Foundation Programme for New Managers and Supervisors 11282020

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Foundation Programme for New Managers and Supervisors 11/28/2020 1 1

Foundation Programme for New Managers and Supervisors 11/28/2020 1 1

Domestic Arrangements 11/28/2020 2

Domestic Arrangements 11/28/2020 2

Learning Outcomes By the end of the programme you will be able to, •

Learning Outcomes By the end of the programme you will be able to, • describe the vision and values of NHS Greater Glasgow and Clyde • support and develop your workforce through induction and Personal Development Planning and Review • define your responsibilities in managing Health and Safety • understand your role in countering fraud in the health service • articulate the effect of Equality and Diversity on all aspects of the manager’s role and its impact on the organisation • outline your role and responsibilities in relation to Staff Governance and Information Governance • understand our Partnership arrangements with Trades Unions and Professional Organisations • access further detailed information on a range of HR polices and processes This programme may link to your KSF Outline in the following dimensions, C 1 – Communication, C 2 – Personal & People Development, C 3 - Health, Safety & Security, C 5 – Quality, C 6 - Equality & Diversity, G 6 – People Management 11/28/2020 3

Information Pack Introduce and supplement the programme – organisational information – session descriptors –

Information Pack Introduce and supplement the programme – organisational information – session descriptors – further key topics – additional resources 11/28/2020 4

Staff Health and Wellbeing We have a duty to be proactive and try to

Staff Health and Wellbeing We have a duty to be proactive and try to prevent ill health and we also need to be reactive and manage issues efficiently by being supportive of our staff. A Healthier Place to Work – extensive information and resources to support your health and wellbeing Your Health (Staff. Net) 11/28/2020 5

www. nhsggc. org. uk/sis sis@ggc. scot. nhs. uk 11/28/2020

www. nhsggc. org. uk/sis sis@ggc. scot. nhs. uk 11/28/2020

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Induction Governance Ernie Elliott Senior Learning and Education Advisor 11/28/2020 8 8

Induction Governance Ernie Elliott Senior Learning and Education Advisor 11/28/2020 8 8

Outcomes By the end of the session you will, • Identify the drivers that

Outcomes By the end of the session you will, • Identify the drivers that support induction governance within NHS Greater Glasgow and Clyde • Understand the manager’s role as a facilitator of induction • Understand the Health Care Support Worker Mandatory Induction Standards and the Code of Practice • Identify forms of support to fulfil induction for new starts 11/28/2020 9

Why Induction? • Ensure that staff are properly introduced to their new jobs to

Why Induction? • Ensure that staff are properly introduced to their new jobs to become fully effective as soon as possible. • Undertake initial statutory and mandatory training. • Make new staff feel welcome. • Minimise concerns on starting a new post. • Plan for future development. • Linked to the KSF Foundation outline where appropriate and the PDP process. 11/28/2020 10

Summary of Roles • Line manager is responsible for ensuring that appropriate induction is

Summary of Roles • Line manager is responsible for ensuring that appropriate induction is provided - may be shared with a nominated member of staff. • New member of staff is responsible for the safe keeping of personal checklist and raising any issues with line manager. • Learning and Education will facilitate the development of local induction pathways and maintain and develop the Portal. 11/28/2020 11

As a manager you will: • Ensure that induction is co-ordinated, planned and delivered

As a manager you will: • Ensure that induction is co-ordinated, planned and delivered within the required timescale • Ensure that the Steps 1 to 6 of the induction process have been followed, – Induction checklist is completed, – Statutory / mandatory training has been identified – Corporate services are informed when induction has been completed. • Ensure your new start (if working in a HCSW role) meets the HCSW mandatory induction standards – You review and signing off the HCSW Workbook – Employee should complete a declaration of ongoing commitment with the Code of Conduct. 11/28/2020 12

Induction Portal Six step process – Welcome and introduction – Checklist Support for managers

Induction Portal Six step process – Welcome and introduction – Checklist Support for managers – Statutory / Mandatory Training – HCSW Information – Sign off and Declaration – Professional and Role Specific Resources Live Demonstration 11/28/2020 13

Sign off and declaration • Induction is part of the OPR (Organisational Performance Review)

Sign off and declaration • Induction is part of the OPR (Organisational Performance Review) process. Directors receive regular reports on induction completion within their areas. • It is important that you notify us, when induction has been completed. • We also use this information to update employees records on EMPOWER / e. ESS. 11/28/2020 14

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The Role of the Manager in Health & Safety 11/28/2020 16 16 Foundation Programme

The Role of the Manager in Health & Safety 11/28/2020 16 16 Foundation Programme for New Managers, V 1, August 2016

Objectives • Identify factors that influence accidents • Understand your role in managing health

Objectives • Identify factors that influence accidents • Understand your role in managing health & safety within NHSGGC • Identify where and how to seek additional health & safety support 11/28/2020 17

Why prevent accidents & ill-health? There are 3 main reasons: 1. Moral - we

Why prevent accidents & ill-health? There are 3 main reasons: 1. Moral - we owe a reasonable 'duty of care' to others at work 2. Economic - insured and uninsured costs 3. Legal - both criminal and civil 11/28/2020 18

Primary causes of accidents Immediate or primary causes of accidents are often grouped into

Primary causes of accidents Immediate or primary causes of accidents are often grouped into unsafe acts and unsafe conditions. These are caused by: • human error • the environment • inherited attitudes or values (bad habits) 11/28/2020 19

Case Study Human factors at play during a large gasoline spillage 11/28/2020 20

Case Study Human factors at play during a large gasoline spillage 11/28/2020 20

Managing Health & Safety Health and Safety Executive HSG 65: – Plan – Do

Managing Health & Safety Health and Safety Executive HSG 65: – Plan – Do – Check – Act 11/28/2020 21

Plan • Policies – Corporate policies adapted to meet local needs • Board health

Plan • Policies – Corporate policies adapted to meet local needs • Board health and safety action plan – Directorate / Sector / Partnership safety plan • Management system – Health and Safety Management Manual 11/28/2020 22

Do • Hazard identification • Risk assessment • Involve and empower staff • Encourage

Do • Hazard identification • Risk assessment • Involve and empower staff • Encourage incident reporting (DATIX) • Communicate 11/28/2020 23

Check • Measure performance – Self audit – Workplace inspections • Incidents – Investigation

Check • Measure performance – Self audit – Workplace inspections • Incidents – Investigation • Benchmarking – Means of improvement 11/28/2020 24

Act Review – Learning – Improving – Ensuring compliance – What have we done

Act Review – Learning – Improving – Ensuring compliance – What have we done well – What could we do better – Who can we share this with 11/28/2020 25

NHSGGC Key Result Areas for H&S Include: • Stress • Violence & aggression •

NHSGGC Key Result Areas for H&S Include: • Stress • Violence & aggression • Ergonomics & manual handling • COSHH • Blood borne viruses • Training 11/28/2020 26

Additional Support Clinical and non-clinical services: – – – – Health and Safety Team

Additional Support Clinical and non-clinical services: – – – – Health and Safety Team Violence Reduction Team Moving and Handling Team Occupational Health & OH Physiotherapy Clinical Governance Support Unit Infection Prevention & Control Fire Safety Team Human Resources Policy and guidance documents available on HRConnect 11/28/2020 27

Thank you, any questions? 11/28/2020 28

Thank you, any questions? 11/28/2020 28

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Counter Fraud Services Training for new managers Fraud in the health service.

Counter Fraud Services Training for new managers Fraud in the health service.

Agenda • Nature, scale and impact of health service fraud • Fighting fraud is

Agenda • Nature, scale and impact of health service fraud • Fighting fraud is a team effort • Counter Fraud Services • Case studies • Causes of ‘Insider Fraud’

The scale of fraud in the health service NHS Scotland budget £ 13 billion

The scale of fraud in the health service NHS Scotland budget £ 13 billion • Procurement fraud costs the NHS at least £ 69 m p. a. • Patient exemption fraud & error costs >£ 10 m • The overall cost is between 1 -3% (£ 130 m £ 390 m) NHSGGC budget £ 2. 6 bn • Loss of £ 26 m (at 1%), or • Loss of £ 78 m (at 3%) What improvements could be achieved with savings on that scale?

It takes teamwork Managers & Supervisors Working together to counter fraud in NHSGGC Fraud

It takes teamwork Managers & Supervisors Working together to counter fraud in NHSGGC Fraud Liaison Officer (FLO) System & process controls NHS Counter Fraud Services Policies & Standing Financial Instructions

Prevention. Team • Educational Workshops/ Presentations • Provide best practice guidance on securing processes

Prevention. Team • Educational Workshops/ Presentations • Provide best practice guidance on securing processes • Promoting an anti-fraud culture Fraud Liaison Officer • • Employee of NHSGGC Initial Point of Contact for advice and information Coordinates initial phase of investigations Facilitates promotion of fraud prevention activities

Investigation Team • Gather evidence & interview witnesses • Interview suspects under caution •

Investigation Team • Gather evidence & interview witnesses • Interview suspects under caution • Report offences to the Procurator Fiscal Service Intelligence Team • Identify & measure fraud risks • Analyse data & cultivate information/intelligence • Highlight specific threats by publishing ‘Alerts’ Patient Claims Team • Target incorrect dental / opthalmic patient exemption claims • Pursue repayment from patients to refund health boards

Counter Fraud Strategy Prevention Preventing and closing down opportunities to commit fraud, through awareness

Counter Fraud Strategy Prevention Preventing and closing down opportunities to commit fraud, through awareness raising and disablement initiatives. Detection Working together with public sector and external organisations to: share information; analyse data to identify risk; and develop proactive approaches to countering fraud. Investigation Investigating allegations of financial misconduct and applying all appropriate sanctions where public sector monies are involved.

1. The story of the diligent hardworker.

1. The story of the diligent hardworker.

Spot the red flags of suspicion? • First to start and last to finish

Spot the red flags of suspicion? • First to start and last to finish • Not taking holidays • Refusing the assistance of colleagues • Reconciliation counts were now done in pencil when using a pen was normal • Periodic ‘two-person’ counts were not done • Treasury checks had just changed from weekly to monthly increasing the amount at risk.

What went wrong? • The suspicious behaviours went un-noticed • Line manager should’ve remained

What went wrong? • The suspicious behaviours went un-noticed • Line manager should’ve remained involved • Office policy should require cash tallies in pen • Weekly 2 -person tallies should be mandatory Best Practice: • Read the Standing Financial Instructions • Check local policy & SOPs. Do they cover deputising? • Consult finance experts to identify risks • Review policies after adverse incidents

2. The story of the light-fingered pharmacy worker.

2. The story of the light-fingered pharmacy worker.

Could this have been prevented? • Were there observable warning signs missed by colleagues

Could this have been prevented? • Were there observable warning signs missed by colleagues and managers? • Personal password security and segregation • Physical layout created opportunity for goods to be hidden and taken without raising suspicion • Insufficient controls to prevent orders for desirable drugs exceeding maximum ward levels

3. The story of the grieving colleague.

3. The story of the grieving colleague.

Could this have been prevented? • Faster identification & reporting of debt issues •

Could this have been prevented? • Faster identification & reporting of debt issues • Often short of money for collections etc. • Non-socialiser with colleagues (narcissist? ) • Often referred to her art degree - a statement of ‘difference’

Why good employees go bad • Examples: • Unresolved workplace conflicts • Perceived injustice

Why good employees go bad • Examples: • Unresolved workplace conflicts • Perceived injustice e. g. not promoted or reduced pension benefits • Learning bad behaviour from others • Depleted moral self-regulation through accumulated stress • Seek support: • Human resources Business Partner • Your line manager – share their experience

Your responsibility “ Be observant of staff behaviour (cumulatively). Intervene early to prevent wrongdoing.

Your responsibility “ Be observant of staff behaviour (cumulatively). Intervene early to prevent wrongdoing. If you spot fraud, report it!

Visit the CFS website: http: //www. cfs. scot. nhs. uk/ Fraud Liaison Officer: Janet

Visit the CFS website: http: //www. cfs. scot. nhs. uk/ Fraud Liaison Officer: Janet Richardson Head of Financial Governance Janet. Richardson@ggc. scot. nhs. uk 0141 201 (6)4530 Questions Fraud Hotline 08000 15 16 28

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Being an inequality-sensitive manager in NHSGGC

Being an inequality-sensitive manager in NHSGGC

Cover today • Informed about equality legislation and the duties it places on NHSGGC

Cover today • Informed about equality legislation and the duties it places on NHSGGC employers and employees. • Understand the managers role and responsibilities in relation to Equality and Diversity • Know where to access further information and resources

So ju cia st ice l ng n i g io T n a

So ju cia st ice l ng n i g io T n a lat h C pu po SG policy he law NH SG G& Cp olic KS y F In eq ua ga lit p y Bu sin ca ess se Pa tie Ri nt gh s’ ts

What does inequality mean?

What does inequality mean?

What does inequality mean? The experience of discrimination caused by the differentials in relation

What does inequality mean? The experience of discrimination caused by the differentials in relation to allocation of power, wealth, status, access to resources, and equality of opportunity.

What does discrimination mean?

What does discrimination mean?

What does discrimination mean? Unlawful discrimination is when a person (or group) is treated

What does discrimination mean? Unlawful discrimination is when a person (or group) is treated less favourably than another person or group, because of a protected characteristic or characteristics…

Equality Act 2010 • Eliminate unlawful discrimination and harassment and victimisation • Advance equality

Equality Act 2010 • Eliminate unlawful discrimination and harassment and victimisation • Advance equality of opportunity between those who share a protected characteristic and those who do not • Foster good relations between those who share a protected characteristic and those who do not

Equality Act 2010 Public Sector (Specific Duties) (Scotland) 2012: • report on mainstreaming the

Equality Act 2010 Public Sector (Specific Duties) (Scotland) 2012: • report on mainstreaming the equality duty • publish equality outcomes and report progress • assess and review policies and practices (evidence based) • gather and use employee information • publish gender pay gap information • publish statements on equal pay • consider award criteria and conditions in relation to public procurement • publish required information in a manner that is accessible

Protected Characteristics

Protected Characteristics

Equality Act 2010: Protected Characteristics Age Sexual Orientation Religion & Belief Disability Gender Reassignment

Equality Act 2010: Protected Characteristics Age Sexual Orientation Religion & Belief Disability Gender Reassignment Race Pregnancy & Maternity Gender (Sex) Marriage & Civil Partnership Social Class

How might staff with one or more of these PCs face challenges to performing

How might staff with one or more of these PCs face challenges to performing in workplace? Discuss

Protected Characteristics in the workplace - barriers • • • Age – perceived value

Protected Characteristics in the workplace - barriers • • • Age – perceived value decreasing in relation to age? Disability – ‘burden’ of adjustment? Gender re-assignment – stigma and exclusion - fear? Marriage & Civil Partnership - restriction on opportunity? Pregnancy & maternity – refusing time off, limited promotion Race – not seen as ‘one of us’? Religion and belief –sectarianism? Sex – segregated roles (for him and her), harassment? Sexual orientation – unable to be your genuine self?

Staff experiences of discrimination • 25% of respondents: at least one condition considered a

Staff experiences of discrimination • 25% of respondents: at least one condition considered a disability • 28 % : would prefer their manager not to know • 20% : would be worried about consequences if manager did know • Most common prejudice experienced in working environment was age (7%) sex/gender (5%) and religion and belief (5%) • 58% who identified as LGB lesbian, gay or bi-sexual were out in workplace. Of the 42% who were not out 23% stated they reason was worried about the consequences

Managers role and responsibilities • Ensure all members of staff can perform their role

Managers role and responsibilities • Ensure all members of staff can perform their role • Be proactive in recognising staff members may need additional support • Respond to disclosures or requests for support relating to protected characteristics • Applies from recruitment through to day team management

NHSGGC Related Policies Equality, Diversity and Human Rights Worklife Balance Attendance Management Staff Uniform

NHSGGC Related Policies Equality, Diversity and Human Rights Worklife Balance Attendance Management Staff Uniform and Dress Code Employee Capability Dignity at Work Gender Based Violence Transitioning in the Workplace Corporate use of media policy

Release. Potential

Release. Potential

Staff Engagement • 0. 4% of our staff declare a disability • Between 10%

Staff Engagement • 0. 4% of our staff declare a disability • Between 10% and 15% of the working age population are disabled • Disability Staff Forum set up 2 years ago: – involved in action plan on the double tick standard, – road shows – producing a guide for managers on reasonable adjustments • LGBT Forum on-line • BME Forum next year

TACKLING HOMOPHOBIA

TACKLING HOMOPHOBIA

TACKLING HATE CRIME

TACKLING HATE CRIME

Equalities in Health Website www. equality. scot. nhs. uk HR Connect Link

Equalities in Health Website www. equality. scot. nhs. uk HR Connect Link

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Staff Governance Diana Hudson, Staff Governance Co-ordinator 11/28/2020 71 71

Staff Governance Diana Hudson, Staff Governance Co-ordinator 11/28/2020 71 71

Aims • Understand what Staff Governance is, including the 5 key Staff Governance Standards

Aims • Understand what Staff Governance is, including the 5 key Staff Governance Standards • Identify how the Standards can support you in your line management role, and support your team • Understand how Staff Governance are integral to the development and application of workforce policies • Understand how the i. Matter supports us in meeting the Staff Governance Standards 11/28/2020 72

What Is Staff Governance? • Staff Governance determines a framework for NHS Boards to

What Is Staff Governance? • Staff Governance determines a framework for NHS Boards to encourage the fair and effective management of employees • Staff Governance is a legal obligation which holds the organisation and all of its’ managers to account • Staff Governance activity is monitored through NHS GGC’s Staff Governance Committee, local activity and an annual return to the Scottish Government • Staff Governance forms part of the governance framework within which NHS Boards must operate (alongside Clinical and Financial Governance). • The Staff Governance Framework sets out 5 key Standards for both staff and managers 11/28/2020 73

Well informed Continuously improving & safe working environment, promoting health & wellbeing of staff,

Well informed Continuously improving & safe working environment, promoting health & wellbeing of staff, patients and the wider community Appropriately Trained & Developed STAFF GOVERNANCE STANDARD Treated fairly & consistently, with dignity & respect, in an environment which values diversity Involved in decisions 74

St@ff. Net and HR Connect Team meetings, 121 s, huddles etc Well Informed Staff.

St@ff. Net and HR Connect Team meetings, 121 s, huddles etc Well Informed Staff. News Core & Team Brief 75

Turas reviews Statutory/Mandatory training and elearning Appropriately Trained Induction, on -the-job and in-house training

Turas reviews Statutory/Mandatory training and elearning Appropriately Trained Induction, on -the-job and in-house training Management Development 76

Team discussions on local issues Good Communication structure Involved in Decisions Partnership Working and

Team discussions on local issues Good Communication structure Involved in Decisions Partnership Working and partnership groups Open discussion and feedback 77

Apply policies with consistency Good Management and communications Treated Fairly & Consistently Sharing best

Apply policies with consistency Good Management and communications Treated Fairly & Consistently Sharing best practice & Staff Forums Regular workforce analysis and review 78

Health , Safety and Wellbeing Policies Staff Health Strategy and Healthy Working Lives Safe

Health , Safety and Wellbeing Policies Staff Health Strategy and Healthy Working Lives Safe Working Environment Occupational Health and reasonable adjustment Regular and up to date training (e. g. Fire Safety, manual handling) 79

What do staff need to do? The Standard also requires all staff to: •

What do staff need to do? The Standard also requires all staff to: • keep themselves up to date with developments relevant to their job within the organisation; • commit to continuous personal and professional development; • adhere to the standards set by their regulatory bodies; • actively participate in discussions on issues that affect them either directly or via their trade union / professional organisation; • treat all staff, patients & service users with dignity and respect while valuing diversity; and • ensure that their actions maintain and promote the health, safety and wellbeing of all staff, patients, service users and carers. 11/28/2020 80

So in everyday terms … what does this mean? The SG Standards support: •

So in everyday terms … what does this mean? The SG Standards support: • NHS GGC line managers to develop and manage their staff • a positive experience at work for all staff, where they feel motivated and engaged with their role, team and NHS GGC But also, • Influence policy development and it’s application • Aims to improve staff experience (measured by i. Matter) through actions identified in the NHS GGC Staff Governance action plan 11/28/2020 81

Workforce Policies and Staff Governance • Local NHS GGC workforce policies are developed, reviewed

Workforce Policies and Staff Governance • Local NHS GGC workforce policies are developed, reviewed and updated through the Area Partnership Forum, in line with national PIN guidelines and legislative updates • Once for Scotland approach being developed nationally to standardise across all Boards • NHS GGC workforce policies support and reflect the Staff Governance standards, so in turn support you in the line management role you have • Policy development and application is monitored through the Staff Governance annual return to the Scottish Government 11/28/2020 82

i. Matter Staff Experience Continuous Improvement Model • A tool designed to help individuals,

i. Matter Staff Experience Continuous Improvement Model • A tool designed to help individuals, teams, Directorates / Health and Social Care Partnerships (HSCPs) and Boards understand improve staff experience. • Staff complete a short online or paper questionnaire and provide information on their experience of working for their team and the Board. • Annual questionnaire to support continuous improvement at all levels 11/28/2020 83

i. Matter Staff Experience Continuous Improvement Model • Staff have the chance to feed

i. Matter Staff Experience Continuous Improvement Model • Staff have the chance to feed back and to influence change at a team level • Feedback on the organisation level questions allows improvements to be identified at Directorate / HSCP and Board level. • All the evidence shows that the better the experience of staff at work, the better the experience of patients / service users and their families. So, how does this relate to Staff Governance? 11/28/2020 84

i. Matter & Staff Governance • Each question is linked to one of the

i. Matter & Staff Governance • Each question is linked to one of the 5 Staff Governance Standards. • Team, Directorate / HSCP and Board level reports provide responses split by the Staff Governance Standards. • Teams and Directorates / HSCPs can begin to identify strengths and improvement opportunities within each Standard. • Directors and Chief Officers can use Directorate / HSCP level reports to influence local Staff Governance action plans. 11/28/2020 85

Summary • Staff Governance provides a framework to support staff management and for staff

Summary • Staff Governance provides a framework to support staff management and for staff to engage with the Board • Routinely monitored through the Staff Governance Committee and local infrastructures • Should be incorporated to everyday line management activity (and you’ll find in many ways it is!) • Supported by local workforce policies and the i. Matter continuous improvement model 11/28/2020 86

Thank you! Questions? 11/28/2020 87 87

Thank you! Questions? 11/28/2020 87 87

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Engaging and Working in Partnership Welcome

Engaging and Working in Partnership Welcome

Engaging and Working in Partnership By the end of the session you will, •

Engaging and Working in Partnership By the end of the session you will, • understand the national approach to Partnership Working (background, aims and ways of working) • know how this is taken forward in NHS Greater Glasgow and Clyde through the Partnership Agreement and Facility Agreement • understand the role of our Partnership forums and their structure • be aware of the importance and value of engaging effectively in Partnership Working

Engaging and Working in Partnership Staff Governance Standard

Engaging and Working in Partnership Staff Governance Standard

Engaging and Working in Partnership Understanding Partnership Working • Scottish Terms and Conditions Committee

Engaging and Working in Partnership Understanding Partnership Working • Scottish Terms and Conditions Committee (STAC) • Scottish Partnership Forum (SPF) • Scottish Workforce and Staff Governance group (SWAG)

Engaging and Working in Partnership Understanding the Partnership Model Formulation - all stakeholders including

Engaging and Working in Partnership Understanding the Partnership Model Formulation - all stakeholders including TUs Evaluation - all stakeholders including TUs Implementation - all stakeholders including TUs Consultation - all stakeholders including TUs Existing consultation structure should be incorporated Negotiation exclusively TUs Existing negotiation structure incorporated

Engaging and Working in Partnership My experience of working in Partnership

Engaging and Working in Partnership My experience of working in Partnership

Engaging and Working in Partnership Our Partnership Agreement http: //www. nhsggc. org. uk/working-with-us/hrconnect/policies-and-staffgovernance/policies/partnership-agreement/

Engaging and Working in Partnership Our Partnership Agreement http: //www. nhsggc. org. uk/working-with-us/hrconnect/policies-and-staffgovernance/policies/partnership-agreement/

Engaging and Working in Partnership Governance • The Area Partnership Forum (APF) • Local

Engaging and Working in Partnership Governance • The Area Partnership Forum (APF) • Local Partnership Forum (SPF / LPF) • Health & Safety Forum

Engaging and Working in Partnership Our Facilities Agreement http: //www. nhsggc. org. uk/working-with-us/hrconnect/policies-and-staffgovernance/policies/facilities-agreement/

Engaging and Working in Partnership Our Facilities Agreement http: //www. nhsggc. org. uk/working-with-us/hrconnect/policies-and-staffgovernance/policies/facilities-agreement/

Engaging and Working in Partnership Our Facilities Agreement • Time and how this is

Engaging and Working in Partnership Our Facilities Agreement • Time and how this is used • The role of local versus senior reps • Various reps involved e. g. Learning reps

Engaging and Working in Partnership in Practice

Engaging and Working in Partnership in Practice

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INFORMATION GOVERNANCE Foundation Programme for New Managers & Supervisors 11/28/2020 101

INFORMATION GOVERNANCE Foundation Programme for New Managers & Supervisors 11/28/2020 101

Objectives • Awareness of Information Governance • Know how to respond to Subject Access

Objectives • Awareness of Information Governance • Know how to respond to Subject Access Requests • Know how to investigate a Data Breach • To have an awareness of NHSGGC’s Policies and Procedures 11/28/2020

What is Information Governance? • • Caldicott Confidentiality Data Protection / GDPR Data Quality

What is Information Governance? • • Caldicott Confidentiality Data Protection / GDPR Data Quality Freedom of Information Records Management Security 11/28/2020

What is Data Protection? “DATA PROTECTION IS CONCERNED WITH THE SAFEGUARDING AND PROTECTING OF

What is Data Protection? “DATA PROTECTION IS CONCERNED WITH THE SAFEGUARDING AND PROTECTING OF PERSONAL IDENTIFIABLE DATA FOR LIVING INDIVIDUALS, WHETHER IT RELATES TO PATIENTS, STAFF OR OTHERS” 11/28/2020

Responsibility for Data Protection The Information Commissioner’s Office is responsible for ensuring organisations comply

Responsibility for Data Protection The Information Commissioner’s Office is responsible for ensuring organisations comply with the Act. They can: • Impose monetary fines of up to 4% of annual gross turn over or up to £ 17. 5 Million (20 Million euro) • Audit health boards – inspect and confiscate files • Interview staff • Prosecute and/or fine individuals • Impose other sanctions 11/28/2020

GDPR Article 5: Principles The GDPR sets out 7 key principles: (a) Lawfulness, fairness

GDPR Article 5: Principles The GDPR sets out 7 key principles: (a) Lawfulness, fairness and transparency (b) Purpose limitation (c) Data minimisation (d) Accuracy (e) Storage limitation (f) Integrity and confidentiality (security) (g) Accountability 11/28/2020

Rights of the Data Subject Individuals have rights relating to: • Access (of their

Rights of the Data Subject Individuals have rights relating to: • Access (of their data) • Complain (if we breach their rights) • Data Portability • Erasure of Data • To be informed (how we use their data) • To Object (to how their data is used) • Rectification (if their data is inaccurate) • Restrict Processing and rights relating to automated decision making and profiling 11/28/2020

The Right of Access: What can people access? • • Health / Occupational Records

The Right of Access: What can people access? • • Health / Occupational Records Personnel File (excluding references) Payroll Information Complaint / Grievance Files Datix Reports Emails Witness Statements (not always) 11/28/2020

Subject Access Request (SAR) • Can be made in writing or verbally. If verbal,

Subject Access Request (SAR) • Can be made in writing or verbally. If verbal, it is good practice to write to applicant confirming what data they are seeking • Proof of Identity • Fee – There is no fee under GDPR unless the request is excessive • Response should be sent within 1 calendar month 11/28/2020

Managing a Subject Access Request • Send the original request and a copy of

Managing a Subject Access Request • Send the original request and a copy of any information you hold to the IG Department. • Request will be checked and redacted where necessary. • Response will be sent by the IG Department within the stipulated 1 calendar month 11/28/2020

How do breeches happen? • Faxing / Emailing information to the wrong recipient •

How do breeches happen? • Faxing / Emailing information to the wrong recipient • Loss of files, notes or papers • Theft / Loss of IT equipment • Posting information about patients / staff on social networking sites • Inappropriate access to information (e. g. Looking up family, friends or colleagues) 11/28/2020

NHSGGC Breaches • Two referrals from another HB sent to one of the patients

NHSGGC Breaches • Two referrals from another HB sent to one of the patients in error – contained sensitive clinical history • Letter to GP re patient and fertility treatment sent to Dentist in error • Nurse left 15 patient files in car boot over weekend – car stolen and files never retrieved • Patient letters found in hospital grounds from burst bag – appropriate disposal methods must always be used • Health Records left unattended within unsecure areas – screens left unattended and not locked • Voice mail left on wrong patients phone detailing personal information 11/28/2020

Scenario 1 Your staff member realises they have lost a patients file. How to

Scenario 1 Your staff member realises they have lost a patients file. How to you deal with this situation? 11/28/2020

Dealing with A data breach • Create a Datix Report for the incident and

Dealing with A data breach • Create a Datix Report for the incident and give as much detail as possible • Conduct a local investigation • Ensure staff members have completed relevant training and/or request refresher training • Refer to the Data Breach Policy 11/28/2020

Scenario 2 You suspect an employee is accessing a relative’s clinical record inappropriately. How

Scenario 2 You suspect an employee is accessing a relative’s clinical record inappropriately. How do you deal with this? 11/28/2020

Dealing with inappropriate access • Raise concerns with IG Department • IG will arrange

Dealing with inappropriate access • Raise concerns with IG Department • IG will arrange an audit with People & Change approval (if necessary) • Audit results will be reviewed and conclusion sent to the Line Manager, along with audit results if appropriate • If potential inappropriate access identified, PC & Line Manager investigate - may lead to disciplinary • Patient will be notified via letter 11/28/2020

Emergency Care Summary (ECS) Audit • Audited Monthly • Highlights potential inappropriate access •

Emergency Care Summary (ECS) Audit • Audited Monthly • Highlights potential inappropriate access • Follow up with Line Managers • Results sent to Scottish Government 11/28/2020

Fair. Warning As part of our requirement to continue to protect confidentiality and security

Fair. Warning As part of our requirement to continue to protect confidentiality and security of our electronic records the Board has implemented Fair. Warning is a privacy monitoring solution that detects unauthorised or inappropriate access to our electronic records on our clinical systems. The process and guidance for Fair. Warning audits have been approved by the Area Partnership Forum and can be found on Staffnet. 11/28/2020

Fair. Warning – inappropriate access • VIP snooping – unauthorised/unnecessary examination of high profile

Fair. Warning – inappropriate access • VIP snooping – unauthorised/unnecessary examination of high profile patients, e. g. celebrities, politicians, criminals • General snooping - accessing records of colleagues, friends, family or neighbours • Self Snooping - examining your own record is a data breach. • Logging on as someone else – using the logon of a fellow member of staff, even in the course of treating a legitimate patient, breaches the policy. 11/28/2020

Information Commissioner Over 50 organisations have been fined between £ 1, 000 - £

Information Commissioner Over 50 organisations have been fined between £ 1, 000 - £ 400, 000 v British Pregnancy Advice Service £ 200, 000 v CPS fined £ 325, 000 v GP practice manager has been fined for sending personal data to her own email account without authorisation. Fined £ 120, plus £ 364 costs and a victim surcharge of £ 30 ( April 2019 ) v London-based pharmacy fined £ 275, 000 for failing to ensure the security of special category data. ( Dec 2019 ) v Blackpool Teaching hospitals NHS Foundation Trust fined £ 185, 000 11/28/2020

Who is responsible? • Everyone! • Legal Obligation • Terms of Employment • NHS

Who is responsible? • Everyone! • Legal Obligation • Terms of Employment • NHS Scotland Code of Practice • Policies and Procedures 11/28/2020

Data Protection Officer NHSGGC’s Data Protection Officer is Isobel Brown and her main role

Data Protection Officer NHSGGC’s Data Protection Officer is Isobel Brown and her main role is to: • Monitor compliance of data protection • Inform & provide advice • Be the point of contact for the Information Commissioner’s Officer (ICO) Email: Data. Protection@ggc. scot. nhs. uk 11/28/2020

Policies and guidelines Search for Information Governance Framework on Staff Net or click the

Policies and guidelines Search for Information Governance Framework on Staff Net or click the e. Health Button and select Policies and Procedures 11/28/2020

Contact details Rosina Henderson Email: Rosina. Henderson@ggc. scot. nhs. uk Tel: 0141 355 2059

Contact details Rosina Henderson Email: Rosina. Henderson@ggc. scot. nhs. uk Tel: 0141 355 2059 Stewart Whyte, Information Governance Manager Email: Stewart. Whyte@ggc. scot. nhs. uk Tel: 0141 278 4774 Isobel Brown, Data Protection Officer Email: Isobel. Brown@ggc. scot. nhs. uk Tel: 0141 355 2020 Or our team mailbox is: data. protection@ggc. scot. nhs. uk 11/28/2020

Questions and comments 11/28/2020 125

Questions and comments 11/28/2020 125