Improved Support for Collaboration Collaboration Toolkit Prepared for Capital Ambition by Private Public Ltd

How to use this toolkit The Collaboration Toolkit represents the combined result of our work in defining and developing improvements to inter-agency collaboration. The intention is that you can quickly get to the information and solutions you need without stepping through a complex and unwieldy report. You can get started straight away by clicking on the Homepage. Each relevant section is hyperlinked – and further links should take you to the information you need. For information on the scope of this Toolkit click here. For any questions or to suggest updates, contact nick.tjaardstra@privatepublic.co.uk

Toolkit scope Improving interactions between agencies that can be easily streamlined Improving links between existing secure email and contact directories, including Health and Local Government Extending information sharing solutions to encompass other organisations, including Schools, Care Homes and other Third Party Providers Deploying collaboration tools that save time and promote joint working Between Local Authorities and within Local and Regional Partnerships LAs Health Schools 3rd sector Cent Gov Police CJ Primary focus Secondary focus Out of scope

Identifying key information flows Breakdown of High Risk flows in example London Borough Service area Category Type of info Partners Flows Children & families Looked after children, child protection, children’s social care Child protection register, case information and assessments Met police, PCT, YOT, schools, probation, voluntary sector, courts, housing 40% Housing & Community care Adult social care, housing, temp accomm and homeless assessment Case information, personal data including rent deposits, security issues Multi-agency teams inc police, probation, PCT, MHT, + housing associations, hostels, external OOH team, removals companies Corporate services (e.g. Legal, finance) HR data, adoptions and fostering HR data, meeting agendas External suppliers, Audit Commission, various inc parents 10% Environment & culture Health, safety and licensing Licensee info and enforcement info Police, central gov agencies

Collaboration Toolkit – Homepage Home org Partner organisations Local Authority Health Central Gov Police Criminal Justice Schools Private / 3rd sector / citizens Example interactions Housing – temp acc Hospital discharge Benefits - DWP Child protection Youth Justice Looked after children Care homes Case transfers (children) Trading Standards Form 78 – CTN report Probation CAF External solicitors Guidance and recommended solutions General guidance - sharing sensitive information Secure transfer across government networks Secure transfer outside government networks Sharing contacts & availability – London Shared Directory

LA - LA: Housing and temp accommodation Description Borough housing department wishes to send information to a neighbouring borough about the movement of a homeless household to new temporary accommodation Example of current practice Problems Need to maintain a separate log-on in parallel with other secure services Information usually needs to be extracted from local systems Alternative This remains a good option for security and simplicity but also worth looking at section here secure transfer across government networks Information uploaded to NOTIFY website Alert sent to relevant neighbouring borough contact Contact is able to log on to NOTIFY and view information

LA - LA: Case transfers (children & families) Description Case transferred to a new authority and previous case worker wishes to send across assessment information Example of current practice Problems Additional administration burden – printing and re-scanning Risk that fax not collected by correct recipient Need to maintain fax machines on site Alternative Look at alternative options for sending securely by electronic means - see secure transfer across government networks File printed and faxed to secure location Received by second authority Scanned and uploaded to case management solution

LA - Health: Hospital discharge Description PCT initiates hospital discharge process by sending names and NHS numbers to the hospital discharge team at the local authority Example of current practice Problems Attachment often sent insecurely by open email Fax often sent to unsecure room at LA Admin overhead typing information into local systems Alternative Send names and attachments securely - see secure transfer across government networks Persuade clinical staff to enter details online and send securely. PCT sends names and NHS numbers as an attachment Section 2 or 5 forms handwritten and sent as fax LA team receives and enters into relevant system

LA - Health: Child protection plan Description Staff member in children’s services sends Child Protection Register to local hospital Example of current practice Problems Admin overhead from duplicate entry and sending Rarely any confirmation of receipt / Fax room may be insecure If sent by secure email can be difficult to find right recipient on appropriate shift Alternative London Child Protection Plan Search Solution currently being piloted in Haringey – contact richard.carthew@nhs.net See also secure transfer across government networks Consider increased use of shared / generic mailboxes for email Print out excel spreadsheet Fax or courier to hospital Manual input into local systems

LA – Central Gov: Benefits and DWP Description Revs and bens staff sending information to DWP Example of current practice Problems Proliferation of non-standard secure transfer systems Alternative None proposed – DTA is currently mandated by DWP Sent using DWP’s secure encryption server DTA (Data Transfer Appliance) Sent using GCmail (service owned by DWP) or

LA – Central Gov: Trading Standards Description Trading standards staff in the local authority send info including personal details of company directors to HMRC – with reference to the Licensing and Consumer Credit Act Example of current practice Problems Admin overhead – keeping extra mail account for single purpose Only available to limited numbers of staff Alternative Using GCmail or other corporate solution - see secure transfer across government networks Staff register for separate GSI addresses Staff log on to GSI accounts and send information Info received securely by HMRC

LA - Police: Child protection Description Social worker in children’s services needs to send case information to the police Child Abuse Investigation Team (SCD5) Example of current practice Problems Not all users have CJSM accounts Boroughs do not have Protective Marking Schema (as in Met) Limited use of group mailboxes Alternative Wider use of CJSM or alternative secure solution - see secure transfer across government networks Set up group mailboxes, Define rules on what can be sent – see communications and training Social worker finds colleague with CJSM account Info sent to named contact at Met using .pnn address Info sent by fax or other means Info received at Met or

LA - Police: Merlin form 78s Description Police system automatically sends form 78 Come to Notice reports to borough child protection teams Example of current practice Problems Difficult to filter or prioritise mail – if using CJSM webmail Danger of losing reports if borough moves to using GCmail Police contacts unfamiliar with Government Connect Alternative Upgrade Merlin to enable sending to GCmail addresses Different implementation of CJSM / GCmail to enable better mail management – see secure transfer across government networks Refer contacts to partner specific material Merlin generates fax or secure email using CJSM Borough staff receive via CJSM

LA – Criminal Justice: Youth Justice Board Description Borough Youth Offending Team (YOT) follows yellow envelope process to record assessment information about a young person and transfer it to the YJB’s secure accommodation system. Example of current practice Problems Different implementations of CJSM Admin involved in exporting and re-importing info in the correct format Alternative YJB rolling out ‘Connectivity’ to enable direct (secure) link from YOT case management systems For more ad-hoc traffic the borough may make a corporate decision to move to GCmail from CJSM - see secure transfer across government networks YOT exports info from local case management system Sent as an attachment using CJSM Received by YJB Assessment info entered into local systems

LA – Criminal Justice: Probation Description Exchange of Child Protection Plans with probation and other agencies as part of the Multi-Agency Public Protection Arrangements (MAPPA) Example of current practice Problems Not all users have CJSM accounts Boroughs do not have Protective Marking Schema (e.g. Restricted marking as used in Criminal Justice) Limited use of group mailboxes Alternative Recorded delivery or fax to a ‘secure location’ Different implementation options for CJSM / GCmail - see secure transfer across government networks Social worker logs into CJSM or GCmail or asks colleague Info sent to named contact in probation Info sent by fax or other means Info received at probation or

LA - Schools: Looked After Children Description A teacher wants to send a school report relating to a Looked after child to the child’s social worker Example of current practice Problems Administration of accounts Teacher needs to check webmail account Unwieldy email address (e.g. Johnsmith.myschool@) Use of unsatisfactory alternatives such as encrypted zip files Alternative Use the LGfL service USO-FX to host files securely and send alerts to recipients. Will become universal from April 2010. See http://www.cms.lgfl.net/web/lgfl/services/journal_content/usofx See also secure transfer outside government networks Teacher requests LA webmail account Signs protocol and usage doc LA helpdesk sets up account and adds users Teacher sends report as attachment using LA webmail

LA – Schools: CAF Description Practitioner exchanging information relating to a common assessment of a young person Example of current practice Problems Time and administration in following secure fax or mail process Lack of understanding of WinZip, not having required software WinZip files may not be received successfully by borough staff Alternative See previous slide and the excellent guidance on CAF under Appendix 4 at:-http://www.younglondonmatters.org/resourcecentre/14/mobilityandyounglondon/events/view/83/mobilityandyounglondonlaunchforthelondonlocalauthorityprotocolsforcommonassessment/ Practitioner faxes securely Double sealed in envelope Compressed using WinZip Received / decrypted by recipient or or

LA - Private / 3rd Sector: Care homes Description Social worker in children’s services wants to place a specialist placement for a child and may need to communicate sensitive care assessment details to more than thirty care homes Example of current practice Problems Time and workload issues in phoning all care providers Difficult to fully anonymise complex care needs Sending via WinZip may require new software or training for care home and may be blocked en route Alternative See secure transfer outside government networks Social worker phones all care homes individually Tries to anonymise data and send via standard email Care home receives and responds on availability or

LA – Private / 3rd Sector: Solicitors Description Contracts sent to/from corporate legal, or trading standards data relating to criminal proceedings Example of current practice Problems Confidential information going in the clear Secure webspaces require pre-registration of partner org Extra admin dealing with hard copies Alternative Recorded delivery or fax to a ‘secure location’ See secure transfer outside government networks Sent using standard email Uploaded to shared webspace (e.g. Huddle) Send by recorded mail or courier Solicitors receive or download or or

Summary of issues with current practice Comms & Process User awareness of options Time wasted printing and retyping hard copy info No Protective Marking Schema Lack of team or group mailboxes Difficult finding the right recipient No confirmation of receipt Existing solutions Maintaining fax machines Multiple logons for multiple systems High risk info sent in the clear Limited access to existing secure systems Unwieldy secure email addresses Inability to prioritise Files blocked or not received (encrypted zip)

Sharing sensitive information The seventh principle of the Data Protection Act states:- “Appropriate technical and organisational measures shall be taken against unauthorised or unlawful processing of personal data and against accidental loss or destruction of, or damage to, personal data” There are therefore two equally important aspects to sharing sensitive data:-. Finding the right technical solution and ensuring it is fit for purpose for enabling:- Secure transfer across government networks Secure transfer outside government networks Ensuring organisational awareness – via communications and training for staff and partner organisations

Communications and training: staff and partner organisations Five step plan 1 Audit information flows 2 Confirm benefits with services & partners 5 Plan and conduct training 4 Source partner specific material 3 Draft or update corporate policy

Communications and training: staff and partner organisations Five step plan (continued) 1 Audit information flows Produce or update your list of high risk information flows 2 Check benefits with services & partners Ensure all parties understand how training and increased info security will benefit customers 3 Draft or update corporate policy See key content items on next page – and ensure it is updated for any new systems – e.g. Gcmail 4 Source partner specific material For example local intranet or internet resources - e.g. https://protectinginfo.nationalschool.gov.uk/ 5 Plan and conduct training Usually no more than an hour – and should also include partner orgs

Draft or update corporate policy Communications and training: staff and partner organisations 3) Draft or update corporate policy and guidance There are no common guidelines laid down but ICO advice recommends a security policy is in place to cover risk of loss of sensitive information. Also, documents such as the ‘Pan-London Information Sharing Principles of Good Practice and Proforma’ or the ‘North East London Information Sharing Protocol’ all emphasise the need to specify how sensitive information will be securely exchanged. Having a corporate policy makes it much easier for practitioners to comply with local agreements. Key points covered by London boroughs within corporate guidance include:- Draft or update corporate policy Assess the risk if info goes astray Mitigate risks as far as possible Keep a record of what you send Ask for receipt from recipient Don’t send more info than you need Only send encrypted docs Don’t use fax if you can avoid it Encrypt memory sticks or CDs Treat non-secure mail as ‘post card’ Encrypt memory sticks or CDs Consider using group mailboxes In doubt? Consider risk of not sharing

Source partner specific material Communications and training: staff and partner organisations 4) Source partner specific material Some organisations make their own e-learning material available more widely – e.g. Schools at https://protectinginfo.nationalschool.gov.uk/ You may also find it useful to pinpoint information for partner staff to reference. For example the Met’s internal guidance at:- http://intranet.aware.mps/DoI/DoI/Productsandservices/Access_to_Information/IS_Policy.htm : Source partner specific material Or the NHSmail help pages which explain which domains are secure

Secure transfer across government networks Sharing sensitive information - Solutions Secure transfer across government networks If available, the first choice should always be a jointly accessible online application or database (e.g. Case management tools, ContactPoint). In order of preference the next best options for local authority staff looking to transfer info to health, central gov, police, criminal justice or other local authorities are:- Secure transfer across government networks 1 GCmail Clearly branded local government solution 2 CJSM Low cost and wide usage but CJ focused 3 Partner e-mail system Option to apply for accounts on partner systems – e.g. NHSmail, GSI Note: for large files (>10Mb), you will need to follow local guidelines on encryption and use of memory sticks / DVD / CD Click here for diagram showing government network connections

Sharing sensitive information - Solutions Secure transfer across government networks Network diagram - GC Diagram courtesy of Gov Connect

Click here for Implementation Options Sharing sensitive information - Solutions Secure transfer across government networks 1) GCmail This is the mail service provided by the Government Connect secure network for all local authorities in England. Similar to the GSI as used by central government, it allows local authority staff to have a secure ‘@mycouncil.gcsx.gov.uk’ address separate to their usual email. PROS CONS Clear local government identity New service – limited take up at present and partners may not be familiar Simple email address Depending on your email system – there may be a licence charge for additional mailboxes Support from central GC team Must undergo training before use Click here for Implementation Options

Click here for Implementation Options Sharing sensitive information - Solutions Secure transfer across government networks 2) CJSM – Criminal Justice Secure eMail CJSM has been used by Youth Offending Teams for the last 3-4 years, and has recently seen take up increase in other service areas – especially child protection where the Metropolitan police recently introduced new guidelines on data security. Staff will either have an ‘@mycouncil.cjsm.net’ address or ‘@mycouncil.gov.uk.cjsm.net’ address depending on the local implementation. PROS CONS Already in use and understood by many partners – especially police Criminal Justice branding off putting if not using for related reason Server solution can enable anyone in authority to be mailed by adding ‘cjsm.net’ to address Additional users may incur a cost long term from OCJR Can be difficult to understand concept of adding ‘cjsm.net’ to existing addresses. Click here for Implementation Options

Sharing sensitive information - Solutions Secure transfer across government networks 3) Partner e-mail system – e.g. NHSmail, GSI Several trading standards departments in local authorities have already set up GSI addresses to allow communication with central government departments, giving staff an ‘@mycouncil.gsi.gov.uk’ address. It is also possible for staff in social care to request NHSmail addresses – i.e. ‘@nhs.net’ and log on using webmail. PROS CONS Partners see you as if on same network Not a corporate solution – different departments will be registered for different external mail services No set up or support cost for local authority Relies on support from central government or NHS teams With NHSmail, no brand identity for individual orgs – all ‘@nhs.net’

GCmail implementation options Sharing sensitive information - Solutions Secure transfer across government networks 1) GCmail – Implementation options There are two fundamentally different ways in which authorities have implemented Gcmail – with major differences for the end user – meaning that service areas must be involved in the decision making process:- Completely separate service to standard email The user logs onto a completely separate webmail service (usually Outlook based) in order to send and receive secure mail using their ‘gcsx.gov.uk’ address. This clearly differentiates secure mail and allays any fears about compliance with the GC Code of Connection. (e.g. LB Barking & Dagenham) Integrated with standard email Implemented as a separate mailbox within your current Outlook installation. As implemented in Torbay, with the support of the central GC team, when you go to send a mail, a pop up box appears asking whether you want to send it Unclassified or Secure. If Secure then it is sent from your ‘.gcsx.gov.uk’ address over the GCSX network. GCmail implementation options

CJSM implementation options Sharing sensitive information - Solutions Secure transfer across government networks 2) CJSM – Implementation options Every borough YOT has made a decision three years ago on how to implement CJSM, but there is still the option to change if circumstances require:- Secure webmail service – separate from standard mail Users log on to a secure internet based service and are blocked from sending messages to insecure recipients. Depending on local ICT support – Outlook on individual machines can be configured to check and send mail as a separate account. (e.g. Brent, Ealing) Integrated with standard email If the authority has installed a CJSM server, then you will be able to send and receive secure mail from your usual inbox – providing you use the ‘cjsm.net’ extension on outgoing mail – and senders do the same with your address (e.g. Havering, Newham) CJSM implementation options

Secure transfer outside government networks Sharing sensitive information - Solutions Secure transfer outside government networks After extensive discussion and research, we have concluded that there are two equally valid practical options for communication with external partners:- A Third party email encryption tools Can encrypt both email content and attachments – partners can read and reply via a web interface B Secure web spaces or extranets Allows files or attachments to be uploaded securely and alerts sent to recipients to log on and respond Secure transfer outside government networks Note: despite widespread usage, we have not included WinZip or similar tools in this list. For security reasons, encrypted zip files are often blocked at firewalls and therefore not guaranteed to reach recipients. Along with issues over version incompatibility, we cannot recommend this as a preferred tool. Click here for a quick comparison of solutions vs key requirements

Third party email encryption tools Sharing sensitive information – Requirements Secure transfer outside government networks   Third party email encryption tools Secure webspace Secure Zip Local install Corporate install Remote server Remote Server Local Server Anyone can receive? Yes No Integrates with existing email? Simple for senders and recipients? Handles large files? Possible to expand as pan-London solution? Files transfer freely without security issue? Easy to send to large numbers of recipients? This is not intended to be a comprehensive list – but just to give an indication of some of the pros and cons of existing solutions. Besides encrypted attachments – you could also include password protected spreadsheets and similar work arounds. We’ve combined CJSM webmail and NHSmail in one column as both are currently available to local authorities and both currently use the internet as a transport mechanism with an Exchange server offsite. We have excluded person to person secure e-mail (e.g. Hytec demo to the LC steering group) as we have not seen any current requirement for this level of secuirty. 34

Third party email encryption tools Sharing sensitive information - Solutions Secure transfer outside government networks Third party email encryption tools It is only practical to send an encrypted email if the recipient organisation is able to read without any installing any additional local software. All of the products we have examined offer an web interface for external recipients to log on, and retrieve and reply to secure messages. We have not recommended any specific products – but have identified two key different delivery models, with many variations underneath:- Third party email encryption tools A1 Local install Installed on every machine – with email sent from the desktop over internet via link from Outlook (Software as a Service model) A2 Corporate solution Installed on corporate server – with no need to set up on individual machines

Email and file attachments Sharing sensitive information - Solutions Secure transfer outside government networks A1) Third party email encryption tools: Local install Provider Secure web server Local install Org A Email and file attachments Sender Org B Corp data centre Effective path Recipient Corp data centre

Sharing sensitive information - Solutions Secure transfer outside government networks A1) Third party email encryption tools: Local install In a similar way to WinZip, you can install a piece of software on you local machine that allows you to encrypt local mail, and recipients to read your mail and any attachments by logging on to a secure website using their own chosen password. Products include: Voltage SecureMail, ZixCorp ZixMail, Websense Hosted Email PROS CONS No need to phone up and give password as with secure zip files Like WinZip, needs to be installed corporately or on individual user machines Unlike Winzip – your attachment does not run the risk of being blocked for security Offers the possibility of discount via pan- London procurement and branding No need for local web server at borough – or any software at recipient side

Sharing sensitive information - Solutions Secure transfer outside government networks A2) Third party email encryption tools: Corporate solution Provider Secure web server Org A Sender Corporate solution Option 1 Org B Locally hosted web server Effective path Recipient Option 2 Corp data centre

Sharing sensitive information - Solutions Secure transfer outside government networks A2) Third party email encryption tools: Corporate solution Borough installs solution on local server and is able to automatically route email securely to particular recipients – for example by maintaining a local administered list of domains for preferred partners. Recipients log on to a server web server hosted remotely (Option 1) or on the borough premises (Option 2). Products include PGP Universal Gateway, ZixVPM, Voltage SecureMail Gateway, MessageLabs, Websense, IronMail PROS CONS No need to phone up and give password as with secure zip files Admin involved in maintaining rules for routing mail securely No need for local install Difficult to create shared London solution if hosted on individual servers Invisible for borough end users For thousands of users, usually works out cheaper than Local Install

Secure webspaces or extranets Sharing sensitive information - Solutions Secure transfer outside government networks B) Secure webspaces or extranets Secure web server hosted by local authority (e.g. Sharepoint) or as a remote service (e.g. Huddle) Secure webspaces or extranets File up/down loaded securely Alert that file is available Org A Org C Org B

Sharing sensitive information - Solutions Secure transfer outside government networks B) Secure webspaces or extranets A potentially simple solution that has become more practical as it becomes easier to manage security. New tools allow users to allow particular users access to particular spaces, and send alerts when new files are uploaded. Increasingly used for collaboration between Central Government departments. PROS CONS No need for any local installation – unless choosing to host your own webspace Admin involved in managing user access Able to use space to store calendars and other joint working information Not a solution for encrypting info in day to day emails – only valid for files Straightforward to create jointly branded London solution Already in use by many authorities

Sharing contacts and availability London Shared Directory Solution Problem Professionals working in cross-sector partnerships have difficulty identifying the right contacts and arranging joint meetings in order to share information London Shared Directory – a database hosted by NHS Tower Hamlets that enables free/busy and contact info to be shared on a daily basis over N3 Objective Create low cost London-wide shared directory for health and local government that enables staff to share up-to-date calendar and contact information Benefits More efficient information sharing between health & local authority organisations and more time spent serving patients and residents

London Shared Directory – Reasons to join Low cost of entry – two to three days work from external consultant and minimal local project management Supported - until at least October 2010 – thanks to funding from Capital Ambition Tried and trusted – five trusts and one local authority are already connected in the North East London Care Community Unique solution – with no national or other regional alternative planned Professionals need it – for existing users this has become an essential part of integrated working

London Shared Directory - FAQ Who can join? Health and local authorities including London Borough, PCTs, MHTs and acute trusts NHS Tower Hamlets, LB Newham, Homerton NHS Trust, East London NHS Foundation Trust, NHS Newham Acute & PCT Who is using it already? The first step is to get in contact with the project team (see contact page). We can then advise further on the basic requirements and the process for connection. We recommend joining at the same time as other local partner organisations so you can share calendar and contact info from day one. How do I join? This depends on local expertise. In practice the key costs will be any local project resource and the cost of external configuration, estimated at 2-3 days work. There is no ongoing charge and central support is in place until October 2010 How much does it cost? There are plans for a project Phase 2 to enable further collaboration (e.g. Unified Comms or roaming profiles). We are not aware of any other plans for a similar shared directory on a regional or national basis Are there plans for future collaboration? Who is the service provider? The current service provider is Eurodata Systems – they provide ongoing support and can connect new joiners – depending on local skills and knowledge

London Shared Directory - Contacts Nick Tjaardstra, Private Public Ltd Project Lead nick.tjaardstra@privatepublic.co.uk 07740 320461 Niall Canavan, NHS Tower Hamlets Senior Responsible Owner, Board Member Niall.canavan@thpct.nhs.uk Brian Dunleavy, Eurodata Systems Lead Technical Contact briand@eurodatasystems.com