Guidelines for processing information
requests
About requests for information
To carry out its statutory functions and duties, Police gathers a wide range
of information. This information includes personal information about victims,
witnesses, offenders, offences and offending.
Similarly, Police holds a significant amount of information about the
organisation, and the processes and policies that it employs to carry out it
functions and duties. This type of information is known as Official
Information.
Police’s effective management of all this information is a vital aspect of its
core business, and the methods used are designed to comply with the
following:
Official Information Act 1982
Privacy Act 1993
Public Records Act 2005
Criminal Disclosure Act 2008
Access to information
The Official Information Act and Privacy Act provide people with access to
the information Police holds.
The following guidelines provide staff with guidance on how to deal with
information requests.
If you have any queries regarding requests for information contact the Police
Privacy Officer on 44392, duty legal adviser on 44555 at PNHQ or your
District Information Officer.
Legislation
Official Information Act 1982
The Official Information Act provides for specific controls over the handling
of information by government agencies. It does not apply to any private
sector organisations.
The Official Information Act states that information held by Government
Agencies must be made available to the public, upon request, unless good
reasons exist for withholding it. The reasons for refusing a request are
described in the Act. The Act covers requests by:
•
Natural persons for personal information about individuals other than
themselves.
•
Companies and other bodies for information about themselves or other
persons.
•
Requests from individuals for a statement of reasons about a decision or
recommendation that affects them in a personal capacity.
•
Requests from members of the public about any aspect of Police and/or
its employees
The Official Information Act sets out various rules that govern the handling
of requests for the release of information.
Office of the Ombudsmen
Complaints about decisions made on requests for Official Information by
government departments, Ministers, public sector organisations or local
authorities may be investigated and reviewed by the Office of the
Ombudsmen.
Privacy Act 1993
The Privacy Act provides a comprehensive set of rules that apply to any
agency regarding the collection, storage, access to use and disclosure of
personal information.
Personal information is information about an identifiable individual.
Police has a duty to provide reasonable assistance to any person who wishes
to make a personal information request. As POLICE holds a large amount of
sensitive personal information, it is important that management and staff
within Police know the requirements of, and comply with, the Privacy Act.
The Privacy Act sets out
12 Information Privacy Principles that cover the
collection, handling and use of personal information.
Health Information Privacy Code 1994
The Health Information Privacy Code sets out
12 Health Information Privacy
Rules that cover the collection, handling and release of personal health
information.
Police are not a health agency and therefore the Code does not apply to the
health information Police may hold. Agencies that Police interact with that
are health agencies will be subject to the Code.
Privacy Commissioner
Investigation into complaints about access to and withholding of information,
collection, storage, accuracy, retention, use or disclosure of personal
information is the responsibility of the Office of the Privacy Commissioner.
Police’s responsibilities regarding privacy and
official information
Familiarisation with the Acts reduces the risk of a breach of privacy.
Compliance with the Official Information Act and the Privacy Act also
enhances the image of Police as a responsible agency with a commitment to
respect individual’s privacy. One of the purposes of the Official Information
Act is to promote accountability of public sector agencies by being
transparent in respect to its policies and processes that affect members of
the public.
Police’s responsibilities under both Acts include:
Educating management and staff of the organisations obligations under
the legislation.
Developing procedures to respond to personal and official information
requests.
Ensuring compliance with the statutory requirements in both Acts
The appointment of a Privacy Officer.
Privacy Officer
The appointment of a Privacy Officer is a statutory requirement under the
Privacy Act. It is the responsibility of the Privacy Officer to ensure
compliance with the provisions of the Privacy Act. The Privacy Officer also
oversees investigation into complaints lodged with the Privacy
Commissioner.
Carolyn Richardson, Senior Legal Adviser, PNHQ is the Privacy Officer for
Police.
District Co-ordinator
Each District has a District Co-ordinator for Official Information Act and
Privacy Act requests. District Co-ordinators will be responsible for logging,
allocating, and tracking requests for information that are received in
Districts.
Official Information
Definition
“Official Information” is any information held by a government agency, such
as Police. It refers to information about the organisation’s management,
operation, business practices, internal policies, guidelines, investigations,
prosecutions and its employees. It also includes personal information where
someone other than the individual concerned makes the requests.
Official information is not confined to written documents. In addition, it can
include tape recordings, electronic files and manuals, e-mails, books, maps,
drawings, videotapes and films. It may also be information that is known by
an individual Police staff member, where the information was received in the
course of their work.
Official Information Act 1982
The basic principle of the Official Information Act is that all information held
by government agencies shall be made available to the public, unless a good
reason exists for withholding it. The legislation specifies the reasons that
are appropriate for an agency to withhold requested information.
Once a request for information is received, it is Police’s responsibility to
establish:
Whether the information exists, and if so
Can it be released to the person making the request?
The Official Information Act sets out various rules that govern the handling
of requests for the release of official information.
This material (guidelines, fact sheets and standard letters) should provide
Police staff with sufficient advice to respond to requests under the Act.
However, there may be occasions where Police receives a request that
includes a reference to a section of the Official Information Act 1982 or the
Privacy Act 1993. Therefore, access to the legislation has been provided to
assist with these requests.
Processing a request
Requests for official information are processed under the Official Information
Act 1982.
Requests for personal information about an individual from organisations or
another individual are also processed under the Official Information Act.
However, requests for personal information from the individual concerned
are governed by the Privacy Act 1993. Guidance on how to respond to
Privacy Act requests is in the Privacy Act guidelines.
Ministerial Services
All official information requests received at PNHQ are logged by Ministerial
Services as an Official Information Act request. Requesters do not have to
refer to the correct or any legislation when making their request. Police
must determine what Act applies to the request based on what information
is being requested and by whom.
• Example.
A request is received from Jim Brown requesting
information about a conviction against his brother for disorderly
behaviour. As Jim is asking for information about someone other
than himself the request is processed under the provisions in the
Official Information Act 1982.
If a lawyer representing Joe Brown wrote to Police advising that Mr
Brown had instructed her to act for him, requesting the same
information the request would be processed under the Privacy Act as
the lawyer is acting as Mr Brown’s agent.
Assistance
Section 13 of the Official Information Act imposes a duty on Police to assist a
person with their request.
It is preferable that a request for information is made in writing, so that
Police can ensure that the request is properly answered. However, the
legislation does not require a request to be made in writing, and
consequently Police must accept an oral request for information. Police may
ask a person making an oral request to put the request in writing but cannot
refuse to accept the request if they do not. In those circumstances, it is
important to clarify the information request, and record the request straight
away, and if possible read it back to the requester and ask them to confirm
that you have recorded it correctly.
Requests that are made over the telephone ought to be treated in the same
manner as written requests. They must be logged with Ministerial Services,
and any response provided must be signed off on the Audit Trail Process.
Due Particularity
Section 12 of the Official Information Act requires a request to be specified
with “due particularity”. This means that it must be clear what information
the requester is seeking. Ideally the request should:
Identify what information is being sought
Indicate how the requester wants the information provided
Provide any reasons for urgency (should it be requested)
Provide a name, address, and contact phone number.
Sometimes Police will receive requests that are not very clear and
assessment may be necessary to determine whether a request can be
actioned. If it is not possible to establish what the requester wants, or their
request is so wide that it is impossible to answer or identify the information
sought, Police should write back to the requester for further clarification.
Example: A request is received for “all information about diversion”. Such a
request is not made with “due particularity”. Police write to the
requester to seek further clarification of the information required. The
requester writes back advising that they want information on the criteria
Police use to determine if a person is eligible for diversion. Having
established the request is in fact quite specific, Police is now in a position
to respond.
Who can make a request?
Section 12 of the Official Information Act states that requests can be made
by any of the following:
• A New Zealand citizen
• A permanent resident of New Zealand
• A person who is in New Zealand
• An organisation that is incorporated in New Zealand.
• An organisation that is incorporated outside New Zealand, but has a
place of business in New Zealand.
However, should Police receive a request for information from an individual
or organisation outside New Zealand, every endeavour should still be made
to comply with the request. Although the Official Information Act would not
govern its response, Police still needs to provide assistance in a timely
manner. Having said that, it is important that care is taken if the request is
for personal information.
• Example: An Australian researcher requests information about the
number of theft ex-car reported to Police in the Wellington district in
2008. Police could respond to the request by providing the
information if it is collated and held.
It is not necessary for the requester to specify that they are making a formal
request, or specifically name the legislation or the correct legislation. All
requests are automatically deemed to come under the relevant legislation.
• Example: A member of the public asks Police for information about its
policy about the return of stolen property and refers to the Data
Protection Act. Despite the fact the request refers to an Act that
does not exist in New Zealand it is still an Official Information Act
request.
Anonymous Requesters
A requester must provide their name and address so that Police may
determine whether the Official Information Act applies to the request.
Requests from other government agencies
Several government agencies have a statutory authority to access personal
information from individuals or organisations. Should such an authority
exist in the agency’s legislation, Police is required to release information if it
is requested.
It is important that the agency provides Police with details of their statutory
authority before Police releases any personal information. The request
should always be made in writing and it is important that we ask for the
agency to submit a written request which includes a reference to the
applicable legislation.
Most of the requests that Police receive will be from:
• Inland Revenue (quoting
section 17 of the Tax Administration Act
1994).
• Child Youth and Family (quoting section 66 of Children, Young
Persons and their Families Act 1989 )
• The Ministry of Social Development (quoting
section 11 of the Social
Security Act 1964)
Time frames
Section 15 of the Official Information Act states that a decision should be
made and provided to a requester “as soon as reasonably practicable” and
no later than 20 working days from the day after the request is received.
•
Example: A requester asks for a copy of the Police policy about the
Disposal of Found Property. As the document pertaining to disposal
of found property is a small factual document about how Police staff
must handle found property, a decision is made to release it to the
requester. On the eleventh working day a letter is sent to the
requester providing a copy of the policy.
Police may notify an extension of time to enable the response to be
provided. Extensions are permitted where:
• Large quantities of information are involved
• Searching through large quantities of information would unreasonably
interfere with Police’s operations
• Consultations are required to make the decision.
Should Police decide to notify an extension of time, formal notification must
be made before the expiry of the 20 working days time limit, and must
include the following:
•
Period of extension
•
Reasons for extension
•
Advice that the requester has the right to make a complaint about
the extension to the Office of the Ombudsmen.
It is important that the further period of time that Police requests is realistic
and reasonable in the circumstances.
• Example: A requester asks Police for a copy of the entire set of the
Manuals of Best Practice. Due to the number of volumes and all of the
workgroups that need to be consulted with to decide what parts of the
Manuals can be released, Police notified an extension for a further
twenty working days. The letter advised that an extension for a further
20 working days would be required so that all of the consultations could
be completed. The letter also advises that the requester can make a
complaint to the Office of Ombudsmen about the extension of time.
Further extensions may be notified if and only if they are notified before the
twenty working day period expires.
How to count time
Time limits are expressed in “working days” – any day that is not a
Saturday, a Sunday, a public holiday, or a day between 25 December and 15
January inclusive. Also note that regional Anniversary Day holidays are not
excluded from “working day”, so they must still be counted.
To count working days available, day 1 is the first working day after the day
on which the request is received.
So, if a request is received on a Monday, the last and 20th working day
available to send out the response is the 4th Monday after that (unless a
public holiday or the Christmas holiday period adds some time to the
deadline).
If a request has been made orally, then later confirmed in writing, you must
count the working days from the date of the oral request, not from the
receipt of the written confirmation.
Transferring a request
In cases where Police does not hold the official information, but knows of
another government agency that does, Police can transfer the request to the
other agency (under section 14 of the Official Information Act). The transfer
must be done promptly, and no later than 10 working days from date of
receipt of the request.
You ought to telephone the agency you are transferring the request to, and
advise them that the request is being transferred. The requester should also
be told that the request has been transferred. A copy of the request should
be sent to the agency.
• Example: An individual writes to Police seeking details of a Court
hearing and comments made by the presiding Judge. The information
sought is not held by Police but is probably held by the Ministry of
Justice. Accordingly, Police transfers the request to the Ministry. A
letter is sent to the Ministry transferring the request and a letter sent to
the requester advising of the transfer.
Charging for information
Section 15 of the Official Information Act provides Police with an authority to
charge for the provision of official information. Generally, Police will only
impose a charge for the cost in cases where a large amount of
documentation is requested or a significant amount of work would be
required to action the request.
Note – Police cannot charge for providing personal information.
• Example 1: An individual requests a copy of the entire Police file
relating to a large investigation. Processing the request involves
assessing and copying a significant amount of documents that will
take several weeks. Police have to hire a contractor to do the work
and Police decides a charge should be imposed.
• Example 2: An individual requests a copy of all documents on a file
relating to his diversion. No charge is imposed, as this is a request
for personal information.
• Example 3: An individual seeks a copy of the Police policy regarding
the Employee Rehabilitation Process. This does not involve a
significant amount of copying or research. The information is
provided without a charge being imposed.
Decisions on charging for information should be made in consultation with
staff in the Privacy Office, Ministerial Services Unit or the District Co-
ordinator.
The factors to consider regarding imposing a charge are:
• staff time involved preparing information for release
• staff time involved in locating the information requested
• photocopying charges and other fixed costs incurred in preparing
information for release
In cases where Police considers a charge should be imposed, the expected
costs should be advised in writing. The requester must be asked to confirm
that they are prepared to meet the costs involved. Police may also seek
payment of part or all of the expected costs prior to undertaking the work.
A right of review, to the Office of the Ombudsmen, exists regarding any
charge imposed by Police.
Police rates for costs are:
•
Labour - $38 per half hour (including GST) with the first ½ hour being
free
•
Photocopying – 20¢ per page (including GST) with the first 20 pages
being free
•
Other costs – all other charges (e.g. courier fees etc) at full cost
incurred by Police.
Withholding information
As noted previously, Police is required to release official information when it
is requested, unless there are good reasons not to. The grounds for
withholding information are specified in sections 6, 9 and 18 of The Official
Information Act. Section 9(1) requires Police to consider whether the reason
for withholding information is outweighed by the public interest.
In cases where a requested document contains some material that cannot be
released (for example where an individual is identified), it is appropriate to
delete part of the document before the document is released. A decision
letter would need to be sent, providing the section and reason for the partial
deletion of the document’s contents.
The following are the reasons why Police can withhold official information:
The release would be likely to prejudice the maintenance of law,
including the prevention, investigation, and detection of offences,
and the right to a fair trial.
• Example: An individual seeks details of an investigation Police is
currently undertaking into the supply of drugs. Police can refuse the
request and withhold some or all of the information requested to
ensure that the investigation is not compromised. Section 6(c)
There is a need to protect the safety of any individual.
• Example: An individual seeks details of an informant who has given
information to Police. There are grounds for believing the informant
could be harmed if information that identified them was released.
Police therefore has good reasons to refuse the request and decides
to withhold the information. Section 6(d)
There is a need to protect the privacy of persons, including that of
deceased persons.
• Example: An individual requests access to a homicide investigation
file. The offender has been convicted and sentenced. There is a lot
of information on the file about the deceased person and their family.
Police declines to release the information to protect the privacy
interests of the deceased person and the family members as there
was no public interest favouring release of the information that
outweighed the privacy interests of the individuals concerned. Section
9(2)(a)
There is a need to protect information if release would disclose a
trade secret or would be likely to unreasonably prejudice the
commercial position of the person who supplied the information or
the person the information is about.
link to page 12
• Example: A requester seeks details of the contract that Police has
entered into regarding the provision of equipment. Police decides to
withhold some aspects of the contractual agreement, as disclosure
would prejudice the commercial position of the organisation that have
entered into contractual arrangements with Police. Section 9(2)(b)
The information is subject to an obligation of confidence where it is
in the public interest to protect the future supply of similar
information, or the source of such information.
• Example: Police receive a request for a copy of information obtained
during an investigation of an assault on a tourist. A Hotel provides a
copy of its guest register and CCTV footage from the Hotel foyer for
the period relating to the allegation of assault. The Hotel is
concerned that patrons will be reluctant to use the Hotel if the
information is given to a third party and provides the register
information and CCTV footage to Police on the basis that it is
confidential and must not be released to any other person. Police
declines to release the information as it was given in confidence and
it is in Police’s interests to protect the future supply of such
information during an investigation. section 9(2)(ba)
There is a need to maintain effective conduct of public affairs
through ‘free and frank’ discussions between Cabinet Ministers and
officials and between officials when doing their job.
• Example: An individual has sought a copy of notes of a meeting held
between the Minister for Police and Police regarding the progress of a
legislative amendment. Police declines to release the advice, as
doing so would prejudice any future ‘free and frank’ discussions.
Section 9(2)(g)(i)
There is a need to protect legal professional privilege.
• Example: A person has requested a copy of a legal opinion that the
District obtained from Legal Services. Police decides to claim legal
professional privilege
1 on the opinion. Police therefore declines to
release the legal opinion. Section 9(2)(h)
The information requested is, or soon will be, publicly available.
• Example: A researcher has sought details of the Police Customer
Satisfaction Survey. The information is about to be released publicly
in four weeks, and therefore Police declines to release the
information. Section 18(d)
The document alleged to contain the information does not exist, or
cannot be found.
• Example: An individual has sought a copy of Police report on a
1 Legal professional privilege applies to any communication between a Police
lawyer and a Police employee where advice is sought or provided.
matter. After making inquiries it is apparent that no such report
exists. Police declines the request because the information does not
exist or cannot be found. Section 18(e)
The information cannot be made available without substantial
collation or research.
• Example: An individual has sought details of the number of staff
members who have undergone workplace assessments. Police
declines to provide the information, as its compilation would require
substantial collation or research as every District and station would
have to be contacted to obtain the information. However, the person
is advised that the information could be made available should they
agree to meet Police costs to retrieve the information or if the
request was more specific. Section 18(f)
Information is not held
• Example: A requester asks for the total cost of a Police investigation.
Police does not routinely collect every cost associated with an
investigation. Police may be able to provide an approximate cost and
could offer to do so but the information requested is not held if Police
do not have a total cost figure. The request may be refused on the
basis that the information requested is not held by Police. Section
18(g)
The request is frivolous or vexatious, or the information requested is
trivial.
• Example: A requester makes his sixth request in three weeks for a
copy of Police’s policy regarding Diversion. Having supplied the
information previously, Police declines to provide a further copy, on
the basis that the request is vexatious. Section 18(h)
If you are withholding any information from a requester, you must advise
the requester that you have withheld information, and the section you have
relied on to withhold that information. You must also advise the requester
of their right to make a complaint to the Office of the Ombudsmen about
your decision and to request a review and investigation.
link to page 14
Other things to be aware of
The information requested is subject to a suppression order
Care must be taken, before information is released to check that the
information is not subject to a suppression order. If information is disclosed
to a third party that has been suppressed by the Court Police may be in
contempt of court.
2
In some instances it is possible to disclose information that is the subject of
a suppression order if the person it is disclosed to is to a "
genuinely
interested party" and the disclosure will not amount to a "publication".
If the information is requested for Family Court proceedings the information
may be provided directly to the Family Court judge for his or her
consideration without breaching a suppression order.
The requester should be advised to make an application to the relevant
Court to have the suppression order varied or lifted to obtain access to the
information.
Always obtain legal advice before releasing information that is subject to a
suppression order.
Requests from Counsel for the Child appointed by the Family Court
If the Counsel for the Child requests information in that capacity ask them to
provide a copy of the letter of appointment from the Family Court.
Requests from Counsel for the Child will often be about the parents of any
children involved in the proceedings. In most cases if the issue is one of
custody and access the public interest in ensuring the Court is fully informed
about offending or family violence or any other information which may have
a bearing on the care and safety of the children while in the custody of
either parent is very high and will often outweigh the privacy interests of the
parents.
Requests from lawyers on behalf of their clients
Should be processed as Privacy Act requests as the lawyer is the individual's
2
Television New Zealand Limited v Solicitor-General [2009] NZFLR 390,
[2008] NZCA 519 at para [56]
agent. The lawyer does not have to provide proof that they are instructed to
act on the individuals behalf but many will do so when they request
information from Police.
Media requests
Request from media are Official Information Act 1982 requests and as such
should be processed in the same way as any other request for information.
Sometimes the requester will ask for the information to be provided in a
short timeframe to meet a publishing deadline. Police will try to assist the
media requester if possible but not to the extent that our internal process is
not followed.
Due to the subject matter of some requests it is essential that GM: Public
Affairs and the Commissioners and the Minister are aware of what it is
proposed to release in response to a request.
The business owner of the information sought should manage requests for
information on a short timeframe carefully and ensure that any internal
signoff is completed prior to release, but does have the flexibility to reduce
the timeframe for a response by fast tracking the decision making and audit
trail process.
Example: A request is received from a weekend paper on Thursday
afternoon requesting information about a Police officer who was recently
involved in a high profile criminal matter. The journalist advises that the
information sought is for an article in the weekend paper which will be
written with or without the information sought. The information requested is
readily available for release, the officer concerned agrees to it being
released to the journalist but because the matter has had significant media
and public interest the business owner wants to ensure that the
Commissioners know that the information will be released and why.
The business owner takes the proposed release to the people who must sign
the audit trail so the release is signed off in a day
What happens when a Request is received?
•
The request is logged and allocated to the relevant business
owner
The business owner is the workgroup who holds or is most likely to hold the
information requested. If a request is allocated to your workgroup and you
do not hold the information requested return the request immediately to
Ministerial Services or the District Co-ordinator.
•
The business owner must ascertain if the information
requested is held by Police
If the information is not held by Police but is held by another agency the
request must be transferred within 10 working days.
If the information does not exist or cannot be found the request may be
refused pursuant to section 18(e) of the OIA.
If the request is ambiguous or unclear the business owner should write back
to the requester and ask them to be more specific about the request and
restate it with "due particularity" The twenty working days do not start to
count down until the request is restated in a way that it is clear what is
being requested. If the requester does not write back a follow up letter
should be sent. If no response is received from the requester return the file
with a covering explanatory note to the District Co-ordinator or Ministerial
Services.
What is the business owner responsible for??
•
Deciding what information will be released to the requester
•
Allocating resources to ensure that the request is responded
to on time and accurately
•
Ensuring that transfers of requests are done within ten
working days
•
Ensuring that extensions are notified before the twenty
working days expires
•
Drafting the response to the request and peer review
•
Seeking legal advice about the response if necessary
•
Moving the draft response and proposed release of
information through the audit trail within the allocated time
frame
•
Make any amendments to the draft and/or proposed release
or refusal and post response to the requester.
•
Retain a copy of the information considered for release
•
Retain a copy of the information and response sent to the
requester and return completed file to Ministerial Services at
PNHQ
Audit Trail
The audit trail is a mandatory part of the OIA request process. The business
owner is responsible for ensuring that the proposed response to a request is
moved through the audit trail process in a timely fashion and that the
statutory timeframes are adhered to.
The purpose of the audit trail is to ensure that Public Affairs, the Executive
and the Minister of Police are made aware of the subject matter and
proposed response to requests.
When the business owner has prepared a response to a request the
proposed response must be reviewed by Legal Services: Privacy, and other
parts of Police specified by Ministerial Services.
If any of the groups who review the proposed response as part of the audit
trail recommend amendments it is the responsibility of the business owner
to ensure that the amendments are made or discussed prior to the response
being sent.
The business owner is ultimately responsible for the final draft of the
response that is sent.
Complaints to the Office of the Ombudsmen
If a requester complains about the delay in receiving a response to their OIA
request the Ombudsman will contact Police and ask for an explanation for
the delay. The business owner is responsible for providing a response to the
Ombudsman in the timeframe they specify which is usually two working
days.
If a requester makes a complaint to the Ombudsmen the business owner will
be advised of the complaint and asked to prepare a report on the decision to
refuse the request. The business owner will provide the report and a copy of
the withheld information to the Privacy Legal Team who will prepare a
response to the Ombudsman.
The report must be prepared by someone other than the person who signed
out the response to the request, (i.e a 'one-up' policy in respect to the
investigation of complaints).
Office of the Ombudsmen
Complaints about the responses to requests under the Official Information
Act are handled by the Office of the Ombudsmen.
The contact address for that office is:
Office of the Ombudsmen
PO Box 10152
Wellington 6143
Ministerial Services and the Privacy teams at PNHQ Legal Services manage
Police's liaison with the Office of Ombudsmen.
Document Outline
