rti officer’s role · an rti officer may decide to deny, partially grant or defer an rti request....
TRANSCRIPT
RTI Officer’s Role
RTI Requests
Proactive Publication
Initial Statement of
Organization
RTI Applicants
Establish Internal RTI Committee
S. 27 requires the RTI officer to:
consult with a supervisor or a principal administrative officer before
deciding to defer, partially grant or deny access
COULD COMPRISE
Principal Accounting Officer
RTI Officer
Records Manager (if any)
1. Proactive Publication
2. Agency websites
Introduction to RTI & objectives
Information on how and to whom to make a request
Publication Scheme
Proactive publication
Disclosure log showing previous responses to requests for records
REMEMBER
Publishing records and results of requests will help reduce the number of access requests
Information on websites about RTI must be current and accurate
RECORDS & INFORMATION MANAGEMENT
Good RIM Is A Must
File planning and effective storage
ensures that information resources are more easily found and understood, facilitating proactive disclosure
Early classification of sensitive records/records containing personal information
helps prevent the publication of confidential information
Retention schedules
ensure that records are not inadvertently destroyed
ATTORNEY GENERAL’S DEPARTMENT
RTI Unit should make arrangements for:
stand-by assistance with interpretation & application of exemptions
Identify staff attorneys who may be called on for help
Inform RTI Officers of entities currently being phased of attorneys’ contact
information
RTI Officers/Administrations Association
RTI Unit to lead the formation of a formal association of RTI officers and administrators
PURPOSE
Shared learning
Shared experiences
Strength in putting forward RTI administration concerns as a body
Develop customized body of best practices/learnings that could aid other new RTI officers/recent entities new to RTI administration
Assistance to the RTI Officer
s. 12 (2)
RTI Officer can request the assistance of any person employed at the
agency
Person is obliged under the Act to provide all reasonable assistance
THE PROCESS
RESPONSE
30 DAYS
Acknowledge Transfer Clarify/Narrow Extension Search Exemption/ Decision
5 Days 5 Days 14 days Public interest
(one time only)
Access Granted
(Full/Partial) Fee Paid
Info Provided
Within 7 days
Access Denied/Delayed
APPLICANT
Makes request: s. 13
Written (letter, email)
Oral (telephone)
In- person
Any of the 3 official languages
Can use pseudonym*
About Pseudonyms & RTI Requests
Must Use Real Name:
for amendment/annotation of personal information
If applying as a guardian of third party/next of kin/personal representative of
deceased person
REQUEST
Written Application
Oral Application
S. 13 (5)
Reproduce into written form
Provide a copy to applicant
PUBLIC BODY
Acknowledge request:
within 5 days of receipt
state date of receipt
state responsible RTI officer
Make decision within 30 days
Transfers
s. 21
Records requested held by other
entity
Inform applicant
If applicant agrees, transfer (within 5
days) to other entity/RTI officer
Notify applicant in writing once
transfer done
Notice To Applicant:
date of transfer
other agency to which it has been
transferred;
contact info/opening hours/ name &
contact info of other RTI officer
Other RTI officer:
Acknowledge request
Process in 30 days (from date of transfer).
Request Involves Multiple Records/Sources
Request seems to ask for a single record, but information contained among
a group of records, it should still considered a request.
Advise applicant of group of records
(common sense approach since applicant should be allowed opportunity to consider fee implications
should access were to be granted to more documents than anticipated and reproduction is the preferred form
of access)
Clarify Request
You are not clear what is being requested
Gain a clear understanding and agreement between RTI Officer and applicant about what applicant really wants.
Makes entire process easier for all concerned in long run.
Narrow Request
Reduces breadth/scope of request
Decrease number of records requested
Best Practice Tip
Best if employee most knowledgeable about the requested record(s) communicates directly
with the applicant to clarify/narrow the request.
While a letter is appropriate in some instances, speaking with an applicant is usually the better
way for both parties to quickly explain and answer questions about scope and content of the request.
EXTENDING RESPONSE TIME
s. 20
If Application involves:
a large amount of records
such a large amount of records that it would unreasonably interfere with the
entity’s activities
required consultations would take a longer time than the 30 day response
PERIOD OF EXTENSION
Additional 14 days, one time only
NOTE
DEEMED REFUSALS OF ACCESS
S. 25
RTI Officer deemed to have refused an RTI request if s(he) fails to make a
decision within:
Normal Response time of 30 days - 16(1)
Or
Period of extension - s. 20
Grounds for Appeal
Applicant may appeal this deemed refusal to the IC
Repeat Applications (s. 26)
RTI Officer may refuse grant of access if satisfied that:
Application made by/on behalf of person who previously applied for access
to same information;
OR
application was refused by RTI Officer and IC/Court confirmed the
decision
RECAP QUESTIONS
1. An RTI Officer may decide to deny, partially grant or defer an RTI request. What does the
RTI Act require him/her to do before taking any of those decisions?
2. What practical step can an agency take to avoid the publication of personal and confidential
information?
3. An applicant may choose to use a pseudonym when making an RTI request. Under what
circumstances would an applicant’s real name be necessary for an RTI request?
4. If you receive an oral RTI request, what does the RTI Act require you to do?
RECAP QUESTIONS & ANSWERS
1. An RTI Officer may decide to deny, partially grant or defer an RTI request. What does the RTI Act require him/her to do before taking any of those decisions?
Consult with his/her supervisor or principal admin officer of Gov’t agency or relevant private entity
2. What practical step can an agency take to avoid the publication of personal and confidential information?
Conduct early classification of sensitive records or records containing personal/confidential information
3. An applicant may choose to use a pseudonym when making an RTI request. Under what circumstances would an applicant’s real name be necessary for an RTI request?
When applying for amendment/annotation of personal information
When applying as a guardian of a 3rd party, next of kin/personal representative of a deceased person
4. If you receive an oral RTI request, what does the RTI Act require you to do?
Reproduce into written form & provide a copy to applicant
FINDING THE RECORDS
REMEMBER:
Not required to
make up an answer
Act only applies to
recorded
information
Not required to find out
information from
elsewhere if it does not
already exist in recorded
form
Since searching for records can be time consuming and failure to respond within the 30 day
or an extended time period can be appealed:
QUESTION
IN YOUR OPINION. WHAT ARE SOME PRACTICAL STEPS YOU COULD TAKE TO
MEET YOUR RESPONSE DEADLINES & SHOW YOU CONDUCTED A THOROUGH
SEARCH?
(Note taker – Poll Groups)
The Search
Clarification - Will you need to clarify the request further? This will determine scope (ex. if the request is for a specific paper record, it may not be necessary to search your email).
Reformulate – Public bodies are obligated to help applicants reformulate their requests to sufficiently identify the type of records they are seeking.
Search Coordinator - RTI Officer or a member of his or her department will generally coordinate the search.
Involve knowledgeable staff
Consult other business areas
Search Records in all formats/medium (e.g. paper, electronic data, microforms, audio/video)
Consider active, semi-active and inactive records
Search varied locations - any location (on-site, off-site, off-line, central storage, staff filing areas, warehouses, Government Records Centre, etc)
RECORDS CANNOT BE FOUND OR DESTROYED
s. 24
You believe your agency has/had the records
BUT:
You cannot find them
OR
You had them but they were/might have been
destroyed
STEP: Notify applicant in writing within 30
days of receipt of request
The Notice:
Give full account of all steps taken in search
Give details of locations searched/person(s)
involved
Provide any evidence that the information
was destroyed
RECORDS SUBSEQUENTLY FOUND
s. 24
Immediately notify the applicant in writing
Begin processing application
Determine, within 14 days, whether to grant the request
Notify applicant of decision in writing.
RECORDS FOUND (Responsive Records)
Review records
(involve others if necessary)
Check for:
Third Party Information (Personal/commercial & confidential info)
&
Exempt Information (Day 3)
S. 31
Review Records for Third Party Information
Personal information of a third party
Commercial and confidential information of a third party
Third Party Information
s. 31
If RTI request involves personal/commercial and confidential information of 3rd Party
RTI Officer must:
Notify third party within 14 days of receipt of the request
Notice to Third Party
name of applicant/content of request
that personal information is exempt under Act
whether public interest override may apply & why
that applicant must respond to notice within 14 days to provide written or oral reasons why request must be refused.
RTI Officer must next:
decide to grant/refuse access whether the third party responds or not;
Notify third party of decision within 21 days of first notice and the right of appeal by applicant to the IC within 14 days
If access granted, give applicant access after time for appealing to IC (14 days) expires
Review Records for Exempt Material
If Exemption Applies
Deny Request (apply Public Interest
test)
If Parts Exempt
Partial Grant (apply public interest
test)
If Exemption Not Applicable
Or
If Exemption Applicable but Public
Interest prevails
Grant Full Access
FULL GRANT
(No Exemptions Apply)
Check with IC for any appeals on fee or form of access or from a third party
If No, wait for time to appeal to run out
If yes, wait for IC decision (in this case, in favor of release)
.
RESPONSE LETTER
State:
reproduction fee payable
form of access (as requested or other
form)
applicant’s right of appeal to the IC on
amount of fee and form of access.
PARTIAL GRANT
s. 23
One or More Exemptions Apply to
Part(s) of the Record
RESPONSE LETTER
State:
Information that is granted
Information that is denied
That exempt info is deleted
Applicant’s right of appeal.
ABOUT PARTIAL GRANTS OF ACCESS
How to delete exempt information
photocopy record or portion of it containing the exempt information
use black marker to blank out exempt portion from photocopy
make another copy of the photocopy for release to the applicant
Insert exempt section applied in margin adjacent to blacked out areas.
DEFERRAL OF ACCESS
s. 22
information is a report for tabling in Parliament.
Access granted 5 days after presented and approved
by Parliament
information is a report prepared for an official/official
body. Access granted after report presented/made
available to person/body or upon expiration of 45
days from date of application, whichever is earlier
publication of the information within particular
period required by law relevant to the Gov’t agency/relevant private entity. Access granted after
expiration of period
premature release of record would be contrary to the
public interest. Access granted after occurrence of
any event, or expiration of any period after which release would not be contrary to the public interest.
RESPONSE LETTER
State:
Decision taken to defer
Reasons for the deferral
Period of deferment
Applicant’s right of appeal to IC
(within 14 days of RTI Officer’s notice)
RESPONSE LETTER CHECKLIST
- Index of records requested in application
- Document number for each record
- Description of each record
- Indication for each record whether access granted or refused or
whether part or parts of the record deleted
- For each record or part of a record refused, the provision of the
Act under which access is refused
- If access is being given in another form than requested by
applicant and why
- Fee information
- Name and position of the decision-maker
- Notice that the applicant may appeal the decision to the IC
within 20 days
- Notice that applicant’s appeal should include: the file number
assigned by the government agency, a copy of the decision
letter, and a copy of the original request.
s. 28
IN FORM REQUESTED Copy/inspection at office/arrangements for applicant to hear or view sounds or visual images/in electronic form/ transcript s (print, sound or visual )/inspection of works/samples of materials.
IN ANOTHER FORM
If applicant requests a different form of access
OR
If RTI Officer of the view that requested form of access:
would unreasonably interfere with entity’s operation
would be detrimental to the preservation of the information
involve infringement of copyright
NOTE:
If applicant agrees to other form of access, fee charged must not exceed fee which would have been charged for form previously rejected
.
s. 28(5)
If RTI Officer is of the view that another form of access is necessary:
s(he) must offer to assist applicant to identify another form/manner
reject the RTI request if offer of assistance is refused
s. 28 (7)
PERSONS WITH DISABILITIES
RTI Officer must take reasonable steps to make information readable, viewable or heard by applicant with disability
NOTE:
RE INSPECTION OF RECORDS AT OFFICE
SECURE THE RECORDS
Ensure the record(s) is not defaced, changed, destroyed or stolen as a result of granting access
**Ensure an employee is present when access to the record is provided to the applicant
ACCESS DENIED
s. 18
Exemption (s) Applies
RESPONSE LETTER
State:
The exemption applied and
relevant section
Reasons for the refusal
Applicant’s right of appeal to
IC/timeframe for appealing
S. 82
About Grants of Access & Partial Grants of Access
Once access to Information granted, such information is deemed as being
in the public domain
NOTE
Grants of Access to:
personal information of the applicant; or
the personal information of applicant’s next of kin, or person for whom
applicant is the guardian or legal personal representative
do not enter the public domain
ABOUT COPYRIGHT
s. 85
s. 85 - Grant of access not to be construed as authorization/ approval of breach
of copyright under Copyright and Related Rights Act
Applicant is still bound by copyright
Best Practice Tip
stamp the records to reinforce this (for ex. "Copyright Act Applies to Use and
Reproduction”)
and/or
state author’s name/other indication of authorship on copies
Payable
Copies, transcripts etc.
Not to exceed VT 50,000
REFUNDABLE
All of Fee – Paid/access not provided in 7 days
None- If delay due to factors beyond RTI Officer’s control
COLLECTION
Once applicant informed of grant of access/reproduction costs/how & where to pay.
Paid at Gov’t cashier in the Dept. of Finance.
NOTE: No copying until Payment Received
Not Payable
Application itself Search/examination/deletions
Copies of personal information
to guardian of third party/next of
kin/personal representative of
deceased person
reproduction of information which
is in the public interest;
failure to respond within
deadlines
Decision – Full/Partial Grant
Ensure:
Fees are paid
Third party appeal rights have run
out
Provide records within 7 days of
payment of fee
Decision - Deferral/Delay
Notify applicant of reason for
decision
and
How long the period of deferment
will be
1. Receive Request
•Is the request in writing/does it mention RTI?
•Does it provide sufficient detail to enable identification of the requested record(s)?
•If not, assist pplicant to rewrite the request.
•Clarify/Narrow the request as needed
•Date-stamp request/open a file /prepare tracking and recording form.
2. Do the Records Exist?
•Do the records exist? If not, notify the applicant and include right of appeal to the IC
•Can the records be found? If not, notify the applicant and include right of appeal to the IC
•If records are found subsequent to the notice, proceed to process the request immediately
3. Do You have Custody or Control of the Records?
•If not, make reasonable inquiries to determine where to transfer request/make transfer within 5 days of receipt of the request.
•Notify the applicant and include the name of the agency and the RTI Officer
•If unclear where to transfer the request, notify the applicant that the records do not exist at that particular agency and that the applicant can appeal to the IC
4. Locate and Review the Records
•Gather the records and review them.
•Do they contain third party personal information? If so, notify the person
•Is a time extension required? If so, notify the applicant
•Check if any exemptions apply
5. Process the Request
•Retrieve the records.
•Determine what exemptions apply.
•Determine if the public interest override applies.
•Delete exempt content where necessary
•Determine if fees are chargeable.
6. Grant Access
•If access to whole or part of record is granted, determine method of access (copy or original).
•If access is granted, denied or partial, give applicant notice of decision
•If an affected third party is involved, give notice to third party of the grant of access
•Collect fee chargeable, and provide record within 7 days
•.Do not grant access until it is confirmed that no appeal is filed by 3rd party
7. Correct Personal Information
•Verify the information to be corrected, correct the information or file a statement of disagreement.
•Notify recent users of the personal information of the correction or statement of disagreement.
8. Complete the File
•Document the request and all actions taken.
•Close the file, unless an appeal is commenced
s. 34
Who can apply? Any person can apply in writing to amend his/her
personal information
For what? If information is incomplete, incorrect, out of date or
misleading.
How? Apply in writing
RTI Officer
Follow certain steps when deciding, including transferring it if the personal
record is held by another agency or entity
Notify applicant and other relevant agencies of any amendments to
applicant’s personal records.