PN069 - FREEDOM OF INFORMATION POLICY...1 of 13 Policy: Freedom of Information Policy Effective date: 29 July 2009 THIS IS THE DATE THE POLICY WAS APPROVED Version: 2.0 Approved by:

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Policy: Freedom of Information Policy Effective date: 29 July 2009 THIS IS THE DATE THE POLICY WAS APPROVED

Version: 2.0 Approved by: Director, Corporate Services Last Updated 29 July 2009 UNCONTROLLED WHEN PRINTED

Policy Number: PN 069

RTA Corporate Policy

FREEDOM OF INFORMATION POLICY

1. Introduction

This policy explains how to implement the requirements of the Freedom of Information (FOI) legislation, concerning applications for information and amendments to records within the RTA, in order to complete FOI requests efficiently & effectively and in accordance with the legislation.

This policy should ensure RTA staff are aware of who is authorised to make determinations to release or withhold documents/information requested under the FOI legislation.

Legislation

The objects of the FOI Legislation are to extend, as far as possible, the rights of the public to:

• obtain access to information held by the Government; and

• ensure that records held by the Government concerning the personal affairs of members of the public are not incomplete, incorrect, out of date or misleading.

The RTA is committed to achieving the objects of the FOI legislation.

Authority

The determining authority in relation to requests for access to documents/information under the Freedom of Information Act 1989 (FOI Act), rests with the Manager, Records Access Unit as the delegated decision maker. Specified officers under his/her control have specific decision making delegations.

The Manager, Records Access Unit (RAU) is accountable to the Director, Corporate Services and through the Director to the Chief Executive, for the effective, efficient management of the FOI function and its compliance with relevant legislation.

2. Scope and coverage

This policy applies to all staff and all units within the RTA. It also includes documents and/or information held by outside organisations, but to which the RTA has a right of access, due to contractual or other arrangements.

3. Purpose and intended outcomes

The purpose of this policy and the associated guidelines is to ensure all RTA staff are aware of the:

• responsibilities and accountabilities of each person involved in the FOI process for applications to access information;

• responsibilities in relation to applications for amendments to documents; and

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• internal review process.

The outcome of this policy should be to ensure all staff are clear on the requirements of the FOI Act and their individual roles, responsibilities and authority in relation to the relevant process.

3. Communication

3.1 Only the RAU Case Manager (or Manager, RAU) is authorised to have contact with the Applicant. Under no circumstances are any other RTA staff permitted to contact the Applicant. In the event of an Internal Review, the General Counsel will also have contact with the Applicant.

3.2 Communication with the Minister for Roads is limited to fortnightly reports, when a determination is completed and when the Office is a Subject Matter Expert for the purposes of Cabinet-in-Confidence documents. If the RAU regards it as necessary that some question be asked of the Minister’s Office, this must be formal and in writing, via the Manager, Records Access Unit and Director Corporate Services. The Minister’s Office will provide a formal reply, in writing. Both any question and answer must be placed and retained on the FOI file as a permanent record.

4. Case Law

The Manager, RAU will keep records of any case law relating to the FOI Act and ensure necessary amendments to this Policy are recommended for approval in a timely manner to ensure ongoing compliance by the RTA with legislative and case law requirements.

5. Guidelines

The RAU will issue Guidelines from time to time, to provide staff with information that will assist them in meeting the objects of the FOI Act and the efficient implementation of this Policy. These guidelines are to be followed by all staff.

6. Breaches

The unauthorised destruction of documents is a breach of the State Records Act 1998 (s21.), which carries criminal penalties for such actions. In addition, destruction of documents or failure to supply the relevant documents could constitute a breach of the RTA’s Code of Conduct. Such actions could be investigated and reported by the Ombudsman as misconduct of a public official or investigated by ICAC for corrupt conduct. Certain types of corrupt conduct may amount to criminal conduct under the Crimes Act 1990 or Commonwealth law.

7. Resolution Process

If RTA staff members feel they are receiving undue pressure or influence in the handling of an FOI matter, in conflict with this Policy or the FOI Act, there are several avenues which are available. Staff members may raise such issues with their Supervisor, call the Ethics Hotline (1800 043 642) for a confidential discussion, or discuss the matter with a Senior Manager within the Legal Branch or Governance Branch.

8. Management Monitoring and Audit

There are a range of systems, processes and controls that provide assurance that this Policy is complied with. These include a division of responsibilities and authority across a number of

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directorates and timely management reporting. In addition there are management monitoring and audit processes that are performed independently of the RAU:

• an annual review by management of the Corporate Services Directorate (CSD), (but independent of the RAU) performed of a random selection (5%) of FOI applications to assess compliance with this Policy. CSD management have the option of engaging an independent panel firm to perform this review; and

• the Internal Audit Section of the Governance Branch performs audits of compliance with this Policy as part of its ongoing audit program.

9. Related information

Reference documents: The applicable legislation includes the Freedom of Information Act 1989, the Health Records and Information Privacy Act 2002, the Privacy and Personal Information Protection Act 1998 and the Administrative Decisions Tribunal Act 1997. The Premier's Department and the NSW Ombudsman have produced a Freedom of Information Procedure Manual to provide guidance on processing FOI applications. This document can be purchased in hard copy or accessed via their respective web sites.

Contact details: The Manager, Records Access Unit is responsible for maintaining, advising on and implementation of this policy. Contact details are telephone (02) 8588 4980 or email [email protected]

Effective date: 12 February 2009

First published: 01/07/1989

Review date: 01/12/2008

Policy replaces: Decision Making Delegations under the Freedom of Information and Privacy Acts – 4 January 2008.

10. Appendices

The following charts outline the process to be followed for all FOI requests and internal reviews.

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RTA FOI Process Flow – ALL APPLICATIONS

1. Entered into Case Management Database2. Acknowledgement letter sent to Applicant3. Fee receipt issues (if not already provided)4. Request is classified as either: Significant, Complex or

General.

1. FOI Request received by the RTA2. Request immediately provided to

RAU

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FOI Process Flow – SIGNIFICANT APPLICATIONPhase 1: Receive and Process Application

1. Determine the time required to complete the search of documents.

2. If time requirement is under 2 hours, collate the documents and provide to the FOI Coordinator. Otherwise, advise the FOI Co-ordinator on the expected time required to locate the information

1. Contact relevant Subject Matter Experts (SMEs) for the gathering of documents, or advise RAU that the information may be held in another Directorate

1. Email request for search of documents to relevant Director(s) and CC relevant FOI Co-ordinator(s)

2. RAU makes oral confirmation of receipt of the request

1. Update database 2. Advise applicant of the total

estimated cost and advance deposit required

1. Applicant advised

1. Receive time assessment to locate documents

1. If documents have been provided, proceed to phase 2. Otherwise, co-ordinate time estimate information with SME(s)

Timeframe1. RAU to advise Directorate(s) and FOI Coordinator(s) of

request within 2 working days of receipt of request2. Directorate to provide documents or advise of the time

estimate within 2 working days

Note: the FOI Act requires the RAU to complete their determination within 21 days unless an advance deposit is requested or consultation is required

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Directors, General Managers or any RTA staff have NO ROLE in making a determination. This authority is solely delegated to the RAU. However the RAU relies on subject matter experts to assist the RAU to interpret the documents and highlight any key issues. When a draft determination is sent to the relevant Director for comment a response is required within two days. The RAU will contact the Director’s nominated assistant if there has not been a response within the timeframe. If the signed file is not returned within a reasonable time (2 – 3 hours) the RAU will release the determination and accompanying documents without any further correspondence with the Director.

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FOI Process Flow – COMPLEX APPLICATIONPhase 3 – Determination

1. Make determination 2. Send Determination simultaneously to the Applicant,

relevant Director(s), the Media Unit, and the Minister’s office (if requested)

3. Update case file

1. Receive Determination and corresponding documents from FOI Officer at the same time as the Applicant (if required)

1. Receive determination from FOI officer

1. Compile Weekly Status Report

2. Send to the Office of the Chief Executive and Director Corporate Services

WEEKLY STATUS REPORTS(these are distributed for

awareness and information only)

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FOI Process Flow – GENERAL APPLICATION

1. Undertake document searches 2. Undertake 3rd party

consultations as required

Phase 1 –Receipt and Processing

1. Make determination 2. Send Determination to the

Applicant.3. Update case file

1. Receive Determination from FOI officer

Phase 2 –Information Gathering

Phase 3 –Determination

1. No time estimate information required

1. Compile Weekly Status Report

2. Send to the Office of the Chief Executive and Director Corporate Services

WEEKLY STATUS REPORTS(these are distributed for

awareness and information only)

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Internal review determinations are made by the RTA’s Legal Branch. On receipt of an internal review application, the RAU will send the complete FOI file and a memo to the General Counsel within 2 days of receipt of the application. The General Counsel or appropriate delegate will conduct the internal review. Once the internal review is concluded Legal Branch advises the applicant and the RAU of the outcome. All documentation associated with the Internal Review is to be placed on the FOI file and returned to the RAU for storage.

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RTA FOI Process Flow APPLICATIONS FOR AMENDMENTS TO DOCUMENTS This phase occurs in the event that there is a request for an amendment to a document

1. Requests for an amendment to a personal document that is incomplete, incorrect, out of date or misleading

1. Advised of the outcome by letter

1. Liaison with RAU on determination

1. Entered into Case Management Database2. Acknowledgement letter sent3. Advise relevant Manager of the request 4. Determination made in liaison with relevant

Manager(s)

1. Prepares letter to Applicant with result of the request.

2. Amends the document as determined

Documents

PN069 - FREEDOM OF INFORMATION POLICY...1 of 13 Policy: Freedom of Information Policy Effective date: 29 July 2009 THIS IS THE DATE THE POLICY WAS APPROVED Version: 2.0 Approved by: