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Information Governance. An Introduction. Information Governance. Outline What is Information Governance What initiatives does IG cover. Information Governance. Information Governance

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information governance

Information Governance

An Introduction

information governance2
Information Governance


  • What is Information Governance
  • What initiatives does IG cover
information governance3
Information Governance

Information Governance

“is a framework for handling personal information in a confidential and secure manner to appropriate ethical and quality standards in a modern health service”

information governance contents
Information Governancecontents
  • Caldicott
  • Confidentiality: NHS Code of Practice
  • BS7799 / ISO 17799 Information Security Management
  • Data Protection Act 1998
  • Records Management - HSC 1999/053 for the record
  • Information Quality Assurance – Data Accreditation
  • Freedom of Information Act 2001
  • Controls Assurance – IM&T and Records Management
  • Plus other standards and initiatives yet to be defined
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Information Governance

Health Service Functions

Service Quality Research Management

Caldicott Report

HSC 1999/053

Records Management


/Common Clinical Systems

The Law: DPA 1998

Human Rights Act 1998

Freedom of Information Act 2000

Common Law

Data Accreditation Process

Data quality audit

Security & confidentiality audit



Risk Management

Controls Assurance

NHS Numbers project


Professional regulations

Ethics, Ethnicity& Beliefs

Local Traditions & Practices

Technological & Sociological Change

Choice Seamless Services Protection Privacy

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Information Governance
  • Standards drawn together from the core Information Governance initiative
  • Underpins the ICRS
  • Modelled around
      • Holding information securely and confidentially
      • Obtaining information fairly and efficiently
      • Recording information accurately and reliably
      • Using information effectively and ethically
      • Sharing information appropriately and lawfully
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Information Governance


  • Confidentiality: Code of Practice
  • Confidentiality covers ALL TYPES of information
  • Caldicott Principles (applies to patient information)
    • Justify the purpose(s) for using confidential information
    • Only use it when absolutely necessary
    • Use the minimum that is required
    • Access should be on a strict need-to-know basis
    • Everyone must understand their responsibilities
    • Understand and comply with the law
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Information Governance

Confidentiality: Code of practice – read it

  • Gives guidance on when consent is required to share/disclose information
  • This will be covered by the Trusts policies and procedures
  • Do not share/disclose information without guidance from your line manager and the Information Governance Lead

Employees must report any breaches in confidentiality to the Information Governance Lead

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Information Governance
  • Confidentiality
    • Common Law – Duty of Confidence

All NHS bodies and those carrying out functions on behalf of the NHS have a common law duty of confidentiality to patients and an duty to maintain professional ethical standards of confidentiality

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Information Governance
  • Information Security
    • Based on ISO 17799 Code of Practice Information Security Management
    • Controls Assurance IM&T

Employees must report any breaches in information security to the Information Governance Lead

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Information Governance

Employee’s Responsibilities

Employee’s MUST not

  • Divulge their password to anyone
  • Allow other users to access a system whilst logged in under their password
  • Share any information with any persons not authorised to see it
  • Attempt to access any system or information they are not authorised to do so
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Information Governance
  • Data Protection
    • Superceeds DPA 1984
    • DPA 1984 only applied to electronic records
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Information Governance
  • Data Protection Act 1998

Anyone processing personal data must comply with the eight enforceable principles of good practice.

    • fairly and lawfully processed;
    • processed for limited purposes;
    • adequate, relevant and not excessive;
    • accurate;
    • not kept longer than necessary;
    • processed in accordance with the data subject's rights;
    • secure;
    • not transferred to countries without adequate protection

Enquiries about or Breaches of the Data Protection Act must be reported to the Information Governance Lead

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Information Governance

Data Protection Act 1998

Three main strands

  • Notification
  • Compliance with the Principles
  • Rights of the data subject
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Information Governance
  • Records Management
    • Based on HSC 1999/053 for the record
    • This sets out the legal obligations of NHS bodies for keeping information in a proper manner
    • Gives guidelines on length of time to legally keep certain documents
    • Promotes good practice within the NHS
    • All employees have a responsibility to implement good records management
information governance16
Information Governance
  • Information Quality Assurance
    • Ensuring the quality of information captured and used.
    • Relates to the quality of the information recorded
    • To develop and reinforce a culture where high quality information is expected.
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Information Governance
  • Information Quality Assurance
    • Based on Data Accreditation guidelines mandated in Information for Health
    • Assuring the quality of information captured and used.
    • Standards for holding, obtaining, recording, using and sharing information.
    • Developing and reinforcing a culture where high quality information is expected and delivered.
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Information Governance
  • Freedom of Information Act 2000
    • The Act gives a general right of access to all types of 'recorded' information held by public authorities, sets out exemptions from that right and places a number of obligations on public authorities.
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Information Governance
  • Information Quality Assurance
    • Focuses on
      • Training
      • Policies & Procedures
      • Efficient and Effective Processes
      • Communication and Feedback of Issues
      • Accountability structures
      • Analysis of Outputs for Completeness, Validity and Accuracy
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Information Governance
  • Freedom of Information 2000
    • all public authorities have a duty to adopt and maintain a publication scheme. A publication scheme is a guide to the types of information that a public authority will routinely make available.
    • All enquiries regarding FoI should be forwarded to the Information Governance Lead
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Information Governance


  • Read the Trusts policies and procedures to ensure you are aware of your responsibilities in keeping information confidential and secure
  • Do not disclose information unless you have been given permission
  • Ask if you are not sure
  • Inform the Information Governance Lead of any breaches in confidentiality or information security
information governance23
Information Governance
  • Useful Web sites
    • Information Governance
    • Confidentiality: Code of Practice
    • Data protection
    • For the Record
    • The Trusts Policies and Procedures
      • www…..