Auckland Council and CCO’s
Protocols for Managing LGOIMA1 Requests
via the Public Information Office (PIO)2
Part 1:
Process for requests that involve Auckland Council (AC)
and:
Auckland Transport (AT)
Watercare Services (WCS)
Application:
The following procedures will be followed when managing Local Government Official
Information and Meetings Act (1987) (LGOIMA) requests that relate to Auckland Council (AC)
and the above Auckland Council Controlled Organisations (CCOs).
Processing Requests
All requests relating exclusively to information held by AT or WCS that are received by
AC, regardless of whom they are addressed to, will be logged in the AC CRM system by
AC’s Public Information Team (PIO); formally transferred to them pursuant to Section 12
of the LGOIMA; and the formal advice will be sent to the customer confirming the
transfer. Once confirmation of the transfer has been received, these requests will be
closed in the AC’s CRM system.
Where a request relates predominantly to information held by AC, it will be processed
and managed by the PIO. Input from AT or WCS will be sourced with control of the
request being maintained by the PIO. Any decisions to refuse requests or withhold
information will be authorised by AC officers after discussion with relevant CCO staff in
the first instance.
Requests
that
are neither predominantly AC or AT or WCS will be managed on a case-
by-case basis.
If a request is able to be easily divided into discrete AT and AC issues, then they will be
formally transferred “in part” allowing AT or WCS to respond independently.
Charging
Where requests are exclusively AT or WC then the decision to charge resides with them.
Where there are joint responses, consultation will need to take place to ensure
consistency where appropriate. For reference a copy of AC’s Charging Policy is
attached.
Information withheld
Where AT/WCS wish to withhold information in respect of a request that relates to
information held partly by AC, they will consult with PIO / AC, to ensure consistency of
approach.
Collator
The PIO will assist whenever practical to collate combined responses.
1 LGOIMA - Local Government Official Information and Meetings Act (1987)
2 PIO - Public Information Office (PIO), Democracy Services, Auckland Council
LGOIMA CCO Protocols - May 2015
1
Responding to Requests
AC, AT and WCS agree to maintain an open dialogue and a relationship of mutual
assistance in responding to official information requests related to both / all
Organisations.
Where multiple requests are received across AC, AT and WCS on the same issue,
which require a separate response from each entity, all entities agree to collaborate to
ensure there is consistency within each response.
Responses that principally relate to information held by AC, but also involve information
held by AT or WCS, will be responded to by the PIO. Such responses will be discussed
with their staff and approval granted from all interested parties prior to any response
being made.
Requests that principally relate to AT or WCS but require the release of AC information
held by them shall will be discussed with relevant AC staff and approval granted from all
interested parties prior to any response being made.
A copy of the final response sent to a requester by AC that includes information received
from AT or WCS will be sent to AT or WCS for their information. A copy of the final
response sent to a requester by AT or WCS that includes information received from AC
will be sent to AC for their information.
Redacting:
Where AC are managing the response, AT and WCS will provide 2 copies of the
response to AC for review / approval where required. The first is a clean un-
redacted copy and the second to include proposed redactions.
Where AT or WCS are managing the response, AC will provide 2 copies of the
response to AT or WCS for review / approval where required. The first is a clean un-
redacted copy and the second to include proposed redactions.
AC Legal Services team are developing a policy concerning the redaction of staff
names and contact details. In the interim the PIO is applying a general principle
whereby they are redacting all staff contact names, telephone, mobile and email
addresses of all T5 and below staff members.
No Surprises Policy
Where AC, AT or WCS make decisions to release or withhold information that:
relates to other parties or its stakeholders;
may possibly impact upon decisions or actions taken by Auckland Council or CCOs;
and / or
may possibly impact upon the position, reputation, commercial, media or political
position of Auckland Council or CCOs (including Elected Members and Board
Members)
then a discussion will take place between appropriate officers from the respective
organisations to ensure that parties are aware of each other’s perspectives on media,
commercial and political risk.
Training and Process Refinements
The PIO team will train and support CCO staff; provide copies of any training material:
and advise any process improvements.
LGOIMA CCO Protocols - May 2015
2
Part 2:
Process for requests that involve Auckland Council and:
Auckland Tourism Events and Economic Development (ATEED)
Regional Facilities Auckland (RFA)
Auckland Council Investments (ACIL)
Auckland Council Property (ACPL)
Auckland Waterfront Development Agency
Application:
The following procedures will be followed when managing Local Government Official
Information and Meetings Act (1987) (LGOIMA) requests that relate to Auckland Council (AC)
and the above Auckland Council Controlled Organisations (CCOs).
Processing Requests
All requests will be logged in the AC ‘CRM system’ and managed by staff in the PIO. If a
request is sent directly to a CCO, they will forward onto the PIO office as soon as
possible and the protocols below will apply.
Where a request relates predominantly to information held by AC, it will be processed
and managed by the PIO. Input from the relevant CCO will be sourced with control of
the request being maintained by PIO. Any decisions to refuse requests or withhold
information will be discussed in the first instance with relevant CCO staff and then
authorised by AC officers.
Requests that relate to AC and one or more of the CCOs will be coordinated by the PIO
in consultation with CCO staff and any decisions to release and/or to withhold will be
made in consultation with both the AC CE and the relevant CCO CE or their nominees.
Requests that exclusively relate to a CCO will be processed by that CCO (but logged in
CRM for tracking purposes). Any recommendation to withhold or release material will be
made by PIO in consultation with AC Legal Services team to the relevant CCO CE.
Charging
Customers will be charged for requests per the attached AC Charging Policy (copy
attached).
Responding to Requests
Both Auckland Council and CCOs agree to maintain an open dialogue and a relationship
of mutual assistance in responding to official information requests related to both / all
Organisations,
Responses that principally relate to information held by AC but also information held by
one or more of the CCOs will be responded to by the PIO. Such responses will be
discussed with staff from the relevant CCOs and approval granted from all interested
parties prior to any response being made.
Requests that principally relate to CCOs but where the response requires the release of
AC information held by the CCO, then the request and any intended response will be
discussed with relevant AC staff and approval granted from all interested parties prior to
any response being made.
A copy of the final response sent to a requester by AC that includes information received
from one or more of the CCOs will be sent to the relevant CCOs for their information.
LGOIMA CCO Protocols - May 2015
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Redacting:
2 copies of responses are to be supplied for review / approval where required. The
first is a clean un-redacted copy and the second to include proposed redactions.
AC Legal Services team are developing a policy concerning the redaction of staff
names and contact details. In the interim the PIO is applying a general principal
whereby they are redacting all staff contact names, telephone, mobile and email
addresses of all T5 and below staff members.
No Surprises Policy
Where AC or CCOs make decisions to release or withhold information that:
relates to other parties or its stakeholders;
may possibly impact upon decisions or actions taken by Auckland Council or CCOs;
and / or
may possibly impact upon the position, reputation, commercial, media or political
position of Auckland Council or CCOs (including Elected Members and Board
Members)
Then a discussion will take place between appropriate officers from the respective
organisations to ensure that parties are aware of each other’s perspectives on media,
commercial and political risk.
Best Practice
Where CCOs are to be the primary responder, they will endeavour to process requests
within the timeframes to ensure that the AC group complies with its obligations under the
Local Government Official Information and Meetings Act, and is seen as responsive to
its customers (i.e. customer centric). In particular:
o They will work to clarify and refine the request within the first 7 days;
o Formally confirm an extension (as required) as soon as possible; and
o Formally confirm granting (as required) a request as soon as possible.
The CCO will provide to PIO a copy of any customer clarification / refinement, extension
and granting of a request[
Access to Electronic Information
Requests for information from emails, electronic files / other documentation that are the
property of a CCO but held on an Auckland Council server will require the approval of
the CCO CE to access the relevant information.
Where access to this information is approved, AC undertakes to gather this information
and provide it to the CCO for review in an efficient and timely manner.
Dealing with Staff
While all normal interaction between staff while processing requests will continue in an
efficient and business-like manner, any complaints or queries about non-responsiveness
will be addressed via discussions with the relevant senior managers, and should not be
addressed directly to the staff in question.
Training and Process Refinements
The PIO team will train and support CCO staff and advise of any legislative changes and
process improvements.
Consistency of Response
Where multiple requests on the same issue are received across a number of CCOs and
Auckland Council, all entities agree to collaborate to ensure there is consistency within
each response.
LGOIMA CCO Protocols - May 2015
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Appendix A:
Auckland Council Charging Policy
LGOIMA CCO Protocols - May 2015
5
Policy on charging for official
information
January 2015
Purpose
Charging is a means of managing large requests and encouraging requestors to refine the scope of
the request. It recognises the potential for large requests to divert staff resources away from the
Council’s other operations.1
Time charged
$38 per half-hour after 4 hours2. (GST is included).
Remission or reduction of charges
Not chargeable:
a
person
seeking
information about themselves is a Privacy Act matter and cannot be charged
under LGOIMA
Elected members will not be charged except when they are acting as a private citizen. Elected
members are strongly encouraged to talk in the first instance to the relevant Auckland Council
Senior Leadership Team member to resolve their information needs without having recourse to
the LGOIMA.
As a rule
the media are not subject to charges. However, if the request is a ‘data mining’ exercise
where council holds the information but more than four hours of time is required to collate it, they
will be asked if they wish to pay a charge or refine their request.
Remit or reduce charges:
if payment might cause the applicant hardship.
What can be charged?
The aggregate of all time spent on the request subject to the following.
It may include time spent in3:
searching an index to establish the location of the information;
physically locating and extracting the information from the place where it is held;
reading or reviewing the information; and
supervising access to the information.
1 These aspects were noted in the Law Commission’s review of official information legislation, para
10.201
2 Ministry of Justice Guidelines, which are acceptable to the Ombudsmens Office, have 1 hour free
3 Ministry of Justice Guidelines
The charge should not include any allowance for4:
extra time spent locating and retrieving information when it is not where it ought to be; or
time spent deciding whether or not access should be allowed and in what form. Note however
that the actual, physical editing of protected information is chargeable.
Other charges
Photocopying
Normally not charged, but Ministry of Justice guidelines provide for charging 20 cents per page after
first 20 pages.
Direct costs
Direct costs may be recovered if these are incurred.
Notifying requestor of decision and any charge
The Local Government Official Information and Meetings Act 1987 requires the Council to, as soon as
is reasonably practicable but no later than 20 working days after receiving the request:
make a decision on whether the request is to be granted and, if it is to be granted, in what manner
and for what charge
notify the requestor of this decision.
When the requestor is notified of the decision on whether to grant the request and whether there is a
charge, the requestor will have the opportunity to refine the request in order to reduce the charge.
Where a charge applies, the whole of the charge will be paid in advance. Work on the request may
be suspended pending receipt of payment.
Managing costs
The Council has many duties under other legislation and these duties should not be unduly impeded
through resources being diverted to answering information requests.
Requests should be made with “due particularity”5. The Council has a duty to assist a requestor to
comply with this6.
The Council may refuse a request on the basis of substantial collation7.
The cost of paper may be reduced by providing information electronically.
The cost of collation may be reduced by making the information available for inspection, or by making
a summary. However, information has to be supplied in the form preferred by the requestor unless
there are grounds for not doing so, such as that it would impair efficient administration8.
4 Ministry of Justice Guidelines
5 LGOIMA section 10
6 LGOIMA section 11
7 LGOIMA section 17
8 LGOIMA section 15
