NHS Digital Data Sharing Remote Audit: NHS Bedfordshire, Luton and Milton Keynes Integrated Care Board

Purpose

This report records the key findings of a remote data sharing audit of NHS Bedfordshire, Luton and Milton Keynes Integrated Care Board (ICB) between 3 and 7 October 2022. It provides an evaluation of how the ICB conforms to the requirements of both:

• the data sharing framework contract (DSFC) CON-433692-X1V5Y-v2.01
• the data sharing agreement (DSA) DARS-NIC-422183-C3K9L-v4.2

 This DSA covers the provision of the following datasets:

The Controller is the ICB, although the DSA still refers to Clinical Commissioning Groups (CCGs). There are numerous Processors declared in the DSA. However, as this audit was focused on sub-licencing activities, only the following Processors were interviewed as part of the audit: NHS Arden and Greater East Midlands Commissioning Support Unit (CSU) and Hertfordshire, Bedfordshire and Luton Information Technology (HBL ICT). HBL ICT is undeclared in the DSA. Microsoft Limited is also declared as a Processor who provides cloud storage.

The DSA allows the ICB to share data it receives from NHS Digital via a sub-licencing approach with Integrated Care System (ICS) partners. All data sharing is restricted to ICS members within the area the ICB is part of and only for the sole purpose of commissioning.

The ICB needs to share this data to provide intelligence to support the commissioning of health services. The data is also analysed so that health care provision can be planned to support the needs of the population within the ICB area.

Access to the data for the ICS partners is via the CSU’s Business Intelligence Tools: GEMIMA and the Data Management Environment.

This report also considers whether the ICB and its Processors 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

The ICB and the CSU have reviewed this report and confirmed that it is accurate. 

Data recipient’s action plan

The ICB and the CSU 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 the ICB and the CSU to confirm the findings have been satisfactorily addressed. The post audit review will also consider the outstanding evidence at which point the Audit Team may raise further findings.

The following tables identify the 7 agreement nonconformities, 1 organisation nonconformity, 1 observation, 4 opportunities for improvement and 6 points for follow-up raised as part of the audit.

Use of data

The ICB confirmed that the datasets were only being processed and used for the purposes defined in the DSA and were only being linked with those datasets explicitly allowed in the DSA.

Data location

The ICB, the CSU and HBL ICT confirmed that processing and storage locations, including disaster recovery and backups, of the datasets were limited to the locations shown in the following table. These locations conform with the territory of use defined in section 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 areas of good practice:

• the ICB has engaged with General Practitioner (GP) Data Protection Officers early to inform and share the requirements in the DSA 
• the CSU is certified to Cyber Essential Plus.

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.