This is an HTML version of an attachment to the Freedom of Information request 'Number of ASIC Commonwealth Public Officials referred to the NACC'.


 
OFFICIAL 
 
Ref: FOI 25/03 
7 August 2024 
P.C. Sweeney 
By email: xxxxxxxxxxxxxxxxxxxxxxxxxx@xxxxxxxxxxx.xxx.xx 
Dear P.C. Sweeney 
Decision in relation to your Freedom of Information (FOI) Request – FOI 
25/03 
I refer to your request for access to documents, made to the National Anti-
Corruption Commission (the Commission) under the Freedom of Information Act 
1982 (Cth) (FOI Act).  
I am an authorised decision maker under subsection 23(1) of the FOI Act. This 
letter sets out my decision.  
Scope of request 
On 10 July 2024, you requested access to documents as follows: 
The documents I seek are documents that would confirm the number of 
Commonwealth Public Officials employed by ASIC who have been referrred to the 
NACC to date for alleged contravention of the NACC Act 2022 and/or the Criminal 
Code Act 1995 (Cth). 

Decision 
I am satisfied all reasonable steps have been undertaken to find the documents 
you have requested. No documents are in existence that contain the specific 
information you requested. 
 
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I considered whether it is possible to produce a document under section 17 of 
the FOI Act. Subsection 17(1) of the FOI Act provides that where an FOI request 
is for information that is not available in discrete form in a written document 
held by the agency, but it is possible to produce such a document using a 
computer, then the agency is to deal with the request as though it were a 
request for a document so produced. 
The Commission’s jurisdiction covers employees of Commonwealth agencies, but 
also applies to other types of persons who may not be employees of 
Commonwealth agencies. The Commission’s case management system reflects 
this wider jurisdiction. It is possible that a person could be referred to the 
Commission on a basis other than them being a public official employed by a 
specific Commonwealth agency. 
As such, in response to requests such as yours, accuracy cannot be guaranteed 
by conducting a search of the Commission’s case management system. Each of 
the Commission’s more than 3000 referrals to date would need to be checked 
manually for relevance. This exercise would be a substantive and unreasonable 
diversion of the Commission’s resources. According to subsection 17(2) of the 
FOI Act, the Commission is not required to comply with subsection 17(1) in such 
circumstances. 
I note also that the Commission does not have oversight of who is a current or 
former employee of a specific Commonwealth agency and therefore cannot 
reliably cross-check whether a referral is about an employee of a specific 
Commonwealth agency without further investigation. Such an investigation can 
only be commenced in certain circumstances as set out in the National Anti-
Corruption Commission Act 2022 (Cth). 
Accordingly, I am satisfied that it is not possible for the Commission to create a 
document containing the information you requested under section 17 of the FOI 
Act. I have therefore decided to refuse your request under sub-paragraph 
24A(1)(b)(ii) of the FOI Act as the requested documents do not exist. 
 
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Review rights 
If you are dissatisfied with my decision, you may seek a review of it. Your review 
rights are outlined in Attachment A
Relevant provisions 
I have outlined relevant provisions of the FOI Act at Attachment B. A full 
version is available online. 
Further information 
If you have any questions or would like to discuss this decision, please respond 
in one of the following ways: 
Email  xxx@xxxx.xxx.xx  
Post FOI 
Coordinator 
National Anti-Corruption Commission 
GPO Box 605 
CANBERRA ACT  2601 
Yours sincerely 
Sophie 
FOI Officer 
 
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Attachment A: Review rights 
You are entitled to: 
  apply to the Commission for an internal review of the decision 
  apply to the Information Commissioner for a review of the decision, and 
  make a complaint to the Information Commissioner about the conduct of 
an agency under the FOI Act. 
If you intend to seek a review, you are encouraged to apply for an internal 
review first as this may be quicker than an Information Commissioner review. 
You would still be able to subsequently seek an Information Commissioner 
review. 
Internal review 
Under section 54 of the FOI Act, you may apply to NACC for an internal review of 
this decision. 
An application must be made in writing within 30 days of receiving this notice. 
No particular form is required to apply although it will assist your case if you set 
out your reasons for seeking a review. 
If you intend to seek an internal review of this decision, please email your 
application to xxx@xxxx.xxx.xx. 
Information Commissioner review 
Under section 54L of the FOI Act, you may apply to the Information 
Commissioner for a review of this decision. 
An application for Information Commissioner review must be made in writing 
within 60 days of receiving this notice. If you apply for internal review, you will 
have a right to apply to the Information Commissioner to review the decision 
made on review within 60 days of receiving notice of that decision. 
If you intend to seek an Information Commissioner review of this decision, you 
can apply in one of the following ways: 
  Apply online to seek an Information Commissioner review of this decision 
 
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  Email: xxxxx@xxxx.xxx.xx 
  Post: Director of FOI Dispute Resolution 
 
GPO Box 5218 
 
Sydney NSW 2001 
  Fax: 02  9284  9666 
Further information about Information Commissioner reviews is available. 
Information Commissioner investigation of complaint 
Under section 70 of the FOI Act, you may lodge a complaint with the Information 
Commissioner about an action taken by an agency in the performance of 
functions or exercise of powers under the FOI Act. 
A complaint must be made in writing and identify the agency (and NACC, if your 
complaint relates to the conduct of a different agency). 
The Information Commissioner has discretion within section 73 of the FOI Act to 
investigate the complaint. 
You can lodge a complaint in one of the following ways: 
  Lodge a complaint online 
  Email: xxxxx@xxxx.xxx.xx 
  Post:  Director of FOI Dispute Resolution 
 
GPO Box 5218 
 
Sydney NSW 2001 
  Fax: 02  9284  9666 
Further information about making an FOI complaint to the Information 
Commissioner is available. 
 
 
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Attachment B: Relevant FOI Act provisions 
Making decisions under the FOI Act 
9A Functions and powers under this Part 
In performing a function, or exercising a power, under this Part, an agency must 
have regard to: 
(a)  the objects of this Act (including all the matters set out in sections 3 and 
3A); and 
(b)  guidelines issued by the Information Commissioner for the purposes of this 
paragraph under section 93A. 
3 Objects—general 
(1)  The objects of this Act are to give the Australian community access to 
information held by the Government of the Commonwealth, by: 
(a)  agencies to publish the information; and 
(b)  providing for a right of access to documents. 
(2)  The Parliament intends, by these objects, to promote Australia’s 
representative democracy by contributing towards the following: 
(a)  increasing public participation in Government processes, with a view to 
promoting better-informed decision-making; 
(b)  increasing scrutiny, discussion, comment and review of the 
Government’s activities. 
(3)  The Parliament also intends, by these objects, to increase recognition that 
information held by the Government is to be managed for public purposes, 
and is a national resource. 
(4)  The Parliament also intends that functions and powers given by this Act are 
to be performed and exercised, as far as possible, to facilitate and promote 
public access to information, promptly and at the lowest reasonable cost. 
 
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93A Guidelines 
(1)  The Information Commissioner may, by instrument in writing, issue 
guidelines for the purposes of this Act. 
Note: 
For variation and revocation of the instrument, see subsection 33(3) of 
the Acts Interpretation Act 1901
(2)  For the purposes of the performance of a function, or the exercise of a 
power, under this Act, regard must be had to any guidelines issued by the 
Information Commissioner under this section including, but not limited to, 
guidelines issued for the purposes of the following provisions: 
(a)  paragraph 9A(b) (information publication scheme); 
(b)  11B(5) (public interest factors); 
(c)  subsection 15(5A) (decisions on requests). 
11 Right of access 
(1)  Subject to this Act, every person has a legally enforceable right to obtain 
access in accordance with this Act to: 
(a)  a document of an agency, other than an exempt document; or 
(b)  official document of a Minister, other than an exempt document. 
(2)  Subject to this Act, a person’s right of access is not affected by: 
(a)  any reasons the person gives for seeking access; or 
(b)  the agency’s or Minister’s belief as to what are his or her reasons for 
seeking access. 
11A Access to documents on request 
Scope 
(1)  This section applies if: 
 
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(a)  a request is made by a person, in accordance with subsection 15(2), to 
an agency or Minister for access to: 
(i)  a document of the agency; or 
(ii)  an official document of the Minister; and 
(b)  any charge that, under the regulations, is required to be paid before 
access is given has been paid. 
(2)  This section applies subject to this Act. 
Note:  Other provisions of this Act are relevant to decisions about access to 
documents, for example the following: 
(a)  section 12 (documents otherwise available); 
(b)  section 13 (documents in national institutions); 
(c)  section 15A (personnel records); 
(d)  section 22 (access to edited copies with exempt or irrelevant 
matter deleted). 
Mandatory access—general rule 
(3)  The agency or Minister must give the person access to the document in 
accordance with this Act, subject to this section. 
Exemptions and conditional exemptions 
(4)  The agency or Minister is not required by this Act to give the person access 
to the document at a particular time if, at that time, the document is an 
exempt document. 
Note: 
Access may be given to an exempt document apart from under this Act, 
whether or not in response to a request (see section 3A (objects—
information or documents otherwise accessible)). 
(5)  The agency or Minister must give the person access to the document if it is 
conditionally exempt at a particular time unless (in the circumstances) 
access to the document at that time would, on balance, be contrary to the 
public interest. 
 
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Note 1:  Division 3 of Part IV provides for when a document is conditionally 
exempt. 
Note 2:  A conditionally exempt document is an exempt document if access to 
the document would, on balance, be contrary to the public interest (see 
section 31B (exempt documents for the purposes of Part IV)). 
Note 3:  Section 11B deals with when it is contrary to the public interest to give a 
person access to the document. 
(6)  Despite subsection (5), the agency or Minister is not required to give access 
to the document at a particular time if, at that time, the document is both: 
(a)  a conditionally exempt document; and 
(b)  an exempt document: 
(i)  under Division 2 of Part IV (exemptions); or 
(ii)  within the meaning of paragraph (b) or (c) of the definition 
of exempt document in subsection 4(1). 
17 Requests involving the use of computers etc. 
(1)  Where: 
(a)  a request (including a request in relation to which a practical refusal 
reason exists) is made in accordance with the requirements of 
subsection 15(2) to an agency; 
(b)  it appears from the request that the desire of the applicant is for 
information that is not available in discrete form in written documents 
of the agency; and 
(ba)  it does not appear from the request that the applicant wishes to be 
provided with a computer tape or computer disk on which the 
information is recorded; and 
(c)  the agency could produce a written document containing the 
information in discrete form by: 
                              (i)  the use of a computer or other equipment that is ordinarily 
available to the agency for retrieving or collating stored information; or 
                             (ii)  the making of a transcript from a sound recording held in the 
agency; 
 
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the agency shall deal with the request as if it were a request for access 
to a written document so produced and containing that information 
and, for that purpose, this Act applies as if the agency had such a 
document in its possession. 
(2) An agency is not required to comply with subsection (1) if compliance would 
substantially and unreasonably divert the resources of the agency from its 
other operations. 
23 Decisions to be made by authorised persons 
(1)  Subject to subsection (2), a decision in respect of a request made to an 
agency may be made, on behalf of the agency, by the responsible Minister 
or the principal officer of the agency or, subject to the regulations, by an 
officer of the agency acting within the scope of authority exercisable by him 
or her in accordance with arrangements approved by the responsible 
Minister or the principal officer of the agency. 
(2)  A decision in respect of a request made to a court, or made to a tribunal, 
authority or body that is specified in Schedule 1, may be made on behalf of 
that court, tribunal, authority or body by the principal officer of that court, 
tribunal, authority or body or, subject to the regulations, by an officer of 
that court, tribunal, authority or body acting within the scope of authority 
exercisable by him or her in accordance with arrangements approved by the 
principal officer of that court, tribunal, authority or body. 
24A Requests may be refused if documents cannot be found, do not exist or have 
not been received 
Document lost or non-existent 
(1) An agency or Minister may refuse a request for access to a document if: 
(a) all reasonable steps have been taken to find the document; and 
(b) the agency or Minister is satisfied that the document: 
 (i) is in the agency’s or Minister’s possession but cannot be found; 
or 
 
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 (ii) does not exist. 
Document not received as required by contract 
(2) An agency may refuse a request for access to a document if: 
(a) in order to comply with section 6C, the agency has taken contractual 
measures to ensure that it receives the document; and 
(b) the agency has not received the document; and 
(c) the agency has taken all reasonable steps to receive the document in 
accordance with those contractual measures. 
26 Reasons and other particulars of decisions to be given 
(1)  Where, in relation to a request, a decision is made relating to a refusal to 
grant access to a document in accordance with the request or deferring 
provision of access to a document, the decision-maker shall cause the 
applicant to be given notice in writing of the decision, and the notice shall: 
(a)  state the findings on any material questions of fact, referring to 
the material on which those findings were based, and state the 
reasons for the decision; and 
(aa)  in the case of a decision to refuse to give access to a 
conditionally exempt document—include in those reasons the 
public interest factors taken into account in making the decision; 
and 
Note: 
Access must generally be given to a conditionally exempt document 
unless it would be contrary to the public interest (see section 11A). 
(b)  where the decision relates to a document of an agency, state the name 
and designation of the person giving the decision; and 
(c)  give to the applicant appropriate information concerning: 
(i)  his or her rights with respect to review of the decision; 
 
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(ii)  his or her rights to make a complaint to the Information 
Commissioner in relation to the decision; and 
(iii)  the procedure for the exercise of the rights referred to in 
subparagraphs (i) and (ii); 
including (where applicable) particulars of the manner in which an 
application for internal review (Part VI) and IC review (Part VII) may be 
made. 
(1A) Section 13 of the Administrative Decisions (Judicial Review) Act 1977 does 
not apply to a decision referred to in subsection (1). 
(2)  A notice under this section is not required to contain any matter that is 
of such a nature that its inclusion in a document of an agency would 
cause that document to be an exempt document. 
Internal review 
53A What is an access refusal decision? 
An access refusal decision is any of the following decisions: 
(a)  a decision refusing to give access to a document in accordance with a 
request; 
(b)  a decision giving access to a document but not giving, in accordance 
with the request, access to all documents to which the request relates; 
(c)  a decision purporting to give, in accordance with a request, access to 
all documents to which the request relates, but not actually giving that 
access; 
(d)  a decision to defer the provision of access to a document (other than a 
document covered by paragraph 21(1)(d) (Parliament should be 
informed of contents)); 
(e)  a decision under section 29 relating to imposition of a charge or the 
amount of a charge; 
 
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(f)  a decision to give access to a document to a qualified person under 
subsection 47F (5); 
(g)  a decision refusing to amend a record of personal information in 
accordance with an application made under section 48; 
(h)  a decision refusing to annotate a record of personal information in 
accordance with an application made under section 48. 
Note: 
If a decision is not made on a request under section 15 within the time 
required by that section, a decision is taken to have been made to 
refuse to give access to a document in accordance with the request (see 
section 15AC). 
54 Internal review—access refusal decision 
(1)  This section applies if an access refusal decision is made in relation to a 
request to an agency for access to a document, other than a decision made 
personally by the principal officer of the agency or the responsible Minister. 
(2)  The applicant in relation to the request may apply under this Part for the 
review (the internal review) of the access refusal decision. 
54B Internal review—application for review 
(1)  An application for internal review must be in writing and must be made: 
(a)  within 30 days, or such further period as the agency allows, after the 
day the decision is notified to the applicant for internal review 
(the internal review applicant); or 
(b)  in the case of an access refusal decision of a kind mentioned in 
paragraph 53A(b), (c) or (f), within whichever of the following is the 
longer period: 
(i)  30 days, or such further period as the agency allows, after the 
day the decision is notified to the internal review applicant; 
(ii)  15 days after the day the access referred to in that paragraph 
was given (or purported to be given). 
 
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(2)  A decision by an agency to allow a further period for making an application 
may be made whether or not the time for making such an application has 
already expired. 
(3)  The agency’s power to allow a further period for making an application may 
be exercised by an officer of the agency who is: 
(a)  acting within the scope of authority exercisable by him or her; and 
(b)  acting in accordance with arrangements approved by the responsible 
Minister or principal officer of the agency. 
Information Commissioner review 
54L IC reviewable decisions—access refusal decisions 
(1)  An application may be made to the Information Commissioner for a review 
of a decision covered by subsection (2). 
(2)  This subsection covers the following decisions: 
(a)  an access refusal decision; 
(b)  a decision made by an agency on internal review of an access refusal 
decision (see section 54C); 
(c)  a decision refusing to allow a further period for making an application 
for internal review of an access refusal decision (under section 54B). 
Note 1:  An application for the review of an access refusal decision made for the 
purposes of paragraph (a) may be made regardless of whether the 
decision was the subject of internal review. 
Note 2:  If no decision is made on internal review within 30 days, a decision to 
affirm the original access refusal decision is taken to have been made 
(see section 54D). 
(3)  The IC review application may be made by, or on behalf of, the person who 
made the request to which the decision relates. 
54N IC review applications—application 
 
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Content of application 
(1)  An IC review application must be in writing, and must: 
(a)  give details of how notices under this Part may be sent to the IC 
review applicant (for example, by providing an electronic address to 
which notices may be sent by electronic communication); and 
(b)  include a copy of the notice given under section 26 of the IC 
reviewable decision for which an IC review is sought. 
Note:  For who may make an IC review application, see sections 54L and 
54M. 
(2)  The IC review application may contain particulars of the basis on which the 
IC review applicant disputes the IC reviewable decision. 
(3)  The Office of the Australian Information Commissioner must provide 
appropriate assistance to a person who: 
(a)  wishes to make an IC review application; and 
(b)  requires assistance to prepare the IC review application. 
Delivery of application 
(4)  The IC review application must be sent to the Information Commissioner. 
The IC review application may be sent in any of the following ways: 
(a)  delivery to the Information Commissioner at the address of the 
Information Commissioner specified in a current telephone directory; 
(b)  postage by pre-paid post to an address mentioned in paragraph (a); 
(c)  sending by electronic communication to an electronic address specified 
by the Information Commissioner. 
54S IC review applications—time limits 
Access refusal decisions 
 
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(1)  An IC review application in relation to a decision covered by 
subsection 54L(2) (access refusal decisions) must be made within 60 days 
after the day notice of the IC reviewable decision was given under 
section 26. 
Access grant decisions 
(2)  An IC review application in relation to a decision covered by 
subsection 54M(2) (access grant decisions) must be made within 30 days 
after: 
(a)  if a decision is made on internal review of the decision—the day notice 
of the decision under section 54C was given to the affected third party 
for the document in relation to which the decision is made; or 
(b)  otherwise—the day notice under section 26A, 27 or 27A was given to 
the affected third party for the document in relation to which the 
decision was made. 
Note: 
For affected third party, see section 53C. 
Information Commissioner investigations 
70 Information Commissioner investigations—making complaints 
(1)  A person (the complainant) may complain to the Information 
Commissioner about an action taken by an agency in the performance of 
functions, or the exercise of powers, under this Act. 
(2)  A complaint must: 
(a)  be in writing; and 
(b)  identify the agency (also the respondent agency) in respect of which 
the complaint is made. 
(3)  The Office of the Australian Information Commissioner must provide 
appropriate assistance to a person who: 
(a)  wishes to make a complaint; and 
 
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(b)  requires assistance to formulate the complaint. 
72 Information Commissioner investigations—preliminary inquiries 
The Information Commissioner may make inquiries of the respondent agency for 
the purpose of determining whether or not to investigate a complaint made (or 
purported to be made) under section 70. 
73 Information Commissioner investigations—discretion not to investigate 
The Information Commissioner may decide not to investigate, or not to continue 
to investigate, a complaint about an action made under section 70 if the 
Information Commissioner is satisfied of any of the following: 
(a)  that the action is not taken by an agency in the performance of the 
agency’s functions or the exercise of the agency’s powers under this 
Act; 
(b)  that: 
(i)  the complainant has or had a right to cause the action to be 
reviewed by the respondent agency, the Information 
Commissioner, a court or a tribunal; and 
(ii)  the complainant has not exercised, or did not exercise, the right; 
and 
(iii)  it would be, or would have been, reasonable for the complainant 
to exercise the right; 
(c)  that: 
(i)  the complainant has or had a right to complain about the action 
to another body; and 
(ii)  the complainant has not exercised, or did not exercise the right; 
and 
(iii)  it would be, or would have been, reasonable for the complainant 
to exercise the right; 
 
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(d)  that the complainant has complained to the respondent agency, and 
the respondent agency: 
(i)  has dealt, or is dealing, adequately with the complaint; or 
(ii)  has not yet had an adequate opportunity to deal with the 
complaint; 
(e)  that the complaint is frivolous, vexatious, misconceived, lacking in 
substance or not made in good faith; 
(f)  that the complainant does not have a sufficient interest in the subject 
matter of the complaint. 
Note:  The Information Commissioner may make a decision under this 
section to investigate only part of a complaint (see section 71). 
74 Information Commissioner investigations—transfer to Ombudsman 
Scope 
(1)  This section applies if the Information Commissioner is satisfied that a 
complaint about an action could be more effectively or appropriately dealt 
with: 
(a)  by the Ombudsman under the Ombudsman Act 1976; or 
(b)  by the Ombudsman under a particular Norfolk Island enactment. 
Example 1: A complaint about the way in which the Information 
Commissioner has dealt with an IC review. 
Example 2: A complaint relates to an action under this Act, but is part of a 
complaint that relates to other matters that can be more 
appropriately dealt with by the Ombudsman. 
Transfer of complaints to Ombudsman 
(2)  The Information Commissioner: 
 
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(a)  must consult the Ombudsman about the complaint with a view to 
avoiding inquiries being conducted into that matter by both the 
Information Commissioner and the Ombudsman; and 
(b)  may decide not to investigate the action, or not to continue to 
investigate the action. 
(3)  If the Information Commissioner decides not to investigate, or not to 
continue to investigate, the action under paragraph (2)(b), the Information 
Commissioner must: 
(a)  transfer the complaint to the Ombudsman; and 
(b)  give the Ombudsman any information or documents that relate to the 
complaint in the possession, or under the control, of the Information 
Commissioner; and 
(c)  notify the complainant in writing that the complaint has been 
transferred. 
(4)  A notice under paragraph (3)(c) must state the reasons for the Information 
Commissioner’s decision. 
(5)  If paragraph (1)(a) applies, a complaint transferred under subsection (3) is 
taken to be a complaint made to the Ombudsman under the Ombudsman 
Act 1976
(6)  If paragraph (1)(b) applies, a complaint transferred under subsection (3) is 
taken to be a complaint made to the Ombudsman under the Norfolk Island 
enactment concerned. 
Note: 
The Information Commissioner may make a decision under this section 
to investigate only part of a complaint (see section 71). 
 
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