Caldicott Guardian

Caldicott Guardian

The 1997 Caldicott report made a number of recommendations to regulate the use and transfer of person identifiable information between NHS organisations and between NHS organisations and non-NHS bodies. Caldicott Guardians now oversee the arrangements for the use and sharing of patient identifiable information. Use of patient-identifiable information should be regularly justified and routinely tested against the following principles

1. Justify the purpose(s) for using confidential information
​2. Only use it when absolutely necessary
3. Use the minimum that is required
4. Access should be on a strict need-to-know basis
5. Everyone must understand his or her responsibilities
6. Understand and comply with the law
7. The duty to share information can be as important as the duty to protect patient confidentiality

The interim Caldicott Guardian for NHS Lothian is Miss Tracey Gillies, Executive Medical Director. In this capacity, Miss Tracey Gillies has delegated authority to designated individuals within NHS Lothian R&D to review and approval, where appropriate, Caldicott applications relating to research activity.

For any research studies requiring Caldicott Guardian Approval please use the form at the foot of the page and submit to 

Further guidance from, or Caldicott application escalated to, the Caldicott Guardian may be required. R&D staff can provide guidance on this.

In some instances an application to the Public Benefit and Privacy Panel for Health and Social Care will be required. For example, research activity involving patients from more than one Health Board.