Electronic Prescription Service Release 2
Registration Authority – Smartcard Provision and support
Release: / DraftDate: / 5th June 2013
Author: / Wendy Lawrence
Client: / Barnsley CCG
Bassetlaw CCG
Doncaster CCG
Rotherham CCG
Sheffield CCG
Version: / 1.0
1.0 Revision History
Date of this revision: 5th November 2013
Revision date / Summary of Changes / Version / Changes marked05/06/2013 / First draft / 0.1
11/06/2013 / Added document history; amended document for SY&B;
Updated sponsorship process;
Updated contact details
Added UIM and revised RBAC procedures. / 0.2
05/07/2013 / Added Section Numbers and amended typing errors.
Sponsorship diagram amended.
Further guidance narrative added
Amendments to wording
Contact details updated
Reference to UIM added
Letter amended to NHS England policy
Removed references to employees and photocopying of documentation. / 0.3 / Section 6.0
Section 7.0
Section 7.2
Section 7.3
Section 7.4
Appendix 1
Appendix 2
23/07/2013 / Paragraph and diagram amended to reflect agreed process
Smartcard Appointments moved to Appendix 2
Section 7 renumbered
Appendix 2 changed to Appendix 3 / 0.4 / Section 6.0
Section 7.1
Section 7
Appendix 2
05/11/2013 / Last paragraph amended to reflect process
Amendments to wording
Amendments to reflect process
Amended to reflect correct reference
New letter inserted
Added RA Access codes guidance / 1.0 / Section 4
Section 5
Section 6
Section 7.2
Section 9
Appendix 4
2.0 Distribution
This document has been distributed to:
Group/CCG / Date of Issue / VersionEPS Steering Group (NHS England – South Yorkshire and Bassetlaw region) / 11/06/2013 / 0.1
Victoria Lindon (NHS England) / 21/06/2013 / 0.2
Victoria Lindon (NHS England) / 08/07/2013 / 0.3
Victoria Lindon (NHS England) / 09/09/2013 / 0.4
Victoria Lindon (NHS England) / 05/11/2013 / 1.0
3.0 Document publication
This document will be published on the CSU website once fully approved and the link will be placed in the document here.
CONTENTS
1.0 Revision History 1
2.0 Distribution 2
3.0 Document publication 2
4.0 Purpose 4
5.0 Governance 4
6.0 Sponsorship 6
7.0 Obtaining a Smartcard 7
7.1 At the time of registration and smartcard issue 7
7.2 Lost, Stolen and Forgotten Smart Cards 7
7.3 Leavers and Smart Card Revocation 8
7.4 Registration Authority Sponsor Training 8
Appendix 1 - Smartcard Appointments 9
Appendix 2 - Acceptable Personal Identification Documents 10
Appendix 3 - RA Access Codes 12
4.0 Purpose
In Release 2 of the Electronic Prescription Services (EPS), dispensing contractors will have access to a part of the NHS Care Records Service (NHS CRS) known as the Personal Demographics Service. Therefore, dispensing contractors and their staff will be required to adopt the same ‘single card’ access model as all other staff accessing parts of the NHS CRS.
Due to organisational change within the NHS this document describes the approach to support pharmacies with Registration Authority Smartcards. NHS CRS Smartcard registration will be undertaken by West and South Yorkshire and Bassetlaw Commissioning Support Unit (WSYB CSU).
The Registration Authority will ensure that, where needed, all the appropriate identity checks are performed, and that the terms and conditions of NHS CRS Smartcard use are understood and acknowledged.
All Pharmacy staff registering for an NHS CRS Smartcard will have to go through the full registration process which includes identity checks that satisfy government standard ‘e-GIF Level 3’. This means providing at least three forms of ID (photo and non-photo), including proof of address and attending a face-to-face meeting with the WSYB CSU Registration Authority or contracted Registration Authority services (The Rotherham Foundation Trust).
As part of the registration process, a 'sponsor' must grant approval of appropriate access right codes so that staff have access to the NHS CRS and EPS based on their job role. Sponsors will be approved by NHS England and passed to the CSU to complete the issue/updating of cards for these individuals for which they must make an appointment with the relevant support desk.
5.0 Governance
This document has been completed by the Registration Authority of WSYB CSU.
The Smartcard model for dispensing contractors and their staff operating EPS Release 2 systems is:
1. One NHS CRS Smartcard per authorised user of the service.
2. To use an EPS Release 2 compliant system, all cardholders will accept the terms and conditions using UIM, or if in Rotherham, sign the RA01 terms and conditions (this means no Smartcard sharing and no sharing of access sessions with the NHS CRS).
3. EPS Release 2 pharmacy staff will need an appropriate user role profile (URP) registered with the NHS CRS User Directory before they can use any EPS Release 2 compliant dispensing system.
4. The NHS Registration Authority policies and procedures will ensure that pharmacy staff are issued with Smartcards and registered with the user role profile to meet the e-GIF Level 3 Government Standard.
5. All users who need access to the system such as pharmacists, pre-registration pharmacists, counter assistants, and dispensing technicians will need to be registered with an appropriate access profile as defined by the local Registration Authority.
6. Pharmacy staff will be allocated access rights dependent on their roles within the pharmacy as deemed appropriate by their sponsor. (See appendix 4)
7. All pharmacy staff will be registered with an organisation identifier that represents the ODS code of the pharmacy site where they operate the service on a regular basis.
8. The NHS Registration Authority within a commissioning support unit (CSU) and contracted service (TRFT) can only add, modify, or delete a user role profile for an organisations associated with them.
9. The only permitted exception to this model is the case of community pharmacists/dispensing technician locums who may need to legitimately work within many community pharmacies at short notice. In such cases, they will also have a user role profile registered against a generic organisation ODS code for a “locum pharmacy”. In such cases, a warning will be displayed to the user when they log on to a local pharmacy system.
10. All locum pharmacist/dispensing technicians will be registered with a locum user role profile. All pharmacist/ dispensing technicians with a locum user role profile will be able to work with any EPS Release 2 compliant system connected to the service.
11. With sponsor authorisation the NHS Registration Authority within any CSU will be able to create a user role for a “locum” pharmacist/ dispensing technician.
12. If a user does not have a user profile for the site they are in or the locum pharmacy profile they will not be able to use the service.
13. In Release 2 of the Electronic Prescription Service, dispensing contractors will have access to a part of the NHS Care Records Service known as the Personal Demographics Service. If a user attempts to access a record in the PDS that has previously been flagged as sensitive, an alert will be generated by the service. These will be sent to the appropriate authority within the CSU for investigation.
6.0 Sponsorship
The following diagram shows the governance structure for sponsoring of pharmacy staff.
In order for an Area Manager, pharmacist, pharmacy manager or designated staff member to become a sponsor for a pharmacy they will need to inform NHS England. The pharmacy contractor, pharmacy owner, superintendent pharmacist or Pharmacy Area Manager (or equivalent) will need to agree the sponsor and contact the NHS England Area Team to request this role to be assigned.
Any changes to sponsors will need to be notified to the NHS England Area Team.
All pharmacy dispensing and other counter staff that require a Smartcard will be sponsored by the identified sponsor for that pharmacy/dispensary.
Where the pharmacy contractor does not have a Sponsor in place, the Area Team will undertake this role for pharmacy staff.
7.0 Obtaining a Smartcard
There are currently two Registration Authority systems being used within the South Yorkshire and Bassetlaw area. Rotherham are currently using the ‘Calendra’ system which require paper documentation to process access rights and issue Smartcards and the rest of South Yorkshire and Bassetlaw are using UIM (User Identity Manager) which can be done electronically. A programme of work is currently under way to move all Registration Authorities to UIM by summer 2014.
7.1 At the time of registration and smartcard issue
1. A sponsor will need to authorise the details on the RA form or create the request using UIM for an individual member of staff requiring access to EPS Release 2.
2. It is necessary for any applicant to bring identification documentation with them which meet the criteria shown in Appendix 2 - Acceptable Personal Identification Documents to verify themselves to the Registration Authority Agent.
3. Following successful record creation, a digital photograph will be taken.
4. The user will need to create a ‘PIN’ number and password during this process and will be prompted by the RA Agent.
5. The smartcard will then be created and printed for the user.
6. When the smartcard is issued to the user it will be ready for use, subject to your pharmacy IT system/infrastructure meeting compliance requirements.
An example smartcard is displayed below: -
Please note that it will take approximately 30-40 minutes for the whole process to be completed. On completion of the process, the Registration Agent would retain any RA forms for confidential and secure storage.
7.2 Lost, Stolen and Forgotten Smart Cards
As soon as it is known that a smart card has been lost or stolen you must contact the IT Service Helpdesk as soon as possible. (see Appendix 2 for contact details)
The IT Services Helpdesk will inform the RA Agent to cancel your smartcard immediately. A face-to-face meeting will then need to be arranged so that a replacement card can be issued.
7.3 Leavers and Smart Card Revocation
If a member of staff leaves the pharmacy or dispensing contractor, the pharmacy/dispenser will need to inform the Registration Authority by completing the necessary Registration Authority Form RA02 or RA03 for Rotherham or submit request via UIM as soon as possible.
7.4 Registration Authority Sponsor Training
The Registration Authority will provide sponsor training for pharmacy sponsors to ensure that they understand their role as a sponsor. A programme of sponsor training will be provided to support staff taking a sponsorship role.
Appendix 1 - Smartcard Appointments
Smartcards are produced by the Registration Authority Team. Contact one of the following IT Service desks to arrange a Smartcard appointment:
For Barnsley, Bassetlaw, Doncaster or Sheffield:
Service Desk opening times 8am - 5pm
IT Service Desk
West and South Yorkshire and Bassetlaw Commissioning Support Unit (WSYB CSU)
722 Prince of Wales Road
Darnall
Sheffield
S9 4EU
Tel: 0114 305 1030
Email:
For Rotherham please contact the RA Team
Registration Authority opening times 8am – 4:30pm
The Rotherham Foundation Trust
1st Floor, North Wing, Woodside
Rotherham
S60 2UA
Tel: 01709 426505 or 01709 426506
Fax: 01709 426511
Appointments are available from 8:30 until 15:45.
Appendix 2 - Acceptable Personal Identification Documents
Some documents are more reliable than others and only certain documents, in certain combinations, are acceptable for verification of identity.
Provision of either of these two combinations will be required to verify identification:
u two forms of photographic personal identification and one document confirming their address
u one form of photographic personal identification and two documents confirming their address.
All documents must be originals, or copies of originals certified by a solicitor.
Any reference numbers held on documents used to verify identity will be recorded.
Acceptable photographic personal identification includes:
u current UK (Channel Islands, Isle of Man or Irish) passport or EU/other nationalities passport
u passports of non-EU nationals, containing UK stamps, a visa or a UK residence permit showing the immigration status of the holder in the UK*
u a current UK (or EU/other nationalities) photo-card driving licence (providing that the person checking is confident that non-UK photo-card driving licences are bona fide)
u a national ID card and/or other valid documentation relating to immigration status and permission to work.*
Any document that is not listed above (i.e. an organisational ID card) is not acceptable.
*For further information on immigration, please refer to the Right to work checks document of the “NHS Employment Check Standards”.
What if no acceptable photographic documentation is available?
If an individual seems genuinely unable to provide any acceptable photographic personal identification, then two forms of non-photographic personal identification, and two documents confirming their address must be provided. All four documents must be from a different source.
In addition, they will need to provide a passport-sized photograph of themselves, endorsed on the back with the signature of a ‘person of standing’ in their community who has known them for at least three years. A ‘person of standing’ could be a magistrate, medical practitioner, officer of the armed forces, teacher, lecturer, lawyer, bank manager or civil servant.
The photograph should be accompanied by a signed statement from that person, indicating the period of time that the individual has been known to them. Always check that the signature on the statement matches with the one on the back of the photograph and that it contains a legible name, address and telephone number. A copy should be taken and retained on file. All copies should be signed, dated and certified by the person taking the copy. It is good practice to contact the signatory to authenticate the details of the statement.
Acceptable confirmation of address documents include:
u recent utility bill (gas, electricity or phone) or a certificate from a supplier of utilities confirming the arrangement to pay for the services on pre-payment terms (note: mobile telephone bills should not be accepted as they can be sent to different addresses). Utility bills in joint names are permissible*