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.