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Caldicott Guardian Manuals

Name of document Details
A Manual for Caldicott Guardians 2017 The UK Caldicott Guardian Council (UKCGC) offers this relatively short guide in the hope that it will help in various ways: as a starting point for the newly-appointed Caldicott Guardian, as an aide memoire for the more experienced, and as a pointer to the possibilities for professional development and support.
The Caldicott Guardian Manual (Scottish version) 2008 A guide for Caldicott Guardians that builds on the English Manual and takes into account the differences in legislation and central guidance.
Caldicott - Principles into Practice - Foundation Manual for Caldicott Guardians (Welsh Version) 2012 The Foundation Manual provides new Guardians and even those who have been in post for some time, with updated knowledge about the legal background to their duties and aspects of Information Governance with which they may not be familiar but which have an important interface with their role.
NHS Wales Information Governance and Caldicott The website supports the Foundation Manual and should be seen as the conduit for further information on both Caldicott and other Information Governance responsibilities.

Confidentiality guidance

Name of document Details
A guide to confidentiality in health and social care: Treating confidential information with respect September 2013 A five-rule guide designed to strike the right balance between sharing and protecting personal confidential information. Produced by the Health and Social Care Information Centre, the guide starts from the historic cornerstone of medical practice that promises confidentiality between doctor and patient. Yet it also recognises that patients, users of social care and the wider public can all reap the benefits from the sharing of information about their care.
Confidentiality: NHS Code of Practice (PDF 220Kb) A guide to required practice for those who work within or under contract to NHS organisations concerning confidentiality and patients' consent to the use of their health records.
Confidentiality: NHS Code of Practice Supplementary Guidance: Public Interest Disclosures November 2010 (PDF 112Kb) This document expands upon the principles set out with the Department of Health's key guidance Confidentiality: NHS Code of Practice. The document is aimed at aiding staff in making difficult decisions about when disclosures of confidential information may be justified in the public interest.
General Medical Council - Confidentiality - October 2009 Guidance document available from the GMC website, which sets out the principles of confidentiality and respect for patients' privacy that doctors are expected to understand and follow. Supplementary guidance explaining how these principles apply in situations doctors often encounter or find hard to deal with is also available. Additional resources include case studies and presentations.

Information Governance Review

Name of document Details
Information: To Share Or Not To Share? The Information Governance Review - April 2013 (PDF, 776.5kB) Following a request from the Secretary of State for Health, Dame Fiona Caldicott carried out this independent review of information sharing to ensure that there is an appropriate balance between the protection of patient information and the use and sharing of information to improve patient care.
Information: To Share or not to Share - Government Response to the Caldicott Review - September 2013 (PDF, 757.9kB) The response sets out how individuals and organisations should improve the way that information is used for research, commissioning and above all for good care.

Information Sharing and Disclosure

Name of document Details
"Striking the Balance" Guidance on information sharing - Gateway reference 17380 This guidance has been published jointly by the Department and the UK Council of Caldicott Guardians to assist those who need to share information about individuals involved in domestic violence, for example at a MARAC (Multi Agency Risk Assessment Conference) – a local, multi-agency victim-focused meeting where information is shared on the highest risk cases of domestic abuse between different agencies.
General Medical Council - Consent to research This explanatory guidance is intended to explain how good practice principles in making decisions and seeking consent apply to research. It also provides advice on involving in research children or young people, vulnerable people, and people who lack capacity to consent.
Guidance for access to health records requests - February 2010 (PDF, 182.1kB) This guidance aims to assists NHS organisations in England, through the process of dealing with an access request in accordance with the relevant legislation and any subsequent considerations. The guidance covers legislation pertinent to accessing health records, such as:
  • Data Protection Act 1998
  • Access to Health Records Act 1990
  • Freedom of Information Act 2000
  • Access to Medical Reports Act 1988
Information Commissioner: Data sharing - Code of practice (PDF 466Kb) The code explains how the Data Protection Act 1998 applies to the sharing of personal data. It also provides good practice advice that will be relevant to all organisations that share personal data.
Who Pays? Information Governance Advice for Invoice Validation (PDF 750Kb) This guidance is for anyone who is involved in the creation, submission, receipt, validation, or payment of invoices for health care services funded by the NHS. It helps clinical commissioning groups to understand their commissioning responsibilities and to determine who pays for a patient’s care.

Caldicott Guardian Mandates Mandates - Where did the role come from?

Name of document Details
Local Authority Circular LAC 2002/2: Implementing the Caldicott standard into social care (PDF, 45.1kB) This Circular extended the role of Caldicott Guardians into Councils with Social Services Responsibilities in order to provide a good foundation for joint working between health and social services, and to help support the fulfilment of the many joint strategies across children's and adult services.

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Health Service Circular HSC 1999/012: Caldicott Guardians (PDF, 81.5kB) A key recommendation of the Caldicott Report, published in December 1997, was the establishment of a network of Caldicott Guardians of patient information throughout the NHS. This circular advised on the appointment of Guardians and set out a list of actions to be undertaken by organisations.

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Annex to HSC 1999/012 (PDF, 76.0kB) The Annex outlined the first year work programme for improving the way each organisation handles confidential patient information and identified the resources, training and other support for Guardians.

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Supporting Materials

Name of document Details
Caldicott Guardian newsletters Published by the UK Council of Caldicott Guardians primarily for the Caldicott community. However, many of the articles will be of interest to those involved in other aspects of Information Governance.
The NHS Constitution 2013 The NHS Constitution sets out a series of patients' rights and NHS pledges. All NHS bodies and private and third sector providers supplying NHS services in England are required by law to take account of the Constitution in their decisions and actions.
NHS information governance: Guidance on legal and professional obligations (PDF 267Kb) This best practice guidance outlines the likely impact on health and social care information, of the range of complex legal and professional obligations that limit, prohibit or set conditions in respect of the management, use and disclosure of information, and similarly those that permit or require information to be used or disclosed.

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