1.6.4 Audit Tool Guidance Notes

Is the reason for referral clear and enough information collected on the contact form?

The question required the manager/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'  There will need to be evidence that there is enough information about the need to progress to referral and assessment.

Where appropriate has the referral and information record been complete with relevant information as required?

This question requires the manager/auditor to consider whether appropriate information has been recorded in terms of both 'demographics' and information on the relevant 'domains' of the assessment framework?

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 whether the second box is completed.

The question requires the manager/auditor to form a judgment as to whether the response to be made to the previous referral(s) and whether the response was in the view of the auditor satisfactory.

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.

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.  The manager/auditor will need to record an opinion as to whether the decision was made appropriately and the reason recorded.

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.

This question should be used to record the quality of the information record.

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.

Has the assessment been completed within timescales?

The relevant timeframes are Initial - 7 working days and Core Assessment - 35 working days.

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.

Is the overall quality of the care assessment good enough with clear analysis?

This question aims to gather the full picture of the circumstances for the child and the analysis should provide a succinct summary of the findings and interpret these, drawing upon relevant social work theories and knowledge.

Has the appropriate decision been made to close case or move to provision of appropriate services authorised by the team manager?

The manager/auditor will need to check for the purposes of column one whether the team manager has authorised the decision. 

Is there a completed record of Strategy Meetings/Discussion with appropriate agreed outcomes and actions?

The manager/auditor should record whether the ICS record of the outcomes of strategy discussion is on the record. 

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.

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 and child judged to be at continuing risk of significant harm.

The manager/auditor needs to confirm that an outcome has been chosen. 

The manager/auditor needs to record an opinion as to whether the decision has been made appropriately on the evidence available.  If the third outcome is chosen a child protection conference must always be convened.  If another outcome is chosen the auditor needs to confirm if an appropriate decision has been made on continuation of the core assessment and provision of services or move to closure.

Is there a Social Worker Report to Child Protection Case Conference, and the Chairs Report on outcomes that fully addresses the child's needs?

Has the Core Group been convened within 10 days of ICPC and at appropriate intervals thereafter?

Blackpool Safeguarding Procedures 5.130 give recommendations that core groups must be held within 10 days of the initial conference and at least four weeks thereafter unless it is agreed with the chair that they can be held at lesser frequency.

Is there evidence of the core group working effectively to complete the core assessment, addressing the child's needs and updating the child protection plan?

The responsibilities of core groups are outlined in 5.131 of Blackpool's Safeguarding Procedures.

Has the child/young person been seen by the key worker every four weeks?

Reference should be made to the Blackpool Safeguarding Procedures 6.27.

Is there an up to date child protection plan informed by assessment findings?

The manager/auditor should confirm the date of the most recent update of the child protection plan.

The manager/auditor is required to make an assessment as to whether the plan has been informed by the core group and meets the criteria established in Blackpool's Safeguarding Procedures.

Are issues of ethnicity and equality addressed in the plan?

The assessment must have considered the issue of ethnicity and there is evidence to indicate this, and then check the care plan has taken account of these needs.

If it is decided there are significant needs/issues relating to ethnicity, such as language, communication, diet, access or use of interpreters, these should be recorded, and the care plan should identify ways of meeting these needs.

If there are no specific needs/issues in relation to this, there must be recorded information on which the decision was based.

As with ethnicity, in terms of equality, any decision should be evidenced ie disability, gender, age, sexual orientation etc.  These should then be clearly addressed in the care plan or re-assessment.

Is there evidence of child/parents/carers/significant others involvement in the child protection plan?

This question requires the auditor to decide whether there has been user and/or carer involvement in the development of the plan.

Is there evidence of satisfactory review of the child, protection plan through social work reports and chairs reports to review conferences?

The manager/auditor should address the presence or absence of the available records.

The manager/auditor should address the quality of the social work reports to the conference and the chairs summary of issues discussed at the conference.

Is there evidence of a clear current care plan informed by assessment findings?

The care plan should be based on the assessment of the child's needs rather than services available.  The child's wishes and feelings need to be clearly recorded on the care plan and evidence needs to show the worker has had a discussion with the child about the services to be delivered and that the child is in agreement.  Similarly, all other individuals involved, need to have their views clearly acknowledged and recorded.

Are clear outcome measures established and agreed with the child and family?

The question requires the manager/auditor to check there are clear outcome measures relating to the care plan, which refer to improving the quality of life for the child and family as well as meeting the identified needs, there must also be evidence the child and parents/carers have agreed to these outcome measures.  Evidence could be obtained by ensuring parents and child's views have been clearly recorded on the assessment.

Remember to be:

S  - Specific
M - Measurable
A  - Achievable
R - Realistic
T - Time Limited

Have plans been regularly reviewed and updated through ICS planning?

This question requires the auditor to check that after the initial plan has been agreed and service delivery begun, regular reviews of the plan should be held, to determine the family are satisfied with the service delivered and that it is meeting their needs.

Does the review identify both successes and weaknesses in meeting identified needs?

There is an expectation that the review addresses the whole person.  There should be evidence the review looked at the original identified needs and recorded whether the services provided have met these needs successfully.  If there are new/changing needs, or outstanding unmet needs, then further services need to be identified and recorded as such at the review.

Are the review decisions clearly reflected in the Care Plan?

There is an expectation that at appropriate points the case/care plan will have been reviewed.  The worker will need to show evidence that the care plan has either been updated, or if required, a new care plan has been produced and agreed.

Has the request for Child to be looked after been greed by the Service Manager, after approval by an appropriate Team Manager?

The process for approval of decisions for children to be looked after is contained in Blackpool's procedure for accommodation of children in need (Blackpool Procedures on-Line 3.3.3).

Is there an updated and completed Placement Information Record?

This question requires the manager/auditor to check the date of the most recent record.

The manager/auditor should consider the quality of the PIR in terms of addressing the child's needs in column two.

Is there a completed Child Looked After/Young Person's Care Plan that fully addresses the child's needs?

A care plan should be completed prior to placement or if not within 14 days of the child becoming looked after.  The manager/auditor should consider whether the plan does address the child's identified needs and also whether this constitutes a 'plan for permanence' which should be in place by the second review.

Has the child been visited and seen separately from the carer within required timescales?

The visiting requirements for children who are looked after are summarised in Blackpool Procedures Online 3.3.1 for accommodating children in need.

Is there a completed and up to date Health Assessment?

This should address whether there is a health assessment, which should be completed within 28 days of the child becoming looked after, and at annual interval thereafter unless the child is under 5 when the interval is every 6 months.  The date of the most recent health assessment can be found on the ICS health screen.

Is there a completed PEP?

The PEP should be completed within 28 days of the child becoming looked after.

Are there social work reports and chairs reports on outcomes that address the child's needs?

The manager/auditor should record the presence or absence of the required reports on ICS. 

The manager/auditor should assess the quality of the social work report and the chairs report in ensuring a good quality review of the child's needs as a looked after child.

Have missing from care protocols been applied where appropriate?

This question is asking have procedures been followed, have return home interviews been completed, are meetings convened in line with procedures?

Are all ICS records completed satisfactorily, and do they distinguish between fact and opinion?

This question requires the manager/auditor to ensure the worker has evidenced and recorded statutory visits/meetings/telephone calls with the child and parents/ carers/professionals (all contacts).  It also needs to show the worker has clearly identified and recorded, areas and differences between fact and opinion, and shows clear understanding in this area.  Records should be up to date.