Source: https://www.oaic.gov.au/about-us/corporate-information/annual-reports/oaic-annual-report-201415/chapter-eight-agency-freedom-of-information
Timestamp: 2017-11-23 12:54:51
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Chapter Eight — Agency freedom of information| Office of the Australian Information Commissioner - OAIC
Chapter Eight — Agency freedom of information
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charges collected by them.
The Attorney-General's Department maintains a web-based system for the electronic lodgement of FOI statistical information by agencies. It collects information about agencies' use of exemptions, practical refusal processes, and staff resources and other costs associated with compliance with Information Publication Scheme (IPS) provisions.
Table 8.1 provides a comparison of the number of FOI requests received in each of the last five reporting years. Chart 8.2 (see later in this chapter) shows the total number of FOI requests received each year since the commencement of the FOI Act in 1982.
Table 8.1 Total FOI requests received 2010–11 to 2014–15
Following the FOI reforms that commenced in November 2010, FOI request numbers have steadily increased. The rate of increase in 2014–15 was the highest since the 2010 reforms. Australian Government agencies received 35,550 FOI requests in 2014–15, up 24.9% on the number received in the previous year. Request numbers increased 4.9% in 2011–12, 0.7% in 2012–13 and 14.1% in 2013–14.
In 2014–15, the Department of Immigration and Border Protection (DIBP), the Department of Human Services (DHS) and the Department of Veterans' Affairs (DVA) continued to receive the majority of FOI requests (75.4% of the total). The bulk of requests to these agencies are from customers or clients seeking access to documents containing their own personal information or case file information.
The 20 agencies that received the largest number of requests in 2014–15 are shown in Table 8.2, with a comparison to the number of requests each received in 2013–14. The top five agencies in 2014–15 were DIBP, DHS, DVA, Migration Review Tribunal (MRT) and Australian Taxation Office (ATO). These agencies were also the top five in 2013–14 and 2012–13, although ATO received the fourth-highest proportion of requests in 2013–14 but only the fifth-highest in 2014–15, switching places with MRT.
DIBP had the largest increase in request numbers in 2014–15 (up by 6997 or 59%), and its proportion of the total number of requests received by Australian Government agencies increased from 41.6% in 2013–14 to 53% in 2014–15. DIBP recorded a 64.2% increase in requests for personal information. DIBP experienced a significant increase in protection visa applicants seeking documents under FOI due to the progressive and ongoing lifting of visa application bars.
The MRT and ATO both experienced increases in the number of requests received (up 347 and 231 respectively), and in their proportions of the total number of requests received by Australian Government agencies. DHS received only 64 more requests in 2014–15 (an increase of 1.4% from 2013–14), and DVA had 245 fewer requests (a reduction of 6.7% from 2013–14).
As noted above, the total number of FOI requests received increased by 24.9% in 2014–15. Collectively, the 20 agencies that received the most FOI requests in 2014–15 reported an increase from the 20 agencies that received the most FOI requests in 2013–14 (93.6% of total requests in 2014–15, compared to 90.4% in 2013–14).
Table 8.2 Agencies by numbers of FOI requests received
Rank 2014–15
Department of Social Services[*]
25,729[^]
90.4[^]
[*] Denotes an agency not listed in the top 20 agencies in 2013–14.
[^] Shows the total for the top 20 agencies in 2013–14 (ie includes figures for one agency that is not in the top 20 agencies in 2014–15).
30,297 (or 85.2%) of all FOI requests in 2014–15 were for documents containing personal information. The percentage of such requests increased from 79.7% in 2013–14. There was a decrease of 9% in the number of FOI requests for other (non-personal) information in 2014–15.
Table 8.3 shows the type of requests that the 20 agencies received in 2014–15 with a comparison to the number of requests each received in 2013–14.
Table 8.3 Types of FOI requests received by agency
Personal 2014–15
Other 2014–15
21,849[^]
3880[^]
In 2014–15, agencies and ministers processed FOI requests as follows (previous year figures are in round brackets):
on hand at the beginning of the year: 2397 (2649)
received during the year: 35,550 (28,463)
requiring determination (ie on hand at the beginning of the year or received during the year): 37,947 (31,112)
withdrawn: 3641 (3190)
transferred: 729 (944)
determined (ie access granted in full or in part, or refused): 29,000 (23,106)
finalised (ie withdrawn, transferred or determined): 33,370 (27,240)
on hand at the end of the year (ie requiring determination but not finalised): 4577 (3872).
Agencies and ministers determined 25.5% more requests, and finalised 22.5% more requests, in 2014–15 than in the previous reporting period.
Table 8.4 shows how FOI requests were determined in 2013–14 and 2014–15.
Table 8.4 FOI requests determined
Table 8.5 shows how FOI requests were determined in 2013–14 and 2014–15, broken into requests for personal and other (non-personal) information.
Table 8.5 Breakdown of type of FOI requests determined
In 2014–15, 89.6% of requests were granted in full or in part (up from 86.7% in 2013–14). In 2014–15, the proportion of requests granted in full (56.5%) increased from 2013–14 (52.4%).
Table 8.6 lists the top 20 agencies by the number of FOI decisions they made. The Department of the Treasury and the Department of Finance are included on the list of the top 20 agencies in terms of requests received, but not in the top 20 of decisions made. In contrast, Comcare and the Australian Transaction Reports and Analysis Centre (AUSTRAC) feature in the top 20 by decisions made but not by requests received.
Table 8.6 Top 20 agencies by numbers of FOI requests determined
Table 8.7 shows how Australian Government agencies and ministers claimed exemptions under the FOI Act when processing FOI requests in 2014–15. More than one exemption might be applied in processing an FOI request.
Table 8.7 Use of exemptions in FOI decisions
s 33 Documents affecting national security, defence or international relations
s 34 Cabinet documents
s 37 Documents affecting enforcement of law and protection of public safety
s 38 Documents to which secrecy provisions of enactments apply
s 42 Documents subject to legal professional privilege
s 45 Documents containing material obtained in confidence
s 45A Parliamentary Budget Office documents
s 46 Documents disclosure of which would be contempt of Parliament or contempt of court
s 47 Documents disclosing trade secrets or commercially valuable information
s 47A Electoral rolls and related documents
s 47B Commonwealth-State relations
s 47C Deliberative processes
s 47D Financial or property interests of the Commonwealth
s 47E Certain operations of agencies
s 47F Personal privacy
s 47G Business
s 47H Research
s 47J The economy
No exemption was claimed by the agency or minister in 5474 requests. The personal privacy exemption in s 47F of the FOI Act was the most-claimed exemption, being claimed in 47.6% of FOI decisions. The next most-claimed exemptions were s 47E (certain operations of agencies (13.9%)) and s 37 (documents affecting enforcement of law and protection of public safety (12.2%)).
Section 24AB of the FOI Act sets out a 'request consultation process', which must be undertaken if a 'practical refusal reason' exists (s 24AA). A practical refusal reason exists if the work involved in processing the FOI request would substantially and unreasonably divert the agency's resources from its other operations, or the FOI request does not adequately identify the documents sought.
The request consultation process involves the agency sending a written notice to the FOI applicant, advising them that the agency intends to refuse the request and providing details of how the FOI applicant can consult with the agency. The FOI Act imposes an obligation on the agency to take reasonable steps to help the FOI applicant to revise their request so that the practical refusal reason no longer exists.
Table 8.8 provides information about how Australian Government agencies and ministers engaged in request consultation processes under s 24AB of the FOI Act in 2014–15 and the outcome of those processes.
Table 8.8 Use of practical refusal
Agencies sent 12.4% fewer notices of an intention to refuse a request in 2014–15 than in 2013–14. In 2014–15, 71.7% of those requests were subsequently refused or withdrawn; the proportion was 67.1% in 2013–14 and 42.7% in 2012–13.
In 2014–15, agencies sent 38.4% fewer notices of an intention to refuse a request for personal information than in 2013–14, and 25.5% more notices of an intention to refuse a request for other information.
There was a decrease in the number of personal information requests that were subsequently processed following the request consultation process. In 2013–14, 38% of personal requests were processed following the request consultation process. This number decreased to 31.9% in 2014–15. The proportion of other requests that were subsequently processed was similar in 2013–14 and 2014–15 (25.5% and 25.7% respectively).
As a starting point, once an FOI request has been received, an agency or minister has 30 days within which to make a decision under the FOI Act. The FOI Act allows for the extension of that statutory timeframe in certain circumstances. If a decision is not made on a request within the statutory timeframe (as extended, if applicable) then s 15AC of the FOI Act provides that a decision refusing access is deemed to have been made. Nonetheless, agencies can and are encouraged to continue to process a request that has been deemed to have been refused. If an applicant seeks Information Commissioner review (IC review) of a deemed decision, s 55G provides that the agency can only make a substituted decision that is more favourable to the applicant while that IC review is under way.
An agency may extend the period of time to make a decision by agreement with the applicant (s 15AA), or to undertake consultation with a third party (ss 15(6)–(8)). An agency can also apply to the Australian Information Commissioner (Information Commissioner) for more time to process a request when the request is complex or voluminous (s 15AB), or when access has been deemed to be refused (s 15AC or s 51DA) or affirmed on internal review (s 54D). These extension provisions acknowledge that there are circumstances when it is appropriate for an agency to take more than 30 days to process a request.
When an agency has obtained an extension of time to deal with an FOI request, and resolves the request within the extended time period, the request is recorded as having been determined within the statutory time period. Table 8.9 shows the response times for all agencies and ministers for 2013–14 and 2014–15.
Table 8.10 shows response times separately for personal and other requests in 2013–14 and 2014–15. In 2014–15, 95.3% of all FOI requests determined were processed within the applicable statutory time period: 96.1% of all personal information requests and 89% of non-personal requests.
Table 8.9 Response times — FOI requests
Table 8.10 Response times broken down by personal and other
Table 8.11 shows those agencies and ministers that, in 2014–15, had one or more FOI requests that took more than 90 days to finalise beyond the applicable statutory time period.
Eight agencies or ministers took longer than 90 days after the applicable statutory period had expired to process more than 5% of their FOI requests (up from three agencies in 2013–14).
Table 8.11 Response times greater than 90 days after the expiry of the applicable statutory period 2014–15
In 2014–15, 2589 amendment applications were received by agencies. This is a 10.4% decrease from 2013–14, following an increase of 1.3% in 2013–14, and decreases of 20% in 2010–11, 5% in 2011–12, and 18.9% in 2012–13. Twelve agencies received applications for amendment in 2014–15. One agency, DIBP, received 2510 amendment applications (96.9% of the total).
2542 amendment applications were determined in 2014–15 (23% less than in 2013–14). Table 8.12 compares the decision making for amendment applications for the last four reporting periods. In 2014–15, a decision to amend or annotate a person's personal record was made in 72% of the determined applications.
Table 8.12 Determination of amendment applications
In 2014–15, 97.9% of amendment applications were decided within the statutory time period. This is an increase from 2013–14 (87.5%). Eight of the 10 applications not processed within the statutory time period were applications filed with DIBP. This is an improvement from 2013–14 and 2012–13, when DIBP did not process 19 and 93 applications respectively within the statutory time period.
Charges that agencies can impose for processing FOI requests include charges for search and retrieval time, decision making, retrieving and collating electronic information, preparing transcripts and photocopying. An agency or minister has a discretion to impose or not impose a charge, or impose a charge that is lower than the applicable charge under regulation 3 of the Charges Regulations.
Table 8.13 shows the amounts collected by the 20 agencies that collected the most in charges under the FOI Act in 2014–15. These top 20 agencies collected 83.6% of all charges collected by Australian Government agencies and ministers under the FOI Act during that period. An agency may notify a charge in one financial year and collect the charge in a subsequent financial year.
Table 8.13 Top 20 agencies by charges collected
In 2014–15, agencies notified a total of $545,332 in charges, with respect to 1148 requests, but collected only $153,561 (28.2%) of those charges. This difference is due to agencies exercising their discretion under s 29 of the FOI Act not to impose the whole charge, or applicants deciding to withdraw an application and not pay the notified charge.
Agencies notified and collected fewer charges in 2014–15 than in the previous year. In 2013–14, agencies notified a total of $734,762 in charges, with respect to 4957 requests, and collected $239,628. The percentage decrease in the notification and collection amounts for 2014–15 were 25.8% and 35.9%, respectively.
Charges collected, as a proportion of the total cost of administering the FOI Act, remained stable. In 2014–15, charges collected represented 0.4% of the total cost of administering the FOI Act. In 2010–11,[1] it was 1.7%; in 2011–12, 1.0%; 2012–13, 0.5%; and in 2013–14, 0.6%. (See below for details of the cost of administering the FOI Act.)
As explained in Chapter Seven: FOI policy and compliance, all Australian Government agencies and ministers that are subject to the FOI Act are required to maintain an FOI disclosure log on their website. The disclosure log lists information that has been released to FOI applicants, subject to some exceptions (such as personal information).
Information was collected for the third time in 2014–15 from agencies and ministers on disclosure log activity. A total of 103 agencies and ministers provided information (down from 109 in 2013–14). Collectively, they reported 1019 documents listed on disclosure logs.
Under the FOI Act, an applicant who is dissatisfied with the decision of a minister or an agency on their initial FOI request has several avenues for review or redress. The applicant can first seek internal review, then external merits review by the Information Commissioner (IC review), then review by the AAT, then appeal, on a question of law, to the Federal Court or the High Court. In addition, an applicant may make a complaint at any time to the Information Commissioner or the Commonwealth Ombudsman about an agency's actions under the FOI Act.
In 2014–15, 541 applications were made for internal review of FOI decisions: 9.2% fewer than in 2013–14. Of the 541 applications for internal review, 320 (59.1%) were for review of decisions on requests for personal information and 221 (40.9%) were for review of decisions on other (non-personal) requests.
Agencies finalised 515 decisions on internal review in 2014–15: 5% fewer than were made in 2013–14. Of these, 260 (50.5%) affirmed the original decision, 73 (14.2%) set aside the original decision and granted access in full, 133 (25.8%) granted access in part, three granted access after deferment (0.6%), two (0.4%) granted access in another form, 13 (2.5%) resulted in lesser access and applicants withdrew 19 applications (3.7%) without concession by the agency. Agencies reduced the charges levied as a result of internal review in 12 cases (2.3%).
In 2014–15 there were 14 applications for internal review of agencies' decisions on amendment applications (in 2013–14 there were 56 such applications). Agencies made 50 internal review decisions: in 41 cases the original decision was affirmed and in nine cases it was set aside.
Table 8.14 provides a breakdown of the top 20 agencies and ministers by the number of IC review applications received in 2014–15. In total, there were 373 applications for IC review (down 28.6%).
Table 8.14 Top 20 agencies/ministers by numbers of IC review applications
Total FOI requests received by agency
Total IC reviews
Generally speaking, the agencies about which the most IC review applications were made were those that received the largest number of FOI requests in 2014–15. Fifteen or more IC review applications were made about each of seven agencies: DIBP, DHS, the Australian Federal Police, the ATO, Australian Securities and Investments Commission, Australian Customs and Border Protection Service and the Department of the Prime Minister and Cabinet. Each of those agencies is in the top 20 agencies in terms of FOI requests received.
Information about the Information Commissioner's handling of IC reviews is given in Chapter Seven: FOI policy and compliance.
An application for the review of one of these decisions may be made by a person whose interests are affected by the decision.[2] The fee for an application to the AAT increases on each biennial anniversary of 1 July 1996, based on a calculation related to the Consumer Price Index. The fee during the reporting period was $861.
Chart 8.1 shows the number of applications for review of FOI decisions received by the AAT since 1983–84, based on data provided in previous OAIC annual reports and earlier FOI annual reports.
Chart 8.1 Applications for review of FOI decisions received by the AAT since 1983–84
Chart 8.1: Long text description
Chart 8.1 shows that 64 FOI decisions were appealed to the AAT in 2014–15. This is significantly more than the 35 decisions appealed in 2013–14 and the 42 decisions appealed in 2012–13.
Before November 2010, external merits review lay with the AAT alone.
Table 8.15 provides a breakdown by agency of applications to the AAT in FOI matters in 2014–15. This data has been provided by the AAT.
Table 8.15 AAT review by agency
Individual/Non-government agency
Table 8.16 shows the outcome of the 53 FOI appeals finalised by the AAT in 2014–15. This data has been provided by the AAT.
Table 8.16 Outcomes of FOI appeals finalised by the AAT in 2014–15
Of the 53 FOI appeals finalised by the AAT, 15 (28.3%) resulted in a decision. The AAT affirmed the agency's decision in nine (60%) of those reviews, compared with two (28.6%) in 2013–14.
Information about the Information Commissioner's handling of FOI complaints is given in Chapter Seven: FOI policy and compliance.
In the Portfolio Budget Statements 2014–15, the Australian Government announced that the OAIC would be disbanded from 1 January 2015, and the Commonwealth Ombudsman would handle all FOI complaints after that date. However, legislation to give effect to this change was not considered by the Senate before the end of the 2014 sitting period. As a result, transitional arrangements were put in place from 1 November 2014, with the Commonwealth Ombudsman handling FOI complaints.
From 1 November 2014, the Commonwealth Ombudsman received 106 complaints about FOI matters. The Commonwealth Ombudsman investigated 18 of these complaints. The Commonwealth Ombudsman received 9 complaints before 1 November 2014. Of these, five complainants were referred to the agency complained of, one complaint was transferred to the OAIC under s 6C of the Ombudsman Act 1976, and the Ombudsman declined to investigate the remaining three matters.
For the fourth year, agencies have also reported on their costs of compliance with the IPS. To facilitate comparison with the information in previous annual reports, those IPS costs are not included in this analysis of the cost of agency compliance with the FOI Act, but are discussed separately below.
The total reported cost attributable to the FOI Act in 2014–15 was $40.022 million, a decrease of 4.3% on the previous year's total of $41.837 million. This decrease occurred despite an increase of 25.5% in requests determined, and an increase of 22.5% in requests finalised, over the same period. Total yearly FOI costs since the commencement of the FOI Act are shown in Table 8.17.[3]
Table 8.17 Comparative total yearly cost of FOI
$40,021,572
Table 8.18 sets out the average cost per FOI request determined (granted in full, in part or refused) for the last 10 years. The average cost per request determined in 2014–15 was $1380 (down 23.8%).
Table 8.18 Average cost per request for last 10 years
Chart 8.2 shows the relationship between FOI costs and the number of FOI requests received for each year since 1982–83. Between 1 December 1982 (the date the FOI Act commenced) and 30 June 2015, Australian Government agencies and ministers have received 1,020,360 FOI requests.
Chart 8.2 FOI costs in relation to number of requests received
Chart 8.2: Long text description
Totals of FOI staffing across all Australian Government agencies for 2011–12, 2012–13, 2013–14 and 2014–15 are shown in Table 8.19.
Table 8.19 Total FOI staffing for years 2011–12 to 2014–15
Agencies provided estimates of the number of staff hours spent on FOI to enable calculation of salary costs (and 60% related costs) directly attributable to FOI. A summary of staff costs is provided in Table 8.20, based on information provided by agencies and the following median base annual salaries:[4]
FOI contact officer (officers whose duties included FOI work) $ 74,331[5]
Senior Executive Service (SES) officers (or equivalent) $178,617[6]
APS Level 6 and Executive Levels (EL) 1–2 $108,013[7]
Australian Public Service (APS) Levels 1–5 $ 61,512[8]
Minister and advisers $133,905[9]
Minister's support staff $ 61,512[10]
Table 8.20 Estimated staff costs of FOI for 2014–15
$16,685,934
$10, 011,560
$26,697,495
$1,377,226
$2,203,562
$3,277,006
$1,966,204
$5,243,210
$1,928,401
$1,157,041
$3,085,442
$23,373,711
$14,024,226
$37,397,939
Total estimated staff costs in 2014–15 were $37.398 million, 6.3% less than in the previous year. By contrast, in 2013–14, total estimated staff costs rose by 0.5%.
Non-labour costs directly attributable to FOI are summarised in Table 8.21, including the percentage change between 2013–14 and 2014–15. The total in 2014–15 was $2.624 million, 37.6% more than in 2013–14.
In 2014–15, the greatest decrease was in general administrative costs. The greatest increase was litigation costs (384.7%).
Table 8.21 Identified non-labour costs of FOI
$1,796,316
$2,623,633
The average staff days per request ranged across agencies from 0.05 to 29.2 days in 2014–15. The overall average was 2.2 days. The average was 2.9 days in 2013–14, 3.4 days in 2012–13 and 3.1 days in 2011–12. The average cost per request ranged across agencies from $29 to $21,164. The overall average was $1126, a decrease of 23.4% on the previous year's average of $1470.
Table 8.22 lists the agencies/ministers that recorded an average cost of less than $200 per request received in 2014–15.
Table 8.22 Agencies/ministers with average cost per request less than $200
Commonwealth Superannuation Corporation (previously ARIA)
Office of the Independent National Security Legislation Monitor (INSLM)
Table 8.23 lists the agencies that recorded an average cost of more than $10,000 per request received in 2014–15.
Table 8.23 Agencies with average cost per request greater than $10,000
In 2014–15 the highest average cost per request was $21,164, compared to $31,837 in 2013–14.
Agencies are required to provide information about the costs of meeting their obligations under the IPS, which commenced on 1 May 2011. Further information about the IPS is given in Chapter Seven: FOI policy and compliance.
The total reported cost attributable to compliance with the IPS in 2014–15 was $711,209, 58.3% less than in 2013–14 ($1.705 million).
Table 8.24 shows the total reported IPS staffing across Australian Government agencies in 2012–13, 2013–14 and 2014–15 and the percentage change between 2013–14 and 2014–15.
Table 8.24 Total IPS staffing
Table 8.25 details the estimated staff costs of IPS for 2014–15, for:
Table 8.25 Estimated staff costs of IPS for 2014–15
Table 8.26 details the identified non-labour costs of the IPS in 2012–13, 2013−14 and 2014−15 and the percentage change between 2013−14 and 2014−15.
Table 8.26 Identified non-labour costs of IPS
After increasing in 2012–13, IPS general administrative costs and legal advice costs fell again substantially in 2014–15.
For the first half of the 2014–15 year the OAIC had three key functions: information policy, privacy and FOI functions. Although some staff of the OAIC worked in only one of these three areas, many work across two or all three functions. It is difficult to precisely identify the proportion of the OAIC's activities, and its resources, that are directed towards each function.
From January 2015, in accordance with the proposed legislative change outlined previously, the OAIC's FOI functions were reduced commensurate with resources.
Consequently, the OAIC estimates that 18% of its resources were directed towards exercising its FOI functions. The OAIC's total expenditure for the reporting period was $13.430 million (see Appendix 1). Accordingly, the OAIC estimates that it spent approximately $2.417 million on the exercise of its FOI functions in 2014–15 (down 49%).
The OAIC spent $14,158 on processing FOI requests made to the OAIC in 2014–15 (down 67%).
[1] In 2010–11 and earlier, fees were collected in addition to charges; both are included in these figures. From 1 November 2010, the FOI Act and the Freedom of Information (Fees and Charges) Regulations (now called the Freedom of Information (Charges) Regulations 1982) were amended to abolish fees and some charges.
[2] Administrative Appeals Tribunal Act 1975, s 27.
[3] Before 2006–07, salary costs were calculated using the average of the salary levels of the three agencies recording the highest total FOI costs. Since 2006–07, salary costs have been calculated using median APS base salary figures and have taken account of SES salary costs. This means the data before 2006–07 is not strictly comparable with the data collected since 2006–07.
[4] As salary levels differ between agencies, median salary levels were used. These are given by the Australian Public Service Commission in its APS Remuneration Report 2014. These median levels are as at 31 December 2014.
[5] APS Level 5 base salary median.
[6] SES Band 1 base salary median.
[7] Executive Level 1 base salary median.
[8] APS Level 3 base salary median.
[9] Executive Level 2 base salary median.
[10] APS Level 3 salary median.
Chart 8.1 is a bar graph that illustrates the total number of applications received by the AAT for review of an FOI decision since 1983–84, based on data provided in previous OAIC annual reports and earlier FOI annual reports.
2014–15 64
This chart shows the relationship between FOI costs and the number of FOI requests received for each year since 1982–83.
35,550 $40,021,572