Open and Controlled Society: Access to Government and Corporate Information

1. Open and Controlled Society: Access to Government and Corporate Information Constructing an Effective Access System Andrée Delagrave, Chair, Access To InformationReview Task Force

2. Work of the Task Force Facts and Findings Looking at ATI through Three Lenses Conclusions Today’s Presentation

3. Access to information is essential if we are to continue to have an open and transparent government. The work of the Task Force will provide valuable advice to Parliamentarians to ensure that any legislative changes to the Access to Information Act better reflect the expectations of the public while protecting the privacy of individuals Honourable Anne McLellan Task Force Mandate Conduct a comprehensive administrative and legislative reviewof access to information and make recommendationsto government to improve access to government information for all Canadians Honourable Lucienne Robillard

4. How can the needs of Canadians be better met, including ways to make the access process easier, faster, and more effective? How can the needs of Canadians for government information be met in other complementary ways including proactive dissemination, informal disclosure, special processes for researchers? What the Task Force Is Looking At What needs to be modernized in the Access Act in light of changes in government, new technology, globalization, evolution in other jurisdictions, decisions, and citizen expectations?

5. How best to ensure that the public service is aware and supportive of the principles of the Act? How can leadership and accountability be improved? What is required in tools and support both for access officials and for public servants to deliver on access to information? How to ensure better understanding of the issues, effective reporting and continuous progress? What the Task Force Is Looking At What dispute resolution and redress mechanisms would ensure effective and fair resolution of complaints and foster organizational learning?

6. Analysis Guidance Recommendations External Advisory Committee TaskForce ADMAdvisory Committee Task Force Report External Research Expert Advice Process Leading to AI Task Force Recommendations InformationGathering • Proposals • Public Roundtables • Public Service • ATI Coordinators • Provinces & countries • Submissions • Stakeholders • IC Reports • Academic • Statistics

7. FACTS AND FINDINGS

8. 1 3 4 2 Canadians are making a modest but increasing, & increasingly sophisticated,use of the Access to Information Act After almost 20 years, the Act is still not understood by the public, users, third parties, or even the public service There is agreement that the principles set out in the purpose clause of the Act are the right ones Overall costs approximately $ 30M -- less than $1per Canadian per year Facts & Findings

9. 5 8 6 7 Government information must be made available as widely and easily as possible, through a variety of channels In a knowledge-based society, information is a public resource and essential for collective learning Researchers believe thatATIA has restricted access to some documents previously available The formal process under the Act cannot meet all the needs of Canadians for government information Facts & Findings

10. Facts and Findings • In 2000 – 2001, 20,789 requests were received by federal institutions. There has been a steady increase in the number of requests under the Act • In the last 5 years ( from 1995-96 to 2000-01) there has been an increase of 64% in requests • Size, sophistication, complexity and sensitivity of requests have increased as well Over one-half of all requests are made to five government institutions: Human Resources Development Citizen & Immigration National Archives Health Canada National Defence

11. Comparisons 1985 - 2000 % Change in Number of Requests From 85-86

12. Comparisons 1985 - 2000 % Change in Number of Requests From 85-86 % Change in Costs From 85-86

13. Comparisons 1985 - 2000 % Change in Number of Requests From 85-86 % Change in Costs From 85-86 % Change in ATI Staff From 85-86

14. Comparisons 1985 - 2000 % Change in Number of Requests From 85-86 % Change in Costs From 85-86 % Change in ATI Staff From 85-86 % Change in Number of Requests Carried Forward From 85-86

15. Facts and Findings Users of the Act Academic 1% There has been increased use by law firms and parliamentarians Media11% A limited number of requesters generate the majority of requests. In 1998, 35% of requesters made more than1 request in that year, and 11% made more than7 requests. Businesses 40% Organizations16% General Public32%

16. Requests,1998 Costs, 1998 Media generated 12% of requests but only 8% of costs. Business generated 40% of requests, but 42% of costs What We Are Finding Requesters • Informed requesters with focused requests generate lower costs. Omnibus (“fishing expedition”) requests generate higher costs • Frivolous and vexatious requests are very rare, but they do exist and give a bad name to access • Burdensome, unfocused requests more common

17. What We Are Finding Effective Requests • A regular contact with the requester throughout the life cycle of request would have a positive impact on the precision of requests, satisfaction of users and workload of Information Commissioner • Many jurisdictions have a duty to assist requesters

18. A few are very large (over 1,000 pages released) 80% of requests 1% of requests What We Are Finding Requests Vast majority of requests are small(less than 100 pages released)

19. What We Are Finding Comparisons with Others In looking at other jurisdictions in Canada and abroad, the performance of the federal access to information regime is generally quite comparable The challenges are strikingly similar: • timeliness • resourcing • information management • transparency of new service delivery bodies • effective oversight and resolution of disputes • creating and maintaining support

20. Disposition of Requests 51.3% 49% 45% 37.5% 15.3% Disclosed in full

21. Disposition of Requests 28% 35.6% 19.5% 21% 51.3% 49% 30.9% 45% 37.5% 15.3% Disclosed in full Disclosed in part

22. Disclosed in full Disclosed in part Nothing disclosed Disposition of Requests 9.8% 10.03% 18.7% 3.3% 28% 35.6% 19.5% 21% 5.6% 51.3% 49% 30.9% 45% 37.5% 15.3%

23. 2 3 4 5 1 The scope of the Act is more restrictive than comparable legislation in other countries and Canadian jurisdictions Complete exclusion of Cabinet Confidences with no review - found in no other jurisdiction Some oversights in the Act and some new issues to be addressed There are less administrative protections than in comparable legislation Facts and FindingsThe Act In balance and design the Act is sound

24. 7 8 6 9 Overwhelming need at every stage of the access process for more widely understood rules, and consistency in outcomes both for requesters and for government institutions Public servants do not know when/how to create records. Poor information management source of poor performance Looming crisis in the recruitment and retention of skilled professionals to process access requests. Access to information needs to be resourced in the same way as any permanent program in the government Facts and FindingsPractices

25. What We Are Finding Visible and Invisible Issues LEGISLATION DATA SYSTEMS PRACTICES CULTURE

26. ACCESS THROUGH DIFFERENT LENSES

27. SYSTEMIC LENS LEARNING LENS CULTURAL LENS Looking at Access to Information SYSTEMIC LENS LEARNING LENS CULTURAL LENS

28. Incentives for users and providers Tools and systems Performance measurement and reporting Skilled access staff Effective compliance approaches Supportive managers training of public servants Adequate resources Educated third parties Good records management Educated and assisted requesters Access to Information – Systemic Lens

29. The Systemic Lens • For the system to work well a number of components need to work together • Access needs to be looked at in a holistic fashion • There is no magic bullet for solving the shortcomings of the system • To be effective, improvements have to be made on all fronts: legislative, administrative, cultural

30. Looking at Access to Information SYSTEMIC LENS LEARNING LENS CULTURAL LENS

31. Learning Lens • How much organizational learning is our access system generating ? • For the system to improve, it has to have the capacity to learn

32. SOLUTIONS • Better data collection and reporting • Audit of ATI process and reengineering • Management information to monitor compliance • Feedback on complaint resolution to programs • ATI goals in Business Plans • IC publishes findings • IC & TBS work together to educate and assess practices • Parliamentary oversight Access to Information – Learning Lens PROBLEMS • Raw data -- no scrutiny • Ineffective processes • Little management information • IC findings not publicized • Insufficient central leadership and support capacity • Programs out of the loop • Insufficient training • Investigation process unclear for institutions • Lack of collaborative approaches

33. Learning LensTrust is critical to Learning • “Trust requires the parties to have stable expectations of each other - interactions are routine, predictable and reliable - the parties share the same interpretative scheme to define situations” (G. Corriveau) • “Maximize opportunities to build trust - minimize those that destroy trust” (R. Snell) • “Trust is a cyclical thing - it needs to be rebuilt on an ongoing basis”(B. Tuckett, Manitoba Ombudsman)

34. Looking at Access to Information SYSTEMIC LENS LEARNING LENS CULTURAL LENS

35. Openness cannot be legislated. Culture is the key (Officials, Australia) On reflection, the single critical factoroverlooked by us when approachingFOI was that it was a change process,not just a legislative matter (Kerny and Stapelton, Ireland) Cultural Lense No matter how well crafted an accesslaw may be, it will only be a good law ifpublic officials make it work (J. Reid, Information Commissioner)

36. Cultural Lense • External Advisory Committee recommends that culture be specifically targeted for reform • Culture is a critical factor in achieving compliance • Public servants supportive of ATI principles but frustrated with process • Prescriptive legislation and coercive measures can deter non-compliance -- not effective in encouraging positive compliance

37. IDEATIONAL MATERIAL • Tools • Resources • Systems • Processes • Values • Symbols • Beliefs • Norms Access to Information – Cultural Lens CREATING A CULTURE OF ACCESS

38. Negative Factors • Lack of clear direction & policies • Sub-standard filing systems • Insufficient resources • Inadequate tools • Frivolous requests • Competing priorities • Access perceived as “add-on” to real job • Mixed messages from leaders The Cultural Lens What the public servants say Supporting Factors • Good information management • Proper training • Leadership • Proactive release policies • Clearly articulated requests • Adequate resources • ATI a senior management priority

39. Cultural Lens - Constructing a Culture of Access Tools to do the job Embedding access in values of the Public service Awareness training ofpublic servants Incentives &Accountability How to serve Ministers Supportive Management Corporate leadership

40. Cultural Lens - Constructing a Culture of Access Tools to do the job • Providing public servants with the resources and the tools required to do access work efficiently is not a luxury • It is an absolute prerequisite to organizational cultural change Embedding access in values of the Public service Awareness training ofpublic servants Incentives &Accountability How to serve Ministers Supportive Management Corporate leadership

41. Cultural Lens - Constructing a Culture of Access Tools to do the job … In the heart of most public servants lies the conviction that service to the public, [...], to the public interest, is what makes their profession like no other. It is why they chose it, for the most part, and why they keep at it, with enthusiasm and conviction, despite difficulties and frustrations along the way. Embedding access in values of the Public service Awareness training ofpublic servants Incentives &Accountability How to serve Ministers Supportive Management Corporate leadership (Report on Ethics and Values in the Canadian Public Service, 1999)

42. Cultural Lens - Constructing a Culture of Access • Democratic values: importance of access to information as it supports transparency in governments, and informed citizenry • Service values: Stewardship and provisionof information are part ofthe service role • Professional values: Excellence in creating and managing information is part of the public service professional standards Tools to do the job Embedding access in values of the Public service Awareness training ofpublic servants Incentives &Accountability How to serve Ministers Supportive Management Corporate leadership

43. Cultural Lens - Constructing a Culture of Access Tools to do the job • Found a generally low awareness of principles and Act • Should be part of orientation training for new recruits • Training should be tailored for specific needs of institutions • Part of management training • Training should include the principles of access & best practices Embedding access in values of the Public service Awareness training ofpublic servants Incentives &Accountability How to serve Ministers Supportive Management Corporate leadership

44. Cultural Lens - Constructing a Culture of Access Tools to do the job • When we recruit, we gild the lily, describing the great job & responsibilities. We sell the nice part of the job but we don’t talk about ATI. It’s not really mentioned in the job description. (Participant - Public Service Discussion Groups) Embedding access in values of the Public service Awareness training ofpublic servants Incentives &Accountability Incentives &Accountability In How to serve Ministers Supportive Management Corporate leadership

45. Cultural Lens - Constructing a Culture of Access Tools to do the job • In a pressure-driven system of competing activities, there are almost no rewards for program managers for giving priority to finding and then reviewing responsive records (David Flaherty) • Access work needs to be legitimized as “real work”, valued work and rewardedwork (Gladys Symons) Embedding access in values of the Public service Awareness training of public servants Incentives & Accountability How to serve Ministers Supportive Management Corporate leadership

46. Cultural Lens - Constructing a Culture of Access Tools to do the job • Improved visibility, positive incentives, and accountability are required • Organizational culture is constructed in the day-to-day routines that are accepted by all Embedding access in values of the Public service Awareness training ofpublic servants Incentives &Accountability How to serve Ministers Supportive Management Corporate leadership

47. Cultural Lens - Constructing a Culture of Access Tools to do the job Embedding access in values of the Public service • Perceived conflict between supporting a Minister & providing information needs to be addressed squarely • Public servants serve Ministers under the law Awareness training ofpublic servants Incentives &Accountability How to serve Ministers Supportive Management Corporate leadership

48. Cultural Lens - Constructing a Culture of Access Tools to do the job “I […] expect that impending release of sensitive information will be brought to my attention in a timely manner so that I may respond to questions. This requirement however should not in any way contribute to delays in responding to access requests… Embedding access in values of the Public service Awareness training ofpublic servants Incentives &Accountability How to serve Ministers Supportive Management Corporate leadership

49. Cultural Lens - Constructing a Culture of Access Tools to do the job …Responding to the request 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.” Embedding access in values of the Public service Awareness training ofpublic servants Incentives &Accountability How to serve Ministers Supportive Management Corporate leadership Minister

50. Cultural Lens - Constructing a Culture of Access Tools to do the job The formula is simple: to create a broad culture of access, employees mustbe encouraged by their superiors to generate and maintain it. Embedding access in values of the Public service Awareness training ofpublic servants Incentives &Accountability How to serve Ministers Supportive Management Corporate leadership (G. Symons)