Appendix 1.pdf

Legislative Compliance Report
Survey period: 1 July 2021 – 30 June 2022
30 September 2022
Prepared by:
Madeline Jones
Reviewed by:
under the Official Information Act 1982
Phil Knipe
Released
Ministry of Health Legislative Compliance Report
1
Survey period: 1 July 2021 – 30 June 2022

1. Executive Summary

2. Legislative Compliance Programme
A  legislative  compliance  survey  has  been  run  for  the  Ministry  of  Health  (the
The  Ministry  has  an  obligation  to  ensure  that  all  legislative  and  regulatory
Ministry) for the period 1 July 2021 – 30 June 2022.  The survey focussed on the
requirements  are  complied  with.    The  public,  the  government,  the  Minister  of
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core government and specific legislative requirements of the Ministry. Managers
Health, and Ministry employees are expected to take all appropriate measures to
with key oversight roles and tier 4 managers and above were required to complete
ensure  that  this  expectation  is  adequately  met.  The  monitoring  of  compliance
Act
legislative  compliance  questions  applicable  to  their  roles.  76  out  of  80  people
through  the  ComplyWith  survey  tool  is  just  one  aspect  of  the  legislative
requested completed the survey (95%).
compliance  programme,  through  which  the  Director-General  is  provided
assurance that the Ministry is meeting its legislative responsibilities.  Audit New
Non-compliance of note has been declared in the following areas:
Zealand is required to review the Ministry’s legislative compliance framework as
part of their Annual Audit.
-
Official Information Act 1982
-
Public Records Act 2005
Legislative compliance is a continual process and is a critical part of the Ministry’s

Information
All non-compliances have been reviewed, but no others are considered to be of
overall Risk Management Framework. This includes the analysis and measurement
significance.
of risks, including legislative risks, to ensure the Ministry is managing these risks
appropriately.
Many of the non-compliances are the same as those reported in the last survey
period (1 July 2020 – 30 June 2021) but with a reduced risk due to the mitigating

Official
actions  being  taken.  None  of  these  non-compliances  have  been  assessed  as

representing major or extreme risks to the Ministry and actions are being taken to
the
address the non-compliances, as set out in Appendix 1.

The next survey will be run in July 2023 for the period 1 July 2022 – 30 June 2023.

under

Released
Ministry of Health Legislative Compliance Report
3
Survey period: 1 July 2021 – 30 June 2022

3. Legislative Compliance Survey
Catch all question
The  legislative  compliance  survey  asked  managers  legislative  compliance
A catch all question was included to provide managers the opportunity to report
questions  specific  to  their  role  and  responsibilities  in  the  Ministry.  This  was
any  other  instances  of  non-compliance  that  are  not  captured  under  the  survey
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determined  by  mapping  core  government  and  Ministry  specific  legislative
questions assigned to them.
responsibilities  applicable  to  the  Ministry  and  identifying  accountabilities  for
Act
these.
Survey completion rate
Organisational compliance questions
76 out of 80 people requested completed the survey (95%). The completion rate
for  this  survey  is  higher  than  the  last  four  annual  surveys,  which  was  85%  for
Organisational  Ministry  compliance  questions  were  asked  of  managers  whose
(2017/18), 88% (for 2018/19), 87% (for 2019/2020) and 79.9% (for 2020/2021).
roles include or enable oversight of Ministry compliance with particular legislation.
Examples of these include:
Reported non-compliance
Information
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The Chief Financial Officer with aspects of the Public Finance Act.
A small number of instances of legislative non-compliance have been reported. All
-
The  Group  Manager  of  People  and  Capability  with  aspects  of  the
of the declared non-compliances were assessed as representing a moderate risk
Employment Relations Act.
to the Ministry and action is being taken to remedy non-compliance, as set out in

Appendix 1.
Official
‘All managers’ questions

A group of questions was developed for ‘all managers’ and assesses compliance in
the
relation  to  themselves  and  their  direct  reports.  These  questions  have  been
developed specifically for the Ministry to link in with HR and financial delegations.
These questions were asked of tier 4 managers and above.
under
These questions were also designed to educate and reinforce Ministry policy.

Released

Ministry of Health Legislative Compliance Report
4
Survey period: 1 July 2021 – 30 June 2022

Appendix 1: Reported Legislative Non-Compliances

Managing Information
1982
Official Information Act 1982 (OIA)
Oversight: Sarah Turner, Deputy Director-General, Government and Executive Services
Responsibility: Managers and all staff
Act

Moderate risk

When a request for official
Overall, most managers (86.96%)
In the event that an OIA response
Managers who have noted
information is made, the Ministry is
indicated full compliance in meeting
from the Ministry is late, a request is
occasional delays in responding to
required to issue a decision in
the requirements of the OIA.
declined, or the Ministry requests an
OIA requests have adopted
respect of that request as soon as
However, a few managers have
extension of the mandatory
procedures to mitigate the risk of
reasonably practicable and no later
noted a small number of occasions
timeframe, the requester can lodge
unforeseen delays, for example, to
than 20 working days of receiving
where the Ministry has exceeded the
a complaint with the Office of the
request advice from Health Legal
the request (section 15, OIA).
OIA’s timeframes. All reasonable
Ombudsman.
where OIA requests will potentially
Information

endeavours are made to respond to

impact privacy and ensuring there is
The Ministry may request an
requests for information within
An investigation by the Ombudsman
enough time for the sign-out
extension of the 20-day time limit if it
legislative timeframes. Information
could result in an adverse finding
process.
anticipates that responding to the
about our obligations is made
against the Ministry.
information request will involve
available to all staff and training is

The Group Manager of the Ministry’s
processing a large quantity of
provided to promote the OIA.
Any negative publicity surrounding a
Government Services team has an
Official
information; or if undertaking

failure on the part of the Ministry to
implementation plan for
consultations necessary to making a
Common reasons for non-
comply with the OIA might result in
improvements in place, which
the
decision on the request are going to
compliance in this area are:
a loss of public confidence or
addresses issues of timeliness and
prevent the Ministry from meeting
•  a large volume of requests;
reputational risk.
quality of replies to requests.
the statutory time limit (section 15A,
•  resourcing pressures;

OIA)
•  competing priorities;

•  lack of comprehensive document
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If the Ministry does not hold the
management system;
information requested, it is required
•  late internal consultation; and
to transfer the request to the
•  the lengthy sign-off process
appropriate agency no later than 10
required in some cases.
working days after receiving the

request (section 14, OIA).

Released
Ministry of Health Legislative Compliance Report
5
Survey period: 1 July 2021 – 30 June 2022

Public Records Act 2005 (PR Act)
Oversight: Celia Wellington – Deputy Director-General, Corporate Services
Responsibility: Managers and all staff

Moderate risk

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The Ministry is required to create
Overall, most managers (74.32%)
It is an offence under section 61 of
Work towards ensuring increased
and maintain full and accurate
indicated full compliance in meeting
the PR Act to contravene or fail to
compliance with the PR Act is an
records of its affairs, in accordance
the Ministry’s requirements under
comply with any provision of this Act
ongoing process. It is necessary for
Act
with normal, prudent business
the PR Act.
or any regulations made under it.
there to be ongoing encouragement
practice, including the records of

The penalties under section 62 of
and support for staff to file in
any matter that is contracted out to
Managers have noted that there are
the PR Act for committing an offence  accordance with the PR Act.
an independent contractor.
different filing standards throughout
under the Act are:

Records must be in an accessible
the Ministry and that staff filed using
•  in the case of an individual, to a
The Ministry has recently upgraded
form, so as to be able to be used for
several different document
fine not exceeding $5,000.
to a new Electronic Document
subsequent reference, until their
management systems.
•  in every other case, to a fine not
Management System – ‘SharePoint’.
disposal is authorised under the PR

exceeding $10,000.
This new system hopes to alleviate
Act (section 17, PR Act).
Managers have also noted that work
Information

the problem of staff filing in a

pressures, the frustrations with Lotus  Further to this the operational
number different places and the
Notes and recent changes to the
implications for the Ministry are as
frustrations associated with the
Ministry’s Electronic Document
follows:
previous document management
Management System have meant
•  Documents cannot be located
system.
that they are not up to date with
when required;

Official
filing, but that they are making all
•  Incorrect versions of documents
Progress is being made as work is
reasonable endeavours to catch up.
are used;
underway to ensure that document

the  •  Information is reworked because  management practices improve,
the original document cannot be
including consistent SharePoint
located; and
training for all Ministry staff.
•  Multiple repositories are used but
are not actively managed.
under

Released
Ministry of Health Legislative Compliance Report
6
Survey period: 1 July 2021 – 30 June 2022

Appendix  2:  Core  Government
EMPLOYMENT RELATIONS
HEALTH AND SAFETY
and  Ministry  Specific  Legislation
KiwiSaver Act 2006
Health and Safety at Work Act 2015
Surveyed
Human Rights Act 1993
General Risk Regulations 2016

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GOVERNANCE & ACCOUNTABILITY
Employment Relations Act 2000
Worker Engagement Regulations 2016
Ombudsmen Act 1975
Protected Disclosures Act 2000
ENVIRONMENT
Act
Public Audit Act 2001
Holidays Act 2003
Civil Defence Emergency Management Act
2002
Public Finance Act 1989
Parental Leave and Employment Protection
Act 1987
FINANCE
Public Service Act 2020
Wages Protection Act 1983
Fair Trading Act 1986
INFORMATION MANAGEMENT
Minimum Wage Act 1983
Commerce Act 1986
Information
Privacy Act 2020
Minimum Wage Order 2010
MISCELLANEOUS
Official Information Act 1982
Minimum Wage Order 2011
Commerce Act 1986
Public Records Act 2005
Official
Equal Pay Act 1972
Crimes Act 1961
Statistics Act 1975
Criminal Records (Clean Slate) Act 2004
Secret Commissions Act 1910
the
Copyright Act 1994
Accident Compensation Act 2001
Patents Act 1953
National  Library  of New  Zealand  (Te  Puna
Mātauranga o Aotearoa) Act 2003
Child Support Act 1991
Trade Marks Act 2002
under
National  Zealand  Geographic  Board  (Nga
Student Loan Scheme Act 2011
Consumer Guarantees Act 1993
Pou Taunaha o Aotearoa) Act 2008
Social  Security  Act  2018  and  Social

Criminal Disclosure Act 2008
Security Regulations 2018

Released
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Ministry of Health Legislative Compliance Report
Survey period: 1 July 2019 – 30 June 2020

TAX

Income Tax Act 2007

Tax Administration Act 1994

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Goods and Services Tax Act 1985

MINISTRY SPECIFIC LEGISLATION
Act

Cancer Registry Act 1993

Epidemic Preparedness Act 2006

Health  and  Disability  Services  (Safety)  Act
2001

Health Sector (Transfers) Act 1993
Information

Intellectual Disability (Compulsory Care and
Rehabilitation) Act 2003
Medicines Act 1981
Official
Misuse of Drugs Act 1975
the
New  Zealand  Public  Health  and  Disability
Act 2000
Human Tissue Act 2008
under
Public Service Act 2020
Public Records Act 2005

Released

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Ministry of Health Legislative Compliance Report
Survey period: 1 July 2019 – 30 June 2020