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Rights of access documents
There has been some debate about whether the law enforcement referred to in this exemption is no wider than the informant type privileges available to the police or like agencies (such as that provided for in D v National Society for the Prevention of Cruelty to Children [1978] AC 171.) The alternative view is that the exemption is available to all agencies. Many government bodies administer laws which have offences attached to their contravention. For example, the WA Information Commissioner is of the view that the exemption extends to aspects of the tax and revenue laws, laws about the practice of certain professions, town planning laws, and the regulation of agriculture and fishing. These are examples of government activity which is liable to be undermined if certain enforcement techniques or investigations are prematurely released to the public.15 However, Commonwealth, New South Wales and Victorian administrative review tribunals have held that the FOI exemption is as limited as the police informer privilege.16 This exemption has its limits: it does not apply to matter in documents which only shows that the scope of a law enforcement investigation has exceed the legal limits. Nor does it cover a general outline of the structure of an agencys program to deal with contraventions of the law, or a description of the degree of success of that program. Documents affecting personal affairs Documents which concern the personal affairs of a person other than the applicant are exempt, unless disclosure is in the public interest.17 The phrase personal affairs means the composite collection of activities personal to the individual concerned (Commissioner of Police v District Court of NSW (Perrins case) (1993) 31 NSWLR 606) or the private aspects of a persons life (Curtin and Pine Rivers Shire Council 4 QAR 195). However, the phrase does not cover the names, identifying references or normal duties of public officials: Perrins case. In some States (such as Western Australia and Queensland) the distinction between public officials and private individuals has been made explicit in the legislation. Generally speaking, there is a strong public interest in preserving the private affairs of individuals whose personal details are held by government. There would have to be an extraordinary public interest in favour of disclosure to overwhelm the public interest in maintaining an individuals privacy. The most difficult problems arise when the personal information of one person becomes inextricably linked with the personal information of another. This is a difficulty faced by Aboriginal people, and others who have lived under government control, trying to uncover their family history from government files; other family members, whose information is also held in those files, may not wish their past to be disturbed or uncovered. While recognising the importance of providing a person with access to their own information, it often becomes impossible to do so without also revealing information about other family members. Most FOI legislation says that before a persons personal information can be released under FOI, reasonable steps must be taken to consult that person. If, despite the persons objections, the agency still proposes to release the material, the person has a right to seek review of that decision.18 Documents affecting business affairs of private bodies and governments This exemption19 is one of the most controversial, particularly now that governments are contracting many of their services to be performed by private companies. A fairly straightforward exemption is one for trade secrets: information of a commercial value is exempt provided that its release could reasonably be expected to destroy or diminish the commercial value of that information. A more difficult exemption to satisfy is for information relating to the business, professional, commercial or financial affairs of an agency or any other person. This information is exempt if its disclosure could reasonably be expected to have an unreasonable adverse effect on those affairs. The use of the term unreasonable in this exemption necessarily involves consideration of competing public interest factors. Like the personal affairs exemption discussed above, if a government agency is considering releasing documents containing information about the business affairs of a third party, it must first consult that third party, who has a right of review if the agency proposes to release the information.20 An example of the difficulty in balancing competing public interest considerations is found in a decision of the Administrative Appeals Tribunal in Re Rogers Matheson Clark and Australian and Australian National Parks and Wildlife Service (1991) 22 ALD 706. Businesses in Australia exported kangaroo meat and skins, with a government license under the Wildlife Act to do so. Greenpeace had requested from the Wildlife Service documents relating to the overseas companies that imported the kangaroo products from Australia. There was considerable evidence to suggest that Greenpeace would use the information to target those companies with aim of getting them to change their business practices. The Tribunal considered the competing interests to be the commercial interests of the Australian exporters in protecting their lawful business, and the public interest in knowing who exports kangaroo products and to whom. On balance, the Tribunal held that if an industry operating lawfully within the Wildlife Act was to be closed down, then that was properly a decision for parliament and not the Tribunal. Access to the information was refused. Interestingly, the Tribunal did not consider either the public interest in accountability, which would be assisted by allowing Greenpeace to check whether the commercial operators were operating within statutory bounds, or the public interest in facilitating legal protest. A further exemption for information relating to the business, professional, commercial or financial affairs of an agency or any other person, is if its disclosure could prejudice the future supply of information of that type to the government. The concern is that the governments ability to obtain information from private commercial interests in future will be prejudiced by the prospect of that information then becoming available under FOI. (However, it may also be that neither the business nor government wish to have the arrangement scrutinised.21). This claim is readily made, but often does not stand up to closer scrutiny. Firstly, government often obtains its information pursuant to a statutory power to require that the information be provided. In circumstances of mandatory provision of information to government, businesses have no choice but to provide the information, even if it could be later released under FOI. Information is also often provided to government in order to receive a benefit from government, be it a licence to manufacture a certain drug or a contract to provide a service. Access to that information allows the public to check whether an agency has been captured by the industry it is meant to regulate.22 Under FOI legislation, the onus is on the government agency to prove its claim in each case. Government agencies will argue that contractors would chose not to tender for government contracts if all of their commercial information were to be made available to public scrutiny. But it is unlikely that a contractor would say that it will never contract with government, or a drug manufacturer will not commercialise drugs in Australia despite the financial rewards, if information is made available under FOI. The voluntary provision of information to government is in a different category, and the argument for the exemption is stronger. There will for example be occasions when the government agency will rely on the exemption in relation to information provided not by a private commercial interest, but by another government agency. But Government agencies need to be able to demonstrate that they are operating in a commercial or business environment in order to rely on the exemption to protect their own information or the information of another government agency. The scope of this exemption is widening as services which were formerly government services, such as water, transport education, power and health, have now been corporatised to a greater or lesser extent. Ironically, therefore, at just the time when openness and accountability are most required in order to ensure that private interests are distributing these services in a just and equitable manner, access to information about them is largely exempt under FOI.23 Some states (such as Western Australia and Queensland) impose an additional test before there can be an exemption for information relating to government business affairs: a public interest test must be satisfied before government agencies can rely on this exemption. Internal working documents Documents which record an opinion, advice, recommendation, consultation or deliberation that has taken place in the process of the decision-making functions of the government are exempt, provided that disclosure would, on balance, be in the public interest.24 This exemption is designed to protect the thinking process of an agency, being the process of reflection and weighing up a particular course of action.25 The exemption is not restricted to policy documents: a wide range of documents can be caught, ranging from drafts of letters, documents suggesting possible courses of action, documents recording a preliminary exchange of facts, documents which record the views of Minister of public servants, or assessment of funding applications. The public interest tests applicable to this exemption have been given an interesting twist. Ordinary conceptions of public participation in the democratic process would suggest that the best time for the public to understand how a decision is being made, and to work to change it, is before a final decision is reached. Yet it has been generally held that the public interest does not favour disclosure of deliberative process documents while the deliberative process is still underway. The WA Information Commissioner, who usually adopts a liberal approach to granting access to documents, expressed her views as follows: It would be contrary to the public interest to prematurely disclose documents while deliberations in an agency are continuing, if there is evidence that the disclosure of such documents would adversely affect the decision-making process, or that disclosure would, for some other reason, be contrary to the public interest. I do not generally consider that it is in the public interest for any agency to conduct its business with the public effectively "looking over its shoulder" at all stages of its deliberations and speculating about what might be done and why. I consider that generally the public interest is best served by allowing deliberations to occur unhindered and with the benefit of access to all of the material available so that informed decisions may be made.26 Documents affecting legal professional privilege This exemption mirrors the usual test for legal professional privilege which prevents documents from being discovered in litigation or produced on subpoena.27 Documents are covered by legal professional privilege in Australia if they satisfy the following test: "a document which was produced or brought into existence either with the dominant purpose of its author, or of the person or authority under whose direction, whether particular or general, it was produced or brought into existence, of using it or its contents in order to obtain legal advice or to conduct or aid in the conduct of litigation, at the time of its production in reasonable prospect, should be privileged and excluded from inspection ."28 This exemption is generally not too controversial. The only issue that arises for consideration with any frequency is whether privilege in a document has been waived, either by the documents being provided to the government by a private individual or by its being passed from one government agency to another. Confidential documents This exemption29 works in two ways. The first is that documents are exempt if they would disclose in breach of confidence. Whether disclosure would be a breach of confidence is generally assessed according to the ordinary legal principles. A breach of confidence could arise in contract, equity or as the result of a breach of fiduciary duties. The only real controversy here is the possibility that governments could effectively avoid their FOI obligations by including in all of their contracts binding obligations of confidence in respect of every document created in the course of that contract. This would allow an exemption under this heading to be claimed for any of those documents.30 The second way in which this exemption has effect is when disclosure of information obtained in confidence could reasonably be expected to prejudice the future supply of this type of information, and disclosure would be against the public interest. This exemption generally protects people who assist agencies in their inquiries or investigations. The investigation can be relatively prosaic, such as a neighbourhood dispute, but can extend to investigations into contraventions of the law, disciplinary proceedings or corruption. The exemption also protects whistleblowers or those who report matters of concern to government agencies. It is not necessary for there to be an express undertaking of confidence given, and such an undertaking could not in any event avoid the statutory FOI obligations. It is enough that information is given in circumstances where there is an expectation that it will be kept confidential, or an undertaking is given to keep the information as confidential as possible. Other exemptions There are exemptions for documents which are the subject of secrecy provisions, which would affect the economy, financial or property interests of the government, or which would have a significant effect on the operations of government agencies. These are less commonly relied on and are not explained further. Exemptions for certain bodies Certain bodies are exempt or partially exempt. These bodies include courts, tribunals, prosecuting authorities, complaint or grievance bodies such as the Auditor General and the Ombudsman, or bodies that carry out business or commercial functions such as the Public Trustee, government superannuation investment bodies, Australian Industry Development Body. Certain named intelligence organisations are also exempt. Procedure for obtaining access to information The process for obtaining access to documents is a relatively simple one. A person (the applicant) simply makes a written application to the relevant agency specifying the documents to which she or he seeks access. Quite often a fee is charged for seeking access to documents (generally about AUD$30), although the fee can be waived. As often, a further fee is charged for the time taken to locate and copy the documents. This can be very high in some cases, and operates as a real deterrent to access. This problem is discussed further below. Assisting an applicant Time limit Internal review of a decision Expensive access regimes Contracting out Public Interest tests 1 Freedom of Information Act 1989 (ACT); Freedom of Information Act1989 (NSW); Freedom of Information Act1992 (Qld); Freedom of Information Act 1991 (SA); Freedom of Information Act1982 (Vic); Freedom of Information Act 1991 (Tas); Freedom of Information Act 1992 (WA). 2 See for example s.4 Freedom of Information Act 1982 (Cth); s. 5 Freedom of Information Act 1982 (Vic) 3 See for example s.6(2)(e) Freedom of Information Act 1989 (NSW); s.4(4) Freedom of Information Act 1991 (SA); Cl. 4(1) of the Glossary to Freedom of Information Act 1992(WA). 4 Shergold P "Administrative
Law in the Changing Public Service Environment" 5 Freedom of Information Act 1992 (WA) cl.4(2) of the Glossary 6 Privacy Act 1988 (Cth); Privacy and Personal Information Protection Act 1998 (NSW); Information Privacy Act 2000 (Vic); 7 s.22 Freedom of Information Act 1989 (Cth); s.21 Freedom of Information Act 1989 (ACT); s.25(4) Freedom of Information Act1989 (NSW); s.32 Freedom of Information Act1992 (Qld); s.20(4) Freedom of Information Act 1991 (SA); s.25 Freedom of Information Act1982 (Vic); s.19(2) Freedom of Information Act 1991 (Tas); s.24 Freedom of Information Act 1992 (WA). 8 Police Force of Western Australia v Winterton (unreported, SCWA, 27 November 1997) 9 ss.34 and 35 Freedom of Information Act 1989 (Cth); s.35 Freedom of Information Act 1989 (ACT); cls. 1 and 2, Sch. 1 Freedom of Information Act1989 (NSW);ss.36 and 37 Freedom of Information Act1992 (Qld); cl1, Sch. 1 Freedom of Information Act 1991 (SA); s.28 Freedom of Information Act1982 (Vic); ss.23 and 24 Freedom of Information Act 1991 (Tas); cl.1, Sch.1, Freedom of Information Act 1992 (WA). 10 Eg, cl.1, Sch.1 Freedom of Information Act 1989 (NSW) provides for a 10 year limit; cl.1, Sch.1 Freedom of Information Act 1991 (SA) provides for a 20 year limit; cl.1, Sch.1 Freedom of Information Act 1992 (WA) provides for a 15 year limit. 11 s.3(7) Archives
Act 1983 (Cth) 12 s. 33A Freedom of Information Act 1989 (Cth); s.34 Freedom of Information Act 1989 (ACT); cl.5, Sch. 1 Freedom of Information Act1989 (NSW);s.38 Freedom of Information Act1992 (Qld); cl.5 of Sch. 1 Freedom of Information Act 1991 (SA); s.29 Freedom of Information Act1982 (Vic); s.26 Freedom of Information Act 1991 (Tas); cl.2, Sch.1 Freedom of Information Act 1992 (WA). 13 s. 33 Freedom
of Information Act 1989 (Cth); 14 s. 37 Freedom of Information Act 1989 (Cth); s.37Freedom of Information Act 1989 (ACT); cl.4,Sch. 1 Freedom of Information Act1989 (NSW);s.42 Freedom of Information Act1992 (Qld); cl.4 of Sch. 1 Freedom of Information Act 1991 (SA); s.31 Freedom of Information Act1982 (Vic); s.28 Freedom of Information Act 1991 (Tas); cl.5, Sch.1 Freedom of Information Act 1992 (WA). 15 Re: Henderson
and Education Department of WA (WA Information Commissioner, 26 August
1997). 16 Re Gold and Australian Federal Police (1994) 37 ALD 168; Accident Compensation Commission v Croom [1991] 2 VR 322; BY v Attorney Generals Department [2003] NSWADT 37. 17 s. 41 Freedom of Information Act 1989 (Cth); s.41 Freedom of Information Act 1989 (ACT); cl.6, Sch. 1 Freedom of Information Act1989 (NSW);s.44 Freedom of Information Act1992 (Qld); cl.6 of Sch. 1 Freedom of Information Act 1991 (SA); s.33 Freedom of Information Act1982 (Vic); s.30 Freedom of Information Act 1991 (Tas); cl.3, Sch.1 Freedom of Information Act 1992 (WA). 18 s. 27A Freedom of Information Act 1989 (Cth); s.31 Freedom of Information Act1989 (NSW); s.26 Freedom of Information Act 1991 (SA); Part 3A Freedom of Information Act1982 (Vic); 32 Freedom of Information Act 1992 (WA). 19 s. 43 Freedom of Information Act 1989 (Cth); s.43 Freedom of Information Act 1989 (ACT); cl.7, Sch. 1 Freedom of Information Act1989 (NSW);s.45 Freedom of Information Act1992 (Qld); cl.7 of Sch. 1 Freedom of Information Act 1991 (SA); s.34 Freedom of Information Act1982 (Vic); s.31 to 32A Freedom of Information Act 1991 (Tas); cl.4, Sch.1 Freedom of Information Act 1992 (WA). 20 s. 27 Freedom of Information Act 1989 (Cth); s.27 Freedom of Information Act1982 (ACT); s.32 Freedom of Information Act1989 (NSW); s.27 Freedom of Information Act 1991 (SA); 33 Freedom of Information Act 1992 (WA). 21 M Patterson Commercial in confidence Claims, Freedom of Information and Public Accountability a Critique of the ARCs Approach to the Problems Posed by Government Outsourcing in Administrative Justice the Core and the Fringe (Papers presented at the 1999 National Administrative Law Forum), R Creyke and J McMillan (ed) 2000 at 245 22 P Bayne, Freedom of Information in Australia in T W Bennett (ed) Administrative Law Reform (1993) at 222, D James A federal Freedom of Information Commissioner Looking Behind the ALRC/ARC Final Report (1998) 76 FOI review 50 at 194 23 Allars, Private Law but Public Power: Removing Administrative Law Review from Government Business Enterprises (1995) 6 Public Law Review 44 at 45; and see Shergold at fn 4 above. 24 s. 36 Freedom of Information Act 1989 (Cth); s.36 Freedom of Information Act 1989 (ACT); cl.9, Sch. 1 Freedom of Information Act1989 (NSW);s.41 Freedom of Information Act1992 (Qld); cl.9 of Sch. 1 Freedom of Information Act 1991 (SA); s.30 Freedom of Information Act1982 (Vic); s.27 Freedom of Information Act 1991 (Tas); cl.6, Sch.1 Freedom of Information Act 1992 (WA). 25 Re Waterford and Department of Treasury (1984) 1 AAR 1 26 Gallop and Water Corporation, re [1999] WAICmr 36 at [62] 27 s. 42 Freedom of Information Act 1989 (Cth); s.42 Freedom of Information Act 1989 (ACT); cl.10, Sch. 1 Freedom of Information Act1989 (NSW); s.43 Freedom of Information Act1992 (Qld); cl.10 of Sch. 1 Freedom of Information Act 1991 (SA); s.32 Freedom of Information Act1982 (Vic); s.29 Freedom of Information Act 1991 (Tas); cl.7, Sch.1 Freedom of Information Act 1992 (WA). 28 Esso Australia Resources Ltd v Commissioner of Taxation [1999] HCA 67 at [46] per Gleeson CJ, Gaudron and Gummow JJ. 29 s. 45 Freedom of Information Act 1989 (Cth); s.45 Freedom of Information Act 1989 (ACT); cl.13, Sch. 1 Freedom of Information Act1989 (NSW); s.46 Freedom of Information Act1992 (Qld); cl.13 of Sch. 1 Freedom of Information Act 1991 (SA); s.35 Freedom of Information Act1982 (Vic); s.33 Freedom of Information Act 1991 (Tas); cl.8, Sch.1 Freedom of Information Act 1992 (WA). 30 J Carroll and G Bennett Freedom of Information: Penetrating the Maze in Administrative Law the Essentials (Papers presented at the 2001 National Administrative Law Forum), J McMillan (ed) 2003 at 195 31 Administrative Appeals
Tribunal, Annual Report 2001-2002, Appendix 4. 32 Bayne, at 54-55 33 Officer of the Information Commissioner Western Australia, Annual Report 2002 p 27 34 In addition to much
academic discussion, the issue has been the subject of a report by the
Administrative Review Council - Contracting Out of Government Services
Report No 42 (1998) 35 A Johnson FOI, Commercial Confidentiality and Contract Out a Few Steps Forward in Administrative Law the Essentials (Papers presented at the 2001 National Administrative Law Forum), J McMillan (ed) 2003 36 The Victorian provision has been interpreted in this way see for example Re Just v Department of Justice (1996) 10 VAR 126 (Vic AAT) This page last updated 4th May 2004 |