Record Creation 1. General Points

• All NHS Doncaster CCG records should be created in Arial typeface (12 font) where a pre-existing bespoke system does not use an alternative.

• The use of jargon or initials should be avoided where possible.

• Access controls (who will be able to view the record) should be determined when files are created.

• All records should include the NHS Doncaster CCG name or logo.

• Text should not be ‘justified’ i.e. it should be aligned to the left hand side of the page.

• All reviewed records e.g. forms, policies etc. will include a version number to ensure that old versions are not accidentally used. The individual who ‘owns’ the record should retain all versions in case of future queries.

• Referencing/Naming – each document or record should be referenced in a way which can be easily understood by others to help data retrieval at a later date.

• Protective marking - Records may be classified into one of several categories, e.g. draft, confidential – this should be noted on the folder or record where relevant to reduce the likelihood of confusion or accidental viewing. Consideration should be given when

creating a record as to whether this should be published proactively on the organisation’s model Freedom of Information Act publication scheme.

• All formal documents should have page numbers in the format Page 1, 2, 3 etc of 25.

4.2. Templates for Meeting Papers, Letters and Faxes

• Templates for Meeting Papers (formal minutes and agendas), letters and faxes will be available on the Shared Drive.

52 4.3. Email

• All e-mails should have a subject heading that is relevant to the email but which does not contain personal or sensitive information.

All email should include at the end a name, contact details and a standard confidentiality statement.

4.4. Leaflets and Information for the Public

• These should follow the guidance in the organisation Communication Strategy and associated guidance.

4.5. Scanning Documents

• Documents received in hard copy only may be scanned in using NHS Doncaster CCG approved equipment but must be saved as an image which can be retrieved through effective electronic filing systems. Documents must only be scanned in such a way as to provide an exact image of the original. Care should be taken when scanning records to ensure the image is readable and that the whole page has been scanned correctly. Provided quality checks are in place there is no need to retain the original paper record once the image has been completed. Where scanning is proposed, other factors to be taken into account include:

o The costs of the initial and then any later media conversion to the required standard, bearing in mind the length of the retention period for which the records are required to be kept.

o The need to consult in advance with the local Place of Deposit or The National Archives with regard to records which may have archival value, as the value may include the format in which it was created.

• Before scanning a record you should consider who you may need to present the scanned documents to and whether they would accept scanned copies as evidence of a transaction. The following list provides further examples of when it may not be suitable to scan the record:

o Where the original copy of a record is poor quality and a legible image cannot be obtained.

o Where the original document contains physical amendments or annotations, or Tipex that cannot be identified on a

scanned image.

o Where the record is regularly amended. It is unsuitable to scan a series of records which you are still adding to.

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• You should ALWAYS check the quality of the scanned copy before destroying the original document.

• Scanner resolution is typically measured in dots per inch (dpi). The higher the resolution, the finer the detail captured. On the other hand the higher the resolution the larger the file size. A balance needs to be achieved between detail and file size.

• You should choose to scan all records to a Portable Document Format (PDF file). PDF files are non-editable, ensuring the

authenticity of the record as it can not be altered once it has been scanned. This is especially important if you are destroying the original paper record.

4.6. Records Filing

• All records within a filing system should have an index. Records should be filed in an agreed order most appropriate to the class of record. File labels/titles should represent the titles given on the enclosed documents as far as possible. Acronyms and

abbreviations should be avoided except where an explanation is clearly provided.

• The file cover/folder should contain the date for destruction (if applicable) and/or any restrictions e.g. ‘Private and Confidential’ to reduce the likelihood of accidental viewing.

4.7. Electronic Records

• Records on shared servers (e.g. S-drive) should be broken down into directorates and teams, then folders should be created with titles to represent the enclosed documents. The folder titles will be stored in alphabetical order automatically by the system. In this way, the paper filing system will be mirrored. Individual documents should be identifiable i.e. by subject/date/draft number.

• All records which may need to be accessed by another member of staff should be stored in a shared area. If files are confidential, folders can have restricted access (by contacting the IT Helpdesk) so that only designated individuals can view these areas.

• Any Personal Confidential Information that is received and stored on the network must be stored on a network drive securely and in a designated folder that has access restricted to only those who need to access the data in order to perform their role. This acts as a Safe Haven.

• Safe Haven folders should have access restrictions imposed by the IT Helpdesk and the IT Helpdesk should be advised that access requests for that location must be approved by the relevant folder

54 owner. Only personal information which will never be required by other members of staff should be stored on personal areas of the server (U:drives). Inappropriate storage of information on personal drives (U:drives) may lead to password sharing especially when members of staff are absent, which then allows access to all files in the personal drive. Any form of password sharing, except for some pre-agreed communal equipment, is a breach of this procedure and could result in disciplinary action.

• It is important that all relevant emails are filed with the appropriate file on the corporate shared drive and not just kept in email in-box folders. This ensures an accurate record is available to anyone when the recipient is absent.

4.8. Records on CDs/ floppy discs/Memory Sticks

• Some areas may have electronic information on CDs/floppy discs/encrypted memory sticks. Appropriately named folders should be created and maintained in alphabetical order. Any person identifiable or confidential information stored on removable media must be password protected or encrypted. The organisation provides encrypted memory sticks for use by staff and no other equipment should be used. The downloading of information to other types of portable media is actively discouraged and advice should be sought from the Corporate Services Team before any such action.

4.9. Photographs/Videos

• The organisation has collections of visual images – either as artistic images and still photographs (which may be prints, negatives, slides, transparencies, and electronic-readable images) or as moving images (film or video).

• In the case of photographs, the quality of image available from negatives or original prints should be considered and new prints may be made in cases where the original is deteriorating.

• It should be ensured that a consent form is filled in where

photographs / videos etc are taken of patients or members of the public, so they are aware of how their images will be used.

Completed consent forms are held locally.

5. Records Storage, Maintenance and Tracking