[2020] VCAT 932
General information, not legal advice.
Victorian Civil and Administrative Tribunal
2020-08-28
Original judgment source is linked above.
All documents to and from Grovedale College mentioning me or concerning me from 1 October 2015 till the date of the search which should be specified.
(1) The object of this Act is to extend as far as possible the right of the community to access to information in the possession of the Government of Victoria and other bodies constituted under the law of Victoria for certain public purposes by -
(a) making available to the public information about the operations of agencies and, in particular, ensuring that rules and practices affecting members of the public in their dealings with agencies are readily available to persons affected by those rules and practices; and
(b) creating a general right of access to information in documentary form in the possession of Ministers and agencies limited only by exceptions and exemptions necessary for the protection of essential public interests and the private and business affairs of persons in respect of whom information is collected and held by agencies.
(2) It is the intention of the Parliament that the provisions of this Act shall be interpreted so as to further the object set out in subsection (1) and that any discretions conferred by this Act shall be exercised as far as possible so as to facilitate and promote, promptly and at the lowest reasonable cost, the disclosure of information.
(1) Ministers and agencies shall administer this Act with a view to making the maximum amount of government information promptly and inexpensively available to the public.
request means a request made in accordance with section 17;
document includes, in addition to a document in writing -
(c) any label marking or other writing which identifies or describes any thing of which it forms part, or to which it is attached by any means whatsoever; and
(d) any disc tape sound track or other device in which sounds or other data (not being visual images) are embodied so as to be capable (with or without the aid of some other equipment) of being reproduced therefrom; and
(e) any film negative tape or other device in which one or more visual images are embodied so as to be capable (as aforesaid) of being reproduced therefrom; and
(f) anything whatsoever on which is marked any words figures letters or symbols which are capable of carrying a definite meaning to persons conversant with them; and
(g) any copy, reproduction or duplicate of any thing referred to in paragraphs (a) to (f); and
(h) any part of a copy, reproduction or duplicate referred to in paragraph (g) -
but does not include such library material as is maintained for reference purposes;
document of an agency or document of the agency means a document in the possession of an agency, or in the possession of the agency concerned, as the case requires, whether created in the agency or received in the agency;
Tribunal means Victorian Civil and Administrative Tribunal established by the Victorian Civil and Administrative Tribunal Act 1998;
Subject to this Act, every person has a legally enforceable right to obtain access in accordance with this Act to -
(a) a document of an agency, other than an exempt document; or
(b) an official document of a Minister, other than an exempt document.
(1) A person who wishes to obtain access to a document of an agency or an official document of a Minister shall make a request in writing to the agency or Minister as the case requires for access to the document.
(2) A request shall provide such information concerning the document as is reasonably necessary to enable a responsible officer of the agency, or the Minister, as the case may be, to identify the document.
(2B) An application fee may be waived or reduced, whether or not the fee has been paid, if the payment of the fee would cause hardship to the applicant.
(3) It is the duty of an agency or Minister, as the case may be, to assist a person who wishes to make a request, or has made a request that does not comply with this section or has not been directed to the appropriate agency or Minister, to make a request in a manner that complies with this section or to direct a request to the appropriate agency or Minister.
(4) Where a request in writing is made to an agency or Minister for access to a document, the agency or Minister, as the case may be, shall not refuse to comply with the request on the ground that the request does not comply with subsection (2), without first giving the applicant a reasonable opportunity of consultation with the agency with a view to the making of a request in a form that does comply with that subsection.
50(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), section 31A, 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.
51(1) In exercising its review jurisdiction in respect of a decision, the Tribunal -
(a) has all the functions of the decision-maker; and
(b) has any other functions conferred on the Tribunal by or under the enabling enactment; and
(c) has any functions conferred on the Tribunal by or under this Act, the regulations and the rules.
(2) In determining a proceeding for review of a decision the Tribunal may, by order -
(c) set aside the decision under review and make another decision in substitution for it; or
(d) set aside the decision under review and remit the matter for re-consideration by the decision-maker in accordance with any directions or recommendations of the Tribunal.
(1) At any time in a proceeding for review of a decision, the Tribunal may invite the decision‑maker to reconsider the decision.
(2) On being invited by the Tribunal to reconsider a decision, the decision-maker may -
(c) set aside the decision and substitute a new decision for it.
(3) If the decision-maker varies the decision or sets it aside and substitutes a new decision and the proceeding continues, it is taken to be a proceeding for review of the decision as varied or the new decision.
(4) As far as possible the Tribunal must ensure that a proceeding's priority is not affected by the making of an invitation under this section, unless the parties consent.
[134] ... A provision similar to s 75 is typically found in the enabling Acts of most courts and tribunals. Its purpose is to enable the court or tribunal to protect the integrity of its processes by expeditiously disposing of a proceeding without a full hearing on the merits where the proceeding is frivolous, vexatious, an abuse of process, misconceived or lacking in substance. The expressions "frivolous", "vexatious" and "abuse of process" have well-established meanings which do not require exposition in the present case. The expressions "misconceived" and "lacking in substance", in essence, refer to proceedings in respect of which it is readily apparent that they are hopeless and bound to fail.
[135] We do not agree with prior decisions of VCAT which have held that, where an application for review is based on an actual or deemed refusal of access in respect of a request which does not comply with s 17(2) of the FOI Act, VCAT lacks jurisdiction. Those decisions should not be followed.
[136] The correct analysis is that the filing of an application for review confers jurisdiction on VCAT to review an actual or deemed refusal of a request for access on the basis of non-compliance with s 17(2) and decide for itself whether the request complies with s 17(2). As discussed at [118]-[120] above, s 50(4) of the FOI Act and ss 51 and 51A of the VCAT Act have the effect that a request can be modified to overcome any non-compliance and that the VCAT proceeding can be conducted on the basis of the modified request. If a request is not modified and VCAT finds that it does not comply with s 17(2), VCAT has jurisdiction to affirm the agency's decision under s 51(2) of the VCAT Act and make a consequential order dismissing the application.
[137] It follows that it would usually be inappropriate for an agency to seek an order under s 75(1) of the VCAT Act in respect of an application for review of an actual or deemed decision refusing access to documents on the basis of non-compliance with s 17(2) of the FOI Act. An order under s 75(1) can only be made, and should only be sought, where the application is frivolous, vexatious or an abuse of process; or where it is misconceived or lacking in substance in the sense that it is readily apparent that it is hopeless and bound to fail.
[138] Contrary to Dr Chopra's submission, this Court's decision in Kelly does not provide any assistance. In that case, the applicant made an application to VCAT for review of a deemed decision refusing access under s 17(2) of the FOI Act ('s 17(2) application') as well as an application for review of an actual decision refusing access under s 25A(1) ('s 25A(1) application'). VCAT decided to hear and determine the s 25A(1) application prior to dealing with the s 17(2) application. As the applicant sought leave to appeal to this Court in respect of VCAT's decision on the s 25A(1) application prior to VCAT making a decision on the s 17(2) application, this Court dealt only with s 25A(1).
[139] In our opinion, no inference can be drawn from the fact that, in Kelly, this Court did not make any observations in relation to VCAT's deferral of the s 17(2) application. In particular, we do not accept Dr Chopra's contention that the absence of such observations indicates that the Court was satisfied that non-compliance with s 17(2) does not deprive VCAT of jurisdiction to review the merits of an agency's decision to rely on s 17(2). The Court made no observations on that issue because it was not before it. Further, VCAT's subsequent decision in respect of the s 17(2) application does not contain any observations that are of any assistance in the present case.
[2] ... Like the present case, Chopra [referring to the COA decision above] related to the Freedom of Information Act 1982 (Vic) ('FOI Act'). In both cases, the moving party had made a purported request or requests for access to documents. In both cases, the relevant government agency's response was to the effect that the 'request' was, or that the 'requests' were, invalid for non-compliance with the requirements of s 17 of the FOI Act. In Chopra, the claimed defect was a lack of the clarity required by s 17(2) of the FOI Act. In the present case, the claimed defect was non-payment of the application fee required by s 17(2A) of the FOI Act, in circumstances where the fee had not been waived. In both cases, the dispute found its way to VCAT. In both cases it was said by the respondent agency, among other things, that VCAT had no jurisdiction because of the alleged invalidity or ineffectiveness of the 'request' at the time said to be relevant for the creation of any jurisdiction on the part of VCAT. In the present case, VCAT acceded to an application made by the relevant agency under s 75 of the Victorian Civil and Administrative Tribunal Act 1998 (Vic) ('VCAT Act') for the summary dismissal of the VCAT proceeding as misconceived, on the basis that VCAT had no jurisdiction. As I have mentioned, VCAT's decision, being the decision which, at least in form, the plaintiff seeks to challenge in this case, was given in March 2019, some nine months before the decision of the Court of Appeal in Chopra. In Chopra, the Court of Appeal made observations, by way of obiter dicta, to the effect that, notwithstanding non-compliance with s 17(2) of the FOI Act as at the relevant time, VCAT does have jurisdiction, pursuant to certain statutory provisions, to proceed, and has power to make a substantive decision by way of administrative review; and that VCAT did have such jurisdiction and power in the case in question. Those observations expressly departed from a long line of earlier VCAT cases in which VCAT had dismissed proceedings for want of jurisdiction on the basis that, at the relevant time, the 'request' had not complied with the requirements of s 17(2) as to form. The Court of Appeal also made observations (again, by way of obiter dicta) to the effect that, generally speaking, an application to terminate a VCAT proceeding relating to the FOI Act on the basis of prior non-compliance with s 17(2) of the FOI Act should not be made by means of an application for summary dismissal under s 75 of the VCAT Act. Those sets of observations raise questions as to whether VCAT was correct to hold that it had no jurisdiction in the present case and, in any event, whether the application under s 75 of the VCAT Act was the correct vehicle for testing the matter. In my view, those questions are raised notwithstanding that the claimed source of invalidity and of absence of jurisdiction in the present case was, principally, s 17(2A), rather than s 17(2), of the FOI Act.
[4] ... I have ultimately come to the view that, whether or not Chopra represents good law and is applicable to this case, there is no prospect that either of the active parties could, on any basis, achieve a better final result for themselves than the result embodied in my order of 11 June 2020.
[6] Even if the s 75 application was the wrong vehicle to test whether VCAT had jurisdiction in this case, and even if VCAT was wrong to conclude that it did not have (substantive) jurisdiction, nevertheless it would remain appropriate to dismiss this proceeding. The plaintiff would suffer no, or no substantial, injustice on that account. As will be shown, his real or main complaint about VCAT's decision was and remains misconceived in law and in fact. In truth, the plaintiff's purported FOI requests were not required to be processed unless and until the application fees were paid or waived. In addition, as will be seen, there are other matters, including several procedural and discretionary factors, that reinforce the appropriateness of dismissing the present proceeding, with costs.
[8] ... In my oral reasons, I had expressly accepted the Secretary's submission that VCAT was correct to hold, by reference to and in accordance with the prior VCAT cases, that VCAT has no (substantive) jurisdiction where the relevant FOI request was invalid at the time of the putative original decision (or deemed decision) of the Minister or agency claimed to be the foundation of the application to VCAT for review...
[9] ... in my view, with respect, the obiter dicta in Chopra relating to VCAT's jurisdiction are clearly not in conformity with the relevant statutory provisions and should not be followed. A[s] to the s 75 point, in my respectful opinion, the relevant obiter dicta in Chopra also call for further comment.
[10] Chopra came to the Court of Appeal by way of a purported referral of a question of law under s 96 of the VCAT Act. The Court of Appeal dismissed the referral as invalid. It held that it had no jurisdiction to answer the two purported questions of law that had been referred. Nevertheless, it made the observations (that are plainly obiter dicta) to which I have referred relating to the jurisdiction of VCAT and to the s 75 point. Strictly speaking, those observations were made by the Court of Appeal in (what would have been) the exercise of its original jurisdiction, not its appellate jurisdiction. Even if the observations had been made in the exercise of appellate jurisdiction, and even if they should be regarded as 'seriously considered dicta', they would not be binding.
[11] Although I am free to depart from Chopra, there remains a question whether, in all the circumstances, I should do so. As a trial judge, I should give significant weight to any dicta of the Court of Appeal, especially if they amount to 'seriously considered dicta'. However, as I will explain in the relevant sections of this judgment, VCAT's relevant pre-Chopra jurisdictional decisions (including its decision in this case) are not only fully in line with the relevant statutory provisions, they accord with numerous other decisions of Victorian, federal and interstate courts and tribunals, including the High Court, in comparable cases. Further, the issues are important, as the Court of Appeal itself said in Chopra. The obiter dicta on jurisdiction in Chopra have the potential to apply beyond the field of freedom of information, a field which is important enough in itself in the work of VCAT. In those circumstances, I consider that it is appropriate for me to express my view on the jurisdictional point, and that it is desirable that I should explain it in some detail. As to s 75 of the VCAT Act, it will be seen that I would respectfully accept that an application under s 75 may not be the most appropriate vehicle for raising a jurisdictional objection, at least if it is not clear-cut. However, as I will also explain, it seems to me that any serious objection that is truly jurisdictional in nature should be raised and dealt with as a preliminary matter. Generally, there should be some form of separate hearing and final determination of the jurisdictional point. In effect, that is what occurred in the present case.
[12] It has necessarily taken me some time to consider Chopra and its potential implications_,_ and to produce these revised reasons for judgment. ...
VCAT was correct to conclude that it had no relevant jurisdiction
(a) give directions to facilitate the requester amending the 'request', if the requester so chose, to a form that may comply with s 17(2); and
(b) whether or not the requester chose to amend, to rule upon whether the original or amended request, as the case may be, did comply with s 17(2) and, if satisfied that it did, to proceed to hear and determine any other outstanding issues between the parties relating to the 'request'.
[109] Chopra surely implies that the same statutory provisions would empower VCAT to -
(a) give directions to facilitate the requester belatedly paying the application fee, or the agency or Minister belatedly waiving the application fee; and
(b) if the fee were belatedly paid or waived, proceed to hear and determine any other outstanding issues between the parties relating to the 'request'.
[110] However, in my opinion, the powers conferred on VCAT by s 50(4) of the FOI Act and by ss 51 and 51A of the VCAT Act cannot be exercised so as to create a jurisdiction for VCAT. They become available only if VCAT already has jurisdiction. To use a phrase sometimes used in this context, a stream cannot rise higher than its source. VCAT only has such jurisdiction as it is given by certain other provisions of the relevant legislation. Further, its only relevant jurisdiction is to review certain specified 'decisions' made or deemed to have been made by others. It is not a 'primary administrator', to use another phrase sometimes employed in this context. It follows, in my view, that the relevant observations in Chopra should not be followed and that, therefore, those observations should not deter me from arriving at the conclusion at which I would otherwise have arrived in this case in relation to VCAT's jurisdiction.
[116] ... In my view, the provisions of s 51(1) and (2) of the VCAT Act assume jurisdiction. They do not create it...
The jurisdiction of the Tribunal, a statutory tribunal, depends upon there having been a decision made which it is authorised to review.
As Sheppard J said in Secretary to the Department of Social Security v Riley, it is not possible to apply s 43(1) to the facts of any case without determining, first of all, what is the decision under review. It may therefore be appreciated that the decision, and the statutory question it answers, should be identified with some precision, for it marks the boundaries of the review.
In Kozanoglu v Pharmacy Board of Australia, the Court of Appeal cited the judgments in Shi, including that of Kiefel J, for a related proposition concerning the extent of VCAT's ability to have regard to events occurring after the decision under review. In Dawson v Greyhound Racing Victoria, T Forrest J (as Cavanough J then was) referred to another a closely related statement made by Kiefel J in Shi. Cavanough J observed that that statement had 'repeatedly been cited' for the proposition that the AATC must address the same question as the primary decision maker. Cavanough J then applied the same statement to the matter before him, which involved a challenge to a VCAT decision.
Section 51A of the VCAT Act operates in aid of the Tribunal's review jurisdiction. It complements the powers of the Tribunal under Pt VI, Div 3 of the FOI Act, by providing a mechanism for a decision-maker to reconsider its decision.
[121] As this statement of Richards J indicates, the relevant 'enabling enactment' for present purposes is Part VI, Division 3 of the FOI Act, in that that Division provides for VCAT to have jurisdiction to review certain decisions made or deemed to have been made under the FOI Act. Not all decisions made or deemed to have been made under the FOI Act are reviewable by VCAT. The FOI Act is carefully drawn so as to distinguish between decisions (or deemed decisions) that are, and decisions (or deemed decisions) that are not, reviewable by VCAT. Some specified decisions (or deemed decisions) are reviewable by, or otherwise challengeable before, some other person or body, such as the Information Commissioner, but not VCAT. An example, pertinent to this case, is 'a decision of an agency or Minister not to waive or reduce an application fee under section 17, whether or not the fee has already been paid by the applicant'. Paragraph 49A(1)(c) of the FOI Act makes such a decision reviewable by the Information Commissioner. But such a decision is not (at least in terms) included in the list of decisions which, under the FOI Act, are reviewable by VCAT.
[122] Under the VCAT Act and the FOI Act, jurisdiction at VCAT in FOI matters is available only in relation to a 'decision' or deemed 'decision'...[which] must fall within one or other of the classes specified in s 50(1) of the FOI Act, ... each of them [the classes] is, and each of their predecessors has always been, expressly tied, directly or indirectly, to the composite notion of 'a decision refusing to grant access to a document in accordance with a request'.
[129] The abovementioned statement of the Court of Appeal in Chopra that a request which does not comply with the requirements of s 17(2) 'is not a request within the meaning of the FOI Act' seems to be consistent not only with the traditional understanding of the entitlement provisions of the FOI Act, but also with the traditional understanding of the jurisdictional provisions. But that is not how that case went in the end.
(1) Does a request in terms of paragraph 4 of the Applicant's Request provide such information concerning the document as is reasonably necessary to enable a responsible officer of the Respondent to identify the document, and so, conform with s 17(2) of the FOI Act?
(2) If paragraph 4 of the Request does not conform with s 17(2) of the FOI Act, is the whole of the request invalid?
When the matter came before the Court of Appeal, Dr Chopra was still not legally represented. The Court of Appeal decided that the President of VCAT had not consented to the referral of the questions in the form in which they had been settled by the Vice President, and that, as a result, the Court of Appeal had no jurisdiction to determine the questions. The Court also decided that, if it was wrong in its conclusion regarding the Court's jurisdiction, still it would be unable to answer question 1 on the material before the Court, because the agreed statement of facts did not set out essential facts. The Court said it would reformulate question 2 as follows:
If an item of a request for access to documents that contains multiple items does not comply with s 17(2) of the FOI Act when the request is made, will the whole request necessarily be permanently invalid?'.
The Court gave the following answer to the reformulated question 2:
No, because the severance principle may in certain circumstances overcome an initial invalidity.
[134] The Department's use of the s 75 procedure was not the subject of the purported referral to the Court of Appeal. However, the Court described it as a 'key issue' in the VCAT proceeding; as the 'catalyst' for the referral; and as raising an 'important matter of principle'. On that basis, the Court addressed it and concluded that:
It will usually be inappropriate to adopt the summary judgment procedure in respect of an application for review of an actual or deemed decision refusing access to documents on the basis of non-compliance with s 17(2) of the FOI Act.
[135] As just mentioned, even apart from its lack of jurisdiction due to the absence of consent on the part of the President of VCAT, the Court of Appeal declined to answer question 1 of the purported referral on the basis that 'essential facts' were missing. In my respectful opinion, there was a more fundamental reason to decline to answer question 1. The question carried the assumption that, at least ultimately, it is for a court to determine, objectively, whether a purported FOI request complies with s 17(2). The Court of Appeal was apparently prepared to accept the correctness of that assumption, although it did query whether question 1 was a question of law for the purposes of s 96 of the FOI Act. But, in my view, s 17(2) does not involve an objective test. It speaks of such information as is reasonably necessary to enable a responsible officer of the agency or the Minister, as the case may be, to identify the requested document. So the standard procedures, and the state of the files, of the relevant agency or Minister will often be significant. Moreover, s 17(2) must be read in combination with s 13 of the FOI Act, which provides for a (legally enforceable) right to obtain access to documents, but only 'in accordance with this Act', and must also be read in combination with s 26, which provides for a decision in respect of a request made to an agency to be made to an authorised person. Hence, for reasons corresponding with the reasons I gave above in relation to the question of 'hardship' under s 17(2B), the question whether a 'request' complies with s 17(2) falls for decision, at least in the first instance, by the agency or Minister, as the case may be, not by any court (subject, of course, to the supervisory jurisdiction of the Supreme Court). I say 'at least in the first instance' in order to foreshadow the question whether VCAT may have a role under s 17(2). In Chopra, the Court of Appeal held that VCAT did have such a role. In paragraph 121, the Court said that if the requester and the agency cannot agree about whether a 'request' is compliant with s 17(2), VCAT must decide the issue of compliance. In paragraphs 135 to 136 the Court of Appeal said:
[paragraphs 135 and 136 from the COA Chopra decision are set out above]
[136] It is desirable to set out, also, paragraphs 118 to 120 of Chopra, being the paragraphs referred to in paragraph 136 of Chopra as set out immediately above:
[118] If we are correct in our conclusion that, during the consultation process under s 17(4) of the FOI Act, an applicant who has made a multi-item request can agree to modify it by amendment or severance to overcome non-compliance with s 17(2) by one or more of those items, we see no reason why the same result cannot be achieved during a VCAT proceeding.
[119] In our opinion, such a result can be achieved either under s 50(4) of the FOI Act, whereby VCAT has the same powers as an agency, or ss 51 and 51A of the VCAT Act, whereby VCAT has all of the functions of the agency and may invite it to reconsider its decision. The use of these provisions can be illustrated by reference to a hypothetical case involving a request for 10 discrete, standalone items where it is alleged by the agency in a VCAT proceeding that one of the items is non-compliant. In such a case:
(a) Under s 50(4) of the FOI Act, the applicant could offer to delete the non-compliant item and VCAT, exercising the powers of the agency, could accept the offer and direct that the proceeding continue on the basis that the request no longer contains the offending item.
(b) Under ss 51 and 51A of the VCAT Act, the applicant could offer to delete the non-compliant item, VCAT could invite the agency to reconsider its decision to refuse access under s 17(2) and the agency could agree that the proceeding continue on the basis that the request no longer contains the offending item. (Of course, an agency could always offer to change its decision in a manner that is favourable to an applicant at any stage of a VCAT proceeding even in the absence of an invitation from VCAT to do so.)
[120] Irrespective of which of the above courses is adopted, the continuation of the proceeding on the basis that the request no longer contains the offending item will inevitably result in VCAT finding that the modified request complies with s 17(2) of the FOI Act and making appropriate orders under s 51(2) of the VCAT Act. Unless the application for review raises other issues which require determination by VCAT, those orders will set aside the agency's decision, substitute a decision that the request complies with s 17(2) and direct the agency to comply with the request in accordance with the FOI Act.
[137] With respect, the five paragraphs from Chopra just set out seem to me to involve the mistake of assuming the truth of the proposition needing to be proved. The proposition needing to be proved is that VCAT has jurisdiction to review a determination of an authorised FOI officer of an agency, or of a Minister, declining, in good faith, to process a purported FOI request on the ground that, for the purposes of s 17(2) of the FOI Act, the 'request' does not provide such information as is reasonably necessary to enable a responsible officer of the agency, or the Minister, as the case may be, to identify the document sought.
[138] In my respectful opinion, nothing in the VCAT Act or the FOI Act gives VCAT jurisdiction to review such a determination. Even apart from any necessity to involve the Information Commissioner, such a determination simply does not fall within any of the classes of 'decision' reviewable by VCAT under s 50 of the FOI Act. For so long as the determination of the agency or Minister under s 17(2) in relation to the original request stands, and for so long as no modification of the request has been advanced to and accepted by the agency or Minister, then, by definition, there is no 'request' (as defined in the FOI Act). If there is no 'request', there cannot be an actual or deemed 'decision ... refusing to grant access to a document in accordance with a request'. Hence paragraphs (b), (d) and (ea) of the FOI Act are all inapplicable. The other paragraphs of s 50 can have no application in any event.
[139] If a determination under s 17(2) were affected by procedural or substantive error in an administrative law sense, this Court, in the exercise of its general supervisory jurisdiction, could order the determination to be reconsidered. However, VCAT has no such general supervisory jurisdiction.
[140] In addition, a genuine determination that a 'request' does not enable a requested document to be identified does not, in my view, amount to a decision 'refusing to grant access' to the document for the purposes of any of the relevant provisions of s 50 of the FOI Act. There is an analogy with a response by an agency, to a duly made request, to the effect that the document or documents to which access is requested do not exist or cannot be located. The better view, in my opinion, has always been that such a response does not amount to a decision 'refusing' to grant access for the purposes of the FOI Act and its counterparts in other jurisdictions. In any event, the distinction is now recognised in the FOI Act itself, in s 61A(1)(a).
[141] Likewise, it seems to me that a determination not to process a 'request' on the ground of non-payment of the application fee required by s 17(2A), does not amount to a decision 'refusing' to grant access. In any event, it clearly does not amount to refusing to grant access to a document 'in accordance with a [valid] request'.
[142] Turning back to the obiter dicta of the Court of Appeal in Chopra, with respect, I have no difficulty with the actual answer that the Court of Appeal gave to reformulated question 2. I agree, with respect, that, under the relevant legislation, a purported FOI request that does not comply with s 17(2) when the request is made will not necessarily be permanently invalid. Indeed, the very purpose of s 17(3) and (4) of the FOI Act is to encourage the requester and the agency to consult with each other and to agree upon a form of request that does comply with s 17(2).
[143] No doubt, severance of a particular part of the original request can be one appropriate method of bringing it into compliance with s 17(2), as the Court of Appeal held. And, given the tenor of the FOI Act as a whole, and that of the object section and of s 16 in particular, there is probably no need for a fresh written document to be submitted by the requester as his or her (amended) request. As the Court of Appeal said, a request may be appropriately 'modified'. However, the FOI Act is prescriptive in many ways, particularly as to time limits. Under ss 20, 21 and 53 of the FOI Act, it is important to be able to identify the time at which a 'formal request' is 'duly' made, or, in other words, to identify the time at which a valid request (whether or not modified) is made.
[144] So, in my respectful opinion, the Court of Appeal was in error in Chopra insofar as it observed that jurisdiction for VCAT could be achieved, within an existing VCAT proceeding, by VCAT exercising powers under s 50(4) of the FOI Act and ss 51 and 51A of the VCAT Act with a view to the modification of an otherwise invalid FOI request. In my respectful opinion, those powers do not become available for exercise unless and until a decision that is prescribed to be reviewable by VCAT is actually made by the relevant person or is statutorily deemed to have been so made.
[145] It may be that, where there has been no valid request and no decision or deemed decision reviewable by VCAT, but the requester has nevertheless made a purported application for review to VCAT, VCAT would have power (under s 98 of the VCAT Act) to grant an adjournment of the application in order to enable the applicant to make a modified request and in order to enable the respondent to make a decision whether to grant or to refuse access to documents in accordance with the modified request. VCAT might be prepared to do that with a view to saving the cost of lodging a fresh application at a later stage. If a decision were then made by the relevant agency or Minister to refuse to grant access to a document in accordance with the modified request and if the applicant then sought review by the Information Commissioner but was unsuccessful in that regard, or if sufficient time were to pass after the making of the modified request such that a decision by the agency or Minister was statutorily deemed to have been made, then VCAT might have power to allow the original application for review to be amended (pursuant to s 127 of the VCAT Act) so as to seek review of the ultimate decision made (or of the decision deemed to have been made) in relation to the modified request. Alternatively, and more realistically, a fresh application for review could be lodged. But it seems to me that, in Chopra, the Court of Appeal envisaged that, after an invalid request was modified in a way that rendered it valid in the view of all concerned, if any other issues (such as possible claims for exemption) were left, VCAT could simply proceed, within the same VCAT proceeding, to sit in judgment on the matter without an intermediate decision (or deemed decision) to refuse access being made by the agency or Minister (or the Information Commissioner). In my respectful opinion, VCAT could not lawfully do that.
[157] ... I respectfully find myself unable to agree with paragraphs 135 and 136 of the judgment in Chopra. In my opinion, it may be appropriate, at least on some occasions, for VCAT to summarily dismiss, under s 75, an application for review that clearly does not duly invoke VCAT's jurisdiction because the relevant purported request did not, at the relevant time, comply with s 17(2) (or, for that matter, s 17(2A)) of the FOI Act. There may be such cases, in my respectful opinion, in which it may be able to be said that the application for review is 'misconceived'. In my view, Deputy President Proctor, writing before the decision in Chopra, was entitled to say as much in relation to the present case.
[158] However that may be, generally speaking, it is highly desirable, if not essential, that any serious, proper objection to the jurisdiction of a tribunal be heard and determined as a preliminary matter. Of course, like any other court or tribunal, VCAT has jurisdiction and power to consider whether it has jurisdiction. As Kirby J said in Re Boulton; ex parte Construction, Forestry, Mining and Engineering Union:
Every court or tribunal in this country must, where objection is taken to its jurisdiction, determine that objection as a preliminary question. If it has no lawful jurisdiction it may not assume that it has and it ought not to pretend that it has.
[159] In my view, VCAT has ample power - indeed, a duty - to hear and determine proper objections to its jurisdiction, whether or not s 75 may be utilised for that purpose. Appropriately, VCAT does conduct what it calls 'jurisdictional hearings', from time to time.
CONSULTATION UNDER S 17(3) AND (4) OF THE FOI ACT
Accordingly, I invite you to review your request and provide further detail to narrow the scope of your search.
I therefore, formally invite you to consult with this office by 11 April 2018 for the purpose of making a request that is valid under section 17.
I note your email dated 14 March 2018 which I just received. I also note your objections.
However, item 1 of this request is substantially different from the previous one and removes the objections you noted for the previous FOI request.
In addition, the other items are time bound and subject bound, with the subject being "me" and the date range is also specified.
As a result, these requests are valid since this description allows a responsible office to identify the documents as required by s 17(2).
In addition, you have a positive duty under s 17(3), to do the following:
It is the duty of an agency or Minister, as the case may be, to assist the person who wishes to make a request, or has made a request that does not comply with this section...to make a request in a manner that does comply with this section ...
I note that you have not done that. You have not provided assistance as you were required to do so that I can make a request that complies with this section. This is why I cannot narrow the scope of my request. You need to inform me which particular item is too broad to do a search on and why. I will be glad to help and narrow the scope of the search. But I need you to fulfil your positive duty and explain why my particular a item is too broad such that a document cannot be identified.
[the Applicant then makes comments in relation to items 1 and 2 and use of the search string]
Now whatever documents you find are responsive to my request. It's that simple.
I disagree with your below correspondence. The Department clearly invited you to consult with the FOI Unit. You will find this invitation under the heading 'Invitation to consult'.
The applicable FOI officer allocated to your file is happy to assist you to make a valid request. That is the purpose of inviting you to constructively consult with the FOI Unit. I encourage you to contact them on [number].
Further, if you call this afternoon they will make themselves available at anytime between 2:00 pm and 4:30 pm. Alternatively, the FOI officer is happy to book a telephone meeting with you, anytime during business hours until 11 April 2018.
If you choose not to consult with the FOI Unit, that is your prerogative. However, as it stands your request remains invalid.
As per your advice, I have consulted with the FOI officer allocated to my file ...
We ended our conversation agreeing to disagree. He agreed that item number 1 would be relatively easy to execute. He was mistaken that each individual email box of Grovedale College would need to be checked. This is what I mean by either your office is disingenuous or plainly misinformed or inexperienced in how a search is to be conducted. I alerted him to the fact that all email accounts can be searched at one time. Item 1 would take 10 seconds.
Thereupon, we disagreed on item 2 which would be the same issue for items 2 -6. Justin's argument was that the item is too broad, two unclear and therefore falls foul of s 17(2). My argument was that the item is perfectly clear. It relates to any document which mentions my name or any of its variants and is limited by a time window. Therefore, if you had a document in front of you, any person who can read English could identify the document as responsive to this item. If my name or experience was not mentioned, then it is not responsive. Consequently, you can identify the document based upon my description in the request. And that is all that s 17(2) requires. Justin was not able to explain further why the item was too broad or unclear. My sense is that he was saying that the search would require too many documents to be searched. If so, then that is a s 25 issue, not a s 17 issue. How the Department organises its filing system and does the search is its issue. The point is, in items 2-6, you know exactly what you are looking for: any and all documents mentioning my name or any of its variants. Therefore, it is disingenuous to claim that you are unable to identify the documents which I have requested.
Items 7-9 related to documents in the possession of the Department and should be searched for and released to me subject to exemptions.
So, as you can see, I have honestly tried to engage your office. Your office has a certain stance and it does not want to change it. Also, your office does not have any proactive suggestions which would assist me. The issue is that the documents under each of the items can be easily identified. So it is not a s17(2) issue. It's just that you do not wish to go out and do the work to identify the documents.
As a result, the consultation is at an end. I consider the request valid. No time has been lost.
There are considerable overlaps between the items listed in the Z45 request and the items listed in the current request. Item 4 in each request is identical save for a slight difference in the timeframe nominated.
The Department refused to process the Z45 request on the grounds that it did not comply with s 17(2) of the FOI Act...
All documents to and from of Grovedale College mentioning me or concerning me since November 2015.
[29] The Applicant submits the Respondent did not comply with its obligations to consult under s 17(3) and 17(4), as I understand it in the sense that the consultation was not genuine. I reject that submission. The terms of the 29 December letter are clearly a reasonable attempt to consultation, which Dr Chopra rejected.
... mere breadth is not a fatal objection to a request. ... So, very often the applicant will be a complete stranger to the departmental organisation, its filing, indexing and retrieval systems, and use language which, given greater awareness, he would choose differently. But if the department knows very well what is being sought, and it can find the material, or the better part of it, then it seems to accord with sense and the court should say that a skilful critique of the question is no substitute for a fair answer and criticism of the request no excuse for non-compliance.
[45] In Borthwick v University of Melbourne 1985 1VAR 33, 35, Rowlands J said:
It must depend on the particular case whether or not sufficiently precise description is received to permit the respondent, as a practical matter, to locate the documents sought within a reasonable time and with exercise of reasonable effort.
A responsibility rests on the applicant to strive to define with as much precision as he can precisely what he wants. ...
perverse requests which are maintained in an ill-defined form despite frank and willing assistance by Freedom of Information Officers may not, as a matter of policy, be supported by the Tribunal.
[46] In McIntosh, Ross J discussed what amounts to sufficient information under s 17. He said, at [51]:
The question for determination is whether the request ... provides such information about the documents sought as is reasonably necessary to enable those documents to be identified ... the documents requested may be described in broad terms and need not be expressed with the same eye to detail as a legislative provision or a set of pleadings.
[47] In Bahonko v City of Casey (General) [2010] VCAT 241 Macnamara DP said with respect to a request for all files kept by the Council concerning the applicant, from [27]:
It is also now notorious that records are extensively kept in computerised systems. These systems amongst other things allow for 'key word' searches which enable the full text of particular documents to be identified by reference to the occurrence of a particular word, for instance 'Bahonko '. ...
It seemed implicit in Mr Batskos' submissions that a search which sought a key word, for instance 'Bahonko' or perhaps a key address like 1 Riley Drive, Hampton Park could be processed by a freedom of information officer. In my view the request made by Ms Bahonko could and should have been treated as a request for access to all files relating to Ms Bahonko, a request which could have been processed by searching file titles whether as part of an old style hard copy system or a computerised system by reference to the key word 'Bahonko '.
[48] In Zeqaj v Victoria Police (General) [2010] VCAT 1132, Miso J considered s 17(2):
The reference to "such information" in the section must mean reasonably specific particulars enabling the proper officer to identify the document which is the subject of the request.
The reference to "as is reasonably necessary" qualifies the extent that the information provided is specific enough for the document to be capable of identification.
It is not the task of the responsible officer to try to tease out from such a request what the applicant might be getting at. Firstly, for the responsible officer to do that would be a failure on the part of that responsible officer to undertake the statutory task set by section 17 (2), and secondly, the responsible officer might inadvertently provide documents which are not what the applicant was seeking which would inevitably lead to unnecessary and possibly protracted correspondence between the applicant and the responsible officer in an effort to try to work out what is constituted by the request, and at worst the making of an unnecessary application for review.
That is not to say that the responsible officer is relieved of any obligation to the applicant where some doubt exists as to what documents are sought by the request.
[49] In O'Brien v Department of Justice (General) [2010] VCAT 1379 (23 August 2010) at [23], Macnamara DP said:
It must be borne in mind that an applicant for access to documents under the Freedom of Information Act whether he or she is a politician, a community activist or an ordinary private citizen is not possessed of full knowledge of what the relevant Government agency is or is not doing in a particular field, what it does or does not do. A legitimate purpose for requesting documents under the Freedom of Information Act is to gain answers to these sorts of questions. The process of obtaining documents under the Freedom of Information Act would be greatly hobbled if to make a valid request an applicant were required to demonstrate the sort of knowledge that only access to the Government agency's records would give him. This would be to create the proverbial 'catch 22'. ...
Item 4 requests all documents to and from 'Grovedale College' 'mentioning' or 'concerning' the Applicant over a 2 year period. The comments at [para 75] above are also relevant here. In fact, this request is actually broader still as it is not limited to two named individuals. That is, all of the documents responsive to items 2 and 3 would also be captured under this item 4.
Further, it is unclear what is actually meant by 'Grovedale College'. Is this intended to capture documents that any member of staff has provided or received that in some way 'mentioned' or 'concerned' the Applicant, or even that any student has provided or received that in some way 'mentioned' or 'concerned' the Applicant?
The Applicant has not specified particular types of documents that should be searched, such as emails, and so it would cover all types of documents. Again, the question is: where does the Respondent start? The Respondent would be required to look in every record the school holds.
It is submitted that this is a 'broad, fishing and perhaps perverse' request that ought not to be supported by the Tribunal. It is not a request for specific documents but rather for all documents which may exist that simply contain the Applicant's name. This cannot be regarded as a compliant request under s 17 as it does not provide such information concerning the documents sought as is reasonably necessary to enable the Respondent's officers to identify the documents.
[69] In his 18 March 2018 submission, Dr Chopra submits:
I agree with the Respondent that item 4 is broader than items 2 and 3, and yet it will find much fewer documents. Had it done the searches and applied common logic or common sense, with respect, it would have found the answer. But then it would not have been able to protest. Further, it states that its comments in paragraph 34.2 apply here; likewise, my comments in response to paragraph 34.2 with respect to Bahonko also apply here. It is correct that all documents captured in 2 and 3 should be captured here as well, but that is if the search is done properly. Also, a reasonably skilled searcher could eliminate the overlap between this item and items 2 and 3, and so indicate to me. In other words, the duplicates can easily be eliminated in the electronic search. Of course, the hard copy duplicates can be even more easily eliminated. So, what is the issue? It is true that all staff and student electronic accounts need to be searched, but this would be easy because it just requires one check mark! As for hard copy documents, whatever is in the possession of Grovedale should be reasonably searched as it would for any other hard copy search under the FOI Act. All it is looking for is my name and its variants mentioned in these documents.
Once again, the Respondent disingenuously queries for item 4: "where does the respondent start? The respondent would be required to look in every record the school holds". Well, it could. But that would be stupid. With respect, of course. Surely, the Respondent should use its common sense. For starters, the time period is 1 November 2015 and after. Grovedale College was established several decades prior. Second, electronic records are easy as discussed above. Third, for hard copy, it should look only where my name might reasonably have been mentioned in the context of my daughter or my request to hire facilities or whatever other context Grovedale College is aware of. But wait: we are now talking about how to do the search, not how to identify the document. And this is outside the purview of s.17(2).
As the several decisions and binding precedents discussed above, "mere breadth is not a fatal objection to a request" (Penhalluriack) and "it is s.25A of the Act that provides relief for an agency where a request is so broad as to require an unreasonable diversion of resources" (Luck v Victoria Police FOI Division [2012] VCAT 1617). Even Pizer's states it more directly: "It is submitted that this section [s.17(2)] should be invoked only when the request is so ambiguous or uncertain that the agency does not know what documents are sought, and s.25A(1) should be relied upon when the request is so broadly expressed as to be voluminous. It must be remembered that applicants often do not know precisely what documents are in the agency's possession. It would not facilitate the right of access provided by the Act if requests were treated as not complying with s.17(2) simply because they were broadly expressed." See Pizer's Annotated VCAT Act, [at FOI.17.80]. How in the world did the Respondent miss reading this? The only answer is that it was being wilfully blind. In this matter, Judge Lazarus would have stated as he did in Penhalluriack, "[I]f the Respondent knows very well what is being sought, and if it can find that material, or the better part of it, then it seems to accord with sense and the court should say that ... criticism of the request [is] no excuse for non-compliance". This non-compliance by the Respondent may be treated as "a decision refusing to grant access". It goes without saying that Penhalluriack is a County Court decision and is a precedent binding on the VCAT, and therefore on the Respondent. It did not follow it.
Once again, I challenge its submission that item 4 could even remotely be construed as a 'broad, fishing and perhaps perverse' request. It is merely a request for all documents in the possession of the Respondent where my name is mentioned, just like it was ordered in Bahonko.
[70] In his 30 April 2018 submission, Dr Chopra submits:
This was "All documents to and from Grovedale College mentioning me or concerning me since November 2015". This would be identical to Item 2 above, except "all users" would be selected instead of [principal] in the 'accounts' and/or using the 'search method' button depending on how the administrator had set up Google Vault. To avoid duplication with Item 2 and Item 3, in the search terms, after all document(s) have been found, a sub-search could be done with the Boolean Operator "NOT" to eliminate the document(s) already found for the principal and vice principal. It is this simple. Again, like items 1-3 above, the Respondent is stating something which is misleading and/or false and violates section 78 of the VCAT Act.
[71] I agree with the Respondent's submission that Item 4 does not provide such information concerning the document as is reasonably necessary to enable a responsible officed to identify the document.
[72] The concept of emails to and from "Grovedale College" is so uncertain as to not comply with s 17(2). As the Respondent submits, how is one to know what Dr Chopra means by the concept of Grovedale College? For example, on reading Item 4, I certainly did not understand Dr Chopra's position, as evident from his above submission, that all staff and student electronic accounts need to be searched.
All documents to and from Grovedale College mentioning me or concerning me from 1 October 2015 until the date of the search.
[2] ... Ordinarily, ... each request is to be looked at separately for the purposes of s.25A...
[3] That is not the end of the matter, however, for the issue here is whether the appellant could properly characterise all the requests as effectively a single request. ... there is no real factual problem in treating all the requests as at the least related and directed to a single subject matter, namely the circumstances surrounding the explosion and fire on 25 September 1998 at the Esso/BHP plant at Longford in Gippsland, although some may have been drawn too widely. ... they were all made in the same period, namely from 10 to 24 December 1999, and in most of the later requests reference was made to one group or other of the earlier requests, as a group in each case. ...
The connection between the 321 requests was so obvious that the parties and their solicitors corresponded and consulted, for the purposes of the section, by letters directed to the totality of the requests, not by separate letters relating to the individual requests.
[1] (Review and Regulation) [2019] VCAT 106 [33].
[2] Borthwick v University of Melbourne (1985) 1 VAR 33.
[3] Zeqaj v Victoria Police [2010] VCAT 1132.
[4] Dr Chopra v Department of Education and Training [2018] VCAT 808.
[5] See Harbison J's discussion in Macdonnell, paragraphs 40 to 60.
[6] Per DP Macnamara, as he then was, in O'Brien and the Department of Justice [2010] VCAT 1379 at paragraphs 23 and 24.
[7] Penhalluriack v Department of Labour and Industry Unreported County Court 19 December 1982 per Lazarus J, page 52.
[9] Secretary, Department of Treasury and Finance v Kelly [2001] VSCA 246 [6] per Ormiston J.A.
[10] Chopra v Department of Education and Training [2018] VCAT 808 (Chopra Z45/2018 decision).
[11] Chopra v Department of Education and Training [2019] VSCA 298 [134].
[13] Chopra Z45/2018 Decision [32-33].
[15] Chopra v DET [2019] VSCA 298 [138-139].
[26] McKenzie v VCAT & Anor [2020] VSC 454 [129-145].
[28] I confirm that such invitation was extended to the Applicant.
[29] This earlier request being the subject of proceeding Z45/2018.
[30] Respondent's Legal Contentions [5].
[31] The New Oxford Dictionary of English (5e).
[32] Macquarie Concise Dictionary (5e).
[33] The Respondent relies primarily on, DTF v Kelly [2001] VSCA 246.
[34] Refer [18c] of Mr Sturma's witness statement.
[35] McIntosh v Department of Justice [2009] VCAT 92 per DP Coghlan at [42]; Wooldridge v Department of Human Services [2009] VCAT 1900 per DP Coghlan at [31].
[39] Chopra v Department of Education and Training (Review and Regulation) [2018] VCAT 808. [1-3].
[45] Chopra v DET 2019 VSCA 298 [112].
[46] Chopra v DET 2019 VSCA 298
[47] Chopra v DET 2019 VCAT 808.
[48] Penhalluriark v Department of Labour and Industry 18 December 1983 County Court Unreported.
[49] McNamara DP in Bahonko v City of Casey (General) [2010] VCAT 241 [27-28]; and Wooldridge v DHS (Vic) [2009] VCAT 1900 [14].
[50] Citing Bahonko and Wooldridge v DHS (Vic) (2009) VAR 279; [2009] VCAT 1900.
[51] Chopra v DET 2019 VSCA 298, Applicant refers to [112], [113], [116], [118-120] and [136]
[52] Applicant's submission [314-315].
[55] Refer [18c] of Mr Sturma's witness statement.
[56] [2001] VSCA 246 [2-3].
Chopra
Department of Education and Training