National Systems and Applications: Information to support local informatics transition Programme Sub Programme Project Manager Informatics Transition National Systems and Applications Transition Mat Jordan / Peter Sherratt Document Record ID Key Status Owner Mat Jordan Version 1.3 Working draft Author Mat Jordan Version Date 21/12/2012 National Systems and Applications: Information to support Local Informatics Transition Crown Copyright 2012
Amendment History: Version Date Amendment History 0.1 21/09/2012 First draft for internal review 0.2 22/09/2012 Second draft for internal review 0.3 28/09/2012 Third draft circulated to DCIO, SHA transition leads, CFH external comms lead 0.4 10/10/2012 Partially revised draft circulated to Nic Fox for information 0.5 18/10/2012 Updated draft incorporating feedback circulated for final check 1.0 23/10/2012 Formatted to NHS CFH controlled document template and issued as Working draft 1.1 02/11/2012 Clarifications to N3 section; references to ODS / SDS Impact documents added; information about NHS Pathways / NHS111 added. 1.2 21/11/2012 QMAS / CQRS information incorporated. Changes to N3 section. Additional information on SCRa. Changes to information on Calendra / UIM under smart card migration. 1.3 21/12/2012 Minor changes to SUS, N3 and Spine endpoint information. Additional section on management of licenses for Microsoft and Oracle. Reviewers: This document must be reviewed by the following: author to indicate reviewers Name Signature Title / Responsibility Date Version Trevor Wright Email DCIO, Local Informatics Transition Programme Cathy Hassell Email Patients and Information Directorate, NHS CBA 18/10/2012 0.5 18/10/2012 0.5 Kate Cooper Email DCIO, Midlands and East Cluster 18/10/2012 0.5 Anne-Marie Jones Email North West 18/10/2012 0.5 Katherine Tyte Email North West SHA 28/09/2012 0.2 Terri Holcroft Email North West SHA 28/09/2012 0.2 Bernard Considine Email DCIO, Midlands and East Cluster 18/10/2012 0.5 Peter Sherratt, NHS CFH Email Project Manager, NHS CFH 18/10/2012 0.5 Louise Troy, DH Transition Programme Email Transition Programme, Department of Health 18/10/2012 0.5 Frank Harburn Email NHS London 18/10/2012 0.5 David Sahman Email DCIO, Midlands and East Cluster 18/10/2012 0.5 Lois Lere Email DCIO, Southern Cluster 18/10/2012 0.5 Morfydd Williams Email CIO, NHS London 18/10/2012 0.5 Alex Abbott, CTO, NHS CBA Alex Morton, Commissioning Development, NHS CBA Tim Young, Operations Directorate, NHS CBA Email CTO, NHS CBA 18/10/2012 0.5 Email Deputy Director, Commissioning Development, NHS CBA 18/10/2012 0.5 Email Operations Directorate, NHS CBA 18/10/2012 0.5 Warren Brown, NHS CBA Email NHS CBA 28/09/2012 0.2 Sue Millard Email Reconfiguration Team, NHS CFH 28/09/2012 0.2 Mark Dye Email ODS Team, NHS CFH 28/09/2012 0.2 Simon Shipman Email N3 Deployment Lead reviewed N3 10/11/2012 1.0 Crown Copyright 2012 Page 2 of 31
and IG sections Judith Nash Email Revisions to N3 section 20/11/2012 1.1 Sarah Kennedy Email Additional material on QMAS and CQRS 13/11/2012 1.1 Crown Copyright 2012 Page 3 of 31
Approvals: This document must be approved by the following: author to indicate approvers Name Signature Title / Responsibility Date Version Trevor Wright Email DCIO, Local Informatics Transition Programme Cathy Hassell Email Commissioning Development, NHS CBA 18/10/2012 0.5 18/10/2012 0.5 Kate Cooper Email DCIO, Midlands and East 18/10/2012 0.5 Alex Morton Email Deputy Programme Director, Commissioning Development, NHS CBA 28/10/2012 0.5 Document Control: The controlled copy of this document is maintained in the NHS CFH Electronic Document and Records Management System. Any copies of this document held outside of that system, in whatever format (e.g. paper, email attachment), are considered to have passed out of control and should be checked for currency and validity. Version 1.3 of this document is published on 21 December 2012 and will be available from the following web address: http://www.connectingforhealth.nhs.uk/systemsandservices/systemschange/ Please direct all comments and feedback to mat.jordan@nhs.net Glossary of Terms: Acronym / abbreviation AQP ALB Amd BSA CR CRM CCG CSU CHIS CQRS CDS ODS CTO CIO DIR DoS Description Any Qualified Provider Arms Length Body Amendment (to an Information Standard) (NHS) Business Services Authority Commissioning Region (of the NHS Commissioning Board) Customer Relationship Management (system used by the N3 service provider Clinical Commissioning Group Commissioning Support Unit Child Health Information System Calculating Quality Reporting Service (replacement for QMAS) Commissioning Data Set Organisation Data Service Chief Technology Officer Chief Information Officer Deployment Issue Resolution Team (of NHS CFH) Directory of Services (of Choose and Book) Crown Copyright 2012 Page 4 of 31
DMIC ERS ESR FP10 GPES GP2GP GPSoC HIS HSCIC ISN HPA IG IGSoC IGT LOA LPfIT / SPfIT / NMEPfIT LAT LA MoM NHAIS NHS CB NHS CFH NSC N3 ONS PPD PHE PAS PCT QMAS QUIPP SHA SI SCR SUS SDS ToS Data Management Integration Centre Enhanced Reporting Service (Spine sub-system) Electronic Staff Record Standard prescribing form for the NHS in England GP Extraction Service GP to GP (record transfer) GP Systems of Choice Health Informatics Service Health and Social Care Information Centre; sometimes known as The Information Centre (for Health and Social Care) or the IC. The prefix (existing) is used to refer to the current organisation and (new) to refer to the organisation post April 2013. Information Standard Notice Health Protection Agency Information Governance Information Governance Statement of Compliance Information Governance Toolkit Local Area Administrator (for NHSmail) London / Southern / North, Midlands and East Programme for IT Local Area Team (of the NHS Commissioning Board) Local Authority Map of Medicine National Health Authority Information System NHS Commissioning Board (NB no distinction has been drawn between the NHS CB Authority the special health authority that precedes the formal establishment of the commissioning board itself) NHS Connecting for Health National Support Centre (of the NHS Commissioning Board) NHS broadband network Office for National Statistics Prescription Pricing Division (of the NHS Business Services Authority) Public Health England Patient Administration System Primary Care Trust Quality Management Administration System Quality Innovation Productivity and Prevention Strategic Health Authority Statutory Instrument Summary Care Record including SRAa SCR application Secondary Uses Service Spine Directory Service (Spine sub-system) Transfer of Services (if Choose and Book) Crown Copyright 2012 Page 5 of 31
UIM User Identity Management (system) Planned changes This document will be updated periodically as more operational details emerge. The following changes are currently anticipated: Update in line with GP IT Services Operating Model when published; Update to align with Registration Authority Operating Model when published; Information including timings of changes to Exeter-based systems including Open Exeter; Additional information on SCR Application (SCRa) local impacts including guidance for on Privacy Officer registration to cover transition Related documents ISN 0090 Amd 5/2012 http://www.isb.nhs.uk/documents/isb-0090/ ODS Specification_ Non-Legislative Organisations http://www.connectingforhealth.nhs.uk/systemsandservices/data/ods/actchanges ODS Change Summary_ Non-Legislative Organisations http://www.connectingforhealth.nhs.uk/systemsandservices/data/ods/actchanges Spine Directory Service Impact Assessment http://www.connectingforhealth.nhs.uk/systemsandservices/data/ods/actchanges Correspondence from Ailsa Claire in respect of Choose and Book continuity http://www.chooseandbook.nhs.uk/staff/bau/bautasks/reorg/sroone DH Health Intelligence Requirements for Local Authorities http://healthandcare.dh.gov.uk/health-intelligence/ GP IT Services Operating Model http://www.commissioningboard.nhs.uk/2012/12/04/gp-it/ Primary Care Operating Model (unpublished) Registration Authority Operating Model (unpublished) Crown Copyright 2012 Page 6 of 31
1 Contents National Systems and Applications:... 1 Information to support Local Informatics Transition... 1 1 Contents... 7 2 Introduction... 10 2.1 Operational context from April 2013... 10 3 Scope... 11 3.1 In scope... 11 3.2 Out of scope... 11 4 Audience... 11 5 Summary of key milestones and dependencies... 12 6 NHS Organisational codes... 12 6.1 New organisations and their ODS codes on the Spine... 13 6.2 Transition requirements and responsibilities... 14 6.3 Further information... 14 6.4 Reconfiguration Service... 14 7 Information Governance... 14 Overview... 14 Transition requirements and responsibilities... 15 Further Information... 15 8 Registration Authority Services... 15 8.1 Overview... 15 8.2 Transition requirements and responsibilities... 16 8.3 Further information... 16 9 NHS Smart Card Migration... 16 9.1 Overview... 16 9.2 Transition requirements and responsibilities... 17 9.2.1 Further information 17 10 Spine Endpoint Migration... 17 10.1 Overview... 17 10.2 Transition requirements and responsibilities... 18 10.3 Further information... 18 11 Choose and Book... 18 Overview... 18 Crown Copyright 2012 Page 7 of 31
Transition requirements and responsibilities... 19 Further information... 19 12 NHSmail -Transfer of Administrative Responsibilities... 20 12.1 Overview... 20 12.2 Transition requirements and responsibilities... 20 12.3 Further information... 20 13 NHSmail migration of existing users... 20 13.1 Overview... 20 13.2 Transition requirements and responsibilities... 21 13.3 Further Information... 21 14 N3... 21 Overview... 21 Transition requirements and responsibilities... 22 Further information... 22 15 Secondary Uses Service (SUS)... 22 15.1 Transition requirements and responsibilities... 23 15.2 Further information... 23 16 Unify 2... 23 16.1 Transition requirements and responsibilities... 23 16.2 Further information... 23 17 NHS Pathways (for triaging services including NHS111 and Ambulance Services)... 24 17.1 Overview... 24 17.2 Transition requirements and responsibilities... 24 18 Summary Care Record Application (SCRa)... 24 18.1 Overview... 24 18.2 Transition requirements and responsibilities... 24 19 Replacement of QMAS with CQRS... 25 19.1 Overview... 25 19.2 Training... 25 19.3 Transition requirements and responsibilities... 25 19.4 Further information... 26 20 Locally owned systems... 26 20.1 Overview... 26 20.2 Transition requirements and responsibilities... 26 Crown Copyright 2012 Page 8 of 31
21 Microsoft and Oracle licensing... 26 21.1 Overview... 26 21.1.1 Microsoft EWA 26 21.1.2 Oracle EWA 27 21.2 Transition requirements and responsibilities... 27 21.3 Further information... 27 22 Summary of organisational responsibilities... 27 22.1 SHAs / SHA clusters... 27 22.2 PCTs / PCT Clusters... 27 22.3 NHS Commissioning Board... 28 22.4 Local Commissioners and Commissioning Support Providers (CCGs, CSUs ) 28 23 Appendix A: Summary of key assumptions... 29 24 Appendix B: Systems and Applications Impact Assessments... 30 25 Appendix C: Specific roles to be allocated by new organisations... 31 Crown Copyright 2012 Page 9 of 31
2 Introduction The Health and Social Care Act 2012 1 makes wide ranging changes to the organisational structure of the NHS, creating new organisations and abolishing others. In many cases, services and functions that are carried out by existing organisations will need to be transferred to new organisations that will be created on 1 April 2013. Maintaining operational continuity during the transfer of responsibilities to new organisations will rely on the effective transition of a number of national and local IT systems and supporting services. This document covers the impacts to national systems and applications and outlines related local transition activity required to support this. In doing so, it clarifies the roles and responsibilities both during transition for organisations coming into being in April 2013, whilst assuming that much local informatics transition activity is already underway. In most cases, detailed guidance is signposted and not included within this document. Necessarily, the information is presented from a generalised, national perspective and cannot account for local variations in the implementation of national systems or the variety of locally owned and managed systems and services. Given the extensive nature of the changes and the high dependence on staff in organisations that will close on 31 March 2013, there is a risk that the skills and expertise to manage local transition commitments may not be available. Local organisations should escalate such resourcing issues through the Local Informatics Transition Programme. 2.1 Operational context from April 2013 An operating model coving GP IT 2 was published by the NHS CB in December 2013. This clarifies a number of important issues on organisational roles and responsibilities for IT and related services from April 2013. For example: NHS CB will delegate responsibility for GP IT, including operational management and funding, to CCGs, who may then subcontract to CSUs or other providers; NHS CB will set strategy, standards and budgets for GP IT and ensure appropriate infrastructure and software contracting frameworks are in place (e.g. GPSoC); NHS CB local area teams (LATs) will be responsible for providing registration authority (RA) services locally that it will commission from CSUs or other providers. A similar operating model covering wider primary care services is anticipated by the end of December 2012. 1 http://www.legislation.gov.uk/ukpga/2012/7/contents/enacted 2 http://www.commissioningboard.nhs.uk/2012/12/04/gp-it/ Crown Copyright 2012 Page 10 of 31
Precise details of the operating models for organisations that come into being in April 2013 are not yet available. The draft GP IT Service Operating Model has been used as the basis for assumptions regarding some roles, responsibilities and accountabilities that underpin this document. Other specific assumptions have been listed in Appendix A. 3 Scope 3.1 In scope The focus of the document is national systems and services managed by NHS Connecting for Health (NHS CFH) and the impact of organisational changes brought about by the Health and Social Care Act. It covers: 1. How the changes will be reflected in organisation data provided by NHS CFH through the Organisation Data Service (ODS); 2. The impact of those changes on national IT systems managed by NHS CFH; 3. The activities required at local level to support the transition of national system from their current organisational home to their destination from April 2013; 4. How this relates to other local transition activities such as the movement of staff and functions from current to future organisations, where this is known. Where information about related national or local systems is known, this has been included. For example, Unify2 managed primarily by HSCIC, is covered and some reference is made to the Electronic Staff Record (ESR) which is managed by the Department of Health (DH). A number of other locally provided services with a national dimension are also covered which are currently provided by PCTs, such as Registration Authority (RA) services, and the provision of accredited IT service desks. 3.2 Out of scope Many national systems managed by NHS CFH have been impact assessed and no system or business impacts have been identified. In these instances, the systems are not covered in any detail in this document. Local Service Provider (LSP systems) are currently included in the no impact group of systems, although full details are still being worked through with suppliers. A list of NHS CFH projects and programmes with a high level summary of the anticipated impact is in Appendix B. Unless otherwise stated, national systems operated by the DH or existing Arms Length Bodies (ALB) are not covered. For example, systems managed by the Health Protection Agency, Business Services Authority, NHS Shared Services, Monitor, NHS Blood and Transplant, etc. 4 Audience The audience for this document is anyone involved in informatics transition across local NHS organisations, but especially: Crown Copyright 2012 Page 11 of 31
Managers responsible for any aspect of informatics transition in SHAs and PCTs (or clusters); Informatics and operations staff in organisations created by the Health and Social Care Act operating in shadow form up to 1 April 2013. 5 Summary of key milestones and dependencies Date Milestone Status 6/12 Publication of interim codes for CCGs Complete 1/10/12 NHS CB assumes some statutory powers Complete 15/10/12 Publication of interim codes for all other statutory and nonstatutory bodies 31/10/12 Creation of new organisations on Spine Directory including organisation codes Complete Completed 31/10/12 Publication of this document Completed (as working draft) 29/03/2013 Organisation relationships updated in Spine Directory (reparenting) On track 2/04/13 Publication of authoritative codes for all new organisations On track December 2013 Closure of PCT and SHA codes in Spine Directory estimated timescale 6 NHS Organisational codes NHS IT systems rely on organisational codes to identify NHS and related organisations accurately. The codes support critical transactions such as booking patients appointments, supporting prescription services and processing payments. The codes are allocated and published by the Organisation Data Service (ODS 3 ) and governed by NHS Information Standard (ISN 0090) which is amended when the NHS organisational structure changes. Responsibility for this function currently sits within NHS Connecting for Health (NHS CFH) and is scheduled to transfer to the new Health and Social Care Information Centre (HSCIC) in April 2013. ODS is supported by a number of agencies throughout the UK that supply some of the products that ODS publishes, including: NHS Business Services Authority Health and Social Care Information Centre (HSCIC) Office for National Statistics (ONS) 3 Previously this was known as the National Administrative Code Service (NACS) and in some places ODS codes may be referred to as NACS codes. For full details of ODS and its products see http://www.connectingforhealth.nhs.uk/systemsandservices/data/ods Crown Copyright 2012 Page 12 of 31
Royal Mail Home Countries (Wales, Scotland, Northern Ireland, Isle of Man) which have ODS equivalent organisations. Under Business As Usual (BAU) arrangements, it is common for local organisations to request new ODS codes when reorganisations happen. The scale of this reorganisation means that ODS will be automatically allocating and publishing codes for all new organisations, so individual requests for the majority of new organisations will not be required. The only exception is new Any Qualified Provide (AQP) organisations that will need to follow BAU processes 4. ODS will provide new codes for the following: The NHS Commissioning Board (NHS CB), including its sub-divisions: o NHS CB National Support Centre (NSC) o NHS CB Regions (CR) o NHS CB Local Area Teams (LAT) Clinical Commissioning Groups (CCG) Commissioning Support Units (CSU) Data Management and Integration Centres (DMIC) New Arms Length Bodies (ALB) such as Public Health England and Health Education England. The publication of authoritative codes for the above list will only happen when CCGs have been created legally by Statutory Instrument (SI) in March 2013. However, ODS has published interim files of codes allocated to organisations to ensure that IT systems can be set up in advance of the cutover date of 1 April 2013. ODS has also published details of the coding approach for all new organisational entities assuming responsibilities on 1 April 2013 (see Related Documents above). 6.1 New organisations and their ODS codes on the Spine The codes that have been allocated to new organisational entities have been published by ODS as interim files on the ODS section of the NHS CFH website. These files can be used by organisations and their suppliers for local business and testing purposes and will not be changed unless problems are identified in testing or live operation. As of 29 October 2012, NHS CB and its local bodies and CCGs have been created on the Spine. This means that these organisations can start setting up their systems in preparation for assuming their statutory responsibilities. Whilst the creation of new organisations on the Spine allows those organisations operating in shadow form to start setting up their IT systems, there will be no impact on current systems and organisations which will be able to continue operations until March 2013. Between December 2012 and March 2013, the hierarchical relationships between organisations on the Spine will be updated to reflect the new organisational structure. 4 See http://www.connectingforhealth.nhs.uk/systemsandservices/data/ods Crown Copyright 2012 Page 13 of 31
This process (known as re-parenting ) will only be carried out once all necessary local migration activity has taken place. This will require careful planning and coordination between PCT and SHA level transition programmes and NHS CFH. It is planned that CSUs and DMICs will be created on the Spine in January 2013. If organisations operating in shadow form have a business requirement to be on the Spine before this, they should contact the ODS team using the Exeter Helpdesk (details below) 6.2 Transition requirements and responsibilities ODS to publish interim files for all new organisations (except AQPs) ODS to publish detailed information on coding approaches for new organisations and the implementation approach for SDS NHS CFH to manage the creation of new organisations in SDS and support SHA / cluster informatics transition leads on effective communication with local NHS organisations New organisations to allocate an OC1 Contact and notify ODS (this and other key roles is listed in Appendix C) SHA (Informatics transition leads) to work with NHS CFH to plan and manage local transition activity in preparation for re-parenting and to ensure clear communication. 6.3 Further information ODS Web Pages - http://www.connectingforhealth.nhs.uk/systemsandservices/data/ods National System Transition Pages - http://www.connectingforhealth.nhs.uk/systemsandservices/systemschange Exeter Helpdesk 01392 251289; helpdesk@nhs.net 6.4 Reconfiguration Service The Reconfiguration Service is a service provided by NHS CFH that supports the local reconfiguration of national applications (e.g. Choose and Book) in response to local organisational change. The Reconfiguration Team can provide support for local transition, however, the anticipated volume of change means demand will have to be managed carefully. Local organisations are encouraged to discus their requirements with the Reconfiguration Team at the earliest opportunity, if they have not done so already. For more information, contact the Reconfiguration Team: nhsreconfigurationpr@nhs.net 7 Information Governance Overview All new organisations created on or before 1 April 2013 that need to access patient information or require access to infrastructure services like N3 will need to establish Crown Copyright 2012 Page 14 of 31
appropriate information governance controls including appointing and registering a Caldicott Guardian, Privacy Officer and Senior Information Risk Owner (SIRO). All statutory organisations will need to complete the IG Toolkit or IG Statement of Compliance (IGSoC) process to provide assurance that they meet minimum IG requirements. See also the N3 section for more guidance on IG requirements relating to N3. Transition requirements and responsibilities New organisations (e.g. NHS CB, CCGs, CSUs, Local Authority Public Health) to ensure the following are in place: o Caldicott Guardian; o Senior Information Risk Owner (SIRO); o Privacy Officer where necessary (for SCR access); o IG Toolkit or IGSoC. Further Information Caldicott Guardians - http://www.connectingforhealth.nhs.uk/systemsandservices/infogov/caldicott IG Statement of Compliance (IGSoC) - http://www.connectingforhealth.nhs.uk/systemsandservices/infogov/igsoc; IG Toolkit - https://nww.igt.connectingforhealth.nhs.uk/. 8 Registration Authority Services 8.1 Overview Currently, PCTs provide Registration Authority (RA) services to a range of local organisations including GP practices, pharmacies, dentists, independent sector providers and local authorities. In some cases, they may still be providing RA services to community service functions. This is a business critical service for some 250,000 staff. From April 2013, responsibility for providing this service will pass to the NHS Commissioning Board, who will ensure that appropriate support arrangements are in place for April 2013. To support the NHS CB in this process and provide the highest degree of flexibility, the following will be given the permissions necessary to oversee local RA services when they are created on the Spine (i.e. they will be assigned RA hosting permission): NHS CB Regions NHS CB Local Area Team Clinical Commissioning Group Commissioning Support Unit Crown Copyright 2012 Page 15 of 31
Additionally, Health Informatics Services (HIS) will retain their current rights. Following successful transition, RA Hosting rights will be withdrawn from those organisations no longer requiring them. 8.2 Transition requirements and responsibilities 1. SHA must assign a local transition lead to plan and manage RA transition activity locally. 2. NHS CB must identify who will provide RA services from April 2013 and ensure that the capacity and capability is available in that organisation to support anticipated demand. 3. SHA and NHS CB must work with PCTs to ensure that current RA capability and infrastructure is migrated to an identified receiving organisation in April 2013 without any disruption of service. 4. NHS CB must ensure that appropriate Information Governance arrangements are in place so that its RA responsibilities can be discharged safely and legally. 8.3 Further information Identity management: http://nww.connectingforhealth/iim (requires nww access) 9 NHS Smart Card Migration 9.1 Overview SHAs and PCTs (or PCT clusters) remain responsible for local RA functions until 31 March 2012. The working assumption is that existing RA capability will remain until March 2013 and will carry out all activity associated with setting up smart card roles and permissions for new organisations. However, it may be that new organisations operating in shadow form are sufficiently developed to take on this role, in which case, SHA RA managers will be able to seed the necessary RA roles into new organisations to enable them to carry out this work. Once new organisations exist on the Spine, the initial priority is for Choose and Book users and their role profiles to be copied to new organisations because this is a dependency for other Choose and Book transition activities (See under Choose and Book). For Choose and Book services that will close on 31 March 2013, but where patients will be referred right up to the end date (i.e. their appointment will take place beyond the formal end date of the service), PCT Choose and Book roles will need to be retained until all of the referrals have been completed, and this is likely to run into April and May of 2013. RA managers will need to work closely with Choose and Book managers to ensure that the necessary roles stay open for as long as they are needed. Crown Copyright 2012 Page 16 of 31
Copying other (i.e. non Choose and Book) users to their new organisations is less time critical, but should be completed well before April 2013 to ensure that users can access systems under the correct governance arrangements. 9.2 Transition requirements and responsibilities Local transition requirements are as follows: 1. SHA must assign a local transition lead to plan and manage activity in local organisations; 2. SHAs to ensure that NHS smart card migration is included in PCT / Cluster local informatics transition plans; 3. Existing RA functions (in PCTs or HIS) must copy staff and role profiles to the new organisations to which staff will belong in April 2013. This should be done once the new organisation exists on the Spine (October 2012) with the first priority is Choose and Book user role profiles; 4. PCT and HIS staff managing the process must report on progress to SHA / cluster transition leads to allow effective coordination with national activities such as the re-parenting of GP practices to CCGs; 5. Sending and receiving organisations must ensure there are no unnecessary downgrades of identity management software (i.e. moves from UIM to Calendra) through the transition period, unless this is unavoidable and deemed critical for operational continuity. Organisations should contact the Access Control Team in advance of transition for advice if they believe this situation may occur. Organisations wishing to implement UIM in advance of transition and gain the benefits of doing so, should also contact the Access Control Team at NHS CfH for support and guidance at cfh.accesscontrol@nhs.net. 9.2.1 Further information See http://nww.connectingforhealth.nhs.uk/iim/ or email cfh.accesscontrol@nhs.net. 10 Spine Endpoint Migration 10.1 Overview Spine endpoints control the routing of the messages used by all Spine-enabled IT systems. The endpoint registration includes the organisations ODS code along with details of the types of Spine messages the organisation is allowed to use. Part of the transition of systems from existing to new arrangements will be the updating of Spine endpoints for all organisations that are closing to reflect new local system owners. In most cases, this should be carried out by the system supplier and can take place at any time following the operational creation of new organisations on the Spine. Crown Copyright 2012 Page 17 of 31
It is possible that proactive suppliers may carry this task out without being prompted when system ownership changes legally. On other cases, this work may need to be requested. 10.2 Transition requirements and responsibilities PCTs to identify the organisation assuming responsibility for all Spine enabled systems under their control in April 2013; PCTs and receiving organisations to include endpoint migration in their local informatics transition plan; PCTs to engage with suppliers to ensure they are aware of system ownership changes and plan migration to the new owner. 10.3 Further information Deployment Issue Resolution (DIR) Team cfh.dir@nhs.net DIR pages: http://nww.connectingforhealth.nhs.uk/deployment/dir 11 Choose and Book Overview In July 2012, Ailsa Claire, the then Senior Responsible Owner (SRO) for Choose and Book wrote to SHA Chief Executives outlining action required to support the service through the transition period 5. At a high level, there are three components to this work: 1. Staff role profiles: copying Choose and Book staff role profiles from PCTs to the relevant responsible organisation(s) in the new commissioning architecture; 2. Commissioning rules: copying commissioning rules from PCTs to the relevant successor CCG(s); 3. Directory of Services (DoS): where services are still present on a PCT DoS, ensuring that these are either migrated to a new organisational home, or closed if they are no longer required. The copying of staff role profiles is a dependency for the migration of commissioning rules, so this needs to be undertaken as a priority once new organisations exist on the Spine. It is assumed that decisions on roles and responsibilities for the local management functions of Choose and Book from April 2013 will be made by shadow CCG in consultation with PCTs, and this will feed into a local informatics transition plans. Similarly, lead responsibility for managing role profile migration will depend on local conditions and the maturity of new organisational arrangements. To provide maximum flexibility, SHAs will be set as the RA parent for new organisations such 5 See Related Documents Section Crown Copyright 2012 Page 18 of 31
as CCGs, CSUs and components of the NHS CB. This will enable RA roles to be seeded into the local organisation that will be managing role migration. The migration of GP or dental practice services from a PCT DoS to the practices own DoS is a critical dependency for re-parenting practices on the Spine. Transition requirements and responsibilities 1. SHAs must assign a facilitator to support local Choose and Book migration and provide coordination, reporting progress to the national NHS CFH Choose and Book transition team; 2. CCGs in consultation with PCTs must identify the destination organisations for Choose and Book staff roles and commissioning rules; 3. CCGs / PCTs must work with SHA RA managers to ensure that the necessary RA roles are seeded into the correct organisations to manage local role profile migration; 4. PCTs must identify services on their DoS that that need to be closed; identification is required by the end of October 2012; 5. PCTs must ensure that services on the PCT DoS located at a GP/branch or dental practice code are migrated to the GP / dental practices own DoS. 6. PCTs must ensure that services on the PCT DoS that will not be migrated to a CCG or other receiving organisation are closed by April 2013. This can be done by end-dating and transitioning the service within the Choose and Book application, patient pathways and movements must be factored in; 7. PCTs must work with SHA cluster leads and the national NHS CFH Choose and Book Team to manage the migration of the DoS and commissioning rules to the receiving organisations; 8. Choose and Book managers must ensure that RA staff migrating Choose and Book role profiles are aware of any PCT roles that need to remain open beyond the end of March 2013 to support patients referred under services that are closing. Further information Choose and Book reorganisation pages - http://www.chooseandbook.nhs.uk/staff/bau/bautasks/reorg Pre-transition guidance for RA managers:http://nww.connectingforhealth.nhs.uk/iim/documents/cab.pdf (requires N3 / nww access) Crown Copyright 2012 Page 19 of 31
12 NHSmail -Transfer of Administrative Responsibilities 12.1 Overview Administration of NHSmail is carried out by SHAs and PCTs both for themselves and for a variety of local organisations. Within each responsible organisation a Local Organisation Administrator (LOA) manages the system on behalf of all client organisations. Administrative responsibilities for NHSmail from April 2013 have not yet been finalised. However, once organisational responsibilities have been decided, new organisations will need to work with the NHSmail team to establish their LOA function. It is anticipated that these new arrangements will be finalised in November 2012 and that new organisations will be represented in the NHSmail system from January 2013. Although NHSmail is subject to a re-procurement exercise, it is expected that the current systems will remain in place until mid 2013. 12.2 Transition requirements and responsibilities NHS CB and CCGs to identify local organisation who will be responsible for the administration of NHSmail from April 2013 and ensure that appropriate support is commissioned; SHAs to nominate a transition lead with specific responsibility for NHSmail migration that can assist new organisations set up their LOA function. 12.3 Further information NHSmail and NHSmail2 pages: http://www.connectingforhealth.nhs.uk/systemsandservices/nhsmail NHSmail contact address: feedback@nhs.net 13 NHSmail migration of existing users 13.1 Overview As part of transition, NHSmail accounts will need to be migrated in line with staff movements to new organisations. This can be carried out by existing organisations once a new administrative hierarchy has been agreed and LOA arrangements are in place for new organisations. Depending on local arrangements, the following processes may be used to migrate accounts: Starters and leavers process (small volumes) the LOA for the sending organisation marks staff as leavers and the LOA for the receiving organisation picks them up as joiners ; NHSmail Connector (bulk process) this can only be used if the organisations concerned have an NHSmail Connector. Crown Copyright 2012 Page 20 of 31
New organisations that require NHSmail, those taking over LOA responsibilities or needing to set up accounts for new starters should contact the NHSmail team for information and support. Current plans are for new organisations to be available in NHSmail from January 2013. The central NHSmail team will coordinate communications and advice to support those managing local migrations. 13.2 Transition requirements and responsibilities SHA to nominate a transition lead with specific responsibility for NHSmail migration; Sending and receiving organisations to agree a local migration plan for NHSmail. 13.3 Further Information NHSmail contact information - http://www.connectingforhealth.nhs.uk/systemsandservices/nhsmail/contact Contact details for NHSmail: feedback@nhs.net 14 N3 Overview N3 is a prerequisite for access to many national applications including Spine services. In order to maintain operational continuity through transition, N3 connectivity must be maintained for those systems reliant on it. Ownership of existing N3 connections must be migrated to the new owning organisation at the earliest possible opportunity and organisations which currently do not have N3 connectivity will need to order a new service. New organisations (NHS and non-nhs) which expect to inherit an existing N3 service must notify the N3 team of the 6 digit Service Identification Number (SIN) together with the name and ODS code of the inheriting organisation. In addition, an Expression of Interest form, available from the N3 website, must be completed. This will trigger an N3 Access Agreement for the new N3 customer. The existing N3 connection will then be migrated to the new organisation. Any new organisations which are planning to operate N3 dependent systems, but who will not be inheriting an existing N3 service, must ensure that an N3 or Community of Interest (CoIN) connection is in place by April 2013. The process is outlined above, an Expression of Interest form, available from the N3 website, must be completed which will trigger an N3 Access Agreement for the new N3 Customer. Information Governance must also be in place before an N3 service can be ordered, please refer to the Information Governance section (above) for more details. Non-NHS organisations which are taking responsibility for functions that require access to N3 dependent systems (e.g. Local Authority Public Health Teams) will also need to set up their N3 connection in advance of transition. As detailed above, the organisation must obtain an N3 Access Agreement and complete Information Crown Copyright 2012 Page 21 of 31
Governance accreditation (IGSoC) prior to the commissioning of the N3 connection. Depending on the type of service required and supplier lead times, this process can take several months. Please note: All statutory organisations which are either ordering a new N3 connection or inheriting an existing N3 service will need to complete the IG Toolkit or IG Statement of Compliance (IGSoC) process to provide assurance that they meet minimum IG requirements. The funding model for N3 will remain the same through the transition period and any change will only take place when the service is superseded by N4, although the planning for this is still at an early stage. Transition requirements and responsibilities 1. SHAs / PCTs must identify organisations that will take ownership of N3 connections (including N3 CoINs) after April 2013 and work with receiving organisations to manage the transfer of responsibility; 2. New organisations inheriting ownership of existing N3 connections must ensure they notify N3 of the SIN of the existing service SIN, have an N3 Access Agreement in place and have completed the IG Toolkit (or IGSoC as necessary) by April 2013. 3. New organisations requiring new N3 connections must ensure they obtain an N3 Access Agreement and have completed IG Toolkit or IGSoC before April 2013. Planning these activities must leave enough time for delivery of the new connection. During N3SP registration, primary and secondary contacts will need to be identified for the N3 customer management web portal (N3 CRM). Further information N3 www.n3.nhs.uk; Expression of Interest, Information Governance Statement of Compliance and Step-by Step guide to ordering N3 http://www.n3.nhs.uk/howdoi/orderann3service.cfm; N3 Helpdesk 0800 085 0503 IGSoC - http://www.connectingforhealth.nhs.uk/systemsandservices/infogov/igsoc; IG Toolkit - https://nww.igt.connectingforhealth.nhs.uk/; DH Health Intelligence Requirements for Local Authorities http://healthandcare.dh.gov.uk/health-intelligence/. 15 Secondary Uses Service (SUS) The Secondary Uses Service (SUS) provides critical data on which local organisations base business decisions. SUS data underpins: Healthcare planning; Crown Copyright 2012 Page 22 of 31
Commissioning; Public health; Policy development. SUS is a collaboration between NHS Connecting for Health and the existing Health and Social Care Information Centre (HSCIC). The merger of these two organisations in April 2013 is not expected to have any impact on the provision of the service. Extensive information on changes to SUS and action to be taken locally has been published on the HSCIC website at http://www.ic.nhs.uk/sus. 15.1 Transition requirements and responsibilities Existing and new organisations to review guidance on the SUS pages of the HSCIC website and plan action accordingly. New organisations that require access to SUS must contact HSCIC to arrange access to the system from April 2013. 15.2 Further information SUS pages on the HSCIC site: http://www.ic.nhs.uk/sus Guide to SUS:http://www.connectingforhealth.nhs.uk/systemsandservices/sus/referenc e/susmergguide.pdf; Contact email for HSCIC enquiries@ic.nhs.uk. 16 Unify 2 Unify2 is a reporting system provided jointly by the DH and HSCIC. The system will be able to support the new organisational structure from April 2013. New organisations taking over Unify2 reporting will need accounts and templates to be created for them and should contact the team within the DH with details of: Users that will require Unify accounts; Returns that the organisation will be submitting. 16.1 Transition requirements and responsibilities New organisation to contact DH Unify2 team and make them aware of reporting requirements. 16.2 Further information DH Unify2 team: unify2@dh.gsi.gov.uk. Crown Copyright 2012 Page 23 of 31
17 NHS Pathways (for triaging services including NHS111 and Ambulance Services) 17.1 Overview NHS Pathways is a suite of clinical assessment software for triaging phone calls from the public based on the symptoms they report when they call. Primarily it is used by NHS111, Ambulance services and NHS Walk-In Centres. The system includes a local Directory of Services (DoS) so that call handlers can refer patients on to the most appropriate service. Although the DoS has no dependency on national systems, local administrators may need to update their DoS in line with the new local organisational structure, and modify any hierarchical relationships. 17.2 Transition requirements and responsibilities NHS Pathways local administrators to update their DoS on or before 1 April 2013 18 Summary Care Record Application (SCRa) 18.1 Overview The Summary Care Record Application (SCRa) is the web-based viewer through which authorised staff can view either a patient s SCR or their demographic record held in the Personal Demographic Service (PDS). Although there is no direct impact on either the SCR or the SCRa, staff using the SCRa for specific purposes need to be aware of changes to the underlying data that may have an impact on local business processes. For example, when the re-parenting of GP practices takes place between January and March 2013 (the process of switching hierarchical relationships from PCT to CCG) anyone using the SCRa to identify the responsible commissioner, will need to be aware that this may indicate the CCG that will assume responsibility for that patient from 1 April 2013, rather than the PCT. Information to map back from CCGs to PCTs will be made widely available in advance of this process starting. 18.2 Transition requirements and responsibilities NHS CFH to make available CCG to PCT mapping information; NHS CFH programmes to issue communications to users via existing channels on the extent of changes and timescales. Crown Copyright 2012 Page 24 of 31
19 Replacement of QMAS with CQRS 19.1 Overview Quality Management and Analysis System (QMAS), the system currently used to calculate payments to GPs under the Quality & Outcomes Framework (QOF) is shutting down and will be replaced by the Calculating Quality and Reporting Service (CQRS). CQRS is being developed to support the organisational structures and commissioning arrangements being implemented as a result of the 2012 Health and Social Care Act. It will be the new system for reporting and calculating on quality services delivered by GP practices, including the QOF, nationally-commissioned enhanced services and services commissioned locally. On 2 July 2013 at 8pm all submissions to QMAS from GP System Suppliers and any manual updates or adjustments will be suspended. GP practices that have not declared achievement for QOF for 2012/13, and had their PCT/NHS Commissioning Board Local Area Team approve financial payment, on QMAS in line with local transition arrangements, by 2 July 2013 at 8pm, will have to do so manually off system from this date. It is therefore important that GP practices ensure all their achievement data is up to date before 1 April 2013 so the declaration and approval process can be completed. Further information on this will be made available closer to the financial year end. 19.2 Training GP practices will need to use CQRS for QOF and other payments. One place will be available per GP practice for CQRS training. PCT or SHA staff transitioning into a CCG, CSU or the NHS CB may either be a user of CQRS or involved in commissioning services from GP practices. Training will be available to these staff but places will be limited. CQRS training will be delivered in two separate phases. The first phase will introduce what CQRS is and what it does, while the second phase will ensure users are fully equipped in how to use the system. The first phase will be delivered via webinars and is expected to take place in February/March 2013. The second phase will be delivered in May 2013. All the training materials will also be made available as soon as the training begins to ensure those who can t attend can still become familiar with the system. 19.3 Transition requirements and responsibilities PCTs/LATs to identify the individuals responsible for approving the financial payment for QOF for 2012/2013 on QMAS. PCT/SHA/LATs/CCGs to identify staff that will require training on the new system to support commissioning arrangements, CQRS. Staff that are likely to be users of CQRS and require training should sign up for updates via the following URL: Crown Copyright 2012 Page 25 of 31
http://www.connectingforhealth.nhs.uk/systemsandservices/cqrs/regforupdates 19.4 Further information You can find out more about CQRS and why it is replacing QMAS at the following address: http://www.connectingforhealth.nhs.uk/systemsandservices/cqrs 20 Locally owned systems 20.1 Overview A number of important IT systems are provided under contracts currently held by PCTs. For example, Patient Administration Systems (PAS), local shared record systems, Child Health Information Systems (CHIS) and systems incorporating Map of Medicine (MoM). It is anticipated that local decisions will be made as to who will take responsibility for managing these contracts after April 2013. 20.2 Transition requirements and responsibilities 1. PCTs must identify who will take ownership of contracts for essential services after April 2013, and ensure this is included in local informatics transition plans; 2. PCTs must request suppliers carry out an impact analysis of systems based on ISN 0090 and all amendments currently in force. 21 Microsoft and Oracle licensing 21.1 Overview A number of enterprise-wide agreements for software have been negotiated nationally. In some cases, action will need to be taken locally to ensure that licenses are transferred from NHS organisations that will cease to exist on 31 March 2013 to new organisations and that central allocation records are kept up to date. 21.1.1 Microsoft EWA Although this agreement ceased in May 2010, the 0.5bn of licenses purchased under the scheme are available to NHS organisations for as long as they continue to work (realistically until 2018-20). The effective management of these licenses will avoid significant unnecessary cost to the NHS. The licenses are held centrally by NHS CFH and allocated to local organisations. This responsibility will pass to the new HSCIC in April 2013. Local organisations should notify NHS CFH (ewat@nhs.net) of any changes to local ownership, for example, if software is being transferred from a PCT to a CSU, as part of local transition. Crown Copyright 2012 Page 26 of 31
21.1.2 Oracle EWA The Oracle EWA purchased licenses for a fixed term; to 30 June 2014. The software should not be used after this date unless local organisations purchase their own licence. The Government Procurement Service (GPS) has negotiated a discount that applies to NHS organisations purchasing new Oracle licenses that follow on from the expiration of this agreement. However, organisations placing an order before 30 April 2013 will receive a significant additional discount. Further details are available by emailing ewat@nhs.net. 21.2 Transition requirements and responsibilities SHA and PCTs to notify NHS CFH (ewat@nhs.net) of the change of allocation of licenses locally. 21.3 Further information See http://www.connectingforhealth.nhs.uk/industry/ewa See http://nww.connectingforhealth.nhs.uk/ewa (requires N3 / nww access) 22 Summary of organisational responsibilities 22.1 SHAs / SHA clusters SHAs are responsible for the overall transition of local informatics functions to new organisational arrangements in April 2013. With respect to the transition of national systems, this involves: Assigning a lead(s) with responsibility for coordinating the migration of: o RA; o NHS Smart Cards; o Choose and Book; o NHSmail; o SHA HQ site N3 connections; Developing SHA / Cluster informatics transition plan covering transition of national and local systems; Ensuring PCTs / Clusters develop local informatics transition plans; Ensuring the above plans are executed. 22.2 PCTs / PCT Clusters Develop local informatics transition plans in collaboration with receiving organisations (NHS CB, CSUs, CCGs) including migration plans for: o RA o NHS Smart Cards o Spine Endpoints o Choose and Book Crown Copyright 2012 Page 27 of 31