MBIE OIA Procedures
The document contains information regarding the OIA procedures for departmental and Ministerial OIA requests,
records and filing, template letters and general guidance. It supports and underpins the MBIE OIA Policy.
Contents
MBIE OIA Procedures – Departmental OIA Request......................................................................................................... 2
1
Receipt, logging and allocation ............................................................................................................................. 2
3
Scoping the request .............................................................................................................................................. 5
4
Gathering information ........................................................................................................................................ 10
5
Drafting reply ...................................................................................................................................................... 13
6
Review ................................................................................................................................................................. 15
7
Approval .............................................................................................................................................................. 17
8
Brief Minister or Minister’s Office ...................................................................................................................... 18
9
Feedback from Minister’s Office ......................................................................................................................... 20
10
Send response to the requester ..................................................................................................................... 21
MBIE OIA procedures – Ministerial OIA Request ............................................................................................................ 23
1
Receipt, logging and allocation ........................................................................................................................... 23
2
Scoping meeting .................................................................................................................................................. 24
3
Scoping the request ............................................................................................................................................ 26
4
Gathering information ........................................................................................................................................ 32
5
Drafting the recommended reply ....................................................................................................................... 35
6
Review ................................................................................................................................................................. 37
7
Approval .............................................................................................................................................................. 39
8
Recommended response sent to Minister .......................................................................................................... 40
9
Minister’s Office sends response to requester ................................................................................................... 41
Acknowl edgement letter sent by Ministerial Services
Ministerial Services can send an acknowledgement of receipt of the request to the requester confirming the text of
the reques
t. (See Acknowledgement letter template)
Request allocated to Ministerial Services writing team or self-servicing team
Ministerial Services will allocate the request to a Ministerial Services writing team or self-servicing team for
completion and will ask the team to confirm ownership of the request.
Some requests relate to information held across MBIE. If the scope of the request covers the whole of MBIE (for
example, MBIE’s spending on international travel or the use of contractors and consultants), Ministerial Services will
coordinate and complete the request in consultation with relevant parts of the business, depending on the portfolio
and subject matter of the request.
Note - If you receive a request and the information is not held by your team, contact Ministerial
Services straight away so it can be reallocated and dealt with within the 20 working day timeframe.
To help you answer the request, the allocation email will include an OIA tracking number. This number
must be quoted on all documentation and in all correspondence with Ministerial Services to ensure
there is no confusion between similar requests or frequent requesters. Ultimately the request will be
filed (electronically) using this OIA tracker number, for example OIA 1718 0123.
Transferring the request
MBIE must transfer a request to another agency if some or all of the information requested is:
not held by MBIE, but is believed by the person dealing with the request to be held by another agency
believed by the person dealing with the request to be more closely connected with the functions of another
agency.
Where the above circumstances only apply to part of the information requested, only the relevant part of the
request should be transferred, rather than the whole request. The transfer should make it clear what parts of the
request are being retained by MBIE, and what parts are being transferred.
Check that the agency to which you want to transfer the request is subject to the OIA or the Local Government
Official Information and Meetings Act 1987 (see Schedule 1 of the OIA or Ombudsman Act).
Use the transfer letter templates to transfer the request and to inform the requester. Copy in Ministerial Services so
that The HIVE can be updated.
Timeframe for transferring a request
Any decision to transfer a request to another agency must be made no later than 10 working days after the agency
received the request (unless a valid extension of that time is made within 20 working days of the original request).
However, a delay in transferring the request will not invalidate the transfer. Even if a transfer is made out of time, it
will still have the effect of shifting the responsibility for reaching a decision on the request to the most appropriate
agency.
Note – If a request is transferred outside of maximum or extended time limit, this could potentially be the
subject of complaint to the Ombudsman under the OIA. Nevertheless, a delay will not invalidate the transfer.
3
“
because
the information request cannot be made available without substantial collation or research”, you
cannot
refuse a request on these grounds if asking the requester for clarification (see section 18B) would remove the issue.
Before refu
sing under section 18(f), you must also consider whether charging for the information (see section 15) or
extending the timeframe (see section 15A) would enable the request to be met.
For the purpose of refusing a request on the grounds of substantial collation or research, you may combine multiple
requests received simultaneously or in short succession from the same requester about the same or similar subject
matter. (See letter template for refusing request – section 18 administrative reasons)
Do you need to consult the requester?
If the request is unclear, the OIA allows you to ask the requester for clarification (see sections 12(2) and 13(b)).
Obtain the approval of a manager before engaging directly with a requester. Contact should be made by phone or
email. If by phone, follow this up with written confirmation to the requester of the discussion. If the requestor
amends or clarifies the request, the requester will receive the specific information he or she is seeking and may
receive a faster response. If the request is high risk, you should also consult Communications, Legal Services or
Ministerial Services. (See letter template for requesting clarification – section 18(f)).
What is the effect of amending or clarifying a request on statutory timeframes?
If the requestor amends or clarifies their request on their own initiative and it is clear that it is intended to replace
the original request then MBIE does not need to respond to the original request.
Where MBIE consults with the requestor and seeks clarification or amendment, the clarified request will be treated
as a new request that replaces the original request and re-starts the statutory time limit. However, this only applies
if MBIE sought the amendment or clarification after within 7 working days of receiving the original request and the
amendment or clarification is received by MBIE within the 20 working days. If no response is received within the 20
working days, or MBIE seeks clarification outside of the 7 working days, the original timeframe applies.
Whenever a new due date is set make sure to inform Ministerial Services so that The HIVE can be updated.
What are the other options for processing administratively challenging requests?
The other options include:
Releasing a subset or sample of the information requested – MBIE may consider releasing a subset or sample
of the information at issue, for example, key documents e.g. (final reports, advice to decision-makers),
instead of all the information that has been requested
MBIE may consider releasing other information that is already to hand or able to be collated without
difficulty. This could be because it has already been compiled for other purposes (for instance, for provision
to Parliament or in response to another similar OIA request)
Releasing the information in an alternative form such as by inspection or providing a summary or excerpt –if
meeting the requester’s preference would
“impair efficient administration” (refer se
ction 16).
Releasing the information on conditions – MBIE can impose conditions on the use, communication or
publication of official information released in response to a request.
Does the information requested exist or cannot be found?
If a document sought does not exist, or cannot be found, grounds for refusal may apply (see section 18(e)).
However, if the information cannot be found, you must have made reasonable efforts to locate the document before
refusing on this ground. MBIE does not need to create information in order to respond to a request. Section 18(g)
covers the situation where MBIE does not hold the information requested. This may be relevant where there was no
need to report in a particular activity or only certain information was recorded in a system. However, a simple cross
6
checking exercise for information held on multiply files or systems may not need the requirements of this ground. If
in doubt, contact Ministerial Services or Legal Services to discuss further.
(see letter template for seeking clarification – section 18(e)).
Is the information requested already publicly available or soon to be released?
If this is the case for some or all of the information, you can refuse the whole request or just the publicly available
aspect of the request (see section 18(d)). In responding to the requester, where the information is already publicly
available you should provide a reasonable timeframe and specific details of how and where to access the
information wherever possible, for example, a hyperlink. Where information is soon to be released you should have
an element of certainty as to when the information will be made available.
Does the Minister hold the information?
Consider whether the request, or part of it, should be transferred to the relevant Minister’s Office. Ask Ministerial
Services for advice if needed. If you do not transfer the request, adopt a “
no surprises” approach and keep the
Minister’s Office informed at all stages as appropriate. A Minister must agree to the release of documents in their
name such as Cabinet papers, and briefings.
Has the request also been made elsewhere?
Some requests will be made across multiple parties (including to the Minister and other government departments or
agencies). If you know or suspect this is the case, discuss it with your manager or Ministerial Services at the earliest
possible opportunity and liaise with those agencies. This will ensure that the response is handled in a coordinated
and consistent way.
Has the requester indicated urgency?
A requester may ask for the request to be treated as urgent if they give a reason. If a reason has not been provided
you can ask for one. You are not obliged to treat any request urgently, but you must assess the request on a case-by-
case basis and respond appropriately. Tell the requester as soon as possible if you think the urgent timeframe
cannot be met and tell them why, for example, the practicalities of collating information from multiple work groups
or agencies. You can provide your reasons by phone, email or formal letter. Remember to keep good notes about the
decision you made and
how it was made. Seek advice from your manager, Legal Services or Ministerial Services if
needed. You may also consider releasing some information as a matter of urgency and providing the remainder
within the normal time limits.
Note - The OIA does not authorise the investigation by an Ombudsman of complaints about failure to
accord urgency. However, such complaints could be investigated under the Ombudsmen Act 1975.
Therefore it is important that MBIE acts reasonably in relation to any requests for urgency.
Consider how much time is needed to complete the request
The OIA’s legal timeframe requirements for responding to requests for official information are to:
make a decision and communicate it to the requester “
as soon as reasonably practicable” and no later than
20 working days after the request is received (section 15(1))
make available any official information it has decided to release without
"undue delay” (section 28(5)).
Note – You can check the deadline for 20 working days using the OIA Response Calculator on the
front page of the Ombudsman’s website. Scroll down to bottom the left-hand side of the webpage for
the calculator and enter the received date.
7
Consider
the timeframes for preparing your OIA response and whether you will need an extension. Things to think
about:
Is it going to need to go to the Minister for consultation?
Five working days minimum. Check when the
courier bags go to the Minister’s Office to make sure you can make it in time. OIAs are due in Ministers’
Offices at midday.
How long will your manager need to review the draft?
Minimum two working days. Does it need to go
to Legal Services?
Minimum two working days. You should take advice from
Legal Services or
Ministerial Services if you need to withhold or refuse all or part of a request or need advice on scope
interpretation.
Review by Communications can be done concurrently as they often do not need to see it until later.
Minimum two working days.
Who will do your peer review? How long will they need?
How long will you need to pull the information together, copy it, and redact/delete any information that
needs to be withheld?
Do you need to consult anyone else to release any of this information? (If this is a third party
consultation)
How long will preparing the final response take? (Normally this would take as little as a couple of hours,
but if it is a large document and significant scanning is required it can be more).
Does it need GM or DCE sign off?
Consider whether the time limit needs extension
At the scoping stage it can become apparent that a request cannot be completed within 20 working days. MBIE may
extend the maximum time limits for making a decision and communicating it to the requester (see section 15A) if:
the request is for a large quantity of information, or necessitates a search through a large quantity of
information, and meeting the original timeframe would unreasonably interfere with the agency’s operations;
or
consultations necessary to make a decision on the request are such that a proper response cannot reasonably
be made within the original time limit.
Make sure you are realistic about the timeframe, particularly if the Minister’s Office, senior managers or other
agencies are involved, or if the request requires substantial collation and research. It is preferable to extend when in
doubt rather than provide a response a few days late. If the time limit is exceeded, it is generally treated as a delay
deemed refusal of the request and may be the subject of an Ombudsman complaint.
Extensions must be for “
a reasonable period of time having regard to the circumstances”. The circumstances include
the other work that MBIE has on hand at the time, and that will be unreasonably impacted upon, should it be
required to meet the original 20 working day maximum timeframe.
An extension enables MBIE to fit the work required in order to respond to a request in with its other work, so that
one need not be sacrificed to the other. It can enable us to spread the work required to process the request over
time. (Letter template to advise requester of an extension).
Consider whether there are other administrative reasons to refuse the request
If there are administrative reasons to refuse a request, these should be considered and a decision made and
communicated as soon as possible so the requester gets a reply quickly. If a request will result in substantial
collation or research, MBIE must consult the requester to explore whether the request can be amended or narrowed
before refusing it.
8
The adm inistrative reasons available (section 18) for refusing a request includes:
The information is, or will soon, be publicly available, does not exist or cannot be found
Release would be contrary to a specific enactment or constitute contempt of court or of the House of
Representatives
The information requested cannot be made available without substantial collation or research
The information is not held by MBIE and the request cannot be transferred to another organisation
The request is frivolous or vexatious or the information requested is trivial.
(Letter template to refuse a request - section 18 administrative reasons)
Document decisions and agreements in a scoping plan
It is recommended that a record of any decisions and agreements about the approach to be taken, who is tasked
with completing what functions and agreed timeframes is prepared and circulated to ensure everyone is clear about
their roles and responsibilities. A scoping OIA meeting checklist can be found here. This will allow you to track all
deliverables against the time frames and escalate as necessary.
If the request involves information held across teams make sure a manager or, if appropriate, a staff member is
coordinating the response. This can be agreed at the scoping meeting.
Remember to save all documentation relating to the request. Ministerial Services will set up an electronic folder for
all OIAs that it allocates. Save the documents to that folder. Save documents with appropriate names and details
using the naming conventions set out in the procedures to identify the main documents.
Update The HIVE record
When an extension, transfer or amended requests is acknowledged, make sure that Ministerial Services is copied in
to any correspondence using the [MBIE request email] address to ensure that The HIVE is updated.
9
Before wi
thholding information under section 9(2) you must consider whether there is a public interest in releasing
the information that outweighs the reasons for withholding it (section 9(1)).
The decisi
on to refuse or withhold all or part of a request must be approved by your manager. Legal Services or
Ministerial Services should be consulted. Legal Services must be consulted on high or critical risk requests
.
Note - A decision to refuse or withhold information can be subject to a complaint under the OIA or
Ombudsmen Act. Document all decisions, including sign-offs, approval and sign-out and record them
on the risk impact and sign-off sheet.
The reasons for withholding information are listed below in summary form. You must read and consider the relevant
provisions in the OIA before withholding or refusing information.
Conclusive reasons for withholding information
Section 6 includes reasons such as:
Release would be prejudicial to the security or defence of New Zealand or the New Zealand
Government’s international relations
Release would prejudice the entrusting of information to the New Zealand Government on a confidential
basis by other governments or international organisations
Release would prejudice the maintenance of the law
Release would endanger the safety of a person
Release would seriously damage the New Zealand economy.
Other substantive reasons for withholding information
Section 9(2) includes reasons such as:
Relating to privacy of natural persons
Release of the information would disclose a trade secret or prejudice the commercial position of the
person who supplied the information
Release may impact on constitutional provisions which protect ministerial responsibility, the political
neutrality of officials and the confidentiality of advice from Ministers or officials
Release may impact on the ability of officials and Ministers to express opinion freely and frankly
Withholding the information may be necessary to protect Ministers or officials from improper pressure or
harassment
The information released may be used for improper gain or advantage
Withholding the information is necessary to maintain legal professional privilege
Release may prejudice or disadvantage commercial activities
Release may prejudice negotiations including commercial or industrial negotiations.
(See letter template for refusing a request under Section 9)
Note - Employee names and contact details
MBIE must take all reasonable steps to protect the privacy and security of its staff members when responding
to requests for information, however, MBIE staff do not have an absolute expectation of privacy in their
official capacity. Relevant reasons for refusing to release staff personal information under the OIA include
protecting privacy (s9(2)(a)), maintaining the effective conduct of public affairs through free and frank
expressions of opinion (s9(2)(g)(i)), and protecting employees from improper pressure and harassment
(s9(2)(g)(ii)). Final decisions should be made on a case-by-case basis in consultation with the staff member,
and if in doubt consult the Privacy Team, Legal Services or Ministerial Services.
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Prepare a d
ocument table
When briefing the Minister, consideration should be given to including a table in the response letter if a large
number o
r complex set of documents are within scope. Create a table of the proposed information to be released
and any documents that are to be withheld and/or refused and the reasons for withholding/refusing the information
under the OIA. This will make it easier to identify if a document is being released in full or under what grounds
information is being withheld from a document. A template table is included in the briefing report templates.
Example:
OIA 2017-1234 - Documents released
#
Date
Document Title
Withholding status
Status Report #110 – Week beginning: Monday
1
10 April 2017
N/A
10 April 2017
Status Report #113 – Week beginning: Monday 8
2
8 May 2017
N/A
May 2017
Briefing: 5678 16-17 – Unit Titles Act Review:
s9(2)(a), s9(2)(b)(ii), s9(2)(f)(iv)
3
17 May 2017
Consultation outcomes and final policy approvals
and s9(2)(g)(i)
Briefing: 0910 16-17 - Unit Titles Act Review:
s9(2)(a), s9(2)(b)(ii),
4
20 July 2017
Additional policy approvals and draft Cabinet
s9(2)(ba)(i), s9(2)(g)(i) and
paper
s9(2)(f)(iv)
Decisions on withholding or refusing information will be made on a case-by-case basis. Legal Services or Ministerial
Services should be consulted before editing or redacting any information. Legal Services must be consulted on high
risk requests
.
12
amount o
f information needs to be processed or redactions made. This approach should be used sparingly and with
the agreement of the relevant manager. This approach should generally be applied to requests that are:
Relatively straightforward and non-controversial
Not from opposition MPs or political parties and the media without good reason
Likely to be granted in full or where only a small amount of information is to be withheld
Difficult to estimate the time necessary to process beyond 20 working days.
You will also need to notify Ministerial Services at [email address] that this has been actioned and the sent email
saved in MAKO.
Redacting information
If you need to withhold any information follow these steps:
Photocopy and scan all original documents (do not write on or amend originals)
Save the scan and file the hard copy as your
clean copy using the document naming conventions.
Do not
staple documents. Use paper clips and/or clear filing pockets
Redact using appropriate redaction software or mark up a copy of the documents to indicate which parts
you want to withhold.
Get Legal Services advice on complex and high or critical risk requests
Redact the information
Save a
redacted copy of the information and an
audit or
marked up copy. The latter will be useful if the
response is subject to an OIA complaint to the Ombudsman.
Redactions should be made using appropriate redaction software such as Adobe Acrobat or PDF docs and the
withholding provision must be indicated. Redacting software provides a professional and standard look, saves paper
and can easily be printed onto OIA imprinted paper. If you do not have access to redacting software, contact the IT
Service Desk to apply for a licence.
Print the redacted scan or photocopy the hand redacted version onto OIA imprinted paper. Then scan again to make
the release set and file copy. This is referred to as the “
Redacted copy”.
You should now have:
A
clean copy (electronic scan and hard copy) of all information in scope of the request.
An
audit or
marked up copy of all information in scope of the request with relevant information
deleted/redacted, either as a scan or in hard copy
A
redacted copy of information (electronic scan and hard copy) on OIA paper with all relevant
information deleted/redacted.
Note - If you withhold information you must note using the redaction software against each deletion
which section of the OIA applies, even if for the whole response only one section is used. If you are
deleting because the information is out of scope of the request, then redact/delete and include “Out
of Scope”. If several pages are to be deleted under the same ground, just include one page with the
withholding provision clearly identified in the
redacted copy.
Never send the PDF version with live redacting as it can be un-redacted.
14
Legal Services review -
Legal will advise on whether the proposed redactions have been applied in accordance with the Act. In some
circumstances it may also be appropriate for Legal Services to advise on overall risk and generally on issues of scope,
including how the request has been interpreted and the approach taken by the business.
Ministerial Services review -
This review is generally completed by a Ministerial Services team leader or manager and is the final quality review
before going to the relevant manager for sign-out.
Incorporate feedback and follow-up issues
If receiving conflicting advice from the reviewers, then you may need to organise another meeting to follow-up to
further discuss and determine on the right approach in responding to the OIA request.
This may mean providing the sign-out manager with a final draft response and providing any conflicting advice
separately.
16
The Minister’s Office will return the file with the signed briefing to Ministerial Services who will put it in
the internal mail to you to obtain the final signature and send to the requester.
Notify Ministerial Services as soon as an OIA response and been sent by emailing them at
[email address] and providing the email sent to the requester as evidence.
Note - Most Ministers like papers to be tagged for ease of reference. Check the Minister’s
requirements with a manager or contact the Private Secretary.
Manager Sign-out
The manager will have final sign-out for OIA response as they are responsible for the content.
19
Check covering letter
Check th at the covering letter has been signed and is consistent with the letter that was approved. The covering
letter must be a locked PDF.
Check information to be released
Check that the information to be released is the right version of information and that the relevant redactions have
been made. The information to be released must be a locked PDF.
Send the response
Either send the response to the requester or forward the response to Ministerial Services who will send it from the
generic [MBIE request email] mailbox. If you send the response from your own email or mailbox be sure to copy in
[MBIE request email] so The HIVE can be updated. This information is essential for performance reporting and audit. In
some cases information may be provided using a compact disc or other data storage device. Be sure to ensure that
Ministerial Services is notified.
Note - It is in your best interests to scan ALL documents. If a complaint is made to the Ombudsman,
or a file needs to be reviewed (for example, a further request by the same requester in relation to a
closed request), it is easy to search the scanned records. Refer to the naming conventions guidance
for how to name documents appropriately to make identification and searching easier and effective.
22
Involve t he Minister’s office
As this is a Ministerial OIA request, it is essential that the Minister’s office is kept up to date with significant
developm
ents via the Private Secretary. The request will concern only information held by the Minister, so it is
important that his or her office plays a role in scoping the request and assessing the level of risks.
25
Are draft
documents involved?
Draft documents are official and may fall within the scope of a request. For example, if the requestor is explicitly
seeking “ preparatory material”. However, in most cases, final documents will be the starting point. For requests
seeking “all” documents it might be necessary to say in the response that final versions are being provided or those
considered by the Minister. You may need to check that the Minister actually saw or considered, or was otherwise
involved with the information being considered for release.
Has MBIE provided suggested press statements, speech notes, talking points or questions and answers?
Where MBIE provides this type of material to the Minister it is important to consider whether the request includes
draft information that was not used by the Minister. It may be appropriate to withhold the information as free and
frank advice, or for the request or parts of the request to be transferred to MBIE for the advice it provided.
Does the request include weekly reports?
In the past the Ombudsman has accepted that weekly report to Ministers may be withheld for up to 3 months, then
after that consideration should be given to whether there are good reasons for continuing to withhold information.
Does the information requested involve substantial collations or research?
Refusing a request on the grounds of substantial collation or research is a
last resort, to be done only if there is not a
reasonable basis for managing an administratively challenging request. We have a duty to provide
reasonable
assistance to a requester, and you should consider if there are other ways to meet request in preference to refusing
it outright.
“Research” means
finding the information and “
collation” means
bringing it together. These terms can encompass
the following tasks:
identifying the requested information;
determining whether the requested information is held;
searching for the requested information;
retrieving the requested information;
extracting the requested information; and
assembling or compiling the requested information.
Collation or research can also include reading and reviewing information, and consulting on the request, but
only to
the extent that these tasks are necessary in order to find what has been requested, and bring it together.
The requester may be unaware of the amount of information within the scope of their request. It is acceptable to
ask for refinement of the information requested. If you need refinement or clarification, get Managerial approval
before contacting the requester. While section 18(f) does allow for refusal “
because the information request cannot
be made available without substantial collation or research”, you
cannot refuse a request on these grounds if asking
the requester for clarification (see section 18B) would remove the issue.
Before refusing under section 18(f) you must also consider whether charging for the information (see section 15) or
extending the timeframe (see section 15A) would enable the request to be met.
For the purpose of refusing a request on the grounds of substantial collation or research, you may combine multiple
requests received simultaneously or in short succession from the same requester about the same or similar subject
matter.
27
Do you n eed to consult the requester?
If the request is unclear, the OIA (see sections 12(2) and 13(b)) allows you to ask the requester for clarification. If
the reques
t is too broad the Private Secretary will go back to the requester to amend or clarify the request.
What is the effect of amending or clarifying a request on statutory timeframes?
Consultation with a requester often results in an amended or clarified request. An amended or clarified request will
be treated as a new request that replaces the original request unless MBIE sought the amendment of clarification
after 7 working days of receiving the original request.
If amendment or clarification of a request is sought within 7 working days, the time in which to communicate a
decision is reset and starts from the date the new request is confirmed. This may be more than 7 working days from
receipt of the original request. Whenever a new due date is set make sure to inform Ministerial Services so that The
HIVE can be updated.
What are the other options for processing administratively challenging requests?
The other options include:
Releasing a subset or sample of the information requested – MBIE may consider releasing a subset or sample
of the information at issue, for example, key documents e.g. (final reports, advice to decision-makers),
instead of all the information that has been requested
Releasing other information that is already to hand or able to be collated without difficulty – MBIE may
consider releasing other information that is already to hand or able to be collated without difficulty. This
could be because it has already been compiled for other purposes (for instance, for provision to parliament
or in response to another similar OIA request)
Releasing the information in an alternative form such as by inspection or providing a summary or excerpt –
information may be provided in an alternative form to that requested if meeting the requester’s preference
would “
impair efficient administration” (refer se
ction 16).
Releasing the information on conditions –conditions can be imposed on the use, communication or
publication of official information released in response to a request.
Does the information requested exist or cannot be found?
If the information sought does not exist, you do not have to create it to respond to the request. It may be that there
was no need to report on the activity or that it was not recorded in a way that information can be easily retrieved
and reported on. This is especially the case where information may be held on multiple individual client files. If the
information cannot be found, you must have made reasonable efforts to locate the document before refusing on
this ground.
Is the information requested already publicly available or soon to be released?
If this is the case for some or all of the information, you can refuse the whole request or just the publicly available
aspect of the request (see section 18(d)). In responding to the requester, you should provide a reasonable timeframe
and specific details of how and where to access the information wherever possible, for example, a hyperlink.
Has the request also been made elsewhere?
Some requests will be made across multiple parties (including other government departments or agencies). If you
know or suspect this is the case, discuss it with your private secretary at the earliest possible opportunity to liaise
with those agencies. This will ensure that the response is handled in a coordinated and consistent way.
28
Has the r equester indicated urgency?
A requester may ask for the request to be treated as urgent if they give a reason. If a reason has not been provided
you can ask
for one. You are not obliged to treat any request urgently, but you must assess the request on a case-by-
case basis and respond appropriately. The Minister’s office should communicate as soon as possible if the urgent
timeframe cannot be met and tell them why, for example, the practicalities of collating information from multiple
work groups or agencies. Reasons can be provided by phone, email or formal letter. Consider releasing some
information as a matter of urgency and providing the remainder within the normal time limits.
Note - The OIA does not authorise the investigation by an Ombudsman of complaints about failure to
accord urgency. However, such complaints could be investigated under the Ombudsmen Act 1975.
Therefore it is important that MBIE acts reasonably in relation to any requests for urgency.
Consider how much time is needed to complete the request
The OIA’s legal timeframe requirements for responding to requests for official information are to:
make a decision and communicate it to the requester
“as soon as reasonably practicable” and no later than
20 working days after the request is received (section 15(1)).
make available any official information it has decided to release without
“undue delay” (section 28(5)).
Note – You can check the deadline for 20 working days using the OIA Response Calculator on the front
page of the Ombudsman’s website. Scroll down to bottom the left-hand side of the webpage for the
calculator and enter the received date.
Consider the timeframes for preparing your OIA response and whether you will need an extension, discuss it with
your Private Secretary in the first instance. Things to think about:
How long does the Minister’s office need to review the draft and for the Minister to sign it out?
five
working days minimum. Check when the courier bags go to the Minister’s Office to make sure you can
make it in time. OIAs are due in the Ministers’ Offices at midday.
How long will your manager need to review the draft?
Minimum two working days. Does it need to go
to Legal Services?
Minimum two working days. You should take advice from
Legal Services or
Ministerial Services if you need to withhold or refuse all or part of a request or need advice on scope
interpretation.
Review by Communications can be done concurrently as they often do not need to see it until later.
Minimum two working days.
Who will do your peer review? How long will they need?
How long will you need to pull the information together, copy it, and redact/delete any information that
needs to be withheld? It is preferable to extend when in doubt rather than provide a response a few
days late.
Do you need to consult anyone else to release any of this information? (If this is a third party
consultation)
How long will preparing the final response take? (Normally this would take as little as a couple of hours,
but if it is a large document and significant scanning is required it can be more).
Does it need GM or DCE sign off?
Extensions must be for
“a reasonable period of time having regard to the circumstances”. The circumstances include
the other work that MBIE has on hand at the time, and that will be unreasonably impacted upon, should it be
required to meet the original 20 working day maximum timeframe.
An extension enables MBIE to fit the work required in order to respond to a request in with its other work, so that
one need not be sacrificed to the other. It can enable us to spread the work required to process the request over
time.
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Consider whether the time limit needs extension
At the scoping stage it can become apparent that a request cannot be completed within 20 working days. The
Minister’ s office may extend the maximum time limits for making a decision and communicate it to the requester
(see section 15A) if:
the request is for a large quantity of information, or necessitates a search through a large quantity of
information, and meeting the original timeframe would unreasonably interfere with the agency’s operations;
or
consultations necessary to make a decision on the request are such that a proper response cannot reasonably
be made within the original time limit.
Make sure you are realistic about the timeframe, particularly if senior managers or other agencies are involved, or if
the request requires substantial collation and research. If the time limit is exceeded, it is generally deemed a refusal
of the request and may be the subject of an Ombudsman complaint.
Check in with the Minister’s office
It is essential that the Minister’s office is kept up to date with significant developments. If it is considered that the
time limited for the request needs an extension, or the request needs to be transferred or an administration refusal
can be made, the Minister must make the decision. In such cases MBIE’s advice would need to be communicated to
the Minister’s office and a decision recommended. It is the role of MBIE to prepare appropriate correspondence or
communications if requested.
Discuss interpretation and scope early with the Minister’s office. If there is any uncertainty as to the scope of the
request or documents and information held by the Minister, it is advisable to liaise with the Minister’s office on such
issues promptly. Once the scoping is complete it may also be useful to confirm what documents or information is
within scope and the likely approach to be recommended or taken. Engagement with the requester can often be
useful. In the case of Ministerial OIAs the Minister’s office must decide if this is appropriate and how it should be
handled.
Consider whether there are administrative reasons to refuse the request
If there are administrative reasons to refuse a request, these should be considered and a decision made and
communicated as soon as possible so the requester gets a reply quickly. If a request will result in substantial
collation or research, the Minister’s office must consult the requester to explore whether the request can be
amended or narrowed before refusing it.
The administrative reasons available (section 18) for refusing a request includes:
The information is, or will soon be, publicly available, does not exist or cannot be found
Release would be contrary to a specific enactment or constitute contempt of court or of the House of
Representatives
The information requested cannot be made available without substantial collation or research
The information is not held by MBIE and the request cannot be transferred to another organisation
The request is frivolous or vexatious or the information requested is trivial.
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Documen
t decisions and agreements in a scoping plan
It is recommended that a record of any decisions and agreements about the approach to be taken and who is tasked
with com
pleting what functions and timeframes, is prepared and circulated to ensure everyone is clear about their
roles and responsibilities. A scoping OIA meeting checklist can be found here. Track all deliverables against the time
frames and escalate as necessary.
If the request involves information held across teams make sure a manager or, if appropriate, a staff member is
coordinating the response. This can be agreed at the scoping meeting.
Remember to save all documentation relating to the request. Ministerial Services will set up an electronic folder for
all OIAs that it allocates. Save the documents to that folder. Save documents with appropriate names and details
using the naming conventions set out in the procedures to identify the main documents.
Update The HIVE record
When an extension, transfer or amended requests is acknowledged, ensure that Ministerial Services is copied in to
any correspondence using the [MBIE request email] address to ensure that The HIVE is updated.
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The decisi
on to refuse or withhold all or part of a request must be approved by your manager. Legal Services or
Ministerial Services should be consulted. Legal Services must be consulted on high or critical risk requests
.
Note - A decision to refuse or withhold information can be subject to a complaint under the OIA or
Ombudsmen Act. Document all decisions, including sign-offs, approval and sign-out and record them
on the risk impact and sign-off sheet.
The reasons for withholding information are listed below in summary form. You must read and consider the relevant
provisions in the OIA before withholding or refusing information.
Conclusive reasons (Section 6
) for withholding information These include reasons such as:
Release would be prejudicial to the security or defence of New Zealand or the New Zealand
Government’s international relations
Release would prejudice the entrusting of information to the New Zealand Government on a confidential
basis by other governments or international organisations
Release would prejudice the maintenance of the law
Release would endanger the safety of a person
Release would seriously damage the New Zealand economy.
Other substantive reasons (Section 9(2)
) for withholding information
These include reasons such as:
Relating to privacy of natural persons
Release of the information would disclose a trade secret or prejudice the commercial position of the
person who supplied the information
Release may impact on constitutional provisions which protect ministerial responsibility, the political
neutrality of officials and the confidentiality of advice from Ministers or officials
Release may impact on the ability of officials and Ministers to express opinion freely and frankly
Withholding the information may be necessary to protect Ministers or officials from improper pressure or
harassment
The information released may be used for improper gain or advantage
Withholding the information is necessary to maintain legal professional privilege
Release may prejudice or disadvantage commercial activities
Release may prejudice negotiations including commercial or industrial negotiations.
Note - Employee names and contact details
MBIE must take all reasonable steps to protect the privacy and security of its staff members when
responding to requests for information, however, MBIE staff do not have an absolute expectation of
privacy in their official capacity. Relevant reasons for refusing to release staff personal information
under the OIA include protecting privacy (s9(2)(a)), maintaining the effective conduct of public affairs
through free and frank expressions of opinion (s9(2)(g)(i)), and protecting employees from improper
pressure and harassment (s9(2)(g)(ii)). Final decisions should be made on a case-by-case basis in
consultation with the staff member, and if in doubt consult the Privacy Team, Legal Services or
Ministerial Services.
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Prepare a d
ocument table
When briefing the Minister, consideration should be given to including a table in the response letter if a large
number o
r complex set of documents are within scope. Create a table of the proposed information to be released
and any documents that are to be withheld and/or refused and the reasons for withholding/refusing the information
under the OIA. This will make it easier to identify if a document is being released in full or under what grounds
information is being withheld from a document. A template table is included in the briefing report templates.
Example:
OIA 2017-1234 - Documents released
#
Date
Document Title
Withholding status
Status Report #110 – Week beginning: Monday
1
10 April 2017
N/A
10 April 2017
Status Report #113 – Week beginning: Monday 8
2
8 May 2017
N/A
May 2017
Briefing: 3022 16-17 – Unit Titles Act Review:
s9(2)(a), s9(2)(b)(ii), s9(2)(f)(iv)
3
17 May 2017
Consultation outcomes and final policy approvals
and s9(2)(g)(i)
Briefing: 4072 16-17 - Unit Titles Act Review:
s9(2)(a), s9(2)(b)(ii),
4
20 July 2017
Additional policy approvals and draft Cabinet
s9(2)(ba)(i), s9(2)(g)(i) and
paper
s9(2)(f)(iv)
Decisions on withholding or refusing information will be made on a case-by-case basis. Legal Services or Ministerial
Services should be consulted before editing or redacting any information. Legal Services must be consulted on high
risk requests
.
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Save a
Redacted copy of the information, and an
Audit or
Marked Up copy. The latter will be useful if
the response is subject to an OIA complaint to the Ombudsman.
Redactions should be made using appropriate redaction software such as Adobe Acrobat and the withholding
provision must be indicated. Redacting software provides a professional and standard look, saves paper and can
easily be printed onto OIA imprinted paper. If you do not have access to redacting software, contact the IT Service
Desk to apply for a licence or contact Ministerial Services for assistance.
If you are redacting electronically use the scanned copy of your documents. Remember to save it with a different
name so you keep a clean copy of the documents. Refer to the naming conventions for more details.
Print the redacted scan or photocopy the hand redacted version onto OIA imprinted paper. Then scan again to make
the release set and file copy. This is referred to as the “
Redacted copy”.
You should now have:
A
Clean copy set (electronic scan and hard copy) of all information in scope of the request.
An
Audit or
Marked up copy set
of all information in scope of the request with relevant information
deleted/redacted, either as a scan or in hard copy
A
Redacted copy set
of information (electronic scan and hard copy) on OIA paper with all relevant
information deleted/redacted.
Note - If you withhold information you must note using the redaction software against each deletion
which section of the OIA applies, even if for the whole response only one section is used. If you are
deleting because the information is out of scope of the request, then redact/delete and include “Out
of Scope”. If several pages are to be deleted under the same ground, just include one page with the
withholding provision clearly identified in the
Redacted copy.
Never send the PDF version with live redacting as it can be undeleted.
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Legal Ser vices review -
Legal will advise on whether the proposed redactions have been applied in accordance with the Act. In some
circumstances it may also be appropriate for Legal Services to advise on overall risk and generally on issues of scope,
including how the request has been interpreted and the approach taken by the business.
Ministerial Services review -
This review is generally completed by a Ministerial Services team leader or manager and is the final quality review
before going to the relevant manager for sign-out.
Incorporate feedback and follow-up issues
If receiving conflicting advice from the reviewers, then you may need to organise another meeting to further discuss
and determine on the right approach in responding to the OIA request.
This may mean providing the sign-out manager with a final draft response and providing any conflicting advice
separately.
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