[2012] VCAT 1550
General information, not legal advice.
Victorian Civil and Administrative Tribunal
2012-10-29
Original judgment source is linked above.
General List Freedom of Information Act 1982 ss 3, 25A(1) - respondent estimates 400 hours to process request - applicant estimates 33 hours - whether request would substantially and unreasonably divert the resources of the respondent
Smeaton v Victorian WorkCover Authority (General) [2012] VCAT 1550
The respondent's decision of 20 June 2012 under s 25A(1) of the Freedom of Information Act 1982 to refuse to process the request of the applicant dated 19 April 2012 is affirmed.
all documents signed by Mr Steve Marshall in the timeframe, start of business 10 May 2004 till end of business 14 May 2004. This FOI also specifically requests any letter signed by Mr Marshall sent to Smeaton that is dated in said time frame, stemming from the Allianz archive search.
(1) The agency dealing with a request may refuse to grant access to documents in accordance with the request, without having caused the processing of the request to have been undertaken, if the agency is satisfied that the work involved in processing the request -
(a) in the case of an agency - would substantially and unreasonably divert the resources of the agency from its other operations; or ...
(2) Subject to subsection (3) but without limiting the matters to which the agency ... may have regard in deciding whether to refuse under subsection (1) to grant access to the documents to which the request relates, the agency ... is to have regard to the resources that would have to be used -
(a) in identifying, locating or collating the documents within the filing system of the agency; or
(b) in deciding whether to grant, refuse or defer access to documents to which the request relates, or to grant access to edited copies of such documents, including resources that would have to be used -
(ii) in consulting with any person or body in relation to the request; or
(c) in making a copy, or an edited copy, of the documents; or
(d) in notifying any interim or final decision on the request. ...
(4) In deciding whether to refuse, under subsection (1), to grant access to documents, an agency must not have regard to -
(a) any reasons that the person who requests access gives for requesting access; or
(b) the agency's belief as to what are his or her reasons for requesting access. ...
(6) An agency must not refuse to grant access to a document under subsection (1) unless the agency has -
(ii) identifying an officer of the agency with whom the applicant may consult with a view to making the request in a form that would remove the ground for refusal; and
(b) given the applicant a reasonable opportunity so to consult; and
(c) as far as is reasonably practicable, provided the applicant with any information that would assist the making of the request in such a form. ...
The index indicates that there are over 80 boxes stored in the Allianz archive for 2004, the year relating to this request. To identify and locate the documents sought under the request Allianz employees would require searches across each and all of these boxes. It is not clear how many documents or pages are in these boxes. I estimate on average each box to contain more than 300 pages.
There are general documents that have been archived in secondary storage for Steve Marshall's tenure[3] in that position. However, these are not stored in an order around date documents signed, nor does it flag if the documents contained actually signed documents as these are archived by topic. The amount of time it would take to fully review all archived files and records the content, including signatories, would be substantial. I estimate on average each box would take 300 minutes, therefore a total time per 80 boxes could range to 400 hours.
I am satisfied that the work involved would divert Allianz and WorkSafe's resources substantially and unreasonably from its other operations. As part of its statutory obligations Allianz processes approximately 250 requests per month from injured workers for access to their claims records under s 107A of the Accident Compensation Act 1985 (Vic). This amounts to almost 3000 request per year. We have limited resources to process this request by the applicant and would require Allianz to divert resources from its other statutory obligations.
Voluminous requests have caused serious problems in the administration of freedom information since its inception. Evidence given to the Legal and Constitutional Committee in its 38th report to Parliament suggest that although the number of voluminous requests was relatively small it nevertheless caused severe disruption to agencies. At present there is no provision in the Act to refuse to process the request on the grounds that it would unreasonably and substantially divert the agency's resources.
The Bill permits agencies to refuse to process a request where to do so would unreasonably and substantially divert the resources of the agency.
That provision is similar to the Commonwealth Freedom of Information Act. Applicants will be given the opportunity to relodge their request in a form that will remove the ground for refusal. There is also a right to complain to the Ombudsman where the request is refused on those grounds.
Most agencies could produce numerous examples of applicants who abuse the spirit of the FOI Act by making requests of an extent and scope which unreasonably divert their resources. For example, one applicant lodged a request relating to a mining group which involved over 2000 documents in some 250 files.
Section 25A seeks to balance competing interests. There is a public interest in agency not being diverted from its core work through needing to process a very broad-ranging request for documents. On the other hand, the agency can only refuse to process such a request if it sought to consult with the applicant so as to confine the request to manageable dimensions, and has failed in this endeavour [see 25A(6)]. Section 25A put pressure on agencies to identify voluminous requests quickly and to take steps to narrow such requests so that the requests can then be processed. Only if these steps fail can an agency rely on section 25A as the basis for refusing to grant access to the documents requested.
... it is plain enough that s.25A was introduced to overcome the mischief that occurs when an agency's resources are substantially and unreasonably diverted from its core operations by voluminous requests for access to documents. The emphasis of the amendment was on the prevention of improper diversion of the agency's resources from their other operations. The provision was introduced to strike a balance between the object of the Act to which reference has already been made and the need to ensure that the requests under the Act did not cause substantial and unreasonable disruption to the day to day workings of the government through its agencies.
... in asserting section 25A, an agency cannot be obliged to specify exactly how much time and energy would be spent by the agency in processing the request. Estimates only are acceptable, as to ensure precision would mean the agency would have to do the very work that section 25A is designed to prevent.
In reaching this tentative estimate, I am mindful I am not familiar with the types of documents that stored in the boxes. Also, all too often the time it actually takes to perform a substantial task proved to be longer than an earlier estimate of that required time. However, in making this decision on review, I am required to make the best estimate I can; and
The resources of the agency referred to in s 24(1)(a) 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 cannot mean resources which the respondent might be able to obtain or even resources constituted by the filling of establishment positions. It also cannot 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.
In administrative review is not necessary to show ... that the extent of the unreasonableness is overwhelming. It is this tribunal to weigh up the considerations for and against the situation and to form a balanced judgement of reasonableness, based on objective evidence.
Allianz is only able to say that the documents may exist in the 80 archive boxes. The time it will require to locate them within the boxes is the issue before me
I have dealt with many of Mr Smeaton's FOI requests. Broadly speaking, he and his wife make these requests to understand WorkCover's actions in around 2003 and 2004. In their view, those actions and the actions of other professionals led to Mrs Smeaton, an injured worker, suffering greatly in psychological as well as physical terms, to the point that she attempted suicide and spent many months in hospital under psychiatric care.
These matters have been the subject of Parliamentary debate, an Ombudsman Report, a report by KPMG, the involvement of a QC mediator and an independent mediator and media coverage involving members of Parliament.
The Smeatons seek to discover all of the information in what they view as a cover-up by WorkCover. Through FOI, they have obtained substantial information relating to the events in question.
Mr Smeaton says he intends, once he has all the information he considers relevant, to write a submission for government to consider in order to prevent other injured workers going through the experiences his wife and his family have suffered.
Mr Smeaton says neither he nor his wife have plans to institute legal proceedings against Mr Marshall (as Mr Hurley submitted).
An issue they raise is that in a letter dated 14 May 2004, WorkCover informed Mr Smeaton of the result of an internal review at WorkCover of its earlier decision that he may not be paid as a night carer for his wife. The letter confirms that a Dr Strauss had orally advised a WorkCover employee that Mr Smeaton was not suitable to act as Mrs Smeaton's night carer.
As it happens, the issue of Dr Strauss' opinion came before me in 2009 in another proceeding between the parties. In Smeaton v Victorian WorkCover Authority (General) [2009] VCAT 1977 (24 September 2009), I recorded that Dr Strauss gave evidence (and I then found) that he had never held the opinion that Mr Smeaton was not a suitable person to be appointed as Susan Smeaton's night carer. He had no recollection of giving an oral report to Allianz and it was his practice not to give oral reports.
Mr Smeaton believes Mr Marshall signed the 14 May 2004 letter and alleges Mr Marshall or others acted improperly such that the person who made the (flawed) first decision was able to influence the (flawed) outcome of the review decision. While I make no comment on Mr Smeaton's beliefs, I note that in submissions he attempts to support them with careful reference to documents he has obtained from WorkCover under the FOI Act.
Mr Smeaton also made submissions concerning a sequence of events, which culminated in the 14 May letter. He submits that a WorkCover conciliator called for Dr Strauss's opinion as to whether Mr Smeaton was suitable to be Mrs Smeaton's night carer. Unknown to the Smeatons or the conciliator, WorkCover first requested that opinion then withdrew the request. This frustrated the conciliation process and significantly contributed to the statement in the 14 May letter as to Dr Strauss's opinion about Mr Smeaton. While again I expressed no view concerning the substance of the submission, I again note Mr Smeaton made reference to supporting documentation.
According to the Hansard of the Victorian Parliament, legislative Council, 25 May 2010, WorkCover advised Parliament (via the relevant Minister) `previous enquiries have been unable to establish the identity of the individual officer who endorsed the decision that is the subject of this question (the 14 May letter). I understand this remains WorkCover's position.
Allianz refuses to state who signed the letter, as evidenced by its letter to Mr Smeaton dated 27 January 2010.
However, in my view, the issues of public interest raised by the Smeatons' experiences have been considered through a variety of avenues. It is unlikely that processing of this request will further the public interest.
I understand WorkCover concedes mistakes were made in the past, which have long since been rectified. Mr Smeaton was appointed night carer for his wife.
Also, whether or not Mr Marshall signed the letter, it is a letter from WorkCover, presumably signed by a person with authority to sign it. Its legal effect is unchanged by the identity of the author. In terms of the issues the Smeatons wish to raise, being able conclusively to identify the author does not seem to significantly advance their cause.
I do not regard the request as reasonably manageable but rather as a request which could only be managed by placing an unreasonable demand on the Allianz team.
While Mr Smeaton has not changed the scope of his request, it would be difficult for him to do so. He is on a fishing expedition for signatures. Given that, it is difficult to see how he could further define the request.
The requirement to make decisions within 45 days is clearly relevant. However, the reality is there are many examples where WorkCover has not met the 45-day time limit with respect to Mr Smeaton's other FOI requests. I say this because the majority (if not all) of Mr Smeaton's applications to VCAT in the last few years have been made on the basis that WorkCover has not made a decision within 45 days and thus is deemed to have refused the request. WorkCover has said at various times in various of these proceedings this is in part due to the number of Mr Smeaton's requests in the context of its limited resources.
My 90 hours estimate is my best estimate in the context of the evidence before me. I lay no claim to its certainty.
It would defeat all or much of that purpose if the provision were to be read so as to enable a person to avoid its operations simply by dividing what would otherwise obviously be a "voluminous" request which would fall within s.25A(1)(a), into several parts none of which, by itself, would offend the provision, but all of which, if considered together, would substantially and unreasonably divert the agency's resources from its other operations.
... Such a result would promote form above substance and would defeat the underlying purpose of s.25A. The purpose is, as I have said, to balance the object of the Act to give persons access to government information with the need to ensure that scarce resources of agencies are not substantially and unreasonably diverted from their core activities of implementing government policy in order to deal with voluminous requests for information. To construe s.25A(1) as entitling the agency in the above circumstances to aggregate these 100 requests for relevant purposes would be consistent with the purpose of the provision.
[1] When the application was made it was on the basis that the decision was "deemed rejected". With the substantive decision now made, that decision is the subject of the proceeding. Lovell v Department of Human Services [2001] VCAT 965 and McIntosh v Victoria Police [2010] VCAT 1790.
[2] References to the Minister and 25A(7) omitted.
[3] I understand Mr Marshall was employed in the relevant position before and after 2004.
[4] Calculation based on search of VCAT computer records.
Smeaton
Victorian WorkCover Authority