Freedom of Information Amendment (Reform) Act 2010 (51 of 2010)

Schedule 4 Information Commissioner amendments

Part 1 Main amendments

Freedom of Information Act 1982

49 Before Part VIII

Insert:

Part VIIB Investigations and complaints

Division 1 Guide to this Part

68 Investigations and complaints - guide

This Part is about investigations by the Information Commissioner and by the Ombudsman.

Division 2 sets up a system for investigations by the Information Commissioner.

The Information Commissioner may investigate an action taken by an agency in the performance of functions or the exercise of powers under this Act on a complaint from a person, or on the Information Commissioner's initiative.

If a person disputes the merits of an access refusal decision or an access grant decision, this Act provides elsewhere for the review of that decision (see Parts VI, VII and VIIA).

However, this does not prevent a person from making a complaint to the Information Commissioner about the way in which the agency has handled the decision.

The Information Commissioner has powers to obtain documents, to question persons and to enter premises (see Subdivision D of Division 2).

At the conclusion of the investigation, the Information Commissioner must give a notice to the complainant and to the respondent agency about the Information Commissioner's findings, with any recommendations that the Information Commissioner believes the agency ought to implement (see section 86).

If the Information Commissioner is not satisfied that the agency has taken adequate and appropriate action to implement the recommendations, the Information Commissioner may take further steps (see sections 89, 89A and 89B).

Division 3 deals with the investigation of complaints by the Ombudsman about action taken under this Act.

Division 2 Information Commissioner investigations

Subdivision A - Power to investigate

69 Information Commissioner investigations - power to investigate

Obligation to investigate

(1) The Information Commissioner must, subject to this Division, investigate a complaint made under section 70.

Discretion to investigate

(2) The Information Commissioner may, at the Information Commissioner's initiative, investigate an action taken by an agency (the respondent agency ) in the performance of functions, or the exercise of powers, under this Act.

Subdivision B - Making complaints

70 Information Commissioner investigations - making complaints

(1) A person (the complainant ) may complain to the Information Commissioner about an action taken by an agency in the performance of functions, or the exercise of powers, under this Act.

(2) A complaint must:

(a) be in writing; and

(b) identify the agency (also the respondent agency ) in respect of which the complaint is made.

(3) The Office of the Australian Information Commissioner must provide appropriate assistance to a person who:

(a) wishes to make a complaint; and

(b) requires assistance to formulate the complaint.

Subdivision C - Decision to investigate

71 Information Commissioner investigations - interpretation

This Subdivision applies to a part of a complaint as if:

(a) a reference to a complaint were a reference to the part of the complaint; and

(b) a reference to an action were a reference to an action to which the part of the complaint relates.

72 Information Commissioner investigations - preliminary inquiries

The Information Commissioner may make inquiries of the respondent agency for the purpose of determining whether or not to investigate a complaint made (or purported to be made) under section 70.

73 Information Commissioner investigations - discretion not to investigate

The Information Commissioner may decide not to investigate, or not to continue to investigate, a complaint about an action made under section 70 if the Information Commissioner is satisfied of any of the following:

(a) that the action is not taken by an agency in the performance of the agency's functions or the exercise of the agency's powers under this Act;

(b) that:

(i) the complainant has or had a right to cause the action to be reviewed by the respondent agency, the Information Commissioner, a court or a tribunal; and

(ii) the complainant has not exercised, or did not exercise, the right; and

(iii) it would be, or would have been, reasonable for the complainant to exercise the right;

(i) the complainant has or had a right to complain about the action to another body; and

(ii) the complainant has not exercised, or did not exercise the right; and

(iii) it would be, or would have been, reasonable for the complainant to exercise the right;

(d) that the complainant has complained to the respondent agency, and the respondent agency:

(i) has dealt, or is dealing, adequately with the complaint; or

(ii) has not yet had an adequate opportunity to deal with the complaint;

(e) that the complaint is frivolous, vexatious, misconceived, lacking in substance or not made in good faith;

(f) that the complainant does not have a sufficient interest in the subject matter of the complaint.

Note: The Information Commissioner may make a decision under this section to investigate only part of a complaint (see section 71).

74 Information Commissioner investigations - transfer to Ombudsman

Scope

(1) This section applies if the Information Commissioner is satisfied that a complaint about an action could be more effectively or appropriately dealt with by the Ombudsman under the Ombudsman Act 1976.

Example 1: A complaint about the way in which the Information Commissioner has dealt with an IC review.

Example 2: A complaint relates to an action under this Act, but is part of a complaint that relates to other matters that can be more appropriately dealt with by the Ombudsman.

Transfer of complaints to Ombudsman

(2) The Information Commissioner:

(a) must consult the Ombudsman about the complaint with a view to avoiding inquiries being conducted into that matter by both the Information Commissioner and the Ombudsman; and

(b) may decide not to investigate the action, or not to continue to investigate the action.

(3) If the Information Commissioner decides not to investigate, or not to continue to investigate, the action under paragraph (2)(b), the Information Commissioner must:

(a) transfer the complaint to the Ombudsman; and

(b) give the Ombudsman any information or documents that relate to the complaint in the possession, or under the control, of the Information Commissioner; and

(4) A notice under paragraph (3)(c) must state the reasons for the Information Commissioner's decision.

(5) A complaint transferred under subsection (3) is taken to be a complaint made to the Ombudsman under the Ombudsman Act 1976.

Note: The Information Commissioner may make a decision under this section to investigate only part of a complaint (see section 71).

75 Information Commissioner investigations - notice requirements

Notice to respondent agency before commencing investigation

(1) Before beginning an investigation, the Information Commissioner must notify the respondent agency in writing.

Notice of decision not to investigate, or not to continue to investigate

(2) Subsection (3) applies if the Information Commissioner decides:

(a) not to investigate, or not to continue to investigate, a complaint made under section 70; or

(b) not to continue an investigation commenced at the Information Commissioner's initiative.

(3) The Information Commissioner must, as soon as practicable, notify the complainant (if any) and the respondent agency of the decision in writing.

(4) A notice under subsection (3) must state the reasons for the Information Commissioner's decision.

Subdivision D - Investigation procedure

76 Information Commissioner investigations - conduct of investigation

(1) An investigation must be conducted in private and in a way the Information Commissioner thinks fit.

(2) For the purposes of an investigation, the Information Commissioner may obtain information from any officer of an agency, and make any inquiry, that he or she thinks is relevant to the investigation.

77 Information Commissioner investigations - general power to enter premises

(1) If a consenting person consents to entry under paragraph (2)(a), an authorised person may, at any reasonable time of day arranged with the consenting person:

(a) enter and remain at the place; or

(b) carry on the investigation at that place; or

Note: For consenting person , see subsection (3).

Authority to enter premises

(2) The authorised person may enter a place that:

(a) is occupied by an agency; or

(b) is occupied by a contracted service provider and used by the contracted service provider predominantly for the purposes of a Commonwealth contract.

(3) The authorised person may enter a place only if:

(a) consent to the entry has been given by the person (the consenting person ) who is:

(i) in the case of an agency - the principal officer of the agency; or

(ii) in the case of a contracted service provider - the person in charge (however described) of the contracted service provider; and

(b) before giving the consent, the authorised person informed the consenting person that he or she may refuse consent.

(4) The authorised person must leave the premises if the consenting person asks the authorised person to do so.

(5) This section is subject to section 78.

Who is an authorised person ?

(6) An authorised person is:

(a) an information officer (within the meaning of the Australian Information Commissioner Act 2010); or

(b) an APS employee who:

(i) is performing the duties of an Executive Level 2, or equivalent, position (or a higher position) in the Office of the Australian Information Commissioner; and

(ii) is authorised by the Information Commissioner for the purposes of this section.

78 Information Commissioner investigations - places for which approval required before entry

Specific places and areas

(1) Subsection (2) applies if an authorised person proposes to enter, or carry on an investigation, at any of the following:

(a) a place referred to in paragraph 80(c) of the Crimes Act 1914;

(b) a place that is a prohibited area for the purposes of the Defence (Special Undertakings) Act 1952 because of section 7 of that Act;

(c) an area of land or water or an area of land and water that is declared under section 14 of the Defence (Special Undertakings) Act 1952 to be a restricted area for the purposes of that Act.

(2) If this subsection applies, the authorised person must not enter, or carry on an investigation, unless:

(a) the Minister administering that Act, or another Minister acting for and on behalf of the Minister, has, in writing, approved the entry or carrying on of the investigation; and

(b) the authorised person complies with any conditions specified in the approval.

Places in respect of which Attorney-General makes declaration

(3) The Attorney-General may, by notice in writing to the Information Commissioner, declare a place to be a prohibited place if the Attorney-General is satisfied that the carrying on of an investigation at the place might prejudice the security or defence of the Commonwealth.

(4) If a declaration under subsection (3) is in force, an authorised person must not enter, or carry on an investigation at, the prohibited place unless:

(a) a Minister specified in the declaration, or another Minister acting for and on behalf of the Minister, has, in writing, approved the entry or carrying on of the investigation; and

(b) the authorised person complies with any conditions specified in the approval.

79 Information Commissioner investigations - obliging production of information and documents

Scope

(1) This section applies if the Information Commissioner has reason to believe that a person has information, or a document, relevant to an investigation under this Part.

(2) This section applies subject to section 81 (production of exempt documents).

Notice to produce

(3) The Information Commissioner may, by written notice, require a person, for the purposes of the investigation:

(a) to give the Information Commissioner information of the kind referred to in the notice; or

(b) to produce to the Information Commissioner the document referred to in the notice.

(4) The notice must:

(a) be in writing; and

(b) specify the place at which the person must comply with the notice; and

(i) within a specified period that is not less than 14 days after the day on which the person is given the notice; or

(ii) at a specified time that is not less than 14 days after the time at which the person is given the notice.

Offence for failure to comply

(5) A person commits an offence if:

(a) the person is subject to a requirement specified in a notice under subsection (3); and

(b) the person engages in conduct; and

Penalty for a contravention of this subsection: Imprisonment for 6 months.

Note: Chapter 2 of the Criminal Code sets out the general principles of criminal responsibility.

80 Information Commissioner investigations - dealings with documents

What the Information Commissioner may do with documents

(1) The Information Commissioner may do one or more of the following with respect to any documents produced in accordance with a notice under subsection 79(3):

(a) take possession of the documents;

(b) make copies of the documents;

(d) hold the documents for a period that is necessary for the purposes of the investigation.

Information Commissioner must permit access by those entitled

(2) During an investigation the Information Commissioner must permit a person to inspect a document that the person would be entitled to inspect if the document were not held by the Information Commissioner.

(3) The Information Commissioner must permit the person to inspect the document at any reasonable time.

81 Information Commissioner investigations - exempt documents

Sections 55T and 55U apply to an investigation under this Part as if a reference in those sections to an IC review of a decision were a reference to an investigation of a complaint made under section 70.

Note: Sections 55T and 55U deal with access by the Information Commissioner to exempt documents.

82 Information Commissioner investigations - obliging persons to appear

Notice to require person to appear

(1) The Information Commissioner may, by written notice, require a person to appear before the Information Commissioner to answer questions for the purposes of an investigation.

(2) The notice must:

(a) be in writing; and

(b) state that the person must comply with the notice at a specified time that is not less than 14 days after the time at which the person is given the notice; and

Offence for failure to comply

(3) A person commits an offence if:

(a) the person is subject to a requirement specified in a notice under subsection (1); and

(b) the person engages in conduct; and

Penalty for a contravention of this subsection: 6 months imprisonment.

Note: Chapter 2 of the Criminal Code sets out the general principles of criminal responsibility.

83 Information Commissioner investigations - administration of oath or affirmation

(1) If, by a notice under subsection 82(1), the Information Commissioner requires a person to appear before him or her, the Information Commissioner may:

(a) administer an oath or affirmation to the person; and

(b) examine the person on oath or affirmation.

(2) The oath or affirmation to be taken or made by a person for the purposes of this section is an oath or affirmation that the answers the person will give will be true.

(3) A person commits an offence if:

(a) the person is required under this section to be examined on oath or affirmation; and

(b) the person engages in conduct; and

Penalty for a contravention of this subsection: 6 months imprisonment.

Note: Chapter 2 of the Criminal Code sets out the general principles of criminal responsibility.

84 Information Commissioner investigations - no loss of legal professional privilege

Information or a document does not cease to be the subject of legal professional privilege merely because it is given, provided, produced or referred to for the purposes of this Part.

85 Information Commissioner investigations - protection from liability

(1) This section applies if a person does any of the following in good faith for the purposes of an investigation:

(a) gives information;

(b) produces a document;

(2) If this section applies, then:

(a) civil proceedings do not lie against a person because the person does any of the matters mentioned in paragraphs (1)(a) to (c); and

(b) the person is not liable for a penalty under a provision of any law because the person does any of those matters.

(3) This section applies whether or not the person is required to do a thing mentioned in subsection (1) in accordance with this Division.

Subdivision E - Outcome of investigation

86 Information Commissioner investigations - notice on completion

Requirement to notify respondent agency

(1) If the Information Commissioner completes an investigation, the Information Commissioner must, as soon as practicable, notify the respondent agency.

(2) The notice must state the following:

(a) the investigation results (see section 87);

(b) the investigation recommendations (if any) (see section 88);

(3) The respondent agency may give to the Information Commissioner any comments about the notice that the agency wishes to make.

Requirement to notify complainant (if any)

(4) The Information Commissioner must give a copy (or a copy prepared in accordance with subsection (5)) of the notice to the complainant (if any).

(5) However, if the copy of the notice would contain matters of the kind mentioned in subsection 89C(2), the Information Commissioner must prepare a copy of the report to give to the complainant that excludes those matters.

Note: Section 89D sets out further limitations on recommendations to amend records.

87 Information Commissioner investigations - what are the investigation results ?

The investigation results , in relation to the investigation, are the following:

(a) the matters that the Information Commissioner has investigated;

(b) any opinions that the Information Commissioner has formed in relation to those matters;

(d) any suggestions to the respondent agency the implementation of which the Information Commissioner believes might improve the processes of the agency;

(e) any other information of which the Information Commissioner believes the respondent agency ought to be aware.

88 Information Commissioner investigations - what are the investigation recommendations ?

The investigation recommendations , in relation to the investigation, are the formal recommendations to the respondent agency that the Information Commissioner believes that the respondent agency ought to implement.

89 Information Commissioner investigations - failure to implement investigation recommendation

Scope

(1) This section applies if:

(a) the Information Commissioner completes an investigation; and

(b) the Information Commissioner gives an agency a notice under section 86; and

(c) the Information Commissioner is not satisfied that the agency has taken action that is adequate and appropriate in the circumstances to implement the investigation recommendations for the investigation.

Giving implementation notices

(2) The Information Commissioner may, by notice in writing (an implementation notice ), require the respondent agency to:

(a) give to the Information Commissioner particulars of any action that the agency proposes to take to implement the investigation recommendations for the investigation; and

(b) give the particulars within the time specified in the notice.

(3) The respondent agency must comply with the implementation notice.

89A Information Commissioner investigations - failure to take action in response to implementation notice

Scope

(1) This section applies if:

(a) the Information Commissioner gives an implementation notice to a respondent agency; and

(b) the Information Commissioner is satisfied that:

(i) the agency has not responded to the implementation notice within the time specified in the notice; or

(ii) the agency has not taken action that is adequate and appropriate in the circumstances to implement the investigation recommendations for the investigation.

Report to responsible Minister

(2) The Information Commissioner may give a written report to the responsible Minister that contains the matters set out in section 89B.

Note: For responsible Minister , see subsection 4(1).

Report to Minister

(3) If the Information Commissioner gives a report to the responsible Minister under subsection (2), the Information Commissioner must give a copy (or a copy prepared in accordance with subsection (4)) of the report to the Minister (the FOI Minister ) responsible for the administration of this Act.

(4) However, if the copy of the report would contain matters of the kind mentioned in subsection 89C(2), the Information Commissioner must prepare a copy of the report to give to the FOI Minister that excludes those matters.

(5) The FOI Minister must cause the copy of the report to be laid before each House of the Parliament.

Note: Section 89D sets out further limitations on recommendations to amend records.

89B Information Commissioner investigations - requirements for report

A report under subsection 89A(2) must:

(a) include a copy of the notice given to the respondent agency under subsection 86(2) (notice on completion) and the implementation notice; and

(b) give details of the respondent agency's response (if any) to the implementation notice; and

(c) state that the Information Commissioner is not satisfied that the agency has taken action that is adequate and appropriate in the circumstances to implement the investigation recommendations for the investigation; and

(d) state the action that the Information Commissioner believes, if taken by the agency, would be adequate and appropriate in the circumstances to implement the investigation recommendations for the investigation.

89C Information Commissioner investigations - ensuring non-disclosure of certain matters

(1) This section applies to the following documents:

(a) a notice to a complainant under section 86 (notice on completion);

(b) a report to the FOI Minister under subsection 89A(3) (failure to take action).

(2) The Information Commissioner must not include in the document:

(a) exempt matter; or

(b) information of the kind referred to in subsection 25(1).

Note: Subsection 25(1) deals with information about the existence or otherwise of certain documents.

89D Information Commissioner investigations - limitation on amending records

Scope

(1) This section applies to the following documents:

(a) a notice to a complainant under section 86 (notice on completion);

(b) a report to the FOI Minister under subsection 89A(3) (failure to take action).

Restrictions on amendments

(2) The Information Commissioner may, in the document, recommend that an amendment be made to a record that relates to a record of an opinion only if he or she is satisfied of either (or both) of the following:

(a) the opinion was based on a mistake of fact;

(b) the author of the opinion was biased, unqualified to form the opinion or acted improperly in conducting the factual inquiries that led to the formation of the opinion.

(3) The Information Commissioner must not, in the document, recommend that an amendment be made to a record if he or she is satisfied of either of the following:

(a) the record is a record of a decision, under an enactment, by a court, tribunal, authority or person;

(b) the decision whether to amend the record involves the determination of a question that the person seeking amendment of the record is, or has been, entitled to have determined by the agency (on internal review), the Information Commissioner, a court or tribunal.

89E Information Commissioner investigations - protection from civil action

(1) Civil proceedings do not lie against a person in respect of loss, damage or injury of any kind suffered by another person because the first-mentioned person complains about an action under section 70.

(2) Subsection (1) only applies if the complaint is made in good faith.

Division 3 Complaints to Ombudsman

89F Complaints to Ombudsman - powers not affected

This Part does not prevent the Ombudsman from exercising powers or performing functions under the Ombudsman Act 1976 in accordance with that Act.

89G Complaints to Ombudsman - report must not contain certain information

A report under subsection 12(3) or section 15 or 17 of the Ombudsman Act 1976 in relation to an action taken under this Act must not include:

(a) exempt matter; or

(b) information of the kind referred to in subsection 25(1).

Note: Subsection 25(1) deals with information about the existence or otherwise of certain documents.

89H Complaints to Ombudsman - certain rights not affected by certificates

(1) This section applies if:

(a) the Ombudsman has commenced an investigation of a decision made under this Act not to grant a request for access to a document; and

(b) the Attorney-General furnishes a certificate to the Ombudsman under paragraph 9(3)(a), (c) or (d) of the Ombudsman Act 1976 in relation to that investigation.

(2) The certificate does not affect the Ombudsman's right to:

(a) seek from any person the reasons for a decision made under this Act not to give access to an exempt document; or

(b) require any person to give any information or to answer any questions concerning the decision.

89J Complaints to Ombudsman - limitation on amending records in reports under the Ombudsman Act 1976

(1) The Ombudsman may, in a report under section 15 of the Ombudsman Act 1976, recommend that an amendment be made to a record that relates to a record of an opinion only if he or she is satisfied of either (or both) of the following:

(a) the opinion was based on a mistake of fact;

(b) the author of the opinion was biased, unqualified to form the opinion or acted improperly in conducting the factual inquiries that led to the formation of the opinion.

(2) The Ombudsman must not, in a report under section 15 of the Ombudsman Act 1976, recommend that an amendment be made to a record if he or she is satisfied of either of the following:

(a) the record is a record of a decision, under an enactment, by a court, tribunal, authority or person;

(b) the decision whether to amend the record involves determination of a question that the person seeking amendment of the record is, or has been, entitled to have determined by the agency (on internal review), the Information Commissioner, a court or tribunal.

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