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INTRODUCTION
Children’s social implemented a fully electronic case management system ‘ICS’ in accordance with government specifications to manage the planning and recording the assessment and planning process for all children referred. This audit tool has been developed to enable the audit of the quality of the records on ICS as part of the process of replacing the existing paper file structure.
The aim of the audit process is to develop and maintain a culture in which both quantitative and qualitative aspects of recording are routinely examined in order to ensure the best possible outcomes for children and families as identified in the Children Act 2004. Quantitative audits consider whether the file is up to date, contains all the relevant documentation, and that the documentation has been properly completed. Qualitative auditing considers the quality of the recording on file and whether it reflects good practice. Although these can be conducted independently both are necessary. The record may be up to date and contain all the relevant documentation, but the quality of the recording may be poor or inappropriate to the needs of the child. Similarly, the record may be of a high standard, but out of date.
The audit involves the participation of all workers and is intended to encourage continuous improvement of outcomes for children and families, and ensure the spread of good practice right across the system. As a manager there are numerous issues and evidence of action (by the worker), required by the directorate, to clearly inform not only the manager but also the department/organisation that the proper procedure has been followed at all times. The audit has been developed to allow both front line managers and senior managers to review the quality of work on cases.
Appropriate levels of standards are required in all areas of work undertaken by the field work teams, as laid down in the Children’s Services Procedure and Practice Guidelines for Case Records and Case Recording which are available on the social care e.library. The required standards for audit in terms of who undertakes the audit and at what frequency is contained in a revised File Audit Procedure.
The whole audit tool is lengthy and it is not feasible for managers to undertake the whole audit for each case reviewed (except for exceptional circumstances such as when the record needs to be reviewed for inspection purposes). Managers should focus on the relevant section (I to 13 for new contacts,11 to 20 for children subject to child protection plans,22 to 27 for children in need receiving services) and 37 to 42 relating to recording and supervision for all cases. The revised file audit procedure will contain guidance on how to check paper files for information on supervision records which are not yet available on the ICS record.
Using the tool
The following points/questions should form the basis of an audit tool to enable all managers to carry out an appropriate audit of the case file and the performance of the worker concerned, taking into account the above procedures.
Please refer to the Guidance Notes for completion of the Audit Tool at the end of this document – by selecting the direct link:
GUIDANCENOTES
Or
By clicking on the relevant question in the Audit Tool, the hyperlink will take you to the relevant guidance for that question, active hyperlinks in this document appear as blue text.
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CHILDREN’S SERVICES – AUDIT TOOL FOR MANAGERSName Of Allocated Worker:
Team/Location:Name of Manager Undertaking Audit:
ICS system ID:
Date of Audit:
Audit Month:
Please send your completed Audit Tool via email to:
Stages of the Case Management Process both at referral and transfer: / Quality practice criteria: / What evidence is available on electronic files (to be completed by supervisor and worker)? / Does the Manager judge that this standard has been met?
(Manager to indicate Yes, No, N/A and comment) / Actions to be taken and timescales
Screening/ Contact/ Referral
Or initial point of contact with the Team: / 1 Is the reason for referral clear and enough information collected on the contact form to decide further action?
2. Where appropriate hasreferral and information record been completed with relevant information as required?
3. Is the section ‘is this a re-referral record’ correctly completed (please see note)?
Assessment or Re-assessment: / 4. Has an appropriate decision been made by the Team Manager to proceed to initial assessment?
5. Is there evidence of the referred child being seen, and if age appropriate, spoken to by the worker, to ascertain wishes and feelings (clearly recorded)?
6. Is there a record of views of parents/ carers on the assessment?
7. Has the relevant information been obtained from professionals and others in contact with the child and their parents/carers?
8. Has the assessment been completed within timescales (Initial and Core Assessments)?
9. Is there evidence of an assessment of needsfor the referred child, clearly stated within the assessment?
10. Has the appropriate decision been made to close case or move to provision of appropriate services authorised by the manager?
Child Protection Cases:
Planning: Child in Need: / 11. Is there a completed record of Strategy Meeting Discussion with appropriate agreed outcomes and actions?
12. Has a Section 47 enquiry/investigation been completed, with all required actions?
13. Is there an appropriate decision as to the outcome?
14. Is there a Social Worker Report to Child Protection Case Conference and Chairs Report on outcomes that fully addresses the child’s needs?
15. Has the Core Group been convened within 10 days of ICPC and at appropriate intervals thereafter?
16. Is there evidence of the core group working effectively to complete the core assessment and address the child’s needs?
17. Has the child/ young person been seen bythe key worker every four weeks?
18.Is there an up to date Child Protection Plan informed by the assessment findings?
19 Are issues of ethnicity and equality addressed in the Plan?
20.Is there evidence of child/parents/ carers/significant others ongoing involvement in the implementation of the child protection plan?
21. Is there evidence of satisfactory review of the child protection plan through social work reports and chairs reports on to review CPC?
Planning: Child in Need / 22.Is there a clear evidence of a clear current care plan informed by the assessment findings?
23. Are issues of ethnicity and equality addressed in the plan?
24. Is there evidence of involvement of child/parents/carers in decisions about services provided and are clear outcome measures agreed with them?
25. Have plans been regularly reviewed and updated through ICS Planning?
26. Does the review identify both successes and weaknesses in meeting identified needs?
27. Are the review decisions clearly reflected in the Care Plan?
Children Looked After: / 28. Has the request for Child to be looked after been agreed by the Team Manager, after approval by an appropriate Senior Manager?
29. Is there an updated and complete Placement Information Record?
30. Is there a completed Child Looked After/Young Persons Care Plan that fully addresses the child’s needs including a plan for permanence by the 2nd review? (See note on timescales and requirements)
31. Has the child been visited and seen separately from the Carer within required timescales? (Procedure 20031 point 41)
32. Is there a completed Health Assessment (completed within 28 days)?
33. Is there a completed PEP? (Completed within 28 days of Child being Looked After?)
34.Are there social work reports and chairs reports on outcomes for the CLA Reviews, which address the child’s needs?
35. Is there evidence of efforts to engage the child/young person in the review process?
36. Have Assessment and Progress Records been completed?
Case Recording and Case Management: / 37. Has the ICS chronology been updated with significant events? (Essential for CP and CLA Cases)
38. Are all ICS recordings accurate and upto date?
39. Are all ICS records completed satisfactorily, and do they distinguish between fact and opinion? (Write enough)
40. Is there evidence on the file that Team Managers have read records/notes and recorded their decisions if appropriate?
41. Does the ICS record adequately record reason for case closure/ transfer endorsed by the Team Manager?
42. Is there evidence of regular supervision, management oversight and decisions recorded on file? (This will be a paper record until made available on ICS)
Manager/Team Manager comments:
Signature: / Date:
Auditors/Service Manager overall comments about this file:
Signature: / Date:
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AUDIT TOOL GUIDANCE NOTESReturn to Start of Audit Tool
Return to Start of Introduction
Appendix 1 – Quality of Case File and Case Recording
From reading the record the auditor should be able to easily make sense of the work undertaken with the child and family. The record should be easy to read, show appropriate cross-referencing, easy to access information, be up to date, and show evidence of supervision input.
The audit tool has two columns the first to show whether the relevant record is present or not and the second to record the quality of the recording using a scoring system, as follows.
Inadequate1
Satisfactory2
Good3
Outstanding4
Definitions of Judgement:
Inadequate / No record of work done or it is so partial that it is of little value.Satisfactory / The record indicates the date’s people were contacted/seen and gives brief details of actions taken/decisions made.
Good / The record indicates the dates, purpose and outcome of contacts (i.e. meetings/interviews/telephone conversations), and who was present. It presents all the information and at intervals brings it together as part of an assessment, planning and review cycle.
Outstanding / In addition to the requirements for good recording, the record brings together (when appropriate) all the salient information (both past and present) about the child and family. This information is analysed and used as the basis for deciding what the current risk is to the child; what plans need to be made to reduce the risks and the rationale for these; details of the therapeutic work being offered to the child and family, and being undertaken, including by whom.
(Example above taken from ‘National Inspection of Social Services Case records’)
Return to Introduction
Appendix 2 – Guidance for Questions on Audit Tool
1. Is the reason for referral clear and enough information collected on the contact form?The question requires the auditor to make a professional judgement about whether there is enough information/evidence to make an informed decision about further action. The amount of information required and the time frame looked at will be dependant on what the auditor deems to be ‘enough’. If the assessment teams are being audited, there will need to be evidence that there is enough information about the need to progress to referral and assessment. If the Children In Need/Looked After Teams are being audited, there will need to be enough evidence through contacts on open cases to show the information available has clearly aided decisions about level/type of ongoing service/care provided. An example of this could be if a child had quickly changing care needs.
Minimum standards are available from the Social Care Thresholds Document.
Return toQuestion 1
2. Where appropriate has the referral and information record been complete with relevant information as required.This question requires the auditor to consider whether appropriate information has been recorded in terms of both ‘demographics’ and information on the relevant ‘domains’ of the assessment framework?
Return to Question 2
3. Is the section on the form (is this a re-referral) correctly completed?
On ICS the answer to the first question ‘is this a re-referral’ is automatically populated from the ICS record on the basis of whether there has been a referral regarding the child within the previous 12 months.If the answer is yes the person completing the form must then answer the question ‘if yes does the reason for the re-referral indicate that the response to the original referral did not address the clients needs’
The question is not applicable if this is not a re-referral within 12 months. If it is then the auditor needs to record in column one whether the second box is completed and in column two whether the judgment as to whether the response to the original referral did or did not address the child’s needs. Reference will need to be made to the previous referral(s) and whether the response was in the view of the auditor satisfactory.
Return to Question 3
4. Has an appropriate decision been made by the Team Manager to proceed to Initial Assessment?This question requires the auditor to form a judgment as to whether an appropriate decision has been made to close the case or progress and whether the reasons are appropriately recorded. Reference should be made to any comments made by the Team Manager on the record at the point the decision was made.
Return toQuestion 4
5. Is there evidence of the referred child being seen, and if appropriate, spoken to by the worker, to ascertain wishes and feelings (clearly recorded)?
As well as the assessment document, the case notes are likely to include information to indicate the referred child has been seen, such as ‘face to face discussion’. A record of the child’s views would then follow after this statement.
There are exceptional circumstances where it may not be appropriate or possible for the child to be seen by a social worker at this stage-for example where it may be essential to progress to a strategy discussion with the police to ensure that a possible criminal investigation is not prejudiced. The Team Manager must record the reasons the child was not seen on ICS using a new electronic tool as from 01-04-08. The auditor will need to record an opinion as to whether the decision was made appropriately and the reason recorded.
Return to Question 5
6. Is there a record of views of parents/carers on the assessment?As well as the assessment document, the case notes are likely to include information to indicate the parents/carers have been seen/spoken to.
The second column should be used to record the quality of the information recorded.
Return to Question 6
7 Has relevant information been obtained from professionals and others in contact with the child and their parent/carers?When undertaking an assessment it is imperative all relevant information pertaining to the child is gathered and collated, to aid a much clearer view of the child’s circumstances. This would include: school, health, police, nursery etc, as well as any historic information held by the department.
Return toQuestion 7
8. Has the assessment been completed within timescales?The relevant timeframes are Initial – 7 working days and Core Assessment 35 working days.
Return to Question 8
9. Is there evidence of an assessment of needs, of the referred child, clearly stated within the assessment?This question is asking for evidence of the needs identified when the worker carried out the assessment. The needs stated should be specific to the child – rather than service led. For example: if the child has a need to develop self esteem, then that is what needs to be recorded, rather than a child needs to be in a self esteem group.
Return to Question 9
10. Has the appropriate decision been made to close case or move to provision of appropriate services authorized by the team manager?The auditor will need to check for the purposes of column one whether the team manager has authorized the decision. The second column should record the appropriateness of this decision reached. Reference should be made as required to recommendation of the Laming Report regarding closure of cases of vulnerable children.
Return to Question 10
11. Is there a completed record of Strategy Meeting/Discussion with appropriate agreed outcomes and actions?
The first column should be used to record whether the ICS record of the outcomes of strategy discussion is on the record. The second column should record an opinion about the quality of information shared and whether the decisions about outcomes and actions are appropriate.
Return to Question 11
12. Has a Section 47 enquiry/investigation been completed, with all required steps?Reference should first be made to the recommendations of the strategy discussion and whether all recommended tasks have been completed. Reference should also be made to section 6.9 of the LSCB safeguarding procedures on which give a list of all enquiries that should have been undertaken before the Team Manager signs a section 47 enquiry as complete.
Return to Question 12
13. Is there an appropriate decision as to the outcome? (Refer to Safeguarding Procedure 6.9)On the record of outcome of section 47 enquiries form one of three outcomes must be chosen:
- Concerns not substantiated
- Concerns substantiated, but child not judged to be at continuing risk of significant harm
- Concerns substantiated & child judged to be at continuing risk of significant harm
Return to Question 13