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					                                                Tracking Database
                                              IGSoC Process for PCTs
                        Programme           NPFIT             DOCUMENT RECORD ID KEY
                        Sub-Prog /          Tracking
                        Project             Database          <INSERT DOCUMENT ID KEY>
                        Prog. Director      Pete Sharkey
                        Owner               Jan Birley
                                            Samira Memon /    Version   1.0
                        Author
                                            Kim Hobday
                        Version Date        23/07/2008        Status    Issued




                                                                  Tracking Database
                                                             IGSoC Process for PCTs




Note:   The information included in this documentation has been extracted using the
        „Development‟ machines, and does not necessarily reflect the „true‟ status of
        the organisations used for this documentation.



                                         Page 1 of 27
Amendment History:
 Version      Date           Amendment History
 0.1          14/07/2008     First draft for comment
 0.2          15/07/2008     Second draft for comment
 0.3          16/07/2008     Third draft for comment
 1.0          23/07/2008     Final




Forecast Changes:
 Anticipated Change                                                  When




Reviewers:
This document must be reviewed by the following. Indicate any delegation for sign off.
Name             Signature          Title / Responsibility   Date      Version
 Rob Hardisty                       SSD Manager
 Jan Birley                         IGSoC Lead




Approvals:
This document requires the following approvals:
Name             Signature          Title / Responsibility   Date      Version




Distribution:
<Document text>.




                                         Page 2 of 27
Document Status:
This is a controlled document.
This document version is only valid at the time it is retrieved from controlled file store, after
which a new approved version will replace it.
On receipt of a new issue, please destroy all previous issues (unless a specified earlier
issue is baselined for use throughout the programme).


Related Documents:
These documents will provide additional information.

Ref no Doc Reference Number     Title                                       Version
                                Glossary of Terms                           <enter
1        NPFIT-SHR-QMS-PRP-0015
                                Consolidated.doc                            latest>


Glossary of Terms:
List any new terms created in this document. Mail the NPO Quality Manager to have these
included in the master glossary above [1].
 Term                Acronym       Definition




                                          Page 3 of 27
Contents




Introduction........................................................................................... 5
Background........................................................................................... 5
  New Submission Method for IGSoC ........................................................................ 5
Support Arrangements - Tracking Database ...................................... 5
IGSoC Application Process ................................................................. 6
How to Access the Tracking Database ............................................... 7
Procedure to View / Update the IGSoC Application Information ..... 10
IGSoC Application Details.................................................................. 11
  Organisation Details Page ..................................................................................... 11
  Explanation of Fields ............................................................................................. 12
  Associated Documents Page ................................................................................ 13
  How does the Automated IGSoC Submission Work? ........................................... 14
IG Toolkit and IGSoC Reports............................................................ 17
  Organisations Assessments Report.................................................................. 17
  Attainment by Organisation Report ................................................................... 19
IGSoC Check Link............................................................................... 21
Administrators Guide to setting up IGSoC Users ............................ 23
Appendix A.......................................................................................... 24
  Email: Upon IGT Completion to IGSoC Signatory ................................................. 24
Appendix B.......................................................................................... 25
  Email: Upon IGT Completion to IGSoC Contact .................................................... 25
Appendix C.......................................................................................... 26
  IGSoC Verification Screen .................................................................................... 26
Appendix D.......................................................................................... 27
  Email: Upon IGSoC Verification ............................................................................ 27




                                                       Page 4 of 27
Introduction
This document describes changes to the Tracking Database (TDB) in response to the introduction
of the NHS Connecting for Health's Information Governance Statement of Compliance (IGSoC)
procedures. These specify the legal requirements for all organisations intending to access the N3
network and/or NHS Connecting for Health Digital Services. The intention of this document is to
describe the process which will allow GP Practices to complete their IGSoC in an automated
fashion.


Background
New Submission Method for IGSoC

The TDB has been updated to include new functionality to allow PCTs to manage GP practices
with submitting their IGSoC in a quicker and easier way.

Practices still need to:

         Register on the Information Governance Toolkit (IGT).
         Update IGSoC Signatory (Senior Partner) details in the IGT.
         Enter scores against each of the IGT requirements and submit the assessment.
         If any scores fall below level 2, agree an appropriate action plan with the PCT.
         The current Senior Partner reads and understands the IGSoC document.


Where the PCT agrees an action plan with a practice, the responsibility is on the PCT to update
the TDB to reflect this (which means the practice doesn‟t need to worry about the action plan
statement in the IGSoC submission).

In addition, the use of an automated verification screen means the practice no longer needs to
copy and paste the IGSoC template into an email and fill in the placeholder information (please see
automated email functionality section for more information).


Support Arrangements - Tracking Database

Please contact the Exeter Helpdesk on 01392 251289 or email Exeter.Helpdesk@nhs.net (and ask
for the Tracking Database Support team) if you have a problem or query relating to the use of the
Tracking Database facilities described in this document.


Please contact the IGSoC Team If you have a general query regarding IGSoC or the requirements
on 0113 397 4448 or email IGSoC@nhs.net.




                                             Page 5 of 27
IGSoC Application Process
The flowchart below shows the new automated IGSoC process which is triggered by IG Toolkit
submissions.




                                        details on the IGT




                                         Page 6 of 27
PCTs need to be aware of the following when GPs are re-submitting their
Information Governance Toolkit (IGT) results

In situations where a practice has previously been fully IGSoC approved against an action
plan created by the General Practice and agreed by the relevant PCT, and re-submits their IGT to
reflect improvements and changes to their Information Governance activities; where that re-
submission gives them scores of less than 2 in any of the 8 IGSoC requirements, the practice
stops being 'previously approved'. This may mean that the practice needs to re-submit their
IGSoC declaration.


How to Access the Tracking Database
Note: See User Guidance link on Homepage for general guidance on using the Tracking
Database.

You do not have to log into the Tracking Database to view the User Guidance. Just click on
or enter in the following URL – https://nww.tdb.npfit.nhs.uk/IFHTracking/userguide/.



Accessing the Tracking Database

On the internet, enter the following URL:

https://nww.tdb.npfit.nhs.uk/IFHTracking/Content/login.aspx             (save on Favourites)


The Tracking Database login screen will appear as shown below:




Enter in your user ID and password (if known), then click on Login.

A message on the page ensures users are aware of their responsibilities when logging on to
Tracking Database:



                                            Page 7 of 27
You then have the option of moving on to the Homepage by clicking on the Proceed button, or
Log Out.

Clicking on the Proceed button will take you to the Homepage, similar to the following:




Click on the Tree Interface link to view your organisation and access product areas.



                                            Page 8 of 27
The following screen will NOT be populated until an organisation is selected in the navigation pane
(light blue) on the left of the screen.

Once selected, the dark blue area will be populated by a Menu bar and the Display panel (the
cream area), will be populated initially by the Organisation Details:




Clicking on an organisation, in this case Devon PCT (5QQ), displays the populated panes as
shown below:




                                           Page 9 of 27
Procedure to View / Update the IGSoC Application Information
In the navigation pane, drill down to GP Practice level and click on the GP Practice you wish to
view:




Then in the menu bar select IG Toolkit from the drop down list of Projects, and click on the Go
button, as shown below:




Click on the Project Screens tab in the menu bar. This will display a list of options similar to the
following:




                                            Page 10 of 27
IGSoC Application Details
This option displays the following screen (click in the „Nav‟ box in the menu bar so you can see the
full screen).

The screen opens by default at the Organisation Details page.


Organisation Details Page




The IGSoC Application screen will give information on the current IGSoC status of a GP Practice.
It takes an overnight feed from the IGT, where it gets information on the IGSoC Signatory, Contact
details and compliance with the IGSoC-related IGT requirements.




                                           Page 11 of 27
Explanation of Fields

NACS Code &                   Uploaded from IGT
Organisation Name


IGSoC Signatory               Uploaded from the “My Organisation” menu option in the IGT –
                              Senior Partner.


IGSoC Contact                 Uploaded from the user registration page on the IGT.


If an organisation‟s IGSoC Signatory name on the IGT is different from that in the IGSoC
Application screen, and is non-blank, then the following processing takes place:

       a Validation email will be sent to the new Senior Partner so that they can re-submit the
        IGSoC for the Practice, using the new 7-digit security code.
       „IGSoC Verified Date‟ is made empty.
       the „IGSoC Application Approved ?‟ tickbox shall be set to unticked.
       the resend button will be enabled.
       if „IGT Approved‟ has ever been „True‟.


IGT Approved          Yes/ No

If the practice has reached level 2 in the 8 key IGSoC requirements, the IGT Approved will
automatically be set to YES and an automated email will be sent to the Senior Partner and Contact
inviting them to complete the IGSoC online.

If the Practice has not reached level 2 in the 8 key IGSoC requirements, the IGT Approved will
automatically be set to NO.

Whilst the IGT Approved is set to „No -‟ the following read-only text shall be displayed on the
screen to the right of the „IGT Approved?‟ tick box:

„This IGSoC Application is not approved. The organisation has failed to meet the
key IGSoC requirements to a satisfactory level in its current IGT submission.
An Implementation Plan must be approved by the PCT before the IGSoC Application can be
approved.’

Implementation        It is the responsibility of the PCT to work with the Practice to define an action
Plan approved?        plan. Once the PCT has approved the action plan, they can tick the
                      Implementation Plan approved box, to allow the IGSoC submission for the
                      Practice to proceed. Tick box (unticked by default). Press „Update‟ button to
                      save. When this is ticked an automated email will be sent to the Senior
                      Partner and Contact inviting them to complete the IGSoC online.


IGSoC                 Can be manually set using any date format, using today‟s date, if
Verified Date         a manual verification has been sent; otherwise it will be updated
                      during an online verification. This is the date the IGSoC document is
                      validated and approved.
IGSoC                 Tick box. This confirms that IGSoC and IGT have been completed



                                            Page 12 of 27
Approved?            successfully.


Application          This is the date that the IGSoC process was completed. Read only text.
Approved Date


‘Emails Sent’        Read-only text. Displays a list of emails that have been sent out to the
Box                  IGSoC Signatory and Contact.


Re-Send IGSoC       Clicking on this button resends the verification emails (with today‟s date)
Verification emails and then records them in the email box. Once IGSoC verification has been
                    attained then the resend button is permanently disabled.


Comments             Free text.


Update Button        This must be clicked each time the page is edited to save.


Emails               Once the IGSoC requirements have been met, emails are automatically sent
                     out. See below (and Appendix) for illustrative examples.




Associated Documents Page

Can upload documents relating to IGSoC application, such as:

      Action plan
      Submitted IGSoC declaration
      Any email trails




                                          Page 13 of 27
To add a new document, click on the Add New button. This will display the following screen (use
Browse to select the required file):




How does the Automated IGSoC Submission Work?

On a daily basis, the TDB will search through all of the GP Practice records to see which ones are
eligible to submit their IGSoC (i.e. they have achieved level 2 in the 8 key IGT requirements or
have an approved Implementation Plan). For those that are eligible to proceed, two emails will be
automatically generated, to the:


     1) IGSoC Signatory (the Senior Partner in the Practice). This email contains a unique 7-
        digit verification code and a link to a dedicated web page.

     2) IGSoC Contact (usually the Practice Manager). This email contains a link to the
        dedicated web page.




                                           Page 14 of 27
Example of email to signatory:




There are now two choices for automated submission of the IGSoC:

     1) The IGSoC Signatory clicks the link and enters the 7-digit verification code; or

     2) The IGSoC Contact asks the signatory for the 7-digit code, clicks the link and enters the
        code (this makes sure that the signatory has explicitly given permission for someone else
        to enter the code on his/her behalf).


Once the code has been verified, the IGSoC is marked automatically on the GP record as
approved. Of course, IGSoC submissions will still be accepted directly by email from the mailbox
of the Senior Partner. The automated method, however, is much simpler.




                                           Page 15 of 27
Below is a sample of the verification screen that the Senior Partner and Practice Manager will see:




                                           Page 16 of 27
IG Toolkit and IGSoC Reports
As part of the new IGSoC Process it will be the PCTs responsibility to monitor IGSoC submissions
for GPs.

There are two reports available on the IGT project that will enable organisations to do this.

   1. View Organisations Assessments for an individual GP.
   2. View Attainment by Organisation for all GPs under a PCT.



Organisations Assessments Report

In the navigation pane, drill down to GP Practice level and click on the GP Practice you wish to
view:




Then in the menu bar select IG Toolkit from the drop down list of Projects, and click on the Go
button, as shown below:




                                            Page 17 of 27
Click on the Project Reports tab in the menu bar. This will display a list of options similar to the
following. Select “Organisations Assessments”:




Then click on the Requirements Details link:




You can now view the 14 total requirements for an individual GP Practice, showing Weighting,
Status, Attainment Level and Score Percentage.




                                            Page 18 of 27
Attainment by Organisation Report

In the navigation pane, return to PCT level and click on your organisation name, in this case
Devon PCT (5QQ).




Then in the menu bar select IG Toolkit from the drop down list of Projects, and click on the Go
button, as shown below:




Click on the Project Reports tab in the menu bar. This will display a list of options similar to the
following. Select “IG Toolkit Parameter Report”:




Select Report Type of Attainment by Organisation and change the Requirements Version to 4.
Press submit.




                                            Page 19 of 27
You can now view the full IG Toolkit and IGSoC status for all the GP Practices under your PCT, within one report:




Explanation of IGSoC fields in the report here:

        IGSoC IGT: 8 key requirements relating to the IGSoC.
        IGSoC Implementation Plan: Implementation plan for 8 key IGSoC requirements.
        IGSoC Email Sent Date: Date IGSoC verification emails were sent.
        IGSoC Verified Date: Date IGSoC document approved.
        IGSoC Application Approved Date: Date IGSoC process was successfully completed.




                                                                    Page 20 of 27
IGSoC Check Link
On the Homepage for a PCT, there is an IGSoC Check link which shows the IGSoC status of an
organisation (the PCT user has to have the correct permissions to view this link):




Clicking on this link opens up the following screen:




                                            Page 21 of 27
Enter in the NACS code of the organisation you wish to find the IGSoC status of, and click on the
Search button. This will then display the following screen showing the IGSoC status of the
organisation:




                                           Page 22 of 27
Administrators Guide to setting up IGSoC Users
The roles of “Main Contact” and “Project Manager” have been set up for IGSoC in the List People
area.

Two new permissions have been created for IGSoC users at National, Shared Service and PCT
levels:

Update IGSoC          -      This will allow the user to update the IGSoC Application screens.
View IGSoC            -      Users will not be able to update any screens, just view the data.

Once the user has been set up with a general permission on the List People page, select the
Advanced Actions button within the user‟s account:




      If the user needs to view the IGT requirements results, select the IG Toolkit permissions.

      If the user needs to view and/or update the IGSoC screens, select the relevant option(s).

      Select the „Include IGSoC N3SP Check‟ so that users can check the IGSoC status of an
       organisation.

All 5 permissions above will need to be added to a user‟s account for full IGSoC and IGToolkit view
and update access.



Include IGSoC N3SP Check will allow the user to check an organisation‟s IGSoC status, through
the link on the Homepage.




                                           Page 23 of 27
Appendix A

Email: Upon IGT Completion to IGSoC Signatory




                                                                                    [Today’s Date]

Subject – “Immediate Action Required: IGSoC Validation”


Dear IGSoC Signatory,


Thank you for completing your Information Governance Toolkit. You are now in a position to
complete your Information Governance Statement of Compliance (IGSoC) application.

To complete the IGSoC for your organisation [NACS Code] you will need to confirm you have read
and understood the IGSoC.

Please do this by clicking this link [URL link to screen] to open the IGSoC verification screen and
then entering this unique code:

NNNNNNN

On completion you will receive confirmation via email.

If you have any queries please contact the central IGSoC Team at igsoc@nhs.net or your
Information Governance Officer at your PCT.


Kind regards,



NHS CFH Information Governance Statement of Compliance Team




                                           Page 24 of 27
Appendix B

Email: Upon IGT Completion to IGSoC Contact



                                                                                 [Today’s Date]

Subject – “Action Required: IGSoC Validation”


Dear IGSoC Contact


Thank you for completing your Information Governance Toolkit. You are now in a position to
complete your Information Governance Statement of Compliance (IGSoC) application.

An email has been sent to [IGSoC Signatory Email Address] with a unique code to verify that
they have read and understood the IGSoC.

[IGSoC Signatory Name] will need to access [URL link to screen] and enter this code to
complete the process.

If you have any queries please contact the central IGSoC Team at igsoc@nhs.net or your
Information Governance Officer at your PCT.


Kind regards,



NHS CFH Information Governance Statement of Compliance Team




                                          Page 25 of 27
Appendix C

IGSoC Verification Screen


                                                                                    [Today’s Date]

To the NHS Connecting for Heath IGSoC Team;

I confirm, on behalf of [organisation name] that I have read and agree to comply with the terms
and conditions stated in the Information Governance Statement of Compliance and acknowledge
that failure to maintain compliance with the Information Governance Statement of Compliance may
result in the withdrawal of affected NHS Connecting for Health services.

My organisation is a public sector provider of care and, as such, I have ensured that appropriate
supporting documentation has been submitted in accordance with the instructions on the
Information Governance Statement of Compliance website.

The NACS code for my organisation is: [NACS Code].

Yours,

Signatory name:        [IGSoC Signatory Name]
Signatory position:    [IGSoC Signatory Position].

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Please enter your unique code emailed to [IGSoC Signatory Name] to verify that you have read
and understood the IGSoC:


         Code:        <Insert code here>       Submit


~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Once completed in accordance with instructions, submit to IGSoC@nhs.net by clicking the button
above.

The information you provide will be used by NHS Connecting for Health for purposes of the
management and administration of the Information Governance Statement of Compliance. NHS
Connecting for Health will pass the contact details you provide onto your service provider for the
purposes of managing your organisations‟ connectivity securely. It will not be disclosed or used for
any other purpose without your permission, which will be sought prior to any such use or
disclosure. NHS Connecting for Health undertake to keep your information secure until the time
when it is no longer required, at which time it will be destroyed by secure means (in accordance
with the Data Protection Act 1998). You may be contacted by your service provider for
maintenance and improvement purposes of your connection. If you require further information NHS
Connecting for Health can be contacted at IGSoC@nhs.net.




                                           Page 26 of 27
Appendix D

Email: Upon IGSoC Verification




                                                                              [Today’s Date]
Subject – “IGSoC Successfully Completed”


Dear All,

This email is to inform you that [Organisation Name], NACS code: [NACS code], has
successfully completed the NHS Connecting for Health Information Governance Statement of
Compliance process.




Kind regards,

NHS CFH Information Governance Statement of Compliance Team
NHS Connecting for Health
0113 3973646
igsoc@nhs.net




                                        Page 27 of 27

				
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