FormalPara Key Points

  • The OCAP® principles of ownership, control, access, and possession assert that First Nations peoples have control over data collection processes in their communities and that they own and control how information can be stored, interpreted, used, or shared.

  • OCAP® received registered trademark status by the Canadian Intellectual Property Office in August 2015. The First Nations Information Governance Centre is responsible for upholding the trademark.

  • OCAP® provides principles for interpretation by each First Nation or community in a way that supports their core values and belief systems.

  • With the full implementation of OCAP®, First Nations can no longer be treated as a mere source of data with no consideration for their unique worldviews and cultural systems.

OCAP®Footnote 1 (Ownership, Control, Access, Possession) asserts that First Nations have control over data collection processes in their communities and that they own and control how information can be stored, interpreted, used, or shared. OCAP® is not intended as a pan-Indigenous set of principles; rather, it is a set of First Nations principles that encompasses First Nations practices and values regarding applying ancestral ways and sharing of knowledge systems. The oral tradition is a highly sacred process and is the mechanism by which knowledge is transferred. The guiding principle and value of how data are collected and treated within this system is centered in respect and data sovereignty by First Nations.

The History of OCAP®

The concepts that underlie OCAP® are neither new nor unique; however, the acronym and terminology were not formalized until 1998 at a First Nations and Inuit Regional Longitudinal Health Survey (the precursor to the Regional Health Survey) National Steering Committee (NSC) meeting in Canada. During a brainstorming session, Cathryn George, the representative from the Association of Iroquois and Allied Indians, suggested the acronym OCA (ownership, control, access). As First Nations’ possession of their own data is of equal importance, the steering committee soon added the letter P, giving the current name of OCAP® (Fig. 8.1).

Fig. 8.1
The OCAP and PCAP logo. OCAP reads ownership, control, access, and possession. PCAP reads propriety, control, access, and possession.

OCAP/PCAP logo. (© FNICG)

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In 2000, NSC became the First Nations Information Governance Committee. In 2009, National Chiefs in Assembly mandated the NSC to become a stand-alone, non-partisan, apolitical, non-profit organization, subsequently named the First Nations Information Governance Centre (FNIGC), which was formed and incorporated in April 2010 [1].

The concept and formalized term OCAP® faced challenges from the beginning, due to universities and other organizations misinterpreting, misapplying, and misusing the principles. Due, in part, to these difficulties, the FNIGC Board of Directors undertook the process of trademarking OCAP® (PCAP® in French)—first as a trademarked acronym and logo (OCAP™/PCAP™).

Alberta First Nations leadership passed the OCAP™ Resolution 30-03-2010-03R during the Assembly of Treaty Chiefs (AOTC) on March 30, 2010. The resolution is intended to promote, protect, and advance the First Nations principles of OCAP™ and the First Nations’ inherent rights to self-determination and jurisdiction over research and information management.

FNIGC was granted registered trademark status by the Canadian Intellectual Property Office in August 2015. The FNIGC and its regional satellite organizations (10 in total, 1 being the Alberta FNIGC) are now responsible for upholding and “defending the integrity” [2] of the name, logo, and principles of OCAP® for First Nations as a whole.

The Principles of OCAP®

Ownership

Ownership refers to the relationship of a First Nations community to its cultural knowledge, data, and information. It is distinct from stewardship, which is discussed in more detail below, under the principle of possession. In the same way an individual owns their own personal information, so too a community or group collectively owns its information. This includes intellectual property rights that arise from First Nations information. Where First Nations people do not have stewardship (possession) of their own data, their ownership of the information can still be recognized in data-sharing agreements and other legally binding documents.

Control

First Nations, their communities, and representative bodies must have jurisdiction and oversight over how information about them is collected, used, and disclosed. “This principle extends to all aspects of information management, from collection of data to the use, disclosure, and ultimate destruction of data” [3].

Access

First Nations are entitled to and must be given access to data and information being held about their individuals and communities regardless of which individual or organization has possession of the data. This “principle also refers to the right of First Nations communities and organizations to manage and make decisions regarding access to their collective information” [3].

Possession

Possession is distinct from ownership in that it speaks to the stewardship (physical location or state) of data and information and is a “mechanism to assert control over First Nations data” [4]. Data that are under the stewardship of a nation or a First Nations entity entrusted with this responsibility enable nations to assert the OCAP® principles of access and control, which do not fully exist when data are in the possession of a government or organization not managed by First Nations.

Interpretation of OCAP®

As stated previously, the concepts behind OCAP® are neither new nor unique. However, the interpretation of OCAP® is unique to each First Nations community or region. Since OCAP® is a set of principles rather than a doctrine, it can, and must, be interpreted by each First Nation or community in a way that supports their community core values and belief systems. OCAP® represents each First Nation’s jurisdiction over its own information—be it cultural knowledge, scientific data, oral teachings, or any other form of data.

Despite the principles themselves being defined, implementation of those principles is dependent on each nation, each cultural/language group, each region, or even each project a nation chooses to become involved in. It is not a one-size-fits-all concept, but a set of guidelines to apply based on a nation’s unique worldview. The principles can, therefore, be adapted for the over 600 distinct First Nation communities in Canada.

Why Is OCAP® So Important?

First and foremost, OCAP® seeks to “use and share information in a way that brings benefits to the community while minimizing harm” [4]. Research and data collection about First Nations people has often taken place without benefit to First Nations communities or their members. The topics of research have been of either personal or academic interest to researchers and/or of potential value to society as a whole. At best, these studies have neglected to address the needs or interests of the communities involved. At worst, they have caused considerable harm to the individual participants and/or their nations.

Previously, researchers have cited community collaboration, but this has largely consisted of presenting a completed research design to the community for approval, rather than soliciting meaningful community involvement from the project inception. Researchers were also disinterested in First Nations research priorities. Data and other information gathered were analyzed and presented without a First Nations lens or worldview resulting in deficit-based interpretations that caused harm to First Nations communities.

The principles of OCAP®, when implemented by an individual First Nation or First Nations group, ensures that research begins with meaningful community involvement, and this should extend throughout the project and beyond the completion of the project to approving the final outcomes prior to dissemination. First Nations people must be able to provide insight and background (contexts) to their stories. This avoids deficit-based reporting and negative interpretation and addresses the priorities of the First Nation(s) rather than solely that of the researchers.

OCAP® seeks to prevent the appropriation, distortion, and commodification of First Nations information using specifically tailored data-sharing agreements between the nation and any researchers or organizations. Because of this, some researchers have claimed that OCAP® is a barrier to conducting research. On the contrary, data-sharing agreements based on the principles of OCAP® ensure an equitable partnership that provides benefits and protection for both parties.

OCAP® and First Nations Sovereignty

Data sovereignty is an important component of First Nations’ inherent constitutional and Treaty rights to self-government and self-determination. It is only through the exercise of First Nations laws and the principles of OCAP® that the governments’ unilateral decision-making can be changed to include First Nations in a multilateral approach to decision-making with protocols, processes, and worldviews inherent in each First Nation’s culture [5].

Governments have long collected administrative and other forms of data with neither First Nations knowledge nor consent. Not only is more information collected than is needed to administer programs and services, First Nations have had no say in how that information is used or disclosed.

With the full implementation of OCAP®, First Nations can no longer be treated as a mere source of data with no consideration for their unique worldviews and cultural systems.