Information Governance Assessment Version 7 Started - NHS organisations_2009.pdf · More information is available in the Information Governance leaflet 1.2 What is the Information

Digital Information Policy

IG Toolkit version 7: Getting Started for NHS organisations 2009 Page 1 of 27

Information Governance Assessment Version 7

IG toolkit version 7: Getting started for NHS organisations



Welcome to Version 7 of the Information Governance Toolkit This version of the Toolkit represents Department of Health Policy as of 30th June

2009. The Team hope you find the toolkit helpful and useful. If at any time you

require help or guidance please contact the NHS Connecting for Health Helpdesk on

01392 251289 or by email at [email protected]

Phil Walker, Deputy Head of Digital and Health Information Policy, NHS Connecting for

Health

Marie Greenfield, Information Governance Policy Manager, Digital Information Policy, NHS

Connecting for Health

Getting Started

Audience: This Getting Started booklet is for the large NHS organisations, that

is, acute trusts, PCTs, ambulance trusts, foundation trusts, mental health

trusts, and strategic health authorities.

If, after reading, you have a query, comment or suggestion for improvement

regarding the IG Toolkit or this booklet please contact our Helpdesk on 01392

251289 or email [email protected]

If the IGT support team are unable to resolve your query, they will forward it to

a member of the Digital Information Policy Team who will get back to you.

mailto:[email protected]




Contents 1. Overview and Scope What is Information Governance? What is the Information Governance Assurance Framework? Why do I need to complete the Information Governance Assessment? What is in the Information Governance Toolkit?

2. Setting up an Information Governance Steering Group or Forum How do I begin to set up an Information Governance Steering Group or Forum?

3. Registration Why does the organisation need to register? Who in the organisation should complete the registration? How does the organisation register? What happens once I have submitted the form? What if we do not know our organisation code? What if the toolkit does not recognise our organisation code? What happens if we want to change the administrator?

4. IGT User roles What are the IGT User roles? How many administrators, reviewers and users can an organisation have? Can a member of the organisation have more than one role? What does the administrator do? How does the administrator set up the IGT User roles? What if the organisation wants to change the administrator? What does the reviewer do? What does the user do? As a user can I amend the scores once saved and marked as complete by the

reviewer? What should a reviewer or user do when logging on to the toolkit for the first

time? Where can I find out more about the different IGT User roles?

5. Creating an Assessment Who should create the assessment? How does the administrator create an assessment? What happens once the administrator has created the assessment? What if I want to delete the assessment? What does the updated assessment screen show?

6. Viewing the IG toolkit requirements Now that the organisation is registered and the IGT User roles set up, how do I

see which requirements to complete?

Can I view the requirements in any other way?

7. Carrying out the assessments How are scores entered into the assessment? Who can score and save the individual requirements?

How do I “baseline” my organisation?



What happens after I complete a baseline assessment?

How do I carry out a performance update?

What happens after I complete a performance update?

What do I do if I discover an error has been made after my organisation has submitted a baseline or performance update?

8. Submitting the assessment How do I submit my organisation‟s final assessment? Who can mark individual requirements as complete? Who can mark individual requirements as confirmed complete? What happens when all of the requirements are confirmed as complete? What happens if the organisation wants to "unconfirm" the assessment? Who can submit the assessment once it has been confirmed as complete? What if the organisation wants to “unsubmit” the assessment? How is approval of the assessment carried out?

9. Creating an Implementation Plan How do I create an implementation plan?

10. Viewing the Assessment and Requirements Can our organisation view our own assessment once they have been submitted? Can our assessments be viewed by other organisations?

11. Information Governance Reports What reports are available for my organisation? Can I see reports relating to other organisations? As a Strategic Health Authority IG lead what reports are available for me?

12. Where to go for Help Where do I go for help with Information Governance Toolkit issues?



1. Overview and Scope 1.1 What is Information Governance? Information Governance is formed by those elements of law and policy from which applicable information governance standards are derived. It encompasses legal requirements, central guidance and best practice in information handling, including:

The common law duty of confidentiality

Data Protection Act 1998

Information Security

Information Quality

Records Management

Freedom of Information Act 2000 Whilst a key focus of information governance is the use of information about service users, it applies to information and information processing in its broadest sense and underpins both clinical and corporate governance. Accordingly it should be afforded appropriate priority. The four fundamental aims of Information Governance are:

To support the provision of high quality care by promoting the effective and appropriate use of information.

To encourage responsible staff to work closely together, preventing duplication of effort and enabling more efficient use of resources.

To develop support arrangements and provide staff with appropriate tools and support to enable them to discharge their responsibilities to consistently high standards.

To enable organisations to understand their own performance and manage improvement in a systematic and effective way.

More information is available in the Information Governance leaflet 1.2 What is the Information Governance Assurance Framework? The Information Governance Assurance Framework for health and social care sets out the activities and roles which individually and collectively ensure that the

information governance standards are clearly defined and met. It comprises a number of internal measures and organisational structures to improve information governance, and external methods of providing oversight, monitoring and audit. 1.3 Why do I need to complete the Information Governance Assessment? The annual information governance assessment, via the Information Governance Toolkit, has been approved by Health Ministers, the Review of Central Returns (ROCR) team and Monitor. Final assessments must be submitted on 31 March each year and are shared with the Care Quality Commission, Audit Commission, Monitor and a new National Information Governance Board. From 2009/10 onwards the major NHS organisations (i.e. acute trusts, PCTs, ambulance trusts, foundation trusts, mental health trusts, and strategic health authorities) must baseline their performance within the toolkit by the end of July each year and should update the assessment with improvements at the

http://www.connectingforhealth.nhs.uk/systemsandservices/infogov/links



end of October to enable performance and actions to be tracked by Strategic Health Authorities, commissioners and other monitoring bodies. The NHS Operating Framework for 2009/10 requires organisations to achieve level 2 performance against all key requirements identified in the Information Governance Toolkit. Organisations must sign the Information Governance Statement of Compliance (IGSoC) to provide assurance that they are meeting these key requirements and must have robust improvement plans to address any shortfalls against other requirements. Further information is available in the IG Assurance Framework briefing note (PDF 24.1Kb) 1.4 What is in the Information Governance Toolkit? The Information Governance Toolkit is an online tool that enables organisations to measure their performance against the information governance requirements set out above.

The toolkit contains a set of six initiatives or work areas covering the following areas:

Information Governance Management

Confidentiality and Data Protection Assurance

o Confidentiality NHS Code of Practice o Data Protection Act 1998

Information Security Assurance o Information Security Management NHS Code of Practice o International standard for Information Security: ISO/IEC

27002:2005 o Information risk management

Clinical Information Assurance o Health Records Management o Records Management NHS Code of Practice

Secondary Uses Assurance o Information Quality o Payment by Results

Corporate Information Assurance o Freedom of Information Act 2000 o Corporate Records Management o Records Management NHS Code of Practice

The toolkit also contains specific organisational views, such as those for General Practice, social care organisations and Commercial Third Parties (CTPs). NB: Specific Getting Started materials have been made available for these organisation types.

http://www.dh.gov.uk/en/Publicationsandstatistics/Publications/PublicationsPolicyAndGuidance/DH_091445

http://www.connectingforhealth.nhs.uk/systemsandservices/infogov/igsoc

http://www.connectingforhealth.nhs.uk/systemsandservices/infogov/igsoc

http://www.connectingforhealth.nhs.uk/systemsandservices/infogov/igap/igaf/igafbriefing.pdf

http://www.connectingforhealth.nhs.uk/systemsandservices/infogov/igap/igaf/igafbriefing.pdf

https://www.igt.connectingforhealth.nhs.uk/GettingStartedChooser.aspx



2. Setting up an Information Governance Steering Group or Team 2.1 How do I begin to set up an Information Governance Steering Group or Forum? Initial steps in the process include:

Appointing a senior manager(s) with Board level responsibilities for IG.

Establishing an IG Steering Group and nominating an IG lead to take forward operational and practical issues including:

o Using the IGT to assess the organisation o Agreeing and developing a work programme including improvement

planning o Developing policy and strategy o Communication and awareness planning

The Information Governance Management (IG Management) requirements in the toolkit provide further information about establishing clear lines of management and accountability for IG, including setting up a steering group or forum.

3. Registration Registration only needs to be carried out once. Therefore if you have carried out IG assessments for the same organisation in previous years, you will not need to register the organisation again. 3.1 Why does the organisation need to register? NHS organisations are mandated to complete the toolkit. Completion of the toolkit requires that an organisation is registered. 3.2 Who in the organisation should complete the registration? Only individuals nominated by their organisation to be the "Administrator" for the Information Governance Toolkit should complete the registration form (for further information about the administrator role, please see IGT User roles). 3.3 How does the organisation register? To register, the administrator should select the "Request Registration" button from the menu - a screen similar to Figure 3.1 will be displayed.



Figure 3.1

ALL boxes need to be completed. Then click the “Next” button at the bottom of the form. If you spot any errors, please notify the helpdesk immediately. IMPORTANT: Please ensure the email address is correct as this is how we will contact the administrator with information about the Information Governance Toolkit.

Only ONE registration can be made per organisation 3.4 What happens once I have submitted the form? A login name and password will be sent via the email address on the registration form. This is for the administrator role and should be used to set up the IG assessment and to allocate IGT User roles (please see: creating the assessment and IGT User roles). 3.5 What if we do not know our organisation code? All organisations who register for the Information Governance Toolkit will have a unique code. For NHS organisations, this is the National Code managed by the Organisation Data Service (ODS) and can be located by carrying out a search on your organisation name at: http://nww.connectingforhealth.nhs.uk/ods/enquiries NHS Net users only Other organisations, for example CTPs are advised of the code to use.

3.6 What if the toolkit does not recognise our organisation code? Please contact the NHS Connecting for Health helpdesk at [email protected] or telephone 01392 251289. 3.7 What happens if we want to change the administrator? Please see Administrator role

4. IGT User roles 4.1 What are the IGT User roles? There are three user roles within the IG Toolkit:

Administrator

Reviewer

User

http://nww.connectingforhealth.nhs.uk/ods/enquiries

mailto:[email protected]&subject=Information%20Governance%20Toolkit



4.2 How many administrators, reviewers and users can an organisation have? The organisation can only have ONE administrator but up to six reviewers and six users. 4.3 Can a member of the organisation have more than one role? Each organisation is responsible for setting up its own Information Governance management and accountability arrangements. Generally, a separation of roles is recommended to enable robust review, and ideally more than one reviewer and user should be appointed to cover for absence. However, the toolkit does not restrict the administrator from allocating more than one role to an individual. 4.4 What does the administrator do?

Registers the organisation to use the toolkit

Creates the annual IGT assessment

Sets up users and reviewers to enter data in the toolkit assessment. Submits the assessment

Important: the administrator CANNOT complete the assessment

4.5 How does the administrator set up the IGT User roles? It is the responsibility of the administrator to establish and manage users and reviewers. The administrator also has the ability to determine what requirements each user is to assess, for more on user defined views see: carrying out the assessment. To add a new user - log on and select “User Admin” from the menu, a screen similar to Figure 4.1 will be displayed.

Figure 4.1

Click on the "New user" hyperlink and a screen similar to Figure 4.2 will appear. Figure 4.2



Complete the fields for the new user - NB: only the administrator can create or amend these fields.

Login field: leave blank as the login name will be automatically generated.

Name: leave a space between forename and surname.

Password: rules for password creation are detailed on the screen. The administrator should set an initial password for new users/reviewers and advise them to change the password at first log on.

Email: include a valid NHS email address as this will be used to generate an automated email via the “Forgotten password” facility should the user require.

Telephone: a current number for the user should be entered. Determine the type of account: reviewer or user and click the “Create” button. A screen similar to Figure 4.3 should now be displayed.

Figure 4.3

Note that the login name is generated using the first and second letters of the forename and surname. If the system generates an offensive login, the administrator can replace this manually and click on the “Update” button. The account has now been created and the administrator should inform the account holder of their login, organisation code and initial password.

Managing user/reviewer accounts Users and reviewers who have forgotten their passwords should be directed to the “Forgotten Password” facility on the menu to generate a new password. This will be sent to the email address registered on the toolkit.

To obtain user login name or to update user account details - if a user or reviewer has forgotten their login name, or requires an update to any of the details in their profile fields, the administrator can inform them of the login or update the account details. To do this the administrator should log on and select “User Admin” from the menu, this will reveal the list of users and reviewers for the organisation including their login name. To change account details, click the “Edit” hyperlink within the account to be changed, amend the details and press the “Update” button.

To lock the account (so it may not be used) the administrator should log on and click on “User Admin”, click the “Edit” link for the relevant user, remove all the access rights by un-checking the “Roles” boxes and then select the “Locked” check box and press the “Update” button. NB: it is not possible to delete accounts that are no longer required if the user has added any data (scores, comments, etc) to the toolkit – the account can only be locked.



Administrators who have forgotten their passwords should use the “Forgotten Password” facility on the menu, a new password will be sent to the email address registered on the toolkit. Administrators who have forgotten their login name should contact the Helpdesk at [email protected] or telephone 01392 251289. 4.6 What if the organisation wants to change the administrator? To change administrator, the current administrator should contact the Helpdesk at [email protected] or telephone 01392 251289, provide a name and contact details for the new administrator, and a date for changing the administrator. The new administrator will receive an email containing their user name and password. If, for any reason, the current administrator cannot do this the Information Governance Lead, Caldicott Guardian or another suitably senior manager from the organisation should contact the Helpdesk. 4.7 What does the reviewer do?

Verify the requirement scores and evidence for the assessment

Enter and amend requirement scores

Enter comments into the comments field

Mark requirements as confirmed complete

Confirm that the assessment is complete and ready for submitting

4.8 What does the user do?

Assess the organisation‟s score for each requirement

Enter the requirement scores

Amend requirement scores (before confirmed as complete)

Enter comments into the comments field

4.9 Can a user amend the scores once marked as complete by the reviewer? No. Once the reviewer has marked the requirement score as complete the save button disappears. 4.10 What should a reviewer or user do when logging on to the toolkit for the first time? To log on for the first time, the reviewer and user should access the site https://www.igt.connectingforhealth.nhs.uk and enter the organisation code, login and password provided by the administrator.

The password allocated by the administrator should be changed by selecting “My Password,” from the menu. The current and new password should be entered into



https://www.igt.connectingforhealth.nhs.uk/



the relevant fields. The new password must conform to the guidelines on the screen; click “Change Password” when ready. The new password can be use immediately.

NB: if a password is forgotten the “Forgotten Password” facility can be used to generate a new one. This will be sent to the email address registered on the toolkit. 4.11 Where can I find more information about the different IGT User roles? The IGT administrator, reviewer and user guidance documents have been updated and can be downloaded here:

Administrator guide

Reviewer guide

User guide

5. Creating an Assessment 5.1 Who should create an assessment? The administrator creates the assessment. 5.2 How does the administrator create an assessment? Log into the Information Governance Toolkit and select “Assessments” from the menu. The assessments screen in Figure 5.1 will be displayed and you will be prompted to create a new assessment by putting some meaningful text in the text box.

Figure 5.1

For example, enter IG Assessment for XXX NHS Trust 20xx /20xx. Press the “Create New Assessment” button. This will update the assessment screen to one similar to Figure 5.2 below. 5.3 What happens once the administrator has created the Assessment? After you create an assessment you will see a pop-up reminder with text similar to the following: “Now you have started your organisation’s assessment you need to submit your baseline assessment by 31st July 20xx. To do this simply enter your scores and click the baseline button.” The user and/or reviewer can now begin to enter data.

5.4 What if I want to delete the Assessment? In the unlikely event that an assessment needs to be deleted, it can only be done by the administrator. The administrator should click the delete button on the assessment screen (Figure 5.2 below) and select “yes” on the confirm deletion page.

https://www.igt.connectingforhealth.nhs.uk/IGT%20Administrator%20Guide.doc

https://www.igt.connectingforhealth.nhs.uk/IGT%20Reviewer%20Guide.doc

https://www.igt.connectingforhealth.nhs.uk/IGT%20User%20Guide.doc



Figure 5.2

NOTE: once the assessment is deleted all requirements answered and scores entered will be lost. The administrator will then be required to set up a new assessment. PLEASE TAKE CARE NOT TO DELETE BY ACCIDENT 5.5 What does the updated assessment screen (Figure 5.3) show? The updated assessment screen shows an organisation‟s current status regarding their Information Governance assessment. Figure 5.3

Assessment Ref: a unique automatically generated reference number.

Description: contains the free text entered into the “Create a new assessment” box when setting up the assessment

Requirements: the version number of the requirements in the Information Governance Toolkit.

Confirmed, Completed, Answered, Not Answered: status boxes that change as scores are entered against the requirements. For example, currently the status is 60 out of 60 not answered. Once a requirement is answered and saved this will change to 59 out of 60 not answered and 1 out of 60 answered. The same principle applies for completed and confirmed.

Marked Not Relevant: if this option is available and the requirement genuinely does not apply to the organisation, then the organisation should select the Not Relevant option and state the justification in the comments field.

View Requirements: a hyperlink to the organisation‟s current assessment.

Implementation Plan: This automatically generates an implementation plan for each requirement, based on the current ratings and target ratings you enter whilst scoring the requirements.



Status: shows the date and user name when an organisation has:

Started the assessment

Carried out a baseline assessment

Carried out a performance update

Confirmed the assessment

Submitted the assessment The status will also change if an organisation rolls back an assessment status, e.g. going from performance update back to baseline; or un-confirming an assessment. Please see the section on carrying out the assessment for more information on the options to roll back your assessment. Delete: this option will only be seen by the administrator and should only be used in the unlikely event that an assessment needs to be deleted. This can be done by clicking the delete button and confirming the deletion. NB: once the assessment is deleted all requirements answered and scores entered will be lost. The administrator will be required to set up a new assessment. PLEASE TAKE CARE NOT TO DELETE BY ACCIDENT

6. Viewing the requirements 6.1 Now that the organisation is registered and the IGT User roles set up, how do I see which requirements to complete? To view the requirements, the user should log into the toolkit and select “Requirements” from the menu. Alternatively, select “Assessments” from the menu and click on the “View Requirements” link on the assessments status box. The screen displayed will be the specific Information Governance view for that organisation, and the requirements will match the organisation-type, e.g. an NHS acute services trust login will display the “Acute” view requirements. For most organisations there is the option of viewing the requirements through the Management, Systems, Processes and People categories or from the various work areas (e.g. Information Governance Management, Confidentiality and Data Protection Assurance, etc). See Figure 6.1 below.

Figure 6.1



6.2 Can I view the requirements in any other way? There is also the option to set up „user defined‟ views of the requirements - this enables you to put the requirements into differently named categories, e.g. to allocate certain requirements to a particular person, or perhaps to pull all the requirements previously scored at level 1 into one view. To set up a user defined view, select “Views” from the menu then click “Create new view”. The screen in Figure 6.2 will be displayed.

Figure 6.2

Enter some meaningful text in the description box, select which of the requirements you would like to include in the user defined view and click the “Create” button. Two lists will be displayed as in Figure 6.3, the requirements selected for your user defined view and the requirements not selected. You have the option to delete the new view or to edit it by removing or adding requirements.

Figure 6.3

When you go back to the “Requirements” page your user defined view will be displayed similarly to Figure 6.4.



Figure 6.4

Click on “All” or on one of the categories, initiative links or user defined views to view the requirements. This displays a list of the sequence numbers and requirements as in Figure 6.5.

Figure 6.5



7. Carrying out the assessments 7.1 How are scores entered into the assessment? From within a requirements view (as in Figure 6.5 above), click on a requirement hyperlink to open the requirement and a screen similar to Figure 7.1 will be displayed.

Figure 7.1

The Screen Version provides further detailed criteria and evidence requirements for each attainment level. These criteria can be printed as required (via the Printable Version hyperlink) and provide a general guide that help the user to assess the organisation‟s attainment level. The Guidance Document provides information on how to achieve each attainment level and provides links to legislation, Government and national guidance, and exemplars and templates from organisations. 7.2 Who can score and save the individual requirements? Only the reviewer and user can score and save the requirements. If you only have administrator rights you can view the requirements, however the “Save rating” button (see lower right corner of Figure 7.2) will not be available and therefore if data is entered it will not be saved.

Figure 7.2



For each requirement, enter a “Current rating”, enter a “Target rating” for improvement (where necessary) and set a date in “Estimated Date for Achieving Target Rating”. Also on this page you should add a comment - for example, you can use this field to indicate where evidence for the attainment level is held or to record actions for improvement. Once you have scored a requirement, click the “Save Rating” button. 7.3 How do I “baseline” my organisation? The user should enter the scores into each requirement as described above and ensure each requirement has a saved score. The administrator should login, select “Assessments” from the menu and click the button marked “Baseline” in the bottom right corner of the assessment status box - see Figure 7.3. The scores will then be recorded against your organisation and will be viewable in the organisation‟s reports - see IG reports for more information.

Figure 7.3

7.4 What happens after I complete a baseline assessment? After you have carried out your baseline assessment you will see a pop-up reminder (see Figure 7.4) with the following text: “You have now submitted your organisation’s baseline assessment. You need to complete and submit the performance update assessment by 31st October 20xx. To do this, go to your version 7 requirements and update the scores you previously submitted for the baseline then click the Performance Update button.”

Figure 7.4



7.5 How do I carry out a “Performance Update”? You do not need to enter the whole assessment again as you have already entered scores for the baseline assessment. What you now need to do is change any requirement scores on which you have made improvements or that were incorrectly scored previously - don‟t forget to click the “Save rating” button. Once you have entered your new scores, the administrator should return to the “Assessments” screen and click the “Performance update” button shown in Figure 7.5.

Figure 7.5

Your baseline and performance update scores will both be available via your organisation‟s reports - see IG reports for more information. 7.6 What happens after I complete a performance update? After you have carried out your performance update you will see a pop-up reminder (see Figure 7.6) with the following text: “You have now submitted your organisation’s Performance Update assessment. You need to complete and submit the final assessment by 31st March 20xx. To do this, go to your version 7 requirements and update the scores you previously submitted for the performance update and if you are satisfied with the scores mark each one as ‘complete’. To submit your final assessment your reviewer and administrator need to complete the confirmation and submission processes.” These processes are set out in section 8 below.

Figure 7.6



7.7 What do I do if I discover an error has been made after my organisation has submitted a baseline or performance update? The toolkit allows the administrator to “roll-back” the assessment by clicking on “Remove performance update” (see Figure 7.6 above) or “Remove baseline”. The date the action was taken, the name of the person taking the action and the new status of the assessment is recorded as in Figure 7.7 below.

Figure 7.7

8. Submitting the assessment How do I submit my organisation’s final assessment? You must complete all the following steps to submit your final assessment:

Each requirement must have a recorded score (or not relevant option selected) and a tick in the box for “Requirement is complete” - see Figure 8.1.

Each requirement must have a tick in the box for “Requirement confirmed as complete”.

The final “Confirm” button on the assessment status box must be clicked.

The “Submit” button on the assessment status box must be clicked.

Figure 8.1

8.1 Who can mark individual requirements as complete?

Only the reviewer and user can mark individual requirements as complete. 8.2 Who can mark individual requirements as confirmed complete? Only the reviewer can mark individual requirements as complete. 8.3 What happens when all requirements are confirmed as complete? The reviewer should select “Assessments” from the menu. If all the requirements



have been marked as “confirmed complete” a final “confirm” button will appear at the bottom right corner of the assessment status box. The reviewer should click this button. The assessment is now ready to be submitted by the administrator. 8.4 What happens if the organisation wants to "unconfirm" the assessment? Only the administrator has the ability to unconfirm an assessment. 8.5 Who can submit the assessment once it has been confirmed as complete? Only the administrator can submit the assessment. To do this the administrator should select “Assessments” from the menu and click the “submit” button at the bottom right corner of the assessment status box. If the submit button is not available, the assessment has not yet been confirmed by the reviewer. 8.6 What if an organisation wants to "un-submit" the assessment? An IG Toolkit assessment submission represents evidence of an organisation‟s attainment against the IG standards at a particular point in time. This evidence must be retained for audit purposes and should not be overwritten by un-submitting and adjusting scores once the deadline for submission has passed.

If a genuine error has been made the user should contact the Helpdesk at [email protected] or telephone 01392 251289. The request will be considered by the Digital Information Policy team, but generally an assessment would only be unsubmitted after the deadline if there are extenuating circumstances.

PLEASE MAKE SURE YOU ARE SATISFIED THAT THE SCORES ACCURATELY REFLECT THE ASSESSMENT STATUS OF YOUR ORGANISATION BEFORE CLICKING THE FINAL “SUBMIT” BUTTON

Otherwise, any improvements in scores should be entered in the next version of the IG Toolkit. 8.7 How is approval of the assessment carried out? Each organisation‟s assessment is approved centrally by the Digital Information Policy Team at NHS Connecting for Health, before submission of the scores to the Care Quality Commission.

9. Creating an Implementation Plan

9.1 How do I create an implementation plan? Log into the toolkit as usual and select “Assessments” from the menu. The assessment status box similar to that in Figure 9.1 will be displayed. Click on the blue text that reads “Implementation Plan”.

Figure 9.1




An implementation plan will be automatically generated, similar to Figure 9.2, for each requirement, based on the current ratings and target ratings you entered whilst scoring the requirements.

Figure 9.2

10. Viewing the Assessment and Requirements 10.1 Can our organisation view our own assessments once they have been submitted? The administrator and reviewer can view the assessment and requirements by logging in and selecting “Assessments” and clicking “View requirements” from the assessment status box. 10.2 Can our assessments be viewed by other organisations? Once the assessments have been approved, anyone with Internet access can view any organisation‟s completed assessment via the “Reports” menu item. Part completed assessments can only be seen by your Strategic Health Authority and the Digital Information Policy team and IGT support team at NHS Connecting for Health. For further information see the reports section below.



11. Information Governance Reports Version 7 of the IG Toolkit contains additional newly developed reports based on user feedback. 11.1 What reports are available for my organisation? There are two types of report available for your own organisation assessments, both can be viewed by selecting “Reports” from the menu whilst you are logged into the toolkit. The screen in Figure 11.1 will be displayed.

Figure 11.1

Using the “Assessment Report” in the section “Reports relating to your organisation” you can view overall percentages and red, amber, green (RAG) reporting for your assessment - see Figure 11.2. The report can be broken down by:

Initiative

Management, systems, process and people

National view

User defined view The report also enables you to make a direct comparison between two of your annual assessments.

Figure 11.2



The “Performance Progress Report – (PPR)” is a new report that enables you to view the details of baseline, performance update, and latest or submitted scores of your organisation‟s assessment. A report similar to Figures 11.3a and 11.3b will be displayed. This report also highlights progress on the Information Governance Assurance Framework Requirements - these are the key requirements referred to in the NHS Operating Framework and the IG Statement of Compliance. The report can also be created in-year allowing you to check your latest scores.

Figure 11.3a

Figure 11.3b



11.2 Can I see reports relating to other organisations? You can use the “Assessment Report” in the section “Reports relating to other organisations” to view overall percentages and RAG reporting for another organisation's approved assessment, which can also be viewed broken down by:

Initiative (see Figure 11.4)

Management, systems, process and people

National view

User defined view

Figure 11.4

11.3 As a Strategic Health Authority IG lead what reports are available for me? SHA IG leads have access to additional reports to enable them to monitor in-year IG performance across their patch. There are two new types of report available, which are accessed by logging into the toolkit and selecting “Reports” from the menu. The screen in Figure 11.5 will be displayed.

Figure 11.5

“Performance Progress Report (PPR) – Multiple Organisations” provides an overview of in-progress assessments (i.e. baseline, performance update and latest scores) for MHTs, PCTs, acute and ambulance trusts within your area. This report also highlights progress on the Information Governance Assurance Framework



Requirements. You should use the criteria fields displayed in Figure 11.6 to specify which organisation type and which version of the requirements you wish to report on.

Figure 11.6

Scores View: allows you to specify which scores you are interested in viewing as follows:

Baseline: Will only display initial baseline scores, where no baseline has been defined scores will show as blank

Updated: Will only display scores at the Performance Update cut-off, if no Performance Update has been defined scores will show as blank

Submitted: Will only display final submitted scores, if the assessment has not been submitted scores will show as blank

Latest: Will only show the latest scores, if a requirement has not been answered the score will show as blank

All: Will display where available the scores as at Initial Baseline, Performance Update and also either the Submitted or Latest score depending on whether the assessment has been submitted or not

Figure 11.7

Click the “Show report” link displayed in Figure 11.7 to open a new window with a screen similar to that in Figure 11.8 below.

Figure 11.8



Click the link indicated by the arrow to export the report data into a CSV file. “Performance Progress Report (PPR) – Individual Organisation”, click the link to search for an individual organisation (by name or organisation code) and then view its baseline, performance update and latest scores for in-progress and finished assessments. A report similar to that in Figure 11.9 will be displayed.

Figure 11.9

12. Where to go for Help 12.1 Where do I go for help with Information Governance Toolkit issues? Contact the NHS Connecting for Health helpdesk on 01392 251289 or email [email protected]. If the IGT support team are unable to resolve your query, they will forward it to a member of the Digital Information Policy Team who will get back to you.


Documents

Information Governance Assessment Version 7 Started - NHS organisations_2009.pdf · More information is available in the Information Governance leaflet 1.2 What is the Information