1 Appendix 2: GP data export and sharing agreement for Risk Stratification GP Practice Data Export and Sharing Agreement Agreement to Export and Share GP Practice Data for Risk Stratification Purposes This is a two party agreement between the named Practice and NHS Leeds to participate in the Leeds Risk Stratification project, implemented in the Leeds health community in collaboration Leeds North Clinical Commissioning Group (CCG), Leeds South & East CCG, Leeds West CCG, NHS Leeds, Leeds Community Healthcare Trust, Leeds & York Partnership Foundation Trust, Leeds Teaching Hospitals Trust and Leeds City Council Adult Social Care. Further information is available on request in a GP Practice Data Export and Sharing Agreement Definition document, which provides a detailed explanation of Risk Stratification, the processes and governance involved and the data required. Access to risk stratification data or the associated reporting system does not imply any protocol regarding the clinical duty of care. Duty of care will be made clear within each clinical setting by explicit protocols. 1 Summary of the Agreement This section is a short abstract of the GP Practice Data Export and Sharing Agreement Definition document. 1.1 Purpose Risk stratification brings together activity, diagnosis and pharmacy data from Primary, Community and Secondary Care. It shows the health status of the population and allows providers and commissioners to understand the details of their particular casemix. It can be used to quantify individuals future risk of emergency admission to hospital as well as estimating their future resource usage, thus, helping Practices and multi-disciplinary teams identify individuals who would benefit most from their services. A Primary User of the risk stratification Reporting System will use the system for clinical care purposes and generally see person-identifiable data. A Secondary User of the risk stratification Reporting System will use the system for nonclinical purposes and only see person-non-identifiable data (including pseudonymised and anonymised data). The Urgent Care Risk Stratification project is part of the wider Health and Social Care Transformation Programme, led by the three Leeds CCGs as Pathfinder GP Commissioners and supported by NHS Leeds. 1.2 Required data items The Primary Care data required by the risk stratification software and reporting tools is: 1.2.1 Patient Information GP Practice Code Forename Address Code of the patient s registered Practice
2 Appendix 2: GP data export and sharing agreement for Risk Stratification NHS Number Patient ID Sex Postcode Date of Birth Date of Death GP Usual GP Registration Status Registration Date Removed Date 1.2.2 Encounters e.g. patient visits Patient ID Encounter Date Health Care Professional Health Care Professional Type Session Location Local ID for record linkage Patient gender Patient postcode Patient date of birth Patient date of death Current GP code GP code E.g. current, removed Date of registration Date removed from list Local ID for record linkage Date of encounter ID code e.g. GP, Locum e.g. Consultation, night visit, surveillance e.g. Surgery, clinic 1.2.3 Clinical findings e.g. diagnoses and prescriptions Patient ID Event Date Health Care Professional Health Care Professional Type Recorded Date Clinical code Value 1 Value 2 2 Responsibilities Local ID for record linkage Event date ID code e.g. GP, Locum Date record recorded E.g. Read coded diagnosis Data associated with event Data associated with event 2.1 NHS Leeds responsibilities To facilitate data collection from GP electronic record management systems in partnership with the participating Practices. To follow the NHS Leeds architecture (see below) to ensure patient records are handled securely and patient confidentiality is maintained.
3 Appendix 2: GP data export and sharing agreement for Risk Stratification To provide GP Practices with risk score information for their patients, via the Reporting System, on a monthly basis for twelve months, subject to extension with the agreement of the Practice. To protect Patients identities; 1/ Ensuring all patient-identifiable data will be held separately from the clinical datasets within NHS Leeds secure and restricted-access data warehouse; 2/ That a pseudonym will be used when generating the risk score information; 3/ Ensuring that access to patient identifiable data within the Reporting System will only be granted on the system if the Practice approves such access rights. 2.2 Practice responsibilities To nominate a project lead to be the main contact within the Practice for the risk stratification project. This individual will be responsible for authorising which individuals can access Practice data via the Reporting System. o Note. The current working assumption is that multi-disciplinary teams will benefit from risk stratification data for patient care purposes via the associated Reporting System (Primary Users). However, each GP Practice will authorise such access rights as they deem appropriate. To allow remote access to the Practice system to enable the extract queries to be loaded, run and the results extracted by two named analysts at NHS Leeds (TPP sites), or by Apollo Medical Systems (for non-tpp sites). To permit the release of patient data to NHS Leeds for the purposes of risk stratification data processing. To work with NHS Leeds Information Services to investigate any deficiencies in data quality identified by the analyses that compromise the risk stratification outputs. 2.3 Secondary users A secondary user is any authorised user within the Leeds health economy who is deemed appropriate to access non-identifiable pseudonymised or aggregated data via the Reporting System. Secondary Users will sign up to conditions of use prior to being granted access to the information source. 2.4 Information Governance All involved with the project will comply with the six core principles below, as outlined in the Caldicott report 1. Justify the purpose 2. Avoid using patient identifiable information for non-clinical purposes 3. Access to data will be strictly on a need-to-know basis 4. Only the minimum necessary data will be extracted 5. Everyone is made aware of their responsibilities 6. All participants will understand and comply with the law
4 Appendix 2: GP data export and sharing agreement for Risk Stratification Risk Stratification Project - GP Practice Data Export and Sharing Agreement Practice Name Practice Code Practice Address/Stamp Clinical system TPP SystmOne HealthySoft INPS Vision EMIS LV EMIS PCS EMIS Web isoft Synergy isoft Premiere PART A: Processing Agreement: NHS Leeds will manage the extraction, storage and processing of the data through the associated Risk Stratification tools I agree for NHS Leeds, either directly or via Apollo Medical Systems, to extract the full data set required for risk stratification to the specified timescales I agree for information to be processed through the Risk Stratification tools i.e. Risk Grouper and Reporting System. PART B: Usage Agreement: This forms the agreement for the secondary use of the risk stratification reporting system between your Practice and external organisations; which include Leeds North Clinical Commissioning Group (CCG), Leeds South & East CCG, Leeds West CCG, NHS Leeds, Leeds Community Healthcare Trust, Leeds & York Partnership Foundation Trust, Leeds Teaching Hospitals Trust and Leeds City Council Adult Social Care. Through participating in the Risk stratification programme I understand that my Practice s data will be used in an aggregated and non-personidentifiable format by the external organisations listed in the agreement; AND that it is not possible to exclude my Practice s data from the aggregation. This is classified as Secondary Use. I agree to my Practice being identified by Practice code in aggregated data IMPORTANT NOTE: Individual users requiring Primary Use access to the Reporting System for clinical care purposes will complete a separate, individual conditions of use form prior to being granted access. The request will be authorised by the relevant Practice and access granted by NHS Leeds.
5 Appendix 2: GP data export and sharing agreement for Risk Stratification PART C: Authorising officers: Each user requiring access to the named practices data must be authorised by a nominated authorising officer within the practice. Please specify at least two authorising officers for this purpose. Each officer must supply an nhs.net email address. Authorising Officer A: First name Email* @ nhs.net Authorising Officer B: First name Email* @ nhs.net Authorising Officer C: First name Email* @ nhs.net
6 Appendix 2: GP data export and sharing agreement for Risk Stratification PRACTICE To be signed by a duly authorised member of the Practice: Name Email Signature Date Signed on behalf of the Risk Stratification project for processing and reporting: Name Email Dr Thomas Mason Principal Analyst Modelling and Forecasting Thomas.Mason@nhsleeds.nhs.uk 0113 295 4306 Signature Date 14 th December 2011 Please return to Hailey Matheson H3Plus Project Support H3Plus Commissioning Group Unit 2-4, WIRA House Business Park, West Park Ring Road, Leeds, LS16 6EB Or FAX to: FAO Hailey Matheson - 0113 84354716