DOCUMENT 1
Freedom of Information
This step: Processing a request for access under the FOI Act.
Next step: Processing a request for internal and/or Information Commissioner review of a decision made under the FOI Act.
1. Purpose
This Standard Operating Procedure (SOP) outlines the processing of a request for access under section 15 of the Freedom of Information Act 1982 (Cth) (FOI Act).
2. To be used by
This SOP is to be used by NDIA staff responsible for processing Freedom of Information (FOI) requests.
3. Scope
This SOP applies to request for access made under section 15 of the FOI Act. This is separate to:
- requests for access to personal information made under Australian Privacy Principle (APP) 12 of the Privacy Act 1998 (Cth);
- requests made under the Participant Information Access (PIA) process.
4. Prerequisites
In accordance with section 15(2) of the FOI Act, a request must:
- be in writing;
- state that it is an application for the purposes of the FOI Act;
- provide an address for reply; and
- provide enough information about the documents to enable the NDIA to locate them.
The NDIA must take reasonable steps to assist applicants to make a request. If a request does not meet section 15, the NDIA will contact the applicant to obtain any
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misssing information or otherwise provide help to satisfy this part. Once the request meets section 15, it can be acknowledged. If the scope of the request is unclear, the request should be acknowledged and the applicant should be assisted in accordance with section 24 of the FOI Act.
If the request is too vague or seems too large to be able to be processed, consult the applicant as soon as possible to clarify the request or see if the scope can be narrowed.
This can include asking the applicant more details about the topic or subject they are seeking documents about, or by specifying a date range or some other form a descriptor.
The 30-day statutory timeframe commences the day after a request is received.
5. Process
| Day 1 | Day 23-25 | Day 23-29 |
|---|---|---|
| FOI Coordinator determines whether request should be processed under the FOI Act. | AO submits decision letter and documents (with proposed redactions, if any) to DM for review | DM returns decision and documents to AO for release with alterations (if any). |
| Day 1 | Day 6-22 | Day 23-30 |
| Registration and allocation FOI request registered on LEX, R-Drive and CRM. Matter is allocated to AO and DM pair. | Consults and bundling AQ sends consults where required and begins bundling documents. Ack letter to be sent by Day 14 | Release Decision and documents released to applicant |
| Day 3 | Day 5 | Day 30 |
| AO instructs DM Action Officer undertakes preliminary assessment of matter, identifying issues and proposed approach. Instructions sent to Decision Maker. | DM confirms AO instructions DM confirms AO’s approach with alterations (if any). | AO finalises matter on all platforms |
Triage
Further to advice on the NDIA website, the Agency is able to provide access to certain personal information without the need for a formal FOI request. On receipt of a request for personal information that does not appear to meet section 15(2) of the FOI Act, the FOI Coordinator will assess whether the request is intended to be a request for access under the FOI Act, or whether it is a request for personal information which can be processed administratively through the Participant Information Access scheme (PIA).
If the applicant does not specify that their request is intended to be made in accordance with the FOI Act, the FOI Coordinator may refer the matter to be processed administratively by referring it to the PIA document release process.
If the request is intended to be a request under the FOI Act, the FOI Coordinator will assist the applicant to make a valid request.
6.1 Registration of an FOI request
FOI requests can be made anonymously. However, where the request seeks access to personal information, it is preferable to verify the applicant’s identity. This is important to consider in the context of unreasonable disclosure of personal information (section 47F).
Where possible, the FOI Coordinator will attempt to verify the applicant’s identity.
6.1.2 Verify identity (for requests involving personal information)
[redacted — s47E(d)]
6.1.3 Consent
Where the applicant is willing to provide their details and they are not the person who is the participant to whom the request relates, it is preferable to confirm that the applicant has the authority to act on behalf of the participant, and this is usually given through
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what is known as express consent. Where express consent has been given, it will
appear in CRM. [redacted — s47E(d)]
Appropriate authority includes, but is not limited to:
- The applicant is a Plan Nominee on the participant’s CRM;
- The applicant is a Child Representative on the participant’s CRM.
Consent can also be given in writing.
6.1.4 Registration
Requests falling under the FOI Act are registered as individual matters, each with a unique reference number, R-Drive folder and LEX file. Key communications anddocuments arising from a matter must be saved on the R-Drive and LEX. Where arequest seeks documents about an NDIS participant, an interaction record is created ont heir customer record.
Once the decision is notified to the applicant, the interaction record is closed.
6.1.3 Data and Reporting
FOI requests are also recorded on the ‘FOI Database’. The database summarises FOIrequest data, including timeframes, outcomes and the use of exemptions. This allowsfor trends and averages to be calculated and analysed. It also allows for quarterlyand annual reporting to the OAIC.
Each week, the FOI Coordinator will prepare a report of significant FOI requests.
7. Processing
7.1 Determining the Scope of a Request
Where a request is broad or large, the FOI Team will consult the applicant to revise ornarrow the scope of their request so that it can be processed. Variations to a request’sscope must be confirmed by the applicant in writing. An applicant’s refusal to modifythe scope of a voluminous request may cause grounds under section 24AA for a decisionmaker to issue a ‘practical refusal’. Where a request is large, consideration should be
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given to whether seeking an extension of time from the applicant would enable the processing to take place without placing undue burden on the Agency resources.
7.1.1 Acknowledgement letter
Section 15(5)(a) of the FOI Act requires that requests are acknowledged within 14 days of receipt.
Provided that a request is valid, requests are acknowledged via an ‘Acknowledgement Letter’ as soon as practicable and no later than 14 days from receipt.
7.2 Searching and bundling documents for release
An Action Officer will prepare a matter assessment for the Decision Maker, seeking instruction on next steps. This assessment will make an initial determination on validity, the documents potentially falling within the scope of the request, the authority of the applicant to receive information, the likely size of the request and will also address any potential consultations and complexities.
The Decision Maker will instruct the Action Officer on the basis of the matter assessment, making comments and changes as necessary. The Action Officer will then gather the relevant documents before drafting a Decision Letter for review by the Decision Maker.
7.2.1 Searching for documents
Documents are often located from the following sources:
- NDIA email server
- Network Drives (R Drive)
- HPRM
- PDMS+
- A participant’s CRM file (for personal matters); and/or
- Through consultation with line areas.
Where documents exist on CRM, the CRM Guide should be referred to for guidance in saving documents.
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Line areas may be consulted using the appropriate email template where a request seeks documents not uploaded to CRM, or where advice is sought regarding exemptions. Consultations must be in writing and must provide a specified date for the return of documents and advice.
7.2.2 Preparing a bundle of documents
The relevant documents will be provided to the Decision Maker in PDF format with appropriate redactions marked up (if any), the correct FOI reference number, and pages and documents numbered.
7.2.3 Preparing the draft decision
Notice of Decision letters are drafted in accordance with the following template:
s47E(d) - certain operations of agencies
8. Extensions of time
8.1 Seeking extension of time from the applicant
Where further time is required to process an FOI request, an extension of time of up to 30 days may be sought from the applicant. Approval must be sought from the Decision Maker before seeking an extension of time.
If the applicant agrees, this consent must be notified to the OAIC, preferably through their webform.
8.2 Seeking extension of time from OAIC
Where an FOI request is large and/or complex, if the applicant does not agree to an extension of time, extension of up to 30 days may be sought from the OAIC and again, preferably through the OAIC webform. Further extensions may not be granted and all extension considerations are at the discretion of the OAIC. Approval must be sought from the Decision Maker before making application to the OAIC for an extension of time.
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9. Decisions on Access
9.1.1 Full Access
Documents which do not contain exempt information are released in their entirety as part of a ‘Full Access Decision’.
9.1.2 Partial Access and Access Refused
Documents containing exempt information are released as a ‘Partial Access Decision’, with the exempt material redacted. A partial access decision may be a combination of redacted and unredacted documents.
Access to a document must be refused where the document is exempt in its entirety. The Notice of Decision must justify the use of all exemptions, whether access is in part or refused.
10. Finalising and closing the matter
10.1 Preparing the decision to be sent
Once the Decision Maker has made a decision, the Action Officer will:
- Apply an accessibility check on the decision letter;
- Apply any tracked changes in the letter;
- Apply any redactions;
- Sanitise the bundle; and
- Prepare a covering email, to be privacy checked by another team member.
10.2 Finalising the matter
A covering email with the Notice of Decision and documents attached will be sent to the applicant. All correspondence (both internal and external) must then be saved to the R-drive.
The Action Officer will then close off the matter on CRM, LEX and the FOI Database. An email must be sent to the Decision Maker noting that the above tasks have been completed.
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Standard Operating Procedure
10.2.1 Finalising matters conducted by post
All communications by post must be sent by registered post with associated tracking numbers. Tracking numbers must be logged on LEX.
Action Officers must check all correspondence from the applicant to ensure the correct postal address for reply in line with Privacy Check — Mandatory Procedures.
11. Supporting material
The following materials are relevant to the processing of a request:
- Freedom of Information Act 1982 (Cth):
- Freedom of Information Guidelines:
- Privacy Act 1988 (Cth);
- NDIS Act 2013 (Cth)
12. Process owner and approver
Director — Freedom of Information
13. Feedback
14. Version control
| Version | Amended | Brief Description of Change | Date |
|---|---|---|---|
| 1.0 | Initial Version | 2020-05-08 | |
| 1.1 | Additions outlining data reporting processes, definitions for personal information and outline of qualified release process | 2020-05-20 | |
| 2.0 | Review of SOP conducted | 2021-02-23 |
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