Data Sharing Remote Audit: Oxford University Hospitals NHS Foundation Trust

Purpose

This report records the key findings of a remote data sharing audit of Oxford University Hospitals NHS Foundation Trust (OUHNHSFT) between 23 and 27 August 2021. It provides an evaluation of how OUHNHSFT conforms to the requirements of both:

• the data sharing framework contract (DSFC) CON-312001-X8W1Y v2.01
• the data sharing agreement (DSA) DARS-NIC-135294-P7L0F-v2.2

This DSA covers the provision of the following datasets:

The Controller is OUHNHSFT and the Processor is the Nuffield Department of Primary Care Health Sciences (NDPCHS) within the Medical Sciences Division (MSD) at the University of Oxford (UoO).

Valvular heart disease (VHD) occurs when one or more valves does not form properly before birth (congenital) or if they are damaged (acquired) during life. In the developing world, infections such as rheumatic fever are still prevalent and can cause valve damage. In the UK and other developed countries, the most common cause of VHD is degeneration over time. The OxValve-Survive study reports on the survival rates of people in the OxValve cohort, with and without VHD.

This report also considers whether OUHNHSFT and NDPCHS conform to their own policies, processes and procedures.

The interviews during the audit were conducted through video conferencing.

This is an exception report based on the criteria expressed in the NHS Digital Data Sharing Remote Audit Guide version 1.

Audit type and scope

Data recipient’s acceptance statement

OUHNHSFT and NDPCHS have reviewed this report and confirmed that it is accurate. 

Data recipient’s action plan

OUHNHSFT and NDPCHS will establish a corrective action plan to address each finding shown in the findings tables below. NHS Digital will validate this plan and the resultant actions at a post audit review with OUHNHSFT and NDPCHS to confirm the findings have been satisfactorily addressed.

The following tables identify the 2 agreement nonconformities, 1 organisation nonconformity, 3 observations, and 10 opportunities for improvement raised as part of the audit. 

Supplementary notes

Note 1.    It should be noted that no data provided by NHS Digital was being held on removable storage devices and the use of removable storage devices for confidential data is not promoted.

Use of data

NDPCHS confirmed that the dataset was only being processed and used for the purposes defined in the DSA and was only being linked with those datasets explicitly allowed in the DSA.  

Data location

OUHNHSFT confirmed that processing and storage locations, including disaster recovery and backups, of the data were limited to the locations shown in the following table.  These locations conform with the territory of use defined in clause 2c of the DSA.

Backup retention

The duration for which data may be retained on backup media is:

Good practice

During the audit, the Audit Team noted the following area of good practice:

• NDPCHS were able to clearly demonstrate the value the data supplied under this DSA has had towards researching survival rates of VHD.

The audit was based upon a sample of the data recipient’s activities, as observed by the Audit Team. The findings detailed in this audit report may not include all possible nonconformities which may exist. In addition, as the audit interviews were conducted through a video conference platform certain controls, that would normally be assessed whilst onsite, could not be witnessed.

NHS Digital has prepared this audit report for its own purposes. As a result, NHS Digital does not assume any liability to any person or organisation for any loss or damage suffered or costs incurred by it arising out of, or in connection with, this report, however such loss or damage is caused. NHS Digital does not assume liability for any loss occasioned to any person or organisation acting or refraining from acting as a result of any information contained in this report.