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[2010] VCAT 1790
Victorian Civil and Administrative Tribunal
2010-10-26
Senior Member J
Original judgment source is linked above.
The application to dismiss or strike out part of the respondent's claim is refused.
Chief Commissioner of Police v McIntosh [2010] VSC 439
Filsell and Comcare [2009] AATA 90
Forrester v AIMS Corporation [2004] VSC 506
Galea v TAC [2000] VCAT 446
Knight v Corrections Victoria [2010] VSC 338
L and Nurses Board of Victoria (1999) 16 VAR 125
McIntosh v Victoria Police [2008] VCAT 916
McIntosh v Victoria Police [2010] VCAT 403
Maryvell Investments PL v Sigma Constructions PL (Retail Tenancies) [2006] VCAT 1599
Mildenhall v Department of Education (unreported, Dr. G. Lyons, Senior Member, 9 April 1999)
Nason v Royal Institute for the Blind [2002] VCAT 403
Smith v Director of Housing [2005] VSC 46
SRB and SRC and Department of Health, Housing, Local Government and Community Services [1994] AATA 79
Yim v State of Victoria [2000] VCAT 821
"Under section 25A(6) of the Act I give you notice of the present intention of the Victoria Police to refuse access to the documents sought by you. This is not a decision to refuse to process your request at this stage.
Victoria Police is satisfied that that work involved in processing your request would divert its resources substantially and unreasonably from its other operations."
The letter invited the applicant to consult with the respondent in accordance with section 25A(6) of the Act by 26 July 2010 with a view to amending the request so as to be in a form that would remove the ground for refusal under section 25A. Alternatively, the letter suggested that the applicant submit an amended request.
That letter dated 28 June 2010, some other correspondence, and the earlier litigation - where the Tribunal reviewed actual decisions to refuse access to the police roster pursuant to section 25A - make it clear that the parties take opposing positions about the amount of work involved in processing requests for police rosters.
On 2 July 2010 the applicant's representative, Mr. Don Coulson, wrote to the respondent seeking a more detailed estimate of the resources that were believed to be required to process the applicant's request, saying that that information was material to any reduction that might be made of the scope of the request. (Mr. Coulson made a witness statement in the proceeding and attended the hearing).
Next, on 9 July 2010, Mr. Coulson wrote again, noting that he had not received the estimate. He said that he acknowledged that the respondent's position was that any request for rosters was "inherently subject to a [section 25A] claim" and said that "in light of [the respondent's] obvious position" he gave notice that the consultation pursuant to section 25A(6) had ceased.
The respondent wrote again on 15 July, the stated purpose being to "assure" the applicant that it was not the case that the request was inherently subject to a section 25A claim and to provide some information to assist in narrowing the scope of the request. The letter invited further consultation by 11 August at which time, if no response was received, the respondent would finalise the request.
The applicant lodged the application for review on 19 July 2010.
On 27 August the respondent wrote once more to the applicant. The respondent referred to the original request and the subsequent correspondence, noting in particular that the applicant did not respond to the invitation contained in the letter of 15 July but had in the letter of 9 July advised that he was ceasing the section 25A(6) consultation without resolution. In light of that the respondent said that it had now determined to refuse access in accordance with section 25A. The letter indicated that the applicant could seek internal review of the decision.
Ms. Bennett submitted that the purpose of the "deemed refusal" provision in section 53(1) of the FOI Act was to prevent an agency obfuscating but that in this case the respondent was acting in good faith to try to assist the applicant to frame the request in a way that could be met. She said that the applicant had slammed the door on this in an attempt to avoid the consequences of a decision under section 25A and to circumvent a fair hearing. It would defeat the purpose of section 25A - to protect agencies from "crippling requests" - for the provisions in that section to be so easily overcome. She referred to the Second Reading speech relating to section 25A where the Minister noted that "voluminous requests" caused "severe disruption to agencies" and said that the provisions would "permit agencies to refuse to process a request where to do so would unreasonably and substantially divert the resources of the agency". (Hansard, Legislative Assembly, 7 May 1993, p. 1738).
Ms. Bennett further submitted that the recent decision by Emerton J demonstrated that there were real issues to be determined: see paragraphs 34-36 of the judgment. Substitution of the actual decision for the deemed refusal would permit the real issues to be determined.
The Tribunal's power to substitute the actual decision could be found in the directions power in section 80 of the VCAT Act if not also the power in section 98(1)(d) (requiring the Tribunal to conduct proceedings with minimal technicality and to give matters proper consideration) and section 98(3) (enabling the Tribunal to regulate its own procedure). She referred also to section 97 (requiring the Tribunal to act fairly and according to the substantial merits of the case in all proceedings).
Ms. Bennett referred to another VCAT proceeding (G269/2010) and produced a copy of an order made by a presidential Member dated 18 June 2010. That order substituted for a deemed refusal a decision of a specified date to the extent that the decision related to a request of another specified date. (The actual decision being substituted there was not one under section 25A, it was noted). Ms. Bennett appeared on behalf of the respondent and Mr. Coulson appeared on behalf of the applicant in that case. They were however not in agreement before me about whether Mr. Coulson had conceded that substitution could and should occur.
Ms. Bennett pointed to section 53(5) of the FOI Act which provides that the Tribunal may, at the request of the applicant, treat an application on a deemed refusal as extending to an application for review of a subsequently made actual decision. She described the grant of power to the Tribunal under section 53(5) as a permissive one and not a limitation. In particular, section 80 of the VCAT Act was not limited by section 53(5) of the FOI Act. The fact that it was not the applicant who was seeking to substitute the actual decision in this case was therefore no obstacle to the Tribunal making the substitution. There was no inconsistency between the FOI Act and the VCAT Act that would invoke section 159 of the VCAT Act with the result that the provisions of the enabling Act, the FOI Act, would prevail. It would be different, she said, if the FOI Act expressly stated that there could be no substitution of an actual decision for a deemed refusal. The general structure of the VCAT Act was directed towards ensuring an expeditious and fair hearing of matters in dispute. To narrow the scope of section 80 would be to defeat the purpose of section 25A.
In response Mr. Tracey submitted that the Tribunal had no power to substitute the actual decision. The applicant sought review of the deemed refusal. The actual decision was made after the application for review was lodged. The applicant did not seek review of the actual decision and made no request under section 53(5) for the Tribunal to treat the application for review as extending to the actual decision.
He contrasted section 53(5) of the FOI Act with provisions of the Freedom of Information Act 1982 (Commonwealth). Where there was an application to the Administrative Appeals Tribunal for review of a deemed refusal but, before that was determined, an actual decision was made, the Tribunal could treat the proceeding as extending to a review of the actual decision: section 56(6). Victorian legislation gave VCAT no such power. Under the Victorian Act there had to be a request made by the applicant.
Mr. Tracey submitted that section 80 of the VCAT Act did not permit the Tribunal to assume jurisdiction that it did not have. It permitted giving directions but did not permit substituting one decision for another. It did not permit the Tribunal going back in time and ignoring the fact that by force of the FOI Act there was a deemed refusal.
He said that section 25A contained a special privilege that was conferred on an agency or a Minister. It was designed to prevent abuses by persons who requested access to documents. There was no abuse in this case, however.
Mr. Tracey submitted that if the Tribunal found that it could make the substitution it should exercise its discretion in such a way that the applicant would be allowed to pursue his case as he saw fit.
Applicant's submissions regarding dismissal or striking out of respondent's claim
Respondent's submissions regarding dismissal or striking out of respondent's claim
"the tribunal stands in the shoes of the original decision-maker. In legal character, its jurisdiction is substitutionary not appellate, and administrative not judicial. Its function is to make the correct or preferable decision on the merits. In doing so, the tribunal is not bound by the original decision and (where relevant) it may receive additional evidence. It has full jurisdiction to make all necessary findings of fact and to determine all relevant questions of law."
The application to substitute the actual decision
"The Tribunal may give directions at any time in a proceeding and do whatever is necessary for the expeditious or fair hearing and determination of a proceeding".
The application to strike out or dismiss the respondent's claim
"75 Summary dismissal of unjustified proceedings
(1) At any time, the Tribunal may make an order summarily dismissing or striking out all, or any part, of a proceeding that, in its opinion -
(a) is frivolous, vexatious, misconceived or lacking in substance; or
(2) If the Tribunal makes an order under subsection (1), it may order the applicant to pay any other party an amount to compensate that party for any costs, expenses, loss, inconvenience and embarrassment resulting from the proceeding ...
(4) An order under subsection (1) or (2) may be made on the application of a party or on the Tribunal's own initiative.
(5) For the purposes of this Act, the question whether or not an application is frivolous, vexatious, misconceived or lacking in substance or is otherwise an abuse of process is a question of law."
"The resources of the agency referred to in [the relevant provision] must be the resources which the respondent had at the time the request was lodged or had as at the date of the hearing. It can not mean resources which the respondent might be able to obtain or even resources constituted by the filling of establishment positions. It also can not mean the whole of the resources of a large Department of State. To find this would make the section meaningless. We consider it means the resources reasonably required to deal with an FOI application consistent with attendance to other priorities." (at paragraph 29)
"[A]s a general rule, issue estoppel will not arise from decisions of this tribunal, and would only arise where the legislation conferring jurisdiction on the tribunal provides expressly or by implication that its decision in relation to particular issues will be final and binding".
McIntosh
Victoria Police