|
|||||||||||||||||||||||||||||||
|
Report 28 - Access to Information Review Task ForceTHE INFORMATION COMMISSIONER INVESTIGATIVE POWERS AND PROCEDURESVI - Structural Model for the Review Processa) Internal Review
Such internal reviews do not exist in any of the Canadian jurisdictions which we have canvassed, but an internal review procedure does exist in the U.S., Ireland (152) and Australia (153) (and will exist in the United Kingdom). These jurisdictions view their internal review process as productive. To the extent that an internal review process would require a department to introduce more rigour into its own practices and processes, such an approach would be beneficial. It may also provide a relatively quick and cost effective method of resolving misunderstandings which, no doubt, are at the root of some complaints. A process whereby requestors could actually approach a third party, even an internal official, and make arguments as to why information ought to be released, particularly if he or she has an opportunity to address some of the reasons which might be put forward by the co-ordinator for having refused the information, may well result in fewer full blown complaints and investigations. Such a process may well foster more open and better communication between requestors and departments. On the other hand, there really is no domestic model for such an internal review process for us to analyse and consider. Intuitively, imposing another layer in the complaint and redress process would only lengthen that process. While the cost may well be minimal, it would nevertheless be an additional cost. Finally, it is not clear that such an internal redress procedure could be structured in such a way that it would not be an unreasonable imposition on the time of the senior management who would be required to deal with the internal appeal. Such a model might well have some benefits if the department knows that it is then facing a process before the Information Commissioner which could result in an order by the Commissioner that the information be released. However, if the intermediary internal review would only be preceding a process whereby the Commissioner acts only as an Ombudsman and makes a recommendation, it may well be that there would be insufficient incentive for such a process to develop into a truly effective method of the department taking a good hard second look at its decision. No one to whom we spoke, including the Commissioner's Officials was of the view that an internal appeal or grievance process would make the complaint and appeal process more effective or more efficient. b) Adjudicative or Ombudsman Model?
The most substantial change to the role and powers of the Information
Commissioner which the Task Force must consider is whether the Commissioner
should continue to operate as an Ombudsman or whether the office should
become an adjudicative body with the power to make orders. As we have
seen, this is the prevailing model in the provinces and is essentially
the model which has been adopted in other jurisdictions. As far as we
are aware, the experience in provinces such as British Columbia, Alberta,
Ontario and Québec with a quasi-judicial body making a binding
determination with respect to the release of records has been successful.
On the other hand, the Commissioner's Office argues that the federal experience is actually more successful. Leaving aside the recent flurry of activity in the courts on procedural issues and disputes over the Commissioner's jurisdiction, the Commissioner's officials advised us that less than 1% of complaints end up in court. While this does not prove that requestors are happy with the outcome of the investigation in the other 99% of cases, it certainly does suggest a high degree of success in resolving complaints on the part of the Commissioner's Office through persuasion, negotiation, mediation and sometimes arm-twisting, (154) and, one must surmise, co-operation of the institutions involved. At the provincial level, more cases go on to the court even though the courts have expressed a great deal of reluctance to interfere with the findings of Commissioners. Nevertheless, in my view there are a number of positive features to the
adjudicative or order making model which make it an option which ought
to receive consideration. Firstly, a Commissioner with order making powers provides a far more effective avenue of redress for complainants. Under the current system, a complainant who is not satisfied with a recommendation made by the Commissioner or the government's response to such a recommendation, must go to the trouble and expense of taking the matter before the Federal Court. This is not only an expensive proposition, but is also a time consuming proposition. No doubt many requestors do not pursue this option, even though they are dissatisfied with the response which they have received, because it simply is not a viable option for them. Under the adjudicative model, a requestor receives a more immediate final determination of the issue. The cost to the requestor is significantly less. The ability to seek redress from the courts by way of a judicial review is limited and it is likely that in most cases where the Commissioner rules that information ought to be released it will be released. The decision as to whether to seek review of an order of the Commissioner ordering the release of a record lies with the government department, and departments will have to think carefully about whether they want to seek judicial review. Secondly, the Commissioner would be required to issue public decisions in which he would necessarily have to articulate the reasons why he has determined that records should or should not be released. This would establish a body of jurisprudence which would be of great assistance to both government institutions and requestors in determining the basis upon which various exempting provisions ought to be applied. In my view, the Commissioner would necessarily be required to become more engaged in the process and take a stronger sense of "ownership" in the interpretation of the legislation. In my view this would lead to a more coherent approach to the interpretation of the legislation by both the Commissioner and individual government institutions. Under the current model, only the government institution, the requestor and any Third Party receive a copy of the Commissioner's report. There have been comments from co-ordinators that when they receive the Information Commissioner's report they don't always understand the reasoning behind a particular recommendation and therefore can't extract a principle on which to base future consideration of similar access requests. The Information Commissioner does publish a small number of case summaries in his annual reports (8 in the report for 2000-2001 and 14 in the previous report). I am of the view that this practice should be expanded, with a larger number of cases reported and more detail given, particularly as to the reasoning for the Commissioner's recommendations. Everyone involved in the access process would benefit from a greater understanding of his interpretation and application of the Act. The need for more clarity and consistency in applying the provisions of the Act has been a recurring theme in the consultations of the Task Force with co-ordinators and Departments. The publishing of the Commissioner's interpretive findings would also be of help to requesters under the Act and for investigators in solving complaints. In respect of oversight of the application of exemptions, the Commissioner continues to favour the Ombudsman model. Indeed, as the Commissioner's officials expressed it during our meeting, the current model where the Commissioner makes recommendations instead of binding rulings, allows him to be "more courageous" with recommendations since they are not binding on institutions. This view, however, does not seem particularly compatible with the objective
of developing a coherent body of precedent and jurisprudence which, along
with well developed guidelines for the evaluation of injury and application
of discretion, should help to foster more open government. Thirdly, if the Commissioner is performing an adjudicative function, he would also be more likely to adopt processes and procedures which directly address issues of procedural fairness. It is my view that the investigative process would become more transparent and understandable and, in the process, achieve more legitimacy with both those who have made complaints to the Commissioner and those in government institutions who must respond to complaints and investigations. Finally, the adjudicative model, particularly if coupled with the imposition of time constraints and an intermediary mediation process, is, in my view, likely to result in a far more efficient and effective process for resolving disputes with respect to whether or not records ought to be released by the government. However, this view does not appear to be held by others who have studied this issue. In 1987 the Parliamentary Committee reviewing the Act was of the view that the Commissioner's mandate should not be changed in order to give him adjudicative powers. It had the following to say:
The views of the Committee obviously represent a bit of a half-way house trying to reconcile efficiency for timely resolution of process issues with the advantages of a suasion based model for the substantive ones. The approach suggested by the Committee would be a departure from any of the other models which we looked at. In all cases the Commissioner either had an adjudicative role and the power to issue binding orders or he acted as an Ombudsman and simply issued recommendations. Nevertheless the recommendation of the Committee is worthy of more consideration. Complaints which relate to the issue of delay or to the fees being charged should, and probably can, be resolved more expeditiously. (i) Delay Issues Indeed, this question of how to deal with extensions of time which the Commissioner considers to be unreasonable, or with delays, has been a vexing one. At the moment, the Commissioner can investigate and make a recommendation. However, he has no authority to require the government institution to do anything. He may negotiate time frames within which records will be disclosed, or decisions on disclosure taken, but that is the extent of his power. The Federal Court has had to grapple with the issue of time extensions and time limits on at least two occasions. The issue came up in 1994 with respect to a request for records from the Department of National Defence. (156) The Department extended the time for responding the requests by 120 days. However, at the expiration of the extended time frame the Department still had not provided the requestor with a decision. The requestor complained to the Information Commissioner on the ground that the Department had not met the deadline it had given itself. The Commissioner commenced an investigation and the Department committed to him that it would in fact provide the documents within approximately 15 days. As a result, the Commissioner considered the complaint to have been resolved. However, thereafter, the Commissioner was informed that the Department had not met the negotiated deadline for responding to the request. Accordingly, he initiated two new complaints, on his own behalf, pursuant to s. 30(3) of the Access to Information Act. He then again discussed a resolution with the Department and they agreed on a new cut-off date for the production of the records. The Department again missed the cut-off date and the Commissioner gave one final deadline indicating that if that deadline was missed he would take the matter up before the Federal Court. That final deadline was in fact missed and the Commissioner commenced a review before the Federal Court on the basis that there had been a deemed refusal as contemplated by s. 10(3) of the Act. However, before the matter came before the Court, the Department finally gave a response in respect of the request. The position which the Commissioner took before the Court was that in light of the deemed refusal, the Department ought to be ordered to disclose any portion of the records for which it would claim a discretionary exemption. Only mandatory exemptions could still be claimed as a result of the deemed refusal. The motions judge at the trial division held that the final decision of the Department to refuse the records did not constitute a deemed refusal to disclose, but rather a final disclosure out of time. He found that the disclosure out of time did not necessarily nullify the government institution's ability to avail itself of the exemptions provided for in the Act, including discretionary exemptions. The Commissioner and the requestor still had the opportunity to consider the appropriateness of those exemptions and commence a review if they disagreed with any of those exemptions. The matter was appealed and the Court of Appeal found as follows:
More recently, the Court has again provided a fairly strict interpretation of the provisions of the Act regarding delays and extensions with the result that there appears to be very little that the Information Commissioner can do. In a case involving the Department of Citizenship and Immigration (157), the Department was in receipt of 55 requests for access to records. These requests all came from the same requestor and involved approximately 270,000 pages of documents. The Department extended the time for responding to their request to 3 years. The requestor filed complaints with the Commissioner claiming that the extended time limits were unreasonable. The Commissioner conducted an investigation and took the position that the extensions for a 3 year period were not reasonable. On September 20, 2000 the Commissioner wrote to the Deputy Minister. The Commissioner recommended that the Department respond to the requests, which had been divided into two categories, by November 6, 2000 and by December 6, 2000. The Commissioner went on further and made the following statement in his recommendation letter:
The Deputy Minister agreed to respond to the first category of documents by November 6, 2000, but indicated that it would not be possible, because of the volume involved, to respond as required with respect to the second part of the request. Accordingly, on November 22, the Information Commissioner issued a subpoena by way of an "order with respect to production of records" pursuant to s. 36 of the Act and required the Deputy Minister to produce those records to him by December 7, 2000. The Deputy Minister commenced an application to set aside the subpoena and, pending the hearing by the Court, the subpoena was stayed. One of the grounds raised by the Attorney General was the admission that the investigation was closed. The Commissioner had made his recommendation with respect to production, the Deputy Minister had responded, and the investigation was, therefore, at an end. Accordingly, the Commissioner initiated a second complaint in accordance with s. 30(3) on the basis that he was satisfied that there were reasonable grounds to investigate the Department's deemed refusal to disclose those records as well as the actual refusal to disclose others. He then issued a second subpoena and the Attorney General commenced a second proceeding to quash that subpoena as well. Accordingly, the Court was faced with two issues. The first complaint by the requestor and subpoena raised the issue of whether the extension period taken by the Department was unreasonable. The self initiated second complaint and related subpoena raised the issue of whether the unreasonable extension of time constituted a deemed refusal to give access to the records. The Attorney General took the position that both subpoenas were issued in excess of the Commissioner's jurisdiction. The Court agreed. With respect to the first investigation the Court had the following to say:
With respect to the second subpoena, the Court also found that there was an excess of jurisdiction because:
As can be seen from these two cases, the power of the Commissioner to have any practical effect with respect to extensions of time or failures to meet the time limit for providing access is extremely limited. He can only negotiate with the departments in order to try to achieve a time frame for responding to a request which will resolve the complaint. Similarly, the Courts themselves have been reluctant to find that they can issue any coercive orders with respect to the production of records. They have been prepared to issue various declarations but have not been prepared to actually order the release of records on the basis of a deemed refusal. (158) Accordingly, as presently structured, the Office of the Information Commissioner has limited tools to deal with the issue of delay, whether by lengthy extensions or whether by failure to meet a time limit for responding to a request. It may, in fact be, at least in part, because of this limitation on the powers of the Commissioner and his inability to force compliance with time limitations that the Commissioner has taken some of the steps which he has to publicise the issue of delays, the only avenue he has. As Alasdair Roberts notes: (159)
Another suggestion which the Commissioner has made is that the legislation be amended to provide for sanctions against departments that are late in responding to requests. These sanctions would include a prohibition against charging any fees which otherwise might be payable and loss of the authority to invoke any of the discretionary exemptions found in the legislation. The latter sanction would be mitigated by some mechanism which would provide for a "saving clause" which the Commissioner suggested might be invoked only by the Prime Minister. (160) In his 2000-2001 Report (p. 60) the Commissioner recommended that the prohibition for invoking exemptions be limited to sections 21 and 23. These solutions do not seem to present the most effective way of dealing with the issues of delays and long extensions. In my view, the better approach is to meet the issue head on. To the extent that the problem is caused by poor records management and lack of resources within departments, the issue needs to be addressed by the government. To the extent that the issue is a deliberate failure on the part of departments to honour their obligations, then an order power on the part of the Commissioner would seem to be the most effective tool. Such an order power would, of course, be subject to judicial review. While the Commissioner may not be adverse to having order powers with respect to issues such as delay and the extension of time limits, both the present Commissioner and his predecessor, John Grace, have expressed the view that they believe that the current model is the most effective and the one which they believe gives them the most flexibility. Mr. Grace had the following to say in a 1994 speech: (161)
However, the issue of delay is one that may require more than moral suasion. (ii) Publication of Reasons In my view, some of the disadvantages of the current model could be addressed by having the Commissioner issue summaries of his decisions on points of general interest where other requestors and other departments would benefit from his views on matters which have a broad interest. In fact, we note that this request has been made to the Privacy Commissioner, particularly in the context of his role under the Protection of Personal Information and Electronic Documents Act. He has in fact posted some of his recent decisions. The UK Parliamentary Ombudsman overseeing the application of the Code of Practice also publishes his interpretative findings. Indeed, even if the Commissioner continues to function as an ombudsman, there is no reason why he could not report his conclusions in the same way that an adjudicative officer publishes decisions. In Nova Scotia, the oversight of access to information is by the Information Review Officer who is an ombudsman and who only has the power to make recommendations. (162) The Review Officer does, however, publish his findings and recommendations and these are available on his web site. (163) These are structured in much the same way as a decision, setting out the issue, background, the government's position, the applicant's position and a conclusion that refers to statutory provisions and caselaw. Most of the decisions are four to seven pages in length. The Review Officer has been writing and publishing his Review Reports for several years and has, to date, issued over 300 such reports. Approximately 100 can be found on Quicklaw. The published Reports are used as reference points by public bodies covered by the legislation. While the Reports are not binding precedents, we are advised that they are often used by public bodies in considering access requests and do give a clear direction to public bodies as to how the Review Officer views the issues. (164) There is no reason why the federal Commissioner could not provide his reports, or at least a selection dealing with issues that address the interpretation of the Access to Information Act and the exempting provisions, in this manner as well. (iii) Other Considerations Clearly, both the adjudicative model and the ombudsman model have advantages and disadvantages. To date the federal preference seems to have been for the ombudsman model in a number of areas. Indeed, the Information Commissioner is but one of a group of federal Ombudsmen who all operate under legislation which gives them similar powers to investigate and report, by way of recommendation. (165) It may, therefore, be appropriate to undertake an examination of the question of whether the ombudsman model continues to be the most appropriate as part of a more comprehensive review which would consider these other pieces of legislation as well. 152. Section 14 153. Section 54 154. John Reid, supra note 10 155. "Open and Shut" supra note 146 at p. 37 156. Canada (Information Commissioner) v. Canada (Minister of Defence), [1999] F.C.J. No. 522 (QL) (FCA), A-785-96, judgment dated April 19, 1999; aff'g in part (1996), 120 F.T.R. 207 (F.C.T.D.) 157. Supra note 6 158. Canada (Information Commissioner) v. Canada
(Minister of External Affairs), [1989] 1 F.C. 3 (T.D.) 159. Roberts, supra note 7 at p. 18 160. John Reid, Remarks to Conference on Access to Information Reform, Ottawa, Ontario, May 1, 2000. 161. The Access to Information Act: 10 Years On, 1994 Ottawa, Ontario, Office of the Information Commissioner. See also: Roberts, supra note 7 162. Supra note 134, Section 39 163. http://www.gov.ns.ca/foiro/content/reviewreports.htm 164. Task Force discussions with Darce Fardy, Nova Scotia's Information Review Officer and with Bob Doherty, a senior Access to Information co-ordinator in the Nova Scotia Department of Justice 165. Privacy Act; supra note 20, Official Languages Act and Corrections and Conditional Release Act, supra note 130 |
||||||||||||||||||||||||||||||
| Last Updated: 2002-05-31 | |||||||||||||||||||||||||||||||