Ka pēhea te whakawhanake kaupapahere rapu mōhiohio OIA

How to develop an OIA information search policy

We developed this resource to assist public office organisations meet their obligations under the Official Information Act 1982 (OIA) when processing requests for information. Guidance specific to the Local Government Official Information and Meetings Act 1987 and the Privacy Act 2020 will be developed separately.

There is a risk of your organisation not being able to identify all information falling within the scope of an OIA request, not only due to the way information is stored and managed but also how information is searched for.

You can use the following information to develop an information search policy or best practice guidance for staff on how to determine whether your organisation holds the information that has been requested. This should cover three main issues:

• the extent to which your organisation is obliged to extract and compile information in response to an OIA request;

• how you may respond in different circumstances, for example, where the information is incomplete, unrecorded, inaccurate or deleted; and

• the searches for information that you are expected to conduct.

An information search policy:

• helps organisations meet regulatory requirements, and the accountability expectations of government and the public

• promotes good information and records management (IM) practices

• provides best practice guidance for staff on where they are expected to search for information and how to do so

• contributes to efficient OIA searches

• supports internal monitoring for compliance.

You should undertake an OIA information search on a flexible and common-sense interpretation of the terms of the request. What constitutes ‘reasonable assistance’ will depend on the circumstances of each request and will be influenced by the normal business practices in your organisation’s operating environment.

Under section 13 of the OIA, public offices have a duty to give ‘reasonable assistance’ to a person who:

• wishes to make a request in accordance with section 12 of the OIA

• in making such a request, has not done so in accordance with the requirements in that section; or

• has not made the request to the appropriate organisation.

The Office of the Ombudsmen advise that reasonable assistance is more than telling a requestor that their request is not specific. In line with the purposes of the OIA and the ‘principle of availability’ (s.5 OIA), all reasonable assistance should be taken to help a person clarify their request so that it is specific enough for your organisation to identify the information sought.

The key is to communicate with the requester. If a request isn’t clear, contact the requester and explain what you need to help them.

Reasonable assistance may include:

• outlining different kinds of information which might meet the request

• providing access to indexes or lists to help the requestor understand the nature and extent of your organisation’s information

• providing a general response, setting out options for further information which could be provided on request; or

• giving the requestor an opportunity to talk with a contact person.

It is important that staff who may be involved in undertaking OIA information searches are supported by tools, training and resources that enable them to not only work effectively, but also ensure any OIA requests are processed in accordance with the requirements of the legislation.

An information search policy should provide internal guidance for your organisation if, for example:

• the requested information is incomplete or inaccurate

• the information has been amended or deleted after a request was received

• the information has been legally destroyed, for example, if there are questions about whether the destruction was authorised under the Public Records Act 2005

• new information has been received or created after receipt of the request but before a reply has been sent

• the information is held but has not yet been documented, for example, a record in writing of a phone call

• the extent to which staff responsible for processing OIA requests have full permissions and access to information, or

• the requested information is created or held by contracted service providers.

At a minimum, you should make every reasonable effort to locate information within the scope of an OIA request, having regard for:

• the subject matter

• previous OIA requests

• the skills and knowledge of staff who may be subject matter experts and/or responsible for your organisation’s IM, and able to assist with the existence and location of relevant information

• current and past IM systems

• authorised retention and disposal policies and practices, and

• the age of the information.

It is important to remember the following:

• An OIA request should be interpreted as extending to any information that might reasonably be taken to be included within the description the requestor has used

• If there are genuine difficulties in identifying what information is within scope of the OIA request, you should go back to the requestor to clarify what is sought rather than make any assumptions

• Identify who within your organisation may have the appropriate level of institutional knowledge and/or IM skills and training to undertake the search

• You should search all reasonably likely locations where information may be located

• It is good practice to document the locations that have been searched. If your organisation needs to replicate the information search or if the requestor complains to the Ombudsman, you can show the efforts that were made to identify the requested information.

We have developed a template to assist you in documenting the steps taken by your organisation in locating information within the scope of an OIA request (see 24/Fm12 OIA information search checklist).

Your organisation’s letter communicating its decision on an OIA request should contain enough detail to enable the requestor to understand the reason for the decision. The Office of the Ombudsmen provides various template letters on their website that can be used to help respond to OIA requests.

Although communicating the steps undertaken to find information is not a requirement under the OIA, you may choose to detail these in your response, as well as the outcome of any attempt(s) to consult the requester. This is particularly important if the request is being refused under section 18(e) or (f) of the OIA. These details may include:

• the date searches were undertaken

• description of the searches /search terms used

• the outcomes of the searches

• if applicable, reasons as to why no information was found (for example, the information does not exist – either because it never did or because it has been legally destroyed)

• if applicable, reasons as to why information cannot be made available without substantial collation or research.