NICCase Manager:
DAO:
Data Access Request Service (DARS) Application
Local Authority HES extract
1. Applicant Details
Request Title:
Name of Applicant Organisation:
Contact name and details:
HSCIC Framework Contract reference:
Name(s) of Data Controller(s)
(if different from applicant):
Name(s) of Data Processor(s)
(if different from applicant):
Information Asset Owner(s) (IAO):
Local Authority Public Health Pseudonymised HES Extract Service
Local Authority to insert
Local Authority to insert
Local Authority to insert
Local Authority to insert (this would be the specific Local Authority, and
should include the address – not an individual)
Local Authority to insert (typically would be the Local Authority, and
should include the address – not an individual)
Garry Coleman
Organisation Type
CQC-Registered Health or/and Social Care Provider
Local Authority
Other Health and Social Care System Public Body
Government Agency Outside of Health and Adult Social Care
Academic Institution
Independent Sector Organisation
Individual Citizen(s)
Commercial
Other
England
/ Wales
Location of:
UK
EEA
Other
Processing
Storage
Territory of use
Please specify:
Address (including name of organisation)
Local Authority to insert
Local Authority to insert
If “Other”, please specify:
2. Summary
Reason for DAAG
Referral
Agreement
Type
New
Extension
Renewal
Amendment
Summary
(this may be
published
within the
DAAG
minutes)
Recommendation to Disseminate Data
Recommendation to Extend or Amend Existing Agreement
Advice
Explanation
Previous Agreement Ref:
A new agreement
The same data, for longer.
Additional data of the same type, possibly
for longer.
A change to an existing agreement such
as the addition of other datasets, a
changed reuse purpose or change to the
receiving organisation(s) or legal basis
Not applicable
The Hospital Episode Statistics Inpatients, Outpatients and A&E data sets contain a wealth of
information on disease incidence, prevalence, treatment and outcomes that is of significant value to the
Local Authority in supporting the effective and efficient discharge of their statutory duty and wider
responsibilities to improve and protect the health and wellbeing of the populations it serves, and reduce
health inequalities.
PHE have confirmed that while the Director of Public Health (DPH) is the lead officer responsible for the
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public health function and in most areas is directly supported by a team of public health specialists that
comprise a clearly delineated “public health team”, in some Local Authorities elements of the public
health function may be shared across other teams. For example, in some Local Authorities, the data
and intelligence staff supporting the public health function may be embedded in a cross-Local Authority
team of analysts ie: they provide an analytical service to the DPH but may not necessarily be managerial
accountable to any member of the public health team. However, as with applications from other
organisations in such circumstances, the Local Authority will have managerial and technical controls in
place to ensure that access to the HES data will be restricted to legitimate public health purposes only
as approved by the DPH and in line with this application.
The Local Authority will use the data provided by the HSCIC under this application to support and
improve:
1. the local responsiveness, effectiveness and value for money of commissioned public health
services;
2. the statutory ‘core offer’ public health advice and support provided to local NHS commissioners;
3. the specificity and relevance of the Joint Strategic Needs Assessments and Health and
Wellbeing Strategies produced in collaboration with NHS and voluntary sector partners on the
Health and Wellbeing Board;
4. the local focus, responsiveness and timeliness of health impact assessments; and, among other
benefits
5. the capability of the local public health intelligence service to undertake comparative longitudinal
analyses of patterns of and variations in:
a. the incidence and prevalence of disease and risks to public health;
b. demand for and levels of access to treatment and preventative care services;
c. variations in health outcomes between groups in the population;
d. the level of integration between local health and care services; and
e. the local associations between causal risk factors and health status and outcomes.
This application is a request for the named Local Authority to access the standard set of pseudonymised
HES data for all upper tier Local Authorities (with a Public Health function) in England, solely for the
purposes outlined below in the purpose section,
Level of data requested from HSCIC (check all that apply)
Tabulations (obeying Small Number Policy, non-sensitive, anonymised)
Tabulations (others)
Aggregated (no small number suppression)
Aggregated (with small number suppression)
Pseudonymised, non-sensitive
Pseudonymised, sensitive
Identifiable, non-sensitive
Identifiable, sensitive
ONS data
3. Datasets Held/Requested
Data requested
Dataset(s)
HES Inpatients
“Level” of data
Pseudonymised
DARS Application template v4.6 09/12/2014
Legal Basis for
Dissemination
Section 2B of
the NHS Act
2006 (as
Dataset
period
2004/05 to
current
monthly and
Data minimisation efforts
(cohort, geographical area, etc.)
Demographic information will be
replaced with derived fields eg.
date of birth will be replaced with
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HES Outpatients
HES A&E
Pseudonymised
Pseudonymised
inserted by
Section 12 of
the Health and
Social Care Act
2012)
Section 2B of
the NHS Act
2006 (as
inserted by
Section 12 of
the Health and
Social Care Act
2012)
Section 2B of
the NHS Act
2006 (as
inserted by
Section 12 of
the Health and
Social Care Act
2012)
ongoing
age.
Data requested is national
coverage
2004/05 to
current
monthly and
ongoing
Demographic information will be
replaced with derived fields eg.
date of birth will be replaced with
age.
Data requested is national
coverage
2007/08 to
current
monthly and
ongoing
Demographic information will be
replaced with derived fields eg.
date of birth will be replaced with
age.
Data requested is national
coverage
4. Period and Funding
Ongoing for the purposes outlined within the application.
Planned Data Retention Period:
(data to be deleted at this point)
Reason for this period:
Proposed Agreement end date:
However, a maximum of ten years data will be retained at any point,
such that as each new data year is received, the oldest year will be
deleted eg. the 2004/05 data year will be deleted once the final
complete 2014/15 data year has been received.
For the purposes outlined within the application, in summary to support
the discharge of their statutory duty and wider responsibilities to
improve and protect public health, and reduce inequalities.
31st August 2016
EU/International funding
Other projects or activities, directly related to this application, which have obtained EU/International financial support in
the last five years:
Details
Evidence
Awarding Institution
Not applicable
EU/International
programme
Reference and title of
project/activity
Year of submission/award
Applicant or Partner
Other relevant (public/private) funding
Details
Evidence
As part of its national leadership role for the wider public health
system, PHE has agreed to pay the HSCIC £70,651.80 to provide
the Pseudonymised HES Extract Service free of charge to all 152
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Local Authorities for a period of one year in the first instance.
Whether PHE continues to fund this service beyond the end of this
first year will depend on the level of uptake by Local Authorities,
and on discussions with the HSCIC on the cost recovery model.
5. Purpose/Methods/Outputs
Purpose
The Data Recipient agrees to process the Data only for the following purposes agreed with the
HSCIC.
Note: this
information
may be
published by
the HSCIC
Objective for processing
The data provided by the Pseudonymised HES Extract Service will be used by the Local Authorities in
fulfillment of its public health function, specifically to support and improve:
1. the local responsiveness, targeting and value for money of commissioned public health
services;
2. the statutory ‘core offer’ public health advice and support provided to local NHS
commissioners;
3. the local specificity and relevance of the Joint Strategic Needs Assessments and Health and
Wellbeing Strategies produced in collaboration with NHS and voluntary sector partners on the
Health and Wellbeing Board;
4. the local focus, responsiveness and timeliness of health impact assessments; and, among
other benefits
5. the capability of the local public health intelligence service to undertake comparative
longitudinal analyses of patterns of and variations in:
a. the incidence and prevalence of disease and risks to public health;
b. demand for and access to treatment and preventative care services;
c. variations in health outcomes between groups in the population;
d. the level of integration between local health and care services; and
e. the local associations between causal risk factors and health status and outcomes.
The main statutory duties and wider public health responsibilities supporting these processing
objectives are as follows:
1. Statutory public health duties that the data will be used to support
a) Duty to improve public health: Analyses of the data will be used to support the duty of the
Local Authority under Section 12 of the Health and Social Care Act 2012 to take
appropriate steps to improve the health of the population, for example by providing
information and advice, services and facilities, and incentives and assistance to encourage
and enable people to lead healthier lives;
b) Duty to support Health and Wellbeing Boards: Analyses of the data will be used to support
the duty of the Local Authority and the Clinical Commissioning Group (CCG)-led Health
and Wellbeing Board under Section 194 of the 2012 Act to improve health and wellbeing,
reduce health inequalities, and promote the integration of health and care services; the
data will also be used to support the statutory duty of Health and Wellbeing Boards under
Section 206 of the 2012 Act to undertake Pharmaceutical Needs Assessments;
c) Duty to produce Joint Strategic Needs Assessments (JSNAs) and Joint Health and
Wellbeing Strategies (JHWBs): Analyses of the data will be used to support the duty of the
Local Authority under Sections 192 and 193 of the 2012 Act to consult on and publish
JSNAs and JHWSs that assess the current and future health and wellbeing needs of the
local population;
d) Duty to commission specific public health services: Analyses of the data will be used to
support the Local Authority to discharge its duty under the Local Authorities Regulations
2013 to plan and provide NHS Health Check assessments, the National Child
Measurement Programme, and open access sexual health services;
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e) Duty to provide public health advice to NHS commissioners: Analyses of the data will be
used by Local Authorities to discharge its duty under the 2013 Regulations to provide a
public health advice service to NHS commissioners;
f) Duty to publish an annual public health report: Analyses of the data will be used by
Directors of Public Health to support their duty to prepare and publish an annual report on
the health of the local population under Section 31 the 2012 Act;
g) Duty to provide a public health response to licensing applications: Analyses of the data will
be used by the Director of Public Health to support their duty under Section 30 of the 2012
Act to provide the Local Authority’s public health response (as the responsible authority
under the Licensing Act 2003) to licensing applications.
2. Wider public health responsibilities supported by analysis of the data
a) Health impact assessments and equity audits: Analyses of the data will be used to assess
the potential impacts on health and the wider social economic and environmental
determinants of health of Local Authority strategic plans, policies and services;
b) Local health profiles: Analyses of the data will be used to support the production of locallycommissioned health profiles to improve understand of the health priorities of local areas
and guide strategic commissioning plans by focusing, for example, on:
i. bespoke local geographies (based on the non-standard aggregation of LSOAs);
ii. specific demographic, geographic, ethnic and socio-economic groups in the
population;
iii. inequalities in health status, access to treatment and treatment outcomes;
c) Surveillance of trends in health status and health outcomes: Analyses of the data will be
used for the longitudinal monitoring of trends in the incidence, prevalence, treatment and
outcomes for a wide range of diseases and other risks to public health;
d) Responsive and timely local health intelligence service: Analyses of the data will be used
to respond to ad hoc internal and external requests for information and intelligence on the
health status and outcomes of the local population generated and received by the Director
of Public Health and their team.
These lists of the statutory duties and wider public health responsibilities of the Local Authority are not
exhaustive but set the broad parameters for how the data will be used by the Local Authority to help
improve and protect public health, and reduce health inequalities. All such use would be in fulfillment of
the public health function of the Local Authority.
No sensitive data is requested under this application. The data provided would include derived
demographic and geographic fields, the standard non-sensitive HES diagnostic and operative fields,
and a common (across all Local Authorities) pseudoHESID to enable admissions to be linked over
time.
Processing activities
The Pseudonymised HES Extract Service will enable the Local Authority to undertake a wide range of
locally-determined and locally-specific analyses to support the effective and efficient discharge of its
statutory duties in relation to health, and wider public health responsibilities.
Access to the data is provided to the Local Authority only, and will only be used for the health purposes
outlined above. The data will only be processed by Local Authority employees in fulfillment of their
public health function, and will not be transferred or otherwise made available to any third party,
including Commissioning Support Units, Data Services for Commissioners Regional Offices, any
organisation for the purposes of health research, or any Business Intelligence company providing
analysis and intelligence services (whether under formal contract or not) to / or on behalf of the Local
Authority.
{If applicable, the individual Local Authority will detail here any alternative processing arrangements
that do not conform to the “standard” model of an internally provided Local Authority public health
function, for example, any outsourced shared data and intelligence services arrangements.}
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The Local Authority will use the data to produce a range of quantitative measures (counts, crude and
standardised rates and ratios) that will form the basis for a range of statistical analyses of the fields
contained in the supplied data. Typical uses will include:
1. Analyses of disease incidence, prevalence and trends: The age, sex, LSOA, ethnic group,
Indices of Deprivation and diagnosis fields typically will be used to produce directly
standardised coronary heart disease admission rates for the Local Authority, and for
appropriate benchmark and comparator areas. Confidence intervals will then be produced for
these rates, and the rates analysed using statistical process control methods, to determine
whether there are any significant variations in the prevalence of heart disease with the Local
Authority. The data will also be used to analyse changes over time in the prevalence of heart
disease. The results of these analyses will then be used to inform the production of local health
profiles, JSNAs and JHWSs; support the ‘core offer’ public health advice provided by the
Director of Public Health to NHS commissioners; and advise any enquiries into health
inequalities requested by the Health and Wellbeing Board.
2. Analyses of hospital admission rates: The data will also be used, for example, to produce
comparative and longitudinal hospital admission rates among children and young people,
particularly for injury and self-harm, to support the overarching responsibility of the Local
Authority to safeguard and promote the health and welfare of all children and young people
under the 1989 and 2004 Children Acts. Statistics based on these analyses will be used by the
Director of Public Health to advise the Director of Children’s Services and Lead Member for
Children’s Services, and inform and guide the provision of safeguarding services by the Local
Authority.
Conditions of supply and controls on use
In addition to those outlined elsewhere within this application, the Local Authorities will:
1. only use the HES data for the purposes as outlined in this agreement;
2. comply with the requirements of the HSCIC Code of Practice on Confidential Information, the
Caldicott Principles and other relevant statutory requirements and guidance to protect
confidentiality;
3. not attempt any record-level linkage of HES data with other data sets held by the Local
Authority, or attempt to identify any individuals from the HES data;
4. not transfer and disseminate record-level HES data to anyone outside the Local Authority;
5. not publish the results of any analyses of the HES data unless safely de-identified in line with
the anonymisation standard; and
6. comply with the guidelines set out in the HES Analysis Guide;
7. implement role-based control access to manage access to the HES data within the Local
Authority.
The Director of Public Health will be the Information Asset Owner for the HES data and be responsible
on behalf of the Local Authority to the HSCIC for ensuring that the data supplied is only used in
fulfillment of the approved public health purposes as set out in this application. The Local Authority
confirms that the Director of Public Health is a contracted employee to the permanent role within the
Local Authority, accountable to the Chief Executive.
Data retention
A maximum of ten years data will be retained at any point, such that as each new data year is received,
the oldest year will be deleted eg. the 2004/05 data year will be deleted once the final complete
2014/15 data year has been received. The Local Authority will securely destroy the year’s data within
six weeks of receiving the latest annual dataset and provide a data destruction certificate to HSCIC.
The historic data will be used by the Local Authority in fulfilment of its public health function, and
specifically to:
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a) recognise and monitor trends in disease incidence and prevalence and other risks to public
health;
b) recognise and monitor trends in treatment patterns, particularly hospital readmissions, and
outcomes;
c) recognise and monitor trends in access to treatment and care between demographic,
geographic, ethnic and socio-economic groups in the population; and
d) recognise and monitor trends in the association between the wider social, economic and
environmental determinants of health and health outcomes
for the purpose of informing the planning, commissioning and provision of effective health and care
services at a local level.
Specific outputs expected, including target date
The results of the analyses of the data will be used by the Local Authority to support the discharge of
its statutory duties in relation to public health, and wider public health responsibilities. Outputs will
include (but not be limited to) the routine and ad hoc production of:
a)
b)
c)
d)
e)
Joint Strategic Needs Assessments;
Joint Health and Wellbeing Strategies;
the annual report of the Director of Public Health;
reports commissioned by the Health and Wellbeing Board;
public health and wider Local Authority health and wellbeing commissioning strategies and
plans;
f) public health advice to NHS commissioners;
g) responses to licensing applications and other statutory Local Authority functions requiring
public health input;
h) local health profiles;
i) health impact assessments and equity audits; and, among other outputs
j) responses to internal and external requests for information and intelligence on the health and
wellbeing of the population.
The specific content of and target dates for these outputs will be for the Local Authority to determine,
although it is required to comply with national guidance published by the Department of Health, Public
Health England and others as appropriate, for example, on the timetable for publishing refreshed
JSNAs.
All outputs will be of aggregated data with small numbers suppressed in line with the HES Analysis
Guide.
Expected measurable benefits to health and/or social care including target date
Access to the data will enable the Local Authority to undertake locally-focused and locally-responsive
analyses of health status and health outcomes. For example, the data will be used to produce analyses
of health inequalities for non-standard geographies and for specific social or ethnic groups in the local
population to help ensure that the health challenges facing the local population – particularly the most
disadvantaged – have been identified and responded to appropriately by the Local Authority and its
partners.
It is recognised that in fulfilling its public health duties using HES data, the Local Authority will deliver
significant benefits. The Local Authority therefore commits in any renewal request to providing
additional detail on benefits that relate to their local use of the data.
Is the purpose of this
No
application in anyway
commercial?
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6. Approval Considerations
Materials Reviewed
Version and Date
of Document
Protocol
Not applicable
Ethics Review
Not applicable
Consent form
Not applicable
Patient information
Not applicable
Patient/GP letters
Not applicable
Section 251 support
Not applicable
ONS
Not applicable
Date of
Approval
Expiry /
Review Date
Comments
Details of users should be entered in
section 8.
Fair processing
ICO guidance on privacy notices:
https://ico.org.uk/for_organisation
s/data_protection/topic_guides/pri
vacy_notices
It is the responsibility of the Local Authority as data controller to ensure that it complies
with the ICO privacy notice code of practice.
Local Authority to select and update one of the two paragraphs below as applicable
(and delete the other) :The Local Authority already has a privacy notice (provided in easily accessible forms
and formats) explaining that health and other data is being processed in fulfilment of its
public health function, and a copy is provided with this applicable / website link
provided here … (Local Authority to insert)
OR
The Local Authority does not yet have a privacy notice that complies with the ICO code
of practice in that it does not explain that health and other data is being processed in
support of its public health function. The Local Authority commits to including such
information in the Local Authority privacy notice, and provide evidence of this to the
HSCIC within eight weeks of the Data Sharing Agreement being commenced else a
data destruction letter will be issued.
The Local Authority may wish to use the following or a similar form of words to ensure
a compliant privacy notice: All Local Authorities have a duty to improve the health of
the population they serve. To help with this, we use data and information from a range
of sources including hospitals to understand more about the nature and causes of
disease and ill-health in the area.
7. Security Assurance
Complete this section for each organisation involved.
Security Assurance
IG Toolkit
Version and Date Complete
Local Authority to insert if applicable
ISO 27001
DARS Application template v4.6 09/12/2014
Comments
Org code and score: Local Authority to insert if
applicable
Please supply the certificate Local Authority to
insert (if IG Toolkit not held)
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Other
DPA Registration
Expiry date
Local Authority to insert
Local
Authority to
insert
Activity recorded (ICO application forms list
Sector and reasons for processing data)
Local Authority to insert
8. ONS Users
Only complete if ONS data is requested
Name
Position
Organisation
Legal basis
(if different from applicant)
(s42 (4) SRSA 2007, Consent,
AR+MRP, Other)
Expiry /
Review Date
(if applicable)
Not
applicable
9. Specification and Service Requested
Dataset(s)
Standard
Extract
Bespoke
Extract
Tabulation
Linkage
Patient Status
and Tracking
Personal Demographics Service (PDS)
Hospital Episode Statistics (HES): Inpatient
HES: Outpatient
HES: A+E
HES: Critical Care
Mental Health Minimum Data Set (MHMDS)
SUS Payment By Results (PBR)
Diagnostic Imaging Dataset (DID)
Patient Reporting Outcome Measures (PROMS)
Scottish NHS / Registration
Mortality
Birth
Cancer Registration
Linked datasets, please specify:
Other, please specify:
Bespoke standard extract for Local Authorities,
covering
HES: Inpatient
HES: Outpatient
HES: A&E
Frequency
One-off
Periodic - Monthly
Periodic - Quarterly
Periodic - Annually
Ad hoc – irregular dissemination
DARS Application template v4.6 09/12/2014
Number of Disseminations Expected
Not applicable
Not applicable
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Continuous – user access to HSCIC system
Not applicable
10. HSCIC Governance Path (for HSCIC use only)
IAO
Not required
Required
Approved
Unable to approve
Director
Not required
Required
Approved
Unable to approve
DARS Application template v4.6 09/12/2014
DAAG
Not required
Required
Recommended for approval
Unable to recommend for approval
SIRO
Not required
Required
Approved
Unable to approve
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