Children’s Services
CHILDREN’S SERVICES – AUDIT TOOL
INTRODUCTION
Children’s social implemented a fully electronic case management system ‘ICS’ in
accordance with government specifications to manage the planning and recording
the assessment and planning process for all children referred. This audit tool has
been developed to enable the audit of the quality of the records on ICS as part of the
process of replacing the existing paper file structure.
The aim of the audit process 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 children and families 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 Similarly, the record may be of a high standard, but out of
date.
The audit involves the participation of all workers and is intended to encourage
continuous improvement of outcomes for children and families, and ensure the
spread of good practice right across the system. As a manager there are numerous
issues and evidence of action (by the worker), required by the directorate, to clearly
inform not only the manager but also the department/organisation that the proper
procedure has been followed at all times. The audit has been developed to allow
both front line managers and senior managers to review the quality of work on cases.
Appropriate levels of standards are required in all areas of work undertaken by the
field work teams, as laid down in the Children’s Services Procedure and Practice
Guidelines for Case Records and Case Recording which are available on the social
care e.library. The required standards for audit in terms of who undertakes the audit
and at what frequency is contained in a revised File Audit Procedure.
The whole audit tool is lengthy and it is not feasible for managers to undertake the
whole audit for each case reviewed (except for exceptional circumstances such as
when the record needs to be reviewed for inspection purposes). Managers should
focus on the relevant section (I to 13 for new contacts,11 to 20 for children subject to
child protection plans,22 to 27 for children in need receiving services) and 37 to 42
relating to recording and supervision for all cases. The revised file audit procedure
will contain guidance on how to check paper files for information on supervision
records which are not yet available on the ICS record.
Building pride in Cumbria
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2
Using the tool
The following points/questions should form the basis of an audit tool to enable all managers to
carry out an appropriate audit of the case file and the performance of the worker concerned,
taking into account the above procedures.
Please refer to the Guidance Notes for completion of the Audit Tool at the end of this
document – by selecting the direct link:
GUIDANCE NOTES
Or
By clicking on the relevant question in the Audit Tool, the hyperlink will take you to
the relevant guidance for that question, active hyperlinks in this document appear as
blue text.
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3
CHILDREN’S SERVICES – AUDIT TOOL FOR MANAGERS
Name Of Allocated Worker:
Team/Location:
Name of Manager Undertaking Audit:
ICS system ID:
Date of Audit:
Audit Month:
Please send your completed Audit Tool via email to:
[email protected]
Stages of the
Case
Management
Process both
at referral and
transfer:
Screening/
Contact/
Referral
Or initial point
of contact with
the Team:
Assessment or
Reassessment:
Quality practice
criteria:
1 Is the reason for
referral clear and
enough information
collected on the
contact form to
decide further
action?
2. Where appropriate
has referral and
information record
been completed with
relevant information
as required?
3. Is the section ‘is
this a re-referral
record’ correctly
completed (please
see note)?
4. Has an
appropriate decision
been made by the
Team Manager to
proceed to initial
assessment?
5. Is there evidence
of the referred child
being seen, and if
age appropriate,
spoken to by the
worker, to ascertain
wishes and feelings
(clearly recorded)?
6. Is there a record
of views of parents/
carers on the
assessment?
7. Has the relevant
information been
obtained from
professionals and
others in contact
with the child and
their parents/carers?
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What evidence is
available on electronic
files (to be completed
by supervisor and
worker)?
Does the Manager
judge that this
standard has been
met?
(Manager to indicate
Yes, No, N/A and
comment)
Actions to
be taken and
timescales
4
Stages of the
Case
Management
Process both
at referral and
transfer:
Child
Protection
Cases:
Planning: Child
in Need:
Quality practice
criteria:
8. Has the
assessment been
completed within
timescales (Initial
and Core
Assessments)?
9. Is there evidence
of an assessment of
needs for the
referred child,
clearly stated within
the assessment?
10. Has the
appropriate decision
been made to close
case or move to
provision of
appropriate services
authorised by the
manager?
11. Is there a
completed record of
Strategy Meeting
Discussion with
appropriate agreed
outcomes and
actions?
12. Has a Section 47
enquiry/investigation
been completed,
with all required
actions?
13. Is there an
appropriate decision
as to the outcome?
14. Is there a Social
Worker Report to
Child Protection
Case Conference
and Chairs Report
on outcomes that
fully addresses the
child’s needs?
15. Has the Core
Group been
convened within 10
days of ICPC and at
appropriate intervals
thereafter?
16. Is there evidence
of the core group
working effectively
to complete the core
assessment and
address the child’s
needs?
17. Has the child/
young person been
seen by the key
worker every four
weeks?
18. Is there an up to
date Child Protection
Plan informed by the
assessment
findings?
19 Are issues of
ethnicity and
equality addressed
in the Plan?
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What evidence is
available on electronic
files (to be completed
by supervisor and
worker)?
Does the Manager
judge that this
standard has been
met?
(Manager to indicate
Yes, No, N/A and
comment)
Actions to
be taken and
timescales
5
Stages of the
Case
Management
Process both
at referral and
transfer:
Planning: Child
in Need
Children
Looked After:
Quality practice
criteria:
20. Is there evidence
of child/parents/
carers/significant
others ongoing
involvement in the
implementation of
the child protection
plan?
21. Is there evidence
of satisfactory
review of the child
protection plan
through social work
reports and chairs
reports on to review
CPC?
22.Is there a clear
evidence of a clear
current care plan
informed by the
assessment
findings?
23. Are issues of
ethnicity and
equality addressed
in the plan?
24. Is there evidence
of involvement of
child/parents/carers
in decisions about
services provided
and are clear
outcome measures
agreed with them?
25. Have plans been
regularly reviewed
and updated through
ICS Planning?
26. Does the review
identify both
successes and
weaknesses in
meeting identified
needs?
27. Are the review
decisions clearly
reflected in the Care
Plan?
28. Has the request
for Child to be
looked after been
agreed by the Team
Manager, after
approval by an
appropriate Senior
Manager?
29. Is there an
updated and
complete Placement
Information Record?
30. Is there a
completed Child
Looked After/Young
Persons Care Plan
that fully addresses
the child’s needs
including a plan for
permanence by the
2nd review? (See
note on timescales
and requirements)
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What evidence is
available on electronic
files (to be completed
by supervisor and
worker)?
Does the Manager
judge that this
standard has been
met?
(Manager to indicate
Yes, No, N/A and
comment)
Actions to
be taken and
timescales
6
Stages of the
Case
Management
Process both
at referral and
transfer:
Case
Recording and
Case
Management:
Quality practice
criteria:
31. Has the child
been visited and
seen separately from
the Carer within
required timescales?
(Procedure 20031
point 41)
32. Is there a
completed Health
Assessment
(completed within 28
days)?
33. Is there a
completed PEP?
(Completed within 28
days of Child being
Looked After?)
34.Are there social
work reports and
chairs reports on
outcomes for the
CLA Reviews, which
address the child’s
needs?
35. Is there evidence
of efforts to engage
the child/young
person in the review
process?
36. Have
Assessment and
Progress Records
been completed?
37. Has the ICS
chronology been
updated with
significant events?
(Essential for CP and
CLA Cases)
38. Are all ICS
recordings accurate
and up to date?
39. Are all ICS
records completed
satisfactorily, and do
they distinguish
between fact and
opinion? (Write
enough)
40. Is there evidence
on the file that Team
Managers have read
records/notes and
recorded their
decisions if
appropriate?
41. Does the ICS
record adequately
record reason for
case closure/
transfer endorsed by
the Team Manager?
42. Is there evidence
of regular
supervision,
management
oversight and
decisions recorded
on file? (This will be
a paper record until
made available on
ICS)
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What evidence is
available on electronic
files (to be completed
by supervisor and
worker)?
Does the Manager
judge that this
standard has been
met?
(Manager to indicate
Yes, No, N/A and
comment)
Actions to
be taken and
timescales
7
Manager/Team Manager comments:
Signature:
Date:
Auditors/Service Manager overall comments about this file:
Signature:
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Date:
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AUDIT TOOL GUIDANCE NOTES
Return to Start of Audit Tool
Return to Start of Introduction
Appendix 1 – Quality of Case File and Case Recording
From reading the record the auditor should be able to easily make sense of the work
undertaken with the child and family. The record should be easy to read, show
appropriate cross-referencing, easy to access information, be up to date, and show
evidence of supervision input.
The audit tool has two columns the first to show whether the relevant record is
present or not and the second to record the quality of the recording using a scoring
system, as follows.
Inadequate
Satisfactory
Good
Outstanding
1
2
3
4
Definitions of Judgement:
Inadequate
No record of work done or it is so partial that it is of little value.
Satisfactory
The record indicates the date’s people were contacted/seen and
gives brief details of actions taken/decisions made.
Good
The record indicates the dates, purpose and outcome of contacts (i.e.
meetings/interviews/telephone conversations), and who was present.
It presents all the information and at intervals brings it together as
part of an assessment, planning and review cycle.
Outstanding In addition to the requirements for good recording, the record brings
together (when appropriate) all the salient information (both past and
present) about the child and family. This information is analysed and
used as the basis for deciding what the current risk is to the child;
what plans need to be made to reduce the risks and the rationale for
these; details of the therapeutic work being offered to the child and
family, and being undertaken, including by whom.
(Example above taken from ‘National Inspection of Social Services Case records’)
Return to Introduction
Appendix 2 – Guidance for Questions on Audit Tool
1. Is the reason for referral clear and enough information collected on the
contact form?
The question requires the 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’. If the assessment teams
are being audited, there will need to be evidence that there is enough information
about the need to progress to referral and assessment. If the Children In
Need/Looked After Teams are being audited, there will need to be enough
evidence through contacts on open cases to show the information available has
clearly aided decisions about level/type of ongoing service/care provided. An
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9
example of this could be if a child had quickly changing care needs.
Minimum standards are available from the Social Care Thresholds Document.
Return to Question 1
2. Where appropriate has the referral and information record been complete
with relevant information as required.
This question requires the auditor to consider whether appropriate information has
been recorded in terms of both ‘demographics’ and information on the relevant
‘domains’ of the assessment framework?
Return to Question 2
3. 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 in column one whether the second box is
completed and in column two whether the judgment as to whether the response to
the original referral did or did not address the child’s needs. Reference will need to
be made to the previous referral(s) and whether the response was in the view of
the auditor satisfactory.
Return to Question 3
4. 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.
Return to Question 4
5. 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 on ICS using a new electronic tool as from 0104-08. The auditor will need to record an opinion as to whether the decision was
made appropriately and the reason recorded.
Return to Question 5
6. 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.
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The second column should be used to record the quality of the information
recorded.
Return to Question 6
7 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.
Return to Question 7
8. Has the assessment been completed within timescales?
The relevant timeframes are Initial – 7 working days and Core Assessment 35
working days.
Return to Question 8
9. 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.
Return to Question 9
10. Has
the appropriate decision been made to close case or move to
provision of appropriate services authorized by the team manager?
The auditor will need to check for the purposes of column one whether the team
manager has authorized the decision. The second column should record the
appropriateness of this decision reached. Reference should be made as required
to recommendation of the Laming Report regarding closure of cases of vulnerable
children.
Return to Question 10
11. Is there a completed record of Strategy Meeting/Discussion with
appropriate agreed outcomes and actions?
The first column should be used to record whether the ICS record of the outcomes
of strategy discussion is on the record. The second column should record an
opinion about the quality of information shared and whether the decisions about
outcomes and actions are appropriate.
Return to Question 11
12. 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. Reference should also
be made to section 6.9 of the LSCB safeguarding procedures on
www.cumbrialscb.com, which give a list of all enquiries that should have been
undertaken before the Team Manager signs a section 47 enquiry as complete.
Return to Question 12
13. 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
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11
significant harm
Concerns substantiated & child judged to be at continuing risk of
significant harm
The auditor needs to confirm in column one that an outcome has been chosen and
in column two 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. Guidance is
available in Chapter 6.9 of the LSCB website www.cumbrialscb.com.
Return to Question 13

14. Is there a Social Worker Report to Child Protection Case Conference, and
the Chairs Report on outcomes that fully addresses the child’s needs?
The first column should address the presence of absence of the relevant records
on ICS. The second column should address the quality of reports including (for the
social work report) whether the chronology, information on domains and summary
addresses the issue of potential significant harm and (for the chairs report) the
quality of the recording regarding the conference and recommendations)
Return to Question 14
15. Has the Core Group been convened within 10 days of ICPC and at
appropriate intervals thereafter?
Cumbria’s safeguarding procedures 6.28 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.
Return to Question 15
16. 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 6.28 of Cumbria’s safeguarding
procedures.
Return to Question 16
17. Has the child/young person been seen by the key worker every four
weeks?
Reference should be made to the Cumbria’s safeguarding procedures 6.27
Return to Question 17
18. Is there an up to date child protection plan informed by assessment
findings?
The first column should confirm the date of the most recent update of the child
protection plan and the second an assessment as to whether the plan has been
informed by the core group and meets the criteria established in Cumbria’s
safeguarding procedures 6.26.
Return to Question 18
19. 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 to 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
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12
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 i.e.
disability, gender, age, sexual orientation etc. These should then be clearly
addressed in the care plan or re-assessment.
Return to Question 19
20.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.
Return to Question 20
21. Is there evidence of satisfactory review of the child –protection plan
through social work reports and chairs reports to review conferences?
The first column should address the presence or absence of the available records
and the second column should address the quality of the social work reports to the
conference and the chairs summary of issues discussed at the conference.
Return to Question 21
22. 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.
Return to Question 22
23. 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
Return to Question 23
24. Is there evidence of the involvement of child/parent/carers in decisions
about services provided and are clear outcome measures agreed with them?

Return to Question 24
25. Have plans been regularly reviewed and updated through ICS planning?
This question requires the auditor to check that after the initial plan has been
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13
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.
Return to Question 25
26. 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.
Return to Question 26
27. 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.
Return to Question 27
28. Has the request for Child to be looked after been agreed by the Team
Manager, after approval by an appropriate Senior Manager?
The process for approval of decisions for children to be looked after is contained in
Cumbria’s procedure for accommodation of children in need (procedure number
200031 paragraph 29). Until ICS is updated this record may only be available as a
paper record within the child’s file.
Return to Question 28
29. Is there an updated and complete Placement Information Record?
This question requires the auditor to check the date of the most recent record for
the purposes of column one but also to consider the quality of the PIR in terms of
addressing the child’s needs in column two.
Return to Question 29
30. Is there a completed Child Looked After/Young Person’s Care Plan that
fully addresses the child’s needs?
Section 59 of the procedure for accommodating children in need confirms that a
care plan should be completed prior to placement or if not within 14 days of the
child becoming looked after. The auditor should consider whether the plan does
addresses the child’s identified needs and also whether this constitutes a ‘plan for
permanence’ which should be in place by the second review.
Return to Question 30
31. Has the child been visited and seen separately from the carer within
required timescales?
The visiting requirements for children who are looked after are summarized in
paragraph 41 of the procedure for accommodating children in need.
Return to Question 31
32. 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.
Further information is available from the procedure
Return to Question 32
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14
33. Is there a completed PEP?
The PEP should be completed within 28 days of the child becoming looked after.
Return to Question 33
34. Are there social work reports and chairs reports on outcomes that
address the child’s needs?
The first column should be used to record the presence or absence of the required
reports on ICS. The second column should be used to 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.
Return to Question 34
35. Is there evidence of efforts to engage the child/young person in the
review process?

Return to Question 35
36. Have Assessment and Progress Records been completed?
The decision to commence an APR should normally be taken through the review
process. The APR should normally commence after the child’s second review at
four months and be completed by the third review at ten months.
Return to Question 36
37. Has the ICS chronology been updated with significant events? (Essential
for CP and CLA cases)

Return to Question 37
38. Are all ICS recordings accurate and up to date?

Return to Question 38
39. Are all ICS records completed satisfactorily, and do they distinguish
between fact and opinion?
This question requires the 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. Cumbria’s standards are available
from procedure no 20010, case recording in children’s services.
Insert hyperlink here
Return to Question 39
40. Is there evidence on the file that Team Managers have read
records/notes and recorded their decisions if appropriate?

Return to Question 40
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15
41. Does the ICS record adequately record reason for case closure/ transfer
endorsed by the Team Manager?

Return to Question 41
42. Is there evidence of regular supervision, management oversight and
decisions recorded on the electronic record?

Return to Question 42
Return to Introduction
Return to Start of Audit Tool
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