corporate secretary – directorate access to information and privacy secrétaire général –...

Corporate Secretary – Directorate Access to Information and PrivacySecrétaire général – Direction de l’Accès à l'information et protection des renseignements personnels

Access to Information Access to Information and Privacy Awarenessand Privacy Awareness

Corporate Secretary – Directorate Access to Information and PrivacySecrétaire général – Direction de l’Accès à l'information et protection des renseignements personnels 2

Media PerceptionMedia Perception


Media PerceptionMedia Perception


Employee PerceptionEmployee Perception


Public PerceptionPublic Perception


TopicsTopics• Overview of the Access to Information Act and

the Privacy Act

• Request Process

• Exceptions to the Right of Access

• Roles and Responsibilities

• Oversight

• Statistics


The LegislationThe Legislation• Both Acts came into force in 1983

• Access to Information and Privacy (ATIP) is a Ministerial responsibility

• The Director ATIP has delegated authority from the Minister for the administration of the Acts

• Final decision for the release of Access and Privacy cases falls within the Director’s responsibilities

• TBS policy instruments


Access to Access to Information ActInformation Act


Purpose of the Purpose of the ATI ActATI Act“… to extend the present laws of Canada to provide a right of access to information in records under the control of a government institution in accordance with the principles that government information should be available to the public, that necessary exceptions to the right of access should be limited and specific and that decisions on the disclosure of government information should be reviewed independently of government.”


“… “… information in records…”information in records…”

Section 3 defines a record as:

“any documentary material, regardless of medium or form”


Corporate and Transitory RecordsCorporate and Transitory RecordsCorporate Records

• Created, collected or received in the initiation, conduct, control or completion of a business or operational activity and includes sufficient content, context and structure to provide evidence of a business or operational activity

• Used to commit the resources of an organization, give direction, or declare the position or opinion of an organization on any business subject or issue

Transitory Records

• Required only for a limited time to ensure the completion of a routine action or preparation of a subsequent record


Section 67.1Section 67.1• The ATIA was amended on 25 March 1999 to

include an indictable offence for any person who destroys, mutilates, alters, conceals or falsifies government records (or directs, proposes, counsels or causes others to do the same) with intent to deny the right of access to information under the Act.

• Those convicted of this indictable offence described above face a maximum fine of $10,000 and/or two years imprisonment.


Right of AccessRight of Access• Canadian citizens

• Permanent residents (IAW Immigration and Refugee Act)

• Any person present in Canada

• Corporations present in Canada


Submitting a RequestSubmitting a Request• Usual manner is by regular mail to our office.

• Request may also be sent by fax or email (applicant will be contacted for payment of application fee)

• Access to Information Request Form

(The form does not have to be used – as long as the request in writing.)


FeesFees• $5 application fee

- 5 hours of search time- 125 pages of records

• Additional fees possible

- $10/hour for search and preparation time- 20¢ for each additional page

• Applicant is advised of additional fees in advance (50% deposit, 50% prior to release)


Time LimitsTime Limits• Government institutions have 30 calendar days

to respond to the requester.

• Extensions are possible but only once per request and must be justifiable.

• Deemed refusal if we fail to respond to the requester within 30 days.


ExtensionsExtensions• 9(1)(a) Request is for a large number of records or

necessitates a search through a large number of records to locate the requested information and meeting the original time limit would unreasonably interfere with operations

• 9(1)(b) Consultations are necessary that cannot reasonably be completed within the original time limits

• 9(1)(c) Third party consultation


Wording of a RequestWording of a RequestSection 6:

“A request for access to a record under this Act shall be made in writing to the government institution that has control of the record and shall provide sufficient detail to enable an experienced employee of the institution with a reasonable effort to identify the record.”

• If necessary, the applicant will be contacted to clarify the wording of their request.

• Duty to assist.


ExamplesExamplesRoutine Requests• Records relating to private security firm activity in Kandahar for

2007 excluding all not relevant information.• All "Question Period Cards" from the Minister of National

Defence, Peter MacKay, for 4, 5, 8, 9 and 10 June 2009 only.

Unusual Requests• Reports dealing with Canadian Forces' members (with identities

removed if necessary) who have become pregnant while on duty in Afghanistan.

• All documented incidents of vandalism or wandering civilians or civilians that have become stuck on the Shilo Ranges, that have occurred at CFB Shilo in the last five years.

Completed Requests


Access Request ProcessAccess Request Process• DAIP ATI Tasking Team

• Tasking Liaison Officer (TLO)

• Office of Primary Interest (OPI)

• Subject Matter Expert (SME)

• DAIP ATI Operations Team

• Information Support Team (IST)


Information Support Team (IST)Information Support Team (IST)• Part of Strategic Joint Staff (SJS), which provides military

analysis and decision support to the Chief of Defence Staff (CDS) in his role as the principal military advisor to the Government of Canada.

• Important role in identifying sensitive operational information.

• Reviews records containing operational information before release to:

• Ensure consistency, identify possible mosaics• Ensure the appropriate protection of operationally

sensitive information that could prejudice the success of CAF operations, or endanger the safety of Canadians and allied personnel


Limited and Specific ExceptionsLimited and Specific Exceptionsto theto the

Right of AccessRight of Access


ExclusionsExclusionsThe ATI Act does not apply to:• 68(a) Published material or material available for

purchase by the public• 68(b) Library or museum material or material made or

acquired and preserved solely for public reference or exhibition purposes

• 68(c) Material placed in the National Archives of Canada, National Library, National Gallery of Canada, Canadian Museum of Civilization, Canadian Museum of Nature or National Museum of Science and Technology by or on behalf of persons or organizations other than government institutions


ExclusionsExclusionsThe ATI Act does not apply to:

• 68.1 Information under the control of the Canadian Broadcasting Corporation that relates to its journalistic, creative or programming activities

- Records concerning CBC general administration are subject to the Act

• 68.2 Information under the control of Atomic Energy of Canada Ltd other than information that relates to:

- Records concerning AECL general administration and the operation of certain nuclear facilities are subject to the Act


ExclusionsExclusionsCabinet Confidences – Subsection 69(1)

The ATI Act does not apply to:

• Records, or information in records, that describe the individual or collective decision and policy making process of Ministers or Cabinet

• Information relating to the business of Cabinet

• DND/CAF documents that reference matters related to decisions, discussions or agenda of Cabinet or Cabinet Committees (including Treasury Board)


Nature of ExemptionsNature of ExemptionsMandatory Exemptions• Normally require the institution to refuse to disclose

the records in whole or in part. In some instances, mandatory exemptions may be released (e.g., consent of party to whom information belongs, publicly available information)

Discretionary Exemptions• Provide the institution with an option to disclose

information where it is felt that no injury will result in the disclosure, or where the interest in disclosing the information outweighs any injury that could result from disclosure


Nature of ExemptionsNature of ExemptionsExemptions Subject to Class Test• Describe categories of information which are sufficiently sensitive that

disclosure could have a detrimental effect

Exemptions Subject to Injury Test• Access may be denied if disclosure could reasonably be expected to have

a detrimental effect on the interest specified in the exemption

Consider the degree to which the injury is…1) Specific: Is it possible to identify the detrimental effect on the actual

party or the interest that will suffer injury rather than a vague general harm?

2) Current: Is it possible to identify the detrimental effect at the time the exemption is claimed or in the foreseeable future?

3) Probable: Is there a reasonable likelihood of the injury occurring?


ATIAATIA Exemptions ExemptionsSECTION INFORMATION RELATING TO… REQUIREMENT

13(1) Information obtained in confidence from other governments Mandatory

14 Federal-Provincial affairs Discretionary

15(1) International affairs and defence Discretionary

16 Investigations and law enforcement Discretionary

17 Safety of individuals Discretionary

18 Economic interests of Canada Discretionary

19 Personal information Mandatory

20 Third party information Mandatory

21 Advice, recommendations, deliberations Discretionary

22 Testing and audit procedures Discretionary

23 Solicitor-client privilege Discretionary

24 Statutory prohibition Mandatory

26 Publication in the near future Discretionary


Privacy ActPrivacy Act


Purpose of the Purpose of the Privacy ActPrivacy Act“… to extend the present laws of Canada that protect the privacy of individuals with respect to personal information held about themselves by a government institution and that provide individuals with a right of access to personal information about themselves.”


Personal InformationPersonal Information• Personal information means information about

an identifiable individual that is recorded in any form including, without restricting the generality of the foregoing:

• Race, origin, colour, religion, age, marital status

• Education, medical, criminal, or employment history

• Any identifying numbers or symbols (SN/SIN/PRI)

• Home address, fingerprints, blood type


Personal Information (cont’d)Personal Information (cont’d)• Correspondence sent to a government institution by the

individual that is implicitly or explicitly of a private or confidential nature.

• Personal opinions or views, except when they are about another individual.

• The views or opinions of another individual about the individual.

• Name of an individual where it appears with other personal information related to the individual or where the disclosure of the name itself would reveal information about the individual.


NOT Personal InformationNOT Personal Information• Personal information does not include…

• Information about an individual who is or was an officer or employee of a government institution that relates to position or function including:

- That the individual is or was a government employee

- Title, business address, telephone number

- Classification, salary range, responsibilities of the position

- The name of an individual on a document prepared by that individual in the course of employment

- Personal opinions or views given in the course of employment (i.e., professional opinions or views)


NOT Personal Information (cont’d)NOT Personal Information (cont’d)• Information about an individual who is or was performing

services under contract for a government institution

• Information relating to a discretionary benefit of a financial nature

• Information about an individual who has been dead for twenty years


Personal Information BanksPersonal Information Banks• Requirement of the Privacy Act; component of

Info Source

• Describe departmental personal information holdings

• Two kinds:

• Standard (common to most institutions)

• Institution-Specific


Right of AccessRight of Access• Canadian citizens anywhere in the world

• Permanent residents (IAW Immigration and Refugee Act)

• Inmates (IAW Part 1 of Corrections and Conditional Release Act) who are not Canadian citizens or permanent residents

• Any person present in Canada


Submitting a RequestSubmitting a Request• Usual manner is by regular mail to our office. Requests

may also be sent by fax.• Signature required for Privacy Act requests.

- Email submissions not accepted at this time.

• Personal Information Request Form (Military)Personal Information Request Form (Civilian)

(The forms do not have to be used – request may be in the form of a letter.)

• No fees associated with Privacy Act requests.• Requests must be in writing and sufficiently specific


Time LimitsTime Limits• Government institutions have 30 calendar days

to send the information to the requester.

• Extensions are possible but only once per request and must be justifiable.

• Deemed refusal if we fail to respond to the requester within 30 days.


ExtensionsExtensionsFor a maximum of 30 days…

• 15(a)(i) Meeting the original time limit would unreasonably interfere with operations

• 15(a)(ii) Consultations are necessary that cannot reasonably be completed within the original time limits


Privacy Request ProcessPrivacy Request Process• DAIP Privacy Tasking Team

• Office of Primary Interest (OPI)

• DAIP Privacy Operations Team


Limited and Specific ExceptionsLimited and Specific Exceptionsto theto the

Right of AccessRight of Access


ExclusionsExclusionsThe Privacy Act does not apply to:

• 69(1)(a) Library or museum material preserved solely for public reference or exhibition purposes

• 69(1)(b) Material placed in Library and Archives of Canada, National Gallery of Canada, Canadian Museum of Civilization, Canadian Museum of Nature, National Museum of Science and Technology, Canadian Museum for Human Rights, or Canadian Museum of Immigration at Pier 21 by or on behalf of persons or organizations other than government institutions


ExclusionsExclusionsThe Privacy Act does not apply to:

• 69.1 Personal information that the Canadian Broadcasting Corporation collects, uses or discloses for journalistic, artistic or literary purposes and does not collect, use or disclose for any other purpose

• 70(1) Cabinet confidences


Nature of ExemptionsNature of ExemptionsRecap…

• Mandatory exemptions• Discretionary exemptions

• Subject to class test• Subject to injury test


Privacy ActPrivacy Act Exemptions ExemptionsSECTION INFORMATION RELATING TO… REQUIREMENT

18(2) Exempt banks Discretionary

19(1) Personal information obtained in confidence Mandatory

20 Federal-Provincial affairs Discretionary

21 International affairs and defence Discretionary

22 Law enforcement and investigations Discretionary

23 Security clearances Discretionary

24 Individuals sentenced for an offence Discretionary

25 Safety of individuals Discretionary

26 Personal information about another individual Mandatory

27 Solicitor-client privilege Discretionary

28 Medical records Discretionary


Informal AccessInformal Access• An informal request may be made either

verbally or in writing.

• Normally permits requesters to obtain faster access to specific personal information by applying directly to the OPI.

• Informal access should be given within 30 calendar days from the date requested.


Personal Information Personal Information ManagementManagement


Privacy Protection ProvisionsPrivacy Protection ProvisionsSections 4-8

• Collection

• Accuracy

• Use

• Disclosure

• Retention and Disposal


Privacy BreachPrivacy Breach• A privacy breach involves improper or

unauthorized collection, use, disclosure, retention and/or disposal of personal information.

• Contact DAIP if you suspect a breach of privacy may have occurred.


Authorized DisclosureAuthorized Disclosure

Personal information under the control of a government institution may be disclosed:8(2)(a) For the purpose for which the information was obtained or compiled by the institution or for use consistent with that purpose

• Consistent use means the use of personal information for a purpose that has a reasonable and direct connection to the original purpose for which the information was collected.

without consentwithout consent



8(2)(b) In accordance with any Act of Parliament that authorizes disclosure

8(2)(c) To comply with a subpoena or warrant issued or order made by a court, person or body with jurisdiction to compel the production of information

8(2)(d) To the Attorney General of Canada for use in legal proceedings involving the Crown

8(2)(e) To an investigative body specified in the regulations, on the written request of the body, for the purpose of enforcing the laws of Canada or a Province or carrying out a lawful investigation




8(2)(f) Under an agreement or arrangement between the Government of Canada or an institution thereof and the government of a province, foreign state, or international organization established by the governments of states (e.g., NATO, UN, Interpol)

8(2)(g) To a member of parliament for the purpose of assisting the individual to whom the information relates

8(2)(h) To officers or employees of the institution for internal audit purposes, or any other person or body specified in regulations for audit purposes;




8(2)(i) To National Archives of Canada for archival purposes

8(2)(j) To any person or body for research purposes if the head of the institution is satisfied that the information is being released for statistical purposes

8(2)(k) To any association of aboriginal people, Indian band, government institutions or persons acting on their behalf, for the purpose of researching or validating claims, disputes or grievances of any aboriginal people of Canada




8(2)(l) To any government institution for the purpose of locating an individual in order to collect a debt owing, or make a payment owing to that individual;

8(2)(m) For any purpose where, in the opinion of the head of the institution:

• The public interest in disclosure clearly outweighs any invasion of privacy that could result in the disclosure, or

• Disclosure would clearly benefit the individual to whom the information relates.



Roles and ResponsibilitiesRoles and ResponsibilitiesDAIP• Establishing procedures for processing requests and documenting decisions• Exercising discretion• Protecting the identity of applicants• Validating the identity of requesters for Privacy Act requests• Duty to assist and principles for assisting requesters• Addressing obstruction of the right of access (s. 67.1)• Posting summaries of completed ATI requests• Requests for correction of personal information• Ensuring PIAs are completed and PIBs are registered• Establishing a plan for addressing privacy breaches


Roles and ResponsibilitiesRoles and ResponsibilitiesSenior Executives and Managers• Establishing parliamentary authority for programs and activities • Initiating a privacy impact assessment for new/modified

activities and informing DAIP if a new/modified PIB is required• Implementing the Department’s privacy breach process• Privacy notices• Ensuring personal information used for an administrative

purpose is accurate• Safeguarding personal information• Applying the appropriate retention and disposal standards and

ensuring they are documented in the relevant PIB


Roles and ResponsibilitiesRoles and ResponsibilitiesEmployees• Recommending informal access when appropriate• Making every reasonable effort to locate responsive

records• Providing realistic fee estimates and rationale for ATI

requests• Providing valid disclosure recommendations and

contextual information when appropriate• Ensuring that contracts and agreements do not weaken

the right of access


OversightOversightReview mechanisms

• Independent of the executive power

• Report to Parliament

• Act as an ombudsman

Two-tiered

• Complaint to Commissioners

• Federal Court review


OversightOversightOffice of the Information Commissioner (OIC)

• Oversight of the Access to Information Act

• Grounds for complaint include the processing of ATIA requests (fees, time limits, refusal of access, etc.)

Office of the Privacy Commissioner (OPC)

• Oversight of the Privacy Act

• Grounds for complaint include the processing of Privacy Act requests and compliance with sections 4-8 of the Act


OversightOversight• Investigative powers of the Commissioners are

very broad and rooted in legislation• Summon persons and compel them to give evidence• Compel production of documents• Administer oaths• Enter premises occupied by government institutions• Converse in private with any person in such premises• Examine or make copies of any record relevant to an

investigation

• Commissioners will issue findings and may make recommendations


StatisticsStatistics


Access RequestsAccess RequestsFY REQUESTS RECEIVED REQUESTS COMPLETED PAGES RELEASED

1998-99 1,031 885 282,476

1999-00 1,063 1,252 166,343

2000-01 1,088 1,107 102,647

2001-02 1,356 1,318 144,280

2002-03 1,316 1,258 152,297

2003-04 1,488 1,465 161,885

2004-05 1,284 1,256 176,977

2005-06 1,131 1,237 170,991

2006-07 1,808 1,597 150,133

2007-08 1,779 1,541 75,148

2008-09 1,650 1,739 110,683

2010-11 1,483 1,479 TBD

2011-12 1,645 1,610 75,720


Access RequestsAccess Requests

Media

Business

Organisation

Public

Law yer


Privacy RequestsPrivacy RequestsFY REQUESTS RECEIVED REQUESTS COMPLETED PAGES RELEASED

1998-99 9,031 10,194 907,935

1999-00 6,579 9,039 768,322

2000-01 5,279 5,668 558,688

2001-02 4,443 4,517 452,721

2002-03 4,338 4,283 453,835

2003-04 4,117 4,220 464,618

2004-05 4,239 4,082 527,220

2005-06 4,841 4,536 579,694

2006-07 4,620 4,370 619,717

2007-08 6,244 5,556 724,447

2008-09 4,627 4,840 715,483

2010-11 6,228 5,781 TBD

2011-12 6,706 5,307 409,618


Privacy RequestsPrivacy Requests

Medical DentalUnit Military Personnel Bank CAF Member Personal InfoOther


Questions?Questions?


[email protected]

Phone(613) 992-09961-888-272-8207

Fax(613) 995-5777

Intranethttp://admfincs.mil.ca/daip/intro_e.asp

Internethttp://www.admfincs-smafinsm.forces.gc.ca/aip/index-eng.asp

OfficePlace de Ville, Tower B112 Kent Street, 17th FloorOttawa, Ontario

ContactContact

corporate secretary – directorate access to information and privacy secrétaire général –...

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