DOCUMENT 1
FOI 21/22-0045
Freedom of Information
This step: Processing a request for access under the FOI Act.
Next step: Processing a request for internal and/or Information Commissioner review of a
decision made under the FOI Act
.
1.
Purpose
This Standard Operating Procedure (SOP) outlines the processing of a request for
access under section 15 of the
Freedom of Information Act 1982 (Cth) (FOI Act).
2.
To be used by
This SOP is to be used by NDIA staff responsible for processing Freedom of
Information (FOI) requests.
3.
Scope
This SOP applies to request for access made under section 15 of the FOI Act. This is
separate to:
requests for access to personal information made under Australian Privacy
Principle (APP) 12 of the
Privacy Act 1998 (Cth); and
requests made under the Participant Information Access (PIA) process.
4.
Prerequisites
In accordance with section 15(2) of the FOI Act, a request must:
be in writing;
state that it is an application for the purposes of the FOI Act;
provide an address for reply; and
provide enough information about the documents to enable the NDIA to locate
them.
The NDIA must take reasonable steps to assist applicants to make a request. If a
request does not meet section 15, the NDIA will contact the applicant to obtain any
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6.
Triage
Further to advice on the NDIA website, the Agency is able to provide access to certain
personal information without the need for a formal FOI request. On receipt of a request
for personal information that does not appear to meet section 15(2) of the FOI Act, the
FOI Coordinator will assess whether the request is intended to be a request for access
under the FOI Act, or whether it is a request for personal information which can be
processed administratively through the Participant Information Access scheme (PIA).
If the applicant does not specify that their request is intended to be made in accordance
with the FOI Act, the FOI Coordinator may refer the matter to be processed
administratively by referring it to the PIA document release process.
If the request is intended to be a request under the FOI Act, the FOI Coordinator will
assist the applicant to make a valid request.
6.1 Registration of an FOI request
FOI requests can be made anonymously. However, where the request seeks access
to personal information, it is preferable to verify the applicant’s identity. This is important
to consider in the context of unreasonable disclosure of personal information (section
47F).
Where possible, the FOI Coordinator will attempt to verify the applicant’s identity.
6.1.2 Verify identity (for requests involving personal information)
s47E(d) - certain operations of agencies
6.1.3 Consent
Where the applicant is willing to provide their details and they are not the person who is
the participant to whom the request relates, it is preferable to confirm that the applicant
has the authority to act on behalf of the participant, and this is usually given through
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what is known as express consent. Where express consent has been given, it will
appear in CRM. s47E(d) - certain operations of agencies
Appropriate authority includes, but is not limited to:
The applicant is a Plan Nominee on the participant’s CRM;
The applicant is a Child Representative on the participant’s CRM.
Consent can also be given in writing.
6.1.4 Registration
Requests falling under the FOI Act are registered as individual matters, each with a
unique reference number, R-Drive folder and LEX file. Key communications and
documents arising from a matter must be saved on the R-Drive and LEX. Where a
request seeks documents about an NDIS participant, an interaction record is created on
their customer record.
Once the decision is notified to the applicant, the interaction record is closed.
6.1.3 Data and Reporting
FOI requests are also recorded on the ‘FOI Database’. The database summarises FOI
request data, including timeframes, outcomes and the use of exemptions. This allows
for trends and averages to be calculated and analysed. It also allows for quarterly and
annual reporting to the OAIC.
Each week, the FOI Coordinator will prepare a report of significant FOI requests.
7.
Processing
7.1 Determining the Scope of a Request
Where a request is broad or large, the FOI Team will consult the applicant to revise or
narrow the scope of their request so that it can be processed. Variations to a request’s
scope must be confirmed by the applicant in writing. An applicant’s refusal to modify the
scope of a voluminous request may cause grounds under section 24AA for a decision
maker to issue a ‘practical refusal’. Where a request is large, consideration should be
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given to whether seeking an extension of time from the applicant would enable the
processing to take place without placing undue burden on the Agency resources.
7.1.1 Acknowledgement letter
Section 15(5)(a) of the FOI Act requires that requests are acknowledged within 14 days
of receipt.
Provided that a request is valid, requests are acknowledged via an ‘Acknowledgement
Letter’ as soon as practicable and no later than 14 days from receipt.
7.2 Searching and bundling documents for release
An Action Officer will prepare a matter assessment for the Decision Maker, seeking
instruction on next steps. This assessment will make an initial determination on validity,
the documents potentially falling within the scope of the request, the authority of the
applicant to receive information, the likely size of the request and will also address any
potential consultations and complexities.
The Decision Maker will instruct the Action Officer on the basis of the matter
assessment, making comments and changes as necessary. The Action Officer will then
gather the relevant documents before drafting a Decision Letter for review by the
Decision Maker.
7.2.1 Searching for documents
Documents are often located from the following sources:
NDIA email server
Network Drives (R Drive)
HPRM
PDMS+
A participant’s CRM file (for personal matters); and/or
Through consultation with line areas.
Where documents exist on CRM, the CRM Guide should be referred to for guidance in
saving documents.
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Line areas may be consulted using the appropriate email template where a request
seeks documents not uploaded to CRM, or where advice is sought regarding
exemptions. Consultations must be in writing and must provide a specified date for the
return of documents and advice.
7.2.2 Preparing a bundle of documents
The relevant documents will be provided to the Decision Maker in PDF format with
appropriate redactions marked up (if any), the correct FOI reference number, and pages
and documents numbered.
7.2.3 Preparing the draft decision
Notice of Decision letters are drafted in accordance with the following template:
s47E(d) - certain operations of agencies
8.
Extensions of time
8.1 Seeking extension of time from the applicant
Where further time is required to process an FOI request, an extension of time of up to
30 days may be sought from the applicant. Approval must be sought from the Decision
Maker before seeking an extension of time.
If the applicant agrees, this consent must be notified to the OAIC, preferably through
their webform.
8.2 Seeking extension of time from OAIC
Where an FOI request is large and/or complex, if the applicant does not agree to an
extension of time, extension of up to 30 days may be sought from the OAIC and again,
preferably through the OAIC webform. Further extensions may not be granted and all
extension considerations are at the discretion of the OAIC. Approval must be sought
from the Decision Maker before making application to the OAIC for an extension of time.
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9.
Decisions on Access
9.1.1 Full Access
Documents which do not contain exempt information are released in their entirety as
part of a ‘Full Access Decision’.
9.1.2 Partial Access and Access Refused
Documents containing exempt information are released as a ‘Partial Access Decision’,
with the exempt material redacted. A partial access decision may a combination of
redacted and unredacted documents.
Access to a document must be refused where the document is exempt in its entirety.
The Notice of Decision must justify the use of all exemptions, whether access is in part
or refused.
10. Finalising and closing the matter
10.1 Preparing the decision to be sent
Once the Decision Maker has made a decision, the Action Officer will:
Apply an accessibility check on the decision letter;
Apply any tracked changes in the letter;
Apply any redactions;
Sanitise the bundle; and
Prepare a covering email, to be privacy checked by another team member.
10.2 Finalising the matter
A covering email with the Notice of Decision and documents attached will be sent to the
applicant. All correspondence (both internal and external) must then be saved to the R-
drive.
The Action Officer will then close off the matter on CRM, LEX and the FOI Database. An
email must be sent to the Decision Maker noting that the above tasks have been
completed.
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DOCUMENT 2
FOI 21/22-0045
Standard Operating Procedure Registration
Registration of FOI/APP12 Requests
Previous Step:
Triage SOP
Next Step:
FOI/APP12 SOP
1. Purpose
This Standard Operating Procedure (SOP) outlines the process of registering and recording
new requests for information received by the Agency, through the Freedom of Information
(FOI) and Privacy Act (APP12) release mechanisms. This SOP is to be used when new
requests for information are received by the FOI team, via the xxx@xxxx.xxx.xx inbox.
2. Index
1. Purpose
2. Index
3. To be used by
4. Scope
5. Prerequisites
6. Procedure
Registration Processes
6.1
Allocation
6.2
Create New Matter in
s47E(d) - ce
6.3
Create R Drive Folder
6.4
Database Entry
6.5
Registration Checklist
6.6
Interaction Records
Other Processes
6.7
Transfer Matters
6.8
Disclosure Log Updates
6.9
Acknowledgement Letter Tracker
7. Supporting Material
8. Process Owner and Approver
9. Feedback
10. Version Control
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Standard Operating Procedure Registration
s47E(d) - certain operations of agencies
Create R Drive Folder
6.3.1 Create Folder
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Standard Operating Procedure Registration
1. Copy template folder located in R Drive (here):
s47E(d) - certain operations of agencies
2. Paste template folder in:
s47E(d) - certain operations of agencies
3. Rename folder with LEX number created and FOI Reference No
e.g. [
ID] – FOI 20.21-XXXX (NA
s47E(d) - ce
ME)
s47E(d) - ce
or [
ID] – 20.21-APPXXX
(NAME)
6.3.2 Save Original Request
1. Open the folder and place original email request and any attachments in Registration
Folder:
1. Registration > Original Request
2. Place any subsequent correspondence with or from applicant in:
2. Communication with Applicant
6.3.3 Draft Acknowledgement Letter
1. Open template Acknowledgment Letter located in Shell Folder:
1. Registration > Acknowledgment
2. Delete the Acknowledgement Letter folder for APP12, IR and OAIC requests as they
are not required.
3. Fill and complete Acknowledgment Letter adding relevant information.
Database Entry
s47E(d) - certain operations of agencies
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Standard Operating Procedure Registration
Interaction Records
6.6.1 Determine Assigned Action Officer (AO)
When FOI and APP12 requests for personal information have been allocated, go
through the allocation database to see who the AO is (
interaction records are not
required for Non-Personal requests).
s47E(d) - certain operations of agencies
s47E(d) - certain operations of agencies
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Standard Operating Procedure Registration
Other Procedures
Transfer Matters
6.7.1 Transfer Matters between Release Mechanisms
If a matter has been registered with one release mechanism (FOI, PIA or APP12) but is later
identified as being more appropriate to a different release mechanism, then the matter needs
to be transferred and details updated.
1. Find the LEX file of the relevant matter, mark it as withdrawn and enter the following
text into File Notes to indicate a transfer between release mechanisms:
“This matter has been transferred from FOI / APP12 / PIA to FOI / APP12 /
PIA on dd/mm/yyyy”
2. Create a new
file and R Drive folder with th
s47E(d) - ce
e new release mechanism details.
3. Create a new entry into the database of the new release mechanism and mark the
original database entry as withdrawn.
6.7.2 De-Registration of Matters
If split requests are merged together, the now un-required FOI, APP12, or PIA Reference
numbers need to be closed off.
1. Find the LEX file of the relevant matter and mark ‘Status’ as ‘Closed’ and ‘Outcome’
as ‘Withdrawn’.
2. Move the R Drive folder from ‘Active Matter’ to ‘Archived Matters’.
3. Close off the matter in the database and mark ‘Outcome’ as ‘Withdrawal’
Disclosure Log Updates
6.8.1 Disclosure Log Updates
New Discourse logs will be found on the NDIS website under FOI Disclosure log and new
Disclosure log requests will be sent via email.
1. Take the FOI reference number from the NDIS website under FOI Disclosure log and
find the matter in s47E(d) - certain operations of agencies
(for current matters) or s47E(d) - certain operations of agencies
for archived matters)
2. Copy the reference number, name and the PDF document found in the Disclosure
log folder
FOI matter > 7.Disclosure Log >
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Standard Operating Procedure Registration
3. Create a new folder in s47E(d) - certain operations of agencies
and paste the reference number and
name
4. Paste the PDF document into the new folder
5. Open 1 Disclosure log excel found s47E(d) - certain operations of agencies
6. Input following information:
Reference #
Date
date the disclosure log was released
Description
copy FOI request found on the NDIS website
Applicant
who the FOI request was made by
Exemptions applied
where the redactions were applied
Current version
Comments
Document
hyperlink the PDF file
7. Update Subsequent Releases
Disclosure log requests update the Subsequent Releases in the 1 Discourse
log excel
Acknowledgment Letter Tracker
6.9.1 Record New Matters in Ack Letter Tracker
1. Open the Acknowledgement Letter Tracking spreadsheet
s47E(d) - certain operations of agencies
2. Enter in reference number, name and date of request – acknowledgment letter due
date will automatically calculate
3. Open FOI allocation excel and search for the reference number/name to find the AO,
RO and DM
s47E(d) - certain operations of agencies
(FOI Allocation)
4. Copy the AO and RO (
if the RO and DM are the same). If they are different then copy
the AO and DM
5. Paste into the Ack letter tracker column for AO and DM’s
6.9.2 Track Outgoing Acknowledgement Letters
1. Open outlook and search each reference number in the FOI inbox and check if an
acknowledgement letter has been sent
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Standard Operating Procedure Registration
Search FOI> ‘20/21-XXXX’ (subfolders) > Search
2. Click yes or no using the drop box next to the acknowledgment letter due date
3. Filter the matters to only show ‘no’
4. Now using the DM outstanding ack letters sort the remaining matters to each DM
5. Send an email to all DM’s notifying them of what acknowledgment letters need to be
sent out in the coming week
7. Supporting material
NDIS Act – Section 75 on Parental Authority
Triage SOP
Release Mechanism Checklist
8. Process owner and approver
Registration Officer – FOI Team
Director/Assistant Director – FOI Team
9. Feedback
s47E(d) - certain operations of agencies
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DOCUMENT 3
FOI 21/22-0045
Standard Operating Procedure
FOI Triage
Triage of the FOI mailbox
Next Step:
Registration of
FOI Requests.
1. Purpose
This Standard Operating Procedure (SOP) is to be used to triage and manage the
Freedom of Information (FOI) mailbox. This SOP will provide guidance in how to triage
the FOI inbox and to streamline the triage process
2. Index
1. Purpose
2. Index
3. To be used by
4. Scope
5. Prerequisites
6. Procedure
6.1 Inbox
6.2 ACTION Folder
6.3 UNALLOCATED
6.4 REGISTRATION
6.4.1 TO ACTION
6.4.2 REGISTERED
7. Supporting material
8. Release Mechanism Checklist (FOI)
9.Process owner and approver
10. Feedback
11. Version control
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Standard Operating Procedure
FOI Triage
3. To be used by
This SOP is intended for the following users:
FOI Coordinator; and
FOI Team.
4. Scope
This SOP serves to provide an overview of how the FOI Mailbox (foi@ndis,gov.au)
is structured, as well as best practice guide to managing workflow within this
mailbox. Diligent application of this SOP will ensure seamless workflow and all
statutory timeframes are adhered to.
5. Prerequisites
The triage aspect of the FOI process is the first point of contact for a participant
and/or their representative in terms of submitting a FOI request or a general enquiry
about seeking access to information;
Before providing contact or forwarding emails on to relevant staff, privacy must be
considered in terms of email addresses for receipt and the type of information that is
being provided or forwarded on;
It is critical that contact is made with participants and internal/external stakeholders
in a timely matter that engage the inbox.
6. Procedure
Emails received to the xxx@xxxx.xxx.xx mailbox should be triaged and addressed as a
matter of urgency.
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Standard Operating Procedure
FOI Triage
The folder structure for this positional mailbox currently resembles the following:
The below folders assist in streamlining the triage process:
6.1 Inbox
This folder is the communication nexus of the FOI Team, acting as the primary avenue
for the receipt of FOI requests, APP12 requests, consultations and communications with
internal and external bodies. Emails should not remain in this folder, but rather should
be directed to the relevant team members with carriage of a matter or work-flowed per
the below.
6.2 ACTIONED Folder
This folder serves as an archive for all correspondence that has been received by or
sent from the xxx@xxxx.xxx.xx email address. Once an email has been sent to the
appropriate stakeholder it should be moved to the Actioned Folder to denote that there
is no further action required from the Triage Team.
6.3 UNALLOCATED REQUESTS
This folder is the holding point for valid FOI requests which have not yet been registered
by the Registration Officer. Once these matters have been registered and allocated to
the appropriate staff they must be moved to the ALLOCATED REQUEST folder
6.4 REGISTRATION
This is the working folder for the Registration & Allocations Officers.
For more information see Registration Officer SOP
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Standard Operating Procedure
FOI Triage
6.4.1 TO ACTION
This sub-folder contains the FOI Allocation Email Shell which is to be actioned by the
Registration Officer in their course of their duties. Once complete these emails will be
moved to the REGISTERED subfolder.
6.4.2 REGISTERED
This sub-folder contains the completed FOI Allocation Email Shell. Once it has been
filled out and registered on all platforms by the Registration Officer, the completed
allocation email is reviewed and sent by the Allocations Officer. This matter has now
been allocated to an AO/DM pairing for processing.
7. Supporting material
NDIS Act 2013
.FOI Webpage
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Standard Operating Procedure
FOI Triage
Website
An issue or suggestion from someone about the website
Forward copy of email to
s47E(d) - certain operations of agencies and
s47E(d) - certain operations of agencies for ther
action/information.
s47E(d) - certain operations of agencies
s47E(d) - certain operations of agencies
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Standard Operating Procedure
FOI Triage
External Consultations may need to be
If yes – advise AO/DM to complete as soon as possible
conducted?
s47E(d) - certain operations of agencies
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