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Part 5 Appendices

Appendix A: Agency resource statement and resources for outcomes

Table A.1: Office of the Australian Information Commissioner resource statement 2015–16[1]

 

 

Actual available appropriation for 2015–16
$’000

Payments made 2015–16
$’000

Balance remaining 2015–16
$’000

 

 

(a)

(b)

(a) – (b)

Ordinary Annual Services[2]

 

 

 

 

Departmental appropriation[3]

 

16,796

11,304

5,492

s 74 reattained receipts[4]

 

(842)

(842)

Total

 

15,954

11,304

4,650

Administered expenses

 

 

Total ordinary annual services

A

15,954

11,304

 

Other services

 

 

 

 

Administered expenses

 

 

Departmental non-operating

 

Administered non-operating

 

Total other services

B

 

Total available annual appropriations and payments

 

15,954

11,304

 

Special appropriations

 

 

 

 

Special appropriations limited by criteria and entitlement

 

 

Total special appropriations

C

 

Special accounts

 

 

Total special account

D

Total resourcing and payments

A + B + C + D

 

15,954

11,304

 

Less appropriations drawn from annual or special appropriations above and credited to special accounts

 

 

And/or payments to corporate entities through annual appropriations

 

 

Total net resourcing and payments for the Office of the Australian Information Commissioner

 

15,954

11,304

 

[1] All figures are GST exclusive.

[2] Appropriation Act (No.1) 2015-16 and Appropriation Act (No.3) 2015-16, and Appropriation Act (No. 5) 2014-15. Includes prior year departmental appropriation and section 74 Retained Revenue Receipts.

[3] Includes an amount of $0.02m in 2015-16 for the Departmental Capital Budget. For accounting purposes this amount has been designated as ‘contributions by owners’.

[4] Variance represents the difference between the original Budget estimate and actual section 74 retained revenue receipts during the reporting period.

 

Table A.2: Expenses and resources for Outcome 1
 

Budget[*] 2015–16

$’000

Actual expenses 2015–16

$’000

Variation 2015–16

$’000

 

(a)

(b)

(a) – (b)

Outcome 1

Provision of public access to Commonwealth Government information, protection of individuals’ personal information, and performance of information commissioner, freedom of information and privacy functions

Program 1.1

Complaint handling, compliance and monitoring, and education and promotion

Administered expenses

Departmental expenses

     

Departmental appropriation[1]

13,705

10,920

2,785

Special appropriations

Special accounts

Expenses not requiring appropriation in the Budget year

843

519

324

Total for program 1.1

14,548

11,439

3,109

Outcome 1 Total by appropriation type

     

Administered expenses

Departmental expenses

     

Departmental appropriation[1]

13,705

10,920

2,785

Special appropriation

Special accounts

Expenses not requiring appropriation in the Budget year

843

519

324

Total expenses for outcome 1

14,548

11,439

3,109

 

2015–16

2015–16

 

Average Staffing Level (number)

72

64

8

[*] Full-year budget, including any subsequent adjustment made to the 2015–16 budget at Additional Estimates.

[1] Departmental Appropriation combines Ordinary annual services (Appropriation Act Nos. 1, 3 and 5) and Retained Revenue Receipts under section 74 of the PGPA Act 2013.

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Appendix B: Memoranda of understanding

Our office receives and provides funding to a number of government agencies for the provision and receipt of specific corporate and privacy services. Below we’ve listed additional details about these arrangements.

Australian Human Rights Commission

The Australian Human Rights Commission (AHRC) continued to provide a number of corporate services to our office this year. The corporate services included financial, administrative, information technology and human resource related tasks. As a part of this, we also sub-let premises in Sydney from the AHRC.

For these services and the premises, we paid $2,050,749 (GST exclusive) to the Australian Human Rights Commission.

ACT Government

As a part of our three year MOU with the ACT Government, this year we continued to provide privacy services to ACT public sector agencies. These services included:

  • handling privacy complaints and enquiries about ACT public sector agencies in relation to the Information Privacy Act 2014 and its Territory Privacy Principles (TPPs)
  • providing policy and legislation advice
  • providing advice on data breach notifications, where applicable
  • carrying out privacy assessments
  • providing access to privacy seminars.

For these services, we received $173,398 (GST exclusive) from the ACT Government.

Department of Education and Training

We continued to support the Department of Education and Training with their Student Identifier (SI) Initiative. During the year, we entered into an MOU with the department to provide expert and timely advice on any privacy matters and issues that arise during the implementation and operation of the SI Initiative. Our services to the department include:

  • providing advice on privacy related manuals and protocols relating to the operation of the SI Initiative
  • handling privacy complaints and conducting conciliation for privacy breaches
  • receiving data breach notifications and providing advice
  • conducting privacy assessments.

For these services, we received $50,000.00 (GST exclusive) from the Department of Education and Training.

Department of Health

We continued to work closely with the Department of Health to provide support and assistance on privacy matters for the department’s Healthcare Identifiers (HI) and My Health Record projects.

For the Healthcare Identifiers project, we provided the following services:

  • handling privacy enquires and complaints
  • investigating cases of misuse of HIs by government agencies, businesses and individuals
  • receiving data breach notifications and providing advice
  • conducting privacy assessments
  • providing written guidance materials for individuals and participants in the healthcare industry
  • liaising and coordinating on privacy related matters and activities with key agencies as well state and territory agencies
  • preparing relevant communication and media materials
  • providing policy and legislation advice
  • monitoring and participating in eHealth developments.

For the My Health Record project, we provided the following services:

  • handling privacy enquires and complaints
  • investigating cases of misuse of HIs by government agencies, businesses and individuals
  • receiving data breach notifications and providing advice
  • investigate failures of notification for data breach notifications
  • conducting privacy assessments
  • providing written guidance materials for individuals and participants in the My Health Care system
  • liaising and coordinating on privacy related matters and activities with key agencies as well state and territory agencies
  • preparing relevant communication and media materials
  • providing policy and legislation advice
  • monitoring and participating in eHealth developments.

For these combined services, we received $1,865,519 (GST exclusive) from the Department of Health.

Department of Human Services

As a part of our ongoing work with the Department of Human Services, this year we continued to provide general privacy services and support to the Department of Human Services. We also continued to work with Centrelink, within the department to perform our responsibilities under the Data-matching Program (Assistant and Tax) Act 1990.

Our work with Centrelink spanned for the first half of the year. During the second half of the year, the MOU ceased and our funding was provided for in the Budget 2015–16.

For these services, we received $186,488 (GST inclusive) from the Department of Human Services.

Our work with the Department of Human Services on general privacy matters included:

  • providing general and tailored advice and guidance on specific privacy matters and interpretation of the APPs
  • providing tailored advice and comment on privacy impact assessments
  • providing tailored advice and assist on issues relating to eHealth.

For these services, we received $220,000 (GST exclusive) from the Department of Human Services.

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Appendix C: Privacy statistics

Table C.1: Issues in complaints: APPs

Issues

Total number of complaints

%

Openness and transparency

30

1.4

Anonymity and pseudonymity

5

0.2

Collection

233

11.0

Unsolicited personal information

3

0.1

Notification of collection

77

3.6

Use or disclosure

724

34.1

Direct marketing

108

5.1

Cross-border disclosure

3

0.14

Government identifiers

1

0.01

Quality of personal information

164

7.7

Security of personal information

424

20.0

Access to personal information

339

16.0

Correction

41

1.9

 

Table C.2: Stage at which complaints were closed

Stage closed

Number of complaints

%

Without investigation

369

18.1

Preliminary inquiries

875

42.9

Investigation

794

39.0

Total

2,038

100.0

 

Table C.3: Top reasons for closing complaints

Reasons for closing complaint

APPs

Credit reporting

NPPs (National Privacy Principles) or IPPs (Information Privacy Principles)

TFN (Tax File Number) or TPPs (Territory Privacy Principles)

Jurisdiction

Total

No breach

389

183

61

12

74

719

Adequately dealt with by respondent

408

80

26

3

1

518

Withdrawn

231

246

18

1

6

502

No response in specified period

45

39

 

1

 

85

Does not meet the Act’s requirements

       

73

73

for a complaint

           

Lacking in substance

31

6

3

   

40

Aware of incident for more than 12mths

 

6

11

   

17

 

Table C.4: Remedies in complaints finalised by agreement[*]

Remedy

APPs

Credit

IPP/NPP

TFN/TPP

Totals

Access provided

129

1

1

0

131

Record amended

74

48

5

0

127

Apology

106

6

9

0

121

Compensation

75

17

12

0

104

Changed procedures

70

2

6

2

80

Staff training

22

1

5

0

28

Other remedy

90

26

6

1

123

Compensation amounts

APPs

Credit

IPP/NPP

TFN/TPP

Totals

Up to $1000

15

4

2

0

21

$1001 to $5000

32

9

6

0

47

$5001 to $10,000

16

4

2

0

22

Over $10,001

12

0

2

0

14

[*] There may be more than one type of remedy per compliant finalised by agreement

 

Table C.5: Privacy assessments

Assessment subject

No. entities assessed

Year opened

Date closed

1 PNR (New administrative arrangements)

1

2014–15

Nov–15

2 Telstra — ss 306 and 306A obligations

1

2014–15

Dec–15

3 Optus — ss 306 and 306A obligations

1

2014–15

Jan–16

4 Vodafone — ss 306 and 306A obligations

1

2014–15

Feb–16

5 iiNet — ss 306 and 306A obligations

1

2014–15

Mar–16

6 Document Verification Service — business users

2

2015–16

Apr–16

7 Department of Immigration and Border Protection (bogus documents)

1

2015–16

Apr–16

8 Coles Flybuys Loyalty program

1

2015–16

Jun–16

9 Woolworths Everyday Rewards Loyalty program

1

2015–16

Jun–16

10 ACT Revenue Office

1

2015–16

Jun–16

11 Comcare

1

2015–16

Ongoing

12 Department of Immigration and Border Protection (Contractual arrangements)

1

2015–16

Ongoing

13 Department of Immigration and Border Protection (Advanced Passenger Processing)

1

2015–16

Ongoing

14 Department of Immigration and Border Protection (Smartgate)

1

2015–16

Ongoing

15 Universal Student Identifier (USI) — APPs 1 and 5

1

2015–16

Ongoing

16 Telstra: requests for information by law enforcement agencies — APP 11

1

2015–16

Ongoing

 

Table C.6: Digital health assessments

Assessment subject

No. entities assessed

Year opened

Closed

Assessment of access controls of GP clinics — APP 11

7

2014–15

Aug 2015

Assessment of privacy policies of GP clinics — APP 1

40

2014–15

Sep 2015

Follow up assessment of the implementation of recommendations made in the 2015 OAIC audit of the National Repositories Service

1

2015–16

Ongoing

Assessment of the National Prescription and Dispense Repository — APP 11

1

2015–16

Jun 2016

Assessment of the Australian Health Practitioner Regulation Agency’ handling of healthcare identifiers and associated personal information — APPs 10 and 11

1

2015–16

Ongoing

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Appendix D: FOI statistics

This appendix has been prepared using data collected from ministers and agencies subject to the FOI Act, and separately from the Administrative Appeals Tribunal and from our own records. Ministers and agencies are required to provide, among other details, information about:

  • the number of FOI requests made to them
  • the number of decisions they made granting, partially granting or refusing access, and the number and outcome of applications for internal review
  • the number and outcome of requests to them to amend personal records
  • charges collected by them.

The full data set given by ministers and agencies for the preparation of this appendix is published on data.gov.au.

Table D.1: Overview of FOI requests received and dealt with

FOI requests processing

2014–15

2015–16

% +/-

On hand at the beginning of the year

2,397

4,505

+ 87.9

Received during the year

35,550

37,996

+ 6.9

Requiring determination (i.e. on hand at the beginning of the year or received during the year)

37,947

42,501

+ 12.0

Withdrawn

3,641

3,203

- 12.0

Transferred

729

731

+ 0.3

Determined (*i.e. access granted in full, part or refused)

29,000

33,173

+ 14.4

Finalised (i.e. withdrawn, transferred or determined)

33,370

37,107

+ 11.2

On hand at the end of the year (i.e. requiring determination but not finalised)

4,577

5,394

+ 17.8

 

Table D.2: Numbers of FOI requests received over past six years

2010–11

2011–12

2012–13

2013–14

2014–15

2015–16

23,605

24,764

24,944

28,463

35,550

37,996

 

Table D.3: Number of FOI requests received — the top 20 and others
 

2014–15

2015–16

Agency

Personal

Other

Total[*]

Personal

Other

Total

Department of Immigration and Border Protection

18,245

606

18,851 (1)

20,889

590

21,479

Department of Human Services

4,383

118

4,501 (2)

4,573

114

4,687

Department of Veterans’ Affairs

3,395

41

3,436 (3)

3,318

20

3,338

Administrative Appeals Tribunal[**]

-

-

-

1,406

8

1,414

Australian Taxation Office

556

443

999 (5)

586

518

1,104

Australian Federal Police

373

132

505 (7)

446

175

621

Department of Defence

129

280

409 (8)

114

274

388

Australian Postal Corporation

213

31

244 (13)

245

41

286

Department of Foreign Affairs and Trade

122

209

331 (9)

90

184

274

Department of Health

3

320

323 (10)

1

271

272

Australian Securities and Investments Commission

31

223

254 (12)

43

199

242

Department of the Prime Minister and Cabinet

3

238

241 (14)

5

226

231

Attorney-General’s Department

55

204

259 (11)

47

175

222

Department of Employment

122

60

182 (18)

155

52

207

Department of Social Services

92

102

194 (17)

77

83

160

Department of Finance

11

127

138 (20)

4

144

148

Australian Transaction Reports and Analysis Centre

-

-

-

110

30

140

Department of the Treasury

3

209

212 (16)

6

130

136

Trade Marks Office

0

165

165 (19)

0

130

130

Comcare

-

-

-

71

54

125

Total top 20[^]

29,612

3,673

33,285

32,186

3,418

35,604

Remaining agencies and ministers

685

1,580

2,265

698

1,694

2,392

Total

30,297

5,253

35,550

32,884

5,112

37,996

[^] Shows the total for the top 20 agencies in 2014–15 (i.e. includes figures for agencies that is not in the top 20 agencies in 2015–16).

[*] Number in brackets after 2014–15 totals indicates the agency ranking for that year.

[**] MRT, SSAT & RRT merged into AAT in 2015

 

Table D.4: FOI requests determined

 

2014 –15

2016 –16

Decision

Personal

Other

Total

Personal

Other

Total

Granted in full

15,685

689

16,374

17,764

790

18,554

Granted in part

8,191

1,410

9,601

9,848

1,458

11,306

Refused

1,665

1,360

3,025

1,835

1,478

3,313

Total

25,541

3,459

29,000

29,447

3,726

33,173

 

Table D.5: FOI requests determined, the top 20 and others

Agency

Granted in full

%

Granted in part

%

Refused

%

Total

Department of Immigration and Border Protection

11,791

59.2

7,200

36.1

937

4.7

19,928

Department of Human Services

1,719

46.4

1,492

40.3

494

13.3

3,705

Department of Veterans’ Affairs

2,992

98.4

27

0.9

22

0.7

3,041

Administrative Appeals Tribunal

862

82.5

150

14.3

33

3.2

1,045

Australian Taxation Office

113

13.2

585

68.0

162

18.8

860

Australian Federal Police

31

5.6

366

66.2

156

28.2

553

Australian Postal Corporation

156

50.3

62

20.0

92

29.7

310

Department of Defence

38

14.5

158

60.0

67

25.5

263

Department of Foreign Affairs and Trade

23

11.3

114

56.2

66

32.5

203

Australian Securities and Investments Commission

30

15.2

59

30.0

108

54.8

197

Department of Health

39

21.0

65

35.2

81

43.8

185

Department of the Prime Minister and Cabinet

14

7.8

45

25.1

120

67.1

179

Attorney Generals’ Department

6

3.7

56

35

98

61.3

160

Department of Employment

76

55.5

46

33.6

15

10.9

137

Australian Transaction Reports and Analysis Centre

45

33.1

45

33.1

46

33.8

136

Department of the Treasury

7

5.6

21

16.8

97

77.6

125

Department of Social Services

52

45.6

23

20.2

39

34.2

114

Comcare

16

14.3

54

48.2

42

37.5

112

Civil Aviation Safety Authority

49

52.1

27

28.7

18

19.2

94

Trade Marks Office

31

35.6

54

62.1

2

2.3

87

Total top 20

18,090

57.5

10,649

33.9

2,695

8.6

31,434

Remaining agencies and ministers

464

26.7

657

37.8

618

35.5

1,739

Total

18,554

55.9

11,306

34.1

3,313

10

33,173

 

Table D.6: Use of exemptions in FOI decisions

FOI act reference

Exemption

Personal

Other

Total

%

s 33

Documents affecting national security, defence or international relations

534

143

677

5.0

s 34

Cabinet documents

0

78

78

0.6

s 37

Documents affecting enforcement of law and protection of public safety

968

223

1,191

8.8

s 38

Documents to which secrecy provisions of enactments apply

551

267

818

6.1

s 42

Documents subject to legal professional privilege

225

121

346

2.6

s 45

Documents containing material obtained in confidence

148

95

243

1.8

s 45A

Parliamentary Budget Office documents

1

1

2

-

s 46

Documents disclosure of which would be contempt of Parliament or contempt of court

14

16

30

0.2

s 47

Documents disclosing trade secrets or commercially valuable information

30

75

105

0.8

s 47A

Electoral rolls and related documents

7

2

9

0.1

s 47B

Commonwealth-State relations

76

90

166

1.2

s 47C

Deliberative processes

313

275

588

4.3

s 47D

Financial or property interests of the Commonwealth

3

16

19

0.1

s 47E

Certain operations of agencies

2,138

534

2,672

19.8

s 47F

Personal privacy

5,251

779

6,030

44.6

s 47G

Business

198

341

539

4.0

s 47H

Research

0

1

1

-

s 47J

The economy

0

1

1

-

 

Table D.7: Use of practical refusal

Practical refusal processing step

Personal

Other

Total

%

Notified in writing of intention to refuse request

720

634

1,354

-

Request was subsequently refused or withdrawn

532

420

952

70.3

Request was subsequently processed

188

214

402

29.7

 

Table D.8: Time taken to respond to FOI requests

 

2014–15

2015–16

Response time

Personal

Other

Total

Personal

Other

Total

Within applicable statutory time period

24,555

3,079

27,634

23,170

3,099

26,269

1 — 30 days over

743

247

990

3,453

313

3,766

31 — 60 days over

160

64

224

1,129

149

1,278

61 — 90 days over

45

28

73

632

63

695

90 + days over

38

41

79

1,063

102

1,165

Total

25,541

3,459

29,000

29,447

3,726

33,173

 

Table D.9: Determinations of FOI requests for amendment of personal records

Decision

2012–13

%

2013–14

%

2014–15

%

2015–16

%

Requests granted: amend record

1,873

64.7

2,040

61.8

1,624

63.9

1,497

60.2

Requests granted: annotate record

236

8.2

208

6.3

203

8.0

154

6.2

Requests granted: amend and annotate record

1

-

-

-

2

0.1

1

-

Requests refused

783

27.1

1,055

31.9

713

28.0

835

33.6

Total decided

2,893

100

3,303

100

2,542

100

2,487

100

Charges

Section 29 of the FOI Act provides for an agency or minister to impose charges for costs associated with processing some FOI requests. There is no charge for making an application.

Under the Freedom of Information (Charges) Regulations 1982, charges apply only to an initial access decision under Part III of the FOI Act. Charges that agencies can impose include costs associated with search and retrieval time, collating information and photocopying. An applicant may request that a charge be reduced or not imposed, and the agency must consider that request.

Table D.10: Charges collected — top 20 agencies and others

Agency

Requests received

Requests where charges were notified

Total charges notified $

Total charges collected $

Department of Health

272

102

76,147

13,446

Department of Defence

388

98

28,194

12,952

Department of Foreign Affairs and Trade

274

69

27,643

9,567

Great Barrier Reef Marine Park Authority

5

3

9,210

9,210

Australian Taxation Office

1,104

41

15,883

8,610

Department of the Environment

106

47

23,432

7,379

Department of Immigration and Border Protection

21,479

89

13,118

5,976

Department of Finance

148

82

28,926

5,748

Civil Aviation Safety Authority

106

17

13,436

5,480

Department of Infrastructure and Regional Development

96

33

21,726

5,057

Department of Human Services

4,687

61

23,081

4,289

Department of Education and Training

103

47

15,791

4,239

Department of Veterans’ Affairs

3,338

78

6,396

4,929

Department of Industry, Innovation and Science

79

8

6,304

3,825

Australian Securities and Investments Commission

242

14

14,803

3,691

Trade Marks Office

130

5

10,364

3,102

Department of Employment

207

24

5,264

2,938

Department of the Treasury

136

24

26,360

2,743

Attorney General’s Department

222

36

15,073

2,624

Department of Agriculture and Water Resources

72

16

5,002

2,598

Top 20

33,194

894

386,153

118,403

Remaining agencies and ministers

4,802

898

115,036

28,864

Total

37,996

1,792

501,189

147,267

Disclosure log

All Australian Government agencies and ministers that are subject to the FOI Act are required to maintain an FOI disclosure log on their website. The disclosure log lists information that has been released to FOI applicants, subject to some exceptions (such as personal information).

In 2015–16, 89 agencies and ministers provided information on disclosure log activity (down from 103 in 2014–15). Collectively, they listed 995 documents on their disclosure logs.

Review of FOI decisions

Under the FOI Act, an applicant who is dissatisfied with the decision of an agency on their initial FOI request has several avenues of review or redress.

A person who is dissatisfied with an agency’s access grant or access refusal decision can either apply for internal review or IC review of that decision.

Table D.11: Internal agency review of decisions — outcomes

Internal agency review decision

Personal

Other

2015–16 Total

Decisions affirmed

146

154

300

Access granted in full

61

17

78

Access granted in part

156

46

202

Access granted after deferment

1

0

1

Access granted in another form

6

4

10

Charges reduced

0

9

9

Lesser access

3

11

14

Withdrawn without concession

19

12

31

Total

392

253

645

Information Commissioner review of FOI decisions

Table D.12: IC review applications received

Agency

Total FOI requests received by agency

Access refusal decisions

Access grant decisions

Total IC reviews

Department of Immigration and Border Protection

21,479

102

0

102

Department of Human Services

4,687

54

0

54

Australian Federal Police

621

34

1

35

Australian Taxation Office

1,104

24

0

24

Department of the Prime Minister and Cabinet

231

23

0

23

Department of Defence

388

18

3

21

Department of Health

272

19

0

19

Department of Foreign Affairs and Trade

274

13

0

13

Australia Post

286

11

0

11

Department of the Environment

106

5

6

11

Australian Securities and Investments Commission

242

5

3

8

Department of Employment

207

8

0

8

Fair Work Commission

63

3

5

8

Bureau of Meteorology

22

7

0

7

Comcare

125

6

1

7

Department of Veterans’ Affairs

3,338

7

0

7

Civil Aviation Safety Authority

106

5

1

6

Australian Fisheries Management Authority

7

3

3

6

Department of Infrastructure and Regional Development

96

4

2

6

Aged Care Complaints Commissioner

10

5

0

5

Subtotal

33,664

356

25

381

Remaining agencies/ministers

4,274

120

9

129

Total

37,938

476

34

510

 

Table D.13: IC review outcomes

Information Commissioner decisions

2012–13

2013–14

2014–15

2015–16

s 54N — out of jurisdiction or invalid

66

59

37

44

s 54R — withdrawn

95

111

59

81

s 54R — withdrawn/conciliated

13

71

51

78

s 54W(a) — deemed acceptance of PV/appraisal

2

27

26

7

s 54W(a)(i) — frivolous, vexatious, misconceived, lacking in substance, or not in good faith

86

170

87

94

s 54W(a)(ii) — failure to cooperate

33

62

19

7

s 54W(a)(iii) — lost contact

9

0

5

5

s 54W(b) — refer AAT

17

41

61

32

s 54W(c) — failure to comply

2

0

0

0

s 55F — set aside by agreement

0

1

0

2

s 55F — varied by agreement

0

1

2

7

s 55F — affirmed by agreement

0

1

2

1

s 55G — substituted

7

4

5

16

s 55K — affirmed by IC

58

40

53

39

s 55K — set aside by IC

28

53

52

22

s 55K — varied by IC

3

5

23

19

Total

419

646

482

454

 

Administrative Appeals Tribunal review

An application may be made to the AAT for review of the Commissioner’s IC review decisions and where the Commissioner has indicated a matter is better dealt with directly by the AAT.

As with IC review, the AAT conducts a merits review process. The AAT’s decisions are appealable to the Federal Court of Australia, but only on a question of law.

Table D.14: Applications to AAT for FOI review

Agency

Applications

% of total applications

Australian Federal Police

2

11.1

Australian Fisheries Management Authority

2

11.1

Civil Aviation Safety Authority

1

5.6

Comcare

1

5.6

Commissioner of Taxation

1

5.6

Department of Agriculture and Water Resources

2

11.1

Department of Employment

1

5.6

Department of Environment

1

5.6

Department of Immigration and Border Protection

5

27.5

Fair Work Ombudsman

1

5.6

Office of the Australian Information Commissioner

1

5.6

Total

18

100.0

 

Table D.15: Outcomes of FOI reviews finalised by the AAT in 2015–16

AAT outcomes

Numbers

Heard and affirmed

4

Heard and varied

1

Heard and set aside/substituted

1

Varied by consent

1

Set aside and substituted by consent

3

Withdrawn

5

Varied by decision

1

Other (dismissed, no fee paid)

1

Complaints about agency FOI Actions

All FOI complaints were handled by the Commonwealth Ombudsman during 2015–16.

Impact of FOI on agency resources

To assess the impact on agency resources on compliance with the FOI Act, agencies are required to estimate the hours that staff spent on FOI matters and the non-labour costs directly attributable to FOI, such as training and legal costs.

Table D.16: Comparative total yearly cost of FOI processing

Year

Total cost $

Year

Total cost $

Year

Total cost $

1982–83*

7,502,355

1993–94

13,977,360

2004–05

22,860,022

1983–84

15,106,511

1994–95

11,955,482

2005–06

24,903,771

1984–85

16,496,961

1995–96

14,564,562

2006–07

24,936,178

1985–86

15,711,889

1996–97

15,972,950

2007–08

29,474,653

1986–87

13,336,864

1997–98

12,191,478

2008–09

30,358,484

1987–88

11,506,931

1998–99

13,066,029

2009–10

27,484,129

1988–89

10,494,376

1999–00

14,035,394

2010–11

36,318,030

1989–90

10,373,321

2000–01

14,415,406

2011–12

41,718,803

1990–91

9,921,772

2001–02

17,387,088

2012–13

45,231,147

1991–92

12,723,097

2002–03

18,398,181

2013–14

41,836,685

1992–93

12,702,329

2003–04

20,189,136

2014–15

40,021,572

 

 

 

 

2015–16

41,151,698

 

Table D.17: Average cost per FOI request for last 10 years

Year

Requests determined

Total cost

Average cost per request determined $

2006–07

34,158

24,936,178

730

2007–08

31,367

29,474,653

940

2008–09

25,139

30,358,484

1,208

2009–10

19,583

27,484,129

1,403

2010–11

20,187

36,318,030

1,799

2011–12

22,237

41,718,803

1,876

2012–13

21,764

45,231,147

2,078

2013–14

23,106

41,836,685

1,811

2014–15

29,000

40,021,572

1,380

2015–16

33,173

41,151,698

1,241

 

Table D.18: Reported time spent by staff on FOI matters for years 2011–12 to 2015–16

Percentage of time spent

2011–12

2012–13

2013–14

2014–15

2015–16

Staff numbers: 75–100% of time spent on FOI matters

249

284

287

291

259

Staff numbers: Less than 75% of time spent on FOI matters

3,722

3,546

3,623

3,046

3,378

Total staff hours

576,824

638,466

630,936

589,726

614,424

Total staff years

288.4

319.2

315.5

294.9

307.2

 

Table D.19: Estimated staff costs of FOI processing for 2015–16

Type of staff

Staff years

Total staff costs $[*]

FOI contact officers

234.0

27,878,802

SES

9.0

2,613,147

APS Level 6 and EL 1–2

25.8

4,471,234

APS Levels 1–5

37.0

3,643,282

Minister and advisers

0.6

138,190

Minister’s support staff

0.7

69,435

Total

307.2

38,814,091

[*] Includes 60% loading for related costs.

Non-labour costs

Table D.20: Non-labour costs for FOI processing for years 2011–12 to 2015–16, and the percentage change between 2014–15 and 2015–16.

Costs $

2011–12

2012–13

2013–14

2014–15

2015–16

%+/-

General legal advice

5,323,951

3,166,080

830,002

1,031,544

483,263

- 53.1

Litigation

1,299,393

727,879

157,781

764,772

930,047

+ 21.6

Total legal costs

6,533,344

3,843,959

987,783

1,796,316

1,413,310

- 21.3

General administrative

600,310

1,100,960

706,032

378,265

309,987

- 18.1

Training

398,373

303,437

134,989

334,599

341,303

+ 2.0

Other

312,270

266,893

78,352

114,453

273,007

+138.5

Total

7,864,297

5,515,249

1,907,156

2,623,633

2,337,607

- 10.9

Impact of the Information Publication Scheme on agency resources

Agencies are required to provide information about the costs of meeting their obligations under the Information Publication Scheme (IPS), which commenced on 1 May 2011.

Information Publication Scheme costs 2015–16

Table D.21: Reported time spent by staff on IPS matters for years 2011–12 to 2015–16, and the percentage change between 2014–15 and 2015–16

Percentage of time spent

2012–13

2013–14

2014–15

2015–16

%+/-

Staff numbers: 75–100% of time spent on IPS matters

20

17

5

8

+ 60.0

Staff numbers: Less than 75% of time spent on IPS matters

529

415

240

212

- 11.7

Total staff hours

46,959

26,116

10,696

7,083

- 33.8

Total staff years

23.5

13.1

5.3

3.5

- 34.0

 

Table D.22: Estimated staff costs of IPS for 2015–16

Type of staff

Staff years

Total staff costs $[*]

IPS contact officers

2.3

272,312

SES

0.1

44,600

APS Level 6 and EL 1–2

0.9

153,729

APS Levels 1–5

0.2

21,160

Total

3.5

491,801

[*] Includes 60% loading for related costs.

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Appendix E: Acronyms and abbreviations

Acronym or abbreviation

Expanded term

AAT

Administrative Appeals Tribunal

ACCAN

Australian Communications Consumer Action Network

AHRC

Australian Human Rights Commission

AIC Act

Australian Information Commission Act 2010

ANAO

Australian National Audit Office

APEC

Asia-Pacific Economic Cooperation

APF

Australian Privacy Foundation

APP

Australian Privacy Principle

APPA

Asia Pacific Privacy Authorities

APS

Australian Public Service

ATO

Australian Taxation Office

CALC

Consumer Action Law Centre

CCLCSA

Consumer Credit Law Centre South Australia

CII

Commissioner Initiated Investigation

CIO

Credit and Investments Ombudsman

CHF

Consumers Health Forum of Australia

CPEA

APEC Cross-border Privacy Enforcement Arrangement

CPN

Consumer Privacy Network

CTO

Common Thread Network

DBN

Data Breach Notification

DHS

Department of Human Services

DIBP

Department of Immigration and Border Protection

DSS

Department of Social Services

DVS

Document Verification Service

EDR

External dispute resolution

EFA

Electronic Frontiers Australia Inc.

ESD

Ecologically Sustainable Development

EWOQ

Energy + Water Ombudsman Queensland

EWON

Energy & Water Ombudsman NSW

EWOSA

Energy & Water Ombudsman SA

EWOV

Energy and Water Ombudsman Victoria

EWOWA

Energy and Water Ombudsman Western Australia

FOS

Financial Ombudsman Service

FOI

Freedom of information

FTE

Full-Time Equivalent

GCBRCA

Global Cross Border Enforcement Cooperation Arrangement

GP

General practice

GPEN

Global Privacy Enforcement Network

GST

Goods and Services Tax

HI

Healthcare Identifiers

IC

Information Commissioner

ICDPPC

International Conference of Data Protection & Privacy Commissioners

ISOC-AU

Internet Society of Australia

Information Commissioner

Australian Information Commissioner, within the meaning of the Australian Information Commissioner Act 2010.

IPP

Information Privacy Principle

IPS

Information Publication Scheme

MOU

Memorandum of Understanding

MYEFO

Mid-Year Economic and Fiscal Outlook

My Health Records Act

My Health Records Act 2012

NPP

National Privacy Principle

OAIC

Office of the Australian Information Commissioner

PGPA Act

Public Governance, Performance and Accountability Act 2013

PNR

Passenger Name Record

PPN

Privacy Professionals’ Network

Privacy Act

Privacy Act 1988

PTO

Public Transport Ombudsman Victoria

SES

Senior Executive Service

SI

Student Identifier

SME

Small and Medium Enterprises

SRC Act

Safety, Rehabilitation and Compensation Act 1988

Telecommunications Act

Telecommunications Act 1997

TCO

Tolling Customer Ombudsman

TFN

Tax File Number

TIA Act

Telecommunications (Interception and Access) Act 1979

TIO

Telecommunications Industry Ombudsman

TPPs

Territory Privacy Principles

UN

United Nations

WSML

Western Sydney Medicare Local

WHS

Workplace Health and Safety

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Appendix F: Index

The index is not available in accessible HTML. If you require the index in an alternate format, please send your request to website@oaic.gov.au.

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Appendix G: Requirements

Description

Requirement

Part of report

Letter of transmittal

Mandatory

3

Table of contents

Mandatory

4–5

Index

Mandatory

163

Acronyms and abbreviations

Mandatory

159

Requirements

Mandatory

current page

Contact officer(s)

Mandatory

2

Internet home page address and internet address for report

Mandatory

2

Review by accountable authority

Mandatory

11–13

Role and functions of the entity

Mandatory

8–9,

18–19

Organisational structure of the entity

Mandatory

20–21

Outcomes and programmes administered by the entity.

Mandatory

30–75

Purposes of the entity as included in corporate plan.

Mandatory

10

Outline of the structure of the portfolio of the entity.

Portfolio departments — mandatory

8,20–21

Outcomes and programmes administered by the entity differ from any Portfolio Budget Statement, Portfolio Additional Estimates Statement or other portfolio estimates statement that was prepared for the entity for the period

If applicable, mandatory

N/A

Annual performance statement in accordance with paragraph 39(1)(b) of the Act and section 16F of the Rule.

Mandatory

30–35

Discussion and analysis of the entity’s financial performance

Mandatory

88–119

Table summarising the total resources and total payments of the entity.

Mandatory

123–124

Significant changes in the financial results during or after the previous or current reporting period, information on those changes

If applicable, mandatory

88–119, 123–124

Information on compliance with section 10 (fraud systems)

 

86

Certification by accountable authority that fraud risk assessments and fraud control plans have been prepared

Mandatory

3

Certification by accountable authority that appropriate mechanisms for preventing, detecting incidents of, investigating or otherwise dealing with, and recording or reporting fraud that meet the specific needs of the entity are in place

Mandatory

3

Certification by accountable authority that all reasonable measures have been taken to deal appropriately with fraud relating to the entity

Mandatory

3

Outline of structures and processes in place for the entity to implement principles and objectives of corporate governance

Mandatory

38

Statement of significant issues reported to Minister under paragraph 19(1)(e) of the Act that relates to non–compliance with Finance law and action taken to remedy non–compliance

If applicable, mandatory

N/A

Most significant developments in external scrutiny and the entity’s response to the scrutiny

If applicable, mandatory

N/A

Judicial decisions and decisions of administrative tribunals and by the Australian Information Commissioner that may have a significant effect on the operations of the entity

If applicable, mandatory

N/A

Information on any reports on operations of the entity by the Auditor–General (other than report under section 43 of the Act), a Parliamentary Committee, or the Commonwealth Ombudsman

If applicable, mandatory

N/A

Information on any capability reviews on the entity that were released during the period

If applicable, mandatory

N/A

Assessment of entity’s effectiveness in managing and developing employees to achieve objectives

Mandatory

N/A

Statistics on the entity’s APS employees on an ongoing and non-ongoing basis including the following:

Statistics on staffing classification level;

Statistics on full-time employees;

Statistics on part-time employees;

Statistics on gender;

Statistics on staff location;

Statistics on employees who identify as Indigenous

Mandatory

79–83

Information on any enterprise agreements, individual flexibility arrangements, Australian workplace agreements, common law contracts and determinations under subsection 24(1) of the Public Service Act 1999

Mandatory

82

Information on the number of SES and non-SES employees covered by agreements etc. identified in paragraph 17AD(4)(c)

Mandatory

80, 82

The salary ranges available for APS employees by classification level

Mandatory

80

A description of non-salary benefits provided to employees

Mandatory

82

Performance pay:

Information on the number of employees at each classification level who received performance pay.

Information on aggregate amounts of performance pay at each classification level.

Information on the average amount of performance payment, and range of such payments, at each classification level

Information on aggregate amount of performance payments

If applicable, mandatory

82

An assessment of effectiveness of assets management where asset management is a significant part of the entity’s activities

If applicable, mandatory

N/A

An assessment of entity performance against the Commonwealth Procurement Rules

Mandatory

84–85

A statement on existing and continuing consultancy contracts

Mandatory

84–85

A statement regarding consultancy contracts

Mandatory

84

A summary of the policies and procedures for selecting and engaging consultants and the main categories of purposes for which consultants were selected and engaged

Mandatory

84–85

A statement that confirms information on the value of contracts and consultancies is available on the AusTender website

Mandatory

84–85

Statement regarding not providing the Auditor– General with access to the contractor’s premises if an entity entered into a contract with a value of more than $100 000 (inclusive of GST)

If applicable, mandatory

N/A

Statement regarding exempt contracts if an entity entered into a contract or there is a standing offer with a value greater than $10 000 (inclusive of GST) which has been exempted from being published in AusTender

If applicable, mandatory

N/A

A statement supporting small business participation in the Commonwealth Government procurement market

Mandatory

85

An outline of the ways in which the procurement practices of the entity support small and medium enterprises

Mandatory

85

If the entity is considered by the Department administered by the Finance Minister as material in nature—a statement that small businesses are paid on time

If applicable, mandatory

N/A

Inclusion of the annual financial statements in

Mandatory

88–119

Statement regarding advertising campaigns

If applicable, mandatory

N/A

If the entity did not conduct advertising campaigns, a statement to that effect

If applicable, mandatory

N/A

A statement about grants awarded

If applicable, mandatory

86

Outline of mechanisms of disability reporting, including reference to website for further information

Mandatory

86

Website reference to where the entity’s Information Publication Scheme statement pursuant to Part II of FOI Act can be found

Mandatory

87

Correction of material errors in previous annual report

Mandatory

N/A

Information required by other legislation

Mandatory

128–156

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