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Contents

1. Principles
2. Types of Audit
3. Process

1. Principles

1.	This procedure is specifically concerned with the case audit arrangements for Children in Need cases, (Looked After Children, Children who become a child subject to a child protection plan and other Child in Need). However, the procedure can easily be adopted for other specialist teams e.g. the Youth Offending team, Family Centres or Residential Units with some minor adaptation to the audit templates.
2.	Case audits involve reading the case record, and checking whether or not standards are met as well as an opportunity to review the quality of practice and decision making. It is planned that case audit forms will then be collated into reports that provides an overview of the audit findings.
3.	The purpose of the case audit is to: assure the quality of work undertaken; assure the quality of recording in line with agreed recording standards; assure the completeness, accuracy and timeliness of case recording; secure key messages about quality, needs and the views of people using our service; promotion of an open learning culture through reviewing professional practice.
4.	The case file is the written record that holds staff and the organisation to account for their interventions and services provided, and it is an important record for people who have received a service from us, particularly if they have been in our care.
5.	Managers, Inspectors and others may look to case files for evidence of activity undertaken and whether or not key standards are being met. Key messages on the quality and effectiveness of services we provide, information on needs, and the views of people using our service can be secured from collating case audit findings.
6.	The Case Audit programme will supplement case auditing undertaken by commissioned / internal and external auditors, and should take place as part of line management supervision. The case audit programme will be carried out by managers, Senior Social Workers and those with a quality assurance function.
7.	Cases will be audited using standard audit tools which are designed to ensure that: key activities have taken place, and where relevant have been completed to agreed timescales; this is evidenced using the correct documentation or system forms; concerns about practice, unresolved safeguarding issues or threshold decision making are identified; staff have an effective checklist to measure the quality of their recording against standards.
8.	Cases will be selected for audit by Head of Services during a quarter in line with a series of specific themes. These will be identified at SMG.
9.	The timetable for completing Completeness audits should form part of the line management supervisory process on a case by case basis, such that all open cases will covered within a one year period.
10.	The completion of Quality audits will be negotiated between the relevant pairs of team managers, such that all open cases will covered within a one year period.
11.	Team Managers and Business Support Officers will agree the details of how the Accuracy Audit is to be used locally in each team.
12.	Team Managers will be responsible for the quality, completeness and accuracy of the case records of staff in their teams, and for ensuring that all members of their team participate as required. Head of Services will be responsible for ensuring that Team Managers undertake and co-ordinate the required case audit activity, and for reporting back to the Head of Service for Quality, Audit and Performance.
13.	The Head of Service for Quality, Audit and Performance will be responsible for the case audit programme, and will agree procedures, oversee implementation and progress, commission any necessary work-streams, etc. with the agreement of the Family Services Service Management Group (SMG).
14.	The Business Information Team and the Business Support service will assist with the monitoring and reporting of case audit activity.

2. Types of Audit

Head of Services’ Case Audit

A quarterly, thematic audit will be undertaken on a sample of cases by the Service Management Group. This audit is primarily concerned with the quality of practice, safeguarding issues, and management decision making. SMG agrees the theme and focus of this audit and appropriate cases are then selected. Audits are undertaken using an agreed template. Completed audits are discussed by the SMG and findings fed back to the relevant Team Manager. Team Managers are responsible for implementing any recommendations which may be made as a result of the audit. Completed audits are appended to the case record using Assessment System contact sheets.

Coverage: Six per quarter or 24 per year.

Quality Audit

A monthly audit is to be undertaken by pairs of Team Managers (and those with a quality assurance function1) on cases from one another’s teams. The audit focuses on both the quality of recording and practice, particularly reasons for involvement and time limited care planning, the record of management decisions, and evidence of improved outcomes. Cases are selected by the responsible Team Manager, though Head of Services might decide that particular cases should be selected. Audits are undertaken using an agreed Case Audit (Quality) form (which can be downloaded from the A-Z list of forms on the intranet). Completed audits and findings are discussed by the auditor and Team Manager (any disagreement over recommendations being referred to Head of Services). Team Managers are responsible for implementing any recommendations which may be made as a result of the audit. Completed audits are appended to the case record using Assessment System contact sheets. A quarterly report collating the findings of the audits will be compiled and presented to SMG by the Head of Service for Performance, Audit and Review.

Coverage: c 160 cases per year.

Completeness Audit

A regular audit is to be undertaken by Social Workers on their own cases and agreed with their supervisors at a rate of one per supervision, which should take place every three weeks. The audit is intended to ensure that key elements of the case record are in place, completed within any required time limits, and up to date. The standards against which these things are measured are the divisions published recording standards, which themselves are based on statute and guidance where required. Cases are selected on the basis described in the Process section below. Audits are undertaken using an agreed Case Audit (Completeness) form (which can be downloaded from the A-Z list of forms on the intranet). Completed audits are discussed in supervision and the recommendations are copied to the supervision record, from where ongoing monitoring takes place. Individual or group training and support needs might be identified through the process. Supervisors are responsible for implementing any recommendations which may be made as a result of the audit. Completed audits are appended to the case record using Assessment System contact sheets. Periodic reports collating the findings of the audits will be compiled and presented to SMG by Head of Service for Performance, Audit and Review.

Coverage: 1 case per supervision session, which should cover all open cases at least once per year.

Accuracy Audit

An ongoing audit of the accuracy of key data items which can be tailored to suit the needs of different teams, and which is agreed between the Team Manager and their Business Support Officer.  The Case Audit (Accuracy) form (which can be downloaded from the A-Z list of forms on the intranet) is a checklist of items where regular checks on the accuracy of data are necessary. The template allows teams to specify which items will me checked in this way, the method (e.g. time at team meetings, lists circulated to staff, etc) and the frequency of checks, and also allows for the inclusion of additional items not contained in the standard checklist. The template is agreed and completed locally by each team, and copies are sent to the Head of Service for Business Support.

Coverage: all open cases on an ongoing basis.

3. Process

Completeness Audit

1. Completeness Audits should be undertaken on cases open for more than six weeks. Cases which are opened and closed within six weeks do not require a Completeness Audit.
2. Initially, cases should be selected on the basis of length of time for which they have been open, and the oldest case without an existing Completeness Audit should be first, and so on. If the point is reached at which all of a worker’s caseload have been audited in this way, a new audit should be completed for the case with the oldest audit, and so on.
3. Allocated Social Workers should undertake a Completeness Audit on one case per supervision meeting with their supervisor (SSW or TM).
4. Where it is identified that action is required to ensure the completeness of the case record this will be recorded on the audit form and in the supervision record; this will allow for ongoing monitoring of the required in action in future supervision sessions.
5. Completed audit forms should be attached to contact sheets in the ICS Notes Assessment System (not LACmon) using the “Case Audit” heading for the contact sheet.
6. Team Managers should take the opportunity to identify any additional support or training needs for individuals, groups of staff, or whole teams, in relation to the identified required actions. Consistent difficulties in meeting particular standards should also be reported to the Head of Service for Quality, Audit and Performance, who has the authority to review the level of required standards (other than those which are statutory requirements).
   
   Quality Audit
7. Team Managers (or their Head of Services) should select the cases they will ask their colleagues to audit. These should usually be distributed equally across the caseloads of their team members. In selecting cases Managers might want to consider the usefulness of the Quality Audit in gaining the views of fellow professionals, perhaps where cases feel “stuck”, or where a fresh perspective may be helpful.
8. Agreed pairs of team managers should meet and exchange information about the cases to be audited.
9. IRO’s and FSCPA’s should carry out Quality Audits on LAC and CP cases respectively. From the list of cases proposed for audit these should be agreed by negotiation with the relevant Team Managers.
10. All staff conducting Quality Audits should do so at the rate of one per month, or approximately ten per year allowing for leave etc.
11. Once completed, the auditor should contact the owner Team Manager to discuss their findings and agree recommendations. If recommendations cannot be agreed the matter should be referred up to the relevant Head of Service(s)
12. Completed audit forms should be attached to contact sheets in the ICS Assessment System (not LACmon} using the “Case Audit” heading for the contact sheet.
13. Head of Services will monitor the process and follow up on recommendations in supervision with Team Managers.
    
    Accuracy Audit
14. Team Managers and Business Support Officers will meet and agree the items to be audited, the method, and the frequency. This agreement should be signed and dated, and a copy sent to the Head of Service for Business Support.
15. Business Support Officers will undertake the checks as agreed, and will support staff in updating their case records.
16. The frequency of checks and methods of audit might be different for different data items, for instance placement and legal status codes for Looked After Children might be checked weekly at a team meeting, whereas family addresses might be checked on a monthly basis through short individual meetings between Social Workers and Business Support Officers.
17. The Business Information Team will provide support as requested to Business Support Officers to facilitate the process, e.g. help on data extraction to produce lists of key data items.
18. Team Managers and Business Support Officers will meet not less than six monthly to review the arrangements, and update the Accuracy Agreement as necessary.

End