Skip to main content

Putting Things Right Assurance

 

The Welsh Risk Pool conducts assurance reviews on behalf of Welsh Government and the NHS Executive in relation to the application by health bodies of the National Health Service (Concerns, Complaints and Redress Arrangements) (Wales) Regulations 2011 – known as the Putting Things Right (PTR) Regulations. The assurance reviews also consider an organisation’s compliance with the WRP Reimbursement Procedures.

An Assurance Report is provided to each organisation, along with recommendations for continuous improvement, and is considered by the Welsh Risk Pool Committee. The WRP Assessment is used by the Committee when determining members’ contributions to the fund as part of the risk sharing agreement. 

The review involves analysis of individual case management against both legal requirements and policy criteria. It also examines compliance with the application of the Once for Wales Concerns Management System workflows and completion of essential data fields. The review further facilitates analysis of the efficacy of the Learning from Events process within the organisation and examines how a health body shares and implements good practice between organisations.

The methodology for assessment has evolved during the last few years in line with national policies. The approach is based on peer-review, with senior leaders selected by the Head of Patient Experience Network joining staff from the Welsh Risk Pool in conducting the assessment. Specialist advisors, including legal specialists, join the assessment team as required. This approach is considered to promote sharing of best practice and enable the assessment team to recognise the application of the areas for assessment in operational practice.

For each area for assessment, the Assessment Team considers the available evidence and report assurance to the organisation using the NHS Wales Internal Audit Assurance Framework.

Following a pause due to the coronavirus pandemic, reviews were recommenced, and field work was undertaken with each health body in NHS Wales during Jan – Mar 2023 with reports published during 2023/24. This review was completed to enable a baseline position to be identified and provide recommendations for improvement prior to the 2024/25 reviews being held. The findings of the reviews were advisory in nature and did not affect individual member contributions.

During 2024/25 reviews are being held in respect of matters handled during Jan-Mar 2023. These are again based on peer-review, with members of the HOPE Network supporting each review.  

The review considers:

  • The health body’s policies and procedures for handling concerns, claims, inquests, redress and incidents.
  • The timeliness of complaint investigations.
  • The quality of complaint investigations and responses.
  • Arrangements for handling concerns about primary care providers.
  • The application of the all-Wales workflow within Datix Cymru for concerns.
  • Use of internal and external expert opinion.
  • Suitability of decisions whether there is a qualifying liability in a matter.
  • Arrangements for sharing lessons learned from all matters across the organisation.
  • Inquest case management
  • Redress case management
  • Claims case management

The findings of the reports will be shared with organisations for factual accuracy considerations before action plans are prepared by Health Board’s and submitted to the WRP addressing all recommendations made by the Assessment Team. Final WRP Assessment reports will be presented to the Welsh Risk Pool Committee in November 2024 where decisions with regards to individual member contributions will be made.