Archival Research and the
Freedom of Information and Protection of Privacy Act
2006-06-10
1. What is the Freedom of Information and Protection of Privacy Act?
The Freedom of Information and Protection of Privacy Act (FIPPA) is provincial legislation that
applies to universities effective June 10, 2006. Its main purposes are to provide a general right of
access to the records of institutions to which it applies, subject to certain limited and specific
exemptions; to protect the privacy of individuals whose personal information is held by those
institutions; and to give those individuals access to that information. FIPPA places a number of
legal obligations on the University and, by extension, Western Archives.
2. What is considered personal information?
FIPPA defines personal information as recorded information about an identifiable individual. It
includes, but is not limited to, information regarding race, gender, home address, medical history,
education history, identifying numbers (e.g., employee number, student number), financial or
employment information, opinions (except if they relate to another individual), and other people’s
opinions or evaluations of the individual. In a university context, the latter include completed
assignments and exams and the grades, comments and/or evaluations provided by an instructor.
Personal information is considered sensitive until the individual to whom it relates has been dead
for a period of thirty years. If you are doing research on an individual who died more than 30
years ago, information about that person can be disclosed. However, the date of death must be
proven; it cannot be assumed.
3. To what records does the Freedom of Information and Protection of Privacy Act apply?
FIPPA applies to most records created or received by the University, regardless of whether they
are located in a departmental office or Western Archives. This includes both records created by
University staff and those received from other sources, such as students or members of the public.
FIPPA also applies to some non-University records in Western Archives, such as those of other
institutions that are themselves subject to FIPPA or its municipal equivalent. For example,
provincial, municipal and school board records preserved or deposited as part of the J. J. Talman
Regional Collection are subject to the same access and privacy rules as the University’s own
records. As well, some health-related records received from hospitals or other health information
custodians, as defined in the Personal Health Information Protection Act, are covered by FIPPA.
FIPPA does not apply to the personal records donated by individuals or the corporate records
donated by organizations or companies. Access to these records is governed by the specific terms
of the agreements negotiated at the time of donation.
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4. What if the personal records donated by an individual contain University records?
It is not uncommon for the donated personal records of former University administrators or
faculty members to contain both material that is truly personal, such as family letters or research
notes, and University records relating to service on a committee or in some formal capacity, such
as a department chair or dean.
It is clear that FIPPA does not apply to the truly personal records of the individual. However, it is
less certain how University records included within a private donation should be treated. As a
result, the current practice at Western Archives is to treat all originals and copies of University
records that are found in a private donation as if FIPPA applies.
As this mixture of personal and ‘official’ records can also exist in the papers of local politicians
or government or school board officials, the same practice is applied to any provincial, municipal
or school board records located within a private donation.
5. How does the Freedom of Information and Protection of Privacy Act affect my research?
Many University records held in Western Archives are readily available to all researchers.
However, some contain information that is subject to mandatory or discretionary exemption under
FIPPA. The best example of a record to which access must be denied is a document containing
the personal information of an identifiable individual, unless that person makes the request. An
example of a record to which access may be withheld at the discretion of the University,
depending on its specific content, is an internal planning report. In some cases there are time
limits. As noted above, the personal information exemption only applies until a person has been
dead for 30 years. As another example, records containing information that would reveal
confidential staff advice can only be exempted until they are 20 years old.
If some or all of a series of records is subject to an access exemption, it is described as
“restricted” in whole or in part. If the potential exists that at least some of the contents could be
exempt, it is described as “subject to review.” In both cases this means that the particular records
must be reviewed before they can be released to you. This is done to identify and, if necessary,
remove information subject to exemption. If any information is removed you will be informed of
the general nature of the contents and the reasons why an exemption was applied.
Perhaps needless to say, this review – sometimes done on a document-by-document basis – can
be very time consuming. As a result, when planning any research project at Western Archives –
particularly one likely to draw extensively on University or government records – one of your
first steps should be to determine the access status of the records (see question 7 below). If it is
immediately apparent that the records cannot be provided in any form, you may need to amend
your research plans. If the records can be provided, in whole or in part, you will likely need to
build additional time into your research schedule to allow for a review of records.
6. What is the specific impact on genealogical research?
As noted above, personal information is defined as recorded information about an identifiable
individual and it remains subject to a mandatory exemption from disclosure until the person has
been dead for 30 years. This exemption applies to most personal information contained in
University, provincial, municipal or school board records.
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If you are researching a relative who is still alive, information can normally be provided directly
to that person and then he or she can share it with you. Information can also be released to you if
your relative has given consent. This consent should be in writing.
If you are researching a relative who has been dead for at least 30 years you can have access to
their information. However, before access is granted you must provide Western Archives with
some proof of when they died, such as a copy of a death certificate or an obituary notice.
Where FIPPA presents a challenge to genealogists is most other situations. For example, if a
living relative cannot be contacted to provide consent or chooses not to do so when contacted, his
or her information cannot be disclosed to you. If a relative died less than 30 years ago or you
cannot prove that he or she died more than 30 years ago, no access can be granted. FIPPA has
little flexibility in this regard; in such cases it requires Western Archives to refuse to disclose
personal information contained in records of the University or another subject institution.
Fortunately there are some types of records of potential interest to genealogists that are
considered to be publicly available even though they contain personal information. Examples
include University convocation programs, municipal assessment rolls, and wills.
7. How will I know if the records I want are subject to the Freedom of Information and
Protection of Privacy Act and, if so, will I ever be able to see them?
At the present time, a complete listing of all records potentially subject to FIPPA is unavailable
(FIPPA restrictions will be noted as new finding aids are prepared or existing ones are updated).
As a result, it is important to contact Western Archives staff as early as possible when planning
your research project. They will assist you in determining if any of the records in which you are
interested are restricted or subject to review.
As noted, if a series of records is restricted or subject to review, staff must examine their contents
in light of the specific provisions of FIPPA. In most cases, this will result in you being granted
full or partial access to the records. However, it is possible that access may be completely denied.
If partial access is granted, you may receive copies of records with some information removed.
This process, called “severing”, normally involves photocopying the original record, obliterating
exempt information with a black marker on the photocopy, and recopying the altered copy.
8. How do I request records that are “restricted” or “subject to review”?
The first step is to identify as precisely as possible the records that you would like to see. At a
minimum, you should try to determine the specific series of records and the approximate date
range. If a file list is available, it is preferable to request specific file titles. The more specific
you can make your request, the more straightforward the process. If you need assistance, be sure
to speak to the Archivist responsible for the records.
Once you have identified the records that you would like to consult, you have two options: an
informal research request or a formal FIPPA access request:

Your first option is to ask for information informally by contacting Western Archives
directly. A written request is required, but it should not refer to FIPPA or a legal right of
access, as this automatically starts the formal process. The request should describe the
information that you are seeking as specifically as possible and summarize your intended
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research. There is no application fee. Your informal research request can be delivered in
person, emailed to archives.services@uwo.ca, faxed to 519-850-2979, or mailed to:
Western Archives
The University of Western Ontario
Archives and Research Collections Centre
London ON N6A 3K7

Your second option is to submit a formal access request that invokes the provisions of
FIPPA. This involves sending a written request to the University’s Freedom of
Information and Privacy (FOIP) Coordinator. This can be done in a letter or using a form
available on-line (see http://www.uwo.ca/privacy/index.html). If you send a letter, your
request must clearly indicate that you are seeking access to records under FIPPA. Your
request should describe the information that you are seeking as specifically as possible
and, while not required, it is helpful to summarize your intended research. A formal
access request is not considered complete until a mandatory $5 application fee is paid. If
you submit your application by mail, please enclose a cheque or a money order payable
to The University of Western Ontario; do not send cash. Your formal access request
should be delivered in person or mailed to:
Freedom of Information and Privacy Office
The University of Western Ontario
University Secretariat
Stevenson-Lawson Building, Room 290
London ON N5A 5B8
Regardless of the option chosen, it is very likely that either the FOIP Coordinator or the assigned
Archivist will need to contact you at some point during the processing of your request, so be sure
you include your contact information (ie, daytime phone number and/or email) on your request.
9. What are the differences between the two request options?
The basic difference between the informal research request and the formal FIPPA access request
is that the first is administered by Western Archives internally, while the second starts a formal
legal process that is coordinated centrally by the University’s FOIP Office. The informal research
request process mirrors many of the elements of the formal access request and involves
assessment of the same potential exemptions, but it does not invoke the provisions of FIPPA.
There are pros and cons to each option. The primary benefits to you in opting for the informal
process are that access to records in which exempt information is incidental to your research
needs is expedited and there are few applicable fees (see question 12). The primary disadvantage
is that if you choose to pursue access through the informal process, you are agreeing to forgo
certain rights granted under FIPPA, such as relatively short response deadlines and the ability to
request an independent review of the University’s access decision if you are not satisfied.
However, if you initially use the informal route and subsequently decide to make the request
formal, you are free to do so. Nothing in the informal process precludes you from exercising your
rights under FIPPA at a later date.
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10. What happens after I’ve made a request and how long does the process take?
Once a request is submitted, the assigned Archivist – or the FOIP Coordinator in the case of a
formal access request -- will review the requested records to see if they contain any information
that is likely to be exempt under FIPPA. If so, the appropriate University official will make a
decision about whether the records must be withheld or if certain information needs to be severed
before the remainder can be released to you.
You should receive a response to your request within 30 days. However, while the University
deals with each request as quickly as possible, it is not always possible to respond fully to a
request for access to archival records within that time period. This is particularly true for research
requests involving a large amount of records. You will be notified if there will be any delay
beyond the timeframe discussed when the request was originally submitted.
As well, you should feel free to discuss the estimated response time with the assigned Archivist
or, in the case of a formal request, the University’s FOIP Coordinator.
11. How will I be notified of a decision?
Regardless of the type of request you submit you will receive a letter informing you of the
University’s decision. It will explain the reasons and provide information on next steps, such as
when the records will be available and any fees that you may be required to pay. It will also
explain your options if you are unsatisfied with the decision.
12. What fees will I be asked to pay?
Other than for photocopying and related reproduction services, there are no fees associated with
the processing of informal requests. However, if a formal access request is submitted under
FIPPA there are a number of fees that must be charged in addition to the $5 application fee. The
basic fee schedule, which is set by government regulation, is as follows

Search time ($7.50/15 minutes): This charge is for staff time spent looking for records
that are relevant to your request. Search costs can be minimized by identifying the
records as specifically as possible. This fee does not apply if you requested access to
your own personal information.

Preparation time ($7.50/15 minutes): This charge is for staff time spent preparing records
containing exempt information for release. This includes the severing process described
above. This fee does not apply if you requested access to your own personal information.

Photocopying ($0.20/page): This charge is to provide you with photocopies of the
responsive records. This charge also applies to copies made for the purpose of severing.
If you choose to examine original records in the Reading Room and then decide to have
copies made, you will be charged the regular Western Archives reproduction fee. The
current rate is $0.10/page for self-service and $1.00/page if staff assistance is required.
If the total fee is anticipated to be over $25 you will be provided with an estimate. If it is likely
that the fee will be over $100 the processing of your request will be placed on hold until you
indicate if you wish to proceed or if you want to amend your request in some fashion. As well, a
50% deposit may be required if the estimated fee is over $100.
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13. What if I need this information but can’t afford to pay the fee?
There is a provision in FIPPA that permits the University to waive some or all of the fees
associated with a formal access request in certain specific cases, such as financial hardship. If
you submit a formal access request and believe that you may qualify for a fee waiver, please
consult the FOIP Coordinator. The fee waiver provision does not apply to photocopying or other
duplication costs resulting from an informal research request.
14. Where can I get more information about the Freedom of Information and Protection of
Privacy Act and its impact on research at Western Archives?
A copy of FIPPA is available in the Reading Room of the Archives and Research Collections
Centre. A link to an on-line version, as well as additional details on the University’s FOIP
program, is available at: http://www.uwo.ca/privacy/index.html.
Specific questions about the application of FIPPA at Western Archives should be directed to
Robin Keirstead, University Archivist, at 519-661-2111 x87289 or rkeirste@uwo.ca.