1. The Caldicott role in General
Practice
Information Governance Policy Team
NHS Connecting for Health

2. 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 IM&T Directed Enhanced Service and IG
Toolkit assessment
 The National Programme for IT
 Support and guidance
 Recommended further training

3. 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

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

5. 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

6. The Caldicott Lead may also be
responsible for:
 Demonstrating to third parties that the Practice
meets appropriate Information Governance
standards, e.g. for the IM&T DES or the NHS
CFH Statement of Compliance
 The IG Toolkit assessment:
 Mandated for General Practices involved in
the IM&T Directed Enhanced Service
 A subset of standards for the Statement of
Compliance applications for an N3 connection
www.connectingforhealth.nhs.uk/soc

7. IM&T DES Fact sheet
Directed Enhanced Service (DES) was developed to facilitate the use of
information management and technology (IM&T), 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:
6. Practice submission
7. Quantitative analysis of data taken from the practice
8. Visits to provide necessary qualitative analysis
Information Governance compliance and engagement with the IG
Toolkit is required under component 1 of IM&T DES process
See www.primis.nhs.uk/data-accreditation/ for more information

8. The Information Governance Toolkit#1
 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

9. The Information Governance Toolkit#2
 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

10. The Information Governance Toolkit#3
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

11. 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

12. Support and Guidance for
Caldicott Leads
Local PCT
NHS Connecting
for Health
IG Policy Team
The UK Council of
Caldicott Guardians

13. Further guidance and
useful links
The UK Council of Caldicott www.connectingforhealth.nhs.uk/i
Guardian
NHS Connecting for Health IG www.connectingforhealth.nhs.uk/i
Policy website
Information Governance www.igt.connectingforhealth.nhs.u
Toolkit Website
IG Helpdesk Tel: 01392 251289
email:
exeter.helpdesk@nhs.net

14. Further guidance and
useful links
The Caldicott Guardian www.connectingforhealth.nhs.uk/i
Manual 2006
Confidentiality NHS Code of DH: Confidentiality NHS Code of
Practice
Records Management NHS DH: Records Management NHS
Code of Practice
Security Management NHS DH: Security Management NHS C
Code of Practice
…continued

15. Further guidance and
useful links
The Data Protection Act 1998 www.opsi.gov.uk/acts/acts1998
The Information Commissioner: for www.ico.gov.uk/
guidance on data protection
The Freedom of Information Act www.opsi.gov.uk/acts/acts2000
2000
The Department for Constitutional www.foi.gov.uk/
Affairs: for guidance on
freedom of information
Department of Health website www.dh.gov.uk/en/Home

16. Recommended further training for Caldicott
Leads
 Other relevant NHS Connecting for Health ‘IG
Training Tool’ modules
 External academic courses for Caldicott Guardians
(GP specific) in either Confidentiality, FOI, DPA or
Caldicott Guardianship. (these may incur a fee)
 Attend national conferences which offer further
training to assist in the day to day fulfilment of the
Caldicott Guardian role.
Please send your completed evaluation form to
igtrainingtool@nhs.net
Click here for form:-

17. Assessment
select one answer for each question.
Further instructions will appear if
you are successful or not.
1. Which of the following are one of the 16 recommendations
made by the Caldicott Committee to improve security and
confidentiality of patient identifiable information?
• The establishment and appointment of a Freedom of
Information Lead in each NHS organisation
• The establishment and appointment of the Caldicott
Guardian role in each NHS organisation
• The establishment of a Caldicott Guardian Committee in
each NHS organisation?
2. Which of the following is one of the 6 Caldicott Principles?
 Justify the purpose for accepting confidential information
 Justify the purpose for transferring information outside of
the EEA (European Economic Area)
 Justify the purpose for using confidential information

18. Assessment
1. Which of these statements could be identified as part of the Caldicott
Lead’s role in General Practice?
 Acting as the ‘conscience’ of the Practice and advising on
lawful and ethical processing of information
 The Caldicott Lead is responsible for agreeing and reviewing
policies governing the protection of all NHS information of any
form.
 The Caldicott Lead is responsible for helping the organisation
resolve local issues impacting on the Corporate and Financial
agenda
2. What involvement should the Practice have with the IG Toolkit
Assessment Tool when carrying out the IM&T DES process?
• The Practice should complete a full assessment and have an
external auditor sign off the assessment
• The Practice should engage and prove engagement with the
IG Toolkit assessment tool for purposes of the IM&T DES.
• The Practice should only complete the requirements they feel are
applicable to them and submit this to the PCT for sign off.

19. Assessment
1. What does the abbreviation QMAS stand for?
• Quantitative Management and Analysis System
• Quarterly Management Analysis System
• Quality Management and Analysis System
2. Which of the following support and guidance documents
do NOT exist?
• The Caldicott Guardian Manual 2006
• The Caldicott Information: NHS Code of Practice
• The UK Council of Caldicott Guardians