Using the Information Governance Toolkit

PRIMIS

Fifth Annual Conference 11 – 12 May 2005

Piecing Together the Future

Jane Bacot-Kilpatrick

Heidi Cresswell

Using the Information Governance Toolkit in Luton tPCT

Heidi Cresswell

Clinical Governance Facilitator

Luton tPCT

About Luton tPCT

Luton tPCT is situated 40 miles north of London and forms parts of the Bedfordshire and Hertfordshire Strategic Health Authority.

The Trust provides and commissions health care for Luton’s population of 196,000 people and works closely with family doctors, dentists, community pharmacists and optometrists

Health inequalities in Luton are high. Though not the worst in the country, Luton Health statistics do not read well. The average man in Luton can expect to live four years less than his neighbour in St Albans. The average women three years less.

Source: Luton Public Health Report 2003.

Luton tPCT Information Systems

All ‘bases’ have computer access but not all of them have access to the tPCT server.

Many different systems are in operation including ‘Continuum database’ for community care and two ad hoc systems in our Walk In Centre and Treatment Centre.

Paper Records are currently stored at various locations around the PCT bases.

The PCT also operates ‘Single Assessment Record’ which the patient themselves keep hold of

Our Information holding and storing requirements are complex and incomplete

The Diary of

How Luton tPCT Implemented Information Governance

February 2004

Everybody needs to know about Information Governance

Dear Diary

Went to an information governance presentation. Had not realised how complex the requirements were. So much work

Must get buy in from the whole organisation

Actions from February 04

Get Buy in from Board Level Members

Take Time to look at individual requirements they can be complex

Make sure your managers realise the time commitment it will take on your resource

May 04

One Person can’t do everything

Dear Diary

Have just tried to complete first baseline assessment and couldn’t even complete one section. HELP!!!

Actions From May 04

One person will not know all the information

Get a group of experts together to share their knowledge – Take into consideration experts out in the ‘field’

Don’t Panic

July 04

Use the Toolkit to help implement new standards

Dear Diary

What a fantastic toolkit it tells me everything I need to do, to successfully implement the Freedom of Information Act.

Actions From July 04

Excellent prompts to implement FOI and other statutory requirements

Able to get more interest around the Information Governance Toolkit due to the detailed requirements,

Used to plan complex implementation programmes within the PCT.

August 04

Have faith the organisation is probably doing at lot of things already

Dear Diary

Have started reading the trust’s policies and we already have many information governance requirements in place and the ones we haven’t I have found on the

knowledge base

Actions From August 04

Read your Trusts Policies

The Knowledge base is an excellent resource

Remember to check if you have an agreement with Shared Services

October 04

Find the people who can help you

Dear Diary

Completed another assessments at least there are not so many blanks now! Am still convinced someone somewhere will have answers to these but who!

Get out of the office and meet people

Talk to other Information Specialist in neighbouring Trusts

Make Action Plans

Actions from October 04

December 04

Don’t Panic

Dear Diary

Being swamped for requests for information from the QMAS system. Not sure on how appropriate it is to share information and who to share it with.

Starting to worry about the Freedom of Information Act as well there is bound to be a influx of queries in the new year.

Actions from December 04

The Standards in the toolkit help you understand what information can be and can’t be used for.

Allows for Robust systems to be in place across the organisation

Start to build an accurate map of what information we have and what it is used for and who has access to it. Not something we have had in place before

February 2005

New Year, New Objectives

Dear Diary

Have met with all the people I need to I think! There is much good work out there and people who have a specialist interest. Should be so much easier next

year – I hope.

People are really excited about the action plan gives them clear direction for next year.

Strengthens partnership working

Provides strategic direction for the organisation

Never make assumptions that work is going on!

But never under estimate what might be going on!

Actions from February 05

March 05

It’s a continuous cycle of Improvement!!

Toolkit completed, Action Plans in place, Everyone knows what they are doing

Lets get ready to do it all over again

Did someone mention GP Practices!

Definitely need a holiday then!

Seriously,

Information Governance is changing the way the whole tPCT's work.

It will provide support to GP Practices in implementing the nGMS contract

It is a fantastic knowledge sharing resource.

Every organisation will be surprised at what they find they do have in place already

and what they also need to put in place!

Using the Information Governance Toolkit

Jane Bacot-Kilpatrick

Heidi Cresswell

Hampshire & Isle of Wight Experience

• Small project of “expert” team members• Methodology• Risk assessed requirements• Facilitated baseline assessments for all

health communities (in advance of mandate)• Action planning tool• Pan-community development workshops

The team

• IG lead for the SHA (part of national IG toolkit team)

• Project manager• DPA/Security expert• Health records expert• IQA expert• Caldicott/confidentiality (and then)FOI expert

Risk assessment

Why?

• Risk conscious team

• Requirements were not weighted – you could pass but still be illegal!

• Means of prioritising actions

• Simple tool (likelihood x severity – high, medium, low)

Facilitated assessments

• Offered to all health communities whether mandated yet or not.

• Many were therefore prepared a year in advance

• Baseline assessments, with option of mid-year reviews and “sign off” assessments

• Based on concept of “critical friend” (challenge and support)

The methodology

• Time out sessions only (2 days)• Team from SHA, team from organisation

(don’t rely on one person’s version!)• 1 PC with internet access to score on-line

(essential to read guidance and knowledge base)

• 1 PC (laptop) with action planning tool to capture score, evidence base, action plan and ownership

The action plan

• Overarched by risk assessment (colour coded)• Excel spreadsheet• By initiative, requirement• Used to support the on-line score• Score colour coded (comparison of score

against risk assessment)• Provided to all organisations post-assessment

Follow-up

• Pan-community support network– FOI monthly workshops to develop compliance

and ensure pan-community preparedness (eg universal policy template, standard letters)

– IG leads network (to launch assessments)– IQA network (acute focused originally, now

towards PCTs)– Feedback to centre (influence on version 2)

The results

• All organisations submitted their scores!• All organisations that participated (2 did not

choose to ask for support) now agree with version 2 “access to expert advice”!

• Development workshops were particularly successful

• Caution 1 : develop an expectation• Caution 2 : cross over with performance

monitoring