ANNEX B - RESOURCES TO SUPPORT IMPROVEMENT
The Role of the Information Governance Framework and the Information Governance Toolkit
Information Governance is defined as:-
"A framework for handling information in a confidential and secure manner to appropriate ethical and quality standards in a modern health service".
It is the information component of Clinical Governance and it aims to support the provision of high quality care to patients and clients and service users by promoting the effective and appropriate use of personal, sensitive information.
The Information Governance Framework enables NHS Boards and staff working within them, to ensure that personal information is dealt with legally, securely, effectively and efficiently. The focus is on setting standards and giving NHS Boards the tools to help them to incrementally achieve the defined requirements and make appropriate improvements to their service, which is sustained.
The Information Governance Framework addresses the following key areas when handling information:
- Caldicott recommendations on the use of patient identifiable information;
- NHS Scotland Confidentiality Code of Practice;
- Data Protection Act 1998;
- Freedom of Information (Scotland) Act 2002;
- Information Management and Technology Security ( ISO 17799 Code of Practice for Information Security Management);
- Health and Corporate Records Management;
- Information Quality Assurance.
The Information Governance Framework also enables the NHS to monitor and manage change by educating staff, developing codes of practice, helping organisations and individuals to understand the requirements of law and ethics in respect of information handling and the consequent need for changes to systems and processes. Furthermore, it enables the NHS to work in partnership with patients and clients by respecting their preferences and choices and addressing their concerns about the use of sensitive, personal information. The Information Governance Toolkit provides the means by which NHS Boards can assess their compliance against the national information governance standards. The standards can be viewed here
The Standards in the toolkit explain and expand upon those published in the NHSQIS Clinical Governance and Risk Management Standards, which were published in October 2005. For further information please visit here
The reports produced by the toolkit will be shared with NHSQIS as part of the Clinical Governance and Risk Managements Standards peer review visits.
The Department of Health has published 'Setting and Achieving the NHS Standards for Record Management - A Roadmap'. The roadmap applies to England only, but may be of interest to a Scottish audience as it contains a range of practical tools and guidance, including a knowledge base and templates that have been designed to support organisations in the implementation of the principles contained in the English version of the NHS Records Management Code of Practice.
The content of the Roadmap will be reviewed and updated at regular intervals. The Roadmap is available electronically to all organisations here
Other Reference Material
Good Practice Guidelines for General Practice Electronic Patient Records
' SCIMP Good Practice Guidelines for General Practice Electronic Patient Records' for Scottish guidance on the transfer of electronic health records.
Quality and Outcomes Framework ( QOF)
The Primary Medical Services (Scotland) Act 2004 introduced the concept of the Quality and Outcomes Framework ( QOF) as a voluntary contractual requirement for participating GP practices. The QOF provides a significant financial incentive to demonstrate achievement against a wide range of clinical and organisational quality standards.
Confidentiality and Disclosure of Information: General Medical Services
The Scottish Guidance NHS Circular: PCA(M)(2005)10 'Confidentiality and Disclosure of Information: General Medical Services ( GMS), Section 17c Agreements, and Health Board Primary Medical Services ( HBPMS) Code of Practice and Directions' sets out guidance on the confidentiality of information held by contractors - referred to collectively in this document as "contractors" - who provide General Medical Services ( GMS), Section 17C Agreements and Health Board Primary Medical Services ( HBPMS). Find out more here
Code of Practice on Records Management - Section 61 of Freedom of Information (Scotland)Act
The Scottish Ministers 'Code of Practice on Records Management' under Section 61 of the Freedom of Information (Scotland) Act 2002. Find out more here
The Code of Practice provides guidance to all public authorities as to the practice which it would, in the opinion of the Scottish ministers, be desirable for them to follow in connection with the management of records under the Freedom of Information (Scotland) Act 2002.
Records Management: NHS Code of Practice (Department of Health)
The Records Management: NHS Code of Practice, on which this guidance is based, was published by the Department of Health as guidance to NHS organisations in England on 30 March 2006. Find it here
The National Archives of Scotland: Model Action Plan for Developing Records Management
The National Archives of Scotland: Model Action Plan for Developing Records Management Arrangements Compliant with the Code of Practice on Records Management under Section 61 of the Freedom of Information (Scotland) Act 2002 can be found here
A records management action plan detailing the steps that health service organisations should take to reach the standards set out in the Scottish Ministers' Code of Practice.
The National Archives of Scotland: Developing a Policy for Managing Email
'The National Archives Guidelines on developing a policy for managing e-mail can be found here
The Royal College of Pathologists: The retention and storage of pathological records and specimens (4th edition, 2009 )
The document contains guidance from The Royal College of Pathologists and the Institute of Biomedical Science regarding the management of pathology records.
Recommendations for the retention of pharmacy records (2008)
Guidance on retention periods for pharmacy records can be obtained from the Royal Pharmaceutical Society.
Information Commissioner : CCTV Code of Practice
The Code of Practice provides guidance and advice for CCTV users on how to comply with the Data Protection Act and also includes a simple checklist for users of very limited CCTV systems where the full provisions of the code would be too detailed.. This code is available here
Information Commissioner: The Use and Disclosure of Health Data
Find this document here
Information Commissioner : How does the Data Protection Act Apply to Recording and Retaining Professional Opinions
This good practice note aims to inform organisations and practitioners about some of the data protection issues that arise in relation to the information about individuals that they record in their professional opinions here
Active Records Management: Records Creation
A document that provides advice and guidance on the creation of paper-based files, it does not cover the creation of electronic files. It deals with the creation of registered files including policy, administrative and case files but not staff personal files. Find out more here
e-Government Technical Standards
There are a number of Government standards which aim to ensure the consistency of electronic information transferred between public organisations or made available to the public through means such as websites. e- GIF is mandatory for all public sector bodies, including the NHS. Full details can be found here
Health and Social Care Data Standards
The National Clinical Dataset Development Programme was established by the Chief Medical Officer in 2003 to support clinicians developing national clinical data standards, initially to support the national priority areas. These standards are an essential element of the Electronic Health Record, a central aim of the National e-Health Strategy.
Health Rights Information Scotland ( HRIS)
HRIS provide clear accurate and up to date information about health rights. This includes information about what patients can expect from the NHS, accessing health records and being involved about decisions about their health care. Full details of publications can be found here
University of Edinburgh Records Management Section
Access their site here
University of Edinburgh file naming conventions
This document has been prepared as part of the Policy and Planning Records Management Project and is aimed primarily at people working within Academic Affairs, Planning and Secretariat departments in higher education. However, the principles will be beneficial to all staff working with corporate records including staff in NHS organisations. Find out more here
Scanning and Document Management in General Practice (May 2006)
SCIMP have produced this simple guide to implementing the single scanning and document management system that has now been procured for Scottish General Practices.
Healthcare Information Governance Post-Graduate Education Programme
Unit 2 focuses on Records Management
Information Governance in NHS Scotland: a competency framework
Provides a foundation for the development, commissioning and review of information governance related education and training. The Framework is a set of national competencies describing what healthcare staff should know and be able to do in relation to information governance. The competences are arranged in five 'domains' (holding, obtaining, recording, using and sharing information) and four levels ('Foundation' to 'Advanced'). This approach will enable managers and training providers to tailor learning to the particular needs of staff groups.
Scottish NHS Archives and The National Archives of Scotland
There are at present three NHS archivists providing archive services to NHS Boards in Scotland. They can provide advice on the selection and preservation of healthcare records and the management of current records.
Mike BarfootLothian Health Services Archive
Edinburgh University Library
Tel: 0131 650 3392
Alistair ToughGreater Glasgow and Clyde NHS Board Archive
University of Glasgow Archives
77-81 Dumbarton Road
Tel: 0141 330 2992 or 0141 287 2883
Fax: 0141 330 4158
Fiona WatsonNorthern Health Services Archives
Tel: 01224 555562
For advice on archiving in the NHS Tayside area contact:
Pat WhatleyArchive, Records Management and Museum Services
University of Dundee
Tel: 01382 344095
Alternatively, the National Archives of Scotland ( NAS) can provide advice about records management and archives. NAS does not offer an archive facility to local NHS boards and organisations, but can suggest appropriate archive contacts elsewhere:National Archives of Scotland
HM General Register House
2 Princes Street
Tel: 0131 535 1314
The National Archives of the United Kingdom( TNA) published a 'Code of Practice for Archivists and Records Managers under Section 51(4) of the Data Protection Act 1998' (Oct 2007). Chapter 3 summarises the particular responsibilities of records managers in relation to personal data. Archival advice about moving images can be obtained from:Scottish Screen Archive
249 West George Street
Tel: 0845 300 7300
Scottish Government eHealth DirectorateScottish Government eHealth Directorate
St Andrews House
Information Commissioner - Scotland Office
(Data Protection Act 1998)93 - 95 Hanover Street
Scottish Information Commissioner
(Freedom of Information (Scotland) Act 2002)Kinburn Castle
NHSScotland Information Governance ProgrammeInformation Governance Team
NHS National Services Scotland
1 South Gyle Crescent
There is a problem
Thanks for your feedback