Revised Caldicott Manual November 2008 Revised Caldicott Manual

Revised Caldicott Manual – November 2008 Revised Caldicott Manual- Practice Managers Groups

Introduction • Caldicott Manual first launched 1997 • Result of Caldicott Committee mapping flows of information in NHS and social care • 10 recommendations and 16 principles • Manual revised 2008 • Primarily available through a website • Includes an online assessment Revised Caldicott Manual- Practice Managers Groups

What is Caldicott? A set of principles and recommendations put forward by the Caldicott Committee in 1997 which apply to Health and Social Care Organisations to ensure Patient Identifiable information remains confidential and secure Revised Caldicott Manual- Practice Managers Groups

Caldicott Principles • Justify the purpose • Use Patient Identifiable Information only if absolutely necessary • Only use the minimum amount necessary • Access only on a strictly need to know basis • Know your responsibilities • Understand comply with the law Revised Caldicott Manual- Practice Managers Groups

Key Requirements of Caldicott • Appoint a Caldicott Guardian/ Lead ( likely to be a Senior Clinician) • Definition of Guardian ‘one who protects’ • Abide by Caldicott principles • Ensure Polices and Procedures to protect PII are in place and adhered to Revised Caldicott Manual- Practice Managers Groups

Key role of the Caldicott Guardian • Ensure ethical use of patient information for benefit of patients and public good • Mitigate business risk associated with failure to meet terms of relevant legislation • Ensure policies and procedures which impact confidentiality, accuracy and management of patient information are in place • Expect to be consulted on individual cases where there are concerns about patient information Revised Caldicott Manual- Practice Managers Groups

The Revised Manual • Provides both experienced and new Caldicott Guardians with knowledge on legal background to duties • Primary available through Website – www. wales. nhs. uk/caldicott • A ‘one stop shop’ for guidance and examples on handling PII • Prides itself on being jargon- free • Section for Independent Practitioners with advice, tools and resources Revised Caldicott Manual- Practice Managers Groups

The Revised Manual 1. Introduction 2. Being a Caldicott Guardian- roles and responsibilities 3. Legislation, Codes of Practice and Protocols – inc. DPA, ATHR, FOI etc 4. Information management – Data Quality, ISMS, highly sensitive information 5. Records Management- managing Health records, duplicate records 6. Assessment Revised Caldicott Manual- Practice Managers Groups

Revised Caldicott Manual- Practice Managers Groups

ISMS Links • At least 50% questions in Caldicott are linked with ISMS compliance – some examples below ü ISMS states a Caldicott Guardian/Lead should be appointed – Link QG 1 ü ISMS states a Business Continuity plan should be in place and tested – Link QM 7 ü ISMS states all practices must register DPA notification- Link QM 4 Revised Caldicott Manual- Practice Managers Groups

Assessment Tool • • • Covers the following areas; Governance Management Information for Patients and service users Training and awareness Information Management Controlling access to confidential information Answers are multiple choice Assessment is online Practice will receive a score to measure compliance Revised Caldicott Manual- Practice Managers Groups

Benefits • Tool is based on 18 point matrix mandated in WHC (2002) 58 , WHC (99) 92 • Demonstrate compliance with Caldicott security requirements • Avoid costly litigation for practice • High compliance due to ISMS • Allows GP practice to undertake a gap analysis on Information Security Revised Caldicott Manual- Practice Managers Groups

The consequences of not considering security of PII § 2007 § April: Patient info found in skip behind building when GP branch being renovated § November: Patient Data losses at GP surgery – 3000 § 2008 § Jan: Dictaphone holding patient identifiable information stolen from GP practice room. § June: GPs laptop stolen from home containing 11000 patient records § July: Back up Tape lost from GP surgery containing 11, 000 records Revised Caldicott Manual- Practice Managers Groups

Summary • Raise awareness of the revised manual with Caldicott Lead/Senior Partner • Log onto Caldicott site www. wales. nhs. uk/caldicott to access resources and assessment tool • Self–Assess Practice Revised Caldicott Manual- Practice Managers Groups

Useful Contacts • • • LHB Caldicott Guardian LHB Information Governance Lead BSC Information Governance Team BSC GP Facilitators Caldicott Guardian Network – support group meets on a quarterly basis Revised Caldicott Manual- Practice Managers Groups

Any Questions? Revised Caldicott Manual- Practice Managers Groups