LIFE EVENTS ANALYSIS Bereavement and Moving House

1
LIFE EVENTS ANALYSISBereavement and Moving
House

• BASE.gov
• Michael Durkan
• iMPOWER
• Cherry Freeman, Allyson Dostert, Allison Phillips
• 24th December 2001

2
CONTENTS

• Summary
• Synopsis of life events
• Legal landscape
• Analysis of obstacles
• Options
• Sources
• Appendices

3
ASSIGNMENT BRIEF

• LEAP
• Partnership of Camden, Ealing, Lambeth, Lewisham
  and Newcastle
• Produce detailed process maps and decision trees
  for 10 11 Life Events
• Detail citizen processes and interfaces that
  exist today in Local Authority Departments
• iMPOWER and BASE.gov
• Provide analysis of Local Authority departments
  to deliver a citizen orientated portal centred
  around Life Events
• Document for BASE.gov consortia (Knowsley, Leeds,
  Lewisham and West Sussex)
• Focus on two life events, Bereavement and Moving
  House
• Produce generic map that identifies process and
  system considerations required for joined up
  local government
• Provide suggestions for implementation of citizen
  portal

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SUMMARY CONCLUSIONS

• Data sharing between institutions (including
  public authorities) is prohibited except where
  specifically allowed by administrative law
• Data sharing within public authorities is not
  explicitly prohibited if proper procedures are
  followed, with the exception of council tax data
• Citizens are legally required to present
  documentation in person and therefore a change in
  law is required before services can be delivered
  100 electronically
• Most services require a form of identification
  and/or signature before being able to proceed,
  therefore an authentication step is required
  before services can be delivered electronically
• Some services have a calculation approval or
  assessment step prior to confirmation, the
  implication is that not all queries can be
  responded to immediately
• There is substantial technical complexity within
  local government, but this does not provide an
  insurmountable barrier to joined up government
• Quick wins can be achieved by focusing on the
  enquiries that occur within the council rather
  than the other institutions. Council services
  account for approx. 90 of the transactions
  involved in both the Bereavement and Moving House
  Life Event
• The top three transaction types enable 87 of the
  enquiries made for both life events. These are
  information for services, application for
  services and access to community, professional or
  business networks

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CONTENTS

• Summary
• Synopsis of life events
• Legal landscape
• Analysis of obstacles
• Options
• Sources
• Appendices

6
SYNOPSIS OF BEREAVEMENT LIFE EVENT
Activity related to a bereavement
Examples
Data Requirement
Technical Requirement
Organisational Interfaces

• Information uploads
• Real time availability
• Book at point of contact
• Or, automated email
• Request slot
• 2-way messages to dept databases
• Automated email notifying all depts
• Notification
• Electronic
• Automated email
• Multi-step process

None National agencies e.g. DVLA, Passport
Office Local agencies e.g. Register Office Local
government depts. Housing Department Social
Services DWP Local government depts, DWP Local
health authority Private Sector Housing
Department Social Services DWP
1. Get information contacts 2.
Bookings 3. Benefits payments (in
out) 4. Cancel existing services 5. Apply
for new benefits services

• How to create a will
• Finding a funeral director
• Register a death
• Select a memorial bench
• Book a burial plot
• Payments due and rebates
• Housing Benefits
• Income Support
• Meals on wheels
• Personal care
• Bank accounts
• Child care

• Public Information
• Availability
• Of appointments
• Of products/slots
• Details of deceased
• Account status
• Revised calculations
• Services used by deceased

Further detailed analysis contained in
BASE.goviMPOWER Bereavement Analysis.xls
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SYNOPSIS OF MOVING HOUSE LIFE EVENT
Activity related to a bereavement
Examples
Data Requirement
Technical Requirement
Organisational Interfaces

• Advice on applying for a mortgage
• Finding a removal firm
• Visit a school
• Arrange collection of social service equipment
• Housing Benefits
• Council Tax Benefits
• Education Awards
• Meals on wheels
• Personal care
• Home Help
• Child care

• Information uploads
• Real time availability
• Book at point of contact
• Or, automated email
• Request slot
• 2-way messages to dept databases
• Automated email notifying all depts
• Notification
• Electronic
• Automated email
• Multi-step process

None Schools Social Services Housing
Department DWP Local government depts, Local
health authority Housing Department Social
Services DWP
1. Get information contacts 2.
Bookings 3. Benefits payments 4. Cancel
existing services and Reapply at new address 5.
Apply for new benefits services

• Public Information
• Availability
• Of appointments
• Of products/slots
• Account details
• Revised calculations
• New Address
• Services used by citizen at previous address

Further detailed analysis contained in
BASE.goviMPOWER Moving House Analysis.xls
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CONTENTS

• Summary
• Synopsis of life events
• Legal landscape
• Analysis of obstacles
• Options
• Sources
• Appendices

9
SYNOPSIS OF LEGAL LANDSCAPE (I)

• UK DATA PROTECTION ACTS
• The UK data protection acts effectively prohibit
  data sharing between institutions (including
  public authorities) except in cases where data
  sharing is specifically allowed by administrative
  law
• Data sharing within public authorities is not
  explicitly prohibited when the data protection
  act conditions are met, with the exception of
  council tax data which can not be shared between
  departments within a public authority
• Data collected for one purpose may only be used
  for that purpose for which it was obtained except
  when customer consent is given
• There is an obligation of public authorities to
  process data fairly and lawfully
• Fair processing means the citizen must be told
  the purpose for which their data will be
  processed at the time of collection
• Data must be processed in accordance with the law
  including common and statutory law
• The data protection acts do not apply to data
  regarding the deceased

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SYNOPSIS OF LEGAL LANDSCAPE (II)

• UK HUMAN RIGHTS ACT/EU CONVENTION ON HUMAN RIGHTS
  
• The human rights act establishes the right to
  privacy of the citizen, except when it is
  considered lawful and justified to interfere
• Specific loopholes are created for public
  authorities
• Privacy can be breached if the interference is
  for legitimate aims, which is very broad. Aims
  are considered to be legitimate if there are
  relevant and sufficient reasons for taking
  action, an alternative does not exist, the rights
  of all parties were taken into account and
  safeguards of data exist.
• Privacy can be breached if it is considered
  necessary in democratic society. A balance must
  be achieved between the protection of an
  individuals rights against the interests of
  society
• Human Rights Act case law in the UK is yet to be
  established
• UK COMMON LAW
• Common law sets out the duty of confidence which
  means that personal information given in
  confidence for one purpose may not be used for a
  separate purpose or passed to a third party
• Where an individual has given their clear consent
  to disclosure, the common law duty of confidence
  is overridden
• ADMINISTRATIVE LAW
• Administrative law provides for specific
  restrictions on the sharing and usage of data
  between local government departments
• It also provides for specific allowances for data
  sharing between local authorities and other
  institutions

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IMPLICATIONS FOR LIFE EVENTS

• Data sharing is prohibited between local
  authorities and other institutions
• Data can be shared within local authorities as
  long as at least one of the following Data
  Protection Act guidelines is adhered to
• Data is processed with the consent of the citizen
• Usage of personal data is necessary for the
  functioning of a government department, such as
  the delivery of a service to that customer
• Data about a person who is deceased is not
  subject to data protection legislation
• There are two exceptions contained within
  administrative law
• Sharing of council tax data by other council
  departments is prohibited
• Sharing of data between institutions is
  permitted in certain instances

Data can be shared within a local authority with
explicit consent from the citizen
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EXCEPTION COUNCIL TAX DATA CANNOT BE SHARED WITH
OTHER COUNCIL DEPARTMENTS

• The Local Government Finance Act 1992 states that
  council tax data may only be used and disclosed
  for council tax purposes.
• This law is considered by some to be unclear.
• This legislation has been interpreted by some to
  mean that the sharing of council tax data is
  allowed so long as it is done for a legitimate
  purpose.
• Some council authorities share council tax data
  despite the Local Government Finance Act so far
  this has been left unchallenged.
• The law is unclear. Local authorities should be
  aware that using council tax data carries risks
  which can only be eliminated by statutory change.

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EXCEPTION SHARING OF DATA WITH OTHER
INSTITUTIONS IS SPECIFICALLY PERMITTED IN CERTAIN
CIRCUMSTANCES

• HOUSING ACT 1996
• Information sharing is allowed between the
  Housing Corporation and local authorities for
  housing purposes
• WELFARE REFORM AND PENSIONS ACT 1999
• Local authorities may hold information which
  relates to benefits for which it has no
  administrative responsibilities.
• Local authorities may collect and record
  information, and give advice, in respect of
  benefits which are administered by central
  government.
• REPRESENTATION OF THE PEOPLE ACT 2000
• A Local Authority has the ability to provide an
  electoral registration officer access to records
  (including council tax) without breaching the
  Data Protection Act 1998.
• CRIME AND DISORDER ACT 1998
• Local Authorities may disclose and use
  information for the prevention, detection and
  reduction of crime

Housing
DWP Social Services Housing
All Local Authority Departments Electoral
Registration
All Local Authority Departments
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CONTENTS

• Summary
• Synopsis of life events
• Legal landscape
• Analysis of obstacles
• Options
• Sources
• Appendices

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TECHNICAL OBSTACLES
Obstacle
Suggested approach
Little or no access to email in some Local
Authority departments e.g. Knowsley cemeteries
dept District Council comprised of districts and
parishes, resulting in multiple systems e.g. West
Sussex County council Local Authorities
currently looking system improvements e.g. West
Sussex County council Local authorities
outsource various services to contractors e.g
Parking services in Lewisham Lack of information
and documentation available online for access by
citizen or mediator Technical and operational
integration with national agencies Little or no
capacity to make payments with credit card e.g.
Paying for cemetery services in Leeds and Lewisham
Install email servers and encourage greater use
of email Explore use of middleware to place as
layer on top of the existing systems Build upon
the completed work plans and incorporate into the
solution Ensure all contractors are
incorporated into the process and are notified as
necessary Increase use of alternative
information sources e.g. internet, call
centre Await outcome of government
gateway Install credit card functionality
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ORGANISATIONAL OBSTACLES
Obstacle
Suggested approach
Proof of identification and/ or income
required e.g. re-applying for housing
benefit Physical documentation required e.g. for
financial institutions Referral and assessment
process e.g. application for soc. servs. Various
processes remain paper based e.g. Booking
appointments Citizens placed on waiting list and
given priority ranking e.g. for
re-housing Information on services in other
local authorities e.g. school facilities, housing
availability
Explore scanning and/ or electronic documentation
and authentication of digital signatures Explore
scanning and/ or electronic documentation Two
step process, feedback loop and notification to
customer Automate and reengineer
processes Allow citizens or mediators to
access status through a secure system Improve
sharing of communication and information
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LEGISLATIVE OBSTACLES
Obstacle
Suggested approach
Signatures and physical documentation
required e.g. benefits Physical presence
required e.g. Birth and Deaths Registration Act
1953 Data sharing between public authorities
and other institutions is prohibited by the Data
Protection Act Consent of the citizen must be
given to share data within a public
authority As long as data is used and shared
correctly, the only obstacle to data sharing
within a public authority is council tax
data Common Law duties of confidence Human
Rights Act right to privacy, except when lawful
and justified Handling of sensitive data e.g.
social services information
Explore electronic signatures/digital
certificates Explore institutional and
national legislation Notification is not
prohibited Clear disclaimers and consent must
be agreed to before use of the portal Public
Authorities must make it clear how data will be
used and shared Notification workaround with
council tax data, explore statutory
legislation Consent from the citizen
overrides Comply with Human Rights Act
requirements, and get citizen consent Clear
protocols and procedures must be established for
the handling and sharing of sensitive data This
must be communicated to and approved by the
citizen
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CONTENTS

• Summary
• Synopsis of life events
• Legal landscape
• Analysis of obstacles
• Options
• Sources
• Appendices

19
2 OPTIONS FOR MOVING FORWARD
PROs
CONs
Option

• 1. Decentralised/low-tech
• a) Able to collect all data from caller OR
• b) Unable to data collection
• 2. Decentralised/high-tech

Single point of resolution No data sharing
issues Quick, cheap implementation Improved
efficiency through workflow, process reeng. and
change mgmt Milestone to option 2 Single point
of resolution Efficiency and accuracy
improvements Reduces data sharing
difficulties Flexible, generic solution
Increased workload notifications to multiple
depts Manual steps impact accuracy and
efficiency Not all information available to the
customer at point of contact Major technical
project Not all information available to the
customer at point of contact
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OPTION 1 DECENTRALISED LOW TECH
(I)

• Citizen or Contact Centre will enter the Citizen
  orientated portal

F2F
Call
iTV
Web
Web based workflow Authentication and approval
All information is obtained from citizen and is
entered on online forms
Information collection via template forms and
data views
Local Authority Depts will be notified by the
online forms via email
Email Server Automated triggers
The department will manually update the citizen
account details on the database
UPDATE DATABASES MANUALLY
The department will email the citizen when the
action is complete
Council Tax
Housing Benefits
Electoral Roll
Social Services
(I) Please note this is a draft version only
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OPTION 2 DECENTRALISED HIGH TECH
(I)
Citizen or Contact Centre will enter the Citizen
orientated portal
F2F
Call
iTV
Web
Citizen provides identification which is
authenticated and forms are pre -populated with
data
CRM
Service automation e.g. e-forms, data views
Contact Channel Mgmt
Contact history mgmt
Authentication
Contact Workflow
Knowledge Management
Content Management
Citizen updates forms as necessary
MIS
Transactional systems E.g. pay in/out, apply,
book, regulation etc
Direct access to legacy systems
Form data is transferred to the correct databases
by triggers. Account details are updated
automatically
Integration Layer
Improved efficiency
Housing Benefits
Electoral Roll
Social Services
Council Tax
A trigger will email the citizen when the action
is complete
(I) Please note this is a draft version only
22
CONTENTS

• Summary
• Synopsis of life events
• Legal landscape
• Analysis of obstacles
• Options
• Sources
• Appendices

23
SOURCES

• Freedom of Information RRV Insight Magazine -
  Ibrahim Hasan - Feb 2001
• Council Tax Data IRRV Insight Magazine - Ibrahim
  Hasan - July 2000
• Local Government and the Data Protection Act
  M.F.N Annual - 1998
• Human Rights Act Compact Law Limited -
  Compactlaw.com - 1998
• Technical and Legal Research in Data Access -
  James Gray
• Crime Reduction Tool kits - www.crimereduction.gov
  .uk
• Data Protection Act Legal Guidance -
  www.dataprotection.gov.uk - 1998
• Data Protection Act Kicks In The Register -
  Kieren McCartney Oct 2001
• BCS statement on the perceived impact of the
  European Union Directive on Data Protection - A C
  F LEWIS Registrar March 1997

24
SOURCES

• http//www.hmso.gov.uk/acts.htm
• http//www.compactlaw.co.uk/
• http//www.legislation.hmso.gov.uk/acts/acts1998/1
  9980042.htm
• http//www.hmso.gov.uk/acts/acts1998/19980029.htm
  aofs
• http//www.hmso.gov.uk/cgi-bin/htm_hl3?URLhttp//
  www.hmso.gov.uk/acts/acts2000/00036--w.htmSTEMMER
  enWORDSdataprotectactCOLOURRedSTYLEsmus
  cat_highlighter_first_match
• http//www.hmso.gov.uk/acts/acts1998/19980037.htm
• http//www.bseinquiry.gov.uk/report/volume8/chapte
  c6.htm556039
• http//www.legislation.hmso.gov.uk/acts/acts2000/2
  0000007.htm
• http//www.dti.gov.uk/cii/ecommerce/ukecommercestr
  ategy/electronic_communications_bill_regulatory_im
  pact_assessment.shtmla
• http//www.dti.gov.uk/cii/docs/e-com_guide.pdf
• http//www.dataprotection.gov.uk/eurotalk.htmintr
  o98

25
SOURCES

• LEAP process maps (Lewisham and Newcastle)
• UK Online
• Diane Henshaw - West Sussex data protection
  officer
• Mike OConnor - Lewisham data protection officer
• Bob Gibbs Newham Data protection officer
• Rob Lloyd-Jones - Cabinet office/PIU report
• Simon Norbury DTLR
• Louise Round - Solicitor/Head of Law and public
  policy at Islington

26
CONTENTS

• Summary
• Synopsis of life events
• Legal landscape
• Analysis of obstacles
• Options
• Sources
• Appendices

27
APPENDICES

• BASE.goviMPOWER Bereavement Analysis.xls
• See Attached Excel File
• BASE.goviMPOWER Moving House Analysis.xls
• See Attached Excel File
• Organisational Interfaces
• Transaction Analysis

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APPENDIX C Organisational Interfaces
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APPENDIX D Transaction Analysis