This is an HTML version of an attachment to the Freedom of Information request 'COVID-19 FOI Request - Letter to APRA with SCT File Note'.

Internal review decision  
Phillip Sweeney 
Ben (person number 2355), an authorised officer of the 
Australian Prudential Regulation Authority (APRA) for the 
  purposes of section 23(1) of the Freedom of Information Act 
1982 (‘FOI Act’).  
FOI reference: 
FOI 21 – 8  
Vary the original decision and grant access to the further 
On 8 August 2020 you made the following FOI request: 
“Misrepresentations have been made by ASIC officers… that my "primary concern" 
in complaints lodged with the Superannuation Complaints Tribunal… was along the 
following lines: 

"My primary concern in this complaint is that I suspect that the trustee of my 
superannuation fund made a mistake in determining my Final Average Salary 
(FAS) when determining a lump sum superannuation defined benefit {'payout'} 
provided to me in January 2007". 

That is I was making a complaint that applied to only one fund member (myself) and 
that my 'primary concern' did not apply to the management of the fund as a whole {ie 
Section 14(6) of the Superannuation (Resolution of Complaints) Act 1993} 
This representation of my 'primary concern' by ASIC Officers is rebutted by a letter 
dated 5 November 2010 {APRA ref: APRA08/004080) and the attached file note of a 
phone discussion with Mr Phil McGrath from the Superannuation Complaints Tribunal 
{SCT} sent to Ms Thea Rosenbaum (APRA) by myself. 
The documents I seek are a copy of this letter to APRA and a copy of the attached 
file note from the SCT.” 

(‘the original FOI request’) 
On 4 September 2020 APRA made the decision to grant access to one document on 
the basis of section 11A(3) of the FOI Act (‘the original FOI decision’).  
On 4 September 2020 APRA received your email request for an internal review of the 
original FOI decision (‘the internal review application’).  
Material taken into account  
I relied on the following evidence and material in making my decision: 

the original FOI request dated 8 August 2020; 
acknowledgment of FOI request from FOI Officer to the Applicant dated 10 August 
email correspondence between APRA staff between 2 September – 4 September 
the original FOI decision; 
the internal review application; 
memorandum from FOI Officer dated 2 October 2020; 
relevant sections of the FOI Act; and 
guidelines issued by the Office of the Australian Information Commissioner to date 
(FOI Guidelines). 
I reproduce relevant paragraphs of the original FOI decision:  
APRA has conducted all reasonable searches of its records and identified one 
document relevant to the FOI request.  

I have decided to grant access to the relevant document under section 11A(3) of the 
FOI Act. 

The following statements were made in support of the internal review application: 
“The document I was seeking is dated 5 November 2010 with an attached file note 
from the Superannuation Complaints Tribunal.”  

“The copy provided is dated 15 September 2010 – which does not match the FOI 

I considered your statements, reviewed all relevant documentation and the process that 
was undertaken by the FOI Officer. During this process APRA identified a further 
relevant document that might reasonably be taken to be included within the description 
of the original FOI request.  
I vary the original FOI decision and grant access to that further document.  
Rights of review  
Under section 54L of the FOI Act, you have the right to apply to the OAIC for a review 
of my decision. The application for review by the OAIC must be made in writing within 
60 days of the date of this letter, and be lodged in one of the following ways: 
Complete and lodge the online review form at:

GPO Box 5218, Sydney NSW 2001 
(02) 9284 9666 
Delivered in person 
Office of the Australian Information Commissioner 
Level 3, 175 Pitt Street 
Sydney NSW 2000 
10.  More information about your review rights under the FOI Act is available here:
Ben (person number 2355)  
FOI Officer  
02 October 2020 

11A Access to documents on request  
             (1)  This section applies if: 
                     (a)  a request is made by a person, in accordance with subsection 15(2), to an 
agency or Minister for access to: 
                              (i)  a document of the agency; or 
                             (ii)  an official document of the Minister; and 
                     (b)  any charge that, under the regulations, is required to be paid before access 
is given has been paid. 
             (2)  This section applies subject to this Act. 
Note:          Other provisions of this Act are relevant to decisions about access to documents, for 
example the following: 
(a)    section 12 (documents otherwise available); 
(b)    section 13 (documents in national institutions); 
(c)    section 15A (personnel records); 
(d)    section 22 (access to edited copies with exempt or irrelevant matter deleted). 
Mandatory access—general rule 
             (3)  The agency or Minister must give the person access to the document in 
accordance with this Act, subject to this section. 
Exemptions and conditional exemptions 
             (4)  The agency or Minister is not required by this Act to give the person access to 
the document at a particular time if, at that time, the document is an exempt 
Note:          Access may be given to an exempt document apart from under this Act, whether or not 
in response to a request (see section 3A (objects—information or documents otherwise 
             (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. 
             (6)  Despite subsection (5), the agency or Minister is not required to give access to 
the document at a particular time if, at that time, the document is both: 
                     (a)  a conditionally exempt document; and 
                     (b)  an exempt document: 
                              (i)  under Division 2 of Part IV (exemptions); or 
                             (ii)  within the meaning of paragraph (b) or (c) of the definition of exempt 
document in subsection 4(1).