Accountability
The Income Security Program is responsible for personal information under its control. Management unit directors or supervisors are accountable for the Income Security Program's compliance with the following principles.
Accountability for the Income Security Program's compliance with the principles rests with management unit directors or supervisors, even though other individuals within the Income Security Program may be responsible for the day-to-day collection and processing of personal information.
The Income Security Program is responsible for personal information in its possession or custody, including information that has been transferred to a third party for processing. The Income Security Program shall use contractual or other means to provide a comparable level of protection while the information is being processed by a third party.
The Income Security Program shall implement policies and practices to give effect to the principles, including
(a) implementing procedures to protect personal information;
(b) establishing procedures to receive and respond to complaints and inquiries;
(c) training staff and communicating to staff information about the Income Security Program's policies and practices; and
(d) developing information to explain the Income Security Program's policies and procedures.
Identifying Purposes
The purposes for which personal information is collected shall be identified by the Income Security Program at or before the time the information is collected.
The identified purposes should be specified at or before the time of collection to the client from whom the personal information is collected. Depending upon the way in which the information is collected, this can be done orally or in writing. For example, information collection forms shall give notice of the purposes where relevant.
When personal information that has been collected is to be used for a purpose not previously identified, the new purpose shall be identified prior to use. The consent of the client is required before information can be used for that purpose.
Workers collecting personal information should be able to explain to individuals the purposes for which the information is being collected.
Consent
The knowledge and consent of the client are required for the collection, use, or disclosure of personal information, except where inappropriate.
In certain circumstances personal information can be collected, used, or disclosed without the knowledge and consent of the client. For example, legal, medical, or security reasons may make it impossible or impractical to seek consent. Seeking consent may be impossible or inappropriate when the individual is a minor, seriously ill, or mentally incapacitated.
Consent is required for the collection of personal information and the subsequent use or disclosure of this information. Typically, the Income Security Program will seek consent for the use or disclosure of the information at the time of collection.
The principle requires ''knowledge and consent''. Management units shall make a reasonable effort to ensure that the client is advised of the purposes for which the information will be used. To make the consent meaningful, the purposes must be stated in such a manner that the client can reasonably understand how the information will be used or disclosed.
The Income Security Program shall not, as a condition of the supply of a product or service, require a client to consent to the collection, use, or disclosure of information beyond that required to fulfil the explicitly specified, and legitimate purposes.
When the information collected is considered to be sensitive (e.g.: income, background, family situation, etc.) the Income Security Program shall seek express consent. Implied consent would generally be appropriate when the information is less sensitive.
In obtaining consent, the reasonable expectations of the client are also relevant and should be dealt with accordingly. For example, it would legitimate for the Income Security Program to contact its clients about job opportunities.
Individuals can give consent in many ways. For example:
(a) an application form may be used to seek consent, collect information, and inform the client of the use that will be made of the information. By completing and signing the form, the client is giving consent to the collection and the specified uses;
b) consent may be given orally when information is collected over the telephone; or
c) consent may be given at the time that clients use a product or service.
A client may withdraw consent at any time. The Income Security Program shall inform the client of the implications of such withdrawal.
Limiting Collection
The collection of personal information shall be limited to that which is necessary for the purposes identified by the Income Security Program. Information shall be collected by fair and lawful means.
Management units shall not collect personal information indiscriminately. Both the amount and the type of information collected shall be limited to that which is necessary to fulfil the purposes identified.
The requirement that personal information be collected by fair and lawful means is intended to prevent organizations from collecting information by misleading or deceiving individuals about the purpose for which information is being collected. This requirement implies that consent with respect to collection must not be obtained through deception.
Limiting Use, Disclosure, and Retention
Personal information shall not be used or disclosed for purposes other than those for which it was collected, except with the consent of the client or as required by law. Personal information shall be retained only as long as necessary for the fulfilment of those purposes.
Management units using personal information for a new purpose shall document this purpose.
Management units should develop guidelines and implement procedures with respect to the retention of personal information. These guidelines should include minimum and maximum retention periods. Personal information that has been used to make a decision about a client shall be retained long enough to allow the individual access to the information after the decision has been made. The Income Security Program may be subject to legislative requirements with respect to retention periods.
Personal information that is no longer required to fulfil the identified purposes should be destroyed, erased, or made anonymous. Management units shall ensure these operations are performed efficiently to prevent inappropriate access to personal information.
Accuracy
Personal information shall be as accurate, complete, and up-to-date as is necessary for the purposes for which it is to be used.
The extent to which personal information shall be accurate, complete, and up-to-date will depend upon the use of the information, taking into account the interests of the client. Information shall be sufficiently accurate, complete, and up-to-date to minimize the possibility that inappropriate information may be used to make a decision about the individual.
The Income Security Program shall not routinely update personal information, unless such a process is necessary to fulfil the purposes for which the information was collected.
Safeguards
Personal information shall be protected by security safeguards.
The security safeguards shall protect personal information against loss or theft, as well as unauthorized access, disclosure, copying, use, or modification. The Income Security Program shall protect personal information regardless of the format in which it is held.
The methods of protection should include:
a) physical measures, for example, locked filing cabinets and restricted access to offices;
b) organizational measures, for example, security clearances and limiting access on a ''need-to-know'' basis; and
c) technological measures, for example, the use of passwords and encryption.
Management units shall make their employees aware of the importance of maintaining the confidentiality of personal information. At a minimum, new employees should be sworn in by an authorized person.
Care shall be used in the disposal or destruction of personal information, to prevent unauthorized parties from gaining access to the information.
Openness
The Income Security Program shall make readily available to individuals specific information about its policies and practices relating to the management of personal information.
Management units shall be open about their policies and practices with respect to the management of personal information. Clients shall be able to acquire information about the Income Security Program's policies and practices without unreasonable effort.
The information made available shall include:
a) the name or title, and the address, of the person who is accountable for the Income Security Program's policies and practices and to whom complaints or inquiries can be forwarded;
b) the means of gaining access to personal information held by the Income Security Program;
c) a description of the type of personal information held by the Income Security Program, including a general account of its use; and
d) what personal information is made available to other Band Council divisions.
Individual Access
Upon request, a client shall be informed of the existence, use, and disclosure of his or her personal information and shall be given access to that information. A client shall be able to challenge the accuracy and completeness of the information and have it amended as appropriate.
More specifically, it would be appropriate to provide copies of forms produced by the client. It is not necessary to extend access to other documents produced by the Income Security Program (e.g.: notes taken by a worker). Such documents are considered as tools intended to facilitate the administration of the aforementioned.
In some cases, the Income Security Program may not be able to provide access to all the personal information it holds about a client. Exceptions to the access requirement should be limited and specific. The reasons for denying access should be provided to the individual upon request. Exceptions may include information that is prohibitively costly to provide, information that contains references to other individuals, information that cannot be disclosed for legal, security, or commercial proprietary reasons, and information that is subject to solicitor-client or litigation privilege.
Upon request, the Income Security Program shall inform a client whether or not it holds personal information about the client. Management units are encouraged to indicate the source of this information. The Income Security Program shall allow the individual access to this information.
The Income Security Program shall respond to a client's request within a reasonable time and at minimal or no cost to the client. The requested information shall be provided or made available in a form that is generally understandable. For example, if the Income Security Program uses abbreviations or codes to record information, an explanation shall be provided.
When a client successfully demonstrates the inaccuracy or incompleteness of personal information, the Income Security Program shall amend the information as required. Depending upon the nature of the information challenged, amendment involves the correction, deletion, or addition of information. Where appropriate, the amended information shall be transmitted to third parties having access to the information in question.
Challenging Compliance
A client shall be able to address a challenge concerning compliance with the above principles to the designated individual or individuals accountable for the Income Security Program's compliance.
The Income Security Program shall put procedures in place to receive and respond to complaints or inquiries about its policies and practices relating to the handling of personal information. A written or verbal complaint shall suffice for a client to exercise his or her right. Verbal complaints shall be documented by a worker in the client’s record.
The Income Security Program shall investigate all complaints. If a complaint is found to be justified, the Income Security Program shall take appropriate measures, including, if necessary, amending its policies and practices.