Appendix V - Checklist for Data Migration

Check Item Check

or X
Data Migration Plan
Data Migration Approach (as detailed in the Data Migration Plan)
1 Does the Data Migration Approach include:
a. The supplier’s Data Migration Process which:
i. Sets out how each of the Data Migration Services will be delivered?
ii. Include details of the supplier’s data migration control framework?
b. The supplier’s detailed procedures for each stage of the Data Migration Process including details of how
interfaces with other parties will be managed?
c. A plan for how the key issues and risks associated with each stage of the Data Migration Process will
be addressed?
d. Details of subcontract arrangements where applicable including details of contractual arrangements relating to
risk transfer?
e. A template plan for a practice migration which will form the basis of future practice specific plans?

Data Migration Requirements Check (as detailed in the Data Migration Plan)
2 Does the Data Migration scope:
a. Migrate all data required to replicate in the target system each patient’s record as it was recorded
in the source system at the time of migration?
b. Include the migration of:
i. All electronic medical records (including free text data, patient registration status, etc.)?
ii. The relevant structural and coding information?
iii. All clinical record attachments (e.g. scanned letters, image files, etc) and associated links to the relevant
patient records?
iv. Records for all patients with data in the source system?
v. Other required data? (Have you a list of all data to be migrated and what will not be migrated?)
3 Does the Data Migration Plan include business continuity and technical data recovery procedures to
a. Ensure healthcare provision is able to continue during (but not limited to) the following situations:
i. The timescales for data migration slip considerably?
ii. Source data is damaged during data migration and necessitates restoration from backup?
iii. There is a serious data error discovered with the target system following data load?
iv. System loss necessitates the temporary use of manual records until it is restored?
b. Confirm the HO has adequate data backup and data archive regimes are in place prior to date migration?
c. Require the HO and source supplier to agree with the supplier any software or code
updates to the existing source clinical system between the ‘sample’ and ‘live’ stages of the migration process?
d. Maintain all existing interfaces with other IT systems and equipment which will continue to be used?
e. Demonstrate that QOF points on the target system match, subject to agreed exceptions, those on the source
system for the same data extract?
4 Has the Data Migration Approach been assessed for potential clinical risks and does it include measures required
to manage these risks?

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 Appendix V - Checklist for Data Migration

Check Item Check
or X
Data Migration Approach (as detailed in the Data Migration Plan)
5 Are the plans compliant with the following standards in respect of information governance:
a. Medical Reports Act?
b. Access to Health Records Act?
c. Records Management - NHS Code of Practice?
d. Health & Social Services Act (Section 60)?
e. NHS Data Dictionary?
f. Data Protection Act?
g. Good Practice Guidelines for General Practice Electronic Patient Records?
h. Venereal Diseases Act?
i. Confidentiality and security requirements set out in the document “Information Governance Requirements
for ESP Suppliers” NPFIT-FNT-TO-TIN-0427?
6 Does the Data Migration plan require
a. Data Quality Reports to:
i. Highlight possible irregularities in source system data?
i. Include standard checks on data and any bespoke requirements that the practice may have?
b. Validated mapping tables including:
i. The applicable validated mapping tables from NHS CFH?
ii. The development of specific mapping tables to map supplier defined codes to the codes in the target system?
iii. Local HO taking ownership to map where they use their own defined codes?
c. Data reports and checklists
i. To enable the verification of the completeness and accuracy of the transformed data?
ii. To support the assurance of the data migration activity?
iii. Form which comprehensive aggregate reports listing counts of all coded data items from both source
and destination systems, with a facility to drill down to individual records?
d. A Data Migration Log of exceptions and issues encountered and in which the resolution is to be recorded?
7 Does the Data Migration record system (which will enable auditing) require:
a. Maintenance of an accessible comprehensive audit trail which evidence each relevant stage in the agreed
Data Migration Process?
b. Evidences the correctness and completeness of algorithms used to transform the data as part of the
Data Migration Process?
8 Have the roles and responsibilities of all parties (supplier, HOs , NHS CFH and others) been agreed and accepted?

Project Planning Approval Checks

9 Has the Data Migration Plan been submitted to NHS CFH?
10 Have the Data Mapping and Migration Patient Safety Risk Assessment and Safety Case been submitted to
NHS CFH’s Safety Group along with the clinical data mapping documentation for First of Type Approval
(prior to starting data migration)?
11 Has the Data Migration Approach been approved by NHS CFH and has the plan been revised to address any issues
NHS CFH has raised?

Data Cleansing
12 Has data cleansing been undertaken in accordance with the NHS CFH basic Data Quality requirements document
(NPFIT-FNT-TO-DQM-0157)?
13 Has there been a reconciliation exercise with NHAIS (the New Health Authorities Information Systems; better known
as the Exeter system)?

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 Appendix V - Checklist for Data Migration

Check Item Check
or X
Data Extraction from the Source System
14 Is there a fully documented data extract?
15 Have data integrity checks on the data extract been done to ensure that it is complete, uncorrupted and in the correct
format for the migration being undertaken?
16 Is there documentation which clearly sets out the data extract data structures? Does it document any irregularities
which relate to how the particular user has entered data into the source system?
17 Is the extracted data in an electronic format, encrypted? Does the encryption conform to NHS cryptographic
standards (NPFIT-FNT-IG-GPG-0004)?
18 Has there been confirmation that the last system back up prior to Go-Live of the target system has been verified
to include the full set of patient records and audit trail for the source system?

Data Transformation
19 Is there a Patient Data Mapping document:
a. Showing relationships between source and target system fields and clearly illustrating any limitations,
assumptions and work rounds which will relate to the migrated patient data. This document may be subject
to review by NHS CFH.
b. Which has been subject to formal change control?
20 Are there a validated set of mapping tables?
21 Have rigorous and comprehensive testing of all proposed data transformation processes both manual and
automated been completed:
a. Using appropriate samples of real and test data.
b. With data samples seeded with errors to validate the effectiveness of the transformation process end-to-end,
including but not limited to boundary checks and range checks.
22 Has a test report covering the work conducted to prove the transformation approach, as part of a First Of Type
approval process been provided to relevant parties (NHS CFH, HOs, etc.)?
23 Has the check of the final cut of transformed data been completed, and reviewed and signed off by the HO?
24 Has a full and complete set of extracted data (including attachments) been:
a. Transferred into a trial environment?
b. Checked, balanced and reconciled to ensure that the clinical semantic and syntactic meaning of the source data
is preserved?
25 Have errors, omissions and irregularities been documented in the Data Migration Log and with their resolution?
26 Are there procedures and suspense files to control and correct any data rejected by the data transformation activity?
27 Has the HO signed-off the final cut of transformed data prior to system Go-Live?

Data Load into the Target System

28 Are the business continuity plan and cut over plans in place?
29 Has the Deployment Verification Report been completed?
30 Has the HO signed-off the Deployment Verification Report following the Deployment
Verification period. (NHS CFH sign off the report for all First of Types).
31 Has the Safety Closure Report been produced?

Data Load into the Target System

32 Are arrangements in place for the HO to access source system data and the audit trail?

Post Go-Live Data Quality

1 Has data been validated in line with the approved data accreditation standards?
2 Have all outstanding data anomalies been addressed and resolved?

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