Auckland Council Governance Manual
He Puka Matarau

12. Official information
This section will outline what defines a strategic asset, along with ownership, management
and consultation requirements.
12.1 Council-held information
a.  What is official information?
           Official information includes material held in any format, such as:

• written documents, reports, memoranda, letters, notes and emails (n.b. this

includes draft documents and hand written notes)

• non-written documentary information, such as material stored on or generated by

computers, including databases, video or tape recordings

• information known to an agency but not yet recorded, in writing or otherwise

(including knowledge of a particular matter held by an officer, employee or member

of an agency in his/her official capacity)

• documents and manuals setting out decision-making policies, principles, rules or

guidelines.
b.  Applying the LGOIMA
The council must hold the information for the LGOIMA to apply. It does not matter
where it originated or where it is currently located, as long as it is held by the council.
For example, a third party may have created the information and sent it to the
council, or it may be held in an employee’s memory.
The LGOIMA applies to information already held. Therefore, the council is not
obliged to form an opinion or create new information in order to answer a request;
however it can create new information if it chooses to.
Information held by elected members, officers and employees in their official, rather
than personal, capacities is deemed to be held by the council.[1] However,
information held in a personal capacity can become official information if it is used
subsequently for official purposes. Auckland Council may contract private individuals,
companies or other organisations to carry out work on its behalf. Similarly,
information held by these individuals is also deemed to be held by the council if it is
held in an official capacity. [2]
12.2 Overview of the LGOIMA
a. Purpose
The key purposes of the Local Government Official Information and Meetings Act 1987 are
to:

progressively increase the availability of official information held by agencies, and
promote the open and public transaction of business at meetings to enable more
effective public participation in decision-making, as well as promote the accountability
of members and officials
protect official information and the deliberations of local authorities to the extent
consistent with the public interest and the preservation of personal privacy and
protecting it where necessary.[1]
b. Information requests
Any individual or group [2] may make a request for official information. This can be
made to anyone in the council and does not need to refer to the LGOIMA. The
LGOIMA contains rules for handling requests and provides a right to complain to the
Ombudsman in certain situations.
c.  The principle of availability
A fundamental principle is that official information should be made available unless
one or more of the grounds for withholding (which are listed in LGOIMA) applies[3].
This is the ‘principle of availability’ and should always be kept in mind when
considering how best to respond to a request.
d.  Meetings
The LGOIMA also contains provisions dedicated to the conduct of council meetings.
With some exceptions, Part 7 requires that:
meetings are publicly notified
agendas, reports and minutes are publicly available
meetings are open to the public unless there is good reason for excluding them.
Members of the public can ask the ombudsman to investigate if dissatisfied with the
council’s conduct of meetings.
12.3 Privacy Act
The Privacy Act 1993 controls how agencies collect, use, disclose, store and give
access to information which may lead to an individual’s identification, such as names,
birth dates, addresses, financial data and employment details. It does not include
company or organisational information.
a.  Purpose
The Privacy Act’s aim is to promote and protect individual privacy.The focus is on
purpose, not consent. When the council collects information, it must make it very
clear why it is collecting their information and what it intends to do with it. Because
the council only has to make individuals aware of what it will do with their information,
it does not require their consent.
b.  Privacy principles
At the heart of the Privacy Act are 12 principles:

Principle
Summary
Principle 1 – purpose for
Collect information only when
collection
needed for a lawful purpose
Principle 2 – source of
Obtain the information directly from
information
the person concerned if possible
Tell the person what you are doing
Principle 3 – what to tell an
(what is being collected, why, the
individual
recipients and the agency that holds
it
Do not use unfair or unreasonably
Principle 4 – manner of
intrusive means of collecting the
collection
information
Ensure the information is stored
Principle 5 – storage and
securely against loss, unauthorised
security
access and misuse
The person can ask to see the
Principle 6 – access
information
The person can ask to correct
Principle 7 – correction
his/her information
Make sure the information is
Principle 8 – accuracy
accurate before you use (process) it

Dispose of the information once you
Principle 9 – retention
have finished with it
Use the information only for the
Principle 10 – use
purpose for which it was obtained
Disclose the information only if this
Principle 11 – disclosure
was the reason for obtaining it
Use unique identifiers in place of a
Principle 12 – unique
person’s name only where
identifiers
necessary

These principles reflect internationally-accepted standards for handling personal
information
a.  Access requests
Under Principle 6, individuals are entitled to know if the council holds information on
them and access it if it is readily retrievable.  Information is not limited to written
documentation but can extend to information that is known by staff.
However, the right to access personal information is not absolute and the council is
permitted to withhold it in certain circumstances. Grounds for withholding information
are set out in sections 27-29 of the Privacy Act.
Requests for access to personal information are managed by the Privacy and
LGOIMA team in the Democracy Services department. The council cannot charge for
requests to access personal information.
b.  Privacy Programme
A privacy programme was initiated in 2016 to improve Auckland Council’s
compliance under the Privacy Act 1993. The programme aims to raise awareness
and educate staff about the council’s privacy obligations, improve processes around
handling personal information, implement a breach management process and
measure progress through key performance indicators. The programme is led by the
Privacy Programme Manager in the Democracy Services department.
A key component of the programme is the Privacy Officers’ Network. The Privacy Act
requires councils to have a Privacy Officer to promote compliance with the
Act. Auckland Council has a Privacy Officers’ Network of council and CCO staff, who
advocate and advise on privacy best practice. The network provides education and

advice on issues and trends in the privacy and information areas, and can assist with
requests for personal information and investigations of the Privacy Commissioner.
Information for council staff on how to contact the Privacy Officers’ network can be
found here.
c.  What is an interference with privacy
An ‘interference with privacy’ is a legal term covering a breach of the privacy
principles (e.g. where personal information has been disclosed by mistake or without
legal authority) and any resulting harm.
12.4 Ombudsmen Act
Ombudsmen are Officers of Parliament and Commissioners for Investigations.  In the
local government context they have three roles:
•  LGOIMA information requests - a requestor can ask the Office of the
Ombudsman to review the council’s response to their request
•  Protected Disclosures Act 2000 (or whistle-blowers’ act) – the Office of
the Ombudsman receives disclosures regarding matters of serious
wrongdoing by an organisation, and has the power to investigate while
protecting the whistle blower
•  Maladministration - an ombudsman has the ability to investigate and make
recommendations to the council on most decisions (by both elected members
and council staff) where there are no formal appeal processes for that type of
decision. An investigation would focus on ascertaining whether a decision
was:
o
contrary to law
o
unreasonable, unjust, oppressive, or improperly discriminatory, based
wholly or partly on a mistake of law or fact or was wrong
o
A discretionary power that had been exercised for an improper
purpose or on irrelevant grounds.
Legal Services respond to complaints investigated by the Office of the Ombudsman
on behalf of the council.
12.5 Archives
Archives are records created or received by the council or legacy councils required to
be kept permanently under the Public Records Act 2005. Good information
management practices and record-keeping enables the council to:
•  know what information it holds
•  know where that information is kept
•  know that it can rely on accessing the correct version of information.
Archived collections and services are available to council staff, elected members and
the public.  Records can be searched via the archives database (which contains
descriptions of more than 311,000 records) and viewed by visiting repositories in
south, west, north and central Auckland.
The Government Chief Archivist has set out a series of principles[1] for record-
keeping. These cover the:

•  creation and maintenance of records
•  classification and organisation of records
•  assignment of metadata to records and aggregations
•  provision of access to records
•  appraisal of records and disposing of them appropriately
•  maintaining the integrity of records
•  managing records systematically.
These principles do not mean the council has to keep all the information it creates or
holds indefinitely. However, the council is obliged to take a systematic approach to
records management.
There are more stringent requirements for material that is defined as a protected
record,[2] including agendas, minute books, records of senior management meetings
and other key documents. This material must be archived for posterity.
In common with other entities, the council is also required to keep records for tax and
employment purposes.
More information about our archives team can be found here.
12.6.1 Responding to information requests
Anyone in the council who receives an official information request needs to log it as
soon as possible by sending it to the Privacy and LGOIMA team
([Auckland Council request email]). The team is part of the Democracy
Services department.
The statutory timeframe for making a decision on a request is as soon as is
practicable but no later than 20 working days from the date received.
The Privacy and LGOIMA team will send an acknowledgement of receipt to the
requester and contact the relevant department.  The team can also advise
departments on the most appropriate way to respond, and clarify any aspects of the
legislation. The department that holds the information is responsible for the accuracy
of the information.
Clarification will be sought from the requester if there is any uncertainty about the
scope.  A request may be treated as new if it is amended or clarified, replacing the
original. This restarts the statutory time limit as long as the refinement is sought
within seven working days of receiving the request.
If the request is likely to need substantial collation, the Privacy and LGOIMA team will
have the department holding the information provide a quote for the time and costs
involved. Auckland Council’s policy is to charge $38 (GST inclusive) for every half
hour after the first four hours spent on the request (with certain exceptions).  The
Privacy and LGOIMA team will confirm with the requester if he/she wishes to pay and
continue, refine the scope or cancel the request. Some discretion is available under
the policy if a charge will cause the requester hardship. There may also be public
interest grounds for not imposing a charge.

If work on the request proceeds, departments are given 10 working days to draft their
response and collate the information.  Departments must apply to the Privacy and
LGOIMA team for a time extension if they cannot meet the deadline.  Extensions may
be granted only if the request is for a substantial amount of information needing
additional time to collate or if negotiations are required to make a decision. If agreed,
the Privacy and LGOIMA team will inform the requester of the delay and provide a
new date.
Before making a decision, the Privacy and LGOIMA team may consult with the
requester, council staff, external third parties or other agencies with an interest.
12.6.2 Withholding information
The council needs to keep in mind the key principle that information must be made
available unless there is good reason to withhold it.
Requests made under Part 2 of the LGOIMA can only be refused for the reasons set
out in the Act, namely:
•  administrative reasons (section 17)
•  conclusive reasons (section 6)
•  good reasons (section 7)
•  neither confirming nor denying the existence or non-existence of information
(section 8).
Administrative reasons for refusing a request should be considered first, ideally in the
early stages of processing the request. These are that:
•  making the information available would be contrary to an enactment
•  making the information available would constitute contempt of Court or of the
House of Representatives
•  the information is, or will soon be, publicly available
•  the request is made by or on behalf of a defendant for information that could
be sought under the Criminal Disclosure Act 2008
•  the document does not exist or cannot be found despite reasonable efforts to
locate it
•  the information cannot be made available without substantial collation or
research
•  the information is not held by the agency and there are no grounds to believe
it is held by another agency or is more closely connected with the functions of
another agency
•  the request is frivolous, vexatious or the information asked for is trivial.
If there is no administrative issue, the council should consider whether there is any
potential harm in releasing the information; this may provide a substantive reason to
withhold it under the LGOIMA. In particular, whether:
•  any identified harmful effect would prejudice one of the conclusive
interests protected by section 6, including maintenance of the law or
personal safety

•  any identified harmful effect would prejudice one of the interests protected
by section 7, including:
•  privacy
•  commercial activities
•  information subject to an obligation of confidence
•  free and frank opinion
•  legal professional privilege.
When considering the application of section 7, the council must also consider the
extent of public interest in the information’s release. The request cannot be refused
under section 7 if the public interest outweighs the need to withhold the information.
12.6.3 Communicating the decision
A decision must be communicated to the requester as soon as reasonably
practicable and no later than 20 working days after the date on which the request
was received (unless the maximum time limit is extended).  Notice of the decision
must include whether the request will be granted and, if so, in what manner.
The council must not unduly delay making the information available.[1] It can:[2]
•  give the requester a reasonable opportunity to inspect the information
•  release a hard copy of the information
•  release the information in electronic form or by electronic means
•  arrange for the requester to hear or view the information
•  provide a written transcript of the information
•  provide partial disclosure of the information, e.g. release a document with
some information deleted (redacted)
•  release a summary of the information
•  release an excerpt or particular passage from a document
•  provide the requester with an oral briefing.
The council must release the information in the way preferred by the requester
unless doing so would impair efficient administration, be contrary to any legal duty
the council has in respect of the information, or prejudice the interests protected by
sections 6 or 7 of the LGOIMA.[3] The council must explain why[4] the information is
not provided in the preferred way.
The council may also decide to release the information subject to certain conditions.
For instance, it may require that the requester keep the information confidential or
use the information only for a specific purpose. The council can also release the
information with additional context or material it considers relevant to the request and
helpful to the requester.
The notice to the requester must provide reasons[5] if information is withheld (in part
or entirely) and be approved and signed off by the relevant tier 3 manager.  Every
decision to refuse a request must advise the requester of the right to complain to the
ombudsman and to seek an investigation and review of that decision.[6]

12.6.4 Publishing information
The council may, whether proactively or in response to a request, choose to publish
information.
Proactive release of information to the public promotes good government, openness
and transparency, and fosters public trust and confidence.  It also has administrative
benefits, including reducing requests for information already publicly available.
Published LGOIMA responses can be found on our website here.
12.6.5 Good faith protection
Releasing information in good faith in response to a request made under the
LGOIMA will not expose the council to civil or criminal proceedings. The act explicitly
states that:[1]
“Where any official information is made available in good faith pursuant to Part 2 or
Part 3 or Part 4 by any local authority no proceedings, civil or criminal, shall lie
against the local authority or any other person in respect of the making available of
that information, or for any consequences that flow....”
This section effectively protects the council from any defamation, breach of
confidence proceedings or complaints to the Privacy Commissioner under the
Privacy Act.
However, the good faith protection under the LGOIMA is not available when the
council decides to proactively release information.  Similarly, protection does not
extend to publication of the information by the requester or subsequent parties, such
as a newspaper.[2]

12.7 Footnotes
12.1 Council-held information
[1] Section 2(3) LGOIMA
[2] Section 2(6) LGOIMA
12.2 Overview of the LGOIMA
[1] Sections 6, 7, 8 and 17 LGOIMA
[2] Section 10(1) LGOIMA
[3] Sections 5 LGOIMA
[4] Sections 6, 7, 8 and 17 LGOIMA
12.5 Archives
[1] http://records.archives.govt.nz/managing-records2/records-management-standard/

[2] http://archives.govt.nz/advice/guidance-and-standards/guidance-audience/advice-local-
authorities/list-protected-records-loca[1] http://archives.govt.nz/advice/guidance-and-
standards/guidance-audience/advice-local-authorities/list-protected-records-loca
12.6.3 Communicating the decision
[1] Section 27(5)( LGOIMA
[2] Sections 15(1), 15(1A) and 16(1) LGOIMA
[3] Section 15(2) LGOIMA
[4] Section 15(3) LGOIMA
[5] Section 18(a)(i) LGOIMA
[6] Section 18(b) LGOIMA
12.6.5 Good Faith Protection
[1] Section 41 LGOIMA
[2] Section 4(a) LGOIMA
Key Documents
Appointment and Remuneration Policy for Boards Members of Council Organisation
Civil Defence Emergency Management Act 2002
Code of Conduct
Code of conduct for elected members
Interpretation Act 1999
Ngāti Whātua Orākei Claims Settlement Act 2012
Ngāti Whātua o Kaipara Claims Settlement Act 2013
Lawyers and Conveyancers Act (Lawyers: Conduct and Client Care) Rules 2008
Local Boards Standing Orders
Local Electoral Act 2001
Local Government Act 2002
Local Government (Rating) Act 2002
Local Government (Auckland Council) Act 2009
Local Government Official Information and Meetings Act 1987
Public Audit Act 2001

Standing Orders

Document Outline