Document Management. Children s Services. Guidance. Partner organisation logo Version: 3

Transcription

1 Document Management Children s Services Guidance Partner organisation logo Version: 3 Effective from: 8 Aug 2010 Revised: January 2014 Next review date: January 2016 Signed off by: Stuart Gallimore Title: Director of Operations, Children s Social Care Date: January 2014

2 Version: 3 Page 2 DOCUMENT MANAGEMENT FOR CHILDRENS SERVICES IN FRAMEWORKI INDEX INDEX Page INTRODUCTION 3 BUSINESS CONTEXT 3 DOCUMENT MANAGEMENT 3 E mails in 3 E mails out 4 Fax In 4 Fax Out 5 Paper mail in 5 Scanning 5 Hard copies 5 FILE LOCATION 6 NOTES 6 Note Types 6 General Notes 6 Warnings 6 Warning Types 6 ACTING FOR 7 Data Protection guidelines 7 ASSIGNING/REASSIGNING WORK 8 GUIDANCE ON RECORDING CONTACTS 8 GUIDANCE ON RECORDING CASE NOTES 9 SECURITY 10 STAKEHOLDERS 11 APPENDIX 1: GUIDANCE ON UPLOADING DOCUMENTS 13 APPENDIX 2: GUIDANCE ON NAMING CONVENTION 18 APPENDIX 3: ADDRESS CONFIDENTIALITY 20 APPENDIX 4: INFORMATION ON AN OPEN CASE 22 Author: Sue Price, Principal Manager Policy and Practice 2

3 Version: 3 Page 3 INTRODUCTION 1. This document is a guide to how document management should be undertaken following the introduction of the frameworki case management system, to Children s Services. 2. The information presented in this document is a result of consultation with both the business and with Support Services (ORMS). 3. The maintenance of the child s record is a shared activity and will involve both support staff and all the social care staff that are involved with a child at any one time. The child s record is a record of key information about the needs, interventions and outcomes for a child or young person. 4. The data and information under consideration is personal customer information and information about service providers. It may contain financial details and is generally considered to be information of the highest level of sensitivity, requiring enhanced security. Document Management Principles and use the most efficient approach and minimise duplication of effort wherever possible create a single view of the child enable decision making based on full current case information rationalise processes that are often time consuming and duplicated maximise new technology such as the GCSX secure network be consistently applied across all areas of the business be based on business requirements be underpinned by training, policy and guidance be in line with data security guidance BUSINESS CONTEXT 5. Children s Services provides family support to children in need and at risk of harm, services to children in care, and provides a range of placements for children not living at home. The Service works in accordance with legislation and practice guidance that is common to all local authorities. 6. Teams are based in a number of locations. In all these locations documents are received, generated and sent out using a variety of methods. DOCUMENT MANAGEMENT 7. Processes linked to the receipt, generation and communication of information can broadly be described as follows: E mails in: received directly from children or young people, from family members and from other professionals within and outside of the County Council, to the individual WSCC e mail address on Lotus Notes or Outlook. Author: Sue Price, Principal Manager Policy and Practice 3

4 Version: 3 Page 4 Currently, e mails containing sensitive or personal data cannot be received from Health, Police, and some other partner agencies via the standard Lotus Notes or Outlook addresses, as these are not secure sites. In order for such e mails to be received, they need to be sent to a GCSX secure network address. To acquire a secure address the owner needs to undertake on line security training and give an undertaking about care of this information. (see GCSX guidance) 8. If it is necessary to record the content of an on a child s record there are a number of options: Key points could be typed/ transcribed directly into the Case Note, or into a Contact. The Contact allows for further actions to take place depending on the decision made; the outcome chosen. This is particularly relevant if information about potential risk of harm to a child is received, on an open case (see APPENDIX 4). It allows a strategy meeting to be chosen as an outcome to start Child Protection activity, or it can be used to record a Missing Child (see MIN 19). You should not copy and paste text from an e mail into fwi as it can adversely impact the system, and affect the chronology function; only plain text can be recorded in Case Notes. Sometimes an e mail will have considerable content which you feel should be saved in it s entirety to the child s record; if so you will need to save and upload the into either the documents screen of an episode (if it is pertinent to that particular episode, and the episode is still available to edit) or it can be uploaded to on the blue button bar of the Child s record. (see guidance in APPENDIX 1 on uploading documents) This also applies to saving and uploading other documents. 9. It is good practice to record a case note, detailing what you have uploaded to frameworki, and what the upload is called. (see guidance below in APPENDIX 2 on naming conventions ). 10. If e mails have attachments that need to be uploaded to fwi you should detach them and follow the procedure for uploading (APPENDIX 1) and naming documents (APPENDIX 2). Before attempting to upload documents you should create a folder in your H:drive called frameworki Uploads. Anything you wish to upload into frameworki should be saved in a secure temporary location. The idea behind saving in your H:drive is that you will have a shorter path to find any documents you have saved. Once you have uploaded the document to frameworki it must be deleted from your H:drive. 11. E mails out: to other agencies containing sensitive information should only be sent using the GCSX secure network addresses. This restricts such communication to other Government agencies and does not cover the majority of Providers, the voluntary sector or others involved with a child. Where information is being sent to a child or parent without a secure e mail address the subject should be made aware of the slight risk that exists and have agreed to this through the existing Consent to Share. There is no functionality in frameworki for direct ing out. 12. E mails sent internally using the County Council network are not subject to the same GCSX requirement. However, it should be unnecessary to send fwi Author: Sue Price, Principal Manager Policy and Practice 4

5 Version: 3 Page 5 documents in this way unless the recipient does not have access to fwi. It should always be remembered that e mail communication about a child or family member will form part of the core record, and the content should therefore be couched in a professional manner. To upload s to the record please follow the procedure set out in APPENDIX Fax in: faxing remains a common method of communication due to the issue of insecure e mail addresses, and for organisations or individuals without access to a computer. Some faxes are typed, many are handwritten. 14. When using frameworki the same principles apply as to e mails in. Depending on the content of the fax it may be scanned and attached to the record, scanned and key data only input into a form, transcribed in full onto a frameworki form, or transcribed into a case note. 15. If a fax is legible, is communicating information and no response is required, then it should be scanned into the record and the paper copy destroyed. It is good practice to write a case note recording the receipt of the fax. 16. If a fax requires a decision and action then it should either be transcribed in full into a form (depending on length and legibility) or scanned, and key data entered into a form. This will ensure that an outcome is recorded and any necessary workflow commenced. If the fax is poor quality then it will need to be transcribed in full and recorded either as a Contact or a case note. 17. Fax out: Faxes are sent out from the business when onwards communication is required and the document is either not held electronically or should not be sent through an insecure network, due to its content. Faxes are frequently of forms already completed by the practitioner (e.g review forms). In these circumstances it may be appropriate to send a hard copy by post unless speed is the determining factor. A case note on the record should record this activity. 18. Paper mail in: In general, documents should be keyed in, in full or part, when received as a completed form either by fax, by post or e mail. 19. Scanning: Other documents will be scanned in order to achieve a single, integrated customer record. It must be determined whether the document is in a condition worth scanning. If it is unreadable, so will its image be. In this instance another option should be chosen; either transcribing the document or storing the paper version and noting this on the record. 20. Hard copies: Documents with customer signatures signifying agreement or consent to share information, etc should be scanned for general availability and kept in hard copy. This will ensure the highest level of integrity should the document be required in the event of legal challenge. Documents such as deeds, guarantees or certificates, which are not the property of the Council, must not be destroyed without the express written permission of the owner. It is reasonably safe to destroy a document when its image has been captured and managed in accord with the BIP 0008 Code of Practice. 21. There is a system stamp on all entries, which establishes ownerships and responsibility. System roles and responsibilities have been developed for frameworki in line with the corporate principles of data ownership. Author: Sue Price, Principal Manager Policy and Practice 5

6 Version: 3 Page 6 Customer Data Statement of Policy (PDF) accessible for staff through the search engine on the county council s intranet. The system has been set up to reflect these same principles. Decisions about making changes to the system set up will also be made in line with these principles. FILE LOCATION 22. File location for existing paper records, must be recorded on frameworki to enable the whole record to be accessed easily, and all records to be held and destroyed in line with current policies. NOTES File retention destruction policy children s services 2013 (PDF) (linked to MIN 30) From the customer s personal details screen there is a button called File location. This offers a picklist: Open Closed Deceased Archived Miscellaneous papers 23. Note Types : contains both general and warning type notes which, when entered, appear on the customer front screen. 24. General Notes: appear in black in the middle right of the screen and the title on the drop down list pulls through. The list is as follows: Access Information Allergies Communication Needs Consent to Share Information Cultural and Religious Needs Emergency Contact Other General Note 25. Warnings: Warning notes appear in red at the top left of the screen and the title on the drop down list does not pull through. Warnings must be entered and managed in accordance with MIN 25 and the Warning Information Policy. Warning information policy 2013 (PDF) (linked to MIN 30) This gives guidance on holding information in accordance with Data Protection guidelines which are set out below. 26. Warning types Potential Risk to Children Warning Potentially Violent Warning DOLS Authorisation Severe Allergy Warning Warning - Other Author: Sue Price, Principal Manager Policy and Practice 6

7 Version: 3 Page 7 ACTING FOR Data Protection guidelines: Personal data shall be managed in the following ways: 1. Fairly and lawfully processed. Whether the processing is 'fair' will depend on what expectation of privacy employees have in relation to their personal data. A thorough communication of the and internet policy will highlight to employees that they have no right to privacy in terms of their s or internet access. The policy informs them of the monitoring arrangements. Unless not practical, employees should be warned before their systems use is monitored. 2. Obtained only for 1 or more specified and lawful purposes. Personal data obtained pursuant to an investigation into systems misuse should not be used for any other purpose. 3. Adequate, relevant and not excessive. The investigation should monitor a limited time period and be a proportionate response to a genuine suspicion. 4. Accurate and, where necessary, kept up to date. 5. Not be kept for longer than is necessary. The information which arises during the investigation should be communicated to the relevant contact in HR immediately the investigation is finished. It should not be retained by IT Services. 6. Processed in accordance with the rights of data subjects under this Act. Individuals have a right of access to their personal data. The data used in the investigation may be disclosed to the individual unless this would be prejudicial to any potential criminal investigation. 7. Appropriate technical and organisational measures shall be taken against unauthorised or unlawful processing of personal data and against accidental loss or destruction of, or damage to, personal data. A nominated member of staff should carry out the investigations. Their reports are confidential and should be communicated to the HR department securely to prevent any unauthorised personnel obtaining access to the information. The information should not be disclosed to the individual's line manager by IT Services. 8. Not be transferred to a country or territory outside the European Economic Area unless that country or territory ensures an adequate level of protection for the rights and freedoms of data subjects in relation to the processing of personal data. 27. Acting for is a function within Frameworki that needs to be governed by a set of rules. Acting for another user confers all the system roles and authorisations on the delegated individual. 28. Each worker will have only one login. This login will be their main user record on frameworki. In addition to this main login, each user can optionally be set up to act for other users. 29. Managers and Senior Practitioners in similar teams can be set up to act for each other to maintain the flow of work, especially in relation to outcomes and authorization. In this way the Authorisation function that sits with managers can be shared with the Senior Practitioner, to authorise action, and to agree spend. If this is a regular part of a Senior Practitioners work then it would be preferable to give this Authorisation in their own right rather than as an act for function. 30. Sometimes workers will act for a different version of themselves. They will do this if they need to work under a different role to their normal one or if they Author: Sue Price, Principal Manager Policy and Practice 7

8 Version: 3 Page 8 need to access a different teams workload than their normal team. 31. Sometimes they will act for a virtual worker. This may be a virtual duty worker, or a virtual unallocated worker. 32. Admin staff will be set up to act for Virtual Admin workers in the relevant hubs/teams. 33. It is not acceptable for support staff to be given act for permissions for operational staff, and neither is it generally acceptable for staff to act above their grade when acting for. This should be by exception rather than rule. ASSIGNING/REASSIGNING WORK TO TEAMS OR TO WORKERS 34. In West Sussex we will be restricting the ability to assign work, to Team Managers and Senior Practitioners, Admin and Finance. 35. If work is sent to a Team, then the Manager, or anyone with a "Leading Role" will assign that work to a named worker. Once work has started it cannot be put back into the Team folder. If work is sent to a worker, this could be to either a real worker or a virtual worker. Whoever has the ability to act for this virtual worker can pick up the work and work on it while acting as the virtual worker. If you have a Leading role you could also choose to reallocate it to yourself. Reassigning work will happen if a worker is off sick or on leave, and an episode needs to be progressed. The manager will need to look at uncompleted, incoming and sometimes the future work folders, as well as incoming tasks, and reassign work accordingly. GUIDANCE ON RECORDING CONTACTS 36. A Contact is used to record information, which may or may not lead to a referral and an assessment. It will be heavily used by the Children s Access Point (CAP) as the first point of contact, and has other uses on open cases as described in Appendix Recording all contacts is good practice, not just those that result in an assessment or a service, as it reflects the volume of work undertaken, records advice and redirection and starts to build a customer history. 38. It is highly likely that there will be repeat calls, and recording information helps to build up a picture of customer needs and options explored. A professional s time will have been spent assisting the caller and it is important to reflect this service. It is also key data to reflect and shape the Information and Advice Strategy across the County Council, aimed at assisting residents to help themselves wherever possible through accessing universal services. 39. Frameworki does not allow the completion of a Contact episode containing just the referrer s details. The subject s name, address and DOB or approximate age, are all mandatory fields. As far as possible this information should be elicited from the caller even if the outcome is redirection to another Agency or the provision of information and advice. 40. Should a caller refuse to give subject details, this cannot be recorded as a Contact on frameworki, and so should be disregarded for inputting. 41. The exception to this is if the caller is raising a Child Protection or Safeguarding issue of potential risk to a vulnerable person. In this instance all available information must be recorded and pursued by the Help Desk with the aim of identifying the location and name of the person potentially at risk. This should be recorded in the first instance by setting up a dummy record in order to progress. Author: Sue Price, Principal Manager Policy and Practice 8

9 Version: 3 Page Guidance on how to set up a dummy customer record: INITIAL SET UP OF THE CUSTOMER RECORD: To start a new record on Frameworki it is necessary to enter a name. If information is received about a possible risk of harm to a child but the name is unknown, the same of Anon-CP should be entered. It will be helpful to have easy access to the date that the referral was made so this should be entered as the first name eg The Person Class of Anonymous Child Protection should be selected All other information provided can then be entered. RECORDING THE ACTUAL SUBJECT NAME: When the subject is identified by name, the appropriate anonymous record should be ren-named. If it is found to be a person who already has a record on Frameworki, this record and the appropriate anonymous record can be merged by the IT Business Support team. GUIDANCE ON RECORDING CASE NOTES 43. If the case manager is recording the Contact and no further workflow is needed to record further action then a case note would be appropriate. When there is any decision made on a case, either at a meeting or in conversation between a manager and practitioner there should be agreement about who should record this decision on fwi. 44. Case note types are listed alphabetically in Children s frameworki as: a. Adoption Information b. Case Audit c. Case Summary d. Contact Arrangements e. Correspondence f. Legal g. Manager s Comment h. Other i. Record of Meeting j. Record of Supervision Discussion k. Safeguarding l. Serious case Review m. Telephone Contact n. Visit In addition to choosing the case note type it is important to add a title that is meaningful. The case note type will show when the case notes are listed, and can be used for sorting. The title is completely free text and can be given by the writer as they see fit. It is also possible to sort case notes by key words in the title. 45. For example, FRT staff may wish to quickly identify all their activity by using FRT home visits, as the subject of the note. Being careful with the title enables a more meaningful sorting of case notes can take place. Author: Sue Price, Principal Manager Policy and Practice 9

10 Version: 3 Page Third party information that is relevant should be recorded. Wherever possible staff should ensure that permission is gained from third parties so that information can be shared on an ongoing basis with customers. (see Recording Policy and Guidance Sept 2010 (PDF) SECURITY 47. New policy, procedures, guidelines and training have been necessitated by the rapid development of electronic communication, mobile working, hot desking, the availability of memory sticks and the security requirements of Government departments. 48. In some cases there are technical solutions that need to be enabled such as the GCSX connection and encryption of laptops and memory sticks. Only memory sticks supplied by WSCC should be used to transfer customer data and information and these should be encrypted. There are county council policy documents on information security which are all accessible for staff through the search engine on the county council s intranet. The Acceptable Use Policy for IT facilities is the key reference document. 49. In addition to these changes there are some underlying principles that should be applied to all methods of recording information within Children s Social Care. 50. Whether using an electronic device, a verbal exchange or a paper note book these principles should be applied: Ensure that members of the public cannot view your computer screen or paper reports or notes. Ensure that you are not discussing confidential matters or using identifying names in a public place where you can be overheard. Do not leave your computer, hand written notes or notebook unattended in the office without first ensuring that confidential information cannot be viewed or accessed by others. There is a Corporate Clear Desk Policy that reinforces this requirement. This is outlined below: Clear desk policy: The clear desk policy isn t an actual policy ; it is a way of working that helps facilitate the use of the flexible workspaces. At the end of the working day we are asking that out of respect for the next person wishing to use the desk you clear down all of your files and personal belongings including your laptop if you have one, and lock them in your personal locker or take them home with you. If you are away from your desk for more than 3 hours, please make sure that the desk you are using is clear. This will enable another member of staff to use the desk if required. The clear desk policy is there simply to enable any member of staff to work from any free desk. Close your computer down or lock it when moving away from your desk. Do not take papers concerning other families on home visits. Take great care of your notebook and do not leave it unattended. If travelling by car between appointments lock any information you may need to leave in the car (paper or electronic) in the boot when leaving the car for a visit. Author: Sue Price, Principal Manager Policy and Practice 10

11 Version: 3 Page 11 Once transferred to the electronic record handwritten notes should be destroyed as Courts now accept electronic records as the accurate record. The current standard (MIN 5 PS8) is Record of visit to be recorded within the Child In Need, Child Protection or Looked After Child episode on frameworki within 24 hours of the visit taking place. If you take electronic or paper records home with you it is your responsibility to keep them safe at all times and to maintain confidentiality. If you lose or mislay information, or have a near miss you must report it to your line manager who should complete the Security Incident checklist and send to your ISMG member and /or the Policy and Planning Security lead (Shantha Dickinson) Security follow up template (word) (linked to MIN 30) 51. Although breaches of this policy may lead to disciplinary action being taken there is a need to strike a balance between punishment and education. It is in no-one s interest to have data losses or breaches covered up due to fear of the consequences and so the circumstances of each incident should be carefully investigated and assessed before any action is taken. 52. Where there are system, process or practice changes that would support better information security habits they should be identified, promoted and actively supported. However, if there are serious or repeated breaches then this may constitute gross misconduct and result in dismissal and/or legal prosecution. 53. West Sussex County Council is obliged to report data breaches to the Information Commissioner s Office (ICO) and this can result in both a financial penalty and reputational loss. One of the most significant factors is impact. For example, in the case where a confidential foster placement address was disclosed to parents the impact was that the children had to be moved. This was viewed extremely seriously by the ICO and resulted in a large fine. STAKEHOLDERS 54. Children, young people and their families have a legal right to expect that personal and confidential information will be kept securely and shared appropriately with their permission. They have the right to access their own record under the Data Protection Act. 55. Partners: Have the right to expect that information they provide will be kept securely and shared appropriately with their permission. 56. Children s Services staff: should be provided with guidance and training proportionate to their role and have a right to expect that equipment will be provided to support their key activities and ways of working. Staff should expect to be held accountable for information storage and management. 57. Support Services staff: should be provided with guidance and training proportionate to their role and have a right to expect that equipment will be provided to support their key activities and ways of working. Staff should expect to be held accountable for information storage and management. 58. Financial Services staff: should be provided with guidance and training proportionate to their role and have a right to expect that equipment will be provided to support their key activities and ways of working. Staff should expect to be held accountable for information storage and management Author: Sue Price, Principal Manager Policy and Practice 11

12 Version: 3 Page Customer Care Team: Complaints and Customer Care Team staff will be called upon to address complaints relating to information management and security should a breach be identified by a customer. A breach will need to be viewed in line with the circumstances, policy and guidelines relating to information management and data sharing protocols. 60. IT: IT staff manage the system infrastructure used to hold and record information and solutions need to be developed in partnership with IT to ensure that they meet corporate standards and guidelines. 61. County Council: Any breach of data and information management has an adverse affect on the reputation of the County Council. This guardianship role is invested in the Data Protection Manager and the IT security staff. Author: Sue Price, Principal Manager Policy and Practice 12

13 Version: 3 Page 13 APPENDIX 1 GUIDANCE ON UPLOADING DOCUMENTS TO Fwi There are 2 places where documents uploaded to frameworki are stored. If a document is received which relates to a current and open episode e.g a LAC review then the document must be uploaded to the episode. The document will also appear in Documents immediately. The forms in the episode will only show in Documents once the episode has been finished If there is no open episode then the upload should be to Documents. The identification of documents is key and if there is no open episode e.g between LAC reviews then the choice of main category is an important indicator of what the document relates to How to upload a document. Uploading a document On the personal details screen you can view any documents that have been uploaded and attached to the child s record and upload other documents as required. Important note: If the document is relevant to an episode it is important to upload it in the documents section of the episode. First, it is recommended that you create a folder on the H:/drive called Frameworki Uploads. Ensure the document you wish to upload has been saved to this folder. DO NOT save document to the Desktop as this is NOT a secure location. 1. Click on Documents if the document is not relevant to a current episode OR Open the relevant Episode and access the Documents section Author: Sue Price, Principal Manager Policy and Practice 13

14 Version: 3 Page Click on the Upload button 3. Click on Browse 4. Double click on the H:drive and navigate to the Frameworki Uploads folder 5. Select the document you wish to upload 6. Click on the Open button Author: Sue Price, Principal Manager Policy and Practice 14

15 Version: 3 Page Once the document is attached you can: > Rename the file name (File as ) add a date for reference > Select a Main category > Select a Sub-category, if applicable 8. Click on the Save button A copy of the original document is now attached to Frameworki. It can be viewed or edited as required. Remember now you must delete the document from your H:drive! It is very important to delete the original copy from the Frameworki Uploads folder on the H:/drive. Failure to do this could mean that more than one version of the document exists. All future amendments MUST be made via Frameworki. View or Edit an Uploaded Document To view an uploaded document click on the blue link Author: Sue Price, Principal Manager Policy and Practice 15

16 Version: 3 Page 16 To edit an uploaded document click on the Edit icon 1. Click on Download Copy of Document 2. Click on Open and read or edit as required NB Once you have edited the document you must re-save it to the H:/drive and upload it back into Frameworki Password protection must be removed from all documents before they are uploaded to frameworki. To do this: Open the relevant document using the provided password Go to File and click on the Information tab on the left hand side of the page A Protect Document button should be highlighted on the screen stating that A password is required to open this document Click on the Protect Document button and select Encrypt with password from the drop down list Remove the password that is entered in the box and click ok Save the document This will remove the password encryption and therefore allow the document to be uploaded to FWI without any issues. All documents can be searched for in Documents. Documents that need to be attached and sent out following reviews should be found in the relevant episode. In order to simplify the search a consistent naming convention is required. Author: Sue Price, Principal Manager Policy and Practice 16

17 Version: 3 Page 17 GUIDANCE ON SAVING AND UPLOADING AN FROM OUTLOOK Text from s should not be copied into a case notes as this can cause system problems. Please follow the instructions below to attach the full to Frameworki. Saving & Uploading an from Outlook TEXT FROM S SHOULD NOT BE COPIED INTO A CASE NOTE AS THIS CAN CAUSE SYSTEM PROBLEMS. PLEASE FOLLOW THE INSTRUCTIONS BELOW TO ATTACH THE FULL TO FRAMEWORKi In Outlook: Open the that you want to save Click on File Select Save As Give the an appropriate name and save to a Designated Folder in My Documents Select Text Only from the Save as type drop down list. Click In Frameworki: On the customer s Personal Details screen, click button. Click to navigate to the saved . and then the Select My Documents from Libraries and then open the Designated folder where you saved the Once you have found the saved click on it (it will turn blue) now click Open. File as * Allows you to re-name the (adding a date is useful for future searches) Main Category * Select Category Click Save. ***Once you have Uploaded the , you MUST delete it from the My Documents folder*** Author: Sue Price, Principal Manager Policy and Practice 17

18 Version: 3 Page 18 APPENDIX 2 GUIDANCE ON THE NAMING CONVENTION FOR FILING DOCUMENTS IN FWI 1. Guidance at point 7 in Appendix 1 on how to upload a document describes how, once the document is attached, it needs to be renamed and saved. This must be done consistently for ease of retrieval, and because the record is likely to be searched by users who have not themselves saved the document. 2. The agreed naming convention is set out below. This must be followed in all cases. The main purpose of having a consistent naming convention is to ensure easy and accurate access to documents and so name the upload as clearly as possible. If it is helpful to write Letter in from solicitor rather than just Letter then please do so. 3. <file as: file name and date document written (or received if there is no originating date) and > main category 4. For CP/LAC reports the date of the Conference/Review should be entered rather than the date written if the document is not being uploaded into the episode. FILE AS (NAME SUGGESTIONS) Contact Agreement dd.mm.yyyy Letter dd.mm.yyyy OOH Log dd.mm.yyyy GP Report dd.mm.yyyy Consent to Share (Adult s Surname) dd.mm.yyyy HV reply dd.mm.yyyy ICPC report dd.mm.yyyy Memo dd.mm.yyyy Report dd.mm.yyyy Complaint Letter In from MP (Complainants surname/) dd.mm.yyyy Name of Service dd.mm.yyyy ICPC/RCPC Report dd.mm.yyyy Request For Information dd.mm.yyyy TAC Minutes dd.mm.yyyy Chronology dd.mm.yyyy (date chronology created) MAIN CATEGORY (PICKLIST) ADOPTION (LAC episodes - from Best Interest to Placement Order) ADOPTION SUPPORT (receiving a service from the Adoption Support Team) AGE ASSESSMENT (episode used by Gatwick Team) ASSESSMENTS (episodes - Initial and Core Assessments) AUTHORISATION (Documents giving consent to the County Council) CHILD PROTECTION (episodes:s47,strategy Meetings, ICPC, RCPC, Core groups) CHILDREN IN NEED (all episodes relating to S17 CIN) COMMISSIONING (Episodes relating to purchasing or arranging a service for a child) COMPLAINTS (No episode). CONTRACT DOCUMENTS (No episode) EDUCATION (all episodes) GENERAL (all episodes) HEALTH DOCUMENTS (all episodes) HISTORY PRIOR TO FRAMEWORKI (could relate to any episode or no episode) Author: Sue Price, Principal Manager Policy and Practice 18

19 Version: 3 Page 19 FILE AS (NAME SUGGESTIONS) Education Report dd.mm.yyyy Report dd.mm.yyyy Legal Advice (CONFIDENTIAL) dd.mm.yyyy Application for EPO Report dd.mm.yyyy Migrated Chronology dd.mm.yyyy (date document created) Assessment dd.mm.yyyy College report dd.mm.yyyy MOGP dd.mm.yyyy Report dd.mm.yyyy Letter dd.mm.yyyy Letter dd.mm.yyyy Report dd.mm.yyyy Report dd.mm.yyyy MAIN CATEGORY (PICKLIST) LAC (all episodes and cases where child has a LAC legal status) LEAVING CARE (all episodes and cases where a y/p has a status of S24) LEGAL (Legal advice or planning meetings. May be part of a LAC or CP episode. Advice provided to Children s Services should not be disclosed as part of the child s record) LEGAL PROCEEDINGS (Episodes where legal activity is initiated) MIGRATION (documents that have been migrated from another system e.g eric) OT/ROVI (episodes) PATHWAY PLANNING (episode) PERSONS POSING A RISK (no episode) PLANNING (all care planning episodes CIN, LAC, CP, Pathway Plan) PRIVATE FOSTERING (episode) REFERRAL (episode) SERVICE PROVISION (relating to any service provided or commissioned e.g Children and Family Centre, LAC placement) TRANSITION (episode in transition to Adult services) Author: Sue Price, Principal Manager Policy and Practice 19

20 Version: 3 Page 20 APPENDIX 3 ADDRESS CONFIDENTIALITY Customer addresses have a number of rules applied within the system which must be followed to avoid the inadvertent sharing of information. 1. Where an address should be recorded but not displayed (for example the placement address of a child) then the way to set this up is: leave the parents home address as the main address tick the display address box add the Placement address by choosing the address type of Placement and leaving the display address box empty (see below) This will ensure that the address that pulls through onto documents is the display address which is the main parental home address. The placement address will be visible in the child s personal details screen but not printed on documents or visible on the front screen. Author: Sue Price, Principal Manager Policy and Practice 20

21 Version: 3 Page When setting up a carer, two addresses must be entered to avoid the carer s address being displayed on the child s documentation. Enter xxx in the postcode field and then press Find Address and choose CONFIDENTIAL ADDRESS Tick the Display address box and choose an address type of Main address 3. This will ensure that the displayed address is always xxx. 4. The real address is displayed in the address history by entering the address, leaving the display address field blank and choosing main address as the address type. This will not appear on the front screen of the carer s record or be pulled through onto documentation but it will be displayed as part of their personal details. 5. NB Once phase 2 of frameworki has been implemented the current LAC placement will pull through the address of the allocated carer from the purchasing episode. This comes from the allocated carer address (not the child s details) it will therefore be particularly important to ensure that not only the child s details are set up to keep the placement address confidential but also the carers. Author: Sue Price, Principal Manager Policy and Practice 21

22 Version: 3 Page 22 APPENDIX 4 RECEIVING INFORMATION ON AN OPEN CASE When significant information is received on an open case, or the child is at potential risk of harm (this could be following receipt of a MOGP re: an incident of domestic abuse or a child who has gone missing) then the process is either: Record this as a Contact > record the outcome as Follow up Information Received and then choose > the Strategy Discussion option if this is a child potentially at risk, or Contact > Notification of Missing Child or Young person (MIN 19) if this a child missing for whom there are not immediate safeguarding concerns (e.g if the child has returned home) or Contact > Follow up Information Received for anything else that is significant but not safeguarding. One common reason for such a contact is if a young person has moved out of the family home and in with friends or relatives that may become a private fostering arrangement. The process in this case is: Contact> Follow up Information Received> Private Fostering Assessment The reasons why all such notifications must be recorded in this way rather than just as a case note are three fold: Recording a Contact opens up new episodes and workflows if required. A Contact is in itself an episode and will form part of the chronology. (A case note can also be selected to appear in the chronology but is less easily visible when looking for incident patterns) Documents can be uploaded into the episode for easy location. Where children are exposed to numerous low level incidents of domestic abuse, or frequently abscond or go missing for short periods of time these incidents may not receive a response if seen in isolation, but when seen as part of a pattern the cumulative impact or underlying issues may need to be assessed (see MIN 19 for Missing Children procedure). Should the person recording the Contact be someone other than the allocated worker it is important to ensure that the worker or manager is aware of the new information. Any information received at the CAP will be forwarded straight to the allocated worker without review or being entered on to frameworki. See Initial contact and referral guide (PDF, 4 pages, 29KB) for full guidance in the Practice Standards. Author: Sue Price, Principal Manager Policy and Practice 22