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1.8.1 Case Recording and Auditing Procedure - Children in Need and Looked After Children

Contents

  1. Purpose
  2. Scope

    Appendix 1: Audit Tool

    Appendix 2: Quality Practice Audit Tool – Children and Young People's Records

    Appendix 3: Audit for Residential Records

    Appendix 4: Audit for Fostering Service Records

    Appendix 5: Audit for Adoption Service Records


1. Purpose

This document provides guidance in the auditing of Children’s Services case files both electronic and manual. The Auditing Policy and Procedure ensures that electronic and paper files are audited routinely to assure social care practice and decision-making. It includes auditing tools to ensure compliance with recording practices set out in National Minimum Standards for regulated services and Private Fostering. See separate chapter for the Case Recording and Auditing Procedure - Private Fostering.

The overarching aim of the audit is to improve the quality of services and outcomes for users. Case files will be examined to ensure that all relevant practice and quality issues are captured. The information gained will be used for continuous quality improvement within the performance management framework


2. Scope

The contents of this document apply to all staff, including managers, who are involved in the recording of service users’ information in case files and/or have responsibility for the quality of the information recorded.

1. Introduction

  • The aim of the policy and procedure 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 users 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recording may be poor or inappropriate to the needs of the child similarly, the record may be of a high standard, but out of date.” (“Write Enough” – Steve Walker, David Shemmings and Hedy Cleaver in “Effective Recording for Children’s Services”, DoH 2003);
  • The audit involves the participation of all workers in Children and Families Services and is intended to encourage continuous improvement of outcomes for users and ensure the spread of good practice right across the system.

2. The Audit Process

  • The audit process will be undertaken quarterly and will identify evidence, which meets the standards set out in the audit tool;
  • A service manager will be responsible for ensuring the audit is carried out. The supervising managers will undertake the audit of a minimum of one case record/file of each member of staff;
  • Service mangers will provide a summary report quarterly, which will detail performance against the standards;
  • The audit will be evidence based an require making a judgement as to whether the evidence meets the standards set out in the audit tool.

3. The Audit Tools

  • The Audit Tool consists of a list of questions based on the Quality Practice Standards.

4. File Selection

  • Each month one file per worker must be selected and put forward for audit;
  • The file selected should be one in which the worker has recorded information;
  • A different file should be selected each month.

5. Performance Standards

  • The Quality Practice Audit Tool sets out the Quality Standards which will help the department to achieve Quality Practice. The standards set out below are
Standard 1 There is enough information collected on which to decide further action
Standard 2 The decision making is consistent with the eligibility criteria
Standard 3 The assessment adequately reflects all areas of risk to the service user, staff members and the public
Standard 4 There is evidence of the referred child being seen (Children’s records)
Standard 5 There is evidence of the needs of the referred child being clearly stated within an assessment framework (Children’s records)
Standard 6 The Care Plan/Pathway Plan is informed by assessment findings
Standard 7 Issues of ethnicity and equality are addressed in the Care Plan
Standard 8 Clear outcome measures are established and agreed with the service user
Standard 9 It is clear who is responsible for developing the plan
Standard 10 There is evidence of users/care-givers/ significant other/s ongoing involvement in the decisions about services being provided
Standard 11 Monitoring is carried out at regular intervals
Standard 12 The review decisions are clearly reflected in the Care Plan/Pathway Plan
Standard 13 The review identifies both successes and weaknesses in meeting identified needs
Standard 14 The decision to close/transfer the case is related to assessments, Care Plan/Pathway Plans and reviews
Standard 15 The record complies with National Minimum Standards for regulated services. (This standard applies to all regulated services as defined by the Care Standards Act 2000)


Appendix 1: Audit Tool

Click here to view Appendix 1: Audit Tool


Appendix 2: Quality Practice Audit Tool – Children and Young Peoples Records

Click here to view Appendix 2: Quality Practice Audit Tool – Children and Young Peoples Records


Appendix 3: Audit for Residential Records

Click here to view Appendix 3: Audit for Residential Records

 
Appendix 4: Audit for Fostering Service Records

Click here to view Appendix 4: Audit for Fostering Service Records

 
Appendix 5: Audit for Adoption Service Records

Click here to view Appendix 5: Audit for Adoption Service Records

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