Archived - Annual Report to Parliament on the Administration of the Privacy Act 2015–2016

Introduction

Purpose of the Privacy Act

Mandate of the Department of Finance Canada

Administration of the Privacy Act

Access to Information and Privacy Division

Principles on Assistance to Applicants

Educational and Training Activities

Policies, Guidelines, Procedures and Initiatives

Internal Audit of Systems and Processes

Other Activities

Delegation of Authority

Information Holdings

Interpretation of Statistical Report (Annex A)

Part 1 – Requests under the Privacy Act

Other Requests

Part 2 – Requests Closed During the Reporting Period

Disposition / Completion Time of Requests

Completion Time

Exemptions / Exclusions

Format of Information Released

Complexity

Deemed Refusals

Translations

Part 3 – Disclosures under Subsection 8(2) and 8(5)

Part 4 – Requests for Correction of Personal Information and Notations

Part 5 – Extensions

Part 6 – Consultations Received from Other Institutions and Organizations

Part 7 – Completion Time of Consultations on Cabinet Confidences

Part 8 - Complaints/Investigations/Audits

Part 9 - Privacy Impact Assessments

Part 10 – Resources Related to the Privacy Act

Appeals to the Federal Court of Canada

Monitoring of Requests

Material Privacy Breaches

Disclosures Pursuant to Paragraph 8(2)(m)

Annex A - Statistical Report on Privacy Act Requests

The Annual Report to Parliament on the Administration of the Privacy Act (the Act) within the Department of Finance Canada (the ‘Department’) is prepared and tabled in Parliament in accordance with section 72 of the Act and covers the period from April 1, 2015 to March 31, 2016

The Act came into force on July 1, 1983. Its purpose is to protect the privacy of individuals with respect to personal information about themselves held by federal government institutions. It also provides Canadian citizens, permanent residents, and individuals present in Canada a right of access to their personal information.

The Department recognizes that the right of access to personal information is an essential element of our system of democracy. It is committed to openness and transparency, respecting both the spirit and the requirements of the Act, its regulations and related policy instruments. The Department further acknowledges the importance of facilitating access to information by requiring that its employees make every reasonable effort to assist applicants.

The Department of Finance Canada helps the Government of Canada develop and implement strong and sustainable economic, fiscal, tax, social, security, international and financial sector policies and programs. It plays an important central agency role, working with other departments to ensure that the government's agenda is carried out and that ministers are supported with high-quality analysis and advice.

The Department’s responsibilities include:

The Minister of Finance is accountable for ensuring that his responsibilities are fulfilled both within his portfolio and with respect to the authorities assigned through legislation. In particular, the Minister has direct responsibility for a number of acts as well as fiscal and tax policy relating to other acts that are under the responsibility of other ministers.

The Access to Information and Privacy (ATIP) Division was part of the Law Branch up to October 2015. After a reorganization, the ATIP Division became part of the Communications Policy Division, Consultations and Communications Branch. The ATIP Divison is responsible for administering the Access to Information Act and the Privacy Act for the Department. As a centralized operation, the ATIP Division coordinates the timely processing of requests under the legislation, handles complaints lodged with the Privacy Commissioner, and responds to informal inquiries. Division staff also provides guidance to departmental officials on matters involving the Act. The ATIP Division comprises a director, two team leaders, ten full-time ATIP analysts and two administrative assistants.

With the passing of the Federal Accountability Act, section 4(2.1) was added to the Access to Information Act:

“The head of a government institution shall, without regard to the identity of a person making a request for access to a record under the control of the institution, make every reasonable effort to assist the person in connection with the request, respond to the request accurately and completely and, subject to the regulations, provide timely access to the record in the format requested.”

While a similar provision was not included in the Privacy Act, the Department is nonetheless committed to both the spirit and intent of these principles and to the Directive on Privacy Requests and Correction of Personal Information with respect to their application when processing Privacy Act requests.

This year, the ATIP Division participated in two Orientation Sessions. These are provided to employees who are new to the Department as a means to introduce them to the activities of each Branch. It provided information about the ATIP Division, the Act, and information management practices to 45 new employees.

Two other training sessions were given to 13 departmental employees within various branches of the Department. The training was delivered using the Canada School of Public Service on-line ATIP training module to ensure that it is consistent with the whole of government approach. A total of 13 employees received this training. Training sessions were also conducted with branch ATIP contacts focusing on ATIP processes including those for the annual update of InfoSource. No branch specific training was requested this fiscal year.

Ad hoc training on a variety of subjects was also provided as needed to individuals throughout the Department including to new ATIP branch contacts.

An internal audit of systems and processes for Access to Information (ATI) requests and security and information management was completed in 2015-2016. Though the internal audit’s primary focus was on ATI requests, several of the best practices that were developed from the findings also apply to the processing of Privacy Act requests. The audit concluded that the Department has effective and reliable information systems and activities for processing access to information requests. While the audit noted recent improvements in the review process regarding ATI requests, further opportunities exist to reduce the time required to retrieve requested information, and to streamline the process to review release packages. As a result,

The audit recommended to the Deputy Minister that:

  1. All Branches adopt best practices related to information management, which will enable them to identify and retrieve information for ATI requests in the expected timeframes; and
  2. That the review done by the Law Branch no longer take place after the Consultations and Communications Branch review unless legal issues are involved.

In response to recommendation 1) guidance documents were developed to assist all departmental officials in responding to ATI requests. These included guidance documents on most commonly used exemptions, security of information and information management.

In response to recommendation 2) effective June 1, 2015, the Access to Information (ATI) approval process was reviewed and a new process was put into place. Assistant Deputy Ministers, their General Director(s) or Executive Director(s) have been delegated to approve the release of information for most ATI requests. In addition, to speed up the process, the transmission of the proposed package to be reviewed and approved is now being done electronically with an expected turn-around time of five business days should time permit.

To ensure policy compliance and adherence to procedures for appropriate handling and preparation of responses to ATIP requests, the ATIP Division continued to update tools used by staff both in the ATIP Division and across the Department and held face-to-face meetings with new staff and contacts. Both tools and meetings were instrumental in ensuring that the Department’s employees are aware of their roles and responsibilities related to access to information and privacy requests.

Due to a change in government, the delegation of authority was modified and approved on December 1, 2015. The authority to approve or deny the release of information under the Act is shared by the Deputy Minister, the Associate Deputy Ministers, the Assistant Deputy Ministers of Consultations and Communications Branch and Corporate Services Branch, the Senior Director, Communications Policy Division, the ATIP Director, ATIP Team Leaders and Senior ATIP analysts to sign off on more administrative matters. The ATIP Director normally performs the function, with the exception of disclosures pursuant to paragraph 8(2)(e) of the Act, which are usually handled by the Assistant Deputy Minister of the Corporate Services Branch.

Privacy Act Designation Order

Schedule 1 - Designation Order— Privacy Act

Powers, duties, or functions Section Deputy Minister Associate Deputy Minister Associate Deputy Minister and G7 Deputy for Canada Assistant Deputy Minister Consultations and Communications Branch Assistant Deputy Minister
Corporate Services Branch
Senior Director, Communications Policy
Director, ATIP
ATIP Team Leaders,
Senior ATIP Analysts
Disclosure for research purposes 8(2)(j) Yes Yes Yes Yes No Yes No
Disclosure in the public interest or in the interest of the individual 8(2)(m) Yes Yes Yes Yes No Yes No
Copies of requests under 8(2)(e) to be retained 8(4) Yes Yes Yes Yes Yes Yes Yes
Notice of disclosure under 8(2)(m) 8(5) Yes Yes Yes Yes No Yes No
Record of disclosures to be retained 9(1) Yes Yes Yes Yes No Yes Yes
Consistent uses 9(4) Yes Yes Yes Yes No Yes Yes
Personal information to be included in personal information banks 10 Yes Yes Yes Yes No Yes Yes
Notice where access requested 14 Yes Yes Yes Yes No Yes No
Extension of time limits 15 Yes Yes Yes Yes No Yes Yes
Language of access 17(2)(b) Yes Yes Yes Yes No Yes Yes
Access to personal information in alternative format 17(3)(b) Yes Yes Yes Yes No Yes Yes
Exemption (exempt bank) - Disclosure may be refused 18(2) Yes Yes Yes Yes No Yes No
Exemption - Personal information obtained in confidence 19(1) Yes Yes Yes Yes No Yes No
Where authorized to disclose 19(2) Yes Yes Yes Yes No Yes No
Exemption - Federal-provincial affairs 20 Yes Yes Yes Yes No Yes No
Exemption - International affairs and defence 21 Yes Yes Yes Yes No Yes No
Exemption - Law enforcement and investigation 22 Yes Yes Yes Yes No Yes No
Exemption - Public Servants Disclosure Protection Act 22.3 Yes Yes Yes Yes No Yes No
Exemption - Security clearances 23 Yes Yes Yes Yes No Yes No
Exemption - Individuals sentenced for an offence 24 Yes Yes Yes Yes No Yes No
Exemption - Safety of individuals 25 Yes Yes Yes Yes No Yes No
Exemption - Information about another individual 26 Yes Yes Yes Yes No Yes No
Exemption - Solicitor-client privilege 27 Yes Yes Yes Yes No Yes No
Exemption - Medical record 28 Yes Yes Yes Yes No Yes No
Notice of intention to investigate 31 Yes Yes Yes Yes No Yes No
Right to make representation 33(2) Yes Yes Yes Yes No Yes Yes
Findings and recommendations of Privacy Commissioner (complaints) 35(1) Yes Yes Yes Yes No Yes Yes
Access to be given 35(4) Yes Yes Yes Yes No Yes No
Report of findings and recommendations (exempt banks) 36(3) Yes Yes Yes Yes No Yes Yes
Report of findings and recommendations (compliance review) 37(3) Yes Yes Yes Yes No Yes Yes
Special rules for hearings 51(2)(b) Yes Yes Yes Yes No Yes Yes
Ex parte representations 51(3) Yes Yes Yes Yes No Yes Yes
Report to Parliament 72(1) Yes Yes Yes Yes No Yes Yes
No No No No No No No No No
Privacy Regulations No No No No No No No No
Reasonable facilities and time provided to examine personal information 9 Yes Yes Yes Yes No Yes Yes
Notification that correction to personal information has been made 11(2) Yes Yes Yes Yes No Yes Yes
Notification that correction to personal information has been refused 11(4) Yes Yes Yes Yes No Yes Yes
Disclosure of personal information relating to physical or mental health may be made to a qualified medical practitioner or psychologist for an opinion on whether to release information to the requestor 13(1) Yes Yes Yes Yes No Yes No
Disclosure of personal information relating to physical or mental health may be made to a requestor in the presence of a qualified medical practitioner or psychologist 14 Yes Yes Yes Yes No Yes No

Info Source is a series of publications containing information about and collected by the Government of Canada. The primary purpose of Info Source is to assist individuals in exercising their rights under the Access to Information Act and the Privacy Act. Info Source also supports the federal government's commitment to facilitate access to information regarding its activities.

A description of the Department’s functions, programs, activities and related information holdings can be found in Sources of Federal Government and Employee Information. Info Source also provides private individuals and federal government employees (current and former) with the information required to access their personal information held by government institutions that are subject to the Privacy Act.

During this reporting period, the ATIP Division reviewed the content of its Info Source chapters, including the descriptions of its information holdings, its institutional functions, programs and activities.

All Info Source publications are available free of charge on the Internet.

The number of formal requests received this reporting period was 36, a 44% increase from 20 formal requests received the previous reporting year. One request was carried over from 2014-2015. By the end of 2015-2016, all 37requests were completed.

Table 1 illustrates a three-year trend.

Table 1. Overview of Privacy Act Requests

Fiscal Year New Requests Received Requests Completed Number of Pages Processed Number of Pages Released On-Time Compliance Rate %
2015-2016 36 37 2746 2595 100%
2014-2015 20 19 439 381 89.5
2013-2014 5 5 6 6 100

In 2015-2016, the Department did not receive any consultations from other government institutions or organizations.

Many individuals who submit Privacy Act requests are under the impression that the Department holds the same type and amount of personal information about them as is held by the Canada Revenue Agency, banks, and trust companies. That is not the case and explains why many requests do not result in the retrieval of personal information about those individuals. The following table indicates the disposition of the 37 completed requests this fiscal:

Disposition / Completion Time of Requests

Disposition Number of Requests Percentage of Requests
All disclosed 14 37.8%
Disclosed in part 6 16.2%
All exempted 0 0%
All excluded 0 0%
No records exist 12 32.4%
Request abandoned 5 13.5%
Neither confirmed or denied 0 0%
Total 37 100.0 %

Of the 37 requests completed, all were closed on time, an increase over 2014-2015’s 89.5%. Of the 37 requests closed during the reporting period, 34 (91.8%) were completed within 30 days, two (5%) requests were completed within two months and one (2.7%) request took between 61 and 120 days.

In 2015-2016, the Department invoked a total of eight exemptions pursuant to specific sections of the Act. These exemptions were as follows:

Exemptions / Exclusions

Section of the Act Number of Times Exemptions Applied
Section 19 - Personal information obtained in confidence from other governments 1
Section 26 - Personal information 6
Section 27 - Solicitor-client privilege 1

No exclusions were applied.

Records were provided to applicants in 20 cases, 11 of those in paper format and nine on compact disc. No applicants asked to review the records as opposed to receiving a copy.

Six of the requests were considered complex as they contained personal information about individuals other than the requestors.

All requests were responded to within the statutory deadlines

There were no requests for translation this reporting period.

Paragraph 8(2)(e) of the Act allows for disclosures of personal information “to an investigative body...for the purpose of enforcing any law.” The Department did not make any disclosures pursuant to paragraph 8(2)(e) of the Act in this reporting period.

Paragraph 8(2)(m) of the Act allows for disclosures of personal information in the public interest. The Department did not make any disclosures pursuant to paragraph 8(2)(m) of the Act in this reporting period.

No requests for corrections or notations were received from applicants this reporting period.

Two extensions of the statutory time limits under the Act were taken, one for interference of operations and one for consultation purposes.

No consultations were received from other government institutions or organizations.

No consultations with respect to Cabinet confidences were required.

There was one complaint involving the use and disclosure of personal information lodged against the Department during the reporting period. That complaint has been carried forward to 2016-2017.

No complaints were closed this reporting period.

One investigative review (audit) was initiated by the Office of the Privacy Commissioner this reporting period. It deals with the fair information handling provisions of the Privacy Act (Sections 4 to 8); it has been carried forward to 2016-2017.

As previously mentioned, an internal audit of systems and processes for Access to Information (ATI) requests and security and information management was completed in 2015-2016. Though the internal audit’s primary focus was on ATI requests, several of the best practices that were developed from the findings also apply to the processing of Privacy Act requests. The audit concluded that the Department has effective and reliable information systems and activities for processing access to information requests. While the audit noted recent improvements in the review process regarding ATI requests, further opportunities exist to reduce the time required to retrieve requested information, and to streamline the process to review release packages.

The Department did not initiate or complete any Privacy Impact Assessments this reporting period.

Costs incurred in the reporting period are calculated on the salaries of ATIP Division staff and the administrative expenses associated with administration of the Act. Costs do not include salaries of other departmental personnel involved in processing requests. Administration of the Act cost the Department $71,394 this reporting year.

No appeals were made to the Federal Court.

Due to the small amount of requests processed by the Department under the Act, including corrections or notations, monitoring of requests is conducted within the ATIP Division as required in order to ensure that the Department meets its legislated obligations.

There were no material privacy breaches which occurred this reporting period.

Paragraph 8(2)(m) of the Act allows for the disclosure of personal information when the public interest clearly outweighs any invasion of privacy or when the disclosure would benefit the individual. There were no disclosures pursuant to paragraph 8(2)(m) for the 2015–2016 period.

Part 1 – Requests Under the Privacy Act

Requests under the Privacy Act Number of Requests
Received during reporting period 36
Outstanding from previous reporting period 1
Total 37
Closed during reporting period 37
Carried over to next reporting period 0

2.1 Disposition and Completion Time

Disposition of requests Completion Time
1 to 15 days 16 to 30 days 31 to 60 days 61 to 120 days 121 to 180 days 181 to 365 days More than 365 days Total
All disclosed 13 0 1 0 0 0 0 14
Disclosed in part 3 3 0 0 0 0 0 6
All exempted 0 0 0 0 0 0 0 0
All excluded 0 0 0 0 0 0 0 0
No records exist 11 1 0 0 0 0 0 12
Request abandonned 3 0 1 1 0 0 0 5
Neither confirmed nor denied 0 0 0 0 0 0 0 0
Total 30 4 2 1 0 0 0 37

2.2 Exemptions

Section Number of Requests
18(2) 0
19(1)(a) 0
19(1)(b) 0
19(1)(c) 1
19(1)(d) 0
19(1)(e) 0
19(1)(f) 0
20 0
21 0
22(1)(a)(i) 0
22(1)(a)(ii) 0
22(1)(a)(iii) 0
22(1)(b) 0
22(1)(c) 0
22(2) 0
22.1 0
22.2 0
22.3 0
23(a) 0
23(b) 0
24(a) 0
24(b) 0
25 0
26 6
27 1
28 0

2.3 Exclusions

Section Number of Requests
69(1)(a) 0
69(1)(b) 0
69.1 0
70(1) 0
70(1)(a) 0
70(1)(b) 0
70(1)(c) 0
70(1)(d) 0
70(1)(e) 0
70(1)(f) 0
70.1 0

2.4 Format of Information Released

Disposition Paper Electronic Other formats
All disclosed 6 0 8
Disclosed in part 5 0 1
Total 11 0 9

2.5.1 Relevant Pages Processed and Disclosed

Disposition of requests Number of pages processed Number of pages disclosed Number of requests
All disclosed 1,412 1,441 14
Disclosed in part 1,265 1,086 6
All exempted 0 0 0
All excluded 0 0 0
Request abandonned 69 68 5
Neither confirmed nor denied 0 0 0
Total 2,746 2,595 25

2.5.2 Relevant Pages Processed and Disclosed by Size of Requests

Disposition Less than 100 pages processed
101-500 pages
processed

501-1000 pages processed
1001-5000 pages processed
More than 5000 pages processed
Number of requests Pages disclosed Number of requests Pages disclosed Number of requests Pages disclosed Number of requests Pages disclosed Number of requests Pages disclosed
All disclosed 8 119 6 1,322 0 0 0 0 0 0
Disclosed in part 3 72 2 258 1 756 0 0 0 0
All exempted 0 0 0 0 0 0 0 0 0 0
All excluded 0 0 0 0 0 0 0 0 0 0
Request abandonned 5 68 0 0 0 0 0 0 0 0
Neither confirmed nor denied 0 0 0 0 0 0 0 0 0 0
Total 16 259 8 1,580 1 756 0 0 0 0

2.5.3 Other Complexities

Disposition Consultation required Legal Advice Sought Interwoven Information Other Total
All disclosed 0 0 0 0 0
Disclosed in part 0 0 0 0 0
All exempted 0 0 0 0 0
All excluded 0 0 0 0 0
Request abandonned 0 0 0 0 0
Neither confirmed nor denied 0 0 0 0 0
Total 0 0 0 0 0

2.6.1 Reasons for not meeting statutory deadline

Number of requests closed past
the statutory deadline
Principal Reason
Workload External consultation Internal consultation Other
0 0 0 0 0

2.6.2 Number of Days Past Deadline

Number of days past deadline Number of requests past deadline
where no extension was taken
Number of requests past deadline
where an extension was taken
Total
1 to 15 days 0 0 0
16 to 30 days 0 0 0
31 to 60 days 0 0 0
61 to 120 days 0 0 0
121 to 180 days 0 0 0
181 to 365 days 0 0 0
More than 365 days 0 0 0
Total 0 0 0

2.7 Requests for Translation

Translation Requests Accepted Refused Total
English to French 0 0 0
French to English 0 0 0
Total 0 0 0

Disclosures Under Subsection 8(2) and 8(5)

Paragraph 8(2)(e) Paragraph 8(2)(m) Subsection 8(5) Total
0 0 0 0

Requests for Correction of Personal Information and Notations

Disposition for Correction Requests Received Number
Notations attached 0
Requests for correction accepted 0
Total 0

5.1 Reasons for Extensions and Disposition of Requests

Disposition of requests where
an extension was taken
15(a)(i)
Interference with operations
15(a)(ii)
Consultation

15(b)
Translation or conversion
Section 70 Other
All disclosed 0 0 0 0
Disclosed in part 1 0 0 0
All exempted 0 0 0 0
All excluded 0 0 0 0
No records exist 0 0 0 0
Request abandonned 0 0 1 0
Total 1 0 1 0

5.2 Length of Extensions

Length of extensions 15(a)(i)
Interference with operations
15(a)(ii)
Consultation

15(b)
Translation purposes
Section 70 Other
1 to 15 days 1 0 0 0
16 to 30 days 0 0 1 0
Total 1 0 1 0

6.1 Consultations Received from Other Government of Canada Institutions and Organizations

Consultations Other governement of Canada institutions Number of pages to review Other organizations Number of pages to review
Received during reporting period 0 0 0 0
Outsanding from the previous reporting period 0 0 0 0
Total 0 0 0 0
Closed during the reporting period 0 0 0 0
Pending at the end of the reporting period 0 0 0 0

6.2 Recommendations and Completion Time for Consultations Received from Other Governement of Canada Institutions

Recommendation Number of days required to complete consultation requests
1 to 15 days 16 to 30 days 31 to 60 days 61 to 120 days 121 to 180 days 181 to 365 days More than 365 days Total
All disclosed 0 0 0 0 0 0 0 0
Disclose in part 0 0 0 0 0 0 0 0
All exempted 0 0 0 0 0 0 0 0
All excluded 0 0 0 0 0 0 0 0
Consult other institution 0 0 0 0 0 0 0 0
Other 0 0 0 0 0 0 0 0
Total 0 0 0 0 0 0 0 0

6.3 Recommendations and Completion Time for Consultations Received from Other Organizations

Recommendation Number of days required to complete consultation requests
1 to 15 days 16 to 30 days 31 to 60 days 61 to 120 days 121 to 180 days 181 to 365 days More than 365 days Total
All disclosed 0 0 0 0 0 0 0 0
Disclose in part 0 0 0 0 0 0 0 0
All exempted 0 0 0 0 0 0 0 0
All excluded 0 0 0 0 0 0 0 0
Consult other institution 0 0 0 0 0 0 0 0
Other 0 0 0 0 0 0 0 0
Total 0 0 0 0 0 0 0 0

7.1 Requests with Legal Services

Number of Days Fewer Than 100 Pages Processed 101-500 Pages Processed 501-1000
Pages Processed
1001-5000
Pages Processed
More than 5000
Pages Processed





Number of
Requests
Pages Disclosed Number of
Requests
Pages Disclosed Number of
Requests
Pages Disclosed Number of
Requests
Pages Disclosed Number of
Requests
Pages Disclosed
1 to 15 0 0 0 0 0 0 0 0 0 0
16 to 30 0 0 0 0 0 0 0 0 0 0
31 to 60 0 0 0 0 0 0 0 0 0 0
61 to 120 0 0 0 0 0 0 0 0 0 0
121 to 180 0 0 0 0 0 0 0 0 0 0
181 to 365 0 0 0 0 0 0 0 0 0 0
More than 365 0 0 0 0 0 0 0 0 0 0
Total 0 0 0 0 0 0 0 0 0 0

7.2 Requests with Privy Council Office

Number of Days Fewer Than 100 Pages Processed 101-500 Pages Processed 501-1000
Pages Processed
1001-5000
Pages Processed
More than 5000
Pages Processed





Number of
Requests
Pages Disclosed Number of
Requests
Pages Disclosed Number of
Requests
Pages Disclosed Number of
Requests
Pages Disclosed Number of
Requests
Pages Disclosed
1 to 15 0 0 0 0 0 0 0 0 0 0
16 to 30 0 0 0 0 0 0 0 0 0 0
31 to 60 0 0 0 0 0 0 0 0 0 0
61 to 120 0 0 0 0 0 0 0 0 0 0
121 to 180 0 0 0 0 0 0 0 0 0 0
181 to 365 0 0 0 0 0 0 0 0 0 0
More than 365 0 0 0 0 0 0 0 0 0 0
Total 0 0 0 0 0 0 0 0 0 0

Complaints and Investigations Notices Received

Section 31 Section 33 Section 35 Court action Total
1 0 0 0 1
Number of PIA(s) completed:
0

10.1 Costs

Expenditures Amount
Salaries $69,094
Overtime $0
Goods and Services $2,300
Professional services contracts $0
Other $2,300
Total $71,394

10.2 Human Resources

Resources Person Years Dedicated to Privacy Activities
Full-time employees 1.00
Part-time and casual employees 0.00
Regional staff 0.00
Consultants and agency personnel 0.00
Students 0.00
Total 1.00

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