1982
2017 DIA Guide to Processing
Official Information Act Requests
ACT
INFORMATION
OFFICIAL
THE
UNDER
RELEASED
Version 1.0 – 20 January 2017
Governance, Risk and Assurance
Introduction
Purpose of this document
If you are not sure what constitutes an OIA request, or whether you have received one: There is
1840 guidance available
here. You can also talk to your branch
key OIA contact, or email
[email address] and they will be happy to advise.
This guide is not intended to provide a beginner’s introduction into what the Official Information
Act is, but instead describes the processes and tools for managing departmental Official Information
1982
Act requests across the branches of the Department of Internal Affairs.
Although Ministerial OIAs are similar to departmental OIAs in most aspects of their processing,
ACT
there are some key differences. If you receive a Ministerial OIA to process, your branch key OIA
contact can advise you further on what you need to be aware of.
This guide should be read in conjunction with the Department’s guidance about
requests for
information under the Privacy Act 1993 and the Department’s
protocols for managing personal
information.
Glossary
We’ve used a lot of terminology in this guide that has specific meaning when applied to OIAs. In
INFORMATION
some cases this includes terms that have specific legal definitions. To help with this we have
created a glossary of OIA terms that can be found here (coming soon).
And one final note on terminology: where the guide talks about the OIA team, this refers to the
Department’s central OIA team in the Governance, Risk and Assurance team in the Strategy and
Governance branch. This team can be contacted at
: [DIA request email].
OFFICIAL
Feedback and version control THE
This guide will be continuously updated to incorporate improvements in processes, business tools
and supporting information. We encourage anyone reading this guide to provide feedback about
possible improvements. Please send suggestions to
[email address]. The date of the last update of
this document is recorded on the title page.
UNDER
RELEASED
Page 2 of 25
link to page 4 link to page 4 link to page 6 link to page 8 link to page 11 link to page 13 link to page 15 link to page 15 link to page 16 link to page 16 link to page 18 link to page 19 link to page 20 link to page 23
The stages of processing an OIA request
When you receive and respond to an OIA request there are a number of distinct stages involved.
Following a clear, step-by-step process, like the one in this guide, makes it much easier to manage
your request and minimises risks, errors and the time taken to complete the request.
Each stage is shown at a high level below, and you can click on each stage to link through to the
detailed guide on what you need to do at each point.
1982
1) Log request
ACT
2) Consider request
3) File request
4) Scope request
5) Collate information
INFORMATION
6) Assess information
7) Prepare response
OFFICIAL
(undertake consultation, make decision, draft letter)
9) Sign-off response
THE
10) Release response and finalise request
UNDER
Appendix A: Withholding information under the Act
Appendix B: OIA process checklist
RELEASED
In Week 1
By week 1 - 2
By week 1 - 3
By week 2 – 4+
Log,
Collate,
Prepare response,
Provide decision or
Consider,
Assess,
Sign-off response,
extension by 20th working
File,
Prepare response
Ministerial no-surprises-
day.
Scope,
review
Release any approved
Collate
information without delay
Page 3 of 25
1 Logging the Request
All OIA requests that are received by DIA need to be logged in the Department’s central OIA register
and are assigned a unique ID. This logging is necessary for both data management and legislative
reporting.
If the request comes into the [email address] inbox: it will be logged automatically by the OIA
team in S&G and they will complete the consideration.
If you receive the request directly: use
this template to forward it to th
e [email address] address
so the OIA team can log it for you. They will then send you the OIA reference number for your filing
1982
and letters; and a link to the central OIA register so that you can proof the entry.
In this case, you can decide if you want the OIA team to do the request consideration and/or
ACT
correspondence to go out through th
e [email address] email address. (see the teal path in the
image below).
If you prefer the correspondence with the requester to go out through a different email address,
you will need to copy
[email address] into any emails you send out with formal letters, so that the
OIA team can update the OIA register accordingly. (See orange path in the image below).
The different pathways are shown at a high level in the diagram below, and the activities associated
with each step are explained more fully in the guide.
INFORMATION
OFFICIAL
THE
UNDER
2 Considerin
RELEASED
g the request
There are a number of things to think about as part of considering the request. These are explained
below, along with the recommended or legislative timeframes you’ll need to keep to. The
legislative timeframe for OIA requests (the OIA clock) starts on day one, which is the day after you
have received the request. The OIA team will advise you of the date of the 20th working day when
they send you the OIA reference number for the request.
Page 4 of 25
2.1 Acknowledging the request [within 48 hours of receiving the request]
As a courtesy, DIA endeavours to send an email to each requester acknowledging receipt of their
request for information
within 48 hours of the request being received.
An acknowledgement email or letter should include:
the date the request was received by DIA (if you have clarified or amended the request, note
both the date originally received and the date it was amended)
our OIA reference number (if you have it)
the exact request phrasing of the request
1982
the date by which the Department’s decision is due to the requester.
ACT
Template acknowledgement letters/emails are available here.
2.2 Assess the requester’s eligibility
Before you accept the request, assess whether the requester is eligible to make an OIA request. To
be eligible, a requester must be:
a person who is in New Zealand OR
a New Zealand citizen or permanent resident anywhere in the world OR
INFORMATION
a corporate entity which is incorporated in New Zealand or which has a place of business in
New Zealand
If you have concerns that a requester may not be eligible and are not sure how best to proceed, the
OIA team can give good advice to help you determine eligibility.
Where a requester is not eligible to make an OIA request, you can consider the requester’s
OFFICIAL
circumstances and decide on a case-by-case basis whether to accept the request on behalf of the
Department.
THE
2.3 Assess Due Particularity [by day 7]
Next assess whether the request is specified with ‘due particularity’ – i.e. whether it is
clear and
specific enough for you to be able to identify the particular information the requester wants,
without any inferences or guesswork.
UNDER
If the request is unclear,
you need to contact the requester to clarify. If you clarify by phone,
remember to follow this up with a quick email or letter to confirm any amendments agreed upon
(or include this in your email to acknowledge receipt of request).
If the request is amended or clarified with the agreement of the requester (for any reason) before
day 7, the OIA clock restarts and you then have 20 days to respond from the day the request was
RELEASED
clarified. If the requester does not get back to you to clarify the request, you’ll need to continue
processing the original request, so seek clarification
as early as possible.
Note – due particularity has nothing to do with the
quantity of information requested or any
anticipated difficulty in providing, due particularity is just about whether you
understand clearly what the requester is asking for.
Page 5 of 25
2.4 Assess whether the request should be transferred [by day 10]
Assess whether the information requested is held by, or more closely related to the functions of, a
different agency, Minister or local Authority.
If you are considering transfer, contact the agency, Minister’s office or Local Authority and find out:
whether they are the right agency/office to process the request
whether you can transfer the request to them in full or in part (if they received the same
request, there is no point in transferring your request to them)
Whether DIA should transfer any information it holds to the other agency/office to include in
1982
their response
If there is an agreement to transfer the request - first send a letter to the requester advising them
ACT
of the transfer of their request and giving them contact information for the agency who will manage
their request. Then send a letter to the other agency confirming that the request is transferred to
them and attach a copy of your letter to the requester.
If you are unsure about any part of the transfer, for example taking up contact with the other
agency, deciding whether to transfer, or writing the transfer letter, the OIA team can give advice
and help.
Template transfer letters are available here
INFORMATION
Where the other agency is already processing the same request, consider contacting the requester
and discussing the situation. This can often make it clear whether the request should be processed
or withdrawn.
OFFICIAL
3 File the request THE
3.1 OIA request documentation in DMS or Cohesion
Each branch has a different filing location in DMS and Cohesion. Refer to th
e key OIA contacts table
and speak with one of your branch contacts to confirm the OIA library your group uses.
UNDER
When you receive a request, create a file folder in DMS or
a Document set in Cohesion, titled:
OIA201617 -0099
Type and
OIA ref
financial year
number
You can also include other branch internal reference numbers or the requester name if you choose.
RELEASED
E.g. OIA201617-0099-RSOC1054-Smith.
Every document you save within the document set should be prefaced with the OIA reference
number.
Page 6 of 25
Although individuals and teams will vary in how they manage their OIA cases, generally your
document set in DMS or Cohesion would function as your
case file for the OIA. Your case file is the
place you store all of the information related to a particular OIA request. You might also have a
physical case file for the OIA, if a lot of the information you are working with in the OIA is in
hardcopy format.
By the completion of the OIA request, you should have recorded in your document set:
1. Copy of the original OIA request
2. Copy of the email/letter sent acknowledging receipt of the OIA request, and documentation
1982
of any clarification/amendment of the request.
3. Clean copy of all information you collated within the scope of the request (this could be, for
ACT
example, electronic files, scans of hardcopy documents; or emails/other evidence confirming
no information was found.)
4. If information was withheld in the request and was redacted from documents, there should
be a full mark-up copy filed, with all content able to be read, and each proposed redaction
annotated with a reference to the part of the Act usede.g. s9(2)(a); and a full annotated
release copy in which the redacted material is absent.
5. Copies of all correspondence with the requester, but particularly scans of all signed formal
letters that were sent out in the request (for instance when transferring, extending the
timeframe or delivering the decision).
INFORMATION
6. Copy of a completed
sign-out sheet for the request and a signed
cover-sheet for the request.
One or both of these should list any risks noted in the request.
3.2 Listing the request in the Ministerial Status Report
OFFICIAL
All OIA requests need to be listed in the OIA section of the weekly status report to the Minister of
Internal Affairs. You may also need to include the request in the status reports to other Ministers,
depending on the topic. Check with your
THE branch key OIA contact about whether you should update
the status report yourself or whether there is a person within your branch who is responsible for
this.
If you need to update the status report yourself, the Ministerial Status Reports are found in DMS-
Corporate under DIA-6070-3 under ‘Updates to Ministers’. E
mail [email address] to
UNDER
request editor access and/or to be added to the status report group email.
Checklist for Logging, Considering and Filing the request [by day 3]
Request has been logged in Central OIA Register
Request has been allocated to the person who will be processing the response
RELEASED
Requester was assessed and deemed eligible to make a request
Request was assessed for due particularity and clarification sought if needed
Request was assessed for transfer and transfer was completed if required
Requester has been sent an email acknowledging receipt of the request
Created request folder/document set in DMS or Cohesion
Request has been entered into the Ministerial Status Report
Page 7 of 25
4 Scoping the request
Within the first five working days of receiving the request, and before you begin collating data;
you’ll need to scope the request. ‘Scoping’ means thinking through all of the issues and obstacles in
the request, what information you need to gather, where the information is held, and deciding the
best approach.
You can find several scoping and planning templates here.
Where there are several information holders/stakeholders,
holding a scoping meeting to discuss
the request can make a big difference in how you decide to approach your response and can save
1982
you a lot of time and difficulty later. If a request is political or topical, large or complex, or in cases
where you already believe you may need to withhold information, it can be a good idea to invite
ACT
representatives from the OIA team, Legal Services and Comms to scoping meetings, as they may
notice things you might not have thought about, giving you a chance to deal with these early.
4.1 Things to consider when scoping your request:
Identify what type of OIA request has been received
It is good practice to identify what type of request has been received, specifically if a request
is a section 22 request (relating to access to internal rules), or a section 23 request (relating
to accessing the reasons for a decision affecting a person). There are specific provisions that
INFORMATION
apply to these particular types of requests.
Is the information publically available or generally available for purchase?
Where the information is already (or very soon to be) publically available – you can
refuse
the request under s18(d) and refer the requester to the location of the information.
If the Information can be purchased from DIA by anyone, for example – a copy of a birth
OFFICIAL
certificate, check with your branch Key Contact or the OIA team to see how your branch
normally responds.
THE
Check previously-released-information
Find out what the Department has previously released on the topic of your request in
OIAs,
parliamentary questions and Select Committee evidence. Under Templates and Resources on
the 1840 OIA Requests page Being inconsistent can put the Department’s reputation at risk,
and checking can often
save you time if information on the same topic has been previously
UNDER
released.
Develop specific working definitions for any terms in the request
You may be able to use definitions from past requests, or the definition may be interpretable
from the context of what the requester has asked for. If unclear – contact the requester to
clarify.
Identify who you will need to involve in processing, and who you will need to consult
RELEASED
These could include information holders/owners, subject matter experts that will need to be
involved in processing, and internal/external stakeholders who might have to be consulted or
notified.
Page 8 of 25
link to page 11 link to page 21
Identify where the information is located, how much there is likely to be, and how long it
will take you to get/assess it
Does the request require you to
create new information? Are there any barriers to accessing
the information, e.g. incompatible systems, delays or costs to DIA to retrieve the
information? Is there likely to be a large quantity of information found, or are you going to
have to search through a large quantity of information to find the information that the
requester wants?
Identify any risks to be aware of with the type of information requested
E.g. is there likely to be a lot of personal or commercially sensitive information included? Is
release likely to pose a security risk, or prejudice the maintenance of the law?
1982
Plan your timeline
In setting out you
r timeline, be realistic when you plan how long each processing stage is
ACT
likely to take. Keep legislative and administrative deadlines in mind, and consider factors
likely to impact how long you need for each stage (e.g. quantity, format, time period,
location and complexity of data, and the number and availability of information holders /
information owners and other stakeholders); don’t forget to consider your own workload!
Remember also that the 20 day timeframe relates to notifying the requester of the
Department’s decision (or an extension of the timeframe, in accordance with the Act). You
do not have to provide the information that you are releasing to the requester within that
timeframe. You must however provide the information
without undue delay, and you must
INFORMATION
advise the requester when they can expect to receive the information.
4.2 A note on substantial collation and research (18A)
Once you have accurately scoped the request, you may find the request is for a significant volume
of information, will take a long time to complete (in terms of processing time), or there are
OFFICIAL
additional charges to the Department for retrieval of the information. If you are considering
withholding information on the grounds of substantial collation and research
(s18(f)) there are a
number of things that you’ll need to consider and we recommend that you talk to a key branch
THE
contact or the OIA team to work through these.
If you have established that substantial collation and research is a factor, you should consider
contacting the requester to talk this through. Discuss the available options for managing the
substantial collation and research, for example:
UNDER
Amending the request scope
If the requester agrees, you could (for example) reduce the time period or types of
documents covered by the request, provide a list of the documents in scope for the requester
to select from in their next request, or provide the information in a different format, e.g.
summary or oral briefing
RELEASED
If you take steps to consult the requester within the first 7 working days you can treat any
amended or clarified request you agree upon as a new request and restart the OIA clock.
(See page 3 of
Ombudsman guidance)
Extending the timeframe for the request
When setting your extension period, it is important to be realistic about how long processing
will take. While you are still within the original 20 working day period, you can modify your
Page 9 of 25
link to page 16 link to page 21
extension period, if you realise that it will not be long enough. However, you cannot modify
the extension period, or re-extend the request once the extension has begun, and you are
outside the original 20 day period.
As it is frustrating for the requester when the time they expect to receive the information
keeps changing, it is best practice not to extend until you have made a
good faith attempt to
complete the request within 20 working days. Signal early to the requester that an extension
is likely, but hold off on actu
ally extending your request timeframe until the third or fourth
week, by which point you should have a clear picture of how much additional time you are
likely to need.
1982
Fixing a charge to process the request within 20 working days
Talk to the OIA team if you are considering charging, as it is not an appropriate option in all
ACT
circumstances and requires a more extensive sign-off process. .
If the requester is not prepared to amend their request, and if extending or fixing a charge are not
suitable options for managing the substantial collation, you can
refuse the request under s18(f). It
is strongly recommended that you discuss the request with the OIA team and the legal team if you
are thinking about refusing the request on grounds of substantial collation.
Template letter for extending the request timeframe or refusing the request available here
INFORMATION
OFFICIAL
THE
Checklist for Scoping the request
Checked whether information is publicly available / soon to be publicly available
UNDER
Checked whether information is publicly accessible via existing business processes
Checked past releases on the same topic (OIAs, WPQs, Select committee)
Identified the information holders, information owners and stakeholders
Consulted with information holders on timeframe for collation
identified any issues that could delay collation, assessment or consultation
Identified indicative grounds for withholding or refusing and any matters of
interpretation that may require legal advice
Identified the format that the information (if released) is to be provided in
RELEASED
Planned request timeline
If substantial collation or research is necessary, contacted requester to discuss
If refusing the request, considered seeking advice from legal services
Page 10 of 25
5 Collate information
5.1 Identify information in scope
1) Arrange for search of all physical and electronic locations within DIA that you believe may
hold information in scope. Your branch key contact and the OIA team can advise you on
this.
2) If you are not certain you have captured all information in scope, consider sending a
department-wid
e email to all branches’ BDS teams to ask them to check for information.
1982
3) Consider whether any external locations might hold information in scope e.g. other
departments/agencies, commercial companies and contractors.
ACT
4) If the requester has asked for information that is held but has not yet been documented,
create a document to record it; for example, the person who holds the information will need
to type and print their recollection of the relevant policies, events, phone calls, meetings.
Note that this documenting of information is not
creation of new information. The
information is already held by the Department in an intangible format
5) You aren’t required to
create new information in order to respond to an OIA request (e.g. to
give an opinion, collect new data, or undertake new analysis/transformation of information)
however, you must consider whether it would be administratively unreasonable to refuse
to do so. E.g. the information would be created in the near future anyway, the information
INFORMATION
is of substantial public interest, closely tied with the functions of the organisation, or the
work required to create the information is minimal.
When contacting other branches, remember:
Include a copy of the wording of the OIA request
OFFICIAL
Include any working definitions and be clear about what information is included in the scope
of the request and what is excluded
THE
State whether they should email you actual copies or just a list of the information identified
State the date by which you expect the information/list or a ‘Nil’ response (be reasonable in
setting the date)
UNDER
It’s a good idea to keep a
list of locations you have searched. If you need to replicate the response
or if the requester complains to the Ombudsman, you can show that a reasonable effort was made
to identify the requested information.
If there are a large number of documents in scope, consider keeping
a table/list of the documents,
to help you keep track of them and the action you are taking against each e.g. consultation,
withholding, refusing. A document table is found on the back page of the
OIA coversheet.
RELEASED
5.2 Collect copies of the information in scope:
When you identify electronic or hardcopy documents you should make copies of these to add to
your electronic document set and/or physical case file. (Note - it is risky to store original hardcopy
documentation in your OIA case file, as it could be mistaken for copied documentation and
redacted or released to the requester).
Page 11 of 25
link to page 9 link to page 9 link to page 20 link to page 21 link to page 16
If you redact electronically e.g. using Adobe Acrobat Pro XI, or another similar program: you will
need to take a scan of each hardcopy document identified, and save a copy of all electronic
document files identified. (You can also combine all of these documents into one PDF in Adobe
Acrobat Pro XI, which can help you better keep track of it.
Further instructions on how to do this)
If you redact manually: you will need to make three copies of each hardcopy document identified.
You will also need to print out three copies of each electronic document identified. This is so that
you are able to compile a clean-copy set, a mark-up set and a redacted set.
5.3 Issues that may come up during collation:
1982
Large volumes of information, or collating the information has a cost: If the request is for a large
quantity of information, or requires a search through a large quantity of information and you don’t
ACT
think you will be able to make a decision in the request within 20 working days, or retrieving the
information will result in a substantial cost to the Department, see the notes o
n Substantial
Collation and Research for options.
You could not identify any information in scope: If the information requested does not exist or
cannot be found then the request should be refused under section
18(e) of the Act. If the
information is not held by the Department and there are no grounds for believing it to be held by
another department then the request should be refused under sect
ion 18(g) of the Act. You should
also consider contacting the requester and discussing the situation. They may want to alter their
INFORMATION
request or may withdraw their request entirely.
If you discover relevant information after having refused the request under either of the above
grounds, contact the OIA team to discuss the situation as soon as possible.
For more information about drafting an extension, charging or refusal letter see part 7.3
Drafting.
OFFICIAL
THE
UNDER
Checklist for Collate information
Sent all-of-Department information check request (if applicable)
Requested copies/list of information from all internal information holders
RELEASED
Requested copies/list of information from all external information holders (if applicable)
Received and/or made copies of information in scope
Compiled list of locations searched
Compiled list of all information in scope
Contacted requester to discuss amendment, extension, charging or refusal
Page 12 of 25
link to page 20 link to page 21
6 Assess information
Official Information must be made available unless there is good reason to withhold it
Consider the approach to withholding/releasing information in any previous related responses.
The Department seeks to be as consistent as possible in its responses, both in order to avoid making
self-contradictory public statements, and to ensure requesters are treated equally. If the
Department has responded to the same or a similar OIA request in the past (particularly if this was
recent), you would generally approach your current request in a way that is consistent with the
previous request. If you are thinking of taking an approach that is very different to, or even
1982
contradictory to the previous request, it is a good idea to discuss the situation with your manager or
the OIA team. They can help you identify whether you should get legal or media advice.
ACT
Do you need subject matter experts (SMEs) to assess the material? In cases of specialised matters such as security risks, commercial sensitivity or investigations, you
may need to have a SME assess the risks in releasing information. One option for managing this is
to give the material to the SME for them to highlight points of concern, and then meet with them
and a representative from Legal Services to go through each point and agree an approach to each.
If you haven’t worked with the OIA much yet, don’t forget that there are people who can help
you!
There is a lot to be aware of in the OIA and there can be some pretty big consequences if we don’t
get it right – but others in your team, your branch key contact, or OIA team advisors are ready to
INFORMATION
discuss the request with you or peer review your assessment, so don’t hesitate to approach them!
6.1 Doing the assessment:
Working in Adobe Acrobat professional
Working manually on hardcopy
OFFICIAL
Ensure you have all of your documentation
You should have three complete sets of your compiled
saved in a single PDF file.
copied documents.
THE
(How-to guide)
1) The clean copy
2) the mark-up copy
3) the redaction copy.
You will only need to work on the mark-up and
redaction copies during the assessment.
UNDER
Review
the grounds for withholding/refusing in the Act before you begin your assessment.
Read through each line of your documentation carefully.
As you go, electronically mark-up any
As you go, highlight, underline, mark with a post-it or
information of concern (this should look like a
otherwise clearly indicate the information of concern
red box around the information) and annotate
and write the grounds you propose to withhold it
each with the grounds you propose to withhold
under at the side.
RELEASED
under.
(How-to guide)
If you have not worked with the Act for very lon
g ask the OIA team for a peer review
Review your mark-ups and if you are using Section 9 of the act undertake a
public interest test for each
Page 13 of 25
If you are proposing to withhold any information or refuse part of the request, it is recommended that
you complete thi
s template and
Request a legal check
Save or print out a copy of your mark-up
Compare the mark-up copy with the redaction copy
document
and (in the redaction copy) EITHER cover all
information of concern with white redaction tape OR
Complete the redaction of the mark ups in
black-out all information of concern with wide black
Adobe (note – this cannot be reversed!) and
marker and a ruler.
print your redacted document onto
watermarked ‘release under the official
Note –keep using the same redaction method
information act’ paper. Rescan the document
throughout the entire document.
1982
to PDF
Wherever you redact material, place a marker by the
This is your Release Copy
side of the redaction and clearly annotate (at the
bottom of the page) the grounds under the Act for the
ACT
removal of the information. If there are multiple
grounds on a single page, use numbers to denote
different grounds.
When you have redacted and annotated, photocopy
your redaction copy onto ‘released under the Official
information Act’ watermarked paper and then scan it
to PDF
This is your Release Copy
INFORMATION
Remember to check that no part of your redacted
information is visible on the release copy, if you have
used marker to black-out
You should now have:
You should now have:
OFFICIAL
THE
Mark-up Release
Clean Mark-up Release
file file
hardcopy hardcopy file
UNDER
Checklist for Assess information
Prepared files or hardcopy documentation for assessment
RELEASED
Reviewed the withholding/refusal grounds in the Act if needed
Reviewed each piece of information in scope carefully and assessed it for release
Sought a peer review of assessment if needed
If withholding information under section 9 of the Act – completed Public Interest Test
If withholding or refusing any part of request – considered undertaking a legal check
Prepared release copy of requested information (if applicable)
Page 14 of 25
link to page 16 link to page 16
7 Prepare Response
Although Consultation, Decision and Drafting are discussed here individually – in practice, the
stages of the process from assessment up to sign-off are fluid, and may occur in parallel. You might
need to undertake consultation during any
or all of these stages before you get the request into a
finished state, ready for signoff.
7.1 Consultation
Consultation is about identifying and mitigating risk – e.g. information of concern, legal risk,
1982
reputational risk, and risk to uninformed stakeholders. There are three types of consultation:
Stakeholder consultation
ACT
to identify any remaining concerns and risks the people who own or work with the
information might have with the proposed response or response approach, and decide
whether to amend. Stakeholders may be internal or external to DIA. Not all stakeholders
necessarily need to review or provide feedback; some may only need to receive notice of the
response prior to release. Speak to your manager or talk with the OIA team if you have
queries about consulting with stakeholders.
Legal consultation
to get an opinion on whether your decision to extend the timeframe, withhold information or
refuse the request is in line with the Act; or to get advice on mitigating legal risk associated
INFORMATION
with releasing information - complete the
legal check template and send to
[email address] )
It is advisable to do a legal check if you are planning to refuse the request or withhold
information.
Communications consultation
OFFICIAL
to assess whether the information being released, or the letter, poses a risk to the
Department’s reputation, and to put measures in place to mitigate this if so - complete the
Comms check template and send to
[email address]
THE
It is advisable to do a Comms check if your request is from the media, OR is about topical,
controversial or newsworthy issues, OR spending.
Some stakeholders are obvious, others are less so. Even if the request is focused on work your team
UNDER
does and information it owns, consultation with other affected business units or external parties
may still be necessary in some cases. Talk to the OIA team or your branch key OIA contact if you are
not sure whether you have included all the necessary people in your consultation.
If the information being released is low risk, does not include much information and involves only a
few stakeholders, you may sometimes only need to circulate your draft response letter and release
copy information to your stakeholders to ensure they are aware of it.
RELEASED
If the information is sensitive, complex, includes a large amount of information and/or many
stakeholders, you
must email your information or circulate hardcopy to the key stakeholders to
review. Once they have had a reasonable period to review, set up a meeting with your stakeholders,
including Legal and Comms, to go over everything together.
If your consultation is complex, consider also whether you need to
extend your response
timeframe.
Page 15 of 25
7.2 Make a decision
Making a decision in the request means deciding whether you will release to the requester the
information they are requesting. You must make a decision for
each part of their request. For
example – they may have asked for information A in part one, information B in part two and
information C in part three. It is important to make clear what your decision is for
each part,
although the information may actually be combined when it is provided. For each, you must decide
whether to release the information in full, release some information and withhold other
information, or refuse the part of the request.
1982
7.3 Drafting the Letter
All letters to the requester are written as if the person signing out the request is speaking on
ACT
behalf of the Chief Executive of DIA, as the letter is a public statement from the Department
and may be published in the media.
All information given in the letter must be factually correct.
The text formatting should be clear, the language easy to understand, free of
spelling/grammar errors, and appropriate in tone. The
Style guide can advise you on
language, and formatting of paragraphs, lists, images, graphs and tables.
There are
letter templates available to help you. The templates have some required
sections and some optional sections which you can modify/delete to suit your request
INFORMATION
circumstances.
Remember – the templates are a guide - you can provide additional context information in
your letter, if it will help the requester to better understand the reasons for your decision.
7.4 Types of letter:
OFFICIAL
Decision letters
The decision letter is advising the requester of the Department’s decision for the whole request.
THE
Make clear:
What your decision is in respect of
each part of the request; releasing all information,
withholding some/all information, or refusing all/part of the request.
UNDER
What section of the Act you are withholding or refusing under (if applicable) and why this
applies.
Include a statement advising the requester of their right of complaint to the Ombudsman if
they feel DIA has not acted fairly under the Act.
You do not have to include the information you are releasing with your response, but if you do not
include it, you must advise the requester when and how you will be releasing it to them, and there
should not be an unreasonable length of time between the response and the release.
RELEASED
Extension of timeframe letters
You are able to extend the time available for response under one of two grounds:
Page 16 of 25
The request involves such a large amount of information (or a search through such a large
amount of information) that completing the request within 20 days would unreasonably
impact the Department’s operations. [15A(1)(a)]
You need to consult with people on your response, and this consultation cannot reasonably
be completed within 20 working days (for example, due to the complexity, the number of
stakeholders or their availability.) [15A(1)(b)]
You must communicate your extension to the requester within the original 20 working day period
and cannot re-extend your request after the 20 working day period. (You can modify your extension
period
during the original 20 working days if necessary).
1982
Include in your extension letter:
the period of the extension (give the new due date)
ACT
the grounds under the Act for the extension and why they apply
A statement that the requester has a right to complain to the Ombudsman about the
decision to extend the timeframe
The extension period has to be
reasonable and realistic. It is a good idea to choose a comfortable
period and advise the requester you will release the information as soon as possible, but no later
than a specified date.
Interim response letter
INFORMATION
In a large or complex request, particularly if there are many parts, you may have an interim
response. In this response you give your decision in relation to some parts of the request or some
parts of the information, but extend the request in respect of others. It would normally be typical to
release part of the information with the interim response.
OFFICIAL
Make clear what part of the request the decision applies to, and what part the extension applies to.
You’ll need to include all information that you would otherwise include in a response or an
extension letter.
THE
Information release letter
This letter accompanies released information when this is not sent out together with the Decision
letter.
UNDER
Checklist for preparing response
Identified stakeholders who need to be advised about the request
and/or have the
opportunity
to consult on the response,
and/or receive a copy of the final response prior to release
Made a decision in respect of each part of the request
RELEASED
Drafted a letter based on the templates available and verified that:
- all required information (see section on drafting) is included
- style and formatting is in line with DIA style guide
- information is accurate and response is consistent with recent releases on same topic
Completed Legal consultation if needed, and made any necessary amendments
Completed Comms consultation if needed, and made any necessary amendments
Completed all appropriate consultation with stakeholders
Page 17 of 25
link to page 14 link to page 14
8 Sign-off Response
8.1 Getting sign-off on the response
Before you can release the response, you need to get it signed off by the people who own the
information. The first thing to do is to put together an OIA response sign-off pack. This should
include:
Departmental OIA cover sheet or
Ministerial OIA cover sheet
1982
Signoff Sheet
Copy of original request
Copy of response letter on letterhead, ready for signing
ACT
release copy of documentation on ‘released under the OIA’ watermark paper
mark-up copy of documentation
(In some cases) other context information that is important to understanding the response
(for example - a previous response on the same topic.)
Signoff can vary slightly from branch to branch, but in general it will include:
Peer reviewer – reads the response and checks for spelling, grammar, formatting etc.
INFORMATION
Your manager
General Manager/Director/Tier 3 manager of the group that owns the information (can be
several)
Deputy Chief Executive of the branch (if applicable for your branch)
OFFICIAL
When you have completed your sign-off sheet, scan it to PDF and save it with your request
documentation in DMS/Cohesion.
THE
8.2 No surprises notification
After you have the OIA pack signed off, you must send it to the relevant Minister’s Office for review
before you can send it out to the requester. This is to ensure that the Minister is aware of OIA
responses going out from the department and has ‘no surprises’. Generally, Ministers’ offices
UNDER
require five working days to review a departmental OIA request
. How to send your pack through to
the Minister’s Office
In the case of a Ministerial OIA request, you must send the OIA pack through to the Minister’s office
at least seven days prior to the response deadline, as further processing may be needed within the
office. The Minister’s office will send the response out to the requester directly and will notify you
when it has been sent
RELEASED
This is also the time to send your final release letter and release documentation as FYI to your
secondary stakeholders – who have not been involved in the processing of the request, but who
may be impacted by the release.
Page 18 of 25
link to page 18
9 Release response and close off request
When you have finished consultation and all necessary sign-off you can release the OIA response to
the requester per their preferences.
If the response originally came in to the Department via DIA’s OIA inbox, or if the OIA team have
been managing correspondence with the requester – you must send out the response from the
[email address] inbox. The OIA team will then close off the request in the central OIA register.
If you have been corresponding directly with the requester via your personal or team email
address, it’s best to send the response the same way. Remember to copy [email address] into
1982
the email, so that they can close off the request in the central OIA register.
If you are sending out the request in hardcopy format within New Zealand, use a postage-paid
ACT
courier envelope, available from your Branch Development and Support team. If the amount of
information you are sending is substantial, and cannot be sent over 5 courier envelopes, contact
your Branch Development and Support team to arrange for other courier options. It is a good idea
to discuss these with your manager.
To finalise the request – you need to compile all the associated documentation and file it in your
document set in DMS or Cohesion
Pull together all the email correspondence associated with the request (both within DIA and
INFORMATION
between DIA and the requester)
Scan all documentation that you have in hardcopy to PDF.
Consider any branch requirements for filing hardcopy.
OFFICIAL
THE
Checklist for sign-off, release response and close off request
Completed Departmental/Ministerial cover sheet
UNDER
Put together
OIA pack for signoff
Signed off by peer reviewer, your manager, and any GM/Directors who own the release
information
Signed off by DCE (if applicable)
The response letter has been signed by the main information owner or DCE
Completed no-surprises notification for Minister’s Offices and secondary stakeholders
Sent copy of final response to all stakeholders (if needed)
RELEASED
Completed Ministerial no-surprises review
Sent response email to [email address] and received copy of email sent to requester OR
cc’d [email address] into the response email I sent to requester
Searched correspondence, electronic files and hardcopies associated with the request
Filed all material related to the request in the request document set in DMS/Cohesion
Page 19 of 25
Appendix A: Withholding information and refusing requests
under the Act
There are four main sections of the Act that are concerned with reasons not to release the
requested information, or to refuse the request in whole or part. These are section 6, section 7,
section 9 and section 18. Each of these sections are qualitatively different in terms of their
application. Usually, you will be using section 18 and section 9.
1982
Section 18 Administrative reasons to refuse a request in whole or part
You can use more than one reason, but narrow it down to be accurate.
ACT
18(a)
by virtue of
section 6, section 7 or
section 9 there is good reason for withholding the
information
(if you are withholding all information in part of/the whole request, you can use this
provision to refuse the request in whole or part. You must still cite the specific section 6,
7 or 9 withholding grounds you are relying on in respect of the requested information.)
18(b)
by virtue of
section 10, the Department does not confirm or deny the existence or non-
existence of the information requested
INFORMATION
(
it is recommended that you seek legal advice before using this provision)
18(c)
the making available of the information requested would -
(i)
be contrary to the provisions of a specified enactment; or
(ii)
constitute contempt of court or of the House of Representatives
(you must cite the provisions of the specific enactment that apply. It is recommended to
OFFICIAL
seek legal advice if you are thinking of using part ii of this provision)
18(d)
the information requested is or will soon be publically available
THE
(it is good practice to provide directions (and/or a link to) the location of the
information)
18(da)
the request is made by a defendant or a person acting on behalf of a defendant and is -
(i) for information that could be sought by the defendant under the
Criminal Disclosure
UNDER
Act 2008; or
(ii) for information that could be sought by the defendant under that Act and that has
been disclosed to, or withheld from, the defendant under that Act
(it is recommended that you seek legal advice before using this provision)
18(e)
the document alleged to contain the information requested does not exist or, despite
reasonable efforts to locate it, cannot be found
(it is good practice to keep a record of your searches and attempts to locate the
RELEASED
information, so that you can demonstrate you have made a reasonable effort, should
this be needed in the event of a complaint)
Page 20 of 25
18(f)
the information requested cannot be made available without substantial collation and
research
(see also section 18A, which requires that before you use this ground you must consider
whether the request could be granted if a charge were fixed under section 15, or the
request timeframe extended under section 15A)
18(g)
the information requested is not held by the department or Minister of the Crown or
organisation and the person dealing with the request has no grounds for believing that
the information is either -
(i)
held by another department or Minister of the Crown or organisation, or by a local
1982
Authority; or
(ii)
connected more closely with the functions of another department or Minister of
the Crown or organisation or of a local authority.
ACT
(Checking with other agencies can add strength to your decision if you are thinking of
using this provision. If you would like help contacting the other agencies, speak to the
OIA team)
18(h)
the request is frivolous or vexatious or the information requested is trivial
(there is a high threshold in applying this provision. Talk to the OIA team if you are
considering using it)
INFORMATION
Section 9 grounds for withholding information in a request
To apply any withholding grounds under section 9 of the Act, you must undertake a Public Interest
Test to decide whether the public interest in releasing the information outweighs the public interest
in withholding it.
The core purpose of the Official Information Act is to ensure that official information is made
OFFICIAL
available to members of the public, in order to serve the public interest. Section 9.1 makes specific
reference to withholding information “only where the withholding is not outweighed by other
THE
considerations which render it desirable, in the public interest, to make the information available.”
There are several types of public interest that emerge from releasing information, including (but not
limited to):
1. Promoting the transparency and accountability of Ministers and the Public service
UNDER
2. Informing and enabling public participation in the activity of government
3. Supporting the administration of justice and procedural fairness
4. Promoting public health, safety and the protection of the environment
The Public Interest Test
RELEASED
1. Identify the sections of the Act you want to withhold the information and what the
associated public interest in withholding is. (Remember - the Court of Appeal defines
“would be likely” as
“a serious or real and substantial risk to a protected interest, a risk that
might well eventuate”. The negative impact of release must be
likely, not simply
possible.
2. Identify any public interest considerations in favour of releasing the information.
Page 21 of 25
3. Compare your reasons for 1 and 2 and decide whether the public interest is higher if the
information is withheld or released.
4. If you are not certain where the balance of public interest lies, consider consulting with the
OIA team, your branch key OIA contact, or a member of the Legal team.
The Ombudsman has produced
comprehensive guidance on the public interest test.
1982
Withholding of the information is necessary to:
9(2)(a)
protect the privacy of natural persons, including that of deceased natural persons
ACT
9(2)(b)
protect information where the making available of the information -
(i) would reveal a trade secret OR
(ii) would be likely unreasonably to prejudice the commercial position of the person
who supplied or who is the subject of the information
9(2)(ba) protect information which is subject to an obligation of confidence or which any person
has been or could be compelled to provide under the authority of any enactment,
where the making available of the information - INFORMATION
(i)
would be likely to prejudice the supply of similar information, or information
from the same source, and it is in the public interest that such information
should continue to be supplied
(ii)
would be likely to damage the public interest
9(2)(c)
avoid prejudice to measures protecting the health and safety of members of the public
OFFICIAL
9(2)(d)
avoid prejudice to the substantial economic interests of New Zealand.
9(2)(e)
avoid prejudice to measures th
THE at prevent or mitigate material loss to members of
the public
9(2)(f)
maintain the constitutional conventions for the time being which protect -
(i)
the confidentiality of communications by or with the Sovereign or her
UNDER
representative
(ii)
collective and individual ministerial responsibility
(iii)
the political neutrality of officials
(iv)
the confidentiality of in-confidence advice given by Ministers of the Crown and
officials
9(2)(g)
maintain the effective conduct of public affairs through -
RELEASED
(i)
the free and frank expression of opinions by or between or to ministers of the
Crown or members of an organisation or officers and employees of any
department or organisation in the course of their duty
(ii)
the protection of such Ministers, members of organisation, officers, and
employees from improper pressure or harassment
9(2)(h)
maintain legal professional privilege
Page 22 of 25
9(2)(i)
enable a Minister of the Crown or any department or organisation holding the
information to carry out, without prejudice or disadvantage, commercial activities
9(2)(j)
enable a Minister of the Crown or any department or organisation holding the
information to carry out, without prejudice or disadvantage, negotiations (including
commercial or industrial negotiations)
9(2)(k)
prevent the disclosure or use of official information for improper gain or advantage
1982
Section 6: Conclusive grounds for withholding information
‘Conclusive’ means that the negative public interest impacts of releasing the information are so
ACT
substantial as to outweigh any other public interest considerations in favour of releasing the
information. This means that you do not need to undertake a public interest test. The threshold
for applying section 6 and 7 withholding grounds is high and you must be able to demonstrate
clearly how the release of the information would
be likely to lead to the negative impact.
Release would be likely to:
6A prejudice the security or defence or the international relations of New Zealand
6B prejudice the entrusting of information to the Government of New Zealand on a basis of
INFORMATION
confidence by
(i)
the Government of any other country of any agency of such a Governement; or
(ii)
any international organisation
6C prejudice the maintenance of the law, including the prevention, detection or investigation of
offences; and the right to a fair trial.
6D endanger the safety of any person OFFICIAL
6E seriously damage the economy of New Zealand by disclosing prematurely decisions to change
or continue government economic or financial policies relating to
THE
(i)
exchange rates or overseas exchange transactions
(ii)
the regulation of banking or credit
(iii)
taxation
(iv)
the stability, control or adjustment of prices of goods and services, rents and other
UNDER
costs and rates of wages, salaries and other incomes.
(v)
the borrowing of money by the Government of New Zealand
(vi)
the entering into of overseas trade agreements
If any of your information relates to the Cook Islands, Niue, Tokelau or the Ross dependency, see
section 7 of the Act for special withholding grounds
RELEASED
Page 23 of 25
Appendix B: Checklist for processing an OIA request
Logging, Considering and Filing request [by day 3]
Request has been logged in Central OIA Register
Request has been allocated to the person who will be processing the response
Requester was assessed and deemed eligible to make a request
Request was assessed for due particularity and clarification sought if needed
Request was assessed for transfer and transfer was completed if required
1982
Requester has been sent an email acknowledging receipt of the request
Created request folder/document set in DMS or Cohesion
Request has been entered into the Ministerial Status Report
ACT
Scoping [in week 1]
Checked whether information is publicly available / soon to be publicly available
Checked whether information is publicly accessible via existing business processes
Checked past releases on the same topic (OIAs, WPQs, Select committee)
Identified the information holders, information owners and stakeholders
Consulted with information holders on timeframe for collation
identified any issues that could delay collation, assessment or consultation
INFORMATION
Identified indicative grounds for withholding or refusing and any matters of interpretation that
may require legal advice
Identified the format that the information (if released) is to be provided in
Planned request timeline
If substantial collation or research is necessary, contacted requester to discuss
If refusing the request, considered seeking advice from legal services
OFFICIAL
Collation [by week 1-2]
THE
Sent all-of-Department information check request (if applicable)
Requested copies/list of information from all internal information holders
Requested copies/list of information from all external information holders (if applicable)
Received and/or made copies of information in scope
Compiled list of locations sear
UNDER ched
Compiled list of all information in scope
Contacted requester to discuss amendment, extension, charging or refusal
Assessment [by week 1-2]
Prepared files or hardcopy documentation for assessment
RELEASED
Reviewed the withholding/refusal grounds in the Act if needed
Reviewed each piece of information in scope carefully and assessed it for release
Sought a peer review of assessment if needed
If withholding information under section 9 of the Act – completed Public Interest Test
If withholding information or refusing any part of request – considered undertaking a legal
check
Prepared release copy of requested information (if applicable)
Page 24 of 25
link to page 18
Prepare Response [by week 2-3]
Identified stakeholders who need to be advised about the request
and/or have the opportunity
to consult on the response,
and/or receive a copy of the final response prior to release
Made a decision in respect of each part of the request
Drafted a letter based on the templates available and verified that:
- all required information (see section on drafting) is included
- style and formatting is in line with DIA style guide
- information is accurate and response is consistent with recent releases on the same topic
Completed Legal consultation if needed, and made any necessary amendments
Completed Comms consultation if needed, and made any necessary amendments
1982
Completed all appropriate consultation with stakeholders
ACT
Signoff [by week 2-3]
Completed Departmental/Ministerial cover sheet
Put togeth
er OIA pack for signoff
Signed off by peer reviewer, your manager, any GM/Directors who own the information
Signed off by DCE (if applicable)
The response letter has been signed by the main information owner or DCE
Completed no-surprises notification to Ministers’ offices and secondary stakeholders
INFORMATION
Checklist for release response and close off request [by week 3-4]
The Ministerial no-surprises review period has finished OR the Minister’s office has given the
OK to release
Sent response email to [email address] and received copy of email sent to requester
OR copied [email address] into the response email I sent to requester
OFFICIAL
Searched correspondence, electronic files and hardcopies associated with the request
Filed all material related to the request in the request document set in DMS/Cohesion
THE
UNDER
RELEASED
Page 25 of 25
Key Ministerial OIA contacts:
IA
MS
Section 9(2)(a)
Section 9(2)(a)
S
cc
cc
e
c
Section 9(2)(a)
Section 9(2)(a)
Section 9(2)(a)
t
CVS
LG
i
Section 9(2)(a)
Minister LG
o
Section 9(2)(a)
n
1982
9
(
Associate Minister LG
2
ACT
Section 9(2)(a)
)
EC
RA
(
Section 9(2)(a)
a
Section 9(2)(a)
)
General M.O. OIA timeframe (working days)
INFORMATION
Due to
Due to
To
Type of request
Request
Sent to
advisor/
Return to
Release
received
Dept by private sec
Minister
by
press sec
Branch by
by
by
by
MINISTERIAL
Day 1
Day 2
Day 13
Day 16
Day 18 n/a
Day 20
DEPARTMENTAL
Day 1
n/a
Day 15
Day 17
Day 18 Day 19 Day 20
OFFICIAL
The dates given above are the
latest date by which each stage should have been reached. It is anticipated
that DIA OIA practitioners and the M.O. wil proceed through the stages as time-efficiently as possible.
THE
The time required to send documents through internal mail is not included in these timeframes.
Late/urgent M.O. OIA timeframe
UNDER
If you have exceeded the timeframes above, contact the relevant M.O. by phone to discuss your options.
E.g. The M.O. may advise that they are prepared to process the request with urgency. Alternately, where
the request includes a lot of material and has not been extended, you may be advised to extend for the
purpose of consultation.
RELEASED
Page 1 of 3
Process for Ministerial OIA requests
1. Receive Ministerial OIA from M.O. Private Secretary, with due date to Minister’s Office.
2. At least seven working days before the intended release date, send to the M.O. Private Sec:
•
Completed Ministerial OIA cover sheet
including clear reference to any risks, their mitigations and any consultation undertaken; signed by
the relevant manager and scanned to PDF
1982
•
Completed Ministerial Sign-off sheet
signed by the peer reviewer, their manager, the GM and DCE; and scanned to PDF ACT
•
Draft response letter
in editable word format
•
Documentation Set
-
Full set of release documents ready to be released; on OIA paper with redactions/removals made
and annotated in accordance with the OIA
-
Full set of all relevant original documents, marked up with information proposed to be withheld and
annotated in accordance with the OIA
INFORMATION
If the documentation is less than 100 pages: you can send all of the above to the M.O. as email attachments (except
for the M.O. CVS which requires al documentation in hardcopy).
Remember to clearly label the attachments!
If the documentation is more than 100 pages: send al of the above in hardcopy format to the M.O. via internal mail
-
Ministers' Preferences
OFFICIAL
-
Timetable for deliveries to Ministers' offices
-
Remember to print the hardcopy of the letter on the correct Minister’s letterhead paper
-
THE
Include 2x copies of the OIA coversheet.
-
After sending, email the M.O. to let them know when they can expect the OIA pack to arrive, and attach a soft
copy of the letter and ministerial coversheet in case they need to revise the content.
UNDER
3. The private sec reviews the OIA pack and provides it with any comments to the Advisor/Press sec
4. The Advisor/press sec will do a final review and will then provide the OIA pack to the Minister to sign
out
5. Once approved by the Minister, the signed response and documents are returned to the private sec
to date stamp, copy and release to requestor through the M.O. email/post channel.
RELEASED
6. The Private sec will email the Departmental OIA lead (ccing in
[email address]) to advise that the OIA
has been released.
Page 2 of 3
Process for Departmental OIA requests
.
1. Departments must consult with/FYI the M.O. on
all OIA responses.
2. At least five working days before the intended release date, send to the M.O. Private Sec:
•
Completed Departmental OIA cover sheet
including clear reference to any risks, their mitigations and any consultation undertaken; signed by
1982
the relevant manager and scanned to PDF
•
Completed Sign-off sheet
signed by the peer reviewer, their manager, the GM and DCE; and scanned to PDF ACT
•
Copy of original OIA request received
include details of any re-scoping or amendments to the request.
•
Draft response letter
final version, in editable word format
•
Documentation Set
-
Full set of release documents ready to be released; on OIA paper with redactions/removals made
and annotated in accordance with the OIA
INFORMATION
-
Full set of all relevant original documents, marked up with information proposed to be withheld and
annotated in accordance with the OIA
If the documentation is less than 100 pages: you can send all of the above to the M.O. as email attachments (except
for M.O. CVS which requires al documentation in hardcopy).
Remember to clearly label the attachments!
OFFICIAL
If the documentation is more than 100 pages: send all of the above in hardcopy format to the M.O. via internal mail
-
Ministers' Preferences
THE
-
Timetable for deliveries to Ministers' offices
-
Remember to print the hardcopy of the letter on the correct Minister’s letterhead paper
-
Include 2x copies of the OIA coversheet.
-
After sending, email the M.O. to let them know when they can expect the OIA pack to arrive, and attach a soft
copy of the letter in case they need to revise the content.
UNDER
3. On receiving material from the department the private sec reviews the proposed release documents
and gives the OIA pack to the advisor/press sec, noting any concerns or comments.
4. The Advisor/Press sec does a final review and gives the briefing to the Minister to sight with any
RELEASED
comments.
5. The private sec will email the department OIA lead (cc
[email address]) to let them know they can
release the response.
Page 3 of 3
OIA Style Guide Summary
This is a condensed guide that gives the DIA styles and formatting that apply when drafting
OIA response letters. Refer to the corporate DIA
Style Guide for more guidance.
Formatting
Letter templates:
•
Use the Templates available on the OIA Templates and resources page on 1840
1982
OIA letter templates – 1840 – Resources tab – Official Information Requests –
Templates and resources
• Use the letter template directly from Word
ACT
Blank letter template – Templates tab – Core templates – Correspondence (then
choose a template)
Paragraphs and spacing:
•
Use single spaces between sentences. Don’t use double spaces
•
Adjust paragraph spacing or add lines to ensure that very short letters do not look
squashed up at the top of the page
•
INFORMATION
Avoid a single line or word from appearing at the top of the next page. The
yours
sincerely and signature block should never be the only thing on a page
Headings:
•
Break up large blocks of text with headings for easier readability
OFFICIAL
Numbered lists:
•
THE
Use numbered bullets for longer list so readers can more easily refer to specific items
Tables:
•
Introduce the reader to tables in the body of the letter
UNDER
•
Text should be left aligned, headings centred and figures right aligned
•
If you are working with large figures, remove the last 3 zeroes and abbreviate them
as (000) in the column heading
•
Specify whether the figures are GST inclusive or GST exclusive
•
Specify whether years are calendar or financial years
•
Be consistent in your symbol use (eg, $, &, #, %)
RELEASED
Images/graphs
•
Introduce the reader to images in the body of the letter
•
Images should be centred on the page and captions should be below them
Page 1 of 3
Attached documentation
•
Introduce attachments in the body of the letter as “I attach” or “I enclose”
Language
Style:
•
Write in plain English. It’s important to be understood by everyone
•
1982
Be concise
•
Use short sentences with one idea per sentence
•
Write in the active voice (I have decided, we have assessed) rather than the passive
ACT
(it has been decided, an assessment was completed)
•
Avoid slang, clichés, metaphors and Public Sector jargon, eg, AoG, appropriations,
benefit realisation, business case
•
If you need to use technical terms, then briefly explain them
•
The first time you use an abbreviation, write it in full and include the abbreviation in
brackets, eg, The Department of Internal Affairs (Department). After that you can use
the abbreviation in the rest of the document
•
Use italics for publication titles, Latin terms (if not in common use) and legal c
INFORMATION ases
Dates:
•
Dates should be in full day-month-year format (10 November 2016 not 10/11/16)
•
Specify if calendar year or financial year
OFFICIAL
Numbers:
THE
•
Write numbers zero to nine as words, and numbers 10 and up as numerals,
unless
they are the first word in a sentence
•
Sections of Acts are always written with numerals
•
Use commas in numbers larger than 1,000
UNDER
•
Abbreviate common metric units unless the measurements are inexact, eg, 1000km
vs
several hundred kilometres. Write less common metrics in full then abbreviate, eg,
kilojoules (kj)
•
Phone numbers are written with spaces only, eg, 04 664 9933 or 027 457 5676.
To include country code use +64 4 664 9933 or +64 274 575676
RELEASED
Referring to the Government, Public Service departments and Ministers in letters
•
Capitalise
Government if you’re talking about the current government (eg, the
Government has decided…)
Use lower case if you mean
government in a general sense (eg, the government
sector, problems of government)
Page 2 of 3
•
Don’t capitalise
local government unless the words form part of the name of a
document or piece of legislation
•
Capitalise
Public Service but not but
public sector •
Use our name as the Department of Internal Affairs, then use the abbreviation “the
Department”
•
The acronym
DIA and the term
Internal Affairs department, are only used in internal
or interagency communications
•
Capitalise
Department or
Ministry when talking about particular Public Service
agencies, but use lower case if talking about departments in the general sense, eg, All
Public Service departments are subject to
1982
•
Minister is always capitalised but ministerial is not
•
If you have to list ministers, order them by cabinet ranking rather than alphabetically.
ACT
Cabinet ranks can be fo
und here
Official titles
Title
Refer to as
Begin letters with
Ministers
Hon Peter Dunne, MP
Dear Minister Dunne
Prime Minister
Rt Hon John Key
Dear Prime Minister
INFORMATION
Governor-General
His/Her Excellency the
Governor-General
Your Excellency
Knights
Sir Edmund Hillary
Dear Sir Edmund
Dames
Dame Augusta Wallace
Dear Dame Augusta
Ambassador
Your Excellency or Ambassador Your Excellency or Dear
Ambassador
OFFICIAL
Dear Mayor or Dear Len Brown
(“Your Worship” is considered
Mayors
The Mayor of Auckland
archaic and individual Mayors
THE
usual y make it known how
they wish to be styled)
High Court Judges
The Hon Justice Allen
Dear Judge or Dear Sir
The Hon Justice Cartwright
Dear Judge or Dear Madam
UNDER
Chief Justice
The Chief Justice, Dame Sian
Elias
Dear Chief Justice
Councillors
Councillor John Pertwee
Dear Mr Pertwee
RELEASED
Page 3 of 3
Checklist for processing an OIA request
Logging, Considering and Filing request [by day 3]
Request has been logged in Central OIA Register
Request has been al ocated to the person who wil be processing the response
Requester was assessed and deemed eligible to make a request
1982
Request was assessed for due particularity and clarification sought if needed
Request was assessed for transfer and transfer was completed if required
ACT
Requester has been sent an email acknowledging receipt of the request
Created request folder/document set in DMS or Cohesion
Request has been entered into the Ministerial Status Report
Scoping [in week 1]
Checked whether information is publicly available / soon to be publicly available
Checked whether information is publicly accessible via existing business processes
Checked past releases on the same topic (OIAs, WPQs, Select committee)
INFORMATION
Identified the information holders, information owners and stakeholders
Consulted with information holders on timeframe for collation
identified any issues that could delay col ation, assessment or consultation
Identified indicative grounds for withholding or refusing and any matters of
interpretation that may require legal advice
Identified the format that the information (if released) is to be provided in
OFFICIAL
Planned request timeline
If substantial collation or research is necessary, contacted requester to discuss
If refusing the request, considered seeking advice from legal services
THE
Collation [by week 1-2]
Sent all-of-Department information check request (if applicable)
Requested copies/list of information from all internal information holders
UNDER
Requested copies/list of information from all external information holders (if applicable)
Received and/or made copies of information in scope
Compiled list of locations searched
Compiled list of all information in scope
Contacted requester to discuss amendment, extension, charging or refusal (if
applicable)
RELEASED
Assessment [by week 1-2]
Prepared files or hardcopy documentation for assessment
Reviewed the withholding/refusal grounds in the Act if needed
Reviewed each piece of information in scope carefully and assessed it for release
Sought a peer review of assessment if needed
Page 1 of 2
If withholding information under section 9 of the Act – completed Public Interest Test
If withholding information or refusing any part of request – considered undertaking a
legal check
Prepared release copy of requested information (if applicable)
Prepare Response [by week 2-3]
Identified stakeholders who need to be advised / have the opportunity to consult on the
response / receive a copy of the final response prior to release
1982
Made a decision in respect of each part of the request
Drafted a letter based on the templates available and verified that:
- al required information (see section on drafting) is included
ACT
- style and formatting is in line with DIA style guide
- information is accurate and response is consistent with recent releases on same topic
Completed Legal consultation if needed, and made any necessary amendments
Completed Comms consultation if needed, and made any necessary amendments
Completed al appropriate consultation with stakeholders
Signoff [by week 2-3]
Completed Departmental/Ministerial cover sheet INFORMATION
Put together OIA pack for signoff
Signed off by peer reviewer, your manager, any GM/Directors who own the information
Signed off by DCE (if applicable)
The response letter has been signed by the main information owner or DCE
Completed no-surprises notification to Ministers’ offices and secondary stakeholders
OFFICIAL
Checklist for release response and close off request [by week 3-4]
The Ministerial no-surprises review period has finished OR the Minister’s office has
THE
confirmed the Minister has reviewed
Sent response email to [email address] and received copy of email sent to requester
OR
copied [email address] into the response email I sent to requester
Searched correspondence
UNDER , electronic files and hardcopies associated with the request
Filed al material related to the request in the request document set in DMS/Cohesion
RELEASED
Page 2 of 2
link to page 35 link to page 36 link to page 44
Te kete tuarua
Guidelines for official documents
Contents
1982
ACT
1. Public Service ............................................................................................... 2
2. What is Official Information? ......................................................................... 3
3. Official Information Act requests (to Department or Minister) ...................... 11
4. Privacy Act requests ................................................................................... 40
5. Ministerial briefings ..................................................................................... 43
INFORMATION
6. Cabinet papers ............................................................................................ 47
7. Ministerial speech notes .............................................................................. 48
8. Ministerial correspondence ......................................................................... 49
OFFICIAL
9. Parliamentary questions (oral or written) ..................................................... 52
10. Responses to Select Committee examinations and inquiries ...................... 55
THE
11. Meetings with Minister ................................................................................. 57
12. Ministerial Status Reports ........................................................................... 58
UNDER
13. Chief Executive correspondence and meetings .......................................... 61
RELEASED
1. Public Service
As public servants we should conform to certain standards of work and behaviour. Under
the State Sector Act the State Services Commissioner has issued a code of conduct
covering the minimum standards of integrity and conduct that are to apply in the Public 1982
Service, titled the New Zealand Public Service Code of Conduct. In addition the
Department has its own additional
code of conduct. You should be familiar with both. You
can access the complete New Zealand Public Sector Code of Conduct at:
ACT
http://www.ssc.govt.nz/display/document.asp?docid=3423
HR Information / The Way We Work / Codes of Conduct.
The New Zealand Public Service Code of Conduct has three Principles, the essential
points of which are set out below. For more information about each, including what might
be expected of you in certain situations, you should consult the full text of the Code via the
link above.
INFORMATION
•
First Principle: Public servants should fulfil their lawful obligations to the
Government with professionalism and integrity.
•
Second Principle: Public servants should perform their official duties honestly,
faithfully and efficiently, respecting the rights of the public and their colleagues.
OFFICIAL
•
Third Principle: Public servants should not bring the Public Service into
disrepute through their private activities.
THE
Double click to return to Contents
UNDER
RELEASED
2
2. What is Official Information?
Official Information is any information held by a department, organisation or Minister of the
Crown in their official capacity. It is defined in section 2 of the Official Information Act as:
“any information held by a Department.”
1982
The Act then qualifies the definition in many ways, but the definition above is the essence
of the full definition as it relates to the Department. You can view the full definition at:
ACT
http://www.legislation.govt.nz/
and a short explanation is provided in paragraph 8.20 of the Cabinet Manual. on this
websi
te ; www.cabinetoffice.govt.nz The government holds a large quantity of information
of all kinds. All government information should be treated with care and protected from
unauthorised release.
The Official Information Act is not framed in terms of documents but of information.
INFORMATION
Official information can include:
• personal information
• emails
• annotations on documents
• file notes
OFFICIAL
• meeting notes
• notes of telephone conversations.
•
THE
audio or video tapes
• information in officials’ or Ministers’ memories, and
• information generated within an organisation or obtained from outside sources.
Information is “held” if it is in the possession of a Minister, Department or organisation in
UNDER
paper or electronic form. It is also “held” if the Minister or an officer of the department or
organisation has the information in his or her head.
Where a request under the Official Information Act is made of a Minister, the Minister is
obliged to comply with the Act. Staff assisting a Minister can prepare a draft response for
the Minister and need not ask the Minister whether he or she has any additional
RELEASED
information in his/her head.
3
If staff believe that the Minister may hold additional information in his/her head, they
should clarify the matter with the Minister. In general, it is reasonable for staff to prepare
the answer on the basis of information held on files. If, when the Minister comes to sign out
the reply, he or she remembers something else within the scope of the request but not in
the files, he can add that information to the letter. Note, however, that while information in
someone’s head is within the scope of the Act, in practice it is very rarely considered.
1982
Develop good email habits:
ACT
• use formal language as a matter of course
• make annotations and notes with the awareness that you are creating official
information
• refer to people by their formal titles in emails
• use meaningful subject headings on emails
• limit the email to one topic (“round up” emails dealing with multiple subjects
INFORMATION
cause recordkeepers a lot of problems)
• when saving (for the permanent record) emails received from outside the
department you must not alter the subject line as this is considered to be
tampering with an original document. If the subject line is vague add the
additional information to the title field of the metadata record. Save the email as
a completed DMS document, not as a draft.
OFFICIAL
“ ‘The Dominion’ test”
THE
All official information should be created with the awareness that it wil one day be in the
public domain. Would you be happy for what you have written by hand on a document or
typed in an email to be published on the front page of tomorrow’s Dominion Post?
UNDER
Where government documents are sensitive, they may be given a security classification.
Classified documents must be handled in accordance with their classification, subject to
their release under the Official Information Act or under some other proper authority (see
paragraph 8.34 of the Cabinet Manual
at http://www.cabinetoffice.govt.nz
Record-keeping
RELEASED
Good record-keeping is important for:
4
• institutional knowledge – records (including files) provide a record of
government business and policy-making
• legal obligations – the Archives Act, the Privacy Act and the Official Information
Act among many other acts and regulations require departments to keep
complete, comprehensive, accurate and useable records. Poor record-keeping
could hamper the Department’s ability to respond to an Official Information Act
request or to produce information required for a court case
1982
• accountability to the public for the conduct of Departmental business
• efficiency – information is available to the right people when it is needed. ACT
Filing
The DMS libraries are the department’s main official recordkeeping system. Documents to
be retained on record that can be saved to the DMS, should be saved in this form.
Where it is necessary to retain documents in paper form (such as signed copies returned
from Ministers’ offices), you should file these in the appropriate folder (see ‘Where to file’).
INFORMATION
What to file
Emails:
• that document a business activity
OFFICIAL
• requesting or authorising expenditure
• requesting or authorising decisions
THE
• notifying of changes of policy
• establishing guidelines or precedents
UNDER
• evidence of consultation (internal or external) on policy document formal
submissions
• a threaded conversation combining replies related to a specific piece of work.
Other documents
The Department is
not obliged to retain both hard and electronic copies of documents. In
RELEASED
general, DIA policy is to retain the “official” record in its original format.
Significant
drafts of documents should be saved to the DMS. Significant drafts are:
5
• drafts circulated for consultation internally or externally
• drafts incorporating internal or external comments
• final versions
• any other drafts you feel are significant and should be retained.
You should file a copy (without deletions) of any documents released under the Official
1982
Information Act if those documents have had parts obscured or deleted for any reason
prior to release.
ACT
What not to file
Emails:
• that are non-work or personal messages
• arranging meetings
• making bookings
INFORMATION
• notifying about seminars or workshops
• reminding to take action
• that are invitations
• providing contact details OFFICIAL
• copying material sent from elsewhere and not intended to result in action
• within DIA
THE
• duplicating other material
• involving publications and promotions from outside (unless justifying DIA
purchase or action)
UNDER
• that are list serve (topic-related email group) messages (unless posted on
behalf of DIA)
• that are SPAM (unsolicited or junk mail).
Do not file other documents that are:
• duplicates (unless the original is lost)
RELEASED
• printouts of web pages that are not authored by DIA (unless their inclusion is
critical for other papers to be understood)
6
• published items not published by DIA (unless their inclusion is critical for other
papers to be understood). There can be a case for filing in the filing system the
final version of a report or publication published by DIA.
• Post-it notes (yellow stickies). These are for temporary use only. They
eventually lose their stickiness and should not be put on file. They may also
damage the other papers in the file. If they contain information of value to the
record they should be photocopied and the photocopy filed.
1982
• File a copy of any documents released under the Official Information Act if
those documents have had parts obscured or deleted for any reason under the
ACT
Act.
Where to file
The DMS is the Department’s main record keeping system. Many (but not all) of the DMS
file classifications have corresponding paper files. A blue icon beside the DMS file number
indicates that a paper file exists as well.
INFORMATION
There is a corporate-wide DMS “library” (database) in which official business information
relating to the functions of the wider Department are stored, for example Corporate
Planning and HR policies. In addition, each business group has at least one DMS library
where information dedicated to the work of that Business Group is categorized. All
Business Groups have some activities in common, for example people management,
OFFICIAL
financial planning, relationship management and business group specific projects.
Where you file something depends on the activity you are doing. Remember that the best
THE
way to view DMS libraries is through “Folders” view which shows the basic structure of the
library you are in.
When you want to file something, consider:
UNDER
• what activity does the information I am creating relate to?
• is it corporate level activity or specific to my business group?
• this will tell you which library you need to be in.
• is this activity to do with running the business group?
RELEASED • if so, look in categories with numbers less than 1000 and click the
twisty to find the sub-category
• Is this activity contributing to a business group project?
7
• if so, look for the project category and click the twisty to find the
sub-category
• Is the activity about a corporate function or project?
• if so, look for the appropriate category in the Corporate library.
If you have any difficulty deciding where to file something, ask the support staff in your 1982
business group, or your manager.
ACT
If you can’t find the category you need, contact the records management team by sending
an email with your needs to “Document & Records Management/DIA.”
Publications
If you are planning a publication, please contact The Information Centre which will arrange
for the Department’s legal requirements to be met. These include obtaining an ISBN or
ISSN number and depositing copies at the National Library.
INFORMATION
Document security and destruction
“One person’s trash is another person’s treasure.”
The Department has a responsibility to protect official information from unauthorised
release. Treat all information as official information and
OFFICIAL make a habit of disposing of all
work-related paper that is not part of the official record in the secure disposal bin on your
floor (often blue). Do not destroy information that is part of the official record, as this would
THE
be in breach of sections 17 and 18 of the Public Records Act 2005. Note that neither the
Official Information Act nor the Privacy Act override or supersede the Public Records Act.
One way to develop this habit is to set aside a place on or near your desk where you
UNDER
accumulate documents for confidential destruction and put them in the blue bin on your
way out at the end of the day. When a bin is full, please advise the admin support staff
who will arrange for the contents to be shredded on site by the document destruction
contractor.
If you want an added level of security, for example when disposing of obviously
RELEASED
confidential documents, you can put them directly into the shredder on your floor.
8
The waste paper basket under your desk is not a secure form of disposal and ideally
should not be used for disposing of work-related paper.
Tidy workspace
Having a tidy workspace helps us in protect official information. It means:
• making sure you have all the shelving, filing trays, folders and secure storage 1982
you need
ACT
• having an organised desk
• organising the papers on your desk so that someone else can continue your
work if necessary in your absence
• clearing as much paper from your desk top as possible before leaving for the
day
INFORMATION
• before leaving for the day, ensuring that sensitive documents (including
Cabinet papers) are not visible on your desk.
Inappropriate conduct www.ssc.govt.nz ‘The Public Service and Official Information’
Use of Information for Gain
OFFICIAL
Public servants must not improperly disclose or otherwise make use of official information
for the gain or advantage of themselves or others. This elementary rule of conduct is
THE
supported by criminal sanctions. Under s105A of the Crimes Act every official is liable for
imprisonment for a term of up to seven years who corruptly uses any information acquired
in his or her official capacity to obtain directly or indirectly an advantage or a pecuniary
UNDER
gain for themselves or any other person.
This does not, of course, forbid every use of official information. If the information is
already public (published reports, public registers), there is no corruption or impropriety in
taking advantage of it. The disclosure of information in accordance with the Official
Information Act is not merely
lawful but obligatory. However, the integrity of public servants
RELEASED
must be
apparent as well as actual. So they may not use for gain or advantage information
that would be made available if it were requested but in fact has not been released.
"Leaking"
9
link to page 34
The Official Information Act 1982 is not a licence to "leak" information, or disclose
information in an unauthorised way. "Leaking" cannot be condoned in any circumstances.
Those who may be tempted to indulge in leaking official information to the media,
opposition parties, or to others should be reminded of the
Public Service Code of Conduct
which provides (p.17) that:
1982
"It is unacceptable for public servants to make unauthorised use or disclosure of
information to which they have had official access. Whatever their motives, such
employees betray the trust put in them, and undermine the relationship that should
ACT
exist between Ministers and the Public Service. Depending on the circumstances of
the case, the unauthorised disclosure of information may lead to disciplinary action,
including dismissal."
The obligation not to use or disclose information to which they have had access in an
authorised way, persists beyond the term of employment for a public servant. The
obligation applies to former employees, i.e. those who have resigned or retired from the
Public Service.
INFORMATION
Double click to return to contents
OFFICIAL
THE
UNDER
RELEASED
10
link to page 44 link to page 44
3. Official Information Act requests (to Department or Minister)
Useful links
1. “The Public Service and Official Information.”
The State Services Commission has produced some comprehensive guidance relating to
Official Information and requests under the Official Information Act, excerpts of which have
been reproduced in these guidelines. The paper as a whole forms part of their guidance 1982
series “Principles, Conventions and Practice
2. Section 8 of the Cabinet Manual: “Official Information: protection, availability and
ACT
disclosure.”
3. Ombudsmen’s practice guidelines
These guidelines have been developed to assist both holders of official information and
requesters of such information. They are designed to provide an insight into the
administration of the legislation as well as providing some guidance as to the current
approach of the Ombudsmen to particular parts of the legislation.
The guidelines are very comprehensive, and are grouped under the following five
INFORMATION
headings:
Part A: How the Official Information Legislation Works
Part B: Reasons for Refusing Requests
Part C: Other Important Provisions of the Legislation
Part D: An Ombudsman’s Investigation
Part E: Common Misconceptions
OFFICIAL
As a rule, use the internet links above or speak to the Department’s Legal Services team
as your first ports of call for guidance on appl
THE
ying the Act. The Office of the Ombudsmen
can provide general guidance on application of the Act, but is unable to provide specific
advice on how to approach a particular issue because it may later be asked to investigate
and review the matter.
UNDER
Introduction
The Official Information Act 1982 (OIA) may be viewed as a radical and significant element
of New Zealand's constitution because it has radically changed the way public servants
have had to think about the status of official information, the rights of individuals, and
public servants' place in the constitutional scheme of things.
1
Requests under the OIA must be dealt with carefully, conscientiously, and in accordance
with the law.
2
RELEASED
1
www.ssc.govt.nz “The Public Service and Official Information.”
2 Cabinet manual 8.23
11
link to page 45 link to page 45
Principle of Availability3
The principle of availability underpins the whole Official Information Act (OIA). It is set out
i
n section 5 of the Act:
"Principle of availability – The question whether any official information is to
be made available, where that question arises under this Act, shall be
determined, except where this Act otherwise expressly requires, in
accordance with the purposes of this Act and the principle that the
1982
information shall be made available unless there is good reason for
withholding it." (emphasis added)
ACT
This principle should always be kept in mind when an agency is considering how best to
respond to a request for official information.
Purposes of the Act4
The guiding principle is reflected in the purposes of the OIA
. Section 4 of the OIA sets out
the purposes that Parliament intended to be achieved in enacting the legislation.
Section 4
states:
"Purposes - The purposes of this Act are, consistently with the principle of
INFORMATION
the Executive Government’s responsibility to Parliament, -
(a) To increase progressively the availability of official information to the
people of New Zealand in order-
(i) To enable their more effective participation in the making
and administration of laws and policies; and
OFFICIAL
(ii) To promote the accountability of Ministers of the Crown
and officials,- THE
and thereby to enhance respect for the law and to promote
the good government of New Zealand:
(b) To provide for proper access by each person to official information
relating to that person:
UNDER
(c) To protect official information to the extent consistent with the public
interest and the preservation of personal privacy."
When people request personal information the Department holds about themselves (that
is, about the person making the request), it should be dealt with as a request under the
Privacy Act.
Requests for any other personal information (from individuals about another person, or
from corporate enti
RELEASED ties) are OIA requests.
3 http://legislation.knowledge-basket.co.nz/gpacts/actlists.html
4 http://legislation.knowledge-basket.co.nz/gpacts/actlists.html
12
Requirement to offer assistance
Section 13 of the Act requires Departments, Ministers and organisations to give
“reasonable assistance” to those who:
• wish to make a request under the OIA
• in making a request, have not done so in accordance wi
th section 12, which
1982
specifies:
• who can make requests
ACT
• that requests must be specified with “due particularity” (should be clear and
you should have an accurate idea of what is being requested)
• that if the requester states that the request is urgent, they should give a
reason
• have not made the request to the appropriate Department, Minister or organisation.
Double click to return to Contents
INFORMATION
OFFICIAL
THE
UNDER
RELEASED
13
link to page 63 link to page 53 link to page 63 link to page 63 link to page 53 link to page 64 link to page 64 link to page 53
Process for responding to OIA requests
On receiving the request, consider carefully:
•
Who is the request addressed to?
•
Exactly what has been requested?
• What information is covered by the request?
•
What timeframe does the request cover?
• Do you nee
d to clarify the request?
•
1982
Consider the public interest in the information.
Develop strategy for response
ACT
This stage should be completed within two days of receiving the request
Only the strategy itself needs to be agreed at this stage
A. In consultation with your manager, consider whether to:
•
transfer all or part of the request or
•
refuse all or part of the request or
•
extend the timeframe for reply
•
provide all or part of the information requested and in what form
• get additional resources to assist you
• charge for the supply of the information (see the Ministry of Justice
websi
te www.justice.govt.nz for further information on charging).
INFORMATION
B. You may need to seek additional advic
e internally and/or
externally in
responding to the request (in consultation with your manager):
• Legal Services and/or
• Finance and Performance
• Effectiveness for Maori
• Communications section and/or
• other Business Groups [including recordkeeping if material is in old
OFFICIAL
paper files which may be held offsite or at Archives NZ] and/or
• your General Manager and/or
• the Chief Executive and/or
THE
• the Minister’s office.
Carry out the strategy agreed with your manager by:
•
transferring the request: notify the requester within 10 working days (section 14)
UNDER
•
refusing the request: notify the requester within 20 working days (section 18)
•
preparing the information for release within 20 working days (with extension of
time limit if needed).
If releasing information:
•
prepare the information for release, and in what form (keep copies of
RELEASED
information released and file notes about information withheld)
• ensure that where comments/views of other departments, or details about
an individual (such as travel details for former Prime Ministers), are involved
the relev
ant consultation has taken place
• prepar
e the release letter to the requester
• prepar
e a briefing to Minister or Chief Executive to accompany the release
•
consul
t internally and/or
externally above regarding the release.
14
Receiving the request
Section 12 states that any of the persons or organisations mentioned “may request a
Department or Minister of the Crown or organisation to make available to him or it any
specified information.”
This means that:
1982
• requesters
need not mention the Official Information Act when making their request
• requests can arrive by letter, fax, email, phone call or verbally when face to face
ACT
with the requester (make detailed file notes of any conversations with the
requester)
• any Departmental staff member can receive a request in any of the forms
mentioned above.
Requests should be considered an Official Information Act request and dealt with
accordingly when they:
• mention the Official Information Act
• do not mention the Act but are otherwise significant (if in doubt, discuss with your
INFORMATION
manager)
• relate to a current political, media or otherwise sensitive issue
• are from the media (with the single exception of minor or routine media enquiries to
the Communications section)
• are from an MP or a political party.
OFFICIAL
Who is the request addressed to?
THE
Requests can be made of Departments, Ministers of the Crown or organisations (what
constitutes an organisation is set out in the definition of “organisation” at the beginning of
the OIA). There are two main categories of requests:
UNDER
• Departmental requests (addressed to the Department) and
• Ministerial requests (addressed to the Minister, but forwarded to the Department for
response).
The differences between these two are shown in the table below.
Double click to return to Contents
RELEASED
15
link to page 49
Departmental OIA request Ministerial OIA request
Addressed to:
Department
Minister
Time for preparing
Shorter due to:
response
• possible delays in transit
from Minister’s office
• the need to allow
five
working days for Minister
1982
to consider information for
release
Acknowledgement You need to send
Sent by Minister’s office
letter
ACT
Consider transfer
To Minister’s office? (or
To Department? (or another
other department or
department or organisation?)
organisation?)
Briefing to:
Chief Executive (via
Minister
General Manager /
General Manager
Final decisions
Chief Executive /
Minister
made by
General Manager
Signout of
Chief Executive /
Minister
response letter by: General Manager
INFORMATION
General Managers have the required level of delegated authority (from the Chief
Executive) to sign out OIAs.
OIAs should not be signed out by anyone other than a General Manager or Chief
OFFICIAL
Executive.
When a request for information is directed to a department, or Minister, there is an onus on
THE
the organization or person to direct the request to the agency most able to supply the
information, or to respond to the request. Where two or more agencies hold pertinent
information it is appropriate that there be cooperation between agencies. To avoid any
suggestion of being unhelpful
UNDER to the requester or of failing to respond “as soon as
reasonably practicable,” any coordination required should be carried out as soon as
possible.
5
RELEASED
5 State Services Commission. “The Public Service and Official Information: Responding to requests for
information.”
16
Exactly what has been requested?
Consider the request very carefully to determine exactly what has been requested. It may
not be what you thought at first glance. If you are not clear about the request, seek your
manager’s opinion.
Carefully consider too the dates covered by the request. All information that exists at the 1982
date of the request is relevant to the request, unless the request specifies other dates.
You may at your discretion release information that is dated after the request if you would
ACT
like to be helpful to the requester.
Do you need to clarify the request?
Unclear requests
Requests can sometimes be phrased in such a way that it is not clear exactly what is
being requested.
INFORMATION
If you are unclear as to what is being requested, it is possible, but not always advisable, to
contact the requester directly to clarify the request. If the request is telephoned to you, be
sure to make detailed file notes of the conversation and to confirm the request with the
requester at the time, for example by reading back to them what they are requesting.
OFFICIAL
If the requester represents a political party or is from the media, check the Department’s
policy (on the intranet) as to who should communicate with such peopl
e: Media Policy.
THE
Check with your manager before contacting the requester. While phone calls may expose
the Department to risks, they provide a way to clarify the request quickly. Seeking
clarification in writing may take several days and may give the impression that you are
UNDER
reluctant to respond to the request. Seeking clarification by email may be a good balance.
Requests that are too general
Requests should be specified with “due particularity,” (should specify particulars and not
be too general)
(section 12). You may need to consult your manager or others (such as
Legal Services) to determine whether the request has been specified with sufficient
RELEASED
particularity.
17
If you decide that the request has not been specified with sufficient particularity, you can
refuse the request, or, in consultation with your manager, contact the requester to clarify
the request. If you are considering refusing the request, you should remember
that section
13 of the OIA requires you “to give reasonable assistance” to requesters to assist them to
make their request in accordance with the Act.
1982
Double click to return to Contents
ACT
Requests from:
the media, MPs or parliamentary (that is, political party) research units
Consultation
Such requests addressed to the Department should be notified to the Minister’s office and
internally to the Communications section.
For significant releases, copies of the response letter and any information being released
should also be provided to the Minister (in advance of the release to the requester
INFORMATION ). See
the separate secti
on Consultation with Minister’s office.
Transfer
If the request is addressed to the Department and is from a Member of Parliament or a
OFFICIAL
(political party’s) Parliamentary Research Unit, the State Services Commission offers the
following guidelines:
THE
on receiving such a request, the Commission always consults with the Minister’s
Office and will often, as a consequence, transfer the request to the Minister.
The Cabinet Manual (paragraph 8.41) states that:
A department should consult its Minister about any request for information that is
UNDER
sensitive or potentially controversial. It must then either make the decision itself or
transfer the request to the Minister concerned. If, after consultation, the Minister
takes the view that the information should not be released but the department
believes it should, then transfer of the request to the Minister is the only way in
which the department can meet its constitutional duty to follow ministerial direction
and the obligation to comply with the Official Information Act 1982. (Note: under
section 14 of the Act, a transfer must occur within 10 working days of receipt of
the request.) The propriety of such a transfer is not subject to review by an
RELEASED
Ombudsman under the Act. Each case of this kind needs to be carefully handled
at a senior level within the department, including reference back to the Minister for
further consideration if necessary.
The principles underpinning this approach are:
18
• Ministerial responsibility – Ministers are responsible and politically accountable or
answerable to parliament for the conduct of their departments in carrying out their
functions
• Accountability – Chief Executives must, in return for their powers and autonomy,
account to their Minister and through their responsible Minister to parliament, for
the custodianship and management of public resources and the exercise of their
powers.
1982
The Department’s policy regarding transfer of requests from the media, MPs or a political
party research unit is to
always consult the Minister’s office about such requests and
to consider transfer the request to the Minister’s office:
ACT
• where the material for release is likely to be sensitive
• where the material could be subject to media interest or political debate
• where the topic of the request is in the public domain.
Develop a strategy for the response
This step involves reaching an understanding of how you are going to respond to this
INFORMATION
request. As a guideline, you should develop a strategy within
two days of receiving the
request.
Developing the strategy for responding to the request should be done promptly because:
OFFICIAL
• if you decide to transfer the request, you have only 10 working days to do so from
when the request was received by the Department. If the request was received in
the Minister’s office, check the date on which the request was received
there. You
THE
have 10 working days from
that date in which to arrange for the Minister to transfer
the request. This is important as the request may have taken some days in transit.
• you may need to undertake extensive time-consuming consultation before you can
formulate your strategy
• if you need to prepare information for release, this can be very time-consuming and
UNDER
should be started as soon as possible after receiving the request
• you may need to draw on additional resources to assist you in preparing the
response if a large amount of material falls within the request, or if several requests
arrive at once. Consult your manager about this.
Having developed a strategy for response you should have a clear idea of:
• exactly what has been requested
RELEASED
• exactly what official information the Department holds that falls within the request,
or where and how to find such information
• how and when you are going to respond to the request
19
link to page 53
• whether you have varying responses for parts of the request. (For example, you
may decide to transfer part of the request to the Minister’s office, refuse part of it,
and provide the information requested by another part.)
• what internal consultation is necessary about the request and the release of
documents. As you assemble the documents for release, the inclusion of some
documents may lead you to consult additional people
• any sensitivities or risks associated with the request (more issues may emerge as 1982
you gather the information for release).
ACT
External consultation about the request
Although the Act does not directly require consultation with third parties upon a request for
information, several provisions envisage and make provision for such consultation. In
some circumstances, consultation is appropriate and desirable. It may clarify, for example,
whether release of the information might prejudice commercial interests or dry up further
information from the same source. Negatively, it may safeguard against an application for
judicial review based on failure to hear a person affected.
INFORMATION
Nonetheless, persons who supply information to departments, whether voluntarily or under
a legal requirement, do not have a veto over its disclosure to others. Information supplied
may be of a personal or confidential character, and thus have a measure of protection.
This may be addressed in the particular statute requiring the information, such as the
OFFICIAL
Inland Revenue legislation. However, the duty of confidentiality cannot be unilaterally
imposed by the supplier. Nor does a contractual term override the provisions of the
Official Information Act. The public inter
THE est may outweigh the interest of the individual.
6
You should consult with your manager as to whom you should consult externally. The
State Services Commission has developed some guidelines on whether and when it is
appropriate to consult other departments or Ministers of the Crown about requests and the
UNDER
release of information. The guidelines further consider when and how to consult, and with
whom to consul
t: Release of Official Information – guidelines for cooperation.
Keep file notes or emails recording all external consultations. These notes may be useful
in the case of an Ombudsman’s investigation into the Department’s or the Minister’s
decisions to withhold information by providing an audit trail of how decisions were made.
RELEASED
6 State Services Commission. “The Public Service and Official Information: responding to requests for
information.”
20
link to page 54
If the information assembled that falls within the request originated in other departments,
you should contact the person who wrote the document to:
• advise them the information falls within a request under the OIA
• advise them that you intend to release the information
• confirm that they do not consider the information should be withheld. If they want
the information withheld, they must advise you of the grounds for this. You must
1982
be satisfied that those grounds are valid, as decisions as to withholding/releasing
ultimately rest with the person who is releasing the information (the Department or
a Minister the Department serves).
ACT
You should also contact other departments or Ministers if:
• they are the subject of information you intend to release
• the information you intend to release was prepared for them (such as a briefing
prepared for a Minister who is not the Minister the request is addressed to).
Consultation with Minister’s office7
For Departmental requests, you should consult with the relevant Minister’s office if:
INFORMATION
• the proposed release of information is likely to lead to public comment on a political
issue. Such consultation gives a Minister an opportunity to comment on any
political issues or matters relating to government management
• the request is from the Opposition, the Opposition Research Unit, recognised
interest groups or the news media, especially where the information is particularly
sensitive
OFFICIAL
• the subject matter is controversial and likely to lead to questions of Ministers
• facts, opinions or recommendations in the information for release are especially
THE
quotable or unexpected
• the information reveals important differences of opinion among Ministers or
agencies, or between Ministers and agencies
• a request makes reference to ex-Prime Ministers or their spouses or widows,
former Ministers and so on
UNDER
• once you have assembled the information for release, it is obvious that the Minister
should be involved. If in doubt, ask your manager.
Double click to return to Contents
RELEASED
7
www.ssc.govt.nz “The Public Service and Official Information – Appendix 2: Release of official
information - guidelines for co-ordination”
21
After consultation
The State Services Commission guidelines offer advice for the situation where, after
consultation with the Minister’s office or another department, agreement cannot be
reached on whether to withhold or release information:
Release of Official Information – guidelines for cooperation.
1982
When the Department would like to offer advice to a Minister regarding the merits of
withholding or releasing of information, the Chief Executive, Legal Services and/or the
ACT
Communications team should be involved in developing the advice, and possibly in
offering it.
If, after consultation, a Departmental request is transferred to the Minister’s office, this
must be done within 10 working days of it having been received in the Department. See
the section called Transferring requests.
Double click to return to Contents
INFORMATION
Internal consultation
Internal consultation is necessary to ensure that any information released is accurate and
that any potential risks related to the release or withholding of information have been
OFFICIAL
identified and addressed. THE
Internal consultation may also be necessary to ensure you alert Business Groups to the
fact that you are working on a request for which they may hold relevant information. If you
suspect another Business Group may hold information relevant to your request, you can
contact them directly or send a general email stating the topic of your request and asking
UNDER
them to identify whether or not they hold any information relevant to it.
Keep file notes and emails recording all internal consultations by filing them in association
with the request they relate to. These notes may be useful in the case of an
Ombudsman’s investigation into the Department’s or the Minister’s decisions to withhold
information by providing an audit trail of how decisions were made.
RELEASED
Whom you consult internally depends on the nature of the information that falls within the
request and on what you are proposing to release. You should discuss your request with
22
your manager and decide together what internal consultation is necessary. Internal
consultation may include:
• Legal Services
• the communications section
• Finance and Performance
1982
• EfM (Effectiveness for Maori)
• other business groups
•
ACT
recordkeeping staff if information is in old paper files which may be held offsite or at
Archives NZ
• your general manager
• the Chief Executive
• the Minister’s office
Consulting Legal Services
You should consult Legal Services if:
INFORMATION
• the request involves interpretation of statutes or legislation
• the request involves contractual obligations
• there is a threat of litigation
• you are unsure whether you have grounds for withholding or deleting information (a
OFFICIAL
document or part of a document)
• you think information to be released may involve legal issues for the Department
THE
Consulting Finance and Performance
You should consult this section if the request or your release:
• quotes costs, figures, estimates or budget information
UNDER
• has been considered by your Business Group Accountant
• if any previous answers to related requests have provided costs, figures or
estimates.
Consulting the Effectiveness for Maori section
You should consult this section if the request or your release involves:
RELEASED
• Maori issues
• interpretation or application of Treaty of Waitangi principles.
23
Consulting the communications section
You should normally consult the Communications team, particularly if any of the following
apply:
• Your request relates to a topic currently in the media.
• Media attention might arise out of the release.
•
1982
Information in the release could be linked to another media issue.
• Your release includes sensitive information.
• You are unsure whether information you are proposing to release is sensitive or
ACT
not.
• You are unsure whether there are sensitive issues or not.
The communications section will consider the information to be released and what action
is appropriate.
A list of Communications Advisors, including those that deal with media
queries, is on the intranet.
Internal consulting about generic risks
INFORMATION
Generic risks that might arise from a request or release include:
• political risks:
• is this an issue currently in the political arena?
• Is any reference being made to political party?
OFFICIAL
• Could this release create political or media interest or reaction?
• free and frank consequence:
•
THE
In responding accurately and completely, are there any surprises?
• current Departmental policy and/or practice:
• are there any implications for current policy or practice?
• previous investigations:
UNDER
• have there been any previous internal or external investigations or audits of
this area?
• have there been any previous recommendations and agreed actions?
• do any external agencies have a particular interest in or knowledge about this
issue?
• sensitivity and confidentiality issues:
RELEASED
• is any information for release sensitive, confidential or personal?
• consistency with previous requests:
• has this or a similar request been made before? (if so, check for consistency)
24
link to page 53 link to page 53 link to page 51 link to page 51
• will this response conflict with previous responses?
If you answer “yes” to any of the questions about generic risks, you should consult first
your manager, then:
• your general manager and/or
• an advisor to the Chief Executive and/or
1982
• the Chief Executive and/or
• the Minister’s office.
ACT
Consulting with the Minister’s office
This is discussed above:
External consultation surrounding the release
Requests from the media, MPs or parliamentary research units
Double click to return to Contents
INFORMATION
Making a decision on the request
Section 15 requires Departments to, “as soon as reasonably practicable” and “no later
than 20 working days after the day on which the request is received” by the Department:
•
OFFICIAL
decide whether the request is to be granted and, if it is to be granted, in what
manner and for what charge (if any); and
• give or post to the person who made the request notice of the decision on the
THE
request.”
In practice, requests tend to be simple/small or complex/large.
For simple/small requests
UNDER
“developing a strategy for the response” will be much the same as “making a decision on
the request.” This is because the appropriate response will be easily determined and
easily communicated.
For complex/large requests
RELEASED
For complex/large requests “developing a strategy for the response” may be quite different
from “making a decision on the request.”
25
This is because for large requests, “developing a strategy for the response” may be a
relatively simple matter. Once the strategy is in place, the information for release can be
compiled. Once it is compiled, a large or complex response may require many smaller
decisions to be made as to whether to withhold some information in the form of whole (or
parts of) documents. This is particularly common in requests relating to policy.
1982
This decision-making process can be very time-consuming, and may involve extensive
internal and external consultation. It is only when these many smaller decisions have
been made that the decision (in terms
of section 15) is complete and can be
ACT
communicated to the requester. At this point, the information requested will be ready for
release.
The point is sometimes m
ade that section 15 merely requires a decision to be made and
communicated to the requester within 20 days, with the implication that the actual
information can follow at a later date. However, for large/complex responses involving
many small decisions, the decision and making the documents available occur roughly
INFORMATION
simultaneously.
The section 15 concept of making a decision as distinct from making documents available
is, however, useful for large/complex requests where a decision in principle has been
made and can be communicated, but where the information is not yet ready for release.
OFFICIAL
One example of this is when the requester is notifi
ed of an extension to the time limit for
responding to the request. THE
Charging for information
Section 15 allows Departments to charge the requester for making information available.
UNDER
Note, however, that the requester is to be notified of the amount of the charge at the time
the decision is communicated to them. It is possible to require that all or part of any
charge (above a threshold of $76) be paid in advanc
e. Guidelines for charging are
published by the Ministry of Justice
The charges are based on a “per page” charge for photocopying (20 cents per page after
RELEASED
the first 20 pages) and per half hour of staff time ($38 per half hour in excess of one hour)
spent searching, collating and copying the material for release. These guidelines state that
they “should be followed in all cases unless good reason exists for not doing so.”
26
link to page 60 link to page 60
However, Cabinet agreed
8 in March 2002 that it is now standard practice to waive charges
for requests from both MPs and parliamentary research units.
The State Services Commission suggests
9 that:
It was not intended that charging for access should infringe the principle of
availability [of information]. Personal information must be provided free of charge,
and the purpose of charging for other information is to take account of the
1982
reasonable costs of the labour and materials incurred by the Minister of the Crown
or the organisation to whom the request was made. It is often possible to strike
an appropriate charge with a requester, or to exclude unnecessary information by
ACT
agreement, in order to meet a request. Every effort should be made to provide
access at reasonable cost.
In practice, Departments often choose not to charge for information on the basis that they
wish to make information freely available, and that charging may be more trouble than it is
worth.
Charging for official information is a matter of judgment. As a general rule, it is good public
relations not to charge especially if the requester is genuine. But charging, or the th
INFORMATION reat of
it, should be used for huge amounts of material especially if the requester is being
unhelpful or antagonistic.
The Department of Internal Affairs generally chooses to waive any charges, but may on
occasion enforce them.
OFFICIAL
THE
Transferring the request
Section 14 relates to transfer of requests. Requests can be transferred if the information
to which the request relates is:
UNDER
• not held by the Department or Minister but is believed to be held by another
Department, Minister or by a local authority
• believed to be more closely connected with the functions of another Department or
Minister or by a local authority.
RELEASED
8 in response to an EXG paper: Revised Charging Guidelines for Official Information Act Requests [EXG
(02) 7]
9 State Services Commission. “The Public Service and Official Information: responding to requests for
information.”
27
link to page 61
The transfer must take place within 10 working days after the request was received by the
person to whom it is addressed.
Before transferring a request to a Minister or another department, you should discuss the
matter with the relevant officials in that Minister’s office or department to establish that it is
appropriate that they respond to the request.
1982
The Cabinet Office offers the following advice on transferring requests:
A department should consult its Minister if the request relates to Cabinet material,
ACT
because this material relates to his or her activities as a Minister. A department
should advise its Minister if it intends to release any information that is particularly
sensitive or potentially controversial. The decision on how to respond to the
request must nonetheless be made by the department, in accordance with the
Official Information Act 1982.
On being consulted, the Minister may take the view that information, which the
department considers should be released, should not be released. In such a case,
transferring the request to the Minister may be an appropriate way forward, if the
requirements of section 14 of the Official Information Act 1982 can be satisfied.
Each case of this kind needs to be carefully handled at a senior level within the
INFORMATION
department, including reference back to the Minister for further consideration if
necessary.10
Double click to return to Contents
OFFICIAL
Refusing the request
Section 18 provides several reasons for refusing requests. You should check section 18
THE
for the full list of reasons, details and correct wording. Reasons for refusal of requests
include that:
• there is good reason for withholding the information
UNDER
• the information requested will soon become publicly available
• the information does not exist or cannot be found
•
Official Information Act 1982 the information cannot be made available without
substantial collation or research
• the request is frivolous or vexatious, or that the information requested is trivial.
If the Departm
RELEASED ent does hold information that falls within the request, but grounds exis
t (in
sections 6, 7 or 9) for withholding all of it, the request can be refused und
er section 18 (a).
10 Cabinet Manual 8.41-8.42
28
link to page 62
The Ombudsman has held that a request is frivolous or vexatious if the requester is
patently abusing the rights granted by the Official Information Act 1982 rather than
exercising them in a bona fide manner. (The most common example of this is where the
information has already been supplied, and there is no additional information.) That is, the
particular request must be frivolous or vexatious to be denied in terms of
sections 18(h), or
27(1)(h). A request can also be refused under these provisions on the grounds that it is 1982
trivial. A refusal on the grounds of triviality may not be necessary if the requester is
prepared to pay an appropriate fee for the reasonable time and trouble that might be taken
ACT
to retrieve or collate information to meet the request. Adopting such a course may be an
opportunity to demonstrate goodwill, and effective public relations.
11
When refusing a reques
t, section 19 states that the reason for the refusal must be given,
and, if the requester requests, the grounds in support of the reason. When refusing
requests you should mention the relevant section of the Act.
When refusing a request, the requester must be informed of their right to complain under
INFORMATION
section 28(3) to an Ombudsman about the refusal.
OFFICIAL
THE
UNDER
RELEASED
11 State Services Commission. “The Public Service and Official Information: responding to requests for
information.”
29
Extension of time limit
Section 15A allows you to notify the requester that you are extending the time limit for
responding to their request in some circumstances. These are when:
• the request is for a large quantity of information
or necessitates a search through a
large quantity of information
and meeting the original time limit would unreasonably
interfere with the operations of the Department;
OR
1982
• Consultations necessary to make a decision on the request are such that a proper
response to the request cannot reasonably be made within the original time limit.
ACT
The extension must:
• “be for a reasonable period of time having regard to the circumstances”
• be notified to the requester within 20 working days of having received the request
• be communicated to the requester. The notice effecting the extension must:
• specify the period for the extension
• give the reasons for the extension
INFORMATION
• state that the requester has the right to complain to the Ombudsman about
the extension
• contain any other necessary information.
Double click to return to Contents
OFFICIAL
Preparing the information for release, and in what form
This section sets out a process for ass
THE embling and preparing the information for release.
1. The form in which you will release the information
Section 16 (1) sets out various options for making information available to requesters. You
should read these and consider which is appropriate. In many cases the wording of the
UNDER
request itself will lead you to choose a particular option.
Section 16 (2) states that in some circumstances you need not make the information
available in the way preferred by the requester. You should read these and consider
whether any applies
. Section 16 (3) states that if under 16(2) you make the information
available in an alternative way, you must inform the requester of your reasons.
RELEASED
2. Identify and compile the information held relevant to the request.
30
In the case of documents, the information should be assembled in the form of plain paper
single sided A4 photocopies of the information for release. For releases involving large
volumes of paper, assemble it in whatever way is useful for you, such as chronological
order. (You need
not number the documents. The OIA does not require documents for
release to be stapled or assembled in any particular order.) Use paper clips for the
photocopies instead of staples.
1982
3.
Prepare the release letter to the requester
ACT
Once you have compiled the information for release, you can begin to compile the
response letter to the requester (use the OIA response template), and the briefing (see
next section).
The person preparing the draft response should never additionally sign it out. Peer review
is essential.
When preparing a large volume of documents for release, you may find it useful to note all
INFORMATION
information withheld or deleted in the letter to the requester as each decision to release or
withhold is made, rather than when you have finished making the decisions.
4. Prepare a memo or briefing to the signout person
For Departmental OIAs, a memo should be prepared for the signout person. Ministerial
OFFICIAL
OIAs will require a briefing to the Minister.
The briefing or memo should note:
THE
• in general terms the nature of the information being released
• that all information deleted or withheld is noted in the attached letter to the
requester
• any noteworthy information being released. Be careful to note such information in
UNDER
the briefing/memo in the same order as the information appears in the pile of
release documents. When noting such documents, remember that what you write
is itself official information and may later be released under the Official Information
Act.
• any departments consulted in making decisions about releasing information
• any other relevant issues
•
RELEASED
any risks associated with the release. Remember that your briefing/memo is itself
official information and is likely to be released in the future. If in doubt about what
to write, discuss with your manager.
31
link to page 53 link to page 65
If no noteworthy information is being released, the briefing/memo to the signout person
should state this, to provide them with an added level of assurance.
As with the release letter, you may find it useful to note any significant information in the
briefing at the time you consider each document, rather than later.
For Ministerial OIAs, the information for release, the briefing and the release letter must be 1982
provided to the Minister’s office
five working days prior to the release date to allow time
for them to consider the material.
ACT
5. Withholding information12
The purposes of the Act recognise that implicit in the application of the OIA there will often
be a tension between:
• considerations favouring disclosure of information; and
• considerations favouring withholding information.
Considerations favouring withholding are set out i
n sections 6, 7, 9 and 18 of the OIA.
INFORMATION
These range from:
• reasons for refusal that relate to the administrative difficulty in complying with a
request; to
• reasons for refusal based on the harm that may be caused by disclosure of the
OFFICIAL
information at issue.
6. Making decisions about withholding or deleting information
Consider each piece of information (doc
THE ument) for release in your pile. Amongst the pile
or collection of information for release may be information that should be withheld.
Carry out any
internal and/or external consultation (discussed above) planned with your
manager about specific documents, or about the release in general. Though this
UNDER
consultation you can determine whether:
• any information should be withheld (or whether an entire document should be
withheld) or deleted, and/or
• there is sensitive information among the documents for release.
RELEASED
12 www.ombudsmen.govt.nz
32
Sections 6 and 7 provide conclusive reasons for withholding information. In practice,
however, the section 9 or “Other” reasons for withholding information are more commonly
used and you should be familiar with them.
Section 9 states that good reasons for withholding information exist unless “the withholding
of that information is outweighed by other considerations which render it desirable, in the 1982
public interest, to make that information available.”
In other words, if there is significant public interest in a piece of information or in a topic,
ACT
this interest may override the reasons for withholding information. If you are in doubt
about whether there is public interest or not, consult Legal Services.
One of the more commonly relied-on section 9 reasons for withholding information is s
9(2)(f)(iv) which allows for the withholding of information if it is necessary to “maintain the
constitutional conventions for the time being which protect the confidentiality of advice
tendered by Ministers of the Crown and officials.”
INFORMATION
If a response will require substantial collation or research, you should consider
section
18(f) which allows a request to be refused if “the information cannot be made available
without substantial collation or research.” If you are in doubt as to whether a response
comes into this category, you should consult Legal Services.
OFFICIAL
Sections 10, 18 and 52 also provide reasons for withholding information.
Double click to return to Contents
THE
7. Deleting personal names
Section 9(a) states that information may be withheld (or deleted) “to protect the privacy of
UNDER
natural persons.”
However, the Ombudsmen have ruled that people working in the public sector should not
remain anonymous. They have written that “as a general proposition, a person working in
the public sector in direct or indirect contact with the public can assume that for reasons of
accountability their name should be identified upon request.” The same is true of their
RELEASED
designation and work contact details but not their salary and private contact details. This
amounts to a situation (relevant to section 9) where the public interest in making such
names available outweighs the right of people to remain anonymous.
33
link to page 67 link to page 67
The Ombudsmen have also said that there may be cases where relations with a member
of the public are strained and therefore it may be necessary to withhold the name of the
public servant so as to protect that person from improper pressure or harassment.
Further guidance about deleting personal names is available at:
http://www.ombudsmen.parliament.nz/imagelibrary/100098.pdf
1982
Any individuals whose names are included in information to be released should be
informed of this prior to the information being made public.
ACT
8. Requests for Cabinet papers13
There is no exemption for any class of papers under the Act. Cabinet and Cabinet
Committee papers and every request for Cabinet records must be considered on its merits
against the criteria in the Act.
Departments or Ministers handling requests for the release of Cabinet or Cabinet
committee papers or minutes of a current government must take the decision on release
INFORMATION
themselves, after consulting with other affected Ministers, departments and agencies.
There is no longer any requirement to consult the Cabinet Office on the release of Cabinet
documents, except in the case of Cabinet documents of a previous administration (see
Cabinet Manual paragraphs 8.73 – 8.77). However, the Cabinet Office is available for
OFFICIAL
general guidance if departments have queries about the process for releasing Cabinet
papers or minutes.
THE
The Cabinet Office no longer keeps a record of Cabinet papers and minutes that Ministers
and departments have released publicly. Ministers and departments themselves are
responsible for keeping a record of the Cabinet documents that they have made publicly
available.
UNDER
9. Requests for drafts
The Ombudsmen have given the following guidance
14 about releasing drafts:
““draft” documents are official information and can properly be the subject of
requests under the OIA. The Act does not protect draft documents as a special
RELEASED
exempt “class” or “category” or information…
13 Cabinet Manual 8.30 – 8.33
14
Editorial in Ombudsmen Quarterly Review Vol 7 issue 4 December 2001
34
However, on the basis of our experience in reviews under the OIA, there is often
good reason under the Act to refuse requests for draft documents. The difficulty
in trying to apply any general rule on when drafts should or should not be
disclosed is that request for “draft reports, correspondence or advice” can cover a
wide array of different circumstances…
Often “draft” documents can be released without any detrimental impact on
effective government or administration at all. However, if the end result of 1982
disclosure of drafts is to prejudice the quality of the reports or correspondence or
advice being generated, then the wider public interest of effective government and
administration would not be served.
ACT
In assessing whether there is any countervailing public interest in disclosure of
draft documents, it must be remembered that decision-makers are accountable
for the advice they act upon and not for early drafts generated in preparation of
that advice they will often not have seen. Usually, it would only be in the
circumstances where disclosure of drafts would reveal some impropriety in
process or practice that the public interest in release would outweigh valid
interests in protecting information under the Act. That is an assessment that can
only be made in the circumstances of each particular case.”
For guidelines as to what drafts to keep on file, see the “What is official information?”
INFORMATION
section.
10. Select Committee documents
Submissions to select committees are subject to the Standing Orders of the House of
Representatives. Standing Order 224 states that:
OFFICIAL
(1) a select committee may make a written submission to it available
to the public at any
THE time after receiving it.
(2) A written submission (if not already made available) becomes
available to the public on the committee hearing oral evidence
from the witness who made the submission.
Standing Order 237 states that:
UNDER
(1) the proceedings of a select committee or a subcommittee other
than during the hearing of evidence are not open to the public and
remain strictly confidential to the committee until it reports to the
House.
(2) A report or a draft of the report of a select committee or a
subcommittee is strictly confidential to the committee until it
RELEASED
reports to the House.
(3) Paragraphs (1) and (2) do not prevent-
35
a) The disclosure, by the committee or by a member of the
committee, of proceedings, a report or a draft report to a
member of Parliament or to the Clerk or another officer of
the House in the course of their duties.
b) The disclosure of proceedings, a report or a draft report in
accordance with Standing Orders.
Any information that has been submitted to a select committee is therefore confidential as 1982
above. To contravene Standing Orders would be in contempt of the House.
ACT
Section 18(c)(ii) of the Official Information Act states that a request may be refused if “the
making available of the information requested would constitute contempt of Court or the
House of Representatives.”
11. Papers prepared under a previous administration
There are particular conventions relating to treatment under the Official Information Act of
papers prepared under a previous government. These are set out in paragraph 8.84 of
INFORMATION
Section 8 of the Cabinet Manual.
12. Practicalities of withholding or deleting information
OFFICIAL
Any information deleted or withheld should be noted in the letter to the requester, quoting
the number of the section under which the information is being withheld or deleted (see
OIA release letter template). THE
Section 19 does not require that each item being withheld be separately identified. It
does
require that we inform the requester why we are withholding information, and if they ask,
we must inform them of our grounds for withholding. However, in the interests of being
UNDER
helpful to requesters it is a good idea to be specific about what is being withheld, if we can
do so without prejudicing the interest we are protecting. Detailing the item(s) being
withheld may also help the requester to understand why we are withholding the
information.
You must retain a copy of the document being withheld or deleted. In the case of
RELEASED
deletions,
you must retain a copy of the document without deletions. This is because:
36
• the person signing out the response may wish to see what information is being
withheld via deletion
• in the case of an appeal to the Ombudsman about the decision to delete the
information, you may have to provide to the Ombudsman a copy of the information
that was deleted, and
• you may need to release the information to the requester later.
After making a deletion, take a photocopy of the page with the deletion and
add the 1982
photocopy to the documents for release. Add a plastic
tag to the document so the person
signing out the letter can locate it if they want to see it.
ACT
On completing a large request, you will probably have a small pile of documents that have
been withheld, that contain information withheld via deletions, and that are originals
without deletions. Retain these on file for future reference.
Any noteworthy or sensitive documents being released should be
tagged so the signout
person can locate and consider them.
INFORMATION
13. Photocopying
When you have finished making decisions about withholding information, you will have a
pile of documents ready for release, possibly including some tagged documents signaling
to the signout person that the document has a deletion or is noteworthy.
OFFICIAL
This pile is then photocopied to create a set of documents for release. Special paper is
THE
available for this, watermarked with “released under the Official Information Act” and
known as “OIA paper.” Use of this paper indicates to anyone who sees it that the
information was released in an authorized fashion. Its use protects you, the Department,
the Minister and the requester of the information.
UNDER
However there may be instances where its use is not necessary or appropriate. For
example, you should not use it if the information for release is:
• already publicly available, such as on the Department’s website
• in response to a routine request that does not mention the OIA, such as a request
for a discussion document.
RELEASED
Double click to return to Contents
37
link to page 63 link to page 63 link to page 64 link to page 64 link to page 71
Releasing information
You should assemble ready for signout;
• the release documents (on OIA paper) (see separate sectio
n on preparing the
information for release)
• a duplicate set of release documents for the signout person to consider with some
tagged to signal that the document has a deletion or is noteworthy
1982
•
the release letter to the requester which notes all withholdings and deletions (plus
copy for signout person) and
•
a briefing about the release to the signout person noting any significant documents.
ACT
You should retain on file:
• complete copies (without deletions) of all information withheld or released with
deletions, and
• copies of all information given to requester (that is, photocopies of the OIA paper
release)
• copies of the original request, the release letter and the release briefing.
INFORMATION
The Minister’s office should be advised well in advance of any OIA release. If the
information for release is significant, you should provide the Minister’s office with copies of
the information for release and the release letter, allowing some time (some days for large
releases) to consider it. This is consistent with advising the Minister on a “no surprises”
basis. It is possible that the Minister’s office may disagree with your decisions to release
OFFICIAL
or withhold – if this happens, discuss with your manager.
Ombudsman review of decisions to withhold information15
THE
Anyone who has requested information can ask an Ombudsman to review a decision by a
Department to refuse to supply (by refusal, withholding or deletion) any information
requested. The procedures for reviews are set out i
n Part 5 of the Act.
UNDER
The Ombudsmen have extensive powers to request information for the purposes of the
review. When an Ombudsman undertakes a review, the Department must cooperate fully.
An Ombudsman will not be content to accept superficial assertions or the use of a blanket
provision such as "free and frank discussion" to justify non-release of information. A
department or Minister will be expected to provide a detailed justification in each case, and
RELEASED
should use the review as an opportunity to outline the real concerns about the request.
15 Cabinet Manual 8.45 – 8.47
38
Ombudsmen and their staff are required to maintain secrecy of all information provided to
them. If the Ombudsman’s finding is that the information should be released, the material
will be returned to the Minister or department concerned for them to take the appropriate
action.
Double click to return to Contents
1982
ACT
INFORMATION
OFFICIAL
THE
UNDER
RELEASED
39
The OIA and Frequently Asked Questions | DIA Intranet
http://1840.dia.govt.nz/resources/official-information-act-requests/guide-oia
Home › Resources › Official Information Act Requests › The OIA and Frequently Asked Questions
View
Edit
Here you can read about the Official Information Act and what to do if you receive an OIA request
1982
Navigation
ACT
Glossary of OIA terms (
coming soon)
The OIA
Is this an OIA request? What should I do if it is?
How long do I have?
Who can make an OIA request?
INFORMATION
What is Official Information?
What is NOT Official Information?
Requests for personal information about individuals
OFFICIAL
Logging a request in the OIA register
Filing your request documentation
THE
OIA processing Guides
UNDER
The OIA
What is the OIA?
The Official Information Act is one of the cornerstone pieces of legislation for public accountability and transparency. It lets
people request information held by Ministers and public sector agencies. It tel s us how to respond to information requests,
and provides requesters with the right to complain to an independent authority – the Ombudsman - if they believe that an
agency has not responded appropriately.
RELEASED
The central purpose of the OIA is to give New Zealanders access to Official information:
so they can more effectively participate in the making and administration of laws and policies;
to promote the accountability of Ministers and officials, and so enhance respect for the law and promote the good
1 of 6
15/05/2017 1:26 p.m.
The OIA and Frequently Asked Questions | DIA Intranet
http://1840.dia.govt.nz/resources/official-information-act-requests/guide-oia
government of New Zealand.
to let people access official information relating to them
to protect official information to the extent consistent with the public interest and the preservation of personal privacy.
Agencies and bodies subject to the OIA include:
Ministers of the Crown
1982
government departments and organisations
Crown entities and some state owned enterprises
ACT
District Health Boards
universities, polytechnics, col eges of education, wananga and other tertiary institutions (but not private training
establishments)
boards of trustees of state schools (but not private or charter schools)
The Local Government Official Information and Meetings Act 1987 (LGOIMA) is the equivalent of the Official Information Act
for Local Government Agencies.
INFORMATION
Back to Navigation
Is this an OIA request - and what should I do if it is?
Any oral or written request for information held by the Department is technical y an OIA request. People do not need to
OFFICIAL
mention the Act in their request and can make their request to anyone in the agency.
If you are not sure whether the request you have received should be treated as an OIA, talk to your manager or
one of the OIA experts around the Department.
THE
You should treat an information request as a formal OIA request if:
the request directly mentions the OIA
UNDER
OR the request is likely to require a significant amount of col ation and assessment of information to be able to answer
it
OR the information crosses/impacts several branches, and consultation is likely to be needed to be able to answer it
OR the request is about an issue that is sensitive, political or topical and consultation might be needed to answer it.
Requests for information that is already available on the Department's website or any other publical y accessible location do
RELEASED
not need to go through a formal OIA process. Simply direct the requester to the location of the information. If there is
normal y a fee associated with accessing the information, for example requesting a copy of a Birth Certificate, check with
your
branch key OIA contact about how your branch manages these requests.
If you know you have recieved an OIA request:
2 of 6
15/05/2017 1:26 p.m.
The OIA and Frequently Asked Questions | DIA Intranet
http://1840.dia.govt.nz/resources/official-information-act-requests/guide-oia
1.
No
tify: If you have recieved a request directly from the requester, tel your manager/supervisor and your Branch
Support and Development (BDS) team that you have received the request.
2.
R
eport: Forward the request to the S&G OIA team via their inbox [email address]. They wil log the request in the
system and help you work out whether you are the person who should be responding to the request.
3.
S
eek guidance: If you have been told that you wil be leading the response, and you do not regularly respond to OIA
requests, or if you simply feel unsure about how best to proceed with a particular request; it is recommended that you
contact one of the many OIA specialists across the department and review the
DIA OIA guide.
1982
OIA responses are subject to specific legislative requirements which you need to be aware of when responding. There can
ACT
be legal, financial or security impacts for stakeholders, or for the Department as a whole if we don't get the response right.
Check the
key OIA contact table to find the person best suited to help you.
Back to Navigation
How long do I have?
From the day an OIA request is received, you have a
maximum of 20 working days to either notify the requester of an
extension to the request timeframe, or provide the Department's decision to the requester.
INFORMATION
The 20th working day is not your target response day. You must provide your response as soon as possible.
You can calculate how long you have in your request using the OIA calculator on the Ombudsman's website. Scrol down to
find the calculator on the left hand side of the page.
There are several other legislative deadlines (black) and internal timeframes (blue) to be aware of within the 20 day period,
which are given in the table below.
OFFICIAL
THE
UNDER
Back to Navigation
Who can make an OIA request?
To be eligible to make a request under the Official Information Act, a requester must be:
RELEASED
3 of 6
15/05/2017 1:26 p.m.
The OIA and Frequently Asked Questions | DIA Intranet
http://1840.dia.govt.nz/resources/official-information-act-requests/guide-oia
a person who is in New Zealand
OR a New Zealand citizen or permanent resident anywhere in the world
OR a corporate entity which is incorporated in New Zealand or which has a place of business in New Zealand.
Where a requester is not eligible to make an OIA request, we may stil decide on a case-by-case basis to accept the request
on behalf of the Department.
Back to Navigation
1982
What is Official Information?
ACT
Official information means information held by an agency for the purpose of undertaking its functions, such as:
emails/letters, briefings, memos, and documents which set out the policies, principles, rules or guidelines for decision
making by an agency
draft documents, file notes, meeting notes or minutes, annotations on documents, notes of phone conversations
non-written material, such as images or audio/video recordings, or material stored on or generated by computers,
including databases
INFORMATION
information known to an agency, but which has not yet been recorded in writing or otherwise, including recol ections
and other information stored in officials or Minister’s memories
the reasons for any decisions which have been made about a specific person or issue
information held by an agency which has been provided by outside sources, including other agencies or corporate
OFFICIAL
entities.
information held by an independent contractor or private individual, regarding work carried out on the Agency’s behalf
THE
or in contract with the Agency.
information held by unincorporated bodies set up by an agency to assist, advise, or perform functions connected with
any Agency E.g. boards and committees.
UNDER
It doesn’t matter whether the information originated within the agency, or where it might be physical y located.
Back to Navigation.
What is NOT Official Information?
Official information does not include:
RELEASED
col ections material e.g. from libraries, museums or exhibitions
information held by an agency for the purpose of safe custody, on behalf of a person or entity which is not subject to
the OIA
information held by Public Trustees or Maori Trustees in their capacity as a trustee
4 of 6
15/05/2017 1:26 p.m.
The OIA and Frequently Asked Questions | DIA Intranet
http://1840.dia.govt.nz/resources/official-information-act-requests/guide-oia
evidence or submissions to Royal Commissions or Commissions of Inquiry
inquiry evidence or submissions subject to an order forbidding publication and documents related to the internal
deliberations of an inquiry
any correspondence between an agency and the Ombudsman or Privacy Commissioner in relation to an investigation
victim impact statements
evidence, submissions or information given or made to the Judicial Conduct Commissioner, a Judicial Conduct Panel
1982
or the Judicial Complaints Lay Observer
information held by employees of an Agency or Ministers of the Crown in their private capacity, their capacity as an
electorate MP, or as a political party member. (This information can however become official information if it is used
ACT
for official departmental or ministerial purposes).
Back to Navigation
Requests for personal information about individuals
Personal information means information about an individual person, including deceased individuals. It could include, for
example, contact details, public records, correspondence records, or any other information not publical y known about the
INFORMATION
person's circumstances.
Under
the Privacy Act 1993 people have the right to access personal information about themselves held by agencies.
They can do this themselves, or by authorising another person to make the request on their behalf. This representative must
provide written evidence of the authorisation.
It may not always be clear whether information requests should be considered under the OIA or the Privacy Act, as
documents about the requester could also contain other official information.
OFFICIAL
If any part of a request is for personal information about the requester or another individual, forward the request to
[email address] and [email address]. You can also find
more information about Privacy Act requests on 1840.
THE
Back to Navigation
Logging requests in the OIA register
UNDER
Governance, Risk and Assurance (GR&A) in the Strategy and Governance branch operate the Department’s OIA email
inbox [email address], and
OIA register. If you receive a request directly, you must forward it to the team for logging. They
wil send you back the OIA reference number that you should use on your letters to the requester. For more information
about administration of OIA requests, contact GR&A at [email address]
Back to Navigation
RELEASED
Filing OIA request documentation
Filing documentation in DMS/Cohesion
Until DIA has completed the transition to Cohesion, each branch has a different filing practice. Refer to the key OIA
contacts sheet and speak with one of your branch contacts to confirm the OIA library your group uses.
All DMS request folders or Cohesion document sets should be titled using the formula below
5 of 6
15/05/2017 1:26 p.m.
The OIA and Frequently Asked Questions | DIA Intranet
http://1840.dia.govt.nz/resources/official-information-act-requests/guide-oia
OIA201617-0099
OIA / Financial year /OIA reference number /
You may also include other internal branch reference numbers or the requester name if you choose. e.g. OIA201617-0104-
RSOC1054-Smith
The title of each document you save within the folder or document set should be prefaced with the OIA reference number.
Back to navigation
1982
OIA guides
The guides below provide further information about OIA requests and how to respond to them. You may like to familiarise
ACT
yourself with some of them before contacting an OIA specialist
2017 DIA OIA Processing Guide
Introduction to Official Information Act Requests and Responses
Processing a basic Official Information Act Request
The OIA for Ministers and Agencies
Te Kete Tuarua: Guidelines for Official Documents
INFORMATION
Feedback and Bugfixes
If you have any feedback or suggestions, if there's something you'd like to see added here, or if you notice any link that does
OFFICIAL
not work
Email us at [email address] and include 'feedback on 1840 pages' in the subject line.
THE
Last published by Michel e Reed at 9:13am on 28 February 2017
UNDER
RELEASED
6 of 6
15/05/2017 1:26 p.m.
Document Outline
