OIA 107163 Ashley Response.pdf

Justice Centre | 19 Aitken Street
DX SX10088 | Wellington
T 04 918 8800 | F 04 918 8820
[email address] | www.justice.govt.nz

25 September 2023

Ashley
[FYI request #24009 email]
Our ref: OIA 107163

Tēnā koe Ashley

Accessing Staff Microsoft Teams

Thank you for your email of 31 August 2023, requesting, under the Official Information Act
1982 (the Act), information regarding the use of Microsoft Teams (MS Teams) at the Ministry
of Justice (the Ministry). Specifically, you requested:

Copies of the Ministry's policies, procedures, and processes regarding the use of
teams by staff members, including requests to access teams chats by managers.
How many requests for access to staff members' teams chats have been made by
managers and/or people leaders in the past 12 months? What justifications or reasons
are required when lodging a request to access staff members' teams records? Are the
staff members advised when these requests are lodged as part of the process? Is
privacy a factor considered when deciding whether to grant access?

In response to your request, I must advise that the Ministry does not hold a specific policy
related to managers requesting access to their team members’ MS Teams chat log. The use
of MS Teams within the Ministry is classified as a means of business communication like
emails and telephone calls. Therefore, I am refusing this part of your request under section
18(e) of the Act on the grounds that the information does not exist.

However, please refer to the document schedule appended to this letter which lists the
Ministry’s policies that can be applied to the use of MS Teams, and my decision on their
release. Specifically, we would like to draw attention to the Code of Conduct (page 11),
where it states:

“The Ministry has the right, without limitation, to monitor the use of Ministry
information and technology equipment and systems. This includes the right to access
your personal communications and monitor internet use made via Ministry devices
and systems.”

All employees, including managers, are required to complete a Code of Conduct learning
module every year. A breach of the Code of Conduct, or any other policy, can result in a
manager implementing either the Disciplinary Process Policy 2018 or the Unsatisfactory
Work Performance Policy 2015.

In response to your second question, I can advise that only two requests to review MS
Teams chat logs have been made in the past 12 months. Team members are only notified
that a request has been lodged if a disciplinary process has been initiated, in accordance
with the Disciplinary Process Policy.

As noted in the Code of Conduct, the Ministry has the right to monitor use of Ministry
information and the use of its technology and systems. In practice, requests for access are
submitted to the Ministry’s People Experience business unit which engages with requestors
to understand the rationale for requesting access. Requestors must also complete the ICT
request form for secure retrieval of electronic information, which seeks further information
about the reason for the request.

Only one request has been approved following this process. We are unable to disclose the
justification or reason for that request under section 9(2)(a) of the Act, to protect the privacy
of natural persons.

The Ministry expects managers to act in accordance with the Human Resources Delegations
Policy, which requires them to make decisions about their people lawfully, reasonably, and
fairly. If an employee has reason to believe their manager is acting outside their delegations,
or otherwise accessing MS Teams chats or any other information for inappropriate reasons,
they may rely on the Ministry’s Protected Disclosures Policy. Again, the Code of Conduct
Policy (page 5) says:

“If you become aware someone is breaching the Code you are required to report this
to your people leader, or if necessary, your people leader’s manager. Breaches of
the Code of Conduct will be addressed in line with the Ministry’s disciplinary
procedures.”

If you require any further information, please contact Media & Social Media Manager Joe
Locke at [email address].

Please note that this response, with your personal details removed, may be published on the
Ministry website at: justice.govt.nz/about/official-information-act-requests/oia-responses/.

If you are not satisfied with this response, you have the right to make a complaint to the
Ombudsman under section 28(3) of the Act. The Office of the Ombudsman may be
contacted by email to [email address] or by phone on 0800 802 602.

Nāku noa, nā

Eve Padgett
Acting Deputy Secretary, Corporate and Digital Services

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INFORMATION
OFFICIAL
THE
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General
•  Assist  managers  to  communicate  the  Acceptable  Use  of  Technology  Policy  to
Manager People
employees.
Experience
•  Work  with  employees  and  their  managers  to  investigate  and  resolve  non- 1982
compliance issues.
LIABILITY
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You are responsible and accountable for the consequences of your actions including any
use of Ministry ICT that is inconsistent with the activities of your job purpose or function. If
you have any doubt about what the Ministry would consider ‘reasonable’ you should
consult your manager. Any infringement of the Acceptable Use of Technology Policy may
result in disciplinary action up to and including dismissal.
OUR POLICY
Quick links
Personal use of Ministry ICT
Protecting Ministry information
Prohibited use of Ministry ICT
Information Security Controls (includes user accounts and passwords, use of external
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storage devices, installation and modification of software)
Social Media
Using Cloud services
Mobile devices
Relevant legislation
Related policies and procedures
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Limit Your
Reasonable and appropriate personal use of
Personal Use
Ministry ICT is permitted except where that usage
Excessive personal use of the Ministry’s
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impacts network performance, personal
technology can impact network
performance and productivity, and
productivity or results in undue costs being
cause increased costs for the Ministry.
incurred. You must consult your manager if you
are uncertain about what constitutes reasonable
and appropriate use.
Heavy usage of network data (such as streaming videos, large file downloads) can impact
Ministry ICT services for other employees. Heavy usage is monitored and reported on.
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You are not permitted to use your Ministry email to register for services that are not business
related or approved by your manager.
The Ministry reserves the right to block access to internet sites and services for operational or
security reasons.
Notice of monitoring
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All email and internet traffic within Ministry networks is monitored, logged and audited. The
content of all storage devices, including desktop computers, laptops, file servers, work related
mobiles, cloud services and any device connected to Ministry equipment is periodically
scanned for malicious, illicit, illegal and inappropriate content.
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Monitoring of personal use of Ministry-supplied ICT services and devices is conducted both on
an on-going basis and ad-hoc where specially required, in accordance with the Privacy Act
2020. This includes the monitoring of web browsing, emails, instant messaging and
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applications used to work mobile devices.
Protect
You must treat all information as a Ministry asset,
Information
and protect it appropriately, unless it is clearly
Inadequately protected information can
adversely impact our customers’ privacy
identified otherwise.
and the Ministry’s reputation.
When accessing or processing Ministry
information, you must:
•  only access information you are authorised to for legitimate work purposes or as
required in the course of your duties and consistent with the access provisions of
Court Rules, judicial decisions and/or other policies, procedures and guidelines,
•  ensure that information is kept appropriately secure by clearing documents from your
desk when absent from your work area and from the output trays of printers, faxes
and photocopiers,
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•  lock your screen if you leave your computer unattended,
•  report actual and suspected security incidents or weaknesses to either the Service
Desk or your manager,
•  assess the risks and consequences of unintended disclosure before transferring
information outside of the Ministry, especially to non-government parties. This
includes transfer by email and portable devices. Consider the use of encryption where
the risk and consequences of unintended disclosure are considered unacceptable.
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Information classified as SENSITIVE and RESTRICTED must be encrypted before
transmission.
Unless done so in line with approved business processes, including ICT approval, you must
not:
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•  store Ministry information on IT systems outside of those managed by the Ministry or
transport information between such systems except when explicitly permitted to do
so,
•  transmit or distribute any Ministry information via any internet or web-based service,
•  transmit or distribute any Ministry information via portable hard drives,
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•  intentionally access, modify or delete material that you don’t have authorisation to
access, modify or delete.
As example, you must not, without authorisation:
•  use personal email or an unauthorised portable storage device to transfer Ministry
information,
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•  store Ministry related information on a personal computer or device,
•  use an unapproved cloud service to transfer or store Ministry information.
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Prohibited Use
You must not use Ministry ICT for any purpose
that might violate or infringe upon the rights of
Unacceptable actions could damage the
Ministry’s reputation, cause harm or
others or which might be considered offensive or
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distress to others, or breach the law.
defamatory. Such prohibited use includes, but is
not limited to:
•  distributing or storing unauthorised material in support or operation of any business
activity other than that of the Ministry,
•  conducting any illegal or unethical activity,
•  knowingly destroying the integrity of any information,
•  downloading, viewing, storing or distributing material that is vulgar, profane, insulting,
of a sexual nature, or in any way likely to be offensive to other people,
•  distributing spam or electronic harassment of any kind,
•  defamation of any individual or organisation,
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•  distributing, storing, or accessing material in a manner that might infringe copyright,
patent, trade secret or any other intellectual property rights of any person or
organisation,
•  accessing, promoting or taking part in gambling or gaming.

Information
Our ICT systems are protected by a number of
Security Controls
information security mechanisms, including use of
Breaches of the Ministry’s security
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user accounts and passwords. You are always
to or loss of sensitive information.
responsible for the use of your accounts, and must
take all reasonable measures to keep your
passwords and other security credentials confidential.
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You must:
•  maintain the confidentiality of your account and password details for any system that
holds Ministry related information (including external login portals), and not share
them with any other person,
•  use passwords that meet the complexity requirements of the Ministry of Justice
Password Guidelines document.
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You must not:
•  access Ministry ICT systems using any other person’s account,
•  connect non-Ministry provided equipment (including portable hard drives, mobile
phones and CDs) to the Ministry’s system
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•  connect networks (including access points and ad-hoc WiFi networks) to the Ministry’s
systems,
•  attempt to install software (including plug-ins, patches, fixes, and games) from any 1982
source regardless of whether a current licence is held other than via a Service Desk
request,
•  perform or attempt any actions which are designed to circumvent information
security mechanisms.
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Social Media
Social media services (e.g. Facebook, LinkedIn,
Services
YouTube, and Twitter) provide facilities for online
Unnecessary disclosure of work-related
information on Social Media can
collaboration and social networking.
damage the Ministry’s reputation.
Whether you are using these services at home or
from within Ministry systems, you are reminded of your obligations to keep Ministry
information confidential and to act in accordance with any applicable laws, including the
Privacy Act 2020. For example, you should not publish information about Ministry business or
comment in a manner that may harm the Ministry’s reputation on any public website.
It is important you are aware that information disclosed on the Internet is implicitly or
explicitly placed into the public domain.  Once placed into the public domain, information may
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be used, in a variety of ways, without your knowledge or authority. For example, the Ministry,
if appropriate, might use such information in a work-related investigation.
You should be careful about the nature of your posts to services like Facebook, Twitter or
Instagram or any other information disclosed to social media services.
Social Media Policy
This section of the Acceptable Use of Technology Policy should be read in conjunction with the
Ministry’s Social Media Policy.
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Cloud Computing  Cloud computing is any IT service outside the
Using cloud services that have not been
direct control of the Ministry and outside the
evaluated and approved may result in
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Ministry’s network boundary, where the
disclosure or loss of sensitive information.
Ministry’s information is stored or processed.
Examples of cloud computing services are Dropbox, Office365, iCloud, Google Drive/Docs,
Amazon cloud drive, and Box.
Although convenient, cloud computing introduces risk to the Ministry environment. Factors
such as ownership of data, availability, accessibility, and security controls in place must be
considered when utilising cloud services.
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You must not use any cloud services to host Ministry data unless it is a Ministry approved
cloud service endorsed by the Chief Executive.
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Court information and Judicial information1 must not be stored or processed on offshore
cloud services without the prior agreement of the judiciary.
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Ministry
Ministry tablets and iPhones are assigned for
Provided Mobile
checking emails, calendar appointments, reading
Loss or inappropriate use of mobile
devices could lead to unauthorised
Devices
documents and being reachable while mobile.
access to sensitive information.
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You must:
• update your device when notified to from ICT communications,
• consult with ICT if you are travelling overseas to a high risk country (as defined by the
Privacy and Security team) and comply with their recommendations for Ministry
equipment you may take,
• report to the service desk if your device is lost or stolen, or you think it has been
compromised.
You must not:
• download applications that could adversely affect the Ministry’s reputation,
• leave mobile devices unattended in places from which theft is a reasonable possibility
such as vehicles parked in public spaces, or left luggage depositories while travelling,
• tamper with or modify the base settings on the device. This includes attempting to
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alter the device’s Outlook synchronisation settings or jailbreaking your device.
Personal Devices
You must not use personal devices to access Ministry systems and information except when
explicitly permitted to do so. Information on approved personal mobile device usage can be
found on Jet: https://jet.justice.govt.nz/how-do-i/mobile-devices-and-services/.
When permitted to access Ministry data from personal devices, you must agree to be bound
by any and all conditions of use specified by the Ministry including the Ministry’s right to
revoke your access and/or wipe Ministry data.
OFFICIAL
It is your responsibility to ensure that any Ministry information held within a Ministry-
provided system approved for use on personal devices is not copied or transferred to any
other non-approved location.
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The Ministry does not pay for, or reimburse, any costs incurred when using a personal device.
If your manager approves you as eligible for a Ministry supplied plan, then this can be used in
a personally supplied device. Please note that a supplied Ministry phone plan should follow all
acceptable use guidelines.
EXCEPTIONS TO THIS POLICY
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Employee
If you identify a legitimate business need which requires an exemption from this Policy, you
must discuss and agree this with your manager before taking any action which breaches the
Policy.
1 Defined in Schedule 2 of the Senior Courts Act 2016 and Schedule 1 of the District Courts Act 2016.
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You must not take any action which breaches this Policy until a formal exemption is granted.
Manager
If there is a sound business reason for requesting an exemption from this Policy, you must
engage with ICT Security who will endeavour to identify safe alternative ways to meet the  1982
requirements of the business.
In the event that an exemption from any aspect of this Policy is required, ICT Security will
grant a time-bound exemption to identified staff or business functions.
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ICT Security and
ICT Security must gain the approval of the Chief Information Security Officer (CISO) before
Security
granting a formal exemption from this Policy.
Assurance
Exemptions must be time-bound and limited to identified staff or business functions.
A register of exemptions must be maintained. Exemptions must be reviewed and modified, re-
validated or withdrawn as they fall due.

RELEVANT LEGISLATION

Employees must not use Ministry-provided ICT to distribute, publish, reproduce or transmit
any information in a manner that may breach the obligations of the Ministry or its employees
under the following or any other relevant New Zealand legislation:
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•  Privacy Act 2020
•  Public Records Act 2005
•  Official Information Act 1982
•  Crimes Act 1961
•  Copyright Act 1994
•  Electronic Transactions Act 2002
•  Harmful Digital Communications Act
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RELATED POLICIES AND PROCEDURES   THE

•  Ministry of Justice Information Security Framework
https://jet.justice.govt.nz/our-work/strategy-and-direction/information-security-
framework/
•  Ministry of Justice password guidelines
https://jet.justice.govt.nz/how-do-i/create-strong-passwords/
•  Security and Usage Guidelines for CMS Users
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https://jet.justice.govt.nz/assets/ICT/How-do-
I/0ca396b112/cms security and usage guidelines May 20181.pdf
•  Code of Conduct
https://jet.justice.govt.nz/our-work/people/code-of-conduct/
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INFORMATION
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Allegations
Where it is alleged that an employee has engaged in misconduct or serious misconduct the
Ministry will write to the employee and:
(a)  set out the nature of the allegations
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(b)  advise that the allegations will be investigated
(c)  advise who the Investigator and Decision Maker will be (if known)
(d)  advise as to the seriousness of the allegations, for example whether alleged conduct
may potentially be found to be misconduct or serious misconduct
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(e)  advise as to the potential disciplinary action that may be taken if the allegations are
found to be established
(f)
notify the employee of their right to seek independent advice from their union or a
lawyer
(g)  notify the employee of their right to bring a union or legal representative, or support
person with them to any meeting forming part of the disciplinary process
(h)  provide initial documentation that may support the allegations.
Preliminary
The  Ministry  will  invite  the  employee  to  attend  a  preliminary  meeting.    The  preliminary
meeting
meeting  may  occur  by  teleconference  or  through  audio-visual  technology  where  the
Investigator and the employee are based in different locations.
The preliminary meeting is a forum for:
(a)  the  Investigator  to  outline  the  matters  set  out  above  in  the  section  entitled
“Allegations”
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(b)  the  Investigator  to  outline  the  process  that  will  be  followed  by  the  Ministry  to
investigate the allegations
(c)  the employee to identify any person/s the employee believes should be interviewed
or any material that should be considered as part of the investigation
(d)  the  employee to provide any initial response to the allegations that  they may want
the Investigator to be aware of during the investigation.
Any  initial  response  the  employee  chooses  to  provide  is  voluntary  and  the  employee  is
under no obligation to provide an initial response at the preliminary meeting.
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If the employee decides to provide an initial response to the allegations at the preliminary
meeting  and  the  Investigator  is  satisfied  with  the  explanation  the  Investigator  can,  in
consultation  with  People  &  Performance,  decide  to  conclude  the  disciplinary  process  and
take no further action.
If the employee decides to provide an initial response to the allegations at the preliminary
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meeting  and  admits  the  conduct  alleged,  the  Investigator  may  rely  on  that  as  proof  of
misconduct  or  serious  misconduct.    In  these  circumstances  the  Investigator  will  not  be
obliged  to  make  further  inquiries  or  hold  a  substantive  interview  with  the  employee,  and
may choose to proceed to prepare an investigation report.
Investigation
The  Investigator will undertake a fair investigation into the alleged facts giving rise to the
allegations against the employee. This will usually include:
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(a)  interviewing witnesses to alleged events or other individuals who may have information
relevant to the investigation; and
(b)  gathering and assessing relevant documents or other evidence that may be relevant to
the investigation.
Prior  to  the  substantive  interview,  at  the  next  stage,  the  Investigator  will  provide  the
employee  with  a  copy  of  all  relevant  documents  or  other  material  arising  from  the
investigation  (including  notes  of  interviews  conducted).    The  employee  will  be  provided
with a reasonable opportunity to consider such material.
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Substantive
The Investigator will invite the employee to attend a substantive interview.
interview
The substantive interview is a forum for:
(a)
the  employee  to provide any response, explanation, comment, submission or other 1982
input in relation to the allegations or information arising from the investigation; and
(b)
the  Investigator  to  put  questions  to  the  employee  about  the  allegations  or  the
alleged  facts  or  events  on  which  the  allegations  are  based,  or  information  arising
from the investigation.
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The  Investigator  will  consider  the  employee’s  responses  and  other  input  in  forming  views
about whether the allegations against the employee are established or not.
Investigation
The  Investigator  will  prepare  an  investigation  report  for  the  Decision  Maker.    The
report
investigation report should set out:
•
the alleged facts or events giving rise to the allegations
•
the inquiries undertaken by the Investigator
•
a summary of the relevant information obtained during the investigation
•
a summary of the responses, explanations, comments or other input provided by the
employee
•
relevant documents or other evidence relied on by the Investigator.
The Investigator should set out his or her views as to the relevant facts and state whether or
not the Investigator considers the allegations to be established, with reasons.
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The Investigator will provide to the employee a copy of the investigation report in draft and
give  the  employee  a  reasonable  opportunity  to  consider  the  draft  report  and  provide
comments or input in writing.
After considering any input provided by the employee about the draft investigation report,
the Investigator may decide whether or not to amend the report.  Whether the Investigator
decides to amend the report or not, a copy of any written input (or a summary of any verbal
input) received from the employee should be attached to the final investigation report.
The Investigator will provide a copy of the final investigation report to the Decision Maker
and the employee.
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Decision Maker
After considering the investigation report, the Decision Maker should write to the employee
preliminary views   setting out his or her preliminary views as to whether the allegations against the employee
are established and inviting the employee to attend a disciplinary meeting.
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Where the Decision Maker expresses a preliminary view that one or more of the allegations
against the employee are established, the Decision Maker should also set out a preliminary
view as to the disciplinary action that the Decision Maker considers may be appropriate to
take in the circumstances.
Disciplinary
Where  the  Decision  Maker  has  formed  a  preliminary  view  that  one  or  more  allegations
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against  the  employee  may  be  established  the  Decision  Maker  will  invite  the  employee  to
attend a disciplinary meeting.
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Where  the  Decision  Maker  and  the  employee  are  located  in  different  locationsthe
disciplinary  meeting  may,  by  agreement  between  the  Decision  Maker  and  the  employee,
occur through audio-visual technology.
At  the  disciplinary  meeting  the  employee  will  be  given  the  opportunity  to  provide  any
response,  explanation,  comment,  submission  or other  input  in  relation  to  the allegations,
the investigation report, and/or the Decision Maker’s preliminary views.
The  Decision Maker  will consider  the  employee’s  input  and  should,  if  practicable, make  a
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final decision  during the  disciplinary  meeting  as to whether or not  the  allegations against
the employee are established.
Where  the  Decision  Maker  decides  that  one  or  more  of  the  allegations  against  the 1982
employee  are  established,  the  employee  will  be  invited  to  provide  submissions  or  other
input about what disciplinary action or penalty should be imposed in the circumstances.
At the end of the disciplinary meeting, the Decision Maker may make a decision as to what
disciplinary  action  should  be  imposed  and  may  convey  that  decision  to  the  employee
verbally at first instance.  Alternatively the Decision Maker may at his or her discretion give
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the  employee  additional  time  to  make  final  submissions  as  to  the  issue  of  appropriate
disciplinary  action  following  the  disciplinary  meeting.    In  such  circumstances  the  Decision
Maker will not make a final decision about the disciplinary action to be taken until he or she
has  received  and  considered  the  employee’s  final  written  submissions  or  until  the
timeframe for the employee to provide such submissions has expired.
Decision on
Following the disciplinary meeting the Decision Maker will confirm or notify the employee
disciplinary
of his or her final decision in writing.
action
The Decision Maker may  also,  at  the  request of  the employee, convey  his or her decision
verbally by such means as are practical and available in the circumstances.
Suspension
The  Ministry  recognises  that  suspending  an  employee  from  their  employment  while  a
disciplinary process is undertaken is a serious matter.

Suspension  may  be  contemplated where  the  Ministry  holds  concern  that  there  may  be  a
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genuine  and  unacceptable  risk  to  any  part  of  its  business,  to  the  integrity  of  its
investigation, to the  safety or wellbeing of any person, or otherwise when the temporary
removal of the employee from the workplace is considered necessary to prevent, preclude
or minimise the risk of potential harm to any person, property or process.
There is no presumption that an employee who is suspended will be dismissed.
There is no presumption that an employee who is not suspended will not be dismissed.
Prior to making a decision to suspend, the Ministry will advise the employee in writing that
suspension is being considered pending the outcome of a disciplinary process, and will give
the  employee  an  opportunity  to  provide  comment,  submissions  or  other  input  about
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whether suspension is appropriate in the circumstances.
A meeting will be convened to enable a manager who has delegated authority to make a
decision to suspend (per the HR Delegations Schedule) to hear and consider input from the
employee about whether suspension is appropriate and to consider possible alternatives to
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suspension.
Potential suspension situations often involve urgency and meetings to consider suspension
must often be convened on short notice.  Accordingly, meetings to consider an employee’s
suspension  may  occur  by  teleconference  or  through  audio-visual  technology  where  the
manager and the employee are based in different locations.
Where  an  employee’s  suspension  is  being  contemplated,  the  Ministry  may  place  the
employee on special leave on pay for up to two working days as an interim measure. This is
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in  recognition  of  the  urgent  nature  of  possible  suspension  situations  and  serves  as  an
opportunity for both parties to take independent advice and make suitable arrangements
for  the  meeting  at  which  the  Ministry  will  hear  and  consider  input  from  the  employee
about whether suspension is appropriate.
Where an employee is suspended from his or her employment, suspension will be on pay.
Warnings
Where  a  disciplinary  process  leads  to  allegations  against  an  employee  being  found  to  be
established but results in disciplinary action falling short of dismissal, the Ministry may elect

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to warn the employee.
The following types of warnings may be available options:
Verbal warning
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A verbal warning will generally be appropriate for misconduct that is low-level or minor in
nature.
Written warning
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A written warning is more serious than a verbal warning and will generally be appropriate
for  first  instances  of  misconduct  or  for  low-level  misconduct  when  the  employee  has
previously been given a verbal warning.
Final written warning
A  final  written  warning  is  more  serious  than  a  written  warning  and  will  generally  be
appropriate in instances of:
-
serious misconduct that does not result in dismissal
-
misconduct where the employee has previously been given a written warning
-
misconduct where further misconduct may lead to the employee’s dismissal.
All  warnings  (including  verbal  warnings)  must  be  recorded  in  writing.    Warnings  should
specify  the  conduct  the  employee  is  being  warned  for  and  advise  the  employee  of  the
further disciplinary consequences that may follow if the employee acts in a similar way or
otherwise engages in further misconduct or serious misconduct.
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Warnings  may  state  that they will  remain  in  force  for  a  specified  period  of  time.   On  the
expiry of any such period the warning will no longer remain in force.
Whether warnings remain in force or are expired will be relevant to consideration of what
disciplinary action should be imposed should the employee engage in further misconduct.
While warnings that remain in force will generally carry more weight in terms of making a
decision about the disciplinary action that should be taken, a pattern of expired warnings
may also be a relevant factor.
Any warning, including expired warnings, may be relied on by the Ministry as proof that it
has previously been made clear to an employee that misconduct or serious misconduct of a
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particular type is unacceptable to the Ministry.  Expired warnings will not be removed from
an employee’s personal file.
The  Ministry  does  not  require  any  particular  type  or  number  of  warnings  to  have  been
issued  before  dismissal  may  become  an  appropriate  penalty  for  repeated  instances  of
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misconduct  or  serious  misconduct.    Such  decisions  depend  on  the  nature,  extent,
seriousness or consequences of the employee’s misconduct or serious misconduct.
Nothing in this policy detracts from the principle that dismissal, including summary (instant)
dismissal  may  be  imposed  by  the  Ministry  without  prior  warning  in  instances  of  serious
misconduct.
Police
Where  allegations  are  made  that  involve  alleged  or  potential  criminal  behaviour  by  an
involvement
employee,  managers  must  notify  their  own  manager  and  seek  advice  from  People  &
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Performance.  The Ministry has guidelines in place for making a complaint to the Police and

managers  must  not  of  their  own  accord  involve  Police  in  matters  relating  to  employees
except in legitimate emergencies.
Performance
The process outlined in this policy is a disciplinary process that applies when allegations of
management
misconduct or serious misconduct are made against an employee of the Ministry.
Any  disciplinary  action  that  may  be  taken  against  an  employee  for  unsatisfactory  work
performance  should  be  addressed  in  accordance  with  the  Ministry’s  Unsatisfactory  Work
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Performance Policy and not under this policy.

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People
&
Managers  are  encouraged  to  seek  advice  from  an  HR  Business  Partner  in  relation  to  all
Performance
disciplinary matters and processes.

Managers must seek advice from an HR Business Partner in relation to any matter that:
•  may  result  in  dismissal  if  the  allegations  against  an  employee  are  found  to  be
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established
•  may have involved possible criminal behaviour by an employee.
RESPONSIBILITIES
Employees
•  To  keep  themselves  informed  of,  and  comply  with,  the  Ministry’s  Code  of  Conduct,
policies and procedures of the Ministry, and any legislative requirements that apply to
their work.
•  To comply with the law at all times.
Managers
•  To  ensure  that  employees  are  aware  of  the  standards  of  conduct  and  performance
required of them in their employment.
•  To follow fair and reasonable disciplinary processes when required in accordance with
this policy.
•  To  seek  advice  from  People  &  Performance  as  required  in  relation  to  issues  of
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employee conduct, including in relation to formal disciplinary matters and otherwise as
set out in this policy.
People &
•  To provide advice and assistance to managers as required.
Performance

RELEVANT LEGISLATION

•  Employment Relations Act 2000
OFFICIAL
•  State Sector Act 1988
•  Privacy Act 1993
•  Human Rights Act 1993
•  Protected Disclosures Act 2000
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RELATED POLICIES AND PROCEDURES

•  Code of Conduct
•  State Services Commission Standards of Integrity and Conduct 2007
•  ICT Acceptable Use policy
•  Conflicts of Interest policy
•  Harassment policy
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•  Privacy Act and Personal Information policy
•  Personal Gain Through Employment policy
•  Fraud and Corruption policy
•  Protected Disclosures policy
•  HR Delegation policy and HR Delegation Schedule

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INFORMATION
OFFICIAL
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Delegation holders are only permitted to make decisions relating to their own direct reports
and their reporting employees.  An exception to this principle exists where it is necessary
for managers to exercise a broader delegation to efficiently and effectively administer
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recruitment processes and assessment centres. Such an exception must be approved by the
HRD2 delegation holder of the Group or Groups undertaking the assessment centre.

A further exception exists for  Strategic People Experience Business Partners (SPX Business
Partners) to exercise delegation ministry-wide for administrative and record maintenance
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purposes.

HR delegation holders must also comply with the Ministry’s other relevant policies and
procedures (for example, financial delegations) when making decisions on HR matters.

Revocations,
From time to time delegations may be revoked either temporarily or permanently by the
transfers or
Chief Executive or otherwise altered or amended by the Chief Executive.
acting

appointments
A person who is properly appointed to a position to which a HRD1 to HRD5 delegation
attaches in accordance with this policy (including on a permanent or acting basis,
secondment, or pursuant other valid contractual arrangements) will be authorised to
exercise the level of delegated authority that applies to the position. No further instrument
of delegation is required.
Monitoring
The Ministry is committed to comprehensive and quality assurance of decisions.  The
INFORMATION
following quality assurance checks may be carried out to ensure delegations are being

appropriately exercised:
•  PX team, PX Advisors, SPX Business Partners and Managers should advise managers
regarding matters of delegated authority at the time they seek advice or are asked to
process the outcomes of a decision.
•  Payroll, AskHR and employees that support recruitment processes should monitor
approval has been exercised at the correct level when implementing decisions made
under HR delegations.
•
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  When Managers sign the Legislative Compliance Statement they are confirming they
have complied with all of the conditions and requirements presented in the
Instrument of HR Delegation and with all related policies and procedures.
•  Risk and Assurance regularly review the exercise of delegated authorities.
THE
RESPONSIBILITIES
Chief Executive
•  Determine and delegate the appropriate level of authority on HR matters to
managers. Except where provided in this policy, HR Delegations cannot be sub-
delegated by anyone but the Chief Executive.
Strategic
•  Role model effective decision making and provide guidance to managers on any
Leadership Team
issues. The key principle is to provide for effective and efficient decision making on
day-to-day people issues at the most appropriate level.
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People
•  Administer the HR Delegation Policy and Processes.
Experience
•  Assist managers, contractors and secondees to appropriately exercise their
delegated authorities.
Delegation
•  Ensure the HR powers and functions delegated to them are exercised with due care
Holders
and integrity and in line with communicated guidance and parameters.  They must
also ensure the decisions they make do not exceed the authority granted to them.

RELEASED

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Direct
If a discloser is not confident about making the disclosure within the Ministry, they may report
disclosures to
serious misconduct to an “appropriate authority” at any time, rather than having to go through
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an appropriate
their organisation first.  An “appropriate authority” includes:
authority at any
(a)  The head of any public-sector organisation;
time
(b)  Any officer of Parliament;
(c)  The persons or bodies listed here;
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(d)  A membership body of a particular profession, trade or calling with the power to
discipline members.
An appropriate authority does not include a Minister or Member of Parliament. However, there
are rare circumstances in which a disclosure may be made to a Minister (refer to the
‘Disclosures to a Minister of the Crown’ section for further details).
Protected
A protected disclosure will only be made where the individual:
disclosures
(a)  believes on reasonable grounds that there is, or has been, serious wrongdoing in or by
the Ministry; and
(b)  discloses information about that in accordance with this policy or the Act;
(c)  does not disclose the information in bad faith.
An individual considering making a protected disclosure can seek advice and support from:
Procedure for
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making a
(a)  The Ministry's Risk and Assurance team
protected
(b)  An Ombudsman
disclosure
An individual wishing to make a protected disclosure should provide information in accordance

with the Ministry process set out in this policy. They may provide their disclosure to:
(a)  The Ministry's Risk and Assurance team
(b)  Any General Manager or their equivalent
(c)  A Deputy Secretary
(d)  The Chief Executive  OFFICIAL
Receiving a
Within 20 working days of receiving the disclosure, the Ministry should:
Protected
(a)  acknowledge the date the disclosure was received and, if the disclosure was made orally,
Disclosure
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summarise its understanding of the disclosure;
(b)  notify Risk and Assurance that a Protected Disclosure has been received and any action
taken unless it is not reasonable to do so;
(c)  assess the risk to the disclosing individual for making a disclosure of serious wrongdoing
and take any steps necessary to mitigate this risk;
(d)  consider whether the disclosure warrants investigation;
(e)  check  with  the  disclosing  individual  whether  the  disclosure  has  been  made  elsewhere
(and any outcome);
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(f)  deal with the disclosure by:
(i)  investigating the disclosure;
(ii)  addressing any serious wrongdoing by acting or recommending action;
(iii) referring the disclosure to an appropriate authority;
(iv) deciding that no action is required;
(g)  inform the disclosing individual, with reasons, about what the Ministry has done, or is
doing to deal with the disclosure.
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If the Ministry is unable to complete these actions within 20 working days, they should begin the
process and inform the discloser how long it may take.
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Before referring a protected disclosure to an “appropriate authority”, the Ministry will consult
with  the  disclosing  individual  and  the  appropriate  authority  to  which  the  disclosure  may  be
referred.   If relating to fraud or corruption, Risk  and Assurance  are required  to report  this to
Audit New Zealand as per the Fraud and Corruption Policy.
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The receiver should provide updates to the individual and Risk and Assurance at regular intervals
throughout the process.
How people are
The Ministry will comply with the spirit and intent of the Act and the requirements of this policy.
protected
An individual who makes a protected disclosure has the following protections:
(a)  The  Ministry  will  use  its  best  endeavours  to  keep  confidential  information  that  might
identify the discloser. However, the Ministry need not keep a disclosing individual’s identity
confidential if:
-  the individual consents to the release of the identifying information; or
-  there are reasonable grounds to believe that the release of the identifying information
is essential:
(i)  for the effective investigation of the disclosure; or
(ii)  to prevent a serious risk to public health, public safety, the health or safety of any
INFORMATION
individual, or the environment; or
(iii)  to comply with the principles of natural justice; or
(iv)  to an investigation by a law enforcement or regulatory agency for the purpose of
law enforcement.
Before releasing identifying information for one of the reasons described in paragraphs (i)
or (iii) above, the Ministry will consult with the discloser about the release.
Before releasing identifying information for one of the reasons described in paragraphs (ii)
or (iv) above, the Ministry will, if practicable, consult with the discloser about the release.
OFFICIAL
Anyone  may  seek  information  and  guidance  from  an  Ombudsman  about  the  duty  of
confidentiality in the Act.
(b)  The  Ministry  will  not  retaliate  or  threaten  to  retaliate  against  an  individual  who  is  an
employee (within the meaning of the Employment Relations Act 2000) who has made, or
intends to make, a protected disclosure. This means that the Ministry will not:
THE
(i)  Dismiss the individual for making the disclosure;
(ii)  Refuse or omit to offer or afford to the individual the same terms of employment,
conditions of work, fringe benefits, or opportunities for training, promotion, and
transfer as are made available to other employees of the same or substantially
similar qualifications, experience, or skills employed in the same or substantially
similar circumstances;
(iii)  Subject the individual to any detriment or disadvantage (including any detrimental
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or  disadvantageous  effect  on  their  employment,  job  performance,  or  job
satisfaction) in circumstances in which other employees employed by the Ministry
in work of that description are not or would not be subjected to such detriment
or disadvantage;
(iv)  Retire the individual or require or cause them to retire or resign for making the
disclosure.
If the Ministry retaliates or threatens to retaliate against an individual who has made or intends
to  make  a  protected  disclosure,  the  individual  has  a  personal  grievance  against  the  Ministry
under the Employment Relations Act 2000.
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(c) The Ministry will not treat or threaten to treat any person (“P”) less favourably than it would
treat other persons in the same or substantially similar circumstances because:
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(i) P, or a relative or associate of P:
1)
intends to make or has made a protected disclosure; or
2)
has encouraged another person to make a protected disclosure; or
3)
has given information in support of, or relating to, a protected disclosure;
or
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(ii) The Ministry believes or suspects that P (or a relative or associate of P) intends to
do, or has done, anything described in paragraph (i) above.
(d) The Ministry will assess any risk of reprisal, repercussion, or adverse impacts to anyone from
the  first  report  or  disclosure.  The  Ministry  will  take  steps  to  address  any  potential  for
negative impacts to those involved in the disclosure.
(e) The  Ministry will take action to keep the  individual  safe and work  with them to provide
appropriate support.
(f)
An individual who makes a protected disclosure under this policy or in accordance with the
Act  is  immune  from  civil,  criminal,  or  disciplinary  proceedings  because  of  making  the
disclosure.
(g) The Ministry will provide practical assistance and advice to a discloser about how to make
a disclosure under this policy.  Advice can be obtained by either discussing this with your
manager, or by contacting Risk and Assurance.
(h) The  Ministry  will monitor the  experience  of  individuals  raising  concerns throughout  and
INFORMATION
after the process.
An individual who makes a disclosure knowing it is false, or who otherwise acts in bad faith will
not be protected under this policy or the Act.
An  individual  is  not  protected  under  this  policy  or  the  Act  if  they  disclose  legally  privileged
information or material.
Where an individual makes a disclosure to the Ministry under this policy or the Act, and they
Disclosures to a
believe on reasonable grounds that the Ministry:
Minister of the
OFFICIAL
Crown
(a) has not acted as it should under the “Receiving a Protected Disclosure” section of this
policy or under section 13 of the Act (as the case may be); or
(b) has not dealt with the matter so as to address the serious wrongdoing
the  individual  is  entitled  to  the  protections  set out  in  this  policy  and  the  Act  for  a  protected
THE
disclosure made to a Minister.
Supporting
The protections referred to in this policy (as defined in the section “How people are protected”
information
above) apply with all necessary modifications to individuals who disclose information in support
of a disclosure made by another person provided the individual who is disclosing the supporting
information:
(a) does not act in bad faith; and
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(b) discloses the supporting information to the Ministry in accordance with the “Procedure
for  making  a  protected  disclosure”  section  of  this  policy  or  discloses  the  supporting
information to an appropriate authority.
RESPONSIBILITIES
A manager that receives a protected disclosure must:
Manager
(a) acknowledge in writing disclosures made under this policy within 2 working days;
(b) advise Risk and Assurance;
(c) seek  appropriate  advice  as  needed  to  consider  if  the  disclosure  should  be
investigated;
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