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Contents

1. Introduction
2. Tier One Audits: Examination of case records by managers within the division.
3. Tier Two Audits: The annual programme of team and themed audits identified by Quality Assurance.
4. Tier Three Audits: Multi agency audits undertaken by the BSCB
5. Tier Four Audits: Internal Audit of the council.
6. Tier Five Audits: External audit by OfSTED

1. Introduction

Audit of social work practice forms a core part of ensuring the quality of services provided for children and their families in Bromley. Audit sits within a wider framework of Quality Assurance measures within the division including the training strategy, the HR PADS (personal, appraisal and development scheme) framework, the electronic children's social care procedures, the management of complaints, the Independent Chairs escalation procedures and the framework for managing performance indicators.

There are 5 levels of audit in Bromley Safeguarding and Social Care Division.

2. Tier One Audits: Examination of case records by managers within the division.

Auditing cases is a fundamental way of managers ensuring that practice within their team is safe and that workers are carrying out actions agreed in supervision. In every team first line managers are required to routinely examine case records on CareFirst to agree actions carried out by social workers. Each team will have different expectations regarding the level of scrutiny by managers, many driven by statutory requirements. Group Managers need to assure themselves that Deputy Managers are routinely scrutinising files.

In recognition of the differing requirements of the work in each team Group Managers will be required on a monthly basis to audit the following minimum number of cases:

• Looked After Children and Leaving Care/ 16+ teams: 3 cases per Group Manager
• Safeguarding and care planning: 2 cases per Group Manager
• Referral and Assessment: 5 cases per Group Manager

Heads of Service and the Assistant Director will ensure that managers within the service are routinely examining the agreed number of case records on CareFirst by themselves auditing cases and recording their findings on CareFirst.

Whenever an audit of a file is undertaken it should be recorded on CareFirst under observations: audit quality case file. The observation should contain a summary of the findings of the audit and identify any actions that need to be taken by the allocated social worker to address shortfalls in practice. The manager completing the audit will send an alert via CareFirst to the relevant social worker.

The level of Tier 1 audit activity will be reported as part of the QA Head of Service reporting of auditing activity and impact - see below.

3. Tier 2 Audits: The annual programme of team and themed audits identified by Quality Assurance.

An annual programme of quality audits will be compiled by Quality Assurance. The audits will be thematic and will take account of issues of concern raised e.g. from serious case reviews, external audits, previous internal audit activity or other areas as identified by the senior management team and divisional management team.

From January 2011 there will be a minimum of 4 audits per year which will be cross cutting across teams. The audits will examine 20 to 30 case files as well as other relevant data. Group managers, deputy managers and senior practitioners will be identified to undertake the audit which will take place over a week. If a manager/ worker who is identified to take part in the audit is unable to do so, the manager or their line manager (including Heads of Service) must identify an appropriate substitute.

Each audit will be led by a member of the Quality Assurance team. The lead auditor will:

• Together with the other members of the auditing team, identify the audit tools to be used for the audit which will be agreed by SMT prior to the audit
• Compile an audit report
• Together with the other members of the auditing team draw up an action plan based on the recommendations from the audit.
• Together with the QA Head of Service, present the action plan at SMT and at DMT.
• Monitor activity on the action plan.

Any case examined during the auditing process that gives cause for concern should be brought to the immediate attention of the relevant Group Manager and Head of Service.

The Head of QA will present a 6 monthly report to SMT and DMT summarising Tier 1 auditing activity and progress on Tier 2 action plans.

4. Tier 3 Audits: Multi agency audits undertaken by the BSCB

Each year the Bromley Safeguarding Children Board undertakes a number of multi agency audits to examine the effectiveness of procedures and practice in Bromley to safeguard children. The outcomes of these audits are reported to the Executive of the BSCB and are published on the BSCB website.

5. Tier 4 Audits: Internal Audit of the council.

These are undertaken by Bromley Council's internal audit team and are set up to examine compliance with, amongst other things, financial regulation and to test the probity of statistical returns to central government. All managers are required to ensure their teams comply with Internal Audit. Internal Audit will continue in line with their guidance which can be found on One Bromley.

6. Tier 5 Audits: External audit by OfSTED.

Ofsted are the external evaluators of the quality of children's social care services. They will inspect Bromley services as set down by central government and this will include annual unannounced inspections of contact, referral and assessment arrangements.

End