The Caldicott Principles are a set of eight principles that guide the use and sharing of confidential health and social care information. These principles ensure that patient data is used responsibly, ethically, and legally while enabling safe and effective care.
📌 What Are the Caldicott Principles?
The principles apply to all health and social care services where individuals can be identified. They guide organisations, professionals, and support staff in handling patient and service user data securely while balancing the need to share information for safe care.
📜 The Eight Caldicott Principles
| Principle | Summary |
|---|---|
| 1. Justify the Purpose | Every use or transfer of confidential information should be clearly defined, scrutinised, and documented. Regular reviews should take place. |
| 2. Use Only When Necessary | Confidential information should only be used if absolutely required for the specified purpose. Consider alternative ways to achieve the same goal without using personal data. |
| 3. Use the Minimum Necessary Information | Only include the essential data required for the intended function. Each piece of confidential information must be justified. |
| 4. Access on a Need-to-Know Basis | Only those who need access to confidential information should be granted access, and only to the data they require. |
| 5. Awareness of Responsibilities | All staff handling confidential information should understand their responsibilities and obligations regarding patient and service user confidentiality. |
| 6. Comply with the Law | All uses of confidential information must be lawful and comply with statutory and common law requirements. |
| 7. Duty to Share Information | Sharing information for individual care is just as important as protecting confidentiality. Professionals should have confidence in sharing data when appropriate. |
| 8. Inform Patients and Service Users | Patients and service users should be clearly informed about how their information is used, ensuring there are no surprises. |
⚖️ Legal Compliance & Information Governance
These principles align with UK data protection laws, including:
- The Data Protection Act 2018 – Defines lawful data processing.
- UK GDPR (General Data Protection Regulation) – Ensures data is processed fairly and securely.
- The Common Law Duty of Confidentiality – Prohibits sharing confidential patient data without valid justification.
- The Health and Social Care Act 2012 – Establishes data-sharing duties in health and social care.
🛠️ How the Caldicott Principles Apply to Children
In England, the Caldicott Principles do not fully apply to children, as children’s information governance is covered by separate statutory and safeguarding frameworks. While the principles still provide useful guidance, additional legal duties ensure children’s rights and welfare are prioritised.
📑 Equivalent Guidance for Children’s Information Sharing
- Working Together to Safeguard Children (2018) – Outlines legal duties to share information for child protection.
- The Children Act 1989 & 2004 – Establishes information-sharing powers and responsibilities for child welfare.
- Information Sharing: Advice for Safeguarding Practitioners (2018) – Defines seven key principles for information sharing in children’s services.
- UK GDPR & Data Protection Act 2018 – Provides specific guidance on children’s data protection.
- Keeping Children Safe in Education (2023) – Directs schools and colleges on handling children’s personal data.
When working with children’s data, safeguarding obligations override confidentiality concerns if there is a risk of harm. Professionals should not delay information-sharing decisions when child welfare is at risk.
🛠️ Role of a Caldicott Guardian
A Caldicott Guardian is a senior person responsible for protecting the confidentiality of patient and service user information. They ensure that all data use aligns with the Caldicott Principles.
- They provide expert advice on complex information-sharing decisions.
- They balance data protection with the duty to share information.
- They oversee compliance with confidentiality policies.
📢 Why the Caldicott Principles Matter
The Caldicott Principles safeguard personal health and social care data, ensuring:
- ✔ Confidentiality is maintained at all times.
- ✔ Data sharing is safe, ethical, and legally compliant.
- ✔ Patients and service users understand how their information is used.
- ✔ Health and care services operate with trust and transparency.