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Assurance Team is
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PLEASE READ BEFORE STARTING TO COMPLETE THE DATA FLOW WORKSHEETS
This tool must be completed to capture the routine transfers of personal confidential information
such as:
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Service User Information
Health Records
Referral letters
Clinic letters
Routine appointment letters
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Discharge summaries/letters
Care Plans
Reports
Assessments
Specimens; results
Other: Any communication to or from an individual or organisation agency such as:
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Police
Education
Probation
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Voluntary service
Solicitor
This tool must be completed for information, which is only sent or transferred via:
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Email
Courier – ERSM, Box-it, PHS file store, Other
Fax
By Hand
Post – Royal Mail
Step 1:
Save this spreadsheet ensuring your division and team name, the version number and the date are
included in the file name.
The format should be like this example - ISD South East - MSK Services Gosport CCT v1 15.04.2016
Example:
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Step 2:
Decide which flow you are going to complete first: Inbound or Outbound
Access the appropriate worksheet by clicking on the relevant tab below.
If you are completing on behalf of a team that is based on more than one site you will have to create
additional tabs to reflect this - e.g. IB Lymington, OB Lymington, IB Parklands, OB Parklands….etc.
To create a new tab in a spreadsheet and retain the formatting and drop down tabs you must - Right
click on the tab you wish to copy and choose:
Select: Move or Copy….
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Highlight the sheet you wish to copy from the list and tick the ‘create a copy’ box and click OK. You
will see a new tab with the name of the original tab and the addition of (2). To rename the tabs to
reflect your various bases right click on the tab you wish to name and chose ‘Rename’. The existing
tab name will be highlighted and you can then simply type the new name.
Don't forget to rename the existing tabs with their locations.
Inbound data sheet
Fields A1:A7 - Team Information
Please complete the following fields with information to reflect the team you are completing on
behalf of:
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Site name
Directorate
Team/Service
Person completing form (IAA)
Telephone Number
The date the dataflow mapping was completed for the first time
The date of this dataflow mapping review/update
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Example:
Data Types
There are only 4 drop down fields to choose from in Cell A8
(Please do not ‘free text type’ in these fields)
1.
2.
3.
4.
Clinical Documentation/ Specimens
Communications to Patients
Corporate Information
Personnel Records (Staff)
Example:
Both the inbound and outbound worksheets are very similar - so the following steps apply to both
(with the exception of Fields A1 - A7 on the inbound sheet).
Please Note: Some items will need to be on both inbound and outbound sheets.
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Step 3:
Think about all the regular documents containing PID that are received or sent in or out of your
team/area/service. Using the guidance below group them to the following 4 data types below:
Data Type
Clinical Documentation/ Specimens
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Communications to Patients
Corporate Information
3
Personnel (Staff) Records
4
Examples
Assessments
Care plans
Reports
Diagnostic results/reports
X-rays
Specimens
Discharge letters
Paper health records
Referrals
Regular/ routine appointment letters
Copies of care plans
Discharge letters
Complaints
Subject Access Requests (SARs)
Finance documents
Court Orders
Freedom of Information requests (FOI)
Sickness forms
Contracts
Variation forms
Payslips
Important: It is necessary to evaluate your documents and group them because you only need to
enter one row for each data type, unless you send to more than one place.
Entering the data
(Cell A8) What is the data type?
Select the data item from drop down list e.g. for a sickness form, choose ‘Personnel (Staff) Records’
Example:
(Cell B8) Is it Bulk data?
Indicate whether the item is "bulk" – (i.e. relating to more than 50 individuals, e.g. lists)
Select: Yes or No from the drop down list
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(Cell C8) Is it Sensitive data?
Indicate whether the item contains sensitive information:
For example:
 Physical health
 Mental health or care information
 Sexuality
 Ethnicity
 Financial
 Religion
 Political Beliefs
Select: Yes or No from the drop down list
Please note: regular/routine appointment letters are not expected to contain sensitive information
therefore, when completing the above question, No, should be recorded to reflect this.
(Cell D8) Location type?
Indicate whether this is an internal or external transfer.
For Example:
 Is location type INTERNAL (within Southern Health organisation) OR
 EXTERNAL (other organisation)?
Select: Internal or external from the drop down list
(Cell E8) If internal, is location situated off site? (Not the same location as you are based)
Select: Yes or No from the drop down list
(Cell F8) If internal, which location is it from? – If you receive (or send) to less than 5 sites, please
choose the site from the drop down list.
Example:
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In the example, if you send ‘Personnel (Staff) Records’ to 3 off site locations then please create a row
for each instance. If however, you send or receive the same document type from 5 or more SHFT
locations please choose ‘Multiple Trust Wide Sites’. In this case you only need complete one row to
cover all instances.
Example:
Multiple Trust Wide Sites
3 off site locations
(Cell G8) If external, which location is it from?
Use the drop down list to identify whether the transfer was within or outside the UK.
Example:
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(Cell H8) If external, which organisation? - use the
drop down list to identify the type of organisation the information came from/is going to.
Example:
Remember: the same rules apply if you send ‘Personnel (Staff) Records’ to 3 external locations then
please create a row for each instance. (See example on page 8)
(Cell I8, Cell M8, Q8, S8 & Cell U8) Mode of transfer:
For example:
 Email
 Courier
 Fax
 By Hand
 Post Royal Mail
Please Note: We are only interested in whether you transfer data via Email, Courier or by Post.
Example:
(Cell M8)
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If the answer to Email is yes, please complete the supplementary questions.
Example:
Select either or both transfer modes using the drop down menu’s as shown.
Example:
(Cell 18)
(Cell U8)
If the answer to the lead question is courier or yes, please complete the supplementary questions.
Example:
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If the answer to the lead question is 'no', then please leave the supplementary questions blank.
Example:
And finally……….
Please don’t forget to save your spreadsheet in the following format (example has been shown at
the beginning of the document)
The format should be like this example:
Corporate – Information Assurance Team v3 07 05 15
Then send to the IG Team at:
[email protected]
If you need any further support please contact either:
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[email protected] – 01962 763986
[email protected] – 01962 763931
[email protected] – 01962 763937
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