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
• IG resourcing
• Career progression in IG
• Agenda for Change job profiles
• Education, training and development
• Health Informatics Development
• A professional body for IG staff?

3
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 IG Resourcing Project
• Anna Harvey, Information Governance
  Consultant
• Career progression Foundation Degree in
  Information Governance
• Magi Nwolie, Information Governance
  Policy Support Manager
• Recognising information governance skills
  Compiling a set of Agenda for Change IG job
  profiles
• Magi Nwolie, Information Governance
  Policy Support Manager
• Education, training and development Masters
  degree in Healthcare Information Governance
• Jill Stretton, Healthcare Information
  Governance Manager
• Personal and Professional Health Informatics
  Development
• Jackie Smith, Health Informatics
  Development Manager
• A professional body for Information Governance
  staff?
• Alan Lowe, Information Governance Manager

5
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

6
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

7
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
8
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
9
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

11
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

13
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.

16
The Information Governance Training Tool (IGTT)

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

17
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.

19
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.

20
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?

29
Part 2 Information Governance as a professional
discipline
30
Information Governance Resourcing Interviews

• Dr Anna Harvey
• anna.harvey_at_tiscali.co.uk
• Digital Information Policy Team

31
Resourcing study in 2 stages

• Questionnaire piloted with Guardians BMA
• Web survey in early 2008 - new challenges
  starting
• 20 follow up interviews selected on toolkit
  results
• Covering different IG aspects by organisation
  type
• Steering groups and composition
• Focus on how much time spent
• Grading, recruitment, retention, succession
• Effect of new initiatives
• Training provided to staff
• Networking groups and SHAs

32
Main findings Management

• Caldicott Guardians spend minimal time on the
  role
• About half are IG board representatives
• Guardians role is specific Most work closely
  with IG manager- some dont!
• SHAs now appointing clinical guardians
• SIROs being appointed from existing directors
• IG steering group usually exists
• Some have only started or revived recently
• A key indicator of success
• Usually no specific IG budget

33
Main findings Day to day management

• Most organisations have an IG manager, various
  models
• One experienced person who does most things, or
• Shared between IMT records management or,
• An AD one day a week plus administrator
• Without this role filled, the organisation will
  struggle
• Usually in IMT but need a wide mix of skills
• Other roles vary by organisation type
  (PCT/acute/SHA)
• RM and security often tackled by specialists
• Struggling to cope with new directives e.g.
  process mapping

34
HR issues

• Recruitment and retention difficult around London
• Very hard to recruit fully fledged IG manager
• Better to develop in-house
• Succession is also a problem because all hinges
  on lead person
• No clear career path needs an enthusiast
• Grading variable and controversial
• Some organisations have fallen off the radar
• Needs about 2.5 FTEs altogether

35
Recommendations 1

• Continuing need for help with expanding IG remit.
• New role for the SHA responsible
• Problems will continue where there is no
  day-to-day resource and recruiting problems
• Recruiting an IG manager meeting all requirements
  is most difficult
• Sharing good practice is key but is not
  incentivized - suggest a social networking
  approach
• Networking groups useful but time-consuming - use
  teleconference and videoconference

36
Recommendations 2

• Many useful documents published by trusts are
  published on the web
• Information Governance managers may need a
  representative group
• Shared services eg local Health Informatics
  Services could help share resources and expertise
• Using contractors is of limited value because
  expertise leaves the organisation when they go
• IG managers grading should be consistent and
  recognize their key role

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Information Governance as a professional
discipline

• A Foundation Degree in Information Governance

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Why develop 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 Career 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.

42
General learning outcomes 1 NHS Knowledge and
Skills Framework

• C1 - Communication, Level 3 Develop and maintain
  communication with people about difficult matters
  and/or in difficult situations.
• C2 - Personal and people development, Level 3
  Develop oneself and contribute to the development
  of others.
• C3 - Health, safety and security, Level 3
  Promote, monitor and maintain best practice in
  health, safety and security.
• C4 - Service improvement, Level 2 Contribute to
  the improvement of services.
• C5 - Quality, Level 3 Contribute to improving
  quality.
• C6 - Equality and diversity, Level 2 Support
  equality and value diversity.

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General learning outcomes 2 QAA for Higher
Education

• Degree will be an intermediate qualification
  within the Quality Assurance Agency Framework for
  Higher Education Qualifications.
• With a vocational orientation, enabling
  successful students to perform effectively in the
  IG field.
• Students will be able to demonstrate
• Sound understanding of the principles of IG.
• Ability to apply those principles more widely.
• Ability to evaluate different approaches to
  solving problems.
• An understanding of the limits of their knowledge.

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Developing subject specific learning outcomes
Using the Health Informatics Career Framework

• Reviewing current job roles on the HICF.
• Bridging the gap between IG Assistant (CF4) and
  IG Officer (CF6).
• Successful students will demonstrate competences,
  skills and qualifications at new CF5,
  provisionally titled IG Support Officer.
• Competences reflect the fact that staff should
  have basic supervisory skills and a greater
  degree of autonomy than level 4 roles.
• As with existing HICF job roles the new job role
  includes National Occupational Standards linked
  to KSF dimensions, which will be used to form
  subject specific learning outcomes.

45
Subject specific learning outcomes 1 National
Occupational Standards for IG support officer
draft job role

• HI1 - Manage risks to information.
• HI6 - Monitor, evaluate and improve the
  management of data and information.
• B5 - Provide leadership for your team.
• B8 - Ensure compliance with legal, regulatory,
  ethical and social requirements.
• D1 - Develop productive working relationships
  with colleagues.
• D5 - Allocate and check work in your team.
• L6 - Develop training sessions.
• GEN13 - Synthesise new knowledge into the
  development of your own practice.
• 310 - Research, analyse and report information -
  this is about researching, analysing and
  reporting information.

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Subject specific learning outcomes 2 KSF
dimensions for IG support officer draft job role

• KSF dimensions are linked to the National
  Occupational Standards and will also be used to
  develop subject specific learning outcomes
• General G1 Learning and Development, Level 2
  Enable people to learn and develop.
• General G6 People management, Level 2 Plan,
  allocate and supervise the work of a team.
• Information and knowledge IK1 Information
  processing, Level 4 Develop and modify data and
  information management models and processes.
• Information and knowledge IK2 Information
  collection and analysis Level 3 Gather, analyse,
  interpret and present extensive and/or complex
  data and information.

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Other areas for subject specific learning
outcomes

• 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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Next stages

• Identifying an educational partner
• Working with stakeholders to develop and tailor
  the learning outcomes.

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Information Governance as a professional
discipline

• Recognising information governance skills

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NHS Knowledge and Skills Framework

• Defines and describes the knowledge and skills
  which NHS staff need to apply in their work in
  order to deliver quality services.
• Provides a single, consistent, comprehensive and
  explicit framework on which to base review and
  development for all staff.

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Purpose of NHS KSF

• Facilitate the development of services to better
  meet the needs of users and the public through
  investing in the development of all members of
  staff.
• Support the effective learning and development of
  individuals and teams.
• Support the development of individuals in the
  post in which they are employed so that they can
  be effective at work.
• Promote equality for and diversity of all staff.

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The focus of the NHS KSF

• Broad generic framework that focuses on
• Application of skills/knowledge, i.e. how people
  need to apply their knowledge and skills to meet
  the demands of work.
• Does not describe specific skills/knowledge
  required to carry out a job.
• Does not contain standards nor competences.

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Agenda for Change post outlines

• Build on the generic framework.
• Provide a guide to the specific knowledge and
  skill-set required for a particular role.
• Six core dimensions relevant to all posts.
• 24 specific dimensions that apply to some but not
  all jobs in the NHS.

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What are we doing?

• Building a suite of 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 support staff.

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Relevant dimensions for IG Manager

• Information and knowledge
• IK1 Information processing.
• IK2 Information collection and analysis.
• IK3 Knowledge and information resources.
• General
• G1 Learning and development.
• G4 Financial management.
• G5 Services and project management.
• G6 People management.

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Next steps

• Post outline development and review group
• Liaise with Agenda for Change staff and NHS
  Employers
• Developing a suite of post outlines for IG staff

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Post Graduate Masters Degree HEALTHCARE
INFORMATION GOVERNANCE
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VIRTUAL LEARNING ENVIRONMENT
MOODLE
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Scholars Online

• Secure Environment
• Chat Links
• Submit Assignments
• Record Grades
• Resources Links
• Forums
• Bulletin Board
• Messaging

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Course Content

• Confidentiality DPA
• FOI and Records Management
• Information Security NCRS
• Clinical Systems
• HIG in Practice - Portfolio
• Knowledge Information Management
• Organisational Change Leadership and Management
• Research in Practice
• Research Project

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Benefits to the Student

• Gain Knowledge, Competency Efficiency
• Appreciation of IG the impact on service
  delivery
• Learn how to implement the IG agenda
• Recognise IG as an integral aspect of patient
  care
• Recognised Qualification

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Residential
BATH
EDINBURGH
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TIPS

• Time Management
• Ensure support from your employer
• Try to get involved on-line
• Dont be afraid to talk to your tutor
• Dont suffer alone!

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Any Questions
66
Health Informatics Development

• Jackie Smith
• Health Informatics Development Manager
• NHS Connecting for Health

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Health Informatics Career Framework (HICF)
http//www.hicf.org.uk

• Identify and open up career opportunities in
  Health Informatics
• Allows individuals to plan careers in Health
  Informatics
• Allows organisations to plan a more effective
  Health Informatics workforce
• UK wide venture led by NHS Wales, with
  significant input from England
• Approach is consistent with Skills for Healths
  career frameworks for other staff groups (e.g.
  Allied Health Professions)

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Currently 50 job roles online, including IG, to
increase to 100 by end of March

• Online roles include
• Description of the roles and responsibilities
  involved
• An indication of related job titles
• Relevant National Occupational Standards and KSF
  links
• Relevant qualifications
• Relevant professional standards
• The HICF level

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HICF can help organisations and individuals

• Organisations
• Workforce planning, modelling, succession
  planning
• Workforce implications of service re-design
• Recruitment and retention
• Individuals
• Illustrating career opportunities, e.g. examples
  of progression
• Aiding career planning, e.g. case studies
• Supporting movement in all directions
• Providing a skills escalation concept based on
  competences
• Promoting the bigger picture of Health
  Informatics

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Professionalising Health Informatics (PHI)
http//www.connectingforhealth.nhs.uk/phi

• 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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PHI CONTENT INCLUDES

• Main sections
• About Us
• Personal Progression
• Hot Topics
• Useful Links
• Key Resource the Learning Web

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Useful websites

• http//www.connectingforhealth.nhs.uk/phi
• http//www.hicf.org.uk
• http//espace.connectingforhealth.nhs.uk
• http//www.connectingforhealth.nhs.uk/systemsandse
  rvices/capability
• http//www.hinos.org.uk
• http//www.ukchip.org.uk

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Contact Details

• Jackie SmithTel 0113 397 4385Mobile 07770
  730824email jackie.smith10_at_nhs.net

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Thank you for listening

• Any questions?

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Information Governance

• A new Profession for
• an IDentity heavy society.

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The New Importanceof Information Governance

• Appointment of Caldicott Guardians
• Appointment of Information Governance staff
• Loss of millions of records across all public
  sectors
• Cabinet Office review of data losses
• ICO Review of data losses
• Appointment of SIRO
• ID and personal information is crucial in the
  21st Century
• Safeguards for us all.

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The Lone Voice
There are inherent problems with being a lone
voice shouting in a crowded room.
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The Lone Voice

• There are inherent problems
• with being a lone voice
• shouting in a crowded room.

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The Lone Voice

• So, why not SHOUT together!

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Time For Change

• If Information Governance and Information
  Governance professionals are to be taken
  seriously then things need to change radically in
  both the NHS and wider public and private sectors.

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Time For Change

• What happened to Caldicott Guardians?
• What is happening to Foundation Trusts?

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Strength in Numbers
That ant cant move a rubber tree plant!
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Strength in Numbers
or CAN IT?
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A New Professional Body

• If, as Information Governance professionals,
• we are to be taken seriously then we need to
• be joining together and singing from one
• hymn sheet.

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A New Professional Body

• Currently there are two organisations trying and
  willing to take Information Governance forward as
  a fully fledged professional body
• AIGP
• IHRIM

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The Next Step

• If you are in favour of a new professional body
• being established for Information Governance and
• you would like to be involved in taking this
  forward
• then please contact
• Alan Lowe
• alan.lowe_at_cordillo.com
• www.cordillo.net
• Tel. [phone]
• Fax. [phone]