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[2011] AATA 392
Administrative Appeals Tribunal of Australia
2011-06-07
Original judgment source is linked above.
DECISION AND REASONS FOR DECISION [2011] AATA 392
FREEDOM OF INFORMATION - whether request satisfied - adequacy of searches - whether all reasonable steps taken to find relevant documents - meaning of "reasonable" - whether documents cannot be found or do not exist - all reasonable steps taken - decisions under review affirmed
Freedom of Information Act 1992, ss 4, 11(1), 24A, 61, 66
Rogerio Cristovao and Secretary, Department of Social Security [1998] AATA 787
Chu v Telstra Corporation [2005] FCA 1730; (2005) 147 FCR 505
(a) The National Health and Medical Research Council Clinical Trial Centre was appointed as the "Contractor". Its role was to undertake a review of all of the literature on PET and to provide a report.
(b) A "Supporting Committee" comprising a range of suitably qualified medical professionals with sufficient technical understanding of important issues including safety and clinical effectiveness, was to consider the contractor's report and make its own evaluation of PET. It was then to provide a report.
(c) A "Steering Committee", which included representatives of the medical profession, State and Territory Governments and also consumers was then to consider the Supporting Committee's report giving due consideration to broader policy questions.
(d) MSAC, as the principal Committee involved, was then tasked with considering the report arising from the first three stages of the review process and to provide appropriate written advice on 'PET' to the Minister for Health and Aged Care.
"I reiterate that the current view is an awful outcome, not for Rod Hicks, not for Peter Mac, not for the Austin, but for patients. This is the superior non-invasive staging investigation in cancer and is playing or will play a fundamental role in treatment planning and monitoring in future oncology practice. The National Cancer Institute in the US has recognised this with major funding initiatives for functional imaging, particularly including PET. I note your reference to the Swedish Review as justification of the MSAC decision but also that they too based their decision on the fundamentally flawed INAHTA report. I am more encouraged by the recent HCFA decision which I suggest you read. The members of MSAC, the Department and the Minister may attempt to convince others that I am the sole dissenting view but I know through my private discussion that my colleagues involved in PET largely agree with me (even though they seem to be more pragmatic than me and willing to accept small concessions rather than buck the system by being outspoken)"
"I believe that the conclusion in the altered report of the Supporting Committee that there was "insufficient evidence of the clinical effectiveness of PET" was used to justify a very diluted provision of PET services to the Australian public. The person or persons responsible for that distortion of the evidence should be identified. I hope that by Orders records can be divulged relating to these critical alterations and that person or persons can be identified and the process by which this was able to occur without the knowledge of the Committee members be changed so that it cannot reoccur".
"Two alterations had been made by way of addition.
The MSAC Supporting Committee concludes that:
a) there is insufficient evidence at this time from which to draw definite (sic) conclusions about the clinical effectiveness and cost effectiveness of PET, AND
b) PET is potentially clinically effective".
(The alterations of concern to Dr Ware which were highlighted in red in his affidavit are underlined above. He has used the word "definite" but the word in the alteration is "definitive").
"The alterations appeared to me to be incredibly important. They were a prejudiced assessment of the scientific evidence at the time and misrepresented the judgements of Supporting Committee members. It appeared certain that the alterations would prevent patients getting fair knowledge of PET's benefits and appropriate public healthcare funding. What has occurred since has confirmed that view".
"29. Patients who might be referred for a PET scan if MSAC has been able to correctly report on the technology may be deprived of the benefit because a doctor considered PET to be an unproven technology.
30. Patients who might be referred for a PET scan if MSAC has been able to correctly report on the technology may be deprived of the benefit because a State Government may not provide resources in its public hospitals for a technology that has "insufficient evidence" to back its clinical value.
31. A typical patient who might be advised that PET is not yet proven to be clinically effective is a lung cancer patient being evaluated for curative surgery where PET is often the only technology to show that cancer spread makes the hazardous and expensive surgery futile. Rather than deal with the cancer in dignity, that patient undergoes completely unnecessary surgery causing decreased quality of life with no potential for cure.
32. A patient with colon cancer is being considered for liver resection. It is known that this procedure is futile as well as dangerous if there is additional tumour outside the area of intended liver resection. PET scanning finds evidence of additional areas of tumour in a large number of patients".
"(1) 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".
"document includes:
(a) any of, or any part of any of, the following things:
(i) any paper or other material on which there is writing;
(ii) a map, plan, drawing or photograph;
(iii) any paper or other material on which there are marks, figures, symbols or perforations having a meaning for persons qualified to interpret them;
(iv) any article or material from which sounds, images or writings are capable of being reproduced with or without the aid of any other article or device;
(v) any article on which information has been stored or recorded, either mechanically or electronically;
(vi) any other record of information; or
(b) any copy, reproduction or duplicate of such a thing; or
(c) any part of such a copy, reproduction or duplicate;
but does not include:
(d) library material maintained for reference purposes; or
(e) Cabinet notebooks".
_"_Requests may be refused if documents cannot be found or do not exist or have not been received
Document lost or non-existent
(1) An agency or Minister may refuse a request for access to a document if:
(a) all reasonable steps have been taken to find the document; and
(b) the agency or Minister is satisfied that the document:
(i) is in the agency's or Minister's possession but cannot be found; or
(ii) does not exist".
"Not going beyond the limit assigned by reason; not extravagant or excessive ..."
The Macquarie Dictionary (5th Edition) also includes the following in its definitions of "reasonable":
"1. Endowed with reason
2. Agreeable to reason or sound judgment ...
3. Not exceeding the limit prescribed by reason; not excessive ..."
(a) Have Dr Ware's requests for relevant documents been satisfied?
(b) Has the Department taken all reasonable steps to find any additional relevant documents? If so are the documents in the Department's possession and cannot be found or do not exist?
"All documents that prove the Steering Committee members were provided with, and ratified, the altered document that was provided to MSAC [the Medicare Services Advisory Committee] and represented by the Department of Health and Ageing to be the Supporting Committee report".
"The minutes of the meetings of the Steering Committee between the finalisation of the report of the Supporting Committee on the 23 March 2000 and the presentation of the altered document to MSAC on the 24 May 2000 contain no minute that that Committee agreed with or ratified the altered document ... "
"The 13 documents produced by the Department have no bearing on the proof referred to at paragraph 1 hereof in that they do not show how, when and by what means the Steering Committee agreed to the changes".
"Professor Kearney informed the Committee that the MSAC Executive met on 30 March and gave approval for the Supporting Committee's report to be considered by the Steering Committee. The report is Committee-in-confidence until the full MSAC meet and formally consider the report on 24 May. He added that MSAC assesses technologies on three criteria, safety, effectiveness and cost effectiveness. While PET has been shown to be safe, there is insufficient evidence to draw definitive conclusions on clinical and cost effectiveness.
The Committee agreed with the general conclusions and recommendations of the MSAC Supporting Committee. However, members suggested some minor changes to the wording of certain recommendations. These changes have been incorporated in the revised draft approved indications and revised draft Steering Committee findings and recommendations at Attachments A and B respectively".
"The Department will amend the wording of some of the Supporting Committee's recommendations for inclusion in the MSAC Supporting Committee and the Ministerial report".
"8. What the Steering Committee finally reported to the Minister was an altered form of the original wording of the Supporting Committee's recommendations. Two alterations had been made by way of addition.
"The MSAC Supporting Committee concludes that:
a) there is insufficient evidence at this time from which to draw definite conclusions about the clinical effectiveness and cost effectiveness of PET and
b) PET is potentially clinically effective".
9. The recommendations including these critical alterations became the recommendations of the Steering Committee with some further changes in wording but I did not "sign off" on those recommendations. I was not asked to agree to these changes. I would not have approved such critical alterations to the Supporting Committee's report".
"At the 6 April Steering Committee meeting Dr King proposed that the word "potentially" be inserted before "clinical effectiveness" to make it consistent with other wording in the recommendations of what we understood was the draft report, or draft recommendations of the supporting committee; and that was discussed and was, I believed to be returned to the supporting committee for verification, since Dr King was chair of that committee".
"So the steering committee was happy with that proposed change?"
"I believe that that's certainly how it's minuted".
"But I don't recall a vote being taken or that great emphasis was placed on it". (Transcript page 80).
"I remain of the view that we have been hasty in formulating our draft recommendations. They were presented to us by the department and by the chairman of the supporting committee, and there was little time to discuss things". (Transcript page 81).
"... I thought the changes were editorial, not of substance. If they had been of substance I would have taken them back to the sub-committee".
(Transcript page 152)
"...when we looked at this - the recommendations, we had a first recommendation saying there is insufficient evidence on PET's clinical or cost effectiveness with respect to the six indications reviewed to warrant unrestricted funding. And then, on the next one, we're saying that PET is safe, clinically effective and potentially cost effective. And it was felt, from an editorial point of view, that you couldn't have two conflicting statements. You can't in one say that there is insufficient evidence on PET's clinical effectiveness and then in the next line say that PET is clinically effective". (Transcript page 148)
"I have no idea who raised it, except it wouldn't have been me ..."
That statement by Dr King appears to be contrary to Dr Bower's recollection. As mentioned above Dr Bower stated in evidence that Dr King had:
"proposed that the word "potentially" be inserted before "clinically effectiveness" to make it consistent with other wording ..." (Transcript page 80)
It is quite unnecessary for the Tribunal in these proceedings to attempt to resolve the conflicting recollections of Dr King and Dr Bower.
It is apparent from the minutes of the meetings that there was an absence of formal meeting procedure. For example, there is no record of motions being moved, supported by a mover or seconder. It is reasonable to infer that the Committee simply resolved to take certain action.
The evidence establishes that the alterations were discussed at the meeting of 6 April. It is apparent from the minutes of the meeting of 10 May 2000 that the precise terms of the alterations were formally endorsed at that meeting. The meeting adopted as accurate the earlier minutes with the alterations attached.
With respect to application number 2009/2802 the Tribunal concludes that the respondent has already released to Dr Ware documents which satisfy the terms of his request of 10 November 2008
"The Department was previously asked to supply (FOI request 087-0809) documentary evidence to prove that the Steering Committee ratified the altered document that was subsequently provided to MSAC as if it were the true Supporting Committee report.
The Department agreed to release the documents in question, but the documents released do not show that the Steering Committee agreed to the alterations in question.
1. Could the Department release documents that demonstrate when, and how, the document in question was produced, and who approved providing MSAC with the altered document?
2. Could the Department provide the documents that demonstrate who authorised the insertion of those words, and when those words were inserted?
3. Could the Department provide the documents that demonstrate who authorised the presentation of the altered contractors report to MSAC at the committee's 24 May 2000 meeting?"
"5. On being requested to carry out the search for documents that fell within the scope of the FOI request for the purposes of the internal review, I instructed Ms Bethany Leditschke to assist me in undertaking a completely new search for documents that were within the scope of the FOI request and which were in the Department's possession.
6. Ms Leditschke has been the Communications Officer in the MSAC Secretariat Section since February 2009. Her responsibilities include quality assurance of records management for the MSAC Secretariat Section.
7. Ms Leditschke and I understood that the scope of the applicant's FOI request was as set out at T3 of the Tribunal documents.
8. Since the Senate's Inquiry into the review of Positron Tomography (PET) in 2000, all of the Department's PET Review related files (PET Review files), 36 files have been stored in locked filing cabinets within the MSAC Secretariat Section. The processing of a 2009 FOI request led to the discovery of an additional 14 relevant files which had been put in storage. These 14 files have been stored in the locked filing cabinets within the MSAC Secretariat Section together with the other 36 files since then. The MSAC Secretariat Section relocated into a new building in February 2010 and the bulk of these files have now been put in archives.
9. Ms Leditschke and I examined each of the 50 PET Review paper files held in the filing cabinet within the MSAC Secretariat Section page by page for any documents that fell within the scope of the FOI request.
10. Ms Leditschke and I also searched all electronic documents in PET related folders held by the MSAC Secretariat Section on the Department's shared drive.
11. I instructed Ms Leditschke to search the TRIM database for files that had been created in the Department using search terms 'PET' and 'Positron Emission Tomography', 'Supporting' and 'Steering' as file titles.
12. I also instructed Ms Leditschke to conduct a search on COReDOCS for any documents that might fall within the scope of the FOI request.
13. Ms Leditschke and I did not find any documents falling within the scope of the FOI request other than the ones that had already been identified as falling within the scope of the FOI request in the Department's decision of 9 October 2009.
14. I also considered the searches that had been undertaken for the purposes of the initial FOI decision in order to compare the searches that Ms Leditschke and I had undertaken for the purposes of ensuring that there were no gaps in our searches.
15. On or around 21 December 2009, I outlined to Mr Kingdon the searches that Ms Leditschke and I had undertaken to locate the documents within the scope of the FOI request".
"... Our staff have now reviewed the electronic and hard copy archives of the PET review undertaken by the CTC in 2000, and have been unable to identify documentation relating to the preparation of the Recommendation, other than minutes of the fourth Supporting Committee meeting. These minutes are brief and do not appear to document the specific wording of the Recommendation; further, the Department forwarded these minutes to us previously for our consideration after a previous FOI request, so they do not contain information that you do not already have.
I am sorry we were not able to be of more help".
"... conduct a search for any workbooks, notebooks, or other documents containing handwritten notes made by any officer of the Department relating to relevant meetings and decisions of the Steering Committee and Supporting Committee of MSAC".
I certify that the 69 preceding paragraphs are a true copy of the reasons for the decision herein of The Hon R J Groom AO (Deputy President)
Counsel for the Applicant Mr K Read and Mr G O'Rafferty
Solicitor for the Respondent Ms K Robbins, Legal Services Branch, Department of Health and Ageing
Chu
Telstra Corporation
(2005) 147 FCR 505