Guidelines for using e-mail to transmit Person-Identifiable Information within Social Care (A&CS)
Nov 06 - Version 1

Contents

1.   Introduction
2.   Procedure for sending e-mails outside the DCC Network   
3.   Guidance for sending e-mails outside the DCC Network to Partner Agencies/Organisations
     (e.g. Health or Service Providers)
4.   Guidance for sending e-mails outside the DCC Network to Individuals (e.g Service Users)  
5.   Good practice for sending person-identifiable information by e-mail  
6.   Advice and Guidance

1.    Introduction
1.1  The use of external e-mail via the internet is not a secure method of communication.  

1.2  Clearly if there is a need to share confidential and person-identifiable information with partners or external organisations, as part of a faster and more efficient service, care needs to be taken to minimise the risk of the information being misdirected to the wrong person or organisation.

1.3  Person-identifiable information is information which could be used to establish the identity of an individual.  If person-identifiable information is being shared, it is information that would provide the identity of the individual to someone other than the intended recipient.

1.4  If it is absolutely necessary to transfer confidential or person-identifiable information via e-mail there are several extremely important precautions that need to be taken.

1.5  The corporate E-Mail Policy can be found via the link below.  Information about sending person-identifiable information externally via the internet can be found under the heading “Sensitive and/or Confidential Information”

Corporate Email Policy

1.6  The sender of the e-mail is responsible for the safe arrival of information at its intended destination and it is the sender who is usually liable for any breach of security and confidentiality.

1.7  This document sets out practical guidelines for the safe transmission of person-identifiable information by e-mail within Social Care in line with the Devon County Council E-Mail Policy.

2.    Procedure for sending e-mails outside the DCC Network
If person-identifiable information is to be sent by e-mail externally via the internet to an account other than one such as joe.bloggs@devon.gov.uk  the procedure below must be followed.

This includes sending information to addresses such as for example joe.bloggs@nhs.net or joe.bloggs@torbay.gov.uk.  Unless the sender has the same e-mail address as the recipient and is therefore on the same network, the information will still have to go externally via the intranet.

2.1  When person-identifiable information is included in the body of the e-mail:

• this should be anonymised wherever possible to limit identification.
• the initials or Social Care identification number should be used rather than name and address.  
• the NHS number could be used between Health and Social Care staff rather than name and address but should not be disclosed to other organisations.

2.2  When person-identifiable information is included within an attachment, the attachment must be password protected.  

A password will be set up centrally initially on a six monthly basis and staff will be informed what it will be by e-mail.

2.3  Intended recipients can be informed of the new password by either:

• ringing them beforehand to let them know the password or
• asking them to telephone for the password when the e-mail is received or
• including a note in the e-mail with the attachment to indicate that the document is password protected and include a contact number for the recipient to ring to obtain the password or
• e-mailing them with the attachment and indicate it is password protected and you wish to inform them of the password.  Ask them to reply to the e-mail to confirm the e-mail address is correct before the password is sent.

Do not include the password in the same e-mail with any document that it protects.  This at least guarantees that if the wrong person receives it they can’t access the information.

Providers such as Community Meals may use a shared mailbox in which case there may be more than one person who will have access to the mailbox and who will need to be aware of the password.

2.4  When the password is changed after six months, the new password can be sent to regular recipients in an attachment which they can open with the old password.

2.5  There is the ability to password protect a document to open in both Microsoft Word and Excel.  This will encrypt the attachment (for the purpose of these guidelines) rendering the document useless without it:

In Microsoft Word select:Tools on the Menu Bar

• Options
• Security
• Under “File encryption options for this document”
• Insert the password in the box called “password to open”
• Click on “OK”
• A box will appear for you to confirm password
• Re-enter password to open in the box
• Click on “OK”
• Ensure that changes are saved

In Microsoft Excel select:

• Tools on the Menu Bar
• Options
• Security
• Under “File encryption settings for this workbook”
• Insert the password in the box called “password to open”
• Click on “OK”
• A box will appear for you to confirm password
• Re-enter password to open in the box
• Click on “OK”
• Ensure that changes are saved

(If anyone has difficulty password protecting a document they can contact the IT Helpdesk on 01392 382222).

2.6  Once an attachment has been opened by the recipient using the password it can be saved without the password for their further use. This can be done using the method above in point 2.5 but instead of inserting a password the password is deleted from the “password to open” box.  Then click on “OK”. The changes again then must be saved.

If documents are password protected to stop others modifying them in either Word or Excel this is not a secure method.  It is possible for the recipient to make changes to the document without the password, if the documents are saved in a different location.

3.    Guidance for sending e-mails outside the DCC Network to Partner Agencies/Organisations (e.g. Health or Service Providers)
Follow the procedure above in number 2 and in addition:

3.1  Consider if e-mail is the best method of communication to send information.  In some circumstances e-mail is not a suitable replacement for phone calls.

3.2  Care should be taken as to the content of e-mails.  Sending of highly confidential or sensitive information such as an individual’s HIV status or drug abuse should be sent by another method such as by post.  

3.3  Information must only be exchanged with external organisations as part of multi-agency working arrangements or with service providers where contracts or Service Level Agreements are in place.  The contract will include a Data Protection confidentiality clause statement, for example in the case of the Community Meals Service Agreement.

4.    Guidance for sending e-mails outside the DCC Network to Individuals (e.g Service Users)
4.1  The use of e-mail is increasingly becoming the preferred communication method by members of the public, service users, their representatives and carers.

4.2  Individuals may initiate correspondence via e-mail. By making contact the individual has implicitly consented to e-mail communication.

4.3  If by responding this would involve sending person-identifiable information over the internet consider if an e-mail response is an appropriate method as there is no way of knowing:  

• if the individual allows access to their e-mail by other people.
• how many copies of e-mails are left on internet servers ‘en route’ and accessible by unknown individuals.

4.4  If it is appropriate in the circumstances and necessary to continue the communication via e-mail follow the procedure as above in number 2 and in addition:

• consider how to limit the data within the response as far as possible ideally to just an acknowledgement.
• if communication is to be continued, ensure that the party who is communicating via e-mail understands the risks of using it as a communication method.  This can be done by adding a small statement to the e-mail such as the one below or something to this effect

“Individuals are advised that the internet is not a totally secure method of communication.  By replying or sending an e-mail message to Devon County Council it will be assumed that you have explicitly consented to this method of communication.”  

• limit the amount of confidential or person-identifiable information to be used or agree with the individual how much information to send.

4.5  If corresponding with more than one person, consider if the e-mail addresses should be visible to all other recipients.  If e-mailing to individuals’ private e-mail addresses they may not wish them to be seen by others.  To send an e-mail where the recipients are not visible to each other insert the addresses in the blind copy field.  This can be selected under:

View on the menu bar
Bcc Field

5.    Good practice for sending person-identifiable information by e-mail  
5.1  If person-identifiable information is to be sent by e-mail internally within the DCC network or externally via the internet, it should only be transferred in line with Caldicott Principles and the Data Protection Act.

5.2  The Caldicott Principles govern the use of information about service users to ensure that the minimum amount of person-identifiable information is exchanged and only when absolutely necessary.

The Caldicott Principles:
(i)  Justify the purpose(s) for using person-identifiable information.

(ii)  Only use person-identifiable information when absolutely necessary.

(iii)  Use the minimum amount of person-identifiable information that is required and only those items essential to the purpose.

(iv)  Access to person-identifiable information should be on a strict need to know basis.

(v)  Everyone must understand and be aware of their responsibilities.

(vi)  Everyone should understand and comply with the law.

5.3  To help ensure that the message is only seen by those it is intended for  and not unknowingly passed on by the recipient, mark the message as confidential by selecting:

• File on the Menu bar
• Properties
• In the Sensitivity box Confidential
• Ok.

5.4  Do not e-mail person-identifiable information outside of the European Economic Area unless that country ensures an adequate level of protection for the rights of individuals in relation to the processing of personal data, or the individual has given explicit consent.

5.5  Individuals have a right to see a copy of information held about them at any time under the Data Protection Act and this includes e-mails containing personal information.

5.6  If person-identifiable or confidential information is to be transferred by e-mail it must be subject to “Safe Haven Procedures”.  A Safe Haven is a Caldicott term used to explain an agreed set of arrangements that are in place in an organisation to ensure person-identifiable information can be communicated safely and securely, when it needs to be shared with other teams or organisations.

5.7  All Health Service and Social Care organisations are expected to establish Safe Haven arrangements to safeguard confidential person-identifiable information and all staff have a responsibility to ensure that service user information is kept confidential and secure.

6.    Advice and Guidance
For further advice and guidance on sending person-identifiable information by e-mail, or any other method, please contact Caroline Hitchcock, Senior Information Governance Officer, contact details below:

Social Care Information Systems Team
The Annexe
Room A210
County Hall
Topsham Road
Exeter, EX2 4QR

Telephone: (01392) 384395

E-mail:  caroline.hitchcock@devon.gov.uk