Procedural Guidelines

A. General

1. This review (the “Review”) will be governed by the “Terms of Reference.”

2. Subject to the Terms of Reference, the conduct of and procedure to be followed during the Review is under the control and direction of the Reviewer.

3. The Reviewer may amend these Procedural Guidelines (“Guidelines”) or dispense with compliance of them, as he deems necessary, to ensure that the Review is thorough, fair and timely.

4. In these Guidelines, “person” refers to an individual, group, governmental body, agency, institution, or any other organization or entity.  In these Guidelines, “representative person” refers to an individual who is authorized to give information to the Review on behalf of a group, governmental body, agency, institution, or any other organization or entity.

5. The Reviewer may deal with any non-compliance with these Guidelines as may be appropriate having regard to all relevant circumstances. 

6. In these Guidelines, the term “documents” is intended to have a broad meaning, and includes the following forms: written, electronic, audiotape, videotape, digital reproductions, photographs, maps, graphs, microfiche and any data and information recorded or stored by means of any device.

7. The Reviewer may receive any information that may be helpful in fulfilling his mandate, whether or not such information would be admissible in a court of law. 

8. Subject to relevant legislation, the Reviewer may impose measures to address issues of privacy and confidentiality that may arise during the Review. 

9. In these Guidelines, words in the singular include the plural, and words in the plural include the singular.

B. Investigation

10. The Review will commence with an investigation by the Reviewer, assisted by Review counsel and support staff.  The goal of the investigation, in part, will be to identify core or background facts of relevance, and to identify representative witnesses.

11. The investigation will consist primarily of document review, consultation with interested persons, and witness interviews and consultations.

C. Document Production

12. After a person or representative person receives a request for information from the Review, copies of all documents relevant to the request should be produced to the Reviewer at the earliest opportunity.  The Reviewer will not consider the production of a document to be a waiver of any privilege that may attach to that document, and which any person or representative person may wish to assert in the future.  A person or representative person should, however, identify to the Reviewer, within a reasonable time period, any documents over which it intends to assert a claim of privilege.  

13. Where a person or representative person, or their counsel, takes the position that a document is privileged, the Reviewer, Review counsel, and all members of the Review support team, will sign an undertaking that states the limited purpose for which the document is to be produced, provides that the document will not be produced to any other person unless required by law, and declares that the Reviewer does not consider the production of documents to be a waiver of any privilege that may attach to a document. 

14. Original copies of relevant documents are to be provided to the Review only upon request and where doing so would not interfere with any potential or ongoing investigation or legal proceeding.  Persons and representative persons will otherwise preserve originals of relevant documents until such time as the Reviewer has delivered his final report. 

15. Where the Reviewer seeks to produce documents to a person, representative person, or their counsel, these documents will be produced only upon the execution of a written undertaking that all such documents and information will be used solely for the purposes of the Review.   

16. Counsel are entitled to provide such documents or information to their respective clients only on terms consistent with the undertakings given, and upon the clients entering into written undertakings to the same effect.

17. The Reviewer may require that the documents provided, and all copies made, be returned to the Review. 

D. Overview Summaries

18. Where the Reviewer is of the view that it would enhance the efficiency of the Review, a summary may be prepared concerning matters which are identified in the Terms of Reference (“Overview Summary”). 

19. An Overview Summary shall provide an objective summary of core facts, together with their source(s), which are relevant, for the purposes of background, to matters which are identified in the Terms of Reference.  An Overview Summary may also identify cases where there are factual matters that are unknown or which require clarification.

20. The Review may provide an Overview Summary to a person or representative person and seek comment on the accuracy of the Overview Summary. 

E.  Interviews and Consultations

21. Interviews and consultations will be conducted in the manner set out in these Procedural Guidelines.

22. The Reviewer will identify persons and representative persons for the purpose of conducting interviews and consultations.  Without any limitation to the foregoing, the Reviewer may consult with experts, academics and other persons on issues relevant to the Review. 

23. The Reviewer will set the dates, hours and place of the interview and consultation.  The Reviewer will determine, in his sole discretion, whether an interview and consultation will be held privately or publicly, and what type of record may be kept of the interview or consultation. 

24. Where possible, the Reviewer will provide persons or representative persons, or their counsel, if applicable, with a listing or summary of issues to be canvassed at the interview and consultation.

25. Persons and representative persons may propose names of other persons or representative persons that the Reviewer should interview and/or consult with.  In particular, persons and representative persons may propose other persons or representative persons who are likely to contribute to an understanding of the policy issues relevant to this Review and whose information is likely to assist the Reviewer in making recommendations.

26. It remains entirely within the Reviewer’s discretion to refuse to interview or consult with a proposed person or representative person.  The Reviewer will exercise his discretion having regard to, among other things, the information already available and obtained concerning the subject(s) on which the proposed person or representative person could comment.

27. A person or representative person is entitled to have counsel present during any interview and consultation.  Counsel for the person or representative person will be permitted to make objections during the interview and consultation, having regard to the Review’s Terms of Reference and other valid grounds. 

28. A person or representative person may be requested to participate in an interview and consultation more than once. 

29. In the ordinary course, Review counsel will lead the interviews and consultations on behalf of the Reviewer, but the Reviewer may, at any time, ask questions of the person or representative person. 

30. Counsel for a person or representative person may request that the Reviewer permit them to ask questions of their client. 

31. Review counsel may ask further questions of a person or representative person if their counsel ask questions of their client. 

F. Use of Documents at Interviews and Consultations

32. In advance of a person’s or representative person’s interview and consultation, the Reviewer will provide reasonable notice of a list of the documents associated with the issues that will be discussed or canvassed at the interview and consultation. 

33. In advance of a person’s or representative person’s interview and consultation, the person or representative person, or their counsel, shall provide the Reviewer with reasonable notice of any documents that may be associated with the issues that will be discussed or canvassed at the interviews and consultations. 

34. The Reviewer may grant Review counsel, or counsel for a person or representative person, leave to introduce a document at any point during the interviews and consultations. 

G.  Expert Panels / Research and Policy Papers / Public Input

35. Due to the systemic nature of some of the issues that may be explored during the Review, the Reviewer may utilize a range of research and policy development processes, including, but not limited to:

    a) research and policy papers (the “Research and Policy Papers”) from recognized experts on a broad range of relevant topics.  The structure and format of the Research and Policy Papers may vary but will generally include a description of current practices, historical developments, an analysis of relevant issues, and potential options (if applicable).  Research and Policy Papers will be posted on the Review’s website.  Research and Policy Papers will not necessarily represent the views of the Reviewer, but will be designed to inform the Reviewer’s deliberations on systemic issues;

    b) written and/or oral submissions that may be sought from persons, representative persons, and the public about matters relevant to the Terms of Reference, including the Research and Policy Papers; and

    c) meetings or symposia (the format of which may vary) that may be convened to discuss issues raised by the Review at which persons, representative persons, and members of the public may be invited to participate.

    September 28, 2010