Sharing Agreements - General Optical Council (GOC)

Between

(1) General Optical Council (GOC reference – DSA24-01)

10 Old Bailey, London EC4M 7NG

(2) The NHS Counter Fraud Authority

7th Floor, HM Government Hub, 10 South Colonnade, Canary Wharf, E14 4PU

(3) NHS Counter Fraud Services (NHS Wales)

First Floor Block B, Mamhilad House, Mamhilad Park Estate, Pontypool, NP4 0YP

being collectively “the Parties”.

Introduction

The Information Sharing Agreement (ISA) sets out the framework for information sharing between the NHS Counter Fraud Authority (NHSCFA) and the General Optical Council (GOC). It sets down the principles underpinning the interaction between the parties and provides guidance on the exchange of information between them.

This ISA does not override the statutory responsibilities and functions of the NHSCFA and the GOC and is not enforceable in law. However, NHSCFA and the GOC are committed to working in ways that are consistent with the content of this ISA.

The agreement describes the roles of the General Optical Council (GOC) and NHS Counter Fraud Authority (NHSCFA) and outlines the basis of cooperation and collaboration between the Parties. It sets down the principles underpinning the interaction between the Parties and provides guidance on the exchange of information between them.

1. The terms “information” or “data” is used in this Agreement to refer to any and all information or data used for NHS business purposes, including commercial, business, personal and sensitive information or data. The medium in which information or data is processed, may be in the form of hard-copy or electronic data, records or documents.

2. The aims of this agreement are to:

• reduce fraud and corruption within the optical profession;
• maintain patient safety and confidence in the optical profession;
• support the sharing of information, intelligence, expertise and experience;
• contribute to improving the regulatory oversight of the optical profession;
• create the potential for reducing the burden of inspection activities in Fitness to Practise; and
• define the circumstances in which the two organisations will act independently.

3. The term “information” is used in this agreement by NHSCFA to refer to any and all information or data used for NHS business purposes and by the GOC for patient and public safety purposes, including commercial, business, personal and sensitive information or data. The medium in which information or data may be displayed, presented, shared, disclosed or processed, may be in the form of hard-copy or electronic data, records or documents.

4. To facilitate the sharing of information, both Parties will follow due processes as they are defined in the agreement.

Description of The General Optical Council

5. The General Optical Council is the regulator for the optical professions in the UK. Its purpose is to protect the public by promoting high standards of education, performance and conduct amongst opticians.

6. The General Optical Council has four core regulatory functions deriving from the Opticians Act 1989:

• Setting standards for optical education and training, performance and conduct.
• Approving qualifications leading to registration.
• Maintaining a register of individuals who are qualified and fit to practise, train or carry on business as optometrists and dispensing opticians.
• Investigating and acting where registrants’ fitness to practise, train or carry on business is impaired.

The overarching objective of the General Optical Council is the protection of the public.

The General Optical Council has statutory powers to take action where there are concerns about the fitness to practise of its registrants. This includes those registrants whose fitness to practise is affected by their health.

Description of the NHS Counter Fraud Authority

7. The NHS Counter Fraud Authority is an independent Special Health Authority established in November 2017. The NHS Counter Fraud Authority has duties and enforcement powers under the NHS Act 2006, the Health and Social Care Act 2012 and the NHS Counter Fraud Authority (Establishment, Constitution and Staff and Other Transfer Provisions) Order 2017.

8. The NHS Counter Fraud Authority leads on work to identify and tackle fraud across the NHS. Its purpose is to safeguard NHS resources so that the NHS is better equipped to care for the nation’s health, providing support, guidance and direction to the NHS. This work enables effective prevention, detection and enforcement action to take place against those committing fraud. The NHS Counter Fraud Authority also collects, collates and analyses information that holds intelligence value, which in turn broadens the understanding of fraud risks in the NHS.

Intelligence

9. The Parties acknowledge that intelligence can be received by way of complaints, professional whistleblowing, concerns raised by members of the public, referrals from other public bodies (including overseas regulators or investigatory bodies), or by information received from other sources (e.g. from press monitoring or during the course of routine inspections to registered ophthalmic premises).

10. If either Party receives intelligence which:

• indicates a significant risk to the health and wellbeing of the public, particularly in relation to the fitness of a GOC registrant to practise;
• indicates a significant risk of fraudulent activity against the NHS; and/or
• requires a coordinated multi-agency response;

this information will be shared in confidence with the contact specified below within the other Party at the earliest possible opportunity.

11. The NHS Counter Fraud Authority has a duty, under the National Health Service (Performers Lists) Regulations 2013, to respond to enquiries from persons, bodies or agencies considering applications from individuals or body corporates for inclusion on an ophthalmic performers list, whether the individuals or directors of the body corporates have any record of, or are under investigation for, fraud. To facilitate these checks, it is important that intelligence held by the General Optical Council relating to fraud offences by its registrants is shared with the NHS Counter Fraud Authority on a timely basis. The regulations can be viewed at:

http://www.legislation.gov.uk/uksi/2013/335/pdfs/uksi_20130335_en.pdf

12. The NHS Counter Fraud Authority has a responsibility to protect NHS staff, patients and resources from fraud, bribery and corruption, by way of effective prevention, detection and enforcement action against those committing fraud. To facilitate this work, it is important that intelligence held by the General Optical Council relating to registrants’ fitness to practise is shared with the NHS Counter Fraud Authority in a timely manner.

13. The General Optical Council is responsible for regulating the ophthalmic profession, which includes taking action when allegations are received which question the fitness to practise of its registrants. This can include allegations relating to fraudulent activity. To facilitate this work, it is important that intelligence held by the NHS Counter Fraud Authority relating to investigations into opticians or ophthalmic care professionals is shared with the General Optical Council in a timely manner.

Investigation

14. Where the General Optical Council becomes aware of allegations relating to fraud, corruption or bribery against a registrant working in or for the NHS in England or Wales (or indeed, where there are misdirected allegations against other NHS staff) the matter must be reported to the NHS Counter Fraud Authority as soon as possible in order to ensure it is investigated appropriately and to maximise the chances of financial recovery.

15. Reports to the NHS Counter Fraud Authority can be made via the freephone NHS Fraud and Corruption Reporting hotline on 0800 028 4060 or by completing an online form at www.reportnhsfraud.nhs.uk. The latter method is encouraged as this will enable the General Optical Council, as a healthcare regulatory body, to create an online account for reporting allegations of fraud, or corruption in the NHS. By having an account, the General Optical Council will be able to report matters quickly and more efficiently as and when they arise and will be able to monitor progress of reports made.

16. In cases where there are other allegations of dishonesty or criminality, the General Optical Council will disclose relevant information and documentation to the NHS Counter Fraud Authority where such allegations are relevant to the NHS Counter Fraud Authority’s core functions. However, whether such disclosure takes place will depend on the circumstances of the case and the seriousness of the allegations.

17. In cases where the General Optical Council is in doubt as to whether a case should be disclosed to the NHS Counter Fraud Authority, they will make contact with the point of contact specified below in order to discuss the matter. Any discussions at this stage will be anonymised. The General Optical Council will be able to rely on the fact that if the specified NHS Counter Fraud Authority contact indicates that they wish to receive full disclosure, this will be on the basis that it is essential for the NHS Counter Fraud Authority’s core purpose or is in the public interest.

18. Where the NHS Counter Fraud Authority is aware that during or following an investigation, evidence exists that an optician or ophthalmic care professional has been involved in fraud, corruption or bribery, the General Optical Council will be informed of such matters. The General Optical Council will consider whether any further investigation needs to be carried out and/or whether the registrant(s) should become subject to its fitness to practise process.

19. In cases where the NHS Counter Fraud Authority is in doubt as to whether a case should be disclosed to the General Optical Council, they will make contact with the point of contact specified below in order to discuss the matter. Any discussions at this stage will be anonymised. The NHS Counter Fraud Authority will be able to rely on the fact that if the specified General Optical Council contact indicates that they wish to receive full disclosure, this will be on the basis that that is essential for the General Optical Council’s overarching objective to protect the public or is in the public interest.

20. Where a case has resulted in a criminal prosecution, the NHS Counter Fraud Authority will share details of the case with the General Optical Council. That information will already be in the public domain and consent to disclose that information will not be required.

21. In cases where an investigation has concluded that there was no criminal activity but indicates there may be concerns about the activities of a General Optical Council registrant the information will be passed to the General Optical Council to enable the General Optical Council to decide on the seriousness of the allegations and whether the registrant(s) should become subject to its fitness to practise process. The General Optical Council will share that information with the registrant and their representatives and other third parties involved in the case (where appropriate) and through the provision of that information to the General Optical Council, the NHS Counter Fraud Authority is consenting to the disclosure of that information. This information will be disclosed for a non-law enforcement purpose under UK GDPR Article 6 (1)(e).

22. When information is disclosed to the General Optical Council there will be a discussion in advance about the timing of any action that the General Optical Council may consider appropriate, including disclosure of the case to the employer and individual involved. The General Optical Council will consider any request to delay action which may compromise any current NHS Counter Fraud Authority investigation. However, the NHS Counter Fraud Authority recognises that action may need to be taken by the General Optical Council where it is in the public interest to do so.

23. In cases where the NHS Counter Fraud Authority becomes aware of allegations or evidence that an individual may be posing as a registered (or licensed) or competent registrant, either through a stolen identity, fraudulently acquired registration or through falsified qualifications, the NHS Counter Fraud Authority will immediately contact the General Optical Council via the point of contact specified below. The NHS Counter Fraud Authority will provide all available information that might suggest that an individual is falsely posing as qualified, competent or as a General Optical Council registrant. In these cases, the primary concern for the Parties will be patient safety. The General Optical Council will take whatever action is appropriate in the interests of protecting patients.

24. There may be occasions when the Parties need to undertake concurrent investigations. When this occurs the Parties will take steps to ensure that they do not undermine the progress and/or success of each other’s investigation. This may include allowing criminal investigations to take place as a priority. There may, however, be occasions when the General Optical Council will need to act swiftly to take steps to protect public safety and would do so with due regard for other known ongoing investigations.

25. Where either Party intends to undertake an investigation the contact in the other Party specified below should be alerted, in confidence, at the earliest possible opportunity.

26. Outcomes arising from any relevant investigations actioned by either Party will be shared with the contact specified below at the earliest possible opportunity.

27. Where joint or parallel investigations are required, preliminary discussions should resolve any potential areas of conflict or overlap, arising from each Party’s respective powers.

Enforcement

28. Where the NHS Counter Fraud Authority has taken or intends to take enforcement action or the General Optical Council intends to take action, the outcome of which is relevant to the other Party, details will be shared at the earliest possible opportunity with the contact specified below.

Types of Information

29. The UK General Data Protection Regulation (GDPR) essentially defines the following classes of information relevant to this agreement, “Personal Data” “Special Categories of Personal Data and Data Relating to Criminal Convictions and Offences”.

30. The Caldicott Information Governance Review 2013, commissioned by the Department of Health, introduced the term ‘person identifiable information’ across the healthcare system to widen the interpretation of ‘personal data’ and ‘sensitive data’ for patient identifiable information.

Personal Data

31. Personal data are defined as “…any information relating to an identified or identifiable natural person. An identifiable natural person is one who can be identified directly or indirectly, in particular by reference to an identifier such as a name, an identification number, location data, an online identifier or to one or more factors specific to the physical, physiological, genetic, mental, economic, cultural or social identity of that natural person’.

32. The obtaining, handling, use and disclosure of personal data is principally governed by the UK GDPR, the Data Protection Act (DPA) 2018, Article 8 of the Human Rights Act 1998, and the common law duty of confidentiality.

33.The law imposes obligations and restrictions on the way personal data is processed and the individual who is the subject of the data (the “data subject”) has the right to know who holds their data and how such data are or will be processed, including how such data are to be shared.

Special Categories of Personal Data (Sensitive Data)

34. Certain types of data are referred to as “sensitive personal data”. These are data which relate to the data subject’s:

• Racial or ethnic origin;
• Political opinions;
• Religious beliefs, or other beliefs of a similar nature;
• Trade union membership;
• Processing of genetic data, biometric data for the purpose of uniquely identifying a natural person;
• Data concerning health
• Sexual life;

Additional and more stringent obligations and restrictions apply whenever sensitive personal data is processed.

Data Relating to Criminal Convictions and Offences

35. There are separate safeguards for personal data relating to criminal convictions and offences, set out in article 10 of the UK GDPR. To process personal data regarding convictions or offences there must be a lawful basis under UK GDPR Article 6 and legal/official authority under Article 10.

Person Identifiable Information

36. In 2013 the Department of Health published the Caldicott Information Governance Review, which was an independent review of how information about patients is shared across the health and care system. The review introduced the term ‘person identifiable information’ to describe ‘personal’ and ‘sensitive’ information about identified or identifiable individuals, which should be kept private or secret. The purpose of the review was to ensure that person identifiable information is only shared for justified purposes and that only the minimum necessary information is transferred in each case. The Caldicott Information Governance Review can be found at:

https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/192572/2900774_InfoGovernance_accv2.pdf

37. In keeping with the recommendations, the NHS Counter Fraud Authority have nominated a senior person (refer Appendix A) to act as a guardian responsible for safeguarding the confidentiality of patient information.

Data Control

38. Under the UK GDPR, any natural or legal person, public authority, agency or other body which, alone or jointly with others, determines the purposes and means of the processing of personal data is called a “data controller”. All data controllers are required to comply with the UK GDPR whenever they process personal data. At all times, when providing data to partners, the partner responsible for delivering a service will be considered the “data controller”.

39. Under the framework of this ISA, the parties are each data controllers in their own right. The GOC is a data controller in respect of the information it holds and accordingly the NHSCFA is a data controller in respect of the information it holds. It is not the intention of either party that they will act as joint data controllers at any time of any shared data. When sharing information each party will retain distinct legal responsibility for the handling of information that it acquires for the purpose of its statutory functions.

Sharing Framework

40. The Parties agree and acknowledge that they each collect and store information. Where the Parties decide to share information with each other, it will share that information according to the Information Sharing Protocol described below and with due regard to the anti-fraud requirements in the NHS Standard Contract, which can be found at:

06-short-form-standard-contract-22-23-service-conditions.pdf (england.nhs.uk)

41. The Parties agree to share information with each other in order to assist with anti-fraud work (for example to identify fraudulent or suspicious invoices for NHS payment, to establish fraud trends in the procurement process, to identify individuals or companies suspected of fraud and to prevent fraudulent or similarly inappropriate payments from being made).

42. When the giving Party discloses information to the receiving Party, that information shall be disclosed for the purposes of the prevention, detection, investigation and prosecution of fraud or any other unlawful activity affecting the NHS, as set out in The NHS Counter Fraud Authority (Establishment, Constitution and Staff and Other Transfer Provisions) Order 2017 which can be found at:

http://www.legislation.gov.uk/uksi/2017/958/part/3/made

43. Where the giving Party shares information with the receiving Party, it may share the information in any manner it considers appropriate, although the receiving Party may from time to time make recommendations to the giving Party as to the most practicable means by which information may be shared.

44.If the Parties wish to share information electronically, it will be in a mutually compatible IT format and shared in a secure method.

45. In relation to the sharing of information, each of the Parties shall take all measures necessary to ensure their respective compliance with all relevant legislation, including, but not limited to, regulations or restrictions regarding disclosure of information to third parties. Each Party will be responsible for processing information in accordance with all applicable data privacy and related regulations (UK GDPR and Data Protection Act) In particular, information held by either Party will not be kept for longer than provided for under the GDPR obligations, and will be destroyed in an appropriate manner conforming to the GDPR obligations when no longer required, in compliance with the parties’ respective Retention and Destruction Policy:

Data handling/retention policy | Record management | NHS Counter Fraud Authority (cfa.nhs.uk)

46. The information provided by the giving Party shall be accessed by authorised personnel within the receiving Party. Both protectively marked material and non-protectively marked material (see below), whether in hard-copy or electronic format, held by either Party, will be stored securely.

Information Sharing Protocol

47. Information disclosed by either Party will comply with the Government Security Classification System (GSC), referenced here:

Government Security Classifications Policy June 2023.docx (publishing.service.gov.uk)

48. Each piece of information will be assigned a level of protection for its handling, processing, storage and movement. All material with a protective marking will be, where possible, marked at the top and bottom and page numbered, and will have a distribution list.

49. Most information will fall under the “Official” classification, but may need to be further marked to indicate that extra care should be taken when handling the information. If that is the case the marking “Official-Sensitive” should be used. This will be applicable if compromise or loss of the information could have damaging consequences for an individual.

50. The Parties agree that, in relation to information marked ‘Official’ or ‘Official Sensitive ‘it will not:

1. disclose, release, communicate, or otherwise make available, the information to any other individual, organisation or third party not directly connected with the work involved without prior agreement and approval of the giving Party, except in the form of non-disclosive statistical data, anonymised data or conclusions;
2. use the information for any commercial, industrial or other purpose; or
3. copy, adapt, duplicate or otherwise reproduce the information save as provided in this Agreement.

51. If there is a need for either Party to disclose or supply information to law enforcement agencies, government departments and agencies, or any specified external body for the purposes of anti-fraud activities, full records will be kept of when and what information is disclosed or supplied to external bodies.

Lawful Use of Information

52. In writing this Agreement due attention has been paid to the views of the Parties where possible, and all guidance has been written to ensure that the processing of shared information is accurate, necessary, secure, legal and ethical, taking into account relevant legislation where applicable, including:

• NHS Act 2006;
• Freedom of Information Act 2000;
• UK General Data Protection Regulation
• Data Protection Act 2018
• Human Rights Act 1998;
• NHSCounter Fraud Authority (Establishment, Constitution and Staff and other Transfer Provisions) 2017
• Equality Act 2010.
• Access to Health Records Act 1990;
• Computer Misuse Act 1990;
• Confidentiality: NHS Code of Practice
• Opticians Act 1989

53. The Secretary of State for Health has responsibility to make arrangements for healthcare provision nationally and to comply with legislation. The Secretary of State for Health, acting through the NHS Counter Fraud Authority, has a responsibility to ensure healthcare provision is protected from fraud and other unlawful activities. It is therefore appropriate that information relating to the administration of NHS business may be used for these purposes provided that the requirements of law and policy are satisfied.

54. Information shared between the Parties will only be used for the purpose(s) specified in this Agreement and its use will comply with the NHS Counter Fraud Authority information security policy and operating procedures.

55. Part 10 of the NHS Act 2006 makes provision for the protection of the NHS from fraud and other unlawful activities. The NHS Act 2006 confers powers upon the NHS Counter Fraud Authority as the statutory body responsible for tackling crime across the NHS, to require the production of information or data from an NHS contractor (defined as any person or organisation providing services of any description under arrangements made with an NHS body) in connection with the exercise of the Secretary of State for Health’s counter fraud functions.

56. The statutory duties and powers of the NHSCFA are set out in Part 4 of the NHS Counter Fraud Authority (Establishment, Constitution and Staff and Other Transfer Provisions) Order 2017 . NHSCFA has further duties under Part 10 of the NHS Act 2006 and the Health and Social Care Act 2012.

Operational work undertaken by NHSCFA is carried out under Article 6, para (e) and Article 9(2) paras (f) and/or (g) UK GDPR, in respect of special category data.

The processing of special category personal data and criminal convictions is carried out under Schedule 1 Paragraph 6 (statutory etc and government purposes) and Paragraph 10 (preventing or detecting unlawful acts) of the DPA, providing processing of personal data for substantial public interest.

Additional conditions apply under Schedule 8 where NHSCFA is undertaking sensitive processing for lawful enforcement purposes under Part 3 of the DPA.

57. The disclosure of information or data by the General Optical Council to the NHS Counter Fraud Authority will be actioned within a legal framework, as permitted under Part 10 of the NHS Act 2006 and Article 6 , para (e), Article 9(2) paras (f) and/or (g) and Article 10 of the UK GDPR and Part 3 of the DPA 2018, and in accordance with the powers contained in part 4 of NHS Counter Fraud Authority (Establishment, Constitution, and Staff and other Transfer Provisions) 2017 These can be found at:

• NHS Act 2006, Part 10:

http://www.legislation.gov.uk/ukpga/2006/41/part/10

• Data Protection Act 2018, Part 3:

• Secretary of State for Health’s counter fraud functions:

http://www.legislation.gov.uk/uksi/2017/958/article/4/made

58. Information or data supplied by the General Optical Council to the NHS Counter Fraud Authority may be used by the NHS Counter Fraud Authority for criminal prosecution purposes if the information or data demonstrates evidence of fraud or other unlawful activities against the NHS and/or the information forms a material part of an investigation.

59. The General Optical Council will share personal data with the NHS Counter Fraud Authority under this ISA when the conditions set out in Article 6(1)(e) of the GDPR are met. The GOC will share special category data and personal data relating to criminal convictions and offences when one of the additional conditions set out in Part 2 and/or 3 of Schedule 1 of the DPA is met.

60. Personal data collected by the NHS Counter Fraud Authority is only to be shared with the General Optical Council for a non-law enforcement process authorised by law as permitted by Section 36(4) of the Data Protection Act.

Access and Individual Rights

61. Both the General Optical Council and the NHS Counter Fraud Authority as public sector health bodies are subject to the Freedom of Information Act 2000. Therefore the disclosure of information by the parties is subject to Freedom of Information provisions. The principles of the Freedom of Information Act 2000 apply and nothing provided in this Agreement is confidential to either Party to this Agreement. Where disclosure of information is likely to affect the interests of the partner organisation appropriate steps should be taken by the recipient of the request to consult with the other party and inform the other party of their duty to comply with the request as recommended in the Freedom of Information Act Section 45 Code of Practice.

https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/235286/0033.pdf

62. The Parties are subject to the UK GDPR. Under the UK GDPR data subjects can ask to see the information that is held on computer and in some paper records about them. This is called a Data Subject Access Request. If data subjects wish to know what information is held about them, request data to be rectified or erased, requests must be addressed to the Party processing the information following their official Data Subject Access Request process.

63. If a Party receives a Data Subject Access Request, it will be the responsibility of that Party to follow its organisational guidelines and to deal with the request in line with the UK GDPR and Data Protection Act 2018.

64. Complaints from data subjects about personal or sensitive information held by either Party must be made in writing to the person or organisation holding the information, detailing the reasons for the complaint. Complaints must be addressed to the relevant person or organisation following their official complaints process.

Security of Information

65. Both the General Optical Council and the NHS Counter Fraud Authority, as functional administrators of NHS business, are registered with the Information Commissioner’s Office on the Data Protection Register. Registration entry can be found at:

http://www.ico.org.uk/esdwebpages/search

The General Optical Council Registration number: Z5718812

The NHS Counter Fraud Authority Registration number: ZA290744

66. Regardless of the type of information being accessed, processed and stored, security is considered of paramount importance. All information held by the Parties are held on secure servers, with access restricted to internal use by appropriately authorised members of staff. As data controllers for the information they collect, the Parties are expected to treat all information in accordance with the UK GDPR and ensure that security is in place sufficient to protect the information from unauthorised access. This includes physical security, such as adhering to organisational clear desk policies and adequate protection for premises when unattended, to IT related security such as passwords, secure IDs and secure servers.

67. It is understood that each Party may have differing security needs, however it is important that all reasonable steps are made to ensure information is kept private and confidential at all times. Each Party is expected to comply with their own Information Security Policy and operating procedures and to make staff aware of their obligations in this respect. As administrators of NHS business, the Parties are also expected to comply with the standard requirements in the NHS Code of Practice for Information Security Management and the NHS Information Governance Guidance on Legal and Professional Obligations, which can be found at:

https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/200506/Information_Security_Management_-_NHS_Code_of_Practice.pdf

https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/200702/NHS_Information_Governance_Guidance_on_Legal_and_Professional_Obligations.pdf

68. Each Party’s responsible officer for information governance will ensure that their staff know, understand and guarantee to maintain the confidentiality and security of the information and will ensure that anyone involved with the processing of the information is aware of the penalties of wrongful disclosure.

69. Due to the sensitive nature of operational work carried out by the NHS Counter Fraud Authority, much of the information held by the NHS Counter Fraud Authority is of a sensitive nature and is classified by central government as “Official” or “Official-Sensitive”. The NHS Counter Fraud Authority therefore uses the secure Public Service Network (PSN) in its operations and in so doing complies with the standard requirements in the code of conduct for Government Connect.

70. The Parties must take appropriate technical and organisational measures against unauthorised or unlawful accessing and/or processing of information and against accidental loss or destruction of, or damage to, information. This will include:

• Appropriate technological security measures, having regard to the state of technology available and the cost of implementing such technology, and the nature of the information being protected;

• Secure physical storage and management of non-electronic information;

• Password protected computer systems;

• Ensuring information is only held for as long as is necessary, in line with Data Protection Obligations;

• Appropriate security on external routes into the organisation, for example internet firewalls and secure dial-in facilities.

71. Each Party is responsible for its own compliance with security in respect of the UK GDPR and DPA 2018, irrespective of the specific terms of this Agreement.

72. The physical and technical security of the information will be maintained at all times. No disclosable information will be sent by fax or email (unless via PSN or NHS.net networks) and, if posted, will be encrypted to approved standards to protect the information and dispatched by Royal Mail Special Delivery service or by courier. The preferred method of information transfer for general enquiries, general communications and small data attachments (for example, Microsoft or PDF files not exceeding 15 MB) and large volume information sharing (such as downloads of complete data sets where size exceeds 15MB)will be by email (via PSN ).The NHS Counter Fraud Authority uses Egress Switch to send data securely using the ‘official’ (‘official sensitive’) marking under the Government Classification Scheme.

73. For each Party, access to the information will be restricted to those staff with a warranted business case. Access to information will be via restricted-access password protection and be capable of audit. The means of access to the information (such as passwords) will be kept secure.

74. Laptops used to access information must be encrypted and secured to an HM Government approved or recognised level, commensurate with the level of the protective marking of the information involved as will any network they are connected to.

75. The Parties may be required to provide copies of any audits conducted during the period of the Agreement, including any audit arrangements or implementation plans.

Information Governance

Retention and Deletion

76. Information shall be stored in accordance with the Parties’ records retention and disposal schedule.

In the absence of a records and disposal schedule, or a statutory retention period, the information shall not be retained for longer than is necessary to fulfil the specified purpose or purposes.

Breach and Dispute Procedures

77. The Parties agree to report immediately instances of breaches to any of the terms of this Agreement and to raise an appropriate security incident, in line with the Information Commissioners Guidance on Data Security Breaches.

78. Any disputes arising between the giving and receiving Parties will be resolved initially between the principles of this Agreement. Otherwise, outstanding issues will be referred to an Executive Group established on behalf of each Party.

79. The Parties will monitor and review information shared and the impact of the agreement on a regular basis. In future, this may include the production of periodic monitoring reports that cover the frequency, or number, of interactions, the nature of the shared information and joint working and the impact that the cooperation of the two organisations has had.

Audit Arrangements

80. The Parties will maintain an information sharing log in respect of the agreement.

The log will contain:

• A record of the NHS Counter Fraud Authority information disclosed;

• A record of information disclosed to the NHS Counter Fraud Authority;

• The decision of justification to disclose or not to disclose;

• An access list recording the authorising officer;

• Notes of meetings with partners;

• A record of any review of the agreement.

Point of Contact

81. The Parties agree to, when possible, share information using a single point of contact (SPOC) (Appendix A). The single point of contact will be responsible for sending and receiving shared information, and will act as facilitator for enquiries (however, this person may not necessarily be the end user or processor of the information).

82. The Parties acknowledge that points of contact within either Party may differ over time due to the nature of investigative activities and the appropriateness of Party involvement. The Parties may nominate an appropriate alternative point of contact for day-to-day communication and/or joint-working in the event of a NHS Counter Fraud Authority investigation taking place which involves a specialised area of business, specialist knowledge or a particular expertise. The nominated person(s) will therefore act as single point of contact for investigation purposes. A single point of contact who understands fraud investigations and what is required to a criminal standard is essential to enable investigators to exchange crucial information in a timely manner, to prevent contradictory information being exchanged, and to ensure delays are minimised.

Term of Agreement

83. This Agreement shall commence on the date of its signature by the Parties and remain in effect for a term of one year. Upon its anniversary the agreement with be reviewed and re-negotiated by the Parties. The Agreement may be reviewed more urgently at any time at the request of either party.

84. Either Party may terminate or re-negotiate this Agreement at any time upon giving the other Party one month’s notice in writing of its intention to do so.

85. This Agreement is not legally binding and is not intended to create legal relationships between the Parties.