Newcastle Safeguarding Adults Board - Newcastle City Council

Newcastle Safeguarding Adults BoardMulti-agency information sharingagreementDecember 2010Service/Directorate Document title Version IssuedbyNewcastle SafeguardingAdults BoardMulti-agencyinformationsharing agreementFINALDr Sue Ross(IndependentChair, NSAB)ClassificationUnclassified

Overview1. Introduction1.1 The Newcastle Safeguarding Adults Board is a multi-agency partnershipresponsible for co-ordinating the implementation of No Secrets (Department ofHealth, 2000): government guidance governing the development andimplementation of policies and procedures to protect vulnerable adults fromabuse.1.2 No Secrets stated that “agencies should draw up a common agreement relatingto confidentiality and setting out the principles governing the sharing ofinformation based on the best interests of the vulnerable adult.” No Secrets wassupplemented by Safeguarding Adults, A National Framework of Standards forgood practice in adult protection work (Association of Directors of SocialServices, 2005) which stated the multi-agency partnership should have “aninformation-sharing protocol between all partner agencies, and those contractedto provide services by them, that covers all aspects of safeguarding adults work”.1.3 Effective multi-agency safeguarding adults procedures require personalinformation to be appropriately shared across agencies in order that all relevantinformation is available to those making judgements about concerns of abuse orneglect.1.4 This agreement is approved by the agencies represented on the NewcastleSafeguarding Adults Board, listed in Section 2. Organisations that are contractedby statutory agencies or receive grant aid funding will be expected to be a partyto this agreement.1.5 The purpose of this information sharing agreement is to support lawfulinformation sharing between agencies to protect vulnerable adults from abuse bysetting out an agreed framework.1.6 The agreement should be used as good practice standards that all staff frompartner agencies need to meet in order to fulfil their duty of care in relation to thesharing of information for the purposes of responding to or preventing abuse orneglect of vulnerable adults.2. Partners to the agreement2.1 The information sharing agreement is between the following partners:Age UKNewcastle City CouncilNewcastle upon Tyne Hospitals NHS Foundation TrustNHS Newcastle and North Tyneside Community HealthNHS North of TyneNorthumberland Tyne and Wear NHS Foundation TrustNorthumbria PoliceNorthumbria Probation TrustSkills for PeopleVictim Support, Northumbria Branch2.2 It is the responsibility of all partners:2.2.1 To understand their duty of confidentiality but also their duty to shareinformation where there is a concern that a vulnerable adult, a child, ormember of the public is at risk or suffering harm.Service/Directorate Document title Version Issued by ClassificationNewcastle SafeguardingFinalUnclassifiedAdults Board13.12.10Multi-agencyinformationsharing agreementDr Sue Ross(IndependentChair, NSAB)- 2 -

2.2.2 To ensure that the agreement is shared within their organisation and anyother organisation with which it contracts to provide a service to vulnerableadults.2.2.3 To ensure that all relevant members of staff should have access to,understand, and adhere to the information sharing agreement.2.2.4 To ensure that any organisation it contracts with has access to, understandsand adheres to the agreement.2.2.5 To implement the agreement within their own organisation.2.2.6 To make copies of the agreement available to users, carers and members ofthe public.2.2.7 To monitor and review the implementation of the agreement within their ownorganisation and any organisation it contracts with.3. Purpose of information sharing3.1 The overall objective of sharing information within safeguarding adults work isto ensure that vulnerable adults are effectively safeguarded, by providing allrelevant parties with the information they need in order to address concerns,reduce risks or prevent abuse happening in the future.3.2 Specific purposes for information sharing within safeguarding adults work maybe:3.2.1 To seek advice about a specific safeguarding adults situation or to establishgrounds for progressing with safeguarding adults procedures.3.2.2 To make a safeguarding adults alert3.2.3 To seek immediate protection for a person(s) through referral to anotherservice(s)3.2.4 To notify agencies who may need to take action against alleged or knownperpetrators (includes risks posed by a member of the public, worker,volunteer or a service user)3.2.5 To make a referral to agencies for purposes of requesting or amendingservices to people at risk of abuse or to those suspected of perpetratingabuse3.2.6 To complete a criminal investigation, an employment investigation, aregulatory investigation, a Risk Assessment and Management Plan (RAMP),a Serious Case Review or any other investigation or review as part of thesafeguarding adults process3.2.7 To monitor and audit safeguarding adults work e.g. alerts, quality ofoutcomes, adherence to procedures3.2.8 To review and develop multi-agency policies and procedures to safeguardvulnerable adults3.2.9 To deal with complaints, grievances and professional or administrativemalpractice.3.3 The review (see section 14) of the Information Sharing Agreement willidentify: other reasons for sharing information not included above; and that theabove are still necessary to effectively safeguard vulnerable adults.4. Information to be shared4.1 This agreement primarily applies to the sharing of information about avulnerable adult(s) where there is a concern they have been a victim of abuseor neglect, however this may involve the sharing of information about others inorder to safeguard other vulnerable adults, children or the general public.Service/Directorate Document title Version Issued by ClassificationNewcastle SafeguardingFinalUnclassifiedAdults Board13.12.10Multi-agencyinformationsharing agreementDr Sue Ross(IndependentChair, NSAB)- 3 -

4.2 The agreement concerns the following personal and/or sensitive informationwhich needs to be shared for the purposes outlined in section 3:4.2.1 “Personal data” which identifies the alleged victim(s) or alleged perpetrator(s)of abuse or neglect e.g. name, date of birth, address4.2.2 “Sensitive data” about the alleged victim(s) or alleged perpetrator(s) of abuseor neglect e.g. gender, religion, ethnicity4.2.3 Reasons for concerns and details of the alleged concerns e.g. type of abuse,location of abuse, levels of risk or urgency4.2.4 Information about the physical and or mental health of the alleged victim(s) oralleged perpetrator(s) e.g. mental capacity, communication needs4.2.5 Reports of any medical or social care assessments or examinationsundertaken as part of the safeguarding adults procedures e.g. eligibility forcommunity care, psychiatric assessment.4.2.6 Personal data which identifies professionals involved with the alleged victim(s)or alleged perpetrator(s)4.2.7 Personal data which identifies other people who may be at risk e.g. viaemployment, family, service4.2.8 Historical information held in records about the alleged victim(s) or allegedperpetrator(s) that may be relevant to the current safeguarding concern e.g.previous safeguarding adults alert4.2.9 Name and contact details of alerter4.2.10 Name of employer or organisation if the concern relates to a paid worker orvolunteer of a service provider4.3 The agreement also concerns aggregated data (e.g. statistics) which may beshared. In these situations, anonymised information should be used.5. Legal basis for information sharing5.1 The information shared under this agreement is regulated by:The Data Protection Act 1998The common law duty of confidentialityThe Human Rights Act 1998The Mental Capacity Act 2005Crime and Disorder Act 1998Freedom of Information Act 20005.2 In addition there are a number of professional codes of conduct and guidance oninformation sharing which should be considered, in particular:Information Sharing Guidance for Practitioners and Managers (Departmentfor Children and Families and Communities and Local Government)Information Sharing Requirements relating to Offenders (Ministry ofJustice/National Offender Management Service)5.3 The information sharing will be carried out in accordance with the DataProtection Act 1998. This will including ensuring:5.3.1 That there is a clear and legitimate purpose for the sharing of information5.3.2 That personal and sensitive information is anonymised where possible toavoid a person being identifiedService/Directorate Document title Version Issued by ClassificationNewcastle SafeguardingFinalUnclassifiedAdults Board13.12.10Multi-agencyinformationsharing agreementDr Sue Ross(IndependentChair, NSAB)- 4 -

5.3.3 Where possible consent is sought from a person when information is going tobe shared about them (Consent may not be sought or is overridden wherethere is sufficient public interest)5.3.4 Best interest decisions are made when a person lacks the capacity toconsent to information being shared.5.3.5 Specialist advice is sought from managers, legal advisors or CaldicottGuardians if there is uncertainty about the sharing of information.5.3.6 Information is shared appropriately and securely;5.3.7 Records are made when information is shared or requested.Service user considerations6. Privacy and Confidentiality6.1 Where it is necessary to share information this will be done in accordancewith the Data Protection Act 1998 where this applies and any other relevantlegislation.6.2 In order that information is shared fairly and vulnerable adults aresafeguarded, the following principles should be adhered to:6.2.1 Information sharing decisions will be based on considerations of safety andwell-being of the person and others.6.2.2 The Data Protection Act should not be used as a barrier to sharinginformation, but as a framework to ensure that personal information is sharedappropriately. Confidentiality should never be confused with secrecy; in somecircumstances it will be necessary to share personal information with orwithout the person’s consent.6.2.3 A person has a right to know why, what, how and with whom information will,or could be shared with as part of the safeguarding adults process.6.2.4 Whenever information is shared for a purpose other than the protection ofpeople under safeguarding adults procedures (e.g. review of procedures,training) then all personal information will be anonymised.6.2.5 Where the information subject is deceased, their confidentiality enduresbeyond death.7. Service user consent7.1 Information will be shared with the informed consent of a person unless thereis clear justification for proceeding without consent (see 6.2.8). This meansthat the person giving consent understands why information needs to beshared, what will be shared, who will see their information, the purpose it willbe put and the implications of sharing that information. Consent can beexpressed verbally, in writing, or another form of communication, althoughwritten consent is best practice (there is an example written consent form inappendix 2 which could be applied). This includes sharing information withfamily members, close relatives and friends.7.2 Where there is a concern that a person lacks capacity to consent toinformation being shared, a capacity assessment will be completed as perThe Mental Capacity Act 2005. If the assessment follows that the personlacks the capacity to consent, then a best interest decision should be made,following the principles outlined in the Mental Capacity Act 2005. Thisincludes considering the person’s own views (where possible) and the viewsService/Directorate Document title Version Issued by ClassificationNewcastle SafeguardingFinalUnclassifiedAdults Board13.12.10Multi-agencyinformationsharing agreementDr Sue Ross(IndependentChair, NSAB)- 5 -

of those close to a person (close relatives, partners, carers, welfare attorneys,court-appointed deputies or guardians). If a person has no-one close to themto represent them or that person is not seen to be acting the person’s bestinterests or is the alleged perpetrator then an Independent Mental CapacityAdvocate (IMCA) should be used where the decision relates to safeguardingadults procedures.7.3 Where a person makes a decision or a best interest decision is made not toshare information then this decision should be respected where possible.7.4 There will be some circumstances when consent will not be sought because itis unsafe, or where consent will be overridden:7.4.1 If by seeking consent it would place a person (the individual, a familymember, or a third party) at increased risk of harm7.4.2 Where seeking consent would prejudice the prevention detection orprosecution of a serious crime7.4.3 Where it would lead to the unnecessary delay into making enquiriesabout concerns of significant harm to a vulnerable adult or child7.4.4 Where it is justified in the public interest. This may include: to protectadults from serious harm; to protect children from significant harm; toprevent crime and disorder; in the interests of public safety. Thequestion of whether there is sufficient public interest should be judgedon the facts of each case. Where there is uncertainty whether thepublic interest justifies disclosing without consent, advice will be soughtfrom a manager, designated lead person for safeguarding adults or theSafeguarding Adults Unit – where possible the identity of the personwill not be disclosed.7.4.5 Where it is a legal obligation imposed by the court or statute.7.5 Information will be shared about an alleged perpetrator without their consentwhere there is a reasonable belief that the sharing of information is necessaryto protect a vulnerable adult or the wider public. A decision will be made at thestrategy discussion/meeting about what and how information will be sharedwith an alleged perpetrator.8. Service user awareness and rights8.1 All partners to this agreement will ensure that the Information SharingAgreement is available to service users, carers and members of thegeneral public.8.2 Partners to this agreement have a responsibility to make service usersaware of the purpose and content of this Information Sharing Agreement,it’s impact upon them, their rights and how these may be exercised.8.3 Information that is shared about a person will be kept on their records andwill normally be made available to that person and/or an appropriaterepresentative. The right of access to information is made under the DataProtection Act 1998. Requests should be made via a Subject AccessRequest. Subject Access Requests can be made to any of the partneragencies listed.8.4 When information is shared about a person, they have the right to knowthe nature of the concerns, have a right of reply and an opportunity tocorrect any information about them that is not accurate. This includesalleged perpetrators. Exemptions to this right of access may be made if:information identifies other people, then there is the right to remove thatService/Directorate Document title Version Issued by ClassificationNewcastle SafeguardingFinalUnclassifiedAdults Board13.12.10Multi-agencyinformationsharing agreementDr Sue Ross(IndependentChair, NSAB)- 6 -

information; there is concern that serious harm to the person or otherswould likely to be caused by disclosing the information; a third party isrequesting the information on behalf of the person and the personexpressly stated it was not for disclosure; it would hinder the prevention ordetection of crime.8.5 Where a person feels that their confidentiality has been breached they canmake a complaint to any of the partner agencies listed.Information Sharing Procedures and Processes9. Access9.1 Partner organisations (to this Agreement), their contracted services and theirrespective staff or volunteers have access to information for those purposesoutlined in section 4.9.2 It is the responsibility of those partner organisations to ensure there areprocedures in place to ensure appropriate access to information byappropriate staff or volunteers.9.3 Information will be stored and shared using secure methods which protectprivacy and prevent risk of unauthorised access (see appendix 4 for bestpractice guidelines).9.4 The classification of documents under the Protective Marking Scheme (seeappendix 4) does not affect requests made under the Freedom of InformationAct 2000. All requests for information under the Freedom of Information Actare handled on a case by case basis. If a document is labelled as ‘protect’,‘restricted’ or ‘confidential’ under the Protective Marking Scheme then thismight indicate that we should be cautious about disclosing it under theFreedom of Information Act. However, information can only be withheld if oneof the exemptions listed in the Freedom of Information Act apply.10. Methods of requesting and transferring information10.1 This agreement applies to information that is shared in the following ways:Internal post.External post.Telephone.Safeguarding adults meeting.Fax or textphone.Email.Databases/electronic records10.2 The safe and secure handling and transfer of information will depend upon thelevel of sensitivity of the information.10.3 All documents should be marked according to the Protective MarkingScheme. The originator of the information is responsible for classifyinginformation as per the Protective Marking Scheme (see appendix 4 for bestpractice guidance).10.4 Please see appendix 4 for guidance about the safe and secure exchange ofinformation.10.5 Recipients of information will understand the purpose for which theinformation was shared and the limits of any consent that has been given (e.g.Service/Directorate Document title Version Issued by ClassificationNewcastle SafeguardingFinalUnclassifiedAdults Board13.12.10Multi-agencyinformationsharing agreementDr Sue Ross(IndependentChair, NSAB)- 7 -

whether they are able to share the information further). Where there isuncertainty then the originating person/organisation should be contacted.10.6 All decisions relating to information sharing, and the reason why the decisionwas made, will be recorded. This includes if a decision was made not to shareinformation. Good practice examples for recording requests and responses torequests for information sharing are in appendix 3.11. Information standards11.1 Only information that is necessary for the purpose it is being shared will beshared.11.2 Facts will clearly be distinguished from opinions in any information shared.11.3 Information will only be shared with the person or people that need to know.11.4 Information that is shared will be accurate and up-to-date.12. Security12.1 Partners to this Agreement must implement and maintain appropriate securitymeasures to protect confidentiality, integrity and availability of personalinformation.12.2 Adopted security measures should be communicated across all partnerorganisations, their contracted services and their respected staff andvolunteers. Appendix 4 provides good practice guidelines for informationsecurity.13. Data retention, review and disposal13.1 Information will be retained in line with the relevant organisation's retentionschedules.13.2 Staff should review individual case files on a case-by-case basis, taking intoaccount any outstanding Subject Access Requests.13.3 When the retention period has expired, the information must be disposed of ina secure and safe way e.g. by using secure, locked disposal bins or by usinga cross-cutting shredder.14. Management of the Information Sharing Agreement14.1 This Information Sharing Agreement is owned by the Newcastle SafeguardingAdults Board.14.2 The Information Sharing Agreement will be signed by NewcastleSafeguarding Adults Board members on behalf of their organisations and anorganisational contact for information sharing (where applicable) will beprovided using the signature sheet in appendix 1.14.3 The Information Sharing Agreement is effective from 13 December 201014.4 The Agreement will be reviewed in six months (13 June 2011) by theNewcastle Safeguarding Adults Board to ensure that it is supporting the safesharing of information and this is also having the desired effect ofsafeguarding vulnerable adults in Newcastle.14.5 Non-compliance with this Agreement will be referred to the Independent Chairof the Newcastle Safeguarding Adults Board.Service/Directorate Document title Version Issued by ClassificationNewcastle SafeguardingFinalUnclassifiedAdults Board13.12.10Multi-agencyinformationsharing agreementDr Sue Ross(IndependentChair, NSAB)- 8 -

Appendix 1Information Sharing Agreement – Signature SheetSigned by, for and on behalf of:Organisation:Name:Position:Contact details; i.e.Phone No:E-mail:Signature:Age UK Newcastle upon TyneSue PearsonChief Executive0191 232 6488sue.pearson@acnewcastle.orgDate:Organisation Contactfor InformationSharing:Position:Contact details; i.e.Phone No:E-mail:(DPA98) RegistrationNumber(DPA98) RegistrationDate Renewal:Signed by, for and on behalf of:Organisation:Name:Position:Contact details; i.e.Phone No:E-mail:Signature:Newcastle City CouncilEwen WeirExecutive Director of Adult and Culture Services0191 211 6300ewen.weir@newcastle.gov.ukDate:Service/Directorate Document title Version Issued by ClassificationNewcastle SafeguardingFinalUnclassifiedAdults Board13.12.10Multi-agencyinformationsharing agreementDr Sue Ross(IndependentChair, NSAB)- 9 -

Organisation Contactfor InformationSharing:Position:Contact details; i.e.Phone No:E-mail:(DPA98) RegistrationNumber(DPA98) RegistrationDate Renewal:Signed by, for and on behalf of:Organisation:Name:Position:Contact details; i.e.Phone No:E-mail:Signature:Newcastle upon Tyne Hospitals NHS Foundation TrustHelen LamontDirector of Nursing and Patient Services0191 233 1002helen.lamont@nuth.nhs.ukDate:Organisation Contactfor InformationSharing:Position:Contact details; i.e.Phone No:E-mail:(DPA98) RegistrationNumber(DPA98) RegistrationDate Renewal:Service/Directorate Document title Version Issued by ClassificationNewcastle SafeguardingFinalUnclassifiedAdults Board13.12.10Multi-agencyinformationsharing agreementDr Sue Ross(IndependentChair, NSAB)- 10 -

Signed by, for and on behalf of:Organisation:Name:Position:Contact details; i.e.Phone No:E-mail:Signature:NHS Newcastle and North Tyneside Community HealthChristopher PiercyAssociate Director Patient Safety, Quality and Nursing0191 293 1142Christopher.Piercy@northtyneside-pct.nhs.ukDate:Organisation Contactfor InformationSharing:Position:Contact details; i.e.Phone No:E-mail:(DPA98) RegistrationNumber(DPA98) RegistrationDate Renewal:Signed by, for and on behalf of:Organisation:Name:Position:Contact details; i.e.Phone No:E-mail:Signature:NHS North Of TyneVida MorrisAssociate Director Patient Safety and Nursing0191 219 6049Vida.Morris@newcastle-pct.nhs.ukDate:Service/Directorate Document title Version Issued by ClassificationNewcastle SafeguardingFinalUnclassifiedAdults Board13.12.10Multi-agencyinformationsharing agreementDr Sue Ross(IndependentChair, NSAB)- 11 -

Organisation Contactfor InformationSharing:Position:Contact details; i.e.Phone No:E-mail:(DPA98) RegistrationNumber(DPA98) RegistrationDate Renewal:Signed by, for and on behalf of:Organisation:Name:Position:Contact details; i.e.Phone No:E-mail:Signature:Northumberland Tyne and Wear NHS Foundation TrustGary O’HareExecutive Director of Nursing and Operations0191 223 2830gary.o’hare@ntw.nhs.ukDate:Organisation Contactfor InformationSharing:Position:Contact details; i.e.Phone No:E-mail:(DPA98) RegistrationNumber(DPA98) RegistrationDate Renewal:Service/Directorate Document title Version Issued by ClassificationNewcastle SafeguardingFinalUnclassifiedAdults Board13.12.10Multi-agencyinformationsharing agreementDr Sue Ross(IndependentChair, NSAB)- 12 -

Signed by, for and on behalf of:Organisation:Name:Position:Contact details; i.e.Phone No:E-mail:Signature:Northumbria PoliceLaura YoungSuperintendent03456 043 043laura.young.7749@northumbria.pnn.police.ukDate:Organisation Contactfor InformationSharing:Position:Contact details; i.e.Phone No:E-mail:(DPA98) RegistrationNumber(DPA98) RegistrationDate Renewal:Signed by, for and on behalf of:Organisation:Name:Position:Contact details; i.e.Phone No:E-mail:Signature:Northumbria Probation TrustJane MackintoshHead of Offender Management, Newcastle0191 240 7350jane.mackintosh@northumbria.probation.gsi.gov.ukDate:Service/Directorate Document title Version Issued by ClassificationNewcastle SafeguardingFinalUnclassifiedAdults Board13.12.10Multi-agencyinformationsharing agreementDr Sue Ross(IndependentChair, NSAB)- 13 -

Organisation Contactfor InformationSharing:Position:Contact details; i.e.Phone No:E-mail:(DPA98) RegistrationNumber(DPA98) RegistrationDate Renewal:Signed by, for and on behalf of:Organisation:Name:Position:Contact details; i.e.Phone No:E-mail:Signature:Skills for PeopleLiz WrightChief Executive0191 281 8737liz.wright@skillsforpeople.org.ukDate:Organisation Contactfor InformationSharing:Position:Contact details; i.e.Phone No:E-mail:(DPA98) RegistrationNumber(DPA98) RegistrationDate Renewal:Service/Directorate Document title Version Issued by ClassificationNewcastle SafeguardingFinalUnclassifiedAdults Board13.12.10Multi-agencyinformationsharing agreementDr Sue Ross(IndependentChair, NSAB)- 14 -

Signed by, for and on behalf of:Organisation:Name:Position:Contact details; i.e.Phone No:E-mail:Signature:Victim Support, Northumbria BranchNorma TaitManager0845 277 0977norma.tait@victimsupport.org.ukDate:Organisation Contactfor InformationSharing:Position:Contact details; i.e.Phone No:E-mail:(DPA98) RegistrationNumber(DPA98) RegistrationDate Renewal:Service/Directorate Document title Version Issued by ClassificationNewcastle SafeguardingFinalUnclassifiedAdults Board13.12.10Multi-agencyinformationsharing agreementDr Sue Ross(IndependentChair, NSAB)- 15 -

Please note appendices 2-4 are best practice tools orguidance.They are intended to support organisations and their staffin the lawful sharing of information for the purpose ofsafeguarding adults. It is recognised that individualorganisations may have their own tools and guidance inplace regarding:Appendix 2: Written consent for sharing of informationAppendix 3: Recording of requesting/sharing informationAppendix 4: Information securityWhere there are existing or alternative systems inorganisations these can be used.Service/Directorate Document title Version Issued by ClassificationNewcastle SafeguardingFinalUnclassifiedAdults Board13.12.10Multi-agencyinformationsharing agreementDr Sue Ross(IndependentChair, NSAB)- 16 -

Appendix 2 – Document classified as restricted on completion.Sharing information about youSo that we can provide a service to you, we will sometimes have to share someinformation about you and your circumstances with other organisations andprofessionals.We hope that you will sign this form to show that you are happy for us to share yourinformation in this way.If you don’t give us your permission to share, this might affect the services we’re ableto offer to you. Also, there may be times when we have to share your informationwithout your permission, for example to protect you or other people from harm. Ifthere are particular people or organisations that you would rather we didn’t shareyour information with, you can list these below.Written consent to share information for safeguarding purposes.I understand that for my safety and protection, workers may need to shareinformation about me and my circumstances with other people and otherorganisations.I do not wish information about me to be shared with the following organisations orindividuals (e.g. carers, relatives):______________________________________________________________________________________________________________________________________I understand that I can withdraw my consent at any point by contacting the worker ororganisation that made this agreement with me.Signed..........................................................................................................Name (printed) .............................................................................................Date..............................................................................................................WorkerSigned..........................................................................................................Name (printed) .............................................................................................Organisation and role...................................................................................Date............................................................................................................Service/Directorate Document title Version Issued by ClassificationNewcastle SafeguardingFinalUnclassifiedAdults Board13.12.10Multi-agencyinformationsharing agreementDr Sue Ross(IndependentChair, NSAB)- 17 -

Appendix 3a – Document classified as restricted on completion.Safeguarding adults information sharing request under NewcastleSafeguarding Adults Board Multi-agency Policy and Procedures (to be usedwhen requesting information from another agency)For the attention of:Person requesting:Date of request:Job Title:Organisation/Agency:Address:Email address:Telephone:Method of request: (e.g. fax, post, email, telephone)Subject of this information requestIndividual’s Name:Current address:Any other name:Previous address:Postcode:D.o.B:Postcode:NHS no:CareFirst ID:Consent by the individualHas the individual given informed consent? Yes (attachproof)If no, give reason for pursuing the request without consent:NoReason for/nature of requestType of information requested:Which timescales/dates does the information request relate to:Service/Directorate Document title Version Issued by ClassificationNewcastle SafeguardingFinalUnclassifiedAdults Board13.12.10Multi-agencyinformationsharing agreementDr Sue Ross(IndependentChair, NSAB)- 18 -

What is the information to be used for:Response to information sharing requestResponse given to: (name)Decision to share or give access torecords:Name of senior managerauthorising/not authorising:Title:Agency:Contact details:Reason for sharing/not sharing:Date of response:Yes NoIf not shared, what action was taken as a result:Type of information shared (no detail)Brief Description:Date information was shared:Are there any restrictions placed on theuse of the information shared?If yes, what are they:YesNoSignature of person sharing information.......................................Date.....................Signature of senior manager authorising/not authorising the sharing of information .................................... Date ....................Service/Directorate Document title Version Issued by ClassificationNewcastle SafeguardingFinalUnclassifiedAdults Board13.12.10Multi-agencyinformationsharing agreementDr Sue Ross(IndependentChair, NSAB)- 19 -

Appendix 3b – Document classified as restricted on completionNewcastle Safeguarding Adults Board record of information sharing underNewcastle Safeguarding Adults Board Multi-agency Policy and Procedures.(to be used when information is shared without a request being made by anotheragency)Person sharing:Job Title:Organisation/Agency:Address:Email address:Telephone:Method of sharing: (e.g. fax, post, email, telephone)For the attention of:Job Title:Organisation/Agency:Address:Email address:Telephone:Subject of this informationIndividual’s Name:Current address:Any other name:Previous address:Postcode:D.o.B:Postcode:NHS no:CareFirst ID:Service/Directorate Document title Version Issued by ClassificationNewcastle SafeguardingFinalUnclassifiedAdults Board13.12.10Multi-agencyinformationsharing agreementDr Sue Ross(IndependentChair, NSAB)- 20 -

Consent by the individualHas the individual given informed consent? Yes (attachproof)If no, give reason for pursuing the sharing of information withoutconsent:NoReason for/nature of sharing:Type of information shared:Which timescales/dates does the information shared relate to:What is the information to be used for:Type of information shared (no detail)Brief Description:Date information was shared:Are there any restrictions placed on theuse of the information shared?If yes, what are they:YesNoSignature of person sharing information.......................................Date.....................Signature of senior manager authorising/not authorising the sharing of information .................................... Date ....................Service/Directorate Document title Version Issued by ClassificationNewcastle SafeguardingFinalUnclassifiedAdults Board13.12.10Multi-agencyinformationsharing agreementDr Sue Ross(IndependentChair, NSAB)- 21 -

Appendix 4Information SecurityThe Data Protection Act 1998 states: “Appropriate technical and organisationalmeasures shall be taken against unauthorised or unlawful processing of personaldata and against accidental loss or destruction of, or damage to, personal data”.Each partner to this Information Sharing Agreement must ensure that:• they have security that fits the nature of the personal and sensitive data theywill be holding and the harm that may result from a security breach• there is an identified person responsible for information security• there is appropriate physical and technical security backed up by robust policyand procedures and well-trained staff• any breach of security is responded to swiftly and effectively.The Cabinet Office have introduced the HMG Security Policy Framework 2010, thisstates that: “Departments and Agencies (of Her Majesty’s Government) must be ableto share information (including personal data) confidently knowing it is reliable,accessible and protected to agreed standards irrespective of format or transmissionmechanism”.Protective marking and asset controlThe Protective Marking System comprises five markings. In descending order ofsensitivity they are: top secret; secret; confidential; restricted and protect. Unmarkedmaterial is considered unclassified. The term “unclassified” or “non” or “notprotectively marked” may be used to indicate positively that protective marking is notneeded. This document will not cover top secret, or secret as these are notapplicable to this Information Sharing Agreement.All government agencies and departments should be using the Protective MarkingScheme to classify all documents/assets produced 1 . For agencies working outside ofthe government, there is no agreed UK system for marking personal or sensitivematerial however the Protective Marking Scheme may be adopted as good practice.Government agencies handling documents/assets that are not marked using theProtective Marking Scheme but that are marked in a way to indicate sensitivity mustbe protected to at least the level offered by “protect”.All documents/assets should be clearly marked and only the originator or owner canprotectively mark an asset. A file or group of protectively marked documents orassets, must carry the protective marking of the highest marked document or assetcontained within it (e.g. a file containing confidential and restricted material must bemarked confidential).Information classification:1 NHS organisations should refer to NHS Information Governance Guidance: Guidance for theClassification Marking of NHS Information, 2009. www.igt.connectingforhealth.nhs.ukService/Directorate Document title Version Issued by ClassificationNewcastle SafeguardingAdults BoardFinal13.12.10UnclassifiedMulti-agencyinformationsharing agreementDr Sue Ross(IndependentChair, NSAB)- 22 -

The following table outlines considerations for the classification of information. Itshould be noted that the table should be used as a guide and the originator ofinformation is responsible for assessing the classification level of a documentthey produce.ClassificationConfidential(NHS Confidential)Restricted(NHS Confidential)Protect(NHS Confidentialor NHS Protect)Unclassified(NHS Unclassified)Example ofinformation assetsSerious case reviewinformationSafeguardingadults/childreninformation.MAPPA information.MARAC information.Witness protectioninformation.Forced marriage andhonour-based violenceinformationHealth recordsComplaintsPersonal data relating toname and addressalongside date of birth,national insurancenumber, banking detailsAny sensitive personaldata specifying: physicalor mental healthcondition; racial orethnic origin, trade unionmembership, religiousbeliefs, politicalopinions, sexual life.Newcastle SafeguardingAdults Board (and subcommittee)minutes andagendasLeafletsPolicies and proceduresAnonymised statisticsImpact Level (assessment ofsensitivity of content and the impactof it’s compromise)Serious risk to any party’s personalsafety.Impede the investigation or facilitatethe commission of serious crime.Cause damage to the operationaleffectiveness or security of the UK orallied forces or the effectiveness ofvaluable security or intelligenceoperationsRisk to any party’s person safety.Likely to cause significant financialloss to any party.Likely to cause prolonged distress foran individual or citizen, or short-termdistress for many citizens.Prejudice the investigation orfacilitate the commission of crime.Breach statutory restrictions ondisclosure of information.Likely to cause distress to anindividual(s).Cause financial loss or loss ofearning potential, or used to facilitateimproper gain.Prejudice the investigation orfacilitate the commission of crime.Likely to cause embarrassment/lossof reputation for an individual citizenor organisation.Minimal impact.May cause minor inconvenience to acitizen.Service/Directorate Document title Version Issued by ClassificationNewcastle SafeguardingFinalUnclassifiedAdults Board13.12.10Multi-agencyinformationsharing agreementDr Sue Ross(IndependentChair, NSAB)- 23 -

elating to safeguardingadultsAnnual reportsLikely to have no impact.Guidance for the Classification Marking of NHS Information(Applicable only to NHS organisations)NHS organisations have Guidance for the Classification Marking of NHS Information,2009 (see www.igt.connectingforhealth.nhs.uk). There are three classifications: NHSConfidential, NHS Protect and NHS Unclassified. The classifications of NHSConfidential and NHS Protect should be included at the top centre of every page ofthe document printed or electronic). NHS Unclassified can be used optionally tomark information that does not require classification.NHS Confidential should be used for person-identifiable clinical information or NHSstaff information. NHS Confidential should also be used to mark all other sensitiveinformation. Other sensitive information is, material the disclosure of which is likelyto: adversely affect the reputation of the organisation or it’s officers or causesubstantial distress to individuals; make it more difficult to maintain the operationaleffectiveness of the organisation; cause financial loss or loss of earning potential, orfacilitate improper gain or disadvantage for individuals or organisations; prejudice theinvestigation, or facilitate the commission of crime or other illegal activity; breachproper undertakings to maintain the confidence of information provided by thirdparties or impede the effective development or operation of policies; breach statutoryrestrictions on disclosure of information. This will include safeguarding adultsinformation.NHS Protect is a discretional marking that may be used for information classifiedbelow NHS Confidential but requiring care in handling.Guidelines on the transfer and handling of informationConfidential Information• This classification should only be used in exceptional circumstances.• Advice should be sought from the Safeguarding Adults Coordinator and ownpartner agency information security guidelines on the safe transfer andhandling of “confidential” information.StorageMinimum standards for Copying/printing LabelingIn a locked cabinet in alocked room(double locked)Information should bestored in theconfidential section of aperson’s file/electronicrecord. Whereconfidential informationis stored electronicallytransferApproval of originatorrequired before transfer.Should not be sentelectronically.Should not betransferred over thephone unlessoperationally urgent. Inthis instance guardedService/Directorate Document title Version Issued by ClassificationNewcastle SafeguardingFinalUnclassifiedAdults Board13.12.10Multi-agencyinformationsharing agreement/faxingShould not befaxed.Copies/print outsshould be kept toa minimum andnumbered foreach recipient.Dr Sue Ross(IndependentChair, NSAB)Protectivemarking“confidential” atthe bottom ofeach page.Document to benumbered toreference whosecopy it is- 24 -

it should be “lockeddown”to specificindividualsInformation should onlybe accessible tospecific individuals.Information should notbe stored in a portablestorage devicespeech should be used.Documents should bedouble-enveloped withno protective marking onouter envelope apartfrom “to be opened bynamed addressee only”.There should be a returnaddress on the outerenvelope. The innerenvelope should beprotectively marked“confidential”.Information should besent via recordeddelivery.Distribution listshould bemaintained fororiginal and anycopies.If document is indraft it should beclearly marked assuch in aheader/footer orwatermark.Document versionnumbers shouldalso be recorded.Deliver in personinternally – do not useinternal post.Restricted InformationStorageIn a locked cabinet or alocked room withaccess to a specificperson(single locked)Information should bestored in the restrictedsection of a person’sfile/electronic record.Where restrictedinformation is storedelectronically on adatabase there must bestrong passwords andappropriate securitychallenges.Information should onlybe accessible to thosepeople who need toknow.Information should notMinimum standards fortransferApproval of originatorrequired before transfer.Should not betransferred over thephone unlessoperationally urgent. Inthis instance guardedspeech should be used.Documents should bedouble enveloped withno protective marking onouter envelope apartfrom “To be opened bynamed addressee only”.There should be a returnaddress on thisenvelope. The innerenvelope should beprotectively marked“restricted”. Thedocuments should besent via recordedCopying/printing/faxingFax should onlybe used as a lastresort. Theoriginator needsto check the faxnumber andensure therecipient iswaiting at the faxmachine for thefax. The recipientthen needs toconfirm receiptwith theoriginator. Faxheaders need tobe marked“restricted”.Copies/print outsshould be kept toa minimum.LabelingProtectivemarking“restricted” at thebottom of eachpage.If document is indraft it should beclearly marked assuch in aheader/footer orwatermark.Document versionnumbers shouldalso be recorded.Service/Directorate Document title Version Issued by ClassificationNewcastle SafeguardingFinalUnclassifiedAdults Board13.12.10Multi-agencyinformationsharing agreementDr Sue Ross(IndependentChair, NSAB)- 25 -

e stored on a portablestorage devicedelivery.Delivery in personinternally – do not useinternal post.Where restrictedinformation is beingtransferred electronicallybetween governmentagencies only secureemail addresses shouldbe used: .pnn.police.uk,.cjsm.gov.uk,.gsi.gov.uk, .nhs.net,.gsx.gov.uk, or a securenetwork. Whenelectronic information isbeing transferredelectronically betweennon-governmentagencies, the restrictedinformation should beencrypted (organisationsshould contact their ITsupport about emailencryption)Where there are nosecure email addressesor email encryption isnot possible theninformation should notbe sent via email.Protect InformationStorageIn a locked cabinet or alocked room withaccess to a specificperson(single locked)Information may beaccessible to a groupof individuals throughshared access toMinimum standards fortransferLocal manager decideswho can have access.Approval of theinformation ownerrequired.Normal Royal Mail postcan be used. Envelopeshould be addressed toa specific individual andCopying/printing/faxingFax should onlybe used as a lastresort. Theoriginator needsto check the faxnumber andensure therecipient iswaiting at the faxmachine for theLabelingProtectivemarking “protect”at the bottom ofeach page.If document is indraft it should beclearly marked assuch in aheader/footer orService/Directorate Document title Version Issued by ClassificationNewcastle SafeguardingFinalUnclassifiedAdults Board13.12.10Multi-agencyinformationsharing agreementDr Sue Ross(IndependentChair, NSAB)- 26 -

databases/files.Information should onlybe stored on a memorystick or other device inexceptionalcircumstances.marked “to be openedby the addressee only”.A sealed envelopeshould be used forinternal post.Where protectinformation is beingtransferred electronicallybetween governmentagencies only secureemail addresses shouldbe used: .pnn.police.uk,.cjsm.gov.uk,.gsi.gov.uk, .nhs.net,.gsx.gov.uk or a securenetwork. Whenelectronic information isbeing transferredelectronically betweennon-governmentagencies, theinformation should beencrypted (organisationsshould contact their ITsupport about emailencryption)fax. The recipientthen needs toconfirm receiptwith theoriginator. Faxheaders need tobe marked“restricted”.Copies/print outsshould be kept toa minimum.watermark.Document versionnumbers shouldalso be recorded.Where there are nosecure email addressesor email encryption isnot possible theninformation should notbe sent via email.Unclassified InformationStorageCan be stored on top ofa desk/unlockedstorage cabinets.Can be stored on aportable storagedevice.Can be on display inMinimum standards fortransferCan be transferred overthe phone or via normalemail addresses.Normal royal mail postcan be used as well asnormal internal post.Copying/printing/faxingFax can be used.There are nolimits on thenumber ofcopies.LabelingProtectivemarking“unclassified” atthe bottom ofeach page.If document is indraft it should beclearly marked asService/Directorate Document title Version Issued by ClassificationNewcastle SafeguardingFinalUnclassifiedAdults Board13.12.10Multi-agencyinformationsharing agreementDr Sue Ross(IndependentChair, NSAB)- 27 -

public areas and on theinternet or intranetwebpages.There are no accessrestrictionssuch in aheader/footer orwatermark.Document versionnumbers shouldalso be recorded.Further good practice guidelines1. In order to determine what appropriate security methods are needed, anorganisation should assess their information risk. The information riskassessment should take into consideration the following factors: the natureand extent of the organisation’s premises and computer systems; the numberof staff employed; extent of access to personal data; any personal data heldon the organisation’s behalf by a third party.2. An identified person or department should have responsibility for informationsecurity.3. An information security policy should be in place.4. Staff are trained in and understand the importance of information security.5. Appropriate steps (e.g. CRB checks, references) are taken to ensure thereliability of staff who have access to personal data.6. Confidential, restricted and protect information should be stored securely in alocked environment, where access is restricted to those who need it.7. All staff should operate a clear-desk policy where they are in possession ofconfidential, restricted or protect information.8. Any safeguarding adults information no longer needed should be disposed ofsecurely e.g. shredded9. Safeguarding adults information should not be recorded or stored in daily logsor communication. A generic reference can be made in daily recordings tofurther information being held with an identified person or in an identifiedplace.10. Safeguarding adults information should be stored in the restricted section of aperson’s file or electronic record.11. Where appropriate a person’s file/electronic record should be restricted orlocked down.12. Staff should close down or lock computers when they are away from theirdesk.13. Passwords used for accessing systems where safeguarding adultsinformation is stored should be strong and should never be shared.14. Portable storage devices (e.g. USB sticks, laptops, CD’s) should not be usedfor the storage of safeguarding adults information.15. Any breaches of security should be reported to a manager or the designatedperson for information security.16. Any information included in calendar appointments about safeguarding adultswork should be anonymised.The following guidelines should be adhered to in relation to the exchange ofinformation:17. Telephone. When information is shared by telephone, the giver of informationmust verify that they are speaking to the intended recipient. Information willService/Directorate Document title Version Issued by ClassificationNewcastle SafeguardingFinalUnclassifiedAdults Board13.12.10Multi-agencyinformationsharing agreementDr Sue Ross(IndependentChair, NSAB)- 28 -

not be shared if it can be overheard by anyone who should not have access toit. A record should be made of the information given, to whom and howverified. The same principles apply if information is shared face-to-face.18. Safeguarding adults meeting. When information is shared in a safeguardingadults meeting a confidentiality agreement will be signed by all present andthis will be verbally highlighted as part of the agenda. All documents will bemarked with a confidentiality clause stating: “The contents of this documentare restricted and should only be reproduced with the agreement ofChairperson; you are responsible for the safe storage and disposal of thisdocument”. Considerations should be made by the Chair and all attendees forthe sharing of third party information.19. By post. Confidential and restricted information should be sent via a securedelivery method (e.g. recorded delivery or in person). Confidential or restrictedinformation should be double-enveloped with no protective marking on theouter envelope, only “to be opened by the named addressee only”. The outerenvelope should also identify a return address. The inner envelope should beprotectively marked as applicable. Internal mail should only be used forprotect or unclassified information.20. Fax or textphone. Information should be sent to fax/textphone numbers thathave been verified as belonging to the intended recipient. The fax/textphoneshould be located in a safe and secure environment (safe haven). The personto whom the information is being sent to should be notified that theinformation is about to be sent and that they will wait at the fax machine forthe fax. Confirmation from the recipient to the originator should then be madethat the information has been received.21. Email. Information will only be shared by email through a secure network orvia encrypted email. Non-secure networks or non-encrypted email systemsshould never be used to send personal or sensitive information.22. Databases/electronic records. Information stored electronically will be used inaccordance with agreed policies and guidance in relation to the recording ofinformation, security of information and authorised access levels.Service/Directorate Document title Version Issued by ClassificationNewcastle SafeguardingFinalUnclassifiedAdults Board13.12.10Multi-agencyinformationsharing agreementDr Sue Ross(IndependentChair, NSAB)- 29 -