[2015] AATA 962
General information, not legal advice.
Administrative Appeals Tribunal of Australia
2015-12-14
Bennett J
Original judgment source is linked above.
Dreyfus and Secretary Attorney-General's Department (Freedom of information) [2015] AATA 962 (14 December 2015)
FREEDOM OF INFORMATION - Incoming government brief prepared for party that formed government - whether the document contains deliberative matter for a deliberative process and is conditionally exempt - whether the document could reasonably be expected to have a substantial adverse effect on the operations of an agency - whether it is contrary to the public interest to allow access to conditionally exempt material 26 months after the 2013 Federal election - whether it is reasonably practicable to prepare an edited copy of the document
Administrative Appeal Act 1975 (Cth) ss 29(1), 43(6)
Public Service Act 1999 (Cth) ss 10(5), 13(6)
Crowe and Department of the Treasury [2013] AICmr 69
Crowe v Department of Prime Minister and Cabinet [2014] AICmr 72
Harris v Australian Broadcasting Corporation and Others [1984] FCA 8; (1984) 1 FCR 150
Johansen v City Mutual Life Assurance Society Ltd [1904] HCA 43; (1904) 2 CLR 186
McIntosh v Department of Premier and Cabinet [2009] VCAT 1528
Pratt Consolidated Holdings Pty Limited v Commissioner of Taxation [2011] AATA 907
Re Chapman v Minister for Aboriginal and Torres Strait Islander Affairs [1996] AATA 210; (1996) 43 ALD 139
Re John Edward O'Brien Waterford and the Treasurer of the Commonwealth of Australia [1984] AATA 518
Re Waterford v Department of the Treasury (No 2) [1984] AATA 67; (1984) 5 ALD 588
Rovere and Secretary, Department and Education and Training [2015] AATA 462
Sankey v Whitlam [1978] HCA 43; (1978) 142 CLR 1
Shi v Migration Agents Registration Authority [2008] HCA 31; (2008) 235 CLR 286
Swiss Aluminium Australia Limited v The Commissioner of Taxation for the Commonwealth of Australia and Ors [1987] HCA 43; (1987) 163 CLR 421
the incoming government briefs prepared by the Attorney-General's Department. This request is intended to cover:
to release it publicly would be unfair to that party, contrary to the conventions of parliamentary government and could complicate relations between the department that prepared the brief and the Ministers who have formed government.
47C Public interest conditional exemptions - deliberative processes
General rule
(1) A document is conditionally exempt if its disclosure under this Act would disclose matter (deliberative matter) in the nature of, or relating to, opinion, advice or recommendation obtained, prepared or recorded, or consultation or deliberation that has taken place, in the course of, or for the purposes of, the deliberative processes involved in the functions of:
(a) an agency; or
(b) a Minister; or
(c) the Government of the Commonwealth; or
(d) the Government of Norfolk Island.
Exceptions
(2) Deliberative matter does not include either of the following:
(a) operational information (see section 8A);
(b) purely factual material.
Note: An agency must publish its operational information (see section 8).
Note: Access must generally be given to a conditionally exempt document unless it would be contrary to the public interest (see section 11A).
8A Information to be published - what is operational information?
(1) An agency's operational information is information held by the agency to assist the agency to perform or exercise the agency's functions or powers in making decisions or recommendations affecting members of the public (or any particular person or entity, or class of persons or entities).
(2) An agency's operational information does not include information that is available to members of the public otherwise than by being published by (or on behalf of) the agency.
47E Public interest conditional exemptions - certain operations of agencies
A document is conditionally exempt if its disclosure under this Act would, or could reasonably be expected to, do any of the following:
(a) prejudice the effectiveness of procedures or methods for the conduct of tests, examinations or audits by an agency;
(b) prejudice the attainment of the objects of particular tests, examinations or audits conducted or to be conducted by an agency;
(c) have a substantial adverse effect on the management or assessment of personnel by the Commonwealth, by Norfolk Island or by an agency;
(d) have a substantial adverse effect on the proper and efficient conduct of the operations of an agency.
Note: Access must generally be given to a conditionally exempt document unless it would be contrary to the public interest (see section 11A).
(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.
(2) Subject to this Act, a person's right of access is not affected by:
(a) any reasons the person gives for seeking access; or
(b) the agency's or Minister's belief as to what are his or her reasons for seeking access.
Deliberative Processes
6.56 A document may be conditionally exempt if it includes deliberative matter. Deliberative matter is content that is in the nature of, or relating to either:
an opinion, advice or recommendation that has been obtained, prepared or recorded
a consultation or deliberation that has taken place
in the course of, or for the purposes of, a deliberative process of the agency or minister (s 47C(1)).
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6.61 This conditional exemption has a potentially broad reach. The Information Commissioner expects, however, that agencies will claim this conditional exemption only in clearly applicable circumstances. Not every document generated or held by a policy area of an agency is 'deliberative' in the sense used in this provision, even if it appears to deal with the development or implementation of a policy. A decision maker should ensure that the content of a document strictly conforms with the criteria for identifying 'deliberative matter' before claiming this conditional exemption (see paragraph 6.56 above and paragraphs 6.66-6.69 below).
Deliberative process
6.62 A deliberative process involves the exercise of judgement in developing and making a selection from different options:
The action of deliberating, in common understanding, involves the weighing up or evaluation of the competing arguments or considerations that may have a bearing upon one's course of action. In short, the deliberative processes involved in the functions of an agency are its thinking processes - the processes of reflection, for example, upon the wisdom and expediency of a proposal, a particular decision or a course of action.
6.63 The deliberative process must relate to the functions of an agency, minister or the government of the Commonwealth. The functions of an agency are usually found in the Administrative Arrangements Orders or the instrument or Act that established the agency. For the purposes of the FOI Act, the functions include both policy making and the processes undertaken in administering or implementing a policy. The functions also extend to the development of policies in respect of matters that arise in the course of administering a program. The non-policy decision making processes required when carrying out agency, ministerial or governmental functions, such as code of conduct investigations, may also be deliberative processes.
6.64 A deliberative process may include the recording or exchange of:
6.65 An opinion or recommendation does not need to be prepared for the sole purpose of a deliberative process.
Assessing deliberative matter
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6.68 Material that is not deliberative matter, where not already excluded as operational information, purely factual material or a scientific report, would include:
content that is merely descriptive
incidental administrative content
procedural or day to day content
the decision or conclusion reached at the end of the deliberative process
matter that was not obtained, prepared or recorded in the course of, or for the purposes of, a deliberative process.
Purely factual material
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Purely factual material
6.72 The exclusion of purely factual material under s 47C(2)(b) is intended to allow disclosure of material used by the person who made the conclusion or decision following the deliberative process. A conclusion involving opinion or judgement is not purely factual material. For example, an assertion by the author of a document that something is a fact may be an opinion and not conclusive that the thing is a fact.
6.73 Where a decision maker finds it difficult to separate the purely factual material from the deliberative matter, both the elements may be exempt. If the two elements can be separated, the decision maker should consider giving the applicant a copy with deletions under s 22 to provide access to the purely factual material.
Accessible Information Brief and Accessible Strategic Brief
Remaining Information Brief and Remaining Strategic Brief
Conditional exemption under s 47E(d) of the Act
11A Access to documents on request
(5) The agency or Minister must give the person access to the document if it is conditionally exempt at a particular time unless (in the circumstances) access to the document at that time would, on balance, be contrary to the public interest.
Note 1: Division 3 of Part IV provides for when a document is conditionally exempt.
Note 2: A conditionally exempt document is an exempt document if access to the document would, on balance, be contrary to the public interest (see section 31B (exempt documents for the purposes of Part IV)).
Note 3: Section 11B deals with when it is contrary to the public interest to give a person access to the document.
The public interest exemption factors are set out in s 11B of the Act, relevantly as follows:
11B Public interest exemptions - factors
Scope
(1) This section applies for the purposes of working out whether access to a conditionally exempt document would, on balance, be contrary to the public interest under subsection 11A(5).
(2) This section does not limit subsection 11A(5).
Factors favouring access
(3) Factors favouring access to the document in the public interest include whether access to the document would do any of the following:
(a) promote the objects of this Act (including all the matters set out in sections 3 and 3A);
(b) inform debate on a matter of public importance;
(c) promote effective oversight of public expenditure;
(d) allow a person to access his or her own personal information.
Irrelevant factors
(4) The following factors must not be taken into account in deciding whether access to the document would, on balance, be contrary to the public interest:
(a) access to the document could result in embarrassment to the Commonwealth Government, or cause a loss of confidence in the Commonwealth Government;
(aa) access to the document could result in embarrassment to the Government of Norfolk Island or cause a loss of confidence in the Government of Norfolk Island;
(b) access to the document could result in any person misinterpreting or misunderstanding the document;
(c) the author of the document was (or is) of high seniority in the agency to which the request for access to the document was made;
(d) access to the document could result in confusion or unnecessary debate.
Guidelines
(5) In working out whether access to the document would, on balance, be contrary to the public interest, an agency or Minister must have regard to any guidelines issued by the Information Commissioner for the purposes of this subsection under section 93A.
PART 1 - INTRODUCTION TO THE FREEDOM OF INFORMATION ACT 1982
Objects of the FOI Act
1.13 The objects of the Act, which were amended in 2010, emphasise the reasons for giving the Australian community access to information held by government. Government officers must have regard to these objects when making decisions under the legislation.
1.14 The objects of the FOI Act are set out in s 3:
to give the Australian community access to information held by government, by requiring agencies to publish that information and by providing for a right of access to documents
to promote Australia's representative democracy by increasing public participation in government processes, with a view to promoting better-informed decision making
to promote Australia's representative democracy by increasing scrutiny, discussion, comment and review of government activities
to increase recognition that information held by government is to be managed for public purposes and is a national resource
to ensure that powers and functions in the FOI Act are performed and exercised, as far as possible, so as to facilitate and promote public access to information, promptly and at the lowest reasonable cost.
PART 3 - PROCESSING AND DECIDING ON REQUESTS FOR ACCESS
Administering the FOI Act - general considerations
Principles of good decision making under the FOI Act
3.11 Decision making under the FOI Act must take account of the statement of general objects in s 3. As discussed more fully in Part 1 of these Guidelines, the general objects embody a policy - or presumption - of open government that is relevant to all FOI decision making. This is emphasised in s 3(4), which states Parliament's intention 'that functions and powers given by this Act are to be performed and exercised, as far as possible, to facilitate and promote public access to information, promptly and at the lowest reasonable cost'. Another specific object, stated in s 3A, is that agencies and ministers retain an administrative discretion (subject to other legislation) to provide access to information and documents other than under the FOI Act.
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Decisions on requests for access to documents
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3.88 Applying those considerations, an agency or minister should take a common sense approach in considering whether the number of deletions would be so many that the remaining document would be of little or no value to the applicant. Similarly, the purpose of providing access to government information under the FOI Act may not be served if extensive editing is required that leaves only a skeleton of the former document that conveys little of its content or substance.
PART 6 - CONDITIONAL EXEMPTIONS
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What does the term 'public interest' mean?
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6.7 The concept of public interest has also been described as something that is of serious concern or benefit to the public, not merely of individual interest. It has been held that public interest does not mean of interest to the public, but in the interest of the public.
6.8 The term 'public interest' was not defined in the FOI Act when it was enacted. This approach encouraged decision makers to analyse what constitutes the public interest in a particular matter, rather than relying on set criteria. Following the 2010 reforms, the term remains largely undefined, although there are some factors which must not be taken into account (see paragraph 6.31). The term 'public interest' is necessarily broad and non-specific because what constitutes the public interest depends on the particular facts of the matter and the context in which it is being considered. The concept can be applied to a multitude of situations and circumstances. Public interest considerations (such as the administration of justice) may also be simultaneously evoked in favour and against disclosure of a document in a particular case.
6.9 To conclude that, on balance, disclosure of a document would be contrary to the public interest is to conclude that the benefit to the public resulting from disclosure is outweighed by the benefit to the public of withholding the information. The decision maker must analyse, in each case, whereon balance the public interest lies, based on the particular facts of the matter at the time the decision is made.
6.10 It is not necessary for a matter to be in the interest of the public as a whole. It may be sufficient that the matter is in the interest of a section of the public bounded by geography or another characteristic that depends on the particular situation. The public interest relates to matters of common concern or relevance to all members of the public, or a substantial section of the public. A matter of particular interest or benefit to an individual or small group of people may nevertheless be a matter of general public interest. This is recognised in s 11B(3)(c) of the Act, which states that there can be a public interest in allowing a person to access his or her personal information.
Applying the public interest test
6.11 The FOI Act requires that:
The agency or minister must give the person access to the document if it is conditionally exempt at a particular time unless (in the circumstances) access to the document at that time would, on balance, be contrary to the public interest. (s 11A(5))
6.12 The pro-disclosure principle declared in the objects of the FOI Act is given specific effect in the public interest test, as the test is weighted towards disclosure. If a decision is made that a conditionally exempt document should not be disclosed, the decision maker must include the public interest factors they took into account in their statement of reasons under s 26(1)(aa) (see Part 8 of these Guidelines).
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Step 1: Determine if the document is conditionally exempt
6.16 For each of the conditional exemptions, the harm threshold that must be reached is specified in the provision. The various harm thresholds vary in both the extent of the harm that disclosure would cause and the extent to which the decision maker must be satisfied that the harm would result. The only exception is the deliberative processes exemption (s 47C), which does not include any requirement of harm: the threshold requirement is that the document includes deliberative matter. Specific guidance on the criteria to be met in each of the eight conditional exemptions is provided later in this Part.
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Step 2: Identify the specific harm threshold
6.20 Because each exemption is different, there is necessarily a high degree of specificity in the considerations relevant to each decision about granting access. This directly affects how the factors favouring disclosure and those favouring non-disclosure are determined. These factors must be directly relevant to both the particular harm threshold of the conditional exemption and to the particular document, the particular circumstances and the particular time.
6.21 Using the previous example of s 47D, the specific harm that must be shown is a 'substantial adverse effect' on the financial or property interests of the Commonwealth, Norfolk Island or an agency.
6.22 While both Steps 1 and 2 involve consideration of harm, there is a distinction in the nature and purpose of this consideration. In Step 1, the consideration relates to whether or not the harm threshold has been met in order to determine whether the document is conditionally exempt. Step 2 relates to quantifying the harm as a preparatory step to weighing the factors in favour and against disclosure.
Step 3: Identify the factors favouring disclosure
6.23 The FOI Act sets out four factors favouring access, which must be considered if relevant. They are that disclosure would:
(a) promote the objects of the Act
(b) inform debate on a matter of public importance
(c) promote effective oversight of public expenditure
(d) allow a person to access his or her personal information (s 11B(3)).
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Step 4: Identify the factors against disclosure
6.26 The FOI Act does not list any factors weighing against disclosure. These factors, like those favouring disclosure, will depend on the circumstances. However, the inclusion of the exemptions and conditional exemptions in the FOI Act recognises that harm may result from the disclosure of some types of documents in certain circumstances; for example, where disclosure could prejudice an investigation, unreasonably affect a person's privacy or reveal commercially sensitive information. Such policy considerations are reflected in the list of public interest factors that may be relevant in a particular case.
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Step 5: Ensure that no irrelevant factor will be considered
6.30 The decision maker must take care not to consider factors that are not relevant in the particular circumstances. The FOI Act also nominates certain factors which must not be taken into account, as explained in paragraph 6.77 below. Some of these factors were commonly applied prior to the 2010 amendments to the Act.
6.31 The irrelevant factors are:
access to the document could result in embarrassment to the Commonwealth Government, or cause a loss of confidence in the Commonwealth Government
access to the document could result in any person misinterpreting or misunderstanding the document
the author of the document was (or is) of high seniority in the agency which the request for access to the document was made
access to the document could result in confusion or unnecessary debate (s 11B(4)).
Step 6: Weigh the relevant factors to determine where the public interest lies
6.32 The decision maker must determine whether access to a conditionally exempt document is, at the time of the decision, contrary to the public interest, taking into account the factors for and against disclosure. The timing is important: it is possible that certain factors may be relevant when the decision is made, but would not be relevant if the request were to be reconsidered some time later. In such circumstances a new and different decision could be made.
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Deliberative processes
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6.59 The deliberative processes exemption differs from other conditional exemptions in that no type of harm is required to result from disclosure. The only consideration is whether the document includes content of a specific type, namely deliberative matter. If a document does not contain deliberative matter, it cannot be conditionally exempt under this provision, regardless of any harm that may result from disclosure.
6.60 While identifiable harm resulting from disclosure is not a specific factor in determining whether a document may be categorised as 'deliberative', it may be relevant subsequently when deciding where the balance of the public interest lies. If, in a particular case, a deliberative document may be released without appreciable harm resulting, this would tend to indicate that it would not be contrary to the public interest to disclose the document and therefore it must be released to the applicant.
22 Access to edited copies with exempt or irrelevant matter deleted
Scope
(i) to refuse to give access to an exempt document; or
(ii) that to give access to a document would disclose information that would reasonably be regarded as irrelevant to the request for access; and
(b) it is possible for the agency or Minister to prepare a copy (an edited copy) of the document, modified by deletions, ensuring that:
(i) access to the edited copy would be required to be given under section 11A (access to documents on request); and
(ii) the edited copy would not disclose any information that would reasonably be regarded as irrelevant to the request; and
(c) it is reasonably practicable for the agency or Minister to prepare the edited copy, having regard to:
(i) the nature and extent of the modification; and
(ii) the resources available to modify the document; and
(d) it is not apparent (from the request or from consultation with the applicant) that the applicant would decline access to the edited copy.
(a) prepare the edited copy as mentioned in paragraph (1)(b); and
(b) give the applicant access to the edited copy.
3.87 The obligation to prepare an edited copy of a document so that it does not contain exempt or irrelevant content is subject to the following conditions:
it is possible for the agency or minister to prepare an edited copy of the document (s 22(1)(b))
it is reasonably practicable to prepare an edited copy, having regard to the nature and extent of the modification required, and the resources available to modify the document (s 22(1)(c)), and
it is not apparent, from an applicant's request or consultation with the applicant, that the applicant would decline access to the edited copy (s 22(1)(d)).
3.88 Applying those considerations, an agency or minister should take a common sense approach in considering whether the number of deletions would be so many that the remaining document would be of little or no value to the applicant. Similarly, the purpose of providing access to government information under the FOI Act may not be served if extensive editing is required that leaves only a skeleton of the former document that conveys little of its content or substance.
I certify that the preceding 126 (one hundred and twenty -six) paragraphs are a true copy of the reasons for the decision herein of Justice Bennett
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(1984) 1 FCR 150
(1904) 2 CLR 186
(1978) 142 CLR 1
(2008) 235 CLR 286
(1987) 163 CLR 421