business classification scheme framework · 2018-10-08 · this model is a stable one, as...

©NHS Greater Glasgow and Clyde 2016

Business Classification Scheme Framework

2

DOCUMENT CONTROL SHEET: Key Information: Title:

NHS Greater Glasgow and Clyde Business Classification

Scheme

Date Published/Issued: March 2016

Date Effective From:

Version/Issue Number: 0.3

Document Type: Framework

Document Status:

Consultation: NHSGGC functional areas

Scope of Document:

Objective: Outlines NHSGGC’s Business Classification Scheme Framework

Author: NHSGGC Library Network

Owner: NHS Greater Glasgow and Clyde

Approver: Endorsement by PRSA RMP Steering Group

Approved by and Date: PRSA RMP Steering Group

Contact:

File Location:

Revision History: Version: Date: Summary of Changes: Name

: Changes Marked:

0.1 09/02/2016 Initial Draft submitted to Knowledge Services Manager

MK

0.2 12/02/2016 Amendments made post RMP group meeting held 11/02/16 Diagram 1 amended, Appendix 2 amended BCS format, and contents pages amended.

MK

0.3 15/03/2016 Amendments made in response to feedback on version 2 from Alistair Tough received 03/03/16 Added L3 term “Fleet Management” Added L3 term “Archive Services”

SH

0.3 17/03/2016 Reference to eESS as a L3 Term under HR changed to “HR System” The term CEDAR removed from eFinancials

MK

3

Contents

INTRODUCTION 4

WHAT IS A BUSINESS CLASSIFICATION SCHEME? 4

WHY DOES NHSGGC NEED A BUSINESS CLASSIFICATION SCHEME? 4

WHAT IS THE BUSINESS CLASSIFICATION SCHEME USED FOR? 5

CHANGING AND DEVELOPING THE BUSINESS CLASSIFICATION SCHEME 6

NHS GREATER GLASGOW AND CLYDE BUSINESS CLASSIFICATION SCHEME 8

Communication & Engagement 8

Estates, Facilities & Capital Services 11

eHealth 13

Clinical Support Services 15

Human Resources (HR) 17

Financial Management 20

Governance 23

APPENDIX 1 – BCS TREE 30

APPENDIX 2- NEXT STEPS 36

4

Introduction

NHS Greater Glasgow and Clyde (NHSGGC) is committed to ensuring that good records management is practiced throughout the organisation, and an important aspect of this is the development and implementation of appropriate records management tools and guidance. One such tool is the Business Classification Scheme (BCS). The BCS is the keystone of the records management function within NHSGGC, and has been developed in line with ISO 15489, the international standard on records management. The BCS aims to provide a framework for managing NHSGGC records and information, and has been developed in partnership with the NHSGGC Public Records (Scotland) Act Records Management Plan Steering Group of senior managers, and nominated experts in the organisation’s functions, to ensure that it meets specific operational requirements. The BCS will continue to be developed in order to ensure that changes to the way NHSGGC works and changes in the way services are delivered are reflected in the way we organise records and information. In particular, gaps in its current functions notably relating to health/patient-centred functions will be filled as early as possible, and a brief ‘next steps’ and implementation plan to support this is appended to the current scheme.

What is a Business Classification Scheme?

A BCS is a conceptual model of an organisation, and should provide a full representation of the business of an organisation (which is not necessarily the same as its organisational structure). There are a number of potential models, but NHSGGC has followed the functional model used by NHS National Services Scotland and NHS Fife. This model is a stable one, as organisational functions change much less readily than organisational structures, and is thus better suited to enable us to meet required records and information management outcomes, providing a framework to effectively manage and control NHSGGC’s information.

Why does NHSGGC need a business classification scheme?

The BCS enables the effective management of records and information throughout NHSGGC. It is essential that NHSGGC properly manages its records and information in order for the organisation to comply with legislation such as the Data Protection Act 1998, Freedom of Information (Scotland) Act 2000 and Public Records (Scotland) Act 2011. The NHSGGC BCS has been developed in line with information management standards including the International Records Management Standard ISO 15489, and

5

has drawn upon the experiences of those who have created business classification schemes for other organisations. We are indebted to Tracey Gill of NHS National Services Scotland for allowing us to reuse aspects of NSS’s BCS and associated documentation, and we have also made use of aspects of the NHS Fife BCS.

What is the Business Classification Scheme used for?

The purpose of the BCS is to provide a common approach to the documentation of the structure of a records management system, and to the relationships between records and the activities that generate them. It provides a basis for the intellectual control of records and facilitates their management and use over time. The BCS identifies business activities and/or records that are of the same category and then groups them together so the records can be managed together at a higher level rather than at individual folder level. Essentially NHSGGC records should support the organisation’s business needs so that staff can work consistently in full knowledge of the processes, decisions and actions that inform, lead to and initiate the business. The body of records should also provide credible and authoritative evidence to protect the rights of the organisation, staff, patients and anyone else affected by its activity. The records should also provide a corporate memory so that time and distance does not affect access to availability of the organisation’s knowledge resource. Finally, the records should provide evidence and information required for any possible internal or external audit. The BCS will be used as the basis for the development of divisional fileplans to ensure that all records are consistently captured and managed, regardless of medium or format. This may in many cases involve reference to specific local record management systems holding patient-identifiable records, financial data etc – the aim is not to replace such systems but to ensure that it is clear where all records can be found. The BCS identifies the functions that NHSGGC undertakes to achieve its organisational goals and strategies. This includes its governance, administration and support functions, and its delivery of health services. The BCS is arranged hierarchically – Functions at the highest levels – below this are the Activities – things we do to achieve and carry out the organisation’s functions – below this sub-activities, processes and Transactions.

6

Functions – the largest unit(s) of business process/procedure within NHSGGC; major responsibilities, managed by the organisation to fulfil its strategic goals. NHSGGC functions so far identified are:

Communication & Engagement Estates, Facilities & Capital Services

eHealth Clinical Support Services

Human Resources Financial Management Governance Further health/patient-centred functions will be identified and added to this list, and further testing of and feedback on the existing functions is being actively sought. Activity – the major pieces of work performed by the organisation to accomplish each of its functions; several activities are often associated with each function. Transaction – the smallest unit of business activity; tasks, not subject or record types. It is important to note that many functions, activities and transactions will be common to multiple departments, teams etc; i.e. records relating to staff line management will be held by almost all work areas, not only by Human Resources.

Changing and developing the Business Classification Scheme

Appendix 2 indicates the next steps to be taken to further develop the BCS, notably the addition of missing health/patient-centred functions, and the testing of all

Function

Activity

Activity

Transaction

Transaction

Transaction

Diagram 1: The Functional Approach

7

functions developed so far. A searchable online version of the BCS is being created for local use. Following this, the BCS will need to be further changed and developed to reflect changes in the way NHSGGC works and changes to the services we deliver. Reasons for requesting changes to be made to the BCS may include:

Changes to NHSGGC responsibility for function and/or activity

Change to legislation, regulation or guidelines and codes of practice or business need

Development requirement

Identified inconsistency, error or missing element Changes can only be made through a change control process that will be managed through processes to be agreed as part of the BCS implementation plan.

8

NHS Greater Glasgow and Clyde Business Classification Scheme

Function Code, Level and Heading Scope Note

01 L1 Communication & Engagement The function of managing health information and communication resources. Includes the management and monitoring of interactions with government, the public and internal audiences. Examples include the preparation of briefing material, responses to Parliamentary Questions, as well as the management of records and statistics, as well as media interactions and marketing initiatives and internal communication to all staff and trade union partners.

01 L2 Agencies The activity associated with the management of communication agencies used by NHSGGC, to design new promotional ideas, promote and advertise NHSGGC services.

01 L2 Events & Conferences The activity associated with arranging and organising conferences and events aimed at promoting NHSGGC Services.

01 L3 Conferences The management and co-ordination of conferences both facilitated and attended on behalf of NHSGGC.

01 L3 Administration Supporting and administration of events and conferences.

01 L2 Consultations The activity associated with the preparation, issue and consideration of external consultation papers in relation to proposed changes to services or policies of which NHSGGC is required to provide a response

01 L3 Consultation Register The registration of external consultation papers in relation to proposed changes to services or policies to which NHSGGC is required to provide a response.

01 L2 Public & Stakeholder Engagement The activity associated with establishing and managing relationships between NHSGGC internal and external stakeholders.

01 L3 Stakeholder Relationship

Activities supporting the management of relationships with stakeholders, across NHSGGC divisions; including internal and external stakeholders.

01 L3 Account Manager Transactions associated with the individual who is responsible for managing relationships with stakeholders, across NHSGGC divisions; including internal and external stakeholders.

01 L3 Board Engagement All papers and correspondence for NHSGGC Engagement Group.

01 L3 NHSGGC Divisions Information about NHSGGC Divisions services for NHSGGC Engagement Group.

9

Function Code, Level and Heading Scope Note 01 L3 Background Information Background information, reports and documentation for stakeholder relationship

management.

01 L3 Stakeholders Information and correspondence relating to stakeholder relationship, account management and needs assessments for each NHSGGC stakeholder.

01 L2 External The activity associated with establishing and managing interactions with those bodies and individuals external to NHSGGC

01 L3 Publications The publication and distribution of information in order to promote and inform. Includes the drafting, design and production of publications to be distributed externally.

01 L3 Contacts The management and monitoring of external contact details.

01 L3 Events & Campaigns The management of external events and campaigns.

01 L3 External Partnerships The management of communication with external partnerships and stakeholders.

01 L3 Groups & Committees

The management of external communication group meetings. Includes agendas, minutes and associated papers.

01 L3 MSP & Parliamentary Questions The management of and response to questions tabled in Government that relate to the activities and work of NHSGGC, to which the Minister responsible is expected to give a written or oral response.

01 L2 Image Library The activity associated with managing and organising NHSGGC images aimed at promoting the work of the organisation.

01 L3 Equipment Photographs or illustrations of equipment.

01 L3 People Photographs of staff and various staff events

01 L3 Locations Photographs or illustrations of locations.

01 L3 Events & Campaigns The images used by NHSGGC in events and campaigns.

01 L2 Internal The activity associated with establishing and managing internal communications.

01 L3 Contacts The management and monitoring of internal contact details

01 L3 Events & Campaigns The management of internal events and campaigns.

01 L3 Publications The publication and distribution of information in order to promote and inform. Includes the drafting, design and production of publications to be distributed internally.

01 L2 Media The activity associated with establishing and managing relationships between the media and NHSGGC. Includes creating and issuing media releases, organising interviews and facilitating

10

Function Code, Level and Heading Scope Note access to the media.

01 L3 Media Correspondence Letters to media outlets, both for publication and not for publication.

01 L3 Policies, Procedures & Guidelines Corporate and divisional policies and procedures for responding to media queries.

01 L3 Media Releases The preparation and distribution of announcements by NHSGGC about its activities that are written in the form of a news article and given to the media to generate or encourage publicity.

01 L2 Policies & Procedures Policies and procedures relating to communication and engagement activities.

01 L2 Templates The activity associated with the process for creating and the use of NHSGGC corporate images including relevant guidelines within the authority.

01 L3 Logos Approved logos for use within NHSGGC.

01 L3 Stationery Approved stationery for use within NHSGGC.

01 L3 Templates Approved NHSGGC templates for letters, faxes, presentations and reports.

01 L2 Strategy The activity associated with the management of consistent and effective communication within NHSGGC, its people and services with external stakeholders.

11


02 L1 Estates, Facilities & Capital Services

The function of managing the buildings and facilities of NHSGGC and the provision of related services. Includes activities associated with the acquisition, operation, maintenance, allocation and disposal of premises, equipment, supplies and vehicles. Also refers to the provision of related services such as cleaning, catering and security.

02 L2 Maintenance of Property The activity associated with managing and maintaining the premises, land and working space owned or leased by NHSGGC.

02 L3 Planned Planned prevention maintenance of mechanical and electrical building systems.

02 L3 Reactive Dealing with faults and maintenance issues as they arise.

02 L3 Refurbishment Refurbishment of NHSGGC premises.

02 L2 Policies & Procedures Policies and procedures relation to estates, facilities and capital planning activities.

02 L2 Property & Land Management The activity associated with the management of NHSGGC’s land and property, including the allocation of premises, fleet management, and property strategies.

02 L3 Accessibility Documentation, reports and surveys on the accessibility of buildings.

02 L3 Soft Facilities Management All soft service facilities, including reception, catering, mail collection/delivery and domestic services.

02 L3 Building Surveys Building Surveys, site plans and copies of legal documentation and reports.

02 L3 Car Parking Information relating to Disability Discrimination Act (DDA), space allocation per site and travel planning.

02 L3 Certification Certification documents and scanned certificates relating to the NHSGGC estates.

02 L3 Property & Land Register Management and administration of the NHSGGC property register.

02 L3 Environment Management Managing the impact of NHSGGC and its business on the environment, and ensuring compliance with legislation on environmental matters.

02 L3 Estates Services Services relating to leases, rates, landlords, mechanical and electrical, building fabric and general property management and maintenance.

02 L3 Fleet Management The management of NHSGGC fleet. Includes vehicle, fuel and driver management.

02 L3 Maps & Directories Copies of maps and directories for NHSGGC properties.

02 L3 Transactions & Audits Documentation of Property Transaction Audits carried out by external/internal auditors.

02 L3 Security Security across the estate including security guards, security breaches and CCTV.

12


02 L3 Service Level Agreements (SLAs) All correspondence relating to agreed Service Level Agreements for estate with each division.

02 L3 Statistics Analysis and statistical documentation relating to NHSGGC estate.

02 L3 Utilities Cost, usage and statistics across the estate.

02 L3 Valuations & Rates Value of rates for each building across the estate.

02 L3 Waste Disposal Collecting, classifying, storing and disposing of the organisation’s waste.

02 L2 Property Development The activity associated with how NHSGGC property is developed and used.

02 L3 Benchmarking of Fit-out Costs Benchmarking statistics and reports on the cost of fit-out work for NHSGGC sites.

02 L3 Design & Construction Reference material and documentation on design and construction that relates to current and past projects.

02 L3 Projects All documentation connected with NHSGGC Estates & Facilities projects.

02 L3 Property Strategy Management of master copies (and drafts) of the Property Strategy.

02 L3 Suppliers & Consultants General information and reference material of Facilities Suppliers/Consultants.

02 L2 Property Transactions The procurement and ownership of buildings and land for the purpose of carrying out the business of NHSGGC. Refers to the disposal or transfer of land or buildings owned by NHSGGC, as well the management and/or termination of lease and rental agreements. Includes the management of property owned by the Board and leased to other parties, and associated arrangements

02 L3 Acquisitions The procurement and ownership of buildings and land for the purpose of carrying out the business of NHSGGC.

02 L3 Decommissioning The preparedness to move out of a building.

02 L3 Disposal The disposal or transfer of land or buildings owned by NHSGGC, as well as the management and/or termination of lease and rental agreements. Includes demolition and sale.

02 L3 Tenants The management of lease and rental agreements for property owned by NHSGGC to other parties.

13

Function Code, Level and Heading Scope Note 03 L1 eHealth The function of ensuring consistency, resilience and reliability of key IT services required by internal

NHSGGC and external customers. Includes activities associated with the adoption of best practice resulting in quality and effectiveness of IT services and economies of scale leading to reduced cost of maintenance for existing IT assets and services.

03 L2 Groups & Committees

The activity associated with the management of Information Management/IT group meetings. Includes agendas, minutes and associated papers.

03 L3 IT Prioritisation The process of initiating and developing IT projects to meet the needs of NHSGGC.

03 L2 Development, Innovation & Programmes

The activity associated with the development and completion of new NHSGGC approved software programmes. Includes initial requirements and objectives.

03 L2 Operations The activity associated with the management and development of the information technology infrastructure, strategy and operations.

03 L3 Disposal The collection, classifying, storing and disposing of NHSGGC’s IT equipment and data.

03 L3 Fault Reporting Information pertaining to any NHSGGC IT faults reported.

03 L3 Help Desk Support Information pertaining to any IT service queries reported by staff within NHSGGC.

03 L3 Information Security Applications Security methods used in relation to NHSGGC data and software against external security threats.

03 L3 Licensing Information pertaining to software licensed to NHSGGC for use.

03 L3 Network Maintenance Information pertaining to the daily upkeep tasks on NHSGGC’s networks.

03 L3 Server Maintenance Information pertaining to the maintenance methods used within NHSGGC on the available server software.

03 L3 Spatial Data Management Information pertaining to the use of location-based data within NHSGGC. Includes maps, demographic information, records associated with addresses etc.

03 L3 Storage Storage of NHSGGC computer data.

03 L3 Web Development The work involved in developing the NHSGGC intranet and other NHSGGC related websites.

03 L3 Change Control Information pertaining to any changes made to IT products or systems by authorised staff members within NHSGGC. Includes documents relating to change requests, assessments etc.

03 L3 Configuration Management Information pertaining to any updates made to NHSGGC hardware and software.

03 L3 Data Management Information pertaining to the management of all data held by NHSGGC.

03 L3 Design & Construction Information pertaining to the infrastructure of NHSGGC IT software.

03 L3 Development Information pertaining to the development of new software within NHSGGC.

14

Function Code, Level and Heading Scope Note 03 L3 Implementation Information pertaining to the implementation of new software throughout NHSGGC.

03 L3 Integration & Interfaces Information pertaining to the sharing of data through interfaces and the integration of data and software.

03 L3 Maintenance The repairing, replacement and movement of servers and networks within NHSGGC.

03 L3 Manuals All available IT manuals relevant to NHSGGC.

03 L3 Software Licensing All contractually binding agreements for external software used by NHSGGC.

03 L2 Telecommunications Information pertaining to all internal and external telecommunications taking place within NHSGGC.

15


04 L1 Clinical Support Services The function of administering and managing the available support services provided within clinical settings throughout NHSGGC.

04 L2 Health Facilities The management of all available health facilities and places that provide healthcare within NHSGGC. Includes clinics, hospitals, GP practices etc.

04 L3 Decontamination Information pertaining to any decontamination methods used within NHSGGC whereby infectious or contagious agents are removed and destroyed.

04 L2 Information Services The activity associated with managing all information resources and sources which support the efficient running of NHSGGC.

04 L3 Data Intelligence The development and publication of definitions and standards across health and care, and provide quality assurance and clinical coding support.

04 L3 Epidemiology & Statistics The management and maintenance of datasets covering population and public health data, including information on cancer, drugs and alcohol.

04 L3 Healthcare Information The management and maintenance of datasets covering primary care, secondary care, workforce, costs data and vital statistics.

04 L3 Information Requests The management and maintenance of all information requests to NHSGGC by either internal or external persons.

04 L3 Project Management The management of all documentation associated with current or completed projects undertaken with the involvement of NHSGGC. Includes project plans, project evaluations, etc.

04 L2 Protection from Infectious & Environmental Diseases

The activity of monitoring hazards, and exposures affecting the people of NHSGGC and the impact these hazards have on people’s health. Also refers to the activity of providing expert advice on health protection issues to NHSGGC and the public

04 L3 Blood Borne Viruses & Sexually Transmitted Infections

Delivering the health protection function in the area of blood borne viruses and sexually transmitted infections.

04 L3 Environment & Health Delivering of the health protection function in areas of environment and health.

04 L3 Gastrointestinal & Zoonoses Delivering the health protection function in the area of gastrointestinal diseases and zoonoses.

04 L3 Healthcare Associated Infections & Information Control

Delivering the health protection function in the area of health care associated infections and infection control.

04 L3 Immunisation & Vaccine Preventable Diseases

Delivering the health protection function in the area of immunisation and vaccine preventable diseases.

16


04 L3 Incident & Emergency The procedures and arrangements for managing the response to health protection emergencies. Emergency covers both outbreaks of communicable disease and incidents involving non-communicable environmental hazards to public health.

04 L3 Respiratory Infections Delivering the health protection function in the area of respiratory infections.

04 L3 Overseas Delivering the health protection function in the area of travel health.

04 L2 Specialist Screening Services The activity responsible for commissioning and performance management of national screening programmes and specialist clinical screening services on behalf of NHSGGC. Also refers to the pregnancy, new-born, diabetic and cervical screening programmes.

04 L3 Screening Services Information pertaining to all available screening services for NHSGGC stakeholders.

04 L3 Service Agreements Information pertaining to any agreements made in relation to the operations behind NHSGGC screening services.

04 L3 Groups & Committees Supporting a range of screening-related policy making groups within NHSGGC.

04 L2 Transfusion Services The activity related to blood and tissue services and procedures with NHSGGC.

04 L3 Blood Information Service The delivery of IT systems and services linked to the management of blood supply.

04 L3 Clinical Services The provision of blood, plasma, cell and tissues products, associated laboratory services and specialist clinical advice in transfusion medicine.

04 L3 Quality & Regulatory The monitoring of quality standards that are specific to Transfusion Medicine, ensuring that regulatory requirements are met.

04 L3 Research & Development The progression of an agreed plan for research. Research theme groups include: Transfusion Transmitted Infection, Variant Creutzfeldt-Jakob Disease (CJD), Clinical Transfusion Medicine, Cell Therapy, Immuno-haematology, Products and Components.

04 L3 Supply Chain The provision of adequate supplies of safe, high quality and effective components for NHSGGC. Services include donor services, processing and testing and transportation of staff and materials to and from sessions, and the distribution of blood components and products.

04 L3 Tissue Services The collection, storage, processing and provision of bone and certain tissues to NHSGGC.

17


05 L1

Human Resources (HR) The function of managing all staff employed by NHSGGC. Includes activities associated with the management and monitoring of attendance, workforce planning and staffing. Also refers to activities associated with the management of staff performance, career development, grievance procedures and discipline issues.

05 L2 Management of Employees The activity of managing information relating to employee’s work history. Includes personal data, work plans and appraisals, pay rates, skills and training, leave requests and overall job performance.

05 L3 Capability Any performance issues which may arise; these issues having an effect on the employee’s ability to fulfil the terms of their contract and job role. Includes information on NHSGGC’s procedures, support measures and procedures for termination if required.

05 L3 Certificates of Sponsorship Recording the reference numbers relating to overseas-recruited staff’s certificates of sponsorship.

05 L3 Dignity at Work Recording and documenting bullying and harassment issues in the workplace. Includes any issues outside the normal workplace setting, e.g. business trips and social events and conferences relating to work.

05 L3 Disclosure Storing information relating to Disclosure Scotland and PVG forms, where required.

05 L3 HR System Documentation related to the development and management of the HR System (with the actual staff records being held on the HR system itself).

05 L3 Employee Conduct The evaluation of staff conduct and their adherence to organisational policies and procedures.

05 L3 Grievances The application of the NHSGGC grievance procedures in relation to the raising of grievances of staff.

05 L3 Job Evaluation The recording, monitoring and tracking of new posts through the Agenda for Change job evaluation process.

05 L3 Management of Attendance The recording, monitoring and tracking attendance of NHSGGC staff. Includes annual leave, special leave, maternity leave etc.

05 L3 Performance Review The evaluation of staff performance and their achievements in relation to set objectives and targets.

05 L3 Whistle Blowing Information pertaining to NHSGGC staff disclosing information publicly about NHSGGC which they view as wrong, immoral or illegal.

05 L2 Recruitment

The management and monitoring of the selection process to fill existing vacancies or newly created positions within NHSGGC. Includes the advertisement of vacancies, the handling of applications, interviews, selection and appointment.

05 L3 Honorary Contracts Recording information about persons contracted to work for NHSGGC, in some capacity, but who

18


are not being paid by NHSGGC.

05 L3 Induction Recording of attendance at induction sessions and divisional orientation sessions for new staff.

05 L3 Job Documents The creation, authorisation and storage of all job documents for NHSGGC posts. Includes the master copies of job descriptions, person specifications and adverts pertaining to a specific authorised vacancy. Also includes personal documentation received from candidates; i.e. P45, passport image etc.

05 L3 Process The development and storage of information pertaining to the recruitment process including master copy of guidance, procedures, process map etc.

05 L3 Redeployment All aspects of redeployment including correspondence, case notes, decisions and contract for all individual staff members of the Redeployment Register, along with records and spreadsheets relating to protection calculations, processes and guidance.

05 L3 Volunteers The development and storage of information for the guidance of individuals who are aligned to volunteer organisations such as armed forces volunteer reserves.

05 L3 Work Placements/Experience The storage relating to non-NHSGGC staff gaining practical work experience within NHSGGC.

05 L3 Secondment The development and storage of information pertaining to secondment including master copy of guidance, procedures, processes etc. Includes information on secondments both in and out of NHSGGC.

05 L2 Staff Governance The activity associated with corporate accountability for fair and effective management of staff. Includes the promotion and protection of staff well-being, and the establishment of appropriate preventative measures.

05 L3 Action Plans Copies of all Divisional Staff Governance action plans.

05 L3 Employee Engagement The activities associated with establishing formal employee-employer relations, through both unions and professional bodies, in order to create an agreeable and productive working environment. Includes the negotiation and formation of workplace agreements, and the handling of industrial action and disputes.

05 L3 Groups & Committees Activities associated with divisional staff governance meetings, such as agendas, minutes and papers.

05 L3 Health & Safety The management of health and safety initiatives aimed at ensuring a safe working environment.

05 L3 Occupational Health and Safety All aspects of Occupational Health and Safety including guidance and legislative changes.

19


05 L3 Occupational Health and Safety Service Level Agreements

Recording and managing the SLAs in relation to occupational health and safety within NHSGGC.

05 L3 Partnership Working The development and negotiation of workplace agreements through partnership working with staff side representations and senior management.

05 L3 Policies and Procedures NHSGGC staff policies and procedures. Includes staff guidelines.

05 L2 Terms & Conditions of Employment The activity associated with the management of staff employment terms and conditions of employment.

05 L3 Contracts Information pertaining to NHSGGC staff contracts.

05 L3 Staff Benefits Information pertaining to NHSGGC staff benefits.

05 L3 Terms & Conditions Information pertaining to staff terms and conditions of employment.

05 L2 Education, Training & Development The activity associated with the preparation and provision of training for staff, in order to encourage the development of work-related skills and knowledge. Includes the organisational and co-ordination of training courses, as well as the monitoring of attendance and evaluation. Refers to both internal and external training courses, as well as specialist training aimed at defined groups of people.

05 L3 Knowledge and Skills Framework Information pertaining to the NHS Knowledge and Skills Framework.

05 L3 Personal Development Information pertaining to NHSGGC staff’s personal development plans and objectives.

05 L3 Training Strategies & Plans The development and management of all NHSGGC training strategies and plans for staff.

05 L2 Workforce Planning The activity associated with managing and monitoring the activities and performance of staff.

05 L3 Establishment Information Examining and amending organisational structures within NHSGGC. Includes reviewing and analysing the roles and responsibilities of business units, divisions and directorates, as well as individual members of staff. Includes classification and grading of positions, and the preparation of organisational charts.

05 L3 Workforce Modernisation & Development Planning

The management and monitoring of the activities and performance of staff.

05 L3 Reporting The collection and analysis of data relating to workforce planning.

20


06 L1

Financial Management The function of managing the financial resources of NHSGGC. Includes activities associated with monitoring and operating accounts, budget allocations and submissions, and funding. Also refers to management of fixed assets, as well as the implementation of mechanisms designed to prevent fraud.

06 L2 Accounts & Reporting The activity associated with the planning and allocation of expected funding and expenditure over a defined period of time. Includes the management and monitoring of budget estimates and controls, as well as spending reviews.

06 L3 Annual Accounts The completion of the necessary supporting documents in respect of annual accounts and of the annual accounts themselves.

06 L3 Budget Reports The completion of the necessary supporting documents in respect of budget reports and of the storing of the budget reports themselves.

06 L3 Director of Finance Reports Information pertaining to the formation and storage of the Director of Finance’s annual reports.

06 L3 Financial Accounts All aspects regarding monthly reconciliations, balance sheets, reporting and other developments of the Account to Reporting Sphere.

06 L3 Financial Planning Managing the 5 year planning process, resource and allocation and annual budgeting.

06 L3 Management Accounts

Managing divisional budgets, cost centres and financial requirements such as month end information.

06 L2 Asset Management The activity associated with accounting or, managing and budgeting for fixed assets owned by the organisation. Refers to assets with an economic life greater than 12 months such as land, buildings, vehicles, equipment and technology. Includes the management and administration of organisation’s Fixed Asset Register.

06 L3 Maintaining Assets Reconciliations of Fixed Assets to the General Ledger and the calculation of capital charges and all other associated reports and advice.

06 L2 Financial Systems The activity associated with the management and system administration of NHSGGC’s financial systems.

21


06 L3 Expenses Management and systems administration for the NHSGGC expenses system.

06 L3 eFinancials Management and systems administration for the eFinancials system.

06 L3 Payroll Management and systems administration for the NHSGGC payroll system.

06 L3 SSTS Management and system administration of the Scottish Standard Time System (SSTS) for NHSGGC.

06 L3 Other financial systems Management and systems administration of other NHSGGC financial systems.

06 L2 Financial Transactions Management The activity associated with the management of NHSGGC’s and 3rd party customers’ finances.

06 L3 Accounts Receivable Management of external customers and invoices of income.

06 L3 Authorised Signatories Management of NHSGGC and 3rd party authorised signatories for payments, invoices etc.

06 L3 Benchmarking NHSGGC’s methods to install best practice with regards to financial transactions and management.

06 L3 Endowment The financial management of any endowments donated to NHSGGC.

06 L3 Patient Funds The management of patients’ personal funds.

06 L3 Treasury Managing bank accounts, and issuing payment, BACS and CHAPS.

06 L2 Fraud Prevention The activity associated with the identification and reporting of fraud against NHSGGC. Includes the establishment of internal controls to prevent the occurrence of fraud, as well as the identification and assessment of risks and the implementation of appropriate preventative measures.

06 L3 Fraud Prevention The identification and reporting of fraud against NHSGGC.

06 L3 Investigations Divisional management of investigations into fraudulent activities.

06 L3 Procedures Procedures and guidance for the prevention of fraudulent activities.

06 L2 Payroll & Pensions The activity associated with the administration of employee salaries and wages. Includes rates of pay, overtime, and deductions, as well as the management of employee information regarding the payment of salaries and wages.

06 L3 Pay Payment and administering pay.

06 L3 Pensions Stored information about pensions.

06 L3 Salary Sacrifice The administration and management of all information relating to salary sacrifice. Include documentation of agreements between NHSGGC as employer and NHSGGC staff.

06 L2 Procurement The activity relating to the procurement of goods and services by NHSGGC. Includes supplier information, contracts, distribution of goods and ongoing procurement projects.

06 L3 Contracts Managing national/central/collaborative/NHSGGC contracts and the contracts register.

06 L3 Leased Cars Information pertaining to any cars leased by NHSGGC staff.

22


06 L3 Products Information pertaining to all products received through procurement within NHSGGC.

06 L3 Projects & Groups The management of projects and working groups specific to procurement.

06 L3 Reports The management of reports specific to procurement.

06 L3 Requisition Information pertaining to requisitions made within NHSGGC through the procurement system.

06 L3 Suppliers The administration and management of all suppliers used by NHSGGC.

06 L3 Tenders & Quotations The management of live and closed tender processes and associated documents.

06 L3 Contract Support Information pertaining to specific procurement contracts in use within NHSGGC and the administration of these contracts.

06 L2 Taxation The payment and management of taxes. Includes the preparation and submission of VAT returns.

06 L3 National Insurance The activity of managing National Insurance and all relevant documentation.

06 L3 PAYE (Pay As You Earn) Management of PAYE as it affects NHSGGC staff.

06 L3 VAT (Value Added Tax) All details of VAT returns and other claims for money of VAT. Includes advice and guidance on VAT matters.

23


07 L1

Governance The function of managing the medium to long-term strategies and objectives of NHSGGC. Includes activities associated with monitoring and reviewing performance, developing business plans and improving business processes. Also refers to activities associated with risk management.

07 L2 Audit and Risk The activity associated with the provision of an independent and objective opinion in relation to risk management, control and governance by measuring and evaluating the effectiveness in achieving the defined objectives. Note that clinical risk is under Clinical Governance.

07 L3 External Activities associated with external auditing of NHSGGC and its services. This is a statutory requirement to provide assurance, for example on financial statements, corporate governance and internal control.

07 L3 Internal Providing assurance activity designed to add value and improve NHSGGC operations by evaluating and improving the effectiveness of NHSGGC risk management, control and governance processes.

07 L3 Non-Clinical Risk Management Improving quality and safety in NHSGGC in areas outwith clinical care.

07 L2 Board & Formal Meetings The activity associated with the organisation of official meetings relating to the overall management of NHSGGC. Refers to Board meetings, which address a number of strategic issues and objectives. Includes the process of establishment, the appointment of members, terms of reference, as well as agendas, minutes and reports produced as a result of the meeting.

07 L3 Administration Supporting and administrating the NHSGGC Board, including communications and co-ordinating and recording NHSGGC Board meetings. Includes the management of agendas, minutes and associated papers.

07 L3 Code of Conduct Defining the underlying principles and values by which NHSGGC Board members can better understand and meet the requirements of the organisation.

07 L3 Development Administrating and co-ordinating NHSGGC Board Development.

07 L3 Formal Committees The activities associated with committees overseeing the certification of competency in quality and performance in NHSGGC.

07 L3 Members’ Appointment, Remit & Role

Appointing and defining the key roles and duties of the NHSGGC Board Members.

07 L3 Register of Interests and Hospitality The recording of activities and interests in NHSGGC Executive and Non-Executive Directors which may be interpreted as carrying a risk of bias in the conduct of the person’s NHSGGC duties. Includes

24


compliance with codes of conduct and standards act in relation to gifts, hospitality etc.

07 L3 Standing Orders The activities associated with the conduct and proceedings of meetings.

07 L2 Clinical Governance The activity associated with accountability for continuously improving the quality of NHSGGC health services and safeguarding high standards of care.

07 L3 Clinical Audit The quality improvement process that seeks to improve patient care and outcomes through systematic review of care against explicit criteria and the implementation of change.

07 L3 Clinical Effectiveness Improving effectiveness and efficiency of clinical care through the identification of both good clinical practice and desired clinical outcomes.

07 L3 Clinical Risk Management Improving the quality and safe delivery of health care by placing special emphasis on identifying circumstances that put patients at risk of harm, and acting to prevent or control those risks.

07 L3 Groups & Committees The management of clinical governance group meetings across NHSGGC divisions. Includes agendas, minutes and associated papers.

07 L3 Patient Experience Activities in relation to patient experiences of NHSGGC services.

07 L3 Patient Focus, Public Involvement The activities associated with involving patients in discussing and decisions about their care and treatment, and involving the public in how NHSGGC delivers services and develops policies and strategies.

07 L3 Patient Safety and Scottish Patients Safety Programme

Reporting, analysis, and prevention of medical error, which could lead to adverse events. Includes Scottish Patients Safety Programme.

07 L3 Policies & Procedures Providing and reviewing policies and procedures to ensure and improve quality and safety in NHSGGC.

07 L3 Research & Development Research related to improving the quality and standards of care at NHSGGC.

07 L2 Complaints & Feedback The management and monitoring of feedback received by NHSGGC.

07 L3 Complaints Handling negative feedback.

07 L3 Complaints to Ombudsman Handling negative feedback which has been submitted to the Ombudsman.

07 L3 Feedback Handling positive feedback and recommendations.

07 L3 Policies and Procedures Processes for managing feedback.

07 L3 Surveys Obtaining internal and external stakeholder views on NHSGGC.

07 L3 Service Improvement Managing the impact of stakeholder feedback on services at NHSGGC.

07 L3 Patient Advice Documents relating to independent advice, advocacy and mediation.

25


07 L3 External Assessment Reports prepared by external bodies on effectiveness of NHSGGC’s complaints system.

07 L2 Corporate and Senior Management The management and monitoring of meetings of periodic staff and senior management meetings. Includes meetings held Directorate level. Also includes the administration of the Chief Executive Office.

07 L3 Office of the Chief Executive Activities relating to the administration of the Chief Executive Office.

07 L3 Board Management Team Activities relating to the management of Board Management Team meetings.

07 L3 Health and Social Care Management Team

Activities relating to the management of Health and Social Care Management Team meetings.

07 L3 Acute Management Team Activities relating to the management of Acute Management Team meetings.

07 L3 Policies and Procedures Processes for managing meetings.

07 L2 Equality & Diversity The activity associated with managing obligations to establish and promote equality of opportunity and good community relations. Involves ensuring that the functions and policies of the organisation have due regard to person of different religious belief, political opinion, racial group, age, marital status or sexual orientation. Includes activities associated with undertaking Equality Impact Assessments, the consultation process and publication of assessment results, as well as the development and monitoring of Equality Schemes.

07 L3 Age The activities involved in complying with legislation on age equality.

07 L3 Disability The activities involved in complying with legislation on disability equality.

07 L3 Gender Reassignment The activities involved in complying with legislation on transgender equality.

07 L3 Marriage & Civil Partnership The activities involved in complying with legislation on marriage and civil partnership equality.

07 L3 Pregnancy & Maternity The activities involved in complying with legislation on pregnancy and maternity equality.

07 L3 Race The activities involved in complying with legislation on race equality.

07 L3 Religion or Belief The activities involved in complying with legislation on faith/belief equality.

07 L3 Sex The activities involved in complying with legislation on gender equality.

07 L3 Sexual Orientation The activities involved in complying with legislation on sexual orientation equality.

07 L3 Impact Assessments Recording, tracking and storage of all Equality and Diversity impact assessments undertaken within NHSGGC.

07 L3 Policies & Procedures The activities involved in providing policies and procedures to ensure compliance with legislation on equality and diversity policies and procedures.

26


07 L2 External Representation The activity associated with the management and representation of NHSGGC on external bodies or programmes.

07 L3 Government Bodies The management of NHSGGC representation on external government bodies.

07 L3 NHS Bodies The management of NHSGGC representation on various NHS Bodies.

07 L3 Non-Governmental Bodies The management of NHSGGC representation on external non-governmental bodies.

07 L3 Partnership & Agency Working The activities associated with the management of partnership and agency working with external stakeholders.

07 L2 Health & Safety The activity associated with the management of health and safety initiatives aimed at ensuring a safe working environment.

07 L3 Incident Reporting The recording and investigation of accidents, dangerous occurrences on NHSGGC premises, and reporting of reportable incidents to the enforcing authorities.

07 L3 Asbestos The control of the exposure of staff and others to asbestos in the NHSGGC’s premises or in other places affected by its operation.

07 L3 Equipment The recording of Portable Appliance Testing and Fire Fighting Equipment maintenance records.

07 L3 Fire The identification of fire hazards on NHSGGC premises, conducting risk assessments to establish the likelihood and consequences of those risks and implementing appropriate measures to eliminate the risks or to mitigate their consequences. Includes information on fire officers and muster points.

07 L3 Groups Policies relating to Facilities Management health and safety, action plans and hazards.

07 L3 Hazardous Substances The control of the exposure of staff and others to hazardous substances in NHSGGC premises or in other places affected by its operations.

07 L3 Health & Safety Inspections The conduct of Health and Safety inspections and related actions.

07 L3 Infection Control The management of the control of infections, identifying risks and implementing appropriate measures to eliminate the risks.

07 L3 Manual Handling The management of risks associated with transporting or supporting a load by hand or by bodily force.

07 L3 Risk Assessment The identification of health and safety hazards on NHSGGC premises or caused by NHSGGC operations, conducting risk assessments to establish the likelihood and consequences of those risks and implementing appropriate measure to eliminate the risk or to mitigate their consequences.

07 L3 Violence & Aggression The management and reporting of violence and aggression on NHSGGC premises or directed at

27


NHSGGC staff while at work.

07 L3 Radiation Protection The management of radiation and control of the exposure of staff and others tio it on NHSGGC premises.

07 L3 Policies & Procedures Policies and procedures relating to health and safety within NHSGGC.

07 L3 Relationship with Health and Safety Executive

Documentation relating to NHSGGC's relationship and communications with the HSE.

07 L2 Information Governance The activity associated with the management and governance of statutory requirements, standards and best practice that apply to the handling of information across NHSGGC.

07 L3 Data Protection The management of requests received from the public, in accordance with Data Protection legislation, seeking access to personal information held by NHSGGC.

07 L3 Environmental Information Regulations

The management of requests received from the public, in accordance with Environmental Information regulations.

07 L3 Freedom of Information (FOI) The management of requests received from the public, in accordance with Freedom of Information (Scotland) legislation.

07 L3 Groups & Committees The management of information governance meetings, both corporately and on a divisional basis. Includes agendas, minutes and associated papers.

07 L3 Information Security The protection of information systems against unauthorised access to or modification of information, whether in storage, processing or transit. Includes all activities relating to confidentiality.

07 L3 Policies & Procedures The policies and procedures used in relation to information handling in NHSGGC.

07 L3 Records Management Plan Managing and maintaining NHSGGC records. Includes the overall management of the business classification scheme and retention schedules, storage, and the development of long-term records management strategies and policies.

07 L3 Intellectual Property Rights Managing NHSGGC use of information in accordance with relevant legislation (including copyright).

07 L3 Information Sharing Protocols Managing the sharing of personal and health information about an individual.

07 L3 Information Commissioner Communications and documentation relating to the Information Commissioner.

07 L3 Scottish Information Commissioner Communications and documentation relating to the Scottish Information Commissioner.

07 L3 Information Quality Management of the quality of information held and shared by NHSGGC.

07 L3 Re-use of Public Information Documentation relating to compliance with the legislation on the re-use of public information.

28


07 L2 Legal Advice The activity associated with the provision and management of legal support for NHSGGC. Includes the management of Public Liability and Employer Liability Claims, as well as claims of medical negligence. Also refers to the management of other instances of legal action brought against the Board, as well as the interpretation and provision of legal advice on behalf of the Board.

07 L3 Claims The management of claims by or against NHSGGC.

07 L3 Insurance Scheme The activities associated with insurance protection for NHSGGC.

07 L3 Property The management of the legal requirements of purchasing, leasing and termination of agreements for NHSGGC properties.

07 L3 Human Resources The activities associated with human resources-related legal requirements.

07 L3 Health and Safety Eexecutive The activities associated with HSE-related legal requirements.

07 L3 Freedom of Information The activities associated with FOI-related legal requirements.

07 L3 Procurement The activities associated with Procurement-related legal requirements.

07 L3 Mental Health The activities associated with Mental Health-related legal requirements.

07 L2 Quality & Performances The activity associated with monitoring and assessing the overall performance and development of NHSGGC in relation to defined goals and objectives. Includes the review of services, processes and procedures to meet business needs, government objectives and/or community expectations as well as the implementation of initiatives aimed at maximising the performance of the organisation.

07 L3 Accreditation The certification of competency in quality and performances in NHSGGC.

07 L3 Annual Review Annual Ministerial Review of NHSGGC’s performance.

07 L3 Benchmarking The comparison of business processes with industry standards or best practice, to measure performance using specific indicators.

07 L3 Business Performance The collection and analysis of data relating to the performance of NHSGGC Divisions. Includes mid and end year reviews, annual objectives setting for divisions, and performance measures.

07 L3 Groups & Committees The administration of Quality and Performance groups across NHSGGC.

07 L3 Quality Reviews The undertaking of quality reviews against specific performance indicators.

07 L2 Strategic Planning The activity associated with planning the medium to long-term direction of the organisation. Includes the development of strategies to meet organisational goals and objectives, as well as planning for the required resources and funding.

07 L3 Business Cases Includes documentation related to identifying a need or requirement for a business or service

29


process.

07 L3 Business Continuity The management of risks to ensure that NHSGGC can continue operating under all circumstances to at least a predetermined minimum level of service.

07 L3 Strategic Planning The activities associated with the medium to long-term direction of NHSGGC. Includes the development of strategies to meet organisational goals and objectives, as well as planning for the required resources and funding.

07 L3 Corporate Plan The development and implementation of corporate plans which define the mission and objectives of NHSGGC and its various divisions, and which outlines the strategy for achieving planned outcomes within a defined time period.

07 L3 Local Delivery Plan The activities associated with how NHSGGC will deliver against the 6 directed, HEAT objectives, associated targets and performance measures.

07 L3 Service Level Agreements The activities associated with the establishment and implementation of service level agreements between NHSGGC and external agencies or bodies. Includes outlining areas partnership of responsibility, service provision and response time in relation to specific activities and processes.

07 L3 Groups & Committees The activities associated with the administration of Strategic Planning groups across NHSGGC.

07 L2 Knowledge Management The activity associated with efficient handling of information resources within NHSGGC.

07 L3 Archive Services Managing the permanent preservation of records of long-term value, enabling public access (subject to restrictions on sensitive material) and providing related services to colleagues in NHSGGC.

07 L2 Organisational Development The activity associated with systematic improvement of organisational effectiveness within NHSGGC, with focus on strategy, people and processes.

30

Appendix 1 – BCS Tree

Communication & Engagement Agencies Events & Conferences

Conferences Administration

Consultations Consultation Register

Public & Stakeholder Engagement Stakeholder Relationship Account Manager Board Engagement NHSGGC Divisions Background Information Stakeholders

External Publications Contacts Events & Campaigns External Partnerships Groups & Committees MSP & Parliamentary Questions

Image Library Equipment People Locations Events & Campaigns

Internal Contacts Events & Campaigns Publications

Media Media Correspondence Policies, Procedures & Guidelines Media Releases

Policies & Procedures Templates

Logos Stationery Templates

Strategy

Estates, Facilities & Capital Services Maintenance of Property

Planned Reactive Refurbishment

Policies & Procedures Property & Land Management

Accessibility Soft Facilities Management Building Surveys Car Parking

31

Certification Property & Land Register Environment Management Estates Services Fleet Management Maps & Directories Transactions & Audits Security Service Level Agreements (SLAs) Statistics Utilities Valuations & Rates Waste Disposal

Property Development Benchmarking of Fit-out Costs Design & Construction Projects Property Strategy Suppliers & Consultants

Property Transactions Acquisitions Decommissioning Disposal Tenants

eHealth Groups & Committees

IT Prioritisation Development, Innovation & Programmes Operations

Disposal Fault Reporting Help Desk Support Information Security Applications Licensing Network Maintenance Server Maintenance Spatial Data Management Storage Web Development Change Control Configuration Management Data Management Design & Construction Development Implementation Integration & Interfaces Maintenance Manuals Software Licensing

Telecommunications

Clinical Support Services Health Facilities

Decontamination Information Services

Data Intelligence

32

Epidemiology & Statistics Healthcare Information Information Requests Project Management

Protection from Infectious & Environmental Diseases Blood Borne Viruses & Sexually Transmitted Infections Environment & Health Gastrointestinal & Zoonoses Healthcare Associated Infections & Information Control Immunisation & Vaccine Preventable Diseases Incident & Emergency Respiratory Infections Overseas

Specialist Screening Services Screening Services Service Agreements Groups & Committees

Transfusion Services Blood Information Service Clinical Services Quality & Regulatory Research & Development Supply Chain Tissue Services

Human Resources (HR) Management of Employees

Capability Certificates of Sponsorship Dignity at Work Disclosure HR System Employee Conduct Grievances Job Evaluation Management of Attendance Performance Review Whistle Blowing

Recruitment Honorary Contracts Induction Job Documents Process Redeployment Volunteers Work Placements/Experience Secondment

Staff Governance Action Plans Employee Engagement Groups & Committees Health & Safety Occupational Health and Safety Occupational Health and Safety Service Level Agreements Partnership Working Policies and Procedures

Terms & Conditions of Employment

33

Contracts Staff Benefits Terms & Conditions

Education, Training & Development Knowledge and Skills Framework Personal Development Training Strategies & Plans

Workforce Planning Establishment Information Workforce Modernisation & Development Planning Reporting

Financial Management Accounts & Reporting

Annual Accounts Budget Reports Director of Finance Reports Financial Accounts Financial Planning Management Accounts

Asset Management Maintaining Assets

Financial Systems Expenses eFinancials Payroll SSTS Other financial systems

Financial Transactions Management Accounts Receivable Authorised Signatories Benchmarking Endowment Patient Funds Treasury

Fraud Prevention Fraud Prevention Investigations Procedures

Payroll & Pensions Pay Pensions Salary Sacrifice

Procurement Contracts Leased Cars Products Projects & Groups Reports Requisition Suppliers Tenders & Quotations Contract Support

Taxation National Insurance PAYE (Pay As You Earn) VAT (Value Added Tax)

34

Governance Audit and Risk

External Internal Non-Clinical Risk Management

Board & Formal Meetings Administration Code of Conduct Development Formal Committees Members’ Appointment, Remit & Role Register of Interests and Hospitality Standing Orders

Clinical Governance Clinical Audit Clinical Effectiveness Clinical Risk Management Groups & Committees Patient Experience Patient Focus, Public Involvement Patient Safety and Scottish Patients Safety Programme Policies & Procedures Research & Development

Complaints & Feedback Complaints Complaints to Ombudsman Feedback Policies and Procedures Surveys Service Improvement Patient Advice External Assessment

Corporate and Senior Management Office of the Chief Executive Board Management Team Health and Social Care Management Team Acute Management Team Policies and Procedures

Equality & Diversity Age Disability Gender Reassignment Marriage & Civil Partnership Pregnancy & Maternity Race Religion or Belief Sex Sexual Orientation Impact Assessments Policies & Procedures

External Representation Government Bodies NHS Bodies Non-Governmental Bodies Partnership & Agency Working

Health & Safety Incident Reporting

35

Asbestos Equipment Fire Groups Hazardous Substances Health & Safety Inspections Infection Control Manual Handling Risk Assessment Violence & Aggression Radiation Protection Policies & Procedures Relationship with Health and Safety Executive

Information Governance Data Protection Environmental Information Regulations Freedom of Information (FOI) Groups & Committees Information Security Policies & Procedures Records Management Plan Intellectual Property Rights Information Sharing Protocols Information Commissioner Scottish Information Commissioner Information Quality Re-use of Public Information

Legal Advice Claims Insurance Scheme Property Human Resources Health and Safety Eexecutive Freedom of Information Procurement Mental Health

Quality & Performances Accreditation Annual Review Benchmarking Business Performance Groups & Committees Quality Reviews

Strategic Planning Business Cases Business Continuity Strategic Planning Corporate Plan Local Delivery Plan Service Level Agreements Groups & Committees

Knowledge Management Archive Services

Organisational Development

36

Appendix 2- Next Steps

Summary next steps and implementation plan for NHSGGC BCS

A fuller development and implementation plan will be submitted by the end of March 2016 to the NHSGGC PRSA RMP Steering Group, when the current phase of the BCS project ends. These recommendations are based on literature reviews on the development and implementation of business classification schemes undertaken during this project, and on the experiences of other public sector organisations in Scotland (notably NSS). Recommendations for further development and implementation of the NHSGGC BCS:

Ensure the further development of any missing BCS components (notably health/patient-centred) functions, and accompanying scope notes, via DIRKS methodology as outlined within the NHSGGC Records Management Plan. Health-related functions as a potential starting point have been identified from the Western Australia Health Department BCS. Notably there is a need to look at actual work processes in patient-centred areas, to identify which functions and their records are not currently reflected in the BCS.

Arrange for corporate functions (and health functions as they are developed) to be tested for their usability for records management by teams within NHSGGC – suitable teams need to be identified by the RMP Steering Group if necessary (feedback and testing is being sought currently from interested teams but the process needs to be extended).

Assess the searchable online version of the BCS for usability and plan for its conversion to an alternative format if deemed appropriate (one which will be accessible via the NHSGGC intranet).

Ensure initially a general awareness-raising of the outline of BCS requirements within the context of higher-level Records Management Plan awareness and training – creating buy-in from managers and a readiness to develop and implement the BCS when it goes live.

Decide on appropriate methods to enforce adherence to the BCS (e.g. fixed folder structures, changes to permissions, regular review and benchmarking).

Agree a date for a full roll-out of the BCS once there is confidence as to the coverage of NHSGGC functions, and it has been tested by at least 2 NHSGGC teams (including at least 1 clinical team).

Decide on the process for roll-out (i.e. a single ‘new start’ day for the whole organisation or a gradual roll-out by Directorate etc) and put in place any chosen technical changes to folder structures, permissions etc.

Consider the appointment or secondment of a training manager to roll out both the usage of the BCS (e.g. understanding the concepts and searching for terms on the online version) and to support staff on technical changes (if any) to file management.

37

Identify appropriate change management ‘champions’ and NHSGGC areas which are anticipated to make significant use of the BCS. Introduce them to the BCS via workshops then oversee their cascading this to local teams via local workshops, team meetings and protected time for self-directed learning.

Create briefings, help sheets, and plans to ensure the ongoing support of users (examples of suitable materials have been obtained from NSS which can be reused). Consider the creation of self-directed online learning material using existing NHSGGC systems.

Agree a process for review of the delivered updates and training, and for continuation of the process for new staff, preferably embedding this into staff induction.

Develop a formal plan for ongoing BCS development (including a process for ad-hoc change requirements as well as an annual review of the fitness for purpose of the BCS and its associated documentation).

Develop a formal plan for review of adherence to the BCS in day to day records management – this could involve random sampling of records, team self-assessment, exercises to locate all relevant records on a topical issue.

Consider the appointment or secondment of records manager to support BCS development and usage enforcement