Self-assessment tool for agencies

Summary of question

Area

Strategies

1. Culture and leadership

1.1 Overall information access strategy

1. Does your agency have an information access strategy that brings together how information can be made available or requested through the Information Publication Scheme, administrative access arrangements or through an access request under the FOI Act?

Complementary access mechanisms are an important means of implementing the first of the OAIC’s Principles on Open Public Sector Information – i.e. that open access to information should be the default position in government.

For further information, refer to the OAIC resource: Guide to the access of information page on an agency's website.

The OAIC identified this as an overall area for improvement following the 2023 IPS review.

1.2 Regard to Open by Design principles

2. Does your agency consider Open by Design principles in making decisions, including in the creation or publication of documents?

Australian government agencies are strongly encouraged to commit to being ‘Open by Design’. See our Principles on open public sector information for the fundamentals of this approach.

1.3 Nominated Information Champion and/or escalation contact point

3. Does your agency have a nominated Information Champion and/or nominated escalation contact point at SES level?

Agencies are encouraged to appoint an Information Champion to provide the leadership necessary to promote proactive publication.

Nominating a senior executive as an escalation contact point with the OAIC enables prompt SES-level communication on IC review matters where needed. See Part 13 of the FOI Guidelines – Managing an agency IPS entry: Governance arrangements.

2. Governance arrangements

2.1 Record of authorisations under s 23

1. Does your agency record its authorisations, under s 23 of the FOI Act, of officers to make decisions about FOI requests?

Agencies should ensure a sufficient number of officers are authorised at appropriately senior levels to make decisions about FOI requests. An officer should confirm that they are authorised before making a decision.  

2.2 Independence of FOI decision-makers

2. Does your agency have a process for ensuring that staff who make decisions under the FOI Act are able to do so independently?

Authorised officers are responsible for reaching an independent decision and exercising any discretion. See ARC Best Practice Guide No 1, Decision Making: Lawfulness, 2007.

2.3 Access to documents held by contractors

3. Does your agency have a process in place to ensure that contractual arrangements with parties delivering a service on behalf of the agency allow for the agency to receive documents held by these contractors or subcontractors, if a person requests access to those documents under the FOI Act? Does your agency use the model clause as provided by the OAIC?

Agencies must take contractual measures to ensure that they receive documents held by certain contractors or subcontractors, if a person requests those documents under the FOI Act. See our resource Documents held by government contractors for guidance about how to address this requirement.

See also Part 2 of the FOI Guidelines – Documents available in response to an FOI request: Documents held by Commonwealth contractors.

3. Proactive release

3.1 Existence of an administrative access scheme

1. Does your agency have an administrative access scheme?

Disclosure of information through an administrative access arrangement can be advantageous to both agencies and individuals seeking information. Administrative access is addressed in the FOI Guidelines at Part 3 (see Access to information – administrative release).

3.2 Guidance about accessing documents under various schemes

2. Does your agency include information on how to seek access to documents under administrative access, APP 12 and the FOI Act? Does it include an explanation on how each of these systems may work with each other, the limitations of each scheme and the review rights, if any?

You may find the administrative access checklist helpful, included in our resource: Administrative access.

3.3 Administrative access to routinely requested information

3. Does your agency have a process in place to identify information routinely requested that can be released administratively (for example, staff seeking their own information from Human Resources, parties seeking access to their case files)?

In identifying information or documents that may suit administrative release, there are various factors that may be useful to consider – see our resource: Administrative access at ‘Assessing the need for administrative access arrangements’.

3.4 Process for identifying updates to IPS entries

4. Does your agency have a process for identifying updates to the IPS entries on your website?

The FOI Guidelines at Part 13 sets out the information that agencies are required to publish, and authorised to publish, on their IPS under the FOI Act.

4. Access requests

4.1 Engagement with applicants prior to search and retrieval

1. Does your agency engage with applicants over the phone or in writing to clarify the scope of an FOI request prior to requesting business areas to conduct search and retrieval of the documents?

Before commencing a formal request consultation process, agencies and ministers’ offices are encouraged to discuss the request with the applicant. See Part 3 of the FOI Guidelines – Consultation with the applicant.

4.2 Timeframes for internal search and retrieval processes

2. Does your agency’s internal process for requesting search and retrieval of documents include specific timeframes?

The processing period for an FOI request commences upon its receipt. It is best practice to set timeframes for internal processes such as search and retrieval of documents to comply with statutory timeframes. For more information about statutory timeframes, see Part 3 of the FOI Guidelines and the OAIC resource: How long does an agency have to process a freedom of information request? .

4.3 Existence and availability of an FOI processing manual

3. Does your agency have a process manual setting out how FOI requests are triaged, processed and decided?  Is it broadly available to staff across the agency?

A process manual is key mechanism to support authorised decisions makers to make timely, independent and quality decisions under the FOI Act.  The OAIC’s FOI Essentials is designed to assist FOI decision-makers and is a useful toolkit for agencies developing or revising process manuals.

4.4 Templates for statements of reasons

4. Does your agency use templates for statements of reasons to provide adequate reasons for refusing access?

You may find the following OAIC resources helpful in developing templates: Sample freedom of information notices (see notice of access decision templates) and Statement of reasons checklist.

These and other templates are available at the OAIC webpage: Checklists, handouts and templates.

4.5 Seeking of extensions of time by agreement

5. Does your agency seek an extension of time by agreement with the applicant under s 15AA prior to seeking an extension of time with the OAIC?

Agencies should only seek an extension of time under s 15AB after it has first obtained, or attempted to obtain, the applicant’s agreement to providing an extension of time under s 15AA, and the agency has fully utilised the 30 day period available under s 15AA (to the extent the applicant has agreed to this). The OAIC sets out best practice tips when applying for extensions of time in our resource: Extension of time for processing requests. See also the Part 3 Guidelines - Applying to the Information Commissioner for an extension of time under s 15AB. Please note that these guidelines are under current review by the OAIC.

4.6 Availability and accessibility of information about FOI on website

6. Does your agency have information on its website that explains how to make a request under the FOI Act? Is this information clearly accessible from the home page? Does the page include links to the disclosure log, Information Publication Scheme and (if applicable) other information regularly updated?

You may find our resource Government agency website requirements useful in revising your agency’s website to improve information access.

4.7 Policies in support of the FOI processing manual

7. Does your agency have internal policies which support the FOI processing manual? How often are the relevant policies reviewed and updated? Do these policies reflect the principles set out in the Guidelines issued by the Information Commissioner under s 93A of the FOI Act?

In reviewing and updating policies, it may be useful to consider recent revisions to the FOI Guidelines (see Summary of version changes to s93A guidelines) and the OAIC’s recent ICON alerts which will address any updates to our resources and practice documents.

4.8 Reliance on legal advice and management

8. How frequently are FOI matters referred to legal advice/management by your agency? Response: never, occasionally or routinely

Consistent with the objects of the FOI Act – including that agencies exercise their powers under the FOI Act to facilitate public access to information, promptly and at the lowest reasonable cost – agencies are encouraged to avoid adopting overly legalistic approaches to responding to FOI requests. In doing so, agencies should ensure that officers at appropriately senior levels are authorised to make both original and internal review decisions. These officers can be assisted in their decision-making by agencies’ process manuals and policies. Authorised officers can also refer to OAIC resources such as FOI Guidelines, the FOI Essentials Toolkit, and practice documents and templates: see Freedom of information guidance for government agencies.

5. Disclosure log publication

5.1 Process for publishing documents on the disclosure log

1. Does your agency have a process or system for ensuring that documents that are released under FOI are published on the disclosure log?

Agencies and ministers must publish information that has been released in response to every FOI request, subject to certain exceptions. A process or system can help ensure agencies meet this requirement. Part 14 of the FOI Guidelines addresses the Disclosure Log: Part 14: Disclosure log. 

5.2 Compliance with timeframe for disclosure-log publication

2. Does your agency meet the timeframe of 10 days to publish documents on the disclosure log?

For more information about complying with this legislated timeframe, including in the context where there may be third-party review, see Part 14 of the FOI Guidelines – in particular: Making information publicly available - Time of publication.

5.3 Availability of documents released under FOI for direct download

3. Does your agency publish documents released in response to an FOI request on the disclosure log for direct download?

Agencies should make all documents released in response to FOI requests (subject to applicable exceptions) available for download from the disclosure log, or another linked website, unless it is not possible to upload documents due to a technical impediment such as file size or the requirement for specialist software to view the information. See Part 14 of the FOI Guidelines for more information: Nature and content of the disclosure log.

5.4 Use of sample disclosure log table

4. Does your agency use the OAIC’s sample disclosure log table?

While the FOI Act does not prescribe the form of a disclosure log, the community may benefit if disclosure logs have a consistent appearance across government and can be easily understood.  Part 14 of the FOI Guidelines therefore includes a template disclosure log (Annexure A). It may be appropriate to modify the headings in the template, depending on the nature of FOI requests your agency handles and its IT systems and information platforms.

5.5 Compliance with accessibility standards

5. Do your agency’s publications conform to current accessibility standards?

Agencies should ensure they comply with the latest version of the Web Content Accessibility Guidelines (WCAG).

6. FOI statistics

6.1 Officer responsible for feedback regarding quarterly FOI statistics

1. Does your agency have an SES escalation point for feedback regarding the submission of FOI quarterly statistics?

Internally assigning an SES escalation point for FOI statistics ensures seamless provision of required statistical information.

6.2 Quality assurance process for FOI statistics

2. Does your agency have a quality assurance process for lodgement of quarterly and annual statistics?

You may find the OAIC’s FOIstats guide helpful in supporting the input of correct FOI statistics.

6.3 Review of FOI statistics to identify trends

3. Does your agency have a process for reviewing statistics to identify trends in non-compliance with timeframes or increases in access refusals, use of exemptions, or issue of practical refusal notices or charges notices?

Reviewing statistics is a useful starting point in uplifting FOI practice and identifying any gaps in practice. Your agency’s statistics are also available on the OAIC’s dashboard.

6.4 Timeliness of quarterly and annual FOI statistics

4. Does your agency provide their quarterly or annual statistical returns on time?

Reporting deadlines for providing statistical information to the OAIC are established by regulations.

For more information, see the OAIC resource FOIstats guide.

6.5 Identification or analysis of trends in FOI processing

5. Does your agency routinely identify or analyse any trends on incoming access requests or on original and internal review FOI decisions?

Identification and analysis of access requests and decisions can be useful for multiple purposes including identifying training needs, publishing practical information for applicants on the agency’s FOI website and identifying routinely released information for IPS publication. Aspects of this exercise may also assist when completing FOI statistics annual returns.

See the FOI Stats Guide: The annual return at 5 -  Comparison with previous year.

7. Supporting tools and systems

7.1 Use of smartforms for FOI requests

1. Does your agency use smartforms to receive FOI requests?

Smartforms may assist FOI applicants in making targeted requests.

Smartforms, particularly when integrated with a case management system, will also assist to retrieve relevant information and directly map it into the case management system. It will provide the agency an opportunity to request relevant contact information, information relating to representatives, and information that will assist the agency to more rapidly assess and identify the documents being sought and the relevant business areas to be consulted. A smartform can also assist in providing prompts or further links to your agency’s website that may address the request.

7.2: Use of case management systems

2. Does your agency have case management systems which support processing of FOI requests and publication to the disclosure log within relevant timeframes?

An effective case management system for FOI requests is a key foundation to ensure compliance with FOI Act requirements and the practices set out in the FOI Guidelines. Case management systems that enable data to be easily extracted in a report assist agencies to meet reporting obligations and to identify trends to inform resourcing projections. Effective case management systems also assist officers to keep track of requisite deadlines and approvals.

7.3 Plan for managing an increased FOI caseload

3. Does your agency have a plan to manage receiving an increased number of FOI requests?

Practical strategies to include in a plan for an increase in FOI requests are set out in the OAIC resource:  Managing increased volume of FOI requests.

7.4: Existence of a surge team

4. Does your agency have an existing surge team to assist with incoming FOI matters?

Surge teams may assist with higher volumes, or backlogs, of FOI requests. This is a strategy to consider with other measures set out in our resource: Managing increased volume of FOI requests.

7.5 Identification of improvements for FOI processes

5. Does your agency have a process for identifying improvements to be made to FOI processes following relevant IC review decisions or FOI complaint investigation recommendations/suggestions?

In improving FOI processes, it is worth considering not only the decisions and recommendations made with respect to your agency, but also other agencies.

The OAIC publishes the recommendations it makes in FOI complaints: see FOI Investigation outcomes. IC reviews are published on AustLii and our ICON alert provides summaries of notable recent IC reviews.

7.6 Process documents to support business areas conducting search and retrieval

6. Does your agency have process documentation to support business areas to conduct search and retrieval?

You may find the following resource useful in developing search and retrieval process documentation: Taking all reasonable steps to find documents in a freedom of information request.

7.7 Identification of documents routinely released to publish on IPS

7. Does your agency have process documentation to identify documents routinely released in response to an access request and to address how this information should be made available on the IPS?

Guidance on the requirement to publish information routinely given through FOI access requests is set out in the FOI Guidelines at Part 13. See Information required to be published under the IPS: Information routinely given through FOI access requests.

8. Education, training and engagement

8.1 Decision-making training for FOI practitioners

1. Do FOI practitioners in your agency attend decision-making training? What is included in the training? How often are training sessions conducted?

Decision-making or administrative law training assists officers in meeting the legal requirements for lawful decision making.

See also the FOI Guidelines at Part 3 and the OAIC’s resource: Twelve tips for FOI decision makers.

8.2 Accreditation or specific training program for FOI decision-makers

2. Does your agency have an accreditation or specific training program for its FOI decision makers?

The OAIC publishes numerous checklists, guidance notes, and other guidance materials that we encourage agencies to use in developing specific training. See our Freedom of information guidance for government agencies.

8.3 Ongoing FOI training for business areas

3. Does your agency have ongoing training for business areas, for example on general FOI obligations, search and retrieval? How often are training sessions conducted?

The OAIC’s resources may be a useful tool in delivering training to business areas.

See in particular our resources: Taking all reasonable steps to find documents in a FOI request and Fact sheet for freedom of information practitioners to give to staff.

8.4 FOI training for new SES staff

4. Does your agency have training for new SES on general FOI obligations? How often are training sessions conducted?

Leadership at a senior level is critical in establishing a culture within an agency for full compliance with FOI requirements. This leadership can be informed and supported by up-to-date training.

8.5 Ongoing FOI training for SES staff

5. Does your agency have ongoing training for SES staff on general FOI obligations? How often are training sessions conducted?

Ongoing training for SES should specifically address IPS requirements as part of general FOI obligations. Leadership has a particular role with regards to the IPS – senior executive ‘Information Champions’ are responsible for ensuring the agency has appropriate governance mechanisms in place to ensure IPS compliance.

See the Part 13 Guidelines: Managing an agency IPS – Governance Arrangements; and our resource: Information Publication Scheme overview for senior executive staff.

8.6 Subscription to the OAIC’s ICON alert

6. Does your agency subscribe to the OAIC’s Information Contact Officer Network (ICON) alert?

ICON is a network for information- access and FOI contact officers working at Australian Government agencies. To subscribe, email icon@oaic.gov.au from your Australian Government email address.

8.7 Attendance at the OAIC’s webinars for FOI practitioners

7. Does your agency attend the OAIC’s webinars for FOI practitioners?

The OAIC shares information about upcoming FOI webinars via its ICON alert.

8.8 Attendance at other FOI-specific forums

8. Does your agency attend other FOI-specific forums?

International Access to Information Day in September provides opportunities for agencies to ensure they are ‘FOI informed’: see International Access to Information Day.

8.9 Attendance at the SES Leadership Group Quarterly Forum

9. Does the relevant SES Band 1 in your agency attend the SES Leadership Group Quarterly Forum?

This forum is a space where agencies can share best practices and innovations for managing FOI requests, including by:

· Driving consistency in approach to FOI and information access requests (where applicable)

· Provide an opportunity for agencies to develop a position on an issue of interest which can be communicated with the OAIC and the FOI Commissioner

· Assist the OAIC and the FOI Commissioner to engage with interested agencies on certain topics in a constructive way

· Escalate issues impacting agencies, with policy or regulatory agencies.

8.10 Considers recent IC review decisions

10. Is your agency up to date on recent IC review decisions?

Agencies can receive updates about notable recent IC review decisions by subscribing to the OAIC’s ICON alert. All IC review decisions are published on AustLII.

8.11 Considers recent FOI investigation outcomes

11. Is your agency up to date on recent FOI investigation outcomes?

Agencies can receive updates about recent FOI investigation outcomes by subscribing to the OAIC’s ICON alert. The OAIC also publishes these at: Freedom of information investigation outcomes.

8.12 Considers recent amendments to the FOI Guidelines

12. Is your agency up to date on recent amendments to the FOI Guidelines?

Agencies can receive updates about our FOI Guidelines, including consultations on draft revisions, by subscribing to the OAIC’s ICON alert.  Consultations on the FOI Guidelines are also published at our Freedom of information consultation webpage.