P.O. Box 1046, Station B
Ottawa, Ontario K1P 5S9
Tel.: (613) 947-3709
Fax: (613) 995-5086
[email protected]
Canadian Space Agency
Danielle Bourgie
Access to Information and Privacy
Coordinator
6767 Airport Road
Saint-Hubert, Quebec J3Y 8Y9
Tel.: (450) 926-4866
Fax: (450) 926-4878
[email protected]
Canadian Polar Commission
John Bennett
Access to Information and Privacy
Coordinator
Constitution Square
360 Albert Street, Suite 1710
Ottawa, Ontario K1R 7X7
Tel.: (613) 943-0716
Fax: (613) 943-8607
[email protected]
Canadian Tourism Commission
Paula Brennan
Access to Information and Privacy
Coordinator
55 Metcalfe Street, Suite 600
Ottawa, Ontario K1P 6L5
Tel.: (613) 946-1369
Fax: (613) 560-2923
[email protected]
25
Canadian Transportation Agency
John Parkman
Access to Information and Privacy
Coordinator
Jules Léger Building
15 Eddy Street
Gatineau, Quebec K1A 0N9
Tel.: (819) 994-2564
Fax: (819) 997-6727
[email protected]
Copyright Board Canada
Ivy Lai
Access to Information and Privacy
Coordinator
56 Sparks Street, Suite 800
Ottawa, Ontario K1A 0C9
Tel.: (613) 952-8628
Fax: (613) 946-4451
[email protected]
Canadian Wheat Board
Deborah Harri
Privacy Coordinator
423 Main Street
P.O. Box 816 Station Main
Winnipeg, Manitoba R3C 2P5
Tel.: (204) 983-1752
Fax: (204) 984-7815
[email protected]
Correctional Service of Canada
Todd Sloan
Access to Information and Privacy
Coordinator
Sir Wilfrid Laurier Building
340 Laurier Avenue West
Ottawa, Ontario K1A 0P9
Tel.: (613) 943-5054
Fax: (613) 995-4412
[email protected]
Citizenship and Immigration Canada
Heather Primeau
Access to Information and Privacy
Coordinator
Narono Building
360 Laurier Avenue West, 10th Floor
Ottawa, Ontario K1A 1L1
Tel.: (613) 957-6512
Fax: (613) 957-6517
[email protected]
Defence Construction Canada
Danielle Richer
Access to Information and Privacy
Coordinator
Constitution Square
350 Albert Street, 19th Floor
Ottawa, Ontario K1A 0K3
Tel.: (613) 998-9534
Fax: (613) 998-1218
[email protected]
Commission for Public Complaints
Against the Royal Canadian Mounted
Police
Michelle Tewsley
Access to Information and Privacy
Coordinator
60 Queen Street, 3rd Floor
P.O. Box 3423 Station D
Ottawa, Ontario K1P 6L4
Tel.: (613) 952-1280
Fax: (613) 957-6117
[email protected]
Department of Finance Canada
Diane Manseau
Access to Information and Privacy
Coordinator
L’Esplanade Laurier, East Tower
140 O’Connor Street, 21st Floor
Ottawa, Ontario K1A 0G5
Tel.: (613) 992-1915
Fax: (613) 947-8331
[email protected]
26
Department of Justice Canada
Kerri Clark
Access to Information and Privacy
Coordinator
284 Wellington Street, Room 1329
Ottawa, Ontario K1A 0H8
Tel.: (613) 954-0617
Fax: (613) 957-2303
[email protected]
Federal Bridge Corporation Limited
Norman B. Willans
Access to Information and Privacy
Coordinator
55 Metcalfe Street, Suite 1210
Ottawa, Ontario K1P 6L5
Tel.: (613) 993-5345
Fax: (613) 993-6945
[email protected]
Environment Canada
Helen Ryan
Access to Information and Privacy
Coordinator
Les Terrasses de la Chaudiere
10 Wellington Street, 27th Floor
Gatineau, Quebec K1A 0H3
Tel.: (819) 953-2743
Fax: (819) 953-0749
[email protected]
Financial Consumer Agency of Canada
Jocelyne Charette
Access to Information and Privacy
Coordinator
Enterprise Building
427 Laurier Avenue West, 6th Floor
Ottawa, Ontario K1R 1B9
Tel.: (613) 941-1425
Fax: (613) 941-1436
[email protected]
Export Development Canada
Serge Picard
Privacy Coordinator
151 O’Connor Street, 7th Floor
Ottawa, Ontario K1A 1K3
Tel.: (613) 598-2899
Fax: (613) 598-3113
[email protected]
Financial Transaction and Reports
Analysis Centre of Canada
Joanna Leslie
Access to Information and Privacy
Coordinator
234 Laurier Avenue West
Ottawa, Ontario K1P 1H7
Tel.: (613) 943-1347
Fax: (613) 943-7931
[email protected]
Farm Credit Canada
Veronica Bosche
Access to Information and Privacy
Coordinator
1800 Hamilton Street
P.O. Box 4320
Regina, Saskatchewan S4P 4L3
Tel.: (306) 780-8668
Fax: (306) 780-6704
[email protected]
Fisheries and Oceans Canada
Gary Lacey
Access to Information and Privacy
Coordinator
200 Kent Street, 8th Floor
Ottawa, Ontario K1A 0E6
Tel.: (613) 993-2937
Fax: (613) 998-1173
[email protected]
27
Foreign Affairs Canada
Jocelyne Sabourin
Access to Information and Privacy
Coordinator
Lester B. Pearson Building
125 Sussex Drive
Ottawa, Ontario K1A 0G2
Tel.: (613) 992-1487
Fax: (613) 995-0116
[email protected]
Gwich’in Land and Water Board
Marie Dauray Chartrand
Access to Information and Privacy
Coordinator
Les Terrasses de la Chaudière
10 Wellington Street, Room 517
Gatineau, Quebec K1A 0H4
Tel.: (819) 953-2049
Fax: (819) 953-5492
[email protected]
Fraser River Port Authority
Sarb Dhut
Access to Information and Privacy
Coordinator
713 Columbia Street, Suite 500
New Westminster, British Columbia
1B2
Tel.: (604) 524-6655
Fax: (604) 524-1127
[email protected]
Gwich’in Land Use Planning Board
Marie Dauray Chartrand
Access to Information and Privacy
Coordinator
Les Terrasses de la Chaudière
10 Wellington Street, Room 517
Gatineau, Quebec K1A 0H4
Tel.: (819) 953-2049
Fax: (819) 953-5492
[email protected]
V3M
Freshwater Fish Marketing Corporation
Bruce Syme
Access to Information and Privacy
Coordinator
1199 Plessis Road
Winnipeg, Manitoba R2C 3L4
Tel.: (204) 983-6461
Fax: (204) 983-6497
[email protected]
Great Lakes Pilotage Authority Canada
Christine Doherty
Access to Information and Privacy
Coordinator
202 Pitt Street
P.O. Box 95
Cornwall, Ontario K6H 5R9
Tel.: (613) 933-2991 Ext. 208
Fax: (613) 932-3793
[email protected]
Halifax Port Authority
Joan Macleod
Access to Information and Privacy
Coordinator
Ocean Terminals
1215 Marginal Road
P.O. Box 336
Halifax, Nova Scotia B3J 2P6
Tel.: (902) 426-6536
Fax: (902) 426-7335
[email protected]
Hamilton Port Authority
Michele Drake
Access to Information and Privacy
Coordinator
605 James Street North, 6th Floor
Hamilton, Ontario L8L 1K1
Tel.: (905) 525-4330 Ext. 254
Fax: (905) 528-6282
[email protected]
28
Hazardous Materials Information Review
Commission
Josée Potvin
Access to Information and Privacy
Coordinator
427 Laurier Avenue West, Room 717
Ottawa, Ontario K1A 1M3
Tel.: (613) 993-4429
Fax: (613) 993-5016
[email protected]
Health Canada
Ross Hodgins
Access to Information and Privacy
Coordinator
4th Floor, Room 481-D, AL-1904
Jeanne Mance Building, Tunney’s Pasture
Ottawa, Ontario K1A 0K9
Tel.: (613) 946-3179
Fax: (613) 941-4541
[email protected]
Historic Sites and Monuments Board of
Canada
Michel Audy
Access to Information and Privacy
Coordinator
Jules Léger Building
Les Terrasses de la Chaudière
25 Eddy Street, 5th Floor
Gatineau, Quebec K1A 0M5
Tel.: (819) 997-0129
Fax: (819) 953-4909
[email protected]
Human Resources and Skills
Development Canada
Sylvie Chaput-Soumis
Acting/Access to Information and Privacy
Coordinator
Phase IV, Level 1
140 Promenade du Portage
Box 112
Gatineau, Quebec K1A 0J9
Tel.: (819) 953-2000
Fax: (819) 953-0659
[email protected]
Immigration and Refugee Board
Sergio Poggione
Access to Information and Privacy
Coordinator
344 Slater Street, 14th Floor
Ottawa, Ontario K1A 0K1
Tel.: (613) 995-3514
Fax: (613) 996-9305
[email protected]
Indian and Northern Affairs Canada
Marie Dauray Chartrand
Access to Information and Privacy
Coordinator
Les Terrasses de la Chaudière
10 Wellington Street, Room 517
Gatineau, Quebec K1A 0H4
Tel.: (819) 953-2049
Fax: (819) 953-5492
[email protected]
Indian Residential Schools Resolution
Canada
Margaret Kirkland
Access to Information and Privacy
Coordinator
90 Sparks Street, Room 341
Ottawa, Ontario K1A 0H4
Tel.: (613) 947-4148
Fax: (613) 996-2808
[email protected]
29
Industry Canada
Kimberly Eadie
Access to Information and Privacy
Coordinator
255 Albert Street, 11th Floor
Ottawa, Ontario K1A 0H5
Tel.: (613) 952-5766
Fax: (613) 941-3085
[email protected]
Infrastructure Canada
Carole Larocque
Access to Information and Privacy
Coordinator
90 Sparks Street, Suite 605
Ottawa, Ontario K1P 5B4
Tel.: (613) 946-4980
Fax: (613) 948-2965
[email protected]
International Centre for Human Rights
and Democratic Development
Anne-Marie Lavoie
Access to Information and Privacy
Coordinator
1001 de Maisonneuve East, Suite 1100
Montreal, Quebec H2L 4P9
Tel.: (514) 283-6073
Fax: (514) 283-3792
[email protected]
International Development Research
Centre
Diane Ryerson
Access to Information and Privacy
Coordinator
250 Albert Street
P.O. Box 8500
Ottawa, Ontario K1G 3H9
Tel.: (613) 236-6163 Ext. 2112
Fax: (613) 235-6391
[email protected]
International Trade Canada
Jocelyne Sabourin
Access to Information and Privacy
Coordinator
Lester B. Pearson Building
125 Sussex Drive
Ottawa, Ontario K1A 0G2
Tel.: (613) 992-1487
Fax: (613) 995-0116
[email protected]
Jacques Cartier and Champlain Bridges
Incorporated, The
Sylvie Lefebvre
Access to Information and Privacy
Coordinator
West Tower
1111 St-Charles Street West, Suite 600
Longueuil, Quebec J4K 5G4
Tel.: (450) 651-8771 Ext. 229
Fax: (450) 651-3249
[email protected]
Laurentian Pilotage Authority Canada
Nicole Sabourin
Access to Information and Privacy
Coordinator
555 René-Lévesque Blvd West, Suite 1501
Montreal, Quebec H2Z 1B1
Tel.: (514) 283-6320 Ext. 213
Fax: (514) 496-2409
[email protected]
Law Commission of Canada
Suzanne Schryer-Belair
Access to Information and Privacy
Coordinator
222 Queen, Room 1124
Ottawa, Ontario K1A 0H8
Tel.: (613) 946-8979
Other Tel.: (613) 946-8980
Fax: (613) 946-8988
[email protected]
30
Library and Archives Canada
Gillian Cantello
Access to Information and Privacy
Coordinator
395 Wellington Street, Room 206B
Ottawa, Ontario K1A 0N3
Tel.: (613) 992-0655
Fax: (613) 992-9350
[email protected]
Mackenzie Valley Environmental Impact
Review Board
Marie Dauray Chartrand
Access to Information and Privacy
Coordinator
Les Terrasses de la Chaudière
10 Wellington Street, Room 517
Gatineau, Quebec X1A 2N7
Tel.: (819) 953-2049
Fax: (819) 953-5492
[email protected]
Mackenzie Valley Land and Water Board
Marie Dauray Chartrand
Access to Information and Privacy
Coordinator
Les Terrasses de la Chaudière
10 Wellington Street, Room 517
Gatineau, Quebec K1A 0H4
Tel.: (819) 953-2049
Fax: (819) 953-5492
[email protected]
Military Police Complaints Commission
Suzan Fraser
Access to Information and Privacy
Coordinator
270 Albert, 10th Floor
Ottawa, Ontario K1P 5G8
Tel.: (613) 947-5750
Fax: (613) 947-5713
[email protected]
Montreal Port Authority
Sylvie Vachon
Access to Information and Privacy
Coordinator
Port of Montreal Building
Cité du Havre, Wing N0. 1
Montreal, Quebec H3C 3R5
Tel.: (514) 283-2735
Fax: (514) 496-9121
[email protected]
Nanaimo Port Authority
Bill Mills
Access to Information and Privacy
Coordinator
104 Front Street
P.O. Box 131
Nanaimo, British Columbia V9R 5K4
Tel.: (250) 753-4146
Fax: (250) 753-4899
[email protected]
National Arts Centre
Jayne Watson
Privacy Coordinator
P.O. Box 1534, Station B
Ottawa, Ontario K1P 5W1
Tel.: (613) 947-7000 Ext. 260
Fax: (613) 996-9578
[email protected]
National Battlefields Commission
Michel Leullier
Access to Information and Privacy
Coordinator
390 de Bernières Avenue
Quebec, Quebec G1R 2L7
Tel.: (418) 648-3506
Fax: (418) 648-3638
[email protected]
31
National Capital Commission
Gilles Gaignery
Access to Information and Privacy
Coordinator
40 Elgin Street, Suite 202
Ottawa, Ontario K1P 1C7
Tel.: (613) 239-5198
Fax: (613) 239-5361
[email protected]
National Film Board of Canada
Dominique Aubry
Access to Information and Privacy
Coordinator
3155 Côte de Liesse
St-Laurent, Quebec H4N 2N4
Tel.: (514) 283-9163
Fax: (514) 496-1646
[email protected]
National Defence
Julie Hallée
Access to Information and Privacy
Coordinator
North Tower
101 Colonel By Drive, 8th Floor
Ottawa, Ontario K1A 0K2
Tel.: (613) 944-7225
Other Tel.: (1-888) 272- 8207
Fax: (613) 995-5777
[email protected]
National Gallery of Canada
Frances Cameron
Access to Information and Privacy
Coordinator
380 Sussex Drive
P.O. Box 427, Station A
Ottawa, Ontario K1N 9N4
Tel.: (613) 991-0040
Fax: (613) 993-9163
[email protected]
National Energy Board
Michel Mantha
Access to Information and Privacy
Coordinator
444 Seventh Avenue S.W.
Calgary, Alberta T2P 0X8
Tel.: (403) 299-2714
Fax: (403) 292-5503
[email protected]
National Farm Products Council
Amanda Coderre
Access to Information and Privacy
Coordinator
930 Carling Avenue, Room 801
Ottawa, Ontario K1A 0C5
Tel.: (613) 694-2496
Fax: (613) 759-6728
[email protected]
National Parole Board
John Vandoremalen
Access to Information and Privacy
Coordinator
410 Laurier Avenue West, 7th Floor
Ottawa, Ontario K1A 0R1
Tel.: (613) 954-6547
Fax: (613) 957-3241
[email protected]
National Research Council Canada
Huguette Brunet
Access to Information and Privacy
Coordinator
Building M-58
Montreal Road Campus, Room W314
Ottawa, Ontario K1A 0R6
Tel.: (613) 990-6111
Fax: (613) 991-0398
[email protected]
32
National Round Table on the
Environment and the Economy
Phyllis Leonardi
Access to Information and Privacy
Coordinator
344 Slater Street, Suite 200
Ottawa, Ontario K1R 7Y3
Tel.: (613) 996-0492
Fax: (613) 992-7385
[email protected]
Natural Resources Canada
Jean Boulais
Access to Information and Privacy
Coordinator
580 Booth Street, 11th Floor
Ottawa, Ontario K1A 0E4
Tel.: (613) 995-1305
Fax: (613) 995-0693
[email protected]
Natural Sciences and Engineering
Research Council of Canada
Victor Wallwork
Access to Information and Privacy
Coordinator
350 Albert Street, 13th Floor
Ottawa, Ontario K1A 1H5
Tel.: (613) 995-6214
Fax: (613) 943-1222
[email protected]
North Fraser Port Authority
Marie Dauray Chartrand
Access to Information and Privacy
Coordinator
Les Terrasses de la Chaudière
10 Wellington Street, Room 517
Gatineau, Quebec V7B 1N4
Tel.: (819) 953-1866
Fax: (819) 953-3772
[email protected]
Northern Pipeline Agency Canada
Jean Boulais
Access to Information and Privacy
Coordinator
580 Booth Street, 11th Floor
Ottawa, Ontario K1A 0E4
Tel.: (613) 995-1305
Fax: (613) 995-0693
[email protected]
Northwest Territories Water Board
Vicki Losier
Access to Information and Privacy
Coordinator
Goga Cho Building
47 Street, 2nd Floor, Suite 4916
P.O. Box 1326
Yellowknife, Northwest Territories
X1A 2N9
Tel.: (867) 765-0106
Fax: (867) 765-0114
[email protected]
Nunavut Surface Rights Tribunal
Marie-Dauray Chartand
Access to Information and Privacy
Coordinator
P.O. Box 820
Rankin Inlet, Nunavut X0C 0G0
Tel.: (819) 953-2049
Fax: (819) 953-5492
[email protected]
Nunavut Water Board
Philippe di Pizzo
Access to Information and Privacy
Coordinator
P.O. Box 119
Gjoa Haven, Nunavut X0B 1J0
Tel.: (867) 360-6338
Other Tel.: (867) 669-1238
Fax: (867) 360-6369
[email protected]
33
Office of the Auditor General of Canada
Beth Stewart
Privacy Coordinator
240 Sparks Street
Ottawa, Ontario K1A 0G6
Tel.: (613) 995-3708
Fax: (613) 947-9556
[email protected]
Office of the Chief Electoral Officer
Diane Davidson
Privacy Coordinator
257 Slater Street, Room 9-106
Ottawa, Ontario K1A 0M6
Tel.: (613) 990-5596
Fax: (613) 993-5880
[email protected]
Office of the Commissioner of Official
Languages
Carol White
Privacy Coordinator
344 Slater Street, 3rd Floor
Ottawa, Ontario K1A 0T8
Tel.: (613) 996-9017
Fax: (613) 947-4751
[email protected]
Office of the Correctional Investigator
Maurice Gervais
Access to Information and Privacy
Coordinator
P.O. Box 3421, Station D
Ottawa, Ontario K1P 6L4
Tel.: (613) 990-2694
Fax: (613) 990-9091
[email protected]
Office of the Inspector General of the
Canadian Security Intelligence Service
Scott Shaver
Access to Information and Privacy
Coordinator
340 Laurier Avenue West, 11th Floor
Ottawa, Ontario K1A 0P8
Tel.: (613) 990-2729
Fax: (613) 990-8303
[email protected]
Office of the Ombudsman National
Defence and Canadian Forces
Mary McFadyen
Access to Information and Privacy
Coordinator
100 Metcalfe Street, 12th Floor
Ottawa, Ontario K1P 5M1
Tel.: (613) 996-8068
Fax: (613) 996-6730
[email protected]
Office of the Superintendent of Financial
Institutions Canada
Luc Morin
Access to Information and Privacy
Coordinator
255 Albert Street, 15th Floor
Ottawa, Ontario K1A 0H2
Tel.: (613) 990-7495
Fax: (613) 952-5031
[email protected]
Pacific Pilotage Authority Canada
Bruce Chadwick
Access to Information and Privacy
Coordinator
1130 West Pender Street, Suite 1000
Vancouver, British Columbia V6E 4A4
Tel.: (604) 666-6771
Fax: (604) 666-1647
[email protected]
34
Parks Canada Agency
E.W. Aumand
Access to Information and Privacy
Coordinator
Les Terrasses de la Chaudière
25 Eddy Street, 3rd Floor
Gatineau, Quebec K1A 0M5
Tel.: (819) 997-2894
Fax: (819) 953-9524
[email protected]
Prince Rupert Port Authority
Diane Copperthwaite
Access to Information and Privacy
Coordinator
215 Cow Bay Road, Suite 200
Prince Rupert, British Columbia V8J 1A2
Tel.: (250) 627-8899
Other Tel.: (250) 627-2510
Fax: (250) 627-8980
[email protected]
Patented Medicines Prices Review Board
Sylvie Dupont
Access to Information and Privacy
Coordinator
Standard Life Centre
333 Laurier Avenue West, Suite 1400
P.O. Box L40
Ottawa, Ontario K1P 1C1
Tel.: (613) 954-8299
Fax: (613) 952-7626
[email protected]
Privy Council Office
Ciuineas Boyle
Access to Information and Privacy
Coordinator
85 Sparks Street, Room 400
Ottawa, Ontario K1A 0A3
Tel.: (613) 957-5210
Fax: (613) 991-4706
[email protected]
Pensions Appeal Board
Mina McNamee
Access to Information and Privacy
Coordinator
P.O. Box 8567, Station T
Ottawa, Ontario K1G 3H9
Tel.: (613) 995-0612
Fax: (613) 995-6834
[email protected]
Port Alberni Port Authority
Linda Kelsall
Access to Information and Privacy
Coordinator
2750 Harbour Road
Port Alberni, British Columbia V9Y 7X2
Tel.: (250) 723-5312
Fax: (250) 723-1114
[email protected]
Public Safety and Emergency
Preparedness Canada
Duncan Roberts
Access to Information and Privacy
Coordinator
Sir Wilfrid Laurier Building
340 Laurier Avenue West
Ottawa, Ontario K1A 0P8
Tel.: (613) 991-2931
Fax: (613) 990-9077
[email protected]
Public Service Commission of Canada
Bernard Miquelon
Access to Information and Privacy
Coordinator
L’Esplanade Laurier, West Tower
300 Laurier Avenue West, 19th Floor
Ottawa, Ontario K1A 0M7
Tel.: (613) 995-5316
Fax: (613) 992-7519
[email protected]
35
Public Service Human Resources
Management Agency
Mario Perrier
Access to Information and Privacy
Coordinator
L’Esplanade Laurier, West Tower
300 Laurier Avenue, 6th Floor
Ottawa, Ontario K1A 0R5
Tel.: (613) 946-5015
Fax: (613) 954-1018
[email protected]
Public Service Integrity Office
Pierre Martel
Access to Information and Privacy
Coordinator
60 Queen Street, Suite 605
Ottawa, Ontario K1P 5Y7
Tel.: (613) 941-6304
Fax: (613) 941-6535
[email protected]
Public Service Staff Relations Board
Monique Montgomery
Access to Information and Privacy
Coordinator
C.D. Howe Building, West Tower
240 Sparks Street, 6th Floor
P.O. Box 1525, Station B
Ottawa, Ontario K1P 5V2
Tel.: (613) 990-1804
Fax: (613) 990-1849
[email protected]
Public Works and Government Services
Canada
Anita Lloyd
Access to Information and Privacy
Coordinator
Place du Portage, Phase III
11 Laurier Street, Room 5C1
Gatineau, Quebec K1A 0S5
Tel.: (819) 956-1816
Fax: (819) 994-2119
[email protected]
Quebec Port Authority
Pascal Raby
Access to Information and Privacy
Coordinator
150 Dalhousie Street
P.O. Box 2268
Quebec, Quebec G1K 7P7
Tel.: (418) 648-3640
Fax: (418) 648-4186
[email protected]
Royal Canadian Mint
Marguerite Nadeau
Access to Information and Privacy
Coordinator
320 Sussex Drive
Ottawa, Ontario K1A 0G8
Tel.: (613) 993-1732
Fax: (613) 990-4665
[email protected]
Royal Canadian Mounted Police
Pierre Lavoie
Access to Information and Privacy
Coordinator
1200 Vanier Parkway
Ottawa, Ontario K1A 0R2
Tel.: (613) 993-5162
Fax: (613) 993-5080
[email protected]
Royal Canadian Mounted Police External
Review Committee
Virginia Adamson
Access to Information and Privacy
Coordinator
60 Queen Street, Room 513
P.O. Box 1159, Station B
Ottawa, Ontario K1P 5R2
Tel.: (613) 998-2874
Fax: (613) 990-8969
[email protected]
36
Saguenay Port Authority
Pierre Paquin
Access to Information and Privacy
Coordinator
6600 Terminal Road
Ville de La Baie, Quebec G7B 3N9
Tel.: (418) 697-0250
Fax: (418) 697-0243
[email protected]
Sahtu Land and Water Board
Marie Dauray Chartrand
Access to Information and Privacy
Coordinator
Les Terrasses de la Chaudière
10 Wellington Street, Room 517
Gatineau, Quebec X0E 0H0
Tel.: (819) 953-2049
Fax: (819) 953-5492
[email protected]
Sahtu Land Use Planning Board
Marie Dauray Chartrand
Access to Information and Privacy
Coordinator
Les Terrasses de la Chaudière
10 Wellington Street, Room 517
Gatineau, Quebec K1A 0H4
Tel.: (819) 953-2049
Fax: (819) 953-5492
[email protected]
Saint John Port Authority
Pam Flemming
Access to Information and Privacy
Coordinator
133 Prince William Street, 5th Floor
Saint John, New Brunswick E2L 2B5
Tel.: (506) 636-4982
Fax: (506) 636-4443
[email protected]
Seaway International Bridge
Corporation, Ltd.
Norman B. Willans
Access to Information and Privacy
Coordinator
55 Metcalfe Street, Suite 1210
Ottawa, Ontario K1P 6L5
Tel.: (613) 993-5345
Fax: (613) 993-6945
[email protected]
Security Intelligence Review Committee
Alain Desaulniers
Access to Information and Privacy
Coordinator
122 Bank Street, 4th Floor
P.O. Box 2430, Station D
Ottawa, Ontario K1P 5W5
Tel.: (613) 990-6319
Fax: (613) 990-5230
[email protected]
Sept-Îles Port Authority
Diane Morin
Access to Information and Privacy
Coordinator
1 Quai Mgr-Blanche
Sept-Îles, Quebec G4R 5P3
Tel.: (418) 961-1227
Fax: (418) 962-4445
[email protected]
Social Development Canada
Marlene Rody
Access to Information and Privacy
Coordinator
Tower B, 6th Floor
355 North River Road
Ottawa, Ontario K1A 0L1
Tel.: (613) 957-2784
Fax: (613) 957-4343
[email protected]
37
Social Science and Humanities Research
Council of Canada
Andrea Budgell
Acting Manager
350 Albert Street, Room 1192
Ottawa, Ontario K1P 6G4
Tel.: (613) 992-0562
Fax: (613) 947-4010
[email protected]
Status of Women Canada
Hélène Archambault
Access to Information and Privacy
Coordinator
123 Slater Street, 10th Floor
Ottawa, Ontario K1P 1H9
Tel.: (613) 947-9239
Fax: (613) 957-3359
[email protected]
St. John’s Port Authority
Sean Hanrahan
Access to Information and Privacy
Coordinator
1 Water Street
P.O. Box 6178
St. John’s, Newfoundland and Labrador
A1C 5X8
Tel.: (709) 738-4780
Fax: (709) 738-4769
[email protected]
Telefilm Canada
Stéphane Odesse
Access to Information and Privacy
Coordinator
360 Saint-Jacques Street, Suite 700
Montreal, Quebec H2Y 4A9
Tel.: (514) 283-6363
Fax: (514) 283-2365
[email protected]
Standards Council of Canada
Pilar Castro
Access to Information and Privacy
Coordinator
270 Albert Street, Suite 200
Ottawa, Ontario K1P 6N7
Tel.: (613) 238-3222 Ext. 405
Fax: (613) 569-7808
[email protected]
Statistics Canada
Philip Giles
Access to Information and Privacy
Coordinator
R.H. Coats Building
120 Parkdale Avenue, 25th Floor, Section B
Ottawa, Ontario K1A 0T6
Tel.: (613) 951-2891
Fax: (613) 951-3825
[email protected]
Thunder Bay Port Authority
Tim V. Heney
Access to Information and Privacy
Coordinator
100 Main Street
Thunder Bay, Ontario P7B 6R9
Tel.: (807) 346-7387
Fax: (807) 345-9058
[email protected]
Toronto Port Authority
Lisa Raitt
Access to Information and Privacy
Coordinator
60 Harbour Street
Toronto, Ontario M5J 1B7
Tel.: (416) 863-2016
Fax: (416) 863-0495
[email protected]
38
Transport Canada
Ginette Pilon
Access to Information and Privacy
Coordinator
Place de Ville, Tower C
330 Sparks Street, 26th Floor
Ottawa, Ontario K1A 0N5
Tel.: (613) 993-6162
Fax: (613) 991-6594
[email protected]
Vancouver Port Authority
Wendy Petruk
Access to Information and Privacy
Coordinator
100 The Pointe
999 Canada Place
Vancouver, British Columbia V6C 3T4
Tel.: (604) 665-9054
Fax: (604) 665-9062
[email protected]
Transportation Safety Board of Canada
Manon van Riel
A/Access to Information and Privacy
Coordinator
Place du Centre
200 Promenade du Portage, 4th Floor
Gatineau, Quebec K1A 1K8
Tel.: (819) 953-4460
Fax: (819) 953-2160
[email protected]
Veterans Affairs Canada
Ms. Bunty Albert
Access to Information and Privacy
Coordinator
P.O. Box 7700
Charlottetown, Prince Edward Island
C1A 8M9
Tel.: (902) 566-7060
Fax: (902) 368-0496
[email protected]
Treasury Board of Canada Secretariat
Denise Brennan
Access to Information and Privacy
Coordinator
L’Esplanade Laurier, East Tower
140 O’Connor Street, 8th Floor
Ottawa, Ontario K1A 0R5
Tel.: (613) 957-7154
Fax: (613) 946-6256
[email protected]
Western Economic Diversification
Canada
Tim Earle
Access to Information and Privacy
Coordinator
Canada Place
9700 Jasper Avenue, Suite 1500
Edmonton, Alberta T5J 4H7
Tel.: (780) 495-3194
Fax: (780) 495-7618
[email protected]
Trois-Rivières Port Authority
Luc Forcier
Access to Information and Privacy
Coordinator
1545 du Fleuve Street, Suite 300
Trois-Rivières, Quebec G9A 5K2
Tel.: (819) 378-2887 Ext. 26
Fax: (819) 378-2487
[email protected]
Windsor Port Authority
David Cree
Access to Information and Privacy
Coordinator
251 Goyeau Street, Suite 502
Windsor, Ontario N9A 6V2
Tel.: (519) 258-5741
Fax: (519) 258-5905
[email protected]
39
Yukon Environmental Socio-Economic
Assessment Board
Marie Dauray Chartrand
Access to Information and Privacy
Coordinator
Les Terrasses de la Chaudière
10 Wellington Street, Room 517
Gatineau, Quebec K1A 0H4
Tel.: (819) 953-2049
Fax: (819) 953-5492
[email protected]
Yukon Surface Rights Board
Marie-Dauray Chartand
Access to Information and Privacy
Coordinator
Les Terrasses de la Chaudière
10 Wellington Street, Room 517
Gatineau, Quebec Y1A 5P7
Tel.: (8189) 953-2049
Fax: (819) 953-5492
[email protected]
40
Index of Standard Program Records
Record No.
901
902
903
904
905
906
907
908
909
910
911
912
913
914
915
916
917
918
919
920
921
922
923
924
925
926
927
928
929
930
931
932
933
934
935
936
Title
Administration
Acts and Legislation
Administration and Management Services
Co-operation and Liaison
Buildings and Properties
Buildings
Lands
Utilities
Equipment and Supplies
Furniture and Furnishings
Office Appliances
Procurement
Vehicles
Finance
Accounts and Accounting
Audits
Budgets
Personnel
Classification of Positions
Employment and Staffing
Human Resources
Occupational Health, Safety and Welfare
Official Languages
Pensions and Insurance
Salaries and Wages
Staff Relations
Training and Development
Business Continuity Plans
Automated Document, Records, Information Management Systems
Access to Information and Privacy Requests
Physical Security
Information Technology Services
Hospitality
Travel
Proactive Disclosure
Relocation
41
Standard Program Records
This section describes the subject matter of certain records which are common to most federal
departments and agencies, such as personnel records, financial records, purchasing and
property control records, materiel management and central services. Individuals seeking
access to the Standard Program Records of a particular institution should forward their access
requests to the Access to Information and Privacy Coordinator at the address given in the
previous pages.
Accounts and Accounting
Description: Accounts and accounting generally;
cash accounts; accounts payable; accounts
receivable; and standing advances.
Program Record Number: PRN 915
Acts and Legislation
Description: Acts and legislation - general,
departmental, federal, foreign and provincial.
Program Record Number: PRN 902
Access to Information and Privacy Requests
Description: Includes material related to the
administration of and internal procedures for the
processing of formal and informal requests, in
accordance with the Access to Information Act
and/or the Privacy Act.
These records may contain the requests made
by individuals to obtain access to information
under the control of the institution in accordance
with the Access to Information Act and/or the
Privacy Act, related replies and information
related to their processing, such as the software
systems used within institutions to manage the
administration of access and privacy requests,
i.e. ATIP Flow, ATIP Image software,
Coordination of Access to Information Requests
(CAIR) System, etc. These records may include
requests for correction of personal information;
informal requests; complaints, investigations and
requests for judicial review; consultations
received from or sent to other institutions;
requests for advice received from institutional
officials that raise privacy and/or access to
information concerns, etc.
Topics: These records may include material
related to cases leading to a change of policy or
procedure, material related to reports to
Parliament on the administration of the Acts;
conference material; committee information;
copies of relevant legislation, and related
policies, as well as information related to the
interpretation and application of these laws and
policies.
Program Record Number: PRN 930
Administration
Description: Administration generally; accidents
generally; motor vehicle accidents; agreements;
appreciation; complaints and enquiries;
associations, clubs and societies; audit, review
and evaluation; badges, emblems and flags;
bilingualism and biculturalism; cafeterias and
eating facilities; campaigns and canvassing;
ceremonies and celebrations; circulars, directives
and orders; committees; conferences, meetings
and symposia; corporations, companies and
firms; emergency measures; inventions, patents
and copyrights; licences and permits;
parliamentary matters; plans and programs;
reports and statistics; visits and tours.
Program Record Number: PRN 901
Administration and Management Services
Description: Administrative and management
services generally; correspondence
management; duplication services; electronic
data processing; electronic networks; forms
management; information services; legal
services; library services; mail, messenger and
postal services; management services; records
management; security services;
telecommunications; travel and transportation
services; secretarial, typing and word processing
services; translation services.
Program Record Number: PRN 903
Audits
Description: Auditor General reports and
internal audit reports.
Program Record Number: PRN 916
Automated Document, Records, Information
Management Systems
Description: Automated document, records and
information management systems are used to
manage the full life cycle, from creation/collection
to final disposition, of electronic documents (email, word processing documents, spreadsheets,
graphics, images, etc.), as well as non-electronic
records (hard copy, posters, photographs, video
tapes, audio tapes, maps, etc.). Information
contained within the automated system may be
42
entered in an electronic format, i.e. the capture
of an electronic object or the creation of an
electronic object through scanning (OCR), or a
summary (profile) of the non-electronic
information that is manually entered into the
automated system.
This document/records/information life cycle
management is done to facilitate compliance with
the existing legislative and policy framework for
the federal government.
Automated systems of this type normally allow
for the integration of records and document
management, imaging, and optical character
recognition (OCR). Other features include the
ability to search the information repositories for
any word or string of words (full-text index
searching and retrieval) and reporting
capabilities. The automated system may also be
electronically integrated with the institution’s
correspondence tracking system that is used to
manage the tracking of incoming
correspondence to ensure that responses about
departmental policies, programs, initiatives and
issues are prepared in a consistent and timeefficient manner.
Topics: The records related to Automated
Document, Records and Information
Management Systems may contain information
about the institution’s functional requirements,
system specifications, the Treasury Board
shared systems initiative, training information,
procedures for the use of the system,
implementation plans, maintenance procedures,
migration strategies, technical support
mechanisms, etc.
Program Record Number: PRN 929
Business Continuity Plans (BCP)
Description: In compliance with the 2004
Operational Security Standard - Business
Continuity Planning (BCP) Program, institutions
must establish a Business Continuity Planning
(BCP) Program. This program provides for the
continued availability of services and associated
assets that are critical to the health, safety,
security or economic well-being of Canadians or
the effective functioning of government.
The BCP Program complements emergency
preparedness that is mandated by legislation or
government policy (e.g. fire and building
evacuation plans; civil emergency plans). It also
supports planning that is necessary to restore
other-than-critical services and their associated
assets and resources; departments should use
this program to incorporate their planning for
other-than-critical services.
The types of incidences for which the BCP may
be initiated may vary from a minor incident, such
as a building-specific power outage or an
equipment or system failure, to one of provincial
or national proportions. The BCP outlines and
coordinates: the efforts of institutional staff; and
the implementation of advance arrangements
and procedures to ensure that the institution can
continue or restart critical business operations
within a reasonable timeframe.
Topics: The records related to Business
Continuity Plans (BCP) may contain information
about: Recovery plans; network and/or data
backup procedures; emergency and recovery
resources; service level agreements (including
Memorandums of Understanding with other
federal institutions); time-sensitive business
functions; recovery or emergency response
team members; essential records; plan
escalation procedures; notification procedures
for emergency response teams, institutional
staff, Minister’s staff, federal, provincial and
municipal bodies; plan activation procedures;
Command, Control and Emergency Centre
Operations; Delegation/Designation of Authority;
detailed business resumption, recovery and
restoration procedures; software tools to create,
and maintain the BCP; media handling
procedures; etc..
Program Record Number: PRN 928
Budgets
Description: Budgets generally; estimates and
supplementary estimates; and program
forecasts.
Program Record Number: PRN 917
Buildings
Description: Buildings generally; acquisition;
alterations and repairs; construction; contracts;
damages; disposal; fire and fire prevention; and
maintenance.
Program Record Number: PRN 906
Buildings and Properties
Description: Buildings and properties generally;
accommodation; accounting and inventories;
planning and requirements; reports and
statistics.
Program Record Number: PRN 905
Classification of Positions
Description: Classification generally; audits;
category and group; individual positions; and
43
standards.
Program Record Number: PRN 919
Co-operation and Liaison
Description: Co-operation and liaison generally
and at the federal, international, provincial,
university, college and school levels.
Program Record Number: PRN 904
Employment and Staffing
Description: Employment and staffing generally;
applications; casual and term employees;
competitions; programs recruitment; requests for
staffing action; and summer students.
Program Record Number: PRN 920
Equipment and Supplies
Description: Equipment and supplies generally;
accountability and inventories; catalogues;
clothing; disposal and surplus; food; forms; fuels;
laboratory; loans; maintenance and repairs; price
lists and stationery.
Program Record Number: PRN 909
Finance
Description: Finance generally; agreements and
arrangements; allotments and transfers;
allowances; banks and banking; cheques;
claims; contracts; currency; encumbrances;
expenditures; fees; funds; revolving funds and
working capital advances; grants; signing
authorities; taxes and travel allowances; and
expenses.
Program Record Number: PRN 914
Furniture and Furnishings
Description: Furniture and furnishings generally;
beds and bedding; chesterfields and sofas;
drapes; filing cabinets; household and office
furniture and furnishings; and pictures.
Program Record Number: PRN 910
Hospitality
Description: Hospitality is the provision of a
reception, meal or entertainment to guests of
government institutions, including social events
or ceremonies in accordance with established
policies and guidelines. Records related to
hospitality events may contain information about
the circumstances of the function, including any
event requiring special authority; the form of
hospitality; cost; location; number of attendees
listed by category, i.e. guests, government
employees; and approvals by the appropriate
delegated officials.
Topics: The records may contain information
about the function nature and scope, function
type, i.e. dinner, reception, etc.; function location,
i.e. private residence, restaurant, conference;
financial limitations, who provided services
related to the function, hospitality event
protocols, etc. The records may also contain
information about Hospitality Policies and
Guidelines, financial signing authorities, the
publication of hospitality information posted online, etc.
Program Record Number: PRN 933
Human Resources
Description: Human resources generally; career
management; inventories; performance
appraisal; reports and statistics; requirements
and utilization.
Program Record Number: PRN 921
Information Technology Services
Description: This includes records related to the
computer equipment and associated software for
both institutional computer networks and
employees workstations, electronic systems
development and maintenance, technical
assistant and support for networks, office
systems and databases. May also include
material related to the institution’s technology
architecture, standards and infrastructure;
electronic mail systems and platforms, software
and hardware acquisition, the annual planning
process for the development of computer
systems; and the business case process for
application development and system
acquisitions.
Topics: Includes material related to network
systems, hardware and/or software – including
peripheral equipment, i.e. printers, Personal
Digital Assistants (PDA), Wireless Handholds,
system user manuals or guides, change
management processes, IT training courses,
personal computer or desktop support (Help
Centre), computer maintenance, etc.
Program Record Number: PRN 932
Lands
Description: Lands - general; acquisition;
concessions; development; disposal; fencing;
flood control; landscaping parking areas; roads;
streets and sidewalks.
Program Record Number: PRN 907
Occupational Health, Safety and Welfare
Description: Occupational health, safety and
welfare generally; counselling; health units;
medical examinations; nursing services;
44
recreation and sports; and surveys.
Program Record Number: PRN 922
Office Appliances
Description: Office appliances generally;
calculators; data processing hardware;
duplicating equipment; photographic and
microfilming equipment; recorders and
typewriters.
Program Record Number: PRN 911
Official Languages
Description: Official languages generally;
identification and designation of bilingual
positions; language requirements program;
recruitment; and replacements.
Program Record Number: PRN 923
Pensions and Insurance
Description: Pensions and insurance generally;
superannuation plans; Canada Pension Plan;
Quebec Pension Plan; reciprocal agreements;
federal, provincial and private hospital and
medical insurance plans; death benefit plan;
disability insurance and unemployment insurance
plan.
Program Record Number: PRN 924
Personnel
Description: Personnel - general; accidents and
injuries; appointments; attendance; awards and
honours; Corps of Commissionaires; positions
and levels; hours of work and overtime; leave
and holidays; promotions and reclassifications;
regulations and directives; reports and statistics;
retirements; and separations.
Program Record Number: PRN 918
Physical Security
Description: In accordance with the Physical
Security Standard issued under the Government
Security Policy, federal institutions are
responsible for the establishment and
maintenance of appropriate measures (physical,
procedural and psychological) to prevent, detect
and respond to unauthorized access and other
threats. Related to this is the establishment and
use of detection devices and methods to identify
attempted or actual unauthorized access as well
as procedures and tools to activate effective and
appropriate responses.
Topics: Includes material related to physical
security design; physical safeguards, monitoring
devices, security access procedures and tools
(pass/identity cards), access to restricted zones;
storage, transportation and transmittal of
information and goods; destruction of information
and goods; and the protection of personnel and
the public at large.
Program Record Number: PRN 931
Proactive Disclosure
Description: These records include information
about the mandatory publication on institutional
web sites of specifically identified government
information. The purpose of making these
specific information elements available on the
Internet is to promote transparency, facilitate
public access, and provide relevant and timely
information so that Canadians are better able to
hold their Government and public sector officials
to account. The intent of the proactive disclosure
initiative is to ensure that this information is
provided in a consistent manner across
government and that information is regularly
updated according to established timeframes
and guidelines.
Federal institutions are required to update
information identified for the purpose of proactive disclosure every three months and post it
on-line within 30 days of the end of each period.
Topics: These records include information
related to tools and guidance from the Treasury
Board Secretariat (TBS) and other lead agencies
about proactive disclosure; the maintenance of
web sites related to proactive disclosure; etc.
Program Record Number: PRN 935
Procurement
Description: Procurement generally; contracts;
local purchase orders; procedures and
regulations; requisitions; standing offer
agreements.
Program Record Number: PRN 912
Relocation
Description: These records are used to
document and administer the relocation of
individuals and their families.
Topics: Includes material related to employee
entitlements and obligations, employer
obligations, third party service providers,
relocation claims, etc. May also include
information about rental accommodations; travel
to new locations; searching for new
accommodation, i.e. house hunting; hotel/motel
accommodation; copies of departmental policies
and procedures pertaining to relocation; moving
and storage company information; etc.
Program Record Number: PRN 936
45
Salaries and Wages
Description: Salaries and wages generally;
acting pay; deductions; pay rates; pay system;
performance and senior merit pay; regulations;
salary revisions; and severance pay.
Program Record Number: PRN 925
Staff Relations
Description: Staff relations generally;
adjudication; bargaining agents; collective
agreements and interpretations; discipline;
grievances; managerial and confidential
exclusions; and union relations.
Program Record Number: PRN 926
Training and Development
Description: Training and development
generally; attendance; course content; course
evaluations; individual courses; language
training; nominations; plans; schedules and
directives; and types of courses.
Program Record Number: PRN 927
Travel
Description: These records are used to
document and manage the travel activities of
individuals who travel in support of their
institution’s mandate. These records may also
include information related to the proactive
disclosure of relevant travel expenses as
specified in the Guidance Document: Proactive
Disclosure of Travel and Hospitality Expenses
issued by the Treasury Board Secretariat.
Topics: Includes material related to travel
allowances, or per diem rates, travel expense
claims, hotel directories, airline directories, etc.
May also include copies of institutional policies
and procedures pertaining to travel including the
employee entitlements and obligations, employer
obligations, payment for official institutional
travel; etc.
Program Record Number: PRN 934
Utilities
Description: Utilities - general; air conditioning;
electric power; water and sewage; garbage
disposal; gas and oil; heating; lighting; plumbing
and ventilation.
Program Record Number: PRN 908
Vehicles
Description: Vehicles generally; air, land and
water vehicles; insurance; maintenance and
repairs; operating standards; registration and
licences.
Program Record Number: PRN 913
46
Index of Main Book Standard Personal Information Banks
Bank Number
Title of Bank
PSU 901
Access to Information and Privacy Requests
PSU 902
Executive Correspondence Management Systems
PSU 903
Business Continuity Planning (BCP)
PSU 904
Automated Document, Records, Information Management
Systems
PSU 905
Electronic Network Monitoring Logs
PSU 906
Internal Disclosure of Wrongdoing in the Workplace
PSU 907
Security Video Surveillance and Temporary Visitor Access Control
Logs and Building Passes
PSU 908
Hospitality
PSU 909
Travel
PSU 910
Relocation
47
Main Book Standard Personal Information Bank Descriptions
Standard Personal Information Bank (PIBs) descriptions have been developed to describe
personal information that may be found in types of records commonly maintained by federal
institutions. These records document internal administrative functions, systems and
procedures that are common to or shared by all federal government institutions.
These information banks are identified with the unique identifier “PSU” as part of the bank
number contained within the PIB.
Retention and Disposal Standards for Standard PIBs:
The following Retention and Disposal Standards statement applies to all Standard PIBs unless
otherwise noted within a specific PIB.
• The records containing the personal information described in the standard banks may be
retained for different periods of time as decided by each government institution, unless
otherwise specified.
• At a minimum, personal information used for an administrative purpose must be retained for at
least two years unless the individual consents to its earlier disposal. Any disposal of such
records must be in accordance with Records Disposition Authorities issued by the Librarian and
Archivist of Canada.
•
The Privacy Act defines administrative purpose to mean the use of that information in a
decision making process that directly affects an individual.
• For the specific amount of time that different types of common administrative documents are
retained by a given government institution, please contact that institution’s ATIP Co-ordinator.
Access to Information and Privacy Requests
Description: The records containing the
information described in this bank include
requests made by individuals to obtain access to
information under the control of the institution in
accordance with the Access to Information Act
and/or the Privacy Act, the replies to such
requests, and information related to their
processing. These records may include requests
for correction of personal information; informal
requests; records related to complaints,
investigations and requests for judicial review;
consultations received from other institutions;
and requests for advice received from
institutional officials that raise privacy or access
to information concerns. Personal information
may include the name of the requester, mailing
address, telephone and facsimile numbers, email address and other processing information
related to the request, as well as personal
information contained in institutional records that
are relevant to the request.
Note: Personal information contained in
institutional records relevant to the request is not
used for administrative purposes.
Class of Individuals: Individuals who exercised
their rights under the Access to Information Act
and/or the Privacy Act, including individuals who
made informal requests to obtain information
under the control of the institution.
Purpose: The information described by this bank
is used to administer the Access to Information
Act and/or the Privacy Act as well as processing
and responding to informal requests. This
information may also be used during
consultations with other government institutions,
during investigations by the Offices of the
Information and Privacy Commissioners and
during court reviews. Aggregate information
(does not identify individuals) is used to report to
Parliament on the administration of the Acts.
Consistent Uses: Non-personal information may
be used to provide reports on ATIP activities to
management and to the Treasury Board
Secretariat and other institutions, i.e. through
CAIRS. The information may also be used for
research, planning, audit and evaluation
purposes.
Retention and Disposal Standards: For the
specific amount of time that different types of
common administrative documents are retained
by a given government institution, please contact
48
that institution’s ATIP Coordinator.
RDA Number: 98/001
Related PR#: PRN 930
Bank Number: PSU 901
Automated Document, Records, Information
Management Systems
Description: The automated system described
by this bank is used to capture and manage
documents, records (including email) and
information received and/or created by the
institution in support of the institution’s functions
and activities. Documents and email received by
the institution may be entered into the automated
system in an electronic format or summarized
(profiled) and entered manually into the system.
Class of Individuals: Any individual about
whom the institution may collect information in
support of a function, program or activity.
All employees of an institution, including
contractors, agency employees and students, as
well as any individual corresponding with the
institution.
Purpose: This type of an automated system is
used to manage the life cycle of the institution’s
document, records and information collections,
as well as facilitating access thereto. The
automated system is used to ensure the
information is available to support the operations
of the institution, and then disposed of
appropriately. The automated system also makes
searching and retrieving information from the
institution’s information collections faster and
easier.
Consistent Uses: The information may be used
in an aggregate format to report on system use,
growth of the information collection, etc. The
automated system may also be electronically
integrated with the institution’s correspondence
tracking system that is used to manage the
tracking of incoming correspondence to ensure
that responses about departmental policies,
programs, initiatives and issues are prepared in
a consistent and time-efficient manner. The
information may also be used for research,
planning, audit and evaluation purposes.
Retention and Disposal Standards: For the
specific amount of time that different types of
common administrative documents are retained
by a given government institution, please contact
that institution’s ATIP Co-ordinator.
RDA Number: 98/001
Related PR#: PRN 929
Bank Number: PSU 904
Business Continuity Planning (BCP)
Description: The information described by this
bank includes personal information that is
contained in institutional Business Continuity
Plans (BCP). A BCP is established by a federal
institution to provide for the continued availability
of services and associated assets that are critical
to the health, safety, security or economic wellbeing of Canadians, or the effective functioning
of government.
The personal information contained within a BCP
may include the names, home addresses, home
telephone, pager and cellular phone numbers of
employees and officers who are part of the
institution’s BCP response team, as well as
similar emergency contact information for
Ministers, exempt staff, senior officials. Also
included are the names, emergency contact
numbers (including cellular phone and pager
numbers) of disaster response and/or recovery
vendors and other service providers, in addition
to federal, provincial and municipal officials who
may have to be contacted to assist the institution
as the result of an emergency situation.
Class of Individuals: Employees and officers
who are members of the institution’s response
team, as well as Ministers, exempt staff, senior
institutional officials and emergency response
officials and recovery vendors/service providers.
Purpose: The purpose of the collection and use
of the personal information described in this
Bank is to ensure that the institution can contact
appropriate and responsible individuals to
respond in the event of an interruption in normal
business operations.
Consistent Uses: Personal information
described in this Bank may be shared with other
federal institutions, police, fire and other
emergency response agencies on an “as
required” basis. Non-personal information may
be used to provide reports to senior
management about the execution of institutional
Business Continuity Plans. This information may
also be used for research, planning, audit and
evaluation purposes.
Retention and Disposal Standards: For the
specific amount of time that different types of
common administrative documents are retained
by a given government institution, please contact
that institution’s ATIP Coordinator.
RDA Number: 98/001
Related PR#: PRN 928
Bank Number: PSU 903
Electronic Network Monitoring Logs
Description: The records containing the
information described in this bank relate to the use
by individuals of federal government electronic
networks. Logs containing details of network use
by individuals are compiled and are reviewed by
appropriate officials of the institution when there is
49
suspected misuse of a federal government
electronic network, as defined by institutional
policies or the Treasury Board Policy on the Use
of Electronic Networks. Examples of information
that may be in the records include network logs
that may link an employee’s workstation to an IP
address, listings of sites visited and information on
any transactions conducted, including date, time,
duration and nature of the visit or transaction. The
records may also include information on the use of
authorization codes assigned to particular
individuals, including successful or unsuccessful
use of the codes, date, time and frequency.
Class of Individuals: Employees of the
institution and other individuals using federal
government electronic networks, including
student employees, contract staff and agency
personnel. Members of the public, Ministerial
staff, Members of Parliament that send e-mail to
the institution or to specific individuals within the
institution.
Purpose: The information contained in the
records is compiled to support the investigation
of suspected or alleged misuse, or deliberate
impairment of government electronic networks by
persons employed by the institution or by other
individuals from outside the institution.
Consistent Uses: The information may be used
to substantiate any disciplinary action taken
where violation of institutional policies or the
Treasury Board Policy on the Use of Electronic
Networks is determined. If an internal
investigation determines that criminal actions
may have taken place, the information may be
shared with appropriate police authorities. This
information may be used to provide reports to
management. The information may also be used
for research, planning, audit and evaluation
purposes.
Retention and Disposal Standards: For the
specific amount of time that different types of
common administrative documents are retained
by a given government institution, please contact
that institution’s ATIP Co-ordinator.
RDA Number: 98/001
Related PR#: PRN 932
Bank Number: PSU 905
Employee Assistance
Description: The records containing the
information described in this bank are treated in
a confidential fashion that is relative to an
employee’s involvement in an Employee
Assistance Program (EAP). These records may
include notice of voluntary or mandatory
(supervisory workperformance related) referral;
records of reference to, or reports and
correspondence from a health professional or
rehabilitation agency; and only nonmedical
interpretations concerning an employee’s work
capability or limitations. All personal medical data
shall be maintained in a medical protected status
under the control of the Workplace Heath and
Public Safety Program within Health Canada.
Records relating to work performance
deficiencies, absenteeism and disciplinary
matters are to be held in the appropriate
institutional record (with its related personal
information bank) and not held with EAP files.
Class of Individuals: Individuals (Employees,
contractors, volunteers and family members,
etc.) who seek and/or receive services under the
federal Employee Assistance Program
Purpose: The purpose of these records are to
document information necessary for the
administration of the Employee Assistance
Program. To determine the need for employee
assistance counselling, referrals for medical
evaluations and participation in rehabilitation
programs.
Consistent Uses: To support decisions
regarding employee assistance measures.
Retention and Disposal Standards: For the
specific amount of time that different types of
common administrative documents are retained
by a given government institution, please contact
that institution’s ATIP Co-ordinator.
RDA Number: 98/005
Related PR#: PRN 921
Bank Number: PSE 916
Executive Correspondence Management
Systems
Description: The records containing the
information described in this bank include
general correspondence to the Minister or
Secretary of State, their Staff and other senior
executives within the institution. Records used in
preparation of responses to incoming
correspondence may also contain personal
information about individuals that is sometimes
provided by institutional officials to address
issues and concerns raised in the incoming
correspondence. Personal information may
include the name of the correspondent, mailing
address, telephone and facsimile numbers, email address and other personal information that
may be included by the originator and/or
respondent within the content of the
correspondence.
Class of Individuals: General public, Members
of Parliament, and officials representing other
levels of government or international
governments and agencies, external
organizations and/or businesses.
Purpose: To manage, in a consistent and time-
50
efficient manner, the receipt of, and responses
to, correspondence or inquiries received from
outside the institution that require replies from
senior executives of the institution.
Consistent Uses: Incoming correspondence
may be forwarded to other federal or provincial
institutions for a full or partial response if it is
determined by the receiving institution that the
issue(s) contained within the correspondence fall
under the jurisdiction of, and should be
addressed by, the other institution(s). In some
cases, incoming correspondence and the
response may be copied to another federal or
provincial institution where the correspondence
impacts on their roles and responsibilities. The
information may be used in an aggregate format
to report on system use, growth of the
information collection, etc. The Executive
Correspondence Management System may be
integrated with the institution’s Automated
Document, Records and Information
Management System (see Standard Personal
Information Bank Number PSU 929 for more
details).
Retention and Disposal Standards: For the
specific amount of time that different types of
common administrative documents are retained
by a given government institution, please contact
that institution’s ATIP Co-ordinator.
RDA Number: 98/001
Related PR#: PRN 903
Bank Number: PSU 902
Hospitality
Description: This information is collected to
document hospitality-related activities and the
circumstances in which they are incurred. The
personal information collected may include the
name and job title of government employees as
well as the name and title of guests of the
government (e.g. individuals from other
governments, the private sector, etc). It may also
include the names of their spouses or
accompanying companions; and the name of the
establishment where the hospitality function
occurred and/or the name of caterer.
Class of Individuals: Deputy Ministers,
Associate Deputy Ministers, Assistant Deputy
Ministers, and their equivalents, including those
individuals who incur hospitality expenses while
acting in these positions, and their spouses or
accompanying companions. May also include
Ministers, Ministers of State, Parliamentary
Secretaries, and their office staff (also known as
political or exempt staff because they are outside
of the official Public Service) as well as Members
of Parliament representing a Minister or Minister
of State for official business purposes.
Purpose: Hospitality information is maintained to
ensure that the provision of hospitality functions
are done appropriately.
Proactive disclosure on government websites of
hospitality expense-related information promotes
transparency, facilitates public access to
government information, and provides relevant
and timely information to Canadians. The
specific elements that may be made available
are: Hospitality activity description and date,
attendees, location and total amount.
Consistent Uses: This information may be used
to provide reports on hospitality-related
expenses to management. The information may
also be used for research, planning, budget,
audit and evaluation purposes.
Retention and Disposal Standards: For the
specific amount of time that different types of
common administrative documents are retained
by a given government institution, please contact
that institution’s ATIP Coordinator.
RDA Number: 99/004
Related PR#: PRN 933 and PRN 935
Bank Number: PSU 908
Internal Disclosure of Wrongdoing in the
Workplace
Description: The records containing the
personal information described by this bank
include general inquiries, advice, as well as
formal and informal complaints of wrongdoing.
Personal information may include the date and
nature of the alleged wrongdoing, name of the
individual alleged to have committed the
wrongdoing and other pertinent information
including name of individual(s) reporting or
impacted as a result of the alleged wrongdoing,
records of interviews, investigations and
analyses of events and records of decision
taken.
Class of Individuals: Employees reporting to all
departments and organizations of the Public
Service listed in Part I, Schedule I, of the Public
Service Staff Relations Act. Any individual
reporting an alleged wrongdoing or about whom
the institution may collect information in support
of a function, program or activity and who may
be impacted upon as a result of the investigation
of an alleged wrongdoing.
Purpose: This information is collected to
investigate and resolve complaints submitted in
accordance with the Policy on the Internal
Disclosure of Information Concerning
Wrongdoing in the Workplace. In well-founded
cases, personal information may be used to
determine appropriate remedial action, including
administrative, disciplinary or legal action.
Information is also used to develop an annual
51
report that provides statistics, issues, challenges
and recommendations for the deputy head of the
institution.
Consistent Uses: The information may also be
used for research, planning, audit and evaluation
purposes.
Retention and Disposal Standards: For the
specific amount of time that different types of
common administrative documents are retained
by a given government institution, please contact
that institution’s ATIP Co-ordinator.
RDA Number: 98/005
Related PR#: PRN 921
Bank Number: PSU 906
Relocation
Description: This information is used to
document the processes involved in the
relocation of employees and their families. The
personal information collected includes the
individuals’ name and job title, organization
name, work telephone, work address, job
classification and level, Personal Record
Identifier (PRI), name of delegated departmental
officer or manager, signatures, name of spouse
or common-law partner, names of children and/or
extended family members, special medical
needs that may need to be accommodated,
monthly statement of credit card expenses,
personal declarations of expenses when receipts
are not obtainable or have been inadvertently
destroyed, mortgage or rental cost information,
legal fees and real estate fees.
Class of Individuals: Employees who relocate
and their spouses or common-law partners, their
children and/or extended family members. Also
includes individuals representing third party
suppliers, such as moving and storage
companies.
Purpose: The purpose of this information is to
document and administer the relocation of
individuals and their family members. This
includes information related to relocation
planning, the selection of new accommodations,
the shipment of personal and household effects,
move authorizations and claims.
Consistent Uses: Non-personal information may
be used to provide reports on employee
relocations to management. The information may
also be used for research, planning, audit and
evaluation purposes.
Retention and Disposal Standards: For the
specific amount of time that different types of
common administrative documents are retained
by a given government institution, please contact
that institution’s ATIP Coordinator.
RDA Number: 98/001 and 99/004
Related PR#: PRN 936
Bank Number: PSU 910
Security Video Surveillance and Temporary
Visitor Access Control Logs and Building
Passes
Description: This information relates to video
surveillance recordings generated by closed
circuit television (CCTV) cameras located on the
perimeters of, or within institutionally operated
buildings and facilities. Additionally, in support of
employee and visitor access control, the records
related to these subjects contain the actual
access logs/registers used to issue temporary
employee passes and temporary visitor passes.
Personal information collected may include
recorded visual images, data logs, signatures,
surnames, given names, telephone numbers,
temporary pass control numbers and visitor
company/organization information related to the
issuance of temporary visitor passes.
Class of Individuals: Employees, and those on
assignment or contract and visitors who require
access to a federal institution or any other
person within proximity of video surveillance
recording capabilities.
Purpose: This information is used to enhance
the security of government facilities and of
individuals and assets present in such facilities.
Video surveillance is sometimes conducted in
real time or recordings can be used to
investigate past occurrences, security incidents
or emergency situations. Access logs/registers,
temporary passes and any other records related
to employee and visitor access control may also
be used to monitor or investigate current or past
security incidents.
Consistent Uses: To assist security officials in
the monitoring of activities and/or the issuance of
temporary access passes. Additionally, records
and recordings may record entry and exit times
from facilities and may be used in the event of
security-related incidents such as thefts or
emergency situations. In such cases, this
information may be shared with appropriate law
enforcement agencies and emergency workers.
Video information that reveals evidence of illegal
activity, employee misconduct or accidents may
be disclosed to appropriate staff relations,
enforcement or investigative bodies for further
investigations, charges or disciplinary actions.
Retention and Disposal Standards: For the
specific amount of time that different types of
common administrative documents are retained
by a given government institution, please contact
that institution’s ATIP Co-ordinator.
52
RDA Number: 98/001
Related PR#: PRN 931
Bank Number: PSU 907
Travel
Description: This information is used to
document travel activities and expenses related
to official institutional business. The personal
information collected includes the individuals’
name and job title, organization name, work
telephone, work address, job classification and
level, Personal Record Identifier (PRI), name of
delegated departmental officer or manager,
signatures, name of spouse or common-law
partner, name of children, monthly expense
statements, personal declarations of expenses
when receipts are not obtainable or have been
inadvertently destroyed.
Class of Individuals: Employees and travellers
(including term or casual employees, temporary
agency staff, volunteers, students, consultants
and contractors, and witnesses) ,who travel on
behalf of an institution and their spouses or
common-law partners and/or dependants. This
includes Deputy Ministers, Associate Deputy
Ministers, Assistant Deputy Ministers, and their
equivalents, including those individuals who travel
while acting in these positions, and their spouses
and/or dependents. May also include Ministers,
Ministers of State, Parliamentary Secretaries, and
their office staff (also known as political or
exempt staff because they are outside of the
official Public Service) as well as Members of
Parliament representing a Minister or Minister of
State or accompanying them as a guest for
official business purposes.
Purpose: The purpose of this information is to
document and administer the travel of individuals
in support of the institution’s mandate. This
includes information related to employee
entitlements and obligations, travel advances and
related claims. Proactive disclosure on
government websites of travel expense-related
information promotes transparency, facilitates
public access to government information, and
provides relevant and timely information to
Canadians. The specific elements that may be
made available are: the purpose of travel; date(s)
and destination(s); air fare and other
transportation costs; accommodation, meals and
incidentals; other expenses (all other expenses
incurred that are not reflected in the information
fields above, such as cost of a special passport,
visas, and associated photos, calls to the office or
home, dependant care where applicable, etc.);
and the total amount.
Consistent Uses: This information may be used
to provide reports on travel activities and costs to
management. The information may also be used
for research, planning, budget, audit and
evaluation purposes.
Retention and Disposal Standards: For the
specific amount of time that different types of
common administrative documents are retained
by a given government institution, please contact
that institution’s ATIP Coordinator.
RDA Number: 98/001 and 99/004
Related PR#: PRN 934
Bank Number: PSU 909
Agriculture and Agri-Food Canada
53
Agriculture and Agri-Food Canada
Chapter 1
General Information
Background
feed, fertilizers and pesticides; and assists farmers
through measures such as production insurance. It
also supervises racetrack betting.
AAFC is implementing a comprehensive national
Agricultural Policy Framework with the goal of
making Canada a world leader in Food Safety and
Quality, Innovation and Environmentally
Sustainable Production. To effectively deliver this
program, the department now has a team-based
governance. This new direction is a responsive
and comprehensive approach to the risks facing
the agriculture and agri-food business.
The Department of Agriculture was established in
1867, the year of Confederation, by an act of
Parliament. The formation of the Experimental
Farms System followed in 1886 and a Dairy
Commissioner was appointed in 1890. The aim of
Agriculture and Agri-Food Canada today is to
promote the development, adaptation, and
competitiveness of the agriculture and agri-food
sector in a manner that respects the environment
and contributes to the best quality of life for all
Canadians. It helps the sector maximize its
contribution to Canada’s economic, social and
environmental objectives, which are to provide for
the needs of Canadian consumers and export
markets in a manner which ensures a dependable
supply of safe, nutritious food at reasonable prices;
to ensure equitable returns to producers,
processors and marketers; and to meet Canadian
food and technological aid commitments to
international development. The Minister of
Agriculture and Agri-Food, the Department and
portfolio agencies administer 22 acts concerning
food and agriculture industries. The activities of the
Department extend from the farmer to the
consumer, through all phases of production,
processing and marketing of agriculture and agrifood food products. The Department also assists
farmers through crop insurance, margin
stabilization and agricultural adjustment programs
to alleviate losses caused by the weather,
changing markets and other hazards.
Legislation
Responsibilities
• Agricultural Marketing Programs Act
The mandate of Agriculture and Agri-Food Canada
(AAFC) is to provide information, research and
technology and policies and programs that achieve
security of the food system, health of the
environment and innovation for growth. The
Department’s responsibilities embrace most
aspects of the agricultural industry. It carries out
research into the physical and economic problems
of agriculture; assists with market and export
development; and carries out programs aimed at
environmentally sustainable resource use. The
Department enforces laws governing the sales of
Horizontal teams are comprised of policy, science
researchers, support staff, and others in order to
get the best possible results, reflecting the
Department’s priority areas (Business Risk
Management, Food Safety and Quality,
Environment, Science and Innovation, Renewal,
and International Issues). In order to sustain our
ability to deliver our business priorities, seven
enabling teams have also been established to
support the horizontal teams.
The strategic outcomes of the Agricultural Policy
Framework is to make Canada the world leader in:
producing, processing and distributing safe and
reliable food to meet the needs and preferences of
consumers; in using environmental resources in a
manner that ensures their quality and availability
for present and future generations; and in
innovation to develop food and other related
agricultural products and services that capture
opportunities in diversified domestic and global
markets.
• Agricultural Products Marketing Act
• Agriculture and Agri-Food Administrative
Monetary Penalties Act
• Animal Pedigree Act
• Criminal Code, Section 204 (Minister of Justice
and Attorney General of Canada)
• Department of Agriculture and Agri-Food Act
54
• Department of Foreign Affairs and International
Trade Act, paragraph 10(2)(e) (Minister of
Foreign Affairs)
• Experimental Farm Stations Act
• Farm Credit Corporation Act
• Farm Debt Mediation Act
• Farm Income Protection Act
• Plant Breeders’ Rights Act
• Prairie Farm Rehabilitation Act
Agriculture and Agri-Food Canada
International Issues Team
The International Issues Team’s mission is to
achieve increased recognition, at home and
abroad, of the Canadian industry’s world-leading
capacity in meeting the demands of a rapidly
changing and highly segmented global market, to
promote Canada’s advantages as an investment
location, and to expand Canadian industry’s
access to foreign markets in order to maximize the
benefits realized from Canada’s reputation, and to
enhance science cooperation in support of new
and expanded markets.
• Western Grain Transition Payments Act
Organization
Horizontal Teams
Business Risk Management Team
The Business Risk Management Team is
committed to improving the producer’s capacity to
manage risk, and increasing the sector’s viability
and profitability through the development of an
integrated business risk management framework.
Environment Team
The Environment Team is responsible for
encouraging and supporting the adoption of
beneficial management practices on farms across
Canada based on sound science. The
Environment Team develops programs and
policies that help minimize the adverse impacts, as
well as enhance the benefits that agriculture can
have on the environment (i.e. soil, water, air,
biodiversity), and establishes procedures with
which to monitor improvements in the sector’s
agri-environmental performance.
Food Safety & Quality Team
The Food Safety & Quality Team is responsible for
minimizing the risk and impact of food-borne
hazards on human health, increasing consumer
confidence and improving the sector’s ability to
meet or exceed market requirements for food
products.
Innovation
The Innovation Team’s mission is to improve the
on-going competitiveness of the Canadian food
and agriculture sector through the development
and transfer of innovative technologies. The Team
provides the agri-food sector with access to new
production systems, bio-products and strategies to
seize opportunities and manage change.
Enabling Teams
Asset Management Team
The Asset Management Team is responsible for
the planning, acquisition, maintenance and
disposal of the Department’s fixed and moveable
assets; this includes policy development,
contracting for goods and services, major capital
planning and construction, fleet management, and
accommodations. This team also delivers financial
and human resources services in research centres
in conjunction with Human Resources and Finance
teams.
Communications & Consultations Team
The Communications and Consultations Team
(CCT), in accordance with the Communications
Policy of the Government of Canada, manages
Agriculture and Agri-Food Canada’s advertising,
publishing, consultations and public opinion
research, internal communications, media relations
activities, and corporate and rural exhibit
programs. The team is also responsible for
managing and developing the Department’s
corporate and internal Web sites.
CCT provides planning and strategic advice on
communicating departmental priorities, policy
development, and program planning and
implementation, as well as the coordination,
production and distribution of speeches, news
releases, publications and multimedia materials.
Through strategic and inclusive consultations, and
by targeting audiences in the general public and
among commodity/special interest groups, CCT
helps the Department understand its stakeholders
and clients as well as the public environment.
To that end, the Team develops awareness
initiatives that aim to promote a better public
understanding of the Agricultural Policy Framework
and the agriculture and agri-food sector.
Agriculture and Agri-Food Canada
Finance Team
The Finance Team supports the sound
stewardship of departmental resources and
informed decision-making by management through
the provision of timely, robust and relevant
financial information, advice, services and policies.
The team is responsible for overseeing the
departmental resource management process
including establishing budgets, conducting
variance analysis and forecasts and
recommending corrective action as required. Key
financial reports in this regard include the monthly
Financial Situation Report, Public Accounts,
Financial Statements, the Report on Plans and
Priorities and the Departmental Performance
Report. The Finance Team is the primary point of
contact with the Treasury Board and PCO on all
Treasury Board submissions and requests for
Orders in Council which together provide the
department the requisite authorities and funding to
implement departmental priorities. The Finance
Team also offers a wide array of financial services
principally in the domain of accounts payable/
receivable transaction processing. Accountable for
the integrity of the department’s financial controls,
the Finance Team continuously monitors financial
expenditures to ensure compliance with all
applicable central agency policies and directives.
Human Resources Team
The Human Resources Team is responsible for the
planning, management and development of
Agriculture and Agri-food Canada’s human
resources. They provide Human Resources
management policies, programs and services that
support working horizontally and achieve the
objectives of the Agricultural Policy Framework
and departmental business results.
Information Systems Team
The Information Systems Team assists the
Department in achieving its objectives by providing
expertise and support on technological tools,
electronic document management systems, portal
technology, knowledge management strategies,
information technology strategies, web content
management, and business intelligence tools.
Policy & Planning Team
The Policy & Planning Team supports integrated
policy development through strategic planning,
policy development on cross-cutting issues,
liaison, and research. It also establishes the
framework for departmental strategic management
55
and leads the planning, performance measurement
and management policy development.
Program Delivery Team
The Program Delivery Team ensures efficient and
effective client-focussed program delivery through
the design and implementation of a full range of
national programs and services in support of the
agriculture and agri-food sector and rural
communities.
Corporate Offices
Audit & Evaluation Team
The Audit & Evaluation Team provides the
Departmental Audit and Evaluation Team (DAET)
with independent assurance, information and
advice on the effectiveness, efficiency and
economy of programs, policies and operations.
Canadian Pari-Mutuel Agency
Canadian Pari-Mutuel Agency has a responsibility
to protect the wagering public against fraudulent
practices and to help maintain a viable racing
industry in Canada. The Canadian Pari-Mutuel
Agency is also responsible for providing daily
auditing of all betting activities; for providing
expertise, and conducting research in the areas of
photo-finish, video race patrols, pari-mutuel
systems and equine drug control. The agency also
ensures 99.9 per cent accuracy in all betting
transactions; provides efficient and effective parimutuel supervision within the resource level of the
federal levy and provides and promotes services
that contribute to the positive image of racing.
Executive Offices
The Executive Offices are responsible for the
correspondence, briefing and activity scheduling
systems for the Minister, the Deputy Minister and
the Associate Deputy Minister for tracking and
reporting on major current issues of concern to the
Department, for Parliamentary Relations, and for
providing secretariat services to the Executive
Council, and the Operations Committee of the
Department and the Departmental Audit and
Evaluation Team.
Legal Services Team
The Legal Services Team provides legal
information and advice on the development and
implementation of Departmental programs, policies
and operations. The Legal Services team is made
up of lawyers employed by the Department of
Justice and support staff employed by AAFC.
56
Prairie Farm Rehabilitation Administration
(PFRA)
The Prairie Farm Rehabilitation Administration
(PFRA) works with people on the prairies to
develop a viable agricultural industry and
sustainable rural economy. In partnership with
other levels of government, farm groups,
producers and industry, PFRA protects Prairie
soils, develops and conserves the area’s water
resources, and encourages diversification into new
crops, value-added processing and other wealthcreating activities.
Information Holdings
Program Records
Horizontal Teams
Business Risk Management Team
Business Redevelopment
Description: Includes information relating to Farm
Income, Knowledge/Product/Process Information,
service transformation.
Topics: Business Redevelopment, Farm Income
Program Record Number: AAFC 6900
Farm Program Delivery
Description: Includes information relating to
program administration, client service operations.
Topics: Farm Program Delivery
Program Record Number: AAFC 7000
Farm Program Maintenance
Description: Includes information relating to
program and agreement approval, revision, and
extension, accountability and performance
measures, environmental assessment, audit and
review.
Topics: Farm Program Maintenance, agreement
approval
Program Record Number: AAFC 7100
Information Monitoring, Analysis and Reporting
Description: Includes information relating to
industry economic performance and analysis,
advice on compliance with international trade
rules, performance measurement, documentation
and business continuity, economic analysis and
forecasting for program support.
Topics: Information Monitoring, Analysis,
reporting.
Program Record Number: AAFC 7200
Agriculture and Agri-Food Canada
Strategic Policy and Program Development
Description: Includes information relating to the
development of Farm Income Risk Management
Strategy, Farm Income Risk Management Program
design, Integrated Risk Management approach,
Policy Review, Policy Research Institute.
Topics: Strategic Policy, program development.
Program Record Number: AAFC 7300
Environment Team
Delivering Environmental Tools and Practices
Description: Includes information relating to
program development, Federal/Provincial
agreements, program implementation, certification,
outreach, water management, water control.
Topics: Program implementation, certification.
Program Record Number: AAFC 3700
Developing Knowledge for Environmental
Tools and Practices
Description: Includes research and information
relating to the development of tools and practices
for soil use assessment and health, water quality,
water quantity, Greenhouse Gases and air quality,
adaptation to global warming, nutrient cycling,
organic residues, reduction and alternatives to
chemical pest control, biodiversity, technology
transfer and commercialization.
Topics: Environmental tools, practices.
Program Record Number: AAFC 3600
Environmental Awareness
Description: Includes information that fosters and
promotes an awareness of agri-environmental
issues and serves as a basis for sound decisionmaking and the resolution of those agrienvironmental issues.
Topics: Environmental awareness.
Program Record Number: AAFC 3100
Environmental Monitoring
Description: Includes information relating to
National Land & Water Information System
(includes data collected from Geographic
Information System-based tools monitoring rural
land and water resource management such as
flood protection, plant hardiness zones, land use
information), National Land & Water Information
System Management Structure; National Agrienvironmental Health Analysis and Reporting
Program, Agri-Environmental Indicators work (in
such areas as Environmental Farm Management,
Soil Quality, Water Quality, Agroecosystem
Greenhouse Gas Emissions, Agroecosystem
Biodiversity, and Production Intensity), modeling,
economic valuation; National Agroclimate
Agriculture and Agri-Food Canada
Information Service.
Topics: Environmental monitoring, National land &
water information system.
Program Record Number: AAFC 3200
Environmental Stewardship
Description: Includes information which supports
the realization of environmental benefits and the
mitigation of environmental risks in the agriculture
and agri-food sector.
Topics: Environmental stewardship, environmental
benefits.
Program Record Number: AAFC 3500
Environmental Strategy
Description: Includes information relating to
strategy Development, Sustainable Development
Strategy.
Topics: Environmental strategy, sustainable
development.
Program Record Number: AAFC 3400
Environment Health
Description: Includes information which supports
the use of environmental resources in a manner
that ensures their quality and availability for
present and future generations.
Topics: Environment health, resources.
Program Record Number: AAFC 3000
Information to Consumers and the Public
Description: Includes information relating to
stakeholder for public opinion research and
tracking, communication tools.
Topics: Consumer and public information.
Program Record Number: AAFC 3300
Integrated Environmental Tools and Practices
Description: Includes information relating to
technical assessments, best management
practices and standards.
Topics: Technical assessments, management
practices, standards.
Program Record Number: AAFC 3800
International Environmental Commitments
Description: Includes information relating to policy
development, consultations, international
negotiations, market intelligence.
Topics: Policy development, consultations.
Program Record Number: AAFC 3900
Food Safety & Quality Team
Consumer Confidence
Description: Includes information relating to
enhancing the level of consumer confidence in the
quality, safety and production of Canadian food.
Topics: Consumer confidence, quality, safety.
57
Program Record Number: AAFC 6100
Safe, nutritious and quality food for consumers
Description: Detect, characterize, determine the
origin and fate of food safety hazards on the farm
and throughout food production systems and
develop strategies for their control; develop
knowledge and strategies to enhance food quality
to meet consumer expectations; develop
knowledge to enhance and preserve nutritional
value throughout the food chain; build the
knowledge base in support of the development of
functional foods and nutraceuticals; develop new
processing platform technologies to improve
production efficiency and deliver safe, nutritious
and quality food; and identify, characterize and
optimize bioactive components products that will
contribute to the development of products to
improve health, vitality and reduce risk of both
chronic and acute diseases.
Topics: Consumer expectations, development,
nutrition.
Program Record Number: AAFC 6200
Food Quality Systems
Description: Includes information relating to the
development of food quality assurance systems
throughout the chain, capacity within the industry
to verify.
Topics: Food quality assurance.
Program Record Number: AAFC 6300
Food Safety Systems
Description: Includes information relating to the
development and implementation of on-farm
Hazard Analysis and Critical Control Points
(HACCP)-based systems, development and
implementation of HACCP-based systems
throughout the chain, capacity within the industry
to verify.
Topics: Food safety systems, hazard analysis.
Program Record Number: AAFC 6400
Identity Preservation, Tracking and Tracing
Systems
Description: Includes information relating to the
development of tracking and tracing systems
throughout the chain including provision of financial
assistance, capacity within the industry to verify,
promotion of e-commerce and Internet use at all
levels of the agri-food value chain, breeder and
buyer protection under Animal Pedigree Act,
creation of domestic structures, promotion of genetic
innovations, and branding Canadian genetics.
Topics: Identity preservation, tracking system.
Program Record Number: AAFC 6500
58
Information to Consumers
Description: Includes information relating to
stakeholder for a (Canadian Partnership for
Consumer Education), public opinion research
and tracking, communication tools, assistance
for the agri-food sector in development of
accurate public communications on the safety
and reliability of Canadian Agri-Food Products.
Topics: Information to consumers, stakeholders,
communication.
Program Record Number: AAFC 6600
Integrated Food Safety Strategy Development
Description: Includes information which supports
the production, processing and distribution of safe
and reliable food to meet the needs and
preferences of consumers.
Topics: Production, processing, distribution.
Program Record Number: AAFC 6000
Policy and Strategy Development
Description: Includes information relating to
common federal policy, Federal, Provincial
coordination, research international initiatives
(initiatives of other countries) aimed at food safety
and quality.
Topics: Federal policy, research international
initiatives.
Program Record Number: AAFC 6700
Innovation Team
Business Climate, Policies and Regulations
Description: Includes information relating to the
implication of human resource, policy and
regulatory constraints and issues related to
investment, growth and competitiveness in the
sector, provision of rapid response teams to
address irritants identified by agri-food and life
science sector firms and providing case by case
problem solving.
Topics: Policies, regulations, business climate.
Program Record Number: AAFC 5200
Development and Adoption of New
Bioproducts and Bioprocesses
Description: Includes research and information
relating to chemistry, engineering, genetics and
metabolism and the resulting bioproducts and
bioprocesses, including nutraceuticals and
functional foods, other biochemicals, bioenergy,
and biomass, technology transfer,
commercialization and marketing of new valueadded bioproducts and bioprocesses.
Topics: Chemistry engineering, genetics.
Program Record Number: AAFC 4200
Agriculture and Agri-Food Canada
Development and Adoption of New ValueAdded Bioproducts and Bioprocesses
Description: Includes research and information
relating to bioproducts and bioprocesses such as
nutraceuticals and functional foods, other
biochemicals, bioenergy and biomass,
bioinformation such as genomics, proteomics and
metabolomics and bioinformatics, technology
transfer, commercialization and marketing of new
value-added bioproducts and bio-processes.
Topics: Bioproducts, bioprocesses.
Program Record Number: AAFC 4300
High Quality Personnel
Description: Includes information relating to
entrepreneurial skill requirements, sector capacity
and gaps.
Topics: Entrepreneurial skills, sector capacity.
Program Record Number: AAFC 5300
Innovation and Discovery
Description: Includes information relating to the
development and adoption of agricultural products,
processes, technologies and services.
Topics: Innovation, discovery.
Program Record Number: AAFC 4100
Innovation for Growth
Description: Includes information which fosters
innovation in the development of food and other
related agricultural products and services that
capture opportunities in diversified domestic and
global markets.
Topics: Innovation, growth.
Program Record Number: AAFC 4000
International Issues Team
Awareness Building
Description: Includes information relating to the
development and delivery of targeted branding and
investment promotion materials and tools
(including KPMG, LS brochures), promotion of
Canada’s advantages through missions, signature
events and branding initiatives (including seminars,
conferences and assistance provided to industry
through such programs as Canadian Agriculture
and Food – International Program.
Topics: Awareness building, promotion.
Program Record Number: AAFC 4610
Branding Canada
Description: Includes information relating to the
development and implementation of a branding
strategy, participation in Team Canada Inc Brand
Canada program.
Topics: Branding.
Program Record Number: AAFC 4600
Agriculture and Agri-Food Canada
Domestic Collaboration
Description: Includes information relating to
Federal/Provincial/Territorial relations on market
access, stakeholder consultation process, work
with industry to address market access issues
through the development of export strategies (e.g.,
Canadian Agriculture and Food -International
Program) including provision of intelligence and
technical information.
Topics: Domestic collaboration, market access.
Program Record Number: AAFC 7500
International Development
Description: Includes information relating to
technical assistance and capacity building in
developing countries, support and participation in
international fora (e.g., Food and Agriculture
Organization, Inter-American Institute for
Cooperation on Agriculture).
Topics: International development, developing
countries.
Program Record Number: AAFC 4700
International Leadership
Description: Includes information relating to the
building of strategic alliances with developing
countries, developing international leadership
through policy positions at multilateral fora.
Topics: International, leadership, strategic
alliances.
Program Record Number: AAFC 7600
International Market Development Strategy
Description: Includes information relating to the
development of strategies for emerging and
established markets, contributing to the
Government’s International Business Development
Strategy (Team Canada Inc),
Federal/Provincial/industry consultation and
coordination.
Topics: International market, strategy.
Program Record Number: AAFC 4800
Investment Strategy
Description: Includes information relating to the
development of federal/provincial investment
strategy in the Agricultural Policy Framework
(APF) context (International Policy Council Action
Plan, Agri-food & Life Science Strategy Action
Plan).
Topics: Investment strategy.
Program Record Number: AAFC 4910
Market & Sector Development
Description: Includes information relating to
market intelligence and analysis, industry
intelligence and analysis, enhancement of
economic development of aboriginal Small or
59
Medium-sized (Canadian owned) enterprises and
communities (e.g. Aboriginal exporter support),
export trade development and promotion (e.g.
Team Canada Inc/Agri-Food Trade Service
exporter development services, missions,
international events, trade shows), domestic trade
promotion, assisting the agri-food sector including
development of market strategies (e.g. Agri-Food
Credit Facility, Canadian International Grains
Institute, Canadian Wheat Board, Canadian
Agriculture and Food International Program).
Topics: Market, sector, development, analysis,
industry intelligence.
Program Record Number: AAFC 4900
Market Diversification
Description: Includes information relating to
diversified markets captured by Canadian products
and services.
Topics: diversified markets.
Program Record Number: AAFC 4500
Policy Integration
Description: Includes information relating to the
development and implementation of a strategic
framework that integrates trade policy, market and
investment, development, international, and
domestic policies.
Topics: Policy integration, strategic framework.
Program Record Number: AAFC 7700
International Science Cooperation
Description: Includes information relating to the
development of new knowledge contributing to
AAFC’s scientific role in the world by managing a
database of international scientific activities,
developing strategies for cooperation with key
countries having strong public sector and
international component; science advice in support
of increased trade and international development
by identifying most important countries, and for
each, determine science priorities for supporting
objectives of APF: and, support AAFC and Canada
international commitments for key priorities.
Topics: Cooperation with key countries
Program Record Number: AAFC 4810
Retention, Expansion, Attraction of Investment
to Canada
Description: Includes information related to
targeted investment promotion programs, in
collaboration with partners (Company targeting,
International Policy Council Round Tables,
Federal/Provincial Steering Committee on
Investment), encouragement of world class firms
to invest in Canada through ongoing liaison and
identification of opportunities, matching emerging
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ideas/technologies in the life sciences with
potential investors.
Topics: Retention, expansion, investment.
Program Record Number: AAFC 4920
Secure Marketplace
Description: Includes information which supports
a secure domestic and international marketplace
for Canadian agricultural products.
Topics: Secure marketplace.
Program Record Number: AAFC 7400
Technical Trade Issues
Description: Includes information relating to the
improvement of Agriculture and Agri-Food
Canada’s capacity to analyze and negotiate
technical trade issues and opportunities, active
participation on technical issues in the international
arena.
Topics: Technical trade.
Program Record Number: AAFC 7800
Trade Liberalization
Description: Includes information relating to
impediments to domestic and international trade
(e.g., Food systems security), bilateral, regional
and multilateral agriculture negotiations and
resolution of trade disputes, management of
bilateral trade relationships and resolution of
market access issues (e.g., Bovine Spongiform
Encephalopathy (BSE), Canada-U.S., Consultative
Committee on Agriculture, Canada-Mexico
Consultative Committee on Agriculture).
Topics: Impediments to domestic and international
trade, trade disputes.
Program Record Number: AAFC 7900
Enabling Teams
Asset Management Team
Emergency Management and Business
Continuity
Description: Information on federal,
provincial/territorial, international emergencies,
plans and exercises. Information on the
departmental Business Continuity Planning
Program and facility business continuity plans.
Liaison in emergency planning matters with Public
Safety and Emergency Preparedness Canada
(PSEPC), other federal departments, provincial
departments of agriculture, U.S. Department of
Agriculture, North Atlantic Treaty Organisation
(NATO) and other organizations deemed
necessary in the event of an emergency.
Topics: Emergency planning, continuity planning.
Program Record Number: AAFC 225
Agriculture and Agri-Food Canada
Engineering and Environmental Services
Description: Information on delivery of long-term
major capital program, engineering support to
infrastructure, and delivery of central agencies
programs such as Underground Storage tanks,
contaminated sites, energy consumption, and data
on key indicators.
Topics: Engineering, infrastructure.
Program Record Number: AAFC 250
Facilities Management
Description: Information pertaining to day-to-day
building operations, minor capital delivery,
maintenance of equipment, buildings and
infrastructure, and minor repairs.
Topics: Facilities management, building
operations.
Program Record Number: AAFC 275
Leased Accommodations
Description: Information on office leases including
current and future planning, requirements for
expansion, allocation of space, floor layouts and
office design.
Topics: Office leases.
Program Record Number: AAFC 280
Life-cycle management
Description: Information on life-cycle
management (e.g., procurement activities,
contracts, requests for services, inventory,
maintenance, disposal) of assets under AAFC’s
control. Includes management of capital assets
which are high value moveable items valued over
$10,000 such as major technical equipment,
vehicles, and machinery.
Topics: Procurement, contracts, requests.
Program Record Number: AAFC 200
Materiel Management
Description: Information on requirements,
procurement, cataloguing, acquisition, distribution,
storage, maintenance and disposal of materiel.
Topics: Materiel management.
Program Record Number: AAFC 300
Real Property
Description: Documents pertaining to the
acquisition and disposal of lands and buildings,
leases and easements, licenses of occupation,
property taxes, accommodation, federal identity for
facilities, titles holders, heritage properties, First
Nations consultations and land claims.
Topics: Acquisition, disposal of lands
Program Record Number: AAFC 325
Security
Description: Physical security (including threats
and risk assessment, guards services, access to
Agriculture and Agri-Food Canada
buildings, contingency planning, investigations,
protection, theft, vandalism), personnel security
(including security clearances and reliability
checks, building passes, employee identification
cards), information technology security (including
electronic network monitoring logs), visits and
visitors, inspections, surveys, regulations and
orders.
Topics: Physical security, personnel security.
Program Record Number: AAFC 350
Communications & Consultations Team
Advertising
Description: Development of promotional
materials, development of public awareness
materials, requests for advertising, Canadian
Agriculture and Food Celebration (CAFC),
Government Advertising Committee (GAC),
advertising approvals, advertising procedures,
advertising development and production.
Topics: Advertising, promotions.
Program Record Number: AAFC 675
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AAFC programs, services and facilities during fairs
and conferences.
Topics: Exhibits, fairs.
Program Record Number: AAFC 725
Media Relations
Description: Central reception and coordination
point of media calls from across Canada,
participation in the elaboration of media lines,
media monitoring (coverage analysis) and the
sending of communication products to elicit media
coverage (media notices, news releases,
tipsheets, announcements).
Topics: Media, coverage.
Program Record Number: AAFC 700
Strategic Planning, Advice and Coordination
Description: Information on development, control
and monitoring of communication strategies,
corporate identity and diversity in communications
materials, communications support for AAFC
programs, branding guidelines, consultations,
public opinion research, risk communication
(including crisis and emergency communication),
communication management and coordination,
and regional communications operations.
Topics: Communication, strategic.
Program Record Number: AAFC 650
E-Communications
Description: Manages and develops the
Department’s corporate Web site (AAFC online),
AgriSource (intranet) and multimedia projects.
Topics: Website, multimedia.
Program Record Number: AAFC 750
Finance Team
Internal Communications
Description: Provides advice and support on
internal communications issues. Develops internal
communications tools and products, monitors and
evaluates internal communications initiatives in the
Department.
Topics: Internal, communications.
Program Record Number: AAFC 655
Accounting
Description: Information relating to accounting
systems, account reports, balance sheets, financial
statements, appropriations and disbursements,
registers, cost accounting, and statements of
revenue.
Topics: Accounting, finance.
Program Record Number: AAFC 825
Publishing, Translation and Text Revision
Services
Description: Manages corporate publishing
projects and is responsible for advice, quality
control, development, delivery on all matters
related to publishing, including the coordination
and implementation of the AAFC graphic
standards and the Federal Identity Program (FIP)
policy and guidelines. Responsible for the
management of translation services for the
Department and the coordination of revision
activities.
Topics: Translation, publishing, revision.
Program Record Number: AAFC 775
Accounts Payable
Description: Information pertaining to any monies
owed by Agriculture and Agri-Food Canada as a
result of a purchase of goods or services from an
outside source on a credit basis. Includes
information such as invoices, vouchers, ledgers
and registers, imprest accounts, advisory,
professional and technical services rendered to the
Department, services to other institutions,
statements, utilities, abstracts, bills of lading,
cheque requisitions, contracts, credits to
advances, purchase orders and requisitions
including local, refunds, travel claims, travel
advance and mileage allowances.
Topics: Accounts payable, invoices.
Program Record Number: AAFC 850
Operations and Promotions
Description: The Corporate Exhibits Program and
the Rural Exhibits Program provide information on
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Accounts Receivable
Description: Information related to any monies
owed to Agriculture and Agri-Food Canada as a
result of a purchase of goods or services from it on
a credit basis, or as a result of a refund for the
return of goods and containers. Information
includes credit notes, ledgers and registers
including refund and drawbacks ledgers,
statements, bills, credits, official receipts, sales slips
from all sources including accounts recoverable
from concessions, claims, fees, rentals.
Topics: Accounts receivable, refunds, credits.
Program Record Number: AAFC 875
Budgets and Estimates
Description: Information pertains to budget
forecasts by Agriculture and Agri-Food Canada, or
any of its organizations, of its expenditures and
revenues for a specified time period, financial
planning, budget management, forecasting and
variance analysis, budgetary approval, institutional
budgets and estimates, team budgets and
estimates.
Topics: Budgets, financial planning, forecasting.
Program Record Number: AAFC 900
Employee Relocation
Description: Information related to the
reimbursement of relocation expenses in
accordance with the Treasury Board Relocation
Directive.
Topics: Employee relocation.
Program Record Number: AAFC 925
Finance and Resource Management
Description: Information on departmental resource
allocation process; acquisition card administration;
financial policy development; financial planning,
budgeting, forecasting and variance analysis;
collection, validation and reconciliation of financial
information for internal and external reporting;
accounts payable and accounts receivable
processing; employee relocation; acquisition card
administration; gating, sampling and monitoring
pursuant to section 33 of the Financial
Administration Act; Treasury Board submissions
and Memoranda to Cabinet; key financial
documents include the monthly Financial Situation
Report, Public Accounts, Financial Statements, the
Report on Plans and Priorities and the
Departmental Performance Report; and Financial
policy development, dissemination and training.
Topics: Finance, resource management,
allocation.
Program Record Number: AAFC 800
Agriculture and Agri-Food Canada
Financial Audits
Description: Information related to external audits
and/or program evaluations conducted by a central
agency, common service agency or by the Auditor
General, internal audits and/or program
evaluations.
Topics: Financial audits.
Program Record Number: AAFC 950
Human Resources Team
Classification
Description: Occupational groups and
categories, relative salaries, pay rates,
classification standards, classification review,
application of standards, conversion of positions,
development, review and promulgation of
classification standards, and classification
delegation, corporate classification, executive
classification.
Topics: Classification, categories, groups.
Program Record Number: AAFC 1125
Diversity
Description: All aspects of employment equity,
including enabling equitable representation of
women, Aboriginal people, members of visible
minority groups, and persons with disabilities.
Includes records related to workforce survey
questionnaires, workforce analyses, reviews of
employment systems, employment equity plans
including monitoring of implementation,
employment equity activities and information
provided to employees.
Topics: Diversity, equity, minority groups.
Program Record Number: AAFC 1150
Employee Benefits
Description: Compensation and benefits
packages, annual leave, statutory holidays, life
insurance, severance packages, retirement, hours
of work and overtime.
Topics: Employee benefits.
Program Record Number: AAFC 1175
Health and Safety
Description: Health and safety awareness
programs, accident claims and investigations,
Employee Assistance Program (includes policy
and routine information relating to contracts for
outside services, advice, medical diagnosis,
referrals, training, monitoring and audits).
Topics: Health and safety, accident, medical.
Program Record Number: AAFC 1200
Human Resources Planning
Description: The planning, management and
development of Agriculture and Agri-food Canada’s
Agriculture and Agri-Food Canada
human resources.
Topics: Human resources planning.
Program Record Number: AAFC 1100
Official Languages
Description: Official languages, course
applications, enrolment, attendance, qualifications,
language examination, exemptions and training
records.
Topics: Official languages, training.
Program Record Number: AAFC 1225
Staff Relations
Description: Employee-management relations
and services, certification, designated employees,
strikes and work stoppages, administration of
grievance adjudication, anti-discrimination
complaints, appeals, collective agreements
(includes guidelines, interpretations, agreements
by category), discipline (includes policy and routine
information relating to misconduct, intoxication,
misuse of government property), managerial and
confidential exclusions (includes casual, part time,
managerial and confidential exclusions from
collective bargaining agreements), union relations
(includes use of employer’s facilities, union dues.).
Topics: Staff relations, grievances, strikes,
collective agreements, union.
Program Record Number: AAFC 1250
Staffing
Description: Delegated staffing, selection
standards, statements of qualifications, recruitment
programs, competitions and exams, and
documentation related to the Priority Administration
System (includes priority lists), advertisement of
job openings, co-operative programs with
universities and colleges, work experience,
recruitment programs.
Topics: Staffing, recruitment.
Program Record Number: AAFC 1275
Training and Development
Description: Administration of training functions
and activities, directives, Human Resources
development plans and programs, training plans,
rotational training, orientation, training schedules,
internal and external courses, policy and routine
information relating to performance appraisals,
awards programs, recognition programs, career
management and professional association
memberships.
Topics: Training, development, orientation, courses.
Program Record Number: AAFC 1300
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Corporate Management
Access to Information and Privacy
Description: Information relating to requests for
access to records under the Access to Information
Act and the Privacy Act, privacy impact
assessments, reports, registrations, and
complaints.
Topics: Access requests, Access to Information
Act, Privacy Act.
Program Record Number: AAFC 1425
Information Systems Team
Forms Management
Description: Information relating to the analysis,
design and control, identification, authorization,
review, preparation and physical characteristics of
forms.
Topics: Forms management, information.
Program Record Number: AAFC 1450
Information Management and Technology
Description: Information relating to technological
tools, electronic document management systems,
portal technology, knowledge management strategies,
information technology strategies, web content
management, and business intelligence tools.
Topics: Information management, business
intelligence.
Program Record Number: AAFC 1400
Library
Description: Information related to the delivery of
library services, documentation and reference
services, and research tools.
Topics: Library, references, research.
Program Record Number: AAFC 1475
Mail and Distribution
Description: Information pertaining to the delivery
of mail, messenger and postal services, bulk
payment system, liaison with public and private
service providers, mailing lists, and registers and
registration related to mail.
Topics: Mail, distribution, postal services,
messenger.
Program Record Number: AAFC 1500
Records Management
Description: Information related to the
management of Departmental records and
documents, records and document classification,
records retention, disposition of records,
disposition authorities, lists, indices and registers
of files or records destroyed, information on
essential records program and protection of
essential records, micrographics and imaging
program.
64
Topics: Records management, document
classification, records retention.
Program Record Number: AAFC 1525
Systems and Operational Support
Description: Information related to electronic
systems development, maintenance, and technical
assistance (includes information relating to
problem ticket systems) for office systems and
databases that support common administrative
functions.
Topics: Systems, operations support, technical
assistance.
Program Record Number: AAFC 1550
Policy & Planning Team
Policy Analysis and Planning
Description: Includes information relating to
Departmental policy and planning initiatives, Team
policy and planning initiatives, development and
maintenance of the Department’s forward planning
agenda, development and maintenance of the
Department’s strategic and business planning and
accountability frameworks, departmental progress
and performance measures against plans and
policy objectives.
Topics: Policy analysis, planning initiatives.
Program Record Number: AAFC 1650
Program Delivery Team
Advancing Canadian Agriculture and Agri-Food
(ACAAF) Program
Description: Includes information created,
collected or received by Agriculture and Agri-Food
Canada to support and document processes,
transactions and other activities related to the
implementation of the national and regional
components of the ACCAF program.
Topics: Applications for participation, application
review processes, contribution agreements
between AAFC and project proponents, monitoring
and evaluation reports and database programs for
tracking purposes.
Program Record Number: AAFC 2010
Canadian Adaptation and Rural Development
Fund (CARD)
Description: Includes information created,
collected or received by Agriculture and Agri-Food
Canada to support and document processes,
transactions and other activities related to the
implementation of the national and regional
components of the CARD program.
Topics: Applications for participation, application
review processes, contribution agreements
Agriculture and Agri-Food Canada
between AAFC and project proponents, monitoring
and evaluation reports and database programs for
tracking purposes.
Program Record Number: AAFC 2050
Canadian Adaptation and Rural Development
Fund (CARD II)
Description: Includes information created,
collected or received by Agriculture and Agri-Food
Canada to support and document processes,
transactions and other activities related to the
implementation of the national and regional
components of the CARD II program.
Topics: Applications for participation, application
review processes, contribution agreements
between AAFC and project proponents, monitoring
and evaluation reports and database programs for
tracking purposes.
Program Record Number: AAFC 2100
Plum Pox Eradication Program (PPEP)
Description: Includes information created,
collected or received by Agriculture and Agri-Food
Canada to support and document processes,
transactions and other activities related to the
implementation of the Plum Pox Program.
Topics: Plum Pox Program, eradication
Program Record Number: AAFC 2200
Program Delivery and Monitoring
Description: Includes information created,
collected, or received by Agriculture and Agri-Food
Canada to support and document business
functions, programs, processes, transactions,
services, and all other activities uniquely or
specifically assigned to Agriculture and Agri-Food
Canada through legislation, regulation, or policy.
Topics: Application for participation from Canadian
agricultural procedures, contribution agreements
between AAFC and the participating provinces;
financial information and reports; database
programs for tracking purposes.
Access: Access by personal identification number.
Format: Electronic and paper.
Program Record Number: AAFC 2000
Renewal
Description: Includes information for agriculture
families on access to (one) assistance aimed at
developing the skills and knowledge to help them
thrive in the 21st century and to respond to
consumer and market demands; (two) training
which will help increase their profitability through
on-and-off farm opportunities and (three)
opportunities to help them improve family income.
Specifically, this information relates to agricultural
skills services; skills and learning (see next
Agriculture and Agri-Food Canada
section), farm business advisory services,
capturing opportunities from science and
innovation, benchmarking and best management
practices.
Topics: Canadian Farm Business Advisory
Services (CFBAS) including Farm Business
Assessment (FBA) and Specialized Business
Planning Services (SBPS); Planning and
Assessment for Value-Added Enterprises (PAVE)
Program Record Number: AAFC 5400
Skills
Description: Includes information on services
designed to help farmers and their spouses
increase their family income through improved
farm practices or increased off-farm income.
Another facet of the Renewal skills initiative is the
provision of support to organizations involved in
farm skills development and enhancement of the
sector’s skills and learning infrastructure.
Topics: Canadian Agricultural Skills Services
(CASS), Canadian Farm Business Management
Council (CFBMC) and Agriculture Sector Council
Program Record Number: AAFC 5000
Tobacco Adjustment Assistance Program
Description: Includes information created,
collected or received by Agriculture and Agri-Food
Canada to support and document processes,
transactions and other activities related to the
implementation of the TAAP in Ontario and
Quebec.
Topics: Tobacco assistance, TAAP.
Program Record Number: AAFC 2500
Corporate Offices
Audit & Evaluation Team
Audit and Evaluation
Description: Includes information, working papers
and reports of the: effectiveness, efficiency and
economy of programs, policies and operations, risk
management, control and governance processes;
design, delivery and performance of program and
policies; and corrective action taken on external
audits and evaluations.
Topics: Audit, evaluation.
Program Record Number: AAFC 500
Canadian Pari-Mutuel Agency
Canadian Pari-Mutuel Agency (CPMA)
Description: The CPMA is responsible for
providing daily auditing of all betting activities; for
providing expertise, and conducting research in
the areas of photo-finish, video race patrols,
65
totalizer systems and equine drug control. The
agency also ensures 99.9 per cent accuracy in all
betting transactions; provides efficient and
effective pari-mutuel supervision within the
resource level of the federal levy and provides and
promotes services that contribute to the positive
image of racing.
Topics: Auditing, betting, racing.
Program Record Number: AAFC 8000
Pari-Mutuel Supervision
Description: Information on the regulation and
supervision of pari-mutuel betting on horse races.
Topics: Daily pari-mutuel betting activities; pool
distribution; investigation reports into alleged race
fixing; betting dates; tests of totalizator equipment;
race track facilities; racing commissions;
conferences; betting systems; betting permits;
security of bets and betting data; federal levy on
wagering.
Access: Files arranged by racing associations,
topic, event and date.
Program Record Number: AAFC 8100
Race Surveillance
Description: Information on the surveillance of
horse races.
Topics: Daily supervision reports; photo finish
service; race patrol service; drug control service.
Access: Files arranged by racing association,
event and date.
Format: Film, videotapes and photographic print.
Program Record Number: AAFC 8200
Surveillance Research
Description: Information on all aspects of
research into race track surveillance.
Topics: Diagnostic activities; drug detection;
recording of races on video tape; effect of drug
administration on horses.
Access: Files arranged by drug study.
Format: Videotapes, digital and analog
photographic prints and hard copy reports.
Program Record Number: AAFC 8300
Executive Offices
Deputy Minister’s Office
Description: Includes information created,
collected, or received by Agriculture and Agri-Food
Canada to support and document internal
administrative and service-oriented functions that
are common to or shared by all federal
government institutions. Includes general
administrative correspondence and
correspondence management, general information
relating to meetings and seminars, internal office
66
Agriculture and Agri-Food Canada
procedures and office services, duplication and
reproduction services.
Topics: Administrative correspondence, internal
office procedures.
Program Record Number: AAFC 100
Particular Personal Information
Banks
Standard Program Records
Environment Team
Please see the INTRODUCTION to this publication
for the definition of Standard Program Records
and a description of their contents.
Soil and Water Conservation Programs
Description: Programs and activities which
involve the storage of personal information include
the PFRA Shelterbelt Program, the Southwest
Saskatchewan Irrigation Projects, the Irrigation
Demonstration Program, the Community Pasture
Program, the Soil and Water On-Farm Activities,
including the Rural Water Development and Soil
Conservation Programs.
Class of Individuals: Prairie farmers.
Purpose: The information is used to administer
programs on stabilizing and rehabilitating lands
sub-marginal for cereal production and conserving
and storing water on the drought-prone prairies.
Consistent Uses: Information may also be used
to garnish payments received by individuals under
several Agriculture and Agri-Food Canada
programs. This activity would be made under the
Family Orders and Enforcement Assistance Act.
Retention and Disposal Standards: Records are
held for 53 to 66 years after the file was created,
and then transferred to National Archives.
RDA Number: 2001/019
Related PR#: AAFC 2000
TBS Registration: 001719
Bank Number: AAFC PPU 220
Access to Information and Privacy
Accounts and Accounting
Audits
Budgets
Buildings
Buildings and Properties
Classification of Positions
Co-operation and Liaison
Employment and Staffing
Equipment and Supplies
Finance
Furniture and Furnishings
Hospitality
Human Resources
Lands
Occupational Health, Safety and Welfare
Office Appliances
Official Languages
Pensions and Insurance
Proactive Disclosure
Procurement
Relocation
Salaries and Wages
Training and Development
Travel
Utilities
Vehicles
Horizontal Teams
Soil Conservation Survey of Attitudes
Description: This bank contains the results of
surveys conducted in order to determine farmers’
attitudes towards soil conservation, and to
understand the limitations of soil conservation
activities as perceived by farmers.
Class of Individuals: Prairie farmers who have
received technical, financial and material
assistance from the Soil Conservation Program
and prairie farmers whose farms are located in the
vicinity of Prairie Farm Rehabilitation
Administration groups.
Purpose: The survey provides baseline data for
future evaluations and the subsequent progression
of soil conservation activities. This information is
used to evaluate the level of satisfaction of farmers
who received services under the Soil Conservation
Program and the program’s effectiveness,
according to farmers, in sustaining soil resources.
The results will be used to evaluate the existing
programs and to develop future programs.
Agriculture and Agri-Food Canada
Consistent Uses: Personal data will be crossreferenced with responses from the survey in order
to assess the relative needs of certain target
groups. The evaluation of the needs assessment
may be used in revising existing programs as well
as in the development of future programs.
Retention and Disposal Standards: Records are
retained for five years after the survey, and then
transferred to National Archives.
RDA Number: 2001/019
Related PR#: AAFC 3200
TBS Registration: 002583
Bank Number: AAFC PPU 350
Innovation
Applications for Employment
Description: This bank contains information on
individuals who have submitted written applications
for employment as a research scientist,
veterinarian agricultural officer or primary products
inspector with Agriculture and Agri-Food Canada.
The files contain letters, completed application
forms, résumés, letters of reference, letters from
Agriculture and Agri-Food Canada acknowledging
receipt of applications.
Class of Individuals: The bank contains personal
information concerning individuals who are
interested in securing employment with Agriculture
and Agri-Food Canada and who meet the basic
requirements for the above-mentioned positions.
Purpose: These records are used for referral
when vacancies arise.
Consistent Uses: To maintain current inventories
within the Department.
Retention and Disposal Standards: The
information is updated regularly at the request of
the applicant. The research Branch manages the
inventory of applicants for research scientist
positions, and the Food Production and Inspection
Branch manages the inventories for veterinarian,
agricultural officer and primary products inspector
positions. Records are maintained on an active
basis for varying periods according to the specific
inventory, and they can be reactivated at the
request of the applicant. These files are retained
indefinitely.
RDA Number: 98/005
Related PR#: AAFC 1275, 5300
TBS Registration: 002703
Bank Number: AAFC PPU 360
Inventory of Canadian Agri-Food Research
Description: This bank contains information on
agricultural food, human nutrition, and Aquaculture
67
and related biotechnology research projects under
way in Canada. This includes research by federal
and provincial governments, colleges, universities,
corporations and private organizations.
Class of Individuals: All persons conducting
agricultural and food research.
Purpose: To provide a current and retrospective
inventory on research in agriculture and food and
to produce a summary publication of person-year
effort in agricultural research.
Consistent Uses: The inventory is used to
manage and allocate resources and to answer
queries on agri-food research.
Retention and Disposal Standards: These files
are retained indefinitely.
RDA Number: 2002/012
Related PR#: AAFC 4100
TBS Registration: 000895
Bank Number: AAFC PPU 130
Visiting Fellowship Applications and Records
Description: This bank contains applications by
and records about individuals seeking visiting
fellowships in the department. It includes personal
information about the applicants and details about
their education and experience.
Note: The information is collected and distributed
by the Natural Sciences and Engineering
Research Council which administers this program
on behalf of participating departments.
Class of Individuals: Individuals who received
their doctoral degrees in the natural sciences or
engineering no earlier than five years prior to the
application deadline, or who expect to complete
their doctoral degrees no later than 14 months
following the application deadline.
Purpose: The information is used to assess and
rank the applicants’ qualifications against identified
fellowship needs within the department.
Consistent Uses: The information is used to
select the best qualified persons for fellowships
within the department.
Retention and Disposal Standards:
Unsuccessful files are retained for two years
following the application deadline and successful
files are retained for five years following the
application deadline.
RDA Number: 2003/015
Related PR#: AAFC 5300
TBS Registration: 002288
Bank Number: AAFC PPU 137
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International Issues Team
Animal Pedigree Act
Description: This bank contains information on
the breed associations and clients’
correspondence pertaining to the Animal Pedigree
Act (APA) such as breed associations’ names and
addresses, telephone numbers, etc.
Class of Individuals: Breed Associations.
Purpose: This bank is used to monitor the breed
associations and to store information on inquiries
into the APA and the specific breed associations.
Consistent Uses: This bank is used to ensure
that the breed associations are operating in
compliance with the APA.
Retention and Disposal Standards: Files are
retained for 10 years from the date the file was
created, and then destroyed or transferred to
National Archives.
RDA Number: 2004/010
Related PR#: AAFC 7500
TBS Registration: 002939
Bank Number: AAFC PPU 252
Tobacco Transition Adjustment Initiatives
(TTAI)
Description: The bank is no longer active but
contained information on client’s names,
addresses and quota information on tobacco
producers in New Brunswick, Nova Scotia and
Prince Edward Island who had applied for
assistance in terminating tobacco production.
Class of Individuals: Tobacco producers in New
Brunswick, Nova Scotia and Prince Edward Island.
Purpose: The information was used to determine
eligibility and make payments under the Tobacco
Diversification Plan’s Tobacco Transition
Adjustment Initiatives.
Consistent Uses: None
Retention and Disposal Standards: Files will be
kept for up to 10 years (PEI/NS/NB – 2006)
following project expiry, and then transferred to
National Archives for selective retention.
RDA Number: 2001/007
Related PR#: AAFC 4700
TBS Registration: 002033
Bank Number: AAFC PPU 270
Enabling Teams
Asset Management Team
Goods, Services and Construction Contracts
under Agriculture and Agri-Food Canada
Authority
Description: This bank is maintained by the
Agriculture and Agri-Food Canada
assets Management and Capital Planning Section
to record information on services contracts
awarded under Agriculture and Agri-Food Canada
authority in compliance with the Financial
Administration Act and Treasury Board and internal
departmental directives.
Class of Individuals: Individuals or firms engaged
in contracting with Agriculture and Agri-Food
Canada.
Purpose: The bank is used to monitor, analyze
and report departmental contracting activities.
Consistent Uses: These records are also used
during auditing functions.
Retention and Disposal Standards: Information
in this bank is retained for six years after the fiscal
year of completion and non-renewal of a contract,
and is then destroyed.
RDA Number: 2001/013
Related PR#: AAFC 280
TBS Registration: 002046
Bank Number: AAFC PPU 202
Identification and Access Control Cards
Description: This bank contains photographs,
signatures, surnames and given names, date of
birth and card numbers for AAFC staff and others
who occupy AAFC buildings or who require routine
access. The bank also contains information related
to the access/egress to the buildings by
cardholders. The identification/access control card
information is collected by means of an application
form and is stored in an automated database.
Records are accessible by providing full name and
date of birth.
Class of Individuals: Employees of AAFC and
other departments who occupy AAFC space as
well as contractors who require access to the
building on a routine basis.
Purpose: The purpose of this bank is to maintain
information related to the issuance, cancellation
and use of identification and access cards. For
safety and security reasons the cards are used to
control building access and to certain areas within
the buildings and to provide security and safety to
the occupants and assets of the buildings.
Consistent Uses: Issuance of identification and
access control cards. Information may be used to
produce reports for statistical analysis or for
incident investigation.
Retention and Disposal Standards: Information
related to access to the AAFC buildings is
collected solely for safety and security reasons.
Information collected during core hours is purged
on a daily basis. Information collected during silent
hours and on entry control logs is retained for 2
Agriculture and Agri-Food Canada
years for investigation purposes and is then
destroyed. Identification records are retained for 5
years after release from the department and are
then destroyed.
RDA Number: 98/001
Related PR#: AAFC 350
TBS Registration: 003981
Bank Number: AAFC PPU 211
Mailing Lists
Description: This bank contains mailing lists with
the names and addresses of individuals, academic
and farming organizations, firms, companies,
group, etc.
Class of Individuals: Individuals, academic and
farming organizations, firms, companies, groups,
government officials, etc.
Purpose: To maintain standard lists of individuals,
organizations, groups, businesses, etc. for the
purpose of mailing publications, reports,
newsletters, press releases and other
documentation on departmental activities and
programs.
Consistent Uses: The information is used to mail
and distribute documentation to individuals on the
mailing lists. Use of the mailing lists will be based
on one of the following criteria: 1) The individuals
were informed that their names and addresses
would be used for that purpose. 2) The use of the
names and addresses for a mailing list is
authorized by legislation or a regulation. 3) The
individuals have consented to being on a mailing
list and/or to having additional information
distributed to them. 4) It is clearly to the benefit of
the individual or in the general public interest to
distribute the information (this would only occur in
exceptional circumstances).
Retention and Disposal Standards: Records are
updated continuously and the information is kept
up to when superseded.
RDA Number: 2001/019
Related PR#: AAFC 1500
TBS Registration: 002695
Bank Number: AAFC PPU 204
Real Property Legal File
Description: This bank contains land grants,
deeds, titles, leases and easements.
Class of Individuals: Property owners,
proprietors, tenants, licensees, lessees.
Purpose: Information is used to conclude land
transactions and for economic cost management
of real property holdings.
Consistent Uses: The information is also used to
maintain legal records of holdings and
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transactions, and for cost control.
Retention and Disposal Standards: Records are
retained for a minimum of two years and then
transfered to National Archives when they are of
no further value to Agriculture and Agri-Food
Canada. Original documents are retained in
provincial or court registry offices.
RDA Number: 2001/013
Related PR#: AAFC 325
TBS Registration: 002290
Bank Number: AAFC PPU 345
Communications & Consultations Team
Surveys
Description: From time to time, agricultural and
non-agricultural surveys are carried out by the
Department to obtain information. These
agricultural surveys include information on the
socio-economic characteristics of farm operators
and information relating to crops, livestock, poultry,
machinery, farm operating expenses and
agriculture receipts. The non-agricultural surveys
include information on production, inventory and
sales in the fruit, vegetable and dairy processing
sectors. The bank also contains information from
the grain and oilseed industries and the agri-food
sectors. Program evaluations routinely collect
information from the agricultural sector relating to
program performance. Other similar surveys may
occur as the need arises.
Class of Individuals: Producers, processors,
distributors, wholesalers and retailers.
Purpose: This bank provides a base inventory of
Canadian agriculture, as well as information for
production, marketing, administrative and policy
decisions.
Consistent Uses: The results of the surveys will
be used to provide statistics which will assist the
various branches in assessing the relevance and
impact of Agriculture and Agri- Food Canada
programs, and the extent to which these have
successfully achieved their objectives.
Retention and Disposal Standards: Each survey
will be retained for a minimum period of five years
after the survey is completed. They are then
transferred to National Archives for selective
retention.
RDA Number: 2001/013
Related PR#: AAFC 2000
TBS Registration: 001877
Bank Number: AAFC PPU 193
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Finance Team
Expenditure Accounts – Public
Description: This bank contains information such
as claims, authorizations, expense reports,
receipts, cheque requisitions, advances,
correspondence and other supporting documents
relating to expenses being reimbursed, fees being
paid, claims being settled, and other payments.
This bank also contains personal information (i.e.
name, address, and SIN) for individuals requiring a
tax information slip (e.g. AGR.1) and T4As.
Class of Individuals: Contractors engaged by
Agriculture and Agri-Food Canada and farmers
receiving various forms of payments from the
Department.
Purpose: The bank is used for the payment of
invoices and claims to contractors engaged by the
Department and farmers receiving various forms of
payments from the Department. The SIN is
required for inclusion on tax information slips,
T4As, and on tax information files that the
department must send to Canada Revenue
Agency and Revenue Quebec.
Retention and Disposal Standards: Records are
retained for six years after fiscal year of the last
administrative use, and then transferred to
National Archives for selective retention.
RDA Number: 2001/019
Related PR#: AAFC 850
TBS Registration: 002286
Bank Number: AAFC PPU 335
Revenue Accounting and Control
Description: This bank is used for managing the
accounts receivable system to effect cost recovery
on behalf of Agriculture and Agri-Food Canada.
Related information is maintained to administer
these responsibilities.
Class of Individuals: Private sector individuals to
whom invoices are issued, to record their
indebtedness to the Department.
Purpose: Information is used to manage the
granting of credit by the Department to individuals
and the collection of revenues owing to the
Department. The collection of revenues may
involve the use of Private Collection Agencies and
the provision to them of information provided by
the individuals.
Consistent Uses: Information may be used to
recover debts due to the Department by set-off
against any payment made by the Crown to
individuals. Information may also be used to
garnish payments received by individuals under
several Agriculture and Agri-Food Canada
Agriculture and Agri-Food Canada
programs. This activity would be made under the
Family Orders and Enforcement Assistance Act.
Retention and Disposal Standards: Records are
retained for six years after the fiscal year of the
last administrative use, and then transferred to
National Archives for selective retention.
RDA Number: 2001/019
Related PR#: AAFC 875
TBS Registration: 002287
Bank Number: AAFC PPU 340
Human Resources Team
Governor-in-Council/Ministerial Personnel
Records
Description: This bank contains manual and
computerized information on current, former and
possible incumbents of executive positions
occupied by Governor-in-Council (GIC) or
Ministerial appointees. Records include letters of
recommendation, correspondence, memoranda,
education, and employment history of GIC and
Ministerial appointees and potential candidates for
these positions.
Class of Individuals: Individuals, employees of
the Department, or senior officials of various
Associations.
Purpose: To support the requirements of the
appointments officer in their role of identifying
candidates and the maintenance of information of
these executive appointments for various Boards
or Council.
Consistent Uses: For appointments only.
Retention and Disposal Standards: Two years
after last administrative use and then transferred to
National Archives.
RDA Number: 98/005
Related PR#: AAFC 1275
TBS Registration: 004009
Bank Number: AAFC PPU 500
Corporate Management
Access to Information Request Files
Description: This bank contains the Access to
Information Request Forms sent by individuals
requesting access to departmental files, the replies
to such requests and information related to their
processing. Information on exemptions or
exclusions claimed, on complaints handled, or on
fee waivers may also be included.
Class of Individuals: Individuals present in
Canada.
Purpose: To administer access requests in
accordance with the Access to Information Act.
Agriculture and Agri-Food Canada
Consistent Uses: The bank is used to record the
processing of requests under the Access to
Information Act, to report to Treasury Board and to
Parliament on requests received and completed,
and for the purposes of consultations with other
government institutions.
Retention and Disposal Standards: Files will be
kept for two years after the last administrative use
and then destroyed.
RDA Number: 98/001
Related PR#: AAFC 1425
TBS Registration: 000908
Bank Number: AAFC PPU 200
Information Disclosed to Investigative Bodies
Description: This bank contains copies of
requests from investigative bodies listed in the
Privacy Regulations for access to personal
information pursuant to section 8(2)(e) of the Act.
The bank also contains the replies to such
requests, the records of information disclosed, any
correspondence with the Privacy Commissioner
and all records relating to the processing of the
requests.
Class of Individuals: Individuals about whom
requests for personal information have been
received pursuant to paragraph 8(2)(e) of the
Privacy Act from federal investigative bodies.
Purpose: The purpose of this bank is to permit the
Privacy Commissioner to review disclosures made
under paragraph 8(2)(e) of the Privacy Act to
federal investigative bodies for the purpose of
enforcing a law of Canada or a province or
carrying out a lawful investigation.
Consistent Uses: This bank will be used to
compile statistics relating to requests from federal
investigative bodies. This bank will also be used
for the auditing of the procedures concerning the
exchange of personal information with investigative
bodies as defined in section 8(2)(e) of the Privacy
Act.
Retention and Disposal Standards: Information
held in this bank is retained for two years after the
last entry date and then destroyed.
RDA Number: 98/001
Related PR#: AAFC 1425
TBS Registration: 002045
Bank Number: AAFC PPU 201
Privacy Request Files
Description: This bank contains Personal
Information Request files sent by individuals
requesting access to their files, the replies to such
requests and information related to their
processing. Information on exemptions claimed or
71
on complaints handled may also be included.
Class of Individuals: Individuals who apply under
the Privacy Act for access to their personal files,
including employees of Agriculture and Agri-Food
Canada.
Purpose: The information is used to administer
access to personal information requests in
accordance with the Privacy Act.
Consistent Uses: The bank is used to access
personal information requests; to report to
Treasury Board and to Parliament on requests
received and completed under the Privacy Act; to
verify the identity of requesters; and for the
purpose of consultations with other government
institutions.
Retention and Disposal Standards: Files will be
kept for two years after the last administrative use
and then destroyed.
RDA Number: 98/001
Related PR#: AAFC 1425
TBS Registration: 000907
Bank Number: AAFC PPU 195
Policy & Planning Team
Farm-Level Data
Description: Most of the farm-level data are
provided by Statistics Canada through joint
Statistics Canada/ Agriculture and Agri-Food
Canada data collection activities. These data
sources include the annual Farm Financial Survey
(FFS) and Whole Farm Data Project (WFDP), and
periodic farm environmental management surveys
(FEMS). In addition, AAFC contracts with
universities and private consultants on an ad hoc
basis to provide specialized cost-of-production
data for specific commodities and geographic
regions. AAFC maintains access to individual farm
records in the FFS. In this case, the confidentiality
of respondents is maintained by removing all
information that would allow farm identification.
Class of Individuals: All types and sizes of farms
are considered in the joint Statistics Canada/AAFC
data bases. Cost-of-production surveys represent
very specific regions, commodities and are
generally not conducted annually.
Purpose: To develop benchmark farm-level
models for use in economic analysis of policy
issues, provide information for socio-economic
analysis, and enhance whole farm and enterprise
financial, production and environmental practices
data in all provinces.
Consistent Uses: The information is used to
monitor existing programs and policies and to
evaluate proposed programs and policies. As well,
72
the data are used to address a wide variety of
economic and environmental questions.
Retention and Disposal Standards: The
information will be kept for a minimum of 20 years
following the creation of the dataset, then
transferred to the National Archives.
RDA Number: Under review
Related PR#: AAFC 1650
TBS Registration: 003122
Bank Number: AAFC PPU 141
Farm Support and Adjustment Measures II (FSAM II)
Description: Information collected under FSAM II
will include names, addresses, Canadian Wheat
Board permit book numbers, crop insurance
contract numbers, telephone numbers, acreage
figures, and farm sales and revenue data.
Class of Individuals: Agricultural producers and
other entities who meet eligibility criteria.
Purpose: This information would be collected to
provide financial assistance to eligible applicants in
the Prairie and Atlantic provinces. Information may
also be used for the purpose of locating individuals
in order to collect a debt owing to the Crown.
Consistent Uses: The Government of Canada
may use Canadian Wheat Board records, and\or
Crop Insurance, Gross Revenue Insurance Plan,
Net Income Stabilization Account, Special
Canadian Grains Program, and Prairie Grain
Advance Payments Administration records relating
to the applicants’ farming operations for 1989,
1990 and 1991 to verify the applicants’
declarations. These records may also be used for
program evaluation purposes.
Retention and Disposal Standards: Records are
retained for six years after fiscal year of the last
administrative use, and then transferred to
National Archives for selective retention.
RDA Number: 2001/007
Related PR#: AAFC 1650
TBS Registration: 003141
Bank Number: AAFC PPU 184
National Talent Bank of Farm and Rural Women
Description: Talent bank will be made up of
names, addresses and phone contact numbers as
well as personal profiles (résumés) of candidates
qualified to serve on federal agencies, boards and
commissions.
Class of Individuals: Farm and rural women from
the private sector in Canada.
Purpose: The Farm Women’s Talent Bank is used
by the AAFC Minister and Deputy Minister when
considering appointments to voluntary or paid
positions on federal agencies, boards,
Agriculture and Agri-Food Canada
commissions and consultation committees. The
Bank supports the department’s efforts to increase
representation of women in agricultural decision
and policy making. Secondly, it broadens the
department’s access to grassroots farm women in
consultations on key policy and program issues.
Consistent Uses: As vacancies occur on AAFC
agencies, boards and commissions; also when
new committees/task forces are established.
Ongoing. Access to and maintenance of the talent
bank will be restricted to the offices of the Minister,
Deputy Minister and the Farm Women’s Bureau.
The Bureau will also monitor the consistent usage
of the talent bank and produce quarterly or annual
statistical reports for the Department’s use.
Retention and Disposal Standards: Talent bank
records will be updated annually and retained for
departmental 2 year standard unless specifically
notified to the contrary by the Minister’s or Deputy
Minister’s office and then transferred to National
Archives.
RDA Number: Under review
Related PR#: AAFC 1650
TBS Registration: 004006
Bank Number: AAFC PPU 185
Resource and Environmental Programs
Description: This bank contains information on
clients’ names, addresses, description of projects
and level of assistance requested from Agriculture
and Agri-Food Canada. Some files may contain
farm data on the number of hectares in production,
type of crops and manure handling facilities. The
goals of these agreements are to define and
implement the activities, programs, coordination
processes, and levels of human, technical, and
financial resource commitments by the federal and
provincial governments to soil conservation. The
overall purpose of these activities is the
development and adoption of the most appropriate
technology in soil resource management and use
that is within practical economic limits and is
compatible with the soil’s capability, in order to
sustain the long term productivity of the land.
Class of Individuals: Dependent on the
agreement, it may include individuals, groups of
farmers, legally incorporated special interest
groups, farm and agri-food organizations,
conservation districts, universities, colleges,
cooperatives, environmental groups, aboriginal
groups, other provincial and municipal
governments or agencies of these governments,
provincial crown corporations, non-government
corporations and financial institutions.
Purpose: This information bank is used to
Agriculture and Agri-Food Canada
determine the eligibility of the applicants, to
establish the level of assistance, to carry out the
objectives of the federal/provincial agreements on
environmental sustainability under the National
Soil Conservation Program, Environmental
Sustainability Initiative, Land Management
Assistance Program and the Green Plan in the
following provinces: Newfoundland and Labrador,
Prince Edward Island, Nova Scotia, New
Brunswick, Quebec, Ontario and British Columbia,
and to make payments to farmers, farm
organizations, consultant firms and research
institutions.
Consistent Uses: This bank is used to record
payments received by farmers, farm organizations,
consultant firms and research institutions.
Information may also be used to garnish payments
received by individuals under several Agriculture
and Agri-Food Canada programs. This activity
would be made under the Family Orders and
Enforcement Assistance Act.
Retention and Disposal Standards: Files are
retained for six years after fiscal year of the last
administrative use, and then transferred to
National Archives for selective retention.
RDA Number: 2001/013
Related PR#: AAFC 1650
TBS Registration: 002933
Bank Number: AAFC PPU 246
Risk Management & Safety Net Program –
Survey
Description: This bank contains the results of a
national survey on risk management and safety
net programs. The survey examined risk concerns,
producers’ use of government programs and
private risk management tools, and producers’
farm financial situation.
Class of Individuals: Interviews were completed
with 2,400 producers in November and December
1999, whose main farm enterprise was field crops,
beef cattle, hogs, or horticulture.
Purpose: The survey was conducted to examine
the use of safety net programs and private risk
management tools to help manage price and
production risks, and to assess the impact of these
tools on farm financial situations.
Consistent Uses: Data will be used to assess
safety net programs and the Net Income
Stabilization Account.
Retention and Disposal Standards: This data
will be kept for seven years after the completion of
the survey (December 1999) and then transferred
to National Archives for selective retention.
RDA Number: Under review
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Related PR#: AAFC 1650
TBS Registration: 005111
Bank Number: AAFC PPU 306
Program Delivery Team
Agricultural Marketing Programs Act (AMPA)
Advance Payments Program and Spring Credit
Advance Program (SCAP)
Description: This bank contains information on
producer organizations applying under the
Advance Payments Program (AMPA) and SCAP,
and on producers in default under the program.
This information includes bank statements, credit
checks, producers’ and producer organizations’
names and addresses, the amount of advances,
payments, the repayment schedule, judgements
against defaults, action taken by producer
organization groups to obtain payment,
organizational structures, management and
organizational process description, audited
financial statements, terms and conditions of
guarantee provided. For SCAP, the bank also
includes producers’ provincial crop insurance
coverage information.
Class of Individuals: Individual farm-product
producers.
Purpose: To ensure repayment of advances to
producer groups and including Canadian Wheat
Board, who distribute funds to individual producers
under the Advance Payment Program (AMPA) and
SCAP.
Consistent Uses: (1) Information is used to
ensure adherence to the terms and conditions of
AMPA and to take the necessary actions to ensure
collection from defaulters. (2) Information may also
be used to garnish payments received by
individuals under several Agriculture and Agri-Food
Canada programs. This activity would be used by
the provinces to collect accounts receivable owing
to the federal government from several federal
agricultural programs under the Farm Income
Assistance Initiative.
Retention and Disposal Standards: These files
are retained for six years after the fiscal year of
the payment of the loan. The files are then
transferred to National Archives for selective
retention.
RDA Number: 2001/013
Related PR#: AAFC 2000
TBS Registration: 000897
Bank Number: AAFC PPU 140
Agricultural Marketing Programs Act (AMPA) –
Price Pooling Program
Description: This bank contains information on
74
applicants under the Price Pooling Program, AMPA.
This information includes names and addresses of
the applicants, organizational structures,
management and organizational process
description, audited financial statements, marketing
strategy, historical data on prices received, terms
and conditions of guarantee provided.
Class of Individuals: Marketing agencies,
producer organizations, processors.
Purpose: To make informed/consistent decisions
regarding the eligibility of the applicant and to
establish the price guarantee.
Consistent Uses: (1) Information is used to
ensure adherence to the terms and conditions of
AMPA; (2) to ensure compliance to the terms of
the price agreement entered into with the
marketing agency (3) to ensure the validity of
claims for loss and to determine the government
liability payment.
Retention and Disposal Standards: These files
are retained for a minimum of six years after the
fiscal year of the termination of the agreement of
the liability payment. The files are then transferred
to National Archives for selective retention.
RDA Number: 2001/013
Related PR#: AAFC 2000
TBS Registration: 004270
Bank Number: AAFC PPU 209
Canadian Crop Drought Assistance Program
Description: This bank contains records of
applications for drought assistance under the
Canadian Crop Drought Assistance Program for
the 1988 crop year. This information includes
producer names, addresses and land locations,
Canadian Wheat Board numbers, irrigation license
numbers, and Irrigation District/Prairie Farm
Rehabilitation project name.
Class of Individuals: Producers of all cultivated
crops in areas determined by the Program to have
significantly reduced yields as a result of the 1988
drought in Alberta, Saskatchewan, Manitoba and
Ontario.
Purpose: The information in this bank was
compiled in order to facilitate the implementation of
the program. It is used to determine the eligibility
of producers for assistance and the level of
assistance that they will receive under the program
formula. It is also used to issue payments.
Consistent Uses: (1) Information is used to
determine the eligibility and the level of assistance
to producers under the program formula, and to
issue payments. (2) Data matching is done under
Section 155 of the Financial Administration Act.
The Minister may authorize retention of funds for
Agriculture and Agri-Food Canada
indebtedness to recover funds owing under the
following: the Advance Payments for Crops Act,
the Farm Improvement Loans Act, the Agricultural
Stabilization Act, and the Special Canadian Grains
Act. The potential for this disclosure was outlined
in both the Program Terms and Conditions and the
Claim Forms. (3) Information may be used to
garnish payments received by individuals under
several Agriculture and Agri-Food Canada
programs. This activity would be made under the
Family Orders and Enforcement Assistance Act.
(4) The information will be used by the provinces
to collect accounts receivable owing to the federal
government from several federal agricultural
programs under the Farm Income Assistance
Initiative.
Retention and Disposal Standards: Records are
retained for six years after the date of application,
and then transferred to National Archives.
RDA Number: Under review.
Related PR#: AAFC 2000
TBS Registration: 002584
Bank Number: AAFC PPU 182
Canadian Farm Business Management
Program (CFBMP)
Description: This bank contains information on
the CFBMP including information necessary to
effectively deliver the various activities. CFBMP is
an initiative funded by Agriculture and Agri-Food
Canada. Implementation is generally through a
provincial delivery organization which undertakes
to have training materials developed, and training
provided to eligible applicants. Program elements
differ significantly between provinces.
Class of Individuals: Farm producers
participating in training courses. Contractors and
consultants hired to develop materials and deliver
courses.
Purpose: This bank is used to identify and
address the farm management needs in the
agricultural sector and those contracted to
undertake the development and delivery of farm
business management courses.
Consistent Uses: This bank is used to monitor
farm management training and related services
provided to producers.
Retention and Disposal Standards: Files will be
retained for the purpose of delivering the threeyear initiative and for audit and evaluation
purposes by the delivery organizations for periods
specified in the agreements; after which, files will
then be destroyed.
RDA Number: Under review.
Related PR#: AAFC 2000
Agriculture and Agri-Food Canada
TBS Registration: 002940
Bank Number: AAFC PPU 253
Canadian Rural Transition Program (CRTP)
Description: The bank contains information on
clients’ names, addresses, social insurance
numbers, descendants’ lists, as well as specific
business criteria for making determination on
eligibility. The case files are kept secured in
Canada Employment Centre offices.
Class of Individuals: Farmers who, by reason of
financial difficulty, have left or are leaving
agriculture and are seeking assistance under the
CRTP.
Purpose: The application is the basis for determining
the eligibility of an applicant to receive assistance
under the Program, i.e. the Transition Grant and
Supplementary Transition Assistance. Social
insurance numbers (SINs) are collected by the CRTP
under the authority of the Employment Insurance Act
and are also required to determine applicants’
eligibility, i.e., whether or not he/she is in receipt of
unemployment insurance or social assistance. In
addition, the SIN is the basis of identification for
payment of eligible applicants by the Department of
Supply and Services and is also of use in advising
Canada Revenue Agency of any taxable benefits
received under CRTP in a given tax year, and
receipts are issued accordingly to the client.
Consistent Uses: In cases of acceptance,
information rests with Canada Employment Centre
offices. In cases of rejection, information is
transferred to Ottawa Human Resources
Development Canada – CRTP Office/policy
Agriculture and Agri-Food Canada where all
rejections are reviewed, and in some instances,
decisions to reject are overturned.
Retention and Disposal Standards: All files will
be kept for a minimum of two years after the
client’s farming activities have ceased. Canada
Employment Centres will keep all files for the
duration of the program (until March 31, 1997) and
then transferred to National Archives.
RDA Number: 2001/007
Related PR#: AAFC 2000
TBS Registration: 002044
Bank Number: AAFC PPU 325
Farm Consultation Service (FCS)
Description: The bank contains information on
farmers in financial difficulty who have applied for
review of their financial situation under the FCS, a
Departmental Program developed as a
complimentary program to the Farm Debt
Mediation Service. Specific information includes
75
the applicant’s name, address, principal
commodity, creditors, estimated liabilities and list
of all assets. The case files are kept secured in the
Farm Consultation Service offices.
Class of Individuals: Farmers in financial
difficulty.
Purpose: The FCS ensure that farmer operators
in financial difficulty have access to a financial
review of their circumstances that would help
resolve their difficulties and prevent more serious
problems from occurring in the future. In order for
the FCS to conduct a proper review, accurate
financial information is required of the applicant.
The information is provided on a Farm Financial
Statement and may also include an Operational
Plan.
Consistent Uses: Copies of the Farm Financial
Statement (and Operational Plan) are provided to
the applicant. The information is used in evaluating
the farmer’s operations and developing an
operational plan or alternatives to assist in
improving the farmer’s situation.
Retention and Disposal Standards: All files are
kept for six years from the date the file is closed or
the last administrative action, and then transferred
to National Archives for selective retention.
RDA Number: 2001/013
Related PR#: AAFC 2000
TBS Registration: 004007
Bank Number: AAFC PPU 226
Farm Debt Mediation Service (FDMS)
Description: The bank contains information on
insolvent farmers who have applied for a review of
their financial situation and mediation under
section 5(1)(a) or (b) of the Farm Debt Mediation
Act. Specific information includes the applicant’s
names, address, principal commodity, creditors,
estimated liabilities and list of all assets. The case
files are kept secured in the FDMS offices.
Class of Individuals: Insolvent farmers
Purpose: The Farm Debt Mediation Act ensures
that insolvent farmers, whether or not they have
received a Notice of Intent to Realize on their
security, have access to an impartial third party
review and mediation. This includes a review of
the farmer’s financial affairs and mediation
between the farmer and the farmer’s creditors for
the purpose of assisting them to reach a mutually
acceptable arrangement. In order for the FDMS to
conduct a proper review, accurate financial
information is required of the applicant. The
information is provided on a Farm Financial
Statement and may also include a Recovery Plan.
Consistent Uses: Copies of the farmer’s Farm
76
Financial Statement (and Recovery Plan) are
provided to the mediator and to persons who will
be participating in the mediation. The information
is used in evaluating the farmer’s alternatives and
in mediation discussions with the farmer’s
creditors. The financial information of farmers in
the province of Saskatchewan and Manitoba may
be provided, with the farmer’s consent, to the
Saskatchewan farm Land Security Board and the
Manitoba Board respectively to assist in their farm
debt review programs.
Retention and Disposal Standards: All files will
be kept for a period of six years from the date the
file closed or the last administrative action, and
then transferred to National Archives for selective
retention.
RDA Number: 2001/013
Related PR#: AAFC 2000
TBS Registration: 004008
Bank Number: AAFC PPU 227
Farm Improvement and Marketing Cooperatives Loans Information
Description: This bank contains names and
addresses of borrowers, the purposes and
amounts of loans, and other financial details when
a claim for loss is submitted.
Class of Individuals: Farmers.
Purpose: To facilitate the availability of
intermediate and short-term credit to farmers for
the improvement or development of farms.
Consistent Uses: To ensure the validity of loss
claims. Information may also be used to garnish
payments received by individuals under several
Agriculture and Agri-Food Canada programs. This
activity would be made under the Family Orders
and Enforcement Assistance Act. The information
will also be used by the provinces to collect
accounts receivable owing to the federal
government from several federal agricultural
programs under the Farm Income Assistance
Initiative.
Retention and Disposal Standards: Records are
retained for six years after fiscal year of the last
administrative use, and then transferred to
National Archives for selective retention.
RDA Number: 2001/013
Related PR#: AAFC 2000
TBS Registration: 000902
Bank Number: AAFC PPU 165
Net Income Stabilization Account (NISA)
Description: This bank contains information
provided by producers including name, address,
financial information, Social Insurance Number
Agriculture and Agri-Food Canada
(SIN) or Trust number, and corporation or business
number.
Class of Individuals: Canadian Agriculture
Producers who are eligible or that have applied for
income assistance under the Farm Income
Protection Act (FIPA).
Purpose: Information in this bank is used to
determine eligibility and entitlements of the
individual to any financial assistance under the Net
Income Stabilization Account (NISA). NISA is a
voluntary stabilization program in which individual
producers make deposits to an individual account
and contributions are matched by the federal and
provincial governments. The producer is entitled to
make account withdrawals when his/her net
income is low. Portions of this account may be
held with private financial institutions such as
banks or credit unions. Information in this bank is
collected on an annual basis directly from
producers and agencies of provincial governments
which have agreements in place to administer
programs such as NISA, Canadian Farm Income
Program (CFIP), the Canadian Agricultural Income
Stabilization (CAIS) Program and/or equivalent
programs as defined in the Agricultural Policy
Framework (APF) Agreements. Collection of this
information is authorized through FIPA.
Consistent Uses: (1) Information may also be
shared with authorized parties to assist the
Department in the collection of NISA
overpayments. (2) Data consisting of producers’
NISA bank deposits will be exchanged with
institutions with the producer’s consent. (3)
Information herein may be used for further
verification, program evaluation purposes and/or
for the administration of CFIP and the CAIS
Program. (4) The information may be shared with
the provincial department responsible for
agriculture for the purposes of audit, analysis,
evaluation, program development and
administration of NISA or an equivalent program
as defined in the provincial APF agreement which
is in place. (5) Names and addresses of producers
may be used for distribution of material on new
agricultural programs. (6) Data obtained may be
used for public opinion polling on a regular basis.
(7) In order to ensure that information submitted is
consistent with information provided to the Canada
Revenue Agency for income tax purposes, a link
with the SIN or the Corporate Tax Number will be
required. Use of the SIN is authorized under
sections 10 and 11 of FIPA and section
241(4)(d)(xi) of the Income Tax Act. FIPA
authorises collection and disclosure of the SIN to
Agriculture and Agri-Food Canada
federal government institutions or departments. (8)
Information may be used to garnish payments
received by individuals under several Agriculture
and Agri-Food Canada programs. This activity
would be made under the Family Orders and
Enforcement Assistance Act.
Retention and Disposal Standards: Records are
held for 7 years after the last administrative action
and then transferred to National Archives for
selective retention.
RDA Number: 2001/008
Related PR#: AAFC 2000
TBS Registration: 002929
Bank Number: AAFC PPU 183
Corporate Offices
Canadian Pari-Mutuel Agency
Application for Pari-Mutuel Betting Permits
Description: This bank contains correspondence,
personal information submitted by the applicant,
criminal histories and corporate ownership
(directors, and signing officer over 10 per cent of
the shares).
Class of Individuals: Race track operators.
Purpose: The purpose of this bank is to
consolidate information used to grant qualified
applicants permits to conduct pari-mutuel betting
on horse races pursuant to section 204 of the
Criminal Code.
Consistent Uses: The bank is used to qualify
associations for betting privilege, and to fix dates
for betting.
Retention and Disposal Standards: These files
are retained for 10 years from the date the file was
created, and then transferred to National Archives
for selective retention.
RDA Number: 2001/007
Related PR#: AAFC 8100
TBS Registration: 000894
Bank Number: AAFC PPU 125
Executive Offices
Quality Service Request Data Base and Public
Information Request Services (PIRS)
Description: This database contains contact
coordinates for individuals, Associations, and firms
that have contacted either the Agriculture and AgriFood Canada or the Canadian Food Inspection
Agency 1-800 line and general inquiries.
Class of Individuals: General public.
Purpose: To maintain an administrative record of
such calls to ensure all callers receive the
requested information in a timely manner.
77
Consistent Uses: To allow follow-up with the
caller to permit quality service assurance such as
to measure the timeliness of response and
determine if the proper information has been
provided and for statistical purposes.
Retention and Disposal Standards: The records
will be kept for a period of 24 months from the end
of the fiscal year in which they occur and then
these will be destroyed.
RDA Number: 96/022
Related PR#: AAFC 1500, 100
TBS Registration: 004004
Bank Number: AAFC PPU 010
Standard Personal Information
Banks
Please see the INTRODUCTION to this publication
for the definition of Standard Banks and a
description of their contents.
Hospitality
Travel
Relocation
Classes of Personal Information
General Correspondence and Enquiries
Personal information in this class relates to routine
correspondence concerning the regulatory and
licensing activities associated with meat
inspection, pesticides, feeds and fertilizers,
veterinary biologics and the humane transportation
of animals. It also relates to general enquiries
concerning agricultural research, market
intelligence, food advisory information and financial
assistance to marketing boards and co-operatives.
The personal information contained in this class
normally includes the name and address of the
enquirer, but is neither arranged nor retrievable by
personal identifiers. This form of personal
information exists in a fragmented form throughout
the subject files controlled by the Department and
is normally retrievable only if specifics are provided
concerning the subject and the date of the
correspondence. The retention period for this class
of personal information is controlled by the
retention period of the files in which they are
stored.
Ministerial Correspondence
This class of information contains correspondence
received by the Corporate Secretariat from
external organizations and individuals in the form
78
of requests for information, complaints, opinions
and other similar submissions related to a broad
range of policy issues pertaining to Agriculture and
Agri-Food Canada’s activities, wherein some
unsolicited personal information has been provided
by the correspondent. This form of information
would be retrievable only if specifics of name, date
of communication and subject were to be provided;
it is not arranged or retrievable by personal
identifiers. The retention periods of these classes
of personal information are controlled by the
record schedules of the general subject files in
which they are stored.
Other Programs and Agreements
Agriculture and Agri-Food Canada
• Departmental Specialty Store Catalogue
• Drafting Standards Manual
• Entreprise Training Manual
• Farm Consultation Service Manual
• Farm Debt Review Board Implementation
Manual
• Farm Dept Mediation Service Manual
• Farm Improvement and Marketing Cooperatives Loans Administration Manual
• Financial Management Manual – Policies and
Procedures
This class reflects other programs and agreements
not specifically covered under the other classes.
These other programs and agreements are aimed
at resolving specific problems of a limited nature or
in specifically defined areas of the country. For
example, Federal-Provincial Agreements such as
those under the Agricultural and Rural
Development Act (ARDA) are concerned with rural
problems of unemployment and social
disadvantages. Special ARDA agreements have
been used as a vehicle to improve the economic
circumstances of native people by providing
financial and other assistance to create job
opportunities. Personal information may be stored
in administering programs falling within this class.
This information may include financial,
employment, demographic and educational data
on individuals. Such data, however, would be
stored as part of the general subject files where
records are not normally retrieved by name of
individual or other personal identifier. This form of
personal information is normally retrievable only if
specifics are provided concerning the name of the
program concerned and the name of the specific
project.
• Food & Agriculture Emergency Response
System (FAERS) Manual
Manuals
• Records Management Manual
• Administration Guidelines, Advance Payments
Program, Agricultural Marketing Programs Act
• Administration Guidelines, Price Pooling
Program, Agricultural Marketing Programs Act
• Agriculture and Agri-Food Canada Forms
Catalogue
• Canadian Adaptation and Rural Development
(CARD) Management Guide
• Departmental Security Manual
• Guidelines and Procedures, Crop Insurance Act
• Human Resources Management Manual
• Information Handbook – Listeria monocytogenes
• Inspection and Trade Memoranda
• Inventory of Canadian Agri-Food Research
Instructions Kit
• Manual for Describing Soils in the Field
• Manual of Administrative Policy and Procedures
• Operational Manual (Race Track Supervision)
• Pari Mutuel Betting Supervision Regulations
• PFRA Policy and Procedure Manual
• PFRA Survey Manual
• Precipitation and Evaporation Tables (19111981)
• Race Track Officer Training Manual
• Reference Listing of Accepted Materials and
Equipment
• Safety Manual
• Saturn Training Manuals
• Small Dam Design and Construction Manual
Agriculture and Agri-Food Canada
Additional Information
Please see the INTRODUCTION to this publication
for information on access procedures under the
provisions of the Access to Information Act and the
Privacy Act.
Requests for further information about the
Department and its various programs and
functions may be directed to:
Public Information Requests Services
Corporate Management Branch
Agriculture and Agri-Food Canada
Sir John Carling Building
930 Carling Avenue
Ottawa, Ontario K1A 0C5
Tel.: (613) 759-1000
Reading Room
The library of this institution has been designated
as a public reading room in accordance with the
Access to Information Act.
Canadian Agriculture Library
Reference Services
Sir John Carling Building
930 Carling Avenue, Room 169
Ottawa, Ontario K1A 0C5
Tel.: (613) 759-7068
79
80
Atlantic Canada Opportunities Agency
Atlantic Canada Opportunities Agency
Chapter 2
General Information
Background
The Atlantic Canada Opportunities Agency (ACOA)
is a Government of Canada agency whose mission
is to work in partnership with the people of Atlantic
Canada to improve the economy of our
communities through the successful development
of businesses and employment opportunities.
Created in 1987, ACOA offers a broad range of
programs and services designed to create
economic growth and business opportunities in
Atlantic Canada. The Agency ensures that a wide
variety of business development tools and
resources are available to Atlantic entrepreneurs
throughout all stages of the business lifecycle,
from the time they are thinking about setting up a
new business, to the time they are planning for
growth and expansion.
Even though ACOA is part of the Industry Portfolio,
the Agency reports to Parliament through the
Minister of ACOA.
Responsibilities
ACOA has a broad mandate for economic
development in Atlantic Canada to increase the
number of jobs and the earned income of Atlantic
Canadians. Because new employment is the direct
result of business growth, particularly among small
and medium-sized enterprises (SMEs), ACOA
seeks to provide people with encouragement,
advice and information, and the capital and
technology they need to start and expand their
own businesses.
To fulfill its mandate, the Agency pursues two
distinct activities: to ensure that a wide variety of
business development tools and resources serve
the diverse needs of the region’s emerging and
existing entrepreneurs; and to ensure that all
economic development programs and activities in
Atlantic Canada are coordinated and designed to
improve the climate for business growth generally.
Priorities
ACOA approaches its work in a strategic manner,
focusing on creating economic growth through
innovation; research and development; business
expansion; entrepreneurship and business skills
development; trade and investment promotion;
community economic development; and building
the region’s infrastructure.
ACOA’s key objectives are to build a stronger
Atlantic economy by: to improving the growth and
competitiveness of Atlantic enterprises; helping
rural communities become more economically selfreliant; and influencing and coordinating national
policies and investments that affect economic
growth in Atlantic Canada.
The Agency works toward these objectives through
six strategic priority areas: Policy, Advocacy and
Coordination; Innovation and Technology; Trade,
Tourism and Investment; Entrepreneurship and
Business Skills Development; Community
Economic Development; and Access to Capital
and Information.
Our Programs and Services
To meet its objectives in each of its key strategic
development areas, ACOA administers, or is
involved in, several programs.
Business Development Program
The Business Development Program provides
financial assistance to entrepreneurs to help them
start-up, expand or modernize their business.
Loans are interest-free and unsecured, and are
provided especially for those projects considered
to be critical to competitiveness but are often
considered to be too risky for conventional lenders.
Atlantic Investment Partnership (AIP)
In June 2000, the Government of Canada
introduced the Atlantic Investment Partnership
(AIP) to help the Atlantic region benefit more
directly from, and overcome the challenges
associated with the knowledge based economy.
The AIP’s priorities of innovation, community
economic development, entrepreneurship and
business skills development, and trade build on
the success of ACOA’s existing programs.
Canada Business Service Centres (CBSC)
The CBSCs, provide business people in every part
of Canada with access to accurate, timely and
relevant business information and referrals. The
CBSCs reduce the complexity of dealing with
various levels of government by serving as a central
resource for Canadian business information.
Atlantic Canada Opportunities Agency
Community Business Development
Corporations (CBDCs)
The CBDCs are autonomous, not-for-profit
corporations, serving rural Atlantic Canada. They
provide financing to help create, expand,
modernize and stabilize small businesses. They
also help entrepreneurs find the information,
advice and capital they need to succeed.
Infrastructure Canada Program
The Infrastructure Canada Program is enhancing
municipal infrastructure in communities across the
country and improving Canada’s quality of life
through investments that protect the environment
and support long term economic growth. In Atlantic
Canada the Infrastructure Canada agreements are
managed by ACOA, on behalf of the Government
of Canada, and the four provincial governments.
Pan-Atlantic Economic Development
Agreements
These agreements are comprehensive, multisectoral initiatives, designed to strengthen and
support economically significant activities, such as
trade and tourism.
Bilateral Economic Development Agreements
These are comprehensive, federal-provincial, costshared agreements involving strategic investments
designed to benefit an industry, a sector, a
community, and/or a province.
Adjustment Programs
ACOA administers several adjustment programs in
Atlantic Canada on behalf of the Government of
Canada. These programs provide assistance to
communities to help them develop alternate forms
of employment where traditional industries had
suffered a downturn.
Other Activities
ACOA is also involved in partnerships with other
federal departments to help develop and deliver
federal programs and investments in the Atlantic
region.
Legislation
• Canada Small Business Financing Act
• Government Organization Act, Atlantic Canada
• Regional Development Incentives Act
• Small Business Loans Act
• Special Areas Act
81
Organization
Organization Structure: Located in Moncton, New
Brunswick, ACOA’s Head Office is home to the
President’s Office, as well as the branches
responsible for Policy and Programs, Finance and
Corporate Services, Human Resources and Legal
Services.
Regional offices are located in each province’s
capital city. There, vice presidents have the
required authority to approve projects and
proposals, and are responsible for implementing
ACOA’s programs and policies.
The President also calls on the services of a
special advisor.
The President of ACOA is also the Chair of the
Agency’s Advisory Board, President of and CEO of
ECBC, and Chair of ECBC’s Board of Directors.
Through its Ottawa Office, ACOA ensures that
Atlantic Canada’s interests are reflected in both
the policies and programs developed by other
departments and agencies of the federal
government. This office, which reports to the
VicePresident of Policy and Programs, also works
to ensure Atlantic Canadians are aware of and
able to take advantage of the opportunities to
provide services and sell products to the
Government of Canada.
ACOA legislation provides for an ACOA Advisory
Board. Advisory Board members represent all
areas of Atlantic Canada.
While ECBC and ACOA have a close working
relationship, ECBC is a separate entity. It is a
Crown corporation that reports separately to
Parliament.
Information Holdings
Program Records
ACOA – General
Description: Includes records relating to ACOA - its
creation and organization, policies, mission, acts and
legislation, program authorities, initiatives. It also
includes records on the federal government’s
program review initiative as it relates to ACOA.
Topics: Policies, General Information, Delegated
Program Authorities, Initiatives, Creation of ACOA,
Savoie Transition to Maturity, DRIE/ACOA
Transition, ACOA Program Review, ACOA Acts
and Legislation.
Program Record Number: ACO GEN 001
82
ACOA Action Program
Description: Includes records relating to ACOA’s
Action Program that was established to provide
direct financial assistance to small and mediumsized businesses to increase competitiveness,
expand sales, introduce new products or develop
new businesses in selected industrial sectors.
Eligible sectors included: aquaculture, business
service industries (including services to primary
sectors), commercial research and development
facilities, manufacturing and processing, mining
and tourism. This program was replaced by the
Business Development Program.
Topics: Polices, General Information, Recoveries,
Benefits Monitoring, Eligibility of Projects, Reviews,
Evaluations, and Individual Projects.
Program Record Number: ACO PRO 012
ACOA Committees/Meetings/Conferences
Description: Includes records relating to the
establishment, organization, functions, agendas,
minutes, reports, etc, of committees, boards,
meetings, conferences that are specific to ACOA
or that have an ACOA representation.
Topics: Policies, General Information, Conference
Reports, ACOA Advisory Board Atlantic Enterprise
Board, Enterprise Cape Breton Board, Executive
Committee, Ministerial Executive Committee,
Standing Committees Meetings on Policy, Planning
and Programs. Meetings with ACOA President and
ACOA Minister, Federal/Provincial Committees,
Conferences and Info-Fairs Interdepartmental
Committees, Economic Summits, Review
Committees, Small Business Weeks, Workshops,
Business Information Series, Briefings,
Roundtables, Cabinet Committees, Deputy
Ministers Meetings and Committees, Inter-Agency
Meetings, Ministerial Consultations, Regional
Executive Directors Committee, and Task Force on
ACOA Regulations.
Program Record Number: ACO GEN 030
ACOA Strategic Priorities/Corporate Plan
Description: Includes, records relating to the
Agency’s strategic priorities in various sectors
such as entrepreneurship, trade and investment,
innovation and technology, human resource
development, investment support, procurement,
diversification, etc, as identified in the whole
business/corporate plan of the Agency.
Topics: General Information, Repositioning ACOA
Strategic Planning, Industry Portfolio Strategic
Plans.
Program Record Number: ACO GEN 002
Atlantic Canada Opportunities Agency
ACOA Program Design
Description: Includes records relating to ACOA
initiatives that promote regional economic
development in the Atlantic Region. Other ACOA
initiatives can be found in various sections of this
guide, according to subject or program.
Topics: General Information and Consultations.
Program Record Number: ACO GEN 036
Advocacy
Description: Includes records relating to the role
of Advocacy within ACOA that is to make new
government initiative more responsive to the
needs of Atlantic Canada. This is accomplished
through environmental scanning and the
monitoring of the federal government’s priorities for
linkages and impacts, alerting and advising
government officials on emerging issues, feeding
information about Atlantic Canada to central
agencies, line departments and to Cabinet, and
influencing government’s procurement agenda.
Topics: Policies and General Information.
Program Record Number: ACO PRO 009
Atlantic Base Closure Adjustment
Fund/Program
Description: Includes records relating to ACOA’s
involvement in the Base Closure Adjustment
Program that was established to assist
communities in Atlantic Canada affected by the
closure or reduction of military installations, to
attach new economic activity, diversify the
industrial base and generate employment
opportunities in the Atlantic Region.
Topics: General, Base Closure Adjustment
Programs (NB, NL, and NS).
Program Record Number: ACO PRO 021
Atlantic Canada Cultural and Economic
Partnership (ACCEP)
Description: Includes records relating to the
Atlantic Canada Cultural and Economic
Partnership which is a $10 million initiative funded
jointly on an equal basis by ACOA and the
Department of Canadian Heritage. This initiative
seeks to support the development initiatives in the
region’s cultural communities and to serve as an
investment instrument relating, primarily, to
development in the cultural sector, with particular
emphasis on the 400th anniversary of l’Acadie.
Topics: General Information and Individual
Projects.
Program Record Number: ACO PRO 040
Atlantic Enterprise Program (AEP)
Description: Includes records relating to the
Agency’s Atlantic Enterprise Program (AEP) that
Atlantic Canada Opportunities Agency
was developed to promote long-term economic
growth in the Atlantic Region. AEP offered financial
assistance to businesses across a wide range of
industry sectors and complemented other
assistance programs of the Department of
Regional Industrial Expansion (DRIE), such as the
Industrial and Regional Development Program
(IRDP), the Small Business Loans Act (SBLA) and
the federal-provincial sub-agreements. This
program is no longer active.
Topics: Policies, General Information and
Individual Projects.
Program Record Number: ACO PRO 015
Atlantic Investment Partnership (AIP)
Description: Includes records, relating to the
Agency’s Atlantic Investment Partnership Program
that is designed to stimulate stronger economic
growth and create good quality jobs. It involves the
research community, the private sector, community
leaders and the four Atlantic provincial
governments. There are major investments in four
major areas: Innovation, Community Economic
Development, Trade and Investment,
Entrepreneurship and Skills Development.
Topics: Policies, General Information, Atlantic
Innovation Fund (AIF), AIF Advisory Board, AIF
Consultations, AIF
Meetings/Conferences/Workshops, AIF Review
Committee, Strategic Community Investment Fund
(SCIF), Innovation Skills Development Initiative,
Women in Business Initiative, Young Entrepreneur
Development Initiative, Atlantic Trade and
Investment Partnership (ATIP), and Individual
projects under each major area.
Program Record Number: ACO PRO 031
Atlantic Policy Research Initiative (APRI)
Description: Includes records relating to the
Agency’s involvement in the Atlantic Policy
Research Initiative that was established to support
the federal priorities of building policy capacity, to
enhance ACOA’s capability to coordinate federal
economic development activities and to identify
economic opportunities and challenges and plan
strategic approaches to address them, and to
support policy research projects in the Atlantic
region. This initiative is a continuation/amendment
of the Pan-Atlantic Economic Coordination and
Research Initiative.
Topics: Policies, General Information, Proposals,
Evaluations and Individual Projects.
Program Record Number: ACO PRO 38
Business Development Program
Description: Includes records relating to ACOA’s
83
Business Development Program that is designed
to provide assistance to small and medium-sized
enterprises to establish, expand or modernize. The
program offers access to capital in the form of
interest-free, unsecured loans and provisionally
repayable loans. Funding is also available to nonprofit organization for activities that support SMEs.
This program replaced the Agency’s Action
Program.
Topics: Policies, General Information, Evaluations,
and Individual Projects.
Program Record Number: ACO PRO 028
Business Management Practices
Description: Includes records relating to ACOA’s
involvement in the Business Management
Practices Initiative that was established to build a
broadly-based partnership to make the most
efficient use of business management practices,
and increase awareness of the benefits accruing
from quality management which are essential to
any company’s success.
Topics: Policies, General Information.
Program Record Number: ACO PRO 014
Canada Apparel and Textile Industries Program
(CATIP)
Description: Includes records relating to the
Agency’s activities and involvement in the delivery
of the Canadian Apparel & Textile Industries
Program (CATIP). The Program, which resides
with Industry Canada and delivered in Atlantic
Canada by ACOA, is to help firms identify and
introduce best practices and better access to
capital markets and exploit leading edge
technologies through support for a number of
projects. This initiative is intended to assist apparel
and textile firms to diversify their markets and
increase competitiveness.
Topics: General Programs Information and
applications for funding.
Program Record Number: ACO PRO 041
Canada Business Service Centres (CBSCs)
Description: Includes records relating to the
Agency’s Canada Business Services Centres
program that provides information and assistance
to the public as a “One Stop Shop” on various
programs and services offered by federal,
provincial and municipal partners, as well as
private partners.
Topics: Policies, General Information,
Committees, Business Plans Budgets,
Evaluations, Staffing, Communications Issues, and
Reports.
Program Record Number: ACO PRO 007
84
Canada Infrastructure Program
Description: Includes records relating to ACOA’s
involvement in the Canada Infrastructure Program
was established to renew municipal infrastructure,
improve the environment and enhance Canada’s
competitiveness while accelerating economic
recovery through job creation.
Topics: Policies, General Information Agreements
with Atlantic Provinces, Report of the Auditor
General.
Program Record Number: ACO PRO 013
Canada Small Business Financing Act(CSBF)
Description: Includes records relating to the
Canada Small Business Financing Act (formerly
known as Canada Small Business Loans Act)
Program established to encourage lenders in the
private sector to increase the availability of loans
for the purpose of the establishment, expansion,
modernization and improvement of small business
enterprises.
Topics: Policies, General Information, and
Program Review.
Program Record Number: ACO PRO 011
Canadian Fisheries Adjustment &
Restructuring Initiative (CFAR)
Description: Includes records relating to ACOA’s
involvement in the Canadian Fishery Adjustment
and Restructuring Initiative (CFAR) that was
established as part of a series of measures to
assist individuals and coastal communities in
Atlantic Canada to deal with the permanent
downsizing of the Atlantic ground fishing industry.
ACOA is involved in the delivery of the economic
development component of post-TAGS (Atlantic
Groundfish Strategy).
Topics: Policies, General Information, and
Individual Projects in NL and NS.
Program Record Number: ACO PRO 032
Communications Services
Description: Includes records relating to the
communications function of the Agency that is to
establish a profile and understanding of ACOA
among the general public and target audiences
and to increase awareness of ACOA’s role as a
policy leader in Atlantic Canada. This is
accomplished through the Agency’s general
administration of public affairs, marketing and
media relations (news releases, clippings, slides,
videos, photographs, advertising, press
conferences, public opinion surveys, success
stories, newsletters, brochures, speeches and
communications meetings).
Topics: Polices/Communication Plans, General
Atlantic Canada Opportunities Agency
Information, Media Relations, Biographies, News
Release Procedures, Project Announcements
News Clippings, Situation Analysis, Slides/Videos,
Advertising, Newsletter, Speeches, Public Opinion
Surveys, Briefing Material, Conferences and
Meetings.
Program Record Number: ACO GEN 037
Community Development Fund (Newfoundland
and Labrador)
Description: Includes records relating to ACOA’s
involvement in the Community Development Fund
program that was established to assist
communities affected by the closure of the fish
plants in Newfoundland and Labrador.
Topics: General
Program Record Number: ACO PRO 023
Community Diversification Fund
(Newfoundland Office)
Description: Includes records relating to ACOA’s
involvement in the Community Diversification Fund
Program that was established to assist
communities affected by the closure of CN Railway
in Newfoundland and Labrador.
Topics: General Information, and Projects.
Program Record Number: ACO PRO 022
Community Futures Program /Community
Economic Development
Description: Includes records relating to the
Community Futures Program that is established to
support autonomous, not for profit Community
Business Development Corporations (CBDCs) to
help entrepreneurs in rural areas to access the
information, advice and capital required to
succeed.
Topics: Policies, General Information,
Communications Issues, Regional Economic
Development Organization and Individual Projects.
Program Record Number: ACO PRO 029
Consulting Advisory Service (CAS)
Description: Includes records relating to ACOA’s
Consulting Advisory Services that was established
to provide business clients access to consulting
expertise to pursue business opportunities or solve
problems.
Topics: Policies, General Information, Evaluation
and Contracts.
Program Record Number: ACO PRO 005
Cooperation and Liaison (General/Federal/
Provincial/ International/Universities)
Description: Includes records relating to activities,
discussions and sharing of ideas between ACOA
and organizations, federal government
departments, provincial government departments,
Atlantic Canada Opportunities Agency
international organizations and universities.
Topics: Policies, General Information, Chamber of
Commerce, Atlantic Provinces Economic Council,
Atlantic Canada Chinese Business Council,
Atlantic Provinces Education Foundation, Atlantic
Canada Plus, federal government departments,
provincial government departments, municipal
government, universities, colleges, business
development banks, Council of Maritime Premiers,
Canadian Federation of Independent Business,
Conference Board of Canada, Conseil économique
du Canada, Cooperatives, Canadian Opportunity
Investment Network, Enterprise Cape Breton
Corporation, and other regional development
agencies.
Program Record Number: ACO GEN 031
Cooperation Program/Agreements
Description: Includes records relating to the
Agency’s activities and involvement in the
COOPERATION Program that was established to
create partnerships between ACOA, the Atlantic
Provinces and the private sector to assist in
developing a variety of sectors of the Atlantic
economy.
Topics: Policies, General Information, Meetings,
Committees, Evaluations, Federal/Provincial
Framework, Communications Issues, Individual
Federal/Provincial Agreements (NB, NL, NS and
PEI), Pan-Atlantic Aboriginal Partnership, Atlantic
Agri-Products Competitiveness Initiative,
Cooperation Agreement on International Business
Development, and Individual Projects.
Program Record Number: ACO PRO 016
Coordination
Description: Includes records, relating to the role
of Coordination within ACOA that is to provide
leadership on major economic issues and in the
management of special projects and key initiatives
on behalf of the Government of Canada. In sum,
the objective of the Coordination function is to
engage economic partners in addressing the
Atlantic region’s strategic economic priorities.
Topics: Policies, General Information, Official
Languages Act (Article 41 & 42), Canada-France
COOPERATION Agreement, Canadian
Multiculturalism Act, Interdepartmental Partnership
on the Official Language Communities (IPOLC).
Program Record Number: ACO PRO 010
Entrepreneurship Program
Description: Includes records relating to ACOA’s
initiative to promote entrepreneurship and small
business development for the economic, social
and cultural development of our country in
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partnership with private sector, provincial and
territorial governments and the academic
community.
Topics: Policies, General Information, Reports,
Proposals Initiatives, Forums, Conferences,
Seminars, Committees, Awards, Publications,
Evaluation, Women Entrepreneurs, Young
Entrepreneurs , Shad Valley Program, and Small
Business Counselling.
Program Record Number: ACO PRO 006
Federal Regional Councils (Secretariat)
Description: Includes records relating to the
activities, discussions, and sharing of ideas
between ACOA and the Federal Regional
Councils, which are composed of senior federal
officials in each of the Atlantic provinces to
coordinate and advocate federal initiatives in
Atlantic Canada. These networks bring to the
Portfolio, and the government as a whole, a
special understanding of the Atlantic economy and
the challenges and opportunities facing the
region’s business community (The Secretariat files
should be returned to the Secretariat if the
Chairperson changes.)
Topics: Policies, General Information, Task Force
on Coordination of Federal Activities in Region.
Program Record Number: ACO GEN 35
Fisheries Alternative Program
(FAP)/Community Economic Diversification
Program (CEDP)
Description: Includes records relating to ACOA’s
involvement in the Fisheries Alternative Program
that was established as the Federal Response to
give financial assistance to communities after
termination or disruption in their major economic
circumstances as a result of the downturn in the
Atlantic fishing industry. This program is no longer
active. It has been replaced by the Canadian
Fisheries Adjustment & Restructuring (CFAR)
Initiative.
Topics: Policies, General Information, Evaluation
and Individual Projects in Atlantic Provinces.
Program Record Number: ACO PRO 020
Fixed Link Redevelopment Initiative
Description: Includes records relating to the
Agency’s involvement in the Tripartite Agreement
between Canada and the provinces of PEI and
NB. Funds provided by the Government of Canada
are for the redevelopment of Borden, PEI, and
Cape Tormentine, NB, to offset adverse effects of
termination of ferry between Borden and Cape
Tormentine.
Topics: Policies, General Information, Borden
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Redevelopment Program (PEI Projects), and Cape
Tormentine Area Redevelopment Program (NB
Projects).
Program Record Number: ACO PRO 019
Government Procurement
Description: Includes records relating to the
Agency’s involvement in the procurement strategy
to increase long term economic activity in Atlantic
Canada and to help successful companies
leverage federal contracts into non-government
markets.
Topics: Policies, General Information, Atlantic
Opportunities Program, Annual Strategic
Acquisition Plan Atlantic Canada Supplier
Development Program Canadian Automated Air
Traffic Control System Defence Procurement, Free
Trade Agreement Procurement Provisions,
Committees, Meetings, Studies, Science and
Technology Procurement Network, and Western
Supplier Development Program (WSDP).
Program Record Number: ACO PRO 018
Industrial Regional Development Program
(IRDP)
Description: Includes records relating to the
Industrial Regional Development Program (IRDP)
that was established by the former Department of
Regional Industrial Expansion (DRIE) to promote
regional industrial development through the
support of private sector initiatives. The program
provided financial assistance to business and nonprofit organizations through contributions and
repayable contributions. The Program is no longer
active.
Topics: Policies, General Information, and
Individual Projects.
Program Record Number: ACO PRO 017
Industries
Description: This section includes records relating
to ACOA’s activities and involvement in various
industry sectors to promote regional economic
development within the Atlantic region. These
sectors include: agriculture, defence, energy,
environment, fisheries, forestry, manufacturing,
mining, innovation and technology, health,
geomatics, shipbuilding, tourism, trade and
transportation.
Topics: Policies and General Information,
Committees, Meetings, Conferences, Initiatives,
Strategies.
Program Record Number: ACO IND 024
Innovation
Description: Includes records relating to a
strategic priority of ACOA to strengthen the
Atlantic Canada Opportunities Agency
innovation performance of the Atlantic region
through development and commercialization of
new technologies, enhanced technology capability
and growth of strategic sectors. Information
relating to ACOA-funded innovation projects can
be found under ACOA Action Program section,
Atlantic Investment Partnership Section,
Cooperation Program Section and the Business
Development Program Section.
Topics: Policies, General Information,
Committees, Working Groups, Meetings,
Technology Breakfasts, Roundtables Space
Programs, Canada-Israel Research and
Development Foundation, National Research
Council, Commercialization of Research,
Technology Partnerships Canada, Canadian
Foundation for Innovation, Innovation White Paper,
Canada Innovation Strategy, Ongoing Solution to
Indirect Costs of Academic Research, Evaluations,
E-Commerce.
Program Record Number: ACO IND 025
Municipal Rural Infrastructure Fund (MRIF)
Description: Includes records relating to ACOA’s
involvement in the Municipal Rural Infrastructure
Fund Agreement that was established to renew
municipal infrastructure to improve the
environment, to promote social and economic
development of local areas, and enhance
Canada’s competitiveness while accelerating
economic recovery through job creation.
Topics: Policy, General and Projects.
Program Record Number: ACO PRO 42
Pan-Atlantic Coordination and Research
Initiative
Description: Includes records relating to the
Agency’s activities and involvement in the PanAtlantic Coordination Research Initiative that was
established to build upon the interest shown by the
Atlantic provinces in the promotion of economic
growth through greater economic cooperation and
integration and to enhance the capability of ACOA
to coordinate federal economic development
activities/opportunities in the Atlantic region.
Topics: Policies, General Information, Proposals,
Evaluations and Individual Projects.
Program Record Number: ACO PRO 39
Policy, Research and Development
Description: Includes records relating to the role
of policy within ACOA to provide a targeted
program of policy research and analysis to
improve the understanding of issues and to
provide a sound basis for decision-making and
build consensus among various departments,
Atlantic Canada Opportunities Agency
regional economy, stakeholders both within and
outside government. This includes internally driven
research, research carried out by and with external
partners and policy roundtables and seminars.
Topics: Policies, General Information, Atlantic
Economic Development, Aboriginal Economic
Development, Micro Economic Action Plan,
Studies and Surveys, Policy Research Initiative,
Medium Term Policy Planning Paper on
Productivity, Conference and Meetings.
Program Record Number: ACO GEN 003
Programs/Agreements – General
Description: Includes records relating to
programs, initiatives, agreements and subagreements not found elsewhere in this section, in
which ACOA is involved with through funding or
support; these may be with other agencies,
government departments (federal or provincial),
groups or individuals. Also includes records
relating to the program evaluation general function
of the Agency, the Venture Loan Program, as well
as legal information relating to operational issues
of ACOA.
Topics: Policies, General Information, Funding
Trail Endowment Fund– John Cabot Corporation,
Pictou County Economic Development Fund,
Preston and Area Development Fund DEVCOECBC Transition, ECB/ECBC Assessment,
Proposed ECBC/ACOA Transition Venture Capital
Program Task Forces, Committees, Working
Groups and Meetings, Evaluations and Evaluation
Committees, Legal Matters of ACOA Clients,
Federal Youth Strategy, Aboriginal Economic
Development Strategy, Volunteer Sector Initiative,
Urban Issues, Rural Economic Renewal Initiative,
and Broadband for Rural and Northern
Development Pilot Program, and Quality Service
Initiative
Program Record Number: ACO PRO 004
Programs/Agreements – Reports
Description: Includes records relating to all
reports (weekly, monthly, etc.) as well as annual
reports, reports to Parliament prepared for the
ACOA Minister, the ACOA President and all ACOA
vice-presidents on all the Agency’s
Programs/Agreements.
Topics: Policies, General Information, Program
Reports, (Weekly, Monthly, Quarterly.
Program Record Number: ACO PRO 008
Sustainable Development Strategy
Description: Includes records relating to ACOA’s
two main activities related to Sustainable
Development which are: providing programs to
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inform and fund private sector business and
internal operations. Also includes records
pertaining to the Canadian Environmental
Assessment Act.
Topics: Policies, General Information,
Environmental Assessment, Reports, Studies,
Conferences and Meetings, Committees,
Strategies, Consultations, Initiatives, Training,
Audits and Evaluations.
Program Record Number: ACO GEN 034
Tourism
Description: Includes records, relating to a
strategic priority of ACOA to promote Atlantic
Canada as a desirable tourism destination. This is
done in partnership with the Atlantic provinces and
key industry stakeholders.
Topics: Policies, General Information, Initiatives,
Canadian Tourism Commission, Canada/Atlantic
COOPERATION Agreement on International
Tourism Marketing, Meetings, Conferences,
Working Group, Roundtables, Coast of Difference,
Atlantic Canada Agreement on Tourism, Surveys,
Aboriginal Tourism, Tourism Industry Association of
Canada, Association of Tourist Operators, Atlantic
Canada Tourism Partnership, Tourism Campaigns,
and Evaluation, Individual Projects
Program Record Number: ACO IND 026
Trade
Description: Includes records, relating to a
strategic priority of ACOA to enhance Atlantic
Canada’s trade and export skills and strengthen
the export performance of the Atlantic region by
enhancing the capabilities and capacity of SMEs to
initiate and expand export activity. This is
accomplished through a series of developmental
and support activities in four key strategic areas:
awareness, skills development financing and
policy, advocacy and coordination. ACOA-funded
trade projects are under COOPERATION
Program/Agreements Section. Also includes
records relating to ACOA’s priority to increase
foreign direct investment in the Atlantic region
through targeted investment missions, investment
research, information management dissemination,
promotional activities and investment development
partnership.
Topics: Policies, General Information,
Publications, Meetings, Committees, Multilateral
Trade Negotiations, International Trade,
Interprovincial Trade, Trade Missions, Trade
Shows, Investment Promotion, and Proposals,
Enhanced Representation in the US Initiative.
Program Record Number: ACO IND 027
88
Atlantic Canada Opportunities Agency
Standard Program Records
Relocation
Please see the INTRODUCTION to this publication
for the definition of Standard Program Records
and a description of their contents.
Travel
Classes of Personal Information
Access to Information and Privacy Requests
Mailing Lists
Accounts and Accounting
This class of personal information contains the
names and addresses of individuals who are on a
mailing list to receive specific information or
publications on departmental programs and
activities. The lists are used by all bureaus to
distribute departmental information and to respond
to requests by individuals. The lists are updated on
a continuing basis. The lists are maintained for a
minimum of two years.
Acts and Legislation
Administration
Administration and Management Services
Audits
Budgets
Buildings
Buildings and Properties
Classification of Positions
Employment and Staffing
Equipment and Supplies
Finance
Furniture and Furnishings
Hospitality
Human Resources
Occupational Health, Safety and Welfare
Office Appliances
Official Languages
Pensions and Insurance
Personnel
Procurement
Relocation
Salaries and Wages
Staff Relations
Training and Development
Travel
Vehicles
Standard Personal Information
Banks
Please see the INTRODUCTION to this publication
for the definition of Standard Banks and a
description of their contents.
Access to Information and Privacy Requests
Hospitality
Internal Disclosure of Wrongdoing in the WorkPlace
Ministerial Correspondence
This class of information contains correspondence
addressed to the Minister, from external
organizations and individuals in the form of
requests for information, complaints, opinions and
other submissions related to a broad range of
policy issues pertaining to ACOA’s activities
wherein some unsolicited personal information has
been provided by the correspondent. This form of
information would be retrievable only if specifics of
name, date of communication and subject were to
be provided; it is not arranged or retrievable by
personal identifiers. The retention periods of these
classes of personal information are controlled by
the record schedules of the general subject files in
which they are stored.
Programs and Agreements
This class of information contains documents
related to programs and agreements administered
by ACOA. Personal information may be stored in
administering programs falling within this class.
The information may include financial, employment
and demographic data on individuals. Such data,
however, would be stored as part of the general
subject files where records are not normally
retrieved by name of individual or other personal
identifier. This form of information is normally
retrievable only if specifics are provided.
Public Opinion Research
This is a class of records generated by
departmental officials who conducted public
opinion research on a vast spectrum of topics
related to the mandate and mission of ACOA.
Retrievable records consist of data gathering
instruments, such as, but not exclusively,
Atlantic Canada Opportunities Agency
questionnaires which may contain personal
information that reveals the identification of the
research subject. Data contained in this class of
records are not used for administrative purposes.
Individuals seeking access to these records must
provide the title of the research project in which
they participated, the location and the date of the
search, and any other data that may help to
identify and locate the personal information they
are seeking.
89
• Employee Codes
• Employee Guide to Government Security
• GMAX (Entry and Escape)
• Guidelines for the Preparation of Minister’s
Correspondence
• Guidelines for the Preparation of the President’s
Correspondence
• Payment Authorization
Subject Files and routine Correspondence
Some Agency programs and activities result in the
accumulation of personal information which is not
contained in the personal information banks
described above. This personal information is
stored within subject files described as part of the
Agency’s Information Holdings where records are
not normally retrieved by the name of the
individual or other personal identifier. This form of
personal information consists of enquiries
concerning particular justice matters, as well as
requests for publications and reports. The
information is normally retrievable only if specifics
are provided concerning the subject matter.
Retention of this form of personal information is
controlled by the records schedules of the subject
files in which the information is stored.
Suggestions
This class of information may contain the names of
persons, working at the Atlantic Canada
Opportunities Agency, who have submitted
suggestions either in hard copy or electronically
regarding various facets of the workplace, such as
internal communications, leadership, career
development, teamwork, and business process.
Manuals
• ACOA Acquisition Card Policy
• ACOA Classification Designation Guide
• ACOA Financial Coding Manual
• ACOA Parking Policy
• ACOA Vehicle Management Policy
• Business Development Program – Policy and
Procedures Manual
• Classification/Designation of Information Guide
• Community Futures Program – Policy and
Procedures Manual
• Payment Requisition
• Pre-authorized Payments for Travel
• Stop Payment/Cancelled Cheques
• Subject Classification Guide
• Supplier Codes (Operating and Maintenance,
and Grants and Contributions)
• The ACOA Trade Toolkit
• Visual Identity Manual
Additional Information
Please see the INTRODUCTION to this publication
for information on access procedures under the
provisions of the Access to Information Act and the
Privacy Act.
Requests for further information about the Agency
and its various programs and functions may be
directed to:
Head Office
Atlantic Canada Opportunities Agency
644 Main Street, 3rd Floor
P. O. Box 6051
Moncton, New Brunswick E1C 9J8
Tel.: (506) 851-2271
Toll-free: 1-800-561-7862
Fax: (506) 851-7403
E-mail: [email protected]
Web Site: www.acoa-apeca.gc.ca
90
Reading Room
The library at the Agency’s Head Office has been
designated as a public reading room for the
purposes of the Access to Information Act. The
address is:
Library
Atlantic Canada Opportunities Agency
Head Office
644 Main Street, 3rd Floor
P. O. Box 6051
Moncton, New Brunswick E1C 9J8
Atlantic Canada Opportunities Agency
Atlantic Pilotage Authority Canada
91
Atlantic Pilotage Authority Canada
Chapter 3
General Information
Background
As a result of recommendations made by the
Royal Commission on Pilotage in Canada, the
Pilotage Act was assented to by Her Majesty and
the Governor-in-Council and proclaimed February
1, 1972.
The Pilotage Act created four pilotage regions with
specific authorities, thereby replacing a large
number of local pilotage districts. The four pilotage
authorities – Atlantic, Laurentian, Great Lakes, and
Pacific – are Crown corporations, responsible to
Parliament through the Minister of Transport.
The Atlantic Pilotage Authority was incorporated in
carrying out the Pilotage Act in 1972, and pursuant
to the Financial Administration Act, (Schedule SC
1983-84, 31) was designated a Schedule III Part I
Crown corporation.
Responsibilities
The role of the Authority is to establish, operate,
maintain and administer, in the interest of safety,
an efficient and economical pilotage service within
its geographical boundaries – all coastal waters in
the Atlantic region. As a further goal, the authority
prescribes tariffs of pilotage charges that are fair,
reasonable and consistent with providing revenues
sufficient to permit the Authority to operate on a
self-sustaining financial basis.
Operations Division
This Division provides pilotage services by
assigning and dispatching qualified pilots to ships
navigating within the boundaries of the Atlantic
Pilotage Authority.
Information Holdings
Program Records
Pilotage Services
Description: Information on the provision of
pilotage services within the Atlantic region.
Topics: Dispatching records; pilotage licences;
tariff charges; assignments of pilots to vessels;
collective agreements; international shipping
affairs.
Program Record Number: APA OPD 005
Tariffs
Description: Information on the setting of tariffs
for the provision of pilotage services; also the
conduct and results of consultation concerning the
setting of tariffs in various districts throughout the
region as well as results of Canadian
Transportation Agency of Canada hearings.
Topics: Setting of tariffs; tariff charges; pilotage
services; CTA hearings.
Program Record Number: APA OPD 010
Standard Program Records
Legislation
Please see the INTRODUCTION to this publication
for the definition of Standard Program Records
and a description of their contents.
• Atlantic Pilotage Regulations
Access to Information and Privacy Requests
• Authority By-Laws
Accounts and Accounting
• Canadian Shipping Act
• General Pilotage Regulations
Administration and Management Services
Budgets
Business Continuity Plans
• Pilotage Act
Classification of Positions
Organization
Employment and Staffing
Administration Division
This Division provides administrative and financial
services as required to operate within accepted
corporate business procedures.
Finance
Human Resources
Information Technology Services
Pensions and Insurance
92
Atlantic Pilotage Authority Canada
Personnel
Reading Room
Procurement
An area on the premises of this institution has
been designated as a public reading room
according to the provisions of the Access to
Information Act. The address is:
Training and Development
Standard Personal Information
Banks
Please see the INTRODUCTION to this publication
for the definition of Standard Banks and a
description of their contents.
Access to Information and Privacy Requests
Business Continuity Planning (BCP)
Manuals
• Accounting Procedures
• Administrative Directives
• Collective Agreements
• Dispatching Procedures
• Pilot Licence Register
• Pilotage Tariffs
• Service Contracts
• Working Rules
Additional Information
Please see the INTRODUCTION to this publication
for information on access procedures under the
provisions of the Access to Information Act and the
Privacy Act.
Please note: Requests made to the Atlantic
Pilotage Authority under the Access to Information
Act must be accompanied by an application fee of
$5.00, made payable to the Atlantic Pilotage
Authority .
Requests for further information about the
Authority and its various programs and functions
may be directed to:
Atlantic Pilotage Authority
Cogswell Tower
2000 Barrington Street, Suite 910
Halifax, Nova Scotia B3J 3K1
Tel.: (902) 426-2550
2000 Barrington Street, Suite 910
Halifax, Nova Scotia B3J 3K1
Bank of Canada
93
Bank of Canada
Chapter 4
General Information
Background
The Bank of Canada is the country’s central bank.
It was incorporated in 1934 under the Bank of
Canada Act. Under the preamble of the Act,
unchanged since its inception, the Bank of Canada
is required “to regulate credit and currency in the
best interests of the economic life of the nation, to
control and protect the external value of the
national monetary unit and to mitigate by its
influence fluctuations in the general level of
production, trade, prices and employment, so far
as may be possible within the scope of monetary
action, and generally to promote the economic and
financial welfare of Canada.”
Overall responsibility for the management of the
Bank is assigned to the Board of Directors,
composed of the Governor, the Senior Deputy
Governor and 12 directors. The Governor and
Senior Deputy Governor are appointed for sevenyear terms, the directors for three years. The
Deputy Minister of Finance sits on the board as a
non-voting member. The Governor is the Chief
Executive Officer of the Bank and is responsible
for the business of the Bank. As a practical matter,
since 1994, the Governing Council, composed of
the Governor, the Senior Deputy Governor and the
four other Deputy Governors has conducted
Monetary Policy. The Executive Management
Committee which includes a broader
representation of management ensures that
matters related to strategic direction and
management are reviewed at the executive level.
Responsibilities
The Bank of Canada’s primary responsibilities can
be grouped into four broad functions: developing
and implementing monetary policy, issuing bank
notes, promoting the safety and efficiency of
Canada’s financial systems and providing funds
management services.
Monetary policy is the Bank’s primary function and
most important responsibility. Monetary policy is
concerned with managing the rate of monetary
expansion in a way that is consistent with
preserving the value of money. As part of its
financial system role, the Bank oversees and
provides operational support for major clearing and
settlement systems, and conducts research into
financial stability issues. In funds management, the
Bank serves as fiscal agent for the government,
advising on the management of the federal public
debt and providing treasury management services.
The Bank also has sole responsibility for issuing
Canada’s bank notes, undoubtedly its best-known
product. This responsibility involves note design
(including features that enhance security against
counterfeiting), as well as printing, distributing and
eventually replacing bank notes. Coinage, on the
other hand, is produced by the Royal Canadian
Mint. Lastly, as the government’s fiscal agent, the
Bank advises the government on matters relating
to the public debt, issues government debt,
maintains bondholder records, and makes
payments on behalf of the government for interest
and debt redemption.
Legislation
• Bank of Canada Act
• Payment, Clearing and Settlement Act
Organization
Corporate Administration Departments
The Corporate Administration Departments provide
advice, information and internal services that
support the management of the Bank. The
Corporate Administration departments are:
Executive and Legal Services, Communications,
Corporate Services, Financial Services
(information, human resources, facilities, office,
protective and automation services) and Audit
Services. Executive and Legal Services provide
corporate secretary support to the Bank’s Board of
Directors and the management of the Bank.
Communications provide publication and public
information services and Financial Services is
responsible for the internal financial functions of
the Bank, statutory financial reporting
requirements, and accounting in support of the
Exchange Fund Account.
Department of Banking Operations
The overall responsibility of the Department is to
94
provide efficient and effective service to other
central banks, international financial organizations,
the Government of Canada, chartered banks, trust
companies and other financial organizations. Its
responsibilities include the security and
administration of valuables such as gold and
securities, unclaimed bank balances, the provision
of banking services to other clients, and all
aspects of the issuance of bank notes, including
custody of the National Currency Collection. The
Department also provides fiscal functions for which
the Bank of Canada acts as an agent for the
Government of Canada. These functions include
the clearing of government obligations and
receiving deposits for the account of the
Government of Canada. Finally the Department
participates with the Research Department in the
Bank’s Regional Presence activities.
Department of Monetary and Financial
Analysis
This department is responsible for analyzing the
transmission mechanism of monetary policy and
contributing to the Bank’s role in providing for
financial stability. The department monitors and
analyzes the evolution of financial variables such
as monetary aggregates, credit aggregates and
interest rates. It also monitors the evolution of the
financial institutions, financial intermediation and
payments systems to assess the implications for
monetary policy and financial stability. It provides
advice on regulatory and supervisory issues
related to the financial sector policies under the
jurisdiction of the federal government. Finally the
department is responsible for the regulatory
oversight of major clearing and settlement
systems.
Financial Markets Department
This department has both operational and
analytical duties. Its most important operational
functions are to help implement monetary policy
through its activities in financial markets, to
conduct foreign exchange operations as fiscal
agent for the government and the Bank, and to
issue Government of Canada securities (principally
treasury bills and marketable bonds) both
domestically and abroad. Its analytical function is
to monitor conditions in financial markets, forecast
key financial flows and study relevant financial
relationships. The results are communicated to the
Bank’s senior officers for their use in formulating
monetary policy, advising the government on
matters related to debt management, and
Bank of Canada
influencing the development of capital market
structures appropriate to Canadian needs.
Debt Administration Office
This department is responsible for administering
Government of Canada domestic securities. Its
functions include: development and distribution of
debt certificates; maintenance of the debt register
information; servicing the holders of debt
instruments through account statements, interest
payments, product information and other client
services; and managing the order-taking and
redemption processes through intermediaries.
International Department
The principal responsibilities of this department
include producing timely analyses of current and
prospective economic developments in foreign
countries, providing policy advice on issues
addressed by international organizations such as
the International Monetary Fund and the OECD,
and undertaking studies on international financial
markets and economic policy issues.
Research Department
This department’s primary responsibility is to
assess the significance of current economic
developments and prospects in Canada and to
keep Bank management fully informed about
them. An aspect of this responsibility is to seek
further understanding of the operation of the
economy and of public policies which are, or could
be, employed in an attempt to regulate it.
Information Holdings
Program Records
Corporate Administration Departments
Confirmation of Balances and Statements of
Gold and Securities Held in Safekeeping by the
Bank of Canada
Description: Information on the custodial
responsibilities of the Bank towards clients for the
safekeeping of their gold or securities.
Topics: Central banks; chartered banks; domestic
financial institutions; Government of Canada
accounts; Government of Canada agencies;
international financial institutions; dealers.
Access: Files are arranged by organization.
Format: Paper and electronic.
Program Record Number: BOC CSD 345
Bank of Canada
Exchange Fund Account
Description: Information on the Minister of
Finance’s Exchange Fund Account, the principal
repository of Canada’s foreign exchange reserves.
Topics: Legislation, transactions and accounting
procedures; portfolio management; Exchange
Fund Account reports.
Access: Files arranged by subject
Format: Paper and electronic
Program Record Number: BOC CSD 350
Fellowship Program
Description: The goal of this program is to
encourage research at Canadian universities in
areas critical to the Bank’s mandate:
macroeconomics, monetary economics,
international finance, and the economics of
financial markets and institutions. The records
contain the applications and supporting document,
including research papers, letters of nomination
and other material to substantiate how the
applicants meet the criteria of the program; criteria
used to determine successful applicants;
committee meeting agenda and minutes, etc.
Topics: Fellowship Program – General, Policies
and Procedures; Press Releases; Nominating
Committee; Meetings; Presentations by Recipients
of Research Findings.
Access: Files are organized by subject; fellowship
recipiants and non-awarded are filed in
alphabetical order by applicant name.
Program Record Number: BOC ELS 400
General Accounting Records
Description: Information on various accounts and
accounting as prescribed by the Bank of Canada
Act.
Topics: Accounting; Bank of Canada balance
sheets; Bank of Canada notes -general, orders
and deliveries, destruction, pricing;
statements/reports; banks in liquidation -loan
analysis; investment transactions; unclaimed bank
balances.
Access: Files arranged by subject
Format: Paper and electronic
Program Record Number: BOC CSD 340
Department of Banking Operations
Bank Note Research
Description: Information on all phases of bank
note design, production, anti-counterfeiting
measures, distribution and special studies on the
automation of handling of bank notes.
Topics: Special studies; committees and
conferences; currency usage -technological
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developments; coin/note substitutions; bank note
design -general, series and denominations,
counterfeiting/simulations, security features,
research, security research; bank note production;
note flows issues; notes flows -studies/projects;
automation.
Access: Files arranged by subject
Format: Paper and electronic
Program Record Number: BOC DBO 285
Bank of Canada Notes, Government Securities
and Gold
Description: Information on the finishing,
inventory and distribution of Bank of Canada notes
and Government of Canada securities; the
processing and destruction of used and mutilated
bank notes; custodial responsibilities for gold.
Topics: Accounting procedures; Bank of Canada
notes -general, statements, bank note companies,
orders/deliveries, shipments, transportation,
inventory, redemption and disposal, destruction
certificates -unissuable notes; coins -general,
statements, mutilated, requisitions; securities;
treasury bills; Canadian National Railway bonds;
Government of Canada bonds; Canada Savings
Bonds; client gold accounts arrangements and
transactions.
Access: Files arranged by subject.
Format: Paper and electronic.
Program Record Number: BOC DBO 300
Canadian Institutions and Financial Sector
Automation
Description: Information on the payment systems
of major Canadian institutions.
Topics: Chartered banks and savings banks; trust
and mortgage loan companies; credit unions and
caisses populaires; provincial government savings
institutions; Canadian government departments
and agencies; retailers; communications carriers;
protocols.
Access: Files arranged by company.
Format: Paper and electronic
Program Record Number: BOC DBO 301
Client Accounts
Description: Information on the maintenance of
client accounts and related transactions.
Topics: Accounts related to the Government of
Canada; Government of Canada agencies;
chartered banks and non-banks; central banks and
international financial institutions.
Access: Files arranged by client account.
Format: Paper and electronic.
Program Record Number: BOC DBO 275
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Currency Museum
Description: Includes information related to the
administration and programs of the Currency
Museum including the National Currency
Collection, the largest collection of Canadian bank
notes, coins, and tokens in the world. The
Museum offers educational activities in the
museum itself and traveling exhibits that can be
seen across Canada. These traveling exhibits are
available to cultural organizations.
Topics: These records may include material
related to general information about the Currency
Museum, communications, records documenting
the sale and distribution of photographic
reproductions; information related to the planning
and implementation of Exhibits, Tours,
Activities/Workshops, Gallery Development,
School Programs, Special Events; records relating
to the Bank of Canada Numismatic Collection Exhibits and Speeches, Specimen notes and
Coins from Central Banks handed to Currency
Collection, Items on Loan from the National
Currency Collection, Items on Loan to Currency
Collection, Statement of Purchases.
Access: by subject.
Program Record Number: BOC DBO 271
Domestic Payment System Developments and
Implications
Description: Information on planning in the
Canadian payments system as it evolves towards
more electronic methods.
Topics: Canadian clearing system; task forces
and committees; Canadian Computer
Communications Task Force; Working Group 3
study; payments system policy; Canadian
Payments Association.
Access: Files arranged by subject.
Format: Paper and electronic.
Program Record Number: BOC DBO 302
Government Banking and Agency Operations
Description: Information on field operations of
banking services to other central banks and fiscal
agent services provided to the Government of
Canada.
Topics: See Government Banking and Fiscal
Services, Client Accounts and Loans of or
Guaranteed by the Government of Canada.
Access: Files arranged by subject.
Format: Paper and electronic.
Program Record Number: BOC DBO 290
Government Banking and Fiscal Services
Description: Information on general banking
services to other central banks and to fiscal agent
Bank of Canada
services provided for the Government of Canada.
Topics: Bank Act security; Canadian Bankers’
Association; clearing; government deposits;
Interbank International Payments System;
safekeeping of valuables; one dollar coin; Bank of
Canada accounts at central banks; Bank of
Canada gold accounts at central banks; external
signing authorizations; Bank of Canada notes general, operational procedures,
enquiries/comments, pricing and ordering, design
and release, circulation, counterfeit, redemption
and disposal, bank note companies; coins general, enquiries, specimen and commemorative
coins; deposits and payments processed through
client accounts; Canadian Payments Association general, automated clearing settlement system
(ACSS); Large Value Transfer System (LVTS);
Banknote Operation System (BNOS); Note
Exchange System (NES); Funds Management
(Financial Asset/Liability Management); Financial
Stability (Settlement and Credit Operations);
agency operational procedures; cash overages
and shortages; client services; automation -bank
note distribution systems -general -meetings;
taxation -policies and procedures; transportation
administration; transportation contracting;
transportation security matters; closing of
agencies’ cash operations; regional presence,
regional distribution points.
Access: Files arranged by subject
Format: Paper and electronic.
Program Record Number: BOC DBO 270
Government of Canada Clearings and
Redemptions
Description: Information on the processing of
government items and the related payments or
deposits to be made to or on behalf of the
government.
Topics: Balance and recapitulations; government
deposits; redemptions; settlement enquiries;
deposit letters.
Access: Files arranged by subject
Format: Paper and electronic.
Program Record Number: BOC DBO 295
International Payments System Developments
and Implications
Description: Information on international
payments system automation research and
planning.
Topics: Bank for International Settlements (BIS);
central banks; International Standardization
Organization (ISO) -automation standards; Society
for World-Wide Inter-bank Financial
Bank of Canada
Telecommunications (SWIFT).
Access: Files arranged by subject.
Format: Paper and electronic.
Program Record Number: BOC DBO 303
Loans of or Guaranteed by the Government of
Canada
Description: Information on loans issued by or
guaranteed by the Government of Canada for
which the Bank of Canada acts as manager of the
public debt; also rules, regulations and
transactions of each issue.
Topics: Transfers and exchanges; transfer and
guarantee of signatures on securities -resolutions;
treasury bills; Canadian National Railways bond
issues; Government of Canada bonds; instructions
to agents on the delivery of Government of
Canada loans, bond auctions and Canada Savings
Bonds; interest payments and commission due on
foreign borrowings; Revolving Standby Credit
Facilities.
Access: Files arranged by subject.
Format: Paper and electronic.
Program Record Number: BOC DBO 280
Role of Banks in Providing Computer Services
Description: Research performed by the
Canadian Computer Communications Task Force
and the Interdepartmental Steering Committee on
the electronic payments system.
Topics: Task forces and committees; computer
services offered by financial institutions; computer
services bureaus.
Access: Files arranged by subject.
Format: Paper and electronic.
Program Record Number: BOC DBO 304
Department of Monetary and Financial
Analysis
Capital Markets
Description: Information and studies into the
functioning of capital markets.
Topics: Household credit; bond markets; equity
markets; money markets; securitization.
Access: Files arranged by subject.
Format: Paper and electronic
Program Record Number: BOC MFA 155
Chartered Bank Analysis
Description: Information on balance-sheet and
income statements of chartered banks and
descriptive and econometric analysis of the
banking system.
Topics: Canadian dollar assets; Canadian dollar
liabilities; foreign currency business and operations
abroad; earnings, expenses and balance of
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revenue; chartered bank operations through
affiliates.
Access: Files arranged by transactions.
Format: EDP systems.
Program Record Number: BOC MFA 105
Consumer Credit Markets
Description: Information collected by the Bank of
Canada or Statistics Canada on the consumer
debt held by financial institutions; also analyses of
consumer credit markets.
Topics: Consumer credit and Household credit.
Access: Files arranged by subject.
Format: Paper and electronic.
Program Record Number: BOC MFA 125
Data Administration
Description: Documentation of data bases and
requirements.
Topics: Data base documentation; data
requirements; data definitions; data adjustments;
data sources; data operations manuals.
Access: Files arranged by subject.
Format: Paper and electronic.
Program Record Number: BOC MFA 165
Econometric Analysis and Background Studies
Description: Econometric models of financial
markets, econometric analysis of the demand for
financial assets, econometric investigation of
financial-real linkages and general information on
recent developments in econometric techniques.
Topics: Econometric analysis of the monetary
system; econometric models of markets;
econometric models on financial-real linkages;
technical support and special projects.
Access: Files arranged chronologically.
Format: EDP systems.
Program Record Number: BOC MFA 140
Financial Flows and Forecasting
Description: Information on the flow of credit
between broad sectors of the economy; summary
tables published semi-annually in the Bank of
Canada Review.
Topics: Financial flows matrix; credit market
summary tables; sectoral analyses; financial
markets projects.
Access: Files arranged by subject, sector and
financial instrument.
Format: Paper and electronic.
Program Record Number: BOC MFA 135
Interest Rates
Description: Statistical information on market and
administered rates in Canada and abroad; also
analytical material related to interest rates, such as
analyses of the term structure of real interest
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rates, and of the relationship between interest
rates and inflation.
Topics: Canadian financial institutions’ interest
rates; Canadian securities market interest rates;
American interest rates; European interest rates.
Access: Files arranged by subject.
Format: Paper and electronic.
Program Record Number: BOC MFA 130
Monetary Policy
Description: Technical and econometric analyses
of the role of monetary and credit aggregates as
targets or indicators of monetary policy, as well as
some analyses of the importance of international
linkages in the conduct of monetary policy.
Topics: Bank of Canada balance sheet data;
instruments of monetary policy; targets and
indicators of monetary policy; international aspects
of monetary policy.
Access: Files arranged by subject.
Format: Paper and electronic.
Program Record Number: BOC MFA 100
Mortgage Market
Description: Information on mortgage loan
approvals and mortgages outstanding held by
financial institutions collected for the most part
from published sources; also analyses of the
mortgage market.
Topics: Private institutional lenders; government
lenders; new housing; existing housing.
Access: Files arranged by subject.
Format: Paper and electronic.
Program Record Number: BOC MFA 120
Non-bank Financial Intermediaries
Description: Balance-sheet data and analyses of
the non-bank financial institutions.
Topics: Trust and mortgage loan companies;
credit unions and caisses populaires; sales finance
and consumer loan companies; affiliates of foreign
banks; life insurance companies; Quebec Savings
Bank; provincial savings offices.
Access: Files arranged by company.
Format: Paper and electronic.
Program Record Number: BOC MFA 110
Regulatory Issues
Description: Reports and studies on regulatory
issues.
Topics: Deposit Insurance; ownership of financial
institutions; statutory revisions; structure of
financial institutions; Payments systems.
Access: Files arranged by subject.
Format: Paper and electronic.
Program Record Number: BOC MFA 160
Bank of Canada
Reviews and Comments on External
Documents
Description: Reviews and/or comments on
external documents received by the Bank of
Canada.
Topics: Documents from Department of Finance,
Statistics Canada, The Conference Board of
Canada, various other Canadian government
departments, provincial governments, private
sector organizations, American organizations (e.g.
DRI, Conference Board), international
organizations (e.g. IMF, OECD); academic
publications or discussion papers.
Access: File arranged by institution.
Format: Paper and electronic.
Program Record Number: BOC MFA 170
Security
Description: The security business line is
responsible for administering the Bank’s Security
Policy and the Canadian Government Security
Policy . It has the responsibility to develop policies
and procedures in the areas of access control,
physical security, security of personnel, security of
material, security of information technology,
security of informatics and communications
security.
Topics: Physical access control; security
breaches; access cards; security screening and
clearances; policies and standards; threat and risk
assessments; security awareness and training;
business continuity management program;
physical security systems and equipment; advice
and training on the use of security equipment;
access control credentials and associated access
rights to the Bank’s IT environment.
Access: files arranged by subject
Format: paper files and electronic records
Program Record Number: BOC CSD 355
Surveys, Reports and Returns
Description: Information on the collection of
financial data required for the monitoring and
analysis of financial developments.
Topics: Reports and returns -trust companies,
mortgage loan companies, non-financial
companies, sales finance and consumer loan
companies, affiliates of foreign banks; credit
unions.
Access: Files arranged by company or
organization.
Format: Paper and electronic.
Program Record Number: BOC MFA 150
Bank of Canada
United States and other Non-Canadian
Financial Developments
Description: Information on American monetary
policy and recent and projected financial
developments in the U.S. and rest of world.
Topics: United States -monetary policy and
regulations, banking system; securities markets;
thrift institutions and mortgage market; financial
commentaries; financial data.
Access: Files arranged by subject.
Format: Paper and electronic
Program Record Number: BOC MFA 145
Financial Markets Department
Book-Entry Securities Systems Development
Description: Information on the studies, planning,
development, coordination and implementation of
book-entry securities systems.
Topics: New issue distribution service (NIDS);
Canada bond bring-on project (CBBO); Money
Market System (MMS); risk containment and
regulation; debt clearing service; other special
projects.
Access: Files arranged by subject
Format: Paper and electronic
Program Record Number: BOC FMD 071
Capital Markets
Description: Reports of economic and financial
developments in the Atlantic region of Canada;
also activities of various organizations that relate
to capital market developments of interest to the
Bank of Canada.
Topics: Capital market coverage; government
regulatory bodies; Canadian Depository for
Securities; United States Securities Regulations;
financial structure and regulation.
Access: Files arranged by subject.
Format: Paper and electronic
Program Record Number: BOC FMD 005
Chartered Bank Cash Management
Description: Information relating to the cash
reserve management operations of the Bank of
Canada and the chartered banks; the assets and
liabilities of the Bank of Canada; and the
characteristics of the institutional relationship
within the clearing and settlement system.
Topics: Bank of Canada balance sheets;
advances; underbought/overbought position; cash
reserves; reserve requirements; clearings and
payments system; Government of Canada
deposits; note circulation; statements;
compensation to financial institutions; chartered
banks; direct clearing members of the Canadian
99
Payments Association; Zero Reserve Operations;
cumulative averaging.
Access: Files arranged by subject and institution.
Format: Paper and electronic.
Program Record Number: BOC FMD 035
Domestic Financing - General
Description: The release of general information
outlining the terms and conditions of Government
of Canada new loan issues.
Topics: New loan and bond auction press
releases; prospectuses; confirmation of offering;
procedures; allotments; participation; statements.
Access: Files arranged by subject.
Format: Paper and electronic.
Program Record Number: BOC FMD 050
Domestic Financing - Matured Government of
Canada Loans and Canada Savings Bonds
Description: Historical statistical information on
the administrative details of each Government of
Canada loan operation; used as research material
for current borrowing operations.
Topics: Loans.
Access: By name or maturity.
Format: Microfilm.
Program Record Number: BOC FMD 055
Foreign Exchange Market Analysis
Description: Information on developments in the
Canadian and overseas exchange markets, trading
in Canadian dollars against foreign currencies, the
value of the major foreign currencies and exchange
arrangements maintained by other major countries.
Topics: Summary reports on exchange rates;
statistical reviews and exchange rate development
in overseas countries; exchange market settlement
and accounting features; foreign exchange market
surveys; forward market, swaps, currency futures
and other financial innovations; statistical reports;
external financing and takeovers; globalization of
the foreign exchange market.
Access: Arranged by institution and by subject.
Format: Paper and electronic.
Program Record Number: BOC FMD 080
Foreign Exchange Transactions
Description: Information on foreign exchange
bookkeeping and trading procedures of the Bank
of Canada and transactions with other central
banks.
Topics: Transactions and procedures; portfolio
management; reports; signing authorities; Bank of
Canada foreign accounts.
Access: Files arranged by subject or organization.
Format: Paper and electronic.
Program Record Number: BOC CSD 355
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Foreign Financing - Government of Canada
Description: Legal documentation for Government
of Canada foreign loans and standby credit
facilities. Statistical information used to monitor
and analyze developments in international capital
markets. Statistical and administrative
documentation of the procedures undertaken by
the Government of Canada to borrow abroad.
Topics: Foreign financing general; foreign banks;
Exchange Fund Account; Government of Canada
foreign loans issued; standby credit facilities;
Canada bills; interest rate and currency swaps;
Yankee Bond buyback program; foreign
underwriters.
Access: Files arranged by subject, by loan and
issue date and by company.
Format: Paper and electronic.
Program Record Number: BOC FMD 060
Government of Canada Cash Projections and
Debt Management Planning
Description: Information on the management and
forecasting of the Government of Canada’s cash
balances. Analytical studies to support debt
management planning and initiatives are prepared.
Topics: Federal budget and main estimates;
government cash reports and forecasts; debt
management issues.
Access: Files arranged by subject.
Format: Paper and electronic.
Program Record Number: BOC FMD 065
Government Sector Analysis and Forecasting
Description: Information on developments in the
government sector. Projections of federal and
provincial government revenues and expenditures
are developed.
Topics: Monitoring and forecasting using the
Quarterly Projection Model; QPM-related and other
special reports; program and policy analysis;
provincial budget and borrowing analysis.
Access: Files arranged by subject.
Format: Paper and electronic.
Program Record Number: BOC FMD 066
Intervention
Description: Documents and papers prepared in
Canada and in other major countries relating to the
Working Group on Exchange Market Intervention.
The group was established at the Versailles
Summit of the Heads of State and Government,
June 1982.
Topics: Intervention studies.
Access: Files arranged by subject and by country.
Format: Paper and electronic.
Program Record Number: BOC FMD 090
Bank of Canada
Money Market Analysis and Primary
Distribution
Description: Information on the general financial
market activity of various institutions and
organizations with particular emphasis on the
money market arrangements (with Bank of
Canada) and money market activity of banks and
investment dealers.
Topics: Industries and associations; Financial
Research Foundation of Canada; financial
institutions; stock exchanges; insurance
companies; mortgage companies; finance
companies; non-financial institutions; primary
distributors; jobber money market report; municipal
financing; banker’s acceptances; mergers of
companies and organizations; brokers.
Access: Files arranged by subject and company.
Format: Paper and electronic.
Program Record Number: BOC FMD 010
Official International Reserves
Description: Information on Canada’s foreign
exchange reserves, including holdings of the
Minister of Finance, the Receiver General and the
Bank of Canada, as well as borrowings by the
Canadian government in foreign currencies.
Topics: Definitions and historical data; reports and
statements on reserve status; Government of
Canada foreign currency borrowings and loans;
reserves -investments.
Access: Files arranged by subject.
Format: Paper and electronic.
Program Record Number: BOC FMD 095
Open Market Operations and Securities Market
Analysis
Description: Statistical and analytical information
relating to financial markets.
Topics: Interest rates; treasury bills; comments on
markets; purchase and resale agreements; stock
averages and prices; short-term paper; client
transactions; issues placements; bond prices,
yields and quotes; securities transactions; holdings
of securities; U.S. securities; Bank of Canada
portfolio; provincial, corporate and municipal
markets; interest rate futures.
Access: Files arranged by year and transaction.
Format: Microfilm.
Program Record Number: BOC FMD 030
Primary Distributors - Dealers
Description: Reports on the volumes of
transactions in the Canadian securities markets used to assess the level of activity in Canadian
securities markets.
Topics: Dealers by name.
Bank of Canada
Access: Files arranged geographically and by
company.
Format: Paper and electronic.
Program Record Number: BOC FMD 020
Primary Distributors - Jobbers
Description: Information on the financial
arrangements between the Bank of Canada and
major Canadian investment dealers relating to
money market activities.
Topics: Jobbers.
Access: By name.
Program Record Number: BOC FMD 015
Primary Distributors - Statistics
Description: Detailed statistical information on the
levels of participation by each Canadian
investment dealer in each Government of Canada
loan.
Topics: Jobbers and dealers by name.
Access: Files arranged by institution, company
and region.
Format: Paper and electronic.
Program Record Number: BOC FMD 025
Special Studies and Analysis
Description: Studies and analyses of the various
techniques used to implement monetary policy,
debt management and securities market strategy.
Topics: Debt management analysis; cash reserve
management studies; interest rate analysis;
macroeconomics policy papers; capital market
analysis; money market analysis; marketing
government debt; Canada Savings Bond analysis
and surveys.
Access: Files arranged by subject.
Format: Paper and electronic.
Program Record Number: BOC FMD 070
Debt Administration Office
Accounting for Government of Canada
Securities
Description: Information on the recording, for
reporting and controlling purposes, of activities for
the period during which the securities are in
existence.
Topics: Accounting records and controls; financial
reports.
Access: Files arranged by subject.
Format: Paper and electronic.
Program Record Number: BOC GSS 330
Administrative Arrangements with Financial
Institutions
Description: Instructions and other data made
available to financial institutions through which the
Bank of Canada deals with bond owners in the
101
normal course of business.
Topics: Issue of Government of Canada loans
and securities; maintenance of securities registers;
retirement of securities; agents and distributors;
Canadian Payments Association.
Access: Files arranged by subject, by loan.
Format: Paper and electronic.
Program Record Number: BOC GSS 335
Government Securities in the Retail Debt
Market
Description: Information on the planning,
coordination and administration of the sale of
Government Securities in the retail debt market;
also reports/statistics on the monitoring and
analysis of the results of the sale of these
securities.
Topics: Government Securities in the retail debt
market -general; automation; inquiries; materials general, distribution, materials distribution centre
and lists, inventory, production, transportation;
Payroll Savings Plan -campaign, loans,
organization, personnel, personnel remuneration,
regions/territories, remittance schedules, sales;
public service campaign; remittances; sales agents
-general, arrangements, coordination,
associations, fees and commissions, subagents;
sales and redemption.
Access: Files arranged by subject.
Format: Paper and electronic.
Program Record Number: BOC GSS 340
Government Securities, Retail Debt Market Sales and Processing Agents
Description: The administrative arrangements
between the Bank of Canada and eligible Sales
Agents and Processing Agents.
Topics: Sales Agents and Processing Agents companies, trust companies, trust companies non-listed, schedule “B” banks; sales agents other
than trusts; processing agents other than trusts
and banks.
Access: Files arranged by company.
Format: Paper and electronic.
Program Record Number: BOC GSS 345
Issue of Government of Canada Loans and
Securities
Description: Information on the domestic and
foreign borrowings by the Government of Canada
for which the Bank of Canada acts as fiscal agent
or participates as an advisory body.
Topics: Treasury bills; Canadian National Railway
bonds; Canada Savings Bonds; New Canada
Payroll Savings Plan; Canada Premium Bonds;
foreign loans; Government of Canada marketable
102
bonds; Government of Canada loans issued; real
return bond issues.
Access: Files arranged by subject.
Format: Paper and electronic.
Program Record Number: BOC GSS 305
Maintenance of Securities Registers
Description: Information on procedures and
individual security registers and their periodic
updating.
Topics: Transfer and exchanges; change of
address; lost, stolen or destroyed coupons; lost,
stolen or destroyed security certificates; securities
registrations; securities processing; guarantee of
signatures.
Access: Files arranged by subject.
Format: Microfilm.
Program Record Number: BOC GSS 315
Payment of Interest
Description: Information on the various means
and processes by which the contractual obligation
to pay interest is discharged.
Topics: Direct deposit; cheques; coupons;
withholding tax; interest notices; interest cheque
production; cash bonuses; adjustments; taxation.
Access: Files arranged by subject.
Format: Paper and electronic.
Program Record Number: BOC GSS 320
Production of Security Certificates
Description: Information on all phases necessary
to obtain adequate supplies of security certificates
and their distribution to the appropriate locations.
Topics: Production reports; certificate design;
foreign issues; printing errors; certificates ordered
and distributed; contracts with suppliers.
Access: Files arranged by subject.
Format: Paper and electronic.
Program Record Number: BOC GSS 310
Retirement of Government Securities
Description: Information on the process through
which owners of Government of Canada securities
are reimbursed at maturity or in accordance with
the terms under which the securities were issued.
Topics: Canada Savings Bonds; Canada Premium
Bonds; Government of Canada marketable bonds;
treasury bills; war saving certificates; Canadian
National Railways bonds; International Bank for
Reconstruction and Development (World Bank)
bonds; redemptions of foreign loans.
Access: Files arranged by subject.
Format: Paper and electronic.
Program Record Number: BOC GSS 325
Bank of Canada
International Department
Bank for International Settlements (BIS)
Description: Information on meetings at the Bank
for International Settlements (BIS), the work of
various BIS committees and the provision of
Eurocurrency statistics.
Topics: Meetings -general; Group of Ten Governors Meetings; Gold and Foreign Exchange
Meetings; Concertation Meetings; Meetings of
Computer and Databank Experts; Committee on
Banking Regulation and Supervision; multilateral
surveillance statistics meetings; Standing
Committee on Eurocurrency Market; Financial
Stability Forum; Eurocurrency statistics; bridge
financing -credit facility.
Access: Files arranged by subject, committee and
country.
Format: Paper and electronic.
Program Record Number: BOC INT 235
Contacts
Description: Information on various contacts of
the Bank of Canada with institutions and
organizations in the foreign exchange area in
Canada and abroad, principally as an aid to
monitoring and analyzing developments in
exchange markets.
Topics: Legislation and bank reporting; Canadian
Bankers’ Association; general brokerage services;
Canadian chartered banks; central banks and
monetary authorities; foreign commercial banks;
governmental departments, agencies and Crown
corporations; non-bank financial institutions.
Access: Files arranged by institution or
organization.
Format: Paper and electronic.
Program Record Number: BOC INT 200
Developments in Foreign Countries
Description: Information on current economic and
financial developments in overseas countries,
including relations with the International Monetary
Fund (IMF), economic projections for major
industrial countries, international comparisons,
press reports on developments in overseas
countries, international capital markets and
international organizations.
Topics: Projections by international organizations
and the Bank of Canada; developments in various
countries; Bank for International Settlements press
summaries; Commonwealth of Independent States
(CIS).
Access: Files arranged by subject and country.
Format: Paper and electronic
Program Record Number: BOC INT 220
Bank of Canada
Developments in the United States
Description: Information on current economic and
financial developments in the United States, and
the economic outlook, including analysis of
economic projections and studies produced by
international organizations (IMF and OECD).
Topics: Developments in the United States;
projections by international organizations and the
Bank of Canada.
Access: Files arranged by subject.
Format: Paper and electronic.
Program Record Number: BOC INT 221
Federal Organizations and Interdepartmental
Committees
Description: Information on federal government
organizations or interdepartmental committees that
deal with international economic questions in
which the Bank has some involvement.
Topics: Export Development Corporation (EDC);
Canadian International Development Agency
(CIDA); interdepartmental meetings;
interdepartmental committees on economic
relations with developing countries and assistant
deputy ministers’ sub-committee on economic
relations; Department of Finance; Department of
External Affairs; information technology subcommittee of the Privy Council Office (PCO).
Access: Files arranged by organization or
committee.
Format: Paper and electronic.
Program Record Number: BOC INT 215
Gold, Silver and Other Commodities
Description: Information on gold, silver and
commodity market practices -statistics, legislation
and official gold transactions.
Topics: Gold legislation; gold operations; gold
markets; export-import reports; silver legislation
and oil.
Access: Files arranged by subject.
Format: Paper and electronic.
Program Record Number: BOC FMD 086
International Developments
Description: Information on developments in
international capital markets, in particular
international banking, Eurocurrency and bond
markets, external debt of overseas countries,
deployment of oil exporter’s surpluses and
recycling and major commodities, including
commodity agreements.
Topics: International finance; international capital
markets -recent developments and borrowing and
recycling; commodities; inter-central bank
arrangements.
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Access: Files arranged by subject.
Format: Paper and electronic
Program Record Number: BOC INT 210
International Monetary Fund (IMF)
Description: Information on the work and
activities of the International Monetary Fund (IMF),
issues discussed at IMF Executive Board meetings
and at the Interim Committee.
Topics: IMF General Account -drawings and
repurchases, special drawing rights, general
arrangements to borrow; Canadian consultations;
International Monetary System and Reform
Exercise; other lending facilities; annual meetings;
amendments to articles of agreement.
Access: Files arranged by subject.
Format: Paper and electronic
Program Record Number: BOC INT 230
International Organizations and Institutions
Description: Information on the activities of
various international or regional economic
organizations, in particular those aspects that
relate to world economic or financial issues of
interest to the Bank.
Topics: International Bank for Reconstruction and
Development (IBRD); European Economic
Community (EEC); Commonwealth/Committees
Meetings; Technicians of Central Banks of the
American Continent (CEMLA); Summit Meetings;
Group of Ten; Organization for Economic Cooperation and Development (OECD) International
Co-operation and Policy Coordination; European
Bank for Reconstruction and Development
(EBRD); Asian Development Bank; Group of
Twenty-two; Group of Thirty-Three; other
international organizations and institutions;
structural reform and adjustment in eastern
Europe; international assistance in response of
gulf crisis.
Access: Files arranged by organization.
Format: Paper and electronic.
Program Record Number: BOC INT 225
Research Department
Current Analysis and Economic Developments
Description: Interpretation of current economic
data for Canada and analysis of the economic
implications of current economic developments.
Topics: Current analysis; National Accounts;
Balance of Payments; economic cycles/indicators;
conferences; consumption/saving; housing;
investment/inventories/cost of capital; supply and
demand for labour; wages; prices (inflation); direct
taxes; indirect taxes and subsidies; foreign sector;
104
financial sector; productivity; production functions;
capacity utilization; economic potential; income
distribution; regions of Canada; industries; rest of
the world; Canadian farm sector; world energy
markets; resource sector (other than farm and
energy); demographics; world commodity markets;
Canadian energy sector; exchange rates; interest
rates.
Access: Files are arranged by subject.
Format: Paper and electronic
Program Record Number: BOC RES 081
General Economic Analysis -Theory and
Models
Description: Information on the structure and use
of Bank of Canada econometric models, and other
analyses of the structure and behaviour of
economies.
Topics: Theory; input/output; economic
cycles/indicators; history; conferences;
consumption/saving; investment/inventories/cost of
capital; supply and demand for labour; wages;
prices (inflation); direct taxes; indirect taxes and
subsidies; foreign sector; financial sector;
productivity; production functions; capacity
utilization; economic potential; income distribution;
regions of Canada; industries; rest of the world;
Canadian farm sector; world energy markets;
resource sector (other than farm and energy);
models in general; RDX2; RDXF; SAM; QPM;
demographics; world commodity markets;
Canadian energy sector; exchange rates; interest
rates.
Access: Files are arranged by subject.
Format: Paper and electronic.
Program Record Number: BOC RES 086
Projections, Policy Simulations and Policy
Analysis
Description: Economic projections for the
Canadian economy, information on the use of
econometric models for analysis of alternative
macroeconomic policies, and other policy
analyses.
Topics: Staff projections; price and incomes
policy; market structure policy; government
expenditures and transfers; government finance;
monetary policy; fiscal policy; exchange rates;
interest rates.
Access: Files are arranged by subject.
Format: Paper and electronic.
Program Record Number: BOC RES 076
Quantitative Methods, Computer and Data
(Sources and Methods)
Description: Descriptions of research methods,
Bank of Canada
data construction and computer systems.
Topics: Econometrics; programming and
computer systems; time series analysis;
input/output; National Accounts; Balance of
Payments; demographics; general methodology.
Access: Files are arranged by subject.
Format: Paper and electronic.
Program Record Number: BOC RES 096
Reviews and Comments on External
Documents
Description: Reviews and/or comments on
external documents received by the Bank of
Canada.
Topics: Documents from Department of Finance,
Economic Council of Canada, Statistics Canada,
The Conference Board of Canada, various other
Canadian government departments, provincial
governments, private sector organizations,
American organizations (e.g. DRI, Conference
Board), international organizations (e.g. IMF,
OECD); academic publications or discussion
papers.
Access: Files are arranged by subject.
Format: Paper and electronic.
Program Record Number: BOC RES 091
Standard Program Records
Please see the INTRODUCTION to this publication
for the definition of Standard Program Records
and a description of their contents.
Access to Information and Privacy Requests
Accounts and Accounting
Acts and Legislation
Administration
Administration and Management Services
Audits
Budgets
Buildings
Buildings and Properties
Business Continuity Plans
Classification of Positions
Co-operation and Liaison
Employment and Staffing
Equipment and Supplies
Finance
Furniture and Furnishings
Human Resources
Information Technology Services
Bank of Canada
Lands
Occupational Health, Safety and Welfare
Office Appliances
Official Languages
Pensions and Insurance
Personnel
Physical Security
Procurement
Salaries and Wages
Staff Relations
Training and Development
Utilities
Vehicles
Particular Personal Information
Banks
Access to Information and Privacy Requests
Data Bank
Description: This bank contains the access to
information and personal information request forms
or letters sent by individuals requesting access to
files, the replies to such requests and information
related to their processing, including copies of
information that may have been disclosed and any
record of subsequent complaints.
Class of Individuals: Canadian citizens,
permanent residents of Canada, and individuals
present in Canada.
Purpose: The information is used for processing
requests; to assist in the preparation of annual
reports, and to provide a record of all such
requests received by the Bank.
Consistent Uses: Non-personal information may
be used to provide reports on ATIP activities to
management and to the Treasury Board
Secretariat and other institutions, i.e. through
CAIRS. The information may also be used for
research, planning, audit and evaluation purposes.
Retention and Disposal Standards: These files
are held for two years after the last administrative
use, then destroyed.
RDA Number: 98/001
Related PR#: BOC PRN 930
TBS Registration: 001596
Bank Number: BOC PPU 030
Applications for Employment
Description: This bank contains all applications
received from the general public requesting
employment with the Bank of Canada. It includes
105
completed application forms and self-identification
information on employment equity group status,
letters, curriculum vitae, complaints and other
personal information. Individuals are identified by
name.
Class of Individuals: Individuals seeking
employment.
Purpose: To maintain a record of Applications for
Employment.
Consistent Uses: The files are used in the
selection of staff, and for reporting and statistical
purposes.
Retention and Disposal Standards: Solicited and
unsolicited applications which have been
considered in a staffing process are to be kept for
a period of two years after the last administrative
use. Complaint files are kept for five years
following date of resolution, then destroyed.
Unsolicited applications which have not been
considered in a staffing process are kept for a
period of one year, then destroyed.
RDA Number: 98/005
Related PR#: BOC PRN 920
TBS Registration: 001597
Bank Number: BOC PPU 035
Bank Act Section 427 - Client Records
Description: This bank contains information about
individuals’ use of the registry services provided
under S. 427 of the Bank Act including account
information used to establish credit accounts for
those individuals. Services include searches of the
register and the provision of copies of Notices of
Intention and Certificates of Release.
Class of Individuals: Registry services clients
including individuals whose intention it is to give
security under S. 427 and individuals who seek to
access information on the register.
Purpose: The purpose of this bank is to maintain
a record of client account information including
requests for registry services by individual clients
and financial information concerning the clients
which will permit them to establish accounts for
payment for registry services.
Consistent Uses: The information is used to
notify clients of errors made in the register, assess
and improve the delivery of registry services and
permit clients to pay for registry services by means
other than cash on delivery.
Retention and Disposal Standards: Records are
held for 7 years after account closes, then
destroyed.
RDA Number: to be determined
106
Related PR#: BOC DBO 270
TBS Registration: 004038
Bank Number: BOC PPU 046
Bank Act Section 427 - Register
Description: The Section 427 Register consists of
the Notices of Intention which are registered
pursuant to Section 427 of the Bank Act and the
Certificates of Release which pertain to those
Notices. A Notice of Intention contains the name of
a person, firm or company and mailing address
whose intention it is to give security under S. 427.
It includes the name of the Schedule I or II bank to
which the security is intended to be given.
Note: It is not necessary to make a formal request
for access to the Bank Act Security register.
Information on the register is available under the
Bank Act to anyone on payment of the prescribed
fee. Inquiries may be directed to Canadian
Securities Registration Systems, Suite 300, 4126
Norland Avenue, Burnaby, B.C., V5G 3S8
Class of Individuals: Persons whose intention it
is to give security under S. 427.
Purpose: To maintain a record of Notices of
Intention that have been registered and
registrations that have been cancelled by a
Certificate of Release.
Consistent Uses: The information is used to
respond to inquiries form the general public
regarding the existence of a Notice of Intention.
Retention and Disposal Standards: Records are
held for 7 years from date of cancellation, or
expiration then destroyed.
RDA Number: TBD
Related PR#: BOC DBO 270
TBS Registration: 004037
Bank Number: BOC PPU 045
Bondholder Enquiries and Estate Files
Description: This bank contains names,
addresses, social insurance numbers, registration
or account identifiers and copies of legal
documents that support the transfer of ownership
of Government of Canada Securities and other
correspondence between bondholders, or their
authorized representatives, and the Bank of
Canada. Included in the correspondence are:
requests for information on Government of Canada
Securities presently or previously held;
communications regarding errors in registration,
lost security certificates, coupons and interest
cheques. As of June 1995, general inquiries such
as requests for information concerning the terms
and conditions of specific issues and
interpretations of the Domestic Bonds of Canada
Bank of Canada
Regulations are retained only if received in paper
form. The medium of retention is electronic.
Note: It is normally not necessary to make a
formal request under the Privacy Act for your own
personal information appearing in this register.
Personal inquiries should be directed to New
Canada Savings Bonds by calling 1-800-575-5151;
by e-mail at [email protected]; by writing to PO
Box/CP 2770, Stn/Succ D, Ottawa, Ontario, K1P
1J7.
Class of Individuals: General public.
Purpose: The purpose of this bank is to store
documents that support the transfer of ownership
of Government of Canada Securities and other
correspondence between bondholders, or their
authorized representatives, and the Bank of
Canada. The use of the social insurance number
is required under the Income Tax Act.
Consistent Uses: The information is used to
respond to enquiries from holders of Government
of Canada Securities or their authorized
representatives.
Retention and Disposal Standards: Retention
periods range from two years to indefinite. The
records for lost security certificates or coupons are
retained indefinitely if the original security
certificates or coupons have not been located.
However, if the original security certificate or
coupon has been located after a replacement has
been issued, these records are destroyed two
years after reimbursement to the Bank of Canada.
However, if the original security certificate or
coupon is located prior to replacement, paper and
images are destroyed one year after notification of
discovery. The records pertaining to estate matters
are held for ten years on microfiche, microfilm or
electronic media and are then destroyed.
RDA Number: TBD
Related PR#: BOC GSS 335
TBS Registration: 004134
Bank Number: BOC PPU 015
Fellowship Program Nominations
Description: This bank relates to the applications
received by the Bank of Canada for the Fellowship
Program. Personal information includes name,
home and work mailing address, telephone
number and e-mail address, name of university
and department where employed, work related
position/title, educational background (including
PhD and year obtained), research and work
experience, work-related citations, work related
commentaries/critiques, recognition by peers,
awards, work related status at Universities, letters
of nomination from university officials about the
Bank of Canada
application, curriculum vitae, research papers,
research plans, reference lists and also letters of
reference.
Class of Individuals: Applicants are required to
be Canadian Citizens or individuals eligible to work
in Canada.
Purpose: The information is used in the annual
selection process for recipients of the Fellowship
Program. The Fellowship Program is designed to
encourage leading-edge research and to develop
expertise within Canada in a number of areas
related to the Bank’s mandate, i.e.
macroeconomics, monetary economics,
international finance, etc.
Consistent Uses: Information used for statistical
or reporting purposes.
Retention and Disposal Standards: Applications
related to individuals granted Fellowships will be
retained for 5 years following the termination of the
Fellowship, then destroyed.
RDA Number: TBD
Related PR#: BOC ELS 400
TBS Registration: 006348
Bank Number: BOC PPU 036
Government of Canada Securities Registers
Description: This bank contains names,
addresses, social insurance numbers, registration
or account identifiers and a record of the securities
held and redeemed by persons.
Note: It is normally not necessary to make a
formal request under the Privacy Act for your own
personal information appearing in this register.
Personal inquiries should be directed to New
Canada Savings Bonds by calling 1-800-575-5151;
by e-mail at [email protected]; by writing to PO Box
2770, Stn D, Ottawa, Ontario, K1P 1J7.
Class of Individuals: Registered owners of
Government of Canada Securities.
Purpose: The purpose of this bank is to maintain
a record from which the liability of the Government
of Canada in the form of direct or guaranteed
securities can be administered (the liability is
established in the Receiver General’s account
(authority -Financial Administration Act). Other
purposes are to establish the status of individual
securities and to respond to enquiries from
bondholders or their authorized reprensentatives.
The use of the social insurance number is required
under the Income Tax Act.
Consistent Uses: The information is used in the
general administration of the government’s debt
and, in particular, to maintain a record of
ownership of fully registered securities as required
by the Domestic Bonds of Canada Regulations
107
issued under the authority of the Financial
Administration Act. The registers of fully registered
bonds form the basis on which interest payments
are made. The registers are also used to consult
with bondholders periodically to determine client
needs and the level of satisfaction with services
provided, and to advise bondholders of new bond
offerings.
Retention and Disposal Standards: Records are
maintained indefinitely on microfiche, microfilm or
electronic media, including a computer database.
RDA Number: TBD
Related PR#: BOC GSS 315
TBS Registration: 004132
Bank Number: BOC PPU 005
Mailing Lists
Description: This bank describes the components
of mailings lists maintained by the Bank of
Canada. The personal information collected
includes name, mailing and e-mail address, phone
or facsimile numbers of private individuals and
contacts within private sector, federal, provincial
and non-government organizations, photocopies of
cheques if required for refunds, cheque number is
recorded in database.
Class of Individuals: Members of the general
public or individuals representing private sector
companies and federal, provincial and nongovernment organizations that have provided their
contact information to obtain copies of relevant
documentation.
Purpose: To create and maintain standardized
mailing lists for the distribution of communications
material, publications, reports and other
documentation related to the Bank of Canada
programs and activities, etc.
Consistent Uses: The information is used for
planning purposes.
Retention and Disposal Standards: Paper
records relating to Free and Paid Publications are
kept for 3 years and then destroyed. Database
records relating to Paid Publications are kept for 3
years after last administrative use, then destroyed.
RDA Number: 98/001
Related PR#: BOC PRN 903
TBS Registration: 006323
Bank Number: BOC PPU 055
Personal Information Disclosed to Federal
Investigative Bodies
Description: This bank has been established in
accordance with subsection 8(4) of the Privacy Act
in order to retain copies of requests received from
authorized federal investigative bodies for personal
108
information pursuant to paragraph 8(2)(e) of the
Privacy Act, for the purpose of enforcing a law of
Canada or a province or carrying out a lawful
investigation.
Class of Individuals: Individuals about whom
requests for personal information have been
received pursuant to paragraph 8(2)( e) of the
Privacy Act from federal investigative bodies.
Purpose: The purpose of this bank is to permit the
Privacy Commissioner to review disclosures,
investigate complaints and report on any abuse of
this disclosure provision. The use of the social
insurance number is a requirement under the
Income Tax Act.
Consistent Uses: This bank is used to service
inquiries from federal investigative bodies.
Retention and Disposal Standards: Records are
retained for at least two years following the date
on which a request is received and are then
destroyed.
RDA Number: TBD
Related PR#: BOC GSS 340
TBS Registration: 001595
Bank Number: BOC PPU 025
Public Key Infrastructure Subscriber
Information
Description: This bank contains subscribers
information collected by the Certification Authority
of the Bank of Canada’s Public Key Infrastructure.
The Certification Authority is an internal entity used
to issue, sign, revoke and manage digital
certificates. A digital certificate is a secure
electronic identity. Certificates typically contain a
user’s name and public key. Individuals that are
subscribers of the Bank’s Public Key Infrastructure
have provided some identification and
authentication information that may consist of their
first and last name, photocopies of their passport,
birth certificate, driver’s license, employee service
specific identification card, health card or marriage
certificate.
Class of Individuals: Bank of Canada employees,
contractors, business partners and the public.
Purpose: to assist the Bank in providing security
services for Web based transactions. These
services include encryption, authentication and
digital signature services.
Consistent Uses: the information collected by the
Certification Authority will only be used for the
purpose of issuing digital certificates and to enrol
and verify a subscriber’s identity.
Retention and Disposal Standards: private
decryption keys stored by the CA never expire and
will be kept indefinitely. Audit information,
Bank of Canada
subscriber agreements and acknowledgements,
and any identification and authentication
information is retained for a minimum of seven (7)
years following the termination of a certificate and
then destroyed.
RDA Number: 98/001
Related PR#: BOC CSD 355
TBS Registration: 005156
Bank Number: BOC PPU 050
Registers of Interest Paid and Accrued
Description: This bank contains names,
addresses, social insurance numbers and
registration or account identifiers of persons to
whom interest is paid, together with a record of all
Government of Canada Securities held. The
marketable debt interest payment data are
maintained by interest payment date and series in
a computer database. Since 1993, copies of these
data have also been maintained on microfiche.
The data on retail debt instruments are retained on
microfiche, microfilm and electronic media,
including a computer database. These data
contain details relating to Income Tax Information
Slips issued to holders of compound interest retail
debt instruments purchased in 1990 and
subsequent years. In addition, this bank contains
requests to update data in the bank, including
instructions for direct deposit of payments through
a financial institution and for changes of address
for mailing payments and Income Tax Information
Slips.
Note: It is normally not necessary to make a
formal request under the Privacy Act for your own
personal information appearing in this register.
Personal inquiries should be directed to New
Canada Savings Bonds by calling 1-800-575-5151;
by e-mail at [email protected]; by writing to PO Box
2770, Stn D, Ottawa, Ontario, K1P 1J7.
Class of Individuals: Registered owners of
Government of Canada Securities.
Purpose: The purpose of this bank is to maintain
a record of the interest paid to holders of
Government of Canada Securities. The use of the
social insurance number is required under the
Income Tax Act.
Consistent Uses: The information is used to
investigate and respond to enquiries from holders
of Government of Canada Securities relating to
interest payments.
Retention and Disposal Standards: The
marketable debt interest payment data are
retained for six years in electronic form for cashed
cheques. Records for outstanding cheques are
held indefinitely. The interest payment data for
Bank of Canada
109
retail debt instruments are retained on the
computer database for a minimum of one year
after issuance of the payment. Copies of these
records are also retained on microfiche, microfilm
or an electronic medium. Outstanding cheques
and held payment data are retained indefinitely.
Any direct deposit instructions received in paper
form are recorded on microfilm and the paper
request is destroyed. The microfilm records are
retained for fifteen years and then are destroyed.
Change of address notifications received in paper
form are retained for six months and then the
paper request is destroyed. All address updates,
regardless of the medium of the request, are
maintained on a computer database for at least
one year.
RDA Number: TBD
Related PR#: BOC GSS 320
TBS Registration: 004133
Bank Number: BOC PPU 010
opinions expressed in surveys.
Class of Individuals: The Bank of Canada’s
Currency Museums’ national and international
customers of numismatic products.
Purpose: The purpose of this information is to
support the sale and distribution of Photo
Reproductions through the Bank’s Currency
Museum.
Consistent Uses: The records are used for inhouse statistical purposes regarding pieces sold,
interest in particular objects, and returning
customers to support the sale and distribution of
photographic reproductions.
Retention and Disposal Standards: The records
are destroyed two years after the file is closed.
Files are closed at the end of each fiscal year.
RDA Number: 99/004 and 98/001
Related PR#: BOC DBO 271
TBS Registration: 006457
Bank Number: BOC PPU 055
Retail Debt Products Surveys
Description: This bank contains information
collected from the general public on their attitudes
towards financial product attributes and to different
combinations of these attributes. It also contains
information on the public’s ownership of various
financial products (financial assets), the likelihood
of purchase of new investment products and the
amount of their purchase.
Class of Individuals: General public.
Purpose: The information is used for the purpose
of determining the attitudes and reactions of the
general public towards holding various investment
instruments, including government debt
instruments in particular.
Retention and Disposal Standards: Records are
kept for a period of two years, then destroyed.
RDA Number: TBD
Related PR#: BOC GSS 340
TBS Registration: 001941
Bank Number: BOC PPU 040
Unclaimed Bank Balance Inquiries
Description: This bank contains letters requesting
verification of ownership of unclaimed bank
balances as well as requests to purchase the
Unclaimed Bank Balance file. Requests originate
with individuals, chartered banks, trust companies,
barristers and solicitors and tracing companies
acting on behalf of their clients.
Note: Canadian chartered banks are required to
transfer all deposit accounts, maintained in
Canadian currency, that have been inactive for a
period of ten years or more to the Bank of
Canada, in accordance with Section 438 of the
Bank Act. This also includes all instruments (bank
drafts, certified cheques, deposit receipts, money
orders and travellers’ cheques) that remain on the
books of the chartered banks after a period of ten
years from the date of issue. The Bank of Canada
acts as a custodian for unclaimed bank balances,
responds to general inquiries and claims, and
makes payments, without fees, to those persons
entitled to receive the proceeds. Balances with a
value of less than $500.00 that remain unclaimed
are kept for a period of twenty years, from the last
date of transaction, then are transferred to the
Receiver General for Canada. The accounts that
represent a balance of $500.00 or more are kept
indefinitely, or until claimed. It is not necessary to
make a formal Access to Information request for
access to the register of dormant accounts;
personal inquiries may be directed to Unclaimed
Balances Services (telephone: 1-888-891-6398);
the register may also be searched via the Web at:
ucbswww.bank-banque-canada.ca . As well, these
Sale of Photographic Reproductions of Objects
in the National Currency Collection to Currency
Museum Customers
Description: This bank relates to information used
to administer the sale and distribution of
photographic reproductions of objects
(numismatic) from the National Currency Collection
of the Currency Museum. The personal information
collected on the order form includes individuals’
name, home or work mailing and e-mail
addresses, home or work phone numbers, bank
account numbers, signatures, order history and
110
records are available for sale, on a cost recovery
basis, on certain magnetic media.
Class of Individuals: General public.
Purpose: The purpose of this bank is to process
requests, to compile statistics and to maintain a
record of the results of the verification process.
Consistent Uses: The information is used to
respond to inquiries from owners of dormant
accounts, or their authorized representatives in
order to arrange for payments to rightful owners of
these accounts.
Retention and Disposal Standards: Positive
responses to requests for verification of ownership
are kept for seven years, then destroyed.
Vouchers and supporting documentation regarding
paid accounts under $1000 are kept for 10 years.
Negative responses to requests for verification of
ownership are kept for two years, then destroyed.
Records relating to the purchase of the unclaimed
bank balance file are kept for a period of seven
years, then destroyed.
RDA Number: TBD
Related PR#: BOC CSD 340
TBS Registration: 000073
Bank Number: BOC PPU 020
Classes of Personal Information
General Correspondence and Enquiries
Correspondence received from external
organizations and individuals including requests for
information, complaints, comments and
suggestions related to a broad range of policy
issues pertaining to the Bank’s activities.
Bank of Canada
• External Procedures Manuals
• Interim Procedures Circulars
• Records Retrieval Manual
• Sample Letter Catalogue
• Statistics Canada -Bank of Canada Commodity
Trade Concordance
• Statistics Manuals
Additional Information
Please see the INTRODUCTION to this publication
for information on access procedures under the
provisions of the Access to Information Act and the
Privacy Act.
Please Note: Requests made to the Bank of
Canada under the Access to Information Act must
be accompanied by an application fee of $5.00,
made payable to the Bank of Canada.
It is normally not necessary to make a formal
request under the Privacy Act for information
relating to an individual’s own bond holdings or
unclaimed bank balances. Individuals who wish to
inquire about their status with respect to Canada
Savings Bonds or other Government of Canada
securities, may do so informally by writing to or
contacting New Canada Savings Bonds:
Tel.: 1-800-575-5151
TTY: (Hearing Impaired): 1-800-354-2222
Fax: (613) 782-8096
E-mail: [email protected]
The personal information contained in this class
normally includes the name and address of the
enquirer, however, this form of personal
information exists in a fragmented form throughout
the subject files and is normally retrievable only if
specifics of name, subject and the date of
communication are provided.
Mailing address:
The retention periods of these classes of personal
information are controlled by the record schedules
of the general subject files in which they are
stored.
Tel.: 1-888-891-6398
E-mail: [email protected]
Manuals
Bank of Canada
234 Wellington Street
Ottawa, Ontario K1A 0G9
• Agency Procedures Manual
• Control of Data and Valuables Manuals
• Data Examination and Preparation Manuals
• Data Processing Clerical Manuals
New Canada Savings Bonds
P.O. Box 2770, Station D
Ottawa, Ontario K1P 1J7
For Unclaimed Bank Balances, personal inquiries
may be directed to:
Requests for further information about the Bank
and its programs and functions may be directed to:
Public Information Office:
Tel.: 1-800-303-1282
Fax: (613) 782-7713
Bank of Canada
For information about or copies of Bank of Canada
publications:
Publications Distribution:
Tel.: (613) 782-8248
E-mail: [email protected]
For access to press releases, many of our major
publications, and current financial data:
Web Site: www.bank-banque-canada.ca
Reading Room
In accordance with the Access to Information Act,
an area on the premises of this institution has
been designated as a reading room. The address
is:
Bank of Canada
234 Wellington Street
Ottawa, Ontario
Hours of operation are from 09:00 to 17:00,
Monday through Friday.
For those individuals who wish to access files at
the Bank’s regional offices, special arrangements
will be made upon request.
British Columbia and Yukon
900 West Hastings Street
Vancouver, British Columbia V6C 1E6
Tel.: (604) 643-6227
Prairie Provinces and Northwest Territories
404 6th Avenue S. W., Suite 200
Calgary, Alberta T2P 0R9
Tel.: (403) 215-6700
Ontario
150 King Street West, 20th Floor
Toronto, Ontario M5H 1J9
Tel.: (416) 542-1251
Quebec
1501 McGill College Avenue, Suite 2030
Montreal, Québec H3A 3M8
Tel.: (514) 496-4800
Atlantic Provinces
1583 Hollis Street
Halifax, Nova Scotia B3J 1V4
Tel.: (902) 420-4600
111
112
Belledune Port Authority
Belledune Port Authority
Chapter 5
General Information
Background
The Belledune Port Authority was established
pursuant to the Canada Marine Act which received
Royal Assent on the 11th day of June 1998 and
came into force with respect to Belledune on
March 29th, 2000. As a consequential amendment,
the port authority was added to Schedule I of the
Access to Information Act and the Schedule of the
Privacy Act.
The port of Belledune is located at the mouth of
the St. Lawrence River on the south shore of the
Bay of Chaleur. The Westerly limit shall be a line
drawn parallel to and approximately 8,500 feet
West of a line drawn through the most Northerly tip
of Chapel Point in a direction North 20°38’ East,
which Westerly limit runs in a Northerly direction
from ordinary High Water Mark on Chaleur Bay a
distance of approximately 6,081 feet into such
Bay; the Easterly limit shall be a line parallel to
and approximately 18,329 feet East of the
Westerly limit above described, which Easterly limit
runs in a Northerly direction from ordinary High
Water Mark on Chaleur Bay a distance of
approximately 8,017 feet into such Bay; the
Northerly limit shall be a line drawn between the
Northward extremities of the Westerly and Easterly
limits as above described, the direction of which
line is South 69°22’ East and the length whereof is
approximately 18,829 feet; the Southerly limit shall
be the line of ordinary High Water Mark from time
to time as extending between the Southward
extremities of the Westerly and Easterly limits as
above described.
Responsibilities
The mission of the Belledune Port Authority is to
develop to the fullest, the services and facilities of
the port, to enable it to become the anchor of
economy in northern New Brunswick.
Legislation
• Canada Marine Act, C.A. 1998, Chapter C-10
• Port Authorities Management Regulations
• Port Authorities Operations Regulations
Organization
Board of Directors
The Belledune Port Authority is managed by a
seven-member board of directors. The federal,
provincial and municipal government each appoint
one member. The other four members are named
by the Belledune Port Authority Nominating
Committee and are appointed by the Minister. The
board then elects a chairman and a vice-chairman
from among its members.
Chief Executive Officer
As the administrative head of the Authority, the
President and Chief Executive Officer shall
discharge the duties conferred on him by the Act,
the Regulations, the Letters Patent and the bylaws. He leads a team of managers consisting of
the Director of Operations and the Director,
Finance and Administration.
Operations
The Operations Department is responsible for
technical and environmental services,
maintenance, harbour master’s office and security
services.
Finance
The Finance Department looks after general
accounting, finance and cash flow, computer
service, human resources and purchasing and
supplies.
Information Holdings
Program Records
Board of Directors
Description: Information on the members of the
board of directors.
Topics: Resumé; appointment and data.
Access: Files are arranged by year.
Format: Paper.
Program Record Number: BEL CCP 024
Cargo Flex News
Description: Information on the Belledune Port
Authority.
Topics: Quarterly Newsletter to community.
Belledune Port Authority
Access: Files are arranged by year.
Format: Paper.
Program Record Number: BEL CCP 021
Corporate Plans
Description: Information on the corporate plan.
Topics: Guidelines, assessment; research;
forecasts, data and cost analysis.
Access: Files are arranged by year.
Format: Paper.
Program Record Number: BEL CCP 010
Engineering Services
Description: Information on the planning, design,
construction and maintenance of Belledune Port
Authority.
Topics: Construction supervision; consultant
management; research; drafting; tenders;
inspections; progress reports and payments.
Access: Files are arranged by project.
Format: Paper.
Program Record Number: BEL ENG 005
113
agencies.
Topics: Data.
Access: Files are arranged by year.
Format: Paper.
Program Record Number: BEL CCP 025
Ship’s Schedules
Description: Information on the shipping
schedule.
Topics: Schedule and data.
Access: Files are arranged by year.
Format: Paper.
Program Record Number: BEL CCP 028
Special Examination
Description: Information on the Special
Examination as per the Canada Marine Act.
Topics: Assessment; reports; audit; research and
data.
Access: Files are arranged by year.
Format: Paper.
Program Record Number: BEL CCP 029
Freight Services
Description: Information on the freight services to
Newfoundland.
Topics: Assessment; research; forecasts, data.
Access: Files are arranged by year.
Format: Paper.
Program Record Number: BEL CCP 023
Tariffs
Description: Information on the establishment of,
and revisions to, tariffs.
Topics: Harbour dues; berthage charges;
wharfage rate; passenger charges; water services
charges; railway shipping charges; notices.
Program Record Number: BEL TAR 020
Health and Safety
Description: Information relating to accidents and
investigations.
Topics: Incident summaries; assessments;
research.
Access: Files are arranged by topics.
Format: Paper.
Program Record Number: BEL SSC 015
Tenant
Description: Information on principal tenant,
leaseholders.
Topics: Data.
Access: Files are arranged by year.
Format: Paper.
Program Record Number: BEL CCP 022
Information Technology
Description: Information on the computer
structure.
Topics: Training; guidelines and data.
Access: Files are arranged by year.
Format: Paper.
Program Record Number: BEL CCP 030
Testimonials
Description: Testimonials by stakeholders.
Topics: Data.
Access: Files are arranged by year.
Format: Paper.
Program Record Number: BEL CCP 027
Standard Program Records
Services
Description: Information on the different services
offered by third parties.
Topics: Pilotage services; rail services and air
services.
Access: Files are arranged by year.
Format: Paper.
Program Record Number: BEL CCP 026
Please see the INTRODUCTION to this publication
for the definition of Standard Program Records
and a description of their contents.
Shipping Agencies
Description: Information on the shipping
Finance
Access to Information and Privacy Requests
Accounts and Accounting
Audits
Budgets
Human Resources
114
Information Technology
Pensions and Insurance
Standard Personal Information
Banks
Please see the INTRODUCTION to this publication
for the definition of Standard Program Records
and a description of their contents.
Access to Information and Privacy Requests
Classes of Personal Information
In the course of conducting the programs and
activities of the Authority, categories of personal
information may be accumulated which are not
contained in the specific personal information
banks described above. Such personal information
includes: requests for information, expressions of
public support, offers of services, and complaints.
This information is stored as part of the general
subject files, where records are not normally
retrieved by name of individual or other identifier.
This form of personal information is normally
retrievable only if specifics are provided
concerning the subject matter, related program
activity, as well as the date on which the
information was received by the Authority and the
name of the person to who it was addressed. The
retention periods for these classes of personal
information are controlled by the records disposal
schedules of the general subject files in which they
are stored.
Manuals
• Environmental Management System
• Financial Management Policies and Guidelines
• Port Information and Advice to Masters
Belledune Port Authority
Additional Information
Please see the INTRODUCTION to this publication
for information on access procedures under the
provisions of the Access to Information Act and the
Privacy Act.
Requests for further information about the
Belledune Port Authority may be directed to:
Belledune Port Authority
112 Shannon Drive
Belledune, New Brunswick E8G 2W2
Tel.: (506) 522-1200
Fax: (506) 522-0803
E-Mail: [email protected]
Web Site: www.portofbelledune.ca
Reading Room
Belledune Port Authority’s small conference room
has been designated under the Access Information
Act as a public reading room. The address is:
112 Shannon Drive
Belledune, New Brunswick
Blue Water Bridge Authority
115
Blue Water Bridge Authority
Chapter 6
General Information
Background
The Blue Water Bridge Authority (BWBA) was
formed in 1964 by an Act of Parliament.
Responsibilities
The Blue Water Bridge Authority is responsible for
the operation and maintenance of the Canadian
half of the highway toll bridge over the St. Clair
River between Point Edward, Ontario and Port
Huron, Michigan, pursuant to the Blue Water
Bridge Authority Act.
Legislation
• Blue Water Bridge Authority Act
Organization
The authority and the accountability for executing
the requirements of the Blue Water Bridge Authority
Act rests with the four member Board of Directors
who report to Transport Canada. The Chair is
appointed by the Governor in Council and the three
other Directors are appointed by the Minister of
Transport, to hold office during pleasure pursuant to
the BWBA Act and the Financial Administration Act.
The President/CEO is responsible for the day to
day operation of the BWBA and is also appointed
by the Governor in Council.
Currency Exchange Services
This program is responsible for complying to all
federal legislation relating to Currency Exchanges
which includes the Proceeds of Crime and Terrorist
Financing Act (FINTRAC). It also provides services
such as the exchange of currencies; purchase of
money orders and travellers cheques.
Finance and Accounting Services
This section oversees the integrity of the
Authority’s financial statements and reports to the
Board of Directors on the financial performance of
the organization. It administers the daily cash flow
and project funding requirements; initiates
investments for short and long term needs; plans
and co-ordinates the Authority’s budget process
and provides input into the Corporate Plan.
First Nations Issues
This section is primarily a development of an ongoing relationship with the Aamjiwnaang First
Nation to share the stewardship of the rich
archaeological and First Nation heritage of the
Bridge site. A Memorandum of Understanding
between the parties has been entered into to cover
a range of important issues including protocols for
archaeological activities; the discovery of human
remains and the repatriation of artifacts, as well as
initiatives for public education programs, First
Nation retail opportunities and a public
commemorative sculpture.
Human Resources
The Human Resources section encompasses the
organizational and management of the
Department’s human resources. It maintains an
internal administrative policy function and service
in relation to learning, staffing and personnel,
health, training, salaries and wages, pay and
benefits, material, language and organizational
issues. These issues pertain to members of the
BWBA as well as the BWBA Employees
Association employed by the organization.
Maintenance & Facilities Management
This section is responsible for ensuring annual bridge
inspections, including fall arrest systems to meet
safety regulations; routine maintenance of bridge
structures; plaza; buildings and property and also
provides janitorial, landscaping and snow removal.
Annual inspections are also provided on BWBA
equipment such as the automatic coin machines;
gate arms and computer systems in the Toll area.
Occupational Health & Safety
This program is responsible for ensuring the
implementation of the minimum occupational
health and safety requirements in all BWBA
workplaces as stated in Part II of the Canada
Labour Code. The Occupational Health and Safety
Program assists managers and employees with
occupational health and safety risk management,
i.e. recognizing, assessing and eliminating or
reducing work-related hazards. The expected endresult is overall improvement of work conditions, a
reduction of work-related injuries and illnesses and
related costs.
116
Operations Activity
This Operations Activity manages the collection of
tolls, traffic control and security patrols. It also
ensures that vehicles comply with policies with
respect to dangerous goods, oversized loads and
Government Agency programs such as Free and
Secure Trade (FAST) and NEXUS. It also
maintains emergency procedure measures in the
event of disasters, accidents or spills.
Project Management
This program is responsible for the review of land
development opportunities and maintaining
awareness on the subject; administration of capital
projects and the review and direction of property
issues including development and implementation
of master plan.
Security
This program is responsible for developing,
monitoring and co-ordinating the implementation of
policies and procedures and infrastructure
improvements to protect against criminal activity. It
also maintains security of the structure, employees
and plaza users; monitors and addresses issues
relating to terrorism, local criminal activity and
disaster planning and recovery on an on-going
basis; liaisons with law enforcement and
intelligence services in Canada and the United
States.
Strategic Planning
This section assists the Board of Directors and
staff in determining strategic directions for the
Corporation. Provides input and leadership in the
determination of strategic objectives and helps
develop action plans and tactical strategies to
meet objectives. Monitors and responds to
external legislation and regulations affecting the
Corporation.
Traffic Statistics & Toll Rates
This section develops traffic statistics to assist the
BWBA in the projection of future growth to help
assess the impact on infrastructure and product
development as set out in the master plan. It also
assists the BWBA local business and global
industry in the monitoring of tourism levels; trade
and the economy. Toll rates are set by the BWBA
with the approval of the Minister of Transport.
Blue Water Bridge Authority
Information Holdings
Program Records
Accidents
Description: Information relating to passenger
vehicle and commercial vehicle accidents on the
BWBA plaza.
Topics: BWBA collision and dangerous goods
accident reports; police reports and employee
statements.
Program Record Number: BWBA ACC 170
Board of Directors
Description: Information relating to the
appointment of the BWBA Board of Directors.
Topics: Commission appointments and related
correspondence.
Access: Files are arranged by name & subject.
Program Record Number: BWBA BOA 160
Commercial Accounts
Description: Information relating to the
management of the Blue Water Bridge Authority’s
Prepaid Truck Toll Accounts established by
commercial transport companies.
Topics: Policies; general information and
individual account information.
Access: Files are arranged by name and account
number.
Program Record Number: BWBA COM 110
Currency Exchange
Description: Information relating to currency
exchange transactions.
Topics: Copies of cheques cashed; records of
large transactions; money orders and travellers
cheques.
Access: Files are arranged by name & subject.
Program Record Number: BWBA CUR 150
Media/Public Relations
Description: Information on Blue Water Bridge
Authority’s media relations and events.
Topics: Includes information on ceremonies and
events, charitable campaigns, advertising, news
clippings and photographs, news releases and
promotional material and speeches and
presentations.
Access: Files are arranged by subject.
Program Record Number: BWBA MED 100
Pensions
Description: Information relating to defined
contribution pension plan.
Topics: Pension information general; pension
applications and change forms.
Blue Water Bridge Authority
117
Access: Files are arranged by subject.
Program Record Number: BWBA PEN 140
Staff Relations
Staffing Positions
Description: Information relating to inquiries about
job positions; curriculum vitae
Topics: Curriculum vitae; letters of inquiry and
cover letters.
Access: Files are arranged by month.
Program Record Number: BWBA STA 130
Vehicles
Tenant Leases
Description: Information relating to the leasing of
BWBA commercial offices and residential
properties.
Topics: Leases; credit applications and
correspondence.
Access: Files are arranged by property.
Program Record Number: BWBA TEN 180
Traffic
Description: Information on toll rates and traffic
figures.
Topics: Includes westbound and eastbound traffic
figures; current toll rates and proposed toll rate
increases.
Access: Files are arranged by subject.
Program Record Number: BWBA TRA 120
Standard Program Records
Please see the INTRODUCTION to this publication
for the definition of Standard Program Records
and a description of their contents.
Access to Information and Privacy Requests
Accounts and Accounting
Acts and Legislation
Administration
Administration and Management Services
Audits
Buildings
Buildings and Properties
Equipment and Supplies
Finance
Human Resources
Lands
Occupational Health, Safety & Welfare
Pensions & Insurance
Personnel
Physical Security
Salaries & Wages
Training & Development
Particular Personal Information
Banks
Accidents
Description: This bank contains records on all
accidents that occur on the Blue Water Bridge and
plaza involving vehicles, damage to buildings and
chemical spills. Records include reports, drawings,
photographs, calculations, copies of vouchers for
repairs and invoices to drivers, copies of cheques
and correspondence and copies of drivers’
licenses and addresses for insurance purposes.
This bank also includes information on suicides
and attempted suicides.
Class of Individuals: Individuals involved in
accidents that occur on the Blue Water Bridge and
plaza and individuals who attempted or committed
suicide.
Purpose: This file is used to conserve data on
requests for compensation by or from the Blue
Water Bridge Authority. The information is used to
authorize or determine amounts owing to or
claimed by the Blue Water Bridge Authority in the
event of loss or damage.
Consistent Uses: This bank is used to determine
any safety related issues concerning the plaza and
to make recommendations and modifications
based on the outcomes of those issues.
Retention and Disposal Standards: The records
are kept for ten years after the last administrative
action. Once the Record Disposition Authority
(RDA) has been approved, records will be
destroyed after the retention period has expired.
RDA Number: TBD
Related PR#: BWBA ACC 170
TBS Registration: 005467
Bank Number: BWBA PPU 015
Board of Directors
Description: This bank contains information on
appointments to the Board of Directors and
conflicts of interest. Personal information includes
the name, address, biography, qualifications, date
of birth and social insurance number (SIN). The
SIN is collected for the issuance of the appropriate
taxation forms, as authorized by The Income Tax
Act.
Class of Individuals: Members of the Board of
Directors and potential candidates for appointment.
Purpose: The information is compiled to provide
118
advice to the Minister on existing and forthcoming
vacancies, to assist in the appointment process,
and to record potential conflicts of interest and any
compliance action required.
Consistent Uses: This information is used to
provide Transport Canada with the personal and
professional history of members of the Board of
Directors for the Annual Report.
Retention and Disposal Standards: Files are
retained for two years after the last administrative
action. Once the Record Disposition Authority
(RDA) has been approved, records will be
destroyed at the end of the retention period.
RDA Number: TBD
Related PR#: BWBA BOA 160
TBS Registration: 005468
Bank Number: BWBA PPU 015
Financial Services
Description: This bank includes records regarding
financial services offered by the BWBA, including
currency exchange transactions. Types of personal
information contained in customer information files
includes a photocopy of driver’s license, passport,
birth certificate or government issued identification,
addresses and telephone numbers, copies of
cheques cashed and records of financial
transactions.
Class of Individuals: Individuals who use financial
services offered by the Blue Water Bridge Authority.
Purpose: The purpose of this bank is to maintain
record keeping and client identification
requirements.
Consistent Uses: It is used to report suspicious
financial transactions and cross-border movements
of currency and monetary instruments, as required
by the Proceeds of Crime (Money Laundering) and
Terrorist Financing Act.
Retention and Disposal Standards: Records are
kept for seven years after the transaction was
completed or the account was terminated. Once
the Record Disposition Authority (RDA) has been
approved, records will be destroyed after the
retention period has expired.
RDA Number: TBD
Related PR#: BWBA CUR 150
TBS Registration: 005470
Bank Number: BWBA PPU 025
Employment Applications
Description: This bank contains application for
employment and related correspondence.
Personal information includes the names of
applicants, addresses, telephone and fax numbers,
education, employment history, resumes, letters of
Blue Water Bridge Authority
recommendation, test results and staffing
interviews.
Class of Individuals: Individuals seeking
employment with the Blue Water Bridge Authority.
Purpose: The bank is used to support decisions
regarding the referral of candidates for staffing
purposes.
Consistent Uses: Information may be transferred
to an employee bank if the individual is offered and
accepts employment. The candidates’s skills may
be assessed and, if deemed suitable, the
candidate may be invited to serve in a capacity
other than the position or level of initial interest.
The information may also be used for planning and
evaluation purposes.
Retention and Disposal Standards: Solicited and
unsolicited applications that have been considered
in a staffing process are kept for a period of two
years after the last administrative use. Unsolicited
applications that have not been considered in a
staffing process are kept for six months. Once the
Record Disposition Authority (RDA) has been
approved, records will be destroyed after the
retention period has expired.
RDA Number: TBD
Related PR#: BWBA STA 130
TBS Registration: 005469
Bank Number: BWBA PPU 020
Prepaid Toll Accounts
Description: This bank describes records and
prepaid toll acounts established by private trucking
companies that have an account with the Blue
Water Bridge Authority. The records consist of
signed contracts which include the name of the
company, contact person, mailing address,
telephone & fax numbers and email addresses.
Also included are copies of cheques, copies of
direct banking transfers and listing of Blue Water
Bridge Authorities’ toll account numbers registered
to the trucking company.
Note: Access to account information is strictly
controlled by the Administration and Accounting
Departments of the Blue Water Bridge Authority.
Class of Individuals: Employees of private
companies who represent their company as
contact persons.
Purpose: This information is used to allow the
Administration & Accounting Departments of the
Blue Water Bridge Authority to monitor available
funds or prepaid toll account balances;
transactions; the production and dissemination of
monthly statements and to contact the individual
companies as necessary to discuss their account
information.
Blue Water Bridge Authority
Consistent Uses: Non-personal information may
be used to provide reports on these accounts to
management. The information may also be used
for research, planning, audit and evaluation
purposes.
Retention and Disposal Standards: Records are
kept for 6 fiscal years after account is closed and
destroyed.
RDA Number: TBD
Related PR#: BWBA COM 110
TBS Registration: 005679
Bank Number: BWBA PPU 040
Tenant Leases
Description: This bank contains records relating
to the leasing of houses, offices and buildings to
customs brokers, speciality vendors, duty free
managers, customs and immigration staff and
private residents. The records include leases,
credit applications, copies of drivers’ licenses,
background notes and correspondence.
Class of Individuals: Individuals who lease land
or property from the Blue Water Bridge Authority.
Purpose: The purpose of this bank is to maintain
information on the leasing of land, houses,
buildings and office accommodation from the Blue
Water Bridge Authority.
Consistent Uses: It is used to document the
decision-making process in property matters
including tenant approval and the development of
legal contracts and leases.
Retention and Disposal Standards: Records are
kept for twenty years after the expiration of the
lease. Once the Record Disposition Authority
(RDA) has been approved, records will be
destroyed after the retention period has expired.
RDA Number: TBD
Related PR#: BWBA TEN 180
TBS Registration: 005471
Bank Number: BWBA PPU 030
Standard Personal Information
Banks
Please see the INTRODUCTION to this publication
for the definition of Standard Banks and a
description of their contents.
Access to Information & Privacy Requests
Security Video Surveillance & Temporary Visitor
Access Control Logs & Building Passes
119
Classes of Personal Information
Correspondence and Enquiries
This class of information contains correspondence
received by the Blue Water Bridge Authority from
the general public in the form of requests for
information, complaints and commendations. This
information is contained in subject files and is
retrievable only when specific details are provided
including the date; topic and name of individual
corresponding. The retention period for this class
of personal information is controlled by the
retention period of the files in which they are
stored.
Manuals
• Blue Water Bridge Emergency Standard
Operational Procedures Manual
• Blue Water Bridge Standard Operational
Procedures Manual
• Contractor Regulations & Safety Booklet
• Environmental Health & Safety Policies &
Procedures Manual
• Human Resources Policies and Procedures
Manual
• Records Management Manual
Additional Information
Please see the INTRODUCTION to this publication
for information on access procedures under the
provisions of the Access to Information Act and the
Privacy Act.
Please note: Requests made to the Blue Water
Bridge Authority under the Access to Information
Act must be accompanied by an application fee of
$5.00, made payable to the Blue Water Bridge
Authority.
120
Requests for further information about the Blue
Water Bridge Authority and its various activities,
programs and publications may be directed to:
President/CEO
Blue Water Bridge Authority
1 Bridge Street
Point Edward, Ontario N7V 4J5
Tel: (519) 336-2720
Fax: (519) 336-7622
email: [email protected]
Web Site: www.bwba.org
Reading Room
The Blue Water Bridge Authority has designated
its Board Room as a reading room for the
purposes of the Access to Information Act and the
Privacy Act. The address is:
Blue Water Bridge Authority
Administration Offices
Bridge Plaza
Point Edward, Ontario
Blue Water Bridge Authority
British Columbia Treaty Commission
121
British Columbia Treaty Commission
Chapter 7
General Information
Background
The BC Treaty Commission (“BCTC”) was created
in September 1992 through an agreement
between the Government of Canada, the
Government of British Columbia and the First
Nations Summit (“the Principals”), whose members
represent the majority of First Nations in British
Columbia.
The BCTC received statutory recognition through
the Treaty Commission Act passed by the
Legislature of British Columbia in April 1993 and
through the BC Treaty Commission Act passed by
the federal government in December 1995, both of
which were proclaimed in force in March 1996.
The First Nations Summit also passed a resolution
in April 1993 to establish the BCTC.
Responsibilities
The role of the BCTC is to facilitate the negotiation
of treaties and, where the Parties agree, other
related agreements in British Columbia.
Legislation
• British Columbia Treaty Commission Act, S.C.
1995, c. 45
• Treaty Commission Act, R.S.B.C. 1996 c. 461.
Organization
Administration
Responsible for finance, contracts and
administration, human resources, and information
management.
Table Negotiations
Responsible for monitoring and facilitating
negotiations and providing advice and assistance
in dispute resolution as agreed by the parties;
monitoring compliance with the Commission’s
Policies & Procedures for negotiations.
Negotiation Support Funding
Responsible for administering negotiation support
funding which is provided by Canada and British
Columbia to First Nations in the process.
Communications
Responsible for reporting annually on the Treaty
Commission, the treaty process, treaty
negotiations and the status of each negotiation,
and under a Public Information and Education
Agreement with the Government of Canada and
the Government of British Columbia begun in
1997, responsible for province-wide information on
the treaty process and treaty negotiations.
Information Holdings
Program Records
Table Negotiations
Description: Records relating to progress of
negotiations at all treaty negotiation tables.
Topics: Information relating to Statements of
Intent, Readiness Submissions, Framework
Agreements, and Agreement in Principle
negotiations.
Access: By negotiation table.
Format: Hard copies, and electronic (PDF) copies
for some records; information also available on
website www.bctreaty.net
Program Record Number: BCTC NEG 005
Negotiation Support Funding
Description: Records relating to the allocation of
negotiation support funding.
Topics: Funding agreements, budgets, workplans,
audits.
Access: By negotiation table.
Format: Hard copies, and electronic (PDF) copies
for some records; information also available on
website: www.bctreaty.net.
Program Record Number: BCTC NSF 010
Communications
Description: Records relating to communication
programs.
Topics: Plans, Annual reports, newsletters, news
releases, projects.
Access: By communications project or topic.
Format: Hard copies, and electronic (PDF) copies
for some records; information also available on
website www.bctreaty.net
Program Record Number: BCTC COM 015
BCTC Process
Description: Records relating to the treaty
122
process generally.
Topics: Treaty process generally; BCTC Policies
and Procedures; aboriginal policy issues; legal
issues; land and resource issues; meetings and
communications with Principals; Treaty
Commission meetings.
Access: By classification (issue; Commission
meetings; Policies and Procedures; Principals
communications; projects; general).
Format: Hard copies, and electronic (PDF) copies
for some records; information also available on
website: www.bctreaty.net .
Program Record Number: BCTC PRO 010
Standard Program Records
Please see the INTRODUCTION to this publication
for the definition of Standard Program Records
and a description of their contents.
Access to Information and Privacy Requests
Accounts and Accounting
Acts and Legislation
Administration
Audits
Automated Document, Records, Information
Management Systems
British Columbia Treaty Commission
Electronic Network Monitoring Logs
Hospitality
Internal Disclosure of Wrong Doing in the WorkPlace
Security Video Surveillance and Temporary Visitor
Access Control Logs and Building Passes
Travel
Classes of Personal Information
Table Negotiations
The files kept for monitoring progress in
negotiations contain some limited information on
individuals within organizations participating in
negotiations. This information is neither arranged
nor retreivable by personal identifiers, except
through a phone list.
Negotiation Support Funding
In the course of managing negotiation support
funding, some limited information is acquired on
individuals within organizations dealing with
funding. This information is neither arranged nor
retreivable by personal identifiers, except through
a phone list.
Budgets
Manuals
Equipment and Supplies
• BCTC Policies & Procedures Manual
Employment and Staffing
Finance
Hospitality
Human Resources
Information Technology Services
Pensions and Insurance
Physical Security
Salaries and Wages
Training and Development
Travel
Standard Personal Information
Banks
Please see the INTRODUCTION to this publication
for the definition of Standard Banks and a
description of their contents.
Access to Information and Privacy Requests
Automated Document, Records, Information
Management Systems
Additional Information
Please see the INTRODUCTION to this publication
for information on access procedures under the
provisions of the Access to Information Act and the
Privacy Act.
For general public information enquiries, please
contact:
Brian Mitchell, Communications Manager
British Columbia Treaty Commission
1155 West Pender Street, Suite 203
Vancouver, British Columbia V6E 2P4
Tel.: (604) 482-9215
British Columbia Treaty Commission
Reading Room
In accordance with the Access to Information Act,
an area on the premises of the Commission has
been designated as a reading room. This reading
room is located at:
1155 West Pender Street, Suite 203,
Vancouver, British Columbia V6E 2P4
123
124
Business Development Bank of Canada
Business Development Bank of Canada
Chapter 8
General Information
Background
The Business Development Bank of Canada
(BDC) is a Crown corporation which was
established by an Act of Parliament effective
October 2, 1975 as the Federal Business
Development Bank (FBDB), and continued under
its new name by an Act of Parliament on July 13,
1995. FBDB, in turn, had succeeded the Industrial
Development Bank which was formed in 1944.
BDC’s mandate is to support Canadian
entrepreneurship by providing financial and
management services, giving particular attention to
the needs of small and medium-sized enterprises.
A network of branches across Canada provide the
full range of BDC’s services to small and mediumsized businesses located in each branch territory.
Responsibilities
BDC is responsible for acting as a complementary
lender, providing funds by means of loans and
equity financing to small and medium-sized
businesses to fill out or complete services
available from commercial financial institutions.
Through its Investment Group, BDC is also
responsible for providing venture capital and
subordinate financing in addition to, or in place of,
loans and guarantees.
Legislation
• Business Development Bank of Canada Act
Organization
BDC has a network of approximately eighty
branches across Canada organized into areas
reporting to a Head Office located in Montreal.
Corporate resources located in regional Service
Centres and Head Office provide guidance to
branches with respect to the application of
established BDC policy and procedures. They also
process financing applications for amounts
exceeding branch limits.
The branches provide financing and management
services to small and medium businesses located
within their particular territory. Enquiries and
applications for financing and managerial support
are received by branch personnel and processed
in accordance with established policy and
procedure.
Furthermore, enquiries and applications may be
received through the Business Service Centre
located in Head Office.
The various services and departments of BDC
include the following.
Consulting Group (formerly Management
Services Division)
The Consulting Group offers BDC’s management
services by providing consulting services to help
Canadian entrepreneurs strengthen their
management capabilities.
BDC’s consulting services provide entrepreneurs
with the specialized support they need to enhance
their business performance. Consulting in a variety
of areas including finance and accounting, human
resources, marketing, planning and general
management is provided through a network of
experienced business professionals and
specialists.
Financial Services
Investment Group
Responsible for all equity, venture capital and
subordinate financing. Its role is to act as a
catalyst in stimulating the formation of risk capital
for companies with high growth potential. It
ensures that all proposals satisfy BDC policy and
are financially viable. This Division assesses, on a
continuing basis, the adequacy and suitability of
investment policy and procedures and, when
necessary, recommends changes. The services of
this Division include direct purchase of a minority
ownership interest as well as syndication of
proposals to other venture capitalists and financial
institutions.
Loans Division
Establishes and oversees policies and procedures
with respect to the provision of financial assistance
to small and medium-sized businesses. In
addition, the Division oversees the management of
BDC’s loan portfolio for the entire life of all
Business Development Bank of Canada
accounts. Most financing is provided in the form of
loans for such purposes as purchasing fixed
assets, replenishing working capital, refinancing,
and financing a change of ownership. Guarantees
may be provided to other financial institutions to
enable a business to obtain an adequate line of
credit. Through the operations of BDC Connex BDC’s “virtual bank” - BDC offers on-line access to
its financial services.
Head Office Departments
Audit and Inspection Department
Conducts reviews of BDC’s systems of internal
control.
Controller’s & Real Estate & Facilities
Management
Responsible for all financial planning, accounting
and control in BDC. It also provides overall
administration support services including lease
administration of BDC’s premises.
Corporate Planning
Responsible for formulating BDC’s strategic,
corporate and operating plans, analysis of existing
activities and corporate development. It also
provides information on economic conditions and
the impact of the BDC’s activities upon the
economy.
Corporate Office
Provides BDC with the strategic direction required
to manage its activities and achieve its mandate
and objectives.
Government Relations
Responsible for the coordination of
communications between BDC and the Minister,
the government and members of Parliament, and
has responsibility for international relations.
Human Resources
Provides BDC with corporate-wide human
resources management. It is also responsible for
official languages, employment equity and payroll
services
Insurance
Responsible for insurance related to loan security
and corporate insurance.
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Legal Services and Corporate Secretariat
Provides legal advice to BDC in connection with its
specific program activities and support
departments. This department is also responsible
for the Board of Directors, its Committees, and
responses to Parliament.
Portfolio Risk Management
Develops, improves and produces risk information
required for strategic decision-making, regular
reports oriented to driving action on risks such as
concentration, repayment quality, risk mix and
pricing and maintains and improves risk-oriented
tools such as the pricing and risk rating systems.
Marketing & E-business
Develops all financial products, and ensure that
BDC’s products evolve with the needs of its
customers.
Ombudsman’s Office
Resolves all customer complaints not solved at
other levels.
Public Affairs
This department is responsible for advertising and
public relations to promote the role and activities of
BDC.
Systems and Technology
Develops and maintains business systems
(manual and computerized) to support the
operational functions and management information
needs of BDC.
Training
Responsible for establishing and executing
competency standards and accreditation methods
to develop a balanced and skilled work force.
Treasury
Responsible for funding of corporate cash
requirements, monitoring of cash flow, deposit and
investment of corporate funds and interest rate
forecasts.
Special Initiatives
BDC may also deliver programs from time to time
on behalf of other government departments to
meet the needs of specific entrepreneurial groups.
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Information Holdings
Program Records
Accounts History File
Description: Statistical information on all (past
and present, dormant and active) loans,
guarantees, investments and customer accounts
since 1944.
Topics: Account number; date authorized;
geographical code; industrial code; original
maturity date; actual maturity date.
Access: Files are arranged by customer number.
Format: Computer tape.
Program Record Number: BDBC FLS 030
Advanced Commercial Banking System (ACBS)
(formerly Loan Accounting and Processing
System (LAPS))
Description: Database containing accounting and
statistical information on BDC customer loans. The
initial data, Loan Authorization, is bridged from
“The Manager” software and is continually updated
throughout the administration of a customer
account.
Topics: Customer identification – loan number,
name, address, branch, industry code and banking
information; loan information - type of loan, risk
rating code, security, interest rate/repayment
terms; disbursement, payment and write-off
information.
Access: Files arranged by customer number.
Format: Computer disk or tape.
Program Record Number: BDBC FLS 025
Consulting Group
Description: Basic administrative records of the
Consulting Group’s management services,
including publicity for the various services,
budgets, costs, and financial statements; reports
and operating statistics for each activity, as well as
miscellaneous information, copyright data, and
correspondence with other organizations.
Topics: Complimentary letters; CASE and
management training; budgets; operational plans;
strategic overviews; accounting; auditors; sales
tax; systems development; activity reports - head
office, regional and branch statistical reports,
evaluations and related correspondence; Small
Business Week; Business Management Awards.
Access: Files arranged by subject.
Format: Hard copy and electronic files.
Program Record Number: BDBC MTS 050
Corporate Secretariat
Description: Information relating to the
Business Development Bank of Canada
administration of BDC’s Board of Directors and its
Committees.
Topics: Minutes of meetings and lists of topics
examined; Members of the Board and Committee
Members; logistics of meetings.
Access: By subject.
Format: Paper files and electronic records.
Program Record Number: BDBC FLS 050
Dead Loan File
Description: Statistical information on all loans.
Topics: Account number; name; type of financing;
zone codes; modifier; interest rate; statistical
codes; authorization date; maturity date; gross
authorized; net authorized and write-offs.
Access: Files arranged by customer number.
Format: Computer tape.
Program Record Number: BDBC FLS 035
Investments and Venture Capital
Description: Correspondence, policy, procedures,
and records related to the disbursement and
monitoring of funds where there is an investment
or venture capital factor.
Topics: Enquiries; submission and authorization
procedures; policy and procedures on superseding
and supplementary proposals; disbursements;
monitoring of investments; underwriting; mergers;
acquisitions and divestitures; arrears; category
classification; write-offs.
Access: Files arranged by customer name and
number.
Format: Hard copy files.
Program Record Number: BDBC FLS 045
Loans, Guarantees and Other Types of
Financing
Description: Information on submission and
authorization procedures, disbursements and
category classification, as well as policy,
procedures and correspondence related to other
forms of financing.
Topics: Superseding and supplementary credits;
closely related accounts; leasing; interim bridge
financing; conditional sales contracts; joint loans;
disbursements; category classification and writeoffs.
Access: Files arranged by customer number
and/or subject.
Format: Hard copy and electronic files.
Program Record Number: BDBC FLS 020
Management Counselling and Consulting
Description: Information on policy matters
governing the administration of the Bank’s
counselling and consulting services, accounting
procedures and related correspondence. For many
Business Development Bank of Canada
127
years, FBDB and BDC carried on their counselling
services under the acronym “CASE” (Counselling
Assistance to Small Enterprises). Information on
policy matters and activities of financial and
strategic planning services and related
correspondence.
Topics: Engagement of coordinators; contract
administration; coordinator conferences; recruiting
of counsellors in each region; engagement of
outside consultants; legal liability of counsellors;
type of assignments; counsellor training;
accounting and administration records; and the
history of CASE. Evaluations of planning
programs; conferences; activity reports; budgets;
general administration.
Access: Files arranged by subject.
Format: Hard copy and electronic files.
Program Record Number: BDBC MTS 055
Standard Program Records
Policy
Description: Information on BDC lending policy
and, in particular, its policy with respect to the
availability of funds elsewhere, commitment and
standby fees, prepayment indemnities, interest
rates, and refinancing of funds.
Topics: Availability of funds; change of ownership;
types of business; commitment and standby fees;
interest rates; refinancing; prepayment indemnity;
working capital; credit bureaus.
Access: Files arranged by subject.
Format: Electronic versions on BDC’s intranet.
Program Record Number: BDBC FLS 010
Co-operation and Liaison
Reports
Description: Activity reports prepared by Financial
Services at Head Office, the areas and branches,
including reports of accounts in arrears, equity
investments, write-offs, and disbursements.
Topics: Reports - from head office, areas and
branches on accounts (over $500,000) in arrears
for more than one month; progressive reports;
estimate of possible losses; equity investments
report (monthly and semi-annually); summary of
write-offs and review report; applications declined;
report on operations; regional activity schedule;
report analysis of accounts by category; report on
loan authorizations; liability reports; loans partially
disbursed; recoveries expected on accounts
written off; monthly report on loans fully
undisbursed; and semi-annual investment return
reports.
Access: Files arranged by subject.
Format: Electronic database.
Program Record Number: BDBC FLS 005
Pensions and Insurance
Please see the INTRODUCTION to this publication
for the definition of Standard Program Records
and a description of their contents.
Access to Information and Privacy Requests
Accounts and Accounting
Acts and Legislation
Administration
Administration and Management Services
Audits
Budgets
Buildings
Buildings and Properties
Classification of Positions
Employment and Staffing
Equipment and Supplies
Finance
Furniture and Furnishings
Hospitality
Human Resources
Lands
Office Appliances
Official Languages
Personnel
Procurement
Relocation
Salaries and Wages
Training and Development
Travel
Utilities
Vehicles
Particular Personal Information
Banks
Applications for Employment
Description: This bank contains recruitment
documents or applications for employment with
BDC and any related correspondence. This bank
may also contain personnel or staffing interviews,
psychological tests, test results and analysts’
reports.
128
Class of Individuals: Potential BDC employees.
Purpose: To meet the human resources needs of
BDC.
Consistent Uses: Information may be transferred
to an employee bank if the individual is offered and
accepts employment. This information may also be
used for research, planning, evaluation and
statistical purposes.
Retention and Disposal Standards: Retained a
minimum of two years. However, unsolicited
applications are destroyed after six months.
Solicited applications are retained for 2 years after
they are processed, then are destroyed..
RDA Number: 98/005
Related PR#: BDBC PRN 920
TBS Registration: 003750
Bank Number: BDBC PPU 020
Board of Directors
Description: This bank contains correspondence
relating to recommended nominees, the Order-inCouncil appointing the member, a brief biography,
statement of qualifications, statement of
acceptances, oath of fidelity and secrecy and
statement of conflict of interest.
Class of Individuals: Candidates for appointment
and appointees to BDC’s Board of Directors.
Purpose: The purpose of this bank is to assist in
the appointment of individuals as directors of BDC
and to record information regarding their services
as directors, including declarations on conflict of
interest.
Consistent Uses: The information in this bank is
used for reporting required for Treasury Board
Secretariat and the Privy Council Office.
Retention and Disposal Standards: Records are
retained permanently for historical purposes.
RDA Number: 81/007-1
Related PR#: BDBC FLS 050
TBS Registration: 003754
Bank Number: BDBC PPU 095
Consulting Group’s Participants
Description: This bank contains the names,
addresses and telephone numbers of participants
in seminars and workshops offered under the
consulting, counselling, training and mentoring
programs of BDC’s Consulting Group (formerly the
Management Services Division). It may also
contain company name, type of business, size of
business and other company demographics.
Class of Individuals: Individuals, organizations,
firms, businesses, etc.
Purpose: To maintain standard lists of individuals,
organizations, firms and businesses for marketing
Business Development Bank of Canada
purposes to mail information on current
forthcoming events. The information may also be
used for statistical purposes to provide analytical
reports and have a better understanding of
clientele profile.
Consistent Uses: The information is used to mail
and distribute documentation to participants.
Retention and Disposal Standards: Records are
updated continuously and information kept until
superseded. The obsolete information is destroyed
when superseded.
RDA Number: 98/001
Related PR#: BDBC MTS 055
TBS Registration: 003756
Bank Number: BDBC PPU 040
Customer Surveys
Description: This bank contains responses
obtained via questionnaires relating to customer
knowledge of BDC products and/or satisfaction
with its dealings with BDC and may include the
customer’s name, address and telephone number.
Class of Individuals: Potential, current, and
former BDC customers.
Purpose: The information is used to obtain an
accurate assessment of customer satisfaction and
awareness.
Consistent Uses: Compiling statistics for required
reports.
Retention and Disposal Standards: Records are
kept for a period of 1 year, archived for 5 years
then destroyed.
RDA Number: 81/007
Related PR#: BDBC FLS 020 and BDBC MTS
050
TBS Registration: 003924
Bank Number: BDBC PPU 100
Loan Applications - Client Files
Description: This bank contains information
relating to individuals who apply for different types
of loans offered by BDC under various programs.
The information consists of loan application forms,
financial statements, appraisal reports, personal
income and other client profile information, copies
of correspondence relating to the repayment and
ongoing administration of the loans and related
legal documentation.
Class of Individuals: Individuals who apply for
loans.
Purpose: The purpose of this bank is to determine
eligibility for loans and the administration of loans.
Consistent Uses: Information in this bank is used
for statistical purposes, monitoring, loan renewals,
collection and recovery administration. Information
Business Development Bank of Canada
may be shared with entities used by BDC in
collection and recovery proceedings.
Retention and Disposal Standards: Records on
approved loans are retained for 1 year from the
date loan is fully repaid/cancelled, and then
archived for 9 years after which time they are
destroyed. Files for abortive loans or
withdrawn/rejected applications are kept for 2
years, and then destroyed. Written off accounts
are kept one year after they’ve been written off
and archived for another 9 years and then
destroyed.
RDA Number: 81/007-1
Related PR#: BDBC FLS 020 and BDBC FLS 025
TBS Registration: 003753
Bank Number: BDBC PPU 050
Mailing Lists
Description: This bank contains mailing lists with
the names and addresses of individuals, fims,
companies, groups, etc.
Class of Individuals: Individuals, firms,
companies, groups, etc.
Purpose: To maintain standard lists of individuals,
organizations, groups, businesses, etc., for the
purpose of mailing publications, reports,
newsletters, information bulletins and other
documentation on BDC’s activities, programs and
marketing.
Consistent Uses: The information is used to mail
and distribute documentation to individuals on the
mailing lists.
Retention and Disposal Standards: Records are
updated continuously and the information is kept
until superseded. The obsolete information is
destroyed when superseded.
RDA Number: 98/001
Related PR#: BDBC FLS 025 , BDBC FLS 045,
BDBC MTS 055
TBS Registration: 003755
Bank Number: BDBC PPU 045
Regional Register of CASE Counsellors and
Consultants
Description: This bank contains information on
business and professional people who are
registered as counsellors under the Bank’s
Consulting Group Services (formerly, the CASE
counselling program) . The information consists of
their name, address, telephone number, SIN
number, areas of specialization, availability, travel
restrictions and background.
Class of Individuals: Business and professional
people registered under the program.
Purpose: The data was compiled or obtained to
129
provide information to coordinators on the
qualifications and experience of counsellors with a
view to matching them with the needs of the
applicant business.
Consistent Uses: The bank is used for statistical
purposes and human resources administration and
planning.
Retention and Disposal Standards: Records are
retained for six years from the date they become
inactive and then destroyed.
RDA Number: 98/005
Related PR#: BDBC MTS 055
TBS Registration: 003371
Bank Number: BDBC PPU 005
Requests from Federal Investigative Bodies
Description: This bank contains requests for
personal information pursuant to paragraph 8(2)(e)
of the Privacy Act by federal investigative bodies,
the replies to such requests, the records of
information disclosed, any correspondence with
the Privacy Commissioner and all records relating
to the processing of the requests.
Class of Individuals: Individuals being
investigated by federal investigative bodies.
Purpose: The purpose of this bank is to meet the
requirements of the Act.
Consistent Uses: Compiling statistics relating to
requests from federal investigative bodies.
Retention and Disposal Standards: Files are
retained for six years after their last administrative
action and are then destroyed.
RDA Number: 98/001
Related PR#: BDBC FLS 025, BDBC FLS 045,
BDBC MTS 055
TBS Registration: 003746
Bank Number: BDBC PPU 025
Temporary Help Agencies
Description: This bank contains a list of calls
made for temporary help services. It includes the
names of the agencies contacted, the name of the
person referred, the hourly rate charges by the
agency, the approximate duration of employment,
the name of the contact person at the agency and
a description of the selection criteria.
Class of Individuals: Personnel referred by the
agencies.
Purpose: The purpose of this bank is to maintain
a record of temporary help personnel.
Consistent Uses: This bank is also used to back
up financial records and invoices.
Retention and Disposal Standards: The records
are retained for two years for administrative
purposes and then destroyed.
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Business Development Bank of Canada
RDA Number: 98/005
Related PR#: BDBC PRN 912
TBS Registration: 003749
Bank Number: BDBC PPU 015
Business Development Bank of Canada.
Standard Personal Information
Banks
Public Affairs
Business Development Bank of Canada
BDC Building
5 Place Ville Marie
Montréal, Québec H3B 5E7
Please see the INTRODUCTION to this publication
for the definition of Standard Personal Information
Banks and a description of their contents
Access to Information and Privacy Requests
Electronic Network Monitoring Logs
Hospitality
Relocation
Travel
Classes of Personal Information
In the course of conducting the programs and
activities of the Loans, Investment Group and
Consulting Group Divisions, some personal
information may be accumulated within the Bank’s
client files. Information may include such items as
an individual’s name, age, marital status,
employment or managerial history, or information
relating to financial transactions in which the
individual is or has been involved. This form of
personal information is normally retrievable only if
specific information concerning the name of the
enterprise or the number of the account concerned
is provided.
Manuals
• BDC Circular Manual
• Environmental Risk Management Manual
• Legal - Miscellaneous Procedures Guides
• Modules and resource books for Credit
Personnel Training Program
• Standard File Classification Manual
• Various guidebooks for new BDC financing
products and consulting services
Additional Information
Please note: Requests made to the Business
Development Bank of Canada under the Access to
Information Act must be accompanied by an
application fee of $5.00, made payable to the
Requests for further information about the Bank
and its various programs and functions may be
directed to:
Tel.: (514) 283-7515
Internet Site: www.bdc.ca
Reading Room
In accordance with the Access to Information Act,
an area in the Bank’s Legal Services library at the
premises listed below has been designated as a
public reading room:
Head Office
BDC Building
5 Place Ville Marie
Montréal, Québec H3B 5E7
Tel.: (514) 283-5904
Canada Border Services Agency
131
Canada Border Services Agency
Chapter 9
General Information
Background
The Prime Minister of Canada announced the
creation of the Canada Border Services Agency
(CBSA) on December 12, 2003. The CBSA is an
integral part of the Public Safety and Emergency
Preparedness Canada (PSEPC) portfolio. The
creation of the CBSA brought together the
Customs Branch of the former Canada Customs
and Revenue Agency (CCRA), as well as parts of
the Appeals and Compliance Branches that
supported Customs; the Intelligence, Interdiction,
and Enforcement program of Citizenship and
Immigration Canada (CIC); and the Import
Inspection at Ports of Entry program from the
Canadian Food Inspection Agency (CFIA). In
October 2004, immigration functions at ports of
entry were also transferred to the Canada Border
Services Agency.
Responsibilities
The responsibilities of the CBSA include: ensuring
that all persons coming into Canada are
admissible and comply with Canadian laws and
regulations; processing all commercial shipments
that cross Canada’s ports of entry to ensure that
Canada’s border laws and regulations are adhered
to, that no illegal goods enter or leave the country,
and that related trade statistics are accurate;
ensuring that all applicable duties and taxes are
paid; ensuring food safety and plant and animal
health by identifying and interdicting high-risk
regulated commodities arriving at air, land and sea
ports; detaining persons who may pose a threat to
Canada; removing persons who have been
determined inadmissible to Canada, including
those involved in war crimes or crimes against
humanity; and assisting in combating money
laundering.
With a workforce of approximately 12,000 public
servants, the CBSA provides services to some
200,000 commercial importers and exporters and
to more than 92 million travellers at approximately
1,200 service points across Canada and 39
locations abroad. At over 60 land border crossings
and nine international airports, it operates on a
24/7 basis. It administers more than 90 acts and
regulations on behalf of other federal departments
and agencies, as well as international agreements.
Legislation
• Aeronautics Act
• Anti-Personnel Mines Convention
• Blue Water Bridge Authority Act
• Bretton Woods and Related Agreements Act
• Canada Agricultural Products Act
• Canada Customs and Revenue Agency Act
• Canada Grain Act
• Canada Post Corporation Act
• Canada Shipping Act
• Canada-Chile Free Trade Agreement
Implementation Act
• Canada-Costa Rica Free Trade Agreement
Implementation Act
• Canada-Israel Free Trade Agreement
Implementation Act
• Canada-United States Free Trade Agreement
Implementation Act
• Canadian Dairy Commission Act
• Canadian Environmental Protection Act, 1999
• Canadian Food Inspection Agency Act
• Canadian Human Rights Act
• Canadian International Trade Tribunal Act
• Canadian Wheat Board Act
• Carriage by Air Act
• Chemical Weapons Convention Implementation
Act (through the Export and Import Permits Act)
• Civil International Space Station Agreement
Implementation Act
• Coastal Fisheries Protection Act
• Coasting Trade Act
• Consumer Packaging and Labelling Act
132
• Controlled Drug and Substances Act
• Convention on International Trade in
Endangered Species of Wild Fauna and Flora
• Copyright Act
• Criminal Code
• Cultural Property Export and Import Act
• Customs Act
• Customs and Excise Offshore Application Act
• Customs Tariff Act
• Defence Production Act
• Department of Health Act
• Department of Industry Act
• Energy Administration Act
• Energy Efficiency Act
Canada Border Services Agency
• Immigration and Refugee Protection
Regulations
• Implementation Act (through the Export and
Import Permits Act)
• Importation of Intoxicating Liquors Act
• Integrated Circuit Topography Act
• International Boundary Commission Act
• Manganese-based Fuel Additives Act
• Meat Inspection Act
• Motor Vehicle Fuel Consumption Standards Act
(not in force)
• Motor Vehicle Safety Act
• National Energy Board Act
• Navigable Waters Protection Act
• Excise Act
• North American Free Trade Agreement
Implementation Act
• Excise Act, 2001
• Nuclear Energy Act
• Excise Tax Act
• Nuclear Safety and Control Act
• Explosives Act
• Pest Control Products Act
• Export Act
• Pilotage Act
• Export and Import of Rough Diamonds Act
• Plant Breeders’ Rights Act
• Export and Import Permits Act
• Plant Protection Act
• Federal-Provincial Fiscal Arrangements Act
• Precious Metals Marking Act
• Feeds Act
• Preclearance Act
• Fertilizers Act
• Privileges and Immunities (North Atlantic
Organization) Act
• Financial Administration Act
• Firearms Act
• Proceeds of Crime (Money Laundering) and
Terrorist Financing Act
• Fish Inspection Act
• Quarantine Act
• Fisheries Act
• Quebec Harbour, Port Warden Act
• Food and Drugs Act
• Radiation Emitting Devices Act
• Foreign Missions and International
Organizations Act
• Radiocommunication Act
• Freshwater Fish Marketing Act
• Hazardous Products Act
• Health of Animals Act
• Immigration and Refugee Protection Act
• Seeds Act
• Special Economic Measures Act
• Special Import Measures Act
• Statistics Act
• Telecommunications Act
Canada Border Services Agency
• Textile Labelling Act
• Trademarks Act
• Transportation of Dangerous Goods Act, 1992
• United Nations Act
• United States Wreckers Act
• Visiting Forces Act
• Wild Animal and Plant Protection and
Regulation of International and Interprovincial
Trade Act
Organization
The CBSA has seven branches, which are each
led by a vice-president who reports directly to the
President and Executive Vice-President
Admissibility Branch
The Admissibility Branch develops national
programs and operational policies related to the
admissibility, processing, and recourse
mechanisms for the import and export of goods
and the movement of travellers, as well as the
investigation of complaints related to unfair trade
practices. The branch is also responsible for
ensuring that the appropriate relationships exist
with other government organizations, in particular
with the Canadian Food Inspection Agency and
Citizenship and Immigration Canada.
Comptrollership Branch
The Comptrollership Branch is responsible for
establishing the financial and administrative
infrastructure and corporate accountabilities for the
CBSA, and provides strategic direction and
executive oversight and delivery of all
comptrollership functions, including financial,
administrative, security, and real property
functions, as well as policies, systems, and
management practices. The branch also provides
authoritative advice to senior management to
ensure effective corporate governance and
stewardship for resources, as well as functional
guidance and support for operations.
Enforcement Branch
The Enforcement Branch develops national
procedures, strategies, and operational policies
related to the CBSA intelligence, investigations,
and enforcement programs. The branch is also
responsible for collecting, analysing, and
distributing intelligence regarding threats to the
133
security of Canada’s borders and the integrity of
the CBSA’s programs; providing intelligence
support with respect to immigration and refugee
cases; providing functional direction and support to
field staff at posts abroad, ports of entry, and
inland offices, as well as to Migration Integrity
Officers located abroad; providing functional
direction and support for the detention and
removal programs; providing a focal point for the
CBSA’s relations with the security, law
enforcement, and intelligence communities;
researching, testing, purchasing, and maintaining
high-technology detection equipment; developing
and delivering specialized training to the field;
developing and managing partnerships with other
government departments, agencies, provincial and
foreign governments, and the private sector; and
working with international partners on the design of
new programs.
Human Resource Branch
The Human Resources Branch provides human
resources (HR) support to build the new Canada
Border Services Agency (including organizational
design, change management, and HR systems),
while at the same time constructing a blended
CBSA HR regime from the three inherited regimes.
The branch is also responsible for establishing an
integrated framework of HR strategies, policies,
and programs, and provides functional guidance
and support for operations.
Innovation, Science and Technology Branch
The Innovation, Science and Technology Branch
translates business requirements, as outlined by
the programs, into reality through the management
of major projects to research, design, develop, and
integrate quality business and Information
Technology (IT) solutions to meet the challenges of
border management. The branch is also
responsible for the establishment, management,
and operation of the corporate IT infrastructure
and the management of IT service agreements, as
well as for the direction of strategic research and
development of innovative technologies, and the
acquisition and management of technology.
Operations Branch
The Operations Branch is responsible for
consistent program delivery in the regions and the
coordination of regional operations. The branch
also provides a single point of contact for the
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regions at the national level and ensures that
regional interests are well represented at
headquarters.
Strategy and Coordination Branch
The Strategy and Coordination Branch is
responsible for developing and establishing the
internal corporate support framework for the
stewardship of the CBSA’s mandate and for
ensuring that short-term and long-term border
management issues are identified and that
strategies to address them are developed and
communicated to the public. The functional
activities include strategic policy and planning;
audit and evaluation; international and
federal/provincial programs; access to information
and privacy (ATIP), cabinet/portfolio affairs and
executive services; and public affairs functions and
activities, including strategic and corporate
communications, operational communications
services, regional coordination and liaison, media
relations and publishing.
Information Holdings
Program Records
Admissibility Branch
Account Security
Description: Information on Customs Brokers and
Importers who have applied for release from
Customs prior to Payment of Duties and/or
Acceptance of Uncertified Cheques privileges.
Topics: Records include original Surety and/or
Bank Bonds; original riders/endorsements; annual
security review letters; copies of
acknowledgment/rejection letters pertaining to the
submission of bonds/riders/endorsements; and
various correspondence relating to the brokers and
importers Account Security Profile e.g., B205,
interim payment, defaults etc. Imported files are
currently maintained with Brokers Licensing and
Account Security programs pending the scanning
of the records by Information Management
Division. Also maintained is the correspondence
relating to the two options available to brokers,
Direct Security and Goods and Services Tax,
Direct Payment. Copies of the Goods and Services
Tax Agreement Letters, Direct Security Letters,
and acknowledgment letters. Note that not all
Customs Brokers have a working paper file as
Canada Border Services Agency
many brokers do not use the Direct Security or
Goods and Services Tax Direct Payment Options.
Program Record Number: CBSA ENT 001
Administrative Monetary Penalty System
(AMPS)
Description: Authorizes Customs to assess a
range of graduated monetary penalties for all
contraventions of the Customs Act and the
Customs Tariff Act and the regulations pursuant to
these acts. This penalty regime largely replaces
seizures and ascertained forfeitures for
commercial importations and exportations of
goods.
Topics: Administrative Monetary Penalty System
is based on an automated system called the
Integrated Customs System. Each time a violation
of customs requirements is identified, a Notice of
Penalty Assessment is issued using the Integrated
Customs System. Integrated Customs System
records the violator’s name, address and client
identifier, which is either a business number,
carrier code or warehouse sub-office locator code.
The Notice of Penalty Assessment also includes
the description of the infraction, the penalty
amount payable, and recourse options.
Program Record Number: CBSA ENT 002
Admission of Persons to Canada (shared with
Citizenship and Immigration Canada)
Description: Information on policies and programs
concerning the admission of persons to Canada.
Topics: Admission data on immigrants according
to component groups (economic, social and
humanitarian immigrants) and of visitors including
tourists, temporary workers and foreign students.
Related background information including labour
market and demographic data. Description of
selection criteria and processing systems.
Access: Paper and electronic records.
Program Record Number: CBSA ENT 003
Anti-dumping Investigations
Description: Information on the analysis of
complaints alleging injurious dumping and
consequent activities including investigations,
reviews and appeals.
Topics: Original complaint; initial evaluation;
detailed investigation; administrative and expiry
reviews; and calculations and working papers.
Access: Files are maintained by commodity.
Program Record Number: CBSA ENT 004
Appeals (Anti-dumping and Countervailing)
Description: Information on the processing of B2
appeals against dumping and countervailing
decisions made under the Special Import
Canada Border Services Agency
Measures Act (SIMA); and in the case of
Binational Panels appeals, an Administrative
Record comprised of an Index, documentation
identical to that described for Customs Branch –
Anti-dumping Investigations and Customs Branch
– Countervailing Investigations, complainant’s
briefs and responses there to, motions and
disclosure orders.
Topics: Appeal documents and related working
papers.
Access: Files are maintained by commodity.
Program Record Number: CBSA ENT 005
Brokers Licensing
Description: Information on the licensing and
control of Customs Brokers.
Topics: Customs Brokers Qualifying
Examinations, Licensing Advisory Committee;
Customs Brokers $50,000 Performance Bonds;
Customs Brokers documents agents; power of
attorney.
Access: Customs brokers records are filed
alphabetically by name and location.
Program Record Number: CBSA ENT 006
CANPASS
Description: Documentation on the development,
implementation and maintenance of computer
systems pertaining to Traveller CANPASS systems
in the Customs and Trade Administration
environment.
Topics: Travellers rates and declaration database;
vehicle passage database; line officer reference
manuals for all CANPASS modes of travel, as well
as data dictionary and schemas; procedural
documents for problem reporting and resolution for
CANPASS.
Program Record Number: CBSA ENT 007
Carrier Control
Description: Information on legislation,
regulations and policies regarding the reporting
and control of conveyances and cargo entering
and transiting Canada. Information on the report
and control of the use of non-duty-paid instruments
of international conveyance entering, exiting and
transiting Canada; all modes of transport and
transport-related equipment in accordance with
Customs and transportation policy.
Topics: Carrier policy and procedures, carrier
code, temporary importation of vessels,
intoxicating liquors, post audit system. Remission
orders for, vessels, aircraft; policy directives and
information of a general or specific nature relating
to carriers of all modes; cargo containers.
Access: Information is contained in the D
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Memoranda, which can be accessed
numerically.Case files are divided into different
carrier modes and are filed alphabetically by
company.
Program Record Number: CBSA ENT 008
Casual Refund System /CREDITS –
Maintenance and Support
Description: Information on Casual Refund
System.
Topics: User Manuals, desk instructions,
functional specifications, various test packages,
bulletins to systems users.
Access: Manuals are filed by subsystem and/or
system name. Files are indexed numerically and
by subject.
Program Record Number: CBSA ENT 009
Client Service - Cost Recovery Program
Description: Information on the application of
“fees for service” to all requests from external
clients and other government departments for new
or enhanced, long-term customs service.
Topics: General, policy, specific initiatives.
Access: Files are arranged by operational file
number and by client name.
Program Record Number: CBSA ENT 010
Client Service - Fees for Documents
Description: Information on the application of fees
when clients request copies of documents related
to the import or export of goods.
Topics: General, policy/regulations (D1-3-1),
public complaints, regulatory review process.
Access: Files are arranged numerically.
Program Record Number: CBSA ENT 011
Client Service - Special Service Charges
Description: Information on the application of
service fees pursuant to section 167 of the
Customs Act for ad hoc customs service provided
outside authorized hours, at a location other than a
customs office or which is outside the normal
realm of a customs officer’s duties.
Topics: General, policy/regulations (D1-2-1),
public complaints, regulatory review process.
Access: Files are arranged by number and
subject.
Program Record Number: CBSA ENT 012
Commercial Verification
Description: Information on policies and
procedures respecting the legislation administered
by Customs prior to the release of commercial
goods to the importer or his agent and similar
information on goods exported from Canada.
Topics: Regulations, operational policies,
processes, and procedures, contravention’s and
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sanctions, and verification processes and
methodology.
Access: Memoranda and files containing
instructions can be accessed alphabetically.
Program Record Number: CBSA ENT 013
Compliance and Performance Surveys
Description: Information on the compliance of
travellers; commercial goods arriving by highway,
air and marine container; and courier and postal
shipments.
Topics: Traveller and commercial compliance
rated, for travellers, the dollar value of duties
evaded, percentages of travellers sampled who
were fully satisfied to fully unsatisfied with customs
service.
Access: Files are arranged by customs office
name and by date of survey.
Program Record Number: CBSA ENT 014
Countervailing Investigations
Description: Information on the analysis of
complaints of the allegedly injurious importations
of subsidized goods and consequent activities,
including investigations, reviews and appeals.
Topics: Original complaint; initial evaluation;
detailed investigation; administrative and expiry
reviews; and calculations and working papers.
Access: Files are maintained by commodity.
Program Record Number: CBSA ENT 015
Courier Systems and Procedures
Description: Information on the legislation,
regulations and policies governing couriers
involved in the clearance of low-value shipments
through Customs.
Topics: Courier policy and procedures, remission
order, cost recovery, statistics, and
correspondence with courier companies and
associations.
Access: Information is filed by subject matter.
Program Record Number: CBSA ENT 016
Drawbacks and Refunds
Description: Information on the administrative
policies for drawbacks of customs duties on
exported goods, the refunds of Customs duties
under various regulations (excluding appeals) and
the development of Canadian legislation covering
the drawback and refund programs.
Topics: Correspondence on drawbacks – claims
and claimants; refunds – claims and claimants;
exports; obsolete or surplus goods; railway rolling
stock; ships’ stores; home consumption; post-audit
and conditional remission Orders in Council.
Access: Subject files and case files are arranged
Canada Border Services Agency
by subject or company name. Refund and
drawback claims are filed by claim number.
Program Record Number: CBSA ENT 020
Duty Deferral
Description: Information on duties deferral
unit and the development of Canadian legislation
covering various relief/refund/remission programs.
Topics: Payment of claims withheld to offset debts
due to the Crown; post-audit procedures; seizures
arising from drawback or refund investigations;
and trade talks and negotiations.
Access: Files are arranged by subject, company,
country or Agency.
Program Record Number: CBSA ENT 021
Duty Deferral, Drawback and Bonded
Warehouse
Description: Customs Bonded Warehouses
are departmentally licensed and related facilities
operated by the private sector. Goods in a bonded
warehouse are considered to be imported into
Canada but have not been released from customs.
These facilities provide for the complete deferral of
customs duties, anti-dumping and countervailing
duties, excise duties (except tobacco and alcohol
destined for release into Canada) and taxes
including the GST.
Topics: Customs Bonded Warehouses.
Access: Individual Bonded Warehouse records
are filed alphabetically by name and held in
various offices.
Program Record Number: CBSA ENT 022
Duty Free Shop Licensing
Description: Information on the objectives and
implementation of the duty free shop program at
the land border, and information on airport duty
free shops.
Topics: Criteria and procedures for licensee
selection; standards of operations; duty free shop
regulations and directives.
Access: Individual land border and airport duty
free shops records are filed by site; general
information is filed by subject matter.
Program Record Number: CBSA ENT 023
Entry Accounting and Adjustment Policy
Description: Information on the entry of
commercial goods and related documentation:
revenue accounting, invoicing and adjustments
against accounting documents.
Topics: B3 entry documentation; provisional
entries; B2 requests for adjustment;
amending entries; Canada Border Services
Canada Border Services Agency
Agency invoicing requirements.
Access: Records are filed alphabetically.
Program Record Number: CBSA ENT 024
Export Reporting
Description: Information on export policy and
procedures applicable to goods exported from
Canada.
Topics: Export regulations and directives;
electronic and manual reporting of goods and
cargo.
Program Record Number: CBSA ENT 025
General
Description: Information on the overall functions
of commercial entry systems (e.g., audits, cooperation and liaison, meetings, projects and
reports).
Topics: Commodity coding; contingency plans;
Customs Act revisions; co-operation with the
Canadian Exporters’ Association, Canadian
Society of Customs Brokers, Canadian Importers’
Association, Canadian Industrial Traffic League,
and external agencies in general.
Access: Information is contained in the D
Memoranda, which can be accessed
alphabetically.
Program Record Number: CBSA ENT 026
Harmonized Commodity Description and
Coding System
Description: Information on the Harmonized
Commodity Description and Coding System (HS).
Topics: Results of the Harmonized System
Committee of the World Customs Organization
(WCO) and the HS Review Sub-committee; the HS
Nomenclature; Canadian tariff and statistical
nomenclature based on the HS.
Access: Files and reports are filed by topic.
Program Record Number: CBSA ENT 027
Immigration Ports and Border
Description: General correspondence relating to
admissibility activities, including letters, briefing
notes and ministerial correspondence; policies,
statistics, directives, manuals, forms, operational
memoranda on specific Immigration functions and
obligations; the Immigration and Refugee
Protection Act and Regulations, proposed
amendments thereto, historical amendments and
Regulatory Impact Analysis Statements (RIAS),
and other related statutory instruments.
Topics: Immigration Ports and Border
Management, Examination of persons entering
Canada. Primary and secondary examinations;
Documents required by persons seeking to enter
Canada; Examinations of Canadian citizens,
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registered Indians, permanent residents and
temporary resident permit holders; Examination of
immigrants; Processing student authorizations;
Examinations of visitors and foreign workers;
Preparation of voluntary withdrawal, and directions
to return to the United States; Immigration Officer
functions at ports of entry; Search and seizure of
documents and private vehicles, fingerprinting and
photographing; Verification of departure at ports of
exit; Temporary entry of business persons;
Canada/US Accord on our shared border;
Searches and seizure; Special treatment of
unaccompanied minors; Determinations of
eligibility under the Immigration and Regugee
Protection Act to have a claim to be a Convention
refugee referred for determination; Seizing and
returning documents; US VISIT; Smart Border
Accord; International Civil Aviation Organization,
processing of travellers to Canada, Annex 9;
Alternative Means of Examination (CANPASS,
NEXUS, FAST) and the immigration functions tied
to these programs.
Program Record Number: CBSA ENT 045
Import Process Division – Contracting Out
Description: Information related to the data
capture of entry accounting and cargo data by
private sector firms using Customs equipment and
facilities.
Topics: Operating procedures manual; Public
Works and Government Services Canada contract;
various reports, forms and files.
Access: Manual is filed by name and files are
indexed numerically and by subject.
Program Record Number: CBSA ENT 029
Integrated Customs Systems
Description: The Integrated Customs System is
based upon the Customs Blueprint initiatives
designed to streamline and expedite legitimate
trade and facilitate processing of low-risk
travellers, enhanced import and export control
effectiveness, and ensure Government revenues
are collected. The Integrated Customs Systems
combines new components, applications, and
technical infrastructure, with interfaces to existing
Commercial Traveller, and Enforcement systems.
Topics: Documentation includes information on
the design, development, testing, and
implementation of the components, applications,
and infrastructure that comprise Integrated
Customs Systems. Systems descriptions,
conceptual designs, database models, project
development and deployment schedules,
procurement records, integrated testing strategy
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and problem reporting instructions, and problem
management strategy.
Program Record Number: CBSA ENT 028
Origin and Valuation Audits
Description: Information on audit and verification
policies, procedures and activities, respecting the
rules of origin regulations under the North
American Free Trade Agreement (NAFTA), the
Canada-Chile Free Trade Agreement (CCFTA), the
Canada-Israel Free Trade Agreement (CIFTA), the
Canada-Costa Rica Free Trade Agreement
(CCRFTA) and the Least Developed Countries
(LDCs) Market Access Initiative.
Topics: Policies and procedures, related
legislation and regulations, NAFTA Audit Manual,
origin and valuation correspondence and working
paper templates,audit plan and case files.
Access: Files are arranged by FTA and/or subject
and/or company name.
Program Record Number: CBSA ENT 030
Policy and Administration (Anti-dumping and
Countervailing)
Description: Information on the development of
Canadian legislation covering anti-dumping,
countervail, and the development and review of
systems and procedures relating to the application
of these programs; liaison with other Departments,
foreign trade; and tax legislation.
Topics: Legislation; policy and technical
interpretation of anti-dumping and countervail
programs; correspondence and manuals;
documents relating Agency involvement with the
General Agreement on Tariffs and Trade (GATT)
World Trade Organization (WTO) Agreement; trade
negotiations [Free Trade Agreement (FTA), North
American Free Trade Agreement (NAFTA),
Canada-Chile Free Trade Agreement (CCFTA)
Multilateral Steel Agreement (MSA)] and internal
studies [Organization for Economic Co-operation
and Development (OECD) study on trade and
competition policies], studies and reviews on trade
and tax legislation of foreign countries.
Program Record Number: CBSA ENT 031
Policy and Administration (Origin)
Description: Information for the policies and
procedures of the Memorandum of Understanding
(MOU) for the Exchange of NAFTA-Related
Information Between the Bureau of Customs and
Border Protection and the CBSA that have been
established in order to fulfill our commitment under
Section 512 of the North American Free Trade
Agreement (NAFTA) to collect and exchange
information and statistics regarding the importation
Canada Border Services Agency
and exportation of goods in order to ensure
equitable implementation of the NAFTA and
ensuring all exporters of a level playing field.
Topics: Reasons for the exchange of the trade
data, policies and procedures, the Customs Notice
514-Memorandum of Understanding for the
Exchange of North American Free Trade
Agreement(NAFTA)-Related information, related
legislation and Regulations,required data elements
and documentation, manner in which data is to be
exchanged and the timing of the exchange
(monthly/quarterly).
Access: The individual origin verification
determinations are filed by period.
Program Record Number: CBSA ENT 032
Policy and Administration (Valuation)
Description: Information on the development of
Canadian legislation covering valuation and the
development and review of systems relating to the
administration of valuation; information on the
delivery of international technical assistance;
liaison with other Government Departments and
other branches and divisions within Customs;
valuation legislation, policies and practices of
World Trade Organization (WTO) signatories to the
International Valuation Agreement.
Topics: Legislation, policy and technical
interpretation of the valuation program;
correspondence and training material; documents
concerning Agency participation at General
Agreement on Tariffs and Trade (GATT) World
Trade Organization (WTO) Agreement meetings
and at the Customs Cooperation Council (CCC)
World Customs Organization (WCO) Technical
Committee on Customs Valuation meetings.
Participation on Government Trade Agreement
Initiatives (e.g. APEC, NAFTA, EFTA, FTAA, Chile,
etc.).
Program Record Number: CBSA ENT 033
Postal Policies, Procedures and Automated
Systems
Description: Information on various policies,
procedures, operational and automated systems
respecting the importation of goods through the
postal system by commercial and non-commercial
importers; also co-operation and liaison with
domestic and foreign authorities.
Topics: Interpretations of legislation, regulations
and policies; postal methods of payment for duties
and taxes; postal import remissions; postal release
procedures; complaints; mail movement and
control; prohibited goods disposal; co-operation
and liaison with domestic (and foreign) authorities
Canada Border Services Agency
such as the Royal Canadian Mounted Police,
Agriculture Canada, Health and Welfare Canada,
Canada Post Corporation and Statistics Canada.
Program Record Number: CBSA ENT 034
Recourse Directorate (Enforcement related
disputes)
Description: Information on all appealed
enforcment actions made under the Customs Act.
Excise Act, Excise Act 2001, Agriculture and AgriFood Administrative Monetary Penalties Act,
Proceeds of Crime (Money Laundering) and
Terrorist Financing Act for contravention of these
or other Acts of Parliament for which the Agency
has administrative authority.
Topics: Information retained includes original
enforcement action documents, officer reports and
supplementary reports, the letter of appeal; the
Notice of Reasons for Action, and the decision.
Access: Cases are files by number.
Program Record Number: CBSA ENT 018
Recourse Directorate (Trade related disputes)
Description: Information on dispute resolution
processes, including policies and procedures
relating to K14D disputes for re-determinations of
tariff classification, origin or value for duty
decisions made under the Customs Act; appeals to
the Canadian International Trade Tribunal and
Federal Court; referrals and inquiries from regional
appeals offices; consultations with the Department
of Justice; the analysis of facts and positions as
well as their ramifications with respect to Canadian
International Traite Tribunal/Federal Court cases; 3
objectives, organization and responsibilities; work
plans; workload and resource projections and
resource allocations; training; procedural type
policies and manuals.
Topics: Procedural guidelines; mandates;
authority delegations; regional referrals; K14D’s
and notices of appeal with related documentation;
position papers; protocols with other branches.
Access: Filed by Harmonized System
Subheading, court reference number, and subject.
Program Record Number: CBSA ENT 017
Remissions
Description: Information on the eligibility of
companies and types of commodities for
exemption or remission of duties and taxes under
standing remission Orders-in-Council, special
remissions, applications to the Interdepartmental
Remission Committee and the development of
Canadian legislation covering the remission
program.
Topics: Applications, background information,
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research data and decisions relating to standing
remission Orders-in-Council; special remissions;
Canadian goods abroad and temporary entry
provisions.
Access: Cases are filed by company name,
subject and Order in Council number.
Program Record Number: CBSA ENT 036
Rules of Origin
Description: Information on the determination of
tariff treatment in accordance with the Canadian
rules-of-origin regulations and trade agreements
(the North American Free Trade Agreement in
particular).
Topics: Inquiries; reports; requests for information;
verifications; investigations and final decisions on
such things as entries; invoicing; preferential tariff;
and direct shipment.
Access: Files are arranged by subject and
country.
Program Record Number: CBSA ENT 037
Tariffs
Description: Information on the overall functions
and programs that concern the Tariff Classification
and International Nomenclature Division.
Topics: End-use privileges; Customs laboratory
reports; industry complaints and reviews;
Consultations with other government departments
and bilateral and multilateral negotiations on tariff
classification issues; the Customs and Excise
Offshore Application Act; and regional referrals.
Access: Files are arranged by tariff item and
commodity.
Program Record Number: CBSA ENT 039
Travellers (Customs)
Description: Information on the administration and
application of specific tariff items and remission
orders pertaining to travellers entitlements; and on
the control and processing of travellers and their
baggage entering Canada by all modes of
transportation.
Topics: Interpretative guidance on tariff items
pertaining to visitors, former residents, settlers and
their effects; maintenance of travellers
declarations; liaison with other departments; and
inspection procedures.
Access: Correspondence and policy decisions on
commodity classification is filed by Harmonized
System sub-heading number. General
correspondence and policy information is filed
numerically by subject matter.
Program Record Number: CBSA ENT 041
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Travellers Year in Review
Description: The Travellers Year in Review is an
annual publication providing an analytical look at
statistical data (national and regional), compliance
measurement and client satisfaction. It includes
overviews of key events and activities within the
Customs Travellers Program.
Topics: Summaries of compliance and
performance measurement surveys conducted
annually, traveller volumes, examination rates,
enforcement rates and numbers of small
collections on a national, regional and select
customs office basis.
Access: The Year in Review is distributed to
select managers in HQ and regionally.
Program Record Number: CBSA ENT 042
Valuation
Description: Information in support of regionally
conducted valuation verifications concerning the
value for duty of imported goods.
Topics: Instructions to importers; documentation,
information on formal requests for re-appraisal.
Access: Files are maintained by file number for
the commodity and by importer name.
Program Record Number: CBSA ENT 043
Warehouse Licensing
Description: Information on the licensing and
operation of various types of Customs
warehouses.
Topics: Customs sufferance warehouses; frontier
warehouses.
Access: Individual sufferance warehouse records
are filed alphabetically by name and location.
Program Record Number: CBSA ENT 044
Comptrollership Branch
Program Planning and Analysis
Description: Information concerning Branch
planning and budgeting activities including multiyear operational planning process (MYOP); the
Branch monitoring framework for programs;
Customs inspector uniform program; operational
issues related to health and safety and unionsensitive issues; PASS program (Personal Alarm
Security System); special services; disposal of
goods; claims against the Crown; briefing material
for senior management on operational issues;
responses to internal audit reports, program
evaluations and Auditor General reports; coordination of special events (e.g. G-7 meetings,
Olympic Games Expositions); policies to be
followed in the communications centre regarding
communications between the regions and
Canada Border Services Agency
headquarters in crisis situations; and statistics on
inspector assaults.
Topics: Program planning and analysis-general,
policy development, interbranch and
interdepartmental coordination, monitoring, branch
planning and budgeting.
Program Record Number: CBSA COM 001
Enforcement
Customs Enforcement
Advance Passenger Information/Passenger
Name Record Program
Description: Information on the legislation,
policies, and procedures as well as the design,
development, testing, and implementation of
PAXIS (Passenger Information System). Included
is information relating to passengers and crew as
obtained from airlines’ reservations or departure
control systems as well as result scores from
subsequent enforcement database queries.
Topics: Regulations; operational policies and
procedures; correspondence; system descriptions
and test packages; evaluation reports; user
manuals and training material; memoranda of
understanding; disclosure release forms; statistics.
Access: Files are indexed numerically and by
subject matter. PAXIS data can be searched by
data field.
Program Record Number: CBSA ENF 001
Anti-Evasion
Description: Information on anti-evasion,
smuggling and fraud initiatives, on liaison with
other organizations involved in anti-evasion,
smuggling and fraud initiatives; on coordinated law
enforcement activities.
Topics: Research, analysis and assessment of
smuggling and fraud; co-ordination of the activities
on anti-evasion, smuggling and fraud; money
laundering; organized crime.
Program Record Number: CBSA ENF 002
Commercial Enforcement
Description: Information on the development of
enforcement policies, techniques and procedures.
Topics: Import and export enforcement policies
and procedures; policies on the utilization of
intelligence data in enforcement programs.
Access: Files are in numerical order.
Program Record Number: CBSA ENF 003
Customs Intelligence Data
Description: Information exchanged with foreign
Customs administrations and law enforcement
agencies used to produce intelligence relating to
Canada Border Services Agency
the detection and successful interdiction of actual
and potential Customs violations.
Topics: Offence-related data; profiles of
individuals, companies, and organizations
considered to be high-risk Customs offenders;
information on past infractions by companies or
persons; suspect files of individuals or companies;
commodity data pertaining to goods likely to be
smuggled; methods of concealment, modus
operandi of the smuggler, routing; demographics of
smugglers, etc.
Access: All data can be retrieved via printouts
matching various selected fields or search of file
material. Individual names, company names,
addresses and telephone numbers can be the
subject of search criteria. All fields can be sorted
according to the data (i.e. alphabetically or
numerically).
Program Record Number: CBSA ENF 004
Detection and Investigations
Description: Information specific to noncompliance, avoidance, evasion with respect to the
Customs Act and other related laws. The
information relates to the detection, identification
and investigation of potential, alleged, and actual
violations with respect to the provisions of the
Acts.
Topics: Information pertaining to persons specific
to non-compliance, and duties avoidance, evasion
and fraud.
Access: Cases are filed alphabetically by vendor’s
name and case file, and numerically by
enforcement file.
Program Record Number: CBSA ENF 005
Immigration Enforcement
Enforcement
Description: General correspondence relating to
enforcement activities, including letters, briefing
notes and ministerial correspondence; policies,
statistics, directives, manuals, forms, operational
memoranda on specific Immigration enforcement
functions and obligations; the Immigration and
Refugee Protection Act and Regulations, proposed
amendments thereto, historical amendments and
Regulatory Impact Analysis Statements (RIAS),
and other related statutory instruments.
Topics: Investigations, Removals, Hearings, and
Detention: Lookouts; Section 44 reports, Maritime
procedures; Search and seizure of documents and
private vehicles, Holding, detaining and seizing
vehicles operated by transportation companies;
Obligations and liabilities of transportation
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companies; Memorandum of Understanding with
commercial transporters; Verification of departure;
Reciprocal Arrangement with the United States
Memorandum of Understanding with Health
Canada; Canada/US Accord on our shared border;
Advance Passenger Information (API) / Passenger
Name Record (PNR); Advance Passenger
Processing (APP); Treaty on Mutual Legal
Assistance with the United States; Investigations
(peace officer status; use of force; police liaison);
Searches and seizure; Arrests; Unaccompanied
minors; Detention reviews and release;
Admissibility hearings; Issuance of removal orders
with respect to detention and release; Appeals of
removal order by a permanent resident, a
protected person, or a holder of a permanent
resident visa; Refugee claims, Minister’s
interventions; Refugee vacation; Temporary
Suspension of Removals; Removal order deferrals,
stays of removal; Escort function; Warrants; Our
Missing Children Program; General information on
cooperation and liaison activities with law
enforcement agencies, in particular the RCMP and
CSIS; Memorandum of Understanding with CPIC
services; Memorandum of Understanding with
various police agencies; Administrative Framework
Agreement with the Immigration and Refugee
Board of Canada; Removal Arrangements with
Jamaica, Vietnam, Slovenia, the Czech Republic,
Hong Kong, Lebanon, and Portugal; Permanent
Resident Card Project; Canada/US Border Vision;
Intergovernmental Consultations on Refugee
Asylum Policies and Migrations in Europe, North
America and Australia (Working Group on Return).
Program Record Number: CBSA ENF 008
Integrated Customs Enforcement System
(ICES)
Description: Information on the design,
development and implementation of ICES, the
major automated enforcement support system in
the Customs Stream.
Topics: System descriptions; System Data base
Model; Enforcement Library, Systems, Design and
Architecture Documents; Problem resolution and
testing procedures. Implementation plans; User
Manuals and Training material.
Access: Files are indexed numerically by subject
matter.
Program Record Number: CBSA ENF 009
Integrated Primary Inspection Line (IPIL)
System
Description: Information on the design,
development and implementation of the IPIL
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System. IPIL supports the primary Customs
Inspectors function by performing name and
associated date of birth queries against the
Integrated Customs Enforcement System (ICES)
and Field Operations Support System (FOSS)
databases.
Topics: Systems Designs and Architecture
Documents: Implementation plans and system
descriptions.
Access: Files are indexed numerically by subject
matter.
Program Record Number: CBSA ENF 010
Transportation
Description: Information on the transportation of
persons to, from or within Canada.
Topics: Transportation by air, land or sea;
companies’ obligations for the provision of
examination facilities; payment of detention,
removal and medical costs; administration fees,
deposit of security for persons conveyed in
companies’ vehicles; responsibilities and
regulations of travel agencies, and consultations
with Transport Canada.
Program Record Number: CBSA ENF 011
Immigration Intelligence
Strategic Intelligence
Description: Policies, guidelines, procedures,
statistics, correspondence and reports.
Topics: Activities involving organized illegal
migration and smuggling; Co-operation and liaison
with international enforcement agencies concerned
with illegal migration; Undocumented arrivals;
Improperly documented arrivals at Canada’s ports
of entry; Illegal marine arrivals; International
migration trends; special population movements as
a result of civil war, social/political upheaval, and
natural disasters; Intelligence assessment
products; Seizure of documents from international
mail and courier systems.
Program Record Number: CBSA ENF 012
Innovation, Science and Technology Branch
Accelerated Commercial Release Operations
Support System
Description: Information on the design,
development testing and implementation of
ACROSS, the major automated release system in
the Customs Commercial stream. Included is
information on the following ACROSS sub-system:
Goods Control (Cargo and Release including
Electronic Data Interchange Marine and Rail
Cargo as well as EDI Release); Release
Canada Border Services Agency
Notification System (RNS); the Automated Import
Permit System (EXCAPS); the Customs SelfAssessment Program (CSA), and the Commercial
Driver Registration Program (CDRP).
Topics: System descriptions, Conceptual System
Design (CSD), Business System Design (BSD),
ACROSS Participant Requirement Documentation
(PRD); EDI Marine Cargo PRD; EDI Rail Cargo
PRD; Implementation Plans; ACROSS User Guide;
Bulletins and training material including Quick
Reference Guides.
Access: Files are indexed numerically and by
subject matter.
Program Record Number: CBSA TEC 001
Accelerated Customs Release Operation
Support System (ACROSS)
Description: Documentation on the development,
implementation and maintenance of computer
systems pertaining to Commercial release and
reporting.
Topics: Importer registration, Release electronic
documents, enforcement lookouts and passage
database; as well as data dictionary and schemas;
procedural documents for problem reporting and
resolution for CCS/FIRM/G11.
Program Record Number: CBSA TEC 002
Branch Automated Equipment Acquisition and
Inventory Control and Management
Description: Information on automated systems
equipment (hardware, software, communications
devices) acquisition, inventory, determination of
funding levels for technology support costs,
deployment and replacement processes.
Topics: Acquisition forms, inventory database,
costing formulas, funding reports.
Access: Files are indexed numerically and by
subject.
Program Record Number: CBSA TEC 003
Customs Commercial Systems
Description: Documentation on the development,
implementation and maintenance of computer
systems pertaining to Commercial accounting and
reporting.
Topics: Importer and carrier identification,
Commercial rates, B2 & B3 electronic documents,
and accounting databases, as well as data
dictionary and schemas; procedural documents for
problem reporting and resolution for
CCS/FIRM/G11.
Program Record Number: CBSA TEC 004
Canada Border Services Agency
Electronic Data Processing (EDP) Systems
(shared with Citizenship and Immigration
Canada)
Description: EDP systems are used to gather or
update the information needed for the operational
support of citizenship and immigration programs.
Citizenship and immigration-related programs and
services are delivered using integrated clerical,
manual and EDP systems. The EDP component
consists of the sub-systems listed below. All subsystems are linked to each other, either by a full
computer connection (interface), or by common
data elements that allow comparisons of
information across systems. Therefore, actions in
one sub-system may affect the smooth running of
others. Approximately 500 separate immigration
forms, with a total volume of 1,000,000
documents, are processed through these subsystem search years. Enforcement Information
Index (EII): Please see Citizenship and
Immigration Canada PPU 041 for details. A set of
EII (CIC PPU 041) cases produced on CD was
distributed to posts (Embassies and Consulates)
abroad. Enforcement Data System (EDS): Please
see Citizenship and Immigration Canada PPU 001
for details. A set of EDS (CIC PPU 001) cases
produced on CD was distributed to posts
(embassies and consulates) abroad. Field
Operational Support System (FOSS): The FOSS
database is a central repository of information on
all persons who have been, may be or are wanted
to be seen by Immigration staff. FOSS is the main
operational support system for Immigration
operations in Canada. The system is comprised of
numerous components including query functions,
status entry, document creation, refugee
monitoring, case processing support, medical
profiles, registry functions, client name and
address, statistical functions, airport primary
inspection line functions, access and security,
appeals and litigation, quality assurance and
records maintenance. All Immigration staff that
work with the public and the staff that support
these officers use FOSS. It is also used at all
international airports by Customs inspectors and
by a number of specialized groups, such as: Case
Management, Query Response Centre, Social
Insurance Registry, Immigration Health,
Immigration Statistics, External Affairs Protocol
Office and the U.S. Immigration Offices at Detroit
and Buffalo. There are over 14 million client
records and over 23 million document reference
records. Computer-Assisted Immigration
Processing System (CAIPS): CAIPS is the
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Department’s automated system for immigration
application processing outside Canada.
Information is entered in the system from
application forms and supporting documentation
submitted by applicants for immigrant and visitor
visas, returning residence permits and student and
employment authorizations. This information is
transferred electronically to FOSS to facilitate
inland processing. In addition, CAIPS users have
real-time access to FOSS via the CAIPS-FOSS
Integration module. Case Processing Centre
System (CPC): The CPC system supports the
processing of all in-Canada applications for the
following six lines of Business: in- Canada
sponsorship of family class; extension of visitor
visas; extension of employment authorizations;
extension of student authorizations; applications
for Citizenship and Immigration Canada 385
permanent residence; applications based on
Humanitarian and Compassionate grounds; and
for persons deemed refugees. The system is tied
very closely to FOSS. Citizenship Registry System
(CRS): CRS manages processes related to
citizenship, namely grants of citizenship and proofs
of citizenship. The main functions are: Collect
Fees; Collect Data; Certificate Preparation;
Clearance; Decision: Scheduling; Log In (results)
and File Retention. All record scheduling and
workflow data related to citizenship processes are
kept in this database and there is an interface with
FOSS. National Case Management System
(NCMS): The NCM system replaces seven
regional case tracking applications–Tracking
Resource Allocation and Client Scheduling
(TRACS), Système d’Affectation des Ressources
et Calendrier des Enquêtes (SARCE),
Investigations Tracking System (ITS), Investigation
Case Management System (ICMS), Système
Informatique pour le Suivi des Appels (SISA), and
Appeals Tracking System (ATS). NCMS provides
functionality that supports critical case tracking
requirements from the regions and NHQ. It
provides a facility aimed at satisfying management
information needs. Key enforcement data is stored
centrally to provide an integrated client case
history for all domestic users. Its functions include
case tracking, bring forward, scheduling, workload
management, file registry, and forms and letters
modules for all of Citizenship and Immigration
Canada’s major enforcement business lines
(except port of entry examinations).
Topics: Information systems generally; standard
statistical coding for completing forms; information
gathering systems (employment clearance,
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occupation, transportation tables, native
language); data systems (immigrants processed
abroad and in Canada, permanent residents,
monthly program reports, special information
retrieval procedures, foreign nationals visiting
Canada).
Program Record Number: CBSA TEC 011.
Mechanized Systems Development
Description: Information on ensuring effective
Customs control over the movement and
processing of international mail, by means of
improved facility designs and both mechanical and
non-mechanical systems.
Topics: Facility improvements, correspondence
and drawings, machinery and equipment.
Access: Records are filed by subject and by
Customs office
Program Record Number: CBSA TEC 006
Personal Computer/LAN Systems Maintenance
and Testing
Description: Information on the Commercial
Offsite Monitoring System (COMS); Automated
Carrier Tracking System (ACTS).
Topics: User Manuals, desk instructions,
functional specifications, various test packages,
bulletins to systems users, and systems change
procedures.
Access: Manuals are filed by system name. Files
are indexed numerically and by subject.
Program Record Number: CBSA TEC 007
Postal Import Control System (PICS) Maintenance and Support
Description: Information on PICS.
Topics: User Manuals, desk instructions,
functional specifications, various test packages,
bulletins to systems users.
Access: Manuals are filed by subsystem and/or
system name. Files are indexed numerically and
by subject.
Program Record Number: CBSA TEC 008
Program Development – Systems Management
and Enhancements
Description: Information on problem resolution,
design and implementation of system
enhancement, for ACROSS.
Topics: Systems change procedures; system
enhancements; various test packages to assess
the different valid and invalid situations in the
system functional specifications; security profiles.
Access: Files are indexed numerically and by
subject matter.
Program Record Number: CBSA TEC 009
Canada Border Services Agency
Project Management – Customs Commercial
Systems (CCS) Systems Maintenance
Description: Information on problems resolution;
design and implementation of system
enhancements; audits and post-implementation
reviews.
Topics: CCS Priorities; systems problems;
systems enhancements; pre-implementation and
post-implementation audit reports and responses,
various test packages to assess the different valid
and invalid situations in the system functional
specifications.
Access: Files are indexed numerically and by
subject matter.
Program Record Number: CBSA TEC 010
Scientific/Advisory Services
Description: Information on the analytical and
scientific advisory services provided in support of
the administration of the Customs Tariff Act and
related legislation; the Excise Act and related
legislation and the Spirits Instrument Certification
Program; on Forensic Document Analysis in
support of investigations and prosecution of fraud;
on scientific and technical research and
development work in support of the administration
of Customs and Excise policies, regulations and
procedures.
Topics: (i) Technical information and methodology
for the analysis of commodity importations,
suspected contraband, seized spirits and tobacco
products, denatured alcohols and other goods
subject to excise duty and/or taxes; laboratory
reports and certificates on analysed products;
certificates issued for the Spirits Instruments
Certification Program; and laboratory reports
related to the examination of fraudulent
documents. (ii Project reports and working papers
associated with the investigation and development
of scientific methods, systems and equipment for
the detection and identification of goods subject to
Customs and Excise control; reports from external
consultants providing specialized laboratory
services; and information from scientific equipment
manufacturers.
Access: (i) methods, laboratory reports and
certificates indexed on EDP database; and (ii)
project reports filed numerically by project or
electronically, external consultants reports filed by
date and equipment filed by subject and
manufacturer.
Program Record Number: CBSA ENT 038
Canada Border Services Agency
Traveller Entry Processing System/ Postal
Import Control System/ Primary Automated
Lookout System/ Commercial Cash Entry
Processing System/Tariff Publishing and
History System
(TEPS/PICS/PALS/CECPS/TPHS)
Description: Documentation on the development,
implementation and maintenance of computer
systems pertaining to Commercial, Postal,
Traveller, and Enforcement systems in the
Customs and Trade Administration environment
Topics: Commercial and Travellers rates and
declaration database, postal rates and declaration
database, vehicle passage database; as well as
data dictionary and schemas, procedural
documents for problem reporting and resolution.
Program Record Number: CBSA ENT 040
Operations Branch
Headquarters
Client Service - Service Delivery at Border
Services Offices
Description: Information concerning levels of
service at Border Services (where, when and how
service is provided) and on opening/closing of
offices, hours of service offered, designation of at
airports and other points of entry.
Topics: General; policy, directory of Canada
Border Services Offices (D1-1-1). Service Delivery
Framework (operational procedures).
Access: Files are arranged by subject matter and
by file name of Borders Services office.
Program Record Number: CBSA OPS 001
Client Service - Special Service Charges
Description: Information on the application of
service fees pursuant to section 167 of the
Customs Act for ad-hoc customs service provided
to a person in charge of imported goods or goods
destined for export outside authorized hours, at a
location other than a customs office or which is
outside the normal realm of a customs officer’s
duties.
Topics: General, policy/regulations (D1-2-1),
public complaints, regulatory review process.
Access: Files are arranged by number and by
subject.
Program Record Number: CBSA OPS 002
Regional Drawbacks, Refunds and Remissions
Description: Information on remitting or adjusting
duties and taxes by means of the drawbacks,
refunds, and remissions process, in accordance
with the programs administered by the Trade
Incentive Programs Division; conducting audits
145
used to verify the manufacture of goods, and the
volume of goods re-exported in order to establish
eligibility for the Duties Relief Program. Conducting
audits on orders in council subject to post audit to
verify the use of goods.
Topics: Surveys on specific industries pertaining
to current manufacturing and marketing practices;
background information required by the
Interdepartmental Remission Committee; standing
remissions orders; policies and directives on
drawbacks, refunds, remissions, diversions,
temporary entries, Canadian goods abroad.
Access: Claim forms requesting drawbacks,
refunds or remissions, filed by claim number at
each regional office.
Program Record Number: CBSA OPS 004
Regional Tariff, Value and Origin
Description: Information on the actual application
of the various programs under the Tariff, Valuations
and Origin Programs and Assessment Programs
directorates in areas such as tariff classification,
Origin, tariff treatment, value for duty, Special
Import Measures provisions, ruling enforcement
and import surveillance.
Topics: Correspondence with importers,
exporters, brokers and other clients who are
requesting a ruling or final decision regarding the
tariff classification of imported goods, and the
value for duty of used goods; the enforcement of
valuation rulings or anti-dumping provisions by
monitoring all import entries for compliance with
existing rulings and to verify the amount of duty
and taxes that should have been collected.
Access: All entries are filed numerically.
Correspondence filed by tariff item number, subject
and commodity, or subject and name of importer
or exporter at each regional office.
Program Record Number: CBSA OPS 005
Regional Operations
Description: Information on the application of the
programs, developed by the headquarters
directorates, that pertain to the control of the
international movement of people, goods and
conveyances; the collection of revenue; entry
examination and control; detection of smuggling;
operation of warehouses; control of the operation
of all modes of transport; and the primary
inspection of services at all ports and outposts.
Topics: Transportation documents on all modes,
their manifests, special conditions such as
diversions, temporary entry, freight forwarding;
cargo, carrier and warehouse control; seizure
reports; powers of attorney; uncollectables –
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records of individuals, firms; Carrier Penalty
Assessments; temporary entries; ships’ registries;
investigation case files; detention orders; cultural
properties – export permits; and commodity code
rulings complaints.
Access: Carriers are filed by mode of transport
and alphabetically by company; warehouses are
filed alphabetically by name and location; Customs
Brokers are filed alphabetically by name and
cross-referenced by an assigned control number.
Program Record Number: CBSA OPS 003
Strategy and Coordination Branch
Access to information and Privacy
Description: Information pertaining to requests
made under th Access to Information Act and
Privacy Act for access to records under the control
of the department, as well as information
concerning the administration of this legisaltion.
Topics: Access requests, privacy requests,
complaints, Federal Court cases, consultations,
policies and procedures, statistical information,
reports, training.
Program Record Number: CBSA STR 009
Agency Transition
Description: Information on the approach adopted
by Canada Border Services Agency to effect its
transition. Information on working papers
(agendas, minutes, progress reports, consultants’
reports on specific aspects of transition) of ad-hoc
Agency transition committees.
Topics: Stemming from the December 12, 2003
announcement regarding the creation of the
CBSA.
Program Record Number: CBSA STR 001
Audit Directorate
Description: Information is maintained for the
planning, conduct, reporting and presentation of
internal audits. Methodologies for the development
of the annual audit plan and individual audits are
also developed and maintained in the Directorate.
Topics: Annual Audit Plan, completed audit
reports and audit working papers. The Directorate
also maintains materials required for the
presentation of the annual audit plan and audit
reports findings and recommendations to the
CBSA Audit and Evaluation Committee.
Program Record Number: CBSA STR 010
Briefing and Parliamentary Affairs (BMP)
Description: Information on written and oral
questions in Parliament and other information
required b y Parliament, its committees, or other
government institutions.
Canada Border Services Agency
Topics: Order Paper questions and petititions;
question period; government and private members;
bills; motions for the production of papers;
parliamentary committees; tabling of annual
reports and returns.
Program Record Number: CBSA STR 002
Business Strategies and Concepts
Description: Business Strategies and Concepts
Unit, Strategy and Coordination Branch, is
responsible for CanSim (border simulation
computer model); coordination of CBSA position /
portfolio input to PSEPC and providing CBSA input
to new and emerging border initiatives at a multiagency and bi-national level.
Topics: Recommendations for Senior
Management on CBSA business and documents,
including position papers, decks and aidememoirs; Briefing material on interdepartmental
meetings. Briefing material for Senior Management
in preparation for pre-Cabinet or Parliamentary
Committee meetings. Information on border
processing practices such as processing times,
examination rates, etc.
Program Record Number: CBSA STR 012
Cabinet Affairs
Description: Cabinet Affairs Unit, Strategy and
Coordination Branch, is responsible for the overall
coordination of the cabinet document process on
behalf of the Canada Border Services Agency
(CBSA).
Topics: Memoranda to Cabinet written by the
CBSA; Recommendations for Senior Management
on Cabinet business and documents, including
Memoranda to Cabinet, decks and aide-memoirs;
Briefing material on interdepartmental meetings to
discuss Cabinet documents. Briefing material for
Senior Management in preparation for pre-Cabinet
or Parliamentary Committee meetings.
Program Record Number: CBSA STR 011
Canada-United-States Relations
Description: The Canada-United-States Relations
Unit, Strategy and Coordination Branch, manages
the Canada Border Services Agency’s (CBSA)
overall bilateral border relations with the U.S.,
provides analysis and advice concerning our
partnership and acts as the primary point of
contact with U.S. officials. The vast majority of the
products are coordinated, but not authored by the
Canada- U.S. Relations unit.
Topics: Briefing material for senior management
pertaining to the Shared Border Accord, Security
and Prosperity Partnership and associated
initiatives on Canada-U.S. relations, including:
Canada Border Services Agency
Briefing notes/books and presentations,
Framework documents, position papers,
recommendations, Memorandums and letters,
Smart Border Action Plan update (every 3
months). Coordination/planning for
meetings/conferences, such as: The tri-annual
Shared Border Accord Coordinating Committee
(SBACC) meetings, the ad-hoc Bi-National
Consultative meetings.
Program Record Number: CBSA STR 013
Corporate Planning, Reporting and Evaluation
Description: Agency stragegic planning and
reporting, evaluation, corporate accountability
frameworks.
Topics: strategic planning, Report on Plans and
Priorities, Departmental Performance Report,
performance measurement frameworks, Resultsbased Management and Accountability
Frameworks, evaluation studies, special studies,
evaluation advice and guidance, presentation
materials on business plans and the planning
process, Management Accountability Framework,
performance management process (President’s
contact and Agency priorities), Management
Resources and Results Structure (PPA).
Program Record Number: CBSA STR 003
Customs Action Plan
Description: Information on Customs program
development.
Topics: Three main components: (1) The Customs
Blueprint which outlines the proposed program
development direction for consultation. The
Blueprint documents are comprised of a
discussion paper and two workbooks: one for
traders and one for travellers. (2) The Blueprint
Consultation Report compiles the results of the
consultations and identifies the priorities for an
action plan for the next five years. (3) The
Customs Action Plan, 2000-2004. In response to
increased security concerns following terrorist
attacks on the United States.
Program Record Number: CBSA STR 004
International Representation
Description: Information on Agency activities with
various international organizations.
Topics: Customs Cooperation Council (CCC);
General Agreement on Tariffs and Trade (GATT);
Customs Caribbean Law Enforcement Conference
(CCLEC); and others.
Access: Filed by subject; organizations, by name;
and trade negotiations, by country.
Program Record Number: CBSA STR 005
147
Privacy Impact Assessment (PIA) Related
Records
Description: Records pertaining to Privacy Impact
Assessment submissions.
Topics: Correspondence and documents relevant
to PIA issues for the Agency.
Program Record Number: CBSA STR 006
Program Development – Customs Balanced
Scorecard
Description: Information on the development of a
performance measurement system modeled on the
“balanced scorecard” approach.
Topics: Program planning and analysis; interbranch and interdepartmental coordination;
development strategies; data to support various
measures and indicators for the CBSA balanced
scorecard.
Program Record Number: CBSA STR 007
Regulations and Remissions
Description: Information on the development and
amendment of regulations under the Customs Act,
the Excise Act and the Softwood Lumber Products
Export Charge Act, and recommendations on
requests for remission of customs duties and other
taxes.
Topics: Research, correspondence and
recommendations on proposed regulations and
remissions.
Access: Filed by subject.
Program Record Number: CBSA STR 008
Standard Program Records
Please see the INTRODUCTION to this publication
for the definition of Standard Banks and a
description of their contents.
Access to Information and Privacy Requests
Accounts and Accounting
Acts and Legislation
Administration
Administration and Management Services
Audits
Automated Document, Records, Information
Management Systems
Budgets
Buildings
Buildings and Properties
Business Continuity Plans
Classification of Positions
Employment and Staffing
148
Equipment and Supplies
Finance
Furniture and Furnishings
Hospitality
Human Resources
Information Technology Services
Lands
Occupational Health, Safety and Welfare
Office Appliances
Official Languages
Pensions and Insurance
Personnel
Proactive Disclosure
Procurement
Staff Relations
Training and Development
Utilities
Vehicles
Particular Personal Information
Banks
Admissibility
CANPASS
Description: Records in this bank contain such
data as name, address, date of birth, place of
birth, client identification number, reason for
referral, correspondence to client concerning their
application and status of application.
Class of individuals: Low-risk, pre-approved
travellers.
Purpose: CANPASS programs are run by the
CBSA and are meant to facilitate the entry of priorassessed low-risk frequent border crossers.
Consistent Uses: Information is used internally
with respect to the administration and enforcement
of immigration legislation, and may be used
internally for research, planning, evaluation and
statistical analysis.
Retention and Disposal Standards: The files are
retained for two years after the last administrative
action and then destroyed.
RDA Number: 00/033
Related PR#: CBSA ENT 007
TBS Registration: 005202
Bank Number: CBSA PPU 002
Canada Border Services Agency
Complaints
Description: The bank consists of investigation
reports and replies to complaints from individuals
who have experienced difficulties at customs.
Information may also be retained in Customs
Officer’s notebooks – Customs form # CE1.
Class of Individuals: Members of the general
public.
Purpose: The purpose of this bank is to maintain
a record of complaints related to personnel and
procedures.
Consistent Uses: To provide ongoing statistical
reports to senior management and regional
management on the number and types of
complaints by mode and location.
Retention and Disposal Standards: Files are
retained for five years and destroyed.
RDA Number: 2000/033
Related PR#: CBSA OPS 003
TBS Registration: 000005
Bank Number: CBSA PPU 003
Confirmation and Tracking System (CATS)
Description: This bank contains information
resulting from inquiries regarding an immigration
warrant, an individual’s status, a criminal record, a
document confirmation, a photo request, a
fingerprint request or other related matters.
Immigration CATS entries may contain the
following information: Information on the caller:
surname, given name, phone number, badge
number, agency name, city and caller type. It may
also contain information on an individual: FOSS ID
number, CRS ID number, citizenship certificate
number, gender, surname, given name, country of
birth, date of birth, call reason, warrant, non
warrant and remarks field.
Class of Individuals: Individuals who have called
for one of the reasons stated above, Permanent or
Temporary Residents, and Convention Refugees.
Purpose: The CATS database is used to record all
incoming calls in order to follow-up on cases that
require evaluation, auditing, training purposes, and
for further investigation. The database captures
information on the call as well as information on an
individual.
Consistent Uses: The database is used for
internal statistical purposes.
Retention and Disposal Standards: The
information in this bank is retained for ten years
after the last administrative use and then
destroyed.
RDA Number: 00/033
Canada Border Services Agency
Related PR#: CBSA ENT 003
TBS Registration: 005315
Bank Number: CBSA PPU 004
Customs Appeals Directorate (Adjudications
Program) Records
Description: The bank contains records of
appealed enforcement actions, which includes
personal information, as well as details pertaining
to the enforcement action.
Class of Individuals: Travellers, importers,
exporters and transportation companies, brokers,
and warehouse operators.
Purpose: The principal purpose of the record is to
assist Adjudicators and Appeals Officers of the
Customs Appeals Directorate in determining
whether there is a contravention under the law and
if the monetary terms should be mitigated or
cancelled, or goods forfeited or returned. The
records are also used for reporting purposes.
Consistent Uses: None.
Retention and Disposal Standards: Automated
and paper records, including reports, are retained
for six (6) years after the file is closed.
RDA Number: Presently under review.
Related PR#: CBSA ENT 020
TBS Registration: 000011
Bank Number: CBSA PPU 005
Customs Brokers – Professional and Qualified
Status
Description: A database is maintained on the
computers in the Broker Licensing and Account
Security Section.
Class of Individuals: The database lists individual
candidates who have successfully completed the
“Qualifying” or “Professional” customs brokers
examination.
Purpose: The purpose of this bank is to maintain
a record of all persons who have successfully
completed one or both of the customs brokers
examinations and to record the customs brokerage
firm under whose license authority they transact
business. As some individuals may lose their
status by being absent from the brokerage industry
for a period of time in excess of one year, the
database allows the determination of candidates
who have “lost” their status and would be required
to re-qualify in order to assume certain positions
with licensed customs Brokerage firms. Individuals
who have been appointed to “qualified positions”
with licensed Brokerage firms would also be
recorded on the individuals brokerage firm’s files. It
should be noted that the Qualified Person
requirements is no longer in effect and that no
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further records will be maintained for the Qualified
Person. The Qualified Officer requirement remains
and records will continue to be maintained for
these individuals. The information on the database
is mostly available on brokers’ files (7637-2/Name
of Broker)
Consistent Uses: None
Retention and Disposal Standards: Files are
retained for seven years, then destroyed.
RDA Number: 2000/033
Related PR#: CBSA ENT 021
TBS Registration: 000009
Bank Number: CBSA PPU 006
Duty Free Shop Applicants (Land Border)
Description: This bank contains application
packages submitted to the Agency from individuals
interested in operating a duty free shop at the land
border and the Agency’s evaluation as to their
suitability.
Class of Individuals: Residents of Canada who
are Canadian citizens or permanent residents and
who are from the small or medium business
sector.
Purpose: The purpose of this bank is to maintain
application packages and related assessments.
Consistent Uses: None.
Retention and Disposal Standards: Files of
unsuccessful applicants are retained for a period
of two years, then destroyed, and files of
successful applicants (operators) are retained for a
period of ten years, then destroyed.
RDA Number: 2000/033
Related PR#: CBSA ENT 023
TBS Registration: 000012
Bank Number: CBSA PPU 007
Passenger Travel Records
Description: This database contains information
on all air passengers seeking to enter Canada,
including the name, date of birth, citizenship,
country of birth, address, ID and FOSS numbers,
locator number, method of payment, and contact
information. The information is received by CBSA
in advance of the passengers’ arrival in Canada
from commercial transporters, pursuant to section
148(1)(d) of the Immigration and Refugee
Protection Act and section 269 of the Regulations.
Records may include both Advance Passenger
Information (API) data, which consists of
‘tombstone’ data found in travel documents such
as passports, and Passenger Name Record data,
which consists of more detailed reservation
information provided in the course of travel.
Class of Individuals: Persons who have sought
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to enter Canada by way of commercial airline and
who have been subject to the enforcement
provisions of the Immigration and Refugee
Protection Act.
Purpose: To assist CBSA officials in making a
determination on the admissibility status of those
seeking to enter Canada. API data is electronically
matched against specific elements of CBSA’s
Enforcement Data System to assist officials in
identifying individuals who may require a
secondary immigration examination. API data is
also matched with the Canadian Customs – CBSA
ENF 009 (Integrated Customs Enforcement
System) to aid officers at the Primary Inspection
Line (PIL) in referring persons to Immigration for
further examination. Information in this bank may
be used in the administration and enforcement of
citizenship and immigration legislation. It may also
be used by CBSA for the purpose of planning,
monitoring and evaluation of programs and
services.
Consistent Uses: The Information may be shared
with the Royal Canadian Mounted Police (RCMP)
and the Canadian Security and Intelligence
Service (CSIS) for the purpose of conducting
investigations related to immigration legislation.
Some information may be disclosed to
transportation companies within the terms of their
responsibilities under the citizenship and
immigration legislation. Information in this bank
may be used by CBSA for internal audits, research
purposes and collection of statistics. It may be
provided to private sector research firms for
research and statistical purposes.
Retention and Disposal Standards: Records are
retained in the CCRA datawarehouse for a
maximum of six years after the last administrative
action and then destroyed.
RDA Number: 00/033
Related PR#: CBSA ENT 003
TBS Registration: 005388
Bank Number: CBSA PPU 008
Pre-examination of Travellers – Alternative
Reporting Programs for Travellers – NEXUS
Description: Travellers wishing to participate in a
pre-approval application process to determine
eligibility for expedited Customs and immigration
clearance programs, i.e. dedicated lanes, will
apply on an application form and provide some or
all of the following types of information, as required
by each program: 1) Name; 2) Date and Place of
Birth; 3) Address Information; 4) Telephone
Numbers; 5) Criminal Record; 6)Parental or Legal
Guardian Consent for Minors; 7) Proof of
Canada Border Services Agency
Citizenship; 8) Employment History; 9) Biometric
Data; 10) Purpose of Travel; and 11) Credit Card
Number.
Class of Individuals: Canadian and United States
citizens including permanent residents and
resident aliens who have continouesly resided for
a period of three years in either Canada or the
United States, or a combination or those countries,
immediately before the date of application as well
as Canadian and American citizens posted to
diplomatic missions and consular posts abroad
Purpose: To determine if an applicant can be
approved to participate in an expedited customs
and immigration clearance program. Approval and
rejection are based on criteria developed by
participating agencies for each program. The
primary agencies involved in expedited clearance
programs are the Canada Border Services
Agency; and United States Customs and Border
Protection
Consistent Uses: Information provided may be
shared with the participating agencies and with
other government law enforcement agencies to
determine eligibility. Applicants are rejected or
approved by each agency based on information
provided by the applicant and also according to
each agency’s individual criteria.
Retention and Disposal Standards: Files are
retained for a minimum of two years, for as long as
memberships are active, and for longer periods, as
required to satisfy each program’s administration
requirements and then are destroyed.
Related PR#: CBSA ENT 003
RDA Number: 2000/033
TBS Registration: 002788
Bank Number: CBSA PPU 009
Travellers Entry Processing System (TEPS) /
Travellers National Database System (TRANDS)
Description: This bank consists of information
captured from a travellers B15 – Casual Goods
Accounting Document and K21 General Receipt.
TEPS captures the information at the time of
importation and TRANDS retrieves the information
for management reporting purposes. The
information consists of the traveller’s name,
address, commodity information and duty/tax
summary.
Class of Individuals: Members of the general
public.
Purpose: TEPS – Assists the Customs Inspector
in the assessment and collection of duties, taxes
and other relevant data on travellers importations.
TRANDS – Provides B15 data for Agency queries.
Consistent Uses: The information is used
Canada Border Services Agency
primarily to provide the Agency, other government
departments and outside agencies with financial
and statistical data pertaining to travellers
importations.
Retention and Disposal Standards: Records will
be maintained for a minimum of three years plus
current fiscal year and will then be destroyed.
RDA Number: 2000/033
Related PR#: CBSA ENT 040
TBS Registration: 003778
Bank Number: CBSA PPU 010
Vessel Licences
Description: This bank contains the name,
address and telephone number of the licence
holder; and the length, breadth, depth, estimated
tonnage of the vessel and details on the
machinery when applicable.
Class of Individuals: Actual and previous owners
of small vessels.
Purpose: The information is collected on behalf of
Transport Canada and is used to issue licences to,
and provide identification of, owners of small
vessels operating in Canadian waters, rivers and
lakes, and to meet the requirements of the Small
Vessels Regulations. The information is also used
for enforcement of safety regulations, search and
rescue purposes, to provide safe boating
information, etc.
Consistent Uses: This bank is also used by:
officers of federal and/or provincial departments for
enforcing various statutes and regulations and the
issue of special licences or permits; police
authorities for enforcing safety regulations and
identifying stolen and missing property and to
provincial authorities related to the enforcement of
sales tax provisions.
Retention and Disposal Standards: Records are
being retained indefinitely.
RDA Number: 2000/033
Related PR#: CBSA OPS 003
TBS Registration: 003129
Bank Number: CBSA PPU 011
Comptrollership
Security Investigations
Description: Contains investigative reports and
correspondence with respect to security incidents
and allegations and threats against employees.
Class of Individuals: Current or former
employees and clients.
Purpose: The information is compiled to carry out
necessary investigations and may be shared with
other investigative agencies and/or police
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departments.
Consistent Uses: Used to inform the President of
security incidents, allegations and threats against
employees.
Retention and Disposal Standards: Records are
retained for five years and then destroyed.
RDA Number: 98/001
Related PR#: CBSA COM 008
TBS Registration: 002771
Bank Number: CBSA PPU 039
Service Contracts
Description: This bank contains the contract
information for professional services entered into
by the Canada Border Services Agency offices
nationally.
Class of Individuals: Individuals who apply or are
awarded professional service contracts with the
CBSA.
Purpose: The purpose of this bank is to maintain
a record of the terms and conditions of
professional service contracts along with the fees
and payment schedule for procurement reporting
and audit purposes.
Consistent Uses: Access to these records will be
provided to the parties concerned upon adequate
proof of identification and/or authority.
Retention and Disposal Standards: Records in
this bank are maintained for three years after all
actions are completed and then destroyed.
RDA Number: 99/003
Related PR#: CBSA COM 001
TBS Registration: 003541
Bank Number: CBSA PPU 040
Unpaid Accounts
Description: This bank contains records of those
importers who have unpaid accounts. When an
importer fails to account for customs duties
payable on imported goods within a specified time
limit, his name is circulated to ports of entry within
that region and to other regions across Canada,
depending on the circumstances.
Class of Individuals: Members of the importing
public.
Purpose: The purpose of this bank is to maintain
records of those importers who have unpaid
accounts. The list of names is used to alert
customs officials to detain the goods of those
importers whose names appear thereon.
Consistent Uses: None.
Retention and Disposal Standards: Names are
retained in this bank indeterminately.
RDA Number: 2000/033
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Related PR#: CBSA COM 003
TBS Registration: 000010
Bank Number: CBSA PPU 037
Enforcement
Customs Enforcement
Advance Passenger Information/Passenger
Name Record Program (API/PNR)
Description: Under Canadian law, commercial
carriers are required to provide the Canada Border
Services Agency (CBSA) with information on
persons aboard their conveyance who are
destined to Canada. The CBSA refers to this
information as Advance Passenger
Information/Passenger Name Record Data. API
data includes the traveller’s name, date of birth,
citizenship or nationality and passport or other
travel document data. PNR data includes their
travel itinerary, address and check-in information.
The CBSA’s authority to obtain and collect such
information is section 107.1 of the Customs Act,
and the Passenger Information (Customs)
regulations and paragraph 148(1)(d) of the
Immigration and Refugee Protection Act and
regulation 269 of the Immigration and Refugee
Protection Regulations. The API/PNR data is
contained within the CBSA’s Passenger
Information System (PAXIS).
Class of Individuals: All travellers on commercial
conveyances prior to their arrival in Canada.
Purpose: The API/PNR program is designed to
protect Canadians by enabling the CBSA to
perform a risk assessment of travellers prior to
their arrival in Canada. API/PNR data is used by
the CBSA to identify persons who may be subject
to closer questioning or examination on arrival in
Canada because of their potential relationship to
terrorism or terrorism-related crimes, or other
serious crimes such as the smuggling of drugs and
humans.
Consistent Uses: The CBSA may disclose, allow
access to, or use data elements only when
authorized to do so by law under section 107 of
the Customs Act (Customs), subsection 8(2) of
the Privacy Act (Immigration), and to the extent
permitted by CBSA policy and guidelines. The
CBSA implemented procedures that limit access to
the API/PNR data only to CBSA officials
performing analysis and targeting functions. The
use of and access to PNR data elements changes
over three distinct timeframes. During each
timeframe, the number of CBSA officials
authorized to access the PNR data elements and
Canada Border Services Agency
the data elements that are viewable become
progressively more restrictive.
Retention and Disposal Standards: The CBSA
retains the data in PAXIS for the minimum period
necessary for customs and immigration purposes
- 3.5 years. Where the API and PNR data relates
to a person who is the subject of an investigation
in Canada, the API/PNR data may be transferred
to an enforcement system of the CBSA and be
retained in that system for a period of no more
than 6 years.
RDA Number: 90/002
Related PR#: CBSA ENF 001, 008 & 009; ENT
003
TBS Registration: 005388
Bank Number: CBSA PPU 008
Assault Cases
Description: The bank consists of investigation
reports and related correspondence as it relates to
persons suspected of having committed an assault
against customs officers. Information may also be
retained in Customs Officer’s notebooks –
Customs form # CE1.
Class of Individuals: Members of the public.
Purpose: The purpose is to determine whether
prosecution of the suspected individual is
warranted.
Consistent Uses: The information is used to
provide ongoing statistical reports to senior
management and regional management on the
number and type of assault cases.
Retention and Disposal Standards: Records are
maintained for five years and destroyed.
RDA Number: 2000/033
Related PR#: CBSA ENF 005
TBS Registration: 000006
Bank Number: CBSA PPU 012
Confirmation and Tracking System (CATS)
Description: This bank contains information
resulting from inquiries regarding an immigration
warrant, an individual’s status, a criminal record, a
document confirmation, a photo request, a
fingerprint request or other related matters.
Immigration CATS entries may contain the
following information: Information on the caller:
surname, given name, phone number, badge
number, agency name, city and caller type. It may
also contain information on an individual: FOSS ID
number, CRS ID number, citizenship certificate
number, gender, surname, given name, country of
birth, date of birth, call reason, warrant, non
warrant and remarks field.
Class of Individuals: Individuals who have called
Canada Border Services Agency
for one of the reasons stated above, Permanent or
Temporary Residents, and Convention Refugees.
Purpose: The CATS database is used to record all
incoming calls in order to follow-up on cases that
require evaluation, auditing, training purposes, and
for further investigation. The database captures
information on the call as well as information on an
individual.
Consistent Uses: The database is used for
internal statistical purposes.
Retention and Disposal Standards: The
information is retained for ten years after the last
administrative use and then destroyed.
RDA Number: 88/012
Related PR#: CBSA OPS 003
TBS Registration: 005315
Bank Number: CBSA PPU 014
Customs Seizure Records
Description: The bank contains seizure records,
personal information about individuals who are
suspected or known to be violators of the laws
enforced in whole or in part by Agency officials.
The bank also contains information on
corporations companies and organizations that are
known to have, or are suspected to have been
involved in offences. Information may also be
retained in Customs Officer’s notebooks –
Customs form #CE1.
Class of Individuals: Members of the general
public.
Purpose: This information is used by the Agency,
as well as by domestic and foreign law
enforcement and investigative agencies, in the
administration or enforcement of the laws
especially as it concerns the laws relating to the
importation and exportation of goods.
Consistent Uses: In detention, prevention, or
suppression of criminal activity and statistical
purposes.
Retention and Disposal Standards: Records will
be maintained for a minimum of ten years and will
then be destroyed.
RDA Number: 2000/033
Related PR#: CBSA OPS 003
TBS Registration: 000007
Bank Number: CBSA PPU 015
Integrated Customs Enforcement System
(I.C.E.S.)
Description: The bank consists of information on
past and potential customs violators. It allows
customs officers at all ports to query against a
database of selected cases. The database
contains subject information (Name, DOB,
153
Address, Identification) on individuals and
businesses. Commodity information, penalty
information and conveyance information. This
information is provided by the subject through
questioning, identification, receipts and invoices.
Information may also be retained in Customs
Officer’s notebooks – Customs form # CE1.
Class of Individuals: Members of the general
public.
Purpose: The purpose is to assist customs
officers in establishing the risk factor, assessing
rates of duties. The information is used by the
Agency for the enforcement of the Customs Act.
Consistent Uses: The information is used to
identify individuals who have committed/or are
suspected of infractions against the Customs Act,
Excise Act, the Export Permits Control Act and
Agriculture Canada.
Retention and Disposal Standards: Records will
be retained for a minimum of six (6) years from the
date of the offence and will then be destroyed.
RDA Number: 2000/033
Related PR#: CBSA ENF 009
TBS Registration: 004136
Bank Number: CBSA PPU 016
Primary Automated Lookout System-Airport
(PALS-Air)
Description: This bank consists of an index from
the Policy Information Retrieval System (P.I.R.S.)
which contains information on past and potential
Customs violators. The Primary Automated
Lookout System allows primary Customs
Inspectors at all international airports to initiate
name queries against a database of selected
cases.
Class of Individuals: Members of the general
public.
Purpose: The purpose of this bank is to assist
Customs Inspectors in the screening process for
travellers. The bank is maintained by Citizenship
and Immigration Canada and is used by the
Agency.
Consistent Uses: The information is used
primarily to identify individuals who have
committed infractions against the Customs Act,
Excise Act, the Export/Permits Control Act and
Agriculture Canada.
Retention and Disposal Standards: Records will
be retained for a minimum of six years and will
then be destroyed.
RDA Number: 2000/033
TBS Registration: 003321
Related PR#: CBSA ENT 040
Bank Number: CBSA PPU 017
154
Traveller Declaration Cards
Description: Consists of records of all written
declarations filed on arrival in Canada by
Canadian citizens and permanent residents
registered in alternative reporting programs for
Travellers.
Class of Individuals: Canadian citizens and
permanent residents.
Purpose: To facilitate the primary Customs and
Immigration clearance process for travellers. The
information may also be used by the Canada
Revenue Agency and by other government
departments, as well as by investigative agencies
for the administration of enforcement of Acts of
Parliament.
Consistent Uses: The information is used
primarily to report and pay federal and provincial
duty and tax revenue collected through the various
alternative reporting program for Travellers, and
also for statistical purposes. Information may be
shared with other government departments for the
purpose of administration and enforcement of Acts
of Parliament.
Retention and Disposal Standards: Files are
retained for a minimum two years from date of last
administrative action.
RDA Number: 2000/033
TBS Registration: 002271
Related PR#: CBSA ENT 007
Bank Number: CBSA PPU 018
Immigration Enforcement
Fugitive Information Bank
Description: The contents include photos,
fingerprints and narrative descriptions of
individuals of interest to the War Crimes Unit.
Class of Individuals: Persons of interest to the
War Crimes Unit and/or subject to immigration
warrants.
Purpose: To assist colleagues within the
Department, police forces, and other enforcement
partners with the identification.
Consistent Uses: Information is shared with the
Royal Canadian Mounted Police (RCMP),
Canadian Security Intelligence Service (CSIS), and
the U.S.A. Department of Homeland Security.
Retention and Disposal Standards: Records are
retained for execution of warrant or person(s) of
interest, and subject to the Immigration and
Refugee Protection Act and then destroyed.
RDA Number: 90/002
Related PR#: CBSA ENF 008
TBS Registration: 005200
Bank Number: CBSA PPU 020
Canada Border Services Agency
Immigration Detainees Management System
(IDMS)
Description: This MS Access file contains
information on individuals held in detention centers
in Québec by CBSA. The file makes it possible to
manage their detentions by producing reports on
detainees (including children) being held in the
Prevention Centre and in other detention facilities
in Québec. It also makes it possible to track the
movements of detainees. The file contains the
following information: family name, first name, date
of birth, date of arrival and time of arrival reported
at the Centre, sex, country of birth, office, number
of dependants (spouse and children), type of
detainee (criminal, refugee protection claimant or
other), height, weight, colour of eyes, colour of
hair, remarks (e.g., tattoo), reason for detention,
notification to Youth Protection Directorate (YPD)
cases (for children), on complaints made by the
detainee, and the list of places visited by the
detainees during the detention (bank, hospital,
etc.). Individuals who wish to consult this
information must provide their family name, first
name, date of birth and preferably their FOSS
identification number.
Class of Individuals: Individuals who are
detained for immigration related processes.
Purpose: The main function of this file is to
provide follow-up on the activities of individuals
being held in the Immigration Prevention Centre in
all centers in Québec Region. Employees
performing duties associated with detention
management enter information gathered on
detainees into a database.
Consistent Uses: None.
Retention and Disposal Standards: The data in
this file is retained for a period of five years and
then destroyed.
RDA Number: 90/002
Related PR#: CBSA ENF 008
TBS Registration: 005194
Bank Number: CBSA PPU 021
Immigration Mail and Courier Tracking System
(IMPACT)
Description: The database contains information
related to documents and things seized under the
authority of the Immigration and Refugee
Protection Act. Information on known senders,
shippers and receivers of the packages, of
handling and seizure information and of the
contents of packages and their disposal is all
recorded and tracked.
Class of Individuals: Any person listed as a
sender or receiver of a package that is detained by
Canada Border Services Agency
CBSA under the Customs Act and referred for a
decision regarding seizure or release under the
Immigration and Refugee Protection Act.
Purpose: To track information related to the
process in terms of discerning patterns of activity
and to respond to client requests for information
on the results of processes.
Consistent Uses: Information is shared with the
Canada Revenue Agency (CRA) in terms of the
results of their examination processes and with the
Royal Canadian Mounted Police (RCMP) in terms
of possible prosecution under the Immigration and
Refugee Protection Act.
Retention and Disposal Standards: Materials
seized are held for a period of five years from the
last administrative update.
RDA Number: 98/001
Related PR#: CBSA ENF 008
TBS Registration: 005197
Bank Number: CBSA PPU 022
Mail Seizure Database
Description: This database contains electronic
records of all mail seizures executed by
Intelligence Unit personnel in the BC/Yukon
Region. Data includes individual’s name, address,
status in Canada, client identification number of
both the addressee and sender; date item
detained by the CBSA; date examined or seized
by Immigration; disposition of seizure; seizure type
(partial or full seizure); seizure documents
(document holder name, nationality of document,
document type); comments, and mail carrier
information (carrier name, shipping & control
number).
Class of Individuals: The bank contains
information on individuals whose mail has been
seized by CBSA.
Purpose: The purpose of the database is to
provide a detailed record of every mail seizure in
the BC/Yukon Region in order to support the
intelligence function.
Consistent Uses: Information may be considered
in relation to immigration applications processed
by Citizenship and Immigration personnel and for
intelligence reports regarding the movement of
documentation into Canada. Information may be
shared with the Royal Canadian Mounted Police
(RCMP) for the purpose of investigations related to
immigration legislation.
Retention and Disposal Standards: Paper
records are retained for two years after the last
administrative action. In some cases that involve
complex issues/proceedings, they are kept for 10
years. As for automated records, they are retained
155
for policy analysis purposes to monitor
effectiveness of the program and are kept for 10
years and then destroyed.
RDA Number: 88/012
Related PR#: CBSA ENF 008
TBS Registration: 005204
Bank Number: CBSA PPU 023
Passenger Travel Records
Description: This database contains information
on all air passengers seeking to enter Canada,
including the name, date of birth, citizenship,
country of birth, address, ID and FOSS numbers,
locator number, method of payment, and contact
information. The information is received by CBSA
in advance of the passengers’ arrival in Canada
from commercial transporters, pursuant to section
148(1)(d) of the Immigration and Refugee
Protection Act and section 269 of the Regulations.
Records may include both Advance Passenger
Information (API) data, which consists of
‘tombstone’ data found in travel documents such
as passports, and Passenger Name Record (PNR)
data, which consists of more detailed reservation
information provided in the course of travel.
Class of Individuals: Persons who have sought
to enter Canada by way of commercial airline and
who have been subject to the enforcement
provisions of the Immigration and Refugee
Protection Act.
Purpose: To assist CBSA officials in making a
determination on the admissibility status of those
seeking to enter Canada. API data is electronically
matched against specific elements of CBSA’s
Enforcement Data System (data bank CBSA PPU
001 - Enforcement Data System) to assist officials
in identifying individuals who may require a
secondary immigration examination. API data is
also matched with the Integrated Customs
Enforcement System to aid officers at the Primary
Inspection Line (PIL) in referring persons to
secondary for further examination. Information in
this bank may be used in the administration and
enforcement of citizenship and immigration
legislation. It may also be used by CBSA for the
purpose of planning, monitoring and evaluation of
programs and services.
Consistent Uses: The Information may be shared
with the Royal Canadian Mounted Police (RCMP)
and the Canadian Security and Intelligence
Service (CSIS) for the purpose of conducting
investigations related to immigration legislation.
Some information may be disclosed to
transportation companies within the terms of their
responsibilities under the citizenship and
156
immigration legislation. Information in this bank
may be used by CBSA for internal audits, research
purposes and collection of statistics. It may be
provided to private sector research firms for
research and statistical purposes.
Retention and Disposal Standards: Records are
retained for a maximum of six years after the last
administrative action and then destroyed.
RDA Number: 90/002
Related PR#: CBSA ENF 008
TBS Registration: 005388
Bank Number: CBSA PPU 024
Immigration Intelligence
Enforcement Information Index System (EIIS)
Description: This bank contains summary
information gathered by Canadian or foreign law
enforcement agencies or investigative bodies on
persons whose entry and re-entry to Canada
would be dangerous to Canadian security.
Class of Individuals: Persons seeking admission
to Canada, and some permanent residents of
Canada.
Purpose: This bank is used for identifying the
above individuals and subjecting them to a more
detailed immigration examination. Information is
used to enforce the Immigration and Refugee
Protection Act and may be used for internal audit
purposes.
Consistent Uses: Information may be shared with
Foreign Affairs and International Trade Canada
(DFAIT), the Immigration and Refugee Board of
Canada (IRB), the Royal Canadian Mounted
Police (RCMP), the Canadian Security Intelligence
Service (CSIS) and the Department of Finance to
facilitate the examination and to conduct criminal
and security investigations related to
immigration/citizenship legislation. It may be
shared with foreign governments pursuant to an
agreement or arrangement in order to conduct a
lawful investigation or administer or enforce any
law. It may be provided to private sector research
firms for the purposes of planning, statistics,
research and evaluation.
Retention and Disposal Standards: Automated
information is retained for 50 years. Band
microfilmed information is retained for 15 years
and then destroyed.
RDA Number: 88/012
Related PR#: CBSA ENF 008
TBS Registration: 002370
Bank Number: CBSA PPU 026
Canada Border Services Agency
Immigration Warrant File
Description: Immigration warrant files may
contain the following information regarding an
individual: Family name, given name, aliases,
nicknames, maiden name, date of birth, country
and place of birth, country of last permanent
residence, sex, marital status, photos, fingerprints,
height, weight, eye colour, hair colour, race,
appearance, marks, scars, tattoos, amputations,
deformities, passport number, copy of passport,
address, phone number, caution flags, employer,
occupation, name and address of next of kin, date
of arrest, port and date of entry, NCIC/CPIC
printout and FOSS printout.
Class of Individuals: The information pertains to
permanent and temporary residents, and failed
convention refugees wanted on outstanding
immigration warrants.
Purpose: The purpose of this bank is to aid CBSA
in the apprehension of individuals with outstanding
immigration warrants.
Consistent Uses: Information may be shared with
all agencies that have access to the Canadian
Police Information Centre (CPIC). This includes
institutions, United States authorities and Interpol.
Personal information relating to warrants and
arrests for examination, admissibility hearings,
removal from Canada or a proceeding that could
lead to the making of a removal order by an
immigration officer, and removal orders (departure
orders, deportation orders and exclusion orders)
issued by CBSA officers, and their execution, may
be disclosed by media relations officers when they
determine that the disclosure is necessary for the
administration and enforcement of the Immigration
and Refugee Protection Act and the detection,
suppression and prevention of immigration
offences.
Retention and Disposal Standards: Retained
indefinitely, or until the warrant is executed,
cancelled or removed from CPIC. Once executed,
cancelled or removed from CPIC entire contents of
warrant files are relayed to the Immigrant Case
File–CIC PPU 042 and disposed of according to
the standards of that bank.
RDA Number: 88/012
Related PR#: CBSA ENF 008
TBS Registration: 005314
Bank Number: CBSA PPU 026
Modern War Crimes System-Classified
(MWCS-C)
Description: This bank contains information on
persons, places, events and organizations
suspected to be involved in war crimes and/or
Canada Border Services Agency
crimes against humanity. The bank may include
information gathered by Canadian or foreign
investigative bodies and law enforcement
agencies.
Class of Individuals: Persons seeking admission
to Canada, as well as those already in Canada as
visitors, permanent residents of Canada, Citizens
and Temporary Resident permit holders who are
known to engage or are suspected of engaging in
war crimes and / or crimes against humanity.
Purpose: Information contained in this bank may
be used in the administration and enforcement of
citizenship and immigration legislation.
Consistent Uses: The information may be
disclosed to the Canadian Security Intelligence
Service (CSIS) and the Royal Canadian Mounted
Police (RCMP) for the purpose of conducting
investigations related to immigration and
citizenship legislation. It may also be disclosed to
provincial authorities for assessment under the
terms of an agreement or arrangement. Uses also
include the sharing of information with Solicitor
General Canada, CSIS, FINTRAC, the Department
of Justice and the RCMP where these uses are
pursuant to the law. Information may also be
disclosed to various foreign governments, law
enforcement bodies and detaining authorities with
respect to the administration and enforcement of
immigration and citizenship legislation. Other uses
may include the sharing of information with the
Immigration and Refugee Board of Canada,
Foreign Affairs and International Trade Canada
(DFAIT) as well as with provincial or municipal
government departments under the terms of an
agreement and for research purposes. It may also
be shared with foreign governments under the
terms of an agreement or arrangement in order to
conduct a lawful investigation or administer or
enforce any law. Information obtained from DFAIT,
Health Canada, the Immigration and Refugee
Board of Canada (that are contained in IRB PPU
105 - Immigration Appeal Board Records, IRB
PPU 110 - Immigration Appeal Division Records,
IRB PPU 115 - Convention Refugee Division
Records, and IRB PPU 145 - Research Director,
Claim Specific Information), CSIS, the RCMP and
some provincial government departments may be
matched for the purpose of administering or
enforcing the immigration and citizenship
legislation.
Retention and Disposal Standards: Information
regarding person’s known to have engaged or are
suspected of engaging in activities contrary to the
immigration and the citizenship legislation is
157
retained for up to 50 years. Upon expiry of the
retention period, the National Archives of Canada
will preserve some of the records for archival
purposes the rest will be destroyed.
RDA Number: 88/012
Related PR#: CBSA ENF 008
TBS Registration: 005208
Bank Number: CBSA PPU 028
Modern War Crimes System-Open (MWCS-O)
Description: This bank contains information on
persons, places, events and organizations as they
relate to modern war crimes and crimes against
humanity. The bank may include information
gathered by Canadian or foreign investigative
bodies and law enforcement agencies.
Class of Individuals: Persons seeking admission
to Canada, as well as those already in Canada as
visitors, permanent residents of Canada, Citizens
and Temporary Resident permit holders who are
known to engage or are suspected of engaging in
activities contrary to the Immigration and Refugee
Protection Act.
Purpose: Information may be used to refuse
admission to Canada.
Consistent Uses: The information may be
disclosed to the Canadian Security Intelligence
Service (CSIS) and the Royal Canadian Mounted
Police (RCMP) for the purpose of conducting
investigations related to Immigration legislation. It
may also be disclosed to provincial authorities for
assessment under the terms of an agreement or
arrangement. Uses also include the sharing of
information with Solicitor General Canada, CSIS,
the Department of Justice and the RCMP where
these uses are pursuant to the law. Information
may also be disclosed to various foreign
governments, law enforcement bodies and
detaining authorities with respect to the
administration and enforcement of immigration
legislation. Other uses may include the sharing of
information with the Immigration and Refugee
Board of Canada, (IRB) Foreign Affairs
International Trade Canada (DFAIT) as well as
with provincial or municipal government
departments under the terms of an agreement and
for research purposes. It may also be shared with
foreign governments authorities under the terms of
an agreement or arrangement in order to conduct
a lawful investigation or administer or enforce any
law. Information obtained from DFAIT, Health
Canada, the IRB (that are contained in IRB PPU
105–Immigration Appeal Board Records, IRB PPU
110–Immigration Appeal Division Records, IRB
PPU 115–Convention Refugee Determination
158
Division Records, and IRB PPU 145–Research
Directives, Claim Specific Information), CSIS, the
RCMP and some provincial government
departments may be shared for the purpose of
administering or enforcing immigration legislation
and to administer and conduct the appeals
process under the Immigration and Refugee
Protection Act.
Retention and Disposal Standards: Information
regarding persons known to have committed war
crimes or crimes against humanity is retained for
50 years. Upon expiry of the retention period,
some of the records will be preserved by the
National Archives of Canada for archival purposes
and the rest will be destroyed.
RDA Number: 88/012
Related PR#: CBSA ENF 008
TBS Registration: 005207
Bank Number: CBSA PPU 029
Organized Crime Data Bank (OCSS)
Description: This bank may include information
gathered by Canadian or foreign investigative
bodies or law enforcement agencies on persons
who are associated with criminal organizations or
whose admission or presence in Canada may be
dangerous to Canadian security.
Class of Individuals: Persons seeking admission
to Canada, as well as those already in Canada as
visitors, permanent residents of Canada and
Temporary Resident permit holders who are known
to engage or are suspected of engaging in
activities contrary to the Immigration and Refugee
Protection Act.
Purpose: Information contained in this bank may
be used in the administration and enforcement of
citizenship and immigration legislation.
Consistent Uses: The information may be
disclosed to the Canadian Security Intelligence
Service (CSIS), the Royal Canadian Mounted
Police (RCMP) and the Department of Finance for
the purpose of conducting investigations related to
the Immigration and Refugee Protection Act. It
may also be disclosed to provincial authorities for
assessment under the terms of an agreement or
arrangement. Uses also include the sharing of
information with Solicitor General Canada, CSIS,
the Department of Justice, the Department of
Finance and the RCMP where these uses are
pursuant to the law. Information may also be
disclosed to various foreign governments, law
enforcement bodies and detaining authorities with
respect to the administration and enforcement of
immigration legislation. Other uses may include
the sharing of information with the Immigration and
Canada Border Services Agency
Refugee Board of Canada, Foreign Affairs and
International Trade Canada as well as with
provincial or municipal government departments
under the terms of an agreement and for research
purposes. It may also be shared with foreign
government authorities under the terms of an
agreement or arrangement in order to conduct a
lawful investigation or administer or enforce any
law. Information obtained from Foreign Affairs and
International Trade Canada, Health Canada, the
CCRA, the Immigration and Refugee Board of
Canada (that contained in IRB PPU
105–Immigration Appeal Board Records, IRB PPU
110–Immigration Appeal Division Records, IRB
PPU 115–Convention Refugee Determination
Division Records and IRB PPU 145–Research
Directives, Claim Specific Information), CSIS, the
RCMP and some provincial government
departments may be shared for the purpose of
administering or enforcing the immigration
legislation and to administer and conduct the
appeals process under the Immigration and
Refugee Protection Act.
Retention and Disposal Standards: Information
on controversial cases, such as those involving
organized crime are retained 10 years after the
last administrative action. Upon expiry of the
retention period, some of these records will be
preserved by the National Archives of Canada for
archival purposes and the rest will be destroyed.
RDA Number: 88/012
Related PR#: CBSA ENF 008
TBS Registration: 005209 v
Bank Number: CBSA PPU 030
Pre-examination of Travellers – Alternative
Reporting Programs for Travellers
Description: Travellers wishing to participate in a
pre-approval application process to determine
eligibility for expedited Customs and immigration
clearance programs, i.e. dedicated lanes, will
apply on an application form and provide some or
all of the following types of information, as required
by each program: 1) Name; 2) Date and Place of
Birth; 3) Address Information; 4) Telephone and
Facsimile Numbers; 5) Type, Make, Model and
License Information for Conveyance; 6) Criminal
Record; 7) Violation of Customs and/or
Immigration Laws; 8) Family Members; 9)Parental
or Legal Guardian Consent for Minors; 10) Proof of
Citizenship; 11) Employment History; 12) Biometric
Data; 13) Purpose of Travel; and 14) Credit Card
Number.
Class of Individuals: Canadian and United States
permanent residents and citizens who travel
Canada Border Services Agency
across the border frequently, and citizens of other
countries as allowed by each program.
Purpose: To determine if an applicant can be
approved to participate in an expedited Customs
and Immigration Clearance Program. Approval and
rejection are based on criteria developed by
participating agencies for each program. The four
primary agencies involved in expedited clearance
programs are the CBSA; Citizenship and
Immigration Canada; United States Customs
Service; United States Immigration and
Naturalization Service.
Consistent Uses: Information provided may be
shared among all four participating agencies and
with other government law enforcement agencies
to determine eligibility. Applicants are rejected or
approved by each agency based on information
provided by the applicant and also according to
each agency’s individual criteria.
Retention and Disposal Standards: Files are
retained for a minimum of two years, for as long as
memberships are active, and for longer periods, as
required to satisfy each program’s administration
requirements. The records are then destroyed.
RDA Number: 2000/033
Related PR#: CBSA ENF 001
TBS Registration: 002788
Bank Number: CBSA PPU 031
Policy and Program Development Enforcement
Data System
Description: This bank contains information from
the enforcement records of persons who have
come under examination at a port of entry or
investigation at an inland Canada Immigration
Centre. This bank is a subsystem (batch system)
of the Field Operational Support System (FOSS).
The bank includes a report from an immigration
officer and a record of the inquiry, appeal and
removal process. Records may include name,
address, birth date, country of birth, enforcement
action undertaken (i.e. a report, arrest, inquiry or
removal under the Immigration and Refugee
Protection Act), and the date and place of each
event in the process. The deportation order is
available on persons subject to the removal
process from January 1, 1973. The bank includes
the electronic collection and use of fingerprints,
digital photographs and personal histories of
refugee and immigrant applicants to Canada.
Some of the information may be duplicated in the
Immigrant Case File–CBSA PPU 042 and the
Permanent Resident Data System–CBSA PPU
053. Persons seeking access to this information
should supply their name, date of birth,
159
approximate date of entry to Canada and port of
entry.
Class of Individuals: Persons who have been
subject to the enforcement provisions of the
Immigration and Refugee Protection Act of
Canada.
Purpose: The purpose of this bank is to help
determine the admissibility of persons to Canada
or the right of persons to remain in Canada, and to
produce statistical reports in support of the
enforcement function.
Consistent Uses: Information is also used by the
Department of Human Resources Development
Canada (HRDC) and by the Immigration Appeal
Division of the Immigration and Refugee Board of
Canada (IRB). Other uses may include sharing
information with Canadian Security Intelligence
Service (CSIS), the Department of Justice,
Solicitor General Canada and other divisions of the
IRB. Information may be shared between the IRB’s
Immigration Appeal Division–IRB PPU 110 and
Adjudication Division–IRB PPU 140. Information
may be shared with the Royal Canadian Mounted
Police (RCMP) and the CSIS for the purpose of
conducting security reviews or investigations
related to immigration legislation. The bank
electronically discloses fingerprints and personal
histories to the RCMP for data matching and
security checks with foreign government law
authorities. The information is used to aid the
officers at the Primary Inspection Line (PIL) in
referring persons to secondary, for further
examination as well as for the purpose of
determining eligibility for the Alternate Inspection
Systems (AIS). It is also shared with foreign
governments under the terms of
agreements/arrangements and the purpose of
lawful investigations or the enforcement of any law.
Retention and Disposal Standards: Paper
records are normally retained ten years after the
last administrative action and then destroyed.
RDA Number: 90/002
Related PR#: CBSA ENF 008
TBS Registration: 005218
Bank Number: CBSA PPU 032
Secure Tracking System
Description: This bank contains information
gathered by Canadian or foreign investigative
bodies or law enforcement agencies on persons
who are involved in and/or associated with any
organization involved in war crimes, crimes against
humanity and/or terrorist activities, or persons
associated with criminal organizations, and whose
admission or presence in Canada may be contrary
160
to immigration or citizenship legislation.
Class of Individuals: Persons seeking admission
to Canada, as well as those already in Canada as
visitors, permanent residents of Canada and
Temporary Resident Permit holders and
naturalized citizens who are known to engage or
are suspected of engaging in activities contrary to
the immigration/citizenship legislation.
Purpose: Information contained in this bank may
be used in the administration and enforcement of
citizenship and immigration legislation.
Consistent Uses: The information may be
disclosed to the Canadian Security Intelligence
Service (CSIS) and the Royal Canadian Mounted
Police (RCMP) for the purpose of investigations
related to immigration and citizenship legislation. It
may also be disclosed to provincial authorities for
assessment under the terms of an agreement or
arrangement. Uses also include the sharing of
information with Solicitor General Canada, CSIS,
the Department of Justice and the RCMP where
these uses are pursuant to the law. Information
may also be disclosed to various foreign
governments, law enforcement bodies and
detaining authorities with respect to the
administration and enforcement of
immigration/citizenship legislation. Other uses may
include the sharing of information with the
Immigration and Refugee Board of Canada,
FINTRAC, Foreign Affairs and International Trade
Canada as well as with provincial or municipal
government departments under the terms of an
agreement and for research purposes. It may also
be shared with foreign governments under the
terms of an agreement or arrangement in order to
conduct a lawful investigation or administer or
enforce any law. Information obtained from Foreign
Affairs and International Trade Canada, Health
Canada, the CCRA, the Immigration and Refugee
Board of Canada [that contained in IRB PPU 105
(Immigration Appeal Board Records), IRB PPU
110 (Immigration Appeal Division Records) IRB
PPU 115 (Convention Refugee Division Records),
and IRB PPU 145 (Research Director, Claim
Specific Information)], CSIS, the RCMP and some
provincial government departments may be shared
for the purpose of administering or enforcing
legislation.
Retention and Disposal Standards: Case
involving organized crime, is retained ten years
from the last administrative action. Upon expiry of
the retention period, some of these records will be
preserved by the National Archives of Canada.
Information regarding known and suspected
Canada Border Services Agency
terrorists, and persons known to have committed
war crimes or crimes against humanity is retained
for 50 years, the records are then destroyed.
RDA Number: 88/012
Related PR#: CBSA ENF 008
TBS Registration: 005311
Bank Number: CBSA PPU 033
Seized Documents (Web Passport)
Description: This MS Access file contains data on
documents that have been seized principally in the
Québec Region for verification. The file contains,
in particular, the serial numbers of such documents
as passports, visas, Records of Landing, etc. It
also contains information on the holders of these
documents, such as the family name, first name,
date of birth, country of citizenship and country of
birth. Individuals who wish to consult this
information must provide their family name, first
name and date of birth.
Class of Individuals: Holders of documents
seized for verification.
Purpose: This database is used by officers and
clerks of the Intelligence Unit of the Québec
Region, to ensure better follow-up of intercepted
documents and thus avoid fraud.
Consistent Uses: None.
Retention and Disposal Standards:
Indeterminate. Certain documents may be claimed
by their holders.
RDA Number: 90/002
Related PR#: CBSA ENF 008
TBS Registration: 005191
Bank Number: CBSA PPU 034
Support System for Intelligence (SSI)
Description: This bank contains information on
persons who either arrive in Canada or attempt to
gain access to Canada in contravention of IRPA,
as well as persons known or suspected to have
counselled or assisted, their movements. SSI
assists CBSA to monitor the overall irregular
movement of people to Canada by tracking
irregular migrants at major Canadian airports,
seaports, land borders, inland offices and
overseas. Records in the bank may contain some
or all of the following information: reports from CIC
offices overseas, ports of entry and CBSA offices
in Canada concerning persons who arrived or
attempted to arrive in Canada without proper travel
or identity documents; reports from CIC offices
overseas, ports of entry, or CIC offices in Canada
concerning persons who counselled or assisted
any persons to enter Canada or seek to enter
Canada improperly. Information may include
Canada Border Services Agency
personal biographical data, passport and identity
document details, type of fraud, and details
concerning persons who counselled or assisted
the traveller to attempt to enter Canada improperly.
Class of Individuals: Persons who arrived in
Canada or attempted to travel to Canada contrary
to IRPA and persons who are known or suspected
to have assisted or counseled such individuals.
Purpose: Information contained in this bank may
be used in the administration and enforcement of
citizenship and immigration legislation.
Consistent Uses: The information may be
disclosed to the Royal Canadian Mounted Police
(RCMP) for the purpose of conducting
investigations related to immigration legislation.
Uses include the sharing of information with the
Canadian Security Intelligence Service (CSIS), and
the Immigration and Refugee Board of Canada
(IRB) where these uses are pursuant to the law.
Some information may be disclosed to various
foreign governments, law enforcement bodies, and
other authorities with respect to the administration
and enforcement of immigration legislation. Some
information may also be disclosed to transportation
companies within the terms of their responsibilities
under immigration legislation.
Retention and Disposal Standards: Under
negotiation with the National Archives of Canada.
RDA Number: 88/012
Related PR#: CBSA ENF 008
TBS Registration: 005187
Bank Number: CBSA PPU 035
Travel and Identity Document System (TIDS)
Description: The databank contains the records
of seizures of travel or identity documents made in
the course of port of entry examinations or
authorized investigations under the authority of the
Immigration and Refugee Protection Act. Any
travel or identity documents considered by Canada
Post as lost are forwarded to CBSA for disposal
and are recorded for tracking purposes. The
databank may contain information on the person
from whom the documents were seized, the
reasons for detention, the types of documents, and
the ultimate disposition of the documents.
Class of Individuals: Any person’s documents
seized by CBSA or referral to CBSA by Canada
Post.
Purpose: The purpose of the databank is to
record events and key information related to these
seizures as well as track handling and disposition
of the documents.
Consistent Uses: Could be shared with the
RCMP for prosecution.
161
Retention and Disposal Standards: Documents
are held for five years or until the case that they
relate to has been finally determined and are then
destroyed.
RDA Number: 90/002
Related PR#: CBSA ENF 008
TBS Registration: 005198
Bank Number: CBSA PPU 036
Manuals
• Access to Information Manual
• Advance Passenger Information
• Appeals Procedures Guide
• Appraisal Handbook
• Casual Employment Manager’s Guide
• Casual Refund System (CRS)
• Citizenship and Immigration Reference
• Citizenship Policy Manual (CP)
• Citizenship Registration Manual
• Community Relations Handbook
• Corporate Records Management
• Classification List
• Cost Recovery Policy and Guidelines
• Customs Branch
• Enforcement and Control (EC)
• File Retention Policy–Archiving
• Financial Accounting Manual
• Financial Coding Manual
• Financial Policy Manual
• Fleet Management Policy and Procedures
• Foreign Worker Manual
• Guide for Transporters
• Guide to Administration Services
• Guidelines for Briefing Notes for the Minister
and the Deputy Minister
• Guidelines for Corporate Committees at
Citizenship and Immigration Canada
• Guidelines for Memorandum to Cabinet
162
• Guidelines for Minister and Deputy Minister’s
Correspondence
• Guidelines for Processing Business Category
Applications by Source Country
• Guide to Handling Public Money
• Housecard Guidelines
• Human Resources Management Manual
• Immigration & Refugee Protection Act and
Regulations
• Human Rights Manual
• Inland Services Procedures Manual
• Integrated Customs Enforcement System User
Reference Manual
• Instrument of Human Resources Signing
Authorities (March 1998)
• Interventions Procedures Guidelines
• Investigations Manual
• Isolated Posts
• Performance Measures Reference Manual
• Point of Service User Guide (POS+2000)
• Port of Entry Processing (PE)
• Privacy Manual
• Project Manager’s Handbook
• Protected Persons
• Recorded Information Management Policy and
Procedures Manual
• Reporting and Liaison Handbook
• Security Policy and Procedures Manual
• Service Delivery Framework
• Subject File Classification
• Telework Handbook
• Training and Education Allowance Guide
• Traveller Processing
• Use of Force Disengagement Guide
• War Crimes–Abusive Regimes Training
• Workforce Adjustment Guide
Canada Border Services Agency
Additional Information
Please see the introduction to this publication for
information on access procedures under the
provisions of the Access to Information Act and the
Privacy Act.
Requests for further information about the Agency
and its various programs and services may be
directed to:
Canada Border Services Agency
191 Laurier Avenue West
Ottawa, Ontario K1A 0L5
Tel.: 1-800-461-9999
Reading Room
In accordance with the Access to Information Act,
Canada Border Services Agency has established
public reading rooms, they can be found at
different locations across Canada.
They are open to the public (Monday through
Friday – 08:15 to 17:00) and contain copies of the
Access to Information and Privacy Acts, Info
Source and request forms. Reading room
attendants are available to help individuals seeking
information and to complete the request forms.
National Capital Region
Leima Building
410 Laurier Avenue West, 11th Floor
Ottawa, Ontario K1A 0L8
Enquiries:
Automated Customs Information Service
1-800-461-9999
Outside Canada 1 -204-983-3500 or
1-506-636-5064
NAFTA Enquiry Line 1-800-661-6121
Access to Information / Privacy:
(613) 941-7431
Additional information is available on
www.cbsa-asfc.gc.ca
Canada Council for the Arts
163
Canada Council for the Arts
Chapter 10
Background
year and is responsible for all policy and financial
decisions as well as other matters that are
implemented by a staff headed by a Director, who
is also appointed by the Governor in Council.
The Canada Council for the Arts was created by
the Parliament of Canada in 1957 (Canada
Council Act, 1957, RSC 1970 c-2, s. 1 as
amended). The mandate of the Canada Council
(Section 8(1)) is “to foster and promote the study
and enjoyment of, and the production of works in,
the arts.”
Director’s Office
The Director of the Council is the chief executive
officer of the Council. The Director’s Office is
responsible for overseeing and directing the work
of the Council staff in the development and
delivery of programs, grants and services.
General Information
Responsibilities
The general policy objective of the Canada Council
for the Arts is to recognize, foster and promote
excellence in the arts. Most of its grants are
awarded through an extensive system of
competitions judged by assessment committees of
practising artists and other independent specialists
in the particular disciplines.
In addition to its mandate to foster and promote
the arts, the Canada Council for the Arts has been
assigned responsibility for the Canadian
Commission for the United Nations Educational,
Scientific and Cultural Organization (UNESCO)
(Subsection 8(2), Order-in-Council PC 1957-831),
in conformity with the constitution of UNESCO.
The Council also administers the Killam program
of scholarly awards and prizes, financed from a
private legacy. The Public Lending Right
Commission, which provides payments to
Canadian authors for the public use of their works
in Canadian libraries, operates under the aegis of
the Council.
Legislation
• Canada Council Act, 1957 Chapter C-2
• The Canada Council By-laws
• Canadian Commission for UNESCO
Constitution and By-laws
Organization
Board of Directors
The Council is headed by a Board consisting of 11
members who are appointed by the Governor in
Council. The Board meets at least four times a
Administration Division
This Division includes the Secretary-Treasurer’s
Office, the Human Resources Section, the Finance
Section, Administrative Services and Information
Management Services. The Division provides
various corporate services such as personnel,
financial and office management as well as the
development, implementation and maintenance of
Council’s automated systems.
Public Affairs, Research and
Communications Division
This Division undertakes advocacy initiatives in
partnership with artists, arts organizations and
other public bodies and institutions, and manages
the Council’s Parliamentary and business
advocacy programs. The Division organizes
special events, awards presentations and
implements proactive media relations. It houses
the Council’s research, policy analysis and
functions and monitors cultural policy
development. It is also responsible for the
Council’s website and corporate publications.
Arts Division
The Arts Division is headed by a Director and is
composed of six arts sections; Dance, Music,
Theatre, Visual Arts, Media Arts, Writing and
Publishing and three units Inter-Arts Office; Arts
Services Unit, and the Aboriginal Arts Secretariat.
The Director of the Arts Division is responsible for
managing the development and operation of grant
programs which provide financial support to
Canadian artists and arts organizations. The Arts
Services Unit provides administrative services to
the arts sections through four major areas of
activity; grant and prize application registry;
164
reference and document centre; program
information resource centre, program outreach and
dissemination; and analysis to program
development; and strategic priorities.
Equity Office
This Office supports the Council’s strategic focus
of equality of opportunity for culturally diverse
artists and organizations thus ensuring the
application of democratic processes and
transparency that foster equal opportunity for all.
Canada Council Art Bank
The Art Bank promotes original contemporary
Canadian art through a unique rental program
available to public and private sector clients across
Canada. It offers clients access to the largest
selection of works of art in the country which
includes 18,000 paintings, sculptures, drawings,
photographs, and prints by over 2,500 artists.
The Prizes and Endowments Section
Administers over 100 individual prizes, fellowships
and awards to Canadian artists and scholars each
year, for a total of close to $3 million. In addition to
the arts prizes, the Council’s Killam Program
awards prizes and fellowships to Canadian
scholars of exceptional ability engaged in
significant research projects in the humanities,
social sciences and natural sciences. Many of the
prizes and awards are privately endowed and are
given in perpetuity, in memory of the donors.
The Public Lending Right Commission (PLR)
The Commission administers a program of
payments to Canadian authors for the public use
of eligible books catalogued in libraries across
Canada. The PLR Board is responsible for setting
general program policies.
Canadian Commission for UNESCO (United
Nations Education, Scientific and Cultural
Organization)
The Canadian Commission for UNESCO has been
housed within the Canada Council since it was
established in 1957. The Commission advises the
Government of Canada on its relations with the
United Nations Education, Scientific and Cultural
Organization (UNESCO) one of the foremost
specialized agencies of the United Nations. The
Commission also fosters cooperation between
Canadian organizations in civil society and
UNESCO.
Canada Council for the Arts
Information Holdings
Program Records
Arts Division - General File
Description: Correspondence and other
information on the Arts Division, but not unique to
a specific discipline or section.
Topics: Policies and procedures; reports; and
studies
Access: Information arranged by program, by
subject.
Format: Computerized database and paper case
files.
Program Record Number: CAC ART 015
Dance Program Files
Description: The Dance Section is responsible for
coordinating the grant application process and
awarding of grants to individual artists and
professional Canadian companies or
organizations. The Section also holds information
on program criteria, Council procedures, peer
assessment and advisory committees.
Topics: Programs include: Grants to Dance
Professionals, Production Project Grants for Dance
Collectives and Companies, Travel Grants to
Dance Professionals, Creation /Production in
Dance, Program of Presenter Support, Support
Services to the Dance Milieu, Dance Touring
Grants, Annual Grants for Dance Managers and
Agents, Support to Aboriginal Peoples Dance
Organizations and Collectives, International CoProduction Program for Dance and The Dance
Flying Squad.
Access: Files arranged by applicant name,
program and subject.
Format: Computerized database and paper case
files.
Program Record Number: CAC DAS 060
Music Program Files
Description: The Music Section is responsible for
coordinating the grant application process and
awarding of grants to individual artists, and
professional Canadian companies or
organizations. The Section also holds information
on program criteria, Council procedures, peer
assessment and advisory committees.
Topics: Programs include: Grants to Professional
Musicians (individuals), Aboriginal Peoples Music
Program, Career Development Program, Travel
Grants to Professional Musicians, Residencies and
Commissioning of Canadian Compositions, Choir
Program, Concert Production and Rehearsal
Canada Council for the Arts
Program for Aboriginal, Classical, Folk, Jazz and
World Music, Grants for Specialized Music Sound
Recording, Classical Contemporary/New Music
Organizations Program, Professional Orchestra
Program, Opera/Music Theatre Program, Music
Touring Program, Music Festivals Programming
Project Grants and Music Festival Travel Grants.
Access: Files arranged by applicant name,
program and subject.
Format: Computerized database and paper case
files.
Program Record Number: CAC MUS 100
Theatre Program Files
Description: The Theatre Section is responsible
for coordinating the grant application process and
awarding of grants to individual artists, and
professional Canadian companies or
organizations. The Section also holds information
on program criteria, Council procedures, peer
assessment and advisory committees.
Topics: Programs include: Grants to Theatre
Artists, Travel Grants to Theatre Artists, Travel
Assistance to Theatre Artistic Directors and
Presenters, Grants for the Translation of Canadian
Theatre Works, Theatre Production Project Grants
(Creation/Development), Developmental Support
to Aboriginal Theatre Organizations, Annual
Operating Grants to Professional Theatre
Organizations, Canadian Creation Program,
Theatre Touring and Special Initiatives Program,
Theatre Presenting Program (Pilot), Theatre
International Pilot Program and The Flying Squad.
Access: Files arranged by applicant name,
program and subject.
Format: Computerized database and paper case
files.
Program Record Number: CAC THS 110
Visual Arts Program Files
Description: The Visual Arts Section is
responsible for coordinating the grant application
process and awarding of grants to individual
artists, and professional Canadian companies or
organizations. The Section also holds information
on program criteria, Council procedures, peer
assessment and advisory committees.
Topics: Programs include: Creation/Production
Grants to Professional Artists, Travel Grants to
Professional Artists, Assistance to Aboriginal
Curators for Residencies in Visual Arts, Assistance
to Culturally Diverse Curators for Residencies in
Visual Arts (Pilot Program), Project Grants to
Organizations, Annual Grants to Organizations,
and Major International Exhibitions.
165
Access: Files arranged by applicant name,
program and subject.
Format: Computerized database and paper case
files.
Program Record Number: CAC VAS 150
Media Arts Program Files
Description: The Media Arts Section is
responsible for coordinating the grant application
process and awarding of grants to individual
artists, and professional Canadian companies or
organizations. The Section also holds information
on program criteria, Council procedures, peer
assessment and advisory committees.
Topics: Programs include: Grants to Film and
Video Artists, Grants to New Media and Audio
Artists, Aboriginal Media Arts Program, Travel
Grants to Media Artists, Grants for Media Arts
Dissemination and Grants to Media Arts
Production Organizations.
Access: Files arranged by applicant name,
program and subject.
Format: Computerized database and paper case
files.
Program Record Number: CAC MAS 175
Writing and Publishing Program Files
Description: The Writing and Publishing Section
is responsible for coordinating the grant application
process and awarding of grants to individual
artists, and professional Canadian companies or
organizations. The Section also holds information
on program criteria, Council procedures, peer
assessment and advisory committees.
Topics: Programs include: Grants for Professional
Writers – Creative Writing and Author Residencies,
Travel Grants to Professional Writers, Grants to
Aboriginal Writers, Storytellers and Publishers,
Spoken and Electronic Words Program, Book
Publishing Support, International Translation
Grants, Grants to Literary and Art Magazines, Cooperative Projects in Writing and Publishing,
Literary Readings and Festivals, Governor
General’s Literary Awards (submissions by
publishers only), and Canada-Japan Literary
Awards.
Access: Files arranged by applicant name,
program and subject.
Format: Computerized database and paper case
files.
Program Record Number: CAC WPS 165
Inter-Arts Program Files
Description: The Inter-Arts Office is responsible
for coordinating the grant application process and
awarding of grants to individual artists, collectives
166
and professional Canadian groups, companies or
organizations. The Section also holds information
on program criteria and peer assessments.
Topics: Inter-Arts Program (performance art,
interdisciplinary work and new artistic practices)
and Multidisciplinary Festivals Project Grants.
Access: Files arranged by applicant name,
program and subject.
Format: Computerized database and paper case
files.
Program Record Number: CAC INT 006
Outreach Program Files
Description: The Outreach Program is
responsible for coordinating the grant application
process and awarding of grants to individual
artists, collectives and professional Canadian
groups, companies or organizations. The Section
also holds information on program criteria and
peer assessments.
Topics: New Audience and Market Development
Travel Assistance.
Access: Files arranged by applicant name,
program and subject.
Format: Computerized database and paper case
files.
Program Record Number: CAC OUT 007
Aboriginal Arts Secretariat and Program Files
Description: In collaboration with the Aboriginal
Advisory Committee on the Arts and with all
Sections at the Canada Council for the Arts, the
Aboriginal Arts Secretariat has primary
responsibility for developing policies, programs,
strategic initiatives and budgets to support
Aboriginal Peoples’ artistic practices in all
disciplines currently recognized by the Council, as
well as those defined by Aboriginal artists.
Topics: It also administers the Aboriginal Peoples’
Collaborative Exchange Program which has a
National and an International component.
Access: Files arranged by applicant name,
program and subject.
Format: Computerized database and paper case
files.
Program Record Number: CAC ART 018
Equity Office – Programs
Description: Correspondence and other
information on Cultural Equity in the Arts.
Topics: Program criteria; artists’ letters and
responses, prospective peer members; racial
equality - Council documents; successful
application reports; Report and recommendations
of the Advisory Committee for Racial Equality in
the Arts at the Canada Council for the Arts,
Canada Council for the Arts
advisory committee for equity in the arts; joint
committee for aboriginal and racial advisory
committees
Access: Files arranged by subject
Format: Computerized database and paper case
files.
Program Record Number: CAC ART 016
Art Bank – Artwork Rental and Client Activity
Databank
Description: The Artwork Rental/Client Activity
(ARCA) has replaced the Art Bank Data Bank and
the Art Bank Digital Image Bank. ARCA is a
client/server application which manages all
aspects of art work rental plus client activity, that
also includes an image database and tracks
artwork location and status.
Topics: ARCA has four integrated modules;
Collection Management for acquisition,
cataloguing, conservation and deaccession of
assets; Contact Management for clients, artists,
and dealers; Rental Activity for service documents,
contracts and invoices for rentals, loans and
exhibition; Marketing for selection of art works,
creation of web galleries, viewing and browsing the
image database.
Access: Information arranged by subject and
program.
Format: Computerized database, paper case files.
Program Record Number: CAC ART 001
Art Bank Programs
Description: Correspondence and information on
the Art Bank.
Topics: Program criteria; Art Advisory Committee;
Art Acquisition Committee; insurance; loans to art
galleries for exhibitions; long-term loans to
galleries; special purchase assistance; special
projects.
Access: Files arranged by subject.
Format: Computerized database and paper case
files.
Program Record Number: CAC ARB 155
Employment Opportunities
Description: Information pertaining to positions
within the Canada Council for the Arts.
Topics: Includes job postings, sollicited and
unsollicited job applications, résumés,
correspondance and personal information.
Access: Unsollited applications are filed monthly
and sollicited applications are filed by job
competition.
Format: Paper case files.
Program Record Number: CAC AAS 009
Canada Council for the Arts
Endowments and Prizes - Programs
Description: Correspondence and case files on
the various awards and prize programs operated
by the Canada Council for the Arts.
Topics: Canada Council Molson Prizes; Izaak
Walton Killam Memorial Prizes; Glenn Gould Prize;
Saidye Bronfman Award. Awards by discipline:
Dance: Jacqueline Lemieux Prize; Dance and
Theatre: Peter Dwyer Scholarships. Literature:
Governor General’s Literary Awards, CanadaSwitzerland Literary Prize, Canada-Australia
Literary Prize, Canada-French Community of
Belgium Literary Prize, Canada-Scotland Writer
Exchange Prize, CBC/Canada Council for the
Arts/EnRoute Literary Award and the CanadaJapan Literary Award. Media Arts: Bell Canada
Award in Video Art and the Petro-Canada Award in
New Technologies. The Governor General’s Award
in Visual and Media Arts. Music: Canada Council
CBC Amateur Choirs Competition, Canada Council
Musical Instrument Bank, Eckardt-Gramatté Music
Competition, Virginia Parker Award, Sylva Gelber
Foundation Award, Jules Léger Prize for New
Chamber Music, Healey Willan Prize, Canada
Council Grand Prize for the CBC Young
Composers Competition, Sir Ernest MacMillan
memorial Prize in Choral Conducting, Robert
Fleming Prize for Young Composers and the JeanMarie Beaudet Award in Orchestral Conducting.
Theatre: John Hirsch Prize and Theatre for Young
Audiences. Visual Arts: Governor General’s
Medals in Architecture, Jean A. Chalmers Fund for
the Crafts, Prix de Rome in Architecture, Ronald J.
Thom Award for Early Design Achievement; the
Duke and Duchess of York Prize in Photography
and the York Wilson Endowment Award. Various
Arts Disciplines: J.B.C. Watkins Award, Joseph S.
Stauffer Prizes, Vida Peene Awards and Victor
Martyn Lynch-Staunton Awards. Fine Arts or
Humanities: Coburn Fellowships, Humanities,
Social Sciences, Health Sciences, Natural
Sciences and Engineering: Killam Research
Fellowships and the John G. Diefenbaker
Research Award. International Prizes: Kennedy
Centre Fellowships of the Americas.
Access: Files arranged by subject.
Format: Computerized database and paper case
files.
Program Record Number: CAC ART 005
Enquiries and Correspondence
Description: General enquiries on eligibility for
grants under programs administered by the
Canada Council for the Arts; also general
correspondence.
167
Topics: Routine correspondence - ineligible
project proposals, requests for information,
requests for application forms.
Access: Files arranged by enquirer and are
retained for two years.
Format: Computerized database and paper case
files.
Program Record Number: CAC AAS 025
Peer Assessors and Disciplinary Advisors
Description: Separate peer assessment
committees are set up to evaluate applications to
each program of the Canada Council. There are
generally from three to seven members on each
committee. Selection is made from the arts
community most relevant to the applications to be
evaluated, taking into consideration the members’
specialization, experience and expertise, and
analytical abilities. Selection is also based on
providing balanced representation of gender,
regional and cultural diversity, the two official
languages and Aboriginal peoples. The
Disciplinary Advisory Committees provides advice
and or recommendations to the Council on the
needs of their respective community and on issues
relating to Aboriginal peoples and cultural diversity.
Topics: The information included on assessors
and advisory members include: address, gender,
language (French or English, bilingual if
applicable), home and/or business telephone
number(s), status, art discipline and
specialization(s), affiliation and historical records of
services rendered.
Access: Information arranged by individual’s
name, program and subject.
Format: Computerized database.
Program Record Number: CAC ART 003
Public Lending Right Commission Data Bank
Description: In addition to hard copy files on all
PLR registrants, a data bank of information is
maintained on each registrant. Information is taken
from these data files to produce the cheques sent
annually to eligible PLR registrants and to produce
statistics for the annual report.
Topics: The information includes the registrant’s
name, address, telephone number, citizenship,
language (English or French) and Social Insurance
Number. Individual payment history summaries
and lists of declared book titles are also
maintained. In addition, a record is kept on each
registered title. Recorded here are the title’s
category (fiction, non-fiction, etc.), its language
(English, French, bilingual, other), eligibility, library
search results, the amount paid in the current year
168
and the status of the registrants (author, translator,
etc.).
Access: Information arranged by individual’s
name and title.
Format: Computerized database.
Program Record Number: CAC ART 004
Standard Program Records
Please see the INTRODUCTION to this publication
for the definition of Standard Program Records
and a description of their contents.
Access to Information and Privacy Requests
Accounts and Accounting
Acts and Legislation
Administration and Management Services
Audits
Automated Document, Records and Information
Management Systems
Budgets
Business Continuity Planning (BCP)
Electronic Network Monitoring Logs
Executive Correspondence Management Systems
Employment and Staffing
Equipment and Supplies
Finance
Hospitality
Human Resources
Office Appliances
Pensions and Insurance
Personnel
Proactive Disclosure
Relocation
Salaries and Wages
Security Video Surveillance and Temporary Visitor
Access Control Logs and Building Passes
Staff Relations
Training and Development
Travel
Particular Personal Information
Banks
Arts Organizations/Companies’ Grant Files
Description: Arts organizations and companies’
grant files containing correspondence relating to
the preliminary inquiry, the application with
Canada Council for the Arts
supporting data, financial information, the
adjudication result and details of payment if a
grant is awarded. Files may also contain artistic
assessments. The files are organized
alphabetically according to the program and
discipline.
Class of Individuals: Arts organizations and
companies in the following disciplines: Theatre,
Music, Dance, Writing and Publishing, Visual and
Media Arts.
Purpose: Contains files of arts organizations and
companies who have applied for a grant to the
various programs at the Canada Council for the
Arts.
Consistent Uses: The files are used in the
adjudication process of grant requests.
Retention and Disposal Standards: Grant
application files are retained at the Council for a
period of four years. They are then transferred to
the National Archives of Canada and held for
another four years. After an eight year period, all
unsuccessful grant application files are destroyed
and the successful files are kept indefinitely.
RDA Number: 83-038
Related PR#: CAC DAS 060, CAC MUS 100,
CAC THS 110, CAC VAS 150, CAC MAS 175,
CAC WPS 165, CAC INT 006, CAC OUT 007 and
CAC ART 018
TBS Registration: 001648
Bank Number: CAC PPU 130
Applications for Employment
Description: The bank is used to maintain an
inventory of applications received from individuals
seeking employment with the Canada Council.
Records include both applications solicited for
specific competitions and unsolicited applications.
It may include covering letters, career résumés
and letters of recommendation. Résumés normally
provide individual’s name, social insurance
number, address, personal characteristics,
employment history, and other personal
information.
Class of Individuals: Individuals - Canadian
citizens or permanent residents.
Purpose: Applications are used to assist in filling
available positions.
Consistent Uses: To provide a record of the
information and documentation used in staffing a
position.
Retention and Disposal Standards: Solicited
applications are kept for two years, then destroyed
and suitable unsolicited applications are kept for
six months, then destroyed.
RDA Number: 98/005
Canada Council for the Arts
Related PR#: CAC AAS 009
TBS Registration: 003274
Bank Number: CAC PPU 090
Arts Tracking System
Description: The ATS is a corporate database
system used for the Canada Council’s operations
and activities. It provides a single repository for all
information on contacts and programs, tracks grant
applications and grant processing and generates
corporate mailings. There are electronic links to
the Financial Management System for budget
allocations and payments.
Class of Individuals: Individuals, artists, peer
assessors, members of arts organizations and
associations, Members of Parliament, government
staff, media contacts, university personnel and the
Canada Council’s clients. Each computer record
has a unique reference number which identifies
the contact.
Purpose: The Arts Tracking System replaces any
databases of systems previously used to register,
store, modify or manage contact data, grant
processing and corporate mailing lists.
Consistent Uses: The ATS tracks grant
applications and facilitates the sending of Council’s
publications to interested parties. The Canada
Council for the Arts’ mailing list of organizations
may be sold to other organizations and or
institutions.
Retention and Disposal Standards: The
information is kept permanently.
RDA Number: N/A
Related PR#: CAC DAS 060, CAC MUS 100,
CAC THS 110, CAC VAS 150, CAC MAS 175,
CAC WPS 165, CAC INT 006, CAC OUT 007,
CAC ART 018, CAC ART 016 and CAC ART 003.
TBS Registration: 004244
Bank Number: CAC PPU 020
Damaged/Lost Works
Description: The purpose of this bank is to
document lost or damaged art bank works. It
contains condition reports, correspondence with
clients, conservators, insurance adjusters, etc., as
well as invoices and copies of cheques.
Class of Individuals: Individual artists,
conservators, insurance adjusters.
Purpose: It is used to keep track of damaged
works, restoration procedures, costs and payment
and where works were lost or stolen.
Consistent Uses: This bank is used to document
all costs related to damaged, lost and stolen works
of art.
Retention and Disposal Standards: Records are
169
kept permanently.
RDA Number: N/A
Related PR#: CAC ART 001
TBS Registration: 003281
Bank Number: CAC PPU 065
Federal Investigative Body Requests
Description: This bank contains requests made
by federal investigative bodies, as well as records
of disclosure (if the request is granted), occasional
legal opinions and related material. Individuals
seeking access to this bank should provide their
full name and address.
Class of Individuals: Individuals from whom
information has been requested by federal
investigative bodies.
Purpose: The purpose of this bank is to ensure
that requests by federal investigative bodies for
personal information held by the Canada Council
are properly authorized.
Consistent Uses: The records are used to
monitor and maintain a record of the information
requested and/or provide it to federal investigative
bodies, and to ensure compliance with the Privacy
Act. The records may be viewed by the Privacy
Commissioner or delegate when investigating
complaints.
Retention and Disposal Standards: Records in
this bank are retained for two years after their last
administrative use, and are then destroyed.
RDA Number: TBD
Related PR#: CAC AAS 025
TBS Registration: 001650
Bank Number: CAC PPU 140
Individuals’ Arts Grant Files
Description: Contains the correspondence
relating to the preliminary inquiry, the application
with supporting data which includes the name,
address, phone, fax or e-mail numbers, budget of
the proposed project of each candidate applying
for a grant as well as the adjudication result and
details of payment if a grant is awarded. The files
are organized alphabetically according to the
program and discipline.
Class of Individuals: Individual artists.
Purpose: Contains files of artists who have
applied for a grant to the various programs at the
Canada Council for the Arts.
Consistent Uses: Used in the adjudication
process of grant requests and to provide data for
statistical analysis of requests for individual grants.
Retention and Disposal Standards: Grant
application files are retained at the Council for a
period of four years. They are then transferred to
170
the National Archives of Canada and held for
another four years. After an eight year period, all
unsuccessful grant application files are destroyed
and the successful files are kept indefinitely.
RDA Number: 83-038
Related PR#: CAC DAS 060, CAC MUS 100,
CAC THS 110, CAC VAS 150, CAC MAS 175,
CAC WPS 165, CAC INT 006, CAC OUT 007,
CAC ART 018 and CAC ART 016
TBS Registration: 000313
Bank Number: CAC PPU 115
Installation Works of Art Files
Description: It contains diagrams and forms,
supplied by artists or their dealers, giving details
on installation of works of art.
Class of Individuals: Individual artists, dealers.
Purpose: The purpose of this bank is to collect
descriptive data on works purchased, especially on
how works should be installed.
Consistent Uses: The files are used to identify
works and assist with their installation.
Retention and Disposal Standards: Records are
kept for the duration of the art work’s life span,
then destroyed.
RDA Number: 98/007
Related PR#: CAC ART 001
TBS Registration: 003282
Bank Number: CAC PPU 045
Public Lending Right Commission Case Files
Description: This bank contains the name,
address, phone number, Social Insurance Number
and citizenship of the applicant, plus supporting
documentation for the book titles being registered.
In each author’s file, there is a yearly record of the
number of libraries the books were found in, the
amount the individual books earned, and the
author’s total PLR earnings for the year.
Class of Individuals: Canadian authors, coauthors, editors, translators, illustrators, anthology
contributors and photographers who have applied
for the PLR Program.
Purpose: Contains all documentation, on all
authors who have applied to the program, such as
their application, social insurance number and
amount of payment.
Consistent Uses: The files are used to verify that
authors and titles are eligible under the criteria
established by the Commission.
Retention and Disposal Standards: All files are
retained for eight years after an author’s death,
then destroyed.
RDA Number: 2002/009
Related PR#: CAC ART 004
Canada Council for the Arts
TBS Registration: 002207
Bank Number: CAC PPU 150
Purchase of Art Works from Artists
Description: The purpose of this bank is to
maintain a record of applications to the art bank for
the purchase of artworks from individual artists. It
contains letters of application from individual
artists, correspondence to and from artists,
invoices, biographical data, information relating to
artists’ copyrights and artists’ representatives and
peer decisions.
Class of Individuals: Individual artists.
Purpose: Contains all documentation, on all artists
who have applied to the program, such as their
application, social insurance number and amount
of payment.
Consistent Uses: It is used to keep records on
applications by artists for purchases of their work,
to ensure payment is made for each work
purchased, and to accumulate information on all
works purchased from one artist.
Retention and Disposal Standards: Files are
kept permanently for successful applications.
While unsuccessful files are retained at the
Council for three years, then destroyed.
RDA Number: 98/007
Related PR#: CAC ART 001
TBS Registration: 003284
Bank Number: CAC PPU 035
Repurchase Program
Description: This program was cancelled in 1996
and reinstated in 2001 for a period of six months.
The purpose of this bank is to maintain a record of
artists’ requests to repurchase works of art
originally sold to the art bank. Financial
transactions are also recorded in these files. It
contains letters of application from artists or their
dealers, details of repurchase costs, invoices,
correspondence to artists informing them of the art
bank decision and copies of cheques.
Class of Individuals: Individual artists.
Purpose: The bank contains records on the
repurchase program and the number of works
each artist has requested for repurchase.
Consistent Uses: Contains files of artists who
have requested to repurchase their works of art
originally sold to the art bank.
Retention and Disposal Standards: Records are
kept permanently.
RDA Number: N/A
Related PR#: CAC ART 001
TBS Registration: 003285
Bank Number: CAC PPU 070
Canada Council for the Arts
UNESCO Mailing List
Description: The purpose of this bank is to
maintain a record of members of the Commission
to whom publications, including reports, press
releases, and the minutes of meetings, may be
sent. It contains addresses which normally include
the individual’s name, address, and telephone
number as well as codes identifying disciplines of
interest such as education, natural sciences, social
sciences, culture, communications, etc.
Class of Individuals: Individuals.
Purpose: This record is used to identify individuals
to whom are sent UNESCO-related material.
Consistent Uses: Facilitates the sending of
UNESCO publications to interested parties.
Retention and Disposal Standards: The
information is held permanently.
RDA Number: N/A
Related PR#: CAC AAS 025
TBS Registration: 003287
Bank Number: CAC PPU 095
Standard Personal Information
Banks
Please see the INTRODUCTION to this publication
for the definition of Standard Banks and a
description of their contents.
Hospitality
Relocation
Travel
Classes of Personal Information
Routine Correspondence and Other Subject
Files
Personal information of a routine nature may be
found in correspondence or other subject files.
This information is generally not retrievable by
personal name or other personal identifier and is
normally not used for administrative purposes (e.g.
requests for grant application forms or other
correspondence not leading to an actual
application).
Manuals
• Arts Division Guide Book
• ATS Data Base Manual
• Employees Manual/Collective Agreement
171
Additional Information
Please see the INTRODUCTION to this publication
for information on access procedures under the
provisions of the Access to Information Act and the
Privacy Act.
Please note: Requests made to the Canada
Council for the Arts under the Access to
Information Act must be accompanied by an
application fee of $5.00, made payable to the
Canada Council for the Arts.
Requests for further information about the Council
and its programs and functions may be directed to:
The Canada Council for the Arts
Arts Services Unit
Information Officers
350 Albert Street
P.O. Box 1047
Ottawa, Ontario K1P 5V8
Reading Room
In accordance with the Access to Information Act,
a reading room will be made available upon
request. The address is:
350 Albert Street
Ottawa, Ontario
172
Canada Deposit Insurance Corporation
Canada Deposit Insurance Corporation
Chapter 11
General Information
Background
The Canada Deposit Insurance Corporation
(CDIC) was established in 1967 by the Canada
Deposit Insurance Corporation Act. The
Corporation is an agent of Her Majesty in right of
Canada and is a Crown Corporation named in Part
I of Schedule III of the Financial Administration Act.
The Corporation reports to Parliament through the
Minister of Finance. The Corporation’s objects are
to provide insurance against the loss of part or all
of deposits, to be instrumental in the promotion of
standards of sound business and financial
practices for member institutions, and to promote
and otherwise contribute to the stability of the
financial system in Canada. These objects are to
be pursued for the benefit of persons having
deposits with member institutions and in such a
manner as will minimize the exposure of the
Corporation to loss.
[Receipt of Royal Assent for Bill C-43, the Budget
Implementation Act, 2005, resulted in significant
changes to CDIC’s statutory mandate. One such
change was the removal of CDIC’s object to be
instrumental in the promotion of standards of
sound business and financial practices. This
change will only come into effect, however, upon
Order in Council at a future date to be determined
by the federal Cabinet.]
Membership
Membership with CDIC is limited to banks,
federally incorporated trust and loan companies,
provincially incorporated trust and loan companies
and associations to which the Cooperative Credit
Associations Act applies. To obtain membership,
an application must be submitted to CDIC and
approved by its Board of Directors. Provincially
incorporated institutions must be authorized by the
province of incorporation to apply for deposit
insurance.
Under the CDIC Act, the maximum basic
protection for eligible deposits is $100,000 per
depositor at each member institution. CDIC
provides separate protection for eligible deposits
held jointly, in trust, in registered retirement
savings plans, and in registered retirement income
funds, also to a maximum of $100,000, in each
category. Deposits not payable in Canada or
repayable in foreign currency are not eligible to be
insured.
A further change resulting from Bill C-43 is the
granting of automatic membership in CDIC for all
new federally incorporated deposit-taking
institutions. This change, however, will only take
place upon Order in Council at a future date, to be
determined by the federal Cabinet.
Responsibilities
The Corporation’s primary role is set out above.
Other responsibilities include examining the affairs
of member institutions in order to obtain
information for deposit insurance purposes (under
legislation, the examination of federal member
institutions is the responsibility of the Office of the
Superintendent of Financial Institutions (OSFI);
acting as lender of last resort to provide short-term
liquidity loans under specified authority; managing
the acquired assets of member institutions; and
reducing the risk of loss to the Corporation by
guaranteeing loans or deposits with a member
institution. In addition, the Corporation can act as
curator of a deposit-taking institution, or liquidator
or receiver of a member institution. CDIC also
manages and invests funds accumulated from the
operations of the Corporation.
To carry out its work, CDIC relies on the work of
OSFI and provincial regulators. They are
responsible for regulatory supervision and for
ensuring that member institutions follow the rules
and regulations and remain financially viable. If a
member institution poses a significant risk of loss
to the Corporation, CDIC will work closely with the
regulator and usually complete an intensive
special examination of the company’s operations
and the value of its assets to clarify CDIC’s risk
and to establish an information base upon which
the Corporation can act promptly toward
intervention or failure resolution.
Legislation
• Canada Deposit Insurance Corporation Act
• CDIC Application for Deposit Insurance By-law
• CDIC Deposit Insurance Application Fee By-law
Canada Deposit Insurance Corporation
• CDIC Deposit Insurance Information By-law
• CDIC Deposit Insurance Policy By-law
• CDIC Differential Premiums By-law
• CDIC Discretionary Interest By-law
• Exemption from Deposit Insurance By-law
(Exemption Fee)
• Exemption from Deposit Insurance By-law
(Foreign Currency Deposits)
• Exemption from Deposit Insurance By-law
(Interest on Deposits)
• Exemption from Deposit Insurance By-law
(Notice to Depositors)
• Exemption from Deposit Insurance By-law
(Prescribed Deposits)
• CDIC Interest Payable on Certain Deposits Bylaw
• CDIC Joint and Trust Account Disclosure By-law
• CDIC Notice Regulations (Compensation in
Respect of the Restructuring of Federal Member
Institutions)
• CDIC Prescribed Practices Premium Surcharge
By-law
Organization
Board of Directors
CDIC’s Board of directors consists of a privatesector Chairperson, five-private sector directors,
and five public-sector directors who serve ex
officio on the CDIC Board. Those public sector
directors are the Governor of the Bank of Canada;
the Deputy Minister of Finance; the Superintendent
of Financial Institutions; the Commissioner of the
Financial Consumer Agency of Canada; and a
Deputy Superintendent of Financial Institutions or
other officer of the Office of the Superintendent of
Financial Institutions appointed by the Minister.
The Chairperson and private-sector directors are
appointed by the Minister with the approval of the
Governor in Council.
Office of the President and CEO
The Office of the President and CEO is
responsible for the overall management of the
Corporation, for strategic planning and for liaising
with the Board of Directors. The President and
CEO is appointed by the Minister with approval of
173
the Governor in Council The Corporate Risk
function and the Corporate Strategy and Reporting
function report directly to the President and CEO.
Audit and Consulting Services
CDIC’s internal Audit and Consulting Services
function reports directly to the Audit Committee of
the Board of Directors.
Corporate Affairs Division
This division is comprised of the Communications
and Public Affairs Department, the Policy and
International Department and the Legal
Department.
The Communications and Public Affairs
Department is responsible for providing internal
and external communications, public relations and
linguistic services. It manages a multi-year public
awareness program on deposit insurance and
CDIC’s Web site and toll-free information line.
The Policy and International Department is
responsible for conducting research on and
analyzing emerging financial sector policy issues,
for assessing and developing public policies that
relate to CDIC’s mandate and operations and for
co-ordinating CDIC’s international activities.
The Legal Department is responsible for providing
legal counsel and advice in all legal matters
affecting the Corporation.
Finance and Administration Division
This division is comprised of the Finance and
Treasury Department and Information Systems
Department.
The Finance and Treasury Department is
responsible for the accounting, financial planning,
and treasury activities of the Corporation. The
Information Systems department is responsible for
information management, application development
and technical infrastructure support.
Insurance and Risk Assessment Division
The responsibilities of this division include the
effective operation of the insurance, member
relations, and risk assessment functions of the
Corporation, the development of systems and
procedures for the conduct of interventions and the
management of claims and recoveries associated
with past failed member institutions. This division
is also responsible for administering the system of
differential premiums.
174
Information Holdings
Program Records
Applications for Employment
Description: This program record includes
applications, cover letters and résumes that have
been submitted to CDIC.
Topics: Applications for employment.
Program Record Number: CDI CORP 1500
Conflicts of Interest and Business Conduct and
Ethical Behaviour for Employees and Directors
Description: This program record contains files
and notes to file, investigation reports,
correspondence, and certificates of compliance
relating to: CDIC’s Conflicts of Interest Code,
CDIC’s Code of Business Conduct and Ethical
Behaviour for Employees, and CDIC’s Code of
Business Conduct and Ethical Behaviour for
Directors.
Topics: Potential and actual conflicts of interest
and potential and actual violations of CDIC’s Code
of Business Conduct and Ethical Behaviour for
Employees and CDIC’s Code of Business Conduct
and Ethical Behaviour for Directors.
Program Record Number: CDI LEGAL 530
Enquiries
Description: This program record includes
correspondence relating to enquiries and queries
from depositors or the general public.
Topics: Generally related to deposit insurance
limits and insurability of deposits.
Program Record Number: CDI CORP 1654
External Contacts
Description: This program record includes contact
information for individuals who have a business
relationship with CDIC.
Topics: Correspondence with individuals who
have a business relationship with CDIC;
conducting of relevant surveys.
Program Record Number: CDI CORP 1600-3
Failed Member Institutions – Intervention
Description: This program record pertains to the
intervention required when a member institution
becomes insolvent, i.e., appointment of agents,
wind-up process, payments to depositors,
liquidation of assets and final dissolution.
Topics: Agreements; disposal of assets; financial
statements; loans; litigation; meetings; payments
to depositors; and reports; unclaimed dividends.
Program Record Number: CDI TO 3110
Canada Deposit Insurance Corporation
Human Resources Personal Information File
Description: This program record contains human
resources-related personal information for each
CDIC employee.
Topics: Compensation; benefits; performance,
security; language description; leave; and sealed
confidential information related to matters such as,
but not limited to, internal disclosure of
wrongdoing, conflicts of interest, and harassment.
Program Record Number: CDI CORP 1486
Member Institutions – Relations
Description: This program record includes
subjects relating to the ongoing relations with
members, the monitoring of the financial status of
members and the assessment of risk to the
Corporation and, in the case of members in
financial difficulty, the investigation of alternatives
to liquidation, i.e., liquidity loans, mergers,
changes in management, etc.
Topics: Applications for membership; financial
statements; policies and certificates of
membership; borrowing and lending guidelines;
premium administration; regulatory reports; and
the use of marks and signs in advertisements and
on investment instruments.
Program Record Number: CDI CORP 2700
Personal Services Contracts
Description: This program record includes
contracts that have been prepared and entered
into with individuals for the provision of consulting
services to the Corporation for a defined period of
time.
Topics: Consulting services.
Program Record Number: CDI CORP 515
Standard Program Records
Please see the INTRODUCTION to this publication
for the definition of Standard Program Records
and a description of their contents.
Accounts and Accounting
Access to Information and Privacy Requests
Acts and Legislation
Administration
Administration and Management Services
Audits
Automated Document, Records, Information
Management Systems
Budgets
Buildings and Properties
Business Continuity Plans (BCP)
Canada Deposit Insurance Corporation
Classification of Positions
Co-operation and Liaison
Employment and Staffing
Equipment and Supplies
Finance
Furniture and Furnishings
Hospitality
Human Resources
Information Technology Services
Occupational Health, Safety, and Welfare
Official Languages
Pensions and Insurance
Personnel
Physical Security
Proactive Disclosure
Procurement
Relocation
Salaries and Wages
Training and Development
Travel
Utilities
Particular Personal Information
Banks
Applications for Employment
Description: This bank contains information
pertaining to applications that are received from
individuals seeking employment with the Canada
Deposit Insurance Corporation. These requests
usually consist of a letter and an attached
curriculum vitae.
Class of Individuals: Individuals seeking
employment with the Canada Deposit Insurance
Corporation.
Purpose: These applications are considered as
positions become vacant. Information is compiled
so that it can be referred to when considering a
candidate for a position.
Consistent Uses: The bank is also used to store
information on these individuals.
Retention and Disposal Standards: Solicited
applications for employment are retained for 1
year after the expiry of the staffing action.
Unsolicited applications for employment are
retained for 6 months from the date of receipt.
Applications for employment are destroyed by
Library and Archives Canada upon the expiry of
175
the applicable retention period.
RDA Number: 98/005
TBS Registration: 002292
Related PR#: CDI CORP 1500
Bank Number: CDI PPU 015
Payments to Depositors
Description: This bank contains records of
payments to insured depositors.
Class of Individuals: The information relates to
depositors of failed member institutions.
Purpose: The purpose of this bank is to keep a
record of payments made to insured depositors.
Consistent Uses: This bank is also used to
support payments made to depositors of failed
member institutions.
Retention and Disposal Standards: Information
in this bank is retained for 7 years after the date of
discharge of the court-appointed liquidator and is
then destroyed by Library and Archives Canada.
RDA Number: 2000/007
Related PR#: CDI TO 3110
TBS Registration: 003651
Bank Number: CDI PPU 005
Personal Services Contracts
Description: This bank contains information
relating to contracts entered into by the
Corporation with individuals who provide the
Corporation with consulting services. It includes
information such as the type of services to be
rendered, duration of engagement, and the fee for
services. This bank contains the contracts and
supporting documents.
Class of Individuals: Individuals retained to
provide consulting services to the Corporation.
Purpose: The purpose of this bank is to keep a
record of the terms and conditions of the
engagement of persons who supply consulting
services to the Corporation.
Consistent Uses: This bank is also used for
accounting, reference and statistical purposes.
Retention and Disposal Standards: Information
in this bank is retained for 7 years and is then
destroyed by Library and Archives Canada
RDA Number: 99/004
Related PR#: CDI CORP 515
TBS Registration: 002291
Bank Number: CDI PPU 010
176
Standard Personal Information
Banks
Please see the INTRODUCTION to this publication
for the definition of Standard Banks and a
description of their contents.
Access to Information and Privacy Requests
Automated Document, Records and Information
Management Systems
Business Continuity Planning (BCP)
Electronic Network Monitoring Logs
Executive Correspondence Management Systems
Hospitality
Relocation
Security Video Surveillance and Temporary Visitor
Access Control Logs and Building Passes
Travel
Manuals
• Management Policy Manual
Classes of Personal Information
OSFI Examination Reports
As part of its mandate, CDIC receives regular
reports from the financial regulator, OSFI, on the
health of CDIC’s member institutions. These
reports have infrequently contained information as
to an individual’s financial exposure to a member
institution. This information, however, being in
paper form, is not retrievable by any personal
identifier and is not used for an administrative
purpose with respect to the individual.
Asset Information Obtained from a Member
Institution
This class of personal information relates to
individuals who have a loan and/or financing
agreement with a member institution subject to
CDIC intervention. The personal information might
have been gathered incidentally in the course of a
special examination; by a court appointed
liquidator in respect of assets of a member
institution in liquidation; or by third parties, such as
law firms, asset tracers, real estate appraisers and
others. This type of information, however, is
retrievable by name of the member institution only
and is not used for an administrative purpose with
respect to the individual.
Canada Deposit Insurance Corporation
Additional Information
Please see the INTRODUCTION to this publication
for information on access procedures under the
provisions of the Access to Information Act and the
Privacy Act.
Please note: Requests made to the Canada
Deposit Insurance Corporation under the Access
to Information Act must be accompanied by an
application fee of $5.00, made payable to the
Canada Deposit Insurance Corporation.
Requests for further information about the
Corporation may be directed to:
Communications and Public Affairs
Canada Deposit Insurance Corporation
50 O’Connor Street, 17th Floor
P.O. Box 2340, Station D
Ottawa, Ontario K1P 5W5
Tel.: (613) 996-2081
Reading Room
In accordance with the Access to Information Act,
a reading room is available. The address is:
Canada Deposit Insurance Corporation
50 O’Connor Street, 17th Floor
Ottawa, Ontario K1P 5W5
Or
Canada Deposit Insurance Corporation
Toronto Dominion Centre, TD Waterhouse Tower
79 Wellington Street, Suite 1200
P.0. Box 156
Toronto, Ontario M5K 1H1
Canada Economic Development for Quebec Regions
177
Canada Economic Development for Quebec Regions
Chapter 12Gen
General Information
Background
Under the order adopted on February 13, 1998,
Economic Development Agency of Canada for the
Regions of Quebec (CED) became the new name
of the organization formerly known as the Federal
Office of Regional Development (Quebec), or
FORD(Q). FORD(Q) was created in June 1991,
and has been part of the Industry Portfolio since
January 1996.
Legislation
• Canada Small Business Financing Act
• Department of Industry Act regarding regional
economic development in the Province of
Quebec
• Industrial and Regional Development Act
• Small Business Loans Act
• Special Areas Act regarding activities in the
Province of Quebec
In October 2004, the Minister responsible for the
Agency tabled Bill C-9 in Parliament. The purpose
of this draft legislation is to establish the Economic
Development Agency of Canada for the Regions of
Quebec by statutory means and give it a legal
basis in its own right. Bill C-9 is progressing
through the legislative process.
• Atlantic Enterprise Loan Insurance Regulations
with regard to projects in the Province of
Quebec
Information concerning Bill C-9 establishing the
Agency can be found at:
http://www.parl.gc.ca/legisinfo/index.asp
Organization
Responsibilities
The mandate of Canada Economic Development
for the Regions of Quebec is to promote the
economic development of the regions of Quebec,
paying special attention to those experiencing slow
economic growth and inadequate employment,
with a view to the enhancement of prosperity and
employment in the long term.
In fulfilling its mandate, Canada Economic
Development helps the Government of Canada
deliver on its commitment with respect to Section
36 of The Constitution Act, 1982 to promote
equality of opportunity for all Canadians in their
pursuit of well-being and to further the economic
development of all regions of the country in order
to reduce disparity in opportunities.
The objectives of the Minister responsible for the
Agency are set out in Part II of the Department of
Industry Act and its attendant legislation
http://laws.justice.gc.ca/en/I-9.2/text.html
• Enterprise Development Regulations with regard
to contributions and projects in the Province of
Quebec
Canada Economic Development for the Regions of
Quebec has its headquarter in Montreal and a
liaison office in Gatineau. The Agency also has a
network of 14 business offices in various regions
of Quebec and provides clients with information on
its programs and services through its Internet site,
www.dec-ced.gc.ca.
The Executive Assistant, Assistant Deputy Minister,
Operations, Assistant Deputy Minister, Policy,
Planning and Information, Director General,
Communications, Director General, Resource
Management and Director, Legal Services, report
to the Deputy Minister.
Deputy Minister
The Deputy Minister is responsible, on behalf of
the Minister, for the day-to-day management of the
Agency. She also supports and contributes to
collective management of the government. She
acts as senior policy advisor for the Minister and
the government, and is assisted in her activities by
her Executive Assistant who serves as a coordinator in support of senior management. The
Executive Assistant heads the Corporate
Secretariat, which is responsible for ministerial
correspondence, parliamentary relations and
enforcement of the Access to Information Act and
the Privacy Act.
178
Operations
The Assistant Deputy Minister, Operations, is
responsible for program development and the
delivery of all Agency products and services, as
well as for negotiating and managing partnership
agreements with other federal departments and
outside organizations, such as financial
institutions. She is in charge of implementing
agreements with the Quebec government,
including the Infrastructure Agreement. The
Assistant Deputy Minister, Operations, heads the
Programs Management Branch, the Operational
Planning Branch, and a network of 14 business
offices throughout Quebec.
The business offices, located in various parts of
Quebec, are nerve centres for the delivery of the
programs and services of Canada Economic
Development for the Regions of Quebec. They
play an active role in establishing the Agency’s
priorities and approaches and in adjusting
programs and services to the local situation.
Regional teams represent the Agency with local
organizations and hold consultations with the
community. They also enable the Government of
Canada to publicize its policies and its activities
with regard to the economic development of the
regions.
Policy, Planning and Information
The Assistant Deputy Minister, Policy, Planning
and Information, is responsible for defining
the Agency’s strategic orientations, carrying
out the necessary socio-economic studies,
providing the Agency’s input to the creation of
national policy, promoting Quebec regional
interests at the federal level, maintaining the
quality system, the performance measurement
and managing information. She administers these
operational entities: Governmental Affairs Branch
located in Gatineau, the Policy and Planning
Branch and the Quality, Information and
Technologies Branch.
Communications
The Communications Branch is responsible for
developing and implementing a communication
program to inform the public of the Agency’s
contribution and, in the case of special mandates,
the Government of Canada’s contribution, to the
economic development of the regions of Quebec.
This Branch consists of three distinct and
complementary directions in order to make the
promotion of the programs and services of the
Canada Economic Development for Quebec Regions
Agency, they are: Strategies and Corporate Affairs,
Regional Communications and Promotion and
Information Outreach.
Resource Management
The Resource Management Branch provides
advice, support and guidance to managers and
employees in regards to different issues related to
the management of human, financial and material
resources. It ensures liaison with the Office of the
Auditor General of Canada, the Treasury Board
Secretariat and the Public Service Commission. It
plays a leading role in creating and managing an
administrative reform based on sound
management practices resulting in effective
decision making. The Branch is responsible for
creating programs and policies and delivering
strategic and corporate services in all areas
related to the management of human resources. It
also participates in implementing the Expenditure
Management System, controlling revenues and
expenditures and drawing up financial policies,
procedures and systems. Lastly, it is responsible
for the management of administrative and real
property services, government contracts,
purchasing and security.
Legal Services
The Legal Services Branch provides legal
assistance and opinion relevant to the Agency
activities. More specifically, Legal Services
activities focus on commercial law and its impact
on public law. The Branch also provides litigation
support services.
Information Holdings
Program Records
Service Procurement Contracts
Description: Information system related to the
administration of the Service Procurement
contracts.
Topics: Information concerning the vendor and the
contract value.
Access: By contract number or vendor.
Format: Paper.
Program Record Number: CED ADM 001
Temporary Help Services Contracts
Description: List of contracts with each
employment agency.
Topics: General information on vendors and the
contract value.
Canada Economic Development for Quebec Regions
179
Access: By purchase order number or vendor.
Format: Paper
Program Record Number: CED ADM 002
Access: By subject.
Format: Paper
Program Record Number: CED PPI 045
International Relations
Description: Files pertaining to Canada Economic
Development relations with international bodies
which, in the course of their activities, operate
explicitly in the field of economic development,
particularly in regional development (OECD, CEC,
etc.).
Topics: Includes topics related to regional
development originating in the public and the
private sectors in Canada, OECD, etc.
Access: By subject.
Format: Paper
Program Record Number: CED PPI 030
Policy Analysis
Description: Subjects proposed by various federal
departments, and existing federal policies and
programs, particularly from the standpoint of their
impact on Quebec economic, on its regions and its
SME’s.
Topics: Impact of federal policies and programs
on economic development in Quebec.
Access: By subject.
Format: Paper
Program Record Number: CED PPI 055
Policies Development
Description: Subjects related to options open to
the Minister of Canada Economic Development
with regard to the Government of Canada’s
regional development strategy in Quebec, the
preparation of resulting policies and programs, and
the establishment of funding options for initiatives
under the strategy in question.
Topics: Strategic framework and sustainable
development strategy, vitality and social economy.
Access: By subject.
Format: Paper
Program Record Number: CED PPI 035
Economic Analysis
Description: Subjects related to the economic
situation and trends in Quebec and its regions, key
economic development sectors and the main
challenges the Quebec economy will have to face
in the future.
Topics: Socio-economic profiles of Quebec
communities; report on the Quebec economy;
structural adjustment; cyclical reports, ad hoc
studies (innovation, research and development,
productivity, technological intensity of the regions);
research and development; innovation,
entrepreneurship.
Access: By subject.
Format: Paper
Program Record Number: CED PPI 040
Program Evaluation
Description: Subjects relating to evaluation of the
effectiveness, efficiency and merit of federal
regional development programs administered by
the Agency in Quebec.
Topics: Evaluation report on Canada Economic
Development regional development assistance
programs.
Federal-Provincial Relations
Description: Subjects related to Canada
Economic Development’s relations with provincial
organisms/departments who deal with economic,
regional and SME’s development in a significant
manner.
Topics: Also deals with inter-governmental topics
related to the Quebec government activities and
other provinces or partners who have an impact on
regional development.
Access: By subject.
Format: Paper
Program Record Number: CED PPI 060
Internal Audit and Programs and Procedures
Examination
Description: Subjects related to an independent
examination to get an appreciation of risk
management practices for decision-making, control
and practices of management in relation to the
contribution programs and the business
procedures of Canada Economic Development.
Topics: Internal audit report or examination report
on assistance programs to regional development
and business procedures of Canada Economic
Development.
Access: By subject.
Format: Paper
Program Record Number: CED PPI 065
Communications
Description: Subjects pertaining to major issues
for Canada Economic Development promotional
and advertising plans, promotion and public
relations program records.
Topics: Communications in general; publications;
news clippings; press releases; speeches;
audiovisual material; exhibitions.
Access: By subject.
Format: Paper
Program Record Number: CED COM 005
180
The financial assistance programs listed below are
old programs that are not active. The records are
still available.
Regional Development Incentives Program (RDIP)
Canada/Quebec Subsidiary Agreement on Tourism
Development
Innovation Assistance Program (IAP)
Assistance Program for Research Establishments
(APRE)
Assistance Program for Disadvantaged Areas
(APDA)
Federal Procurement Assistance Program (FPAP)
Support Program for Regional Development
Activities (SPRDA)
Support Program for Fashion Design (SPFD)
Housing Program for Southwest Montreal (HPSM)
Enterprise Development Program (EDP)
Salmon Economic Development
Regional Development Program for Quebec
(RDPQ)
Industrial Recovery Program for East End
Montreal (IRPEEM)
Industrial Recovery Program for Southwest
Montreal (IRPSM)
Manufacturing Productivity Improvement Program
(MPIP)
Support Program for Technology Development
Assistance Centres (SPTDAC)
Assistance Program for Major regional Facilities
(APMRF)
Assistance Program for Industrial Infrastructure
(APII)
Assistance Program for Tourist Attractions and
Infrastructure (APTAI)
Montreal Development Fund Program (MDFP)
Special Assistance Program for the Development
of the Montreal Region (APDM)
Industrial and Regional Development Program
(IRDP)
Regional Development Incentives Program (RDIP)
Quebec Fishing Community Adjustment Measures
(QFCAM)
Special Fund for the Economic Development
and Adjustment of Quebec fishing
communities (Coastal Quebec) (SFCQ)
Description: This bank contains project
Canada Economic Development for Quebec Regions
applications for funding assistance under the
above mentionned programs. Each file consists of
the applicant’s profile and supporting
documentation; the project’s description, costs,
financing, Financial statements, Business plan, an
analysis of these projects and the Agency’s
recommendation and the contract.
Topics: Records on commercial or non
commercial businesses, non-profit organizations
and other institutions or organizations.
Access: By file number
Format: Paper
Program Record Number: CED OPE 005
Regional Strategic Initiatives Program (RSIP)
Description: This program involves developing
and implementing strategies and action plans
fostering the development of Quebec regions.
Topics: This file contains the applicant’s request.
Each request contains the applicant’s profile and
documentation; the project’s description, costs,
financing an analysis of the projects and the
Agency’s recommendation. The program is aimed
at Commercial and non-commercial businesses,
non-profit organizations, other institutions or
organizations.
Access: Numerical order.
Format: Paper
Program Record Number: CED OPE 010
Economic Recovery Assistance Program
(ERAP) [Not active]
Description: Special Program created after the
1998 ice storm to assist businesses that suffered
damage due to power failure.
Topics: This bank contains the terms and
conditions of the program and the claims
submitted by the businesses. Each claim consist of
the applicant’s profile and supporting
documentation; the project’s costs and analysis;
and Canada Economic Development ‘s
recommendation. The bank also contains
reference and statistical data. Files have been
transferred to the National Archives of Canada in
1999 for their historical value.
Access: By file number.
Format: Paper
Program Record Number: CED OPE 015
Temporary Economic Reconstruction Program
(TERP) [Not active]
Description: Special program created after the
Saguenay flooding in 1996.
Topics: Terms and conditions regulating this
program and requests for compensation for
financial losses. Each file contains the applicant’s
Canada Economic Development for Quebec Regions
profile and supporting documentation; the claims
and Canada Economic Development ‘s
recommendation. The files have been transfered
to the National Archives of Canada in 2001 for
their historical value.
Access: By file number.
Format: Paper
Program Record Number: CED OPE 020
IDEA-SME Program
Description: Program enabling the Agency to
offer SMEs a wide array of resources and services
in the following domains: Innovation - Testing and
experimentation to enhance natural resources Productivity - E-Business - Export market development - Entrepreneurship - Business
climate.
Topics: Terms and conditions regulating this
program and applications for funding. Each file
consist of the applicant’s profile and supporting
documentation; the project’s description, costs,
financing; the analysis and the Agency’s
recommendation. Commercial and non-commercial
businesses, non-profit organizations, businesses in
the manufacturing and processing sectors,
municipalities and other institutions, intermunicipal
boards, regional county municipalities (MRCS),
parapublic institutions and municipal organizations.
Access: By file number.
Format: Paper
Program Record Number: CED OPE 025
Community Futures Program (CFP)
Description: This national program provides
support for communities in all parts of the country
to help them take charge of their own local
economic development.
Topics: This bank contains the contract with the
Community Futures Development Corporations
(CFDC’s), the Community Economic Development
Corporations (CEDC’S) and Business
Development Centres (BDC’s). It also contains the
Annual reports of these organizations.
Access: By alphabetical order.
Format: Paper
Program Record Number: CED OPE 030
Canadian Support Program for the Economy of
Gaspé and the Magdalen Islands (CSPEGMI)
Description: This Program is a special measure
to improve the economic situation in the Gaspé
administrative region. It gives priority to
enhancement of federal infrastructure,
development of medium-sized enterprises, young
people, local empowerment and emerging
initiatives.
181
Topics: This bank contains the terms and
conditions of the Program and the applications
presented. Each file consist of the applicant’s
profile and supporting documentation; the project’s
costs and the analysis.The bank also contains
reference and statistical data.
Access: By numerical order.
Format: Paper
Program Record Number: CED OPE 040
Grant to the Conseil québécois des entreprises
adaptées
Description: This grant was awarded to promote
the integration of disabled persons into the labour
force under Special Projects.
Topics: Non-profit organizations submitting an
application for funding assistance.
Access: By the Fund name.
Format: Paper
Program Record Number: CED OPE 045
Grant to the Montreal Symphony Orchestra
Endowment Fund (MSO)
Description: This grant was awarded under
Special Projects to build the MSO Endowment
Fund and redress its financial situation in the long
term.
Topics: Non profit organization in the cultural
sector. This file consist of the applicant’s profile
and supporting documentation; the project’s
description, costs, financing and analysis; and
Canada Economic Development ‘s
recommandation.
Access: By the Fund name.
Format: Paper
Program Record Number: CED OPE 050
Grant to the Quebec Port Authority
Description: Special Project to promote and
develop marine shipping and the economic
interests of the Quebec City region and Canada.
Topics: This file consist of the financial assistance
request, the applicant’s profile and supporting
documentation; the project’s description, costs,
financing and analysis; and Canada Economic
Development ‘s recommendation and
implementation documentation.
Access: By the name of project.
Format: Paper
Program Record Number: CED OPE 055
Canadian Apparel and Textile Industries
Program (CATIP)
Description: This Program is a new initiative
introduced by the Government of Canada to work
in partnership with the apparel and textile
companies so they can become more innovative
182
and ready to pursue new market opportunities.
Topics: This file consist of the financial assistance
request, the applicant’s profile and supporting
documentation; the project’s description, costs,
financing and analysis; and Canada Economic
Development ‘s recommendation and
implementation documentation.
Access: Name of Project.
Format: Paper
Program Record Number: CED OPE 060
Canadian Textile’s Program (CANtex)
Description: This Program is a new initiative
introduced by the Government of Canada to help
Canadian textile manufacturing firms become more
competitive and ready to take advantage of new
opportunities.
Topics: This file consist of the financial assistance
request, the applicant’s profile and supporting
documentation; the project’s description, costs,
financing and analysis; and Canada Economic
Development ‘s recommendation and
implementation documentation.
Access: By the name of project.
Format: Paper
Program Record Number: CED OPE 065
Softwood Industry and Community Economic
Adjustment Initiative
Description: The Government of Canada
implemented this initiative to bring assistance to
the workers and communities affected by the
softwood crisis.
Topics: This file consist of the financial assistance
request, the applicant’s profile and supporting
documentation the project’s description, costs,
financing and analysis; and Canada Economic
Development ‘s recommendation and
implementation documentation.
Access: By the name of project.
Format: Paper
Program Record Number: CED OPE 070
Standard Program Records
Please see the INTRODUCTION to this publication
for the definition of Standard Program Records
and a description of their contents.
Access to Information and Privacy Requests
Administration
Buildings and Properties
Finance
Furniture and Furnishings
Personnel
Canada Economic Development for Quebec Regions
Particular Personal Information
Banks
Service Procurement Contracts
Description: This file contains information on all
administrative aspects of each contract.
Class of Individuals: Persons hired by service
contract.
Purpose: This bank contains information essential
for contract management.
Consistent Uses: None
Retention and Disposal Standards: The records
are retained for a six-year period and then
destroyed by the National Archives of Canada.
RDA Number: 99/004
Related PR#: CED ADM 001
TBS Registration: 003226
Bank Number: CED PPU 010
Temporary Help Service contracts
Description: This data bank contains information
on the nature of the services provided, period of
contract, amounts spent and the contracts
themselves.
Class of Individuals: Persons hired by the
Canada Economic Development under temporary
service contracts.
Purpose: The information was compiled to keep
accounts, reference data and statistics.
Consistent Uses: None
Retention and Disposal Standards: The records
are retained for a six-year period and then
destroyed by the National Archives of Canada.
RDA Number: 99/004
Related PR#: CED ADM 002
TBS Registration: 003227
Bank Number: CED PPU 015
Standard Personal Information
Banks
Please see the INTRODUCTION to this publication
for the definition of Standard Banks and a
description of their contents.
Access to Information and Privacy Requests
Classes of Personal Information
In the course of Canada Economic Development
programs and activities, personal information,
which is not contained in the specific information
banks described in this entry, may be
accumulated. This information exists in a
fragmented form in Canada Economic
Development files, and is stored in the general
subject files, which are not normally retrieved by
Canada Economic Development for Quebec Regions
the name of the individual or other personal
identifier. This type of information is retrievable
only if specifics are provided concerning the
subject matter, related departmental activity, and
the date on which the information was received by
Canada Economic Development and the name of
the person to whom it was addressed. The
personal information contained in these files is
retained for the same period of time as the related
subject information and disposed of according to
the appropriate records schedules.
Manuals
• Document Classification
183
Three regional development agencies and Industry
Canada are designated as federal managing
partners and are responsible for the development
and management of the centres in their areas.
Canada Business is located at the following
address:
Canada Business
Documentation Centre
380 St. Antoine Street West, Suite 6000
Montreal, Quebec H2Y 3X7
Tel.: (514) 496-4636
Fax: (514) 496-5934
A documentation centre is also located at:
• Personnel Management
Ressources Entreprises
2014 Jean-Talon Street North
Sainte-Foy, Quebec G1N 4N6
• Guide to Program Administration
Tel.: (418) 649-4636
Fax: (418) 682-1144
• Comptrollership
• Access to Information Act and Privacy Act
• National Archives of Canada Act
For more information, please refer to Industry
Canada’s chapter.
• Memorandum to Cabinet
Requests for further information about the Agency
and its various programs and functions may be
directed to:
• Administrative Policy
Abitibi-Témiscamingue
• Corporate Policy on Human Resources
906 5th Avenue
Val-d’Or, Quebec J9P 1B9
• Quality Manual (ISO)
• Approval and signing authority for Human
Resources
• Submission to Treasury Board and Governor in
Council
• Health and Safety
Additional Information
Please see the INTRODUCTION to this publication
for information on access procedures under the
provisions of the Access to Information Act and the
Privacy Act.
The Canada Business Service Centre (CBSC)
Initiative now referred to as Canada Business is a
collaborative arrangement among 43 Government
of Canada departments, provincial, territorial
governements and, in some cases, not-for-profit
organizations, that helps Canadian entrepreneurs
get the correct and region-appropriate information,
advice and support they need to build their
businesses.
Tel.: (819) 825-5260
1-800-567-6451
Fax: (819) 825-3245
Bas-Saint-Laurent
Immeuble Trust Général du Canada
2 Saint-Germain Street East, Suite 310
Rimouski, Quebec G5L 8T7
Tel.: (418) 722-3282
1-800-463-9073
Fax: (418) 722-3285
Centre-du-Quebec
Place du Centre
150 Marchand Street, Suite 502
Drummondville, Quebec J2C 4N1
Tel.: (819) 478-4664
1-800-567-1418
Fax: (819) 478-4666
184
Canada Economic Development for Quebec Regions
Côte-Nord
Montérégie
701 Laure Boulevard
2nd Floor, Suite 202B
P.O. Box 698
Sept Îles, Quebec G4R 4K9
Complexe Saint-Charles
1111 Saint-Charles Street West, Suite 411
Longueuil, Quebec J4K 5G4
Tel.: (418) 968-3426
1-800-463-1707
Fax: (418) 968-0806
Tel.: (450) 928-4088
1-800-284-0335
Fax: (450) 928-4097
Nord-du-Quebec
Estrie
Place Andrew Paton
65 Belvédère Street North, Suite 240
Sherbrooke, Quebec J1H 4A7
Tour de la Bourse
800 Victoria Square, Suite 3800
P.O. Box 247
Montreal, Quebec H4Z 1E8
Tel.: (819) 564-5904
1-800-567-6084
Fax: (819) 564-5912
Tel.: (514) 496-7609
1-800-561-0633
Fax: (514) 283-3637
Gaspésie–Îles-de-la-Madeleine
Infrastructure Branch
Place Jacques-Cartier
167 de la Reine Street, 2nd Floor
Gaspé, Quebec G4X 2W6
505 de Maisonneuve Blvd. West, Suite 255
Montreal, Quebec H3A 3C2
Tel.: (418) 368-5870
1-866-368-0044
Fax: (418) 368-6256
Île-de-Montréal
3340 l’Assomption Blvd.
Montreal, Quebec H1N 3S4
Tel.: (514) 283-2500
Fax: (514) 496-8310
Tel.: (514) 496-8648
Fax: (514) 283-8080
Outaouais
259 Saint-Joseph Boulevard, Suite 202
Gatineau, Quebec J8Y 6T1
Tel.: (819) 994-7442
1-800-561-4353
Fax: (819) 994-7846
Quebec–Chaudière–Appalaches
Laval–Laurentides–Lanaudière
Tour Triomphe II
2540 Daniel-Johnson Blvd., Suite 204
Laval, Quebec H7T 2S3
Tel.: (450) 973-6844
1-800-430-6844
Fax: (450) 973-6851
Édifice John-Munn
Dalhousie Street, 2nd Floor
Quebec, Quebec G1K 4C1
Tel.: (418) 648-4826
1-800-463-5204
Fax: (418) 648-7291
Saguenay–Lac Saint-Jean
Mauricie
Immeuble Bourg du Fleuve
25 des Forges Street, Suite 413
Trois-Rivières, Quebec G9A 2G4
Tel.: (819) 371-5182
1-800-567-8637
Fax: (819) 371-5186
170 Saint-Joseph Street South, Suite 203
Alma, Quebec G8B 3E8
Tel.: (418) 668-3084
1-800-463-9808
Fax: (418) 668-7584
Canada Economic Development for Quebec Regions
Head Office
Tour de la Bourse
800 Victoria Square, Suite 3800
P.O. Box 247
Montreal, Quebec H4Z 1E8
Tel.: (514) 283-6412
Fax: (514) 283-3302
Web Site: [email protected]
Governmental Affairs
Place du Portage, Phase II
165 Hôtel-de-Ville-Street
P.O. Box 1110, Station B
Gatineau, Quebec J8X 3X5
Tel.: (819) 997-3474
Fax: (819) 997-3340
Reading Room
Canada Economic Development has designated a
space in the Canada Business premises as a
public reading room under the Access to
Information Act. The address is:
Canada Business
380 St. Antoine Street West, Suite 6000
Montreal, Quebec H2Y 3X7
Tel.: (514) 496-4636
Fax: (514) 496-5934
185
186
Canada Firearms Centre
Canada Firearms Centre
Chapter 13G
General Information
Background
The Canada Firearms Centre is a separate agency
within the Public Safety and Emergency
Preparedness Canada portfolio. The Deputy Head
of the Canada Firearms Centre is the
Commissioner of Firearms, who is appointed
pursuant to section 81.1 of the Firearms Act.
Responsibilities
The Canada Firearms Centre is responsible for
overseeing the implementation of the Firearms Act
and the administration of the Canadian Firearms
Program. The Act and Program aim to reduce the
misuse of firearms through such measures as the
licensing of firearm owners and users, the
registration of firearms, safety-training
requirements, and controls over the import, export,
transportation, storage and display of firearms.
In addition to providing administrative direction and
funding to the Canadian Firearms Program, the
Centre maintains the Canadian Firearms
Information System (CFIS), a fully integrated,
automated information system that provides
administrative and enforcement support to all
partners involved in implementing the Firearms
Program. The Centre also holds the remaining files
contained in the Restricted Weapon Registration
System (RWRS), collected under previous
legislation.
Other responsibilities include, for example,
consultation and research; the development of
policies, legislation and regulations pertaining to
firearms; the development of forms to capture data
required by the Firearms Act and its supporting
regulations; the development and management of
safety-education materials; the negotiation of
agreements with the participating provinces, other
federal departments and other countries.
The Centre maintains a Web site at www.cfccafc.gc.ca, as well as an enquiries line that
operates toll free throughout Canada and the U.S.
[telephone: 1-800-731-4000].
Legislation
• Firearms Act S.C. (1995), c. 39
• An Act to amend the Criminal Code (firearms)
and the Firearms Act S.C. (2003) c. 8
Organization
The Commissioner of Firearms, who is appointed
pursuant to section 81.1 of the Firearms Act, is
responsible for the overall administration of the
Firearms Program. The Commissioner of Firearms
reports to the Minister of Public Safety and
Emergency Preparedness Canada. The authority
to carry out the requirements of the Firearms Act
rests with the Registrar of Firearms and with
federally and provincially appointed Chief Firearms
Officers and customs officers.
Information Holdings
Program Records
Access to Information and Privacy
Description: Contains records relating to the
administration of the access to information and
privacy legislation, information collection and
public opinion research, information management
practices and inventories of information holdings.
Topics: Procedures; reports; studies; audits; legal
advice; surveys; personal information banks;
disclosures to investigative bodies; consultations;
requests; complaints and correspondence.
Program Record Number: CFC 405
Technology Management
Description: Contains records pertaining to
technological requirements and solutions for the
effective operation of the Canadian Firearms
Program.
Topics: Number of service providers; commercial
publicity and estimates; recommendations to
senior management; Local Area Network (LAN)
administration and support.
Program Record Number: CFC 500
Parliamentary Affairs
Description: Contains records pertaining to
Parliamentary proceedings involving the Firearms
Act and the Canadian Firearms Program.
Topics: Correspondence between the
Canada Firearms Centre
Commissioner and Ministers; briefing book on Bill
C-15, (An Act to amend the Criminal Code and
Other Acts), briefing binders for the Minister;
manual for the implementation of the Firearms Act
and the Firearms Control Program; drafts of
legislative and regulatory amendments; circulation
of various opinions; various agendas for
parliamentary activities; questions raised during
Question Period; motions; memos.
Program Record Number: CFC 941
Legislative Training
Description: Contains records pertaining to the
development, production and delivery of training
materials for police, judges, prosecutors and
justices of the peace.
Topics: Correspondence; consultations; focus
group sessions; samples of manuals, handbooks
and videos; offences and penalties; distribution
lists.
Program Record Number: CFC 332253
Communications
Description: Contains records pertaining to
communications activities to inform Canadians and
visitors to Canada about the Firearms Act and the
Canadian Firearms Program.
Topics: Communication strategies; surveys;
opinion polls; exhibit and trade show activities;
Web-site development; speeches; presentations;
correspondence with the public; call-centre
activities; video cassette inventory list.
Program Record Number: CFC 600
Advertising Campaigns
Description: Contains information on radio,
television and print advertising campaigns to
promote awareness of, and compliance with,
requirements under the Firearms Act.
Topics: Copies of print, television and radio
advertisements; contracts for the design,
production and placement of advertisements;
records of advertisement placement and dates.
Program Record Number: CFC 610
Canadian Firearms Information System (CFIS)
Description: Contains records pertaining to the
development and operation of the fully integrated,
automated, system used to provide administrative
and enforcement support for the Firearms Act and
firearm-related offences in the Criminal Code.
CFIS was previously known as the Canadian
Firearms Registration System (CFRS), records of
which are also contained herein.
Topics: Licensing of firearms owners/users,
registration of all firearms, and the issuance of
authorizations Related restricted and prohibited
187
firearms; surrender & disposal of firearms, The
Canadian Firearm Registry On-line (CFRO) is a
subset of the information on CFIS, and is linked to
the Canadian Police Information Centre (CPIC)
Program Record Number: CFC 505
Restricted Weapons Registration System
(RWRS)
Description: Automated information system that
provided administrative and enforcement support
to partners.
Note: As of December 1998 no new registration
records have been entered in this system. The
RWRS was replaced by Canadian Firearms
Information System (CFIS).
Topics: applications to register restricted weapons
(firearms), registration certificates, and weapons
that are recorded to police agencies, government
departments, museums, firearm businesses and
others, inter provincial permits to carry, transport or
convey restricted weapons as required.
Program Record Number: CFC 100-14
Chief Operating Officer
Description: Contains records pertaining to the
operation of the Canadian Firearms Program and
the involvement of program partners.
Topics: Correspondence and presentations,
dealing with software products, licensing issues,
etc.
Program Record Number: CFC 332215
Facilities Management
Description: Contains records pertaining to
accommodations, furnishings, contracts, parking
facilities, etc.
Topics: Contracts and leases; policies and
procedures pertaining to ID cards and building
passes; equipment inventory; process equipment
write-offs; transfers of assets; draft asset policy;
manager’s desk book; hospitality; meeting
planning,
Program Record Number: CFC 105
Operational – General
Description: Contains records pertaining to
operational activities of the Canada Firearms
Centre and partners.
Topics: Licensing of businesses and individuals;
authorizations to transport or carry restricted or
prohibited firearms; approvals of shooting clubs
and ranges; firearm registration; transfers; exhibits;
safe storage and display of firearms; gun shows;
importing and exporting of firearms.
Program Record Number: CFC 170
Safety Training
Description: Contains records pertaining to the
188
development and maintenance of courseware for
the Canadian Firearms Safety Course and the
Canadian Restricted Firearms Safety Course, and
activities to familiarize Chief Firearms Officers with
course contents.
Topics: Includes course manuals; audio-visual
aids; posters; written and practical tests; instructor
guides; recommendations; presentations to Chief
Firearms Officers; strategic plans; contracts.
Program Record Number: CFC 332226
Publications
Description: Contains fact sheets, pamphlets,
bulletins, posters, and other materials produced by
the Canada Firearms Centre to provide information
on the Firearms Act and supporting regulations.
Topics: Licensing; registration; safety training;
adaptations for Aboriginal peoples; importing
firearms; firearm transfers; different classes of
firearms; inherited firearms; safe storage, display
and transportation; requirements for visitors to
Canada; special bulletins for key groups such as
police, public agencies, businesses, outfitters,
carriers, shooting clubs and ranges.
Program Record Number: CFC 642
Project Control and Management
Description: Contains records pertaining to the
implementation of the Firearms Act and the
Canadian Firearms Program.
Topics: Project management framework; cost
control and reporting framework; risk management;
long-term strategic planning; training; organization;
readiness status report of the Canadian Firearms
Information System; alternative service delivery
(ASD) implementation; management milestones;
implementation calendar; briefings (managers and
partners); records of decision; deliverables;
schedule of planned activities and events; status
reports etc.
Program Record Number: CFC 180-295
Firearms Act and Regulations
Description: Contains records pertaining to the
development and tabling of Bill C-68, supporting
regulations, and subsequent amendments.
Topics: Drafts; changes; correspondence;
discussion paper; manual for the implementation
of the Act and the Firearms Program; various
opinions; documents supporting the introduction
and implementation of the Act; etc.
Program Record Number: CFC 115
Ministerial Correspondence
Description: Contains records of Ministerial
correspondence to and from the public.
Topics: Replies to questions and opinions
Canada Firearms Centre
submitted by Canadians on a wide variety of
issues Related firearm controls.
Program Record Number: CFC 410-7
Circulars, Directives and Orders
Description: Contains records pertaining to
departmental administrative and operating orders.
Topics: circular letters; directives; regulations; and
orders in council.
Program Record Number: CFC 115
Acquisition Cards
Description: Contains policies and procedures on
acquisition cards (credit cards) and obligations of
the cardholder.
Topics: Treasure Board policies; CAFC acquisition
card procedures; insertion of procedures in various
handbooks and user guides.
Program Record Number: CFC 100-25
International Affairs
Description: Contains records of the Canada
Firearms Centre’s involvement in international
firearm issues and agreements.
Topics: Correspondence; enquiries; project
planning for international resolution; negotiations
and agreements Related a bilateral convention;
official visits; international and United Nations
workshops; proposal for a departmental support
staff assignment centre (DSSAC).
Program Record Number: CFC 103
Canadian Firearms Registry (CFR) Transition
Description: Contains records pertaining to the
transfer of the Canadian Firearms Registry from
the RCMP to the Canadian Firearms Centre.
Topics: personnel, equipment and budget
arrangements.
Program Record Number: CFC 100-29.
Coding
Description: Contains lists and charts to identify
the responsibility centres:
Topics: Assets, budget allocations and
expenditures.
Program Record Number: CFC 100-30
Briefing Notes and Talking Points
Description: Contains records pertaining to
questions in the House of Commons about specific
issues and events.
Topics: Background information; speeches;
suggested replies; etc.
Program Record Number: CFC 110
Committees, Conferences, and Meetings
Description: Contains records of conferences and
meetings involving various committees within the
Canada Firearms Centre.
Canada Firearms Centre
Topics: Agendas; notices; minutes of meetings;
proceedings; status reports; presentations etc.
Program Record Number: CFC 130
Partnerships
Description: Contains records pertaining to
partnerships established with other federal and
provincial departments and agencies
Topics: Justice Canada; Solicitor General
Canada; Canada Customs and Revenue Agency,
Health Canada, the Royal Canadian Mounted
Police, the Canadian Association of Chiefs of
Police, various advisory committees, enforcement
agencies, National Crime Prevention Centre.
Program Record Number: CFC 135
Plans and Programs
Description: Contains records of the Department
of Justice’s preliminary assessment of the firearm
situation in Canada and the advisability of
proceeding with new legislation as well as
information contained in the Canadian Firearms
Information System (CFIS).
Topics: Agendas; notices; minutes of meetings;
proceedings; status reports; presentations;
information requests made under the Access to
Information and Privacy (ATIP) Acts relating to
firearms licencing and registration, while the centre
was part of Justice Canada.
Program Record Number: CFC 140
Reports and Statistics
Description: Contains various reports and
statistics pertaining to the Canadian Firearms
Program.
Topics: Annual Report; monthly reports from the
Central Processing Site on applications received,
processed and rejected; polls; surveys; status
reports; reports from partner organizations;
Canadian and international firearms research and
statistics; firearm crime; weekly reports to the
Minister, etc.
Program Record Number: CFC 180
Correspondence Management
Description: This series of files is dedicated for
the “How To” information from various directives in
the federal government (Privy Council, Treasury
Board, Public Service Commission, Library and
Archives Canada, etc.).
Topics: Correspondence procedures, quality and
production control, use of form and guide letters,
signing authorities, channels of communication,
subject files for drafting replies for Ministers /
Cabinet (Federal and Provincial) and senior
officials on questions relating to the mandate of
CAFC. This grouping also includes information on
189
the CCM Mercury tracking system.
Program Record Number: CFC 410
Forms Management
Description: Contains records pertaining to the
various forms required for licence, registration and
authorization applications verification, client
information changes and privilege documents.
Topics: Analysis of form requirements; form
design; physical characteristics of forms; control
measures; review; authorization; identification of
forms.
Program Record Number: CFC 420
Finance
Description: Contains records pertaining to
administration (accounting) processing activities
and higher-level management activities.
Topics: Budgeting; financial planning;
performance measurement, control and reporting;
analysis and planning; classification of accounts;
budgetary control; development of financial
information systems and controls accounting and
control of expenditures and revenues accounting
for assets and liabilities, accounting for special
funds and accounts, revolving funds and Treasury
Board submission request for adjustment and
additional resources and documents Related
contracts and requisitioning, procuring, issuing,
maintenance and supplies.
Program Record Number: CFC 250
Firearms Interest Police (FIP)
Description: This series regroups a variety of
information from police forces that are of interest in
the Firearms Act.
Topics: Operating manuals; Firearms Act
information line call back requests.
Program Record Number: CFC 332258
Pre 1995 Firearms Controls
Description: All files relating to the firearms
controls in place previous to 1995.
Topics: the licensing of firearm owners / users,
registration of all firearms, and the issuance of
permits Related restricted and prohibited firearms.
Program Record Number: CFC 115
Policy and Accountability
Description: The Canada Firearms Centre was
established in April 2003. The CAFC succeeded
the Canadian Firearms Centre which was part of
the Department of Justice. CAFC continues to
work on the development and implementation of
the legislative and regulatory framework for the
Canadian Firearms Program.
Topics: The Canada Firearms Centre has
undertaken the implementation phase of the
190
Canadian Firearms Information System, and the
development and distribution of information
products for the general public and specific
audiences (e.g. program clients, police officers,
etc.)
Program Record Number: CFC 240
Research
Description: Contains various research
documents issued by the CAFC.
Topics: Correspondence on firearms prohibition
orders; study reports; firearms research annotated
bibliography on selected issues; working
documents; restricting conventional proliferations;
research enquiries; case monitoring exceptions;
case studies; survey on firearms ownership project
control group; domestic violence; control of military
type firearms; firearms issues; firearms offences;
firearms registration; firearms smuggling;
international projects; research materials.
Program Record Number: CFC 332275
Agreements and Memoranda
Description: Contains records of Memoranda to
Cabinet; records of other memoranda of the
Canada Firearms Centre concluded with other
departments, governments and stakeholders.
Topics: Supporting documentation and arguments
with recommendation to proceed with the course
of action to provide services; monies for services
rendered; contributions as outlined in the
memoranda.
Program Record Number: CFC 125
Audits and Evaluations
Description: Contains records pertaining to an
examination of the policies and procedures of the
CAFC in relation to the Canadian Firearms
Information System (CFIS) and the Policy and
Programs Directorate.
Topics: Various evaluations of the process of the
activities; audits and evaluations conducted by the
internal audit group of DOJ; audits by the Auditor
General of Canada and external firms.
Program Record Number: CFC 181
Mail Room Services
Description: The group provides mail pick-up and
delivery services within the organization and
messenger service through service providers.
Topics: mailing lists, activities log, service delivery
models, manuals etc.
Program Record Number: CFC 440
Information Management
Aboriginal Issues – Consultations
Description: Contains records of consultations
Canada Firearms Centre
with Aboriginal communities pertaining to the
Firearms Act.
Topics: Hunting and sustenance; Aboriginal
justice; relations between Aboriginal people and
their province of residence; national aboriginal
organizations; members of parliament; regulations.
Program Record Number: CFC 146
Aboriginal Issues – General
Description: Contains information on treaty rights
and other issues that may affect the application of
certain Firearms Act provisions in some Aboriginal
communities.
Topics: Research and surveys amongst the
various reserves; correspondence; faxes;
community administration; contracts on
implementation and administration of firearms
legislation in aboriginal files.
Program Record Number: CFC 332204
Education Training
Description: This grouping of files deals with the
training of Chief Firearms Officers in regard to
course content.
Topics: audio visual aids, presentations,
orientations, strategic plans and training sessions.
Program Record Number: CFC 332225
Records Management
Description: Canada firearms Centre information
retrieval service with manual and electronic aids.
Topics: subject file classification system;
referencing and classifying material, received
correspondence reports and other instruments and
central records.
Program Record Number: CFC 450
Security
Description: Contains records pertaining to
business processes and activities Related security.
Topics: personnel security and clearances;
physical security; threat and risk assessments;
business continuity planning; IT security;
identification of sensitive and classified information
and assets, communications security documents,
administrative investigations and public key
infrastructures (encryption and decryption).
Program Record Number: CFC 200
Smuggling Review
Description: Contains correspondence with other
federal, provincial, international and nongovernment departments and organizations to
determine smuggling activities in various
jurisdictions and to examine solutions.
Topics: National firearms enforcement support;
assistance to the Canada Firearms Centre; Core
Group on the Illegal Movement of Firearms; crime
Canada Firearms Centre
gun data bank; various enforcement agencies;
international core groups; Canada Post; research
surveys; reports and statistics.
Program Record Number: CFC 332295
Standard Program Records
Please see the INTRODUCTION to this publication
for the definition of Standard Program Records
and a description of their contents.
Adminstration and Management Services
Automated Document, Records and Information
Management Systems
Business Continuity Plans (BCP)
Employment and Staffing
Information Technology Services
Hospitality
Human Resources
Occupational Health, Safety and Welfare
Official Languages
Personnel
Physical Security
Relocation
Salaries and Wages
Staffing
Staff Relations
Training and Development
Travel
Vehicles
Particular Personal Information
Banks
Canadian Firearms Program
Description: Personal information in this bank is
collected under the statutory authority of the
Firearms Act and related Regulations and is used
by federal and provincial officials in the
administration of this legislation.
The bank describes applications for the licensing
of individuals, firearms businesses, carriers,
museums; applications for public agency
identification numbers; applications for the
registration of firearms; and applications and
results of safety training courses taken by
individuals. Most of the personal information in the
bank is contained in the application forms for the
Possession Only Licence, Possession and
Acquisition Licence, Minors’ Licence, firearms
191
business licence, and the application to register
firearms.
In addition, this bank describes information about
licences for businesses, individuals and carriers;
registration certificates; firearms that are recorded
to police agencies, government departments, and
others, inter provincial and international carrier
licences, the names of the individuals who are
approved verifiers; and authorizations to import
and export firearms as required under the
Firearms Act. The data bank also describes
documentation on refusals and revocation of
registration certificates, carrier licences and
authorizations to import and export. It also
contains applications from individuals or business’
regarding licences or authorizations that are
refused or revoked by the Chief Firearms Officer
(CFO) and documentation on prohibition orders of
which the CFO is informed under Section 89 of the
Firearms Act. It should be noted that not all import
and export requirements are yet in force.
Personal information from these applications may
include: name, address, telephone number,
firearm(s) owned, as well as an indication (from
boxes checked by the applicant) of the following:
firearms licence refusals, revocations or prohibition
orders, criminal convictions or discharges, emotional
and behavioural problems, incidents involving violent
behaviour, marital status, citizenship, and financial
difficulties. The bank may also describe the name,
address and telephone number of the
spouse/common-law partner, guarantors, references,
and those in a prescribed relationship to a business.
It may describe additional personal information by
way of an indication of a police occurrence report or
a mention that interviews were conducted with
guarantors and spouses and investigative reports
were prepared in the course of issuing a licence or
registration certificate under the Firearms Act. It may
also indicate that medical records were reviewed
upon receipt of written consent of the applicant.
Details of interviews and reports are held by the
provinces/territories. Records are kept on
transactions conducted through the 1-800 Call
Centre and the secure web site. Finally, records are
kept on enquiries to which the Policy,
Communications and Consultation Directorate
responds.
Information described in this bank may be
maintained in hard copy, on microfilm or other
long-term storage medium, and in automated form
in the Canadian Firearms Information System
(CFIS).
192
Class of Individuals: Individuals who have
applied for licences, registrations and other
privileges or authorizations under the firearms
legislation and have been issued them, or had
licences, registration certificates and authorizations
refused or revoked; or have been prohibited from
possessing firearms, ammunition or other
explosive substance.
Purpose: The administration and enforcement of
firearms control legislation and regulations in
Canada and at Canadian borders.
Consistent Uses: Certain information in this bank
may be used by domestic and foreign accredited
law enforcement agencies in the enforcement and
administration of the law and in the detection,
prevention or suppression of crime.
Retention and Disposal Standards: Information
in this bank is retained for a minimum of ten years.
Some information may be retained permanently
pursuant to paragraph 83(1)(a) of the Firearms Act
and subsection 4(2) and Section 6 of the Firearms
Records Regulations. Where the record has been
designated as having archival or historical value,
the record shall be transferred to the control of the
Library and Archives Canada; and where the
record has not been so designated, it shall be
destroyed.
RDA Number: To be determined
Related PR#: CFC 505
TBS Registration: 005478
Bank Number: CFC PPU 100
Restricted Weapon Registration System
(RWRS)
Description: This data bank contains applications
to register restricted and prohibited firearms,
registration certificates, and other firearms that are
recorded to police agencies, government
departments, museums, firearm businesses and
others, inter provincial authorizations to carry or
transport restricted weapons as was required
under former Part III of the Criminal Code of
Canada (prior to 98-12-01). The data bank also
contains documentation or prohibition orders,
refusals and revocation of registration certificates
and inter provincial authorizations to carry. Under
the Firearms Act, the records kept by the
Registrar, while in the Royal Canadian Mounted
Police (RCMP) under former Part III of the
Criminal Code of Canada, were transferred to the
CAFC with the Registrar of Firearms who has the
authority to maintain a registry of every Firearms
Registration Certificate. In addition to the
requirements on the Personal Information Request
Form, individuals must provide their full name,
Canada Firearms Centre
date of birth and address. Information in relation to
registration certificates, refusals or revocations of
registration certificates, and inter provincial
authorizations to carry restricted weapons(s) is
located at the Canada Firearms Centre, Ottawa,
Ontario. Individuals wishing to access only specific
information should identify the material desired, to
expedite the processing of their requests.
Information in this bank may be maintained in hard
copy, on microfilm, and in automated form.
Class of Individuals: Individuals who have
applied to register restricted or prohibited firearms
in Canada and have been issued a registration
certificate; applied to the local registrar (L.R.) of
firearms for an authorization to carry/transport a
restricted/prohibited firearm in Canada; been
refused or have had a permit or certificate revoked
or have been prohibited from processing firearms.
Purpose: The administration and enforcement of
firearms control legislation in Canada.
Consistent Uses: Information in this bank is used
by domestic and foreign accredited law
enforcement of federal, provincial / state and
municipal governments, and Chief Firearms
Officers, in the administration or enforcement of the
law and in the detection, prevention or suppression
of crime in general. This information may be
matched with information from other personal
information banks and / or program records. All
linkages for the purpose of administration or
enforcement of the law and in the detection,
prevention or suppression of crime are in
compliance with the provisions of the Privacy Act.
Retention and Disposal Standards: Certain
information in this bank is retained permanently
pursuant to the Firearms Records Regulations.
Where the record has been designated as having
archival or historical value, the record shall be
having archival or historical value, the record shall
be transferred to the control of Library and
Archives Canada and where the record has not
been so designated, it shall be destroyed.
RDA Number: To be determined
Related PR#: CFC 100-14
TBS Registration: 005477
Bank Number: CFC PPU 101
Information Disclosed Pursuant to Paragraph
8(2)(m) of the Privacy Act
Description: This bank contains copies of
personal information disclosed pursuant to
paragraph 8(2)(m) of the Privacy Act, as well as
internal memoranda and correspondence with the
Privacy Commissioner.
Class of Individuals: Individuals whose personal
Canada Firearms Centre
information have been disclosed because the
public interest in disclosure clearly outweighed any
invasion of privacy that could have resulted from
the disclosure, or because the disclosure clearly
benefited the individual to whom the information
relates.
Purpose: The bank is used to record disclosures
of personal information under paragraph 8(2)(m) of
the Privacy Act and to report on the number of
these requests.
Consistent Uses: Information in this bank is used
by domestic and foreign accredited law
enforcement of federal, provincial / state and
municipal governments, and Chief Provincial
Territorial Firearms Officers, in the administration or
enforcement of the law and in the detection,
prevention or suppression of crime in general. This
information may be matched with information from
other personal information banks and / or program
records. All linkages for the purpose of
administration or enforcement of the law and in the
detection, prevention or suppression of crime are in
compliance with the provisions of the Privacy Act.
Retention and Disposal Standards: The
retention and disposal standards are currently
being developed.
RDA Number: To be determined
Related PR#: CFC 405
TBS Registration: 005476
Bank Number: CFC PPU 200
Information Disclosed to Investigative Bodies
Pursuant to Paragraph 8(2)(e) of the Privacy
Act
Description: This bank contains copies of
requests for disclosure of personal information
submitted under paragraph 8(2)(e) of the Privacy
Act by investigative bodies listed in Schedule II of
the Privacy Regulations. This bank also contains
the replies to such requests and particulars
Related their processing.
Class of Individuals: Individuals about whom
requests for personal information have been
received from federal investigative bodies pursuant
to paragraph 8(2)(e) of the Privacy Act.
Purpose: The bank is used to record disclosures
of personal information to federal law enforcement
bodies under paragraph 8(2)(e) of the Privacy Act
and to report on the number of these requests.
Consistent Uses: Information in this bank is used
by domestic and foreign accredited law
enforcement of federal, provincial / state and
municipal governments, and chief provincial /
territorial firearms officers, in the administration or
enforcement of the law and in the detection,
193
prevention or suppression of crime in general. This
information may be matched with information from
other personal information banks and / or program
records. All linkages for the purpose of
administration or enforcement of the law and in the
detection, prevention or suppression of crime are in
compliance with the provisions of the Privacy Act.
Retention and Disposal Standards: The
retention and disposal standards are currently
being developed.
RDA Number: To be determined
Related PR#: CFC 405
TBS Registration: 005475
Bank Number: CFC PPU 201
Mailing Lists:
Description: This bank describes information
used to maintain mailings lists for the Canada
Firearms Centre. The personal information
collected includes the individual’s name,
organizational title, mailing address, telephone
number and fax, email address, and language
preference.
Class of Individuals: Members of the general
public or individuals representing private sector
companies and non-government organizations that
have provided their contact information to obtain
copies of publications and/or documentation.
Purpose: To create and maintain standardized
mailing lists used for the distribution of
communications material, publications, reports,
and other documentation Related the programs
and activities of the Canada Firearms Centre.
Consistent Uses: Non-personal information may
be used to provide reports on Canada Firearms
Centre communications activities to management.
The information may also be used for research,
planning, audit and evaluation purposes.
Retention and Disposal Standards: The
retention and disposal standards are currently
being developed.
RDA Number: To be determined
Related PR#: CFC 440
TBS Registration: 005936
Bank Number: CFC PPU 006
Inquiries by Firearms Owners, Licence
Applicants and the general public.
Description: This bank describes information
used in the preparation of responses to registration
and licence applicants about the interpretation of a
section, subsection, etc., of the Firearms Act. The
personal information collected includes individual’s
name, mailing address, telephone number, and
possibly firearms registration number and Licence
194
number, if provided in the inquiry.
Class of Individuals: Registration or licence
Applicants and members of the public making
inquiries
Purpose: To manage, in a consistent and timeefficient manner, the receipt of, and responses to,
inquiries received about the interpretation of the
Firearms Act, as well as to conduct a quality
assurance review of correspondence clients. This
information is also used as a research tool for
officers that need to answer/interpret the Act to
ensure that they respond in a consistent manner.
Consistent Uses: This information may be used
for planning, audit and evaluation purposes.
Retention and Disposal Standards: The
retention and disposal standards are currently
being developed.
RDA Number: To be determined
Related PR#: CFC 600
TBS Registration: 005935
Bank Number: CFC PPU 007
Standard Personal Information
Banks
Please see the INTRODUCTION to this publication
for the definition of Standard Banks and a
description of their contents.
Canada Firearms Centre
Additional Information
Please see the INTRODUCTION to this publication
for information on access procedures under the
provisions of the Access to Information Act and
Privacy Act.
To access information under the Privacy Act,
individuals must provide, in addition to the
requirements indicated on the Personal
Information Request Form, their full name and
date of birth. If required, they should also submit
their firearms licence number (or Firearms
Acquisition Certificate number under the previous
legislation), firearms registration certificate number,
or other identifiers sufficient to permit accurate
retrieval of information. To expedite the processing
of their request, individuals wishing to access only
specific information should identify the material
desired. Responsibility for responding to requests
is shared between various jurisdictions.
Additional information about the Canada Firearms
Centre may be obtained from:
Canada Firearms Centre
Communications Division
Ottawa, Ontario K1A 1M6
Tel.: 1-800-731-4000
Access to Information and Privacy Requests
Regional Offices
Automated Document, Records and Information
Management Systems
• Canadian Firearms Manual
In addition to the headquarters and Canadian
Firearms Registry offices, which are located in
Ottawa, Ontario, there are five regional Chief
Firearms Officer (CFO) offices. The Newfoundland
and Labrador CFO office is located in St. John’s,
Newfoundland; the CFO office of British Columbia
and Yukon is located in Surrey, British Columbia;
the CFO of Alberta and Northwest Territories office
is located in Edmonton, Alberta; the CFO for
Saskatchewan office is in Regina, Saskatchewan;
the CFO of Manitoba and Nunavut is located in
Winnipeg, Manitoba. The Central Processing site
offices are located in Miramichi, New Brunswick.
• Firearms Officer Desk Manual
Reading Room
Business Continuity Plans
Electronic Network Monitoring Logs
Executive Correspondence Management Systems
Internal Disclosure of Wrongdoing in the
Workplace
Security Video Surveillance & Temporary Visitor
Manuals
• Business Desk Manual
• Justice of the Peace Desk Manual
• Judges Desk Manual
• Police Officer Field Handbook
• Prosecutors Desk Manual
• Public Agents Field Handbook
• Security Manual
National Capital Region
Public Safety and Emergency Preparedness
Canada
340 Laurier Avenue West
Ottawa, Ontario K1A 0P8
Canada Industrial Relations Board
195
Canada Industrial Relations Board
Chapter 14
General Information
Background
The Canada Industrial Relations Board is an
independent, representational, quasi-judicial
tribunal responsible for the interpretation and
application of the Canada Labour Code, Part I
(Industrial Relations) and certain provisions of Part
II (Occupational Health and Safety).
Part I of the Canada Labour Code had remained
virtually unchanged since 1972. However, with the
coming into force on January 1, 1999 of Bill C-19,
an Act to amend the Canada Labour Code (Part I),
R.S. 1998 C. 26, significant changes were made to
the Code in an effort to modernize it and improve
the collective bargaining process for federally
regulated industries. The Act also replaced the
former Canada Labour Relations Board with the
Canada Industrial Relations Board.
The Board has jurisdiction in regard to some
1,300,000 employees engaged in federal
jurisdiction industries, which include interprovincial
transportation (air, land and water), broadcasting,
banking, longshoring and grain handling, and to
private sector employees in Nunavut, the Yukon,
and the Northwest Territories.
Responsibilities
The Board’s mandate is to contribute to and
promote effective industrial relations in any work,
undertaking or business that falls within the
authority of the Parliament of Canada. It interprets
and applies the Code in a manner that supports
and promotes free collective bargaining and the
constructive settlement of disputes.
In general, Part I of the Canada Labour Code
charges the Board with a two-fold responsibility:
that of granting, modifying and terminating
bargaining rights, and that of resolving, through
mediation or adjudication, complaints of unfair
labour practice concerning violations of the Code
by trade unions or employers.
Under Part II of the Code, the Board must rule on
complaints by employees alleging that they have
been discriminated against or punished for
exercising their rights in relation to safety.
On finding a violation of the Code, the Board is
empowered to order reinstatement and
compensation where appropriate. It is also
empowered, upon application, to order employees
to return to work in cases of illegal work stoppages
and to attempt to resolve or adjudicate, where
necessary, various other types of disputes that
may arise under Part I of the Code.
Legislation
• Canada Labour Code (Parts I and II)
• Canada Industrial Relations Board Regulations,
2001, SOR/2001-520
Organization
The Board is composed of a Chairperson, at least
two full-time Vice-Chairpersons (at present five)
and not more than six full-time Members (three
representing employees and three representing
employers) (at present five full-time and six parttime), all appointed by order-in-council. The
Chairperson and Vice-chairpersons are appointed
for five-year terms; Members are appointed for
three-year terms. This makes up the Adjudicative
Branch of the Board.
The Board is managed by the Executive Director,
who is responsible for regional operations, case
management, information management and
information technology, financial and administrative
services and human resources.
The majority of the Board’s staff, as well as its fulltime Vice-Chairpersons and Members, work out of
the headquarters (National Capital Region) office;
the Board also has five regional offices and a
satellite office, all staffed with labour relations
professionals and case management teams.
Information Holdings
Program Records
Acquisition and Termination of Bargaining
Rights
Description: Case files concerning the acquisition
by trade unions of the right to bargain collectively
on behalf of employees in the federal jurisdiction,
through certification as bargaining agent or by way
196
of successor rights, and the termination of
bargaining rights.
Topics: Application for certification; application for
declaration of single employer; application for
revocation of certification; application for
declaration of successor rights; application for
declaration of sale of business; application for
access to employer’s premises for the purpose of
soliciting union membership.
Access: Files are arranged by case number.
Format: Manual files
Program Record Number: CIR OPS 005
Change of Terms and Conditions of
Employment
Description: Application by employers under
federal jurisdiction for permission to alter the rates
of pay, or any other terms or conditions of
employment, or any rights or privileges of
employees who are the subject of an application
by a trade union to represent the employees in
collective bargaining.
Topics: Applications to change terms and
conditions of employment
Access: Files are arranged by case number.
Format: Manual files
Program Record Number: CIR OPS 035
Collective Bargaining and Collective
Agreements
Description: Applications concerning the
existence of disputed collective agreements or the
identification of parties bound by a collective
agreement; applications concerning the failure of
an employer to comply with obligations under a
collective agreement respecting any proposed
technological change; applications for permission
to give the employer notice to begin collective
bargaining following a notice of technological
change; references from the Minister of Labour
and Housing directing the Board to inquire into
disputes related to the settlement of first collective
agreements, and to impose a first agreement on
the parties if necessary; applications by individuals
who, because of religious beliefs, object to joining
a trade union or to paying regular union dues to a
trade union (the Board may allow an exception for
such individuals, directing the amount normally
paid for regular union dues to a registered charity
chosen by the employee and the union.);
applications by parties to a collective agreement to
serve notice to bargain following the establishment
of a portion of the public service as a Crown
corporation and following certain determinations by
the Board as to whether the agreement will remain
Canada Industrial Relations Board
in force, the expiration date if it does remain in
force, whether the employees concerned constitute
one or more units appropriate for collective
bargaining, and which trade union shall be the
bargaining agent for each unit.
Topics: Determination of the existence of a
collective agreement; revision of terms of collective
agreement; technological change; leave to serve
notice to bargain concerning technological change;
provision of first agreement; religious objections;
portion of the public service established as Crown
corporation.
Access: Files are arranged by case number.
Format: Manual files
Program Record Number: CIR OPS 030
Complaints of Unfair Labour Practice
Description: Complaints by persons or
organizations that an employer, a trade union or a
person has violated or failed to comply with
provisions of the Canada Labour Code, Part I
(Industrial Relations).
Topics: Complaints related to failure to bargain in
good faith, interference with the bargaining rights
of a bargaining agent and changing of conditions
of employment without the consent of the
bargaining agent during the prescribed bargaining
period; complaints alleging offences by employers
such as interference with the formation or
administration of a union or the representation of
employees by a trade union, or discrimination
against employees for union membership, union
activity or the exercise of their rights under the
Code; complaints alleging violations by trade
unions such as trying to force an employer to
bargain collectively in respect of employees for
whom the union is not the bargaining agent,
bargaining with an employer in respect of
employees with the knowledge that another
organization is the actual bargaining agent,
interference in the formation or administration of
an employer’s organization, unauthorized soliciting
of employees during their working hours at their
place of employment, requiring the termination of
an employee for loss of union membership unless
that loss of membership is the result of failure to
pay the required union fees, the application of
membership rules or disciplinary procedures in a
discriminatory manner, and discriminating against
a person in matters related to employment or
union membership because a person has
exercised certain rights or fulfilled specified
obligations under the Code; complaints alleging
failure of a trade union to represent fairly all
employees in the bargaining unit, or failure to
Canada Industrial Relations Board
establish rules for the referral of members to
employment and apply the rules fairly, and alleging
failure of a trade union to provide certified financial
statements of its affairs to the end of its last fiscal
year to any of its members free of charge.
Access: Files are arranged by case number.
Format: Manual files
Program Record Number: CIR OPS 010
Review and Enforcement of Orders
Description: Applications to amend or rescind
previous Board decisions or to reconsider previous
decisions; requests to file Board orders in the
federal court to give them the weight of an Order
of the Court; or applications for the written consent
of the Board to prosecute an offence under the
Canada Labour Code.
Topics: Application for review; filing of Board order
in court; consent to prosecute.
Access: Files are arranged by case number.
Format: Manual files
Program Record Number: CIR OPS 025
Safety of Employees
Description: Complaints by employees alleging
that their employer has imposed a penalty on them
because they refused to work in accordance with
their rights under Part II of the Canada Labour
Code (Refusal to Work because of a Dangerous
Situation).
Topics: Complaint alleging an employer has taken
action against an employee for having exercised
its rights under Part II of the Canada Labour Code.
Access: Files are arranged by case number.
Format: Manual files
Program Record Number: CIR OPS 020
Unlawful Work Stoppage
Description: Applications by an employer (in the
case of a strike) or by a trade union (in the case of
a lockout) for a declaration that the work stoppage
is unlawful.
Topics: Applications concerning unlawful strikes;
applications in cases of unlawful lockout.
Access: Files are arranged by case number.
Format: Manual files
Program Record Number: CIR OPS 015
Standard Program Records
Please see the INTRODUCTION to this publication
for the definition of Standard Program Records
and a description of their contents.
Access to Information and Privacy Requests
Accounts and Accounting
Acts and Legislation
197
Administration
Administration and Management Services
Audits
Automated Document, Records, Information
Management Systems
Budgets
Buildings
Classification of Positions
Employment and Staffing
Equipment and Supplies
Finance
Furniture and Furnishings
Hospitality
Human Resources
Office Appliances
Official Languages
Pensions and Insurance
Personnel
Procurement
Relocation
Salaries and Wages
Staff Relations
Training and Development
Travel
Particular Personal Information
Banks
Religious Objections
Description: This bank contains applications by
individuals who, because of religious beliefs,
object to joining a trade union or to paying regular
union dues to a trade union. The Board may order
that a provision in a collective agreement requiring
membership in a trade union or the payment of
union dues as a condition of employment, not be
applied to such employees.
Class of Individuals: Individuals who work for
companies under federal jurisdiction, as set out in
the Canada Labour Code.
Purpose: Personal information is obtained solely
for the purpose of determining whether an
employee’s objections to membership in a trade
union are based on true religious convictions.
Consistent Uses: Religious objections may
occasionally require a public hearing to determine
complex issues, which could affect the Board’s
198
decision regarding the objections. Such a hearing
may result in the publication of a written judgment
containing the facts surrounding the application
and the Board’s reasons for granting, or rejecting,
the application.
Retention and Disposal Standards: Case files
are kept by the Board for three years and then
destroyed.
RDA Number: 96/025
Related PR#: CIR OPS 030
TBS Registration: 002331
Bank Number: CIR PPU 015
Termination of Bargaining Rights
Description: This bank contains case files
concerning applications for revocation of
certifications, which grant bargaining agents
(unions) the right to represent employees in
collective bargaining with employers in the federal
jurisdiction.
Class of Individuals: Individuals who work for
companies under federal jurisdiction, as set out in
the Canada Labour Code.
Purpose: Personal information is obtained solely
for the purpose of determining whether an
individual is a member of the bargaining unit and
therefore entitled to express support for or against
his or her bargaining agent.
Consistent Uses: Applications for revocation may
occasionally require a public hearing in order to
determine complex issues, which could affect the
Board’s decision and may result in the publication
of a written judgment, which will contain the facts
surrounding the application and the Board’s
reasons for granting or rejecting it.
Retention and Disposal Standards: Case files
are kept by the Board for 27 years, then
transferred to the National Archives of Canada.
Cases withdrawn are destroyed after three years.
RDA Number: 96/025
Related PR#: CIR OPS 005
TBS Registration: 000102
Bank Number: CIR PPU 010
Applications for Employment
Description: This bank maintains an inventory of
applications from individuals requesting
employment with the Department. The files include
completed application forms, letters, and
curriculum vitae of persons seeking employment
with the Department.
Class of Individuals: Individuals seeking
employment with the Department.
Purpose: The bank is used to review applications
of individuals requesting employment with the
Canada Industrial Relations Board
Department when positions become available.
Consistent Uses: The candidate’s skills may be
assessed and if deemed suitable, the candidate
may be invited to serve in a capacity other than
the position or level of initial interest.
Retention and Disposal Standards: Records are
retained for six months and then destroyed.
RDA Number: 98/001
TBS Registration: 004458
Bank Number: CIR PPU 025
Violations of the Canada Labour Code
Description: This bank contains case files concerning
complaints by individuals that a section, or sections,
of the Canada Labour Code, Parts I and II have been
violated by their employer, their union, or another
individual. Files may contain information on
grievances, work records, or letters from unions or
employers containing opinions or comments about
individuals.
Class of Individuals: Individuals who work for
companies under federal jurisdiction, as set out in the
Canada Labour Code.
Purpose: Information about individuals is obtained
solely for the purpose of bringing about a settlement
to the dispute or, failing settlement, for the purpose of
adjudication by the Board on the merits of the
complaint.
Consistent Uses: Information contained in case files,
along with testimony given at public hearings may be
published in written judgments, which set out the
Board’s reasons for rejecting or upholding a
complaint. Personal information is used solely for the
purpose of settling or deciding on the merits of each
case and is published solely for the purpose of
explaining the Board’s reasons for its decision and its
policy in like cases.
Retention and Disposal Standards: Case files are
kept by the Board for three years and then destroyed.
RDA Number: 96/025
Related PR#: CIR OPS 010
TBS Registration: 000101
Bank Number: CIR PPU 005
Standard Personal Information
Banks
Please see the INTRODUCTION to this publication
for the definition of Standard Banks and a
description of their contents.
Access to Information and Privacy Requests
Automated Document, Records, Information
Management Systems
Hospitality
Canada Industrial Relations Board
Relocation
199
Classes of Personal Information
National Capital Region
C.D. Howe Building
240 Sparks Street, 4th Floor West
Ottawa, Ontario K1A 0X8
Other Personal Information Banks
Tel.: (613) 947-5369
Fax: (613) 941-4461
Travel
Other case files and subject files held by
operational services may contain personal
information such as names of individuals,
addresses, position titles, job descriptions,
salaries, and membership in a trade union. The
information is not retrievable by personal identifiers
and is collected solely for the purpose of
administering the Canada Labour Code. All files
are organized by file number and are maintained
by operational services at headquarters in Ottawa.
Regional offices retain duplicate files for the
purposes of investigation until the settlement of a
case. Some personal information such as job
descriptions and salaries may be published in
written judgments where it is pertinent to the
background of a case in which the Board decides
its decision requires formal elaboration. Such
information is usually the result of testimony given
at public hearings.
Additional Information
Please see the INTRODUCTION to this publication
for information on access procedures under the
provisions of the Access to Information Act and the
Privacy Act.
Requests for further information about the Board
and its various programs and functions may be
directed to:
Headquarters
C.D. Howe Building
240 Sparks Street, 4th Floor West
Ottawa, Ontario K1A 0X8
Tel.: 1-800-575-9696
TTY: 1-800-855-0511
Fax: (613) 947-5407
E-mail: [email protected]
Web Site:
Atlantic Region
Queen Square
45 Alderney Drive, Suite 600
Dartmouth, Nova Scotia B2Y 2N6
Tel.: (902) 426-7069
Fax: (902) 426-7397
Quebec Region
Place de la Cathédrale
600 de Maisonneuve Blvd. West, Suite 700
Montreal, Quebec H3A 3J2
Tel.: (514) 283-9208
Fax: (514) 283-3590
Ontario Region
1 Front Street West, Suite 5300
5th Floor East
Toronto, Ontario M5J 2X7
Tel.: (416) 973-0920
Fax: (416) 973-6543
Western Region
757 West Hastings Street, Suite 410
Vancouver, British Columbia V6C 1A1
Tel.: (604) 666-6002
Fax: (604) 666-6071
Western Satellite Office
400 St.Mary Avenue, Suite 304
Winnipeg, Manitoba R3C 4K5
Tel.: (204) 983-6367
Fax: (204) 983-3170
200
Canada Lands Company Limited
Canada Lands Company Limited
Chapter 15
General Information
Background
Canada Lands Company Limited (“CLCL”) reports
to the Parliament of Canada through the
appropriate Minister and is a commerciallyoriented agent Crown corporation. It was
established in 1956 and reactivated in 1995.
CLCL is subject to the Access to Information and
Privacy Acts, whereas its wholly-owned
subsidiaries are subject to the Personal Information
Protection and Electronics Documents Act.
Responsibilities
The Company optimizes the financial and
community value of strategic surplus properties no
longer required for program purposes by the
Government of Canada. It accomplishes this
through its non-agent subsidiary, Canada Lands
Company CLC Limited (“CLC”) by purchasing
strategic surplus properties at fair market value,
then improving, managing or selling them in order
to produce the optimal benefits for both local
communities and the Company’s shareholder, the
Government of Canada.
CLCL is a Canada Business Corporations Act
corporation and is listed in Schedule III, Part 1 of
the Financial Administration Act. It is the parent
company of three wholly owned subsidiaries:
Canada Lands Company CLC Limited - a nonagent Crown corporation, which carries out the
core real estate business, active in 22
municipalities across Canada;
Parc Downsview Park Inc., now an agent Crown
corporation, - which was incorporated in 1998 to
manage and develop the former Canadian Forces
Base (CFB) Toronto lands as Downsview Park,
and which reports to Parliament as a deemed
parent Crown corporation; and
Old Port of Montréal Corporation Inc., an agent
Crown corporation - which is responsible for
redeveloping and managing the Old Port of
Montréal and which also reports to Parliament as a
deemed parent Crown corporation.
Vision Statement: Partners in revitalizing
communities
Organization
President and Chief Executive Officer
The President and Chief Executive Officer of
CLCL, who is the Head of the Institution for the
purposes of the Access to Information Act and the
Privacy Act, exercises all the powers and
responsibilities pertaining to this function under the
Act in question.
Other Officers of CLCL
Vice President Finance, and Chief Financial Officer
Vice President Public & Government Affairs
Corporate Secretary
Vice President Administration
CLCL has no employees. Its President & CEO is a
Governor-in-Council appointee.
All employees are employed by CLC, a whollyowned subsidiary of CLCL.
Information Holdings
Program Records
CLCL does not administer a program, but operates
under a mandate set down by the Federal
Government. Records related to this would be:
Communications
Description: Information relating to media
relations, press releases, advertising, promotional
events and community relations.
Topics: videos, CDs, annual reports, special
events, promotional events, press releases
Access: subject, alphabetic
Format: paper, electronic
Program Record Number: CLN COM 005
Legal and Corporate Secretary
Description: Information relating to agreements
and contracts, acts and regulations, corporate bylaws, cases and opinions, litigation and research.
Includes Board of Directors and Committee
minutes, and Orders in Council appointing Board
members.
Topics: leases, licences, minutes, OIC, policies,
meetings, legal
Canada Lands Company Limited
Access: subject, alphabetic
Format: paper, electronic
Program Record Number: CLN LCS 010
Standard Program Records
Please see the INTRODUCTION to this publication
for the definition of Standard Program Records
and a description of their contents.
Access to Information and Privacy Requests
Administration
Audits
Standard Personal Information
Banks
Please see the INTRODUCTION to this publication
for the definition of Standard Banks and a
description of their contents.
Access to Information and Privacy Requests
Additional Information
Please see the INTRODUCTION to this publication
for information on access procedures under the
provisions of the Access to Information Act and the
Privacy Act.
For further information about the functions and
activities of the CLCL, please contact:
Access to Information Co-ordinator and
Corporate Secretary
200 King Street West, Suite 1500
Toronto, Ontario M5H 3T4
Tel.: (416) 952-6100
Fax: (416) 952-6200
Website: www.clcl.ca
Reading Room
200 King Street West, Suite 1500
Toronto, Ontario
201
202
Canada Mortgage and Housing Corporation
Canada Mortgage and Housing Corporation
Chapter 16
The annual update for this institution was not
received for inclusion in the 2005-2006 version
of this Info Source publication. The following is
from the 2004-2005 version of Info Source.
General Information
Background
Canada Mortgage and Housing Corporation
(CMHC) was incorporated as a Crown corporation
in January, 1946, by an Act of Parliament. CMHC
has authority to act for the Government of Canada
in all matters prescribed under the Housing Acts,
principally the National Housing Act (NHA). CMHC
reports to Parliament through a designated
Minister. Its affairs are managed by a Board of
Directors consisting of the Chairman of the Board,
the President and eight other members, all
appointed by the Governor-in-Council.
Responsibilities
CMHC is a Crown corporation of the Government
of Canada. Under the authority of the National
Housing Act (NHA) and the Canada Mortgage and
Housing Corporation Act, CMHC’s mission is to
promote housing quality, affordability and choice
for Canadians through four business pillars:
Housing finance, Research and Information
Transfer, Assisted Housing and International
Activities. CMHC’s mandate provides the basis for
four corporate objectives that focus and guide all
of CMHC’s activities. CMHC’s four corporate
objectives are: A. Improve Housing Choice and
Affordability for Canadians; B. Improve Housing
and Living Conditions for Canadians; C. Support
Market Competitiveness, Job-Creation, and
Housing Sector Well-Being; and D. Be a
Progressive and Responsive Organization.
Legislation
• Canada Mortgage and Housing Corporation Act
• Financial Administration Act
• National Housing Act
Organization
Assisted Housing Sector
Programs and activities managed from the sector
include: the Residential Rehabilitation Assistance
Programs, the Emergency Repair Program,
Housing Adaptations for Seniors Independence,
the Shelter Enhancement Program, F/P/T
Agreements, Aboriginal Housing, Loans
Administration and Direct Lending, Social Housing
Programs, Housing Internship Initiative for First
Nations and Inuit Youth and the Canadian Centre
for Public-Private Partnerships in Housing.
Audit and Evaluation Services
Performs operational, financial and special audits
of functions, programs, systems and
Federal/Provincial/Territorial Agreements.
Periodically evaluates the continued relevance,
success and cost-effectiveness of NHA programs
and on that basis, the President, with the Board of
Directors, recommends to the Minister or Cabinet
the reconfirmation, improvement and
discontinuance of NHA programs.
CMHC International
CMHC International is responsible for CMHC’s
involvement in foreign activities related to housing,
on behalf of the Government of Canada. Its
primary mandate consists of assisting Canadian
housing manufacturers and suppliers in developing
business opportunities in selected foreign markets,
such as the U.S., Japan, UK, Chile and China.
CMHC International also works on a contractual
basis with international organizations and countries
in transition to assess and improve their housing
environment. Certain projects involve short-term or
longer-term technical assistance based on the
level of expertise required.
Corporate Services
This sector consists of the Information Technology,
Marketing, Legal and Administrative Divisions, and
the Web Development Group. It is responsible for
the business systems required to support many of
the operations needs of the Corporation, as well
as Corporate brand development and business
line marketing, the provision of legal services, the
overall architecture and design of the Corporate
Canada Mortgage and Housing Corporation
web site, and a full range of administrative
services (including procurement, document
production and records-keeping, translation,
security and facilities management). The sector
also manages services for external clients
including order fulfilment, the CMHC call centre
and the Canadian Housing Information Centre.
Finance
This sector is responsible for the overall financial
management of CMHC. This includes overseeing
and coordinating the various budgeting processes
at CMHC including the Operating Budget, Capital
Budgets and Annual Reference Level Update
(ARLU) for CMHC’s appropriation dependent
activities. Finance Sector is also responsible for
the processing of CMHC’s financial transactions
and the internal controls related to that activity. As
well, the sector is responsible for the preparation
of CMHC’s financial statements and all related
systems required to support the financial activities
of the Corporation.
Human Resources
This sector supports CMHC managers and
employees in all aspects of human resources
management, including operational and
administrative assistance as well as strategy and
policy development. It comprises the following
groups: Client Service Strategy and Delivery, HR
Planning, Policy and Organizational Development,
Total Compensation, and Employee Relations.
Insurance and Securitization
This sector consists of Product and Technology
Development Division; Insurance Risk and
Actuarial Analysis Division; Insurance Servicing
Division; Underwriting Division; Securitization
Operations; Securitization, Product and Policy
Development Division; and, Business
Development Division. This sector is responsible
for developing, promoting, maintaining and
supporting policies, products and services in the
area of mortgage insurance and mortgage
securitization.
Policy and Planning Sector
This sector is comprised of the Policy and
Research Division, the Market Analysis Centre, the
Strategic Planning Division and the Canadian
Housing Observatory Secretariat. The sector is
responsible for strategic and corporate planning,
performance measurement and reporting,
government liaison and policy development, and
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the conduct and administration of housing
research, including the analysis of housing
markets and the transfer of the resulting
information to consumers, industry, governments
and others. The sector also promotes internal
communications about corporate performance and
fosters the assessment, development and
implementation of innovative ideas.
Risk Management and Communications
Sector
This sector consists of Risk Management,
Corporate Relations and Communications, the
Enterprise Risk Management Office and the
Pension Fund. It is responsible for enterprise-wide
risk management. The sector develops and
implements national communications strategies
and is responsible for liaison activities between the
Corporation and the Minister’s Office. The sector is
also responsible for corporate financial risk
management policy and for monitoring and
reporting CMHC’s financial risk exposures and
performance.
Treasury
Treasury is responsible for CMHC’s capital market
borrowings as well as the investment activities of
the mortgage loan insurance fund and the
mortgage-backed securities guarantee fund.
Treasury also acts in the issuer role, by
agreement, on behalf of the Canada Housing Trust
(CHT).
Information Holdings
Program Records
Access to Information and Privacy
Description: Records relating to the
administration of the access to information and
privacy legislation.
Topics: Policy; pocedures; legal advice; training;
personal information banks and classes;
disclosures to investigative bodies; InfoSource;
delegation of authority; consultations; requests;
complaints and correspondence.
Access: information is filed by subject. Individual
requests are filed by name and sequential number
by fiscal year.
Format: Paper files
Program Record Number: CMHC CSS 035
Appraisals
Description: Correspondence and information on
204
appraisal support services for CMHC program
operations.
Topics: Monitoring and evaluation of projects,
maximum unit prices, land values and land
services costs, monitoring basic rates; mobile
homes; rehabilitation procedures and costs.
Access: Files arranged by project.
Format: Paper case files.
Program Record Number: CMH IAA 175
Auditing Services
Description: Information on the Annual Statutory
Audit contracted to the External Auditors.
Information on the Special Examination carried
out by the External Auditors at a frequency not
greater than every five years. Information relating
to internal audits conducted on corporate
operations and joint federal/provincial audit
conducted on shared federal/provincial programs.
Topics: External Audits; Special Examination
Reports; and Internal Audits.
Access: Files are arranged by subject area.
Format: Paper case files.
Program Record Number: CMH OAD 352
Board of Directors
Description: Information on the Board of Directors
who is responsible for managing the affairs of the
Corporation and the conduct of its business.
Topics: The Board sets the strategic direction of
CMHC, ensures the integrity of corporate policies
and business processes, and identifies and
manages the main corporate risks.
Access: Individual files.
Format: Paper files.
Program Record Number: CMH CSS 020
Canada Home Renovation Plan (CHRP)
(Program terminated)
Description: Information on the administration and
monitoring of the Canada Home Renovation Plan.
Topics: Regulations; eligible areas, properties,
property standards; financing and security;
CMHC agents; applications and loan process;
program interfaces; inspection requirements.
Access: Individual loan case files. Program was
terminated 12 July 1983.
Format: Computerized database and paper case
files.
Program Record Number: CMH PSO 095
Canadian Centre for Public-Private
Partnerships in Housing (CCPPPH)
Description: Support to non-profit and for-profit
organizations for the development of housing,
with an emphasis on housing that meets the
Partnership Centre’s definition of affordable.
Canada Mortgage and Housing Corporation
Topics: Seed Funding, Capacity Development
Training, Consultation Services, Interest-free
Proposal Development Fund loan, flexible
mortgage loan insurance criteria.
Access: Files arranged by project.
Format: Computerized data base and paper files.
Program Record Number: CMH PSO 70
CMHC Canada Mortgage Bonds Program
Description: Correspondence, documents, and
information on the delivery, administration and
monitoring of the CMB Program.
Topics: Seller and Swap Counterparty approvals;
availment requests, guarantee notices and
authorization agreements to issue Canada
Mortgage Bonds; monthly Swap Counterparty
reports; analytical reports; policies and procedures.
Access: Records maintained by CMB issue and
by Seller and Swap Counterparty.
Format: Computerized database and paper case
files.
Program Record Number: CMH IAA 110
CMHC Inspection Services (Programs
terminated)
Description: CMHC internal inspections and
external contracts (on a fee-for-service basis) to
provide services such as housing inspections.
Topics: Service to clients of CMHC programs;
Canadian Home Insulation Program (CHIP); Home
Warranty Program; Canadian General Standards
Board; Canadian Standards Association;
inspection training; technical bulletins; metric
conversion; general engineering data on
residential construction.
Access: Files arranged by project. All MURB
certificates have been transferred to the
Department of National Revenue (Taxation). All files
and applications have been retained at CMHC.
CHIP Program was terminated December 31, 1986.
Format: Paper case files.
Program Record Number: CMH IAA 350
Default Management
Description: Correspondence and information on
the control of Approved Lenders’ and CMHC
direct-insured loans in arrears.
Topics: Interventions to salvage projects in
financial difficulty; Approved Lenders’ arrears
reports; correspondence with Approved Lenders
and CMHC regional business centres; monthly
statistical arrears reports; transcript of accounts for
centralized CMHC direct-insured loans.
Access: Arrears reports arranged chronologically
by lender.
Format: Individual loan files are partly on EDP;
Canada Mortgage and Housing Corporation
transcript of accounts are on microfilm.
Program Record Number: CMH IAA 120
Demonstration Projects
Description: Information on specific projects
undertaken to test the feasibility and cost of
particular new and alternative housing designs and
concepts.
Topics: Submissions and briefs; feasibility studies;
planning and design; agreements; details of
projects; selection of consultants; contracts.
Access: By project or activity.
Format: Paper case files.
Program Record Number: CMH PDR 235
Emergency Repair Program
Description: Information on the program which
provides funds to clients living in housing that has
serious health and safety hazards.
Topics: Funding; repairs; native status; location.
Access: By province and by individual files.
Format: Paper case files.
Program Record Number: CMH PSO 051
Energy Conservation (Programs terminated)
Description: Information and correspondence on
CMHC programs prior to October 28, 1980, to
assist homeowners in upgrading the insulation of
older homes.
Topics: Home Insulation Program (HIP), Canadian
Home Insulation Program (CHIP), National Energy
Program.
Access: Files arranged by province. HIP was
terminated December 31, 1981 and CHIP was
terminated December 31, 1986.
Format: paper case files.
Program Record Number: CMH IAA 340
External Research
Description: Information and correspondence on
grants in support of research on priority areas in
the social, economic, legislative, environmental,
physical or administrative aspects of housing.
Topics: Program enquiries, administration, mailing
lists and advertising; selection committee; program
policies and planning.
Access: Files arranged by activity.
Format: Paper case files.
Program Record Number: CMH PDR 185
Federal-Provincial-Territorial (F/P/T) Housing
Description: Information on federal-provincialterritorial interdepartmental agreements, and
other intergovernmental contractual agreements;
information on the costs of public and social
housing projects shared by federal-provincial
partnership and provincially leased; meeting
of F/P/T officials and Ministers; the results
205
of collaborative efforts (e.g. working groups);
information on bilateral issues and meetings.
Topics: Federal-provincial housing agreements;
rural and native housing agreements;
miscellaneous agreements under various
sections of the National Housing Act;
interdepartmental agreements; management
of projects; inspections; rental scale study; rent
supplement program; CMHC subsidies; individual
public housing projects; agreements and
administrative information on social housing
programs and projects and on other joint bilateral
and multilateral programs and initiatives.
Access: Files arranged by province, municipality
and project.
Format: Paper case files.
Program Record Number: CMH PSO 050
Grant Assistance (Programs terminated)
Description: Information on grant assistance
under the Canadian Home-ownership Stimulation
Plan and the Canada Mortgage Renewal Plan.
Topics: Applications; grant assistance;
termination of assistance; statement of accounts;
program statistical and analytical reports; applicant
files, including the certification by the lender and
the application.
Access: Grant case files arranged by individual.
Programs terminated December 31, 1983.
Format: Paper case files.
Program Record Number: CMH IAA 140
Home Improvement Loan Insurance Fund
(Program terminated)
Description: Administration of the Home
Improvement Loans Fund.
Topics: Lenders’ reports of outstanding loans;
bad debt collection reports; ledger cards (bad
debts); contingent liability register.
Access: Files arranged by lender and borrower.
Program terminated in 1986.
Format: Computerized database and paper case
files.
Program Record Number: CMH IAA 130
Housing Internship Initiative for First Nations
and Inuit Youth
Description: Provides wage subsidies for First
Nations and Inuit to get on-the-job training.
Topics: Wage subsidies, First Nations and Inuit
Sponsors, unemployed youth, Youth Employment
Strategy.
Access: Files arranged by program year and
participants.
Format: Paper case files.
Program Record Number: CMH PSO 075
206
Housing Advisory Documents
Description: Information on research and
development of community and building standards
and guidelines.
Topics: Site planning; noise; grading and
landscaping; insulation; internal space in dwellings;
condensation, ventilation, vapour barriers and air
quality; air barriers; windows, doors, walls and
floors; moveable insulating devices; mobile homes;
nursing homes; septic tanks; radon gas; wood
foundations; fire ratings; wood framing techniques;
shell housing; log houses; density of housing;
leisure facilities; parking; facilities for disabled and
elderly; housing access; home security.
Access: Files arranged by subject.
Format: Paper case files.
Program Record Number: CMH PDR 195
Housing Awards Programs
Description: National forum to share innovations
and best practices dedicated to improving housing
in Canada. The Awards competition is held every
two years.
Topics: There are five categories designed to
encompass a wide spectrum of housing activities:
Finance and Tenure; Technology and Production;
Planning and Regulation; Concept and Design;
and, Process and Management.
Access: Files arranged by year of competition
and/or participants.
Format: Paper case files.
Program Record Number: CMH PDR 192
Housing Design
Description: Information on standards, guidelines,
graphics, and presentations.
Topics: Site planning; federal-provincial housing
plans; audio-visuals on landscape; design for
emergency accommodation; care facilities for the
elderly.
Access: Files arranged by project.
Format: Paper case files.
Program Record Number: CMH IAA 165
Housing Survey Data
Description: Data acquired through regular
Corporation surveys or from Statistics Canada
reports.
Topics: Conventional lending, housing starts and
completions; market absorption; apartment
vacancies and rents; census and ad hoc survey
information.
Access: Files arranged by geographic location
and survey.
Format: EDP systems.
Program Record Number: CMH PDR 230
Canada Mortgage and Housing Corporation
Housing Technology (Program terminated)
Description: Information on technical and
engineering services necessary to meet the
current program delivery needs and objectives.
Topics: Technical builders’ bulletins; CMHCprescribed standards of construction; Residential
Rehabilitation Assistance Program monitoring.
Access: Files arranged by subject.
Format: Paper case files.
Program Record Number: CMH IAA 170
Housing Technology Incentives (Program
terminated)
Description: Information and correspondence on
grants to inventors and others to help pay for
developing and testing innovative housing ideas
and products.
Topics: Program enquiries; policies, planning and
administration; mailing lists and advertising;
consultations; selection committee.
Access: Files arranged by activity. Program
terminated October 1995.
Format: Paper case files.
Program Record Number: CMH PDR 200
Interest Deferral (Program terminated)
Description: Information on the application for
and approval of assistance for mortgage renewal
by interest deferral.
Topics: Applications; approvals; deferral
arrangements; statements of account; termination
of assistance; arrears reporting; retroactivity;
applicant files, including certification by lender and
application forms.
Access: Files arranged by individual, certification
number and Canada Mortgage Renewal Plan
(CMRP) number. Program terminated December
31, 1983.
Format: Paper case files.
Program Record Number: CMH IAA 135
International Housing Organizations
Description: International agreements and
correspondence on bilateral and multilateral
housing issues.
Topics: International governmental and nongovernmental organizations; special international
projects.
Access: Files arranged by international
organization and country.
Format: Paper case files.
Program Record Number: CMH PDR 310
Land (Programs terminated)
Description: Information on loans provided to
municipalities and provincial agencies for the
acquisition, planning and servicing of land. This
Canada Mortgage and Housing Corporation
Program terminated on December 31, 1978.
Information on CMHC planning, developing or
redeveloping its lands that are under-utilized or
surplus to its needs as well as lands owned in
partnership with municipalities and provincial
agencies on a cost-sharing basis to provide land
for market and affordable housing. Information on
CMHC offering its land development expertise on
a fee and cost recovery basis to other Federal
departments and agencies with the objective of
developing/disposing of lands within the Federal
guideline of maximizing returns. This program
terminated on April 21, 1998.
Topics: CMHC-owned lands; federal-provincial
land projects; redevelopment of veterans housing;
managed land disposal and affordable housing.
Access: Files arranged by project, province and
municipality.
Format: Paper case files.
Program Record Number: CMH IAA 085
Legal Services
Description: Information relating to legal matters
including legislation, litigation and the various
business and program lines of the Corporation.
Topics: The Corporation’s governing Acts, legal
aspects of business and program lines, claims and
actions by and against the Corporation, legal
agreements, legal documents and forms and legal
agents.
Access: By subject.
Format: Paper files.
Program Record Number: CMH CSS 030
Market Analysis (MAC)
Description: Information reports and analysis on
local, provincial and national housing markets.
Topics: Mortgage market; renovation market;
national housing outlook, interest rate forecasts,
housing markets by Census Metropolitan Area
(CMA), economic forecasts.
Access: Files arranged by geographical area.
Format: Computerized database and paper case
files.
Program Record Number: CMH PDR 101
Marketing
Description: Information on the operations,
development and implementation of national
strategies for communications, marketing and
international activities at CMHC.
Topics: CMHC publications, advertisements,
marketing, market research, exhibits, fairs,
photographs, portable displays, conferences, press
releases, annual reports, pension plan report, CD,
Video, etc.
207
Access: Retrievable by project or activity.
Format: Computerized database and paper case
files.
Program Record Number: CMH PDR 315
Mortgage Administration
Description: Policy and correspondence on
administration, monitoring and evaluation of loan
activity under the National Housing Act.
Topics: Mortgage documents; taxes; loan
advances; statement of accounts; loan
amortization and repayment; assistance reviews;
rental reviews; mortgage renewals; mortgage
sales; non-amortization of accounts; reamortization of accounts; discharges; partial
discharges; easements.
Access: Files arranged by loan case file.
Format: Computerized database and paper case
files.
Program Record Number: CMH IAA 115
Mortgage Rate Protection Program (Program
terminated 1997)
Description: Documentation for administration of
Mortgage Rate Protection Program (MRPP).
Topics: Lender certification, claims application;
benefit payment record; statistical and analytical
reports.
Access: The files are arranged by individual,
lender certification number and MRPP number.
Format: Computerized database and paper case
files.
Program Record Number: CMH IAA 160
Neighbourhood Improvement Program (NIP)
and Residential Rehabilitation Assistance
Program (RRAP)
Description: Information on the administration and
delivery of the Neighbourhood Improvement and
Residential Rehabilitation programs.
Topics: Inter-program impact; program
development; property inventory; training
seminars; rehabilitation standards; conversion
studies; and renovations for the disabled.
Access: Neighbourhood Improvement Program
information is arranged by municipality and
neighbourhood; Residential Rehabilitation
Assistance Program, by individual case loan. NIP
was terminated December 31, 1984 and the rental
component of RRAP was terminated July 1989.
Homeowner RRAP and RRAP for the Disabled
were terminated December 31, 1993. However,
both Programs were reinstated in February 1994
for a two-year period. Rental and Rooming House
RRAP was reintroduced for 1994/95. In December
1995, a further extension to March 31, 1997 was
208
granted for all RRAP lines. In January 1998, a
further extension to March 31, 2003 was granted
for all RRAP lines. In December 1999 RRAP
conversion was introduced. On April 1, 2003 all
RRAP lines were further extended to March 31,
2006.
Format: Computerized database and paper case
files.
Program Record Number: CMH PSO 090
NHA Mortgage Insurance Claims
Description: Information on insurance claims and
documentation of individual claims against the
Mortgage Insurance Activity.
Topics: Individual insurance claim files; claim
form; title documents, and other supporting
documents such as transcript of mortgage
account, copies of invoices, etc.
Access: Files are arranged by insurance account
number.
Format: Computerized database and paper case
files.
Program Record Number: CMH IAA 125
NHA Mortgage-Backed Securities
Description: Correspondence, documents, and
information on the delivery, administration and
monitoring of the MBS program.
Topics: Issuer approvals; applications and
approvals to issue mortgage-backed securities;
monthly accounting reports; analytical reports;
policies and procedures.
Access: Records maintained by MBS pool and by
Issuer.
Format: Computerized database and paper case
files.
Program Record Number: CMH IAA 107
Non-Profit and Co-operative Housing
Description: Information on provincial, municipal
and private non-profit corporations and Indian
Bands operating rental housing projects for
persons of low and moderate income, and cooperatives providing housing for their low-and
moderate-income members. Family Violence
Initiatives: a) Project Haven – forgiveable loans to
community based non-profit groups and Indian
Bands for projects providing emergency shelter to
victims of family violence and their children.
Program ended March 31, 1992. b) Next Step –
forgiveable loans to community-based non profit
groups and Indian Bands for projects offering
second-stage housing for victims of family violence
when they leave emergency shelters. (Program
ended March 31, 1995) c) Shelter Enhancement –
additional component to rehabilitate existing
Canada Mortgage and Housing Corporation
shelters to meet health and safety standards while
permitting the construction of emergency and for
second-stage housing.
Topics: Federal-provincial agreements; project
operating agreements; subsidy assistance;
monitoring and advertising; rental scales; charter
approval; unit sales; sales tax rebates and
exemptions; annual reporting; construction
management and rehabilitation; housing
acquisition techniques; insured loans as well as
insured loans refinanced under NHA Section 15.1;
land lease; rural and urban native housing;
proposal development funding; CROP.
Access: Loan files arranged by province and
locality as well as by loan files. The Federal
Cooperative Housing Program was terminated 31
December 1991 and the Non-Profit Program was
terminated Off-Reserve December 31, 1993.
Format: Insured loans on microfilm.
Program Record Number: CMH PSO 055
Program Evaluation
Description: Information relating to program
evaluations of CMHC housing programs.
Topics: Market housing programs including the
Mortgage Loan Insurance Program; Social
Housing programs including Non-Profit and
Federal Co-operative Housing Programs, Public
Housing Programs, Rent Supplement Program,
On-Reserve Housing Program, Rural and Native
Housing Program (RNH) and Residential
Rehabilitation Assistance Program (RRAP).
Access: Arranged by subject area.
Format: Paper case files.
Program Record Number: CMH PDR 225
Rehabilitation Skills Training Centre (RSTC)
(Program terminated)
Description: Program terminated December 31,
1984. Course material is used for the training of
RRAP Delivery Agents with courses delivered
through Community Colleges.
Topics: The RSTC provides technical skills
training to inspectors, and covers topics such as
inspection process, specification writing and cost
estimating.
Access: By subject.
Format: Paper case files.
Program Record Number: CMH PSO 100
Research Projects and Activities
Description: Information on research and
development projects, activities and plans, and the
distribution of resulting information.
Topics: Affordability; Aboriginal housing; distinct
housing; healthy housing; helping Canadians
Canada Mortgage and Housing Corporation
protect their investment in housing; building
performance; housing export; housing trends; and
housing finance and market effectiveness.
Access: By subject area and/or contractor.
Format: Paper case files.
Program Record Number: CMH PDR 180
RNH Training Funds Program
Description: Studies and training in support of
Rural and Native Housing (RNH) programs,
funding continues since 1994, the use of these
funds for Aboriginal Housing Liaison Committees
and capacity development funding for on-reserve
housing.
Topics: Rural and Native Housing Task Force;
native housing policy proposals; non-status Indian
construction companies; information about
sustaining grants; Rural and Native Housing
Secondment Program, and training plans.
Access: Files arranged by province.
Format: Paper case files.
Program Record Number: CMH PSO 060
Rural and Native Demonstration Program
(Program terminated)
Description: This program involved the delivery of
approximately 500 demonstration housing units.
Topics: Correspondence; executed contracts;
tender documentation and general information
about the program’s objectives and approval
process.
Access: Retrievable by project or activity. Program
terminated in 1990.
Format: Paper case files.
Program Record Number: CMH PSO 236
209
committee; program planning.
Access: Files arranged by activity. This program
was terminated in March 1995.
Format: Paper case files.
Program Record Number: CMH PDR 190
Underwriting
Description: Correspondence and documents on
the analysis, monitoring and evaluation of loans,
mortgages and guarantees.
Topics: Underwriting policies and procedures;
loan regulations; mortgage loan underwriting
training; new developments in the mortgage
insurance market; loan acquisition review; various
types of mortgages.
Access: Files arranged by loan case file.
Format: Computerized database and paper case
files.
Program Record Number: CMH IAA 105
*Those records that, in the opinion of the National
Archivist, are of historic or archival importance
shall be transferred to the care and control of the
National Archives in accordance with such
schedules or other agreements for the transfer of
records as may be agreed on between the
Archivist and CMHC.
Standard Program Records
Please see the INTRODUCTION to this publication
for the definition of Standard Program Records
and a description of their contents.
Accounts and Accounting
Acts and Legislation
Rural and Native Housing Program (Program
terminated)
Description: The program subsidizes housing on
a homeownership, lease-to-purchase or rental
basis for households in rural and remote areas
with population under 2500.
Topics: Consultation with provincial/territorial
authorities and native associations to identify rural
and remote communities with housing needs.
Access: Files arranged by province. Program
terminated December 31, 1993.
Format: Paper case files.
Program Record Number: CMH PSO 065
Administration
Scholarship and Awards Programs (Program
terminated)
Description: Information and correspondence on
the provision of graduate scholarships in support
of advanced education in housing and community
planning or awards in housing-related areas.
Topics: Applications; advertising; awards
Furniture and Furnishings
Administration and Management Services
Budgets
Buildings
Buildings and Properties
Classification of Positions
Co-operation and Liaison
Employment and Staffing
Equipment and Supplies
Finance
Hospitality
Human Resources
Lands
Occupational Health, Safety and Welfare
210
Office Appliances
Official Languages
Pensions and Insurance
Personnel
Procurement
Relocation
Salaries and Wages
Staff Relations
Training and Development
Travel
Utilities
Vehicles
Particular Personal Information
Banks
Access to Information and Privacy Requests
Description: This bank contains the Access to
Information and Privacy request files, the replies to
such requests, and information related to their
processing.
Class of Individuals: Individuals requesting
access to records under the Access to Information
Act and the Privacy Act.
Purpose: The purpose of this bank is to process
access requests only.
Consistent Uses: To retain access and privacy
requests and their replies for future reference and
to report annually to Treasury Board Secretariat
and Parliament on requests received and
completed.
Retention and Disposal Standards: Records are
retained for three years following closure of the
files and then destroyed.
RDA Number: 96/027
Related PR#: CMH CSS 035
TBS Registration: 001931
Bank Number: CMH PPU 100
Board of Directors
Description: The bank contains correspondence
relating to recommended nominees, the Order-inCouncil appointing the member, a brief biography,
statement of qualifications, statement of
acceptances, oath of fidelity and secrecy and
statement of conflict of interest.
Class of Individuals: Candidates for appointment
and appointees to the CMHC Board of Directors.
Purpose: The purpose of the bank is to assist in the
appointment of individuals as directors of CMHC and
to record information regarding their services as
directors, including declarations on conflict of interest.
Canada Mortgage and Housing Corporation
Consistent Uses: The information in this bank is
used for reporting required for Treasury Board
Secretariat and the Privy Council Office.
Retention and Disposal Standards: Records are
retained for two years after a director ceases to
hold office.
RDA Number: 96/027
Related PR#: CMH CSS 020
TBS Registration: 001930
Bank Number: CMH PPU 095
CMHC Research Service Provider Database
Description: This bank maintains data on
candidates suitable for consideration to conduct
CMHC-directed research in housing. The bank
contains the following types of information: contact
information (name, address, etc), and areas of
expertise and experience.
Class of Individuals: Professionals, consultants,
research and technical firms and individuals.
Purpose: The purpose of this bank is to maintain
an inventory of individuals capable of undertaking
housing research.
Consistent Uses: The information contained in
this bank is used to support the selection process
in awarding research contracts and to maintain
statistics relating to research and development
activity.
Retention and Disposal Standards: Records are
retained indefinitely and updated regularly by the
candidates.
RDA Number: 96/027
Related PR#: CMH PDR 180
TBS Registration: 001928
Bank Number: CMH PPU 080
Claims and Action By or Against CMHC
Description: This bank is established to record
mandates to external legal counsel, legal opinions,
decisions, information and judgements concerning
claims by or against the Corporation.
Class of Individuals: Legal counsel and
individuals involved in legal actions.
Purpose: The purpose of this bank is to effect
satisfactory settlement of claims against or by
CMHC or to present CMHC’s case before the
courts.
Consistent Uses: The information contained in
this bank is used to report to CMHC’s Board of
Directors, to auditors and to the minister
responsible for CMHC.
Retention and Disposal Standards: Records are
retained for 10 years following the closure of the
files, then transferred to a commercial off-site
storage facility.
Canada Mortgage and Housing Corporation
RDA Number: 95/018
Related PR#: CMH CSS 030
TBS Registration: 001927
Bank Number: CMH PPU 075
External Research
Description: This bank was created for
administering the review of applications for funding
under Part IX of the National Housing Act (NHA)
and for the administration of funds to those
approved for external research grants in areas
related to housing policies and programs. It
contains curricula vitae; research or work
proposals; references; letters of evaluation and the
review committee members’ comments on each
proposal, grant agreements and project reports.
Class of Individuals: Persons interested in
undertaking independent research on housing and
related topics.
Purpose: The purpose of this bank is to determine
recipients of grants from applicants seeking financial
support for independent research undertakings.
Consistent Uses: The information contained in
this bank is used to announce grant recipients,
administer grant agreements, and maintain
statistics on program activities and applicants. The
information may also be used in connection with
appointments to the Selection Committee.
Retention and Disposal Standards: Files are
retained for six years after cessation of the project.
RDA Number: 96/027
Related PR#: CMH PDR 185
TBS Registration: 001934
Bank Number: CMH PPU 115
Federal Housing Action Program System
(FHAP)
Description: This bank maintains information on
the current status of the Assisted Rental Program
(ARP) accounts.
Class of Individuals: Borrowers eligible to receive
assistance under the ARP.
Purpose: The purpose of this bank is to
administer the ARP and to produce automated
monthly cheques for eligible borrowers.
Consistent Uses: The information is used to
provide analysis and statistical reports.
Retention and Disposal Standards: Direct loans
files are retained for two years; multiples, rentals
and condominium projects are retained for five
years following full payment of mortgage.
RDA Number: 95/018
Related PR#: CMH IAA 115
TBS Registration: 001914
Bank Number: CMH PPU 010
211
Goods, Services (Including Consultant
Services) and Construction Contracts
Description: The bank contains a complete record
of all matters relating to the initiation and
administration of each contract including payment
details. Data contained in the bank includes RFP,
Tender and RFQ documents used to request
Goods, Services and Construction Contracts,
along with the resulting contracts and
correspondence.
Class of Individuals: Goods, Services (Including
Consultant Services) and Construction
contractees.
Purpose: The purpose of this bank is to retain
information on contractors, entrepreneurs,
consultants and suppliers, as well as on the
services they provide or products they supply or
produce.
Consistent Uses: The information contained in
this bank is used to support the selection process
in awarding contracts and the administration of
each contract including payment details.
Retention and Disposal Standards: Records are
destroyed seven years after the contract expires,
the lease is terminated or the premises are
vacated.
RDA Number: 96/027
Related PR#: CMH PRN 912
TBS Registration: 001926
Bank Number: CMH PPU 070
Home Improvement Loans Files
Description: The bank contains personal and
financial characteristics pertinent to the obtaining
of loans and to collection action.
Class of Individuals: Applicants for home
improvement loans.
Purpose: The purpose of this bank is to create
and maintain individual files on home improvement
loan borrowers who have obtained loans from any
designated accredited lending agency under the
NHA for purposes of improving their housing units.
Consistent Uses: The information in this bank is
used for the issuance of the quarterly arrears
report.
Retention and Disposal Standards: Records are
retained for two years following maturity or other
termination of the loan; if the loan is secured by a
promissory note, the file is retained for eight years. The
quarterly arrears report is destroyed two years after the
date of the report. Program terminated in 1986.
RDA Number: 95/018
Related PR#: CMH IAA 130
TBS Registration: 001921
Bank Number: CMH PPU 045
212
Housing Awards Program
Description: This bank was created for the
administration and review of applications to the
CMHC Housing Awards Program and Awards
competition held every two years.
Class of Individuals: Architects; designers;
developers; builders; manufacturers; planners;
municipal, provincial or territorial housing and
social service agencies; volunteer associations;
community groups; non-profit housing groups; and
housing co-operatives; financial institutions,
educational institutions; and, individuals.
Purpose: This bank was created for the
administration and review of applications to the
CMHC Housing Awards Program and Awards
competition.
Consistent Uses: The information is used to
identify, recognize and transfer housing solutions,
developed by and for Canadians that have been
proven successful. To promote the award winning
housing innovations across the country through
both media and presentations by finalists at
selected housing related events. The information is
also used to announce winners and maintain
statistics on program activities and applicants.
Retention and Disposal Standard: Records are
retained for six years after cessation of the awards
program.
RDA Number: 96/027
Related PR#: CMH PDR 192
TBS Registration: 005383
Bank Number: CMH PPU 150
Housing Policy and Research Information
Distribution
Description: This bank is comprised of mailing
lists containing the names, addresses and/or email
addresses of individuals and firms interested in
obtaining acquisition lists and information on
CMHC research publications.
Class of Individuals: The information in the bank
relates to persons, firms and agencies interested
in long-term research and in CMHC research and
development activities.
Purpose: The information was obtained to mail
information on library acquisitions and research
publications to interested parties.
Consistent Uses: The information is used to
conduct surveys, mail and distribute
documentation to individuals, firms, companies,
organizations, etc., on the mailing lists.
Retention and Disposal Standards: Individual
names are deleted upon request.
RDA Number: 96/027
Related PR#: CMH PDR 180
Canada Mortgage and Housing Corporation
TBS Registration: 003683
Bank Number: CMH PPU 085
Housing Rehabilitation and Renovation
Description: The bank contains data on each
applicant and property for NHA loans and grants
for residential rehabilitation and renovation under
the Residential Rehabilitation Assistance Program
(RRAP), the Canada Home Renovation Plan
(CHRP), the Rural and Native Housing Emergency
Repair Program (ERP); the Home Adaptation for
Seniors Independence (HASI) Program. HASI was
a 2- year program which terminated on March 31,
1994 but then was re-introduced in April 1996 until
March 31, 1997 with an additional renewal in 1998
until March 31, 2003 at which point it was further
renewed until March 31, 2006; Remote Housing
Program (1994, April 1996 and March 1997); and
“les maisons lézardées” to end March 31, 1997.
Class of Individuals: Recipients of housing
rehabilitation assistance.
Purpose: The purpose of this bank is to assess
applicants’ eligibility and financial capability, and to
administer loans and grants.
Consistent Uses: The information in this bank is
used for analytical and reporting purposes and to
investigate cases of suspected fraud.
Retention and Disposal Standards:
Homeownership—Documents received from local
offices are retained on a microformat at the
National Office for two years following the term of
the loan. In the local office, all loan documentation
is retained for a period of six months following the
issuance of a Certificate of Insurance, (not
applicable for RRAP and ERP) and then
transferred to a commercial off-site storage facility
for a period of seven years. HASI files are retained
for five years after completion of project.
RDA Number: 95/018
Related PR#: CMH IAA 345
TBS Registration: 001919
Bank Number: CMH PPU 035
Housing Surveys – List of Contacts
Description: This bank contains a list of contact
persons, the contact’s address, and telephone
number.
Class of Individuals: Contact persons who can
provide responses to the surveys.
Purpose: The list of contact persons is used to
obtain structure data in order to monitor new
constructions and housing market activity.
Consistent Uses: The information is used to
conduct surveys.
Retention and Disposal Standards: The records
Canada Mortgage and Housing Corporation
are retained until superseded by the records of a
new contact person.
RDA Number: 96/027
Related PR#: CMH PDR 230
TBS Registration: 003136
Bank Number: CMH PPU 130
Housing Technology Incentives Program
(Program terminated 1995)
Description: This bank was used to review
applications for funding under the Housing
Technology Incentives Program and to administer
the funds to those approved. It contains: names,
addresses, details of the proposals, grant
agreements, requests for payments and project
reports.
Class of Individuals: Inventors and product
developers, firms and individuals.
Purpose: The purpose of this bank was to
determine recipients of Housing Technology
Incentives grants and to administer the grants.
Consistent Uses: The information contained in
the bank was used to announce grant recipients,
administer agreements and maintain statistics on
program activities.
Retention and Disposal Standards: Records are
destroyed five years after their submission to
CMHC.
RDA Number: 96/027
Related PR#: CMH PDR 200
TBS Registration: 001929
Bank Number: CMH PPU 090
Investigative Bodies
Description: This bank contains “Requests for
Disclosure to Investigative Bodies” of CMHC case
files (loans, grants, etc.) by federal/provincial
investigative bodies covered by federal/provincial
agreements under the Privacy Act.
Class of Individuals: Individuals named by
investigative bodies.
Purpose: The purpose of this bank is to assist in
investigations by investigative bodies named in
federal/provincial agreements under the Privacy
Act.
Consistent Uses: Information contained in this
bank may be shared with federal investigative
bodies pursuant to paragraph 8(2)(e) of the
Privacy Act.
Retention and Disposal Standards: Records are
retained for five years following the request.
RDA Number: 96/027
Related PR#: CMH CSS 035
TBS Registration: 001933
Bank Number: CMH PPU 110
213
Investors Settlement System (ISS)
Description: The bank contains information, such
as the administration fee code and investor name
and code, to support remittances to investors for
sold mortgages administered by CMHC.
Class of Individuals: Investors for sold
mortgages administered by CMHC.
Purpose: The purpose of this bank is to provide a
business system which supports remittances to
investors for sold mortgages administered by
CMHC.
Consistent Uses: Information in this bank is used
for administrative, analytical and reporting
purposes.
Retention and Disposal Standards: Records are
retained for five years after settlement.
RDA Number: 96/027
Related PR#: CMH IAA 115
TBS Registration: 001916
Bank Number: CMH PPU 020
Lawyers and Notaries Appointed Agents of
CMHC
Description: This bank contains information on
lawyers and notaries appointed by the government
as agents of CMHC.
Class of Individuals: Lawyers and notaries
appointed to act as legal agents for CMHC.
Purpose: The purpose of this bank is for internal
accounting and monitoring of activity.
Consistent Uses: The information contained in
this bank is used for reports to the minister
responsible for CMHC.
Retention and Disposal Standards: Records are
retained for seven years after appointment is
terminated.
RDA Number: 96/027
Related PR#: CMH CSS 030
TBS Registration: 001925
Bank Number: CMH PPU 065
List of Landlords
Description: This bank contains the names and
addresses of landlords from whom CMHC leases
property, descriptions of the property and the
amount of the rental.
Class of Individuals: Entrepreneurs who rent
property to CMHC.
Purpose: The purpose of this bank is to establish
a list of persons from whom the Corporation
leases property/accommodation.
Consistent Uses: Information in this bank is used
for administrative and reporting purposes.
Retention and Disposal Standards: Files are
retained for seven years after termination of lease
214
and then destroyed.
RDA Number: 96/027
Related PR#: CMH PRN 905
TBS Registration: 001924
Bank Number: CMH PPU 060
List of Potential Purchasers of Housing
Projects
Description: This bank contains a record of
information on individuals and companies
interested in purchasing projects owned by CMHC.
The data includes general mailing information and
the necessary information in determining if an
individual or company would be interested in a
property that CMHC is proposing to sell (i.e.
location and size of project).
Class of Individuals: Individuals and companies
submitting proposals for the purchase of real
estate owned by CMHC and those showing an
interest.
Purpose: The purpose of this bank is to provide a
source of interested buyers for housing projects
owned by CMHC.
Consistent Uses: The information in this bank is
used to mail and distribute documentation to
individuals.
Retention and Disposal Standards: The records
of potential investors are retained until they wish
no further correspondence from CMHC.
RDA Number: 96/027
Related PR#: CMH IAA 115
TBS Registration: 001922
Bank Number: CMH PPU 050
Mailing Lists
Description: This bank contains mailings lists with
the names, addresses, e-mail address of
individuals, firms, companies, organizations,
associations, groups, etc.
Class of Individuals: Individuals from the general
public or those representing firms, companies,
organizations, associations, groups, etc.
Purpose: To maintain standard lists of individuals,
firms, companies, organizations, associations,
groups, etc., for the purpose of mailing
publications, reports, brochures, surveys,
information material and other documentation on
CMHC’s activities, programs and marketing.
Consistent Uses: The information is used to
conduct surveys, mail and distribute
documentation to individuals, firms, companies,
organizations, etc., on the mailing lists.
Retention and Disposal Standards: Records are
updated continuously and the information is kept
until superseded.
Canada Mortgage and Housing Corporation
RDA Number: 96/027
Related PR#: CMH PDR 315; CMH PDR 101
TBS Registration: 005381
Bank Number: CMH PPU 140
Marketing and Sales / Order Processing
Management System
Description: Information in this bank includes
customer name and address, product and quantity
ordered, amount and method of payment, payment
identification number, address and method for
shipping. This bank may be accessed by any of
the following identifiers: customer name, customer
number, order number, credit card number or
postal code.
Class of Individuals: Individuals from the general
public or those representing firms, companies,
organizations, associations, groups, etc.
Purpose: The purpose of this bank is to
administer the purchase, and distribution for
products and services sold by Canada Mortgage
and Housing Corporation (CMHC Web site, CMHC
Call Centre, CMHC Regional Offices, The
Canadian Housing Information Centre, etc.).
Consistent Uses: The information is used to
administer the purchase, billing and distribution of
CMHC published material or material available for
purchase by the public. Customer information is
also used to provide information to improve the
marketing and support of the Corporation’s
products and services to its customers.
Retention and Disposal Schedule: Records are
retained for three years after the most recent
purchase.
RDA Number: 96/027
Related PR#: CMH PDR 315; CMH PDR 101.
TBS Registration: 005382
Bank Number: CMH PPU 145
Mortgage Rate Protection Plan (Program
terminated 1997)
Description: This bank contains information on
individuals applying for assistance under the
Mortgage Rate Protection Plan (MRPP).
Class of Individuals: Individuals holding a
mortgage under the plan.
Purpose: The purpose of this file is to administer
MRPP loans.
Consistent Uses: The information in this bank
was used for statistical and accounting purposes.
Retention and Disposal Standards: Records are
retained for two years after the expiration
of the contract.
RDA Number: 95/018
Related PR#: CMH IAA 115
Canada Mortgage and Housing Corporation
TBS Registration: 001932
Bank Number: CMH PPU 105
National Housing Act (NHA) Insured Loans
Files
Description: This bank is comprised of all loans
made since 1961 under sections 8.1 (formerly 6),
57 (formerly 34.15), 15.1 (formerly 58) and 98
(formerly 59) of the NHA. Records include details
on applicants, income, age, family composition,
loan and property characteristics. Records also
include information obtained through the process
involved in the payment of a claim received due to
a defaulting borrower such as financial information,
legal documentation, income verification, credit
reports, and verification of down payment and
deficiency judgment.
Class of Individuals: Applicants for NHA insured
loans and defaulting borrowers.
Purpose: The purpose of this bank is to document
both the underwriting and claims payment
processes.
Consistent Uses: The bank is used for statistical
purposes, for program evaluation, audit trails, to
effect recovery action under deficiency judgment,
and to investigate cases of suspected fraud.
Retention and Disposal Standards:
Homeownership: In the local office, all loan
documentation is retained for a period of six months
following the issuance of a Certificate of Insurance
and then transferred to a commercial off-site storage
facility for a period of seven years. Multiples, rentals
and condominium projects: In the regional Business
Centres, all loan documentation is retained for a
period of six months following the issuance of a
Certificate of Insurance and then transferred to to a
commercial off-site storage facility for a period of 15
years. Any claims received/paid containing a
judgment are held indefinitely. Documents received
from local offices and regional Business Centres are
retained on a microformat at the National Office for
two years following the life of the mortgage.
Information is also maintained on an EDP system.
RDA Number: 95/018
Related PR#: CMH IAA 115
TBS Registration: 001920
Bank Number: CMH PPU 040
National Housing Act (NHA) Mortgage
Assistance
Description: The Canadian Homeownership
Stimulation Plan (CHOSP) and the Canada
Mortgage Renewal Plan (CMRP) files contain
personal information provided by applicants
on their financial and loan details, personal
215
income, etc. These programs were terminated
December 31, 1983.
Class of Individuals: Homeowner applicants for
CHOSP and CMRP.
Purpose: The purpose of this bank is to determine
eligibility for grant assistance and to administer
CHOSP and CMRP programs.
Consistent Uses: Information contained in this
bank is used for analytical, reporting and research
purposes.
Retention and Disposal Standards: CMRP and
CHOSP files are kept for 10 years after programs
are terminated.
RDA Number: 95/018
Related PR#: CMH IAA 140
TBS Registration: 001917
Bank Number: CMH PPU 025
National Housing Act (NHA) Mortgage Loan
Administration Files
Description: The NHA loan files include
information such as employment, salary,
dependents, financial statements, management
capabilities, and copies of correspondence relating
to the repayment and ongoing administration of the
mortgage loan.
Class of Individuals: Individual borrowers under
the NHA.
Purpose: The purpose of this bank is to determine
eligibility and administer loans.
Consistent Uses: Information in this bank is used
for administrative, analytical and reporting
purposes.
Retention and Disposal Standards: Records are
retained for two years after the loan is terminated.
RDA Number: 95/018
Related PR#: CMH IAA 115
TBS Registration: 001915
Bank Number: CMH PPU 015
NHA Mortgage Backed Securities Program
Description: Information on individual investors
maintained by a central payer and transfer agent
(CPTA) on behalf of the program and under
contract to CMHC.
Class of Individuals: Investors (institutional and
retail, i.e. individuals) who own an NHA MortgageBacked Security.
Purpose: The purpose is to record ownership of
MBS certificates, permit payment to investors,
allow dissemination of information to investors.
Consistent Uses: Information in this bank is used
for administrative, analytical and reporting
purposes.
Retention and Disposal Standards: Records will
216
Canada Mortgage and Housing Corporation
be retained for a period of seven years following
payout of certificate or completion of all
administrative action.
RDA Number: 95/018
Related PR#: CMH IAA 107
TBS Registration: 003696
Bank Number: CMH PPU 125
are retained for six years after cessation of the
term of the projects. Program was terminated in
March 1995.
RDA Number: 96/027
Related PR#: CMH PDR 190
TBS Registration: 001923
Bank Number: CMH PPU 055
Rural and Native Housing Program/Client
Information
Description: The bank is used to maintain files on
homeowner clients of CMHC’s Rural and Native
Housing Program. It contains personal and
financial information, including client
characteristics, and repayment patterns.
Class of Individuals: Native and rural residents
requiring housing assistance.
Purpose: The purpose of this bank is to monitor
and administer the program and its delivery.
Consistent Uses: The information in this bank is
used for statistical and accounting purposes and to
monitor demographic changes. It is also used to
investigate cases of suspected fraud.
Retention and Disposal Standards: Direct loan
files are retained for two years; multiples, rentals
and condominium projects are retained for five
years following full payment of mortgage.
RDA Number: 95/018
Related PR#: CMH PSO 060
TBS Registration: 001918
Bank Number: CMH PPU 030
Tenant Information from Projects Subsidized
by CMHC
Description: This bank was created for tenant
information collected by CMHC in the limited
situations where it is necessary to collect personal
information on tenants residing in federally
subsidized housing to audit, investigate or for
statistical purposes by CMHC. This information
consists of any record related to tenant income
collected by the project.
Class of Individuals: Individuals who are tenants
in projects receiving subsidies from CMHC.
Purpose: This information is used to determine
and verify tenant income for the purpose of
allocating subsidies either to the tenant or the
project and investigate misuses of subsidies or
fraud.
Consistent Uses: The information is used for
statistical, audit and investigative purposes.
Retention and Disposal Standards: The records
are kept for seven years.
RDA Number: 96/027
Related PR#: CMH PSO 055
TBS Registration: 003296
Bank Number: CMH PPU 135
Scholarship Program and Awards Programs
Description: This bank was created for the
administration and review of applications under
Part IX of the National Housing Act (NHA) for
university scholarships or awards in housingrelated areas. It contains the following: curricula
vitae, research or work proposals, references,
letters of evaluation, and the review committee
members’ comments on each proposal. Social
insurance numbers are collected pursuant to the
Income Tax Act.
Class of Individuals: Individuals interested
in pursuing graduate or postgraduate education
in housing.
Purpose: The purpose of this bank was to
maintain an inventory of applicants seeking a
scholarship award for graduate or postgraduate
study or a CMHC housing award.
Consistent Uses: The information in this bank
was used to announce award winners, administer
scholarship payments and maintain statistics on
program activities and applicants.
Retention and Disposal Standards: Records
Standard Personal Information
Banks
Please see the INTRODUCTION to this publication
for the definition of Standard Banks and a
description of their contents.
Hospitality
Relocation
Travel
Classes of Personal Information
Program Evaluation
This class of personal information contains data
collected specifically for CMHC program evaluation
studies. The data are used to support program
evaluation, policy analysis and program
development. Included in this bank are data
related to client surveys, dwelling surveys, industry
surveys and data collected to measure the impact
Canada Mortgage and Housing Corporation
of programs. This bank is located at CMHC
National Office. Routine files are destroyed two
years following completion of the evaluation. Files
are retrievable by program evaluation study.
217
• Management Information Services Practices
• NHA Mortgage-Backed Securities – Information
Kit for Issuers (NHA 6707)
Manuals
• NHA Mortgage-Backed Securities Program
Guide (available on CMHC’s Web site)
• Administrative Guide: Default Management and
Claims
• Pension Plan Handbook
• All about Housing: Information Products
Catalogue (NHA 6827)
• Becoming an Approved Lender
• Bringing Home Ownership Within Reach with
Mortgage Loan Insurance
• CMHC Housing Awards: Guidelines and
Application
• Guidelines Quick Reference Guide for Approved
Lenders – Fax on Demand
• Reference Guide – NHA Mortgage Loan
Insurance for Rental, Licensed Care and
Retirement Properties
• Residential Rehabilitation Assistance Program
(RRAP)
• Rural and Native Housing Program Handbook
• CMHC Homeowner Mortgage Insurance Tool Kit
• Security of Information Classification Guide
• CMHC Mortgage Loan Insurance Handbook
• Social Housing Forecasting Model User
Handbook
• CMHC Pension Fund Investment Management
Guidelines
• Subject Classification Guide
• CMHC’s Approach to Mortgage Loan
Underwriting for Multiple Unit Projects
• Urban Native Housing Operating Manual (NHA
6676)
• Compendium of Research
• Urban Native Property Management Manual
(NHA 2010)
• Computer Centre Users’ Guide
• Corporate Management Structure
• Urban Native Tenant Counsellor’s Guide (NHA
6886)
• Counselling Handbook -- Home-ownership
• Electronic Portfolio Insurance – Approved
Lender’s Guide
• emili Quick Reference
• Experts in Residence Program – Guidelines and
Application
• External Research Program Guidelines
• Guidelines and Procedures Manual (30
volumes)
• Helping to Create Opportunities: Mortgage Loan
Insurance made easy Automated Approval
Lender’s Handbook (June 1, 1999); Residential
Underwriting.
• Home Ownership Loans – Borrower Eligibility
• Industry Guide to CMHC Mortgage Loan
Insurance
• Instrument of Delegation of Financial Signing
Authorities
Additional Information
Please see the INTRODUCTION to this publication
for information on access procedures under the
provisions of the Access to Information Act and the
Privacy Act.
Please note: Requests made to the Canada
Mortgage and Housing Corporation under the
Access to Information Act must be accompanied
by an application fee of $5.00, made payable to
the Canada Mortgage and Housing Corporation.
For further information about the Corporation and
its activities, programs and publications may be
obtained from:
218
The Canadian Housing Information Centre (CHIC)
Canada Mortgage and Housing Corporation
700 Montreal Road
Ottawa, Ontario K1A OP7
Tel.: (613) 748-2367
Toll-free: 1 800 668-2642
Fax: (613) 748-4069
E-mail: [email protected]
Reading Room
The Canadian Housing Information Centre (CHIC)
has been designated as a public reading room
according to the Access to Information Act. The
Centre is located at
CMHC’s National Office
700 Montreal Road
Ottawa, Ontario K1A 0P7
Additional reading rooms are available at each of
CMHC’s Regional Business Centres.
Canada Mortgage and Housing Corporation
Canada Post Corporation
219
Canada Post Corporation
Chapter 17
Note: This institution is not subject to the Access
to Information Act.
General Information
Background
Canada Post Corporation is a federal Crown
corporation, established by the Canada Post
Corporation Act on October 16, 1981. It collects,
processes and delivers mail across Canada, and
between Canada and more than 200 postal
administrations around the globe. The Corporation
is entrusted with 10 billion messages and parcels
annually to over 14 million addresses in rural and
urban Canada. Products and services are
marketed through a network of more than 23,000
retail points of purchase.
Canada Post Corporation, as 70,000 full and parttime employees, is the sixth largest employer in
Canada outside of government and, with over $6
billion in annual revenue, is a large and important
part of the transportation and communications
sectors of the Canadian economy.
In the course of doing business, Canada Post
Corporation maintains and uses records of
employees, contractors, customers and others.
The Corporation places a high value on the
protection and propriety of such personal
information; employee access to their records and
customer confidentiality are longstanding
traditions.
Organization
Communications
Corporate Secretary
Corporate Security
Customer Relationship Network
Finance
Human Resources
Information Marketing
Mail Operations
Northern Services
Office of the Ombudsman
Real Estate
Retail Business
Sourcing Management
Information Holdings
Particular Personal Information
Banks
Communications
Corporate Correspondence Service
Description: This bank contains letters and e-mail
enquiries addressed or referred to the Minister,
Chairman, President, and other executives of
Canada Post Corporation, letters addressed to
regional Customer Relationship Network offices in
the divisions, background material compiled in the
preparation of responses and the responses.
Certain information, such as the incoming letter,
draft and final replies and an index, exists in
automated form in the Corporate Correspondence
System (CCS). In some case but not all cases, the
background material exists in automated form as
well. Individuals seeking access to this bank
should specify the family name and postal code
used in the previous enquiry. (Note that stamp
suggestions may also be stored in Stamp Subjects
and Designer References, CPC PPU 025.)
Class of Individuals: Customers, Members of
Parliament, other elected officials and the general
public. The records may contain personal
information on other individuals, where they are
the subject of the enquiry (e.g. regarding Canada
Post Corporation employees and contractors).
Purpose: The purpose of this bank is to support
the preparation of responses to Divisional,
Ministerial, Chairman, and Presidential enquiries,
and general Corporate enquiries pertaining to the
operations and administration of Canada Post
Corporation.
Consistent Uses: The records are used to
support the correspondence system; to monitor the
preparation of responses; for reference purposes
when subsequent or similar enquiries are received,
for subsequent mailings, when new developments
warrant a follow-up letter to correspondents who
have expressed an interest in particular subjects,
and to identify trends or patterns.
Retention and Disposal Standards: Draft replies
stored in automated form are deleted when the
correspondence is signed. Paper records and the
automated index are retained for seven years after
220
the year of the response and then destroyed and
deleted, respectively.
RDA Number: 91/020
Related PR#: CPC COM 1
TBS Registration: 002075
Bank Number: CPC PPU 030
Parliamentary Relations
Description: This bank contains records of
telephone or written enquiries from Ministerial staff,
Members of Parliament, Senators or other elected
officials pertaining to Canada Post and its
operating programs or on behalf of constituents. It
also contains letters addressed or referred to the
Minister, Chairman, President, executives of
Canada Post or Customer Service offices referred
to Parliamentary Relations for advice, response;
background for the preparation of responses, and
the responses themselves. Certain information
exists in automated form. Other information
includes correspondence and documentation
pertaining to the organization of Canada Post and
operational programs for the purposes of briefing
the Minister and elected officials, case files, House
of Commons petitions and Order Paper questions.
(Related records may be found in Corporate
Correspondence Service, CPC PPU 030.)
Individuals seeking access to this bank should
specify names, dates, locations and subject
matter, as this information is not retrievable by
personal identifier.
Class of Individuals: Customers, Members of
Parliament and members of the general public.
Records may contain personal information about
other individuals where they are the subject of the
enquiry.
Purpose: The purpose of this bank is to support
and respond to enquiries.
Consistent Uses: The records are also used to
monitor the preparation of responses, for reference
purposes when subsequent or similar enquiries
are received, and to identify and monitor trends.
Retention and Disposal Standards: General
correspondence is retained for two calendar years
after last administrative use. Case files and House
of Commons petitions and Order Paper questions
are retained for 5 years after last administrative
use and then destroyed.
RDA Number: 97/020
Related PR#: CPC COM 2
TBS Registration: 004001
Bank Number: CPC PPU 003
Canada Post Corporation
Corporate Secretary
Board of Directors
Description: This bank contains such records as
Orders-in-Council appointing directors, statements
of qualifications, brief biographies, fees and
expense documents and related correspondence.
(Note that payment records also are stored in
Accounts Payable, CPC PPU 060.)
Class of Individuals: Existing and recent
members of Canada Post’s board of directors.
Purpose: The purpose of this bank is to support
the nomination and remuneration of members of
the board of directors.
Consistent Uses: The records in this bank assist
in the preparation of appointments to the board
and in the administration of the affairs, business
and activities of the board; they are also used with
respect to payments and for other purposes
pertaining to the board and its individual members.
Retention and Disposal Standards: Records are
retained for seven years after the fiscal year during
which the director ceases to hold office and then
destroyed.
RDA Number: 91/020
Related PR#: CPC SEC 1
TBS Registration: 002007
Bank Number: CPC PPU 105
Legal Affairs
Description: This bank contains information
relating to potential and actual claims by or against
the Canada Post Corporation, contracts and
agreements, arbitrations, memoranda, opinions
and advice and other legal matters involving the
Corporation. Note that copies of opinions and
other legal documents may also be stored in other
personal information banks.
Class of Individuals: Individuals involved in legal
matters.
Purpose: The purpose of this bank is to provide a
record of legal opinions and advice to, as well as
representation on behalf of, the Corporation.
Consistent Uses: The records are used to
provide legal opinions and advice to the
Corporation and to represent the Corporation and
protect its interests.
Retention and Disposal Standards: Records are
retained for ten years after the year of termination
of the contract or disposal of the property and then
destroyed. Claims by or against the Corporation,
labour arbitrations and related legal matters are
retained for twenty-one years after the year of
settlement. Memoranda (citing authority), opinions
and advice are retained 100 years after case
Canada Post Corporation
closed and then destroyed.
RDA Number: 97/020
Related PR#: CPC SEC 2
TBS Registration: 002076
Bank Number: CPC PPU 110
Corporate Security
Access Control Systems
Description: This bank contains identification card
applications, temporary pass applications,
photographs, visitor registers and occasional
incident reports, as well as related
correspondence. Limited information exists in
automated form. The Card Access/Alarm System
may also produce reports for incident investigation
purposes and statistical analysis. Individuals
seeking access to this bank should specify location
and dates.
Class of Individuals: Canada Post contractors
who have authorized access to Corporation
facilities.
Purpose: The purpose of this bank is to control
access to certain facilities, to provide for the
security of Canada Post employees and property
and anything in the course of post.
Consistent Uses: The records are used to issue
and cancel identification cards or building passes,
and to maintain building security.
Retention and Disposal Standards: Records are
retained for two years after expiry of the cards and
then destroyed. Visitors logs are retained for one
year.
RDA Number: 91/020
Related PR#: CPC CS 1
TBS Registration: 001340
Bank Number: CPC PPU 080
Investigative Body Requests – Public
Description: This bank contains requests made
by investigative bodies, as well as records of
disclosure (if the request is granted), occasional
legal opinions and related material. Individuals
seeking access to this bank should provide their
full name and address.
Class of Individuals: Individuals who are the
subject of, or party to, lawful investigations.
Purpose: The purpose of this bank is to ensure
that requests by law enforcement agencies for
personal information held by Canada Post are
properly authorized.
Consistent Uses: The records are used to
monitor information requested and/or provided to
law enforcement agencies, and to ensure
compliance with the Privacy Act, the Canada Post
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Corporation Act and corporate policy. Privacy
Commissioner or delegate, may view the records
when investigating complaints or conducting
audits.
Retention and Disposal Standards: Records in
this bank are retained for two years after the year
of their last administrative use (which is normally
the decision to grant or refuse the request, or the
processing of subsequent requests or complaints
relating to the original request), and are then
destroyed.
RDA Number: 91/020
Related PR#: CPC CS 2
TBS Registration: 001342
Bank Number: CPC PPU 090
Postal-Related Crimes/Offenses
Description: This bank contains information
gathered during investigations and contains details
of the crime(s) committed. For example,
information on employees involves such offenses
as theft of mail or embezzlement. Information on
members of the general public involves national or
international crimes, burglary of post offices and
street box equipment, forgery of money orders,
theft of mail, the illegal transportation of explosives
and other dangerous substances and mail vehicle
robberies. In addition, intelligence is collected
regarding individuals or firms suspected of using
the mails for an illegal purpose.
Class of Individuals: Canada Post employees,
contractors and members of the general public
who are suspected or known to be involved in the
above-noted postal related crimes/offenses as
defined by the Canada Post Corporation Act and
Regulations, as well as Criminal Code offenses
involving the mail.
Purpose: The purpose of this bank is to help solve
and reduce postal related crimes and offences and
to provide for the security of the officers and
employees of the Corporation, the property of the
Corporation, and anything in the course of post.
Consistent Uses: The records are used to
support investigative and intelligence activities
designed to solve or reduce crimes against
Canada Post Corporation. Certain information may
be shared with the security branches of other
postal administrations, other federal investigative
bodies, police agencies and, where warranted,
with the Department of Justice for possible
prosecution.
Retention and Disposal Standards: Records are
retained for ten years after completion of the
investigation or judicial or quasi-judicial
proceedings and then destroyed. Records of
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proceedings dealt with under subsection 41 of the
Canada Post Corporation Act, when a prohibitory
order has been issued, are retained for three years
after the year the order ceases to have effect and
are then transferred to National Archives of
Canada. If the records are judged by the National
Archivist to be of historical/archival value, they are
retained permanently.
RDA Number: 91/020
Related PR#: CPC CS 3
TBS Registration: 001341
Bank Number: CPC PPU 085
Reliability Checks
Description: This bank contains criminal record
name checks and, if applicable, fingerprints,
criminal records, recommendations, decisions,
appeals and related correspondence. Limited
information may exist in automated form as a data
element of the Maintain Applicant Activities,
Conduct Security Checks module of Systems
Applications and Products (SAP). Individuals
seeking access to this bank should specify location
and dates.
Class of Individuals: Prospective Canada Post
employees and contractors who do not have
security clearances, but who require reliability
checks because of their ready access to mail,
cash and other valuable assets.
Purpose: The purpose of this bank is to help
ensure the security of Canada Post employees
and property and anything in the course of post.
Consistent Uses: The records are used to help
determine an individual’s reliability. Identifying
information is disclosed to the RCMP in order to
determine whether individuals have criminal
records.
Retention and Disposal Standards: Records are
retained for two years after the year the check is
completed, and then destroyed. If notified that a
pardon has been granted, the criminal records in
question are destroyed immediately.
RDA Number: 91/020
Related PR#: CPC CS 4
TBS Registration: 001339
Bank Number: CPC PPU 075
Security Clearances
Description: This bank contains such records as
personal history forms, criminal record name
checks and, if applicable, fingerprints, criminal
records, summaries of RCMP and Canadian
Security Intelligence Service (CSIS) investigations,
adverse findings, appeals, updates, cancellations,
pardons and related correspondence. Limited
Canada Post Corporation
information may exist in automated form, as data
elements of the Maintain Applicant Activities,
Conduct Security Checks module of Systems
Applications and Products (SAP). Data elements
include name and clearance level granted versus
level required for the position and whether it is due
for renewal. Individuals seeking access to this
bank should specify location and dates.
Class of Individuals: Canada Post contractors
who occupy or are about to occupy positions
involving access to financial and other assets and
sensitive information and systems.
Purpose: The purpose of this bank is to help
determine the suitability of contractors being
considered for or in security-risk positions.
Consistent Uses: The records are used to
determine the level of security clearance, and to
support decisions on transfers, promotions and
termination of employment. Monthly computer
printouts are used to ensure the security clearance
level of individuals is adequate for the positions
they occupy. Details of RCMP and CSIS
investigations that may have taken place are
stored in those agencies’ security clearance banks.
Retention and Disposal Standards: Paper
records are retained for two years after termination
of contract and then destroyed. If notified that a
pardon has been granted, the criminal records in
question are destroyed immediately.
RDA Number: 91/020
Related PR#: CPC CS 5
TBS Registration: 001338
Bank Number: CPC PPU 070
Customer Relationship Network
Description: This bank contains such records as
enquiries, complaints or claims, declarations (in
the case of claims) and information relating to their
processing. Certain information exists in
automated form in the Customer Relationship
Management (CRM) module of the Systems
Applications and Processes systems (SAP). CRM
provides a single point from the Customer
Interaction Centre (CIC) screen where customer
history can be viewed and transactions such as
claims, orders, enquiries, customer contract or
account enquiries can be launched from one
screen. Data elements include the names and
addresses of the sender and addressee, the
nature of the shortcoming (e.g., delay, loss,
damage, redirection, call-for), the type and value of
the item, any special services purchased
(registration), dates of mailing and claim, insured
amount, result of investigation and amount paid.
Individuals seeking access to this bank should
Canada Post Corporation
specify the date and subject matter of their
previous enquiry, as well as the names and
addresses of the sender and addressee on the
article or other identifying information.
Class of Individuals: Customers who have
submitted enquiries or complaints to Customer
Relationship Network; or who have applied for
indemnification. (Note that payment records also
are stored in Accounts Payable, CPC PPU 060;
that written enquiries and complaints also are
processed through the Corporate Correspondence
system, CPC PPU 030; and that Risk
Management Claims, CPC PPU 050, also includes
claims records.)
Purpose: The purpose of this bank is to support
the management of responses to customer
enquiries, as well as the resolution of complaints
and claims.
Consistent Uses: The records are used to
analyze and resolve complaints, claims and other
concerns; to respond to enquiries about mail
services, regulations and rates; for audit and
market research purposes; and to identify trends
or patterns. Certain information may be disclosed
to Transport Canada, the Canada Customs and
Revenue Agency, foreign postal authorities, law
enforcement agencies and others, where
necessary, to resolve the claim or enquiry.
Retention and Disposal Standards: Records are
retained for two years after last administrative use
(which is normally the issue of a response to an
enquirer or indemnification), and then destroyed.
Disposal of payment records stored in Accounts
Payable is governed by the retention schedule for
that bank.
RDA Number: 91/020
Related PR#: CPC CR 1
TBS Registration: 001331
Bank Number: CPC PPU 100
Finance
Financial Accountability Cases
Description: This bank includes such information
as job titles, work locations, investigation reports
on losses, occasional credit reports and
statements by persons involved, legal advice
concerning disposition of cases, the decisions of
the committees and follow-up information (for
example, concerning collection, payment,
prosecution, garnishment, other legal
proceedings). (Note that documents may also be
stored in Legal Affairs, CPC PPU 110). Individuals
seeking access to this bank should specify their
name and other information sufficient to identify
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the case, such as the date, location, type and
amount of the loss.
Class of Individuals: Canada Post agents,
contractors and others involved in actual or
suspected losses of financial assets.
Purpose: The purpose of this bank is to support
committees on financial accountability, which
review financial losses incurred by the
Corporation, and to facilitate the collection of
accounts due to the Corporation.
Consistent Uses: The records are used to help
correct situations that have led to financial losses
within Canada Post, both in terms of recovering
funds and preventing future losses.
Retention and Disposal Standards: Records are
retained for six fiscal years after the year of
recovery or write-off of the debt or loss and then
destroyed. Disposal of related records in the
above-noted information banks is governed by the
retention schedule for those banks.
RDA Number: 91/020
Related PR#: CPC FIN 1
TBS Registration: 001762
Bank Number: CPC PPU 065
Post Office Savings Bank
Description: Contains Post Office Savings Bank
(1868-1969) unclaimed account information.
Account holders wishing to confirm if funds remain
on deposit in their name must forward a written
request together with appropriate documentation,
preferably the account passbook, which identifies
the assigned account number. Legal authority is
required by those acting on behalf of an account
holder or an estate.
Class of Individuals: Individuals having funds on
deposit with Canada Post, either currently or within
the past 15 years.
Purpose: To support administration of the
remaining 56,600 accounts currently outstanding in
the Post Office Savings Bank, the value of which is
2.6 million dollars.
Consistent Uses: Records of the Post Office
Savings Bank are accessed monthly to facilitate
the confirmation and withdrawal of funds by valid
account holders or their legal representatives.
Accounts having a balance of less than $25.00
and no activity in relation thereto for a period of 30
years are transferred to the credit of the Receiver
General for Canada. (Note that payment records
are also stored in Accounts Payable, CPC PPU
060 and by Money Order Services.)
Retention and Disposal Standards: Records are
retained for a period of 15 years after the year an
account is closed, whether by withdrawal or
224
through transfer to the Receiver General for
Canada, and then destroyed.
RDA Number: 91/020
Related PR#: CPC FIN 2
TBS Registration: 001336
Bank Number: CPC PPU 055
Risk Management Claims
Description: This bank contains records regarding
claims for damages involving general liability and
motor vehicle liability, legal opinions, settlement
transactions and other correspondence relating to
incident involving third parties. The records contain
information on the parties involved, their insurers
(if applicable) and the nature of the injury or loss
(e.g., lost employment, income or medical
expense). The records also concern losses to
Canada Post property due to fire, storm impact
and such crimes as robbery, break and enter, and
vandalism. Limited information exists in automated
form in the Risk Management Information System.
Data elements include the names of the employee
and claimant, the cause and type of loss and
settlement cost. Note that payment records are
also stored in Accounts Payable, CPC PPU 060,
and that claims involving delayed, lost or damaged
mail are stored in Customer Relationship Network,
CPC PPU 030. Individuals seeking access to this
bank should specify details such as incident
location and date.
Class of Individuals: Third parties making claims
or from whom Canada Post is seeking damages.
Purpose: The purpose of this bank is to support
the resolution of Corporation and third-party
claims.
Consistent Uses: Records are used to determine
liability for motor vehicle, and other accidents
involving third parties; as well as damage to CPC
property; to approve damage settlements, such as
payments by and to the Corporation (claims
requiring investigation, particularly those involving
injury are handled by outside adjusters); to support
claims by Canada Post against insurance policies
in force; and to facilitate loss control and other
measures to prevent and mitigate recurrences.
Note that certain information may be provided to
insurance companies, lawyers acting on behalf of
either party and the police, to facilitate resolution
of the claim.
Retention and Disposal Standards: Records are
retained for six years after the fiscal year during
which the claim by or against the Corporation is
settled and then destroyed. unless a minor was
involved, in which case the records are retained
for six fiscal years after the minor’s age of majority
Canada Post Corporation
(varies from province to province).
RDA Number: 91/020
Related PR#: CPC FIN 3
TBS Registration: 001335
Bank Number: CPC PPU 050
Human Resources
Crown Debt Requests
Description: This bank contains requests from
and responses to such federal institutions as the
Canada Customs and Revenue Agency and
Human Resources Development Canada, seeking
to locate individuals owing federal Crown debts
(e.g., overdue income tax, unemployment
insurance overpayments, customs duties,
defaulted student loans) or to whom Crown
payments are due. This bank also contains the
Social Insurance Number, which is provided,
unsolicited, by the federal institutions.
Class of Individuals: Individuals owing Crown
debts, or to whom Crown payments are due, who
are the subject of an inquiry.
Purpose: The purpose of this bank is to ensure
Canada Post can properly decide and account for
disclosures of this sort.
Retention and Disposal Standards: Records are
retained for two years after the year of response
and then destroyed.
RDA Number: 91/020
Related PR#: CPC HR 1
TBS Registration: 002157
Bank Number: CPC PPU 120
Human Rights
Description: This bank contains confidential
documents with respect to the submission of
human rights complaints, as well as investigation
and analysis reports and records of decisions
taken during the investigation and resolution of
said complaints. Background information varies
with the complaint, but could include grievances,
medical reports, and other correspondence related
to the subject of the complaint. Individuals seeking
access to this bank should specify the name of the
complainant and the location and date of the
incident. Certain information exists in automated
form as a confidential module of the Systems
Applications and Products (SAP).
Class of Individuals: Individuals submitting
discrimination complaints and individuals alleged
to have harassed or discriminated against
complainants.
Purpose: The purpose of this bank is to support
the investigation and resolution of allegations of
Canada Post Corporation
discrimination based on prescribed grounds set
out in the Canadian Human Rights Act, and
allegations of personal harassment in the
workplace.
Consistent Uses: The records are used to help
determine whether or not harassment or
discrimination has occurred (note that records of
complaints are not stored on the complainant’s
Employee Personal File). Individuals found to have
harassed or discriminated may have a disciplinary
notice to that effect placed on their Employee
Personal File. Information may be disclosed in
confidence to relevant Corporation officials and to
the Canadian Human Rights Commission to
facilitate resolution of the complaint.
Retention and Disposal Standards: Records are
retained for five calendar years after year of case
closed and then destroyed.
RDA Number: 91/020
Related PR#: CPC HR 2
TBS Registration: 001761
Bank Number: CPC PPU 096
Official Languages Complaints
Description: This bank contains records
documenting the nature, extent, scope, type and
location of official languages complaints, as well as
the results of complaint investigations and
resolution. Note that the identity of complainants is
protected under section 60 of the Official
Languages Act throughout the investigation
process. Therefore, unless complainants agree to
reveal their identity, records are anonymous in
nature.
Class of Individuals: Individuals or groups who
file complaints either directly with CPC or with the
Commissioner of Official Languages (excluding
official languages issues handled through
Customer Service).
Purpose: The purpose of this bank is to support
the investigation and resolution of official
languages complaints submitted by individuals or
groups to the Commissioner of Official Languages
or CPC and to retain an audit trail of actions taken.
Certain information exists in automated form as a
confidential module of the Systems Applications
and Products (SAP).
Consistent Uses: The records are used to report
internally to the Management and to external
agencies responsible for monitoring compliance of
the Official Languages Act and related regulations.
They may also be disclosed to the Federal Court
or other authorized third parties to facilitate the
resolution of complaints, grievances or court
action.
225
Retention and Disposal Standards: Complaint
files are retained for five calendar years after
complaint resolved or withdrawn and then
destroyed.
RDA Number: 98/005
Related PR#: CPC HR 3
TBS Registration: 003737
Bank Number: CPC PPU 125
Privacy Act Requests/Complaints
Description: This bank contains the request forms
submitted by individuals seeking access to their
files, the replies to such requests and information
related to their processing, including exempt
material. It also includes records of complaints to
Canada Post Privacy Coordinators and the Privacy
Commissioner of Canada and their resolution, and
exceptional third-party requests referred to privacy
coordination staff for advice or decision.
Individuals seeking access to this bank should
specify the approximate date(s) of the request(s)
or complaint(s) concerned. Certain information
exists in automated form as a confidential module
of the Systems Applications and Products (SAP).
Class of Individuals: Canada Post contractors
and customers who have submitted formal access,
correction or notation requests under the Privacy
Act to a Canada Post privacy coordinator or
internal or formal complaints, or who are the
subject of exceptional third-party requests.
Purpose: The purpose of this bank is to support
the processing of requests and complaints
submitted by individuals under the Privacy Act, and
to retain an audit trail of actions taken.
Consistent Uses: The records are used to
process access, correction and notation requests,
to respond to complaints, and to report annually to
Parliament on their disposition. Annotations
regarding requests, exemptions, corrections and
disclosures to third parties may be attached to the
records requested. Records may be disclosed to
the Privacy Commissioner and to the Federal
Court, to facilitate the resolution of complaints or
court actions.
Retention and Disposal Standards: Records are
retained for two years after the year of last
administrative use (which is normally the provision
of records requested under the Privacy Act, the
processing of correction or notation requests or the
resolution of complaints), and then destroyed.
RDA Number: 91/020
Related PR#: CPC HR 4
TBS Registration: 001344
Bank Number: CPC PPU 115
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Staffing and Employment
Description: This bank contains such records as
solicited and unsolicited job applications,
acknowledgement of receipt letters, job
descriptions, selection profiles, competition
posters, transfer requests, resumes of work
experience and education, reference letters and
checks, official languages knowledge examination
papers, tests and results, lists of candidates,
interview notes and rating board assessments,
eligibility lists, offers of employment, notes of postboard interviews and related correspondence.
Individuals seeking access to this bank should
specify the competition number and date, if
applicable, as well as position title and location.
Class of Individuals: Individuals who apply for or
are hired to fill temporary and permanent positions
with Canada Post Corporation.
Purpose: The purpose of this bank is to support
internal staffing and external recruitment activities.
Consistent Uses: Job applications are screened
when vacancies arise. Staffing records are used to
provide impartial information to match new and
vacant positions to the most qualified candidates
(notations of staffing decisions may be stored in
the Employee Personal file; certain information
exists in automated form, in the Recruitment
module of Systems Applications and Products
(SAP). To assist in succession planning and career
development; to conduct reference checks, provide
feedback to candidates regarding their applications
and job interviews; and to process complaints,
appeals and grievances concerning appointments
and promotions (see Grievances and Arbitrations,
CPC PPE 813). Limited personal information
regarding seniority, surplus and layoffs may be
posted, as well as provided to collective bargaining
agents. Personal information about successful
candidates may be disclosed to unsuccessful
candidates under strict conditions of confidentiality,
to better explain decisions taken.
Retention and Disposal Standards: Records are
retained for two years after last administrative use
(which is usually the expiration of the appeal
period for competitions), and then destroyed.
Layoff/transfer lists are updated continuously and
destroyed when superseded.
RDA Number: 91/020
Related PR#: CPC HR 5
TBS Registration: 001343
Bank Number: CPC PPU 095
Canada Post Corporation
Information Marketing
National Change of Address
Description: This bank contains data drawn from
change of address forms, including: a mover’s
previous and new address; the mover’s privacy
choices ( opt-out or opt-in ); the length and dates
for which redirection services have been
purchased; payment data and records concerning
participation in related services available to
movers and mailers.
Class of Individuals: All subscribers to CPC’s
redirection of mail services whether purchased to a
retail outlet or on-line.
Purpose: To facilitate the temporary or permanent
redirection of mail.
Consistent Uses: To confirm service particulars
and inform movers of address notification and
other options; to produce letter carrier case cards
and new address labels; with mover consent, to
update the mailing lists of businesses and other
organizations, including direct mailers , provided
they have the movers’ name and old address, and
that the mover has provided consent by not optin
out of the program; to delete movers’ names and
old addresses from mailing lists; to resolve
complaints and enquiries; to contact movers on a
mailer’s behalf (without disclosing the new
address); and for research, statistical and audit
purposes. Change of address data may also be
disclosed to law enforcement agencies conducting
lawful investigations, and to certain federal
government departments seeking to locate
individuals owing a Crown debt or being owed a
Crown payment (see CPC PPU 090 and CPC
PPU 120, respectively).
Retention and Disposal Standards: Change of
Address forms retained by postal outlets are
destroyed six fiscal years after the year of
transaction. The input copies are destroyed after
six years after the year of transaction. Records
regarding payments received are retained for six
fiscal years after year of payment and then
destroyed. Agreements with mailers (including
records pertaining to names and addresses of
individuals who have moved), are retained for six
fiscal years after the year of the termination of the
contract and then destroyed. Every month threeyear-old addresses are archived.
RDA Number: 91/020
Related PR#: CPC IM 1
TBS Registration: 003294
Bank Number: CPC PPU 002
Canada Post Corporation
227
Office of the Ombudsman
Mail Operations
Office of the Ombudsman – Requests for
Assistance – Complaints
Description: This bank contains such records as
inquiries, complaints and information relating to
their processing. Data elements may, where
applicable, include all or some of the following: the
names and addresses of the sender and
addressee, the nature of the complaint (delay,
loss, damage), the type and value of the item, any
special services purchased, dates of mailing and
claim, insured amount, result of investigation and
amount paid. Individuals seeking access to this
bank for the purpose of reviewing their personal
files should specify the date and subject matter of
their original inquiry with the Office of the
Ombudsman, as well as their assigned file
number. Individuals seeking access to this bank
are encouraged to submit their request directly by
phoning 1-800-204-4198.
Class of Individuals: Customers who have
submitted to the Ombudsman a request for the
review of their complaint with regard to the postal
service.
Purpose: The purpose of this bank is to support
the preparation of responses to customer inquiries,
as well as the resolution of complaints concerning
postal services.
Consistent Uses: The records are used to
analyze and resolve complaints; to respond to
inquiries about postal services; and to identify
trends or patterns. Disclosure of Information: The
Office of the Ombudsman at Canada Post abides
by the Standards of Practice and the Code of
Ethics of Ombudsman Associations. The
Ombudsman, as a neutral official, has the
responsibility of maintaining strict confidentiality
concerning matters that are brought to his/her
attention, unless given permission to do otherwise.
The only exceptions, at the sole discretion of the
Ombudsman, are where there appears to be
imminent threat of serious harm.
Retention and Disposal Standards: Records are
retained for seven years after last administrative
use (which is normally the issue of a response to a
request for the review of a complaint to the
Ombudsman), and then destroyed. (subject to
approval)
RDA Number: 91/020
Related PR#: CPC OOB 1
TBS Registration: 004271
Bank Number: CPC PPU 099
Delivery Control Systems
Description: This bank contains delivery records
for signature services (Registered and Security
Registered, Cash on Delivery, Insured Mail with
Proof of Delivery, Priority Courier); directories or
lists of customers used to ensure the accurate
delivery of mail and the provision of related
services (e.g., Community Mailbox, Group Mailbox
and Rural Mailbox Delivery Mail Production and
DeliveryTM) and related correspondence (e.g.,
eSignature- a service free for online requests that
allows signature retrieval as proof of delivery for
items within Canada Post distribution services.
These records contain such information on
customers as name, fees paid, present address,
previous address, effective dates, signature and
proof of identity (when needed in picking up mail ).
Limited account information exists in automated
form in the Priority Courier Track and Trace and
Mail Production and DeliveryTM systems.
Class of Individuals: Customers who subscribe
to, or receive, postal signature services, submit a
redirection/hold mail application or reside in areas
requiring name/address lists to effect postal
delivery.
Purpose: The records are used to support the
provision of postal services, including signature
mail services; to ensure accurate mail delivery
where delivery service has changed or is difficult;
to facilitate the reconciliation and audit of
accounts; and to respond to inquiries or claims
(see also Customer Relationship Network, CPC
PPU 030). Electronic name and address lists and
related information received from volume mailers
are used in creating and addressing Lettermail
Plus and Admail Plus items for subsequent
delivery.
Consistent Uses: None
Retention and Disposal Standards: Signature
service records are retained for a maximum of two
years (eSignature online is retained for a
maximum of one year)after the year of delivery
and are then destroyed, with the exception of
certain financial records, which are retained for
seven years. As a convenience to customers, Mail
Production and DeliveryTM data are retained
under strict security for six months and are then
deleted. Directories and lists are updated
continuously and destroyed when superseded or
obsolete.
228
RDA Number: 91/020
Related PR#: CPC OPS 1
TBS Registration: 002558
Bank Number: CPC PPU 001
Retail Business
Postage Meter Services
Description: This bank describes information
related to postage meter services provided by
Canada Post. Limited personal information is
contained in the Postage Meter Inventory Control
System, a database that includes the name and
mailing address of the client or individual
representing the client institution,the postage
meter model numbers, the names of the suppliers
or the individual representing the postage meter
supplier and, in some cases, the products and
services purchased.
Class of Individuals: Individuals or individuals
representing organizations who have purchased
postage to be used in a Canada Post approved
postage meter.
Purpose: The information is used to record and
verify postal transactions and report sales; to
locate customers and postage meters; to resolve
issues related to defective, destroyed, lost, stolen
and returned postage meters. Data contained in
the Postage Meter Inventory Control System is
shared with the postage meter suppliers i.e.
private companies to monitor equipment leases,
sales and supplies.
Consistent Uses: The information is used to
conduct market and related research, including
new metering technology. Names of individuals
and individuals representing client institutions may
be shared with postage meter supply companies.
Retention and Disposal Standards: Hard copy
records exist only for defective meters and are
retained for a period of six years as of the date the
meter is determined to be defective, then
destroyed. Electronic records about customers are
retained until two years after the customer has
become inactive, then destroyed.
RDA Number: 91/020
Related PR#: CPC RB 1
TBS Registration: 006260
Bank Number: CPC PPU 135.
Money Orders Service
Description: This bank describes information
related to money order transactions. Personal
information is collected only when an individual
purchases or redeems a combination of money
orders that equals or exceeds $3,000. It includes
Canada Post Corporation
the name, address, date of birth or driver license
number of the individual, and the serial numbers
and amounts of the money orders.
Class of Individuals: Individuals who purchase or
redeem postal money orders.
Purpose: The information is used for record
keeping, client identification and to investigate
cases of lost and stolen money orders, frauds,
forgeries and other irregularities. It is also used to
comply with the requirements of the Proceeds of
Crime (Money Laundering) and Terrorist Financing
Act. Suspicious transactions and those over $3000
must be recorded and made available upon
request to the Financial Transactions and Reports
Analysis Centre of Canada. In addition,
transactions over $10,000.00 must be reported to
the Centre.
Consistent Uses: In the event of lost, stolen or
other irregularities, information described in this
bank may be shared with areas within Canada
Post responsible for addressing these concerns.
Please see CPC PPU 100 ( Customer
Relationship Network ) and CPC PPU 085 (Postal
Related Crimes/Offences)
Retention and Disposal Standards: All money
order records will be retained for seven years after
the purchase or redemption of individual money
orders and then destroyed once the Records
Disposition Authority (RDA) has been established.
RDA Number: To be determined.
Related PR#: CPC RB 2
TBS Registration: 006261
Bank Number: CPC PPU 130
Philatelic Customers
Description: This bank contains information in
both paper and automated form such as customer
enquiries and mailing lists, coded to include
special areas of interest, as well as invoices, funds
on deposit, credit card numbers, order history,
survey responses, and other sales records. A list
of former customers who have issued bad
cheques is also retained. Individuals seeking
access to this bank should provide as many details
as possible, such as name, address, subject
matter, dates and account numbers.
Class of Individuals: Canada Post’s national and
international customers of philatelic products,
sponsors of stamp clubs and those who have
expressed an interest.
Purpose: The purpose of this bank is to support
the sale and distribution of philatelic products and
related promotional material.
Consistent Uses: The records are used to
support philatelic sales and subscription services;
Canada Post Corporation
to assist in the presentation of philatelic exhibits; to
generate particular lists of customers/subscribers
(for example, by area of interest); to control
inventory; and for market research purposes, such
as the identification of promotional needs and
opportunities.
Retention and Disposal Standards: Financial
records are retained for six years after last
administrative use, which is usually payment for
and mailing of philatelic products and then
destroyed. Mailing lists are updated continuously,
verified annually and retained until superseded or
obsolete (for example, when customers submit
change-of-address cards or requests to be deleted
from the list; or move, leaving no forwarding
address). General correspondence is retained for
two years and then destroyed.
RDA Number: 91/020
Related PR#: CPC RB 3
TBS Registration: 001327
Bank Number: CPC PPU 010
Postal Boxes
Description: This bank contains Postal Box
Rental Agreements, Ledgers, and receipt form
including service particulars (e.g. primary delivery
mode, rental periods and the redirection of mail),
the names of agents or others authorized to
receive mail and whether the Postal Box service is
for private or commercial use. Other records
include general enquiries, receipts and other
payment records, audits and accounts of
terminating services. Certain information exists in
automated form (Retail Outlet Support System
{ROSS}). Individuals seeking access to this bank
should provide Postal Box location, number, and
rental dates.
Class of Individuals: Canada Post customers
who have applied for or expressed interest in
Postal Box services.
Purpose: The purpose of this bank is to support
the provision of Postal Box services.
Consistent Uses: The records are used to
provide the services requested and, if applicable,
to facilitate the collection and refund of rent for
Postal Boxes (receipts are forwarded to corporate
head office to reconcile accounts), for periodic
audits, for the Address Improvement Program and
for market surveys and marketing purposes.
Certain information may be disclosed to law
enforcement and other federal or provincial
agencies, pursuant to lawful investigations.
Retention and Disposal Standards: Postal Box
applications and related records are retained for
two years after the termination of service and then
229
destroyed. Waiting lists are updated continuously,
as boxes become available.
RDA Number: 91/020
Related PR#: CPC RB 4
TBS Registration: 001326
Bank Number: CPC PPU 005
Retail Postal Outlet Contracts
Description: This bank contains hardcopy and
computerized records, including the terms and
conditions of contracts with retail postal outlet
operators and, from time to time, credit history
reports. Individuals seeking access to this bank
should provide full name, the retail postal outlet
concerned and dates.
Class of Individuals: Individuals and businesses
contracted to provide a range of basic postal
services to the public. (Note that payment records
also are stored in Accounts Payable, CPC PPU
060).
Purpose: The purpose of this bank is to
administer a network of retail postal outlets.
Consistent Uses: The records in it are used to
administer the network of retail postal outlets,
including the authorization of payment of
commissions on sales; and for periodic audits and
market research.
Retention and Disposal Standards: Contracts
awarded and supporting documentation are
retained for six years after fiscal year of
completion and non-renewal and then destroyed.
Financial records are also retained for six years
and then destroyed. Tenders not awarded are
retained for two fiscal years and then destroyed.
RDA Number: 91/020
Related PR#: CPC RB 5
TBS Registration: 001329
Bank Number: CPC PPU 020
Stamp Subjects and Designer References
Description: This bank contains such information
as subject suggestions, their supporters, and
enquiries, general correspondence, résumés,
samples of art work (usually reproduced on 35mm
slides) and, if applicable, letters of commission.
Individuals seeking access to this bank should
provide name and date of previous submission.
(Note that stamp subject suggestions may also be
stored in Corporate Correspondence Service, CPC
PPU 100, and payment records concerning
commissioned designs are also stored in Accounts
Payable, CPC PPU 060.)
Class of Individuals: Canadian designers, artists,
illustrators, photographers and others who have
indicated their interest in being considered for a
230
postage stamp design commission.
Purpose: The purpose of this bank is to provide a
visual reference file of the work of Canadian
designers and artists who could be considered for
a postage stamp design commission.
Consistent Uses: The records are used to
consider possible designers to be commissioned
to submit design proposals for new stamp issues.
Retention and Disposal Standards: Samples of
work are returned to designers upon request.
Records regarding rejected solicitations are
retained for two years after the year of rejection
and then destroyed. Records relating to
commissioned stamp designers are retained for
ten years and then transferred to National Archives
of Canada. If the records are judged by the
National Archivist to be of historical/archival value,
they are retained permanently.
RDA Number: 91/020
Related PR#: CPC RB 6
TBS Registration: 001330
Bank Number: CPC PPU 025
Stamp Vendors (closed 2005)
Description: This bank contains the sales
histories of stamp vendors, such as records of
stamp purchases, amount of the discount and
amount paid. Individuals seeking access to this
bank should specify registered name and address
as well as stamp sales details.
Class of Individuals: Individuals and small
businesses who have applied for or been granted
a permit to purchase stamps at a discount for
resale to the public.
Purpose: The purpose of this bank is to support
the sale of stamps via a network of stamp vendors.
Consistent Uses: Vendors use permits to
purchase stamps at a discount.
Retention and Disposal Standards: Records are
retained for two years after last administrative use
and then transferred to National Archives of
Canada. Information judged by the National
Archivist to be of archival/historical value is
retained permanently. The remainder is destroyed.
RDA Number: 91/020
Related PR#: CPC RB 7
TBS Registration: 001328
Bank Number: CPC PPU 015
Sourcing Management
Accounts Payable
Description: This bank contains such records as
claims, authorizations, expense reports, receipts,
cheque requisitions, advances, correspondence
Canada Post Corporation
and other supporting documents relating to
expenses being reimbursed, fees being paid,
claims being settled and other payments. Records
of transactions also exist in automated form in the
Accounts Payable System and in the Systems
Applications and Products (SAP). This includes
travel and other expenses claims, approvals and
records of payments, including direct deposit
information. Individuals seeking access to this
bank should specify whether they are a contractor
or claimant and provide details of the payment
such as location, type and dates.
Class of Individuals: Canada Post suppliers of
goods and services, including stamp designers
and members of the Board of Directors claiming
travel and hospitality expenses; and to members of
the general public, indemnified for claims made
against the Corporation. (see Canada Post’s
contract and claims personal information banks for
details).
Purpose: The purpose of this bank is to support
the Accounts Payable function, which is to make
non-payroll payments in accordance with
authorizations.
Consistent Uses: The records are used to
substantiate and issue cheques for the abovenoted expenses, fees, claims and other payments;
and for planning, budgeting and audit purposes.
Retention and Disposal Standards: Records are
retained for six fiscal years following the fiscal year
during which the expenses were incurred and then
destroyed.
RDA Number: 91/020
Related PR#: CPC SM 1
TBS Registration: 001337
Bank Number: CPC PPU 060
Parking
Description: This bank contains permit
applications for parking, including special parking
priviledges, and related correspondence about
parking of motor vehicles on property owned or
leased by Canada Post. Records of transactions
may also exist in automated form. Individual
seeking access to this bank should specify
employment location and dates.
Class of Individuals: Canada Post contractors
and others who have applied for or received
Corporate parking permits.
Purpose: The purpose of this bank is to support
the control of parking at certain Canada Post
facilities.
Consistent Uses: The records are used to control
the issue and revocation of parking permits and
the prosecution of parking violators. The records
Canada Post Corporation
may also be used to help coordinate car pools.
Note that certain records are beyond CPC control
as many employees have personal contracts with
private parking lot operators.
Retention and Disposal Standards: Records are
retained for two years after the fiscal year in which
the permit expired and then destroyed.
RDA Number: 97/020
Related PR#: CPC ADM 1
TBS Registration: 001334
Bank Number: CPC PPU 045
Purchasing Contracts
Description: This bank contains records relating
to contracts, renewals and terminations and
supporting documentation, which may include the
request for proposal, price quotes, curriculum
vitae, company résumé, records of experience,
terms of reference, financial/insurance/bonding
information, reliability checks and/or security
clearance levels, and performance records. This
bank also contains data relating to Vendor Master
data for Canada Post which consists of
Vendor/Contractor address and contact
information, GST/HST, Business number or Social
Insurance Number (as required under section 237
of the Income Tax Act ) and banking information.
Individuals seeking access to this bank should
provide their full name, the name of their company
(if applicable), the Canada Post contract/proposal
number, and the location of the procurement
office.Certain information may exist in the Systems
Applications and Products (SAP).
Class of Individuals: A limited number of
individuals offering or providing professional
services in management and information
technology consulting, market research, health
services, security, translation, labour arbitration,
counselling and temporary help, as well as in
architecture, engineering, construction, property
appraisal, property development and property
management, including cleaning and maintenance;
and equipment, supplies and other goods. (Note
that payment records are stored in Accounts
Payable, CPC PPU 060; that records on
contractors providing mail or letter carrier
transportation services are stored in Transportation
Contracts, CPC PPU 035; and that records on
retail postal outlet operators are stored in Retail
Postal Outlet Contracts, CPC PPU 020.) This bank
also contains a limited list of vendors and
contractors that offer or provide goods and
services to Canada Post. The records for vendors
and contractors are used to enable Canada Post
to pay vendors, generate contracts and purchase
231
orders and prepare income tax information.
Purpose: The purpose of this bank is to support
the award and administration of Canada Post’s
procurement and certain other service contracts.
And, to process contracting activity, payment of
invoices, preparation of T1204’s under section 237
of the Tax Regulations for vendors and
contractors.
Consistent Uses: The records are used to
monitor performance or equipment supplied
against requirements, so as to verify entitlements;
and for evaluation and audit purposes. For
example, the information may be collated and
analysed to determine average costs by
geographic areas and specialities.
Retention and Disposal Standards: Tenders not
awarded are retained for two fiscal years and then
destroyed. Contracts awarded and supporting
documentation are retained for six years after
fiscal year of completion and non-renewal and
then destroyed. All contracts relating to accepted
designs for stamps, first day covers and postal
stationery are retained for six years after the
completion of the contract and then destroyed. All
correspondence and contracts with stamp
suppliers relating to the production of quantities of
stamps, first day covers and postal stationery, are
retained for six years after completion of the
contract and then destroyed. Vendors and
contractors calendar is under review. However,
contract files dealing with Intellectual Property are
kept indefinitely since these contracts are the only
proof of Canada Post ownership of the property in
situations of copyright infringements. Intellectual
Property files are retained by Canada Post.
RDA Number: 97/020
Related PR#: CPC SM 2
TBS Registration: 003293
Bank Number: CPC PPU 031
Transportation Contracts
Description: This bank contains records relating
to contracts, transfers, renewals and terminations
and supporting documentation, including distance,
stops, equipment used, costs and duration,
financial/insurance/bonding information. Individuals
seeking access to this bank should specify the
name, dates and location of the service provided.
Class of Individuals: Individuals owning
businesses which have bid on or been awarded
contracts for the carriage of mail or for the
transportation of letter carriers.
Purpose: The purpose of this bank is to support
the award and administration of transportation
contracts.
232
Consistent Uses: The records are used to create
source lists and otherwise perform the tender
process; to administer contracts, including the
monitoring of performance and the granting of
adjustments; to facilitate budgeting and cost
control; and to produce internal reports and
responses to external enquiries. Note that the
name of the successful tenderer may be disclosed
to unsuccessful tenderers and others, upon award
of the contract.
Retention and Disposal Standards: Tenders not
awarded are destroyed two years after the contract
is awarded. Other records are retained for six
years after termination and non-renewal of
contract and then destroyed, except for registers of
contracts, which are transferred to National
Archives of Canada for selective retention.
RDA Number: 91/020
Related PR#: CPC SM 3
TBS Registration: 001332
Bank Number: CPC PPU 035
Real Estate
Real Estate Contracts
Description: This bank contains records relating
to contracts, transfers, renewals and terminations
and supporting documentation, including requests
for proposal, price quotes, curriculum vitae,
company résumé, records of experience, terms of
reference, financial/insurance/bonding information,
reliability checks and/or security clearance levels,
performance and payments records. Individuals
seeking access to this bank should provide their
full name, the name of their company (if
applicable) and the Canada Post project and
location. If the contract in question has been let via
Government Services Canada, provide those
details.
Class of Individuals: Companies and a limited
number of individuals offering or providing
professional services in architecture, engineering,
construction, property appraisal, brokerage
services, property development and property
management, including cleaning and maintenance.
(Note that payment records are also stored in
Accounts Payable, CPC PPU 060).
Purpose: The purpose of this bank is to support
the award and administration of Canada Post’s
real estate lease and property management
contracts.
Consistent Uses: The records are used to
prepare source lists and select from among
potential contractors and to monitor performance
against requirements, so as to verify entitlements;
Canada Post Corporation
and for evaluation and audit purposes. For
example, the information may be collated and
analysed to determine average costs by
geographic areas and specialities. The information
is shared with and often held by Canada Post’s
major procurement and real property management
agents (e.g., Government Services Canada).
Retention and Disposal Standards: Tenders not
awarded are retained for two fiscal years and then
destroyed. Contracts awarded and supporting
documentation are retained for six years after
fiscal year of completion and non-renewal and
then destroyed.
RDA Number: 97/020
Related PR#: CPC SM 4
TBS Registration: 003291
Bank Number: CPC PPU 038
Classes of Personal Information
Administrative Records
Certain information provided by or about
individuals may also be found in administrative
records, such as general correspondence and
organizational planning files, minutes of committee
meetings, daily information books, library loan and
distribution lists, fixed asset inventory control
reports, general ledger reports, audit reports and
evaluations, internal electronic mail
communications, video recordings and records
relating to visits and conferences involving officials
of other postal authorities. Several functions also
provide advice on employee, customer or
contractor matters concerning areas such as
employee relations, labour relations, customer
service, corporate security, occupational health
and safety, etc. This information may exist in the
form of personal notes, drafts, letters, case files
and electronic mail messages, duplicates of which
are often located in other personal information
banks. Retention/disposal standards vary, but
comply with a two-year minimum.
Marketing and Sales
This class includes marketing information such as
marketing program offers e.g. VentureOne, market
research studies, various coded mailing lists,
market surveys and test reports concerning
householders and other Canada Post customers
(for example, large volume mailers). The records
include correspondence, reports, accounts of sales
calls and other meetings with customers, which
may contain the names, titles and business
addresses of company representatives, as well as
Canada Post Corporation
profiles of key executives. These records are used
for business purposes only, namely to identify
customer needs and perceptions and to help make
marketing decisions related to product and service
mix, price and promotion. Canada Post also
temporarily retains certain records which may
contain personal information under arrangements
with customers and business partners. These
records assist in the preparation of account
development strategies for national and divisionally
managed accounts. Such records are not under
the Corporation’s sole control and may not be
accessed without the prior consent of the customer
or business partner involved. Note also that claims
and enquiries related to collection and delivery
services have been indexed and described as a
Canada Post information bank (see
CustomerRelationship Network, CPC PPU 030).
Certain records are held in electronic form in the
following systems: Cash Receipts, Canadian
Wildlife Service, National Accounts and Marketing
Mailing List.
Undeliverable Mail
This class of records includes lettermail and
parcels that, for any cause, cannot be delivered to
the addressee or returned to the sender. This
includes mail that cannot be delivered for legal
reasons, and mail that is refused by the addressee
or on which postage due is not paid by the sender
on demand. The treatment of this mail is governed
by the Undeliverable Mail Regulations.
Undeliverable mail is opened to facilitate delivery
to addressee or return to sender. Undeliverable
admail is not returned to the sender or forwarded
to an addressee unless it bears a specific request
for return or redirection to another address, or has
obvious value. Undeliverable international mail is
returned to the country of origin unless marked
abandoned, in which case it is treated in the same
manner as domestic mail. When undeliverable
mail of no obvious value does not contain
sufficient information to permit the mail to be
returned to the sender or forwarded to the
addressee, it is destroyed. Where the mail
contains cash or merchandise the cash is
deposited to the credit of Canada Post Corporation
and the merchandise is sold or otherwise disposed
of in a manner approved by the Corporation.
233
Additional Information
Please see the INTRODUCTION to this publication
for information on access procedures under the
provisions of the Privacy Act.
Records contained within information banks are
limited to relevant data subjects. For example, if
an individual has never bid on nor been awarded a
contract with Canada Post, no record of that
individual would exist in the applicable contract
bank.
To facilitate access and records retrieval, specific
details should be provided, such as those outlined
in individual bank descriptions.
If Canada Post exempts any information, the
individual refused access is provided with the
precise reasons for the exemption and the
applicable appeal procedures.
Records are routinely destroyed when their useful
life expires; thus, access requests for older records
may prove unsuccessful. Individuals are
encouraged to seek informal access to their
records - employees via their supervisors, and
customers, contractors and others via the Canada
Post officials with whom they have been dealing.
Requests for further information about Canada
Post Corporation and its various functions may be
directed to:
Corporate Privacy Coordinator
Canada Post Corporation
2701 Riverside Drive, Suite N0870
Ottawa, Ontario K1A 0B1
Tel.: (613) 734-8561 / 734-7757
Email: [email protected]
Note that requests for access to the Office of the
Ombudsman should be submitted directly to that
office’s privacy coordinator, at:
Privacy Coordinator
Office of the Ombudsman
855 Brookfield Road
PO Box 90026
Ottawa, Ontario K1V 1J8
Tel.: 1-800-204-4198
Web Site: www.ombudsman.poste-canadapost.com
234
Canada Revenue Agency
Canada Revenue Agency
Chapter 18Ge
General Information
Background
In 1927, the Department of National Revenue Act
established the Department of National Revenue by
renaming the Department of Customs and Excise.
The Department was responsible for assessing and
collecting duty and tax, monitoring the movement of
people and goods across the Canadian border and
protecting Canadian industries from foreign
competition.
The same act created a second department to
collect income tax, a responsibility that a
commissioner from the Department of Finance had
been meeting. Both departments had the same
minister, but each had its own departmental
organization and deputy minister.
In May 1994, Bill C-2, an act to amend the
Department of National Revenue Act received Royal
Assent and formed the legal basis to create a
consolidated department responsible for the
activities previously performed by Revenue Canada,
Customs and Excise and Revenue Canada,
Taxation. A new regional structure was implemented
in July 1994, combining the 23 parallel regions of
Customs, Excise, and Taxation into six consolidated
regions. The Headquarters organization was also
consolidated into six restructured program branches
and six corporate branches.
On November 1999, Revenue Canada began
operations as the Canada Customs and Revenue
Agency (CCRA).
On December 12, 2003, the Prime Minister
announced the creation of the Canada Border
Services Agency (CBSA). This announcement
resulted in the transfer of the former CCRA Customs
Branch to the CBSA. The CRA will eventually see its
name formally changed to the Canada Revenue
Agency (CRA).
Since December 12, 2003, the CRA’s
responsibilities have included collecting revenue,
administering tax laws for the Government of
Canada and most provinces and territories, and
delivering various social and economic benefit
programs. In fulfilling these responsibilities, we
serve hundreds of thousands of Canadians, every
day.
The CRA’s approach to compliance is based on selfassessment and voluntary compliance. To help our
clients meet their obligations and to inform them of
their rights and entitlements, we provide information
and technical guidance in applying the provisions of
tax legislation and related roles. To ensure the
fairness of the system, we maintain an enforcement
capacity to take appropriate corrective action when
people do not abide by the laws and regulations we
administer on behalf of all Canadians.
In fulfilling these responsibilities, the Agency
administers 66 acts of Parliament, works for the
federal, provincial, and territorial governments, and
deals with virtually every business and individual in
Canada.
Responsibilities
The Agency’s responsibilities include revenue
collection, trade administration, and the delivery of
various social and economic benefit and incentive
programs through the tax system.
The Agency works for the federal, provincial and
territorial governments as well as individuals and
businesses in order to support Canada’s social
and economic progress.
It administers the Canada Child Tax Benefit, the
Goods and Services Tax/Harmonized Sales Tax
(GST/HST) credit, and many provincial and
territorial benefit and credit programs. It also
collects federal and some provincial income tax,
GST/HST, Canada Pension Plan contributions,
Employment Insurance premiums, and excise
duties. In addition, it collects excise tax and, for
provinces with agreements with the federal
government, provincial sales tax, tobacco taxes,
liquor mark-ups, and levies on non-commercial
imports.
The Agency continually strives to deliver our
programs and services effectively, fairly, and at the
lowest possible cost. Its goals are to: provide
accessible, responsive and reliable services and
clear, informative communications; deliver fair,
responsible and effective enforcement programs in
a way that directly responds to environmental
changes; minimize the administrative cost and
compliance burden on clients by streamlining and
simplifying legislation, programs and operations;
apply the principles of fairness diligently and
Canada Revenue Agency
consistently in all CRA programs, to maintain
public confidence and encourage voluntary
compliance; ensure that employees have the
knowledge, skills and support to work effectively in
an environment that promotes and recognizes
exemplary performance; and support Agency
programs and initiatives through responsive,
integrated and affordable corporate policies,
systems and processes.
Legislation
• Air Travellers Security Charge Act
• Budget Implementation Act, 2000, Part IV (First
Nations Sales Tax)
• Canada Pension Plan, Part 1
• Canada Customs and Revenue Agency Act
• Canada’s Income Tax Convention Acts
• Charities Registration (Security Information) Act
• Children’s Special Allowances Act
• Customs Act, part V.1
• Employment Insurance Act, parts IV and VII
• Excise Act
• Excise Act, 2001
• Excise Tax Act
• Federal-Provincial Fiscal Arrangements Act
• First Nations Goods and Services Tax Act
• Importation of Intoxicating Liquors Act
• Income Tax Act
• Income Tax Application Rules
• Income Tax Conventions Interpretations Act
• Petroleum and Gas Revenue Tax Act
• Tax Rebate Discounting Act
Organization
Appeals Branch
The Appeals Branch is responsible for resolving
disputes between the Canada Revenue Agency
(CRA) and it’s clients by conducting fair and
impartial administrative reviews of CRA decisions.
This Branch reviews contested decisions relating
to tax, GST/HST, employment insurance, and
Canada Pension issues. The Appeals Branch is
235
also responsible for promoting voluntary
compliance through the coordination and
administration of a fair dispute resolution and
redress process. The Privacy Act requires that
Personal Information Banks include all personal
information that is organized and retrievable by a
person’s name or by an identifying number, symbol
or other particular assigned only to that person.
Because the CRA does not retain individual
records related to the Income Tax and Commodity
Taxes Objections and Appeals programs, request
for information under those programs need to be
addressed via the Program Record (Program
Record Number CRA APP 090, CRA APP 310,
CRA APP 131, or CRA APP 305).
Assessment and Client Services Branch
The Assessment and Client Services Branch is
responsible for providing assistance and
information to clients, processing client returns for
tax and benefit programs, and collecting taxes,
levies, duties and other amounts such as Canada
Pension Plan and Employment Insurance
payments. This Branch also administers
specialized tax credit and benefit programs such
as the Canada Child Tax Benefit, Children’s
Special Allowance, Goods and Services Tax Credit
and other provincial/territorial benefit and credit
programs.
Board of Management
The Board of Management is responsible for
overseeing the organization and management of
the Agency, including the development of the
Corporate Business Plan and the management of
policies related to resources, services, property,
personnel and contracts.
Compliance Programs Branch
The Compliance Programs Branch is responsible
for the verification and enforcement activities
aimed at ensuring compliance with customs and
revenue laws. This Branch performs examinations,
audits and investigations to ensure compliance
with income tax and GST legislation; performs
verifications and implements enforcement activities
at the international level; provides information to
taxpayers to encourage compliance and; performs
compliance research.
Corporate Audit and Evaluation Branch
The Corporate Audit and Evaluation Branch
(CAEB) supports the achievement of the Agency’s
goals by providing the Commissioner and the
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Agency’s senior management with independent
and objective information, advice and assurance
on the adequacy of the Agency’s management
framework and the efficiency and effectiveness of
its strategies, activities, programs and initiatives.
The work of the Branch also helps the Board of
Management exercise oversight, through its
Finance Committee, over the Agency’s activities
falling within the Board’s sphere of interest.
Finance and Administration Branch
The Finance and Administration Branch is
responsible for managing the CRA’s financial
resources and capital. This Branch also supports
the delivery of the Agency’s programs and services
through the provision of functional advice and
services such as sustainable development and
security.
Human Resources Branch
The Human Resources Branch is responsible for
supporting major change initiatives and developing
and/or implementing human resources policies.
This branch also provides services related to
resourcing, training and learning, staff relations,
classification, human resources planning,
performance management, career management,
official languages, employee assistance, pay and
benefits, and employment equity.
Information Technology Branch
The Information Technology Branch (ITB) oversees
the development and implementation of IT
planning and reporting. This Branch also supports
the delivery of the Agency’s programs and services
through the development, implementation,
maintenance and support of the IT infrastructure
including systems architecture and security. ITB is
also responsible for advising on the purchasing of
hardware and software and for promoting
corporate standards within the Agency.
Legal Services
Legal Services is responsible for providing counsel
that helps the CRA make legally correct decisions,
and for coordinating the range of services that
Justice Canada provides the CRA.
Policy and Planning Branch
The Policy and Planning Branch is accountable for
interpretation and remission administration of the
Excise Act, Excise Act 2001, Excise Tax Act,
Income Tax Act, Air Travellers Security Charge Act,
Parts III and IV of the Employment Insurance Act,
Canada Revenue Agency
and Part I of the Canada Pension Plan.
Furthermore, this Branch is responsible for CRA
policy and intergovernmental affairs and for
registering and monitoring charities and deferred
income plans. This branch provides functional
direction to the regions on all excise matters,
federal-provincial relations, and the coordination of
international relations. The Branch is responsible
for all statistics related to income tax, excise,
GST/HST, incentives, benefits, trusts, pensions,
etc., for data release, and for socio-economic
analysis, research, forecasting and modeling.
Public Affairs Branch
The Public Affairs Branch is responsible for
corporate services such as processing ministerial
correspondence, delivering parliamentary affairs
services, and managing the Access to Information
and Privacy program. Public Affairs also leads the
Agency’s communications planning and the
delivery of communications products and services.
Finally, this branch provides strategic publishing
support to the Agency and branches by managing
the publishing portfolio and developing an annual
publishing plan, providing publishing advice, and
delivering timely and cost-efficient publishing
services and products, including management of
the corporate Web site.
Regional Operations
The six Assistant Commissioners from the
Regional Operations are responsible for the
delivery of tax services in the Atlantic, Quebec,
Northern Ontario, Southern Ontario, Prairie and
Pacific regions.
Revenue Collections Branch
The Revenue Collections Branch is accountable
for developing national programs related to the
collection of accounts receivable for all taxes,
levies, duties and amounts held in trust on behalf
of the Government of Canada, ensuring
compliance with the filing and remitting
requirements for all amounts withheld or collected
in trust on behalf of the Canada Revenue Agency
(CRA), and determining the employment status as
well as the pensionability and insurability of
earnings.
Canada Revenue Agency
Information Holdings
Program Records
Appeals Branch
Corporate Services
Description: Information on objectives and goals;
access to information and privacy requests;
Balanced Scorecard; annual report; Appeals
Advisory Committee; Minister’s mail; business
plans; The Appellant.
Topics: Mandates; correspondence; plans;
newsletter.
Program Record Number: CRA APP 300
CPP/EI Appeals
Description: Information on the appeals process
and the provisions of the Employment Insurance
Act and the Canada Pension Plan that are under
the jurisdiction of the Minister of National Revenue;
reference material relative to consultations with,
instructions for, and assistance to the Department
of Justice concerning appeals to the Minister and
to the courts; judicial proceedings, analysis of
court decisions; correspondence with other
branches, tax services offices, Human Resources
and Skills Development Canada, the Department
of Justice and the Tax Court of Canada, Federal
Court or Supreme Court; reviews involving
administrative and legislative positions;
Department of Justice recommendations.
Topics: Research material; position papers;
correspondence related to appeals; analysis of
court decisions; any other documents related to
this category. The file information also includes
lists of workers’ names, addresses and Social
Insurance Numbers, amounts of pensionable
and/or insurable earnings and hours, documents,
working papers, decisions and rationale.
Access: Files are created, controlled and
maintained alphabetically and/or numerically.
(Records in this program contain information
relating to Personal Information Bank CRA PPU
130 Appeals Regarding the Canada Pension Plan
and the Employment Insurance Act.)
Program Record Number: CRA APP 315
Commodity Taxes Appeals
Description: Information on the appeals process;
reference material relative to consultations with,
instructions for, and assistance to the Department
of Justice concerning appeals to the courts; judicial
proceedings; analysis of court decisions;
correspondence with other branches; reviews
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involving administrative and legislative positions;
Fairness Package requests; Department of Justice
recommendations. Appeal cases relate to taxes,
including GST/HST, FST and Excise taxes, Excise
duties and the Air Travellers Security Charge.
Topics: Research material; position papers;
correspondence related to an appeal; analysis of
court decisions and any other documents related
to this category.
Access: Filed by case name, subject and appeal
number.
Program Record Number: CRA APP 090
Commodity Taxes Objections
Description: Information on the objection process;
objections to assessments, reassessments and
determinations; the analysis of facts and reasons
as well as their ramifications; supporting evidence
and rationale for decisions; legislative
interpretations and applications; consultations with
other branches; referrals and inquiries from field
offices. Programs covered include GST/HST, FST
and Excise taxes, Excise duties, and the Air
Travellers Security Charge.
Topics: Notices of Objection, Notices of
Assessment, Notices of Reassessment and
Notices of Determination with related
documentation; referrals; position papers;
decisions and rationale.
Access: Filed by program, case name, and
subject.
Program Record Number: CRA APP 131
Income Tax Appeals
Description: Information on the appeals process;
reference material relative to consultations with,
instructions for, and assistance to the Department
of Justice concerning appeals to the courts; judicial
proceedings; analysis of court decisions;
correspondence with other branches; reviews
involving administrative and legislative positions;
Fairness Package requests; Minister’s mail;
Department of Justice recommendations.
Topics: Research material; position papers;
correspondence related to appeals; analysis of
court decisions; any other documents related to
this category.
Access: Files are created, controlled and
maintained alphabetically and/or numerically.
Program Record Number: CRA APP 310
Income Tax Objections
Description: Information on the objection process;
objections to assessments, reassessments and
determinations; the analysis of facts and reasons
as well as their ramifications; supporting evidence
238
and rationale for decisions; legislative
interpretations and applications; consultations with
other branches; referrals and inquiries from field
offices.
Topics: Notices of Assessment, Notices of
Reassessment, Notices of Determination and
Notices of Objection with related documentation;
working papers; referrals; position papers;
decisions and rationale.
Access: Files are created, controlled and
maintained alphabetically and/or numerically.
Program Record Number: CRA APP 305
Management Services
Description: Provision of management and
administrative internal services, resource
projections and resource allocations and budgets.
Topics: Mandates; guidelines; Agency
communications; authority delegations; projects;
training and seminars; resource budgets; forms
and letters; evaluations; and any other applicable
reports. Maintain supplier and operational files;
provide informatics services by offering informatics
support to users while planning and purchasing to
meet current and future informatics needs.
Program Record Number: CRA APP 325
Corporate Programs
Description: Information on the Fairness Initiative;
Voluntary Disclosure Program; Fairness
Provisions; Mediation Project; Client Survey;
Appeals Human Resources Strategy; Appeals
Case Management System (GLOBUS) and its
implementation; mandate of the Appeals Branch;
development of service standards; development of
“operational” type manuals; referrals and inquiries
from field operations; project initiatives; work
plans; workload and resource projections and
allocations; budgets; training programs and
information sessions; program performance
evaluations; quality assurance; monitoring; Risk
Management Framework; computerized
information and reporting systems; statistics
concerning personnel, workload, intake, case
inventories and production.
Topics: Mandates; guidelines; Agency
communications; projects; training and seminars;
resource budgets; forms and letters; evaluations;
surveys; quantitative and qualitative analysis; and
any other applicable reports.
Program Record Number: CRA APP 175
Assessment and Client Services Branch
Audit (Regional)
Description: Information on the audit of tax filers’
Canada Revenue Agency
books and records, compiling audit reports,
implementing Agency operating procedures and
policies, and providing audit information in
response to tax filers’ requests and needs.
Topics: Assessments and determinations;
purchases; goods jobbed; goods manufactured;
sales and marketing practices; audit reports; thirdparty demands; general correspondence.
Access: Cases filed by licensee and/or refund
applicant’s name.
Program Record Number: CRA ACB 125
Benefit Programs – Canada Child Tax Benefit
(CCTB) and other provincial, territorial and
federal programs and supplements
Description: Information on policies, procedures,
budgets, work programs, communications activities
as well as statistics related to the development,
implementation and operation of the CCTB
program and other provincial and territorial
programs and supplements: Alberta Family
Employment Tax Credit (AFETC), Alberta Energy
Tax Refund (AETR), British Columbia Family
Bonus (BCFB) and British Columbia Earned
Income Benefit (BCEIB), British Columbia Energy
Rebate (BCER), New Brunswick Child Tax Benefit
(NBCTB), including the New Brunswick Working
Income Supplement (NBWIS), Newfoundland and
Labrador Child Benefit (NLCB), including the
Mother Baby Nutrition Supplement (MBNS), Nova
Scotia Child Benefit (NSCB), Nova Scotia
Taxpayers’ Refund (NSTR), Northwest Territories
Child Benefit (NWTCB), including the Territorial
Workers’ Supplement (TWS), Nunavut Child
Benefit (NUCB), including the Territorial Workers’
Supplement (TWS), Ontario Taxpayers’ Dividend
(OTD), Saskatchewan Child Benefit (SCB), Yukon
Child Benefit (YCB), National Child Benefit
Supplement (NCBS) and Children’s Disability
Benefit Supplement (CDB).
Topics: Policy and program implementation;
forms; budgets and training material development;
systems requirements; statistics on intake and
production; communication activities;
correspondence with tax services offices, tax
centres and individual tax filers on a variety of
operational and procedural matters.
Program Record Number: CRA ACB 305
Benefit Programs – Children’s Special
Allowances (CSA) Program
Description: Information on policies, procedures,
budgets, work programs, communications activities
as well as statistics related to the development,
implementation and operation of this program.
Topics: Policy and programs implementation,
Canada Revenue Agency
forms, budgets and training material development,
systems requirements, statistics on intake and
production, communication activities,
correspondence with tax services offices, tax
centres and individual tax filers on a variety of
operational and procedural matters.
Program Record Number: CRA ACB 315
Benefit Programs – Disability Tax Credit (DTC)
Program
Description: Information on policies, procedures,
budgets, work programs, communications activities
as well as statistics related to the development,
implementation and operation of this program.
Topics: Policy and programs implementation,
forms, budgets and training material development,
systems requirements, statistics on intake and
production, communication activities,
correspondence with tax services offices, tax
centres and individual tax filers on a variety of
operational and procedural matters.
Program Record Number: CRA ACB 325
Benefit Programs – Data Support Programs
Description: Information on policies, procedures,
budgets, work programs, communications activities
as well as statistics related to the development,
implementation and operation of the various data
support programs that involve the transfer of data
from the CRA to other federal departments and
provincial governments to allow them to determine
eligibility and entitlement to the social programs
they administer. These data support programs
include: Ontario Child Care Supplement for
Working Families (OCCWF), Quebec Family
Allowances, Newfoundland and Labrador Home
Heating Fuel Rebate (NLHHFR), Employment
Insurance Family Supplement (EIFS), Guaranteed
Income Supplement (GIS), Old Age Security
(OAS), Elections Canada (formerly the Federal
Register of Electors), Defaulter Tracing System
(formerly the Child Support Reform).
Topics: Policy and program implementation;
forms; budgets and training material development;
systems requirements; statistics on intake and
production; communication activities;
correspondence with tax services offices, tax
centres and individual tax filers on a variety of
operational and procedural matters.
Program Record Number: CRA ACB 335
Benefit Programs – Data Marts
Description: There are five data marts that
represent the principle business lines administered
by Benefits Programs. The Data marts contain
information on individuals that is obtained from the
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Agency Data Warehouse.
Topics: The purpose of these data marts is to
enable: improved targeting of compliance
resources, faster turnaround time for reports and
ad-hoc queries, customized statistical output and
tables, better ability to model impact of program
changes, improved trend and profile analysis and
availability of accurate and comprehensive
statistical data to help the federal, provincial and
territorial governments to monitor outcomes and
improve strategies in relation to their social benefit
programs. Any data provided to external clients is
strictly of a statistical nature (e.g. number of clients
in a particular income range in receipt of a
provincial child benefit) and does not include
personal information.
Program Record Number: CRA ACB 355
Benefits Programs - Goods and Services
Tax/Harmonized Sales Tax (GST/HST) Credit
and other related provincial and territorial
credit programs
Description: Information on policies, procedures,
budgets, work programs, communications activities
as well as statistics related to the development,
implementation and operation of this GST/HST
credit program and other provincial and territorial
programs: Newfoundland Harmonized Sales Tax
Credit (NHSTC), including the Newfoundland and
Labrador Seniors Benefit (NLSB), and the
Saskatchewan Sales Tax Credit (SSTC).
Topics: Policy and program implementation;
forms; budgets and training material development;
systems requirements; statistics on intake and
production; communication activities;
correspondence with tax services offices, tax
centres and individual tax filers on a variety of
operational and procedural matters.
Program Record Number: CRA ACB 222
Benefit Programs – Identification Support
Programs
Description: Information on policies, procedures,
budgets, work programs, communications activities
as well as statistics related to the development,
implementation and operation of the various
identification support programs that ensure the
integrity of identification information on individual
clients. These programs include: Client
Identification (IDENT), Letter Forwarding, Tax filer
Representative Identification System (TRIS).
Topics: Policy and program implementation;
forms; budgets and training material development;
systems requirements; statistics on intake and
production; communication activities;
correspondence with tax services offices, tax
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centres and individual tax filers on a variety of
operational and procedural matters.
Program Record Number: CRA ACB 345
Business Number (BN) Registration
Description: Information pertaining to Business
Numbers, including a client’s name, operating or
trade names, physical business address, mailing
address and books and records address,
telephone and fax numbers, key person (owner,
director, partner, officer, etc.), social insurance
number verification, contact person, authorized
third-party representatives, account status,
corporate registry information, and effective dates
for registration or deregistration of participating
programs.
Topics: A mainframe computer tax roll to provide a
single business interface with the federal
government for the following programs: Goods and
Services Tax/Harmonized Sales Tax (GST/HST),
Corporate Income Tax (CORTAX), Trust Account
source deductions accounts (PAYDAC),
Registered Charities (CARE), import/export
account levies and duties (CCS), Children’s
Special Allowance, Public Works and Government
Services Canada for certain provincial programs in
British Columbia, Manitoba, Ontario, New
Brunswick and Nova Scotia and for others as new
partnerships are developed.
Access: Sole proprietors, corporations,
partnerships, governments/municipalities,
associations, trusts and every other “person” who
engages in commercial activity in Canada,
withholds source deductions, incurs corporate tax
liability or imports/exports taxable or dutiable
goods into/out of Canada.
Program Record Number: CRA ACB 285
Client Services – Consultations
Description: Information on consultation results.
Topics: Results of focus group studies on guides,
returns, schedules, related forms and tax
pamphlets and various enquiry initiatives;
consultation with seniors and small business
advisory committees.
Program Record Number: CRA ACB 173
Client Services – Enquiries Program
Description: Information on the enquiries service
to the general public with respect to telephone,
counter, outreach and correspondence workloads.
Topics: Development of national policy and
guidelines for the enquiries service with respect to
telephone, counter, outreach and correspondence
workloads; resource allocation for these workloads
for tax services offices, tax centres, tax clinics and
Canada Revenue Agency
call sites; directives to field offices; research on
new technologies and the development and
maintenance of various informatics systems in
support of the enquiries programs, including the
automated telephone services (TIPS), Public
Enquiries Information Bank (PEIB) and Electronic
Letter Creation System (ELCS); statistics on
performance of telephone services, and Client
Services Accessibility and Accuracy Reports
(CSAAR databank). Statistics on volumes of
clients attending outreach seminars.
Program Record Number: CRA ACB 141
Client Services – Quality Service
Description: Information on Accuracy Survey and
Client Service Rating Cards (CSRC).
Topics: The survey results can be used nationally,
or by each office, to identify training needs and
take steps to develop or revise related tools and
programs that may be required to assist agents in
the performance of their duties. The CSRC
provides client feedback on counter services in the
tax services offices and tax centres.
Program Record Number: CRA ACB 177
Client Services – Returns and Guides
Description: Information on all publications in
general on T1 (individual), T2 (corporate) and T3
(trust) returns, information requests, Non-Profit
Organization and Special Elective income tax
guides, returns, schedules, related forms,
GST/HST guides and forms, source deduction
public forms and guides, and information circulars
and tax pamphlets for use by the general public.
Topics: Administrative application of
interpretations of the Income Tax Act and Part IX
of the Excise Tax Act concerning reporting
requirements and regulations for individuals,
corporations, employers, trusts and non-profit
entities; consultations with provinces and territories
on the content of information materials concerning
provincial taxes, rebates, royalties and credits, for
both public and Agency use; estimates and
budgets; evaluation reports; person-year
utilization; suggestions for improvements to
publications; and administrative and operations
communications to and from field operations.
Program Record Number: CRA ACB 176
Diplomatic Exemptions
Description: Information on exemptions accorded
to foreign diplomats and other representatives in
Canada.
Topics: Diplomats and consular and other
representatives, visiting forces, International Civil
Aviation Organization.
Canada Revenue Agency
Access: Filed by country.
Program Record Number: CRA ACB 101
Excise Commercial System (ECS)
Description: Information on assessing and
accounting for Excise and other levy
filers/remitters, ECS has been replaced by the
Standardized Accounting (SA) System and the
other levies system, but remains accessible in
view mode for historic research.
Topics: Tax remittances from Excise and other
levies taxpayer/filers; assessment and
reassessment and accounting data for specific tax
years; statistical information.
Program Record Number: CRA ACB 360
Fair Price and Values Surveys
Description: Information on investigations of
individual companies for tax values for fair price
purposes, and survey reports on marketing or
pricing of various industries.
Topics: Values for tax; computation of tax; specific
company files; specific commodities such as
lumber, truck bodies, wines, background
information on fair prices.
Access: Filed by subject number and company
name.
Program Record Number: CRA ACB 015
GST – Rulings
Description: There are two types of GST rulings;
GST application rulings and advance GST rulings.
Topics: A GST application ruling is a written
statement given by the Agency stating how it is
interpreting specific provisions of Part IX of the
Excise Tax Act in specific existing circumstances
where that Act might apply. Generally, GST
application rulings will involve application of the
GST to certain supplies of goodsand services, the
status of persons as registrants and the
determination of commercial activities and will
relate to an identified person and a specific factual
situation. An advance GST ruling is a written
statement given by the Agency to a registrant or
other person stating how it will interpret specific
provisions of the Excise Tax Act in its application to
a supply, action(s), transaction or series of
transactions or any combination thereof
(hereinafter referred to as activities) that the
person is contemplating. Such proposed activities
could concern, for example, a change in the
structure of an entity or other activities of a taxplanning nature.
Program Record Number: CRA ACB 140
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Individual Returns and Payments Processing –
Accounting
Description: Information on the development and
implementation of individual and trust accounting
and notice production for both resident and non
resident corporate, individual and trust accounts;
information contained in the subsidiary ledgers;
systems and procedures for calculating and
reporting penalties and interest; refunds and
assessments; installment payments; evaluation of
programs and monitoring of operational units.
Topics: The Income Tax Act pertaining to refunds,
interest and monitoring visit reports; computer
operations – general, reports and matters
pertaining to various aspects of operations.
Program Record Number: CRA ACB 192
Individual Returns and Payments Processing Budget Coordination
Description: Information on program forecasts
and budgets for assessing and accounting
operations in tax services offices and tax centres;
development and implementation of work and
quality standards and production and resourceutilization systems.
Topics: Liaison with other departments and
headquarters divisions; manpower resource
allocation and utilization directives to field offices;
budgets and programs – forecasts, allocations,
results, evaluation and systems.
Program Record Number: CRA ACB 121
Licensing
Description: Information on filers under the Air
Travellers Security Charge Act, Excise Tax Act,
Excise Act, 2001 and Excise Act from data
received from the Canada Revenue Agency.
Topics: Endorsee accounts from the tax services
offices; new accounts, changes, transfers,
cancellations and reversals.
Access: Recoverable directly from the online
online system.
Program Record Number: CRA ACB 025
Licensing (Regional)
Description: Information on the endorsing of filers
under the Air Travellers Security Charge Act,
Excise Tax Act, Excise Act, 2001 and Excice Act.
Topics: Tombstone data; endorsement application
forms; credits owing; arrears; cancelled accounts;
transfers; reversals; uncollectibles; account
numbers assigned; and information about
endorsee operations.
Access: Filed by company on computer tape.
Program Record Number: CRA ACB 130
242
National Uniformity
Description: Information on the monitoring and
quality control of tax interpretation rulings, import
entries and other tax information issued in the
field.
Topics: Ruling Card Index – developed from
worksheets and diskette copies of rulings from
field offices. Rulings issued from field offices and
monitored by the quality assurance program.
Access: Cards and copies of rulings filed by
commodity code.
Program Record Number: CRA ACB 010
Rebate Claims – Goods and Services Tax
(Excluding Visitor Rebates)
Description: Information on the processing and
tracing of applications and cheques for rebate of
the Goods and Services Tax as well as data and
statistical collection.
Topics: Reviews of rebate applications;
automated data on claimant history; status of
claims and cheque issuance.
Access: Original documents retained – filed in
central location – retrieved by locator number.
Program Record Number: CRA ACB 133
Regulations and Remissions
Description: Information on the development and
amendment of regulations under the Air Travelers
Security Charge Act, Excise Tax Act, Excise Act,
2001 and Excise Act, and recommendations on
requests for remission of excise taxes and excise
duty.
Topics: Research, correspondence and
recommendations on such regulations and
remissions as the Air Transportation Tax
Regulations, Farmers’ Gasoline and Diesel Fuel
Remission Order, Spirit Destruction Remission
Order, etc.
Access: Filed by subject.
Program Record Number: CRA ACB 085
Returns and Payments of GST/HST
Description: Information on the development and
implementation of accounting and revenue control
and capture systems related to the Goods and
Services Tax/Harmonized Sales Tax.
Topics: Information contained in the general
ledger and suspense accounts; information on the
processing of GST/HST returns and payments;
systems and procedures for capturing GST/HST
returns and payments; systems and procedures for
calculating and reporting interest; accounts
receivable, including payments of tax, penalties,
interest and refunds; installment payments; related
computer and manual operations; reports
Canada Revenue Agency
pertaining to the processing of financial
transactions; monitoring reports; matters pertaining
to various aspects of operations; general computer
operations.
Access: Records are filed by subject matter.
Program Record Number: CRA ACB 134
Payment Processing
Description: Information on payment processing
programs; monitoring procedures and techniques;
review of Agency remittance voucher forms; and
information on cash security.
Topics: Processing of payments and remittance
vouchers; maintenance of post-dated cheques;
POF program (payments on filing), liaison with
EFILE program (electronic filing); updating the
information systems (FIP system financial
information processing), PDC system (post-dated
cheques),) cashiering functions; monitoring of
cashiering activities; and statistics regarding the
processing of payments.
Program Record Number: CRA ACB 280
Standardized Accounting (SA), Corporation Tax
(CORTAX), Other Levies (OL) Database
Description: Information on assessing and
accounting for corporations and Other Levies tax
filers/remitters such as Workers’ Compensation
and Industry Canada payments. The ongoing
database is updated continuously. The database
record is maintained for historical purposes.
Topics: Computerized tax remittances from
corporations; assessment and reassessment and
accounting data for specific tax years; statistical
information.
Program Record Number: CRA ACB 295
T1 Individual Income Tax Returns – Initial
Assessment Program
Description: Information on the planning, control
and monitoring of the T1 initial assessment
programs; systems, procedures and policies
designed to verify the accuracy of individual
returns and to issue notices of assessment.
Topics: Estimates and budgets; evaluation
reports; person-year utilization; functional audits;
operational and administrative communications to
and from field operations, headquarters divisions
and other departments; consultations, negotiations
and proposals on provincial taxes, rebates,
royalties and credits; Confidence Validity Program;
T1 initial assessment – computerized and manual;
job descriptions; organizational structures.
Program Record Number: CRA ACB 126
Canada Revenue Agency
T1 Individual Income Tax Returns –
Reassessment Program
Description: Information on the planning, control
and monitoring of T1 individual income tax returns
reassessment programs; systems, procedures and
policies established for determining necessary
adjustments to previously assessed individual tax
returns and for issuing notices of reassessment.
Adjustment may result from additional information
submitted by tax filers or from further verification of
returns initiated by the Agency.
Topics: Estimates and budgets; evaluation
reports, person-year utilization; functional audits;
operational and administrative communications to
and from field operations, headquarters divisions
and other departments; T1 compliance verification
systems – computerized and manual;
consultations and negotiations with provinces on
the verification of provincial taxes assessed,
rebates, royalties and credits for individuals; job
descriptions; organizational structures.
Program Record Number: CRA ACB 131
T1 Records Programs and Procedures
Description: Information on the planning, control
and monitoring of programs related to the storage
and retrieval of returns through the online
computerized charge-out system; the internal file
service to tax services offices and tax centres; and
the security of returns and online data.
Topics: T1 Records plans and programs; refund
inquiries and tracing; internal forms review;
security; confidentiality of income tax returns.
Program Record Number: CRA ACB 171
T2 (Corporate) Initial Assessment Program, T2
(Corporate) Reassessment Program, T2
Registry Program and Special Elections and
Returns (SER Program)
Description: Information on the planning, control
and monitoring of T2 (corporate tax returns) and
Special Elections and Returns (SER), and on
assessment and reassessment programs;
systems, procedures, T2 Registry Program and
procedures and related policies designed to check
the accuracy of T2 returns and SERs, to determine
adjustments required and to issue notices of
assessment or reassessment; information on the
planning, control and monitoring of programs
related to the storage and retrieval of T2 returns
through the online charge-out system.
Topics: T2 assessment and reassessment, SER
processing – computerized and manual; T2 and
SER compliance – verification system –
computerized and manual; directives to field
offices on the interpretation of policies and
243
procedures; operational and administrative
communications with field offices, headquarters
divisions and other government departments;
reports evaluating field offices; assessment and
reassessment of T2 returns and SERs;
consultations and negotiations with provinces on
the administration of proposed legislation and on
the assessment and post-assessment verification
of provincial taxes, rebates, royalties, and credits
for corporations; tax roll plans and programs and
the T2 retention policy.
Program Record Number: CRA ACB 136
T3 Initial Assessment and Reassessment
Program – T3 Trust Income Tax Returns
Description: Information on the planning and
implementation of national mandatory programs
involving the examination, assessment,
reassessment and processing of T3 Returns (T3s),
development of computerized and manual systems
or procedures, policies, instructions and internal or
tax filer contact forms for processing these returns,
and reports on their progress and results.
Topics: T3 assessment and reassessment,
manual verification and processing systems;
directives to field offices on policies and
procedures; operational and administrative
communications with field offices, other
headquarters divisions and other government
departments.
Program Record Number: CRA ACB 139
Tax Interpretations (Regional)
Description: Statistical and general information on
tax rulings issued in response to licensee
requests.
Topics: Taxable status of commodities; tax rulings
letters; general correspondence.
Access: Filed by licensee company name.
Program Record Number: CRA ACB 120
Taxation Corporation Assessing, Accounting
and Collections Master File (CORPAC)
Description: Information on assessing and
accounting for corporate tax filers. CORPAC has
been replaced by the Standardized Accounting
System (SA) and the CORTAX System, but
remains accessible in view mode for historic
research.
Topics: Computerized tax remittances from
corporations; assessment and reassessment and
accounting data for specific tax years; statistical
information.
Program Record Number: CRA ACB 191
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Visitors Rebate Claims – Goods and Services
Tax/Harmonized Sales Tax
Description: Information on the processing and
tracing of applications and cheques for rebate of
the Goods and Services Tax/Harmonized Sales
Tax to non-resident individuals visiting Canada,
businesses, foreign and/or domestic tour operators
and/or convention organizers or travel agents
exhibitors on certain goods purchased and
exported (within 60 days) and on short-term
accommodation (less than one month); information
on granted cash rebates (up to $500), through
participating Duty Free Shops to non-resident
individuals; data and statistical collection.
Topics: Review of rebate applications, automated
data on claimant histories, status of claims and
cheque issuance. Information on Duty Free Shops
participating in the program, including their training
and monitoring.
Access: Applications are filed by batch document
locator number (DLN) at the Processing Centre
and by refund date at participating Duty Free
Shops.
Program Record Number: CRA ACB 129
Compliance Programs Branch
Anti-Evasion
Description: Information on anti-evasion,
smuggling and fraud initiatives, and on liaison with
other organizations involved in anti-evasion,
smuggling and fraud initiatives; on coordinated law
enforcement activities; on serious financial crime;
on the operation of the Assistant Commissioner
Steering Committee on Anti-Evasion, and the
Director General Working Group on Anti-Evasion.
Topics: Research and analysis including data
matching and assessment of tax evasion,
smuggling and fraud; co-ordination of the CRA’s
activities on anti-evasion, smuggling and fraud;
money laundering; organized crime; serious
financial crime.
Program Record Number: CRA CPB 270
Audit File Selection and Computer Application
Description: Information on the planning and
control of national audit file selection programs;
Basic File Inventory Control Systems (BFICS) and
the Audit Information Database (AID) assist in the
identification of audit issues; computer assisted
audit selection systems (CAAS); audit report
generator online system (ARGO); compliance
measurement profiling and assessment system
(COMPASS); Contract Payment Reporting
Initiative (CPRI) database for payments made to
contractors by the government (departments,
Canada Revenue Agency
agencies, crown corporations) or payments to subcontractors in the construction industry;
computerized audit reporting systems;; program
tests in tax services offices and assistance
provided to audit on computer applications;
computer-assisted audit programs. Related
projects: Internet Business Audit Project (IBAP)
files
Topics: Selection of files for audit by manual
screening; selection of files for audit by computer
screening; development of computerized file
selection methods; comparative analyses of
computer and non-computer selection processes;
planning development and control of computer
systems for conducting audits (WIN/ALS) and
recording audit results (AIMS); statistical sampling
techniques for use on tax audits; computerassisted audit techniques.
Program Record Number: CRA CPB 196
Audit Operations Evaluation
Description: Information on audit production
reports; analysis of audit results; and evaluation of
tax services office audit operations. Research
analysis of audit program results in order to detect
and understand compliance trends, problems and
opportunities, by group and industry sector of
taxpayers/registrants.
Topics: Evaluation criteria; statistical analyses of
audit production reports; follow-up of management
audit reports relating to audit operations; Balanced
Scorecard and monitoring reports.
Program Record Number: CRA CPB 211
Audit Programs – Planning, Development and
Control of Programs; Resource Allocation
Description: Information on audit organization,
objectives, coverage, work programs, allocation of
resources and budget preparation, and
administrative policy.
Topics: Planning and development of national
audit programs; allocation of resources and budget
preparation; instructions for processing completed
audits and recording results; tax services office
organization for audit positions; liaison with other
headquarters directorate and divisions and tax
services offices; tax statistics and corporate
histories of public corporations; audit statistics of
large corporations. Auditor-General’s Reports and
Observations (HAM 2849); Training and
Development (HAM 3850); Tax Avoidance
Orientation Course; Management Information
Agreements (MIAs) and Performance Reporting;
Accountability Framework - Tax Avoidance
Program; Syllabus documents; Program
Canada Revenue Agency
Assessment Review and Evaluations,
communiqués, policy memorandums; Electronic
Commerce Advisory Committee. Related
programs: Core Audit Program.
Program Record Number: CRA CPB 193
Audit Projects Development and Coordination
Description: Information on the reporting and
coordination of audit projects on a national scale;
research and identification of areas suitable for
project activity; development of information
sources; collection, analysis, evaluation and
dissemination of economic data on specific groups
or classes of taxpayers; authorized exchanges of
information. Research on audit program results in
order to detect and understand compliance trends,
problems and opportunities, by group and industry
sector of taxpayers/registrants.
Topics: Audit techniques on specific projects;
information on the results of each project on a
national, regional and tax services office basis;
sources and types of information; exchanges of
information with other government institutions.
Program Record Number: CRA CPB 201
Audit Publications
Description: Information on the preparation,
coordination, publication and maintenance of
manuals, handbooks, guidelines and other
directives for the Audit Directorate as well as other
Directorates; planning, development and
presentation of technical training courses and
seminars.
Topics: Specific research files on each Audit
Operational Manual, as well as handbooks,
information circulars, branch letters, communiqués,
and public and internal forms relating to audit;
specific files on training courses and seminars;
indexed reference manuals, handbooks and
publications related to sections of the Income Tax
Act and Regulations; the Excise Tax Act and
Regulations; and Agency policy.
Program Record Number: CRA CPB 226
Audit Research
Description: Information on the development of
guidelines and techniques used to audit
individuals, trusts, charities, partnerships, plans,
business operations and specialized industries.
Topics: Audit techniques for small, medium and
large businesses; studies of specific industries and
industry-wide tax audits; inter-company pricing
referrals; industry specialist program.
Program Record Number: CRA CPB 216
245
Business Equity Valuations and Real Estate
Appraisals
Description: Information on valuation and
appraisal policy, procedures, budgets and work
programs, technical, functional guidance to field
offices in providing an opinion as to the fair market
value of tangible and intangible property in the
application of the Acts administered by the CRA.
Topics: Operational and financial data with certain
applications including databanks of sales;
individual business equity and real estate appraisal
cases relating to the technical application and
interpretations of valuations principles and
procedures or valuation/appraisal issues and
provincial assessment information.
Program Record Number: CRA CPB 231
Competent Authority Program Administration
Description: General information relating to the
administration of competent authority programs as
well as various issues and considerations in
accordance with the terms of a treaty or
convention between Canada and a foreign country.
Topics: Advanced Pricing Arrangements Program
(APA); Mutual Agreement Procedure Program
(MAP); Exchange of Information Program.
Program Record Number: CRA CPB 261
Compliance Research
Description: Information on policy and objectives
for a research program on compliance with the
requirements of the Excise Tax Act, Excise Act and
Income Tax Act.
Topics: Compliance research and analysis,
specialized studies, statistical analysis and
evaluations of special initiatives. such as those
conducted through High Risk Analysis Teams
(HRAT) and GST/HST Enhanced Registration
Review (GERR) and program strategies. Liaison
with other departments and organizations, public
and private.
Program Record Number: CRA CPB 268
Detection and Investigations
Description: Information specific to noncompliance, avoidance and evasion with respect to
the Excise Tax Act, Excise Act, Income Tax Act
and other related legislation. The information
relates to the detection, identification and
investigation of potential, alleged, and actual
violations with respect to the provisions of the Acts
mentioned above and can potentially be used for
data matching.
Topics: Information on registrants, non-registrants,
non-filers, taxpayers and other persons with
respect to non-compliance, evasion and fraud.
246
Access: Cases are filed alphabetically by vendor’s
name and case file, and numerically by
enforcement file.
Program Record Number: CRA CPB 136
Exchange of Information under Tax Treaties
Description: Information relating to the exchange
of information between the Canada Revenue
Agency and foreign taxation authorities with
respect to applying the provisions of bilateral tax
conventions or the domestic laws of the
contracting states concerning taxes covered by the
convention.
Topics: General information and correspondence
on the exchange of information procedure; records
relating to working arrangements and exchanges
of information between foreign governments and
Canada, on the simultaneous examination and
audit of taxpayers carrying out activities in more
than one country.
Program Record Number: CRA CPB 285
Excise Audit
Description: Information on the auditing of
taxpayers’ records, including audit reports, audit
statistics, audit EDP programs, practices and
methods, taxpayer inquiries and Agency operating
procedures and policies.
Topics: Policy directives to the regions;
commodity coding; refunds; investigations; audit
reports; licensee accounts and disputed
assessments.
Access: Filed by subject number.
Program Record Number: CRA CPB 045
Film Tax Credit Programs
Description: Information on federal film tax credit
programs including entitlements, objectives, plans,
budgets, resource allocations, guides, forms, and
learning materials.
Topics: Claims processing guidelines policy and
procedures for conducting audits and reviews,
recording results and performing statistical
analysis; planning and development for the
program administration; and developing of forms
and learning materials.
Program Record Number: CRA CPB 150
FlowThrough Shares (FTS)
Description: This is an incentive program for the
oil and gas, mining, and renewable energy
industries whereby exploration corporations can
issue flow-through shares to investors and
renounce certain exploration or development
expenses to them. Investors can then deduct
these amounts from their income.
Topics: corporations issuing flow-through shares,
Canada Revenue Agency
investors acquiring flow-through shares,
exploration and development expenditures.
Program Record Number: CRA CPB 310
Foreign Reporting Requirements Management
System
Description: Documentation in the form of
database models and descriptions applicable to
database for the Foreign Reporting Requirements
Management System with application code
business process documentation.
Topics: Electronic repository for all data captured
from the T106 Information Returnof Non-Arm’s
Length Transactions with Non-Residents, T1134A
Information Return Relating to Foreign Affiliates
that are not Controlled Foreign Affiliates, T1134B
Information Return Relating to Controlled Foreign
Affiliates, T1135 Foreign Income Verification
Statement, T1141 Information Return in Respect of
Transfers or Loans to a Non-Resident Trust, T1142
Information Return in Respect of Distributions from
and Indebtedness to a Non-Resident Trust.
Program Record Number: CRA CPB 380
International Tax Operations
Description: Information on technical assistance
to tax services offices on international audit tax
cases, case development and file review, foreign
information requirements, compliance projects,
transfer pricing studies, development of
information circulars, planning, development and
presentations of technical training courses,
seminars, and conferences.
Topics: Liaison with regional and tax services
offices, Headquarters directorates and divisions
and specific taxpayers. Miscellaneous programs
and special projects; studies and audit techniques
regarding specific industries and their intercompany transfer pricing policy.
Program Record Number: CRA CPB 295
Investigations Judicial Processes
Description: Information on legal guidance related
to the preparation of cases for court; case library,
and jurisprudence arising from trials.
Topics: Liaison with regional and tax services
offices and the Department of Justice; court rulings
and judgments; review of cases; court hearings;
commissions. (Portions of this program record
pertain to Personal Information Bank CRA PPU
030 Tax Evasion Cases). When accessing
information in this program record, please quote
the “case name”.
Program Record Number: CRA CPB 263
Investigations Management Services
Description: Information on Investigations
Canada Revenue Agency
Directorate organization and work plans; allocation
of resources and budget preparation; production
reports; statistical analysis of the investigation
activities and evaluation of tax services office
operations.
Topics: Planning and development of national
Investigations programs; allocation of resources
and budget preparation; instructions for processing
completed investigations and recording results;
liaison with other Headquarters directorates and
divisions as well as regional and tax services
offices; information and measurement systems;
investigation evaluation, results and statistics;
production control.
Program Record Number: CRA CPB 265
Non-Resident Operations
Description: Information on technical assistance
to tax services offices and the international tax
services offices (ITSO) on non-resident audit tax
cases, disposition of taxable Canadian property by
non-residents, case development and file review,
compliance projects, development of information
circulars, planning development and presentations
of technical training courses, seminars, and
conferences, technical application of the Income
Tax Act (the Act) as it pertains to non-residents
and factual or deemed residents of Canada who
earn income from abroad; recommendations for
legislative changes; technical, administrative and
systems related guidance to field offices;
development of internal and public forms and CRA
internal communiqués.
Topics: Liaison with regional and tax services
offices, international tax services offices, tax
centres, Headquarters directorates and divisions;
taxability of income benefits and allowances;
projects and enquiries (internal and public);
technical application of the Act as it pertains to
non-residents earning investment or other passive
types of income from Canadian sources pursuant
to Part XIII of the Act, Income Tax Regulations 105
and 102 as they apply to non-residents rendering
services in Canada pursuant to Part I of the
Act(includes non-resident audit, waiver information
and summary of remuneration paid (T4 and T4ANR return); or amounts paid or credited to nonresidents of Canada (NR return); Old Age Security
return of income (PartI.2 returns); and dispositions
taxable Canadian property, resource property or
life insurance policies under section 116 of the Act.
Program Record Number: CRA CPB 305
247
Investigation Policy Formulation and Staff
Development
Description: Information on Investigations
Directorate’s policies, objectives and technical
training for criminal investigations.
Topics: Liaison with other departments,
Headquarters directorates and divisions, tax
services and regional offices; policy formulation
and revision; technical training in criminal
investigations. (Personal Information Bank CRA
PPU 030 Tax Evasion Cases, is applicable to the
subject of technical training only).
Program Record Number: CRA CPB 262
Investigation Programs Operations
Description: Information on technical assistance
to tax services offices on investigations, case
development and file review; search warrant
requests; compliance projects; organized crime
operations and publicity.
Topics: Liaison with provincial and foreign
governments, federal departments and
government agencies, Headquarters directorates
and divisions, regional and tax services offices;
case files and reports; coordination of
investigations projects; search authorities and
retention orders; leads from informants; financial
information (in tax services offices) relating to
criminal illegal activities; publicity on completed
investigations and possible data matching.
Program Record Number: CRA CPB 264
Scientific Research & Experimental
Development (SR & ED)
Description: Information on the screening and file
selection process; analysis of SR&ED review
results, internal review, quality assurance, program
monitoring, evaluation of the performance of
SR&ED incentives and their administration;
organization, objectives work plans, allocation of
resources and budget preparation; development of
information circulars, application policy, directives,
interim instructional sheets, quality assurance,
guidelines, guides, sector papers, brochures, and
forms for the SR&ED program; planning,
development and presentation of technical training
courses, seminars, and conferences; studies and
statistics and SR&ED Partnership Committee.
Topics: Complete and incomplete claims; review
process; risk assessment and management;
quarterly and annual national statistical analyses
of SR&ED review reports; internal review report
and management’s action plan; quality assurance
reports; program monitoring reports; Department of
Finance and the Canada Revenue Agency (CRA)
joint evaluation of performance of SR&ED
248
incentives and their administration; organization of
the SR&ED and its planning and objectives;
allocation of resources and budget preparation;
instructions for processing completed reviews and
recording results; tax statistics; specific files,
including workshop materials where applicable, on
information circulars, application policy, directives,
interim instructional sheets, quality assurance
policy, guidelines, guides, brochures, and forms
relating to SR&ED review; specific files on training
courses, seminars, and conferences, sector
studies and statistics and the SR&ED Partnership
Committee.
Program Record Number: CRA CPB 155
Tax Avoidance
Description: Information on the objectives, duties
and responsibilities of the tax avoidance section;
on tax avoidance arrangements; on the referral,
selection, examination and appeal of cases; on
case material; and on jurisprudence arising from
case trials.
Topics: Some of the tax avoidance topics covered
in this bank include: artificial reduction of capital
gains, associated corporations [section 256(2.1)
cases], commodity Futures-Straddles,
Developer/Agency, dividend stripping, foreign
affiliates and FAPI, general income splitting, interest
and dividend income, inter vivos trusts, investment
tax credit, loss companies, management and
personal service corporations, motion picture films
and video tapes-general, multiple residential
buildings, offshore companies, program
management and operations, RRSPs, rejected
referrals, resource industries financing, selective
dividends on special shares and tax shelters.
Program Record Number: CRA CPB 256
Technical Applications, Reassessing Policies
and Procedures
Description: Information on audit policy and
procedures; the technical application of
interpretations of the Income Tax Act, and the
Excise Tax Act, and Regulations under these acts
and Agency policy affecting the audit of income tax
returns of corporations, trusts and self-employed
individuals; technical enquiries received from tax
services offices and taxpayers.
Topics: Information on specific applications
governing the reporting of revenue, costs, expenses
and allowances by corporate and unincorporated
businesses; operational and administrative
communications to field operations; analysis of
enquiries on the application of legislation.
Program Record Number: CRA CPB 221
Canada Revenue Agency
Technical Research and Non-Resident Tax
Description: Information on the technical
application of the Income Tax Act (the Act) and
bilateral income tax treaties as they pertain to nonresidents; recommendations for legislative
changes; technical, administrative and systems
related guidance to field offices; development of
CRA, internal and public forms, and internal
communiqués.
Topics: Taxability of income benefits and
allowances; projects and enquiries (internal and
public); technical application of the Act as it
pertains to non-residents earning investment and
other passive income from Canadian sources
pursuant to Part XIII of the Act and of section 105
or 102 of the Income Tax Regulations as they
apply to non-residents rendering services in
Canada pursuant to Part I of the Act; (includes
non-resident audit, waiver information and
summary of remuneration paid (T4 or T4A-NR
return); amounts paid or credited to non-residents
of Canada (NR4 return), Old Age Security Return
of Income (Part 1.2 return) and dispositions of
taxable Canadian property, resource property or
life insurance policies under section 116 of the Act.
Program Record Number: CRA CPB 189
Corporate Audit and Evaluation Branch
Internal Audit and Program Evaluation
Description: Information on internal audits and
program evaluations conducted on Agency
programs and activities by the Internal Audit and
Program Evaluation divisions.
Topics: Agency documents pertaining to reviews
conducted by Internal Audit and Program
Evaluation including the Internal Audit and
Program Evaluation Policy, Corporate Audit and
Evaluation Annual Plan and Report, Internal Audit
Policies, Procedures and Standards Manual, and
individual review reports.
Program Record Number: CRA CAEB 031
Office of the Auditor General Liaison
Description: Records related to complying with
requests for information from the Office of the
Auditor General of Canada (OAG) and the
Commissioner of the Environment and Sustainable
Development (CESD).
Topics: Agency documents pertaining to audits
and studies conducted by the OAG and CESD
including follow-up activities as applicable.
Program Record Number: CRA CAEB 010
Canada Revenue Agency
Finance and Administration Branch
Administrative Reform and Renewal
Description: Information on the approaches,
research, consultations, strategies, business
cases, action plans, implementation and
monitoring adopted by the Canada Revenue
Agency to strengthen and modernize its
administration. Information on working papers
(agendas, minutes, progress reports, slide
presentations and consultants’ reports on specific
aspects of initiatives) of the Steering Committee
and Task Force.
Topics: Stemming from Bill C-43, the Canada
Revenue Agency Act, and the CRA Corporate
Business Plan, the main topics are: modern
comptrollership/rationalization, service
improvement, cost reduction, human resources,
policy changes, action plans, progress reports,
specific initiatives, communication strategy, etc.
Access: The files are arranged by initiative,
subject and chronologically, starting in 2000.
Program Record Number: CRA FAB 440
Agency Committees
Description: This program record contains
information on the Agency Management
Committee Functional Planning Committee and the
Internal Audit and Program Evaluation Committee.
Topics: Agendas, minutes and documents
relevant to topics discussed therein. Subject
matter pertains to Agency operations and policy,
procedural or administrative matters.
Program Record Number: CRA FAB 001
Corporate Briefing Book
Description: Briefing book for the Minister,
Commissioner and members of the Agency
Management Committee. It is updated annually
and after Cabinet shuffles.
Topics: Overview of the CRA, key issues and
initiatives.
Program Record Number: CRA FAB 490
Information Management Services
Description: Provision of library and records
services.
Topics: Provision to CRA employees of access to
required information resources and the delivery of
quality information that is relevant to the
performance of their duties in support of the
Agency’s programs. These resources include the
Tax Cases Collection, Loose-leaf Collection
(provides timely information on changes and
amendments to core areas of tax law), and
Revenue Canada Collection (historical research,
i.e. information circulars, IT Bulletins, T1 forms and
249
guides, internal reports and press releases).
Provision of access to required information in any
media to support both the CRA’s mandate and
internal functions.
Access: Filed by subject matter.
Program Record Number: CRA FAB 430
Modern Comptrollership
Description: Information on the CRA’s approach
to enhancing comptrollership across the
organization, including the articulation of a vision
for modern comptrollership and the development
of strategies for the Transparent Management for
Results initiative aimed at achieving this vision;
information on the CRA’s modern comptrollership
capacity and initiatives to address priorities;
information on the branch Comptrollership
Committee established to enhance comptrollership
at the CRA.
Topics: Various working documents covering the
development of a comptrollership vision and
business model, strategy documents, modern
comptrollership capacity, committee agendas and
minutes, as well as presentations and speaking
points.
Program Record Number: CRA FAB 460
Resource Management Information (RMI)
Description: This system provides databaseresident information on agency programs from the
standpoints of resource utilization, productivity, and
achievement of objectives in terms of the program
business line structure as well as the agency
organizational structure. It is comprised of a suite
of corporate systems and information bases of
agency activity and operating budget data from an
individual employee and contractor staff level to
the corporate level. The purpose of this information
bank is to serve as central repository for, and/or
linkage to, all agency resource management
information from employee leave tracking to multiyear resource and workload tracking and planning.
Access will not be permitted without adequate
proof of identification and/or authority.
Topics: Agency program plans, results and
analyses of results, workload forecasts and market
surveys, as well as emerging issues and trends.
Individuals identified in this bank are all employees
of the Canada Revenue Agency, as well as staff
members who are engaged under personal service
contracts. Components of the RMI suite include
Activity Management, which is used to track
activity costs and manage operating budgets,
leave and extra duty and to substantiate time
charged on contract staff invoices. The Human
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Resource component of the information base
provides data used for leave and extra duty
management. The Budget component is used from
the initial annual allotment through to the allocation
and adjustment of resources by responsibility
centre, work section and reporting object. The
Organization/Activity and/or Resources
Management framework component is used to
correlate the agency activities and organization
management structures. The Activity Costing
component is used to provide agency activity
management information. The Multi-Year Resource
Planning System is used for corporate planning,
estimates, supplementary estimates and TB
Submissions.
Program Record Number: CRA FAB 006
Revenue Accounting, Reporting and Analysis
Description: Information on accounting, analysis,
and reporting of Excise and Taxation revenue,
such as the Goods and Services Tax, Excise taxes
and duties, federal and provincial income taxes,
Canada Pension Plan contributions and
Employment Insurance premiums.
Topics: Cash-collections and disbursements from
revenue, i.e. refunds, rebates by type, i.e. Excise
and Taxation, assessed revenue (taxes for which
an assessment notice is issued), tax credits,
program payments, such as Goods and Services
Tax Credits, Child Tax benefits, Canada Pension
Plan and Employment Insurance Act transfer
schedules, royalty tax rebates, Employment
Insurance benefit repayments, settlement of tax
deductions with the Province of Quebec,
reconciliation of revenue deposits with chartered
banks, foreign fund charge backs, tax deduction
settlements with the Bank of Canada. Canada
Pension Plan, Employment Insurance Act;
unclaimed cheque suspense account; cancelled
cheques other than unclaimed cheque suspense;
annual reconciliation of cash on hand; duplicate
refund cheque data; accounts receivable as per
public accounts and interdepartmental settlement
notification data; revenues collected on behalf of
other government departments and provinces, such
as provincial sales taxes and provincial alcohol and
tobacco taxes and levies collected at the border,
the Air Transportation Tax, Offshore Sales Tax,
internal revenue transfer data, Bank Authorization
Numbers (BAN), First Nations’ Taxes (FNT).
Program Record Number: CRA FAB 320
Contracting
Description: Administrative records pertaining to
the contracting process and related approval
Canada Revenue Agency
documents for goods and services contracts
awarded by the CRA in support of the various
program activities that it undertakes.
Topics: Procurement planning and advance
approval documents; solicitation or tender
documents; contracts; standing offers; supply
arrangements; Information Technology
Professional Support Supply Chain; Task
Authorizations.
Access: Contracting information is accessible by a
variety of means, i.e. specific file number,
contractor’s name and address, type of goods or
services contracted, or specific organization or
region of origin for the contract. All basic
contracting information is readily available in the
Corporate Administrative Systems (CAS).
Program Record Number: CRA FAB 445
Security Services
Description: Information relating to the
establishment of safeguards and programs to
ensure the protection of CRA employees,
information and assets, conducting investigations
into suspected or actual employee misconduct,
monitoring electronic networks, establishing fraud
prevention methods and providing intelligence
services for the protection of employees and
assets.
Topics: Investigative reports with respect to
security incidents and threats against employees;
administrative investigation reports with respect to
allegations of employee misconduct.
Access: Filed by case and subject.
Program Record Number: CRA FAB 580
Sustainable Development
Description: Information on the CRA’s
commitment plans and progress toward
sustainable development. Pursuant to the Auditor
General Act, Canada Revenue Agency prepares
and implements sustainable development
strategies within the context of its mandate and
operations.
Access: On the Internet and internally through its
Intranet Web site.
Program Record Number: CRA FAB 540
Tax and Non-Tax Revenue
Description: Information on the analysis,
distribution and reporting of tax and non-tax
revenue; information and data on research,
analysis, draft proposals and approvals with
respect to the Agency’s financial policy, systems
and procedures.
Topics: Customs, Excise, taxation and non-tax
revenues, reconciliation of revenue collected with
Canada Revenue Agency
Bank of Canada deposit acknowledgements;
annual reconciliation of cash in transit; technical
information; legislative/regulatory requirements;
research problem definitions, proposals, alternative
solutions, reports, drafts and approvals.
Access: Files are arranged by subject and
number or by project.
Program Record Number: CRA FAB 420
Information Technology Branch
Assessment Processing
Description: Information on the development,
implementation and maintenance of EDP
(electronic data processing) systems and
procedures designed to determine the accuracy of
T1 individual income tax returns and related
schedules initially submitted by taxpayers, tax
preparers and agents in electronic, paper, or
telephone format, and of adjustments resulting
from additional information supplied by taxpayers,
tax preparers or agents or from verification initiated
by the Agency; information on the development,
implementation and maintenance of EDP systems
and procedures designed to capture information
from NISA (Net Income Stabilization Account)
application forms.
Topics: Operational and administrative
communications with various head office divisions
that have functional authority over systems
developed for them; computerized and manual T1
initial assessment and reassessment systems;
direct data entry (DDE); 2D Bar Coding scanning;
Electronic Filing (T1 EFILE, T1 Netfile, Efile
Online, Efile Online Plus); T1 TELEFILE; clients
making changes to their T1 using the Internet
(NetRAP); Services for Seniors; NISA (Net Income
Specialization Account); Tax Information Internet
Service for Individuals (My Account).
Program Record Number: CRA ITB 274
Benefit Outputs, Charities and Trusts Division
Description: A composite organizational structure
comprised of four distinct reporting units. One unit
supports the systems and programs falling under
The Children’s Agenda – an umbrella of federal
and provincial initiatives which include the Goods
and Services Tax Credit (GSTC), National Child
Benefit Supplement (NCBS), Canada Child Tax
Benefit (CCTB), Children’s Special Allowance
(CSA), and over 18 different provincial and
territorial benefit programs and products. Two units
support the Charities systems and programs,
which register an organization as a charity,
process its annual information return, and maintain
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the Web site. One unit supports the systems and
programs that process Trust Tax returns. This
includes the identification and assessing of Trust
returns according to federal and provincial
legislation and the provision of data to outside
departments.
Topics: The Division’s product suite includes
mainframe, distributed and Web-enabled
applications supporting batch processing, data
delivery mechanisms and enquiry/update
channels, as well as a number of internal
productivity tools, frameworks and technologies.
Program Record Number: CRA ITB 310
Business Number
Description: Business Number is a numbering
system used by government to identify clients
operating a business in Canada.
Topics: Documentation on the design,
development, testing, implementation and
maintenance of this system.
Program Record Number: CRA ITB 320
Case Management and Enforcement
Description: Documentation of several revenue
data and information processing systems, as well
as technical programming standards and
guidelines. Documentation is principally in the form
of program listings, run books and related
materials intended to support system development,
maintenance and operation.
Topics: System Universal DELPAC (Delinquent
Action Processing and Control) System (SUDS) –
Filing Enforcement for Individual and Corporate
Tax Returns; Filing Enforcement for Returns from
Charitable Organizations on behalf of the CARE
(Charity Assessing and Registration System), and
Registration Enforcement for the Goods and
Services Tax; Automated Collections and Source
Deductions Enforcement System (ACSES) and
Revenue Enforcement Management and
Information Tracking System (REMITS) – providing
support for the collection of overdue accounts;
Employer Sponsored Plans System (ESP) –
processing of employer sponsored pension plan
data; miscellaneous systems and programs such
as the Online Chargeout System (OLC) to control
issuance and location of income tax returns.
Program Record Number: CRA ITB 268
Client Identification
Description: Documentation in the form of
database models and descriptions applicable to
identification systems, including individuals (T1
Ident), businesses (Business Number), Goods and
Services Tax Registration, and discounters. Also
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documentation in the form of database models and
descriptions for applicable databases for Canadian
cities and their postal and locality codes (city
index), Canadian bank codes (direct deposit), and
refund payment information (payment enquiry
system).
Topics: Operational and administrative
communication to and from the various head office
divisions that have functional authority over
systems development for them.
Program Record Number: CRA ITB 266
Computer Operations
Description: Information on computer hardware
(the various computer components), operation of
computer equipment and the administrative
procedures used within the Operations Directorate.
Topics: Procedure manuals for data control;
tape/media library; tape library; computer room
security; scheduling; administrative computer
operations; Heron Data Centre and St. Laurent
Data Centre computer operations; production
control and various vendor equipment operations.
Program Record Number: CRA ITB 271
Corporate Administrative System (CAS)
Description: The Corporate Administrative System
(CAS) is a large SAP implementation which
supports the internal management of the CRA and
CBSA, i.e. human resources management, asset
management, finance, material management,
resource management, facility management and
procurement. A highly integrated system, CAS is
used by human resources, finance and
administration professionals across the two
agencies in conducting their day-to-day work. It is
used by corporate and program branches for
corporate management and analysis purposes.
Documentation includes information on the design,
development, testing, implementation and
maintenance of CAS.
Topics: Operational and administrative policies,
project plans, business requirements, program
specifications, change action requests,
architecture landscape, and training materials are
available.
Program Record Number: CRA ITB 260
Credit Determination
Description: Information on the development,
implementation and maintenance of all electronic
data processing of benefit programs. The Credit
Determination Division presently manages twentyfour credits. These credits are designed to
contribute to the economic and social wellbeing of
Canadians by, for example, reducing child poverty
Canada Revenue Agency
and helping parents of low-income families to
participate in the workforce. Fifteen of the twentyfour credits are for children: Canada Child Tax
Benefit (CCTB), including the National Child
Benefit Supplement (NCBS) and Child Disability
Benefit (CDB), British Columbia Family Bonus
(BCFB), including the British Columbia
Employment Income Bonus (BCEIB), Alberta
Family Employment Tax Credit (AFETC),
Saskatchewan Child Benefit (SCB), Northwest
Territories Child Benefit (NWTCB), Nunavut Child
Benefit (NUCB), Yukon Child Benefit (YCB), New
Brunswick Child Tax Benefit (NBCTB),
Newfoundland and Labrador Child Benefit (NLCB),
Mother Baby Nutritional Supplement for the
residents of Newfoundland and Labrador (MBNS),
Nova Scotia Child Benefit (NSCB), and Children’s
Special Allowance (CSA). Three credits are related
to the GST: the Goods and Services Tax Credit
(GSTC), Saskatchewan Sales Tax Credit (SSTC),
Newfoundland and Labrador Harmonized Sales
Tax Credit (NHSTC). The last credit, the
Newfoundland Seniors Benefit (NSB), is designed
to help senior citizens. On behalf of our
partnership with federal and provincial
governments, five credits are designed to help
Canadian citizens of low income by providing
federal-provincial tax rebates: Relief for Heating
Expense (RHE), British Columbia Tax Rebate
(BCER), Alberta Energy Tax Rebate (AETR),
Ontario Tax Dividend (OTD) and Nova Scotia Tax
Rebate (NSTR)
Topics: Operational and administrative
communications with various head office divisions
that have functional authority over systems
development for them; computerized and manual
applications for the Child Tax Benefit and Child
Special Allowance; electronic initial assessments
and reassessments for all social benefit programs;
electronic records of all payments and financial
adjustments to client accounts; electronic records
of all correspondence sent to benefit clients.
Program Record Number: CRA ITB 272
Disbursements / Individual Identification
Systems
Description: Documentation of several taxation
data and information processing systems.
Documentation is principally in the form of program
listings and run books intended to support
maintenance and operations.
Topics: RAPID - rapid information for district
enquiry programs, providing field offices with
online tax data on individuals (T1 Ident,
Disbursements); Taxation T1 Assessing Master
Canada Revenue Agency
File; Home Buyers Plan (HBP); Lifelong Learning
Plan (LLP); Pension Reform system; T1PR; Tax
Information Phone Service (TIPS); program
document for Canadian cities and their postal and
locality codes (City Index); Canadian bank codes
(Direct Deposit); and refund payment information
(Payment Enquiry System).
Program Record Number: CRA ITB 291
Equitas
Description: Equitas provides information storage
and retrieval used to process clients’ objections to
assessments of individual income tax. Equitas,
which is a component of a case management
system, maintains information specific to the notice
of objection.
Topics: Documentation includes: information on
the design, development, testing and
implementation of the components, applications
and infrastructure. Systems descriptions,
conceptual designs, database models, project
development and deployment schedules,
procurement records, integrated testing strategy
and problem reporting instructions, and a problem
management strategy are available.
Program Record Number: CRA ITB 390
Goods and Services Tax / Harmonized Sales
Tax (GST/HST)
Description: The GST/HST major business
functions are registration, data capture,
accounting, refunds/rebates, collections and audit.
Documentation includes information on the design,
development, testing, implementation and
maintenance of the GST/HST system.
Topics: Operational and administrative policies,
project plans, business requirements, program
specifications, and change action requests are
available.
Program Record Number: CRA ITB 270
Infodec System
Description: Documentation of several taxation
data and information processing systems.
Documentation is principally in the form of program
listings and run books intended to support
maintenance and operations.
Topics: Information declaration system (Infodec) data capture; amendment and storage of T4/T5
families of information returns; RAPID - rapid
information for district enquiry programs, providing
field offices with online tax data.
Program Record Number: CRA ITB 425
Other Levies System (OLS)
Description: OLS supports the administration of
the Excise Act and the non-GST provisions of the
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Excise Tax Act. The system has three major
components: Endorsing (licensing), Securing
(bonding), and Assessing.
Topics: Documentation includes information on
design, development, testing, implementation and
maintenance of OL systems. Operational and
administrative policies, project plans, business
requirements, program specifications and change
action requests are available.
Program Record Number: CRA ITB 400
Payroll Deductions – Accounting, and
Collections (PAYDAC) System
Description: The major business functions of the
PAYDAC system are accounting and enforcement
activities associated with the remittance of source
deductions by employers in Canada. Also included
are activities associated with processing employer
returns, including follow-up on missing returns, as
well as reconciliation of returns and amounts
posted to the account during the year. As well,
PAYDAC generates numerous outputs to
employers. Documentation includes information on
the design, development, testing, release
implementation and maintenance of PAYDAC.
Topics: Operational and administrative policies,
project plans, business requirements, change
requests, impact documents and program
specifications.
Program Record Number: CRA ITB 410
Public Outputs and Communications
Description: The Public Outputs and
Communications Section is responsible for the
development and maintenance of six national
software applications whose main function is to
deliver printed correspondence, primarily to
businesses as well as limited printed
correspondence to individual taxpayers. These six
applications are: ELCS (Electronic Letter Creation
System), which is used to generate standard and
customized letters to CRA clients; OTCS (Online
Taxpayer Correspondence System), which is used
at the T1 Initial Assessing stage to generate letters
requesting additional information; GST/HST
Notices and Outputs, a subsystem of the
GST/HST mainframe system which produces most
GST/HST public outputs (such as tax returns,
remittance forms, rebate applications, noncompliance/collection notices, and notices of
assessment); PAYDAC Notices, a subsystem of
the PAYDAC mainframe system which produces
the public outputs for the Source Deductions
Program, including statements of account, noncompliance/collection notices, and notices of
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assessment; NS-WCB (Nova Scotia Workers
Compensation Board) produces a monthly
statement of account for N.S. WCB clients, using
data received from the WCB program of NS;
BCCS (Business Client Communication System) is
CRA’s common corporate outputs system currently
used for accounting and assessing components of
the T2 and Other Levies applications.
Documentation includes information on the design,
development, testing, implementation and
maintenance of these applications.
Topics: Operational and administrative policies,
project plans, business requirements, program
specifications and change action requests are
available.
Program Record Number: CRA ITB 415
Residency Determination Advisory electronic
data processing system
Description: Individuals leaving or entering
Canada for an extended period of time are
encouraged to request a determination of their
residency to ensure that they understand their tax
obligation to Canada. The Residency
Determination Advisory System assists CRA
officers in determining an individual’s residency
status for Canadian income tax purposes.
Topics: Information on the development,
implementation, operation and maintenance of this
system, in the form of computer programs,
program run book database models and
descriptions, and related materials. Includes
operational and administrative communications
with various head office divisions that have
functional authority over the system, which
includes electronic records of residency
determinations and business rule logic.
Program Record Number: CRA ITB 278
Standardized Accounting
Description: Standardized Accounting posts
credits, debits or accounting non-financial
transactions to client accounts, updates the
Revenue Ledger, and issues Accounting
Communication.
Topics: Applying payments; validating and
applying net assessment/return amounts to client
accounts; validating and applying instalment or reassessment prepayment amounts to client
accounts; validating and applying account
adjustments to client accounts; calculating and
applying accounting penalties to client accounts;
applying accounting penalties to client accounts;
calculating and applying interest to client accounts;
offsetting credit balances within one program;
Canada Revenue Agency
issuing refunds; initiating standardized accounting
communications; reporting financial activity to
Revenue Ledger and facilitating account enquiries.
Program Record Number: CRA ITB 264
The Non-Resident Source Deductions (NRSD)
system
Description: The NRSD system is responsible for
the administration of Part XIII source deductions.
The major business functions of the system are:
Accounting, Assessments, Enforcement, Workloads
and Elections. The Accounting function accepts and
posts remittances received from Canadian agents
who withhold Part XIII tax from non-resident clients,
as well as various other financial transactions, to
administer the account. Accounting functions also
include GL/RL updates and financial controls.
Assessments are generated automatically or
manually and will issue notices for Failure To Remit
(FTR), Failure To Deduct (FTD), Penalty Interest and
Law Cost. Enforcement activities include the posting
of returns and a reconciliation process between the
NR4 return amounts and amounts posted to
accounts during the year as well as follow-up on
remittances, NR4 filing, filing discrepancies,
collections, and balance review. These activities may
result in output or workloads. Workloads include
allocation of work, office structures, and approval
limits for financial transactions. Non-resident clients
file elections to receive reductions in tax withholding
rates, and the NRSD system administers these
requests and issues letters to non-residents as well
as to Canadian agents who withhold Part XIII tax
from non-residents’ income. The NRSD system
records all activity posted to NR accounts through a
change log audit trail and user diaries. The NRSD
system also issues other types of output to
Canadian agents, such as monthly account
statements, and includes many other minor functions
related to major business functions such as error
correction. Documentation includes information on
the design of the system, development, testing,
release procedures, and annual maintenance of the
NRSD system.
Topics: Operational and administrative policies,
project plans, business requirements, change
requests, impact documents and program
specifications.
Program Record Number: CRA ITB 420
T1 (Individual Income Tax Return) / T3 (Trust
Return)
Description: Information on the development,
enhancement, maintenance and support of EDP
(electronic data processing) systems and
Canada Revenue Agency
procedures for T1 individual income tax return
accounting and various related applications.
Information on the development, enhancement,
maintenance and support of EDP systems and
procedures for T3 trust returns identification,
assessing and accounting.
Topics: T1 Accounting; Automated Interest
Calculation (AutoIntcal system); Automated Sub
Ledger (ASL); Employer Sponsored Pension Plans
(ESP); Individual Enquiries Computer Telephony
Integration (IECTI); Individual Enquiries Print (IEP);
Individual Enquiries Workbench (IEW); Instalment
Notices (INNS); T1 Matching; and T3 Accounting.
Program Record Number: CRA ITB 286
T2 (Corporate Tax Return)
Description: Information on the T2 Corporate
Return and documentation relating to Corporation
Assessing, Electronic Filing, Inquiries and
Changes.
Topics: EDI; Internet and paper filing of T2
returns; ongoing legislative changes; development
of interfaces with Standardized Accounting, the
Business Client Communication System (BCCS),
Case Management System (CMS), Business
Number (BN) and Revenue Ledger; transmittal of
Industry Canada information.
Program Record Number: CRA ITB 305
Waiver on Withholding Electronic Data
Processing System
Description: The Waiver on Withholding System
assists CRA officers in determining whether a
waiver of withholding taxes should be granted. The
Income Tax Act requires a withholding of tax from
certain amounts paid to non-residents of Canada
in respect of services rendered in Canada or to
certain residents of Canada working abroad. If,
however, a client can adequately demonstrate that
the withholding taxes normally required are in
excess of their ultimate Canadian tax liability, the
CRA may reduce the withholding tax accordingly.
Topics: Information on the development,
implementation, operation and maintenance of this
system, in the form of computer programs,
program run books, database models and
descriptions, and related materials; includes
operational and administrative communications
with various head office divisions that have
functional authority over the system. The system
includes electronic records of Waiver on
Withholding consultations and associated
comments, business rule logic and statistical,
information and ad hoc reports.
Program Record Number: CRA ITB 276
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Policy and Planning Branch
Agency Transition
Description: Information on the approach adopted
by Revenue Canada to effect its transition from
department to agency. Information on working
papers (agendas, minutes, progress reports, slide
presentations and consultants’ reports on specific
aspects of transition) of ad hoc Agency transition
committees.
Topics: Stemming from Bill C-43, the Canada
Revenue Agency Act, the main topics are: Human
Resources regime, governance of the Agency,
management of assets and various administrative
policies; more specifically to transition and “Day 1”,
communication strategy.
Access: The files are arranged chronologically,
starting in 1997 through the months preceding
“Day 1” (November 1, 1999).
Program Record Number: CRA PPB 460
Central Agencies – Reports
Description: Information on reports from Central
Agencies on Agency activities and replies.
Topics: Central agency reports outlining activities
reviewed and related correspondence.
Program Record Number: CRA PPB 470
Changes to International Provisions of the
Income Tax Act
Description: Information on recommendations for
changes to various provisions of the Income Tax
Act, e.g., provisions covering income of nonresident persons and shareholders of certain
corporations not resident in Canada.
Topics: Files on proposed changes to the Act
such as Part XIII (sections 212-217), dealing with
the taxation of income earned in Canada by nonresident persons (interest, dividends and royalties).
The provision for foreign tax credits in section 126
and the provisions dealing with residents in section
250 are further examples.
Program Record Number: CRA PPB 086
Charities Directorate - Client Files and Subject
Matter Files
Description: There is a client file for each
applicant for registration as a charity, Canadian
amateur athletic association (CAAA) or national
arts service organization (NASO) under the
Income Tax Act. The Directorate also maintains
subject matter files relating to the administration of
the Income Tax Act and the application of common
law as it relates to the registration of charities,
CAAAs and NASOs.
Topics: Client files are filed numerically and may
include applications, governing documents,
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determinations of eligibility of registration,
interpretations, annual information returns (forms
T3010/T3010A and T2052), and audit reports.
Subject matter files are broken down into specific
topics and may contain correspondence with
clients, taxpayers, and other government
departments, copies of court cases, administrative
and operational guidelines relating to registration,
and statistical information. Information is filed
chronologically under the relevant topic.
Access: The confidentiality provisions of the
Income Tax Act prevent information contained in
these program records concerning specific
taxpayers from being disclosed without the written
authorization of the taxpayers involved. However,
certain information about registered and previously
registered charities is available to the public.
Beginning with the 2000 taxation year, the annual
information returns filed by registered charities can
be found on the Charities Web site. Copies of the
return and other publicly available documents such
as charities’ governing documents, notifications of
registrations, and letters outlining reasons why
registration was revoked, are available upon
request to the Charities Directorate, by calling, tollfree, 1-877-202-5111, or by writing to the
Directorate at the Canada Revenue Agency,
Ottawa, Ontario, K1A 0L5. The Web site also
includes policy statements and commentaries,
publications and guidelines, including drafts for
consultation.
Program Record Number: CRA PPB 290
Corporate Planning, Reporting and
Governance
Description: Information on Corporate Planning,
Environmental Scanning, Corporate Performance
Reporting, Corporate Governance and
Accountability, Service Standards.
Topics: Governance Regime and Corporate
Accountability, Corporate Business Plans,
Strategic Overview, Summary of the Corporate
Business Plan, Report on Plans and Priorities,
Departmental Performance Report, Annual Report,
Ministerial Action Plan, Guide to Service Standards
in the CRA, presentation materials on business
plans and the planning process, Planning Guide,
Accountability Contracts for all senior managers.
Subject matter pertains to the corporate
governance, planning, reporting and accountability
processes, and the development of Service
Standards.
Program Record Number: CRA PPB 475
Canada Revenue Agency
Duty (Regional)
Description: Information on monitoring and
auditing of licensees liable for excise duties under
the Excise Act, 2001 and the Excise Act including
licensee information, implementation of Agency
operating procedures and directives for spirits,
wine, beer and tobacco.
Topics: Tax rulings; licensing; licensing and
registration status; statement of production;
monthly return of excise duty and monthly return of
licensed users; general correspondence.
Access: Filed by licensee company name.
Program Record Number: CRA PPB 126
Excise Duties
Description: Information on excise duties under
the Excise Act, 2001 and the Excise Act; on spirits,
wine, beer, and tobacco products; possession
production and warehousing of these products;
licensee information.
Topics: Excise duties – general; licenses and
registrations; spirits, wine and by-products;
blending; denatured alcohol; alcohol for fuel;
alcohol registrants; beer and breweries; bonds;
bonded carriers; distilleries; drawbacks and
refunds of excise duties; pharmacists; imports and
exports; of spirits, wine, beer and tobacco;
licences and permits; manufacturers in-bond;
monitoring; samples for analysis; special Excise
services charges; chemical stills; tobacco
manufacturing; warehousing; weighing and
measuring devices; fortified wine; approved
instruments; ferment-on-premises; bottle-your-own;
registrered users; and labels for approval.
Access: Subject Matter filed by commodity, i.e.,
alcohol, beer and tobacco.
Program Record Number: CRA PPB 075
Excise Taxes and Special Levies
Description: Information on the application of
excise tax under the Excise Tax Act on wine,
jewellery, tobacco products, petroleum and motor
fuels, automobile air conditioners, and automobiles
over specified weights; information on the
application and collection of tax on insurance
premiums under Part I of the Excise Tax Act;
information on the application of the charge under
the Air Travellers Security Charge Act; preparation
of policy statements, memoranda, and notices
concerning the application on non-GST portions of
the Excise Tax Act and Air Travellers Security
Charge Act.
Note: Excise taxes on wine and tobacco products
were repealed, effective July 1, 2003.
Topics: General wine, automobile air conditioners,
Canada Revenue Agency
jewellery, fuel taxes, projects, customs tariffs.
Access: Subject matter filed by commodity, i.e.,
wine, jewellery, tobacco, motor fuel, air
transportation, insurance premiums, air
conditioners and heavy vehicles.
Program Record Number: CRA PPB 030
Field Development
Description: Information on branch training
initiatives and programs related to tax
interpretations, for both rulings and interpretations
officers and auditors in the field and at
headquarters.
Topics: Work and service standards; casework
procedures; registration investigation procedures;
classification factors.
Access: Filed by subject.
Program Record Number: CRA PPB 130
Federal Sales Tax (FST) – Rulings
Description: Information on the eligibility of
companies or commodities for exemption from
sales or excise taxes and duties; eligibility for
refund in the form of rulings – precedent and policy
setting; Tariff Board, Canadian International Trade
Tribunal and court decisions in fields such as
manufacturers and producers, values for tax,
refunds, conditional exemptions, containers and
coverings, clothing and footwear, and other
general commodity headings.
Topics: Liability for tax, manufacturing or
producing, refunds and exemptions from tax for
goods such as production equipment, processing
materials, foodstuffs, clothing and footwear, farm
and forest goods, educational, cultural, religious
and literary goods, and other types of commodities
listed in Schedule III of the Excise Tax Act.
Access: Rulings (Automated Information System
(RISE) and card file) and CRA Electronic Library.
Program Record Number: CRA PPB 134
Income Tax Rulings – Subject Matter Files
(Primary Files)
Description: Correspondence with taxpayers on
matters relating to interpretations of the Income
Tax Act and Regulations, including copies of
advance income tax rulings and requests for
technical interpretations.
Topics: Subject files are broken down into specific
subject topics as listed in the index to the Income
Tax Act and Regulations and related legislation,
e.g. income from an office or employment, capital
cost allowances, gifts, dividends, property,
deceased taxpayers, expenses. Files contain both
the incoming taxpayer enquiry and outgoing
response.
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Access: Correspondence is filed chronologically
under the relevant topic. A card index is
maintained to assist in locating specific
correspondence either under the taxpayer’s name
and/or that of his or her representative. The
confidentiality provisions of the Income Tax Act
prevent information contained in this program
record concerning specific taxpayers from being
disclosed without the written permission of the
taxpayers involved.
Program Record Number: CRA PPB 041
InfoZone
Description: Information on the CRA Intranet site
which provides CRA employees with immediate
access to all CRA technical information,
publications, forms, announcements, newsletters
etc. in both official languages.
Topics: Contains CRA policies, standards, and
procedures, forms and templates, media and other
news services, training and development,
workplace practices and opportunities, technology
and related issues, and reference material such as
telephone books, organization charts, contact lists,
and numerous publications. Agency statistics from
all business lines are on the Intranet Site including
personal and corporate income tax, excise taxes
and duties, GST/HST, Child Tax Benefits, GST
Credit, Scientific Research and Experimental
Development (SR&ED) tax incentive, etc.
Access: Users can browse through a general
homepage which links to all other branches and
sources of information.
Program Record Number: CRA PPB 455
International Representation
Description: Information on Agency activities with
various international organizations.
Topics: International Tax Dialogue (ITD) (see Web
site); Inter American Centre of Tax Administrators
(CIAT); European Community (EC); Organization
of American States (OAS); General Agreement on
Tariffs and Trade (GATT); United Nations
Conference on Trade and Development
(UNCTAD); and others.
Access: Filed by subject; organizations, by name;
and trade negotiations, by country.
Program Record Number: CRA PPB 445
Interpretations
Description: Information and research on complex
tax issues, cases referred by the regional offices
and the taxpaying public, and questions resulting
from legislative policy changes, such as budget
resolutions and Ways and Means motions.
Topics: General correspondence from taxpayers,
258
consultants and representative industries on
specific tax rulings by commodity subject, e.g.
transportation equipment, aircraft, foodstuffs, fuel,
and electricity.
Access: Filed by subject number.
Program Record Number: CRA PPB 140
Legislation
Description: Information on aspects of existing or
proposed legislation.
Topics: Research, correspondence and
recommendations relating to amendments to the
Excise Tax Act, Excise Act, and Softwood Lumber
Products Export Charge Act.
Access: Filed by subject.
Program Record Number: CRA PPB 080
Legislative and Intergovernmental Affairs
Branch Memoranda – Research Material
Description: Information on interpretations
concerning significant or problematic income tax
matters. Research files contain copies of
technically significant interpretations, rulings, legal
opinions and position papers in connection with
each memorandum issued to Agency staff.
Topics: Technical interpretations, background
information and intended effect on certain aspects
of the Income Tax Act, Canada Pension Plan,
Employment Insurance Act, reciprocal tax treaties,
and income tax acts of agreeing provinces and
related regulations; specific topics such as
universities outside Canada, forgiveness of loans;
and educational institutions.
Program Record Number: CRA PPB 036
Management Policies
Description: A database containing tombstone
data on CRA administrative, human resource and
corporate policies.
Topics: Information includes the name of the
policy, authoring Branch, effective date and review
cycle.
Program Record Number: CRA PPB 480
Mathematical Tax Models – Operation and
Control
Description: Information on the objectives, work,
duties and responsibilities of the various excise,
GST/HST, benefit, tax and fiscal model work
groups; tax model sample selection schemes;
computer database files (which may involve data
mining and matching for statistical purposes only)
and record layout; computer program
documentation; computer simulation system
documentation; and data capture instructions.
Topics: Administrative workload and processing
model; personal taxation simulation model;
Canada Revenue Agency
corporation taxation simulation model; GST/HST
model, First Nations’ Sales Tax Model, etc., data
capture instructions; techniques to prevent the
releases of identifiable taxpayer information;
corporate individual and family database files;
operational computer programs; sampling
techniques.
Program Record Number: CRA PPB 485
Operations Research Studies
Description: Information on the statement of a
problem, method of approach, and the
mathematical and operations research and
econometric techniques involved in each study;
summary of data requirements, design and
procedures required to perform each study;
system analysis; design and programming
documentation to process data from each study;
and data analysis, reports, data files (which may
involve data matching for statistical purposes only)
and correspondence produced during each study.
Topics: Planning process studies; effectiveness
studies; work optimization studies; workload and
file selection studies; profile analysis; trend
analysis studies.
Program Record Number: CRA PPB 490
Other International Matters
Description: Information on relations with the
Department of Foreign Affairs, other governments,
taxpayers (both domestic and foreign) and
international organizations, and on matters not
covered under other program records.
Topics: Sovereign immunity and non-resident
problems; international joint programs;
Commonwealth Association of Tax Administrators
(CATA); Organization for Economic Cooperation
and Development (OECD); Roundtable Meeting,
International Microsimulation Conference, Centro
Interamericano de Administradores Tributarios
(CIAT); Centre de rencontre et d’études des
dirigeants des administrations fiscales (CRÉDAF).
Program Record Number: CRA PPB 076
Performance Measurement
Description: Information on the Balanced
Scorecard, which is a performance measurement
methodology that helps an organization align and
focus management efforts on achieving its
strategies and objectives. The records include
information on the development of the
BSC/Performance Measurement for the CRA, the
system being developed to collect and manage
data and inform corporate reporting, and the
material developed to introduce the BSC to
managers at all levels throughout the CRA.
Canada Revenue Agency
Topics: BSC measures and indicators, definitions
of measures and indicators for the CRA, logic
models, communication strategy, policies.
Program Record Number: CRA PPB 465
Proposed and Enacted Amendments
Description: Information on memoranda,
discussion papers and other background material
in connection with proposed amendments. This
material is maintained in confidential files until
each amendment is passed by Parliament. Some
of the material may remain classified as
confidential even after a proposed amendment is
enacted such as written material from other
departments (Department of Finance), background
information and legal opinions.
Topics: Correspondence and liaison memoranda
with other divisions, the Department of Finance
and other government departments; subject matter
files, by section of the Income Tax Act, containing
all material related to a given amendment.
Program Record Number: CRA PPB 037
Provincial Information
Description: Information on dealings with the
Department of Finance, provincial governments,
and other divisions within the Agency on the
administration and interpretation of the law,
collection agreements and changes to provincial
law. Statistics are data captured and analysis is
carried out on behalf of the provinces and
territories. This statistical information is transmitted
in the form of reports, files, charts, etc.
Topics: Exchange of information and statistics
with provincesand territories regarding individual
taxpayers; exchange of information and statistics
with the provinces and territories regarding
individual and corporation taxpayers, non-filers,
GST/HST, benefits, incentives, excise, trusts,
pensions; etc.; interpretation of federal and
provincial income tax acts; provincial budget
changes, proposed and enacted; interpretation of
collection agreements; administration of collection
agreements.
Program Record Number: CRA PPB 081
Registered Pension and Deferred Income Plans
Description: Information on the registration, audit
and approval of amendments to employees’
pension plans (EPPs), deferred profit sharing
plans (DPSPs), education savings plans (RESPs),
supplementary employment benefit plans
(SUBPs), retirement savings plans (RRSPs),
retirement income funds (RRIFs), and registered
investments (RIs); actuarial advice on the approval
of employer contributions to employee pension
259
plans; development of forms and information
circulars. Information concerning these seven
deferred income programs is also available via the
CRA’s Web site. Included in this information are:
forms, newsletters, guides, information circulars,
interpretation bulletins, compliance bulletins,
minutes of consultation sessions, frequently asked
questions, registered investment listings,
information concerning pension adjustments, past
service pension adjustments and pension
adjustment reversals, the mandate and
organization of the Registered Plans Directorate
as well as contact information.
Topics: Research and subject files on specific
provisions concerning EPPs, DPSPs, RESPs,
SUBPs, RRSPs, RRIFs and RIs (contain letters to
and from taxpayers); administrative and
organizational practices for processing applications
for registration and amendments to plans;
instructions for the audit of registered pension and
deferred income plans; instructions for completing
style letters; instructions for completing computer
transcripts for the ESP system; development and
amendment of forms; development and
amendment of information circulars.
Program Record Number: CRA PPB 117
Regulations
Description: Information on memoranda,
discussion papers, correspondence and other
background material relating to new regulations or
amending existing ones ; copies of Orders-inCouncil and schedules thereto, submission letters
and communications between the Deputy Minister
and the Minister. Some of the material is
confidential and may not be released. This
includes written material from other departments
(Department of Finance), background information
and legal opinions.
Topics: Liaison with other divisions, departments
or agencies; subject matter filed by regulation part
number containing materials related to
amendment; chronological file containing master
copies of all amendments and communications
from the Deputy Minister to the Minister.
Program Record Number: CRA PPB 038
Relations with Provinces and Territories
Description: Information on federal-provincial
relations, including the development of national
policies strategic plans, accountability
documentsm and memorandua of understanding
And statistics in support of federal administration
of provincial and territorial tax programs.
Topics: Policy documents; accountability reports;
260
memoranda of understanding; statistical reports
and analysis.
Program Record Number: CRA PPB 045
Risk Management
Description: Records related to functional
leadership in the implementation of strategic risk
management within the CRA.
Topics: Risk Management, Integrated Risk
Management, Risk Arena, Risk Identification, Risk
Assessment, and Mitigation Strategies.
Program Record Number: CRA PPB 500
Social Security Agreements
Description: Information on the negotiation of
social security agreements with Quebec and
foreign governments in conjunction with Health
Canada, and the implementation of these
agreements. Canada has social security
agreements with, for example, France, Greece,
Italy, Jamaica and Portugal.
Topics: Negotiations of the agreements;
implementation of the agreements.
Program Record Number: CRA PPB 091
Statistical Services to the Agency
Description: Information on forecasts of expected
filing patterns for businesses, GST/HST and
individual income tax returns, and on statistical
schemes and consulting services provided to
divisions in the Agency. Data on tax filer
behaviours and trends.
Topics: Consulting services provided to the
Agency; statistical methodology support provided
to the Agency’s managers.
Program Record Number: CRA PPB 505
Statistics – Operations, Control and Release of
Data
Description: Information on the objectives, work,
duties and responsibilities of the various work
groups calculating statistics; computer program
documentation and design; sample designs, data
capture techniques and instructions; database files
(which may involve data mining and matching for
statistical purposes only) and record layouts;
requests for and releases of data; and data
calculations compilations.
Topics: Statistics on individuals with various
breakdowns by age, sex, occupation, and
geographic region; corporation income statistics,
GST/HST statistics, Excise data, benefit programs
statistics, corporate statistics and administrative
statistical data; requests for and releases of
statistical information by source, personal,
corporation and family GST/HST, Excise, etc.,
sample files; statistical sample designs for collecting
Canada Revenue Agency
the statistics listed above; listings of agencies legally
entitled to data; releases of taxation data to federal
and provincial/territorial agencies; monthly and
quarterly tax collection, tax filing, GST/HST filing
reports, etc.; internal administrative statistics on
assessments, audits, and post-assessment projects.
Program Record Number: CRA PPB 510
Taxation Research Master Files (Chronological
File)
Description: Information authored within Income
Tax Rulings on technically significant tax law
interpretations, income tax rulings, requests for
legal opinions in respect of specific sections of the
Income Tax Act and Regulations and other related
legislation included in the Income Tax Rulings’ files.
Topics: Subject topics are the same as indicated
in CRA PPB 041 except they are filed
chronologically in two week periods.
Access: Correspondence is filed chronologically.
There is no specific index to these files other than
a reference to the date. The confidentiality
provisions of the Income Tax Act prevent
information concerning individual taxpayers from
being disclosed without the written permission of
the taxpayers involved. As of January 1993, these
documents are available for sale to the general
public. As of January 1996, these documents were
placed in the Legislation Access Databank (LAD).
The contents of LAD are available for viewing in
the libraries of tax services offices. LAD was
replaced by the CRA electronic library effective
May 1, 2002.
Program Record Number: CRA PPB 049
Taxation Research Master Files (Secondary
Files)
Description: Information on technically significant
tax interpretations, income tax rulings, and legal
opinions in respect of specific sections of the
Income Tax Act, Regulations and other related
legislation included in the Income Tax Rulings’
subject matter files. In many cases the taxpayers
involved are identified.
Topics: Subject topics are the same as indicated
in CRA PPB 041 except that they are filed by
section and/or subsection of the Act, e.g. section
5(1) income from an office or employment, section
115 non-residence taxable income earned in
Canada, section 130 investment corporations.
Access: Correspondence is filed chronologically
under the relevant section or subsection. A card is
maintained to assist in locating specific
correspondence either under a taxpayer’s name
and/or that of his or her representative. The
Canada Revenue Agency
confidentiality provisions of the Income Tax Act
prevent information concerning specific taxpayers
contained in this program record from being
disclosed without the written permission of the
taxpayers involved. Since June 1992, these files
are no longer updated due to a new electronic
filing system.
Program Record Number: CRA PPB 046
Tax Treaty Files
Description: Information on the negotiation of all
tax treaties including all notes and minutes of
negotiation meetings.
Topics: Separate series of files for each set of
negotiations with treaty countries, and general files
on the interpretation of treaties. Some examples
include treaties with Australia, Barbados, Belgium,
Israel, Switzerland, the United Kingdom, and the
United States.
Program Record Number: CRA PPB 071
Technical Publications and Programs
(Headquarters)
Description: Excise and GST/HST technical
information necessary for registrants and licensees
to comply voluntarily with the Excise and GST/HST
legislation is published electronically.
Topics: This includes the GST/HST, Excise Duty,
and Excise Taxes and Special Levies Memoranda
Series, Policy Statements, the GST/HST News,
and Technical Information Bulletins.
Access: Records Management Files, InfoZone,
CRA Internet site, CRA Electronic Library, EBBS
(electronic versions for subscribing publishing
houses).
Program Record Number: CRA PPB 136
Regional Operations
Rebate Claims – Fuel Tax Rebate
Description: Information on the processing and
tracing of applications and cheques for rebate of
the fuel tax on aviation fuel or diesel fuel: data and
statistical collection.
Topics: Reviewing of rebate applications:
automated data on claimant history, status of
claims and cheque issuance; Fuel Tax System
(claimant identification online system); Fuel Tax
Rejects Automated Control Environment.
Access: The applications are on microfilm while
the originals are filed in the National Archives of
Canada by locator number; correspondence
requesting status or resulting in tracing action is
held on claimant’s file, filed alphabetically by
name.
Program Record Number: CRA RGO 055
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Refund Claims – Excise Gasoline Tax
Description: Information on the processing and
tracing of applications and cheques for refund of
the Excise Tax on gasoline: data and statistical
collection.
Topics: Reviewing of refund applications:
automated data on claimant history, status of
claims and cheque issuance; Gasoline Excise Tax
System, (claimant identification online system);
Gasoline Rejects Automated Control Environment.
Access: The applications are on microfilm while
the originals are filed in National Archives of
Canada by locator number; correspondence
requesting status or resulting in tracing action is
held on claimant’s file, filed alphabetically by
name.
Program Record Number: CRA RGO 050
Registered Vendors’ Certificates – Fuel Tax
Rebate
Description: Information on the processing and
tracing of applications for registered vendors’
certificates for the fuel tax rebate program: data
and statistical collection.
Topics: Reviewing of rebate applications for
registered vendors’ certificates: automated data on
status of application and certificate number when
issued. (Registered Vendor’s Certificate claimant
identification online system).
Access: The applications are online while the
originals are filed in the National Archives of
Canada by locator number; correspondence
requesting status or resulting in tracing action is
held in claimant files, which are sorted
alphabetically by name.
Program Record Number: CRA RGO 065
Sales Tax Bulk Permits – Fuel Tax Rebate
Description: Information on the processing and
tracing of applications for sales tax bulk permits for
the fuel tax rebate program: data and statistical
collection.
Topics: Reviewing of permit applications:
automated data on status of application and permit
number when issued. (Sales tax bulk permit
claimant identification online system).
Access: The applications are on microfilm while
the originals are filed in the National Archives of
Canada by locator number; correspondence
requesting status or resulting in tracing action is
held in claimant files, which are sorted
alphabetically by name.
Program Record Number: CRA RGO 060
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Public Affairs Branch
Access to Information and Privacy
Description: Information on the Agency’s Access
to Information and Privacy programs,
consultations, policies, training materials and
procedures. Information on complaints filed against
the Agency relating to the processing of requests.
Topics: Consultations, policy, training, procedures
and report files; access to information and privacy
case files.
Access: Policies, training materials, and
procedures are filed by subject. Requestors’ case
files and consultations are numbered sequentially.
Requests are cross-referenced to the information
holdings.
Program Record Number: CRA PAB 440
Communications
Description: Strategic communications planning
documents, including communications strategies;
advisory documents for the minister’s and
commissioner’s reference, responses to ministerial
and public enquiries.
Topics: All current and future issues pertaining to
the normal operations of the Agency.
Access: Filed by subject.
Program Record Number: CRA PAB 560
Director General – PIA Review Committee
Description: Records pertaining to Privacy Impact
Assessment submissions for review by a group of
Director-General level representatives from each
of the CRA Headquarters Branches, which is
chaired by the Director, ATIP Directorate.
Topics: Correspondence, agendas, minutes of
meetings and documents relevant to PIA issues for
the Agency.
Program Record Number: CRA PAB 520
Info Source Working Group
Description: Records pertaining to meetings to
discuss the annual Info Source update with
representatives from each of the CRA
Headquarters Branches and chaired by
representatives of the ATIP Directorate.
Topics: Correspondence, agenda, minutes of
meetings and documents relevant to Info Source
issues for the Agency.
Program Record Number: CRA PAB 530
Issues Management and Ministerial Services
Description: Agency briefing books for the
minister’s reference, including suggested Question
Period responses; suggested responses to media
inquiries; questions and answers on current
issues.
Topics: All current issues that the minister should
Canada Revenue Agency
be aware of, and suggested appropriate responses
or Agency stances.
Access: Filed by subject. Records are held jointly
by PAB and program branches.
Program Record Number: CRA PAB 570
Publishing Services
Description: Information and administrative
records pertaining to the delivery of publishing
services (paper and electronic) and related
approval documents; information on the
development of various publishing projects;
publishing policies; databank of all publications
registered/processed by EPMD.
Topics: Management of publishing portfolio;
annual publishing plan process; content
management; project management; production;
publishing costs; print specifications; requisitions;
inventory management; print-to-mail; advanced
approvals; internal processes.
Access: The information is accessible through a
variety of files, a publishing database (EDDS and
EPTS) and on the Internet/Intranet.
Program Record Number: CRA PAB 110
Revenue Collections Branch
Accounts Receivable
Description: Information on the planning and
development of work programs; policies and
procedures dealing with delinquent client accounts;
development of internal and public forms and
transcripts and statistical information to be
reported to the Public Accounts Committee; review
of computer-based operational processing
systems; information on the technical application
of the interpretations regarding collection of
income tax, GST/HST Excise/Customs, Canada
Pension Plan contributions and Employment
insurance premiums.
Topics: Collections activities completed, internal
instructions, fiscal year reports and resource
rationalization and allocation; collections cases
(individual, Excise, Customs and corporate);
statistics (computer data on computer-based
systems, e.g. PAYDAC, T1 Accounting, GST,
CORPAC); Auditor-General queries; case law;
demands for payments; accounts receivable
programs; collections (general matters pertaining
to collection of accounts); federal acts affecting
collection techniques; collection and control of
petroleum and gas revenues and/or royalties
subject to taxation; monitoring of accounts
receivable activities; uncollectible debt reviews.
Program Record Number: CRA RCB 190
Canada Revenue Agency
Accounts Receivable – Informatics
Description: Information on the development of
policies, procedures and guidelines pertaining to
automated data capture systems, the direct
deposit system and electronic data interchange;
review and development of computer-based
technology; information on security for computerbased technology.
Topics: Automation of payments owing to tax filers
(e.g. income tax overpayments, Canada Child Tax
Benefit payments, Goods and Services
Tax/Harmonized Sales Tax Credit payments);
Direct Deposit system; implementation of
computer-based technology (e.g. electronic funds
transfer, automation of payment allocation).
Program Record Number: CRA RCB 275
Coverage Policy and Legislation
Description: Information on Agency policy and
procedures in all areas pertaining to coverage
under the Canada Pension Plan and Employment
Insurance Act and under the Administrative
Arrangement related to the Social Security
Reciprocal Agreements; operational and
administrative guidance to field offices.
Topics: Pensionability and insurability of
payments and status of individuals and employers’
records of earnings; statistics.
Program Record Number: CRA RCB 187
Integrated Revenue Collections
Description: Information on the planning and
development of systems and processes to support
improvements in the identification and
management of Revenue Collections Branch
(RCB) workloads and evaluation of RCB
programs.
Topics: Research and analysis of RCB program
information and results in order to detect and
understand compliance trends by client group or
industry sector; improved reporting, statistical
analysis, ad-hoc query and file selection capability;
data analysis activities; ability to model impact of
program changes; business and system
requirements for RCB workload identification,
management and distribution processes.
Program Record Number: CRA RCB 550
Non-Filers/Non-Registrants
Description: Information on computerized
programs for action against delinquent taxpayers,
entities not registered for the GST, and potential
registrants for the GST; objectives, work, duties
and responsibilities of the Non-Filer/NonRegistrant sections; interdepartmental referral
selection and investigation of non-filers and non-
263
registrants; special projects; matching third-party
information to income tax returns for the purpose
of identifying non-filers and GST/HST registration
requirements.
Topics: Delinquent action – individuals,
corporations, estates and trusts; application of
penalties for repeated failures and false
statements or omissions (sub-sections 163(1) and
163(2) of the Income Tax Act), assessments raised
under section 152(7) of the Income Tax Act;
computerized delinquent action system (SUDS);
prosecution for failure to file income tax returns;
special delinquent action projects; identification of
non-filers and non-registrants; methods of
obtaining compliance; non-filer reporting system
and other third-party information sources.
Program Record Number: CRA RCB 181
Other Levies Programs (maintained in the
Other Levies System [OLS])
Description: Information on the planning, control
and monitoring of Excise Tax (excluding GST),
Excise Duty and Air Travellers Security Charge
(ATSC) filers assessment and reassessment
programs; systems, procedures, and related
policies designed to check the accuracy of OL
returns, to determine adjustments required and to
issue notices of assessment or reassessment;
information on the endorsements that are captured
in relation to licensing Excise Tax and Excise Duty
clients and registering Excise Duty and ATSC
clients with OLS; information on the planning,
control and monitoring of programs related to the
storage and retrieval of OL returns.
Topics: Other Levies assessment and
reassessment - computerized and manual; OL
compliance - verification system - computerized
and manual; directives to field offices on the
interpretation of policies and procedures;
operational and administrative communications
with field offices, headquarters divisions and other
government departments; reports evaluating field
offices; assessment and reassessment of OL
returns.
Program Record Number: CRA RCB 365
Research Operations
Description: Information on technical, financial
and statistical compliance research projects.
Topics: Liaison with federal, provincial and foreign
governments; data accumulation, interpretation
and application to project requirements;
recommendations for statutory revisions.
Program Record Number: CRA RCB 267
264
Source Deductions
Description: Information on the planning and
development of federal and provincial income tax,
Canada Pension Plan and Employment Insurance
payroll deduction tables, research on federal and
provincial income tax, Canada Pension Plan and
Employment Insurance legislation, provisions of
the Income Tax Act concerning payroll deductions
on federal and provincial income tax, Canada
Pension Plan and Employment Insurance rates
and related Regulations; trust examination policy
and procedures; operational and administrative
guidance to field offices; development of internal
and public forms and transcripts; monitoring
procedures, techniques and statistical data; review
of computer-based operational processing systems
including INFODEC (Information Declaration
Enquiry System); development of administrative
and enforcement policy and procedures for all
deductions at source (manual or computerized).
Topics: Federal and provincial income tax,
Canada Pension Plan and Employment Insurance
tables, data relating to prosecutions (failure to
remit deductions at source); processing and
verification of information returns; source
deduction programs; payroll audits; employer
compliance audits; withholding, remitting and
reporting; monitoring of source deduction activities;
operational and administrative communications to
field operations.
Program Record Number: CRA RCB 188
Trust Accounts and Accounts Receivable
Planning
Description: Information on Trust Accounts and
Accounts Receivable organization; strategic and
long term planning related to trust accounts and
accounts receivable programs; budgeting for trust
accounts and accounts receivable programs.
Topics: Planning and development of policies,
procedures and guidelines for trust accounts and
the collection of tax requiring long term
implementation; budget process for trust accounts
and collection of tax; allocation of resources;
statistical gathering; reporting on trust accounts
and accounts receivable programs.
Program Record Number: CRA RCB 270
Standard Program Records
Please see the INTRODUCTION to this publication
for the definition of Standard Program Records
and a Description of their contents.
Access to Information and Privacy Requests
Employment and Staffing
Canada Revenue Agency
Hospitality
Human Resources
Personnel
Proactive Disclosure
Relocation
Staff Relations
Training and Development
Travel
Particular Personal Information
Banks
Appeals Branch
Appeals Regarding the Canada Pension Plan
and the Employment Insurance Act
Description: This bank contains documents
related to appeals of rulings or assessments
relating to pensionable or insurable employment
under the Canada Pension Plan and/or the
Employment Insurance Act. Included in each case
file are documents such as appeals, reports,
working papers, evidence, correspondence,
employee lists, questionnaires, pensionable and
insurable earnings and hours, decisions and
judgments, and any other records related to the
file.
Class of Individuals: Persons disagreeing with
the Agency’s rulings or assessments.
Purpose: The information compiled, on a case-bycase basis, is used to determine coverage under
the Canada Pension Plan and Employment
Insurance Act.
Consistent Uses: The data assembled also assist
Human Resources and Skills Development
Canada in the administration and payment of
benefits under the Canada Pension Plan and the
Employment Insurance Act.
Retention and Disposal Standards: After a file
has been completed and the Ministerial
Notification letters mailed, the complete file is to be
retained by the tax services office for a period of
two years plus one quarter, pending notification of
an appeal to the Tax Court of Canada. It is
subsequently to be destroyed.
RDA Number: 93/020
Related PR#: CRA APP 315
TBS Registration: 002770
Bank Number: CRA PPU 130
Fairness Registry
Description: The Fairness Registry is an Agencywide system that provides a point-of-entry data
Canada Revenue Agency
capture facility to record the details of all Fairness
Requests for relief of interest and penalties under
the Fairness legislation and which retains this data
in an online environment for retrieval and
reference.
Class of Individuals: Individuals, corporations,
employers, importers and exporters, estates and
trusts, GST/HST filers and non-residents.
Purpose: The system was developed to provide a
national method of gathering the relevant
information in order to ensure appropriate
application of the related legislation through the
monitoring facilities and to support the production
of both financial and non-financial reports.
Consistent Uses: The principle use of the registry
is to record requests under the Fairness provisions
for relief of interest and penalties. The Fairness
Registry data and input from the various
accounting systems are used by the Statistical
Tracking Analysis and Reporting System (STARS)
to produce financial reports accounting for relief
actually granted under Fairness provisions, as is
required by section 24.2 of the Financial
Administration Act (FAA). A wide variety of other
reports for monitoring purposes are also available
through both STARS and directly through the
Fairness Registry via the Platinum Report Facility
(PRF).
Retention and Disposal Standards: The
information on the active database will be retained
for a five-year period, and then deleted.
RDA Number: 92/006
Related PR#: CRA ACB 192
TBS Registration: 003943
Bank Number: CRA PPU 155
Assessment and Client Services Branch
Applicants for Refund of Federal Excise Tax on
Gasoline
Description: Data include information respecting
each claimant such as their account number,
employee status and group. Individuals identified
in this bank have filed a gasoline refund claim. The
account number is used as the reference number.
Class of Individuals: Members of the public who
have filed a claim for a gasoline tax refund.
Purpose: This bank exists for the purpose of
refunding members of the general public making
application under the Excise Tax Act, for a portion
of the excise tax paid on gasoline used for
qualifying purposes. The bank is used for the
purpose of examining individual claims for gasoline
excise tax refunds, and may be used to inspect
claimant’s receipts and supporting documents
265
related to such claims.
Consistent Uses: The principal use of this bank is
to support the audit programs and required
collection actions, and to respond to the claimant’s
enquiries regarding their tax refund.
Retention and Disposal Standards: Each claim
is retained for a period of seven years and then
destroyed.
RDA Number: Under review
Related PR#: CRA RGO 050
TBS Registration: 000014
Bank Number: CRA PPU 052
Canada Child Tax Benefit (CCTB) DataBank
Description: This bank contains information used
to determine an individual’s eligibility and
entitlement for the CCTB and records any
subsequent activity on that individual’s CCTB
account. This bank also contains information used
to determine an individual’s eligibility for the Child
Disability Benefit (CDB), which is a supplement of
the CCTB program. Eligibility for the CDB is
determined by information accessed from the
Disability Tax Credit program (program record CRA
ACB 325). Information is also used to administer
other provincial and territorial programs on behalf
of those provinces and territories along with the
Children’s Special Allowance (CSA) program.
Class of Individuals: Individual tax filers.
Purpose: The purpose of this bank is to provide
an accurate and current record of all activities on
an individual’s CCTB account. This databank
enables authorized employees to reply to clients’
enquiries accurately and quickly and supports
programs that validate information to support
eligibility and to facilitate correct calculation of
benefits.
Consistent Uses: In addition, information related
to the National Child Benefit Supplement, a
component of the CCTB, is provided to an
individual’s resident province or territory to allow
the province or territory to adjust the individual’s
social assistance payments or payments made
under a provincial or territorial law. As well, the
Agency transfers information to other provincial
and territorial departments where legislation
authorizes them to obtain CCTB information.
Retention and Disposal Standards: Information
will be retained for a period of two years following
the last administrative action and then destroyed.
RDA Number: 98/011
Related PR#: CRA ACB 126, CRA ACB 131, CRA
ACB 305, CRA ACB 315, CRA ACB 325
TBS Registration: 003210
Bank Number: CRA PPU 063
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Claims for Refund of Taxes Paid Under the
Excise Tax Act
Description: Data includes a claimant’s name,
address, telephone number and reason why a
refund is being requested.
Class of Individuals: Members of the general
public.
Purpose: The purpose of this bank is to maintain
a record of the names and addresses of the
claimants making application for refund of excise
taxes paid under the provisions of the Excise Tax
Act. The bank is used to identify and support each
amount of tax refunded.
Consistent Uses: The principal use of this bank is
to support the audit programs, enforcement
procedures and required collection actions, and to
respond to tax filers’ enquiries regarding their
refund.
Retention and Disposal Standards: Records are
maintained for a period of five years then
destroyed.
RDA Number: Under review
TBS Registration: 000013
Bank Number: CRA PPU 046
Claims for Refund or Rebate of Taxes Paid
Under the Excise Tax Act (G.S.T. and H.S.T.)
(Excluding Visitor Rebates)
Description: Data include claimant’s name,
address, telephone number, GST/HST
registration/business number and reason a refund
or rebate is being requested.
Class of Individuals: Members of the general
public. This bank includes both corporate and
personal information.
Purpose: The purpose of this bank is to maintain
a record of the names and addresses of the
claimants making application for rebate of Goods
and Services Tax/Harmonized Sales Tax and/or
refund of excise taxes paid under the provisions of
the Excise Tax Act. The bank is used to identify
and support each amount of tax rebated or
refunded.
Consistent Uses: Information in this bank, subject
to a formal federal-provincial harmonization
agreement, may also be shared with provincial
authorities involved in the administration of the
Goods and Services Tax/Harmonized Sales Tax
Programs.
Retention and Disposal Standards: Records are
maintained for a period of five years then
destroyed.
RDA Number: 97/003
Canada Revenue Agency
Related PR#: CRA ACB 133
TBS Registration: 002753
Bank Number: CRA PPU 091
Federal Sales Tax Inventory Rebate Program
Description: Data includes a claimant’s name,
address, telephone number, GST registration
number as well as information provided for GST
registration such as annual sales volume and
nature of business.
Class of Individuals: Members of the public who
will be filing a claim for a rebate of the federal
sales tax content of inventories as of January 1,
1991.
Purpose: The bank exists for the purpose of
payment to Goods and Services Tax registrants
who made applications under the Excise Tax Act
for rebate of the federal sales tax content of
qualifying inventories of goods on hand as of
January 1, 1991.
Consistent Uses: Information in this bank, subject
to a formal federal-provincial harmonization
agreement, may also be shared with provincial
authorities involved in the administration of the
Goods and Services Tax program.
Retention and Disposal Standards: Applications
will be retained for a period of six years and then
destroyed.
RDA Number: 98/008
Related PR#: CRA ACB 133
TBS Registration: 002754
Bank Number: CRA PPU 086
Goods and Services Tax / Harmonized Sales
Tax Credit (GST/HST credit) DataBank
Description: This databank contains the
information used to determine an individual’s
eligibility (including eligibility for the Newfoundland
Harmonized Sales Tax Credit, the Saskatchewan
Sales Tax Credit and the Newfoundland and
Labrador Senior Benefit), along with all applicable
financial transactions and the reasons why a
payment may have been withheld (e.g. debt owing
to the Agency). In addition, it records any
subsequent activity on an individual’s GST/HST
credit account (e.g. changed eligibility or
entitlement, and additional cheque issued).
Class of Individuals: Individual tax filers.
Purpose: The purpose of this bank is to provide
an accurate record of all the activities on an
individual’s GST/HST credit account for each tax
year.
Consistent Uses: This data bank enables Agency
field staff, who are the principle users of the
system, to reply to individual tax filers’ enquiries
Canada Revenue Agency
accurately and quickly thereby increasing the level
of service to tax filers. It also supports programs
that validate information in order to support
eligibility and to facilitate correct calculation of
credits.
Retention and Disposal Standards: Information
will be retained for a period of two years following
the last administrative action and then destroyed.
RDA Number: 98/008
Related PR#: CRA ACB 222
TBS Registration: 003016
Bank Number: CRA PPU 140
Individual Income Tax Return
Description: This bank contains all information
supplied by tax filers on the annual income tax
return, as well as correspondence, third-party
information and Agency working papers relating
thereto. Access will not be permitted without
authority and/or adequate proof of identification,
including a Social Insurance Number and
signature.
Class of Individuals: Tax filers.
Purpose: The purpose of this bank is to provide
financial information required in the administration
and enforcement of the income tax legislation and
regulations of Canada nine provinces, and the
territories, and the parts of the Canada Pension
Plan, and the Employment Insurance Act and
Regulations, for which this Agency is responsible.
Consistent Uses: The principal use of this bank is
to support the audit programs, enforcement
procedures, and collection actions required, and to
respond to tax filers’ enquiries regarding their
income tax affairs. Selected information from this
bank is shared under approved sharing
agreements with various provincial and federal
authorities. Information received from employers
and other sources is used to verify, for subsequent
adjustment where necessary, income and
deduction data reported by a taxfiler.
Retention and Disposal Standards: Tax returns
of the majority of tax filers are retained in
accordance with the provisions of the Access to
Information and Privacy Acts. The remainder,
which are required mainly for statistical purposes,
are retained for an additional two years.
RDA Number: 92/005
Related PR#: CRA ACB 040
TBS Registration: 002014
Bank Number: CRA PPU 005
Information Returns (Infodec) Databank
Description: This databank contains information
on individuals and businesses that are recipients
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of funds or benefits. Payers through information
return report this information to the Agency. The
types of information include: salaries, wages,
taxable benefits, self-employed commissions,
annuities, retirement allowances, dispositions of
publicly traded debt obligations (stocks and
options), various types of investment income such
as interest, dividends, royalties and capital gains,
as well as benefits paid by worker’s compensation
boards and social assistance agencies. This is the
database that contains amounts withheld at
source, such as CPP, QPP, EI and tax. There is
also information on fees, commissions and other
amounts paid to non-residents of Canada. The
databank contains basic identification information
such as payers’ names and addresses.
Class of Individuals: Individual tax filers and
businesses.
Purpose: The purpose of this bank is to provide
the Agency with information to ensure that
individuals and businesses are accurately
reporting the income that is reflected on these
slips (including T4 (various), T5, T5007, T5008,
T5018, T3, T1204, NR4).
Consistent Uses: It is utilized for verifying
individuals’ and businesses’ returns, to ensure they
have reported the amounts received. The
programs utilizing this information are: Audit,
Accounts Receivable, T1 Individual Income Tax
Returns, T2 Corporation Initial Assessment and
Reassessment Programs. Comparisons are made
with Human Resources Development data to
determine if the correct Employment Insurance
and Canada/Quebec Pension Plan rates are
recorded for calculating future benefits under these
programs.
Retention and Disposal Standards: The
information is maintained active for the current
plus two immediate years and inactive in the
National Archives Federal Record Centres for a
further one to four years, depending on the type of
information return. All information on T4s and T4As
is kept on microfiche or CD-ROM. All other types
of information are destroyed once the retention
period expires.
RDA Number: 92/006
Related PR#: CRA RCB 190, CRA ACB 125, CRA
ACB 126 & CRA ACB 131.
TBS Registration: 003942
Bank Number: CRA PPU 150
Petroleum and Gas Production Revenue Tax
Accounts
Description: This databank, which is maintained
in the Ottawa Tax Centre, contains records of all
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payments of Part 1 Tax and all interest and
penalties assessed in accordance with the
requirements of the Petroleum and Gas Revenue
Tax Act. This information is recorded on ledger
cards.
Class of Individuals: Individual tax filers.
Purpose: The purpose of this bank is to establish
and maintain an up-to-date accounting record of
transactions relating to the administration of the
Petroleum and Gas Revenue Tax.
Consistent Uses: Information is passed to tax
services office collection officers electronically via
a link from the Automated Subledger System
(ASL) to the Automated Collections and Source
Deductions Enforcement System (ACSES), to
reference when enforcing payment of taxes by
delinquent tax filers. Access to information
pertaining to these accounts will be permitted
when adequate proof of identification is provided,
e.g. an account number, signature and/or
authorization from the tax filer.
Retention and Disposal Standards: Ledger
cards are maintained for five years subsequent to
an account becoming nil.
RDA Number: Under review.
Related PR#: CRA ACB 192
TBS Registration: 002203
Bank Number: CRA PPU 068
Petroleum and Gas Revenue Tax Return
Description: This bank contains all information
supplied by tax filers on their annual Petroleum
and Gas Revenue Tax Return, as well as
correspondence, third-party information and
Agency working papers relating thereto. The tax
filer may be an individual, a trust, a corporation or
some other business entity.
Class of Individuals: Individuals or corporations
filing Petroleum and Gas Revenue Tax Returns.
Purpose: The purpose of this bank is to provide
financial information required in the administration
and enforcement of the Petroleum and Gas
Revenue Tax Act. These returns are retained for
the current tax year and the four taxation years
immediately prior.
Consistent Uses: The principal use of this bank is
to support the audit programs, enforcement
procedures, and required collection actions, and to
respond to relevant tax filers’ enquiries regarding
their petroleum and gas revenue tax affairs.
Access will not be permitted without adequate
proof of identification, including account number,
signature and/or authority.
Retention and Disposal Standards: Records in
this bank are retained for five years.
Canada Revenue Agency
RDA Number: Under review.
Related PR#: CRA ACB 139
TBS Registration: 003535
Bank Number: CRA PPU 011
Pre-Authorized Debit (PAD) System Database
Description: Client information concerning their
Pre-Authorized Payment Plan is stored by
individual Social Insurance Number. The database
stores all Pre-Authorized Debit information,
payment plan option, frequency and amount for up
to three years.
Class of Individuals: All taxpayers.
Purpose: To offer T1 individuals who pay by
instalments or who are in arrears a new simpler
payment option. Pre-Authorized Debit is one of the
CRA’s new Electronic Commerce initiatives.
Consistent Uses: The database is used to view
clients’ banking information, which is stored in the
T1 Individual Ident Database, for identification and
authentication purposes only.
Retention and Disposal Standards: Each
expired or cancelled agreement is stored on the
PAD Database for 3 years. Afterwards, the
agreement is sent to archives where it is stored on
tape for an additional seven years and then
destroyed.
RDA Number: 92/006
Related PR#: CRA ACB 280
TBS Registration: 005098
Bank Number: CRA PPU 185
Problem Resolution Program
Description: This bank contains the names,
telephone numbers and identification numbers
(e.g. Social Insurance Numbers and Business
Numbers) of tax filers and businesses whose
problems have been referred to the Problem
Resolution Program in one of the Agency’s tax
services offices and tax centres. It also includes
description of the problems and the action(s) taken
to solve them. Access will be provided upon proof
of identification showing an individual’s or
business’ name, address and identification number
and/or, in the case of a representative, proof of
authorization.
Class of Individuals: Canadian tax filers.
Purpose: The purpose of this information bank is
to store information and analyse problem trends.
Consistent Uses: Only used as reference in
situations where subsequent requests are made.
Retention and Disposal Standards: Records are
retained for two years.
RDA Number: 92/006, 92/005
Related PR#: CRA ACB 141
Canada Revenue Agency
TBS Registration: 002024
Bank Number: CRA PPU 115
Public Key Infrastructure (PKI) Internal
Identification
Description: As per the CRA Certificate Authority
Internal Certificate Policy (CRA CA CP - Internal),
the identity of individuals employed by the CRA
must be verified prior to issuance of PKI
certificates enabling secure online transactions.
The information may be collected in paper or
electronic format and may include protected
information such as employee name, PRI or date
of birth. Information collected for identification and
authentication purposes includes the employee’s
name and SMTP mail address, which are
published to the X.500 directory.
Class of Individuals: Employees, contractors.
Purpose: PKI certificates will be used to enable
telecommuting capabilities and secure email for all
CRA employees.
Consistent Uses: The information gathered prior
to the issuance of PKI certificates is for
identification and authentication purposes only.
Retention and Disposal Standards: All records
containing sensitive plain-text information are
stored in accordance with the Government
Security Policy (GSP). CRA correspondence
(Subscribers’ Agreements and any identification
and authentication information) and reports are
archived for a minimum of six years. All records
are considered “Protected B” and destroyed as per
guidelines.
RDA Number: 98/001
Related PR#: CRA ACB 345
TBS Registration: 006400
Bank Number: CRA PPU 216
Registrants for the Goods and Services
Tax/Harmonized Sales Tax (GST/HST)
Description: This bank contains information on
persons registered as well as potential registrants
for the GST/HST. The information includes names
of sole proprietors, names of partners in a
partnership, names of authorized corporate
officers, contact persons’ names and titles, Social
Insurance Number where applicable for
individuals, telephone and fax numbers, and
official language preference for corresponding with
the Agency.
Class of Individuals: Owners of sole
proprietorships, partners in a partnership,
authorized corporate officers, contact persons.
Purpose: This bank is required to store personal
information on registrants and potential registrants
269
for GST/HST.
Consistent Uses: Information in this bank, subject
to a formal federal-provincial harmonization
agreement, may also be shared with provincial
authorities.
Retention and Disposal Standards: Active
registrant information will be kept on an ongoing
basis. Records on individuals who have ceased to
be registered are maintained for a period of five
years and then destroyed.
RDA Number: 97/033
Related PR#: CRA ACB 133, CRA ACB 134
TBS Registration: 002664
Bank Number: CRA PPU 066
Retirement Compensation Arrangements
Refundable Tax Accounts
Description: This databank, which is maintained
in the Winnipeg Tax Centre, contains records of all
payments and assessments of Part XI.3 Tax,
including all interest and penalties assessed in
accordance with the requirements of the Income
Tax Act. This information is recorded on an
automated sub ledger system.
Class of Individuals: Individual tax filers.
Purpose: The purpose of this bank is to establish
and maintain an up-to-date accounting record of
transactions related to the administration of the
Income Tax Act, specifically Part XI.3.
Consistent Uses: Information is passed to tax
services office collection officers electronically via
a link from the Automated Sub ledger System
(ASL) to the Automated Collections and Source
Deductions Enforcement System (ACSES), to
reference when enforcing payment of taxes by
delinquent tax filers. Access to information
pertaining to these accounts will be permitted
when adequate proof of identification is provided,
e.g. account number, signature and/or
authorization from the tax filer.
Retention and Disposal Standards: Sub ledger
information is maintained for seven years
subsequent to an account becoming nil.
RDA Number: 92/006
Related PR#: CRA ACB 192
TBS Registration: 002204
Bank Number: CRA PPU 061
Revenue Accounting – Goods and Services
Tax/Harmonized Sales Tax
Description: Information system pertaining to a
registrant’s name, address, telephone number,
Business Number, value of taxable sales, tax
collectible and remitted, input tax credits claimed,
rebate claims, notices of assessment, tax filer
270
accounts, penalties and interest, and debits and
credits by registrant’s name from GST/HST returns
and remittances.
Class of Individuals: Owners of sole
proprietorships, partners in a partnership,
authorized corporate officers, contact persons.
This bank includes both personal and corporate
information.
Purpose: To report net tax collectible by
registrants under the provisions of the Excise Tax
Act (GST/HST), to capture data pertaining to
rebates under the legislation and, over time, to be
able to analyse GST/HST financial data.
Consistent Uses: Information in this bank, subject
to a formal federal-provincial harmonization
agreement, may also be shared with provincial
authorities involved in the administration of the
Goods and Services Tax/Harmonized Sales Tax
programs.
Retention and Disposal Standards: Records are
kept for seven years and then destroyed.
RDA Number: 96/052
Related PR#: CRA ACB 134
TBS Registration: 002755
Bank Number: CRA PPU 080
Special Returns by Plan Trusts (T3ATH-IND,
T3D, T3P, T3M, T3RI, T3RIF-IND, T3S)
Description: This bank contains the T3ATH-IND,
Amateur Athlete Trust Income Tax Return; T3D,
Deferred Profit Sharing Plan or Revoked Plan
Information Return and Income Tax Return; T3M,
Environmental Trust Income Tax Return; T3P,
Employees’ Pension Plan Income Tax Return;
T3R-IND, Registered Retirement Savings Plan
Income Tax Return; T3RI, Registered Investment
Income Tax Return; T3RIF-IND, Registered
Retirement Income Tax Return; and T3S,
Supplementary Employment Benefit Plan Income
Tax Return; and related schedules and
correspondence.
Class of Individuals: Trusts.
Purpose: The purpose is to facilitate the
assessment and collection of taxes owed by trusts,
and to support audit programs and enforcement
procedures with regard to the investments made
by the trusts. Access will be permitted with
adequate proof of identification, including Account
Number, signature and/or authority.
Consistent Uses: The principal use of this bank is
to support the audit programs, enforcement
procedures, and required collection actions, and to
respond to tax filers’ enquiries regarding their
income tax affairs. Selected information from this
bank is shared under approved sharing
Canada Revenue Agency
agreements with various provincial and federal
authorities. Information received from employers
and other sources is used to verify, for subsequent
adjustment where necessary, income and
deduction data reported by tax filers.
Retention and Disposal Standards: The returns
are retained for the current taxation year and the
four taxation years immediately prior and then
destroyed.
RDA Number: 92/006
Related PR#: CRA ACB 139
TBS Registration: 003534
Bank Number: CRA PPU 020
T3 Trust Information and Income Tax Return
Description: This bank contains all information
supplied by every person acting in a fiduciary
capacity, such as executors, trustees or
administrators for a trust, as well as
correspondence and Agency working papers
relating thereto.
Class of Individuals: Trusts.
Purpose: The purpose of this bank is to provide
financial information and enforcement of the
Income Tax Act and Regulations, as they relate to
trusts. The principal use of this bank is to support
the audit programs, enforcement procedures,
and/or required collection actions, and to respond
to enquiries originating from executors, trustees or
administrators of an estate or trust. Access will be
permitted with adequate proof of identification,
including Social Insurance Number, signature
and/or authority.
Consistent Uses: The principal use of this bank is
to support the audit programs, enforcement
procedures, and/or collection actions required, and
to respond to enquiries originating from executors,
trustees or administrators of an estate or trust.
Access will be permitted with adequate proof of
identification, including Social Insurance Number,
signature and/or authority.
Retention and Disposal Standards: The returns
are retained for the current taxation year and the
four taxation years immediately prior and then
destroyed.
RDA Number: 92/006
Related PR#: CRA ACB 139
TBS Registration: 003536
Bank Number: CRA PPU 015
Taxation Individual Accounting and Master File
Description: Records maintained in this bank are
categorized by status (e.g. credit available) and
include all financial transactions between individual
tax filers and the Agency. Access will not be
Canada Revenue Agency
permitted without adequate proof of identification
including Social Insurance Number and/or
authority. The ongoing master file is updated
continuously. At year-end, the Records on the
Master file are converted for processing in the
New Year Format. Currently, no data is purged or
deleted from the file. Financial activities, including
assessments, have been maintained online for all
clients since the start of the 1987 program year.
Some data for processing years prior to 1987 is
maintained online for those accounts active at that
time.
Class of Individuals: Individual tax filers.
Purpose: The purpose of this bank is to account
for T1 accounts receivable and instalment credits
of individual tax filers and the penalty, interest and
law costs related thereto.
Consistent Uses: The principal use of this bank is
to record amounts owed by individuals and any
instalment payments being held for future use.
Where applicable, information pertaining to a tax
filer’s indebtedness is supplied to the tax filer’s
debtors and the courts to facilitate attachment.
Retention and Disposal Standards: Data related
to an Individual Accounting Master File is neither
deleted nor purged but rather converted annually
to the New Year format.
RDA Number: 92/006, 92/005
Related PR#: CRA RCB 190
TBS Registration: 002018
Bank Number: CRA PPU 055
Taxation Rapid Information
Description: This bank contains selected data
from the Taxpayer Master File and the centralized
accounting and collections master file, e.g.
identification, filing, assessment, refund data and
amount, and tax accounting transactions and
collection data. Coverage is restricted to individual
tax filers.
Class of Individuals: Individual tax filers.
Purpose: The purpose of this bank is to provide
online access from tax offices to individual tax
filers’ computer records of their tax assessment,
accounting and/or collection data. The principal
use of this bank is to provide immediate responses
to enquiries received at any tax services office
from individual tax filers and their authorized
representatives. Access will not be permitted
without adequate proof of identification, including
Social Insurance Number and/or authority. New
Rapid files are created every calendar year and
updated as activity occurs in the “parent” files.
Consistent Uses: The principal use of this bank is
to support the audit programs, enforcement
271
procedures, and required collection actions, and to
respond to tax filers’ enquiries regarding their
income tax affairs. Selected information from this
bank is shared under approved sharing
agreements with various provincial and federal
authorities. Information received from employers
and other sources is used to verify, for subsequent
adjustment where necessary, income and
deduction data reported by a tax filer.
Retention and Disposal Standards: Where a
new file is created, the old file is destroyed.
RDA Number: 92/006
Related PR#: CRA ACB 191
TBS Registration: 003540
Bank Number: CRA PPU 045
Taxation Taxpayer Master File
Description: This bank serves as a depository for
information on individuals, i.e. name, address,
account number and tax data. The tax data is
available as current information, which
commences with the 1987 year, and historic
information, which commences with the 1978 year.
Access will not be permitted without the necessary
authority and/or adequate proof of identification,
including a Social Insurance Number and
signature.
Class of Individuals: Individual tax filers.
Purpose: This bank provides statistical data for
several analysis and support systems; provides
and maintains a uniform account number system
for tax filer identification by using the Temporary
Taxation Number or Social Insurance Number,
which is used in Canada by the Central Index; and
enables the Canada Revenue Agency to
administer, under the approved authority, the
Employment Insurance Act and Canada Pension
Plan Act. Social Insurance Numbers may be used
to match information slips filed by employers and
payers such as banks, trustees, executors and
administrators with returns in this bank, for the
purpose of income verification and identification of
people who have not filed an income tax return.
The information in this bank concerns persons who
have filed a tax return for a given year. The
principal use of this bank is to access T1 individual
tax return information. Identification and income
data is provided to federal, provincial and territorial
programs. Use of selected information from this
bank is made by Statistics Canada in light of
entitlements prescribed in the Statistics Act.
Consistent Uses: The principal use of this bank is
to support various programs, and to respond to
enquiries originating directly from clients and/or
from authorized representatives regarding their
272
clients’ income tax affairs.
Retention and Disposal Standards: The
retention period for this information varies
according to the record retention and disposal
schedules of the subject files in which they are
maintained. For the specific amount of time that
these records are retained by the Canada
Revenue Agency, please contact our ATIP
Coordinator.
RDA Number: 92/006, 92/005
Related PR#: CRA ACB 171, CRA ACB 276
TBS Registration: 003537
Bank Number: CRA PPU 040
Tax filer Representative Identification System
(TRIS) Databank
Description: This system has two separate
databanks that serve as depositories for
information pertaining to tax filer representatives.
The first databank contains information on legal
and authorized representatives (individuals, third
parties and corporations) to whom the CRA has
been authorized, by the respective client(s) or by
the courts, to release confidential tax filer
information upon request. In order for an
authorized representative to be entered into the
databank, clients must provide either a properly
completed and signed consent form or a letter of
authorization. In order for a legal representative to
be entered into the databank, the client or
representative must provide legal documentation
identifying that person as the legal representative
(holder of a power of attorney, executor of a will,
administrator of an estate, etc.). The second
databank contains specific information related to
trustees in bankruptcy and tax discounters. These
individuals and corporations are not authorized to
have access to confidential tax filer information
unless it has been granted by their respective
clients and has been entered into the first
databank.
Class of Individuals: Individuals and
corporations.
Purpose: The purpose of the databanks is to
maintain an up-to-date electronic record of
authorized tax filer representatives, trustees in
bankruptcy, and discounters for use by authorized
agency staff.
Consistent Uses: This first data bank enables
authorized employees to verify and respond to
third party enquiries by verifying that they are
authorized representatives. The second data bank
is used by various CRA systems and personnel for
various processing purposes.
Retention and Disposal Standards: The
Canada Revenue Agency
information on this database will be retained
indefinitely or until such time as a client authorizes
it be modified or deleted.
RDA Number: 92/006
Related PR#: CRA ACB 305, CRA ACB 222, CRA
ACB 126, CRA ACB 131, CRA ACB 139
TBS Registration: 004467
Bank Number: CRA PPU 175
Visitors Application for Rebate of Goods and
Services Tax (GST)/Harmonized Sales Tax
(HST) on Short-Term Accommodation and
Goods Purchased in Canada
Description: This bank contains information on
individuals or corporations who filed an application
for a rebate of the Goods and Services
Tax/Harmonized Sales Tax on short-term
accommodation and goods purchased while in
Canada. These parties include worldwide visitors
to Canada as well as foreign and/or domestic tour
operators, convention organizers or travel agents.
The information may include family or business
names and addresses, tourist travel expenditures,
visit dates and the amount of GST/HST rebated on
short-term accommodation and goods purchased
while in Canada.
Class of Individuals: Visitors to Canada, tour
operators, convention organizers, travel agents or
authorized representatives. This bank includes
both corporate and personal information.
Purpose: This bank is used to store personal
information that will be used in the administration
of the Visitors Rebate Program and to identify
spending, filing patterns, trends and other
statistical information.
Consistent Uses: Information in this bank, subject
to a formal federal-provincial harmonization
agreement, may also be shared with provincial
authorities involved in the administration of the
Goods and Services Tax/Harmonized Sales Tax
Programs.
Retention and Disposal Standards: Records are
maintained for a period of two years and then
destroyed.
RDA Number: 97/033
Related PR#: CRA ACB 129
TBS Registration: 003118
Bank Number: CRA PPU 106
Compliance Programs Branch
Competent Authority Cases
Description: Competent Authority Cases are
records of taxpayer requests for assistance with
respect to international taxation issues under the
Advance Pricing Arrangement and Mutual
Canada Revenue Agency
Agreement Procedures Programs. These records
contain information provided by a foreign country,
the Canada Revenue Agency, taxpayers and/or
their representatives. Access will be provided upon
proof of identification including name, address and
Social Insurance Number and/or, in the case of a
representative, proof of authorization.
Class of Individuals: Taxpayers subjected to
actual or potential double taxation or taxation not
in accordance with the convention.
Purpose: The information is compiled to discuss
and resolve competent authority cases as well as
to negotiate Advance Pricing Arrangements.
Consistent Uses: Information may be used to
deal with cases having the same general fact
pattern in order to ensure consistency and
fairness. Information may be disclosed to foreign
governments, provincial governments or other
federal government departments/agencies to the
extent that it is relevant in dealing with a particular
taxpayer’s international tax issues.
Retention and Disposal Standards: Records in
this bank are retained indefinitely.
RDA Number: 92/007
Related PR#: CRA CPB 261
TBS Registration: 002021
Bank Number: CRA PPU 085
Detection and Investigations
Description: The information held in this bank
consists of narrative investigation reports
describing the information that has led to
enforcement action and to subsequent steps
taken. Coverage is restricted to persons and/or
companies suspected of having committed
infractions. This bank is automated and managed
by the AIMS computer software program.
Class of Individuals: Persons who have been
involved in non-compliance, tax avoidance, tax
evasion and fraud with respect to the Excise Tax
Act, Excise Act, Income Tax Act and other related
legislation.
Purpose: The purpose of this bank is to maintain
records pertinent to the enforcement and the
administration of the Excise Tax Act, Excise Act,
Income Tax Act and other related laws.
Consistent Uses: The information is used
primarily to investigate potential alleged or known
violations of the Excise Tax Act, Excise Act,
Income Tax Act and other related legislation.
Information in this bank, subject to a formal
federal-provincial harmonization agreement, may
also be shared with provincial authorities involved
in the enforcement and administration of the
Goods and Services Tax. It may also be used for
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data-matching purposes.
Retention and Disposal Standards: Investigation
reports relating to the Excise Tax Act, Excise Act
and Income Tax Act are retained for five years
after the date a case is closed or all appeal
periods have expired, whichever is later. All other
information collected for the purpose of the Excise
Tax Act, Excise Act and Income Tax Act is retained
for up to eight years and then destroyed.
RDA Number: 93/004
Related PR#: CRA CPB 136
TBS Registration: 002752
Bank Number: CRA PPU 095
Electronic Waiver on Withholding (EWOW)
System
Description: A mainframe “expert” system
database, which is used daily by field officers to
process requests for waivers of withholding tax.
These requests are received from either nonresident persons under sections 102, 105 or 805
of the Income Tax Regulations, or Canadian
residents seeking a tax waiver under the
Overseas Employment Tax Credit (OETC)
program. Under the “Undue Hardship” provision
found at subsection 153(1.1) of the Income Tax
Act, the Minister may reduce the withholding
required if the waiver applicant can demonstrate
that the withholding required is in excess of the
tax liability to Canada. Names and addresses of
applicants and their respective payers or
employers, amounts paid for self-employed or
employment service days spent in Canada and
outside Canada during the term of a contract, and
expenses claimed and treaty exemptions claimed
(non-residents) are some of the pieces of
information kept in the database.
Class of Individuals: Non-resident persons
providing employment services in Canada, nonresident persons carrying on business in Canada
through a permanent establishment, and
Canadian residents working overseas for
Canadian employers.
Purpose: The information is compiled and
reviewed in accordance with each new waiver
application under the “Undue Hardship” provision.
Current service information may be linked with
historical data to help officers determine whether a
waiver should be accorded the applicant. Prior to
the issuance of a waiver, officers ensure that
applicants have complied with their Canadian
income tax requirements and responsibilities.
Consistent Uses: Information is used daily as
part of processing procedures as well as for trend
analysis, program enhancement and potential
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enforcement projects, including matching with T1
and T2 processing systems.
Retention and Disposal Standards: The
database was created in 1996 and records have
not been deleted since then. Since historic
records are used to review current waiver
requests, disposal dates have not been
considered.
RDA Number: 92/007
Related PR#: CRA CPB 189
TBS Registration: 0044