[2011] VCAT 1263
General information, not legal advice.
Victorian Civil and Administrative Tribunal
2011-07-12
Original judgment source is linked above.
By letter dated 21 June 2010 (received on 23 June 2010), the applicant wrote to the respondent making a Freedom of Information (FoI) request.
The applicant's request relates to allegations against him in respect of various alleged incidents that occurred in early 2008 at YZ Primary School (YZPS) where his daughter is a student and where he was volunteering as a parent. The applicant states that his request also relates to ongoing issues which are associated with and arise out of the alleged incidents.
In response to the alleged incidents, action was taken by the principal of YZPS and an investigation was conducted by Victoria Police. In August 2008, Victoria Police ceased its investigations without charging the applicant.
The applicant sought 103 documents or categories of documents in his FoI request. His request was divided into three headings :
The respondent filed a list of sample documents with the Tribunal on 18 March 2011. The sample selected comprised 10 documents in 7 categories.
At the compulsory conference on 7 April 2011 the parties reached agreement in relation to categories 1, 6 and 7 in the sample, representing 7 documents in total. There remain 4 categories of documents in dispute, as follows :
(a) Category 2 - Minutes of notes of meetings and conversations at CPS - documents 6 and 7, representing documents 3, 4, 5, 8, 9, 10, 11, 12, 13, 15 and 49;
(b) Category 3 - Minutes or notes of meeting and telephone conversations involving DEECD officers - document 20, representing documents 18, 19 and 21;
(c) Category 4 - Correspondence and reports concerning investigation of Applicant's complaints to OGSE - documents 22 and 31, representing documents 16, 17, 23, 27, 28, 29, 30 and 34; and
(d) Category 5 - Correspondence between CPS, officers of DEECD, the applicant and others - documents 24 and 40, representing documents 35, 36, 37, 38, 39, 41, 42, 44, 47 and 48.
The Category 2 sample documents are claimed to be exempt from release under ss 30(1) and 33(1). Part of document 6 is also claimed to be exempt from release under s 35(1)(b).
The notes record, among other things, advice sought from and provided by officers of DEECD (Department of Education and Early Childhood Development). Their release would disclose information in the nature of opinion, advice or recommendation, or regarding the consultation or deliberation that has taken place between officers of the school and central office.
Police found that the allegations could not be substantiated and there was insufficient evidence to submit a Brief Of Evidence therefore Police will not be pursuing a prosecution in this matter this time.
In relation to your ongoing involvement with YZPS, both the School Council and the Department have concerns about your continuing actions, which are now considered to be of an unreasonable nature and to have a seriously negative and divisive effect on the school community. Your ongoing constant communication with the Department staff in various areas is also consuming an unreasonable and disproportionate amount of staff time ....
The school is prepared to modify the operation of the original warning so as to enable AB to now attend family events to which all other parents have been invited. The school would therefore be happy for AB to attend the Art Show with the family as well as any Christmas concert or function which might be held.
We (the applicant and his wife) find it totally reprehensible for the Regional Director to enter into or complete a new contract with the Principal of YZPS ...
On three occasions, the principal failed to lodge a mandatory report of an alleged sexual assault on the school grounds during school hours against students ...
The police investigation did not find any evidence to substantiate the allegations of sexual assault made against AB on 12 April. The school inquiries did not substantiate that AB had any physical contact with the female students as alleged by the parents on 10, 11 April.
The concerns expressed by parents on 10 and 11 April had been confined to 'over familiar' interactions with children and did not warrant a mandatory report by the Principal. The Principal acted in accordance with the required reporting procedures after being informed of the allegation to police by ... on Saturday 12 April.
I find that the allegation is not supported by the evidence.
(1) Subject to this section, a document is an exempt document if it is a document the disclosure of which under this Act -
(a) would disclose matter in the nature of opinion, advice or recommendation prepared by an officer or Minister, or consultation or deliberation that has taken place between officers, Ministers, or an officer and a Minister, in the course of, or for the purpose of, the deliberative processes involved in the functions of an agency or Minister or of the government; and
(2) In the case of a document of the kind referred to in section 8(1), the matter referred to in subsection (1)(a) of this section does not include matter that is provided for the use or guidance of, or is used or may be used for, the purpose of making decisions or recommendations, or enforcing enactments or schemes, referred to in section 8(1).
(3) This section does not apply to a document by reason only of purely factual material contained in the document.
(1) A document is an exempt document if its disclosure under this Act would involve the unreasonable disclosure of information relating to the personal affairs of any person (including a deceased person).
(2A) An agency or Minister, in deciding whether the disclosure of a document under this Act would involve the unreasonable disclosure of information relating to the personal affairs of any person, must take into account, in addition to any other matters, whether the disclosure of the information would, or would be reasonably likely to, endanger the life or physical safety of any person.
information relating to the personal affairs of any person includes information -
(a) that identifies any person or discloses their address or location; or
(b) from which any person's identity, address or location can reasonably be determined.
35 Documents containing material obtained in confidence
(1) A document is an exempt document if its disclosure under this Act would divulge any information or matter communicated in confidence by or on behalf of a person or a government to an agency or a Minister, and -
(a) the information would be exempt matter if it were generated by an agency or a Minister; or
(b) the disclosure of the information under this Act would be contrary to the public interest by reason that the disclosure would be reasonably likely to impair the ability of an agency or a Minister to obtain similar information in the future.
(4) On the hearing of an application for review the Tribunal shall have, in addition to any other power, the same powers as an agency or a Minister in respect of a request, including power to decide that access should be granted to an exempt document (not being a document referred to in section 28, section 29A, section 31(3), or in section 33) where the Tribunal is of opinion that the public interest requires that access to the document should be granted under this Act
Documents 6 and 7 are the sample documents in this category, and are handwritten notes made by the Principal of YZPS detailing telephone conversations and meetings held on 12 April and 14 April 2008 respectively. The documents are claimed to be exempt from release under ss 30(1) and 33(1) of the Freedom of Information Act 1982 and, in the case of document 6, under s 35(1) of the Act.
Of course in the assessment of public interest under the section, there must be taken into account all factors bearing on the issue of whether disclosure of the document will be contrary to the public interest. The cases give guidance as to the kinds of factors to be taken into account. They include such matters as
• the degree of sensitivity of the issues involved in the consideration
(See Re Howard and Treasurer(Cth) [1985] AATA 100; (1985) 3 AAR 169 per Davies J and Re Tanner v Department of Industry Technology and Resources (1987) 2 VAR 65 per Judge Rowlands).
(See Re Western Mining Corp v Department of Conservation Forests and Lands (1989) 3 VAR 150).
(See Re Brogg v Department of Premier and Cabinet (above), and the Western Mining Corp case (above).
Under the principles, the application of the public interest in s 30(1)(b) involves a balancing of various considerations. The starting point is the object of the Act in s 3(1), which emphatically recognises the right of the community to access information, limited only by exemptions which protect essential public interests.[1] Those purposes are always directly relevant when considering the public interest, but may be especially strong, and outweigh other aspects of the public interest, where access to the information is necessary to address questions that have acquired a particular importance in the mind of the community
These factors include, but are not limited to, the public interest of ensuring that schools comply with the policy of mandatory reporting of allegations of child abuse, that school communities are provided with accurate information concerning such allegations, that parents are not arbitrarily subject to trespass bans issued by principals, that parents are permitted to participate fully in school activities without bullying, intimidation or undue interference by school authorities, that schools cite policies where those policies actually exist, that men are encouraged to volunteer in schools and are supported in that role, that investigations into schools are conducted in a transparent and accountable manner and that members of the community have trust and faith in the Department of Education and Early Childhood Development.
It is my finding that the Principal did act within her delegated authority and in accordance with Order 165 and Executive Memorandum No: 97/041
I find that the Principal's actions were reasonable in the circumstances and she did not abuse her powers.
It was evident that the Principal continued to have concerns about complaints raised prior to April and decided to continue the notice beyond August albeit with some modifications.
In response to AB's allegation that this action was discriminatory, I do not consider the Principal's decision was made through prejudice and she made her decision clear in her letters to AB.
Section 33 - Personal Information
I first turn to the exemption claimed under s 33(1) of the Act. A person's name and address relate to his personal affairs; Re Simons and Victorian Egg Marketing Board (No 1) (1985) 1 VAR 54 at 55; Re Solaci and Ombudsman (1987) 1 VAR 46 at 469. What therefore has to be decided is whether disclosure of this information would be unreasonable. This requires a balancing of interests: the right to personal privacy of an individual whose personal affairs may be unreasonably disclosed by granting access to the information and the object of the Act to extend as far as possible the right of the community to access to information in the possession of the Government or Agencies: Penhalluriack v Department of Labour and Industry (County Ct, Lazarus J, 19 December 1983, p 45 unreported); Re Chandra and Minister for Immigration and Ethnic Affairs 1984) 6 ALN 257 at 259. More particularly, this balancing of interests requires a consideration of all the circumstances, including the interest that the applicant has in the information in question, the nature of the information that would be disclosed, the circumstances in which the information was obtained, the likelihood of the information being information that the person concerned would not wish to have disclosed without consent, and whether the information has any current relevance. It is apparent that the purpose of s 33(1) of the Act is to prevent the unreasonable invasion of the privacy of third parties: Chandra's case (supra).
The notes contain information about the personal affairs of people other than the applicant, in particular students and parents. The information contained in the documents includes details not readily available to others, and was documented as part of the initial response to an ongoing situation at the school. The purpose of these notes was to assist the principal to make considered decisions in the best interests of those involved in or affected by the circumstances in question.
If information provided in confidence at meetings or in conversations is disclosed to other parties, in future people will be less likely to provide the full and frank information required to address and resolve complex situations involving students, parents, school council members and DEECD employees.
The disclosure of this information is unnecessary and unreasonable, and will lead to stress and anxiety for those concerned. Further, disclosure will significantly compromise the integrity of the processes undertaken by the principal to effectively manage this matter in particular, and similar situations in the future.
Every student, parent and DEECD employee should be able to go about their lives and work without the ongoing hindrance and interference demonstrated by the applicant to date. The disclosure of the documents in question would further encourage his unreasonable demands.
What has happened to me may at some time happen to others - to anyone. ...
Relationship between section 33 and section 30 of the Act
Ten points may be made about the expression 'information or matter communicated in confidence'.
First, whether information or matter has been communicated in confidence is a question of fact. It is not necessary to consider whether legal obligations of confidence are set up by the communication in question. ...
Second, a form confidentiality agreement is not required to establish that the information or matter was communicated in confidence. Nor is it necessary to establish an oral agreement. Rather, the 'understanding of the party communicating and the circumstances surrounding the communication or the very nature of the information may be sufficient in themselves'. ...
Fifth, the word 'information' is not confined to factual information. The exemption does not distinguish between reliable information and misinformation - the truth or untruth of the information is immaterial. ...
Sixth, it has been held that information is not protected under s 35 if it has been disclosed on commercial television and is thus 'in the public arena'. ...
Seventh, s 35(1)(b) applies to information communicated to an agency 'not only by outsiders but also by its own officers' ...
Eighth, s 35(1)(b) is not confined to documents that themselves convey the information or matter communicated in confidence to an agency; the section extends to documents the disclosure of which would divulge such information or matter. ...
Ninth, information may still be regarded as being communicated in confidence if the person giving the information is told (or it is otherwise the case) that the information they provide is not, or may not be, absolutely confidential. ...
And tenth, the VCAT has held that information is still regarded as being provided in confidence for the purposes of the exemption even if :
Document 6 records a particularly sensitive communication by a parent to the Principal. It can be inferred from the subject matter of the communication that it was made in confidence.
It is vital that there is continued open and trustful communication from teachers, students and parents to principals and DEECD officers and other relevant parties, about any matter that might affect the good order and safe environment of a school. The provision to the applicant of information obtained in confidence, as part of the deliberative process necessary for the management of the circumstances in question, is unreasonable and will have a negative impact on the capacity to gather similar information in the future.
The situation at the school related to the applicant is likely to be aggravated rather than resolved if confidential communications are made available to him. Parents, DEECD staff and others could reasonably become anxious about the motives of the applicant, thus destabilising the good order of the school.
I therefore consider that disclosure of this information would be likely to impair DEECD's ability to obtain similar information in the future. People are very likely to become wary of providing frank information to assist in the resolution of problems or complaints if that information is subsequently made available to the complainant. The chances of effective resolution of complex situations would diminish accordingly.
The note is a record of consultation and deliberation that took place between me and the principal, and records matter in the nature of opinion, advice and recommendation, in the course of the deliberative processes involved in responding to the situation at YZPS concerning the applicant ...
I consider that it would be contrary to the public interest to disclose this note. It was essential that the principal have unimpeded access to information and frank advice so that she could consider how best to respond. Further, it is important that information about situations such as this one be shared without reservation between DEECD staff, including schools and the Regional Office. The release of this note would undermine the ability of principals to have confidential and frank communications with their Regional Office, and the free flow of information between the schools and Regional Offices.
... They are documents produced in the course of investigating and responding to the applicant's complaints of March and April 2009 ... DEECD provided the applicant with a detailed response to his complaints in July 2009 ...
Both documents are internal working documents, in that they record opinion, advice or recommendation, or consultation or deliberation that has taken place in the course of the deliberative processes involved in investigating and responding to the applicant's complaints.
... it is important that the ability of DEECD officers to investigate complaints concerning Government schools is not hampered by a disclosure of sensitive and confidential communications. The assurance of confidentiality is a feature of DEECD investigations and it would be much more difficult to conduct those investigations if that assurance could not be given.
I consider that the disclosure of the documents that relate to my investigation in category 4 would divulge information and matters communicated to me in confidence. (The principal) provided her response to my letter outlining AB's allegations to me on the understanding that her response would be kept confidential and would not be communicated to AB. Her response was sent to my personal email address, because she wanted the information contained in her response to remain confidential.
The same can be said for all of the witnesses I interviewed for the purpose of compiling my report. They all provided me with full and frank answers on the understanding that the confidentiality of their responses would be respected.
Disclosure of the documents for which this exemption has been claimed would be likely to impair my own as well as DEECD's ability to obtain similar information in the future. I believe that if it came to be known that responses given to me or other consultants engaged by DEECD could be released to the complainant or another member of the public, this would deter some people from being witnesses, and assisting in other future investigations. This would undermine my ability to conduct similar investigations in the future and present an obstacle for the resolution of future complaints.
I am concerned that the effect of release of these confidential communications to AB would be a loss of confidence in the integrity of the DEECD investigative process. I am also concerned that such release would have a negative effect on those witnesses who spoke to me in good faith and on the understanding that their responses would be kept confidential.
Both documents (24 and 40) contain opinion, advice or recommendation, or consultation or deliberation that has taken place in the course of the deliberative processes involved in investigating and responding to the applicant's email of 18 March 2010.
Document 40 has been released in part - the part released being the email from the applicant to the president of the school council dated 18 March 2010. This is a typically lengthy communication raising numerous serious issues, including an allegation of conflict of interest on the part of the school council president, a complaint about the president's conduct at a school council meeting and queries about the president's effectiveness in and ongoing suitability for the position.
The documents are internal working documents created in the course of the deliberative processes involved in investigating and responding to the applicant's email of 18 March 2010.
Information or matters communicated between DEECD Officers, schools and other interested parties (for example, the School Council President) is communicated in confidence with the view that exchanges can be full and frank in order to obtain the most appropriate and relevant information in order to manage a very sensitive situation in a school where positive and constructive relationships are absolutely paramount to the success and effective operation of that school. Again, it is important that the confidence of such communications is respected, to ensure the free flow of information to DEECD staff in relation to the interests of children and their education. Release of the communication would inhibit the free flow of information in the future.
Public Interest Override s 50(4)
The power to grant access on public interest grounds is not, in terms, vested in the relevant Minister or agency. By virtue of s 16 they retain their freedom to grant access to exempt documents. Rather, it is a power included in the powers conferred on the Tribunal. In this respect it is unique in freedom of information legislation in Australia. It has been called a 'significant and exceptional' power and 'a most extraordinary provision'. These epithets do not justify its characterisation, propounded by the Secretary, as a power to be exercised only in 'exceptional circumstances'. Those words are not in the statutory text. Their use may misdirect the inquiry required by s 50(4). They may be taken erroneously to limit the range of matters relevant to the public interest. Nor do they sit easily with the proper approach to the construction of the FOI Act, which is to 'further, rather than hinder, free access to information' under it. Having said that, it must be accepted that the word 'requires', which appears in s 50(4) directs the decision-maker to identify a high-threshold public interest before the power can be exercised. It is not enough that access to the documents could be justified in the public interest. The terminology of the sub-section does not define a rule so much as an evaluative standard requiring restraint in the exercise of the power. It is, like many common law standards, 'predicated on fact-value complexes, not on mere facts', to be applied by the decision-maker.
In addition to this written statement the Tribunal may also infer public interest considerations from the facts presented to the Tribunal. The applicant and (his wife) each spoke passionately about the public interest issues raised in this matter. They identified the importance of the mandatory reporting scheme, the ability of parents to participate in school life, the requirement that trespass bans are used appropriately within schools, that the respondent cites policies where those policies actually exist, and the overriding principle that Department of Education and Early Childhood Development act in a transparent and accountable manner. These public interest issues are relevant to the applicant as an individual, but they are also broader public interest issues affecting all students, parents, teachers and the Department of Education and Early Childhood Development. Therefore, it cannot be said that the applicant only raises a private interest.
However, release would harm the public interest in the ways identified by Mr Gibbs and Ms Ramus. In particular release would :
(a) undermine the practice of confidential communications between Department staff by disclosing those communications.
(b) undermine the integrity of the Department's deliberative processes by disclosing the consideration of possible courses of action in response to a sensitive situation in a primary school
(c) inhibit the making of confidential communications by children and parents to Department staff by disclosing those communications
(d) hamper the ability of Department staff to receive and investigate complaints concerning Government schools;
(e) break confidences by disclosing confidential information provided by children and parents to Department staff, and by witnesses interviewed by Mr Gibbs during his investigation;
(f) provide further opportunity for the applicant to misinterpret information provided to him and to reagitate issues that have already been investigated and determined.
The applicant's interest in the documents is essentially a private interest. He and his wife do not accept the decisions of the principal to restrict his access to and volunteering at the school, nor do they accept the conclusions of the respondent and Mr Gibbs that the principal acted reasonably, nor do they accept the Ombudsman's conclusion that nothing had been done wrong. They seek to understand the basis on which these decisions have been made - at the cost of the personal privacy of others, and regardless of the impact on the free flow of information between parents and schools, between schools and the Department, and to those charged with the investigation of complaints. In truth they have had many opportunities to understand these decisions but have resolutely refused to accept the validity of the reasons put forward.
[1] McKinnon v Secretary, Department of Treasury [2006] HCA 45; (2006) 228 CLR 423, [19].
AB
Department of Education and Early Childhood Development
(2008) 23 VR 223
(2006) 228 CLR 423