The Caldicott role in General Practice

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The Caldicott role in General Practice

• Information Governance Policy Team
• NHS Connecting for Health

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Key Learning Points

• The background to Caldicott and how it has
  evolved into NHS Information Governance.
• Who should be the Caldicott or confidentiality
  lead?
• The role of the Caldicott Lead.
• The IMT Directed Enhanced Service and IG Toolkit
  assessment.
• The National Programme for IT.
• Support and guidance.

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Background

• 1997 Caldicott Committee reported.
• Caldicott Report Recommendations.
• Appointment of NHS Caldicott Guardians
  (HSC1999_012 Caldicott Guardians).
• Appointment of Social Care Caldicott Guardians
  (LAC(2002)2_Caldicott Guardians).
• The new GMS contract has sought to extend the
  Caldicott role into General Practice.

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Caldicott Principles

• Justify the purpose for using confidential
  information.
• Only use it when absolutely necessary.
• Use the minimum required.
• Access should be on a strict need-to-know basis.
• Everyone must understand their responsibilities.
• Everyone must understand and comply with the law.

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The Caldicott Lead is responsible for

• Agreeing and reviewing policies and ensuring the
  Practice satisfies the highest practical
  confidentiality standards.
• Acting as the conscience of the Practice and
  advising on lawful and ethical processing of
  information.
• Resolving local Practice issues and ensuring a
  record of issues is kept.
• Tapping into the broader Information Governance
  function across the PCT.

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The Caldicott Lead may also be responsible for

• Demonstrating to third parties that the Practice
  meets appropriate Information Governance
  standards, e.g. for the IMT DES or the NHS CFH
  Statement of Compliance.
• The IG Toolkit assessment
• Mandated for General Practices involved in the
  IMT Directed Enhanced Service.
• A subset of standards for the Statement of
  Compliance applications for an N3 connection
  www.connectingforhealth.nhs.uk/soc .

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IMT DES Fact sheet

• Directed Enhanced Service (DES) was developed to
  facilitate the use of information management and
  technology (IMT), supporting the delivery of the
  National Programme for IT.
• A key objective of this DES is to support
  practices in achieving accredited data quality
  standards that are acceptable for sharing in the
  NHS Care Records Service.
• The actual accreditation is a three-part process
• Practice submission.
• Quantitative analysis of data taken from the
  practice.
• Visits to provide necessary qualitative analysis.
• Information Governance compliance and engagement
  with the IG Toolkit is required under component 1
  of IMT DES process
• See www.primis.nhs.uk/data-accreditation/ for
  more information

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The Information Governance Toolkit1

• The NHS IG Toolkit sets out a range of standards
  encompassing the entire IG agenda for General
  Practices.
• Basis for the Practice to assure information
  handling in accordance with the law, guidance and
  best practice.
• Includes guidance and resource materials, a clear
  framework for assurance and controls, and an
  on-line tool for efficient performance assessment
  reporting.

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The Information Governance Toolkit2

• 14 requirements for General Practice
• Clear responsibility for IG standards.
• A documented IG Policy.
• Secure and confidential transfer of patient
  records.
• Robust procedures for informing patients about
  how their information is used and their choices.
• Appropriate training for all staff.
• www.igt.connectingforhealth.nhs.uk

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The Information Governance Toolkit3

• Who can view the Practices assessment(s)?
• The Practice can view their own assessment only
• The NHS CFH IG Policy Team can view all Practice
  assessments
• Work in progress - Tracking Database

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The National Programme for IT

• Modern information technology (IT) products which
  will give staff the information they need at the
  touch of a button, meaning better care for
  patients.
• NHS Connecting for Health are an agency of the
  Department of Health responsible for delivering
  NPfIT.
• Programme of work includes
• NHS Care Records Service
• Choose and Book
• Electronic Prescription Service (EPS)
• National Networks for the NHS (N3)
• Picture Archiving and Communications Systems
  (PACS)
• IT Supporting GPs
• NHSmail
• www.connectingforhealth.nhs.uk

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Support and Guidance for Caldicott Leads
Local PCT
NHS Connecting for Health IG Policy Team
The UK Council of Caldicott Guardians
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Further guidance and useful links
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Further guidance and useful links
continued
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Further guidance and useful links