2.FULL RELEASE Disclosure under the Official Information Act 1982 OIA.pdf

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Disclosure under the Ofﬁcial Information Act 1982 (OIA)
Overview
Purpose of this part of the ‘Privacy and ofﬁcial information’
chapter
This part of the 'Privacy and official information' chapter details Police procedures and
requirements under the Official Information Act 1982 (OIA ()) for responding to requests for
information:
that is not personal in nature (e.g. Police policies or procedures from the Police
Manual)
that is personal about third parties (e.g. a request from the media or from one family
member for information about another).
These requests are governed by the Official Information Act 1982.
See 'Disclosure under the Privacy Act 1993' for the legislation and procedures relating to
requests for personal information or about proactively disclosing personal information
under the Privacy Act 1993.
This part of the ‘Privacy and official information’ chapter also provides detailed Police
processes to guide staff when receiving and responding to OIA requests using the
Information Request TOOL (IRT). It applies to all OIA requests received at PNHQ and in
Districts. See the section on ‘How to action an OIA request’.
Ofﬁcial information deﬁned
"Official information" means any information (including personal information) held by a
Department, a Minister of the Crown in their official capacity, or an organisation (which
includes New Zealand Police). It includes any information held outside New Zealand by any
branch or post of a Department or organisation.
It excludes certain categories of information, such as evidence in a commission of inquiry,
information contained in a victim impact statement, or information relating to an
investigation by the Ombudsman or the Privacy Commissioner.
(s2(1))
Purpose of the Ofﬁcial Information Act
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The purpose of the Official Information Act 1982 is to:
make official information more freely available, and
protect official information to the extent consistent with the public interest and the
preservation of personal privacy.
The Act states as a principle that ofﬁcial information must be provided unless there is good
reason for withholding it.
(s5)
When the Ofﬁcial Information Act applies
The Act only applies when responding to a request for official information. Requests made
to Police for information that is not about the requester must be considered under the
Official Information Act.
See 'Introduction to disclosure of information' for more guidance on determining when the
Official Information Act applies.
Related information
See also:
these related parts of the 'Privacy and Official Information' chapter:
Information Privacy Principles
Introduction to disclosure of information
Disclosure under the Privacy Act 1993
Applying the Criminal Records (Clean Slate) Act 2004
Community disclosure of offender information
Privacy breach management
'Criminal disclosure' for the law and procedures relating to the disclosure of
information to the defence before trials
the Official information legislation guides on the Office of the Ombudsman's website.
Requests for ofﬁcial information
Who can make a request
A request under the Official Information Act (OIA ()) can be made by:
a New Zealand citizen
a person who is a permanent resident or is in New Zealand
a body corporate incorporated in New Zealand or having a place of business in New
Zealand.
(s12)
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Information may be released to a non-entitled requester
Where a requester is not entitled under the OIA () to make a request, Police may still
release information, especially where it is non-personal, non-sensitive official information,
it will not impact too heavily on Police resources to do so, and there is a public interest in
disclosure (e.g. an Australian researcher asks for NZ Police's policy on the Adult Diversion
scheme).
Identifying the requester
It is not necessary to verify the identity of an OIA () requester (unless they are a NZ body
corporate requesting personal information about the requester (s 25)) and they do not have
to provide personal details. However, if you have concerns about the nature of the
information sought and whether they meet the section 12 requirements of a person entitled
to make a request (i.e. NZ citizen/permanent resident/in NZ), you may ask for a reasonable
level of evidence, e.g. a NZ address or phone number, but you cannot demand proof of
identity.
The purpose of checking eligibility is to ensure the Official Information Act applies to your
response, including the 'good faith' protection from court proceedings provided by section
48.
If the OIA () request is for personal information about a third party:
the requester must provide sufficient information, such as evidence of their
relationship, to assist you in assessing whether the public interest in releasing the
information to them outweighs any privacy interest (e.g. a request from a parent or
guardian for information about offending by their young child), or
you must be satisfied that the request is properly authorised by the individual whose
information is being requested.
The form of the request
Requests can be made in writing or orally. You cannot require that the request be written,
but you can ask the requester to put their request in writing. Offer the relevant Police Form
(available in Police Forms> Information Requests > Ofﬁcial Information and Privacy Act
requests) which can be printed and handed to the requester, or you can direct the
requester to the Police website portal to download/complete/print the form or to make a
request for official information online.
Otherwise, make a written record of an oral request for official information, including the
exact wording of the request and the requester's details needed to complete and deliver
Police's response.
Requests must be clear as to the information required
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Information requested must be specified with "due particularity". That does not mean the
request cannot be broad or for a large amount of information, but if what is being
requested is vague or unclear, go back to the requester immediately and ask for it to be
clarified.
(s12)
Police must assist a requester to make their request correctly
You must assist a requester so that their request is made in the correct manner or to the
appropriate agency.
(s13)
Time limits for responding to requests
An OIA request must be processed and a decision made on whether and how to grant it,
and the requester notified accordingly, as soon as reasonably practicable, but not later
than 20 working days from the day after the request is received. (s15(1))
Failing to respond to a request within the time limit or undue delay in making the
information available is deemed to be a refusal. (s28(4)&(5))
If you cannot communicate the decision within the 20 working-day limit, consider whether
you can notify an extension.
Key roles and responsibilities
End-to-end oversight for PNHQ
The Ministerial Services OIA Team has end-to-end oversight of all PNHQ OIA requests. The
team receives and triages all OIA requests for completion at PNHQ. It also reassigns OIA
requests that need to be completed in districts. The team provides advice to all Police staff
on responding to OIA requests and coordinates the approval process before a response is
sent out.
A member of the Ministerial Services OIA Team is designated as the Ministerial Services
Liaison for each OIA request. The Ministerial Services Liaison logs and assigns requests to
the appropriate business group for response. They maintain oversight of requests to ensure
legislative timeframes are met, and are the coordination point when draft responses are
complete and need to go through Executive approval and Minister’s Office consultation. The
Ministerial Services Liaison is responsible for sending responses to requesters once they
are complete.
End-to-end oversight in Districts
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The Claim Team (usually those staff in the File Management Centre (FMC) with responsibility
for managing information requests) has end-to-end oversight of all OIA requests in the
district. A designated Claim Team member (usually the FMC supervisor) is responsible for
triaging all OIA requests received. Requests are then allocated to a Claim Team member
(this may be the same person) who logs and assigns requests to the Assignee Team, then
on to a nominated Assignee for response, or reassigns those that need to be completed by
another district or PNHQ. The Claim Team maintains oversight of requests to ensure
legislative timeframes are met and provides advice to district staff on responding to
requests. The Claim Team member is responsible for sending responses to requesters once
they are complete.
Preparing the response
A number of people may be involved in the process of preparing a response to an OIA
request.
At PNHQ
A Claim Team in each business group at PNHQ is responsible for allocating OIA requests
received by the business group to an Assignee. The Claim Team maintains oversight of all
OIA requests assigned to the business group to ensure they are completed within
legislative timeframes.
The Assignee is responsible for scoping the request, collating the requested information,
and compiling the response for endorsement. The Assignee will usually decide it is
appropriate for a Supervisor to review a draft response before it goes to the National
Manager/Director for endorsement. The Assignee may seek advice from a member of the
Legal Team at any stage, or ask them to review a draft response once the Supervisor has
done so.
The National Manager/Director endorses all responses before they go to the appropriate
Executive Member/s for approval.
In Districts
The Assignee is responsible for scoping the request, collating the requested information,
and compiling the response. The Assignee would normally seek review by a Supervisor of a
draft response before it is finalised. The Assignee may seek advice from a member of the
Legal Team at any stage, or ask them to review a draft response once the Supervisor has
done so.
Approving the response (PNHQ process only)
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All PNHQ OIA responses go to an Executive Member for final approval. Responses are
approved by the appropriate Executive Member/s for the relevant business group/s, and by
the DCE: Media and Communications.
Under the ‘No Surprises Principle’, some responses will go to the Minister’s Ofﬁce for
consultation prior to the information being released to the requester.
How to action an OIA request - The stages of processing an
OIA request
There are distinct stages involved in receiving and responding to an OIA request.
Each stage is shown below, and you can click on each stage to link to the detailed guide on
what you need to do.
1. Logging and triaging a request
2. Scoping a request
3. Collating the information
4. Compiling the response
5. Finalising the response at PNHQ ; in Districts
In Week By Week 1-2
By Week 1-3
By Week 2-4+
1
Log
Collate
Compile response
Provide decision or extension by 20th
Triage
Assess
working day
and for PNHQ –
Assign
Compile
Release approved information without
Approve
Scope
response
delay
Ministerial
Collate
consultation
Transfer
Key process points
What you need to know
All information held by Police is official information.
A request for official information does not need to refer to the OIA, can be
communicated by any means (including orally or by social media) and can be made to
any person in Police.
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You must make a decision about whether you will release the information requested
and communicate it to the requester ‘as soon as reasonably practicable’ and no later
than 20 working days after the request is received, unless you have extended the time
limit for response.
Key Timeframes
The working day count starts the day after a request is received by Police.
If a request is refined within 7 working days it can be treated as a new request.
You have 10 working days to transfer a request unless you extend the time limit to
transfer.
You have 20 working days to make and communicate a decision to the requester, or to
extend the time limit.
Remember
The public has a right to access the information Police holds.
OIA requests are a core part of our business and responding to an OIA might be
something you need to do.
Communicate well with the requester. OIA requests are an opportunity to influence,
educate, and inform, and build the public’s trust and confidence in Police.
Logging and triaging a request
Logging a request
All PNHQ OIA requests are received by the Ministerial Services OIA Team and a Ministerial
Services Liaison is designated to each request. Any requests sent directly to a business
group should be emailed to [email address] for logging and assigning.
All district OIA requests are received by the Claim Team. Any requests received by another
group in that district should be sent to the Claim Team for logging and assigning.
Every request (PNHQ and Districts) must be logged in the IRT as soon as possible after it is
received. This is necessary for workflow management and reporting.
Requests that are submitted through the Police website will automatically be logged in the
IRT, with some of the information pre-populated into the request record. A member of the
Ministerial Services OIA Team in PNHQ, or the District’s Claim Team will check that the
information has pre-populated correctly and add any relevant information.
Requests received by any other means are logged manually in the IRT by the Ministerial
Services Liaison designated to that request, or in Districts, by a member of the Claim Team.
Triaging a request
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The Ministerial Services OIA Team, or the designated triage person in each district, triages
all requests. (At PNHQ, this is done at a daily meeting). Following triage, the designated
Ministerial Services Liaison, or the allocated district Claim Team member, will complete any
required actions.
See the relevant triage process map (PDF) below:
PNHQ Ministerial Services Triage Process
 PNHQ Ministerial Services Triage Process.docx
65.31 KB
Districts Triage Process
 Districts Triage Process.docx
58.94 KB
The questions considered during initial triage should be considered throughout the
life of the request. Things such as identifying a risk relating to the release of some
information may not be immediately apparent. Issues should be addressed as they
arise.
Does the request belong with Police (in part/full)? [by day 10]
Identify if Police holds the information or if another agency or Minister should
respond.
If the request is for information Police doesn’t hold (or only partially holds), you will
need to transfer it.
If the information is spread across multiple agencies Police may need to split the
request, respond to part of it, and transfer the remainder to other agencies.
A transfer to another agency or Minister must be done no later than 10 working days
after Police receives the request. The only exception to this timeframe is if
consultation with other agencies about the transfer can’t be completed within the 10
working day time limit.
A request that is being transferred in full still needs to be logged in the IRT.
To transfer a request:
Contact the agency you think should respond to the request and confirm they will
accept it.
Once confirmed, email the request to the agency.
Notify the requester that their request is being transferred.
Complete the transfer process in the IRT.
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Is the requester eligible to make the request under the OIA?
To be eligible to make an OIA request, a requester must be:
a person who is in New Zealand OR
a New Zealand citizen or permanent resident anywhere in the world OR
a corporate entity which is incorporated in New Zealand or which has a place of
business in New Zealand.
If a requester is not eligible, Police may still release information, particularly where it is
non-personal, non-sensitive official information, if it will not impact too heavily on Police
resources to do so, and there is a public interest in doing so.
You need to:
Check if a requester is eligible to make the request.
If eligibility is unclear, contact the requester to clarify.
If a requester is not eligible, consider the requester’s circumstances and make a
decision on whether or not to accept the request.
If the request is accepted, assign it in the same way as an OIA request.
If the request is not going to be accepted, advise the requester they do not meet the
eligibility requirements.
Is the requester eligible to make the request under the OIA?
Marking a request “confidential to Police” restricts access/visibility in the IRT to staff
assigned to the request and a small number of staff with super-user access.
The criteria for when a request should be marked “confidential to Police” applies to the
request itself and/or the information requested (regardless of whether that information
will be released or not, as unredacted documents are still accessible by staff).
If any of the following apply to the request, or information requested, the request may be
marked “confidential to Police”:
The request relates to a high-profile individual or incident, AND is not fully available
in the National Intelligence Application (NIA), AND the subject matter is of a nature
that the individual involved would have an expectation that Police would treat the
matter with additional confidentially.
The request is from a Police employee.
The request is a complaint about, or reflects negatively on, a named Police employee.
There is any other reason why making the request, or information requested, visible
to all Police staff is not appropriate.
You need to:
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Consider whether any of the above criteria apply to the request.
If so, mark the request “confidential to Police” in the IRT.
Are there any high organisational impacts with the request or the likely
response?
If a decision to release, or not to release, the requested information may have any of the
following impacts/consequences, a request should be marked “high organisational impact”:
Likely to negatively affect trust and confidence in Police, Ministers, or stakeholders.
Likely to negatively affect the reputation of an individual or organisation.
Potential legal implications.
High interest to the public.
Likelihood of high media interest.
Or if:
there are current, or impending, court proceedings.
there is any other reason why a request should be flagged.
You need to:
Consider whether any of the above criteria apply to the request. Remember, the
criteria applies to the information you will be releasing. If the requested information
is sensitive in nature but you will be withholding it, there may well be no impact on
Police.
If any of the criteria apply to the request, mark the request “high organisational
impact” in the IRT.
Marking it “high organisational impact” in the IRT provides a number of options for
review, consultation, and/or notiﬁcation. Consider who needs to know about the
potential impact.
Mark one or more of the below options in the IRT:
Review
At PNHQ – the Executive
In Districts:
Supervisor
Member of District Leadership Team
District Commander
Executive (PNHQ)
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Consult
Legal
Media and Communications
Chief Privacy Officer (Based at PNHQ)
Chief Information Security Officer (Based at PNHQ)
Notify
Media and Communications
Commissioner (for PNHQ OIAs) or District Commander (for District OIAs)
and/or their delegate
Minister’s Office
Is the request urgent?
A requester may ask for a request to be treated as urgent, and if so must give the reasons
for seeking the information urgently (section 12(3) of the OIA).
You need to:
Assess whether the reason given is genuine and legitimate and if it is reasonable to
give the request priority over other work, including other OIA requests.
If you’re unsure, contact the requester to clarify the reason for urgency.
If you believe there is a genuine need for the request to be treated with urgency,
make this clear in the IRT record.
Is there likely to be any problems reaching a decision on the response
within 20 working days?
You need to:
Assess the likelihood of the request taking longer than 20 working days to respond to.
If it is likely to, make sure the assignee is made aware of the process of applying a
time extension, should this be needed.
Check the request has not been sent to multiple places in Police
The Ministerial Services Liaison or the District’s Claim Team member needs to:
Complete a search in the IRT in case the requester has sent the same request to
multiple places in Police. If this is the case, the response should be completed by the
PNHQ business group or district that the majority of the requested information
relates to.
Acknowledge the request
The Ministerial Services Liaison or the District’s Claim Team member needs to:
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Email the requester acknowledging receipt of their request within 24 hours of the
request being received.
In the acknowledgement email/letter you should include:
the date the request was received by Police
the IRT reference number
the exact request phrasing of the request, or a copy of the request
the timeframes for response.
Assigning a request
For PNHQ OIAs
The Ministerial Services Liaison needs to:
Assign the request to a business group Claim Team. If a request requires information
from multiple business groups, a decision will need to be made on which business
group is best placed to take overall responsibility for responding.
If the request needs to be assigned to a district for response, assign it to the
appropriate district Claim Team.
A member of the Claim Team needs to:
Accept or reject business group responsibility for responding to the request as soon
as possible, and within 24 hours.
If accepted, assign the response to an appropriate member of the Assignee Team,
taking into consideration factors such as subject matter expertise and workload.
For District OIAs
The Claim Team member needs to:
Assign the request to a member of the Assignee Team, taking into consideration
factors such as subject matter expertise and workload.
Once assigned (Both PNHQ and Districts)
The PNHQ or District’s Assignee needs to:
Accept or reject the responsibility for responding to the request as soon as possible,
and within 24 hours.
Reasons for rejecting a request may include that you are not the right person to
respond, or because you do not have the capacity to do so. You should talk to the
Claim Team member who assigned the response, or your supervisor, before rejecting a
request.
If:
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at PNHQ a member of a Claim Team or an Assignee, or
in Districts, an Assignee —
identifies that a request, or part of a request, needs to be transferred, they should mark the
request “for transfer” in the IRT. The Ministerial Services Liaison or the District’s Claim Team
member will then process the transfer.
Relevant templates
Letter to requester - acknowledging receipt of request
Letter to agency – transfer of request
Letter to requester – transfer of request
(Accessed from WORD> Police Forms> Information Requests> Ofﬁcial Information and
Privacy Act requests)
Checklist for logging and triaging a request [by day 3]
Request has been logged in the IRT
Request was assessed for transfer and transfer was completed if required
Requester was assessed and deemed eligible to make a request
Request was assessed for confidentiality requirements
Request was assessed for any high organisational impacts
Request was assessed for urgency
Request was assessed for likelihood of any problems reaching a decision on the
response within 20 working days
Requester has been sent an email acknowledging receipt of the request
Request has been assigned to an Assignee for response
Scoping a request
On accepting responsibility for responding to a request, the next step is for the Assignee to
scope the request.
Clarify the request [by day 7]
Assess whether the request is clear and specific enough for you to identify the
particular information the requester wants, without any inferences or guesswork on
your part (referred to in the legislation as ‘due particularity’).
If the request is unclear, contact the requester to clarify (by phone where possible). If
you clarify by phone, follow up with an email (or letter) to confirm any agreed
amendments.
If you seek clarification and the request is amended with the requester’s agreement
before day 7, the OIA clock restarts and you then have 20 days to respond from the
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day the request was clarified. If this happens, update the “request received” date in
the IRT.
If the requester does not get back to you to clarify the request, you’ll need to continue
processing the original request, so seek clarification as early as possible.
Check if the information is publicly available
If the information is already (or very soon to be) publicly available, you can refuse the
request and refer the requester to the location of the information (section 18(d)
relates to this).
Check previously released information
Do an IRT search to see if any similar requests have been received, or previous
requests from the same requester. We do these checks because we want to provide
consistent responses. Being inconsistent can put Police’s reputation at risk, and
checking can often save you time if information on the same topic has been released
previously.
If other similar requests have been responded to, check that the information is still
current.
A search will also identify if a requester has sent the same request to multiple places
in Police. (Ministerial Services or a District’s Claim Team member will already have
checked this during triage, but further requests may have been logged in the IRT after
this check was done). If this is the case, the response should be completed by the
PNHQ business group or district that the majority of the requested information
relates to.
Notify the requester that they will receive one response and from whom.
Plan your timeline
An OIA request must be processed and a decision made on whether and how to grant
it, and the requester notified, as soon as reasonably practicable, and not later than 20
working days from the day after the request is received.
You do not have to provide the information that you are releasing to the requester
within that timeframe. This does not mean you can defer the decision process, it only
applies to the administrative process of providing the information.
You must still provide the information without undue delay.
Advise the requester when they can expect to receive the information.
If you cannot communicate the decision within the 20 working day limit, you will need
to notify an extension.
Be realistic when you plan how long each processing stage is likely to take. Keep
legislative and administrative deadlines in mind, and consider factors likely to impact
how long you need for each stage (e.g. quantity, location and complexity of data, and
the number and availability of subject matter experts and other stakeholders).
Consider your own workload.
Additional considerations at PNHQ
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Requests completed at PNHQ need to be approved by an Executive Member, and many
will be reviewed by the Minister’s Office before the response is sent out.
Allow at least three working days for Executive Member approval and five working
days for Minister’s Office consultation.
Identify who you will need input from and who you will need to
consult
This could include subject matter experts who hold the information or need to be
consulted, and internal/external stakeholders/agencies who might need to be
consulted or notified.
Identify whether the information exists, where it is located, how
much there is likely to be, and how long it will take you to
get/assess it
Does the request require you to create new information? The OIA does not require you
to create new information (section 18(g)).
Are there any difficulties accessing the information?
Is there likely to be a large quantity of information found, or are you going to have to
search through a large quantity of information to find the information that the
requester wants?
Identify any risks or impacts with the type of information
requested
The request will have been assessed for any risk or organisational impact during
triage, but consider if any new risks/impacts have emerged since then.
Relevant templates
Letter to requester – extension required
(Accessed from WORD> Police Forms> Information Requests> Ofﬁcial Information and
Privacy Act requests)
Checklist for scoping a request [in week 1]
Request was assessed for due particularity and clarification sought if needed
Checked whether information is publicly available / soon to be publicly available
Checked previously released information
Planned request timeline
Identified SMEs and stakeholders
Identified whether the location exists, where it is located, how much there is likely to
be, and how long it will take to get/assess it
Identified any issues that could delay collation, assessment, or consultation
Identified the format that the information (if released) is to be provided in
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Identified any risks or impacts with the type of information requested
Collating the information
After scoping the request, the Assignee needs to collate the information.
Identify information in scope
Arrange for a search of all physical and electronic locations within Police that you
believe may hold information in scope. The Ministerial Services OIA team or the
district Claim Team can advise you on this if you are unsure.
Consider whether any external locations might hold information in scope (e.g. other
agencies).
You aren’t required to create new information in order to respond to an OIA request
(e.g. to form an opinion, collect new data, or undertake new analysis/transformation
of information or base data). However, you should consider whether it would be
administratively unreasonable to refuse to do so (e.g. the information would be
created in the near future anyway, the information is of substantial public interest, or
the work required to create the information is at a manageable level).
If you need another Police staff member to provide you with some information for the
response, select the “create SME task” option in the IRT. Be clear about the
information you need from them, and when you need it by. It’s a good idea to call
them in advance of sending your request to them.
Keep a list of locations you have searched and note this in the IRT. If you need to
replicate the response, or if the requester complains to the Ombudsman, you can
show that a reasonable effort was made to identify the requested information.
If there is a large number of documents in scope, consider keeping a table/list of the
documents, to help you keep track of them and the action you are taking against each,
e.g. consultation, withholding, refusing.
Collect copies of the information in scope
When you identify electronic or hardcopy documents you should make copies of these
to add to your electronic/physical document set. (Note - it is risky to store original
hardcopy documentation in your OIA physical document set, as it could be mistaken
for copied documentation and redacted or released to the requester).
Issues that may come up during collation
You could not identify any information in scope
If the information requested does not exist or cannot be found, the request should be
refused under section 18(e) of the OIA.
If the information is not held by Police and there are no grounds for believing it is
held by another agency, the request should be refused under section 18(g) of the OIA.
Note that the OIA does not require an agency to create information in order to meet a
request for information.
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If you discover relevant information after having refused the request under either of
the above grounds, contact the Ministerial Services OIA Team or your district Claim
Team to discuss the situation as soon as possible.
Large volumes of information
If the request is for a significant volume of information, will take a long time to complete (in
terms of processing time), or there are additional charges to Police for retrieval of the
information, there are a number of things to think about. The OIA enables you to refuse a
request where the information requested cannot be made available without substantial
collation or research (section 18(f)).
“Substantial collation or research” means that the work required to find the requested
information, or bring it together, would have a significant and unreasonable impact on
Police’s ability to carry out its other operations.
If you are considering withholding information on the grounds of substantial collation or
research, you should look at the following options first:
Amending the request scope
Contact the requester (by phone where possible) to see if they will agree to (for
example) reduce the time period in scope, or the types of documents covered by the
request. You may be able to provide a list of the documents in scope for the requester
to select from in their next request, or provide the information in a different format
(e.g. a summary or oral briefing).
If you take steps to consult the requester within the first 7 working days you can treat
any amended or clarified request you agree upon as a new request and restart the
OIA clock.
Extending the timeframe for the request [by day 20]
If a decision on whether or not to release the requested information cannot be made
within 20 working days, the limit can be extended where:
the request is for a large quantity of information or requires searching through a
large quantity of information and meeting the original time limit would
unreasonably interfere with Police operations, or
the consultation necessary to make a decision on the request are such that a
proper response to the request cannot reasonably be made within the original
time limit.
When setting your extension period, it is important to be realistic about how long
processing will take. While you are still within the original 20 working day period, you
can modify your extension period if you realise that it will not be long enough. You
cannot modify the extension period or re-extend the request once the extension has
begun and you are outside the original 20 day period.
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It is frustrating for the requester when the response takes longer than they expect, or
the timeframe keeps changing. If you know an extension is likely, signal this to the
requester early. You may want to hold off actually extending your request until the
third or fourth week, by which point you should have a clear picture of how much
additional time you are likely to need.
(Note that when advising the requestor of an extension, you must notify them of their right
to complain to the Office of the Ombudsmen (s28(3))
Fixing a charge to process the request
In cases where a request is likely to consume a considerable amount of labour and/or
resources, or where a requester has recently made a large volume of time consuming
requests, it may be appropriate to consider charging the requester for the
information.
The Ministry of Justice provides charging guidelines for OIAs.
If you are considering charging for an OIA request, discuss this with the Ministerial
Services OIA Team.
A new Police policy for charging for OIA requests will be published mid-2018.
If the requester is not prepared to amend their request, and if extending or fixing a charge
are not suitable options for managing the substantial collation, you can refuse the request
under section 18(f) of the OIA. It is strongly recommended that you discuss the request with
the Ministerial Services OIA Team or your district Claim Team and/or the Legal Team if you
are thinking about refusing the request on the grounds of substantial collation.
Relevant templates
Letter to requester – extension required
Letter to requester – all information withheld/refused
(Accessed from WORD> Police Forms> Information Requests> Ofﬁcial Information and
Privacy Act requests)
Checklist for collating the information [by week 1-2]
Requested copies/list of information from all internal information holders
Requested copies/list of information from all external information holders (if
applicable)
Received and/or made copies of information in scope
Compiled list of locations searched
Compiled list of all information in scope
If substantial collation or research is necessary, contacted requester to discuss
amendment, extension, charging or refusal
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Compiling the response
After collating the information, the Assignee needs to decide on and compile the response.
Consider the approach to withholding/releasing information in
any previous responses
New Zealanders have a right to access the information Police holds and this should be
front of mind. Information should be made available unless there is good reason for
withholding it.
We want to be as consistent as possible with responses, to avoid making contradictory
public statements and to ensure requesters are treated equally. If we have responded
to the same, or a similar, OIA request in the past (particularly if this was recent), you
would generally approach your current request in a way that is consistent with the
previous request. If you are thinking of taking an approach that is very different, or
even contradictory to the previous request, you should discuss this with your manager
or the Ministerial Services OIA Team / district Claim Team.
See more information on the grounds for withholding information and refusing a request.
Consulting with others
If you identify any particular risks or issues as you assess the material, get early
advice from the Legal Team, Media and Communications, or other relevant business
groups. They may be able to assist you with advice/information to help with your
general approach as well as decision on whether or not to release particular material.
Where there is material that directly relates to business groups or external
stakeholders/agencies, consult with them to determine what information they
consider should be released or withheld and the reasons for this.
Making a decision
Making a decision on the request means deciding whether you will release the
requested information to the requester. You must decide whether to release the
information in full, release some information and withhold other information, or not
release any of the information (refuse the request).
Compiling the information for release
Police uses Adobe Acrobat XI Pro to redact information that is being withheld. Take a
PDF scan of each hardcopy document identified, and save a copy of all electronic
document files identified.
You can find information on how to redact here.
Save a copy of the marked document with the proposed redactions (red outline
around the text you intend to redact).
Save a second version of this marked document and apply the redactions to the
second version, then save that redacted version
Save both versions in the IRT.
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Add a watermark to the second PDF version which will be released. Follow the
guidance on adding a watermark in the Electronic redaction and disclosure chapter
If you have not added watermarks before, create watermarks you will routinely
need for different purposes and save the settings. The following suggested
settings may be saved for ongoing use – it is preferable to personalise the
disclosure to easily track the source of a Police document to the recipient and the
IRT reference):
Watermark
Title saved
Disclosed under the Official Information Act 1982
OIA – personalised
To:
Ref:
Disclosed under the Official Information Act
OIA – generic
If you don’t have access to Adobe Acrobat XI Pro, contact the Ministerial Services OIA
Team or your district Claim Team for advice.
Drafting a response letter
All letters to the requester are written as if the person signing out the request is
speaking on behalf of the Commissioner of Police, as the letter is a public statement
from Police and may be published in the media or online.
All information given in the letter must be factually correct.
Use clear language and be as helpful as possible in explaining the rationale for any
decisions to withhold information or refuse a request.
If you intend to withhold information or refuse a request, consider contacting the
requester by phone to explain the decision, before sending the response, if you think
this will help Police’s relationship with the requester.
There are letter templates available to help you. Remember, these are a guide. You
can modify them to suit your request circumstances, and provide additional context in
your letter, if it will help the requester to better understand the reasons for your
decision.
Reviews
When you have a draft response compiled, decide if it needs to be reviewed by a
Supervisor and/or a member of the Legal Team before it goes:
to the National Manager/Director for endorsement (PNHQ OIAs only), or
for district OIAs, back to your district Claim Team to send to the requester
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If a request has been marked as “high organisational impact” in the IRT, compulsory
reviews or notification may have been identified. Check if this is the case.
Supervisor review
If you think a Supervisor should review the PNHQ’s draft response before it goes to
the National Manager/Director for endorsement, or a District’s draft response, submit
a ‘supervisor review’ request in the IRT.
Legal review
If you are unsure about the application of withholding grounds to any particular
information, you can ask a member of the Legal Team for advice by submitting a ‘legal
review’ request in the IRT.
If you are sending a draft response to the Legal Team for review, make sure it has
been reviewed by a supervisor first.
Be speciﬁc about what parts of the response, or any particular information, you need
advice on, and make sure you allow adequate time for the Legal Team to provide
advice.
National Manager/Director endorsement (applies only to PNHQ)
The National Manager/Director of your business group needs to endorse the draft
response.
Print off the approval sheet and a hard copy of the draft response.
Fill in the information on the approval sheet.
Give the National Manager/Director a hard copy of the response along with the
approval sheet.
Once the National Manager/Director has endorsed the response, save an electronic
copy of the response and approval sheet in the IRT, and give the physical version to
the Ministerial Services Liaison. (Note: the information requested – to be released or
withheld in full, or proposed and applied redacted versions – will already have been
attached by the Assignee.)
Following completion of any reviews (applies only in Districts)
Save the response in the IRT, including the information requested – to be released or
withheld in full, or proposed and applied redacted versions.
If you consider the unredacted information is not appropriate to be attached in the
IRT, insert its file path location for future reference.
Submit it to your district Claim Team for finalising.
Relevant templates
Letter to requester – extension required
Letter to requester – all information withheld/refused
Letter to requester – some information withheld
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Letter to requester – all information provided
(Accessed from WORD> Police Forms> Information Requests> Ofﬁcial Information and
Privacy Act requests)
Checklist for compiling the response [by week 1-3]
Compiled files or hardcopy documentation for assessment
Reviewed the withholding/refusal grounds in the Act if needed
Reviewed each piece of information in scope carefully and assessed it for release
Sought early advice from Legal Team, Media and Communications, or other business
groups if needed
If withholding information under section 9 of the Act – completed Public Interest Test
If withholding information or refusing any part of request – considered seeking advice
from the Legal Team
Identified stakeholders who need to be advised about the request and/or have the
opportunity to consult on the response, and/or receive a copy of the final response
prior to release
Made a decision in respect of each part of the request
Compiled release copy of requested information (if applicable)
Drafted response letter
Completed Supervisor review if needed, and made any necessary amendments
Completed Legal review if needed, and made any necessary amendments
Completed all appropriate consultation with stakeholders
Additional requirements for PNHQ OIAs
Printed approval sheet
Put together OIA pack for endorsement and approval
Endorsed by National Manager/Director
Finalising the response (for PNHQ OIAs only)
Do you want the procedures for ﬁnalising the response for district OIAs)
After the Assignee has compiled the response and received National Manager/Director
endorsement, the Ministerial Services Liaison needs to finalise the response.
Executive approval
Decide if Executive approval is required. The main reason it would not be required is if
the same information has been requested previously and has already been reviewed
and approved by an Executive Member.
If Executive approval is required, take the hard copy of the response and approval
sheet to the Executive Receptionist who will coordinate the Executive approval.
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All requests require approval by the appropriate Executive Member/s for the relevant
business group/s, and by the DCE: Media and Communications.
Once the Executive approval process is complete, collect the response and approval
sheet from the Executive Receptionist.
The approval sheet will indicate if any changes are required and whether any further
Executive review is required. Changes should be made by the Ministerial Services
Liaison or the Assignee as appropriate.
Minister’s Ofﬁce consultation
The ‘No Surprises Principle’ requires Police to tell Ministers about matters of
significance.
Decide if the request/response needs to be sent to the Minister’s Office for
consultation before it is sent out to the requester. Reasons for doing this include if
the response is likely to be of high public interest, attract media attention, or impact
on trust and confidence in Police or Ministers. Allow five working days for the
consultation.
If a request is going to the Minister’s Office:
Send the hard copy to the Minister’s Office.
Update the IRT to show the request is at the Minister’s Office.
When the consultation is complete, update the IRT with any comments.
If changes are required, discuss them with the Assignee.
Releasing the response
When consultation and approval is complete, the OIA response can be sent to the requester
by the Ministerial Services Liaison.
The Ministerial Services Liaison will:
Provide a hard copy of the final response to the Assignee, who should arrange for the
National Manager/Director to sign it.
Scan the signed version.
Check if the requester has asked for the response to be sent to them in a particular
format or by a particular delivery method (e.g. email or post).
Check that any disclosure is the redacted watermarked version.
Send the response to the requester (most responses are sent by email and should be
sent from the [email address] address).
Make sure all documents relating to the request and response are saved in the IRT. If
information is being withheld, a copy of the response showing the proposed
redactions, as well as a copy of the final version with the redactions, should be saved.
Complete/close the request in the IRT.
Relevant templates
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Letter to requester – extension required
Letter to requester – all information withheld/refused
Letter to requester – some information withheld
Letter to requester – all information provided
(Accessed from WORD> Police Forms> Information Requests> Official Information and
Privacy Act requests)
Checklist for ﬁnalising the response [by week 2-4]
Approved by Executive Members
Completed Minister’s Office consultation, if needed
Response letter signed by National Manager/Director
Response sent to requester in the format requested
Check that any disclosure is the redacted watermarked version.
Saved all documents relating to the request in BPM
Completed and closed the BPM record
Finalising the response (for District OIAs)
Do you want the procedures for ﬁnalising the response at PNHQ?
After the Assignee has compiled the response the Claim Team member needs to finalise it.
Consider if the request requires any further consultation or
approval
The Claim Team member needs to:
Consider if the response requires approval by a manager before it is sent it to the
requester. This may be the case for requests that have been marked ‘high
organisational impact'.
Consider if Executive approval or Minister’s Office consultation is required. Again, this
may be the case for requests that have been marked ‘high organisational impact'.
If Executive approval or Minister’s Office consultation is required, the Claim Team
member should submit the request in the IRT to Ministerial Services for them to
coordinate the consultations.
Releasing the response
When the response is complete, the Claim Team member sends it to the requester.
The Claim Team member needs to:
Check if the requester has asked for the response to be sent to them in a particular
format or by a particular delivery method (e.g. email or post).
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Send the response to the requester.
Make sure all documents relating to the request and response are saved in the IRT,
including consultation emails, the response letter or email as sent, and the
information requested – as released or withheld in full, or proposed and applied
redacted versions.
Complete/close the request in the IRT.
Save the response in the IRT, including the information requested – to be released or
withheld in full, or proposed and applied redacted versions.
If you consider the unredacted information is not appropriate to be attached in the
IRT, insert its file path location for future reference.
Submit it to your district Claim Team for finalising.
Relevant templates
Letter to requester – extension required
Letter to requester – all information withheld/refused
Letter to requester – some information withheld
Letter to requester – all information provided
(Accessed from WORD> Police Forms> Information Requests> Ofﬁcial Information and
Privacy Act requests)
Checklist for ﬁnalising the response [by week 2-4]
Considered if the request requires any further consultation or approval
Response sent to requester in the format requested
Saved all documents relating to the request in IRT
Completed and closed the IRT record
Appendix A: Triage processes for PNHQ and Districts
Download the relevant triage process map (PDF) below:
PNHQ Ministerial Services Triage Process
 PNHQ Ministerial Services Triage Process.docx
65.31 KB
Districts Triage Process
 Districts Triage Process.docx
58.94 KB
Appendix B - Withholding information and refusing requests
under the OIA
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When you have identified what information has been requested, you must consider
whether there are any good reasons why the requester should not access any, or all, of the
information.
The grounds for withholding information, or refusing requests, are listed in sections 6, 9,
and 18 of the OIA.
OIA withholding provisions commonly used by Police
Section 6: Conclusive grounds for withholding information
‘Conclusive’ means you do not need to undertake a public interest test. The threshold for
applying section 6 withholding grounds is high because you must be able to demonstrate
clearly how the release of the information would be likely to lead to the negative impact.
Withhold requested information if disclosure would be likely to…
s6(a) prejudice the security or defence of New Zealand or the international relations
of the Government of New Zealand
s6(b) prejudice the entrusting of information to the Government of New Zealand on a
basis of confidence by:
i. the government of any other country or any agency of such a government;
or
ii. any international organisation
s6(c) prejudice the maintenance of the law, including the prevention, investigation,
and detection of offences, and the right to a fair trial
s6(d) endanger the safety of any person
Section 9: Grounds for withholding information
Withhold requested information if it is necessary to…
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s9(2) protect the privacy of natural persons, including that of deceased natural
(a)
persons
s9(2) protect information that is subject to an obligation of confidence, if the release
(ba)
of the information would be likely to prejudice the supply of similar information,
(i)
or information from the same source, and it is in the public interest that such
information should continue to be supplied
s9(2) maintain constitutional conventions, which protect the confidentiality of advice
(f)
tendered by Ministers of the Crown and officials
(iv)
s9(2) maintain the effective conduct of public affairs through the free and frank
(g)(i) expression of opinions by, between or to Ministers of the Crown, members of an
organisation, or officers and employees of any department or organisation in the
course of their duty
s9(2) maintain legal professional privilege.
(h)
(Never release communications with Police legal advisers or the Crown without
consulting the Legal Team
To rely on any withholding grounds under section 9, you must first undertake a Public
Interest Test to decide whether the public interest in releasing the information outweighs
the reasons to withhold it.
The core purpose of the OIA is to ensure that official information is made available to
members of the public. Section 9.1 makes specific reference to withholding information
“only where the withholding is not outweighed by other considerations which render it
desirable, in the public interest, to make the information available”.
Examples include:
Promoting the transparency and accountability of Ministers and the Public Service
Informing and enabling public participation in the activity of government
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Supporting the administration of justice and procedural fairness
Promoting public health, safety and the protection of the environment
The Public Interest Test
Identify the interest you are trying to protect by withholding information.
Then consider the sections that might apply to withholding it.
Identify any public interest considerations in favour of releasing the information.
Compare your reasons for 1 and 2 and balance the competing interests.
Decide if the public interest is greater for withholding the information or for releasing
the information.
If you are not certain where the balance of competing interest lies, consider
consulting the Legal Team.
The Ombudsman has produced comprehensive guidance on the public interest test.
Section 18: Administrative reasons to refuse a request in whole or part
A request can be refused if…
s18(c)
making the information available would constitute contempt of court
s18(d)
the information requested is or will soon be publicly available
s18(da) the information could be sought, or has been disclosed or withheld, under the
Criminal Disclosure Act
s18(e)
the document alleged to contain the information requested does not exist or,
despite reasonable efforts to locate it, cannot be found
You must ﬁrst consider whether consulting the requester would assist them to
make the request in a form that would remove the reason for the refusal (s18B).
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s18(f)
the information requested cannot be made available without substantial
collation or research
You must ﬁrst consider whether:
fixing a charge or extending the response time would enable the request
to be granted (you can treat 2 or more requests as one if they are about
similar topics or were received simultaneously or in short succession
(s18A)
consulting the requester would assist them to make the request in a form
that would remove the reason for the refusal (s18B).
s18(g)
the information requested is not held by Police or a Minister of the Crown or
other agency
(It also covers a request that would require the creation of information – such
as statistics, costs, numbers, where Police does not hold the data or cannot
readily produce it from a database. You do not need to create information in
order to meet a request.)
Third party requests for personal information
Take special care when making decisions on requests for personal information about a
third party. Common requesters in this category are parents of adult children, family
members, lawyers, parties in Court proceedings, and reporters.
In general, do not disclose third party information unless:
you are authorised or required by a specific statute or Court order to disclose it,
the third party has provided consent in writing, or
the public interest in meeting the request is sufficient to outweigh the privacy interest
associated with the information.
If none of these apply, decline the request under section 9(2)(a) of the Official Information
Act 1982 or seek legal advice.
Diversion-related requests
Do not disclose information relating to diversion to third parties, even with the consent of
the person concerned. Disclosing such information would undermine the incentive for
people to participate in diversion programmes. Such requests should, in general, be
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refused under sections 6(c) and 9(2)(a) of the OIA. There may be limited circumstances
where disclosure of diversion information is appropriate – see Adult diversion scheme
policy.
If a person seeks diversion information about themselves, process the request under the
Privacy Act 1993 and provide the information unless there are good reasons not to do so.
Classiﬁed information
Classified information cannot be withheld solely on the basis of its security classification or
endorsement mark. Urgently refer classified information subject to an OIA request to the
Manager Organisational Security at PNHQ. If the information is withheld, the reason given
must be one of those specified in the OIA.
Requests relating to current investigations and court proceedings
If a request for official information is made during the criminal investigation phase and
before the commencement of any court proceedings, the information sought is not covered
by the Criminal Disclosure Act 2008, so the OIA applies.
Information sought about current investigations or matters before the court may be able to
be withheld under section 6(c) of the OIA if it would prejudice the investigation or the right
to a fair trial.
From the commencement of proceedings until the end of trial
Obligations under the Criminal Disclosure Act 2008 (“CDA”) begin with the commencement
of proceedings and continue until they are concluded. (See the Criminal disclosure
chapter.)
Requests from a defendant for official information should be refused under section 18(da)
of the OIA where the request is made for information that could be sought, or has been
disclosed or withheld, under the Criminal Disclosure Act.
Requests from the media or any person other than the defendant may be refused under
section 6(c) of the OIA to avoid prejudice to the right to a fair trial.
After the trial
The refusal ground in section 18(da) does not apply to requests for information relating to
the court proceedings made after the trial has concluded. It only applies while criminal
proceedings are ongoing and the requester is a defendant.
After the trial, the OIA (including any applicable withholding grounds) applies to requests
for information held by Police relating to the court proceedings.
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Just because personal information has been released in criminal disclosure does not mean
it must be released to the former defendant after the trial is over – for example, the privacy
interests of a victim or witness are higher once the prosecution purpose has been met, and
personal information about them may be withheld.
Appendix C: Checklist for processing an OIA request
Download a WORD version of the checklist below:
 Checklist for processing an OIA request.docx
25.37 KB
Logging and triaging a request    [by day 3]
Request has been logged in the IRT
Request was assessed for transfer and transfer was completed if required
Requester was assessed and deemed eligible to make a request
Request was assessed for confidentiality requirements
Request was assessed for any high organisational impacts
Request was assessed for urgency
Request was assessed for likelihood of any problems reaching a decision on the
response within 20 working days
Requester has been sent an email acknowledging receipt of the request
Request has been assigned to an Assignee for response
Scoping a request    [in week 1]
Request was assessed for due particularity and clarification sought if needed
Checked whether information is publicly available / soon to be publicly available
Checked previously released information
Planned request timeline
Identified subject matter experts and stakeholders
Identified whether the location exists, where it is located, how much there is likely to
be, and how long it will take to get/assess it
Identified any issues that could delay collation, assessment, or consultation
Identified the format that the information (if released) is to be provided in
Identified any risks or impacts with the type of information requested
Collating the information    [by week 1-2]
Requested copies/list of information from all internal information holders
Requested copies/list of information from all external information holders (if
applicable)
Received and/or made copies of information in scope
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Compiled list of locations searched
Compiled list of all information in scope
If substantial collation or research is necessary, contacted requester to discuss
amendment, extension, charging or refusal
Compiling the response   [by week 1-3]
Compiled files or hardcopy documentation for assessment
Reviewed the withholding/refusal grounds in the Act if needed
Reviewed each piece of information in scope carefully and assessed it for release
Sought early advice from Legal Team, Media and Communications, or other business
groups if needed
If withholding information under section 9 of the Act – completed Public Interest Test
If withholding information or refusing any part of request – considered seeking advice
from the Legal Team
Identified stakeholders who need to be advised about the request and/or have the
opportunity to consult on the response, and/or receive a copy of the final response
prior to release
Made a decision in respect of each part of the request
Prepared release copy of requested information (if applicable)
Drafted response letter
Completed Supervisor review if needed, and made any necessary amendments
Completed Legal review if needed, and made any necessary amendments
Completed all appropriate consultation with stakeholders
Additional considerations for PNHQ
Printed approval sheet
Put together OIA pack for endorsement and approval
Endorsed by National Manager/Director
Finalising the response  - PNHQ OIAs    [by week 2-4]
Approved by Executive Members
Completed Minister’s Office consultation, if needed
Response letter signed by National Manager/Director
Response sent to requester in the format requested
Saved all documents relating to the request in the IRT
Completed and closed the IRT record
Finalising the response - District OIAs    [by week 2-4]
Considered if the request requires any further consultation or approval
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Response sent to requester in the format requested
Saved all documents relating to the request in the IRT
Completed and closed the IRT record
Appendix D: Examples - "high organisational impact"
Examples of requests that may be marked “high organisational
impact”
Marking an information request “high organisational impact” relates to the
impacts/consequences of releasing information, or of a decision not to release information.
OIA & Privacy Act requests will be marked “high organisational impact” in the following
circumstances:
Likely to negatively affect trust and conﬁdence in Police, Ministers, or
stakeholders
Examples include:
Information about events with poor outcomes:
fatal pursuits
high profile crimes with unpopular outcomes (e.g. Police were unable to
prosecute)
relating to complaints against officers or officers facing, or convicted, of criminal
offences
Information regarding staffing numbers, restructures, mergers, reviews, and
resourcing, particularly in districts – potential for this to affect confidence in Police
Likely to negatively affect the reputation of an individual or organisation
Examples include:
Requests relating to high profile individuals, e.g. Members of Parliament,
Sportspeople, celebrities
Requests relating to high profile incidents involving a company/investigation, e.g. Pike
River, CTV building
Potential legal implications
Examples include:
Requests involving commissions of inquiry, legally privileged information,
constitutional conventions, international relations, parallel investigations (e.g. IPCA,
coronial, TAIC, maritime), application of other legislation (e.g. Criminal Records (Clean
Slate) Act, Evidence Regulations), complex issues requiring early legal input
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High interest from the public
Examples include:
Usually will be linked to high media interest, but sometimes there may be information
that isn’t necessarily a high profile media story but helpful for the public to know
Likelihood of high media interest
Examples include:
Requests that concern high profile individuals, e.g. Members of Parliament,
Sportspeople, celebrities
Requests relating to current events
Requests relating to action following Government announcements
E.g. CTV building, Pike River, deportees, tobacco-related burglaries, fleeing drivers
Other reasons
The other 2 reasons for marking a request high organisational impact are:
There are current, or impending, court proceedings
There is any other reason why a request should be flagged
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