NDIA Accountability Project

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Registration of FOI/APP12 Requests

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DOCUMENT 2

Standard Operating Procedure Registration

Registration of FOI/APP12 Requests

Previous Step: Triage SOP

Next Step: FOI/APP12 SOP

1. Purpose

This Standard Operating Procedure (SOP) outlines the process of registering and recording new requests for information received by the Agency, through the Freedom of Information (FOI) and Privacy Act (APP12) release mechanisms. This SOP is to be used when new requests for information are received by the FOI team, via the foi@ndis.gov.au inbox.

2. Index

  • Purpose

  • Index

  • To be used by

  • Scope

  • Prerequisites

  • Procedure

    • Registration Processes
      • 6.1 Allocation
      • 6.2 Create New Matter in [redacted — s47E(d)]
      • 6.3 Create R Drive Folder
      • 6.4 Database Entry
      • 6.5 Registration Checklist
      • 6.6 Interaction Records
    • Other Processes
      • 6.7 Transfer Matters
      • 6.8 Disclosure Log Updates
      • 6.9 Acknowledgement Letter Tracker

  • Supporting Material

  • Process Owner and Approver

  • Feedback

  • Version Control

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Standard Operating Procedure Registration

3. To be used by

Registration Officer — FOI Team

4. Scope

This SOP applies to all requests for information received by the FOI team in the FOI and APP12 release mechanisms, which are registered and recorded by the Registration Officer. This SOP outlines the process of registering new requests and saving the details of the request in)” and in the R Drive

5. Prerequisites

Prior to registration of new requests, the release mechanism for the request needs to be determined, the process for which is outlined through the Release Mechanism Checklist and in the Triage SOP

6. Procedure

6.1. Allocation

6.1.1 To Action

Once the appropriate release mechanism has been determined using the Release Mechanism Checklist (found here), copy the relevant allocations email template to the request email and replace the email subject line with: “FOR ACTION — New FOI/APP12 Request - Then move to the ‘To Action’ folder

6.1.2 Fill Out Email Template

Fill out table in draft email located in the ‘To Action’ folder. Ensure font is Arial 11

FOI Reference No APP12 Reference No
19/20-XXXX (Participant’s last name) for Standard FO! requests 19/20-IRXXX (Participant’s last name) for internal reviews
19/20-OAICXXX (Participant’s last name) for OAIC external reviews
19/20-APPXXX (Participant’s last name) for APP12 matters

Standard Operating Procedure Registration

Applicant Name Person requesting the information. Include job title or relationship if not participant. For all names include:

Ms, Mr, Mrs (if specified), Mstr (for under 18), or Miss (or under 18)

Participant Name Person who is the NDIS participant (ibid if same as above)

NDIS Ref No If not supplied by applicant then look up in CRM and type NOT PROVIDED followed by (Ref No)

[redacted]

Authority s47E(d) - certain operations of agencies

s47E(d) - certain operations of agencies

Date of Request DD MONTH YYYY Date email or letter is received by the FOI Team

Date Ack Letter Due DD MONTH YYYY 14 days after request received. If date falls on a weekend or holiday then input date of the following workday.

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Standard Operating Procedure Registration

Acknowledgement letters not required for APP12 matters, which is reflected in the APP12 allocations template

DD MONTH YYYY 7 week before Expiration of Timeframe

DD MONTH YYYY 3 days before the Expiration of Timeframe (below)

If date falls on a weekend or holiday then input date of the following workday. If date falls on a weekend or holiday then input date of the following workday.

DD MONTH YYYY 30 days after request received. Look up exact date on the FO! online calculator:

If date falls on a weekend or public holiday then input date of the following workday.

See Below/Attached

Include brief description of request in the comments section

No/Yes

Full Name: Y/N DOB: Y/N Address: Y/N

Ref #: Y/N

— Registration Officer to draft an email seeking PO! at registration phase of request.

  • POl confirmed

  • Email sent seeking POl/authority (attached) Remove this line if no email was sent

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Standard Operating Procedure Registration

NB

If there are multiple requests from the same Applicant please add a numerical value to the request. (eg Bloggs 1, Bloggs 2 etc)

If there are multiple requests with the same Applicant name please add initial of first ame to request (eg. J Bloggs, R Bloggs).

6.2. Create New Matter in

s47E(d) - certain operations of agencies

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Standard Operating Procedure

Registration s47E(d) - certain operations of agencies

Create R Drive Folder

6.3.1 Create Folder

[redacted]

Standard Operating Procedure

Registration

  1. Copy template folder located in R Drive (here): s47E(d) - certain operations of agencies

  2. Paste template folder in: s47E(d) - certain operations of agencies

  3. Rename folder with LEX number created and FOI Reference No

e.g. [redacted — s47E(d) - ce ID] – FOI 20.21-XXXX (NAME) or [redacted — s47E(d) - ce ID] – 20.21-APPXXX (NAME)

6.3.2 Save Original Request

  1. Open the folder and place original email request and any attachments in Registration Folder:

    1. Registration > Original Request

  2. Place any subsequent correspondence with or from applicant in:

    1. Communication with Applicant

6.3.3 Draft Acknowledgement Letter

  1. Open template Acknowledgment Letter located in Shell Folder:

    1. Registration > Acknowledgment

  2. Delete the Acknowledgement Letter folder for APP12, IR and OAIC requests as they are not required.

  3. Fill and complete Acknowledgment Letter adding relevant information.

6.4. Database Entry

s47E(d) - certain operations of agencies

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Standard Operating Procedure Registration

S47E(d) - certain operations of agencies

6.5. Registration Checklist

6.5.1 Mark off the Registration Checklist

Once each step of registration process is completed remove (No) from checklist.

For Standard FOI matters:

Yes/No
Created Yes/No
R Drive Created Yes/No
Ack Drafted and Request Saved Down Yes/No
Recorded on Database Yes/No

For APP12 matters:

Yes/No
Created Yes/No
R Drive Created and Request Saved Down Yes/No
Recorded on Database Yes/No

For Internal Reviews and OAIC external reviews:

Yes/No
Created Yes/No
R Drive Created Yes/No
Request Saved Down Yes/No
Recorded on Database Yes/No

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Standard Operating Procedure Registration

6. Interaction Records

6.6.1 Determine Assigned Action Officer (AO)

When FOI and APP12 requests for personal information have been allocated, go through the allocation database to see who the AO is (interaction records are not required for Non-Personal requests).

s47E(d) - certain operations of agencies

s47E(d) - certain operations of agencies

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Other Procedures

6.7. Transfer Matters

6.7.1 Transfer Matters between Release Mechanisms

If a matter has been registered with one release mechanism (FOI, PIA or APP12) but is later identified as being more appropriate to a different release mechanism, then the matter needs to be transferred and details updated.

  1. Find the LEX file of the relevant matter, mark it as withdrawn and enter the following text into File Notes to indicate a transfer between release mechanisms:

    “This matter has been transferred from FOI / APP12 / PIA to FOI / APP12 / PIA on dd/mm/yyyy”

  2. Create a new [redacted — s47E(d)] file and R Drive folder with the new release mechanism details.

  3. Create a new entry into the database of the new release mechanism and mark the original database entry as withdrawn.

6.7.2 De-Registration of Matters

If split requests are merged together, the now un-required FOI, APP12, or PIA Reference numbers need to be closed off.

  1. Find the LEX file of the relevant matter and mark ‘Status’ as ‘Closed’ and ‘Outcome’ as ‘Withdrawn’.

  2. Move the R Drive folder from ‘Active Matter’ to ‘Archived Matters.’

  3. Close off the matter in the database and mark ‘Outcome’ as ‘Withdrawal’

6.8. Disclosure Log Updates

6.8.1 Disclosure Log Updates

New Discourse logs will be found on the NDIS website under FOI Disclosure log and new Disclosure log requests will be sent via email.

  1. Take the FOI reference number from the NDIS website under FOI Disclosure log and find the matter in [redacted — s47E(d)] - certain operations of agencies (for current matters) or [redacted — s47E(d)] - certain operations of agencies for archived matters).

  2. Copy the reference number, name and the PDF document found in the Disclosure log folder.

Standard Operating Procedure - Registration

  1. Create a new folder in [redacted — s47E(d)] and paste the reference number and name.

  2. Paste the PDF document into the new folder.

  3. Open 1 Disclosure log excel found [redacted — s47E(d)].

  4. Input following information:

  • Reference #
  • Date → date the disclosure log was released
  • Description → copy FOI request found on the NDIS website
  • Applicant → who the FOI request was made by
  • Exemptions applied → where the redactions were applied
  • Current version
  • Comments
  • Document → hyperlink the PDF file
  1. Update Subsequent Releases

Disclosure log requests update the Subsequent Releases in the 1 Discourse log excel

Acknowledgment Letter Tracker

6.9.1 Record New Matters in Ack Letter Tracker

  1. Open the Acknowledgement Letter Tracking spreadsheet [redacted — s47E(d)].

  2. Enter in reference number, name and date of request – acknowledgment letter due date will automatically calculate.

  3. Open FOI allocation excel and search for the reference number/name to find the AO, RO and DM [redacted — s47E(d)] (FOI Allocation).

  4. Copy the AO and RO (if the RO and DM are the same). If they are different then copy the AO and DM.

  5. Paste into the Ack letter tracker column for AO and DM’s

6.9.2 Track Outgoing Acknowledgement Letters

  1. Open outlook and search each reference number in the FOI inbox and check if an acknowledgement letter has been sent.

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Standard Operating Procedure Registration

Search FOI> ‘20/21-XXXX’ (subfolders) > Search

  1. Click yes or no using the drop box next to the acknowledgment letter due date
  2. Filter the matters to only show ‘no’
  3. Now using the DM outstanding ack letters sort the remaining matters to each DM
  4. Send an email to all DM’s notifying them of what acknowledgment letters need to be sent out in the coming week

7. Supporting material

  • NDIS Act – Section 75 on Parental Authority
  • Triage SOP
  • Release Mechanism Checklist

8. Process owner and approver

Registration Officer – FOI Team Director/Assistant Director – FOI Team

9. Feedback

[redacted — s47E(d)]

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Standard Operating Procedure Registration

10. Version control

Version Amended by Brief Description of Change Status Date
V0.4 Remove PIA registration steps (separate SOP created for PIA registrations) DRAFT 2020-Jul-28
V0.3 Adjusted formatting to match NDIA SOP Template DRAFT 2020-Jun-10
V0.2 Updated process to include registration of APP12 matters APPROVED 2020-Mar-24
V0.1 Creation of Registration SOP APPROVED 2019-May-21

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