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It is really important that care providers have people in their organisation who take responsibility for data security.
The Data Security and Protection Toolkit (DSPT) asks that you assign responsibility for data security to someone in your organisation i.e. an Information Governance (IG) Lead. We have called this person a Data Security and Protection Lead. Their responsibility is to provide leadership and guidance from a senior level.
This guide will give you a brief overview of what the responsibilities of this person are. At the end we also cover the role of a Data Protection Officer (DPO) and a Caldicott Guardian, these specialist roles are not required for all care providers.
| Required Roles | Large Care Group | NHS or Local Authority Owned | Other |
|---|---|---|---|
| Data Security & Protection Lead | ✔ | ✔ | ✔ |
| Data Protection Officer | ✔ | ✔ | Optional |
| Caldicott Guardian | ✔ if any service user is publicly funded, otherwise optional | ✔ | ✔ if any service user is publicly funded, otherwise optional |
| Senior Information Risk Officer | Optional | Optional | Optional |
This is the person who takes overall senior responsibility for your data security and protection work. This doesn’t need to fall on the Registered Manager’s shoulders but should be someone who has enough seniority in your organisation that they can fulfil their responsibilities. Elements of this role could be shared between more than one person. For example, in large organisations there may be one senior person responsible for managing risks and another responsible for information governance.
Skill for Care have developed a job description for this role (This opens a PDF from the Skills for Care website).
The core role of the Data Security and Protection Lead is to champion data security and protection good practice and ensures that it is implemented.
It is important that the lead has good knowledge and skills around data security and protection. We recommend that the Data Security and Protection Lead – and other staff – complete our free elearning course – Data Security and Protection for care providers.
The Caldicott Guardian is a senior person who is responsible for protecting the confidentiality of people’s health and care information and making sure that it is used properly. You can find out what the role entails by reading the Caldicott Guardian Manual.
From June 2023, all health and social care organisations which receive public funding should have a Caldicott Guardian. There is more guidance on this on the Caldicott Guardian Website.
Under the General Data Protection Regulation (GDPR), you must appoint a DPO if you:
If you are a Local Authority or NHS owned care provider, you will be required to appoint or have access to a DPO as you are classed as a public body. You should discuss with your CCG or Local Authority about how to access a DPO.
We advise that large social care providers are likely to need to appoint or have access to a DPO. A large care organisation could be characterised as multisite (perhaps on a regional or national level) with dedicated staff in roles such as IT, HR and estates. They have large volumes of care records.
The DPO is responsible for advising the organisation about data protection laws and monitoring compliance. They should have expert knowledge of data protection law and practices, and understand the organisation’s business, and be independent i.e. they cannot receive instructions on how to carry out their tasks relating to data processing. Additionally, the DPO cannot be the individual who decides the means and purposes of processing data in your organisation. For example, a registered manager plans to bring in a new rota system which would include staff personal details; they could not also be the DPO because the decision-making process might conflict with data protection obligations. Skills for Care have developed more guidance on whether or not you need a DPO and what their responsibilities are here (This opens a PDF).
Smaller care providers do not need to appoint a DPO and can have a Data Security and Protection Lead instead (see above). A small care provider could be characterised as having one or two sites, no dedicated staff in roles such as IT or HR and a small volume of care records. Do not refer to the lead person as a Data Protection Officer as a DPO has specific legal requirements. The lead person will be responsible for championing compliance with data protection legislation. It is important that they also understand the limits of their knowledge and know where they can go for more advice if required.
The SIRO should be someone at board or senior management level who can lead on data security and protection from the very top of the organisation. The SIRO’s key responsibility is to manage information risks and to provide leadership and guidance from a senior level. This could be a combined role with the Data Security and Protection Lead. It is not mandatory for social care organisations to appoint a SIRO.
[1] This is defined in the Freedom of Information Act 2000 and will only apply to NHS or Local Authority owned care providers.
[2] Note that there has not yet been a definition of what is meant by “large scale” and so there is some uncertainty around which size of provider would be expected to have a DPO.
Guidance version 8 – Last updated January 2024