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Last updated: 17 July 2009
9.2 Freedom of Information
1 Overview
NSW and Commonwealth Freedom of Information (FOI) laws and processes provide the public with access to documents and information held by government agencies and/or Ministers. The intention or starting point of FOI processes is that information will be disclosed to members of the public upon request, unless an exemption applies to the document or information sought. Public authorities, including state and federal government departments, are held accountable for their actions under FOI laws, by allowing members of the public access to internal information. This Fact Sheet describes how an FOI request is made and the documents that can be accessed under this legislative mechanism in NSW, except where the Commonwealth legislation is specifically referred to.
FOI Reform - NSW
At the time this Fact Sheet was drafted, the NSW Government had passed new legislation to reform the Freedom of Information laws, consisting of three separate acts:
Government Information (Public Access) Act 2009
Government Information (Information Commissioner) Act 2009
Government Information (Public Access) (Consequential Amendments and Repeal) Act 2009
All three pieces of legislation can be found on the NSW legislation website. On 17 July 2009, the Government Information (Information Commissioner) Act 2009 commenced. Its provisions are now in force. The two remaining acts, the Government Information (Public Access) Act 2009 and the Government Information (Public Access) (Consequential Amendments and Repeal) Act 2009 had not commenced as at 4 August 2009. All three pieces of legislation can be found by clicking here.
Click here for more information on the NSW FOI reforms.
FOI Reform – Commonwealth
As part of its 2007 election promises, the Australian Government announced it would reform the Commonwealth Freedom of Information Act 1982, with the principal objects of promoting a pro-disclosure culture across the Government and building a stronger foundation for more openness in government.
The reforms were announced as three pieces of draft legislation:
Information Commissioner Bill 2009
Freedom of Information Amendment (Reform) Bill 2009
Freedom of Information (Removal of Conclusive Certificates and Other Measures) Bill 2008
Following a period of public consultation which concluded in May 2009, the Government's intention is to introduce these Bills into Parliament in 2009. They have not been passed as at 17 July 2009.
Click here for more information on the Bills and the reforms announced.
1.1 Summary
A freedom of information request is made to the public authority or agency responsible for, or that has within its possession, the information the applicant seeks. Any member of the public can make an FOI request (see 2.1 Who can make an FOI request? below). Access to a range of documents, including ones electronically stored can be sought (see 2.2 What type of documents can I access? below), however there are certain classes of document that have been identified as exempt from the general requirement of disclosure.
In NSW, the Freedom of Information Act 1989 gives you the legal right to:
Obtain access to information held as records by State Government Agencies, a Government Minister, local government and other public bodies;
Request amendments to records of a personal nature that are inaccurate; and
Appeal against a decision not to grant access to information or to amend personal records. 1
FOI laws operate on two levels, depending on the jurisdiction of the public authority you are seeking to obtain information from. Where the agency is a State Government agency, the NSW FOI Act 1989 will apply. Where the agency is a Federal Government agency, the Commonwealth FOI Act 1982 will apply. The two Acts prescribe very similar processes for making an FOI request. The process described below, however, is specific to NSW.
1.2 Useful web links
In NSW, the Department of Premier and Cabinet (Department P&C) is responsible for administering the FOI Act. The Department, in conjunction with the NSW Ombudsman, has developed an FOI Manual 2007, explaining the operation of the Act in detail.
The NSW Ombudsman is an independent and impartial watchdog whose role is to ensure that NSW government agencies fulfill their functions properly. Under the FOI Act, complaints to the Ombudsman regarding FOI requests can be made. 2
Paterson , M. Freedom of Information and Privacy in Australia : Government and Information Access in the Modern State (2004) LexisNexis Butterworths
Barry, R. (ed.) The Law Handbook (2007, 10 th ed) University of NSW Press , chapter 27
Key to terms used in this Fact Sheet
FOI Act means the Freedom of Information Act 1989 (NSW).
ADT means the NSW Administrative Decisions Tribunal.
ADT Act means the Administrative Decisions Tribunal Act 1997.
Department P&C means the State Department of Premier and Cabinet.
Department PM&C means the Federal Department of Prime Minister and Cabinet.
O Act means the Ombudsman's Act 1974.
1.5 Minister responsible
In NSW, the Department of Premier and Cabinet (Department of P&C) is responsible for administering the FOI Act 1989.
At the Commonwealth level, responsibility for privacy and freedom of information, including administration of the Freedom of Information Act 1982 belongs to the Department of the Prime Minister and Cabinet (Department PM&C).
2 Making a Freedom of Information request
2.1 Who can make an FOI request?
Any member of the public can make an FOI request for access to government documents. This includes:
any person (whether or not an Australian citizen or resident) who can supply an Australian address;
children under the age of 18 years if they are capable of understanding the effect of the FOI Act and the nature of the FOI request;
solicitors, social workers, and other professionals or people authorized to act on behalf of another person;
parents of children or guardians of persons with an intellectual disability where those children or persons are unable to understand the effect of the FOI Act and the nature of the request;
a corporation, a body corporate or a body politic. 3
Where a person is making an FOI application on behalf of another person, the written consent of, or authorization by, the person the subject of the records may be necessary. This is particularly where the information sought relates to personal affairs. 4
2.2 What type of documents can I access?
Under the FOI legislation, ‘document' has been given a very broad definition. The FOI Manual 2007 states that the definition of document ‘is likely to cover every form in which information can be recorded or stored'. 5 The definition of ‘document' in the FOI Act states that it includes:
(a) any paper or other material on which there is writing or in or on which there are marks, symbols or perforations having a meaning, whether or not that meaning is ascertainable only by persons qualified to interpret them, and
(b) any disc, tape or other article from which sounds, images or messages are capable of being reproduced. 6
Some of the more unusual documents that have been found to be covered by the legislation include brief notes of telephone conversations on ‘post-it notes', X-rays, ultrasound tapes and email messages. 7
2.3 Information subject of an FOI request
The first step is to identify the information or document you are seeking. Requests will generally be one of three varieties.
A request to amend personal information/records;
A request to obtain personal information;
A request to obtain non-personal information held by a government agency or Minister.
Requests to obtain personal and non-personal information from government agencies or a Minister are dealt with further below at 2.4 Making a Freedom of Information Request.
2.3.1 Requests to amend personal information
A request to amend personal information or records operates in a slightly different manner than other FOI requests. These applications are governed by Part 4 of the FOI Act.
The Act grants a general right to any person to whom access to a government record has been given to have that record amended where the information relates to the applicant's personal affairs, is available for use by that government agency and it is incorrect, misleading, out of date or incomplete. 8 The word ‘amend' has been given the ordinary dictionary meaning and can include a removal, an addition to, or a variation of any defective text. 9
Applications cannot be refused on the grounds of insufficient information provided by the applicant and the agency is required to assist the applicant to an extent that is reasonably practicable. 10
The relevant agency has 21 days to respond to the application and can do so by either amending the record or refusing to amend the record. 11 Where the applicant has not been notified in writing of a successful determination within the required time period, the request is taken to have been refused. 12
A request to have personal information amended is made with no charge to the applicant (see 2.4 Fees below).
An agency can refuse to amend a record where it believes its existing record to be complete and correct, where it is satisfied the application contains incorrect or misleading information or subject to any other procedure prescribed by another Act for the amendment of those records. 13 The initial burden of proof has been found to lie with the applicant to provide evidence in support of any claim that personal information held by an agency is incorrect or misleading. 14
Where a request is refused, the applicant can apply to have a notation added to the record, detailing the respects in which the applicant claims the information to be incorrect or misleading and providing the correct or complete information. This additional notation must be provided by the agency in any situation where that particular record is disclosed to another party. 15
For information on the appeal process where an agency refuses to amend its records, see 4 Appeal rights below.
2.4 Making a Freedom of Information request
2.4.1 Who do I make the application to?
Once you have identified the information you are seeking, the next step is to determine which agency or Minister holds that information.
This can sometimes be difficult to establish, as State and Federal government agencies and Ministers often change titles and responsibilities.
There are approximately 140 key government departments and agencies. The NSW Government website has provided a directory service to assist in locating any State Government agency, by simply entering the subject area your document falls within eg. health.
The NSW Government Contact Centre may also be able to assist you with an inquiry regarding the relevant department. They can be contacted by phone on 133 679 during business hours Monday to Friday.
Exempt agencies
Under the FOI Act, there are a number of specific functions of agencies that are not caught by the operation of the Act and the general requirements of disclosure. Agencies that may be considered exempt under the Act are listed in Schedule 2 of the Act and include:
The office of Auditor-General
The office of Director of Public Prosecutions
The Independent Commission Against Corruption
The office of Inspector of the Independent Commission Against Corruption
The office of Public Trustee
The Treasury Corporation
The office of Ombudsman
The office of Legal Services Commissioner
The Health Care Complaints Commission
The Child Death Review Team
The Police Integrity Commission
The SAS Trustee Corporation
The Axiom Funds Management Corporation
The Department of Training and Education Co-ordination
Universities
Any body or office that exercises functions under the National Electricity (NSW) Law
The office of Privacy Commissioner
The Corporation constituted under the Superannuation Administration Authority Corporatisation Act 1999
The Independent Pricing and Regulatory Tribunal
The State Contracts Control Board
The NSW Crime Commission
The President of the Anti-Discrimination Board
The Workers Compensation Nominal Insurer established under the Workers Compensation Act 1987
The Department of Local Government.
Where the information you seek is held by a particular Minister, rather than an agency, you can also use the Government Directory to identify who it is that you need to address the application to. There are currently 23 State Government Ministers, including the Premier.
A ‘Minister's document' is defined in section 6 of the Act as ‘a document which is held by a Minister and… that relates to the affairs of an agency, but does not include an agency's document.' 16 Any documents relating to the political party membership, capacity as an elected candidate, or personal affairs of a Minister are not included within this definition. 17
An example of this type of document may be where the Minister has been allocated a certain responsibility to keep a record or register under a specific piece of legislation.
To identify the correct Minister, visit the NSW Legislation website to access the Allocation of the Administration of Acts 2008.
Click here to access this regulation. It contains a list of legislation for each NSW Minister for which they are responsible.
The NSW Parliament website also contains a list of each State Government Minister by their portfolio and responsibilities.
Once you have determined which agency or Minister has the information or document you wish to access, the next step is to write your request. This can be done using an FOI application form or in a letter.
Click here to download the standard FOI application form. Application forms are also available from any government agency.
The following requirements must be met for an FOI application to be valid, even if it is not using the standard application form. It must:
be in writing;
specify that it is made under the FOI Act;
be accompanied by the agency's application fee (see below);
specify an address in Australia to which notices under the FOI Act should be sent; and
be lodged at an office of the agency holding the information. 18
The application should describe the document in as much detail as you are able to provide, using reference numbers where possible. Whilst an application may not provide enough information to identify the record an applicant is seeking, under the FOI Act, agencies are required to be pro-active in assisting applicants to provide the relevant information. Any reasonably practicable steps necessary to help an applicant must be taken by the agency and the agency cannot require an exact or precise description of the document, such as its folio and file number or date and author. 19
Where applications are not made in English, the agency must confirm the request with the applicant over the phone and with the assistance of an interpreter if necessary. 20
Only overly vague or ambiguous requests may be refused. 21
The agency is also required to take reasonable steps to re-direct a request to another agency where the application has been sent to an agency that does not hold the documents requested. 22
2.4 Fees
The initial application fee that must be included with an FOI application is intended to cover all costs associated with receiving and commencing to deal with an application, including file registration costs and initial discussions with the applicant to clarify the application.
The fees and charges to be applied to all FOI applications are set out in the Freedom of Information (Fees and Charges) Order 1989 (published in the NSW Government Gazette No. 81 of 30 June 1989). 23 These are summarized below:
Nature of Application
Initial application fee
Processing Charge
Access to records by natural person about their personal affairs
$20-$30
$30 per hour after first 20 hours
All other requests
$20-$30
$30 per hour
Internal review
$20-$40
Nil
Amendment of records
Nil
Nil
Upon lodging an application, an applicant can request an estimate of the fees expected to be charged in connection with the application. Actual processing costs cannot be known until after the request is responded to.
Where the agency considers that the cost of dealing with an application is likely to exceed the amount of the application fee, the agency may request the applicant to pay an additional amount, in the form of an advance deposit, as it deems appropriate. 24
2.4.1 Discounts
There are a number of discounts and concessions that are applied in certain circumstances. These are listed below:
For requests taking up to and no more than 20 hours processing time where the applicant is a natural person seeking access to documents relating to his or her personal affairs, no processing charge will apply. An application fee is still payable in these circumstances. Requests by corporations do not attract this reduction.
A 50 percent reduction in fees applies in the following circumstances:
to an applicant who holds a pensioner health benefit card issued by the Commonwealth,
to an applicant who is under financial hardship; or
to an applicant under the age of 18 years; or
to an applicant who is applying on behalf of a non-profit organisation which can demonstrate financial hardship; or
to an applicant whose application relates to information that is in the public interest to make available. 25
Where an applicant seeks a reduction in fees for any of the above reasons, this should be stated in the application. 26
When determining the financial status of an individual applicant or a non-profit organisation, there are specific factors that an agency is to consider. These are:
(1) that the purpose of the reduction in fees is to minimize any disadvantage caused by financial hardship which might preclude individuals and/or organisations from obtaining access to information held by the Government; and
(2) that any discretion used to grant reductions or discounts should be exercised in a way that is consistent with the intention of Parliament expressed in section 5(3) of the Act - that as far as possible discretions should be exercised to facilitate and encourage the disclosure of information, promptly and at the lowest reasonable cost. 27
2.4.2 Public interest criterion for a reduction in fees
In determining whether a reduction in fees should be applied under the public interest criteria (see paragraph ‘e' above), the question is whether it is in the public interest to make the information available, and whether the benefit to be gained from releasing the document will flow on to either the public at large or at least a significant section of the public. The factors which will be considered in making a decision in this situation are:
the purpose of fee reductions in this context is to further the object of extending, as far as possible, the rights of the public to obtain access to information held by the Government by ensuring that information concerning the operations of the Government is made available to the public;
the discretion in granting a public interest reduction should be exercised so as to foster the disclosure of non-exempt information;
the applicant's capacity to use the information sought, that is, to what extent will the information be communicated or made public?
whether the applicant has any personal interest in the intended use of the information;
what is the value/benefit/interest to the public of the information? Will the information contribute to the public's understanding of the subject?
who is the public? How wide is the section of the public which is likely to be interested?
whether the information is otherwise available. 28
2.5 Is there any information I am not allowed to access?
Information can be divided into two very broad areas: personal and non-personal information. Personal information may include public education school reports, medical results or superannuation records. Non-personal information might include government policy documents, procedure manuals, or market or product research results.
Both types of information can be accessed under FOI procedures.
Information that may be refused to be released in listed in section 25 of the Act and includes:
Exempt documents; 29
Documents that would unreasonably divert an agency's resources in order for them to be provided to an applicant; 30
Documents already available for inspection at that or another agency either free of charge or for a fee; 31
Documents typically available for purchase from the agency; 32
Documents already forming part of the library material held by the agency; 33 and
Documents that are restricted and subject to a Ministerial certificate. 34
2.5.1 Exempt documents
The following classes of documents are known as ‘exempt' documents. The general requirement that a government department or agency release documents to the public does not apply to exempt documents. 35 A request for a document in one of the following categories is likely to be refused:
State Government cabinet and executive council documents (with the exception of those that are factual or statistical and do not disclose cabinet or executive council deliberations or decisions);
Documents which are exempt under Commonwealth or other States FOI legislation;
Documents concerning law enforcement and public safety;
Documents subject to legal professional privilege;
Documents subject to secrecy provisions in other legislation. 36
What is a Ministerial certificate?
A Ministerial certificate is a certificate signed by the Minister stating that a particular document is a restricted document. 37 This has the effect of exempting any such documents from the general requirement to release a document.
Ministerial certificates are considered conclusive evidence that a document is restricted. Any applicant seeking to access a document that is the subject of a certificate must be provided with a copy of the certificate as sufficient notice of refusal of their request. 38
The Minister issuing the certificate is required to provide reasons as to why the document is restricted. Ministerial certificates have a life span of two years only but can be renewed immediately upon their expiry. 39
2.5.2 Consultation with relevant third parties
Where a document falls within one of the above classes, there may be a requirement for consultation with a relevant third party regarding the determination of the request and whether the document should be released. Consultation situations are covered by the Act in sections 30 to 33.
Consultation with a relevant third party is one justification recognised by the Act for extending the time period within which an FOI request must be dealt with (see 2.6 Time periods below). 40
Third parties are given an opportunity to voice their opinions regarding the sensitivity of the requested document and whether it should be released to the applicant. The decision as to whether the document will be released remains with the Minister.
Under the Act, relevant third parties have a right to seek an external review of the decision where a document is released against their wishes. 41
2.6 Time periods
Once your application form has been lodged with the correct agency, you should receive from the agency an acknowledgement slip or letter, stating that your application has been received and allocating you a reference number for the FOI request.
Agencies generally have 21 days to respond to requests. This may be extended by up to 35 days where consultation with a third party is required. 42
Where the application has been transferred from one agency to another, a response must be provided within 31 days of receipt by the first agency. 43 Again, this may be extended by up to 14 days where consultation is required.
The overarching obligation is that applications will be dealt with as soon as practicable. 44 The definition of ‘dealt with' suggested by the Ombudsman is that it is not enough for a decision alone regarding the application to be made within this timeframe, but notice of the decision must also have been dispatched to the applicant within that period. 45
Such a notice may be posted or served personally to the applicant. 46
Where the notice is provided in the form of a letter, for the purposes of determining the time within which an internal review can be lodged, the date the notice is provided to the applicant is taken to be five days after the letter was dispatched. 47
Where this timeframe is extended by the agency, the applicant should be informed in writing as soon as practicable. 48
3 Determinations
An applicant is to be notified once a determination regarding their FOI request has been made. The notice is to be in writing and specify:
The date the determination was made;
The amount of any charge for access being allowed;
The determination made by the agency;
The name and designation of the officer by whom the determination was made; and
The rights of appeal regarding the determination. 49
The notice of determination must also set out the way in which the application has been interpreted by the agency and detail what, and how many documents are covered by the application. A sufficiently detailed description of those documents should be included. 50
What is ‘deemed refusal'?
Where an applicant has not been notified of a successful or an unsuccessful determination of their request within the specified time period, under the Act, the request is presumed to have been refused. This is known as ‘deemed refusal.' 51
The lapse of the specified time period does not, however, prevent the agency from deciding to release the document and notifying the applicant of this decision following the expiry of 21 days. 52
Under the Act, there are broadly four responses an agency may provide in notifying an applicant of a determination. These are:
Refusal of access to a requested document
Deferral of release of a requested document
Release of a requested document
Refusal to confirm or deny the existence of a document
These are discussed in more detail below.
3.1 Refusal of access
Section 25 of the Act describes the situations in which a government agency may refuse an application. These situations are discussed in more detail above in section 2.5 Is there any information I am not allowed to access?
An agency cannot refuse to release a document purely because it contains matter that could be classified as exempt. Where it is practicable to remove this matter, the agency is required to do so and provide the applicant with a copy of the document from which the exempt matter has been deleted. 53 This provision applies to all classes of document, including those that are covered by a Ministerial certificate. 54
Where access to a document is refused, the agency is required to provide in the notification to the applicant the reasons for the refusal, and the material facts underlying those reasons, with reference to the sources relied upon in reaching that conclusion. 55
An agency may also refuse access to a document where the agency does not hold the document. Written notice of this fact must be provided to the applicant. 56
Lost or destroyed documents
The FOI Manual 2007 discusses the situation where documents have been lost or destroyed and cannot be located by an agency. In this situation, an agency is required to conduct a reasonable search for the documents and if they still cannot be located, to notify the applicant of that fact.
The Manual advises that where documents have been lost or destroyed, the agency is to ‘make a determination refusing the application, to ensure the applicant will have full rights of review.' 57 Only where the agency has no recollection whatsoever of possessing that document should a notification that the agency does not hold the document be provided. This position seeks to clarify situations such as the ADT decision below.
In Cianfrano v Director-General, Department of Commerce (No. 2) [2006] NSWADT 195, the ADT held that advice given by an agency to an applicant that the agency does not hold the document constitutes a ‘determination' by the agency to ‘refuse' to grant access to the document in any event.
Click here to read the full Administrative Decisions Tribunal decision.
3.2 Deferral of access
An agency may allow access but delay the point at which access is given to the applicant. This is known as ‘deferral of access' and can be done for the following reasons:
Where a document is required by law to be published but has not yet been published; 58
Where a document has been prepared for presentation to Parliament but has yet to be presented; 59
Where a document has been prepared for submission to a particular person or body but is yet to be submitted. 60
Where access is to be deferred, the agency is required to provide the applicant with both the reason for the deferral and the day on which the agency expects the document to be published, or submitted. 61
3.3 Release of a document
Where an FOI request is successful, there are various ways in which the document can be released to the applicant. Access to a document can be given by:
Providing the applicant with a reasonable period of time to inspect the document; 62
Providing the applicant with a copy of the document; 63
Providing the applicant with the facilities necessary to view or hear the document where it contains visual or audio information; 64
Providing the applicant with a written transcript of a recording of the document where it is in audio or short-hand form. 65
If an applicant has specified a particular form in which they wish to receive the information, the agency is to comply with their request, 66 except where the form requested is expected to result in unreasonable use of the agency's resources, a copyright infringement, or is otherwise inappropriate for the preservation of that particular document. 67
3.3.1 Release of documents containing exempt matter
Documents containing exempt matter can still be released, and under the Act, agencies are encouraged to provide access to such documents, where the exempt matter can be removed. 68 Where an FOI request concerns a document that previously contained exempt matter and this matter has been deleted from the document prior to being released to the applicant, the notification must state that the document provided to the applicant is a copy of the original, no longer containing the exempt matter. 69
3.3.2 Fees and charges
A notice specifying that an FOI application has been successful must contain the amount of any charge payable to allow access to be provided. 70 An agency may refuse access where an applicant has not paid any charge relating to the processing of the FOI request or providing access to the document. 71
3.4 Refusal to deny or confirm the existence of a document
The Act also provides for a government agency to refuse to deny or confirm the existence of a document that is the subject of an FOI request. This action is permissible in situations where the requirements of the Act that the agency provide notification of a determination (and potentially reasons for refusing access to the document) to an applicant, would make the notification itself an exempt document. 72
These circumstances are likely to be extremely rare. The test is not whether the document itself is exempt but whether confirming or denying the existence of the document would make the notice of determination exempt.
3.5 Factors relevant to a determination
It should be noted that whilst this section of the NSW FOI Act 73 does not use the language of confirming or denying the existence of a document, it is considered the equivalent of section 25 of the Commonwealth FOI Act.
It has been established in numerous cases that the motive, identity and particular interest of the applicant may be a relevant factor when assessing whether several exemption clauses apply to documents sought in an FOI application. 74
The motive of the applicant may be relevant in considering whether the disclosure of matter concerning the personal affairs of a third party could be unreasonable. The identity of the applicant could be relevant to determining whether to release documents containing information of a medical or psychiatric nature concerning the applicant. The particular interest of the applicant could be relevant to whether there is a public interest in releasing the document (ie. does the applicant have a ‘right to know' as opposed to mere curiosity).
4 Appeal Rights
There are two types of review process under the FOI Act where an applicant is dissatisfied with a determination – internal and external review.
4.1 Internal review
Internal review is available to any applicant who is ‘aggrieved' by a determination made by an agency. 75 The review is undertaken by the agency. The review is a review of the initial determination only – a decision made by an agency following an internal review under sections 34 or 47 of the Act cannot be reviewed a second time. 76
4.1.1 Who can apply for internal review?
Rights to an internal review of an agency's determination are available to any person who is aggrieved by the determination. Those who are ‘aggrieved' vary, depending on the nature of the original FOI request.
Where a request to amend personal records has been made, (in accordance with section 40 of the FOI Act), an applicant is aggrieved where that request is refused by the agency. 77 An applicant may also apply for an internal review where no determination has been made by the agency 78 (see part 3 Determinations – What is a deemed refusal? above).
Where an application to access certain documents has been made (in accordance with section 17 of the FOI Act), a person is aggrieved by a determination where:
An agency refuses to give the applicant access to the document;
Access is given subject to deferral;
Access to a copy of the document from which exempt matter has been deleted is to be provided to the applicant;
Access to a document is provided to the applicant subject to a charge they believe to be unreasonable, or where the applicant believes an existing charge has been unreasonably incurred. 79
The Act also allows for relevant third parties to seek an internal review of determinations made by agencies affecting them. Third parties will be considered aggrieved persons where:
An agency has been required to consult with the relevant third party and has failed to take reasonably practicable steps to do so; or
The agency was required to undertake consultation with the third party and has done so, but has made a decision against the views of that third party. 80
Where an agency has failed to provide an applicant with a determination, 81 an internal review is also available. 82
4.1.2 How long do I have to apply for a review?
An applicant has 28 days from the date the notice of determination is given to them to lodge an application for internal review at an office of the agency. 83 If no notice of determination was provided to the applicant, he or she has 49 days from the date the agency received the FOI request. 84 These time limits may be altered at the discretion of the principal officer of the agency. 85
An agency is required to respond to a request for an internal review within 14 days of receiving the application. 86
4.1.3 How do I apply for an internal review?
An application for internal review must be in writing, accompanied by an application fee (see 2.4 Fees above), and addressed to the principal officer of the relevant agency. 87 The application should be lodged at an office of the agency. 88
Applications for internal review, in accordance with sections 34 and 47, are dealt with as if they were initial FOI applications, either for the amendment of personal records, 89 or for access to documents. 90 The procedure to be followed in each of these situations is the same as that described above for amendment of personal records (see 2.3.1 Amendment of personal records above) or for access to documents (see 2.4 Making a Freedom of Information request above).
4.1.4 Who deals with an application for internal review?
An application for internal review is to be made to the principal officer of the relevant agency. ‘Principal officer' is defined in the Act as: 91
in relation to a Government Department – the Department Head of the Department;
in relation to a public authority – the holder of the principal office of that authority;
in relation to a public authority where no office is identified as the principal office:
in the case of an incorporated body that has no members – the person who manages the affairs of the body;
in the case of a body (incorporated or unincorporated) that is constituted by one person – that person;
in the case of a body (incorporated or unincorporated) that is constituted by 2 or more persons – the person entitled to preside at any meeting of the body at which the person is present;
in relation to a local authority – the general manager of the authority.
Under the FOI Act, a person is not entitled to a review of a determination made by a principal officer of an agency. This means that any initial FOI request that is dealt with by a principal officer may have the effect of limiting the review rights available to an aggrieved applicant (see paragraph 4.1.5 FOI Manual 2007 ).
It is a current policy of the Department of P&C to have an appropriate officer other than the principal officer make an initial determination, in order to keep open the right to internal review (see paragraph 4.1.6 FOI Manual 2007). Because of this, principal officers generally delegate their authority to make determinations for access or amendment to documents to an officer of the agency by resolution of the agency.
4.2 External review
There are two avenues of external review under the FOI Act. These are:
An application for review by the ADT, or
A complaint to the Ombudsman.
An FOI applicant may pursue both avenues, however there are time limits that apply to lodging an application for a review in the ADT.
4.2.1 Review by the NSW Administrative Decisions Tribunal
The first right to external review is a review of a determination by an agency in the ADT. Persons aggrieved by a determination of an agency may apply to the ADT for an external review. 92 External review by the ADT is not strictly speaking a ‘review'. The ADT considers the merits of an FOI application and makes a fresh decision based on the material before it, applying Government policy.
The right to external review arises only once the right to internal review has been exhausted. As long as any internal review process has not been used or is still in the process of being undertaken, an external review application cannot be made. 93 This is the case even where the time period for an internal review has expired and the right to the internal review was not exercised by the applicant.
Similarly, if the Ombudsman is investigating any conduct relating to the initial FOI determination, application to the ADT for external review cannot be made. 94
External review in the ADT is available to aggrieved persons seeking access to documents, 95 or seeking to amend documents, 96 and relevant third parties. 97 Any determination made by a Minister regarding an FOI request can also be reviewed in the ADT. 98
An application for a review by the ADT must be lodged at the ADT Registry within 60 days after the determination is given to the applicant. 99
Where a complaint is also made to the Ombudsman within that 60 day period, a review application to the ADT may be lodged within 60 days after the complainant is informed that the Ombudsman refuses to investigate, or within the 60 days after the results of the Ombudsman's investigation are reported to the complainant. In other words, complaining to the Ombudsman works to extend the time period within which an applicant can lodge an application for review with the ADT.
Where an agency has made a determination to release a document but has deferred access, it is considered reasonable for the agency to release the document after 60 days has elapsed, provided no complaint has been lodged with the Ombudsman and no review application has been lodged at the ADT Registry. This will have the effect of removing the applicant from the class of persons ‘aggrieved.'
Where an agency fails to provide an applicant with a determination, in the case of a deemed refusal, the ADT is authorized to make an order for an extension of time to allow the Minister or agency to deal with the request. 100
4.2.2 Complaint to the NSW Ombudsman
In addition to lodging a review application with the ADT, a complaint regarding the conduct of a person or a public body in relation to a determination can be made to the Ombudsman. 101 The Ombudsman's powers to investigate such a complaint arise under the Ombudsman Act 1974. For more information on the Ombudsman and his role, see Fact Sheet 9.1 ICAC Ombudsman and Auditor General.
When can the Ombudsman investigate a complaint?
The Ombudsman can investigate a complaint where an applicant is dissatisfied with the conduct of a person or public body in connection with a determination under the FOI Act. Unlike external reviews in the ADT, there is no time limit within which a complaint to the Ombudsman must be made.
What matters might be subject to a complaint?
The following is a list of some of the allegations which might be the subject of a complaint and investigation (under either the FOI or O Act):
Conduct in relation to a determination made under the FOI Act;
A failure or refusal to deal with and determine an FOI application;
Delay, denial of rights, record keeping practices relating to FOI matters;
Inappropriate interference by Ministerial staff in the determination of applications;
Conflicts of interest of agency staff who assess and/or determine applications;
Delegation of FOI decision-making to a person or organisation external to the agency;
Failures by agencies to inform applicants of their internal review rights, where the time for an internal review has expired before an applicant became aware that such a right existed;
Refusals by agencies to allow a further period for an applicant to apply for an internal review;
Failures by agencies to consult with third parties where the third party only learnt of the failure to consult after the internal review period had expired;
Delays or failures by agencies to inform third parties of a determination such that the third party is precluded from exercising their right of internal review.
For more examples, see ‘Ombudsman's Guidance' in section 8 of the FOI Manual 2007.
When is the Ombudsman not allowed to investigate a complaint?
The Ombudsman cannot investigate a complaint regarding a determination where the right to an internal review has not been exhausted. Similarly, the Ombudsman cannot investigate a complaint whilst it is before the ADT for external review in accordance with Part 5, Division 2 of the FOI Act. 102
An applicant is prevented from lodging a complaint with the Ombudsman where that applicant has previously lodged a complaint to the Ombudsman regarding the same agency that is subject of the current complaint. 103
The Ombudsman's powers in investigating complaints where they relate to exempt documents are limited under the FOI Act and the O Act. The Ombudsman cannot require any person to:
give any statement or information;
produce any document;
give a copy of any document; or
answer any question,
which relates to an exempt Cabinet document (listed in Part 1 of Schedule 1 of the FOI Act), or a restricted document that is the subject of a Ministerial certificate. 104
The O Act also allows for the Director-General of the Department of P&C to issue a certificate which is taken to be conclusive evidence that a document is a Cabinet document. 105 A certificate does not have to be issued prior to the investigation.
The Ombudsman does not have powers to investigate the conduct of a person or a body in relation to any determinations relating to documents held by a Minister. 106
The Ombudsman and exemptions from the FOI Act
Complaints made regarding the conduct of the Ombudsman or his office cannot be investigated by the Ombudsman himself, even though the Office of the Ombudsman is an agency for the purposes of the FOI Act. 107 Documents relating to the complaints handling, investigative and reporting functions of the Ombudsman are exempt from the operation of the FOI Act. 108 The Ombudsman cannot make a determination to allow access to the documents of another agency that it may have obtained during an investigation. These documents are still regarded as being held by the agency from which they were obtained.
What does an investigation by the Ombudsman achieve?
The Ombudsman is required to compile a report of recommendations regarding the resolution of a complaint where he or she believes the applicant to be the victim of improper conduct by a person or agency. 109 The FOI Act does not give rise to any greater enforcement powers: the Ombudsman cannot make any binding order on an agency.
The recommendations the Ombudsman is able to make include:
that a document be released as it is in the public interest to do so, even though access has been denied because it is an exempt document;
that an agency's general procedure be changed or altered to conform more closely to the objects of the FOI Act. 110
The report of the Ombudsman is admissible evidence in any proceedings before the ADT, where that information is relevant to the proceedings. 111
4.2.3 Arrangements between the ADT and the Ombudsman
There are certain circumstances where the powers of the ADT and the Ombudsman to undertake external review may overlap. To ensure these powers are exercised in a cooperative manner, the ADT Act allows for the ADT and the Ombudsman to enter into arrangements regarding certain FOI review matters. 112
These circumstances include:
Matters that the ADT will refer to the Ombudsman where it considers that the matter can be the subject of action, (inquiry or investigation) and it would be more appropriate to have the Ombudsman deal with it;
Matters that the Ombudsman will refer to the ADT where the Ombudsman considers that the matter can be the subject of an application for review by the ADT and it would be more appropriate for the ADT to deal with it;
Matters that are both the subject of an application to the ADT and action under the Ombudsman Act.
The entering into of arrangements by the ADT and the Ombudsman may have specific implications for the review that is available to an individual. For the arrangements that have been agreed between the two authorities, see the Memorandum of Understanding regarding section 39 of the ADT Act, published in the Government Gazette on 5 January 2007.
Relevant cases include Commissioner of Police v District Court of NSW (Perrin's case) (1993) 31 NSWLR 606, at 645; Gilling v General Manager, Hawkesbury City Council [1999] NSW ADT 43, at 53-56; Gliksman v The Commissioner, Health Care Complaints [2001] NSW ADT 47, at 23; Humane Society International Inc. v National Parks and Wildlife Service [2000] NSW ADT 133, at 26-3, 51, and 53-56; Latham v Director General, Department of Community Services [2000] NSW ADT 58, at 53; Odisho v The Chief Executive, Roads and Traffic Authority [2001] NSW ADT 49 at 56; Vranic v Director General, Department of Community Services [2001] NSW ADT 129, at 52; RT v Commissioner of Police, NSW Police [2005] NSWADT 270, at 24.