This Part prescribes how the Commission exercises its functions, powers and services relating to the Integrity Code, including for:

(a) complaints and disclosures;

(b) investigations.

In accordance with section 15 of the Act, the Commission exercises its functions and powers under the Integrity Code in a manner that is responsive to te Tiriti o Waitangi, tikanga Māori, and the rights and interests of Māori, including by:

(a) working in partnership with Māori (eg, Māori participants and organisations);

(b) recognising the autonomy of kaupapa Māori approaches to sport and recreation, including Māori sport and recreation organisations;

(c) promoting te reo Māori, tikanga Māori and mātauranga Māori;

(d) recognising that tikanga Māori is determined by whānau, hapū and iwi;

(e) ensuring that Māori are treated equitably; and

(f) providing tikanga Māori-based dispute resolution services.

(1) The Commission will address complaints and disclosures, and investigations, through informed consent and cooperation of all affected parties and organisations unless it is considered inappropriate or not reasonably practicable to do so.

(1) In exercising its functions and powers the Commission will observe the principles of natural justice. This will include ensuring:

(a) affected parties are given the opportunity to be heard in relation to any matter which affects that person’s rights, obligations, or interests protected or recognised by law; and

(b) decision makers are unbiased.

(1) In accordance with section 29 of the Act, the Commission may take all steps necessary to comply with and implement this Integrity Code.

(2) When determining the steps to take under this Part, the Commission takes into account:

(a) the purposes of the Act; 

(b) the purposes of the Integrity Code set out in clause 3; and

(c) any other matters which the Commission considers relevant.

Complaints and dispute resolution mechanisms under the Integrity Code

(1) Anyone can make a complaint or disclosure to the Commission about a threat to integrity, or any other matter covered by the Integrity Code, through the dispute resolution service established in accordance with section 13 of the Act.

(2) The Commission may receive complaints and disclosures from an identified person, or on an anonymous basis in line with its operating procedures. These operating procedures are published by the Commission and updated as required.

(3) The Commission may, where it considers it is necessary or desirable, treat the following matters as if they were a complaint or disclosure:

(a) a notification required under clause 14 of the Integrity Code; or

(b) a referral of a matter to, or request for assistance from, the Commission by an organisation or any other person.

(4) The person making the complaint or disclosure to the Commission is not required to first make the complaint or disclosure to the relevant organisation.

(1) The Commission will assess: 

(a) whether the matter is or may:

(i) be a breach of a minimum standard by an organisation or the policies an organisation has implemented to achieve a minimum standard;

(ii) involve a participant having engaged, or attempted to engage in, one or more prohibited behaviours; or

(iii) be relevant to the Integrity Code or the Commission’s functions under the Act; and

(b) what, if any, action the Commission wishes to take under: 

(i) the Integrity Code; or

(ii) the Act.

(2) The Commission will: 

(a) conduct an initial assessment to decide on the action it considers appropriate in the circumstances; and

(b) inform the relevant organisation and participants it has received a complaint or disclosure unless it is considered inappropriate or not reasonably practicable in all the circumstances for this to occur.

(3) Where the matter appears, in whole or in part, to be more properly within the scope of the functions of another person or body, the Commission will consider whether to refer the matter in accordance with section 36 of the Act.

(4) For the avoidance of doubt, notwithstanding instances where the Commission refers a matter to another person or body, it may still act in relation to any matters for which it has responsibility.

(1) The Commission may decide to take one or more of the following actions in response to a complaint or disclosure:

(a) take no further action (eg, because the complaint is vexatious, has been dealt with appropriately already, or does not relate to integrity in sport and recreation);

(b) refer the matter to the organisation for it to decide whether to take action in accordance with its policies;

(c) contact the participant or organisation to notify them of their obligations under the Integrity Code;

(d) refer the matter to the Commission’s dispute resolution services, which may include culturally responsive dispute resolution processes (eg, a process guided by tikanga Māori);

(e) support an organisation to resolve the matter and monitor its progress;

(f) provide support to a participant involved in the process the Commission considers necessary or desirable;

(g) investigate under section 31 of the Act;

(h) take any other action provided for in the Act; and

(i) take any other steps necessary to comply with or implement the Integrity Code.

(2) The Commission will inform the relevant people and organisations in writing as soon as reasonably practicable on the action it takes or intends to take.

(3) The Commission may, where it considers it is necessary or desirable, suspend or defer any formal action until an investigation is completed by another person or body (eg, a criminal investigation by the New Zealand Police).

Investigations into a breach of the Integrity Code

(1) In accordance with section 33 of the Act, the Commission may start an investigation in response to a complaint, or on its own initiative.

(2) The Commission will: 

(a) notify the relevant people and organisations in writing as soon as reasonably practicable;

(b) engage with the relevant people and organisations, including relevant participant associations, about the nature and scope of the investigation before starting an investigation, unless inappropriate or not reasonably practicable in all the circumstances for this to occur. 

(3) The Commission may investigate a complaint or disclosure by:

(a) reviewing publicly available information;

(b) requesting or requiring cooperation (eg, through a formal interview) by parties and witnesses in accordance with clause 30;

(c) requesting or requiring information in accordance with clause 31; and

(d) seeking expert advice or opinion. 

(4) The Commission will, unless inappropriate or not reasonably practicable in all the circumstances: 

(a) conduct investigations through the consent and cooperation of the relevant people and organisations; and

(b) keep relevant people informed about the progress of an investigation.

(5) For the avoidance of doubt, section 36 (referrals of matters to body or person) of the Act applies at any stage while conducting or proposing to conduct an investigation.

(1) The Commission may issue a direction to any organisation or person to formally cooperate with an investigation, including attending an interview or disciplinary hearing, where:

(a) the organisation or person is bound by the Integrity Code; and

(b) the Commission believes on reasonable grounds that:

(i) the direction is necessary to the investigation or disciplinary hearing; and

(ii) it is consistent with the relevant participants’ needs to issue the direction.

(2) A failure to abide by a direction issued by the Commission under paragraph (1) may be treated as a breach of the Integrity Code in accordance with Part 4.

(3) A person refusing to comply with a direction to cooperate does not prevent the Commission from taking action it considers necessary under the Integrity Code (eg, the Commission may still advance or conclude an investigation when requested information has not been provided).

(1) The Commission may require a participant or organisation to provide information as part of an investigation where: 

(a) the participant or organisation is bound by the Integrity Code; and

(b) the Commission believes on reasonable grounds that:

(i) the information is relevant to the investigation;

(ii) the information cannot be obtained by consent; and

(iii) the participant or organisation holds or is likely to hold the information.

(2) A failure to provide information under paragraph (1) may be treated as a breach of the Integrity Code in accordance with Part 4.

(3) Nothing in the Integrity Code requires a person or organisation to provide information that is subject to privilege (eg, legal privilege).

(4) Where a person wishes to claim privilege, section 45 of the Act applies.

(5) A person refusing to provide information requested or required by the Commission does not prevent the Commission from taking action it considers necessary under the Integrity Code.

(6) Nothing in this clause limits or affects the Commission’s ability to require information from specified persons under section 34 of the Act.

(1) Following an investigation and subject to observing the principles of natural justice, the Commission may take one or more of the following actions:

(a) publish a report on the investigation in accordance with section 37 of the Act;

(b) in relation to a participant either:

(i) refer the matter to the relevant organisation’s disciplinary process;

(ii) refer the matter to the Commission’s disciplinary panel established in accordance with Schedule 3;

(c) in relation to an organisation, require it to take remedial action set out in clause 37;

(d) take any other action consistent with the Integrity Code (eg, referring the matter to dispute resolution).

(2) Before commenting adversely about an organisation or person in a published report, the Commission will:

(a) take all reasonable steps to notify the organisation or person; and

(b) give the person or organisation a reasonable opportunity to be heard in relation to the proposed comment.

Disputes arising in relation to application of the Integrity Code

In accordance with section 38 of the Sports Tribunal Act 2006, the Sports Tribunal may determine disputes arising from the application of the Integrity Code.

Compare: Sports Tribunal Act 2006, section 38(aa).