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Report 25 - Access to Information Review Task Force
MANAGING RESPONSE TIMES UNDER CANADIAN ACCESS TO INFORMATION LEGISLATION
2.5.3 The Perspective of the Access to Information Commissioner on
Solutions
2.5.3.1 Discourse, Persuasion, Advocacy by the Information Commissioner
- Always the preferred route and
traditionally successful, because governments, politicians, and the
public service do not like negative publicity and are open to direct
(preferably private) persuasion in support of openness and accountability;
- Awareness that these same actors cannot control Officers of Parliament
or Officers of the Legislature, who have considerable freedom to speak
out, because of their independence from government;
- Normally, Information Commissioners want to be "popular" and not be
perceived as enemies by those they work with. They have some reluctance
to make "waves."
- Bob Clark as Information and Privacy Commissioner in Alberta (1995-2001)
is a former politician, Cabinet Minister, and acquaintance of the Premier;
Clark is a rare example of a Commissioner with the ability to intervene
at the highest political level to settle perceived problems.
- Access to Information Commissioner, John Grace, is a leading member
of the Ottawa establishment and was very well placed during the 1990s
to make personal appeals to try to settle pressing ATI problems; he
also had a strong commitment to personal diplomacy as a way of solving
issues. But he was also the first Information Commissioner of Canada
to make a public issue of delays in meeting timelines.
2.5.3.2 Publicizing the Problem
- Information Commissioners have ready access to the media through press
releases and annual reports; in particular, their criticisms of government
are often perceived to be newsworthy.
- When a situation gets bad enough that an Information Commissioner
speaks out on an issue like delays, the results are usually positive
in terms of government efforts to address the problem. John Reid's experiences
are unusual in eventually arousing more antipathy than support from
the public service and the political elite (despite his good intentions).
2.5.3.3 Issuing Report Cards to Government Departments
- When John Reid, a former Liberal
Cabinet Minister (1978-79) and long-time Member of Parliament (1965-84),
became Information Commissioner of Canada on July 1, 1998, he and his
senior staff soon decided that the problems of delays and deemed refusals
were out of hand and that novel approaches should be taken;
- Reid introduced "a 'zero-tolerance' policy for late
responses to access requests … and, most important, the full weight
of the Commissioner's investigative powers would be brought to bear
to achieve these goals." (85)
(emphasis added)
- Reid described the response to his new approach in his annual report
released on October 15, 2000 (under the heading: "Access - A
Right under Siege: Mayday - Mayday."): "Many government insiders
considered this plan of action to be threatening, ill-considered, perhaps
even arrogant for a newcomer to the Commissioner's job. There has been
a worrisome hardening of attitudes and increased resistance to the Commissioner's
investigations as a result. When the Commissioner's subpoenas, searches,
and questions come too insistently or too close to the top, the mandarins
circle the wagons…. The Treasury Board's attack involved starving the
Commissioner of vital resources to do the job."
(86) (emphasis added)These facts speak for themselves in terms
of a predictable response.
- Commissioner Reid, October 15, 2000: "There is no retreat from the
game plan of 'zero tolerance' for delays or for the general culture
of excessive secrecy." (87)
- The new strategy of issuing report cards to federal
agencies on an annual basis. Reid himself described what he found:
- In 1998-1999, six departments were reviewed and all received
a failing grade of "F" because from 35 to 85 percent of requests
received in those departments were not answered on time. [To receive
the highest mark, an "A", late answers should occur in 5 percent
or less of cases.] In 1999-2000, the same six were reviewed again
along with two additional departments; four of the original six
again received an "F", although the percentage of requests not answered
on time had fallen to a range between some 23% to 52%. Two moved
from an "F" to an "A". One of the two newly reviewed departments
received an "A", the other received an "F".
- The "report card" approach caused something of a stir amongst
senior officials. I hasten to add that this approach - of
prodding officials into action, through public exposure of poor
management, was a last resort. All the other options (from cajoling
to court action) had been tried without success by my predecessors.
While I fully agree that all efforts to tackle the delay problem
in a co-operative manner must be explored before the exposure route
is taken -- 16 years of patient waiting for compliance to occur
was too long. (88) (emphasis
added)
- Complaints surfaced that the report card standards were so stringent
that progress in individual departments was not being rewarded; this
was, understandably, a demoralizing factor for some access to information
coordinators.
- Experienced educators know that for grades to be respected the grading
system has to be fair: The grading scale used for these report cards
was certainly very severe, since the grading range for being penalized
for deemed refusals, between earning an A and receiving an F, was only
20 percent. In other words, the grading scale was highly artificial,
not least in terms of the lack of explanations offered to readers and
users for the standards adopted. (89)
Evidence of the inherent unfairness of the grading scale can be found
in the Information Commissioner's own admission in May 2000: "The other
four departments which failed on their report cards last year (CIC,
CCRA, DFAIT and ND) received "F"s again this year. But even in these
cases, there is a bright side to the story. All are showing substantial
improvement over previous years and all have put in place resources
and processes which, in this Commissioner's view, will bring them into
compliance by the end of fiscal year 2000/2001."The Commissioner added:
"This year, among the failing group, the non-compliance rate ranges
from a high of 51.5 percent to a low of 23.4 percent." It is unusual
to have such a range of performance in the F category and for an educator
to respond to "substantial improvement" with another failing grade.
- A grading system in which everyone fails is not a grading system appropriate
to the problem being evaluated; that was the situation in the first
report cards of 1999.
- Such report cards have to make realistic and plausible recommendations.
The 1999 report card recommended that "[t]he coordinator should be directed
by the Minister, in writing, to exercise the delegation to answer requests
within deadlines whether or not the senior approval process has been
completed." It is hardly surprising that departments ignored a recommendation
that flies directly in the face of how the public service functions
under the doctrine of ministerial responsibility.
(90)
- The detailed report cards on six departments in the annual report
of the Information Commissioner for 2000-2001, released in early June,
2001, are in a 47-page appendix and are quite detailed and more user-friendly
in terms of discussion of the issues and recommendations for improvement.
(91)
- The summary of discussions held by the Access to Information Review
Task Force with access to information coordinators made the following
relevant points:
- "It was noted that the Information Commissioner's 'report cards'
on how requests are being handled has provided an innovative way
of monitoring departmental implementation of the Act."
- "Relations with the Office of the Information Commissioner were
seen by a number of participants to have deteriorated over time.
An apparent wear and tear on public servants' morale resulting from
increasingly negative commentary in the Information Commissioner's
annual report along with demands by investigators, perceived as
overly persistent and excessive, were all cited as being harmful
to maintaining good working rapport with the Information Commissioner's
Office. It was felt that this could potentially exacerbate the already
negative impacts of too few human and financial resources for the
access to information function in government."
(92) This criticism reflects the realities of trying to
make an ATI system work in practice.
- The summary of discussions with 'report card' departments further
pointed out, with respect to missed deadlines, that "[t]he simple letter
grade assigned by the Information Commissioner (IC) does not capture
the fact that a significant percentage of records requested are released,
nor does it consider appropriate applications of the Act or
the need to conduct consultations on the documents";
- Requests are considered non-compliant by the IC even if only a few
documents out of an otherwise completed request are held back for reasons
of unavoidable delays due to need to consult internally with offices
across the country or abroad, with foreign governments and with other
federal government departments; moreover, the letter grade assigned
by the IC does not assess whether the departments correctly applied
the Act and the permissible exemptions.
(93)
- The summary of discussions with 'report card' departments also made
the following points about the Information Commissioner's Report Card
process:
- "The IC is focused on delays, at the expense of other important
issues such as content and quality of responses";
- "The IC report does not consider consultations, which are also growing
in number as the complexity and number of requests grows";
- - "The IC's simple letter grade does not capture the fact that the
vast majority of the records requested are released on time, and a
very large proportion is released with few or no exemptions";
- - "Account should be taken of the existence of documents in decentralized
offices and the difficulties this engenders in gathering documents
located across the country or abroad, as well as access to the advice
on sensitivity provided by decentralized line offices";
- - "When departments get constant negative attention from
the IC, no credit for the correctness of application of the law or
good quality of responses, nor for investing substantially increased
resources into the process just to maintain compliance in the face
of rising demand, a "fatigue factor" will predictably set in at senior
management levels; in such circumstances ATIP can be seen as a "black
hole" or bottomless pit for resources, which could result in resentment
on the part of line branches"; (emphasis added) This is a
very perceptive observation.
- - "If the IC could be persuaded to refocus on broader issues, such
as the ATIP community for example, the community as a whole could
move in the best way for all".
- - "Departments should not wait until they get a "report card" to
review their processes, measure throughout, identify problems and
take remedial action; it is difficult to recover the department's
reputation once it gets tagged with the "secrecy brush" and improvements
should be made as soon as problems are identified";
- The Ontario Information and Privacy Commissioner's latest annual report
contains an excellent form of "report card" for individual provincial
departments that "names names" in terms of institutional improvements
in meeting timelines for access requests and details how these were
accomplished, identifies continuing deficiencies, flags with arrows
those departments whose records have improved in the past year and those
which have declined, and praises the best performers. All of this is
done in a very judicious and objective tone.
(94) This Ontario example is a considerable improvement on
the federal approach to report cards.
2.5.3.4 Confronting Ministers and Senior Bureaucrats
- As part of its zero-tolerance policy, Commissioner Reid and his senior
staff also adopted the radical approach of summoning Ministers and the
highest level of public servants to explain, under oath, why access
to information was not working properly in their departments;
- Commissioner Reid, October 15, 2000: "The 'zero tolerance' policy
with respect to delays in answering access requests involved two main
activities: … 2) calling Deputy Ministers to explain the reasons for
delay (on the record and under oath) when the assigned investigator
could not resolve the matter with his or her counterparts. The bad news
of this policy … was that senior officials did not enjoy being the focus
of attention and they have found a multitude of ways to register their
displeasure." (95) This was
completely predictable.
- "Ministers and Deputy Ministers were called upon to explain cases
of unreasonable delay. Their explanations were received directly and
not through the buffer of intermediaries."
(96) This activity, dubbed by critics as the "Star Chamber,"
(in reference to the supposedly inquisitorial tribunal style) was extremely
unpopular among individuals at the very summit of political and bureaucratic
power in Canada;
- Some observers regard the action by Commissioner Reid as having the
perverse effect of increasing resistance to cooperation with his office,
generating anger and hostility towards the Commissioner, and "poisoning
the atmosphere" towards the Access to Information Act, versus
an earlier grudging acceptance.
- While the concept of asking for explanations is clearly appropriate,
an approach that can be characterized as "inquisitorial" seems to be
predictably counterproductive.
2.5.3.5 Waving Access Fees in the Case of Failing to Meet Timelines
- In 1987 the Standing Committee on Justice and Solicitor General recommended
that the Information Commissioner be authorized to waive access fees
if a government institution fails to meet specified time limits without
adequate justification. Since the government of the day ignored this
recommendation, it deserves re-consideration.
- In 1999 the British Columbia legislative committee reviewing the administration
of its Act made a similar recommendation.
- Because fees are often waived, and only modest amounts are being collected
in other cases anyway, the 'punitive' effort of waiving fees in these
circumstances may be minimal for a department.
- Waiving fees is a problematic response to the problem of delays, since
it takes, on average, some four months for the Information Commissioner
of Canada's office to complete an investigation of a deemed refusal.
(97) Thus it might be six months after the date of an applicant's
original access request before the Information Commissioner would be
in a position to order a fee waiver. At this point, most records should
have been disclosed to the applicant anyway, at least under normal circumstances.
2.5.3.6 Making Decisions: Empowering the Commissioner
- The Chair of the federal Access to Information Review Task Force said
in a speech in London, UK on March 5, 2001 that "Until now, Canada has
made a very parsimonious use of Courts to resolve access to information
disputes. That is probably due to a number of things - including our
legislation, the structure of the Information Commissioner's powers
and possibly because litigation is not the "Canadian way to go" - It
makes for a rather economical and, on the whole, non-litigious system."
(98)
- There is some evidence that the provinces and territories have not
encountered as massive a problem with delays in responding to access
to information requests as the federal government. (This is not to suggest
in any way that there are not problems with how to manage delays in
the provinces and territories, especially for requests for personal
information).
- One possible explanation, as evidenced by the Ontario decisions summarized
in appendix 1, is that the Quebec, Ontario, BC, and Alberta Information
and Privacy Commissioners oversee the FOI process with the power to
make binding orders. The result is that government departments that
act inappropriately are instructed what to do to remedy the situation,
such as failing to respond to an access request or taking unreasonable
extensions. However, even an Information Commissioner with regulatory
power cannot, in practice, control the allocation of resources, although
he or she will be listened to attentively because of this statutory
authority.
- In the provinces that follow the Ontario model (especially British
Columbia and Alberta), there is a formal mediation process to try to
solve the problems of dissatisfied requesters. The problem of delay
tends to be dealt with successfully through mediation and then targeted,
concrete efforts to remedy administrative problems, such as inadequate
resources.
- The Information Commissioner of Canada could be given order-making
power, which would increase his authority with departments subject to
the Act. (99) Such decisions
could still be appealed to the Federal Court of Canada (which is a very
slow process, compared to recourse to decisions by a provincial or territorial
Information and Privacy Commissioner).
(100)
2.5.3.7 Making Decisions: The Power of the Federal Court of Canada
- The Federal Court, Trial Division,
in a series of decisions (1988-90) has asserted its power to review
judicially the issue of delays in response to issues brought before
it (sometimes by the Information Commissioner of Canada);
(101)
- The Federal Court has also ruled that a government department must
act "expeditiously" in the processing of access requests:
- Justice Muldoon: "Confessions that such [access to information] requests
ought to be processed as expeditiously as possible may be good for an
individual's soul, but it has no didactic energy in gaining the attention
of government departments. It has no effect in actually providing legally
that less than expeditious processing of requests for information is
breaking the law, as it surely is."
(102) Muldoon found that the obligation of the department
in question was to process the access requests "as expeditiously as
possible."
- Muldoon also found that "the Department acted negligently and ignorantly
outside of the spirit of the Act by obfuscating (without malice) the
reasons for the delays in responding to the access requests during the
course of the Information Commissioner's investigation;….The department
must state cogent, genuine reasons for the extension, and for its length."
(103)
- The Federal Court has also ruled that the Information Commissioner
of Canada has the authority to oversee the processing of access requests
under the Act, including the responsibilities for administrative
and political decisions required to administer the Act.
(104)
2.5.3.8 Guiding Government Departments
- In 1999-2000 the Information Commissioner's
office provided departments with a detailed approach to the responsible
use of the Act's provisions allowing extensions of time for answering
access requests. It provided specific (reasonable) guidance on the meaning
of:
- Reasonable periods of time for consulting with 3rd
parties, for example;
- Large number of records;
- Unreasonable interference with operations;
(105)
- The Information Commissioner of Canada is predominantly responsible
for overseeing and monitoring the health of the federal ATI system,
but he or she has to choose their methods of enforcement very carefully
in order to avoid counterproductive results. Any such official in Canada
would be unwise to alienate a significant segment of the public service,
except in extreme circumstances, such as an effort to abolish the Access
to Information Act.
2.5.4 The Perspective of the Government on Solutions
2.5.4.1 The Time Required to Refine a Request and to clarify what
the Applicant is Seeking
- Section 6 of the Access to
Information Act states: "A request for access to a record under
this Act shall be made in writing to the government institution that
has control of the record and shall provide sufficient detail to enable
an experienced employee of the institution with a reasonable effort
to identify the record." The statutory expectations here should be sufficient
to make the system work, if each of the three conditions are met: the
applicant has to be able to provide sufficient detail
about the record requested to enable an experienced employee
to locate that record with a reasonable effort. The
implication, as well, is that this process will be interactive among
applicant, coordinator, and the custodians of the records.
- A key activity in successful implementation of ATI timelines is refining
the request; (106)
- The consultation with 'report card' departments noted that "[a]ttempts
to re-focus requests if they are too broad has been found to work well,
as well as calling the line divisions promptly and pushing the communications
package on sensitive requests."
- Should the clock starting ticking for timelines before this process
is completed and the coordinator has a concrete request to deal with?
The common sense answer is no, but the tenor of section 7 of the Access
to Information Act is that the calendar starts to move as soon
as the request is received. This does not make practical sense and may
require clarification.
- Almost every applicant needs to clarify his or her request with the
Access to Information Coordinator, whether because of the almost inevitable
lack of knowledge of the records available, frequent lack of clarity
as to just what the applicant wants to do with records,
(107) and the problem of affording costs of access; clarification
needs to be built into the access system in terms of meeting timelines.
(108)
- Clarification of the Access to Information Act to determine
that the timelines only begin when the coordinator has a clear access
request in front of him or her should be considered. This will necessarily
involve a process of negotiation with requesters.
2.5.4.2 Promoting Routine Disclosure/Active Dissemination of General
Government Records
- The Chair of the Access to Information Review Task Force stated in
a speech in London, UK on Match 5, 2001:
- "In Canada, over the last few years, there has been considerable
focus on enhancing the quality of service to Canadians. This thinking
does not seem to have yet made many inroads in the area of access
where it would have important implications for the way access is
provided. Better service would mean a faster, simpler, easier process
to access information including electronic access."
- "Finally, a somewhat more recent concept that is being discussed
in a number of jurisdictions is the idea of government information
as a 'national resource.' In short, this suggests that a major role
for the government, the largest holder of data in any country, would
be to put as much as possible of this information into the public
domain, as fast as possible, for it to generate knowledge and wealth.
This concept would take access way beyond responding to individual
requests to the systematic proactive release of information on an
ongoing basis." (109)
- General records (as opposed to personal records) that are of interest
to the general public should be routinely disclosed by means of the
web site of the government department, etc.
(110)This use of what the Americans call "electronic reading
rooms" should be cost effective and save ATI money.
(111)
- The summary of discussions with 'report 'card' departments estimated
"in one case that the number of access requests would be reduced by
25% if certain information of particular interest to business were disclosed
routinely by proactively positing it to the website."
- Participants in the same consultation process also "strongly recommended
that departments look strategically at their communications plans, identify
the information that the general public wants, and disclose it proactively
through the Internet and other means;"
- One roadblock is that the Official Languages Act likely requires
that such records be translated.
- A Web Site might usefully record a list of the records a department
has already released, or disclose the records themselves, if they are
of general interest. In 1987 the Mulroney government said it would "take
steps to make lists of records which have been disclosed under the Access
to Information Act available to users to help them to identify
the records they want." (112)
- The summary of discussions held with access to information coordinators
by the Access to Information Review Task Force included the following
observation: "Several participants pointed to the benefits of encouraging
'informal' access to government information through means other than
the Act. Some noted a trend towards increased use of departmental web
sites as a way of keeping people informed and of furthering the government's
objective of more open government."
- The summary of discussions held with the 'report card' departments
noted that one of the participants "provides a bilingual summary of
the documents released on the departmental website in an effort to disseminate
widely information about recent releases."
- Information Commissioner John Reid recently stated:
- "After 18 years of experience, departments know (or should know)
what types of records citizens, journalists, academics, business
people and politicians are seeking. The government's procurement
of goods and services is one area where all the records are of interest.
So, too, audit reports, and expense records of public officials
are regularly requested. When government gives loans, grants and
awards--the public is interested. All internal guidelines, policies,
practices--which make up the legal régime under which decisions
about citizenship, refugee status, entitlement to benefits, liability
for taxes--are of interest and routinely requested. The list is
large--but it is well known. All such records should be
placed into an electronic reading room without waiting for requests.
Record keeping systems should have public dissemination in mind
as a design principle." (113)
(emphasis added)
- Reid also stated in another speech in 2001:
- Despite these strong legislative and judicial exhortations to
openness, the Act is administered all too often as a secrecy statute
where the test is: "if in doubt, keep it secret" - a test which
has been specifically rejected by the Federal Court. Even after
18 years, no department, of which I am aware, does an annual content
analysis of the requests received and answered, with a view to identifying
information which could be made available on a routine basis --
perhaps on a website -- without the need for a formal access request.
(This is sound advice.)
- Why complain of the burden of access requests until every effort
within your control, as public officials, has been made to disclose
information proactively, informally and routinely?
(114)
- BC Information and Privacy Commissioner, David Loukidelis, highlighted
the importance of routine disclosure without an access request in his
first annual report:
- "I have urged deputy ministers and other public body heads to
begin routinely disclosing information - ideally using the Internet.
With the obvious exception of information protected under the Act's
mandatory exceptions to the right of access, it makes sense for
public bodies to routinely make as much information available as
possible without an access request being necessary. This better
serves the Act's goals of openness and accountability while decreasing
the cost of complying with the Act. I urge all public bodies to
be aggressive about this and to make as much information as possible
available to the public without access requests or cost."
(115)
- Proactive release of information by means of government websites and
publications is subject to official languages rules; this requirement
has time and resource consequences. However, nothing prevents government
institutions from providing on their website an up-todate list, in both
official languages, of records already released, which could be made
available informally to requesters in the language of origin and only
translated on request.
- An example of sophisticated routine disclosure of a wide variety of
records is the Web Site of the Canadian Blood Services; it is responding
to the strong public interest in a safe blood system.
(116)
- The Web Site of National Defence already includes a very useful annotated
edition of the Access to Information Act, its detailed annual
reports to Parliament on the progress it is clearly making in managing
the access to information and privacy function, and a very helpful list
of all requests completed back to 1997 with information about how to
access the same records. (117)
- In April, 1994, the Ontario Information and Privacy Commissioner and
the Information and Privacy Office of Management Board Secretariat released
an important report on "routine disclosure/active dissemination."
(118) The Commissioner's latest annual report announces its
creation of a working group, with several provincial institutions, on
routine disclosure/active dissemination.
(119)
- Routine disclosure/active dissemination have to be a key part of any
solution to the issue of meeting timelines and containing the costs
of an ATI regime;reliance on the Access
to Information Act should be at one end of the disclosure spectrum
for government records, not the normal approach to obtaining government
information.
- The summary of discussions held with coordinators by the Access to
Information Review Task Force included this statement: "Increasing routine
disclosure (for example on web sites) of all kinds of governmental information
and making access under the Act a 'last resort process' for complex
government records would improve very significantly public access to
government information." (120)
- Promoting routine disclosure/active dissemination of general government
records holds the promise of reducing the need to make formal ATI requests
and thus lowering the pressure of meeting ATI timelines by, hopefully,
decreasing the volume of requests.
2.5.4.3 Charging for Access to General Information
- The practice of the Harris Government in Ontario, by introducing an
application fee for access, was effective in reducing the frequency
and volume of access requests; reducing the number of access requests
makes it easier to meet timelines. Governments need to decide whether
they wish to be perceived as discouraging requests for their records.
- The problem of setting realistic fees in terms of the limited amounts
of money that governments customarily recover;
(121)
- The relative difficulties of determining the true costs of properly
administering an ATI regime; (122)
- The Chair of the Access to Information Review Task Force made
the following summary statement about costs in a speech in London,
UK on March 5, 2001: "The [2000 Treasury Board] study indicated
that for 1998-1999 the total overall cost for the Canadian access
to information program was estimated at almost $29 M ($28,845,000);
a significant amount but just a small fraction of the communications
budget of the Canadian government, which is approximately
$350 M. There has been a steady increase in cost over the five-year
period of the study, the number of requests growing by 41%. from
9,792 to 14,340 requests per annum. During the same period, greater
efficiency was achieved since the unit cost per request declined
by 23% from $2,250 to $1,770. The time for searching for and locating
documents decreased by an amazing 30%. However, the time for review
of documents and approval have increased and now constitute more
than one third of the total cost."
(123) (emphasis added)
- The Chair added with respect to the collection of fees: "In Canada,
reasonable fees can be collected for processing the request but
not for time spent on review and approval. However, we collect less
than 1.4% of process costs in fees.
For 1999-2000, the average cost per request completed was $927 -
this was for search, retrieval, and reproduction only. The average
fee collected per request completed was $11.78 and the fee waived
per request completed was $8.95.
- There are a number of disincentives for institutions to collect
fees: it is complex to administer and adds to the workload; the
collector of the fee does not benefit, quite the opposite, as it
can lead to a separate complaint to the Information Commissioner.
It is never collecting fees."
- Should individuals have to pay to exercise a fundamental right
in a democracy?
- It is possible that increased charges for all aspects of access
to general government information would reduce the number of requests
and thus minimize the burden of compliance with related time lines.
There is a plausible argument that an appropriate fee structure,
inducing the right kind of incentives on all sides, can contribute
to meeting timelines by introducing discipline in the ATI system.
2.5.4.4 The Importance of Commitment to ATI at the Highest Levels
for Meeting Timelines
- A lack of commitment to open, accountable government influences the
problems of meeting timelines and coping with delays. As Information
Commissioner, John Reid, said in a recent speech in Warsaw:
- "The senior management cadre must realize that the attitude its members
express towards the right of access rages like a grassfire through a
department. If employees feel that compliance is not a priority for
the leaders, you will see delays, inflated fees, antagonism towards
requesters, inadequate searches, and an increasing number of complaints.
When the leaders decide not to keep minutes of meetings, when they tell
others not to write things down, when they perpetuate the myths about
abusive requesters, when they tolerate giving the Minister's needs priority
over legal rights, when they do not foster a culture of openness in
general - their employees get the message loud and clear".
(124)
- Government departments need to build trusted relationship with requesters
with respect to openness and accountability;
- The need to educate officials about their ATI responsibilities: As
John Reid said in his Warsaw speech on March 15, 2001, a critical way
to deal with problems in the administration of ATI is "educate all government
employees who play a role in processing access requests. This education
must be on a mandatory, regular and targeted basis. In other words,
the education program for ministerial staff will differ in some respects
from that for senior managers or officials in operational areas."
- The need for leadership from the top: As John Reid also said in a
speech in London, England in March, 2001, in celebration of the enactment
of a U.K. Freedom of Information Act, "I urge the Prime Minister
and Cabinet to set the tone and example for the public service. From
the top, there needs to be a strong message of support for embracing
openness as a new cultural imperative in government. One of the great
disappointments in Canada--where a culture of secrecy is still too strong--is
that no Prime Minister has led the cultural change."
(125)
- The position of the Mulroney government on strengthening and improving
access to information (1987): " … the greatest need is for government
leadership to incorporate the principles underlying access to information
into the practice of public administration at the federal level in Canada.
The government will act to ensure that this occurs."
(126) (emphasis added)
- Commissioner Reid, October 15, 2000: on the government's motivation
in crushing MP John Bryden's private members bill to reform the Access
to Information Act: "… the government's motivation was … to resist
the value of openness. It talks the openness talk, but it has
not yet walked the walk."
(127) (emphasis added)
- MP John Bryden (summer, 2001) on reform of the Access to Information
Act: "The really important changes are those that make as much
information available as possible while respecting a dedicated bureaucracy's
need for a reasonable degree of confidentiality. Only then can one create
the culture in government where the default option of choice is to release
rather than withhold. Unfortunately, the reverse is more often the case.
When in doubt about whether something must be disclosed by the Act,
officials tend to choose secrecy rather than openness. This must change."
(128)
- Former Information (and Privacy) Commissioner of Canada, John Grace,
appearing on June 7, 2001 before the MPs ad hoc Committee on Access
to Information (129): "The
failure of leadership at the highest levels to support the values of
openness in a democratic society is at the root of the weakness of the
Access Act today. Access commissioners can plead, task forces can recommend,
parliament can amend. But unless a Prime Minister gives substance to
any promises of openness, the specific written and public direction
to his ministers and deputy ministers that access to information is
not to be unreasonably delayed or denied, unless such
leadership is tangible and visible, we are all wasting our time in a
search for reform. What incentive is there for rank and file public
servants to embrace the spirit and the letter of access to information
legislation when the example before them is to obstruct the law, a law
that has been on the books for 17 years? I can't emphasize enough
that a change in attitude across the whole bureaucracy is more important
to making access work effectively, more important than any amendment
to the Act no matter how brilliantly conceived." (emphasis
added)
- The oversight role of Parliament and its committees has been relatively
non-existent since 1987 with respect to monitoring compliance with timelines:
Commissioner Reid (May, 2000): "…Parliament, too, needs to remain concerned
and vigilant about the widespread problem of non-compliance with response
deadlines under the Access to Information Act. Access,
like justice, is denied when it is delayed. These report cards and report
card updates are offered as tools to assist MPs and committees in their
oversight work." (130)
- The root issue for successful implementation of an ATI regime, including
meeting timelines, is political support for the process and, in Western
liberal democracies, support from incumbent governments is almost inevitably
going to be lukewarm, because making it easier for outsiders to attack
the government is so counter-intuitive. Other proponents of open, accountable
government, including the various Information Commissioners, have to
hold their feet to the fire in this regard.
- The summary of discussions with coordinators held by the Access to
Information Review Task Force included this statement: "The Department
of Justice, Treasury Board, and the Privy Council Office were singled
out. A review of their specific roles in leading and guiding the public
service in implementing the Act and in encouraging government transparency
was seen as central to enhanced service delivery under the Act and beyond."
This comment was in effect a plea for more direction, support, and expert
advice from these organizations in their role as central agencies responsible
for ATI.
- The consultation with 'report card' departments further emphasized
the importance of leadership from the relevant Minister and the Deputy
Minister: "Strong leadership and personal involvement by the executive
management level was considered essential to success. Those ATIP Coordinators
who are able to go directly to the DM if there is a problem in obtaining
documents have found that extensions need only be taken for very large
files that are physically impossible to move in the required turnaround
time;…. Regular reports to senior management in several instances keep
ATIP issues on the front burner."
- If access coordinators and their staffs are to take seriously their
statutory obligations to comply with ATI timelines, they need to be
assured that the government has a strong commitment to the broad goals
of an ATI program. A striking model in this regard is a letter from
Arthur C. Eggleton, the Minister of National Defence, to his deputy
minister, dated April 6, 1999, which concluded: "Responding to the requests
for information from citizens in a timely manner is essential not only
because of the requirements of the access legislation, but also to enhance
the opinion Canadian citizens have of this institution and to promote
the Department's objective of transparency."
2.5.4.5 The Central Administrative Role of the Treasury Board Secretariat
in Managing Timelines
- Management of the overall administration of ATI legislation is ultimately
the responsibility of central government, i.e. Treasury Board Secretariat
and the Department of Justice, not the Information Commissioner of Canada;
- If Treasury Board in particular does not take its administrative oversight
of the implementation of ATI seriously, then the whole system will be
ineffective, whatever the pleadings of the Access to Information Commissioner;
monitoring compliance with timelines and ensuring training opportunities
are key aspects of effective implementation of this Act.
- Commissioner Reid (May, 2000): ".. the President of Treasury Board
must fulfill her role to ensure that the Access Law is effectively and
consistently administered across government. Treasury Board, as a priority,
must begin collecting the appropriate statistics to enable Parliament
and all Canadians to know which departments are failing in their duty
to provide timely responses." (131)
Treasury Board Secretariat is uniquely placed to monitor issues of timelines
and workloads, since they are also responsible for resourcing levels
across government.
- Commissioner Reid, October 15, 2000: "Last year, the [Treasury] Board
received poor marks for having largely ignored its responsibilities
under the Act. This year there were some signs of rejuvenation."
- Creating a Training Advisory Working Group to promote knowledge
of access obligations and responsibilities;
- Bi-monthly meetings and a conference on the Commissioner's Report
Cards.
- "Treasury Board showed its most tangible commitment to solving
the delay issue by informing all departments that it would sympathetically
entertain requests for additional resources needed to respond to
unexpected peaks in access workloads."
- Reid also wants Treasury Board to collect statistics to reveal the
performance of all government institutions under the Act;
- He argues there is a need to develop a professional code of conduct
for access coordinators;
- "Finally, the TBS has not tackled its primary leadership responsibility
to be the champion of a culture of openness within the federal bureaucracy…The
Board has spent no time educating itself and the public service
about the profound and tangible benefits of the access law."
(132)
- The consultations with 'report card' departments also emphasized the
need for training, education, and awareness of obligations under the
access legislation in order to meet timelines. This cannot happen in
an administrative vacuum in central government.
- The Treasury Board Secretariat has to oversee the administration of
ATI, including the monitoring of compliance with timelines, in order
to ensure a healthy system. In particular, it should do as much as it
can to adopt what Professor Alasdair Roberts has termed "an evidence-based
approach to access form." (133)
2.5.4.6 The Proper Administration of the ATI Program in Government
Departments
- The statutory obligation to comply with the Access to Information
Act lies with the particular government institution, so there are
limits to what even the Treasury Board Secretariat can do in managing
compliance with timelines.
- The position of the Mulroney government (1987): "The government believes
that it is the responsibility of the head of each government institution
and his or her deputy minister or chief executive officer to ensure
that the requirements imposed by the legislation are met by the institution."
(134)
- As Information Commissioner John Reid said in Warsaw, "it is vital
that those in the government who coordinate the processing of requests
for access to information be trusted members of senior management having
the full delegation to answer access requests without multi-layers of
concurrence or approval. Too often, coordinators are under classified,
file preparers who must rely on more senior officials to make the real
decisions. When it comes to the approval process, heads of ministries
should follow this simple advice; get a coordinator you trust and get
out of the way!" (135)
- The summary of discussions held on October 19, 2000 by the Access
to Information Review Task Force with access to information coordinators
made the following relevant point: "Flexibility in delegating authority
was seen by several participants as greater acceptance of 'risk management'
and as having resulted in improved flow of information to requesters.
Others noted that this was linked to increased interest in ATIP processes
on the part of senior managers who had communicated their interest in
ensuring access processes work effectively. Similarly, a more open approach
to releasing information, by streamlining approval processes, and increasing
budgets and resources to clear backlogs were all identified by several
participants as having played a major role in implementing the Act more
effectively in their workplaces."
- Commissioner Reid (May, 2000): "Transport Canada, by comparison with
other departments of similar size, does not receive a large volume of
access requests. It should be possible for the department to come into
compliance by means of a re-engineering and streamlining of its delegations,
procedures and practices. The delay problem at Transport Canada does
not appear to be due to a lack of resources dedicated to the function."
(136)
Commissioner Reid, October 15, 2000, on Transport Canada's failing
grade: "… its problem is not a large volume of requests and insufficient
resources to handle them. Rather, it is a top-heavy approval
system wherein the Deputy Minister insists on personally
reviewing and making decisions with respect to more than 40% of access
requests received. This is highly unusual in government. In this Commissioner's
view, it is also entirely unnecessary. The processing of access requests
should be left to properly trained professionals who have no other
strategic agendas beyond obedience to the Access Act."
(137) As noted earlier, this latter statement is unrealistic
in terms of how responsible government works in practice.
- Commissioner Reid, October 15, 2000, on why 2 failing departments
from 1999 now had A grades: "These departments devoted the energy and
resources necessary to clear up a significant backlog of late cases
and establish procedures and practices to prevent the delay problems
of the past from returning." (138)
- The summary of discussions held by the Access to Information Review
Task Force with access to information coordinators made the following
relevant point: "Improved internal communications and good staff relations
in some departments were characterised as supporting "learning" environments.
Some participants noted that this kind of environment has led to a better
understanding of the importance of the access to information coordinator
role and that this in turn has resulted in the provision of more timely
responses to requestors. One roundtable group noted that the ATIP co-ordinator
function is being appreciated more and that, increasingly, employees
are seeking advice from access to information and requesting training
to become better informed about the Act."
- When the BC Information and Privacy Commissioner criticized the Ministry
of Forests for not meeting the Act's timelines, it commissioned "a thorough
review by KPMG of the Ministry's access request processes."
(139)
- Again in BC, Commissioner Loukidelis has recently urged public bodies
"to make full use of their in-house access and privacy professionals….
I continue to be deeply impressed by the skills, knowledge and experience
of these people, who can only be described as professionals…. Public
bodies should take advantage of this professionalism. They should trust
their professional staff to decide access requests without second-guessing
them through sign-off processes that merely duplicate what has already
been done. I recognize that a public body may have other legitimate
reasons for reviewing such decisions, but generally the decision should
be left to the professionals, without any further processes."
(140)
- Loukidelis also drew attention to the classification and compensation
of staff: "If public bodies are to be able to recruit, train and retain
top-quality access and privacy staff, the classification of their positions
must reflect the level of skill, experience, training and knowledge
required of their incumbents. This is something that should be examined
at the provincial level, with a view to increasing the classification
of ministerial Directors/Managers of Information and Privacy and also
their staff. This will enable ministries to find and keep good staff,
who can make the right decisions (or defensible ones) without having
to resort to costly second-guessing by more senior employees (including
executives)." (141)
- Ontario Information and Privacy Commissioner Ann Cavoukian's important
recommendations for better quality service in response
to access requests:
- Adding a commitment to meeting the 30-day response standard for
access requests within the Quality Service framework and including
this commitment as part of the performance contracts
for Deputy Ministers and other senior government officials. In June
2001, the Commissioner applauded the fact that "[c]ommitments to
performance standards, including response times in dealing with
requests, were, for the first time, included in Deputy Ministers'
performance contracts in 2000…. Deputy Ministers must now
account for ministry performance on ATI programs as part of the
annual appraisal process with the Secretary of Cabinet."
(142) (emphasis added)
- Recognizing the critically important role played by Freedom of Information
and Privacy Coordinators, through appropriate levels of delegated
decision-making authority, and appropriate job classification
as befits the nature and responsibility of the position;
- Adequate resourcing of Coordinator's offices to enable
Quality Service for access and privacy to be consistently achieved.
(143) (emphasis added)
- In her London, UK speech on March 5, 2001, the Chair of the Access
to Information Review Task Force listed some of the issues that it is
studying. I include them here because many of them (already raised above)
are so relevant to the problem of meeting timelines under access legislation:
- Integrating access with other measures of transparency and accountability;
- Strengthening leadership and accountability;
(144)
- Technology applications to facilitate the access process;
- Competent, stable, resourced ATI units;
- The consultation process with 'report card' departments identified
"additional resources" as the most important solution
to ensuring success in meeting timelines established under the
Act. This included additional staff resources on a
permanent basis and to hire contractors to cure backlogs and
workload spikes. (emphasis added)
- Routine proactive disclosure;
- New approaches to policy making that are compatible with early
disclosure;
- Training, education, awareness (including changes in processes);
(145)
- The consultation process with 'report card' departments included
this elaboration: "ATIP processing should shift from only applying
the Act to more of a management and process-oriented focus;
this requires a different skill set on the part of ATIP supervisors
who are becoming more involved in the monitoring aspects of the
work; more sophisticated monitoring is made possible by means of
tracking systems such as ATIPFlow, which enables closer monitoring
of the status of requests as well as the performance of ATIP offices."
- Modernizing records management;
- Enhanced dialogue with requesters; ….
- Creating a culture of access.
- "By creating a culture of access, I mean creating a culture where
providing information is seen as an integral and valued part of the
job of every public servant. Not something outside of their "real job"
or an annoyance to be dealt with - my sense is that this new perception
would influence how governmental information is created, stored and
communicated." (146)
- Managing the ATI system does not require super heroic management skills
in light of other complex tasks that appear to be better managed. It
does require a commitment to the importance of access to government
information in a democratic society and the application of well-developed
bureaucratic skills.
Return to Table of Contents
Next Page 
85
Annual Report 1999-2000, p. 9.
86 Annual Report 1999-2000,
p. 9; see also p. 10.; (FUNDING)
87 Annual Report 1999-2000,
p. 11.
88 Speech by John Reid
in Warsaw, Poland on March 15, 2001.
89 "The grading system
in the current report cards is based only on the number of deemed refusals
relative to the number of requests processed within the time requirements
of the Act." (Special Report May, 2000) Commissioner Reid, October 15,
2000: "These grades were based on the percentage of access requests received
which were not answered within statutory guidelines…." Annual Report,
1999-2000, p. 14.
90 Special Report (May,
2000).
91 Annual Report 2000-2001,
appendix A.
92 www.atirtf-geai.gc.ca
93 www.atirtf-geai.gc.ca
94 Information and Privacy
Commissioner/Ontario, Annual Report 2000 (June, 2001), pp. 22-26.
95 Annual Report, 1999-2000,
p. 14.
96 Annual Report 1999-2000,
p. 31.
97 Annual Report 1999-2000,
p. 32.
98 www.atirtf-geai.gc.ca.
Of course, that statement only applies to the federal ATI regime.
99 In my (hardly unbiased)
opinion, the continued arguments in favour of the "ombudsman" approach
at the federal level, to both freedom of information and privacy protection,
are quite debatable and uninspired by informed knowledge of what has been
accomplished at the provincial and territorial levels. The federal privacy
and access to information regime was developed in the 1970s , is quite
outdated, and has been bypassed, in terms of practical accomplishments,
by the Ontario/BC/Alberta model. Even the new Information Commissioner
in the United Kingdom has been given order-making power.
100 The key point is
that professional staff mediates most FOI cases in the larger provinces
successfully. In British Columbia, less than 10 percent of such cases
require a decision by the Information and Privacy Commissioner. Requiring
such a Commissioner to make decisions also imposes some intellectual and
legal discipline on the process (primarily outside the more cumbersome
court system).
101 Justice Muldoon:
"The content of the 'review of any refusal to disclose a record requested
under the Act' is quite unlimited. It means therefore, nothing less than
unrestricted judicial scrutiny which may result in measures or relief
which are, at least, corrective, directive, instructive and declaratory.
In effect Parliament accords the plenitude of judicial supervisions which
is the hallmark of a superior Court's jurisdiction. Parliament imposes
no restriction here." Canada (Information Commissioner) v. Canada
(Minister of External Affairs) (T.D.), [1990] 3 F.C. 514 (para. 13).
102 Canada (Information
Commissioner) v. Canada (Minister of External Affairs) (T.D.), [1990]
3 F.C. 514 (para. 20).
103 Canada (Information
Commissioner) v. Canada (Minister of External Affairs) (T.D.), [1990]
3 F.C. 514 (para. 22).
104 See Canada
(Information Commissioner) v. Canada (Minister of External Affairs)
[1989] 1 F.C. 3 (para. 27).
105 Annual Report 1999-2000,
pp. 17-20.
106 The Ontario Information
and Privacy Commissioner has issued a very useful and brief "practice
guideline" on "clarifying access requests." http://www.ipc.on.ca/english/our_role/code/practices/numb15.htm
107 I realize that
applicants do not have to explain why their need records, but doing so
on a voluntary basis often helps to expedite the identification of relevant
records and the process of disclosure.
108 In the US, where
the agency cannot meet the timelines and has to seek an extension, the
requester is provided with an opportunity to scope down the request or
to arrange an alternative time frame. Refusal by the requester to reasonably
modify his/her request or to arrange for an alternative time frame is
a factor in the adjudication on a delay complaint (s.552c -
Title 5).
109 www.atirtf-geai.gc.ca
110 As John Reid said
in a speech to a recent Government On-Line conference , "No bureaucrat
is plotting--as they should be--to use the new information technology
to turn the page on the request driven, adversarial, slow and expensive
access to records regime established by the Access to Information
Act. There is no technical reason why accountability through
transparency cannot be as easy as a visit to a website." Speaking at a
Government On-Line conference in Ottawa, April 18, 2001; available from
www.infoweb.magicom, OIC-speeches.
111 See U.S. General
Accounting Office, Information Management. Progress in Implementing the
1996 Electronic Freedom of Information Act Amendments (GAO-01-378, March,
2001), appendix 1, pp. 19-24; www.gao.gov
112 Canada, Access
and Privacy: The Steps Ahead, p. 34.
113 Speaking at a Government
On-Line conference in Ottawa, April 18, 2001; available from www.infoweb.magicom,
OIC-speeches.
114 Speech in Warsaw,
Poland; available from www.infoweb.magicom,
OIC-speeches.
115 Annual Report 1999-2000(Victoria,
BC, June, 2000), p. 10.
116 www.bloodservices.ca
117 See www.dnd.ca
118 http://www.gov.on.ca/MBS/english/fip/papers/routinedisclosurepaper.html
119 Information and
Privacy Commissioner/Ontario, Annual Report 2000 (June, 2001), pp. 9-11.
120 www.atirtf-geai.gc.ca
121 See Canada, Access
and Privacy: The Steps Ahead, p. 43.
122 See the comment
by John Reid in a presentation to the ADM Advisory Committee, Ottawa,
Feb. 23, 001: "And may I open a second parenthesis here concerning the
recent TBS-sponsored study on the costs of access. In my view the study
is profoundly flawed, because there was no effort to determine fairly
the 'per request' costs in departments which manage well the access function
and compare that cost with the 'per request' cost in departments which
manage the function poorly. Where there are multi-layers of approval,
where the minister's communications needs are factored in to the cost
of answering an access request, and when a department's records management
is in disarray, costs will appear high. That high cost is not the fault
of the right of access, as the study implies. I support, indeed encouraged,
the effort to quantify and make public the costs of administering the
access law. What I had in mind, and still encourage, is a quantification
of the costs of administering access well. There is no doubt that it is
very expensive to administer the Act badly."
123 www.atirtf-geai.gc.ca
124 Speech in Warsaw,
Poland, March 15, 2001; Reid added: "So often I hear senior officials
say: 'I don't have to like this law; I only have to obey it!' -- and that
grudging attitude is infectious in destructive ways at lower levels. No
matter how well crafted an access law may be, it will only be a good law
if public officials make it work." Reid made all of the same points from
his Warsaw speech in a presentation in London, UK on March 5, 2001.
125 London, UK, March
5, 2001.
126 Canada, Access
and Privacy: The Steps Ahead, p. 51.
127 Annual Report,
1999-2000, p. 12.
128 John Bryden, "Reforming
the Access to Information Act," Canadian Parliamentary Review (Summer,
2001), p. 7.
129 " In June 2001,
a group of 14 all-party backbench MPs, led by MP John Bryden, decided
to conduct their own review of access to information. The content of their
deliberations can be found at www.mpsonaccess.ca
130Special Report to
Parliament of the Information Commissioner of Canada Pursuant to subsection
39(1) of the Access to Information Act (Ma, 2000).
131 Information Commissioner
of Canada, Special Report (May, 2000), p.
132 Annual Report,
1999-2000, pp. 13-14.
133 See Alasdair Roberts,
Jonathan DeWolfe, and Christopher Stack, "An Evidence-Based Approach to
Access Reform," (Working Paper 22, School of Policy Studies, Queen's University,
July, 2001).
134 Canada, Access
and Privacy: The Steps Ahead, p. 32.
135 Speech in Warsaw,
Poland, March 15, 2001.
136 Special Report
137 Annual Report,
1999-2000, p. 15-16.
138 Annual Report,
1999-2000, p. 15.
139 Annual Report 2000,
p. 8; see also p. 9, advocating "changes in their [crown corporations]
decision-making processes, again to make them more time- and cost-efficient."
140 Annual Report 2000,
p. 9.
141 Annual Report 2000,
p. 9.
142 Information and
Privacy Commissioner/Ontario, Annual Report 2000, p. 2.
143 Ontario Information
and Privacy Commissioner, Annual Report 1998, http://www.ipc.on.ca/english/pubpres/ann_reps/ar-98/ar-98e.htm#recommend
144 The summary of
discussions that the Access to Information Review Task Force had with
access to information coordinators on October 19, 2000 included the following
relevant point: "Some participants noted that support from ministers'
offices as well as increased departmental collaboration and respect for
the role of the access co-ordinator is providing significant impetus for
improved access to information in a number of departments. Some suggested
that the creation of the Access to Information Review Task Force is indicative
of government leadership to help ensure improved access to information
by Canadians."
145 The summary of
discussions that the Access to Information Review Task Force had with
access to information coordinators on October 19, 2000 made the following
point: "Increased opportunity for training was identified by some participants
as empowering, career enhancing and as providing for more effective delivery
of service to access requestors. The Treasury Board manual and the work
of Treasury Board's Training Advisory Group was cited as instrumental
in raising awareness of the need for appropriate and ongoing training
opportunities." www.atirtf-geai.gc.ca
146 www.atirtf-geai.gc.ca
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