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An introduction to DPUP — facilitator notes

Platform: online remote participation, for example Microsoft Teams, Cisco Jabber, Zoom or in person.

Time: 60 to 90 minutes

Key roles:

  • Facilitator and / or host — oversees remote waiting room (if online and enabled), creates a safe space, facilitates introductions, shares slides, keeps time, introduces presenters, ensures that the discussion flows evenly and to the stated purpose and agenda.
  • Presenters — present their content, answer questions on their topic.

Assumption: Participants have viewed the Introduction to DPUP video ahead of the workshop.

How to use the DPUP toolkit

An agenda and presentation are also part of this introductory workshop. These facilitator notes go with the presentation.

Focus topic: Welcome and introductions

Slide: 1

Time: 10 minutes

Role: Host

Open workshop in an appropriate way for the environment allowing presenter and participants to introduce themselves, where they’re from, their role and what they know about DPUP.

Focus topic: What we will cover today

Slide: 1

Time: 5 minutes

Role: Host

Go through the agenda at a high level:

  • Talk about the ‘why’.
  • Touch on the background behind DPUP and its creation.
  • Look at what it means for this organisation.
  • Go through the DPUP detail and adoption approach.
  • Finish with a short quiz, followed by time for questions.

Outline the workshop approach:

  • The goal is to introduce participants to DPUP and its relevance to them but it’s not designed to be an in-depth or practical application workshop (but it will talk about where to go for this)
  • Participants are encouraged to ask questions verbally or by Chat (if functionality available).

Focus topic: Overview — why DPUP?

Slides: 2–4

Time: 10 minutes

Role: Presenter

In short (slide 2)

Check whether they have watched the Introduction to DPUP video. If not and there is time, play the video then go through bullet points below.

  • DPUP was developed by the social sector for the social sector for government as well as non-governmental organisations.
  • It’s relevant whenever we collect or use any kind of data or information from or about service users.
  • Recommendations go beyond the law, and are clear when they do so and why.
  • It’s a guide for doing this in the most respectful, transparent and trustworthy way we can and in a way that makes sense in the context you’re operating within.
  • It focuses more on relationships, values and behaviours and less on prescriptive rules.
  • This workshop will explore these points in more detail.

Some key points to note:

  • DPUP does not suggest or advise anything that contradicts the Privacy Act 2020 but does suggest things we should do beyond the Privacy Act to be as transparent, respectful and trustworthy as possible.
  • DPUP is not just for data people — information or data from or about service users can be used by all sorts of people in all sorts of roles, from making a referral to another service to contract reporting or working on a new programme or policy.

The power of data (slide 3)

Think about a time either professionally or personally when you have been asked for your information and felt uncomfortable about this. Can you remember if you were provided with ‘why’ it was needed and what would be done with it? Ask a couple of people to share.

Data and information can be powerful because they can:

  • determine if someone receives a service or not
  • help shape government policy and funding
  • inform research into what the circumstances are for service users and communities, for example, their needs, resilience, experiences
  • influence the creation of new services or programmes
  • tell someone or a group’s very sensitive, personal and emotional story or experience.

When we talk about data and information — think inclusively. Data can be numbers, stories and experiences and can be from or about the people we serve.

As with any power, if data and information are misused, misunderstood or not cared for, it has the potential to create harmful consequences for the people it is about. Because data can be powerful, we have a responsibility to be responsible, respectful and transparent.

It all starts with ‘why’ (slide 4)

Why should you learn about DPUP?

  • Because it’s about people (he tāngata).
  • Because data and information are powerful.

DPUP will help you:

  • use data and information in the most respectful, trustworthy and transparent way
  • use data and information to grow the knowledge about how best to support people’s wellbeing
  • build trust with service users in how you care for their information.

Focus topic: The journey — timeline, engagement and policy development

Slides: 5–10

Time: 10 minutes

Role: Presenter

The journey (slide 5)

It’s important to understand the history behind DPUP because that influenced its development and the final policy.

Before DPUP was developed, there was some guidance and law around the collection and use of people’s data and information. For example:

  • the Privacy Act 2020
  • the Health and Disability Code.

During the development of DPUP further things came into effect like:

  • the Oranga Tamariki Information Sharing requirements
  • the Family Violence information sharing guidance
  • the Algorithm Charter for Aotearoa NZ.

So why and how is DPUP relevant? Why do we need it?

The journey (slide 6)

In 2016, the Ministry of Social Development (MSD) asked non-governmental organisations (NGOs) to provide individual client level data (ICLD) about their clients as a general condition of contracting with them. ICLD is information that identifies who people are. There were lots of reasons this was a concern for many people, for example:

  • it was not clear why the information was needed
  • it was not clear how the information would be used once it was given to MSD
  • it did not help create a culture of respect and care
  • people might be too scared to go to or use services if their name and details were shared with MSD — potentially putting people at risk.

In 2017 the Office of the Privacy Commissioner (OPC) completed an inquiry following complaints about the request.

The OPC inquiry found the proposal was not justified or proportionate and there was:

  • no clear and defined purpose for ICLD
  • not enough consideration of privacy risks
  • not enough consideration of concerns raised.

Following the OPC findings, the government asked for a discussion on the use of service user data and information in the social sector. This was led by the Social Wellbeing Agency.

While general guidance is provided by the Privacy Act 2020, there are many aspects of the wider social sector that make it less easy for everyone to understand what’s reasonable, and what’s not, when dealing with people’s information.

Key points to note:

  • No conflict with law — DPUP was developed to work alongside and not conflict with the various laws, guidelines, and so on.
  • Goes beyond the law in places — DPUP has been carefully mapped against the Privacy Act and does not contradict it.
  • In places, DPUP advises actions and behaviours that go beyond what the law requires.
  • DPUP is based on the collective ideas of the sector about what it looks like to be a respectful, transparent and trusted organisation in relation to people’s information.
  • DPUP is about both personal and non-personal information — for example, DPUP is not only about personal information but has advice about non-personal information. Engagement participants were clear that even when information cannot identify them, it can still be ‘personal’ to them and the communities they are a part of.

In November 2019, Cabinet endorsed DPUP and named 5 foundational agencies to lead the implementation.

  • Ministry of Social Development
  • Oranga Tamariki
  • Ministry of Education
  • Ministry of Health
  • Social Wellbeing Agency.

Engagement: Your voice, your data, your say (slide 7)

  • During 2018, the Social Wellbeing Agency asked people for their thoughts about the investing for social wellbeing approach and what was reasonable (or not) when using people’s information.
  • Over 1,000 people attended the workshops, with 800 online submissions, and almost 200 service users interviews (done through trusted brokers).
  • There were dedicated engagement streams for Māori, Pacific peoples and disabled people.

What would you say? (slide 8)

These are some of the questions that were asked (allow the group to read through the slide themselves and ask a couple of people to share what they would say).

What people said (slide 9)

This was some of the feedback received during the engagement (allow the group to read through the slide themselves and ask if any stand out and discuss — this can be done in breakout groups if time and platform allow).

Note that the core themes were about inclusion and transparency, significantly greater focus on the ‘why’, and clarity about how using people’s information actually leads to better outcomes for them, their whānau and communities.

From voices to policy (slide 10)

  • The findings of the ‘Your voice, your data, your say’ engagement on social wellbeing and the protection and use of data (called ‘What you told us’) was instrumental in developing DPUP and the toolkit.
  • Developed for the sector by the sector (refer to groups noted on the slide, that is Design Reference Group, Ministerial Working Group and those who participated in the original engagement).
  • Cabinet endorsement of DPUP in November 2019 enabled a green light for the sector to start using it, led by the 5 foundational agencies.

DPUP was made publicly available in January 2020 and work began on the toolkit.

Focus topic: The journey — timeline, engagement and policy development

Slides: 11–14

Time: 20 minutes

Role: Presenter

The Data Protection and Use Policy (DPUP) (slide 11)

Now we turn to DPUP itself — keep in mind the journey so far because you will see how DPUP reflects the involvement and voices of the sector.

The structure (slide 12)

  • DPUP describes values and behaviours that, when applied, will build trust and help to ensure that data practices are focused on the wellbeing of people and communities.
  • These values and behaviours are represented as 5 Principles that have people and their wellbeing at the centre.
  • DPUP then provides good practice guidance on how to uphold these Principles in key areas through 4 Guidelines, which help agencies to understand how to apply DPUP.

Read the DPUP Principles

Read the DPUP Guidelines

The 5 Principles (slide 13)

  • The Principles are at the heart of DPUP and are about values and behaviours.
  • No law, policy or guideline can give step-by-step instructions for what to do in every situation that will occur.
  • The Principles are there to guide us, to act as a compass that shows us the direction we should head in, even if we do not have the detailed map.
  • They capture the overall beliefs of those who were involved in developing them around how people’s data and information should be treated and how the people the information is about should be respected.

He Tāngata

Manaakitanga

Mana Whakahaere

Kaitiakitanga

Mahitahitanga

The 4 Guidelines (slide 14)

  • There is no one way to use DPUP.
  • Agencies can apply it in the most sensible way for their work, the kind of data or information they collect or use and the circumstances of the service users it’s about.
  • The Guidelines help us to do that.

As we go through the Guidelines, think about what this might mean for your role. It might be that in your role, there is something that you can do directly or that you can influence or it might be something that should be part of organisational policies and practices. At the end we will ask you to share something that you do, or will do going forward, that aligns with the Guidelines.

Let’s go through each of the Guidelines, noting that Purpose Matters is an overarching guideline.

Afterwards, share — what do you do, or will you do going forward, that aligns with any of these Guidelines?

Purpose Matters Guideline

Transparency and Choice

Access to Information

Sharing Value

Focus topic: DPUP Toolkit

Slide: 15

Time: 5 minutes

Role: Presenter

  • DPUP is supported by an online toolkit of resources about how it can be used in day-to-day work.
  • The toolkit has videos, checklists, summaries of important information for people working in different roles, workshop material, case studies and examples.
  • The toolkit has information for different roles from frontline workers to data scientists.
  • Different tools can be used at different stages in a process or service, such as developing your work programme, to policy or service design or research and evaluation, through to service delivery.

Focus topic: What it means for [Agency name]

Slide: 16

Time: 5 minutes

Role: Host

The Ministry has committed to lifting trust and confidence in its use of information — with some of the initiatives being:

  • Example
  • Example:
    • example.

Focus topic: Quiz

Slides: 17–28

Time: 10 minutes

Role: Facilitator / Presenter

  • Go through a short quiz to run through DPUP’s key points.
  • Say the answer or send it in Chat (if function available).

Focus topic: Questions, where to go for more information and close

Slide: 29

Time: 15 minutes

Role: Facilitator / Presenter / Host

  • Ask if the group has any remaining questions.
  • Thank them all for attending and let them know where they can go to for more detail (Data Protection and Use Policy).
  • Encourage participants to talk to others about what they learnt and how they might apply it in their day-to-day lives — both personally and professionally.
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