Revised Caldicott Manual- Practice Managers Groups

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 and 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. Introduction2. Being a Caldicott Guardian- roles and responsibilities3. Legislation, Codes of Practice and Protocols – inc. DPA, ATHR, FOI etc4. Information management – Data Quality, ISMS, highly sensitive information5. Records Management- managing Health records, duplicate records6. 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

ISMS states a Caldicott Guardian/Lead should be appointed – Link QG1 ISMS states a Business Continuity plan should be in place and tested – Link QM7 ISMS states all practices must register DPA notification- Link QM4

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?