Policy 90
Approved Executive Committee of the Board of Governors X2004.68ACCESS TO INFORMATION AND PROTECTION OF PRIVACY
Nota: To the extent that the provisions of this Policy 90 are inconsistent with the Freedom of Information and Protection of Privacy Act, R.S.O. 1990, C. F.31 (“FIPPA”), the provisions of FIPPA shall take precedence.
1. PURPOSE
The purpose of this Policy is to provide for access to information in the possession of the University of Ottawa in accordance with the following principles:
- a) subject to the terms and conditions of this Policy, information contained in University records should be available to members of the University community and to members of the public in general;
- b) the necessary exemptions from the general principle favouring access should be as limited and specific as possible; and
- c) the collection, retention, use and disclosure of personal information contained in University records should be regulated in a manner that will protect the privacy of individuals subject to the conditions provided for in this Policy and the applicable laws;
- d) there must be an appropriate process for the resolution of disputes concerning access to information and protection of privacy matters.
2. CONTINUATION OF EXISTING PRACTICES OF DISCLOSURE AND PROTECTION OF PERSONAL INFORMATION
- a) This Policy is not intended to replace or restrict presently existing University procedures and practices relating to access to information that is not personal information, where such existing practices and procedures provide equal or greater access.
- b) This Policy does not replace existing practices and procedures for the protection of personal information which are required by law or by professional codes of ethics nor does it replace or supersede written agreements now existing with third parties relating to access to information, confidentiality or non-disclosure.
- c) In the event of a conflict between this Policy and an existing practice or procedure providing for greater access or protection of personal information then the existing practice or procedure will take precedence. In the event of conflict with an agreement provided for in b) above, that agreement will take precedence.
3. SCOPE OF THE POLICY
This Policy applies to all records of information, however recorded and whether in manuscript, printed, mechanical or electronic form and any copy thereof within the custody and control of the University.
The Policy does not apply to:
- a) records of faculty members, students or other employees created or acquired by such member, student or employee while carrying out their employment or other record which is not in the custody or control of the University and is considered by law or practice to be the property of the faculty member, student or employee;
- b) records received or donated to the University by a third party and placed in its archival collections where ownership of the record has not been transferred to the University or if restrictions have been imposed by the donor, such restrictions take precedence over this Policy;
- c) personal notes, communications or draft decisions of a member of the University community when acting in a quasi-judicial capacity;
- d) any record which by the terms of an existing collective agreement is to remain confidential and any record of discipline or dispute resolution;
- e) any record which, by the terms of a confidentiality or non-disclosure agreement, is to remain confidential.
4. NATURE OF THE ACCESS RIGHT
Upon written request and subject to the exemptions and conditions set out below, a single photocopy of the record in question will be made available to any person making such a request subject to prior payment of the applicable fees.
5. SEVERABILITY
Where a request for access pertains to a record containing material which is exempt from the general principle of access together with material which is not exempt, the University shall make reasonable efforts to sever and disclose the non‑exempt material.
6. GENERAL PRINCIPLE
Any person shall be granted access to records in the custody and under the control of University subject however to the limitations and exceptions provided for in this Policy and following the procedures described herein.
7. EXEMPTIONS FROM THE GENERAL PRINCIPLE
7.1 DELIBERATIVE PROCESSES
- a) The University may refuse to disclose records containing matters in the nature of, or relating to, opinions, advice or recommendations obtained, prepared or recorded, or consultations or deliberations that have taken place, in the course of, or for the purposes of, the deliberative processes of the University where such disclosure would undermine the effectiveness of those processes.
- b) Without restricting the generality of sub‑paragraph a), the University may refuse to disclose a record where such disclosure would reveal the opinion, advice or recommendation of an individual employed by the University or of a consultant retained by it.
- c) The University may refuse to disclose a record of draft University legislation, regulations or policy statements or procedures.
- d) Unless the meetings or part thereof of a Board, council, committee, sub-committee or other University body are opened to the public by existing policies or procedures, the University may refuse to disclose a record of the substance of deliberations at such a meeting or part thereof including any record prepared for such meeting.
7.2 LAW ENFORCEMENT AND INVESTIGATIONS
The University may refuse to disclose a record where such disclosure could be expected to interfere with a law enforcement matter or contains information in connection with an investigation, within the University or otherwise, of misconduct, under-performance, or of a complaint.
7.3 RELATIONS WITH GOVERNMENTS AND OTHER ORGANIZATIONS
The University may refuse to disclose a record where such disclosure could be expected to:
- a) prejudice the conduct of relations between the University and federal, provincial, municipal or other governmental authorities or any other agencies or body providing funding to the University or any constituent units of the University;
- b) reveal information received in confidence from federal, provincial, municipal or foreign governmental authorities;
- c) reveal information received in confidence from other universities, colleges and other educational institutions and from organizations formed for the purpose of representing the interests of such organizations or various constituencies within them.
7.4 CONFIDENTIAL INFORMATION
The University may refuse to disclose records where such disclosure would reveal information supplied in confidence implicitly or explicitly where the disclosure would result in any undue prejudice, loss or gain to any person, group of persons, committee, organization or financial institution or agency or could result in similar information no longer being supplied to the University.
7.5 ECONOMIC AND OTHER INTERESTS OF THE UNIVERSITY
The University may refuse to disclose records containing
- a) trade secrets or financial, commercial, scientific or technical information that belongs to the University or one of the constituent units or members of the University;
- b) information where the disclosure could be expected to prejudice the economic or financial interests or the competitive position of the University;
- c) positions, plans, procedures, criteria or instructions to be applied to any negotiations carried on or to be carried on by or on behalf of the University or one of its constituent units;
- d) plans relating to human resources or the administration, operations of the University or one of its constituent units that have not yet been implemented or made public;
- e) information including the proposed plans, policies or projects of the University or one of its constituent units where the disclosure could reasonably be expected to result in premature disclosure of a pending decision or in undue financial benefit or loss to a person;
- f) information owned by the University, if the disclosure could be expected to deprive an employee or the University of priority of publication or the legal protection of intellectual property.
7.6 RESEARCH
The University may refuse to disclose information concerning the past, present or proposed research activities of members of the University community where such disclosure would be contrary to the public interest or would undermine the interests of the University or the professional or personal interests of the researchers, staff, students, or research sponsor involved in the project.
7.7 SOLICITOR‑CLIENT PRIVILEGE
The University may refuse to disclose records that are the subject of solicitor‑client privilege or that have been prepared by or for counsel employed by or retained by the University for use in giving legal advice or in contemplation or for use in litigation.
7.8 THREAT TO SAFETY OR HEALTH
The University may refuse to disclose a record where disclosure could be expected to threaten the safety or health of an individual or group of individuals.
7.9 UNJUSTIFIED INVASION OF PERSONAL PRIVACY
The University shall refuse to disclose personal information to any person other than the individual to whom the information relates where such disclosure would constitute an unjustified invasion of the personal privacy of that person or of any other individual.
7.10 EXAMINATIONS, TESTS AND AUDITS
The University may refuse to disclose records where such disclosure would undermine the effectiveness or fairness of an auditing procedure or of an examination, testing procedure or other means of evaluation of performance or knowledge.
8. FINANCIAL DATA
In addition to any disclosure of financial information disclosed within current practices, the University shall make reasonable efforts to prepare annually aggregated University financial data, which can be disclosed without infringing the various interests protected by the above exemptions from the access scheme and shall make available its annual audited financial statements.
9. COLLECTION OF PERSONAL INFORMATION
The University shall collect and record only such personal information that it considers to be reasonably necessary to the proper administration of the University and its academic and other programs or that is required and permitted by virtue of data collection or reporting requirements lawfully imposed upon the University by federal, provincial, municipal or other governmental authority.
10. USE OF PERSONAL INFORMATION
The University shall not use personal information in its custody or under its control except,
- a) where the person to whom the information relates has identified that information in particular and has consented to its use;
- b) for the purpose for which it was obtained or compiled or for a consistent purpose;
- c) for statistical analyses;
- d) in other circumstances, where the use of the information is necessary and proper in the discharge of the University's functions and responsibilities, including but not limited to alumni and development activities.
11. DISCLOSURE OF PERSONAL INFORMATION
11.1 The University shall not disclose personal information in its custody or under its control except,
- a) under this Policy;
- b) where the person to whom the information relates has identified that information in particular and has consented to its disclosure;
- c) for the purpose for which it was obtained or compiled or for a consistent purpose;
- d) to an officer or employee of the University who needs the record in the performance of his or her duty, including but not limited to the preparation or verification of employment references;
- e) for the purpose of complying with a requirement to provide information lawfully imposed upon the University by a federal, provincial or municipal governmental authority, including any agency thereof;
- f) where disclosure is to an institution or a law enforcement agency in Canada to aid in an investigation undertaken with a view to a law enforcement proceeding or from which a law enforcement proceeding is likely to result;
- g) where disclosure is necessary to aid in the investigation of allegations that individuals have made false statements or engaged in other misleading conduct concerning their attendance, performance, status within an academic program of the University or completion thereof or with respect to an employment relationship;
- h) where disclosure is made to another educational institution or to a professional licensing authority or board of certification or similar institution, provided that the University has made reasonable efforts to inform affected individuals of the existence of a practice of making such disclosures;
- i) in compelling circumstances affecting the health or safety of an individual if upon disclosure notification thereof is mailed to the last known address of the individual to whom the information relates;
- j) in compassionate circumstances or in an emergency, to facilitate contact with the next of kin or a friend of an individual who is injured, ill or deceased; or
- k) to a person who has been authorized by the individual to whom the information relates to make an enquiry on that individual's behalf or, where that individual is incapacitated, has been authorized by the legal representative or attorney of that individual;
- l) to archival collections at the University for archival purposes;
- m) where disclosure is made to a physician or to her health care professional, to provide information for the assessment of disability, medical leave or exemption or similar claims.
11.2 The restrictions on disclosure set out in this Policy do not apply to the fact that an individual is or is not, or was or was not, registered in a particular school, faculty or other academic unit in a particular session or to the fact that an individual has or has not successfully graduated or completed a program on a particular date or has or has not received particular academic or other University honours and distinctions.
12. RETENTION AND DISPOSAL OF PERSONAL INFORMATION
The University shall take reasonable precautions to protect the security of records containing personal information, shall retain such information only for reasonable periods of time and shall make reasonable arrangements for the disposal or destruction of such records when that reasonable period has expired.
13. ACCESS AND CORRECTION RIGHTS
13.1 Subject to section 14, every member of the faculty and staff and students of the University shall be granted access to records containing personal information concerning himself/herself provided that individual is able to provide sufficiently specific information to render the record reasonably retrievable by the University.
13.2 Every individual who is given access under this Policy is entitled to,
- a) request correction of the personal information where the individual believes there is an error or omission;
- b) require that a statement of disagreement be attached to the information reflecting any correction that was requested but not made.
14. EXEMPTIONS FROM THE ACCESS RIGHT
The University may refuse to disclose to the individual to whom the information relates personal information,
- a) where the exemptions to the general access principle set out in paragraph 7 above would apply to the disclosure of that personal information;
- b) where the personal information of the individual cannot be severed from personal information of another individual or individuals, unless disclosure of the information can be made in accordance with paragraph 11;
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c) if it is evaluative or opinion material compiled solely for the purpose of,
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(i) determining suitability, eligibility or qualification for employment or for the awarding of a contract with the University;
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(ii) determining eligibility or admission to an academic program of the University;
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(iii) determining eligibility or suitability for the awarding of a scholarship, bursary or other form of financial assistance; or
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(iv) peer review processes related to determinations concerning issues including but not limited to eligibility or suitability for the granting of an appointment, renewal of an appointment, tenure or promotion, research grants or other benefits to members of the University community or for similar purposes, where it may reasonably have been assumed by the source that the evaluative or opinion material provided by the source would be held in confidence or where the disclosure could reveal the identity of a source who furnished information in circumstances where it may reasonably have been assumed that the identity of the source would be held in confidence;
- d) that is medical or health-related information where the disclosure could reasonably be expected to prejudice the mental and physical health of the individual; or
- e) that is a research or statistical record.
15. UNIVERSITY COMMISSIONER FOR ACCESS TO INFORMATION AND PRIVACY PROTECTION
The Board of Governors shall appoint from time to time a University Commissioner for Access to Information and Privacy Protection (herein referred to as the "Commissioner") which in the first instance shall be the Secretary of the University.
16. REQUESTS FOR ACCESS
- a) All requests for access to a record pursuant to this Policy shall be in writing setting out the records sought to be accessed in sufficient detail so as to allow identification of that record and the likely location of its storage and shall be directed to the Commissioner at the Office of the Secretary of the University together with a deposit of $25 for the fees.
- b) The Commissioner shall advise the applicant of the estimated fees to be paid if it is reasonable estimated that the fee will exceed $25.
- c) Upon receipt of a request to access a record and the deposit for fees, the Commissioner shall make reasonable efforts to locate that record and shall forward a copy of the request to the custodian of the record requiring that the complete file be forwarded to his office together with a written statement of any objections to disclosure that may be relevant.
- d) The Commissioner shall review the record and any objections submitted and shall make a decision on the disclosure or refusal to disclose any or part of the record.
- e) The Commissioner shall inform the applicant of his decision and the reasons therefor and if the application is for access to a record of personal information of the applicant shall invite the applicant to make submission on the correction of the record. The Commissioner shall also inform the applicant of the fee payable pursuant to this Policy and shall disclose the record only on payment of the fee.
- f) If the applicant submits a request to correct a record of his or her personal information, the Commissioner shall consider the request and decide if the record is to be corrected or if the request for correction is to be attached to the record as a statement of disagreement. The Commissioner shall advise the applicant of his decision and the reasons therefor.
17. OTHER RESPONSIBILITIES AND POWERS OF THE COMMISSIONER
The Commissioner shall have the following responsibilities and powers additional to those already stated:
- a) to review and make recommendations with respect to the amendment of this Policy and of any other written policy statements dealing with personal information;
- b) where, in the opinion of the Commissioner, a collection of records containing personal information in the custody or under the control of the University is of such a nature that it creates significant risks of privacy invasion, to require the appropriate authority at the University to prepare a written policy statement concerning that collection;
- c) to review and comment on written policies on access and confidentiality adopted by the University.
18. FEES
18.1 The University may require the person who makes a request for access to a record or for correction of a record to pay,
- a) a search charge for every hour of manual search required in excess of two hours to locate a record;
- b) the costs of preparing the record for disclosure;
- c) computer and other costs incurred in locating, retrieving, processing and copying a record;
- d) shipping costs; and
- e) an application or administrative fee to be set by the Board of Governors from time to time.
18.2 The Commissioner may waive payment of all or any part of an amount required to be paid under this Policy where, in the Commissioner's opinion, it is fair and equitable to do so.
18.3 A person who is required to pay a fee under subsection (1) may ask the Commissioner to review the decision to charge a fee or the amount of the fee. Any request made to the Commissioner to review a decision to charge a fee must be dealt with before the University incurs costs involved in locating, retrieving and processing a record.
19. AMENDMENTS
No amendments or exceptions may be made to this Policy without the consent in writing of the Administrative Committee.
Published July 13, 2004
(Office of the Secretary)