Business Rules. Adults Services

Transcription

1 Business Rules Adults Services This document sets out our core business rules for work undertaken by staff directly employed by Adults Services or working on its behalf. These business rules are the building blocks for our substantive work under various Acts of Parliament as well as within the context of the County Council s values and policies. Further information about how all of these substantive areas work in practice can be found in separate documents such as strategic frameworks, policies, and practice guidance - not forgetting guidance specific to the use of electronic case recording and document management systems. The one-stop shop for all Adults Services guidance is the Professional Zone on the West Sussex Connect to Support website ( Version: 2.2 Effective from: March 2018 Next review date: January 2020 Signed off by: Tracie Thomas Title: Head of Adult Social Care Date: 13 th January 2017

2 Business rules 2 Status Version number Issue date Authors Owners Revised th March 2018 Greg Slay, Lead for Quality Assurance; Neil Pettitt, Service Manager Quality and Improvement; Russell Hite, Principal Manager (Adult Safeguarding) Kim Curry, Executive Director of Children, Adults, Families, Health and Education; Jana Burton, (interim) Director of Adults Services Signed off Tracie Thomas, Head of Safeguarding and Adult Social Care by Date 13 th January 2017 Issue Date numbe r 1.0 Nov 2013 Greg Slay Author Principal Changes 1.1 Sept 2014 GS Review 1.2 Aug 2015 GS Review 2.0 Autumn 2016 GS Signed off by the Adults Services Quality Assurance Management Board Consolidation of all previously separate Management and Professional Instructions into one single Business Rules document, as agreed by the Quality Assurance Management Board on 14 th June August 2017 GS Minor amendments to reflect changes in personnel and roles, including the name of the Cabinet Member 2.2 March 2018 GS Amendments to reflect changes in senior personnel and roles Feedback: We welcome feedback about our policies, procedures and practice guidance. If you have any comments about this business rules document please as.webpage.requests@westsussex.gov.uk Copyright West Sussex County Council / Version 2.2 / 19 th March 2018 Page 2

3 Business rules 3 Contents 1. Introduction why we need business rules 4 2. Who s who in Adults Services 5 3. Quality Assurance Framework 6 4. Quality Assurance Management Board 7 5. Annual business planning 7 6. Performance 8 7. Checking that what we are doing is right 8 8. Keeping people safe 9 9. Information management and security Case records and information security Practice guidance for our staff Learning and development for the whole career journey 12 Appendix 1 Quality assurance in diagrammatic form 14 Appendix 2 Actions required for compliance with specific business rules 15 Page Copyright West Sussex County Council / Version 2.2 / 19 th March 2018 Page 3

4 Business rules 4 1. Introduction why we need business rules 1.1 Our operating model, however configured, requires consistent ways of working by our staff wherever they are physically located. 1.2 Our business rules form a core component of the quality assurance process in Adults Services. There is nothing revolutionary about having a set of business rules. All organisations have them in some form or another. Offering the best practice to local residents, within the overall sphere of Adults Services, is an expectation on all staff whether working directly or located within other organisations and working on behalf of Adults Services. 1.3 All staff, not just managers, are therefore expected to be familiar with our business rules or at least know where to find them. They can however, and will, be considered by managers in the following situations: the induction of all new members of staff; the completion of annual business plans; the completion of individual appraisals; as a reference point in supervision and line management; in relation to capability proceedings; in shaping and reporting on our performance individually and collectively both within the County Council and to external regulators and inspectors such as the Care Quality Commission; and in explaining to the public how we are focused on delivering the vision set out in the annual (and formally published) Local Account. 1.4 The Quality Assurance Management Board monitors the use and effectiveness of these business rules. For information about the Board, and how it works, see section 4 below. 2. Who s who in Adults Services 2.1 Adults Services is part of a larger County Council directorate that of Children, Adults, Families, Health and Education. Other departments within this directorate are children s social care services, public health, and our work to support schools and the learning of children and young people. 2.2 The directorate is headed up by an Executive Director, Kim Curry. She reports directly to the County Council s Chief Executive, Nathan Elvery. The Executive Director works closely with other Executive Directors and together they form the County Council s Executive Leadership Team with the Chief Executive. Copyright West Sussex County Council / Version 2.2 / 19 th March 2018 Page 4

5 Business rules Within Adults Services, the day-to-day lead manager is the Director of Adults Services, supported in that role by both the Head of Safeguarding and Adult Social Care and the Head of Adults Operations. 2.4 Operations Managers are responsible for each of the core geographical or thematic parts of Adults Services. In turn, each of the Operations Managers has a number of teams or services and staff who provide frontline services to local residents. 2.5 The Head of Safeguarding and Adult Social Care manages a team of officers based at County Hall (the Adult Social Care Improvement and Quality Team) whose role is to work with senior managers to support, monitor, develop and improve the ability of Adults Services to deliver effective safe and high quality social care for West Sussex residents. The Team includes the Principal Social Worker (Adults). 2.6 The Adult Social Care Improvement and Quality Team is responsible for ensuring that the policy and practice guidance infrastructure, alongside the case recording and performance reporting system used by Adults Services, enables operationally-based practitioners and managers to undertake their work. The Team provides subject matter expertise and the ability to troubleshoot and resolve problems. Finally, it contributes to wider development initiatives undertaken by Adults Services in conjunction with the rest of the County Council, partner organisations including the NHS and others, and with local residents. 2.7 The County Council is what is known in constitutional terms as an upper tier authority. The lower tier authorities in West Sussex are the five district councils and two borough councils, all of which also include their own elected Members and paid officers. The lower tier authorities have a range of local statutory responsibilities separate to those of the County Council, such as housing, domestic waste collection, and planning. 2.8 Within the County Council, the democratically elected Members are led by the Cabinet, comprising Cabinet members with particular portfolio leadership roles. The Cabinet Member with responsibility for the Adults and Health portfolio is Amanda Jupp. Further information about the interface between the work of the Cabinet and of elected Members with the paid staff can be found on the County Council s website ( 2.8 The public role of Adults Services is best understood by reading our annual publication, the Local Account. This sets out what we do, what we have achieved in any one particular financial year, and what we look forward to achieving in the future. The Local Account can be found on the County Council s website ( Copyright West Sussex County Council / Version 2.2 / 19 th March 2018 Page 5

6 Business rules 6 health/publications-policies-and-reports/social-care-and-health-policy-andreports/local-account-sharing-our-performance/). 3. Quality Assurance Framework 3.1 Under the Local Government Act 1999 the County Council has a duty to ensure that all its business is conducted in accordance with the law and proper standards and that public money is safeguarded, properly accounted for, and used economically and efficiently. 3.2 Residents of the county have high expectations of the service they should get from Adults Services and it is our job to meet those expectations. The way in which we deliver quality social care informs the level of trust they and their carers (both current and future) have in our work as a result. Our work, supported by the Care Act 2014, is focused on enabling local residents and their carers to use a strengths-based approach to meet their own health and wellbeing outcomes so that they can live both safely and independently. 3.3 The quality building blocks for making the whole system work better for all West Sussex residents, including those who may need to access funded social care and/or support, are encapsulated in the term ENABLES. Each letter in this word relates to a specific activity: Enablement helping individuals to achieve wellbeing and to remain independent for as long as possible; Needs focusing on what needs to be in place to enable customers and careers to achieve the wellbeing outcomes they want for themselves from social care support; Accessible information and advice making information and advice available in formats that encourage and enable residents in West Sussex to make informed choices for themselves both for now and for the future; Building up an individual s own expertise utilising an assets based approach, building on an individual s existing capabilities and support networks whether formal or informal; Listening to customers and carers - and to what matters to them; Efficiency and effectiveness - in the way we work; and Safety being able to manage risks in a way that promotes customer choices as far as possible so long as others are not adversely put at risk by those decisions or actions. 3.4 These are individually described in Appendix 2 of the Quality Assurance Framework in terms of We will practice statements. The Framework, which is kept under review and was most recently updated in September 2017, can be accessed through the Professional Zone on the West Sussex Connect to Support website. Copyright West Sussex County Council / Version 2.2 / 19 th March 2018 Page 6

7 Business rules Our staff are based in a variety of settings ranging from community (fieldwork) teams to day services and specialist residential care settings. Some of these services are themselves also externally regulated and inspected. Wherever located, all our staff are ambassadors for health and social care practice. This is the case whether they are professionally qualified or not in their specific area of practice expertise. 4. Quality Assurance Management Board 4.1 The Quality Assurance Management Board provides the strategic oversight and scrutiny of the professional and organisational culture in Adults Services. The Board meets monthly and is chaired by the Head of Safeguarding and Adult Social Care. The Board s membership includes managers from across Adults Services together with the representatives from the Adult Safeguarding Unit and from Corporate Resources and Services. 4.2 The Board provides a formal governance framework to the quality assurance process. Occasional workshops hosted by the Board share the key messages for professional challenge and learning across Adults Services, whether arising from case file audit exercises, mystery shopping or other activities that test our ability to respond to the expectations of the public. 4.3 Terms of reference for the Board itself were first agreed in November The Terms of Reference for the Board were most recently reviewed and updated in January The Board s schedule of work ensures that all parts of the work of Adults Services are kept under careful scrutiny. How the work of the Board fits with the rest of the work of Adults Services is shown in Appendix 1 of these business rules. 4.4 The Board acts on reports received from external organisations (such as the Care Quality Commission and the Local Government and Social Care Ombudsman) that require action planning for service improvement. 4.5 The Board is responsible for the development and implementation of these Business Rules. 5. Annual business planning 5.1 Adults Services produces an annual Business Plan that confirms the direction of travel for the immediate financial year period. The Business Plan also sets out the key performance indicators that need to be met during the course of the year. The indicators are primarily those relating to the annual (England-wide) Adult Social Care Outcomes Framework. Copyright West Sussex County Council / Version 2.2 / 19 th March 2018 Page 7

8 Business rules Adults Services is particularly interested to compare its own performance, year on year, with that of 1) similar-sized local authorities, 2) other local authorities in the south east of England, and 3) England as a whole. 6. Performance 6.1 Our annual performance in relation to the business plan for the previous financial year is reported in the Local Account. The Local Account can be found on the County Council s website ( 6.2 There is one version of the truth for Adults Services and this is reported to a range of audiences including (amongst others) Cabinet, Adults Services Management Group, and the Quality Assurance Management Board. There will also be occasions when information needs to be shared with external organisations and with the general public. The primary data source used will be our electronic case recording system (Mosaic); reports are collated on a monthly basis and made available to managers through SharePoint. The Quality Assurance Management Board discusses current service performance at its Board meetings. 6.3 The suite of information reports on SharePoint is made up of the priority measures for Adults Services as set out in the annual Business Plan and/or the Corporate Risk Register. 6.4 Other performance areas will be monitored and reported on by exception and with the agreement of the Quality Assurance Management Board. The production of the performance information, reporting and monitoring relevant performance measures identified above, is the responsibility of the County Council s Performance and Operational Support team, as the responsibility for the collation and processing of data information required for statutory reporting through NHS Digital - the Health and Social Care Information Centre. 6.5 Self service reporting is available on the electronic case records system used by Adults Services. It should be used by managers and staff to manage their day to day business. 6.6 The on-going performance of Adults Services is also formally reported, on a monthly basis, to the Adult Social Care Improvement Board. This Board is chaired by the Chief Executive and includes Cabinet Members in its membership. Copyright West Sussex County Council / Version 2.2 / 19 th March 2018 Page 8

9 Business rules 9 7. Checking that what we are doing is right 7.1 Audit in its various guises - is a systematic process that provides a means of finding out whether a service is following guidelines or applying best practice in a particular area. It involves defining standards, collecting data and other information, recording what works well as well as what doesn t, and implementing changes required as a result of identified areas for improvement. 7.2 There are a number of ways in which the quality of interaction between the County Council and local residents is already checked, and further mechanisms have been developed by Adults Services and led by the Quality Assurance Management Board. 7.3 An annual audit plan is agreed by the Board for the next financial year. The audit plan for was agreed by Board members on 20 th February 2018 and has been shared internally with senior managers. An annual report on audit activity during the current financial year is produced at the end of each year. 8. Keeping people safe 8.1 We are required under the Care Act 2014 to exercise a specific duty to make enquiries of people where a safeguarding concern is raised about them and where the following statutory criteria are met: The adult has needs for care and support (whether or not any of those are currently being met); and The adult may be experiencing, or is at risk of, abuse or neglect; and The adult is unable to protect themselves from either the risk of, or the experience of, abuse or neglect. 8.2 The making of person-centred formal enquiries is not however a foregone conclusion where safeguarding concerns are raised. The Care Act also allows for the preventive work to be undertaken if the criteria described above are not met and where to offer this would be proportionate alternative response to promoting the person s well-being. 8.3 We expect that information that may prevent or could have a bearing on identifying where abuse or neglect may be taking place should always be shared with Adults Services and be recorded when received. In many cases that information may be insufficient in its own right and we will need to seek additional information from those involved with the person as well as from the person him/herself. 8.4 From April 2015 our responsibilities in relation to keeping people safe where they live and in their local communities have been extended to include people affected by human trafficking and by modern slavery. Our staff are Copyright West Sussex County Council / Version 2.2 / 19 th March 2018 Page 9

10 Business rules 10 guided in their work on adult safeguarding by the Sussex Safeguarding Adults at Risk policy and procedures. These can be accessed in the Professional Zone on the West Sussex Connect to Support website ( 8.5 Issues of quality in relation to care providers are not dealt with by the Safeguarding Adults procedures. Where there is information that relates to the quality of care providers, this information is shared with relevant partner organisations, including the Care Quality Commission, the County Council s own Contracts Unit (where relevant), and any service commissioning organisation (such as an NHS Clinical Commissioning Group). 8.6 The work of Adults Services in relation to keeping people safe is supported by the Adult Safeguarding Unit, comprising a lead manager and advisory staff. The Unit is always advised of safeguarding concerns that relate to a death or serious injury to an adult as well as where high profile or large scale enquiries are to be undertaken. The Unit works closely with the multiagency West Sussex Safeguarding Adults Board. 8.7 There is a duty of candour on all staff, not just those who are members of a regulated profession, to report concerns about the safe and lawful operation of the County Council. Where a worker raises a concern in the public interest, this is referred to as whistle-blowing. The whistle-blower is protected when disclosing information - believed to be in the public interest - to the correct prescribed person. Further information on the practice and support of whistle-blowing is set out in the County Council s Constitution and its Confidential Reporting Policy. A briefing - specifically for staff in Adults Services is accessible on the Professional Zone of the West Sussex Connect to Support website. 9. Information management and security 9.1 When providing support to local residents we need to process sensitive personal data as defined by the Data Protection Act and the EU General Data Protection Regulation 2016 / 679 which replaces it from 25 th May We need to keep certain records such as support plans and information about a person s finances. Data loss is a significant corporate risk as it damages the County Council s reputation, and undermines public trust in our work. 9.2 Passwords are the necessary backbone of information security in the computer age, whether in the context of debit/credit or P-Cards, access to both wired and wireless computer networks, or access to errors are however easily made in an era of instant communication, and as a result s are often sent to the wrong people. Secure accounts are available for staff who need to send sensitive Copyright West Sussex County Council / Version 2.2 / 19 th March 2018 Page 10

11 Business rules 11 information to, and receive sensitive information from, Sussex Police or the NHS. This is particularly important in relation to adult safeguarding matters. 10. Case records and information security 10.1 Mosaic is an electronic database integrating care planning, care purchasing and finance. It enables practitioners to account for their work with local residents requiring information and advice and/or care and support. It also enables managers to track and audit performance The electronic case recording system helps Adults Services to deliver: improved quality of information and easier access to case information through an integrated solution; increased efficiency through automation of tasks and provision of full case management capabilities; and better management information and performance reporting through a single source of data Mosaic is used in line with the wider County Council s existing policy and procedures relating to information security such as the use of IT facilities, information-sharing, and the use of removable media All users of Mosaic are required to undertake a modular Mosaic course and an e-learning course on security in relation to its use. An agreed security declaration is completed before access is authorised Some of our staff have access to other electronic care records systems, such as CareNotes. In such cases the same expectations of behaviour and compliance with local usage instructions apply Where we still have paper case files in some settings they need to be treated in the same way as far as information security is concerned. This means that they are treated as sensitive documents and are stored accordingly Members of the public can ask for access to their case files to see what has been written there about them. This information may have been written recently or some time ago. The formal process for this is known as Subject Access to Records Warning information is occasionally recorded on care records as a means of proactively reducing the risk of abuse of, or harm to, members of staff during the course of their duties. In most cases this applies to our staff carrying out home visits, and to all staff in our office locations around the county who come into contact with local residents. It may also be used Copyright West Sussex County Council / Version 2.2 / 19 th March 2018 Page 11

12 Business rules 12 to highlight potential risks to vulnerable young people or their families, due to association with people who present a risk to children or others If a member of staff has knowledge of the risks posed by any individual, then he or she will be better prepared to take the necessary health and safety precautions, and to assess any risks or potential risks to vulnerable members of the public. A practice guidance document sets out the recording process itself on Mosaic. 11. Practice guidance for our staff 11.1 We publish a range of guidance documents for staff. These are published on the internet where they can be accessed by staff who work in other settings such as within NHS Trust teams. Our guidance documents are also accessible to the public. Our practice guidance can be found in the Professional Zone on the West Sussex Connect to Support website The generic guidance we have produced locally is based on either national or local policy initiatives, or on research evidence that relates to social care and health practice. The guidance informs staff of what needs to be done to offer high quality care and, in addition, what needs to be recorded, when and where, in an individual s case record Some of these documents are produced specifically to help those of our staff who are registered with a national organization - relevant to their respective professional discipline - and who need to formally account for their practice development in a variety of ways The greater part of our local practice guidance has statute law as its foundation. For example, this includes guidance on the application of the Care Act 2014, the Mental Capacity Act 2005, and the Mental Health Act 1983 (revised 2007). It also includes guidance that has its basis in other legislation such as, for example, the Equality Act Learning and development for the whole career journey 12.1 Adults Services is committed to ensuring that all its staff have the right skills for the job they do, and arrangements are in place to help them update those skills as well as learn new ones throughout their career with the County Council Learning and development in Adults Services starts with induction, and a series of pathways relevant to individual roles is in place. It is the responsibility of line managers to ensure that staff for whom they are responsible have the right skills to enable them to do the job for which they are being paid. Copyright West Sussex County Council / Version 2.2 / 19 th March 2018 Page 12

13 Business rules The County Council s Learning and Development Gateway ( provides details of the induction programmes available for staff as well as other training courses for which staff can apply, with support from their line manager Supervision and appraisal arrangements are in place for all staff. The purpose of these is to enable every member of staff to know where their role fits into the key priorities for the year, so individuals are clear about what they need to achieve and can feel genuinely valued. Both the what we do and the how we treat each other at work, are the foundations of our performance management culture in the County Council Supervision enables our staff to be fully engaged and productive in their work, customer-centred and focused, and accountable for what they do in their job. Adults Services is committed to ensuring that formal supervision, together with an annual appraisal, is available to every member of staff in a form appropriate to their role In addition, Best Practice Groups have been established to: Facilitate the discussion and consideration of areas of operational practice that collectively deliver service improvement; Focus the attention of their members on efforts to improve the quality of all aspects of a local resident s contact with Adults Services; Consolidate the wider strategic approach to promoting quality assurance and sustaining an Adults Services-wide culture of learning and development; Reflect and build on the learning from current research related to their specific area of practice and/or service expertise; and Enable discussion of policies and/or practice guidance as they relate to dayto-day work The work of the Best Practice Groups is supported by regular Briefings on items for practice reflection and learning. These are produced jointly by the Principal Social Worker (Adults) and the Lead for Quality Assurance. Copyright West Sussex County Council / Version 2.2 / 19 th March 2018 Page 13

14 Business rules 14 Appendix 1 Quality assurance in a diagrammatic format Quality Assurance Management Board Managers across Adults Services Internal Audit; Complaints; Safeguarding Adults Board; Adults Services Management Group File Audit and multiagency file audit Mystery shopping Audits of contracted care example: carer assessment Carer surveys (Sussex Partnership performance -related activities) Practice / supervision issues Key Performance Indicator reporting and trends Statutory surveys of customers and carers and local follow-up surveys Better practice and cultural change identified for embedding in/by the workforce Best Practice Groups/ Forums: sharing, reinforcing, learning about, and promoting better customer service Members of the public get a better overall service Copyright West Sussex County Council / Version 2.2 / 19 th March 2018 Page 14

15 Business rules 15 Appendix 2 Actions required for compliance with specific rules Actions relating to information management and security Manager responsible All staff are expected to evidence a commitment to information security at all times in line with the Acceptable Use Policy agreed by the County Council. All new staff will complete the e-learning programme on 'protecting information' that is accessible on The Point and completion will be recorded in their induction record. Breaches of data security within Adults Services will be immediately reported to the IT Service Desk and also to line managers, and the corporate Security Incident checklist completed. Security incidents will be investigated by the Adult Social Care Improvement and Quality Team. will consider whether the employee(s) involved has breached existing policy or procedures, and whether further action is required. The investigation outcome will, where necessary, be reported to the Quality Assurance Management Board and to staff through an AS All broadcast . Corrective measures will be put in place as required. Members of the public (involved in data breaches caused by our staff) will receive a formal apology in writing, following investigation of the issue. Head of Safeguarding and Adult Social Care Head of Safeguarding and Adult Social Care Actions relating to electronic care records All prospective users will undertake e-learning on information security and on use of the electronic care records system used by Adults Services. A security declaration can then be completed and will need to be counter-signed and a confirmation submitted by the line manager before access is authorised. Copyright West Sussex County Council / Version 2.2 / 19 th March 2018 Page 15

16 Business rules 16 A copy of the completed security declaration will be added to the supervision file for the member of staff concerned. Where a member of staff leaves the County Council s employment, it is the responsibility of the line manager to ensure that the person s access to the electronic social care record system is cancelled. Where a member of staff moves between existing County Council teams, it is the responsibility of the new line manager to ensure that the person s access permissions are reviewed and updated as required. Actions relating to local performance plans, where needed Each local management group will devise an action plan to deal with its local service performance issues. This will be monitored monthly through 1:1s and then formally reviewed and updated on a quarterly basis. Managers will identify any management reporting training and learning development needs for themselves and for their staff through the annual appraisal process. Poor performance by teams and services will be seen and addressed - as an issue of compliance with service quality expectations. Actions relating to case recording and document management All staff, wherever located in Adults Services, are expected to be familiar with the arrangements for case recording practice, in both electronic and/or paper formats. Compliance with document management and case recording practice will be checked periodically through case file audit and other mechanisms. Actions relating to practice guidance Copyright West Sussex County Council / Version 2.2 / 19 th March 2018 Page 16

17 Business rules 17 Staff are expected to comply with all guidance produced by Adults Services that relates to the application of all relevant statute law and any accompanying Regulations and statutory guidance. Staff are expected to comply with all other guidance produced by Adults Services that relates to health and social care practice. Staff are encouraged to identify areas of practice where additional or replacement guidance may be needed, whether covered by statutory requirements or not, and to report these to the Head of Safeguarding and Adult Social Care for consideration. Staff should refer to locally produced guidance as a discussion reference points in professional supervision, and as part of their continuous professional development and learning. and/or professional supervisors Actions relating to service and practice quality Staff are expected to be familiar with the Quality Assurance Framework, accessible in the Professional Zone on the West Sussex Connect to Support website, and to comply with its requirements. The Quality Assurance Management Board will, from time to time, determine which areas of practice merit particularly detailed scrutiny, how this should be undertaken, and by whom. The work of the Board, linked to the Quality Assurance Framework, will be reported through the Local Account the annual report of Adults Services. The Board will develop mechanisms that promote and celebrate the quality of the work of staff in Adults Services. Board members Board members Head of Safeguarding and Adult Social Care Copyright West Sussex County Council / Version 2.2 / 19 th March 2018 Page 17