Supporting the Information Governance Assurance Framework

1

• Supporting the Information Governance Assurance
  Framework
• National Information Governance Conference
• 25th February 2009
• Marie Greenfield, Digital Information Policy Team
  and Colleagues

2
The Information Governance Assurance Framework
and Information Governance as a professional
discipline

• Session split into 2 parts
• Part 1 Supporting the NHS Information
  Governance Assurance Framework
• Origins of IG and the journey so far
• The NHS IG Framework and its core components
• Developing the IG Training Tool
• Looking into the future of the IGTT
• Part 2 Information Governance as a professional
  discipline
• The career progression framework

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Part 1 Supporting the NHS Information
Governance Assurance Framework

• The practical evolution of Information
  Governance the NHS Information Governance
  Framework
• Marie Greenfield, Information Governance
  Policy Manager
• The Information Governance Training Tool
• Vanessa Sanjivi, Information Governance
  Policy Support Manager
• Questions on these topics will be taken at the
  end of Part 1

4
Part 2 Information Governance as a professional
discipline

• The career progression framework
• Magi Nwolie, Information Governance
  Policy Support Manager
• Foundation degree in Information Governance
• Agenda for change job profiles
• Developments in Health Informatics
• Masters degree in Healthcare Information
  Governance
• Questions on these topics will be taken at the
  end of Part 2

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The practical evolution of IGSupporting the NHS
IG Assurance (IGA) Framework

• Origins and the Journey so far
• IGT as a component of the IGA Framework
• Supporting Compliance
• Support Audit V7 V8 refresh

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Information Governance The Journey so far

• Formal launch Manchester conference Feb 2000
• IGT Launched 2003 mandated returns for acute and
  special trusts. Some 400 organisation. Light
  touch
• Today around 15,000 users and growing
• All large NHS organisations
• NHS CFH SOC process
• The Future 30,000
• Underpins the IG Assurance Framework
• NHS and Social Care organisations
• NHS Business Partners Including Arms Length
  Bodies
• Independent Contractors

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Origins of Information Governance 2000/03
Health Service Functions Service Quality Researc
h Management
Caldicott Report HSC 1999/053
Records Management EPR/ Common Clinical Systems
Data Accreditation Process Data quality audit
Security confidentiality audit
The Law DPA 1998 Human Rights Act 1998 Freedom
of Information Act 2000 Common Law
ISO17799 Quality Risk Management Controls
Assurance
NHS Numbers project NSTS/Exeter
Professional regulations Ethics, Ethnicity
Beliefs Local Traditions Practices
Technological Sociological Change Electronic
Records Choice Seamless Services
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Information Governance in 2006/7
Health Service Functions Service Quality Researc
h Management
Information Security NHS Code of Practice
Confidentiality NHS Code of Practice
Records Management NHS Code of Practice
Information Governance Toolkit
Technological Sociological Change Electronic
Records Choice Seamless Services
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Information Governance Framework Standard 2009/10

• Defines what is meant by Information Governance
• Management Accountability
• Process
• People
• Assessment Audit
• Principles derived from the Three NHS Codes of
  Practice
• Sits on top of the IG Toolkit requirements
• ISB (Information Standards Board)

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IG toolkit a Central Component of IGA
FrameworkNational Oversight NIGB

• Central components
• Central Information Governance subject matter
  experts
• The Information Governance standard
• IG Toolkit
• IG Training provision
• IG Compliance mechanisms
• Assessment through the IGT
• Information Governance Statement of Compliance
• Audit processes

• Local components
• IG Management Structures
• Board Responsibility
• IG Steering Group
• Caldicott Guardian
• IG subject matter experts
• Information Risk Management
• SIRO IAOs
• Statement of Internal Controls and Annual Reports
• Incident Reporting

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Supporting ComplianceSupporting Audit

• Version 7 release
• Two releases end June
• Attainment level evidence and checklists.
• Roll over of standards for large organisations
  minimum change
• Exception NHS no standard
• Streamline the NHS CFH SOC process
• End October
• New assessment sets for Independent Contractors
• GPs, Dentists, Opticians, Pharmacies

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Supporting ComplianceSupporting Audit

• Version 7 a revised assessment lifecycle for the
  large organisations all Trust types and the
  SHAs-
• On line reporting through the IGT
• Baseline performance at 31.7.09
• Performance update 31.10.09
• Final submission 31.3.2010
• Healthcare Commission, Monitor, Audit Commission,
  NIGB, SHAs

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Supporting ComplianceSupporting Audit

• SHAs will monitor progress using the Tracking
  Database.
• Key group SHA IG leads group
• Operating Framework 2009/10 Level 2 attainment
  against key standards
• These are IG Assurance requirements (David
  Nicholson Review, NHS Statement of Compliance,
  NHS Business Partners)
• Improvement and action plans in place to support
  level 2 attainment across the board.

14
Version 8 refresh and re-badge 2009/2010

• Rationale
• Core component of the IGA Framework
• To support greatly increased user base 400 to
  30,000!
• To support the move from light touch self
  assessment to more formal audit
• Supported by formal Advisory group - membership
• HCC, Audit commission, NIGB, representation from
  all user groups.
• Review process will include requirements and
  functionality.

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Thank you for listening

• Questions at the end of the next presentation
  please.

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The Information Governance Training Tool (IGTT)

• The journey so far
• The role of IGTT
• The value of IGTT
• The future of IGTT

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The IGTT The Journey so far
January 2007
Content development
February 2008
E-learning tool development
May 2008
Go live launch
February 2009
New Information Risk Management and SIRO modules
released
Spring 2009
New reporting functionalities due for Go live
2009 to 2010
37 hours of e-learning under development
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The role of IGTT

• Supporting component of the IGA Framework.
• Contributes to making IG a professional
  discipline.
• Communicates IG best practice in a widely
  accessible learning environment..
• Provides a record of staff learning progress to
  support disciplinary procedures.
• Assists organisations to embed IG in day to day
  services.
• Standardises IG knowledge.

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The value of IGTT

• User friendly courses for all levels of staff.
• Easily accessible flexible.
• Contributes to staff PDP.
• Aid for compliance with IGT training standards
  evidence for audit.

• Supports management local IG arrangements.
• Saves (s) on training resources (Free).
• Promotes secure information processing.
• Reduces risks of data loss keeps PID safe.

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The future of IGTT

• Continuous evaluation and improvement.
• IGTT content development user groups subject
  matter focused.
• Advanced reporting for DIP, SHAs and PCTs.
• Connecting with the Electronic Staff Record
  (ESR).
• Mandating IG training and linking to disciplinary
  procedures.
• BCS qualifications in IG Introductory,
  Foundation, Practitioner level.

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New modules in the pipeline

• Information Risk Management (3) Early 2009
• Confidentiality and Caldicott (2) Mid 2009
• Records Management (6) Late 2009
• Information Security (4) Early 2010
• Legal Obligations (6) Mid 2010

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New e-learning tool developments Spring 2009

• Newsletter
• Prompting absent users
• New Department field
• Bulk upload
• Reporting permissions
• Advanced level reporting

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IGTT in action Wandsworth PCT

• IGTT is mandated for all staff to complete
  annually and new staff are mandated to complete
  the training with 3 months of start date
• Included within the PCTs training strategy and
  policy endorsed by the SIRO
• Supported by the PCTs Communication Team, linked
  to the Human Resources Knowledge and Skills
  Framework (KSF) requirements and Personal
  Development Review (PDR) targets.
• Bimonthly performance report to PCT Management
  Team
• Set up an accountability framework for receipt of
  training - line managers are accountable for
  their staff completing the training.
• Currently 1640 staff registered. The training
  has been well received with approximately 70 of
  PCT staff having completed, at least two modules,
  by December 2008.
• The PCT Training Manager reports that the receipt
  of IG training through the IGTT has had the most
  successful training uptake rates for any
  mandatory training programme ever in the PCT.

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What a training. This was one of the most eye
opening training Ive had for long time. WPCT
Staff feedback
The Future of IG Training in the NHS and Social
Care
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Thank you for listening

• Any questions?

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Part 2 Information Governance as a professional
discipline

• The career progression framework

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IG Resourcing study

• Carried out in two stages
• Questionnaire piloted with Guardians BMA
  resulted in web survey in early 2008
• 20 follow up interviews selected on toolkit
  results
• Focus
• Grading, recruitment, retention, succession
• Effect of new initiatives
• Training provided to staff
• Networking groups and SHAs

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IG Resourcing Some HR issues

• Recruitment and retention difficult in some areas
• Very hard to recruit fully fledged IG manager
• Succession is also a problem because all hinges
  on lead person
• No clear career path needs an enthusiast
• Grading variable and controversial

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Recommendation Development of a Foundation Degree

• Assisting organisations to meet challenges
  identified in IG resourcing survey
• Recruitment and retention issues.
• Maintain and/or improve IG performance.
• Assisting staff to pursue or develop a career in
  IG, by
• Facilitating progression and sideways movement.
• Providing professional accreditation and
  qualification.
• Providing a base for further study.

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How will the degree be developed?

• Using existing standards
• The Health Informatics Framework.
• National Occupational Standards.
• Knowledge and Skills Framework.

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Developing learning outcomes

• Students will be expected to attain and
  demonstrate achievement of three types of
  learning outcome
• Core learning outcomes.
• General learning outcomes.
• Subject specific learning outcomes.

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Core learning outcomes

• Based on National Occupational Standards.
• Incorporate the core learning common to all
  foundation degrees.
• Recognise that students may come from a range of
  educational backgrounds.
• Therefore each student will have the opportunity
  to develop individual skills
• Study skills academic and work-based.
• Personal and professional development
  planning/portfolio building.
• Literacy, numeracy, communication.
• Interpersonal skills and team-working.
• Research and evidence appraisal skills.

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General learning outcomes

• NHS Knowledge and Skills Framework
• Must map to six core dimensions
• Quality Assurance Agency for Higher Education
• Must meet requirements of an intermediate
  qualification

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Subject specific learning outcomes

• The Health Informatics Career Framework
• National Occupational Standards
• KSF dimensions
• The IG toolkit - close alignment with the
  standards www.igt.connectingforhealth.nhs.uk
• Professional standards, e.g. United Kingdom
  Council for Health Informatics Professions
  (UKCHIP) Level 2 www.ukchip.org

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Overall objectives

• On completion of the course a student should be
  able to
• Understand, explain and apply each of the
  component parts of Information Governance.
• Evidence how to resolve and reduce the occurrence
  of confidentiality and security incidents.
• Demonstrate an awareness of current issues
  affecting IG, e.g. the NHS Care Records Service.
  
• Demonstrate an ability to address improvements to
  existing IG practice within their organisation.
• Final year project Based on the students work
  area, practical application of concepts of
  Information Governance studied on the course,
  e.g. implementation of new way of working
  improved management of existing practice
  training programmes, etc

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Recommendation Developing consistency in grading
for IG staff

• Building a suite of Agenda for Change outlines
  for IG posts with the aim of
• Recognising the range of skills and knowledge
  required for senior IG staff.
• Providing a guide to the skills and knowledge
  required for IG support staff.

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How?

• Building on the generic framework of the NHS KSF.
  
• Providing a guide to the specific knowledge and
  skill-set required for IG roles.
• Identifying specific KSF dimensions that would
  apply depending on seniority and post - so far
  post outline for an IG Manager at band 8a.

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Next steps

• Development and review groups for the degree and
  post outlines.
• Identifying an educational partner.
• Working with stakeholders to develop and tailor
  the degree learning outcomes.
• Liaising with Agenda for Change staff and NHS
  Employers.
• Developing a suite of profiles for IG staff.

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Developments within health informatics

• Health Informatics Career Framework
  http//www.hicf.org.uk
• Identify and open up career opportunities in
  Health Informatics
• Allows individuals to plan careers in Health
  Informatics
• Approach is consistent with Skills for Healths
  career frameworks for other staff groups (e.g.
  Allied Health Professions).
• Professionalising health informatics
• Comprehensive single point of access, an online
  one-stop shop for all HI-related development
  opportunities
• An information filter, rather than duplicate
  information available elsewhere, PHI signposts
  users to original sources

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Post Graduate Programme in Healthcare
Information Governance

• Digital Information Policy sponsored two students
  who had to provide their CV and
• An indication of line manager support.
• A statement that the student or the employing
  organisation would pay the cost of travel and
  accommodation
• Statements summarising the benefits of
  undertaking course to
• The student
• Their business unit/team/Directorate
• Their employing organisation
• Agreement to present NHS Connecting for Health
  with a structured evaluation of the course
  content and any supporting materials.
• Agreement to undertake at least one project
  during the course of studies to be agreed with
  the sponsoring body.

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Thank you for listening

• Any questions?