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Contents

1. Introduction
2. Role of Team Managers and their Team Administrator
3. Role of Unit Managers
4. Role of Divisional Managers
5. Role of Independent Auditor
6. Role of Central Collator
7. Role of Assistant Director, Support and Protection
   
   Appendix 1: Case File Audit Flowchart - Safeguarding and Specialist Provision Services
   
   Appendix 2: Case File Audit Tool
   
   Appendix 3: Family Placement CFA Tool
   
   Appendix 4: Unit Manager Summaries
   
   Appendix 5: Case Recording Procedure
   
   Appendix 6: Guidance on completing Administration Audit

1. Introduction

It is essential that all managers inspect case records and files for service users for whom they have responsibility.

This procedure applies to both paper files and Electronic Social Care Records (ESCR) files.

This procedure covers all social work fieldwork teams with the exception of Duty & Assessment services, who use a process more appropriate to the nature of their work.

File inspections are an important management tool and have a vital role in quality assurance. They can be used to:

1. Demonstrate management oversight of the care planning;
2. Ensure that case files/records are used as a tool for staff development by identifying issues arising from practice;
3. As a quality assurance mechanism for both practice and recording;
4. Ensure that statutory and procedural requirements are completed;
5. As a tool to assist line managers in supporting case accountable workers.

2. Role of Team Managers and their Team Administrator

Each Team Manager (auditor) must peer audit 2 case files per month within their division on behalf of another team.

Files for audit can be selected at random, but always check with the log held by the office manager to ensure the file has not already been audited in the last 12 months. Selected files should be logged as pending audits on the system completed by individual office managers and submitted to the central logging system monthly.

The audits must be carried out by applying the audit toolkit shown as Appendix 2: Case File Audit Tool. (Note that the toolkit is different for Family Placement (See Appendix 3: Family Placement CFA Tool) but applies the same process). The Administrator for the auditing team must complete their clearly marked sections of the toolkit before handing to the auditor and guidance for completion of this is shown as Appendix 6. Team Managers must apply the guidance set out in the Case Recording Procedure (See Appendix 5: Case Recording Procedure) alongside the toolkit when assessing contents in files.

For each audit completed the Team Manager needs to submit the overview summary page to the Unit manager. 

The Team Manager who has conducted the audit must provide the Team Manager whose team files have been audited with the full audit for each of the 2 files. 

The audit outcomes need to be addressed between the supervisor and supervisee who have case responsibility in the next supervision session and any agreed action must be logged on the file. Any actions must be carried over to on-going supervision/PRD sessions until outcomes are achieved.

3. Role of Unit Managers

The Unit Manager and Team Manger who is responsible for an audited case must discuss highlighted outcomes and agree any further action in supervision. Agreed action must be logged on the file.

The Unit Manager needs to prepare a summary of audits on a quarterly basis from the overview sheets provided and submit this summary to their Divisional Manager using the pro-forma shown as Appendix 4: Unit Manager Summaries.

4. Role of Divisional Managers

The Divisional Managers will arrange for all summaries to be collated into one document and these will be submitted to the Independent Auditor for inclusion in a quarterly report to Safeguarding and Specialist Provision Performance Meeting.

5. Role of Independent Auditor

The Independent Auditor is the Local Authority Designated Officer/Safeguarding Improvement Officer.

The Independent Auditor, independent of the Safeguarding and Specialist Provision Service, will be commissioned to carry out 4 audits per month applying the same method as above.

The Independent Auditor will provide a summary of the audit to the relevant Unit Manager and the full audit to the Team Manager responsible for the case.

The Independent Auditor will produce a quarterly summary of reports of outcomes of the audit based upon the analysis of the Divisional Managers and independent auditor summaries, to the Safeguarding and Specialist Provision Performance Meeting.

6. Role of Central Collator

The collator has an administrative role in coordinating and maintaining the central log. The collator is also responsible for bringing to the attention of Divisional and/or Unit Managers any circumstances where the auditing is not taking place as per procedural timescales. This role will be undertaken by the Divisional Management Administration Team.

7. Role of Assistant Director, Support and Protection

The Assistant Director, Support & Protection will audit 1 case file per month as well as randomly overview audits periodically and evidence this on the central log.

Any issues that arise will be cascaded by the Assistant Director via the relevant Divisional Manager through the management structure.

The Assistant Director will submit a highlight report to the Director of Children and Young Peoples Service on a quarterly basis.

Appendix 1: Case File Audit Flowchart - Safeguarding and Specialist Provision Services

Click here to view Appendix 1: Case File Audit Flowchart - Safeguarding and Specialist Provision Services.

Appendix 2: Case File Audit Tool

Click here to view Appendix 2: Case File Audit Tool.

Appendix 3: Family Placement CFA Tool

Click here to view Appendix 3: Family Placement CFA Tool.

Appendix 4: Unit Manager Summaries

Click here to view Appendix 4: Unit Manager Summaries.

Appendix 5: Case Recording Procedure

To Follow

Appendix 6: Guidance on Completing Administration Audit

Guidance on completing Administration Audit

Admin will be responsible for auditing data recorded on CareFirst. The Admin Manager will liaise with the Unit and Team Managers to identify the cases to be audited. For each audited case the CareFirst Information Audit form must be completed. Before commencing the audit you will have to liaise with the practitioner and ascertain whether the child is a CIN, Looked after or the subject of a child protection plan

If NO is selected as an answer to any question then the Admin worker must liaise with the practitioner to resolve the error.

When the errors have been resolved then the Audit form should be signed off and summary information recorded on the CareFirst Audit spreadsheet. The form should be scanned to CareStore. It should be called AUDIT and be stored in the contact folder.

The following outlines some additional guidance notes for completing the audit form.

Personal Details

1. First and family name - Person Details - There will be occasions when the child's full name is not known e.g. an unborn child or at referral stage of a case. However this information should be updated as soon as it is known;
2. Date of Birth = actual - Person Details - there are valid scenarios where the DOB can be estimated e.g. for an unborn child however this information should be updated as soon as it is known;
3. Ethnicity - Person Details;
4. Gender - Personal Details - if the child is unborn then the unborn option should be selected and not the unknown option;
5. Role = client of social services - Person Details - Role Tab - the role should not have an end date;
6. Address - Person Details - please check generic address types are being used correctly as follows:
   
   CHECK - when an address is not available on CareFirst e.g. out of area or a newly built house. The notes field should show the full address. This option should only be on the record for a short period of time. Once the ISU have added the actual address to CareFirst main address should be updated;
   
   ADOPT - this should only be used for adopters.  It should never be used for a child's main address;
   
   NO - no fixed abode - should only be used when the child is homeless;
   
   UNK - unknown - this should be used as the main address at the early stages of assessment e.g. referral as the address of the child should be known as the case progresses;
   
   CONF - confidential - this can be used for example if the child is living in a women's refuge.  The notes field should indicate who users should contact if they need further information about the child/case;
7. ESCR marker - Client Clipboard - only required for cases with an electronic case file.

Relationships

8. Allocated worker - Client Clipboard - please check the name of the worker is correct;
9. Personal Relationships - Relationships - Personal - The minimum recorded should be mum/main carer and siblings. Please remember relationships also need to be cross referenced, separate guidance is available on this subject;
10. Professional Relationships - Relationships - Professional - the GP should be recorded on all cases.

CIN

11. CIN Classification (if Initial Assessment completed) - Person Details - Further Details Tab. The classification should not have an end date, unless the case has closed;
12. Disabilities Classification - Person Details - Further Details Tab - this should only be record for Disabled children who have had an initial assessment. The classification should not have an end date unless the case has closed;
13. Open Event - Client Clipboard - Every open case should have an open event assigned to a worker or a team;
14. Open CIN review activity - Ongoing Service provision Event - Activities Button - this event should always have an open CIN review activity linked to it.

LAC

15. Child currently looked after - Client Clipboard - the marker should say currently, if it does not then the CareFirst service package and CLA episodes screens should be completed
16. Main Address - Client Clipboard - when a child becomes looked after the main address should not be altered. The address where the child is placed is recorded in the CLA episodes screen;
17. Open LAC review event - Client Clipboard - All looked after children should have an open event of this type;
18. Open statutory visit and health assessment activity - Client Clipboard - Ongoing Service provision Event - All looked after children should have these open activities.

Child Protection

19. Open review conference event - Client Clipboard - all children subject to a child protection plan should have an open conference event.

End