1.3.5 Quality Audit Procedure |
Contents
1. Principles
This procedure is specifically concerned with the quality 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
Quality 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
The purpose of the quality audit is to:
- Assure the quality of work undertaken
- Assure the quality of recording is 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
The case file and record is the written record that holds employees 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
Managers, Inspectors, supervisors and others may look to case files and records for evidence of activity undertaken and whether or not key standards are being met. Key messages on the quality and effectiveness of services provided, information on needs, and the views of people using our service can be secured from collating case audit findings
The Quality Audit programme will supplement case auditing undertaken by commissioned / internal and external auditors, and should take place as part of line management supervision. The quality audit programme will be carried out by managers, Practice Supervisors and those with a quality assurance function
Cases will be audited using the Lincolnshire 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;
- Employees have an effective checklist to measure the quality of their recording against standards.
The timetable for completing audits by Lead Social Workers, team managers and supervisors should form part of the line management supervisory process on a case by case basis, such that all open cases will be covered within a one year period
All quality audits for the specialist service will be recorded onto ICS. Those for the Integrated Service will be recorded onto forms and stored on the file and any recording system that allows for reporting
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 Assurance and Performance Management
The Head of Service for Quality Assurance and Performance Management will be responsible for the co-ordination of the quality audit programme, and will agree procedures, oversee implementation and progress, commission any necessary work-streams, etc. with the agreement of the Service Management Group and Director's Management Team
The Performance 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' and senior managers' Quality Audit
A quarterly audit will be undertaken on a sample of cases by the senior Service Management Group. This audit is primarily concerned with the quality of practice, safeguarding issues, and management decision making. 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 stored in the case record using the case Quality Audit function in ICS (Specialist Service) and form (Universal and Targeted Service).
A minimum of three cases will be selected for audit by senior managers during a quarter, although auditors may select any number of cases in addition. The cases chosen will be identified at random or by specific theme.
Quality Audit
These are completed by Team Managers, supervisors, Independent Reviewing Officers (IRO's) and Independent Safeguarding Chairpersons (ISC).
The quality audits are completed as an audit at allocation at various stages in the process of assessing and providing services, prior to transfer, closure and in supervision. The audit focuses on both the quality of recording and practice, particularly reasons for involvement, the plan, 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.
Independent Reviewing Officers and Independent Safeguarding Chairpersons should carry out complementary Independent Quality Audits on Looked After Children and Child Protection cases respectively in line with statutory guidance.
Audits will be recorded onto ICS.
Audits are undertaken using the Quality Audit function on ICS (Specialist Service) or form if Universal & Targeted Service (which can be downloaded from the A-Z list of forms on the intranet). Completed audits and findings are discussed by the auditor, Team Manager and Lead Social Worker (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 for universal & targeted services are appended to or filed in the case record. A quarterly report collating the findings of the audits will be compiled and presented to SMG by the lead Head of Service for quality & audit.
Completeness Audit
These are completed by Lead Social Workers
A regular audit is to be undertaken by Lead Social Workers on their own cases and agreed with their supervisors at a rate of one per supervision, which should take place every month. 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 reflected in procedures and recording with care guidance and other standards linked to procedures, 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 the Case Quality Audit function on ICS (Specialist Service) or form if Universal & Targeted Service (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 case 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 not recorded within ICS are appended to or filed in the case record. A quarterly report collating the findings of the audits will be compiled and presented to SMG by the lead Head of Service for audit.
Coverage: 1 case per supervision session, which should cover all open cases at least once per year.
Accuracy Audit
These are carried out by Business Support to support the Team Manager
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 Assistant. The Case Quality Audit function in ICS or 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 teams shall specify which items will be checked in this way, the method (e.g. time at team meetings, lists circulated to staff, etc), the frequency of checks and also allows for the inclusion of additional items not contained in the standard checklist. The items are agreed and completed locally by each team.
Coverage: all open cases on an ongoing basis.
Related Quality Assurance activity-Independent Reviewing Officers and Independent Safeguarding Chairpersons
Case Audits are the responsibility of the line management of Lead Social Workers. Independent Reviewing and safeguarding chairs will also quality assure care planning and child protection arrangements. Whilst these officers will not directly complete the case Quality Audits they will feedback and make recommendations for improvement where care planning of child protection arrangements are not robust and where there are areas in need of improvement. This may include but will not be limited to the quality of recording and decision making. For more information on the Quality Assurance functionality of Independent Reviewing and Safeguarding Chairs please see separate procedure guidance. Where requested they will provide reports to DMT.
3. Process
Completeness Audit
These are undertaken by the Lead Social Worker
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
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
Allocated Lead Social Workers should undertake a Completeness Audit on one case per supervision meeting with their supervisor
Where it is identified that action is required to ensure the completeness of the case record this will be discussed during supervision and recorded on the case supervision record; this will allow for ongoing monitoring of the required in action in future supervision sessions
Audits will be completed using the Quality Audit function on ICS (Specialist Service) or form by the Universal and Targeted Service which will be appended to or filed in the case record.
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 and Audit, Audit and Performance, who has the authority to review the level of required standards (other than those which are statutory requirements).
Quality Audit
These are carried out by Team Managers, Supervisors, Independent Reviewing Officers and Independent Safeguarding Chairpersons
Team Managers (or their Head of Services) should select the cases for 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
Independent Safeguarding Chairpersons will carry out a quality audit following each Initial Child Protection Conference and Review Conference
Independent Reviewing Officers shall undertake a quality audit as part of the review of the care plan process the requirements are within the review of the care plan procedure.
Once completed, the IRO and ISC 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)
Quality Audits undertaken by IRO and ISC will be recorded on ICS
Head of Services will monitor the process and follow up on recommendations in supervision with Team Managers IRO and ISC.
Accuracy Audit
Team Managers and Business Support Assistants will meet and agree the items to be audited, the method, and the frequency
Business Support Assistants will undertake the checks as agreed, and will support staff in updating their case records
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 Lead Social Workers and Business Support Assistants
The Performance Information Team will provide support as requested to Business Support Assistants to facilitate the process, e.g. help on data extraction to produce lists of key data items
Team Managers and Business Support Assistants will meet not less than six monthly to review the arrangements, and update the Accuracy Agreement as necessary.
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