Section 16 Manual

5.1 Purpose of the initial assessment

When a case is assigned to an Investigator, the Investigator should carry out an initial assessment. The main purpose of the initial assessment is to enable the Investigator to decide on the best approach to resolving the case. Experience to date has shown that a substantial proportion of reviews (about 50%) are decided otherwise than by way of binding decision of the Commissioner under section 34(2). In many cases, reviews are completed by way of settlement between the parties (as contemplated by section 34(7)), by withdrawal of the application for review or by discontinuance. In such cases, usually one or other of the parties or both modify their positions. Normally, the initial assessment is based solely on the information contained in the correspondence requested from the public body at screening stage (see paragraphs 4.1 and 4.3 above), an examination of the records, and if available, the contents of submissions from the relevant parties.

5.2 As part of the initial assessment the Investigator should attempt to

assess whether any party, other than those referred to in paragraph 4.29, needs to be notified (see instructions in paragraphs 5.8 to 5.16),
assess whether an adequate statement of the reasons for its decision has been given by the public body to the requester (if not, a section 35 notice may be issued - see paragraph 5.3),
identify cases which may be capable of being resolved without a binding decision,
identify, in particular, cases which may be suitable for settlement, and
assess what, if any, further information or submissions are needed from the parties.

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