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Pilot project DHB Functional Disposal Authority

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In 2018 we shared some of our thinking to:

  • improve our regulatory approach in disposal authorisation

  • test the thinking by piloting with the DHB sector, whose existing disposal authority (DA262) was due for renewal.

We have now completed a key part of the work: developing functional disposal authorities (FDAs) for the DHB sector and getting approval from the Chief Archivist.

What is a Functional Disposal Authority (FDA)?

FDAs are based on functions and activities of Government. The intention of FDAs is to cover high-level functions carried out by and/or common to more than one agency, but not all of Government.

The DHB pilot

Archives New Zealand approached the DHBs and Ministry of Health to form a working group for a pilot project. By working collaboratively, the working group aimed to transform the concept of the FDAs into a viable form. The working group consisted of two Senior Archivists from the Disposal & Acquisition team, representatives from the DHBs, the Ministry of Health and NZ Health Partnerships (NZHP).

During the development of the FDAs we used teleconference meetings, emails, workshops at Archives NZ, and a site visit to the Capital and Coast District Health Board, to meet people from the different business units. We met professionals including health clinicians, the health research manager, the health IT and ICU manager, maternity services clinicians and others. We also met with the directors of area mental health board to discuss the impacts for mental health records.

We researched other jurisdictions processes and authorisation instruments, like the National Archives of Australia, State Archives and Records Authority of New South Wales, Public Record Office Victoria and the Queensland State Archives.

We identified issues and gaps in the DHB’s disposal authority that needed to be resolved and improved for practical implementation. After a series of consultations and engagements the working group produced three functional disposal authorities:

  • FDA1 – Clinical Health Care

  • FDA2 – Health Administration

  • FDA3 – Population Health and Wellbeing.

Each FDA encompasses several classes which together capture the records related to that broad function e.g. health administration. Although the three FDAs are designed to cover functions of the DHBs, other agencies that maintain similar functions can sign up to any of them if appropriate. For example, agencies that provide health care will be encouraged to sign up to FDA1, while others with medical research functions can sign up to FDA3. Extensive internal and external stakeholder engagement was carried out. Based on feedback from stakeholders we used an iterative approach to develop and refine the new FDA approach and disposal recommendations.

Current status

The FDAs were approved by the Chief Archivist on 21 December 2021, after a second external engagement with stakeholders identified for this purpose.

We are continuing to work with the DHBs and NZHP for the implementation of the FDAs. We are currently working on developing a standard operating procedure to manage the FDAs and to facilitate any required reviews of the FDAs in the future.

We anticipate that this work will support a smooth transition of this disposal coverage from the DHBs through to the new entity Health New Zealand as the new health sector reforms are implemented later in the year.