Cabinet Manual

 

Roles and responsibilities

3.5 Ministers decide both the direction and the priorities for their departments. They should not be involved in their departments' day-to-day operations. In general terms, Ministers are responsible for determining and promoting policy, defending policy decisions, and answering in the House on both policy and operational matters. Officials are responsible for:

  1. supporting Ministers in carrying out their ministerial functions;
  2. serving the aims and objectives of Ministers by developing and implementing policy and strategy; and
  3. implementing the decisions of the government of the day.

Ministers' relationships with chief executives

3.6 The formal relationship between Ministers and the public service is governed primarily by the State Sector Act 1988 and the Public Finance Act 1989. The relationship is also governed by convention, key aspects of which are set out in this chapter.

3.7 The main point of contact between the Minister and a department in the public service is the chief executive. Chief executives are responsible to their portfolio Ministers, under section 32 of the State Sector Act 1988, for:

  1. carrying out of the functions and duties of the department (including those imposed by statute or by the policies of the Government);
  2. tendering advice to their Minister(s) and other Ministers of the Crown;
  3. the general conduct of the department; and
  4. the efficient, effective, and economical management of the department.

3.8 Chief executives are also responsible to their Responsible Ministers for the financial management and performance of their departments under section 34 of the Public Finance Act 1989.

Accountability documents

3.9 Ministers are concerned not only with the short-term performance of their departments, but also with the capability of their departments to continue to deliver government objectives in the longer term. Ministers' priorities for departments and the standard of performance expected of their departments are specified in several key accountability documents.

  1. One-year performance information is included in supporting information to the Estimates, which are primarily one-year documents providing information supporting the appropriations sought in the Appropriation Bills and specifying expected performance.
  2. Medium-term performance information is included in the statements of intent, which are at least three-year documents setting out departmental strategic performance priorities, objectives, and capability. Statements of intent include the information required by section 40 of the Public Finance Act 1989.
  3. An output plan may be agreed between the chief executive and the relevant portfolio Minister for each Vote the department administers when more detail is needed than that included in the supporting information to the Estimates.
  4. Every chief executive agrees performance expectations with his or her Responsible Minister. These expectations are outlined in the chief executive's job description and subsequent performance reviews.

Briefing for incoming Ministers

3.10 When a new Minister is appointed or a Minister assumes a new portfolio (whether after a change of government or during the term of a government), the chief executive of the department prepares a written briefing for the Minister. The briefing:

  1. describes the organisation and responsibilities of the department or agency, as well as any Crown entities or other state sector agencies within the portfolio;
  2. sets out the terms of reference, membership, and terms of office for all boards, commissions, tribunals, and so on, for which the Minister has responsibility;
  3. includes an account of major outstanding policy issues and the implementation of current programmes;
  4. sets out details of pending decisions or action that will be required of the Minister, including recommendations for draft legislation (taking into account any coalition or support agreements, or pre-election undertakings).

3.11 This briefing is usually given to the Minister after appointment. In some circumstances, however, it may be appropriate to give this briefing to the Minister between the announcement of the appointment and the appointment ceremony, with the knowledge of the incumbent Minister, the State Services Commissioner and, where appropriate, the Prime Minister.

3.12 The written briefing should be tailored to the needs of the new Minister, and prepared in similar presentation and style as other departmental advice to the Minister. The level of detail included in this initial briefing will vary depending on whether the Minister concerned has had any prior involvement with the portfolio, and whether there has been a change of government.

3.13 While the briefing will be subject to the Official Information Act 1982, there is no presumption of public release. Whether a briefing is released publicly is a matter for the Minister, not the department or agency, to decide.

3.14 The written briefing is the first part of an ongoing process of briefing the new Minister. Its purpose is to give the Minister sufficient information to meet his or her initial requirements. This initial briefing will need to be supplemented, over a number of weeks, with further written and/or oral briefings as required.

3.15 The State Services Commission has issued further guidance on the content of briefings for incoming Ministers. (See the State Services Commission website, www.ssc.govt.nz.)

Ministers and officials

3.16 The style of the relationship and frequency of contact between Minister and department will develop according to the Minister's personal preference. The following guidance may be helpful.

  1. In their relationship with Ministers, officials should be guided by a "no surprises" principle. They should inform Ministers promptly of matters of significance within their portfolio responsibilities, particularly where these matters may be controversial or may become the subject of public debate.
  2. A chief executive should exercise judgement when deciding whether to inform a Minister of any matter for which the chief executive has statutory responsibility. Generally a briefing of this kind is provided for the Minister's information only, although occasionally the Minister's views may be a relevant factor for the chief executive to take into account. In all cases, the chief executive should ensure that the Minister knows why the matter is being raised, and both the Minister and the chief executive should act to maintain the independence of the chief executive's decision-making process.
  3. It would clearly be improper for Ministers to instruct their departments to act in an unlawful manner. Ministers should also take care to ensure that their actions could not be construed as improper intervention in administrative, financial, operational, or contractual decisions that are the responsibility of the chief executive.
  4. Ministers are ultimately responsible for setting the government's policy priorities and objectives. Chief executives must provide their Ministers with all relevant information to enable Ministers to set these priorities and objectives, taking into account the resources available to their departments.
  5. On a day-to-day basis a Minister will have contact with the senior officials best able to provide the necessary information or advice. Departmental staff and the Minister's office should keep the chief executive informed, at least in general terms, of any contact between the department and the Minister. This information helps to keep lines of communication and accountability between the Minister and the department clear.
  6. Ministers and departments need a clear understanding about which of them is responsible for media or other public comment on particular issues.
  7. Ministers and senior officials are likely to benefit from ongoing discussion about strategy for the department, and the department's capability and performance.
  8. Ministers should bear in mind that they have the capacity to exercise considerable influence over the public service. Ministers should take care to ensure that their intentions are not misunderstood, and that they do not inappropriately influence officials, or involve themselves in matters that are not their responsibility. Particular care should be taken with officials who are unlikely to have frequent or direct contact with Ministers, who may be less familiar with the principles, conventions, and working guidelines that govern the interaction between the public service and Ministers.

3.17 Ministers should ensure that staff and advisers in their offices understand the principles governing the Minister's role and the Minister's relationship with public service officials and entities in the state sector. Like Ministers, staff in Ministers' offices must take care to ensure that they do not improperly influence matters that are the responsibility of others.

3.18 Ministers who wish to obtain information from, or the assistance of, a department other than one for which they are responsible should do so through the relevant portfolio Minister.

3.19 In addition to taking advice from the public service and other parts of the state sector, Ministers may take advice from other sources, including political advisers in their offices. Political advisers have an important role in supporting Ministers to manage relationships with other political parties, to manage risk, and to negotiate support for policy and legislative initiatives.

3.20 A Minister may involve political advisers in policy development and other areas of work that might otherwise be performed within the Minister's department. The Minister and the chief executive must establish a clear understanding to ensure that:

  1. departmental officials know the extent of the advisers' authority; and
  2. proper accountability exists for results and financial requirements under the Public Finance Act 1989.

Individual ministerial responsibility for departmental actions

3.21 Ministers are accountable to the House for ensuring that the departments for which they are responsible carry out their functions properly and efficiently. On occasion, a Minister may be required to account for the actions of a department when errors are made, even when the Minister had no knowledge of, or involvement in, those actions. The question of subsequent action in relation to individual public servants may be a matter for the State Services Commissioner (in the case of chief executives), or for chief executives if any action to be taken involves members of their staff.

Appointment of chief executives

3.22 The State Services Commissioner's role in appointing chief executives and the independence of chief executives in matters concerning their employees underpin the neutrality of the public service.

3.23 The process of selecting most public service chief executives is managed by the State Services Commissioner, in accordance with Part III of the State Sector Act 1988. The Commissioner's recommendation is subject to confirmation by the Governor-General in Council, following consideration by Cabinet. Conditions of employment for chief executives are determined by agreement between the State Services Commissioner and the chief executive, subject to the agreement of the Prime Minister and the Minister of State Services.

3.24 The State Services Commissioner also has a role in managing the appointment process for a range of other chief executives and senior officers in the executive branch of the state services, beyond those for which the Commissioner has responsibility under the State Sector Act 1988. These appointments include:

  1. Solicitor-General;
  2. Chief Parliamentary Counsel and Compiler of Statutes;
  3. Secretary of the Cabinet/Clerk of the Executive Council (see paragraph 5.81);
  4. Director, Government Communications Security Bureau;
  5. Director, New Zealand Security Intelligence Service;
  6. Chief of Defence Force and senior defence appointments;
  7. Commissioner of Police and senior police appointments.

3.25 The State Services Commissioner may assist in the appointment process for certain chief executives and senior officers in the legislative branch of the state sector (for example, the General Manager, Parliamentary Service and the Clerk of the House of Representatives) if requested to do so by the Speaker.

Chief executives as employers

3.26 Chief executives act as the employing authority for the departments to which they have been appointed. Under section 33 of the State Sector Act 1988, chief executives must act independently in matters such as appointment, promotion, or disciplining of individual employees. They are not responsible to their Minister in such matters. Generally, the duty of independence and the obligation to act as a good employer will make it inappropriate for a chief executive to involve the Minister in any staffing matter.

3.27 In certain circumstances, chief executives may need to provide their Minister with a briefing on a staffing matter. In such situations, the chief executive should take into account the guidance set out in paragraph 3.16 (a) to 3.16 (c).