3.2. Summarise legislation, policies, procedures and codes of practice relating to the management of information

This guide will help you answer 3.2. Summarise legislation, policies, procedures and codes of practice relating to the management of information.

Managing information effectively is essential in health and social care services. Service users, staff, and organisations rely on strong systems to ensure data is collected, stored, shared, and used lawfully and appropriately. Incorrect management of information can lead to legal, ethical, and reputational issues.

In this guide, we examine the key UK legislation, policies, procedures, and codes of practice governing the management of information and explore why they are important.

Legal Framework Governing Information Management

Health and social care workers must comply with several UK laws when handling information. Below are the primary pieces of legislation:

The Data Protection Act 2018 (DPA)

The Data Protection Act 2018 is the UK’s legal framework for handling personal data and incorporates the General Data Protection Regulation (GDPR). It ensures personal data is processed fairly, lawfully, and transparently.

Key principles include:

• Data must only be collected for a specific, lawful purpose.
• Only necessary data should be collected.
• Information must be kept accurate and up to date.
• Data should not be kept longer than necessary.
• Organisations must secure data from unauthorised access or loss.

This act applies to both written and digital data and covers sensitive personal data, such as health information, ensuring individuals’ privacy rights are respected.

The Freedom of Information Act 2000 (FOI)

The Freedom of Information Act allows the public to request information about public service organisations. Health and social care settings that receive public funding must respond to requests promptly, except if the information breaches confidentiality or is exempt under the law.

Care workers should understand that FOI applies to organisational information rather than personal data, which remains protected under the DPA.

The Human Rights Act 1998

The Human Rights Act protects individuals’ right to privacy under Article 8. Personal information about individuals, such as their health status or social welfare needs, must be managed in a way that respects their dignity and private life. Any breach of this right can be legally challenged.

The Children Act 1989 and 2004

These acts focus on safeguarding children. When managing information about children, staff must prioritise the child’s welfare. Sharing information appropriately, especially when there is a safeguarding concern, is emphasised.

It is important to strike a balance between protecting confidentiality and ensuring information is shared to protect the child from potential harm.

The Health and Social Care Act 2012

This act outlines health and social care organisations’ duties to manage and share information for safe, high-quality care. It also introduced the Caldicott Principles (covered later), which reinforce the safe sharing of information.

Common Law Duty of Confidentiality

This common law duty requires health and social care workers to keep information shared in confidence. This may include medical conditions, care plans, or family circumstances. Information can only be shared with the individual’s consent, except under specific circumstances, such as legal obligations or safeguarding alerts.

Policies and Procedures in Health and Social Care

Organisations must use policies and procedures to align with legislation, support good practice, and guide staff on managing information effectively.

Information Security Policies

These policies define how organisations protect the information they collect. They apply to both electronic and paper-based records. Key aspects include:

• Using passwords and encryption for secure access to digital data.
• Restricting physical access to sensitive documents, such as locking filing cabinets.
• Regular staff training to prevent mishandling or accidental disclosure of data.

These policies also include protocols for disposing of outdated or unnecessary data. For example, organisations may require shredding paper records or using specialised tools to delete digital files permanently.

Confidentiality Policies

Confidentiality policies explain how organisations comply with legal duties to protect sensitive data. Staff are advised on:

• Gaining consent before speaking to relatives, carers, or other agencies.
• Avoiding discussions about individuals in public places.
• Reporting any confidentiality breaches immediately.

By having clear confidentiality policies, organisations show a commitment to protecting the rights and privacy of service users.

Records Management Policies

Records management involves creating, maintaining, storing, and disposing of information. Organisations must ensure that only authorised staff have access to records. Policies may outline clear procedures to ensure compliance, such as:

• Regular audits to check records are accurate and up to date.
• Retention periods for different types of information (e.g., medical records retained for eight years).

These procedures also ensure that records are not kept longer than legally required, preventing unnecessary data breaches or storage issues.

Codes of Practice in Health and Social Care

Caldicott Principles

The Caldicott Principles were introduced to ensure that health and social care organisations manage personal information ethically and securely. There are eight principles:

1. Only use information if justified.
2. Don’t use personal data unless absolutely necessary.
3. Use the minimum necessary data.
4. Allow access to data on a need-to-know basis.
5. Understand personal responsibility when accessing or sharing information.
6. Follow legal requirements on data management.
7. Balance the duty to share information with the duty to protect confidentiality.
8. Demonstrate accountability for decisions on how data is managed and shared.

The Caldicott Guardian, often a senior member of staff, ensures organisations follow these principles.

Care Quality Commission (CQC) Code of Practice on Confidentiality

The CQC monitors health and social care organisations by inspecting practices, including how information is managed. Their code of practice sets out principles for handling personal data, such as:

• Securely storing notes, emails, and other communications.
• Informing individuals on how their information will be used.
• Encouraging openness about information sharing practices.

Information Commissioner’s Office (ICO) Standards

The ICO enforces data protection legislation and offers guidance for health and social care providers. The ICO’s standards help organisations comply with laws like the DPA 2018. Some key recommendations are:

• Appointing a Data Protection Officer (DPO) to monitor compliance.
• Responding promptly to subject access requests (SARs), where people request copies of their personal information.

Procedures for Managing Information

Organisational procedures ensure information is managed consistently and legally. These procedures apply across various activities, including accessing, recording, and sharing data.

Accessing Information

• Only authorised staff must access service users’ data.
• Use unique login credentials when accessing electronic systems.
• Follow a strict sign-in process when viewing physical records in secured areas.

Recording Information

• Record information as soon as possible after care has been delivered.
• Make sure records are factual, clear, and accurate.
• Avoid jargon, speculation, or opinions in professional documents.

Sharing Information

• Gain individual consent before sharing personal data unless legally required.
• Only share information with those who need it to deliver care or act in the person’s best interest.
• If using email, ensure sensitive data is encrypted and sent securely.

Maintaining confidentiality when sharing information helps protect service users’ trust and meets legal and ethical requirements.

Consequences of Poor Information Management

Failure to manage information effectively can have serious consequences:

1. Legal Penalties: Organisations or employees breaching the Data Protection Act or the Human Rights Act can face hefty fines and legal action.
2. Reputation Damage: Losing trust can harm the organisation’s reputation and its ability to deliver care.
3. Harm to Individuals: Poor data management can cause emotional distress or physical harm, particularly in safeguarding cases.

To avoid these risks, health and social care workers must follow legislation, policies, procedures, and codes of practice without fail.

Conclusion

Managing information properly fosters trust, protects privacy, and ensures compliance with UK laws. Health and social care staff must follow organisational policies and codes of practice to handle data securely and ethically. By balancing legal requirements with confidentiality and safeguarding, they create a safe environment for both clients and colleagues.