Maternity Survey 2017: Contractor webinar 2nd March 2017
Agenda • Survey overview • What’s new for 2017? • Section 251 requirements • Practicalities of administration • Sampling and submission process • Timetable • Q&A
Survey overview • Survey methodology and questionnaire largely unchanged from 2015. • Trusts will draw sample of eligible women who had a live birth at the trust during February [and January] 2017. • As in 2015, we will collect data on women’s antenatal and postnatal care provider or their postcode sector to help identify whether women in the sample received their antenatal and postnatal care from the trust. Trusts will send this data separately from the main sample file, directly to the Co-ordination Centre.
What’s new for 2017?: Sample declaration form • New this year, the sample declaration form will be in Excel format to enable electronic sign-off. • More details to follow in later sections.
What’s new for 2017?: Single sample and mailing file • Previous requirement for trusts using a contractor was to split the sample information into a ‘sample file’ and ‘mailing file’ to reduce the risk of a breach. • Proposal submitted to the CAG in August 2016 led to a change in process (CAG reference: 16/CAG/0041). • Trusts will now submit sample and mailing data to contractors as a single file. • Contractors will split the file at a later stage.
What’s new for 2017?: Submission of files via FTP • Trusts must now submit the combined sample and mailing file via the contractor’s secure FTP and not via email. • Files must still be encrypted and password protected.
What’s new for 2017?: Ethnic coding • Previously, ethnicity was coded as ‘Z’ when not stated/refused, and left blank when unknown. • Blanks should now be coded as ‘Z’. • Therefore, there should not be any missing ethic codes in the sample file.
What’s new for 2017?: Safeguarding • In general, eligible patients with safeguarding concerns should be included in the sample. • Patients should only be removed from the sample in extreme circumstances. • We expect only a small number of patients to be removed, if any.
Section 251 requirements • The survey has been granted approval under Section 251 of the NHS Act 2006 by the Confidentiality Advisory Group (CAG) at the Health Research Authority on behalf of the Secretary of State. • Allows the common law duty of confidentiality to be put aside in order to enable the processing of patient identifiable information without consent. • Provides a legal basis for trusts to provide names and addresses to contractors. • Any deviation from the methodology outlined in the survey instruction manuals may render the approval invalid and CQC will be obliged to take action.
Section 251 requirements: Recording dissent • Information about how to opt out must be available to all service users. • Opt-outs must be logged in a consistent manner. • As data controller, the trust must be satisfied that appropriate dissent mechanisms are in place. • Trusts were asked to display a dissent poster during the sampling month(s) to allow patients to opt out. • Patients who have indicated dissent must be excluded from the sample.
Section 251 requirements: Sample declaration form • Includes a checklist and signed declaration to be completed by the trust. • Must be emailed to the contractor and approved before the combined mailing and sample file is submitted.
Section 251 requirements: Submission of sample files • Trusts must send a single file containing both sample and mailing information to contractors. • Trusts must submit file in encrypted format via contractor’s secure FTP site with password protection (password submitted by phone). • Contractors will separate the combined file into a sample and mailing file and send only the sample file to the Co-ordination Centre for approval. • The Co-ordination Centre must not receive any mailing data. • Antenatal/postnatal data will be in a separate file and sent directly by the trust to the Co-ordination Centre.
Section 251 requirements: Submission of sample files Sample file: • Trust code • Record number • Year of birth • Ethnic group • Day of delivery • Month of delivery • Year of delivery • Actual delivery place • Place of birth (NHS site code) • CCG code • Postcode sector Save as MAT17_mailingdata_XXX (where XXX is the trust code) Mailing file: • Trust code • Record number • Title • First name / Initials • Surname • Address fields • Full postcode Save as MAT17_samplefile_XXX (where XXX is the trust code)
Practicalities of administration Instruction manuals: • Survey instructions – http://www.nhssurveys.org/surveys/1078 • Sampling instructions – http://www.nhssurveys.org/surveys/1079 Fieldwork: • Weekly monitoring updates to be sent to Co-ordination Centre every Thursday from 4th May until close of fieldwork. Free text comments: • Must be included in full. • Submit along with other response data by the deadline (1st September).
Practicalities of administration: Survey materials Questionnaire: • 12 pages, 2 columns of questions, booklet style with centre staples. • Question and response option numbering, ordering and wording to be replicated exactly. • Only the CQC and NHS logos should appear. • To be printed in colour throughout. Covering letters: • To be worded exactly as per the template (text in yellow to be edited). • To be printed on trust-headed paper. Two hard copies of the questionnaire and each covering letter to be submitted to Co-ordination Centre by 14th April. Do not include any patient name or address information.
Practicalities of administration: Survey materials Envelopes: • Must not include any indication of the trust (e.g. name, address, logo). CQC flyer: • A5 sheet. • Provided by CQC, sent out by Co-ordination Centre. • To be included in 1st and 3rd mailings.
Sampling and submission process: Overview Trust compiles sample of eligible women who gave birth at the trust in February 2017 (may need to sample back into January to reach minimum sample size of 300). Trust assigns Record Numbers in the format MAT17XXXNNNN (where XXX = trust code and NNNN = unique number beginning from 0001). Trust conducts death checks on women/babies and also submits sample to DBS. Trust removes any patients identified as deceased/baby deceased. Trust submits sample declaration form to contractor. Contractor checks sample declaration form. If sample declaration form is approved, trust submits a single sample and mailing file to contractor. Contractor checks the file and responds to trust with queries / approval. Contractor creates separate sample and mailing files. Contractor submits declaration form to Co-ordination Centre for approval. If approved, contractor submits sample file only to the Co-ordination Centre. Co-ordination Centre checks sample and sends queries / approval to contractor. When sample approved by Co-ordination Centre, contractor sends out mailing packs for trust. Trusts send Co-ordination Centre antenatal/postnatal data directly.
Sampling and submission process: The sample • Sample should include all eligible women aged 16+ who had a live birth at the trust in February 2017. • ALL February deliveries should be included, regardless of whether this is greater or smaller than 300. • If trust had fewer than 300 births in February, they should also sample backwards into January 2017 (but not December). • If Jan+Feb sample is >300, only include the 300 most recent eligible births in final sample. • If Jan+Feb sample is <300, include all eligible January and February births in sample.
Sampling and submission process: Trust checks • It is essential that trusts check whether they have records of women/babies having died at the trust. • Sample should be checked internally before AND after initial DBS check. • Trust and DBS death checks should be repeated before the 2nd and 3rd mailings. • Trusts must advise contractors immediately if any women in the sample (or their babies) die during the survey period.
Sampling and submission process: Sample declaration form • Now in Excel to enable forms to be signed off electronically. • Must be signed by the person drawing the sample and the Caldicott Guardian. • Must be sent from email of Caldicott Guardian, or from email of sample drawer with CaldicottGuardian copied in. • Emailed to contractor before combined sample and mailing file is submitted. • Contractor must confirm receipt and give permission before file is sent. • Files to be encrypted and password protected with password submitted by phone.
Sampling and submission process: Potential errors 8 major errors in 2015: • Incorrect period sampled • Incorrect site codes submitted • Homebirths excluded • Young mothers (16-17 years) incorrectly excluded • Some hospital sites excluded 19 minor errors in 2015: • Actual delivery place coded incorrectly • CCG codes missing or incorrect • Site codes for inappropriate delivery place included • Record number formatted incorrectly • Incorrect ethnicity codes included • Duplicate records submitted For a full review of the types of errors made in 2015, please see the sampling errors report: http://www.nhssurveys.org/survey/1727
Sampling and submission process: Potential S251 breaches • Trusts sending data to the Co-ordination Centre (except antenatal/postnatal data). • Co-ordination Centre receiving mailing data. • Trusts sending combined sample and mailing file to contractor via email rather than FTP. • Trusts not encrypting and password-protecting files.
Timetable • Trusts draw sample: 13th March – 14th April • Sample checking: 3rd – 28th April • Hard copies of questionnaire and covering letters due: 14th April • Fieldwork: 24th April – 25th August • Weekly monitoring: 4th May – 24th August • Trusts submit antenatal & postnatal data by: 26th May • Final data due: 1st September
Thank you for joining us A copy of these slides is available on the NHS Surveys website: http://www.nhssurveys.org/surveys/1087 Contact details: firstname.lastname@example.org 01865 208 127
Picker Institute Europe Buxton Court 3 West Way Oxford OX2 0JB Tel: +44 (0) 1865 208 100 Fax: +44 (0) 1865 208 101 email@example.com www.picker.org Charity registered in England and Wales: 1081688 Charity registered in Scotland: SC045048 Company limited by guarantee registered in England and Wales