NHS England Data Sharing Remote Audit: University of Sheffield

Purpose

This report records the key findings of a remote data sharing audit of the School of Health and Related Research (ScHARR) at the University of Sheffield (UoS) between 14 and 22 November 2022. It provides an evaluation of how ScHARR conforms to the requirements of both:

• the data sharing framework contract (DSFC) CON-313198-X4C5P-v2.0
• the data sharing agreement (DSA) DARS-NIC-377644-X9J4P-v1.2

This DSA covers the provision of the following datasets:

The UoS is the Controller.

The Pandemic Respiratory Infection Emergency System Triage (PRIEST) study is a National Institute for Health Research (NIHR) funded project aimed at evaluating and optimising the triage of people using the emergency care system (111 and 999 calls, ambulance conveyance, or hospital emergency department) with suspected respiratory infections during the COVID-19 pandemic. In March 2020, the PRIEST study began recruiting patients with suspected COVID-19 attending Emergency Departments at participating NHS Trusts.

In this project, the research team analysed data from emergency department and pre-hospital assessment (by 111 and the ambulance service) and produced a risk-stratification tool to aid decision-making on whether patients should attend hospital, require hospital admission or be referred for high dependency or intensive care.

Historic GPES Data for Pandemic Planning and Research (GDPPR) data, HES data and demographic data was used to obtain more complete information for patients in the cohort on their premorbid status, particularly those with pre-existing medical conditions and routine medication use. These datasets provide information on potential risk factors for deterioration in COVID 19 and other acute respiratory illnesses which may not be comprehensively collected or recorded in an emergency treatment setting.

This report also considers whether ScHARR conforms to its 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 Data Sharing Remote Audit Guide version 1.

Audit type and scope

Data recipient’s acceptance statement

ScHARR has reviewed this report and confirmed that it is accurate. 

Data recipient’s action plan

ScHARR will establish a corrective action plan to address each finding shown in the findings table below. The Audit Team will validate this plan and the resultant actions at a post audit review with ScHARR to confirm the findings have been satisfactorily addressed.

The following table identifies the 1 agreement nonconformities, 1 organisation nonconformity and 1 opportunity for improvement raised as part of the audit. 

Use of data

The UoS 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 UoS confirmed that processing and storage locations, including disaster recovery and backups, of the datasets were limited to the location 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 area of good practice:

• the value of the data supplied under this DSA was demonstrated through the projects they have undertaken with NHS organisations
• a number of changes to working practice made following previous data sharing audits continue to be maintained.

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 England has prepared this audit report for its own purposes. As a result, NHS England 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 England 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.