1982

Act
Legislative Compliance Report

Information
Survey period: 1 July 2020 – 30 June 2021

Official

the September 2021

under

Prepared by:
  Emily Moxon

Reviewed by:
Phil Knipe
Released
Ministry of Health Legislative Compliance Report
1
Survey period: 1 July 2020 – 30 June 2021

1. Executive Summary

monitoring of compliance through the ComplyWith survey tool is just one aspect
of the legislative compliance programme, through which the Director-General is
A  legislative  compliance  survey  has  been  run  for  the  Ministry  of  Health  (the
provided  assurance  that  the  Ministry  is  meeting  its  legislative  responsibilities.
Ministry) for the period 1 July 2020 – 30 June 2021.  The survey focussed on the
Audit NZ is required to review the Ministry’s legislative compliance framework as
1982
core government and specific legislative requirements of the Ministry. Managers
part of their Annual Audit.
with key oversight roles and tier 4 managers and above were required to complete
Act
legislative compliance questions applicable to their roles. 179 out of 224 people
Legislative compliance is a continual process and is a critical part of the Ministry’s
requested completed the survey (79.9%).
overall Risk Management Framework. This includes the analysis and measurement
of risks, including legislative risks, to ensure the Ministry is managing these risks
Non-compliance of note has been declared in the following areas:
appropriately.
-
Official Information Act 1982
-
Public Records Act 2005
3. Legislative Compliance Survey
-
Civil Defence Emergency Management Act 2002
The  legislative  compliance  survey  asked  managers  legislative  compliance
Information

All non-compliances have been reviewed, but no others are considered to be of
questions  specific  to  their  role  and  responsibilities  in  the  Ministry.  This  was
significance.
determined  by  mapping  core  government  and  Ministry  specific  legislative
responsibilities  applicable  to  the  Ministry  and  identifying  accountabilities  for
Many of the non-compliances are the same as those reported in the last survey
these.
Official
period (1 July 2019 – 30 June 2020) but with a reduced risk due to the mitigating
actions  being taken. None of these has been assessed as representing major or
Organisational compliance questions
the
extreme  risks  to  the  Ministry  and  actions  are  being  taken  to  address  the  non-
Organisational  Ministry  compliance  questions  were  asked  of  managers  whose
compliances (Appendix 1).
roles include or enable oversight of Ministry compliance with particular legislation.
The next survey will be run in July 2022 for the period 1 July 2021 – 30 June 2022.
Examples of these include:
under
-
The Chief Financial Officer with aspects of the Public Finance Act.
2. Legislative Compliance Programme
-
The  Group  Manager  People  and  Capability  with  aspects  of  the
The  Ministry  has  an  obligation  to  ensure  that  all  legislative  and  regulatory
Employment Relations Act.

requirements  are  complied  with.    The  public,  the  government,  the  Minister  of
Health, and Ministry employees all have an expectation that the Ministry will take

all appropriate measures to ensure that this expectation is adequately met. The
Released
Ministry of Health Legislative Compliance Report
3
Survey period: 1 July 2020 – 30 June 2021

‘All managers’ questions

A group of questions was developed for ‘all managers’ and assesses compliance in
relation  to  themselves  and  their  direct  reports.  These  questions  have  been
1982
developed specifically for the Ministry to link in with HR and financial delegations.
These questions were asked of tier 4 managers and above.
Act
These questions were also designed to educate and reinforce Ministry policy.
Catch all question
A catch all question was included to provide managers the opportunity to report
any  other  instances  of  non-compliance  that  are  not  captured  under  the  survey
questions assigned to them.
Information
Survey completion rate
179 out of 224 participants completed the survey (79.9%). Some of those persons
departed the Ministry during the period of survey, and some senior leaders were
Official
unavailable due to priorities relating to the COVID-19 response. The proportion of
non-completion  is  higher  than  the  past  three  annual  surveys,  which  may  also
the
reflect  the  number  of  new  managers  and  current  pressures  arising  from  the
COVID-19  response.  The  completion  rate  was  85%  for  (2017/18),  88%  (for
2018/19) and 87% (for 2019/2020).
under
Reported non-compliance
A small number of instances of legislative non-compliance have been reported. All
of  the  declared  non-compliances  were  assessed  as  representing  minor  or
moderate risks to the Ministry; action is being taken to remedy non-compliance
(Appendix 1).
Released
Ministry of Health Legislative Compliance Report
4
Survey period: 1 July 2020 – 30 June 2021

Appendix 1: Reported Legislative Non-Compliances

Managing Information
1982
Official Information Act 1982 (OIA)
Oversight: Sarah Turner, Deputy Director-General, Office of the Director-General
Responsibility: Managers and all staff
Act

Moderate risk

When a request for official
Overall, most managers (97.6%)
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, by
than 20 working days of receiving
where the Ministry has exceeded the
a complaint with the Office of the
staying in close contact with the
the request. (Section 15, OIA)
OIA’s timeframes. All reasonable
Ombudsman.
Minister’s office. The OIA team is
Information

endeavours are made to respond to

working across all directorates to
The Ministry may request an
requests for information within
An investigation by the Ombudsman
rectify.
extension of the 20 day time limit if it
legislative timeframes. The Ministry
could result in an adverse finding
anticipates that responding to the
has vastly improved its timeliness for
against the Ministry.

information request will involve
response from previous years.

processing a large quantity of
Information about our obligations is
Any negative publicity surrounding a
The Ministry is implementing an
Official
information; or if undertaking
made available to all staff and
failure on the part of the Ministry to
Enterprise Search functionality to
consultations necessary to making a
training is provided to promote the
comply with the OIA might result in
enhance search capability on the
the
decision on the request are going to
Official Information Act. Common
a loss of public confidence or
Ministry’s systems for identifying and
prevent the Ministry from meeting
reasons for non-compliance in this
reputational risk.
capturing information. Additionally,
the statutory time limit (Section 15A,
area are:

the current roll-out of migration to
OIA)
•  a large volume of requests;
Outlook (which is mostly complete)

•
may reduce delays in identifying
  resourcing pressures;
under
If the Ministry does not hold the
•
relevant correspondence.
  competing priorities;
information requested, it is required
•

  lack of comprehensive document
to transfer the request to the

management system;
appropriate agency no later than 10
•  internal consultation; and
working days after receiving the
•  the lengthy sign-off process
request. (Section 14, OIA)
required in some cases.

Released
Ministry of Health Legislative Compliance Report
5
Survey period: 1 July 2020 – 30 June 2021

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

Moderate risk

1982
The Ministry is required to create
Overall, most managers (77%)
It is an offence under the PR Act to
Work towards ensuring increased
and maintain full and accurate
indicated full compliance in meeting
contravene or fail to comply with any
compliance with the PR Act is an
records of its affairs, in accordance
the Ministry’s requirements under
provision of this Act or any
ongoing process. However, further
Act
with normal, prudent business
the PR Act.
regulations made under it. The
progress is dependent on decisions
practice, including the records of

penalties for committing an offence
to move to a new Electronic Content
any matter that is contracted out to
Some managers have noted that
under the Act are:
Management System.
an independent contractor.
there are staff who are in the habit of  •  in the case of an individual, to a
Records must be in an accessible
saving documents to their computer
fine not exceeding $5,000:
form, so as to be able to be used for
hard drive or email system, but that
•  in every other case, to a fine not
subsequent reference, until their
education is taking place to ensure
exceeding $10,000.
disposal is authorised under the PR
that documents are stored on Lotus

Act. (Section 17, PR Act)
Notes.
Information
Further to this the operational

implications for the Ministry are as

follows:
•  Documents cannot be located
when required.
•  Incorrect versions of documents
Official are used.
•  Information is reworked because
the
the original document cannot be
located.
•  Multiple repositories are used but
are not actively managed.

under

Released
Ministry of Health Legislative Compliance Report
6
Survey period: 1 July 2020 – 30 June 2021

Civil Defence
Civil Defence Emergency Management Act 2020
Oversight: Deborah Woodley – Deputy Director-General, Population Health and Prevention
1982
Responsibility: Director Emergency Management

Moderate risk

•  All necessary steps to undertake
No specific incidents were identified

A review of the Emergency
Act
civil defence emergency
but it was noted that issues had been
An investigation by the Office of the
Management Team structure and
management or to perform those
identified with the Ministry’s
Auditor General could result in an
capability is underway, with a new
functions and duties under the
Emergency Management Team and
adverse finding against the Ministry.
framework due to be implemented.
Civil Defence Emergency
Structure.

This is underway and currently on
Management Act, regulations

Any negative publicity surrounding a
track.
made under the Act, or a civil
failure on the part of the Ministry to
defence emergency
meet its obligations under the Civil
management plan.
Defence Emergency Management
Information
Act might result in a loss of public
confidence or reputational risk.

Official

the

under

Released
Ministry of Health Legislative Compliance Report
7
Survey period: 1 July 2020 – 30 June 2021

Appendix  2:  Core  Government
Criminal Disclosure Act 2008

and  Ministry  Specific  Legislation
Coroners Act 2006
HEALTH AND SAFETY
Surveyed

Electronic Transactions Act 2002
Health and Safety at Work Act 2015
1982
GOVERNANCE & ACCOUNTABILITY
Defamation Act 1992
Health
and
Safety
in
Employment
Regulations 1995
Ombudsmen Act 1975

Act
Accident Compensation Act 2001
Public Audit Act 2001
EMPLOYMENT RELATIONS

Public Finance Act 1989
KiwiSaver Act 2006
ENVIRONMENT
Human Rights Act 1993
Employment Relations Act 2000
Civil Defence Emergency Management Act
New Zealand Bill of Rights Act 1990
Holidays Act 2003
2002
Information
State Sector Act 1988
Parental Leave and Employment Protection
Occupiers' Liability Act 1962
Act 1987
Protected Disclosures Act 2000
Fire Service Act 1975
Wages Protection Act 1983

Building Act 2004
Official
Minimum Wage Act 1983
INFORMATION MANAGEMENT
Fire  Safety  and  Evacuation  of  Buildings
State Sector Act 1988
the
Regulations 2006
Privacy Act 2020
Equal Pay Act 1972
Hazardous
Substances
and
New
Official Information Act 1982
Organisms Act 1996
Fair Trading Act 1986
under
Public Records Act 2005
New Zealand Geographic  Board (Ngā  Pou
Minimum Wage Order 2010
Statistics Act 1975
Taunaha o Aotearoa) Act 2008
Minimum Wage Order 2011
Copyright Act 1994
Electricity  Act  1992  &  Electricity  (Safety)
Volunteers  Employment  Protection  Act
Regulations 2010
National  Library  of New  Zealand  (Te  Puna
1973
Mātauranga o Aotearoa) Act 2003
Gas Act 1992
Released
8
Ministry of Health Legislative Compliance Report
Survey period: 1 July 2019 – 30 June 2020

Plumbers,  Gasfitters,  and  Drainlayers  Act
TAX

2006
Income Tax Act 2007

Tax Administration Act 1994

FINANCE
1982
Goods and Services Tax Act 1985

Public Finance Act 1989

Act
Accident Compensation Act 2001

MINISTRY SPECIFIC LEGISLATION
Social Security Act 1964 / 2018

Cancer Registry Act 1993
Child Support Act 1991

Epidemic Preparedness Act 2006
Student Loan Scheme Act 1992

Health Act 1956

Information
Health  and  Disability  Services  (Safety)  Act

MISCELLANEOUS
2001
Commerce Act 1986
Health Sector (Transfers) Act 1993
Official
Crimes Act 1961
Intellectual Disability (Compulsory Care and
Rehabilitation) Act 2003
Secret Commissions Act 1910
the
Medicines Act 1981
Patents Act 1953
Misuse of Drugs Act 1975
Trade Marks Act 2002
under
New  Zealand  Public  Health  and  Disability
Consumer Guarantees Act 1993
Act 2000

Radiation Safety Act 2016

Human Tissue Act 2008

Released
9
Ministry of Health Legislative Compliance Report
Survey period: 1 July 2019 – 30 June 2020

1982

Act
Legislative Compliance Report

Information
Survey period: 1 July 2019 – 30 June 2020

Official

the August 2020

under

Prepared by:
  Nicole Scully

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

1. Executive Summary

monitoring of compliance through the ComplyWith survey tool is just one aspect
of the legislative compliance programme, through which the Director-General is
A  legislative  compliance  survey  has  been  run  for  the  Ministry  of  Health  for  the
provided  assurance  that  the  Ministry  is  meeting  its  legislative  responsibilities.
period 1 July 2019 – 30 June 2020.  The survey focussed on the core government
Audit NZ is required to review the Ministry’s legislative compliance framework as
1982
and specific legislative requirements of the Ministry. Managers with key oversight
part of their Annual Audit.
roles  and  tier  4  managers  and  above  were  required  to  complete  legislative
Act
compliance questions applicable to their roles. 150 out of 171 people requested
Legislative compliance is a continual process and is a critical part of the Ministry’s
completed the survey (87%).
overall Risk Management Framework. This includes the analysis and measurement
of risks, including legislative risks, to ensure the Ministry is managing these risks
Non-compliance of note has been declared in the following areas:
appropriately.
-
Official Information Act 1982
-
Public Records Act 2005
3. Legislative Compliance Survey
-
Civil Defence Emergency Management Act 2002
The  legislative  compliance  survey  asked  managers  legislative  compliance
Information

All non-compliances have been reviewed, but no others are considered to be of
questions  specific  to  their  role  and  responsibilities  in  the  Ministry.  This  was
significance.
determined  by  mapping  core  government  and  Ministry  specific  legislative
responsibilities  applicable  to  the  Ministry  and  identifying  accountabilities  for
Many of the non-compliances are the same as those reported in the last survey
these.
Official
period (1 July 2018 – 30 June 2019) but with a reduced risk due to the mitigating
actions being taken. None of these has been assessed as representing major or
Organisational compliance questions
the
extreme  risks  to  the  Ministry  and  actions  are  being  taken  to  address  the  non-
Organisational  Ministry  compliance  questions  were  asked  of  managers  whose
compliances (Appendix 1).
roles include or enable oversight of Ministry compliance with particular legislation.
The next survey will be run in July 2021 or the period 1 July 2021 – 30 June 2022.
Examples of these include:
under
-
The Chief Financial Officer with aspects of the Public Finance Act.
2. Legislative Compliance Programme
-
The  Group  Manager  People  and  Capability  with  aspects  of  the
The  Ministry  has  an  obligation  to  ensure  that  all  legislative  and  regulatory
Employment Relations Act.

requirements  are  complied  with.    The  public,  the  government,  the  Minister  of

Health, and Ministry employees all have an expectation that the Ministry will take
all appropriate measures to ensure that this expectation is adequately met. The

Released
Ministry of Health Legislative Compliance Report
3
Survey period: 1 July 2019 – 30 June 2020

‘All managers’ questions
A group of questions was developed for ‘all managers’ and assesses compliance in
relation  to  themselves  and  their  direct  reports.  These  questions  have  been
1982
developed specifically for the Ministry to link in with HR and financial delegations.
These questions were asked of tier 4 managers and above.
Act
These questions were also designed to educate and reinforce Ministry policy.
Catch all question
A catch all question was included to provide managers the opportunity to report
any  other  instances  of  non-compliance  that  are  not  captured  under  the  survey
questions assigned to them.
Information
Survey completion rate
150 out of 171 participants completed the survey (87%). Some of those persons
departed the Ministry during the period of survey, and some senior leaders were
Official
unavailable due to priorities relating to the COVID-19 response. The level of non-
completion  is about  the same as  over the past two annual surveys  (completion
the
rate was 85% (for 2017/18) and 88% (for 2018/19).
Reported non-compliance
under
A small number of instances of legislative non-compliance have been reported. All
of  the  declared  non-compliances  were  assessed  as  representing  minor  or
moderate risks to the Ministry; action is being taken to remedy non-compliance
(Appendix 1).

Released
Ministry of Health Legislative Compliance Report
4
Survey period: 1 July 2019 – 30 June 2020

Appendix 1: Reported Legislative Non-Compliances

Managing Information
1982
Official Information Act 1982 (OIA)
Oversight: Sarah Turner, Deputy Director-General, Office of the Director-General
Responsibility: Managers and all staff
Act

Moderate risk

When a request for official
Overall, most managers (around
In the event that an OIA response
Managers who have noted
information is made, the Ministry is
95%) indicated full compliance in
from the Ministry is late, a request is
occasional delays in responding to
required to issue a decision in
meeting 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
than 20 working days of receiving
where the Ministry has exceeded the
a complaint with the Office of the
unforeseen delays, for example, by
the request. (Section 15, OIA)
OIA’s timeframes. All reasonable
Ombudsman.
staying in close contact with the
Information

endeavours are made to respond to

Minister’s office. The OIA team is
The Ministry may request an
requests for information within
An investigation by the Ombudsman
working across all directorates to
extension of the 20 day time limit if it
legislative timeframes. The Ministry
could result in an adverse finding
rectify.
anticipates that responding to the
has vastly improved its timeliness for
against the Ministry.
information request will involve
response from previous years.

processing a large quantity of
Information about our obligations is
Any negative publicity surrounding a
Official

information; or if undertaking
made available to all staff and
failure on the part of the Ministry to
The Ministry is currently in the
consultations necessary to making a
training is provided to promote the
comply with the OIA might result in
process of implementing an
the
decision on the request are going to
Official Information Act. Common
a loss of public confidence or
Enterprise Search functionality to
prevent the Ministry from meeting
reasons for non-compliance in this
reputational risk.
enhance search capability on the
the statutory time limit (Section 15A,
area are:

Ministry’s systems for identifying and
OIA)
•  a large volume of requests;
capturing information. Additionally,

•  resourcing pressures;
the current roll-out of migration to
under
If the Ministry does not hold the
•  competing priorities;
Outlook (which is mostly complete)
information requested, it is required
•  lack of comprehensive document
may reduce delays in identifying
to transfer the request to the
management system;
relevant correspondence.
appropriate agency no later than 10
•  internal consultation; and

working days after receiving the
•  the lengthy sign-off process

request. (Section 14, OIA)
required in some cases.

Released
Ministry of Health Legislative Compliance Report
5
Survey period: 1 July 2019 – 30 June 2020

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

Moderate risk

1982
The Ministry is required to create
Overall, most managers (84%)
It is an offence under the PR Act to
Work towards ensuring increased
and maintain full and accurate
indicated full compliance in meeting
contravene or fail to comply with any
compliance with the PR Act is an
records of its affairs, in accordance
the Ministry’s requirements under
provision of this Act or any
ongoing process. However, further
Act
with normal, prudent business
the PR Act.
regulations made under it. The
progress is dependent on decisions
practice, including the records of

penalties for committing an offence
to move to a new Electronic Content
any matter that is contracted out to
Some managers have noted that
under the Act are:
Management System.
an independent contractor.
there are staff who are in the habit of  •  in the case of an individual, to a
Records must be in an accessible
saving documents to their computer
fine not exceeding $5,000:
form, so as to be able to be used for
hard drive or email system, but that
•  in every other case, to a fine not
subsequent reference, until their
education is taking place to ensure
exceeding $10,000.
disposal is authorised under the PR
that documents are stored on Lotus

Act. (Section 17, PR Act)
Notes.
Information
Further to this the operational

implications for the Ministry are as

follows:
•  Documents cannot be located
when required.
•  Incorrect versions of documents
Official are used.
•  Information is reworked because
the
the original document cannot be
located.
•  Multiple repositories are used but
are not actively managed.

under

Released
Ministry of Health Legislative Compliance Report
6
Survey period: 1 July 2019 – 30 June 2020

Civil Defence
Civil Defence Emergency Management Act 2020
Oversight: Deborah Woodley – Deputy Director-General, Population Health and Prevention
1982
Responsibility: Director Emergency Management

Moderate risk

•  All necessary steps to undertake
No specific incidents were identified

A review of the Emergency
Act
civil defence emergency
but it was noted that issues had been
An investigation by the Office of the
Management Team structure and
management or to perform those
identified with the Ministry’s
Auditor General could result in an
capability is underway, with a new
functions and duties under the
Emergency Management Team and
adverse finding against the Ministry.
framework due to be implemented
Civil Defence Emergency
Structure.

and a programme of growth of
Management Act, regulations

Any negative publicity surrounding a
capability and capacity proposed to
made under the Act, or a civil
failure on the part of the Ministry to
be undertaken over the next 3 years.
defence emergency
meet its obligations under the Civil
management plan.
Defence Emergency Management
Information
Act might result in a loss of public
confidence or reputational risk.
Official
the
under
Released
Ministry of Health Legislative Compliance Report
7
Survey period: 1 July 2019 – 30 June 2020

Appendix  2:  Core  Government
Criminal Disclosure Act 2008

and  Ministry  Specific  Legislation
Coroners Act 2006
HEALTH AND SAFETY
Surveyed

Electronic Transactions Act 2002
Health and Safety at Work Act 2015
1982
GOVERNANCE & ACCOUNTABILITY
Defamation Act 1992
Health
and
Safety
in
Employment
Regulations 1995
Ombudsmen Act 1975

Act
Accident Compensation Act 2001
Public Audit Act 2001
EMPLOYMENT RELATIONS

Public Finance Act 1989
KiwiSaver Act 2006
ENVIRONMENT
Human Rights Act 1993
Employment Relations Act 2000
Civil Defence Emergency Management Act
New Zealand Bill of Rights Act 1990
Holidays Act 2003
2002
Information
State Sector Act 1988
Parental Leave and Employment Protection
Occupiers' Liability Act 1962
Act 1987
Protected Disclosures Act 2000
Fire Service Act 1975
Wages Protection Act 1983

Building Act 2004
Official
Minimum Wage Act 1983
INFORMATION MANAGEMENT
Fire  Safety  and  Evacuation  of  Buildings
State Sector Act 1988
the
Regulations 2006
Privacy Act 1993
Equal Pay Act 1972
Hazardous
Substances
and
New
Official Information Act 1982
Organisms Act 1996
Fair Trading Act 1986
under
Public Records Act 2005
New Zealand Geographic  Board (Ngā  Pou
Minimum Wage Order 2010
Statistics Act 1975
Taunaha o Aotearoa) Act 2008
Minimum Wage Order 2011
Copyright Act 1994
Electricity  Act  1992  &  Electricity  (Safety)
Volunteers  Employment  Protection  Act
Regulations 2010
National  Library  of New  Zealand  (Te  Puna
1973
Mātauranga o Aotearoa) Act 2003
Gas Act 1992
Released
8
Ministry of Health Legislative Compliance Report
Survey period: 1 July 2019 – 30 June 2020

1982

Act
Legislative Compliance Report

Information
Survey period: 1 July 2018 – 30 June 2019

Official

the September 2019

under

Prepared by:
  Elizabeth Armstrong

Reviewed by:
Phil Knipe
Released
Ministry of Health Legislative Compliance Report
1
Survey period: 1 July 2018 – 30 June 2019

1. Executive Summary

all appropriate measures to ensure that this expectation is adequately met. The
monitoring of compliance through the ComplyWith survey tool is just one aspect
A  legislative  compliance  survey  has  been  run  for  the  Ministry  of  Health  for  the
of the legislative compliance programme, through which the Director-General is
period 1 July 2018 – 30 June 2019.  The survey focussed on the core government
provided  assurance  that  the  Ministry  is  meeting  its  legislative  responsibilities.
1982
and specific legislative requirements of the Ministry. Managers with key oversight
Audit NZ is required to review the Ministry’s legislative compliance framework as
roles  and  tier  4  managers  and  above  were  required  to  complete  legislative
part of their Annual Audit.  Act
compliance questions applicable to their roles. 119 out of 135 people requested
completed the survey (88%).
Legislative compliance is a continual process and is a critical part of the Ministry’s
overall Risk Management Framework. This includes the analysis and measurement
Non-compliance of note has been declared in the following areas:
of risks, including legislative risks, to ensure the Ministry is managing these risks
-
Official Information Act 1982
appropriately.
-
Public Records Act 2005
-
Health and Safety at Work Act 2015
3. Legislative Compliance Survey
Information
-
Fire and Emergency New Zealand Act 2017 and associated regulations

The  legislative  compliance  survey  asked  managers  legislative  compliance
All non-compliances have been reviewed, but no others are considered to be of
questions  specific  to  their  role  and  responsibilities  in  the  Ministry.  This  was
significance.
determined  by  mapping  core  government  and  Ministry  specific  legislative
responsibilities  applicable  to  the  Ministry  and  identifying  accountabilities  for
Official
Many of the non-compliances are the same as those reported in the last survey
these.
period (1 July 2017 – 30 June 2018) but with a reduced risk due to the mitigating
the
actions being taken. None of these has been  assessed as representing major or
Organisational compliance questions
extreme  risks  to  the  Ministry  and  actions  are  being  taken  to  address  the  non-
Organisational  Ministry  compliance  questions  were  asked  of  managers  whose
compliances (Appendix 1).
roles include or enable oversight of Ministry compliance with particular legislation.
under
The next survey will be run in July 2020 for the period 1 July 2019 – 30 June 2020.
Examples of these include:
-
The Chief Financial Officer with aspects of the Public Finance Act.
2. Legislative Compliance Programme
-
The  Group  Manager  People  and  Capability  with  aspects  of  the
The  Ministry  has  an  obligation  to  ensure  that  all  legislative  and  regulatory
Employment Relations Act.
requirements  are  complied  with.    The  public,  the  government,  the  Minister  of

‘All managers’ questions
Health, and Ministry employees all have an expectation that the Ministry will take
Released
Ministry of Health Legislative Compliance Report
3
Survey period: 1 July 2018 – 30 June 2019

A group of questions was developed for ‘all managers’ and assesses compliance in

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.
1982
These questions were also designed to educate and reinforce Ministry policy.
Act
Catch all question
A catch all question was included to provide managers the opportunity to report
any  other  instances  of  non-compliance  that  are  not  captured  under  the  survey
questions assigned to them.
Survey completion rate
Information
119 out  of  135 participants completed the survey (88%).  While one member of
staff’s non-completion was due to them being on annual leave, 15 staff-members
provided no explanation for their failure to complete the survey. There has been
a higher level of non-completion over the past two annual surveys than in previous
Official
years,  despite  regular  follow-ups  (last  year’s  completion  rate  was  85%).  This
matter will be taken up with the Risk and Assurance team.
the
Reported non-compliance
A small number of instances of legislative non-compliance have been reported. All
under
of  the  declared  non-compliances  were  assessed  as  representing  minor  or
moderate risks to the Ministry; action is being taken to remedy non-compliance
(Appendix 1).
The instances of material non-compliance declared by staff are set out in Appendix
1.
Released
Ministry of Health Legislative Compliance Report
4
Survey period: 1 July 2018 – 30 June 2019

Appendix 1: Reported Legislative Non-Compliances

Managing Information
1982
Official Information Act 1982 (OIA)
Oversight: Sarah Turner, Deputy Director-General, Office of the Director-General
Responsibility: Managers and all staff
Act

Moderate risk

When a request for official
Overall, most managers (around
In the event that an OIA response
Managers who have noted
information is made, the Ministry is
95%) indicated full compliance in
from the Ministry is late, a request is
occasional delays in responding to
required to issue a decision in
meeting 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, by
than 20 working days of receiving
where the Ministry has exceeded the
a complaint with the Office of the
staying in close contact with the
the request. (Section 15, OIA)
OIA’s timeframes.  Common reasons  Ombudsman.
Minister’s office.
Information

for non-compliance in this area are:

The Ministry may request an
•  a large volume of requests;
An investigation by the Ombudsman
The Ministry has recently
extension of the 20 day time limit if it
•  resourcing pressures;
could result in an adverse finding
implemented a new process for
anticipates that responding to the
•  competing priorities;
against the Ministry.
responding to Official Information
information request will involve
•  lack of comprehensive document

Act requests, including establishing
processing a large quantity of
Official
management system;
Any negative publicity surrounding a
a dedicated Official Information Act
information; or if undertaking
•  internal consultation; and
failure on the part of the Ministry to
team within the Government
consultations necessary to making a
•  the lengthy sign-off process
comply with the OIA might result in
Relations Team, to enhance
the
decision on the request are going to
required in some cases.
a loss of public confidence or
compliance with timeframes. This
prevent the Ministry from meeting

reputational risk.
change programme includes an
the statutory time limit (Section 15A,

education campaign and tools for
OIA)
staff. The Ministry’s compliance with

timeframes has increased since the
under
If the Ministry does not hold the
change programme was
information requested, it is required
implemented in July 2018. Over the
to transfer the request to the
period of 1 January 2019 to 30 June
appropriate agency no later than 10
2019, the Ministry’s on-time
working days after receiving the
completion rate for OIAs increased
request. (Section 14, OIA)
to 96.4%.

Released
Ministry of Health Legislative Compliance Report
5
Survey period: 1 July 2018 – 30 June 2019

The Ministry is currently in the
process of implementing an
Enterprise Search functionality to
enhance search capability on the
Ministry’s systems for identifying and
1982
capturing information. Additionally,
the current roll-out of migration to
Act  Outlook Express may reduce delays
in identifying relevant
correspondence.

The Ministerial Executive and
Government Services team in the
Office of the Director-General is
currently reviewing the Ministry’s
OIA processes in coordination with
Information
the Records and IT teams.
Public Records Act 2005 (PR Act)
Oversight: Sue Gordon – Deputy Director-General, Corporate Services
Responsibility: Managers and all staff

Moderate risk

Official
The Ministry is required to create
Overall, most managers (84%)
It is an offence under the PR Act to
Work towards ensuring increased
and maintain full and accurate
indicated full compliance in meeting
contravene or fail to comply with any
compliance with the PR Act is
the
records of its affairs, in accordance
the Ministry’s requirements under
provision of this Act or any
underway through the Knowledge
with normal, prudent business
the PR Act.
regulations made under it. The
Services Project being undertaken.
practice, including the records of

penalties for committing an offence
However, further progress is
any matter that is contracted out to
Some managers have noted that
under the Act are:
dependent on decisions to move to
an independent contractor.
there are staff who are in the habit of  •  in the case of an individual, to a
a new Electronic Content
under
Records must be in an accessible
saving documents to their computer
fine not exceeding $5,000:
Management System.
form, so as to be able to be used for
hard drive or email system, but that
•  in every other case, to a fine not
subsequent reference, until their
education is taking place to ensure
exceeding $10,000.
disposal is authorised under the PR
that documents are stored on Lotus

Act. (Section 17, PR Act)
Notes.
Further to this the operational

implications for the Ministry are as
follows:
Released
Ministry of Health Legislative Compliance Report
6
Survey period: 1 July 2018 – 30 June 2019

Due to its history as a separate
•  Documents cannot be located
entity from the Ministry, Audit and
when required.
Compliance uses some databases
•  Incorrect versions of documents
that are incompatible with Lotus
are used.
1982
Notes (preventing that information
•  Information is reworked because
from being stored there). Finance
the original document cannot be
has also noted that certain
located.
Act
documents are held in a shared
•  Multiple repositories are used but
drive rather than Lotus Notes due to
are not actively managed.
complications with linked
spreadsheets.

Health and Safety
Health and Safety at Work Act 2015
Information
Oversight: Sue Gordon – Deputy Director-General, Corporate Services
Responsibility: Managers and all staff

Moderate risk

As an officer (as defined in the Act),
Overall, most managers (97%)
A conviction for the offence of failure  The corrective action planned in this
the Director-General must take
indicated full compliance in meeting
to comply with a duty under the Act
area of non-compliance is for the
Official
reasonable steps to make sure that
the requirements of the Health and
attracts a fine of up to $500,000,
Manager of Facilities and Health,
(among other duties):
Safety at Work Act.
depending on the person’s role.
Safety and Wellbeing Manager to
•  the Ministry has available, and
However, one manager noted that
(Section 49 Health and Safety at
identify a Contractor Management
the
uses, appropriate resources and
due to a lack of resources in the
Work Act 2015) Heavier penalties
System that would alleviate many of
processes to eliminate or
facilities space, they considered:
are attached to the more serious
the identified issues. This has been
minimise risks to health and
•  obligations may not be met,
offences of reckless conduct in
identified in the workplan to begin
safety from work it carries out
particularly in relation to the
respect of a duty (section 47) and
scoping in early 2020.
(s 44(4)(c) Health and Safety at
management of contractors and
failing to comply with a duty that

under
Work Act);
the risks associated with them;
exposes an individual to risk of

and
death, serious injury, or serious
•  the Ministry implements
•  many processes relating to the
illness (section 48).
processes for complying with all
facilities function of the Ministry

its duties and obligations under
are outdated and have not been
the Health and Safety at Work
reviewed for some time.
Released
Ministry of Health Legislative Compliance Report
7
Survey period: 1 July 2018 – 30 June 2019

Act. (Section 44(4)(e), Health
The manager in question considered
and Safety at Work Act); and
that this has meant that it would not

be possible to produce evidence of
•  the Ministry is providing and
the Ministry’s compliance in this area.
1982
using the resources and

processes required by section
44(4)(c)-(e) of the Health and
Act
Safety at Work Act (s 44(4)(f)
Health and Safety at Work Act)

Fire and Emergency New Zealand Act 2017 & (Fire Safety, Evacuation Procedures & Evacuation Schemes) Regulations 2018
Oversight: Sue Gordon – Deputy Director-General, Corporate Services
Responsibility: Managers and all staff

Moderate risk

In its capacity as an owner and/or
All but one manager indicated full
Failure by an owner or tenant of a
The corrective action planned in this
Information
tenant of buildings, the Ministry must  compliance in meeting the Ministry’s
building to maintain a means of
area of non-compliance is to
ensure escape routes are kept clear,  requirements under the Fire and
escape from a fire in a building is an
investigate areas of non-compliance
exit doors kept unlocked and
Emergency New Zealand Act 2017 &  infringement offence which attracts a
within the Facilities space and
unobstructed, and smoke-control
(Fire Safety, Evacuation Procedures
maximum fee of $3,750; or a
address processes to enable
and fire-stop doors kept closed
& Evacuation Schemes) Regulations
maximum fine of $11,250.
accurate capture of data.  One
(unless an exception applies).
2018. The manager noted that they
(Regulation 5 and Schedule 2 of the
project will involve working closely
Official

consider that while the Ministry likely
Fire and Emergency New Zealand
with People and Capability and
(Regulation 5 Fire and Emergency
complies with its obligations, it has
(Offences) Regulations 2018)
Finance to capture non-employee
the
New Zealand (Fire Safety,
no systems for recording this

headcount.
Evacuation Procedures, and
compliance.

Evacuation Schemes) Regulations

2018)
under
Released
Ministry of Health Legislative Compliance Report
8
Survey period: 1 July 2018 – 30 June 2019

Appendix  2:  Core  Government
Criminal Disclosure Act 2008

and  Ministry  Specific  Legislation
Coroners Act 2006
HEALTH AND SAFETY
Surveyed

Electronic Transactions Act 2002
Health and Safety at Work Act 2015
1982
GOVERNANCE & ACCOUNTABILITY
Defamation Act 1992
Health
and
Safety
in
Employment
Regulations 1995
Ombudsmen Act 1975

Act
Accident Compensation Act 2001
Public Audit Act 2001
EMPLOYMENT RELATIONS

Public Finance Act 1989
KiwiSaver Act 2006
ENVIRONMENT
Human Rights Act 1993
Employment Relations Act 2000
Civil Defence Emergency Management Act
New Zealand Bill of Rights Act 1990
Holidays Act 2003
2002
Information
State Sector Act 1988
Parental Leave and Employment Protection
Occupiers' Liability Act 1962
Act 1987
Protected Disclosures Act 2000
Fire Service Act 1975
Wages Protection Act 1983

Building Act 2004
Official
Minimum Wage Act 1983
INFORMATION MANAGEMENT
Fire  Safety  and  Evacuation  of  Buildings
State Sector Act 1988
the
Regulations 2006
Privacy Act 1993
Equal Pay Act 1972
Hazardous
Substances
and
New
Official Information Act 1982
Organisms Act 1996
Fair Trading Act 1986
under
Public Records Act 2005
New Zealand Geographic  Board (Ngā  Pou
Minimum Wage Order 2010
Statistics Act 1975
Taunaha o Aotearoa) Act 2008
Minimum Wage Order 2011
Copyright Act 1994
Electricity  Act  1992  &  Electricity  (Safety)
Volunteers  Employment  Protection  Act
Regulations 2010
National  Library  of New  Zealand  (Te  Puna
1973
Mātauranga o Aotearoa) Act 2003
Gas Act 1992
Released
9
Ministry of Health Legislative Compliance Report
Survey period: 1 July 2017 – 30 June 2018

Plumbers,  Gasfitters,  and  Drainlayers  Act
TAX

2006
Income Tax Act 2007

Tax Administration Act 1994

FINANCE
1982
Goods and Services Tax Act 1985

Public Finance Act 1989

Act
Accident Compensation Act 2001

MINISTRY SPECIFIC LEGISLATION
Social Security Act 1964 / 2018

Cancer Registry Act 1993
Child Support Act 1991

Epidemic Preparedness Act 2006
Student Loan Scheme Act 1992

Health Act 1956

Information
Health  and  Disability  Services  (Safety)  Act

MISCELLANEOUS
2001
Commerce Act 1986
Health Sector (Transfers) Act 1993
Official
Crimes Act 1961
Intellectual Disability (Compulsory Care and
Rehabilitation) Act 2003
Secret Commissions Act 1910
the
Medicines Act 1981
Patents Act 1953
Misuse of Drugs Act 1975
Trade Marks Act 2002
under
New  Zealand  Public  Health  and  Disability
Consumer Guarantees Act 1993
Act 2000

Radiation Safety Act 2016

Human Tissue Act 2008

Released
10
Ministry of Health Legislative Compliance Report
Survey period: 1 July 2017 – 30 June 2018

1982

Act
Legislative Compliance Report

Information
Survey period: 1 July 2017 – 30 June 2018

Official

the  August 2018

under

Prepared by:
  Olivia Payne

Reviewed by:
Phil Knipe
Released
Ministry of Health Legislative Compliance Report
1
Survey period: 1 July 2017 – 30 June 2018

1. Executive Summary

of the legislative compliance programme, through which the Director-General is
provided  assurance  that  the  Ministry  is  meeting  its  legislative  responsibilities.
A  legislative  compliance  survey  has  been  run  for  the  Ministry  of  Health  for  the
Audit NZ is required to review the Ministry’s legislative compliance framework as
period 1 July 2017 – 30 June 2018.  The survey focussed on the core government
part of their Annual Audit.
1982
and specific legislative requirements of the Ministry. Managers with key oversight
roles  and  tier  4  managers  and  above  were  required  to  complete  legislative
Legislative compliance is a continual process and is a critical part of the Ministry’s
Act
compliance questions applicable to their roles. 114 out of 134 people requested
overall Risk Management Framework. This includes the analysis and measurement
completed the survey (85%).
of risks, including legislative risks, to ensure the Ministry is managing these risks
appropriately.
Non-compliance of note has been declared in the following areas:
-
Official Information Act 1982
3. Legislative Compliance Survey
-
Public Records Act 2005
The  legislative  compliance  survey  asked  managers  legislative  compliance

questions  specific  to  their  role  and  responsibilities  in  the  Ministry.  This  was
Information
All non-compliances have been reviewed, but no others are considered to be of
determined  by  mapping  core  government  and  Ministry  specific  legislative
significance.
responsibilities  applicable  to  the  Ministry  and  identifying  accountabilities  for
Many of the non-compliances are the same as those reported in the last survey
these.
period (1 July 2016 – 30 June 2017) but with a reduced risk due to the mitigating
Official Organisational compliance questions
actions being taken. None of these has been assessed as representing major or
extreme  risks  to  the  Ministry  and  actions  are  being  taken  to  address  the  non-
Organisational  Ministry  compliance  questions  were  asked  of  managers  whose
the
compliances (Appendix 1).
roles include or enable oversight of Ministry compliance with particular legislation.
Examples of these include:
The next survey will be run in July 2019 for the period 1 July 2018 – 30 June 2019.
-
The Chief Financial Officer with aspects of the Public Finance Act.
under
2. Legislative Compliance Programme
-
The  Group  Manager  People  and  Capability  with  aspects  of  the
Employment Relations Act.
The  Ministry  has  an  obligation  to  ensure  that  all  legislative  and  regulatory

requirements  are  complied  with.    The  public,  the  government,  the  Minister  of
‘All managers’ questions
Health, and Ministry employees all have an expectation that the Ministry will take
all appropriate measures to ensure that this expectation is adequately met. The
A group of questions was developed for ‘all managers’ and assesses compliance in
monitoring of compliance through the ComplyWith survey tool is just one aspect
relation  to  themselves  and  their  direct  reports.  These  questions  have  been
Released
Ministry of Health Legislative Compliance Report
3
Survey period: 1 July 2017 – 30 June 2018

developed specifically for the Ministry to link in with HR and financial delegations.
These questions were asked of tier 4 managers and above.
These questions were also designed to educate and reinforce Ministry policy.
1982
Catch all question
Act
A catch all question was included to provide managers the opportunity to report
any  other  instances  of  non-compliance  that  are  not  captured  under  the  survey
questions assigned to them.
Survey completion rate
114 out of 134 participants completed the survey (85%). While legitimate reasons
Information
were given by a  number of staff for non-completion (including absence or very
short-duration  in  their  role),  there  was  a  significantly  higher  level  of  non-
completion than in previous years, despite regular follow ups.
Reported non-compliance
Official
A small number of instances of legislative non-compliance have been reported. All
the
of  the  declared  non-compliances  were  assessed  as  representing  minor  or
moderate risks to the Ministry; action is being taken to remedy all non-compliance
(Appendix 1).
under
The instances of material non-compliance declared by staff are set out in Appendix
1.

Released
Ministry of Health Legislative Compliance Report
4
Survey period: 1 July 2017 – 30 June 2018

Appendix 1: Reported legislative non-compliances
Official Information Act 1982 (OIA)
Oversight: Monique Burrows, Acting Executive Director, Office of the Director-General
Responsibility: Managers and all staff
1982

When a request for official
Overall, most managers indicated full
Moderate risk
Act
information is made, the Ministry is
compliance in meeting the
Managers who have noted
required to issue a decision in
requirements of the OIA. However, a  In the event that an OIA response
occasional delays in responding to
respect of that request as soon as
few managers have noted a small
from the Ministry is late, a request is
OIA requests have adopted
reasonably practicable and no later
number of occasions where the
declined, or the Ministry requests an
procedures to mitigate the risk of
than 20 working days of receiving
Ministry has exceeded the OIA’s
extension of the mandatory
unforeseen delays, for example, by
the request. (Section 15, OIA)
timeframes.  These managers cited
timeframe, the requester can lodge
staying in close contact with the
the following reasons for non-
a complaint with the Office of the
Minister’s office.
The Ministry may request an
compliance in this area:
Ombudsman.
extension of the 20 day time limit if it
The Ministry has recently
Information
anticipates delay will involve
•  a large volume of requests;  An investigation by the Ombudsman  implemented a new process for
processing a large quantity of
•  resourcing pressures;
could result in an adverse finding
responding to Official Information
information or if  (Section 15A, OIA)
•  competing priorities;
against the Ministry.
Act requests, including establishing
•  lack of comprehensive
a dedicated Official Information Act
If the Ministry does not hold the
document management
Any negative publicity surrounding a
team within the Government
Official
information requested, it is required
system;
failure on the part of the Ministry to
Relations Team, to enhance
to transfer the request to the
•  internal consultation; and
comply with the OIA might result in
compliance with timeframes. This
appropriate agency no later than 10
•
the

the lengthy sign-off
a loss of public confidence or
change programme includes an
working days after receiving the
process required in some
reputational risk.
education campaign and tools for
request. (Section 14, OIA)
cases.
staff. For July 2018, on-time

completion rate for OIAs had

increased to over 95%.

under

The Ministry is currently in the

process of implementing an

Enterprise Search functionality to

enhance search capability on the
Ministry’s systems for identifying and
capturing information. Additionally,
Released
migration to Outlook Express may
Ministry of Health Legislative Compliance Report
5
Survey period: 1 July 2017 – 30 June 2018

reduce delays in identifying relevant
correspondence.
The Ministerial Executive and
1982
Government Services team in the
Office of the Director-General is
currently reviewing the Ministry’s
Act  OIA processes in coordination with
the Records and IT teams.
Public Records Act 2005 (PR Act)
Oversight: Stewart Jessamine – Director, Protection Regulation and Assurance
Responsibility: Managers and all staff
The Ministry is required to create
Overall, most managers indicated
Moderate risk
Work towards ensuring increased
Information
and maintain full and accurate
full compliance in meeting the
compliance with the PR Act is
records of its affairs, in accordance
Ministry’s requirements under the
It is an offence under the PR Act to
underway through the Knowledge
with normal, prudent business
PR Act. Some managers have
contravene or fail to comply with any
Services Project being undertaken.
practice, including the records of
noted that there are staff who are in
provision of this Act or any
However, further progress is
any matter that is contracted out to
the habit of saving documents to
regulations made under it. The
dependent on decisions to move to
an independent contractor.
their computer hard drive or email
penalties for committing an offence
a new Electronic Content
Official
system but that education is taking
under the Act are:
Management System.
Records must be in an accessible
place to ensure that documents are
the
form, so as to be able to be used for
stored on Lotus Notes.
•  in the case of an individual,
subsequent reference, until their
to a fine not exceeding
disposal is authorised under the PR
Due to its history as a separate
$5,000:
Act.
entity from the Ministry, Audit and
•  in every other case, to a fine
Compliance uses some databases
not exceeding $10,000.
under
(Section 17, PR Act)
that are incompatible with Lotus

Notes (preventing that information
Further to this the operational

from being stored there).
implications for the Ministry are as
follows:

•  Documents cannot be
located when required.
Released
Ministry of Health Legislative Compliance Report
6
Survey period: 1 July 2017 – 30 June 2018

•  Incorrect versions of
documents are used.
•  Information is reworked
because the original
1982
document cannot be
located.
•  Multiple repositories are
Act
used but are not actively
managed.

Information
Official
the
under
Released
Ministry of Health Legislative Compliance Report
7
Survey period: 1 July 2017 – 30 June 2018

Appendix  2:  Core  government  and  Ministry
Coroners Act 2006
HEALTH AND SAFETY
Specific legislation surveyed
Electronic Transactions Act 2002
Health and Safety at Work Act 2015

Defamation Act 1992
Health
and
Safety
in
Employment
GOVERNANCE & ACCOUNTABILITY
Regulations 1995
1982

Ombudsmen Act 1975
Accident Compensation Act 2001
EMPLOYMENT RELATIONS
Public Audit Act 2001
Act

KiwiSaver Act 2006
Public Finance Act 1989
ENVIRONMENT
Employment Relations Act 2000
Human Rights Act 1993
Civil Defence Emergency Management Act
Holidays Act 2003
New Zealand Bill of Rights Act 1990
2002
Parental Leave and Employment Protection
State Sector Act 1988
Occupiers' Liability Act 1962
Act 1987
Information
Protected Disclosures Act 2000
Fire Service Act 1975
Wages Protection Act 1983

Building Act 2004
Minimum Wage Act 1983
INFORMATION MANAGEMENT
Fire  Safety  and  Evacuation  of  Buildings
Official
State Sector Act 1988
Regulations 2006
Privacy Act 1993
Equal Pay Act 1972
the
Hazardous
Substances
and
New
Official Information Act 1982
Organisms Act 1996
Fair Trading Act 1986
Public Records Act 2005
New Zealand Geographic  Board (Ngā  Pou
Minimum Wage Order 2010
Taunaha o Aotearoa) Act 2008
under
Statistics Act 1975
Minimum Wage Order 2011
Electricity  Act  1992  &  Electricity  (Safety)
Copyright Act 1994
Volunteers  Employment  Protection  Act
Regulations 2010
National  Library  of  New  Zealand  (Te  Puna
1973
Gas Act 1992
Mātauranga o Aotearoa) Act 2003

Released
Criminal Disclosure Act 2008
8
Ministry of Health Legislative Compliance Report
Survey period: 1 July 2017 – 30 June 2018

Plumbers,  Gasfitters,  and  Drainlayers  Act
TAX

2006
Income Tax Act 2007

Tax Administration Act 1994

FINANCE
1982
Goods and Services Tax Act 1985

Public Finance Act 1989

Act
Accident Compensation Act 2001

MINISTRY SPECIFIC LEGISLATION
Social Security Act 1964

Cancer Registry Act 1993
Child Support Act 1991

Epidemic Preparedness Act 2006
Student Loan Scheme Act 1992

Health Act 1956

Information
Health  and  Disability  Services  (Safety)  Act

MISCELLANEOUS
2001
Commerce Act 1986
Health Sector (Transfers) Act 1993
Official
Crimes Act 1961
Intellectual Disability (Compulsory Care and
Rehabilitation) Act 2003
Secret Commissions Act 1910
the
Medicines Act 1981
Patents Act 1953
Misuse of Drugs Act 1975
Trade Marks Act 2002
under
New  Zealand  Public  Health  and  Disability
Consumer Guarantees Act 1993
Act 2000

Radiation Protection Act 1965

Human Tissue Act 2008

Released
9
Ministry of Health Legislative Compliance Report
Survey period: 1 July 2017 – 30 June 2018

1982
Act
Information
Official
the
under
Released

1982

Act
Legislative Compliance Report

Information
Survey period: 1 July 2015 – 30 June 2016

Official

September 2016
the

under

Prepared by:
  Elizabeth Armstrong

Reviewed by:
Phil Knipe
Released
Ministry of Health Legislative Compliance Report
1
Survey period: 1 July 2015 – 30 June 2016

The monitoring of compliance through the ComplyWith survey tool is just
1. Executive Summary
one  aspect  of  the  legislative  compliance  programme,  through  which  the
A legislative compliance survey has been run for the Ministry of Health for
Director-General  is  provided  assurance  that  the  Ministry  is  meeting  its
the period 1 July 2015 – 30 June 2016.  The survey focussed on the core
legislative  responsibilities.    Audit  NZ  is  required  to  review  the  Ministry’s
1982
government and specific legislative requirements of the Ministry. Managers
legislative compliance framework as part of their Annual Audit.
with key oversight roles and tier 4 managers and above were required to
Legislative compliance is a continual process and is a  critical part of the
Act
complete legislative compliance questions applicable to their roles. There
Ministry’s overall Risk Management Framework. This includes the analysis
was a 100% completion rate for the 109 required to complete the survey.
and measurement of risks, including legislative risks, to ensure the Ministry
Non-compliance of note has been declared in the following areas:
is managing these risks appropriately.
-  Official Information Act 1982
3. Legislative Compliance Survey
-  Public Records Act 2005

The legislative compliance survey asked managers legislative compliance
Information
Many of the non-compliances are the same as those reported in the last
questions specific to their role and responsibilities in the Ministry. This was
survey period (1 July 2014 – 30 June 2015) but with a reduced risk due to
determined by mapping core government and Ministry specific legislative
the mitigating actions being taken. None of these has been assessed as
responsibilities applicable to the Ministry and identifying accountabilities for
representing major or extreme risks to the Ministry and actions are being
these.
taken to address the non-compliances (Appendix 1).
Official Organisational compliance questions
The next survey wil  be run in July 2017 for the period 1 July 2016 – 30 June
2017.
Organisational  Ministry  compliance  questions  were  asked  of  managers
the
whose  roles  include  or  enable  oversight  of  Ministry  compliance  with
particular legislation.  Examples of these include:
2. Legislative Compliance Programme
The Ministry has an obligation to ensure that al  legislative and regulatory
-  The Chief Financial Officer with aspects of the Public Finance Act.
under
requirements are complied with.  The public, the government, the Minister
-  The Group Manager HR with aspects of the Employment Relations
of Health, and Ministry employees al  have an expectation that the Ministry
Act.

wil   take  all  appropriate  measures  to  ensure  that  this  expectation  is
‘All managers’ questions
adequately met.
A  group  of  questions  was  developed  for  ‘all  managers’  and  assesses

compliance  in  relation  to  themselves  and  their  direct  reports.  These
Released
Ministry of Health Legislative Compliance Report
3
Survey period: 1 July 2015 – 30 June 2016

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.
1982
These  questions  were  also  designed  to  educate  and  reinforce  Ministry
policy.
Act
Catch all question
A catch al  question was included to provide managers the opportunity to
report any other instances of non-compliance that are not captured under
the survey questions assigned to them.
Survey completion rate
Information
A 100% completion rate (of 109 respondents) was achieved, however, it
took more than two weeks from the initial close off date to get to the number
of final responses to that level.
4. Reported non-compliance
Official
A  small  number  of  instances  of  legislative  non-compliance  have  been
reported.  Al   of  the  declared  non-compliances  were  assessed  as
the
representing minor or moderate risks to the Ministry; action is being taken
to remedy al  non-compliance (Appendix 1).
The instances of material non-compliance declared by staff are set out in
under
Appendix 1.

Released
Ministry of Health Legislative Compliance Report
4
Survey period: 1 July 2015 – 30 June 2016

Appendix 1: Reported legislative non-compliances
Official Information Act 1982 (OIA)
Oversight: Jill Bond - Executive Director, Office of the Director-General
Responsibility: Managers and all staff
1982

When a request for official
Overall, most managers indicated full  Moderate risk
information is made, the Ministry is
Act
compliance in meeting the
Managers who have noted
required to issue a decision in
requirements of the OIA. However, a  In the event that an OIA response
occasional delays in responding to
respect of that request as soon as
few managers have noted a small
from the Ministry is late, a request is  OIA requests have adopted
reasonably practicable and no later
number of occasions where the
declined, or the Ministry requests an  procedures to mitigate the risk of
than 20 working days of receiving
Ministry has exceeded the OIA’s
extension of the mandatory
unforeseen delays, for example, by
the request. (Section 15, OIA)
timeframes. These managers cited
timeframe, the requester can lodge
staying in close contact with the
the following reasons for non-
a complaint with the Office of the
Minister’s office.
The Ministry may request an
compliance in this area:
Ombudsman.
extension of the 20 day time limit if it
The Ministry has implemented a
Information
anticipates delay wil  involve
  a large volume of requests;  An investigation by the Ombudsman  programme, through the
processing a large quantity of
  resourcing pressures;
could result in an adverse finding
Government Relations Team, to
information or if (Section 15A, OIA)
  competing priorities;
against the Ministry.
enhance compliance with
  some requests not being
timeframes. This programme
If the Ministry does not hold the
sent directly to the central
Any negative publicity surrounding a  includes an education campaign and
Official
information requested, it is required
OIA inbox – resulting in
failure on the part of the Ministry to
tools for staff.
to transfer the request to the
delays if not forwarded
comply with the OIA might result in
appropriate agency no later than 10
immediately; and
a loss of public confidence or
The Ministry is currently in the
the
working days after receiving the
  the lengthy sign-off
reputational risk.
process of implementing an
request. (Section 14, OIA)
process required in some
Enterprise Search functionality to

cases.

enhance search capability on the

Ministry’s systems for identifying and
under

One respondent also cited the limited
capturing information.

capability of the existing records

management system to identify and
The Ministerial Executive and

capture al  information within the
Government Services team in the

scope of a request as an issue that
Office of the Director-General is
currently reviewing the Ministry’s
Released
Ministry of Health Legislative Compliance Report
5
Survey period: 1 July 2015 – 30 June 2016

might reduce the Ministry’s
OIA processes in coordination with
compliance.
the Records and IT teams.

1982
Public Records Act 2005 (PR Act)
Oversight: Stewart Jessamine - Director of Protection, Regulation and Assurance
Act
Responsibility: Managers and all staff
The Ministry is required to create
Overall, most managers indicated
Moderate risk
Work towards ensuring increased
and maintain full and accurate
full compliance in meeting the
compliance with the PR Act is
records of its affairs, in accordance
Ministry’s requirements under the
It is an offence under the PR Act to
underway through the Corporate
with normal, prudent business
PR Act. Some managers have
contravene or fail to comply with any  Knowledge Services Project being
practice, including the records of
noted that there are staff who are in
provision of this Act or any
undertaken in 2016/17, including
any matter that is contracted out to
the habit of saving documents to
regulations made under it. The
seeking decisions to move to a new
an independent contractor.
their computer hard drive or email
penalties for committing an of
Information  fence  Electronic Content Management
system but that education is taking
under the Act are:
System.
Records must be in an accessible
place to ensure that documents are
form, so as to be able to be used for  stored on Lotus Notes.
  in the case of an individual,
subsequent reference, until their
to a fine not exceeding
disposal is authorised under the PR
Due to its history as a separate  Official  $5,000:
Act.
entity from the Ministry, Audit and
  in every other case, to a fine
Compliance uses some databases
not exceeding $10,000.
the
(Section 17, PR Act)
that are incompatible with Lotus

Notes (preventing that information
Further to this the operational

from being stored there).
implications for the Ministry are as
follows:

under
  Documents cannot be
located when required.
  Incorrect versions of
documents are used.
  Information is reworked
because the original
Released
Ministry of Health Legislative Compliance Report
6
Survey period: 1 July 2015 – 30 June 2016

document cannot be
located.
 Multiple repositories are
used but are not actively
managed.
1982

Act
Information
Official
the
under
Released
Ministry of Health Legislative Compliance Report
7
Survey period: 1 July 2015 – 30 June 2016

Appendix  2:  Core  government  and
Coroners Act 2006
HEALTH AND SAFETY
Ministry Specific legislation surveyed
Electronic Transactions Act 2002
Health and Safety at Work Act 2015

Defamation Act 1992
Health  and  Safety  in  Employment
GOVERNANCE & ACCOUNTABILITY
Regulations 1995
1982
Ombudsmen Act 1975

Health and Safety in Employment Act 1992
Public Audit Act 2001
EMPLOYMENT RELATIONS
[repealed 4 April 2016]
Act
Public Finance Act 1989
KiwiSaver Act 2006
Accident Compensation Act 2001
Human Rights Act 1993
Employment Relations Act 2000

New Zealand Bil  of Rights Act 1990
Holidays Act 2003
ENVIRONMENT
State Sector Act 1988
Parental Leave and Employment Protection
Civil Defence Emergency Management Act
Act 1987
20
Information  02
Protected Disclosures Act 2000
Wages Protection Act 1983
Occupiers' Liability Act 1962

Minimum Wage Act 1983
Fire Service Act 1975
INFORMATION MANAGEMENT
Official
State Sector Act 1988
Building Act 2004
Privacy Act 1993
Equal Pay Act 1972
the
Fire  Safety  and  Evacuation  of  Buildings
Official Information Act 1982
Fair Trading Act 1986
Regulations 2006
Public Records Act 2005
Hazardous
Substances
and
New
Minimum Wage Order 2010
Organisms Act 1996
under
Statistics Act 1975
Minimum Wage Order 2011
New Zealand Geographic Board (Ngā Pou
Copyright Act 1994
Volunteers  Employment  Protection  Act
Taunaha o Aotearoa) Act 2008
National Library of New Zealand (Te Puna
1973
Electricity  Act  1992  &  Electricity  (Safety)
Mātauranga o Aotearoa) Act 2003

Regulations 2010
Released
Criminal Disclosure Act 2008
8
Ministry of Health Legislative Compliance Report
Survey period: 1 January 2013 – 30 June 2013

Gas Act 1992
TAX

Plumbers,  Gasfitters,  and  Drainlayers  Act
Income Tax Act 2007

2006
Tax Administration Act 1994

Goods and Services Tax Act 1985
1982

FINANCE

Act
Public Finance Act 1989

MINISTRY SPECIFIC LEGISLATION
Accident Compensation Act 2001

Cancer Registry Act 1993
Social Security Act 1964

Epidemic Preparedness Act 2006
Child Support Act 1991
Health Act 1956

Student Loan Scheme Act 1992
Information
Health and Disability Services (Safety) Act

2001
MISCELLANEOUS
Health Sector (Transfers) Act 1993
Official
Commerce Act 1986
Intel ectual Disability (Compulsory Care and
Rehabilitation) Act 2003
Crimes Act 1961
the
Medicines Act 1981
Secret Commissions Act 1910
Misuse of Drugs Act 1975
Patents Act 1953
under
New  Zealand  Public  Health  and  Disability
Trade Marks Act 2002
Act 2000
Consumer Guarantees Act 1993
Radiation Protection Act 1965

Human Tissue Act 2008

Released
9
Ministry of Health Legislative Compliance Report
Survey period: 1 January 2013 – 30 June 2013

1982

Act
Legislative Compliance Report

Information
Survey period: 1 July 2014 – 30 June 2015

Official

the August 2015

under

Prepared by:
  Elizabeth Armstrong

Reviewed by:
Phil Knipe
Released
Ministry of Health Legislative Compliance Report
1
Survey period: 1 July 2014 – 30 June 2015

1982
Act
Information
Official
the
under
Released
Ministry of Health Legislative Compliance Report
2
Survey period: 1 July 2014 – 30 June 2015

The  monitoring  of  compliance  through  the  ComplyWith  survey  tool  is  just  one
1. Executive Summary

aspect  of  the  legislative  compliance  programme,  through  which  the  Director-
A  legislative  compliance  survey  has  been  run  for  the  Ministry  of  Health  for  the
General  is  provided  assurance  that  the  Ministry  is  meeting  its  legislative
1982
period 1 July 2014 – 30 June 2015.  The survey focussed on the core government
responsibilities.    Audit  NZ  is  required  to  review  the  Ministry’s  legislative
and  specific  legislative  requirements  of  the  Ministry.  Managers  with  key
compliance framework as part of their Annual Audit.
oversight  roles  and  tier  4  managers  and  above  were  required  to  complete
Act
Legislative compliance is a continual process and is a critical part of the Ministry’s
legislative compliance questions applicable to their roles. The completion rate for
overall  Risk  Management  Framework.  This  includes  the  analysis  and
those required to complete the survey was 99% (91 out of 92).
measurement  of  risks,  including  legislative  risks,  to  ensure  the  Ministry  is
Non-compliance of note has been declared in the following areas:
managing these risks appropriately.
-
Official Information Act 1982
3. Legislative Compliance Survey
-
Public Records Act 2005
Information

The  legislative  compliance  survey  asked  managers  legislative  compliance
Many of the non-compliances are the same as those reported in the last survey
questions  specific  to  their  role  and  responsibilities  in  the  Ministry.  This  was
period  (1  January  2014  –  30  June  2014)  but  with  a  reduced  risk  due  to  the
determined  by  mapping  core  government  and  Ministry  specific  legislative
mitigating actions being taken. None of these has been assessed as representing
responsibilities  applicable  to  the  Ministry  and  identifying  accountabilities  for
major or extreme risks to the Ministry and actions are being taken to address the
these.
Official
non-compliances (Appendix 1).
Organisational compliance questions
the
The next survey will be run in July 2016 for the period 1 July 2015 – 30 June 2016.
Organisational  Ministry  compliance  questions  were  asked  of  managers  whose
2.
roles  include  or  enable  oversight  of  Ministry  compliance  with  particular
Legislative Compliance Programme
legislation.  Examples of these include:
The  Ministry  has  an  obligation  to  ensure  that  all  legislative  and  regulatory
under
requirements  are  complied  with.    The  public,  the  government,  the  Minister  of
-
The Chief Financial Officer with aspects of the Public Finance Act.
Health,  and  Ministry  employees  all  have  an  expectation  that  the  Ministry  will
-
The Group Manager HR with aspects of the Employment Relations Act.

take all appropriate measures to ensure that this expectation is adequately met.

‘All managers’ questions
Released
Ministry of Health Legislative Compliance Report
4
Survey period: 1 July 2014 – 30 June 2015

A group of questions was developed for ‘all managers’ and assesses compliance
in  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.
1982
These questions were also designed to educate and reinforce Ministry policy.
Act
Catch all question
A catch all question was included to provide managers the opportunity to report
any  other  instances  of  non-compliance  that  are  not  captured  under  the  survey
questions assigned to them.
Survey completion rate
Information
A 99% completion rate (91 out of 92) was achieved, however, it took nearly two
weeks from the initial close off date to get  to the number of final responses to
that level.  One manager, Stuart Powell (NHB), did not complete the survey and
no explanation has been provided.  This is a repeated instance of non-compliance
Official
by Mr Powell.
the
4. Reported non-compliance
A  small  number  of  instances of  legislative  non-compliance  have been  reported.
All  of  the  declared  non-compliances  were  assessed  as  representing  minor  or
under
moderate  risks  to  the  Ministry;  action  is  being  taken  to  remedy  all  non-
compliance (Appendix 1).
The  instances  of  material  non-compliance  declared  by  staff  are  set  out  in
Appendix 1.

Released
Ministry of Health Legislative Compliance Report
5
Survey period: 1 July 2014 – 30 June 2015

Appendix 1: Reported legislative non-compliances
Legislative requirement
Reported non-compliance
Implication of non-compliance
Action taken to address non-compliance
1982
Official Information Act 1982 (OIA)
Oversight: Barbara Phillips
Responsibility: Managers and all staff
Act
When a request for official information
Overall, most managers indicated high to  Moderate risk
is made, the Ministry is required to issue
full compliance in meeting the
Managers who have noted occasional
a decision in respect of that request as
requirements of the OIA.  However, a
In the event that an OIA response from
delays in responding to OIA requests
soon as reasonably practicable and no
few managers have noted a small
the Ministry is late, a request is
have adopted procedures to mitigate
later than 20 working days of receiving
number of occasions where the Ministry
declined, or the Ministry requests an
the risk of unforeseen delays, for
the request.  (Section 15, OIA)
has exceeded the OIA’s timeframes.
extension of the mandatory timeframe,
example, by staying in close contact with
These managers cited the following
the requester can lodge a complaint
the Minister’s office.
Information
The Ministry may request an extension
reasons for non-compliance in this area:
with the Office of the Ombudsman.
of the 20 day time limit if it anticipates
The Ministry has implemented a
delay will involve processing a large
•  competing priorities; and
An investigation by the Ombudsman
programme, through the Government
quantity of information or if  (Section
could result in an adverse finding
Relations Team, to enhance compliance
15A, OIA)
•  the lengthy sign-off process
against the Ministry.
with timeframes.  This programme
Official
required in some cases.
includes an education campaign and
If the Ministry does not hold the
Any negative publicity surrounding a
tools for staff.
the
information requested, it is required to

failure on the part of the Ministry to
transfer the request to the appropriate
comply with the OIA might result in a
Some business units have also put
agency no later than 10 working days

loss of public confidence or reputational  specific measures in place to improve
after receiving the request. (Section 14,
risk.
performance, such as the Policy Business
OIA)
Unit’s Rapid Response Team.
under

Released

Ministry of Health Legislative Compliance Report
6
Survey period: 1 July 2014 – 30 June 2015

Legislative requirement
Reported non-compliance
Implication of non-compliance
Action taken to address non-compliance
Public Records Act 2005 (PR Act)
Oversight: Manager Corporate Knowledge Services, Corporate Services Business Unit
1982
Responsibility: Managers and all staff
Act
The Ministry is required to create and
Overall, most managers indicated high
Moderate risk
Work towards ensuring increased
maintain full and accurate records of its
to full compliance in meeting the
compliance with the PR Act is underway
affairs, in accordance with normal,
Ministry’s requirements under the PR
It is an offence under the PR Act to
through the Corporate Knowledge
prudent business practice, including the
Act.  Some managers have noted that
contravene or fail to comply with any
Services Project being undertaken in
records of any matter that is contracted
there are staff who are in the habit of
provision of this Act or any regulations
2015, including seeking decisions to
out to an independent contractor.
saving documents to their computer
made under it.  The penalties for
move to a new Electronic Content
hard drive but that education is taking
committing an offence under the Act
Management System.
Records must be in an accessible form,
place to ensure that documents are
are:
Information
so as to be able to be used for
stored on Lotus Notes.
subsequent reference, until their
•  in the case of an individual, to a
disposal is authorised under the PR Act.

fine not exceeding $5,000:
(Section 17, PR Act)
•  in every other case, to a fine
Official  not exceeding $10,000.

the
Further to this the operational
implications for the Ministry are as
follows:
under
•  Documents cannot be located
when required.
•  Incorrect versions of
documents are used.
Released
Ministry of Health Legislative Compliance Report
7
Survey period: 1 July 2014 – 30 June 2015

Legislative requirement
Reported non-compliance
Implication of non-compliance
Action taken to address non-compliance
•  Information is reworked
because the original document
1982
cannot be located.
Act
•  Multiple repositories are used
but are not actively managed.

Information
Official
the
under
Released
Ministry of Health Legislative Compliance Report
8
Survey period: 1 July 2014 – 30 June 2015

Appendix 2: Core government and Ministry
Coroners Act 2006
HEALTH AND SAFETY
Specific legislation surveyed
Electronic Transactions Act 2002
Health and Safety in Employment

Regulations 1995
Defamation Act 1992
GOVERNANCE & ACCOUNTABILITY
Health and Safety in Employment Act 1992
1982

Ombudsmen Act 1975
Health and Safety in Employment
EMPLOYMENT RELATIONS
Public Audit Act 2001
(Prescribed Matters) Regulations 2003
Act
KiwiSaver Act 2006
Public Finance Act 1989
Accident Compensation Act 2001
Employment Relations Act 2000
Human Rights Act 1993

Holidays Act 2003
New Zealand Bill of Rights Act 1990
ENVIRONMENT
Parental Leave and Employment
State Sector Act 1988
Civil Defence Emergency Management Act
Protection Act 1987
Information 2002
Protected Disclosures Act 2000
Wages Protection Act 1983
Occupiers' Liability Act 1962

Minimum Wage Act 1983
Fire Service Act 1975
INFORMATION MANAGEMENT
Official
State Sector Act 1988
Building Act 2004
Privacy Act 1993
Equal Pay Act 1972
the
Fire Safety and Evacuation of Buildings
Official Information Act 1982
Regulations 2006
Fair Trading Act 1986
Public Records Act 2005
Hazardous Substances and New
Minimum Wage Order 2010
Organisms Act 1996
under
Statistics Act 1975
Minimum Wage Order 2011
New Zealand Geographic Board (Nga Pou
Copyright Act 1994
Volunteers Employment Protection Act
Taunaha o Aotearoa) Act 2008
National Library of New Zealand (Te Puna
1973
Electricity Act 1992 & Electricity (Safety)
Matauranga o Aotearoa) Act 2003

Regulations 2010
Released
Criminal Disclosure Act 2008
9
Ministry of Health Legislative Compliance Report
Survey period: 1 January 2013 – 30 June 2013

Gas Act 1992
TAX

Plumbers, Gasfitters, and Drainlayers Act
Income Tax Act 2007

2006
Tax Administration Act 1994

1982
Goods and Services Tax Act 1985

FINANCE

Act
Public Finance Act 1989

MINISTRY SPECIFIC LEGISLATION
Accident Compensation Act 2001

Cancer Registry Act 1993
Social Security Act 1964

Epidemic Preparedness Act 2006
Child Support Act 1991

Health Act 1956
Student Loan Scheme Act 1992
Information
Health and Disability Services (Safety) Act

2001
MISCELLANEOUS
Health Sector (Transfers) Act 1993
Official
Commerce Act 1986
Intellectual Disability (Compulsory Care
and Rehabilitation) Act 2003
Crimes Act 1961
the
Medicines Act 1981
Secret Commissions Act 1910
Misuse of Drugs Act 1975
Patents Act 1953
under
NZPHDA New Zealand Public Health and
Trade Marks Act 2002
Disability Act 2000
Consumer Guarantees Act 1993
Radiation Protection Act 1965

Human Tissues Act 2008

Released
10
Ministry of Health Legislative Compliance Report
Survey period: 1 January 2013 – 30 June 2013

1982

Act
Legislative Compliance Report

Information
Survey period: 1 January 2014 – 30 June 2014

Official

the August 2014

under

Prepared by:
  Elizabeth Armstrong

Reviewed by:
Phil Knipe
Released
Ministry of Health Legislative Compliance Report
1
Survey period: 1 January 2014 – 30 June 2014

1982
Act
Information
Official
the
under
Released
Ministry of Health Legislative Compliance Report
2
Survey period: 1 January 2014 – 30 June 2014

1. Executive Summary

The  monitoring  of  compliance  through  the  ComplyWith  survey  tool  is  just  one
A  legislative  compliance  survey  has  been  run  for  the  Ministry  of  Health  for  the
aspect  of  the  legislative  compliance  programme,  through  which  the  Director-
1982
period  1  January  2014  –  30  June  2014.    The  survey  focussed  on  the  core
General  is  provided  assurance  that  the  Ministry  is  meeting  its  legislative
government and specific legislative requirements of the Ministry. Managers with
responsibilities.    Audit  NZ  is  required  to  review  the  Ministry’s  legislative
key  oversight  roles  and  tier  4  managers  and  above  were  required  to  complete
Act
compliance framework as part of their Annual Audit.
legislative compliance questions applicable to their roles. The completion rate for
those required to complete the survey was 98% (95 out of 97).
Legislative compliance is a continual process and is a critical part of the Ministry’s
overall  Risk  Management  Framework.  This  includes  the  analysis  and
Non-compliance of note has been declared in the following areas:
measurement  of  risks,  including  legislative  risks,  to  ensure  the  Ministry  is
-
Official Information Act 1982
managing these risks appropriately.
-
Public Records Act 2005
Information
-
Income Tax Act 2007
3. Legislative Compliance Survey
-
Tax Administration Act 1994

The  legislative  compliance  survey  asked  managers  legislative  compliance
Many of the non-compliances are the same as those reported in the last survey
questions  specific  to  their  role  and  responsibilities  in  the  Ministry.  This  was
period  (1  July  2013  –  31  December  2013)  but  with  a  reduced  risk  due  to  the
determined  by  mapping  core  government  and  Ministry  specific  legislative
Official
mitigating actions being taken. None of these has been assessed as representing
responsibilities  applicable  to  the  Ministry  and  identifying  accountabilities  for
major or extreme risks to the Ministry and actions are being taken to address the
these.
the
non-compliances (Appendix 1).
Organisational compliance questions
The next survey will be run in July 2015 for the period 1 July 2014 – 30 June 2015.
Organisational  Ministry  compliance  questions  were  asked  of  managers  whose
under
2.
roles  include  or  enable  oversight  of  Ministry  compliance  with  particular
Legislative Compliance Programme
legislation.  Examples of these include:
The  Ministry  has  an  obligation  to  ensure  that  all  legislative  and  regulatory
requirements  are  complied  with.    The  public,  the  government,  the  Minister  of
-
The Chief Financial Officer with aspects of the Public Finance Act.
Health,  and  Ministry  employees  all  have  an  expectation  that  the  Ministry  will
-
The Group Manager HR with aspects of the Employment Relations Act.

take all appropriate measures to ensure that this expectation is adequately met.

Released
Ministry of Health Legislative Compliance Report
4
Survey period: 1 January 2014 – 30 June 2014

‘All managers’ questions
The  instances  of  material  non-compliance  declared  by  staff  are  set  out  in
Appendix 1.
A group of questions was developed for ‘all managers’ and assesses compliance
in  relation  to  themselves  and  their  direct  reports.  These  questions  have  been

1982
developed  specifically  for  the  Ministry  to  link  in  with  HR  and  financial
delegations.  These questions were asked of tier 4 managers and above.
Act
These questions were also designed to educate and reinforce Ministry policy.
Catch all question
A catch all question was included to provide managers the opportunity to report
any  other  instances  of  non-compliance  that  are  not  captured  under  the  survey
questions assigned to them.
Information
Survey completion rate
A 98% completion rate (95 out of 97) was achieved, however, it took nearly two
weeks from the initial close off date to get  to the number of final responses to
Official
that level.  One manager who did not complete the survey was on secondment
outside  the  Ministry  during  the  survey  period,  while  the  other  manager,  Stuart
the
Powell  (NHB),  did  not  complete  the  survey  and  no  explanation  has  been
provided.
4. Reported non-compliance
under
A  small  number  of  instances of  legislative  non-compliance  have been  reported.
All  of  the  declared  non-compliances  were  assessed  as  representing  minor  or
moderate  risks  to  the  Ministry;  action  is  being  taken  to  remedy  all  non-
compliance (Appendix 1).
Released
Ministry of Health Legislative Compliance Report
5
Survey period: 1 January 2014 – 30 June 2014

Appendix 1: Reported legislative non-compliances
Legislative requirement
Reported non-compliance
Implication of non-compliance
Action taken to address non-compliance
1982
Official Information Act 1982 (OIA)
Oversight: Barbara Phillips
Responsibility: Managers and all staff
Act
When a request for official information
Overall, most managers indicated high to  Moderate risk
is made, the Ministry is required to issue
full compliance in meeting the
Managers who have noted occasional
a decision in respect of that request as
requirements of the OIA.  However, a
In the event that an OIA response from
delays in responding to OIA requests
soon as reasonably practicable and no
number of managers have noted
the Ministry is late, a request is
have adopted procedures to mitigate
later than 20 working days of receiving
occasions where the Ministry has
declined, or the Ministry requests an
the risk of unforeseen delays, for
the request.  (Section 15, OIA)
exceeded the OIA’s timeframes.  These
extension of the mandatory timeframe,
example, by initiating the sign-off
managers cited the following reasons for
the requester can lodge a complaint
process early.
Information
The Ministry may request an extension
non-compliance in this area:
with the Office of the Ombudsman.
of the 20 day time limit if it anticipates
The Ministry has initiated a programme,
delay will involve processing a large
•  Competing priorities;
An investigation by the Ombudsman
through the Government Relations
quantity of information or if  (Section
•  High volume of requests
could result in an adverse finding
Team, to enhance compliance with
15A, OIA)
received;
against the Ministry.
timeframes.  This programme includes
Official
•  High complexity of certain
an education campaign and tools for
If the Ministry does not hold the
requests which took longer to
Any negative publicity surrounding a
staff.
the
information requested, it is required to
process than anticipated; and
failure on the part of the Ministry to
transfer the request to the appropriate
•  The lengthy sign-off process
comply with the OIA might result in a
agency no later than 10 working days
required in some cases.
loss of public confidence or reputational
after receiving the request. (Section 14,
risk.
OIA)
under

Released

Ministry of Health Legislative Compliance Report
6
Survey period: 1 January 2014 – 30 June 2014

Legislative requirement
Reported non-compliance
Implication of non-compliance
Action taken to address non-compliance
Public Records Act 2005 (PR Act)
Oversight: Manager Corporate Knowledge Services, Corporate Services Business Unit
1982
Responsibility: Managers and all staff
Act
The Ministry is required to create and
Overall, most managers indicated high
Moderate risk
Archives New Zealand conducted an
maintain full and accurate records of its
to full compliance in meeting the
audit of the Ministry’s compliance with
affairs, in accordance with normal,
Ministry’s requirements under the PR
It is an offence under the PR Act to
the PR Act and reported back in August
prudent business practice, including the
Act.  Some managers have noted that
contravene or fail to comply with any
2014.
records of any matter that is contracted
there some filing backlogs among staff,
provision of this Act or any regulations
out to an independent contractor.
but that these are being addressed.
made under it.  The penalties for
The findings of the audit were:
committing an offence under the Act
Records must be in an accessible form,
The Manager of Corporate Knowledge
are:
•  that the Ministry is making
Information
so as to be able to be used for
Services also noted some non-
good progress with
subsequent reference, until their
compliance with storage standards in
•  in the case of an individual, to a
developing its recordkeeping
disposal is authorised under the PR Act.
Wellington, this is being addressed and
fine not exceeding $5,000:
capability;
work is currently underway to give the
•  in every other case, to a fine
•  that overall awareness within
(Section 17, PR Act)
Records Team access to securely held
not exceeding $10,000.
the Ministry of the
Official
information to enable electronic records

requirements of the PR Act is

to be assessed for retention and
Further to this the operational
good; and
disposal
implications for the Ministry are as
•  that the Ministry is taking
the  follows:
positive steps to update its

systems to ensure the
•  Documents cannot be located
dissemination of accurate
when required.
information and improve
under
•  Incorrect versions of
management of both physical
documents are used.
and electronic data.
•  Information is reworked
because the original document
In closing, the audit report stated:
cannot be located.
•  Multiple repositories are used
The Ministry of Health’s stakeholders
but are not actively managed.
can therefore have a measure of
Released
Ministry of Health Legislative Compliance Report
7
Survey period: 1 January 2014 – 30 June 2014

Legislative requirement
Reported non-compliance
Implication of non-compliance
Action taken to address non-compliance
assurance that its recordkeeping is
consistent with good practice, and
1982
contributing to broader organisational
and governmental goals.
Act  Work towards ensuring increased
compliance with the PR Act is underway
through the Corporate Knowledge
Services Project being undertaken in
2014 and 2015.
Information

Legislative requirement
Reported non-compliance
Implication of non-compliance
Action taken to address non-compliance
Income Tax Act 2007
Official
Tax Administration Act 1994
Goods and Services Tax Act 1985
Responsibility: Managers and all staff
the
The Ministry’s tax liability is governed by  Inland Revenue recently completed an
Moderate risk
Led by the Finance team, work towards
the Income Tax Act 2007, the Tax
audit on the Ministry, after which it
ensuring compliance is almost complete.
Administration Act 1994 and the Goods
advised that the Ministry’s eye care
Failure by the Ministry to meet its tax
under
and Services Tax Act 1985.
benefits are taxable income and that
obligations could result in the imposition
Fringe Benefit Tax (FBT) should be
of penalties by Inland Revenue.

applied to them.

The Ministry has taken ameliorative
action and the discrepancies are being
Released
Ministry of Health Legislative Compliance Report
8
Survey period: 1 January 2014 – 30 June 2014

Legislative requirement
Reported non-compliance
Implication of non-compliance
Action taken to address non-compliance
corrected with Inland Revenue.
1982

Act
Information
Official
the
under
Released
Ministry of Health Legislative Compliance Report
9
Survey period: 1 January 2014 – 30 June 2014

Appendix 2: Core government and Ministry
Coroners Act 2006
HEALTH AND SAFETY
Specific legislation surveyed
Electronic Transactions Act 2002
Health and Safety in Employment

Regulations 1995
Defamation Act 1992
GOVERNANCE & ACCOUNTABILITY
Health and Safety in Employment Act 1992
1982

Ombudsmen Act 1975
Health and Safety in Employment
EMPLOYMENT RELATIONS
Public Audit Act 2001
(Prescribed Matters) Regulations 2003
Act
KiwiSaver Act 2006
Public Finance Act 1989
Accident Compensation Act 2001
Employment Relations Act 2000
Human Rights Act 1993

Holidays Act 2003
New Zealand Bill of Rights Act 1990
ENVIRONMENT
Parental Leave and Employment
State Sector Act 1988
Civil Defence Emergency Management Act
Protection Act 1987
Information 2002
Protected Disclosures Act 2000
Wages Protection Act 1983
Occupiers' Liability Act 1962

Minimum Wage Act 1983
Fire Service Act 1975
INFORMATION MANAGEMENT
Official
State Sector Act 1988
Building Act 2004
Privacy Act 1993
Equal Pay Act 1972
the
Fire Safety and Evacuation of Buildings
Official Information Act 1982
Regulations 2006
Fair Trading Act 1986
Public Records Act 2005
Hazardous Substances and New
Minimum Wage Order 2010
Organisms Act 1996
under
Statistics Act 1975
Minimum Wage Order 2011
New Zealand Geographic Board (Nga Pou
Copyright Act 1994
Volunteers Employment Protection Act
Taunaha o Aotearoa) Act 2008
National Library of New Zealand (Te Puna
1973
Electricity Act 1992 & Electricity (Safety)
Matauranga o Aotearoa) Act 2003

Regulations 2010
Released
Criminal Disclosure Act 2008
10
Ministry of Health Legislative Compliance Report
Survey period: 1 January 2013 – 30 June 2013

Gas Act 1992
TAX

Plumbers, Gasfitters, and Drainlayers Act
Income Tax Act 2007

2006
Tax Administration Act 1994

1982
Goods and Services Tax Act 1985

FINANCE

Act
Public Finance Act 1989

MINISTRY SPECIFIC LEGISLATION
Accident Compensation Act 2001

Cancer Registry Act 1993
Social Security Act 1964

Epidemic Preparedness Act 2006
Child Support Act 1991
Health Act 1956
Student Loan Scheme Act 1992
Information
Health and Disability Services (Safety) Act

2001
MISCELLANEOUS
Health Sector (Transfers) Act 1993
Official
Commerce Act 1986
Intellectual Disability (Compulsory Care
and Rehabilitation) Act 2003
Crimes Act 1961
the
Medicines Act 1981
Secret Commissions Act 1910
Misuse of Drugs Act 1975
Patents Act 1953
under
NZPHDA New Zealand Public Health and
Trade Marks Act 2002
Disability Act 2000
Consumer Guarantees Act 1993
Radiation Protection Act 1965

Human Tissues Act 2008

Released
11
Ministry of Health Legislative Compliance Report
Survey period: 1 January 2013 – 30 June 2013

1982

Act
Legislative Compliance Report

Information
Survey period: 1 July 2013 – 31 December 2013

Official

the April 2014

under

Prepared by:
  Elizabeth Armstrong

Reviewed by:
Phil Knipe
Released
Ministry of Health Legislative Compliance Report
1
Survey period: 1 July 2013 – 31 December 2013

1982
Act
Information
Official
the
under
Released
Ministry of Health Legislative Compliance Report
2
Survey period: 1 July 2013 – 31 December 2013

Health,  and  Ministry  employees  all  have  an  expectation  that  the  Ministry  will
1. Executive Summary

take all appropriate measures to ensure that this expectation is adequately met.
A  legislative  compliance  survey  has  been  run  for  the  Ministry  of  Health  for  the

1982
period  1  July  2013  –  31  December  2013.    The  survey  focussed  on  the  core
government and specific legislative requirements of the Ministry. Managers with
The  monitoring  of  compliance  through  the  ComplyWith  survey  tool  is  just  one
key  oversight  roles  and  tier  4  managers  and  above  were  required  to  complete
aspect  of  the  legislative  compliance  programme,  through  which  the  Director-
Act
legislative compliance questions applicable to their roles. The completion rate for
General  is  provided  assurance  that  the  Ministry  is  meeting  its  legislative
those required to complete the survey was 99% (89 out of 90).
responsibilities.    Audit  NZ  is  required  to  review  the  Ministry’s  legislative
compliance framework as part of their Annual Audit.
Non-compliance of note has been declared in the following areas:
Legislative compliance is a continual process and is a critical part of the Ministry’s
-
Privacy Act 1993
overall  Risk  Management  Framework.  This  includes  the  analysis  and
-
Official Information Act 1982
Information
-
Public Records Act 2005
measurement  of  risks,  including  legislative  risks,  to  ensure  the  Ministry  is
-
Income Tax Act 2007
managing these risks appropriately.
-
Tax Administration Act 1994
-
Goods and Services Tax Act 1985
3. Legislative Compliance Survey

Many of the non-compliances are the same as those reported in the last survey
The  legislative  compliance  survey  asked  managers  legislative  compliance
Official
period  (1  January  2013  –  30  June  2013).  None  of  these  has  been  assessed  as
questions  specific  to  their  role  and  responsibilities  in  the  Ministry.  This  was
representing major or extreme risks to the Ministry and actions are being taken
determined  by  mapping  core  government  and  Ministry  specific  legislative
the
to address the non-compliances (Appendix 1).
responsibilities  applicable  to  the  Ministry  and  identifying  accountabilities  for
these.
The next survey will be run in June 2014 for the period 1 January 2014 – 30 June
2014.
Organisational compliance questions
under
Organisational  Ministry  compliance  questions  were  asked  of  managers  whose
2. Legislative Compliance Programme
roles  include  or  enable  oversight  of  Ministry  compliance  with  particular
The  Ministry  has  an  obligation  to  ensure  that  all  legislative  and  regulatory
legislation.  Examples of these include:
requirements  are  complied  with.    The  public,  the  government,  the  Minister  of
-
The Chief Financial Officer with aspects of the Public Finance Act.
Released
-
The Group Manager HR with aspects of the Employment Relations Act.
Ministry of Health Legislative Compliance Report
4
Survey period: 1 July 2013 – 31 December 2013

‘All managers’ questions

A  group  of  questions  was  developed  for  ‘all  managers’  and  asks  compliance  in
relation  to  themselves  and  their  direct  reports.  These  questions  have  been
1982
developed specifically for the Ministry linking with HR and financial delegations.
These questions were asked of tier 4 managers and above.
Act
These questions were also designed to educate and reinforce Ministry policy.
Catch all question
A catch all question was included to provide managers the opportunity to report
any  other  instances  of  non-compliance  that  are  not  captured  under  the  survey
questions assigned to them.
Information
Survey completion rate
A  99%  completion  rate  (89  out  of  90)  was  achieved,  however,  it  took  4  weeks
from  the  initial  close  off  date  to  get  to  the  number  of  final  responses  to  that
Official
level.    The  only  manager  who  did  not  complete  the  survey  was  reportedly  on
leave during the survey period.
the
4. Reported non-compliance
A  small  number  of  instances of  legislative  non-compliance  have been  reported.
under
All  of  the  declared  non-compliances  were  assessed  as  representing  minor  or
moderate  risks  to  the  Ministry;  action  is  being  taken  to  remedy  all  non-
compliance (Appendix 1).
The  instances  of  material  non-compliance  declared  by  staff  are  set  out  in
Appendix 1.
Released
Ministry of Health Legislative Compliance Report
5
Survey period: 1 July 2013 – 31 December 2013

Appendix 1: Reported legislative non-compliances
Legislative requirement
Reported non-compliance
Implication of non-compliance
Action taken to address non-compliance
1982
Privacy Act 1993 (Privacy Act)
Responsibility: Managers and all staff

Act
The Ministry is required to adhere to the  Non-compliance has been reported in
Moderate risk
Privacy Act’s Information Privacy
relation to a small number of privacy
Consultation took place with the Privacy
Principles (IPP).
breaches involving the inadvertent
In the event of a privacy breach, the
Officer and agreed actions were taken to
disclosure of personal information to
affected party (or parties) could lodge a
remedy the breaches, including
(Sections 6 and 8 of the Privacy Act)
third parties.
complaint with the Office of the Privacy
informing the OPC.  Where appropriate,
Commissioner (OPC) or the OPC could
service users were informed of breaches
For example, an error by a supplier (New
launch an investigation of its own
and apologies were issued.
Zealand Post), who sent letters
motion, depending on the severity of
Information
containing personal information to the
the breach.
New breach notification and remedy
wrong individuals.
processes have been introduced in
An investigation by the OPC could result  addition to the ongoing work already
In another instance, an historic privacy
in an adverse finding against the
being done to raise awareness of privacy
breach was discovered during the
Ministry and/or a referral to the Human
obligations and the breach reporting
Official
reporting period, which dated back to
Rights Review Tribunal.
process.
between 2007 and 2010. During this
the
time, identifiable data about 12
Any negative publicity surrounding a
individuals was used in a training
breach might result in a loss of public
manual.  Upon discovery of this privacy
confidence or reputational risk.
beach, the Ministry informed and
apologised to the affected parties.

under
(IPP 5 and 11)

Released
Ministry of Health Legislative Compliance Report
6
Survey period: 1 July 2013 – 31 December 2013

Legislative requirement
Reported non-compliance
Implication of non-compliance
Action taken to address non-compliance
Official Information Act 1982 (OIA)
Oversight: Barbara Phillips
1982
Responsibility: Managers and all staff
Act
When a request for official information
Overall, most managers indicated high
Moderate risk
The Government Relations team is in
is made, the Ministry is required to issue
to full compliance in meeting the
the process of providing advice to the
a decision in respect of that request as
requirements of the OIA.  However, a
In the event that an OIA response from
Executive Leadership Team about
soon as reasonably practicable and no
number of managers have noted
the Ministry is late, a request is
compliance with the OIA and options for
later than 20 working days of receiving
occasions where the Ministry has
declined, or the Ministry requests an
improving the quality and timeliness of
the request.
exceeded the OIA’s timeframes.  These
extension of the mandatory timeframe,
responses.  This advice is expected to be
managers cited the following reasons
the requester can lodge a complaint
provided by the end of April 2014.
(Section 15, OIA)
for non-compliance in this area:
with the Office of the Ombudsman.
Information

The Ministry may request an extension
•  Competing priorities;
An investigation by the Ombudsman
of the 20 day time limit if it anticipates
•  High volume of requests
could result in an adverse finding against
delay will involve processing a large
received;
the Ministry.
quantity of information or if
•  High complexity of certain
Official
requests which took longer to  Any negative publicity surrounding a
(Section 15A, OIA)
process than anticipated; and  failure on the part of the Ministry to
•  The added encumbrance of a  comply with the OIA might result in a
the
If the Ministry does not hold the
health report being required
loss of public confidence or reputational
information requested, it is required to
in some cases.
risk.
transfer the request to the appropriate
agency no later than 10 working days

under
after receiving the request.
(Section 14, OIA)

Released
Ministry of Health Legislative Compliance Report
7
Survey period: 1 July 2013 – 31 December 2013

Legislative requirement
Reported non-compliance
Implication of non-compliance
Action taken to address non-compliance
1982
Public Records Act 2005 (PR Act)
Oversight: Manager Corporate Knowledge Services, Corporate Services Business Unit
Responsibility: Managers and all staff
Act
The Ministry is required to create and
Overall, most managers indicated high
Moderate risk
Work towards ensuring compliance is
maintain full and accurate records of its
to full compliance in meeting the
underway through the Corporate
affairs, in accordance with normal,
Ministry’s requirements under the PR
It is an offence under the PR Act to
Knowledge Services Project being
prudent business practice, including the
Act.  Some managers have noted that
contravene or fail to comply with any
undertaken in 2014 and 2015..
records of any matter that is contracted
there some filing backlogs among staff,
provision of this Act or any regulations
out to an independent contractor.
but that these are being addressed.
made under it.  The penalties for

committing an offence under the Act
Information
Records must be in an accessible form,
The Manager of Corporate Knowledge
are:
so as to be able to be used for
Services also noted some non-
subsequent reference, until their
compliance with storage standards in
•  in the case of an individual, to a
disposal is authorised under the PR Act.
Wellington.  A plan to address these
fine not exceeding $5,000:
issues is going to be implemented in
•  in every other case, to a fine
Official
(Section 17, PR Act)
2014 and 2015.
not exceeding $10,000.

the

The Chief Archivist commenced audits
of Government Departments to ensure

compliance with the PR Act from June
2010.   The Ministry will receive six
months notification prior to the audit
under
commencing.
Further to this the operational
implications for the Ministry are as
follows:
Released
•  Documents cannot be located
Ministry of Health Legislative Compliance Report
8
Survey period: 1 July 2013 – 31 December 2013

Legislative requirement
Reported non-compliance
Implication of non-compliance
Action taken to address non-compliance
when required.
•  Incorrect versions of
1982
documents are used.
•  Information is reworked
Act
because the original document
cannot be located.
•  Multiple repositories are used
but are not actively managed.

Information
Legislative requirement
Reported non-compliance
Implication of non-compliance
Action taken to address non-compliance
Income Tax Act 2007
Tax Administration Act 1994
Goods and Services Tax Act 1985
Official
Responsibility: Managers and all staff

The Ministry’s tax liability is governed by  Inland Revenue recently completed a
Moderate risk
the
the Income Tax Act 2007, the Tax
comprehensive audit on the Ministry,
Led by the Finance team, work towards
Administration Act 1994 and the Goods
during which it discovered some errors,
Failure by the Ministry to meet its tax
ensuring compliance is almost complete.
and Services Tax Act 1985.
such as Fringe Benefit Tax (FBT) not
obligations could result in the
being paid in a small number of cases.
imposition of penalties by Inland

under

Revenue.
The Ministry has taken ameliorative
action and the discrepancies are being
corrected with Inland Revenue.
Released
Ministry of Health Legislative Compliance Report
9
Survey period: 1 July 2013 – 31 December 2013

Appendix 2: Core government and Ministry
Coroners Act 2006
HEALTH AND SAFETY
Specific legislation surveyed
Electronic Transactions Act 2002
Health and Safety in Employment

Regulations 1995
Defamation Act 1992
GOVERNANCE & ACCOUNTABILITY
Health and Safety in Employment Act 1992
1982

Ombudsmen Act 1975
Health and Safety in Employment
EMPLOYMENT RELATIONS
Public Audit Act 2001
(Prescribed Matters) Regulations 2003
Act
KiwiSaver Act 2006
Public Finance Act 1989
Accident Compensation Act 2001
Employment Relations Act 2000
Human Rights Act 1993

Holidays Act 2003
New Zealand Bill of Rights Act 1990
ENVIRONMENT
Parental Leave and Employment
State Sector Act 1988
Civil Defence Emergency Management Act
Protection Act 1987
Information 2002
Protected Disclosures Act 2000
Wages Protection Act 1983
Occupiers' Liability Act 1962

Minimum Wage Act 1983
Fire Service Act 1975
INFORMATION MANAGEMENT
Official
State Sector Act 1988
Building Act 2004
Privacy Act 1993
Equal Pay Act 1972
the
Fire Safety and Evacuation of Buildings
Official Information Act 1982
Regulations 2006
Fair Trading Act 1986
Public Records Act 2005
Hazardous Substances and New
Minimum Wage Order 2010
Organisms Act 1996
under
Statistics Act 1975
Minimum Wage Order 2011
New Zealand Geographic Board (Nga Pou
Copyright Act 1994
Volunteers Employment Protection Act
Taunaha o Aotearoa) Act 2008
National Library of New Zealand (Te Puna
1973
Electricity Act 1992 & Electricity (Safety)
Matauranga o Aotearoa) Act 2003

Regulations 2010
Released
Criminal Disclosure Act 2008
10
Ministry of Health Legislative Compliance Report
Survey period: 1 January 2013 – 30 June 2013

Gas Act 1992
TAX

Plumbers, Gasfitters, and Drainlayers Act
Income Tax Act 2007

2006
Tax Administration Act 1994

1982
Goods and Services Tax Act 1985

FINANCE

Act
Public Finance Act 1989

MINISTRY SPECIFIC LEGISLATION
Accident Compensation Act 2001

Cancer Registry Act 1993
Social Security Act 1964
Epidemic Preparedness Act 2006
Child Support Act 1991
Health Act 1956
Student Loan Scheme Act 1992
Information
Health and Disability Services (Safety) Act

2001
MISCELLANEOUS
Health Sector (Transfers) Act 1993
Official
Commerce Act 1986
Intellectual Disability (Compulsory Care
and Rehabilitation) Act 2003
Crimes Act 1961
the
Medicines Act 1981
Secret Commissions Act 1910
Misuse of Drugs Act 1975
Patents Act 1953
under
NZPHDA New Zealand Public Health and
Trade Marks Act 2002
Disability Act 2000
Consumer Guarantees Act 1993
Radiation Protection Act 1965

Human Tissues Act 2008

Released
11
Ministry of Health Legislative Compliance Report
Survey period: 1 January 2013 – 30 June 2013

Document Outline

Appendix 1
- Legislative compliance Survey Report 2021_22
- Legislative compliance Survey Report 2020_21
- Legislative compliance Survey Report 2019_20
- Legislative Compliance Survey Report 2018_19
- Legislative compliance survey report - 2017_18
- 2016-17 Legislative Compliance report
- MOH Legislative Compliance survey report 15 16
Legislative Compliance Report 2014_15
Legislative Compliance Report 2014 (1)
Legislative Compliance Report 2013 (2)