Practitioner Performance Advice

What data do we collect?

We will collect personal and special categories of information. We collect this information where it is necessary for the performance of a task carried out in the public interest or in the exercise of official authority vested in the data controller.

We will collect the following information in each of the situations set out below:

  • Practitioners and self-referring practitioners about whom we have been approached for advice (information as reported to us): name; gender; professional registration number; post/grade; specialty; length of time in post; contract type; age group at referral; ethnic group; disability status; place of first professional qualification (UK, European Economic Area (EEA) or Outside EEA); number of years worked in UK; and details of the reported performance concerns and the local management of the case (including investigation reports)
  • Employing/contracting organisations: name; work position; work address; contact details; and information about concerns and proposed management of cases
  • Practitioners referred for consideration of assessment: (in addition to information referred to in ‘Practitioners and self-referring practitioners about whom we have been approached for advice’ above.) contact details; qualifications; contract/employment status; work experience; scope of practice; information about investigations undertaken; information about occupational health assessments completed; equality and diversity details; and recommendations in relation to consideration of assessment
  • Practitioners engaging in assessment or professional support and remediation: (in addition to information in ‘Practitioners referred for assessment’ above)

Contact details; qualifications, contract/employment status; additional posts; work experience; scope of practice; workload; information about health; job plan; timetable; continuing professional activities; and equality and diversity details.

Information generated as part of the assessment process including:

  • information about your health (if consent is given to share this with us);
  •  information collected as part of the assessment of behavioural concerns;
  • information collected as part of the observation of clinical practice;
  • information collected as part of a clinical records review; and
  • information collected as part of a case based assessment.

As part of the assessment process, information about the practitioner being assessed will be shared with assessors undertaking the assessment on behalf of our service, which will include the information listed above.

  • Practitioners participating in Assisted Mediation: practitioner name; specialty; documentation of concerns; personal statements; mediation agreements; and correspondence explaining the outcome of mediation
  • Patients: details about care and information about a compliment or complaint made in relation to a practitioner about whom we have been approached for advice. (This information will often be anonymised or pseudonymised, and we may seek prior written consent, or the agreement of a parent/guardian, to use personal data in any assessment activity)
  • Colleagues of the practitioner: details about involvement in a case
  • Suspended/excluded practitioners: (in addition to information listed in ‘Practitioners referred for assessment’ above) start and end dates of suspensions or exclusions of individual practitioners from work and, thereby, information as to the duration of episodes and copies of suspension letters
  •  Healthcare professionals who are subject to Healthcare Professional Alert Notices: the request for the alert notice (including full name and last known address, national insurance number); (where applicable) professional body registration number; the gender and ethnic origin of the individual; a description of the capacity in which the individual was employed or engaged to provide services and in which it is thought possible they may seek work in the NHS. (Note: the reason for the request will include: a summary of all relevant information about the individual which supports the request; an assessment of the relevant risks; any advice taken; and any action already taken in respect of the individual concerned including copies of investigations/reviews (including any referral to the regulatory body)
  • Performers List: practitioner name; practitioner role; professional registration number; and practitioner address
  • Team reviews: practitioner names; personal details; specialty; any documents detailing concerns; and details of organisation requesting the review (name, work position, work address and contact details)

Collecting information on concerns

At the start of a case we record information about the concerns relevant to the case. This is normally based upon information given to us by the healthcare organisation that has contacted us.

This information covers ‘What types of concern/influence are suspected or confirmed?’ under seven headings:

  •  Clinical difficulties
  •  Governance/safety issues
  • Behavioural difficulties other than misconduct
  • Misconduct
  • Health problems including substance abuse
  • Work environment influences
  •  Personal circumstances other than ill health

We also record what actions are being taken locally.

Each of the headings on this page has a sub-menu of further information that can be selected (note: these are all pre-defined field descriptions. For example, clinical difficulties has 12 sub-options including ‘critical incident’, ‘consent’ and ‘consultation skills’).

This information serves as a summary of the concerns that are presented to us at the start of the case and the use of any of these categories does not represent any finding by NHS Resolution in relation to a practitioner’s performance.

This information may be amended at any time if we become aware of any errors or omissions. This information will also normally be checked again at the point of case closure.

How we use personal data

We use the information that we collect for the following reasons:

  • Advising and supporting healthcare organisations employing/contracting organisations where there is a concern about the performance of a dentist, doctor or pharmacist.
  • Monitoring the diversity of individuals referred to us (as required by the Secretary of State under the National Health Service Litigation Authority Directions 2013).
  • Engaging with individual practitioners who are the subject of concerns, including, where applicable, producing an assessment report, and where possible helping to develop a subsequent action plan.
  • Facilitating the carrying out of a review of the functioning of a clinical team.
  •  Monitoring suspensions and exclusions of dentists, doctors and some pharmacists from work.
  • Issuing alert notices in relation to healthcare professionals and maintaining the HPAN system.
  • Carrying out research, evaluation and educational activities relating to the services provided by us.

How we collect your data

Where we do not collect the data directly from the data subject, the data will have been obtained from the employing/contracting organisation or other practitioners.

Updating personal data

Where it is brought to our attention that personal data is factually incorrect or needs to be updated (for example, due to a change of circumstances) then we will correct or update our records as appropriate. For example, this may relate to name, date of birth, ethnicity, specialty etc.

This information will also normally be checked again at the point of case closure.

How long we keep your personal data

In order to determine how long we keep your personal data, we follow the NHS Records Management Code of Practice. You can find information about our retention schedules in our Records Management Policy – this document will outline the duration that we keep specific information for.

We specifically hold information referred to in the above sections for a period of 20 years. We hold information so that we can learn from the cases referred to us, to help us inform service improvements and to support practitioners and organisations to deliver safer care to patients.

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