Source: https://www.bac-lac.gc.ca/eng/transparency/atippr/Pages/2016-2017-privacy-act.aspx
Timestamp: 2018-10-17 07:18:00
Document Index: 269796851

Matched Legal Cases: ['art 4', 'art 8', 'art 83', 'art 94', 'art 68', 'art 51', 'art 0', 'art 1']

Annual Report on the Privacy Act: 2016–2017 - Library and Archives Canada
Annual Report on the Privacy Act: 2016–2017
The Privacy Act (the Act) provides Canadian citizens and permanent residents with the right of access to and correction of personal information about themselves that is under the control of a government institution. The Act also provides the legal framework for the collection, retention, use, disclosure, disposition and accuracy of personal information in the administration of programs and activities by government institutions subject to the Act.
Under the Act, personal information is defined as “information about an identifiable individual that is recorded in any form”. Examples include information relating to the race, national or ethnic origin, colour, religion, age or marital status of an individual; the education or the medical, criminal, financial or employment history of an individual; the address, fingerprints, or blood type of an individual; and any identifying number, symbol or other particular identifier assigned to an individual.
This report has been prepared and tabled in Parliament in accordance with section 72 of the Act. It covers the period from April 1, 2016, to March 31, 2017.
Given LAC’s role as the continuing memory of the federal government, all archival records are sent to LAC once they are no longer needed for operational purposes in their creating department. Each year, in addition to privacy requests received on LAC’s own operational records, LAC receives thousands of requests for access to these other archival records in its holdings. The requests are typically voluminous, large in scope and complex. Many of these records contain personal and other sensitive information. The records held by LAC are stored in the National Capital Region (NCR), as well as in LAC facilities in Halifax, Winnipeg and Vancouver. As of November 2016, records stored in Halifax were relocated to other LAC facilities.
Furthermore, LAC is responsible for storing the restricted personnel files of former Canadian Armed Forces personnel and all of the personnel files of former federal government public servants; the majority of these files are stored in LAC’s facility in Winnipeg.
LAC processes privacy requests applying both formal and informal processes. Though LAC dedicates its efforts and resources to ensure compliance for formal requests received under the Act, most requests received by LAC are submitted through the informal process. This informal process represents 93% of the total requests received within the reporting period.
Privacy requests received by LAC
Informal privacy requests: 5,015
Formal privacy requests: 373
Total privacy requests: 5,388
The organizational chart below outlines the reporting structure for the delegated administration of the Act at LAC.
Privacy requests are received and processed by two teams: 1) Archival Operational Records; and 2) Personnel Records.
Responds to consultations submitted by other federal institutions on the application of the Act as it relates to LAC’s current operational records or issues;
Processes formal and informal privacy requests to LAC’s current restricted operational records and restricted archival records under LAC’s control;
Approves letters of authorization for current employees of federal institutions to access restricted archival records under LAC’s control.
Processes formal and informal privacy requests for restricted personnel files records on former members of the Canadian Armed Forces as well as former federal government employees;
Monitors other institutions’ programs to gauge the effects on workload, resources and processes;
Represents LAC in dealings with the Office of the Privacy Commissioner (OPC) on application of the Act to restricted records described above.
During this reporting period, there were 16.9 full-time equivalents (FTEs) assigned to processing requests received under the Act.
For the purposes of the Act, the Minister of Canadian Heritage delegates her powers, authorities and responsibilities to the deputy head of LAC (the Librarian and Archivist of Canada). The deputy head is accountable for developing, coordinating and implementing effective policies, guidelines, systems and procedures. This delegation order ensures that the minister’s responsibilities under the Act are met and that information is processed and disclosed appropriately.
At LAC, the deputy head delegates his powers, authorities and responsibilities to:
Statistical reporting pertaining to the administration of the Act has been in place since 1983. The statistical reports prepared by government institutions provide aggregate data on the application of the Act. This information is made public on an annual basis in the Info Source Bulletin and is included with the annual report on privacy, which is tabled in Parliament by each institution.
A comprehensive statistical report on the privacy requests processed by LAC in the 2016- 2017 fiscal year is available in Appendix B of this report.
Highlights from the statistical report are included in several sections of this report.
During this reporting period (April 1, 2016, to March 31, 2017), LAC received 373 new formal requests under the Act. This number represents an increase from 2015-2016, when LAC received 306 formal requests.
Formal requests under the Privacy Act
Received during reporting period 373
Closed during reporting period 378
In addition, during the reporting period, LAC processed 5,015 informal privacy requests. A significant portion of informal requests (43%) were completed in 1 to 15 days, while a small percentage (1%) were completed in 61 to 120 days.
Figure 2: Informal requests: number of days to complete
1 to 15 days 43% of requests
16 to 30 days 38% of requests
31 to 60 days 18% of requests
61 to 120 days 1% of requests
In all cases, regardless of the process selected (formal or informal), individuals seek to receive information about themselves that is held by LAC.
Most of the formal requests received by LAC are related to information found in the personnel files of former members of the Canadian Armed Forces (CAF). Prior to 2013-2014, LAC received several requests related to specific programs offered by other government departments and organizations directed at veterans. As most of these programs have come to an end, LAC receives fewer requests associated with these programs.
In recent years, however, there has been an overall increased awareness of benefits and services offered to former military service members. This awareness has contributed to the increased number of privacy requests processed by LAC. In addition, recent media items, including but not limited to class action suits and the review of medication given to military personnel, may have also contributed to the increased number of requests.
In 2016-2017, LAC closed 378 formal requests in accordance with the provisions of the Act. This number is an increase of 27% from the previous fiscal year, when 297 requests were completed; however, this number is 7.5% less than in the 2014-2015 fiscal year, when 409 were closed. Of the 378 formal requests completed in 2016-2017, LAC was able to disclose all or segments of the records in 324 requests, representing 86% of the requests.
Table 3 provides an overview of the disposition of the completed requests.
Number and percent disclosed
Fully disclosed 158 (42%) 126 (42%) 140 (34%)
Partially disclosed 166 (44%) 138 (46%) 225 (55%)
Exempted in entirety 0 0 0
Excluded in entirety 0 0 0
No existing records 31 (8%) 17 (6%) 27 (7%)
Request abandoned 23 (6%) 16 (5%) 17 (4%)
During 2016-2017, LAC invoked only one exemption (section 26: disclosure of information about another individual) in 163 requests. No other exemptions were invoked by LAC in 2016- 2017. A significant portion of privacy requests completed by LAC pertain to military personnel files in which the records contain the personal information of other individuals (such as the Social Insurance Numbers and dates of birth of family members), and section 26 applies in these cases.
The Act does not apply to personal information contained in certain materials (i.e., library material preserved for public reference purposes) and in Cabinet confidences. LAC has not invoked any exclusions for the last three fiscal year, including 2016-2017.
Clients have the option of receiving records in either hard copy (paper) or digital format. Digital-format release packages are saved in PDF formal on a CD-ROM. In 2016-2017, in 238 cases, applicants requested that records be provided in hard-copy format, and in 86 cases, applicants requested that it be provided in digital format.
Hard copy 238
Hard copy 221
Hard copy 243
In 2016-2017, LAC reviewed 75,566 pages to respond to formal requests. This number is an increase from the previous fiscal year. As previously mentioned, the majority of privacy requests are for the military files of former members of the Canadian Armed Forces (CAF). In general, the more recent military service files (post Second World War) contain more records and are more complex to review; these files contain more detailed medical information, for example.
Number of pages reviewed (formal requests)
2016-2017 75,566
2015-2016 54,462
298 of the privacy requests involved the review and processing of up to 500 pages. A total of 46 requests involved the disclosure of 501 pages or more, including 14 requests for the review and processing of 1,001 to 5,000 pages, and 1 request that required the review of more than 5,000 pages.
2016-2017 373 378 75,556 70,436
2015-2016 306 297 54,462 54,258
2014-2015 397 409 104,752 104,435
2013-2014 635 682 228,437 227,995
The number of complexities was relatively consistent based on the number of requests processed within the reporting period.
Total Number of Complexities
In 2016-2017, 1 consultation was required, and the remaining 177 complexities were categorized as “Other.” All of these 178 cases were identified as complexities because a large collection of documents had to be searched to identify the requested records.
Of the 378 formal requests completed this year, 2 requests were completed after the statutory deadline. One was because an external consultation was required, and the other did not meet the deadline because the file was charged out to another department and therefore LAC did not have immediate access to the records.
In both of the above-noted cases, an extension was not taken. One request was past the deadline by 16 to 30 days, because the file was charged out to another government department, while the other was 365 days past the statutory deadline because of an external consultation.
There were no requests for translations from English to French or from French to English in the 2016-2017 reporting year.
During 2016-2017, LAC disclosed 20 requests for personal information to an investigative body and 1 request under section 8(2)(m):
8(2)(m) for any purpose where, in the opinion of the head of the institution,
A notification for this request was sent to the OPC. This number of requests represents an overall increase from 2015-2016, when LAC disclosed 7 requests for personal information to an investigative body and 3 requests under section 8(2)(m).
Part 4 - Requests for Correction and Personal Information and Notations
During 2016-2017, LAC did not receive any requests to correct personal information.
Extension were necessary in two cases. In the first case, the request interfered with normal operations, and in the second case, the request was sent for consultation.
In 2016-2017, LAC responded to 3 consultations from the Government of Canada (GC).
Received during the reporting period 2 1,889 0 0
Outstanding from the previous reporting period 1 106 0 0
Total 3 1,995 0 0
Closed during the reporting period 3 1,995 0 0
In 2016-2017, there were a total of 3 recommendations for consultation from other GC institutions. Each was completed within 30 days.
Consistent with the figures from 2014-2015 and 2015-2016, LAC did not receive any consultation requests from other organizations outside of the Government of Canada in 2016-2017.
LAC did not consult with Legal Services on Cabinet Confidences in 2016-2017.
LAC did not consult the Privy Council Office on Cabinet Confidences in 2016-2017.
Part 8 - Complaints and Investigation Notices Received
In 2016-2017, the OPC undertook one investigation concerning an LAC release package under section 31 of the Act. LAC received this notice on February 17, 2017.
LAC did not complete any Privacy Impact Assessments in 2016-2017.
Salary: ATIP & Personnel Records (National Capital Region), including Director $957,395.60
Salary: ATIP Regions* $0
Salary: Digitization $121,454.97
Total Salary $1,078,850.57
ATIP Operations and Maintenance (O&M)
Digitization O&M $2,200.00
Contract for ATIP Software Licenses $51,988.79
Shipping** $13,278.32
Total O&M $90,246.34
Total cost associated with the administration of the Act $1,169,096.91
*Privacy Act requests are exclusively processed by staff in the NCR.
**Note that during 2016-2017, tracking of shipping and courier costs were modified, and as a result, approximate calculations of postage costs were based on the size and weight of the most frequently mailed packages. Exact costs will be available for the 2017-2018 fiscal year.
In 2016-2017, there were 16.9 full-time equivalent staff assigned to processing formal and informal requests under the Act. LAC made a concerted effort to staff previously vacant positions during the reporting period. As a result, LAC used several hiring mechanisms including the hiring of casual and temporary staff, as well as indeterminate hiring at various classification levels.
When archival records created by federal institutions are transferred to LAC, they are accompanied by indexes or lists that serve as or can be used to create research tools called Finding Aids. Finding Aids describe the contents and location of each archival file to facilitate identification within the archival holdings. Many Finding Aids also contain sensitive or personal information and must be reviewed prior to release. In 2016-2017, LAC reviewed 154 Finding Aids. While this number is a decrease from the 200 Finding Aids reviewed in 2015-2016, the ongoing review of Finding Aids demonstrates LAC’s commitment to making its collections more easily found by clients.
During the reporting period, several initiatives were undertaken to raise awareness of the roles and responsibilities of ATIP analysts and to train LAC employees for specific responsibilities.
In September 2016, LAC leveraged international Right to Know Day, which aims to raise awareness of individuals’ right to access government information, including personal information about themselves held by the government. This event promotes freedom of information as essential to both democracy and good governance. Internal messaging was sent out to all LAC employees publicizing the day and reminding them of their roles and responsibilities, both for LAC in its role as the continuing memory of government and as individual federal public servants. Employees at LAC were encouraged to take the ATIP courses offered by the Canada School of Public Service.
On March 20, 2017, LAC provided training for all operational areas on the development of Privacy Impact Assessments (PIAs). This training provided LAC staff with information about the purpose of PIAs, Treasury Board of Canada Secretariat policies regarding the implementation of PIAs, LAC’s policies, and staff roles and responsibilities in the event of privacy incidents or breaches. Approximately 30 staff members registered for the session.
LAC supported the organization of the Office of the Information Commissioner’s Transparency for the 21st Century conference which took place March 21 - 23, 2017. This event brought together over 200 Canadian and international experts and advocates in the fields of access to information, open government and government transparency. The event took place at LAC’s facility at 395 Wellington Street. LAC delivered a presentation during a panel discussion on Transparency and Indigenous Rights and organized Panel 4 - Building Transparency for the Future: the Role of Archives and Historians.
Experienced analysts are mentoring the ATIP analysts who have recently joined LAC or taken on new roles and responsibilities, to ensure an effective transition and improve the processing of incoming requests.
A training plan was also developed to address LAC’s general ATIP needs, and its implementation is ongoing into 2017-2018.
Hands-on training: Overview of Privacy Impact Assessments March 2017 LAC staff
Conference: Transparency in the 21st Century March 2017 Federal, provincial and territorial access professionals, as well as private- and public-sector information specialists
On April 1, 2016, LAC’s Operations Sector implemented a reorganization to gain efficiencies in program management. This moved the ATIP and Personnel Records team under a newly created division: Regional Services and ATIP, bringing together two teams undertaking ATIP processes. This redistribution of teams has aligned functions and rebalanced management responsibilities.
In May 2016, a revised delegation order was issued to LAC by the Minister of Canadian Heritage. As a result, some policies and procedures required revision to accurately reflect the organizational structure and new delegation. Accordingly, revisions were made to ensure that the policies and procedures reflected the new delegation, including issuing new ATIP delegation cards to all affected employees.
On September 16, 2016, LAC introduced online forms as an option for submitting privacy requests. From that date to the end of the reporting period, 191 requests were submitted by online form. This number represents 9% of the privacy requests received in 2016-2017.
3.4 Overview of new or revised Privacy Act-related policies and procedures implemented
In November 2016, LAC received and complied with a litigation hold; this is a legal obligation for the institution to preserve intact all documents that are potentially relevant to the particular litigation. The litigation hold resulted in the modification of working procedures, particularly the movement of files from LAC buildings in the National Capital Region to LAC’s service point in Winnipeg.
In 2016-2017, LAC identified 3 privacy incidents. These were not categorized as privacy breaches, and the OPC was not involved in the remedial efforts. LAC was able to take immediate action and notify the affected parties. In 2 incidents, 1 individual was affected, and in the other incident, 5 individuals were affected.
In 2016-2017, LAC drafted revised Procedures for Responding to Privacy Incidents and Privacy Breaches. At the end of 2016-2017, this document was in the final stages of approval. The revised procedures are based on the current guidelines established through LAC’s Policy on Privacy Management and in accordance with the Privacy Act. Anticipated implementation is the second quarter of 2017-2018.
LAC monitors the time invested in processing privacy requests through the specialized ATIP software Access Pro Case Management from CSDS Systems Inc. This software enables LAC to track all request-related activities (e.g., time management, correspondence, consultations and fees) and allows each activity to be reported with specific timelines. A system feature called “the Dashboard” also provides system users, supervisors and managers with information about various data fields. Data fields available for review include the number of requests and request actions that are due within a specific period. Other features, such as system-designed reports and search-builders, allow users, managers and the system administrator to track all active and closed requests for accuracy, completeness and compliance with regard to regulations, policies and procedures.
If the system identifies an irregularity, this will first be brought to the attention of section supervisors. Depending on the irregularity identified, the case may be brought to the attention of the ATIP Coordinator and/or Director.
All disclosed 132 25 1 0 0 0 0 158
Disclosed in part 83 81 1 0 0 0 1 166
No records exist 28 3 0 0 0 0 0 31
Request abandoned 17 6 0 0 0 0 0 23
All disclosed 144 14 0
Disclosed in part 94 72 0
All disclosed 7,182 6,989 158
Disclosed in part 68,384 65,593 166
Request abandoned 0 0 23
Total 75,566 72,582 347
All disclosed 146 3,504 10 1,726 2 1,759 0 0 0 0
Disclosed in part 51 2,186 71 17,272 29 19,843 14 21,206 1 5,086
Request abandoned 23 0 0 0 0 0 0 0 0 0
Total 217 5,690 81 18,998 31 21,602 14 21,206 1 5,086
All disclosed 0 0 0 111 111
Disclosed in part 0 0 0 62 62
Request abandoned 0 0 0 5 5
More than 365 days 1 0 1
Disclosed in part 1 0 1 0
16 to 30 days 1 0 1 0
Received during the reporting period 2 1889 0 0
Total 3 1995 0 0
Closed during the reporting period 3 1995 0 0
101?500 Pages Processed
Numberof Requests
Salaries $1,078,850.57
Goods and Services $90,246.34
Professional services contracts $15,342.38
Other $74,903.96
Total $1,169,096.91
Full-time employees 16.26
Part-time and casual employees 0.72
Consultants and agency personnel 0.06
Students 0.06
Note:Enter values to two decimal places.