TIAN News – April 2023
Introduction
As organisations continue to face unprecedented challenges both operationally and financially, the provision of independent and objective assurance regarding governance, risk and internal control is particularly important. The TIAN network is happy to support you.
I am delighted to welcome you to our fourth edition of TIAN News as we wave goodbye to 2022/23 and begin the new financial year. This edition spans another wide range of articles on important risk and governance issues, including:
- Good practice in using your Assurance Framework, as well as opportunities to improve and develop this key tool;
- The fundamental importance of effective governance over data quality within the NHS;
- Learnings identified from the recent HFMA Financial Sustainability self-assessments; and
- Guidance about the Data Security & Protection Toolkit and its audit and assurance regime.
Louise Cobain, Executive Director of Assurance, MIAA.
Assurance Frameworks – Are they being used effectively?
An efficient and effective Assurance Framework (AF) is a fundamental component of good governance, providing a tool for the Board to identify and ensure that there is sufficient, continuous and reliable assurance, organisational stewardship and the management of the major risks to organisational success. The principles of assurance frameworks have been in place for many years, and there has been a continued focus on ensuring the embeddedness of these processes and the extent they are used by the Board.
Governance of Data Quality (DQ)
Barts Assurance recently completed work supporting an NHS provider trust develop its arrangements for ensuring the quality of its clinical RTT data. Every board relies on the information being reported to ensure effective decision-making and support robust monitoring and assurance of performance. The public, commissioners and regulators also expect to be able to rely on the completeness and accuracy of figures provided by Trusts regarding their waiting lists and the number/cost of treatments delivered.
HFMA Financial Sustainability Checklist
All NHS organisations were required to complete the self-assessment tool last autumn based on the HFMA briefing ‘Improving NHS Financial Sustainability: are you getting the basics right’. NHSE also mandated an internal audit review was carried out on these self-assessments to:
- Confirm that the self-assessment was fully completed
- Confirm the self-assessment had been approved in line with guidance
- Review a sample of 12 areas covered by the checklist (as identified by NHSE)
Data Security Protection Toolkit (DSPT) – a guide for Audit Committees
MIAA have issued a briefing note to support audit committees in respect of the Data Security Protection Toolkit (DSPT). The DSPT is a mandatory annual self-assessment for organisations processing, storing, or transferring health and care data and / or accessing NHS systems. Its requirements are based upon the National Data Guardian 10 Data Security Standards, and the toolkit provides a roadmap for organisations towards continuous improvement of their security posture.
Events Round Up
Recent event – Digitalisation: On 9 March 2023 Audit Yorkshire and 360 Assurance held an event for NHS clients focused on Digitalisation. The event considered virtual wards, lessons from Derbyshire on the design and implementation of a digital electronic project management office (ePMO) and Cyber Security. Information from the event can be found here.
Future Programme: TIAN members organise and facilitate a number of Groups and Forums across the country to support and develop NHS governance. e.g. Regional Audit Committee Chair meetings. A wide range of other education, training and networking events are also run, with many of these sessions now held virtually and being accessible to all TIAN member’s NHS clients.
People news – Goodbye Jenny! Hello Amanda!
All TIAN members would like to send their best wishes to Jenny McCall who retired on 17th March from her role as Director of Audit and Assurance Services at ASW Assurance. Jenny led the ASW team for the last 13 years, with her career being marked by her dedication to clients and to the service, to quality and to getting it right. As well as supporting NHS clients across the South West, Jenny has also been a longstanding member of the HFMA’s national Governance & Audit Committee contributing to a wide range of their publications and briefings supporting the wider NHS finance and audit community. We wish her all the very best in her retirement.
Get in touch: To find out more, or if you have feedback on any areas covered in this edition, please contact: Louise Cobain, Executive Director of Assurance. 07795 564916
