Guidance

Improving case management systems for children's social care services

Updated 17 March 2022

Applies to England

Introduction

This guidance is to help local authorities improve the case management systems they use for children’s social care services. Use it to help you consider how systems:

• support the recording, tracking and analysis of children’s and families’ records
• are procured, set up and managed
• interact with other systems to share information and link services together
• can be monitored and measured to identify opportunities for improvement of the system, practice or service

Systems need to meet a number of complex needs that may conflict, such as:

• the needs of the people who use the system (based on research with them)
• meeting data capture and reporting needs
• delivering efficiency, quality and value for money
• monitoring the service and performance reporting
• meeting legal duties to report and share information

They also need to be delivered within budget and resource planning limits and be flexible in response to changing needs and requirements.

Whilst digital technology and the use of systems can create efficiencies and better oversight, they can only work well when developed and embedded into your ways of working.

Consider taking external specialist advice to help you at the different stages of procurement and development to make sure you have the knowledge and support you need. You should also manage your system over time, and do regular health checks to make sure it continues to work in an optimal way.

Delivering your vision

Systems, whether purchased or developed in-house, should be designed, configured, implemented and managed based on the needs of your individual children’s service, its partners and your users.

To make the best use of digital systems and technology, you should:

• identify the service’s vision and goals
• assess how existing systems use data and how you want to use it in future
• understand how users interact with existing systems
• identify barriers and ways digital services can better meet user needs
• identify problems and needs
• map desired outcomes to your vision and goals
• make sure staff are engaged and understand the vision and goals

You should also assess the digital maturity of your service and make an improvement plan that fits with your local authority’s vision and goals.

Guidance is available on Commissioning digital products or services and you can sign up to the Local Digital Declaration.

Understand how your service has developed over time, your existing infrastructure and have a clear vision of what you want your service to achieve before seeking any solution or development.

It is important that IT teams and those who understand the local authority’s ambitions for the service work together, in order to plan digital technology that enables the service vision. Having conversations about visions and goals with potential suppliers ahead of any procurement exercise will help you to understand what options may be on offer.

Read the guidance on developing a roadmap.

Assessing needs and requirements

Understanding user needs

A user is anyone who uses the system directly or uses information from the system.

You should consider how your system will help frontline users meet the needs of children and families. Take account of users’ individual needs such as different locations, digital skills and accessibility requirements.

Think about who your users are and speak to them to understand what they need from the system. Your users might include:

• social workers
• service delivery managers
• data analysts
• children, families and carers
• business partners
• multi-agency partnerships

Consider how systems will complement:

• the experience of social care staff, children and families
• the skills and abilities of the different users of the system
• communication and information sharing with service users
• how the outputs will be used, for example, reporting to the Department for Education (DfE) or preparing for an Ofsted inspection
• interaction with other systems, such as adult social care, health and education systems
• the ability to make improvements to children’s services by using data from the system to spot trends, gaps and make predictions

Do user research

Children’s social care systems should be developed in response to the changing needs of users and service developments. You should regularly work with developers and suppliers to assess the design, configuration and performance of case management systems against user needs, and ensure the assessments inform future versions.

Understand what might stop users from making the most of a system, such as training or time to change their ways of working.

You can learn about the problems users face by:

• using data analytics and other available data to identify where there may be a problem
• using methods such as surveys, group workshops and feedback loops to support your understanding
• using test environments to assess hypotheses and functionality in ‘live’ practice
• engaging with suppliers, for example, through their reference groups or workshops

Consider how you’ll gather insights and feedback from users to make sure any new needs are identified and met.

Read the service manual, which contains guidance on Learning about users and their needs and Conducting user research in the discovery phase.

Assessing user needs

When reviewing the need for a new system, upgrade or development you should consider the needs of different users within the service, local authority and wider community. You should make sure you have clearly identified all those who use the system or its outputs.

Suppliers and developers should demonstrate how:

• the design, local configuration and implementation will be tested and iterated to ensure it continues to meet user needs
• input from social workers and other service users has been used to design and configure the system
• user needs have been balanced with the business and technical needs of the system
• the system provides easy access to information
• it supports users to accurately capture quality data
• the system or development will support the service’s vision and goals and be focused on specific outcomes
• accessibility, permissions and restrictions for people using the system, both within the local authority as well as external partners

You should work with suppliers to test and iterate systems, updates and developments, ahead of implementation. This will help to ensure that the design and configuration can be improved over time based on user feedback. Make sure there’s time in your project plan to do this.

It is useful to frame user needs as problems to be solved and the desired outcomes. Then do a separate exercise to map how potential options could resolve the problems to achieve those outcomes. Engage suppliers and developers to work together to assess the problems and any solution based desired outcomes.

Accessibility

Systems and tools must be accessible to meet the needs of a diverse range of users. They should take into account the users’ location and different needs, such as physical, cultural or learning needs.

They must:

• be easy to use and understand
• meet accessibility standards for both online and offline elements
• not exclude any users they are intended to serve

You should complete a digital inequalities review of users to develop a current baseline and use this analysis to inform key areas to address.

Local authorities have a legal duty to meet web content accessibility standards. There is also guidance available on accessibility requirements for public sector websites and apps.

Although this applies to public sector bodies’ websites and mobile applications, the purpose of these accessibility requirements is to support inclusion. Every effort should be made to meet these standards for all local authority websites and applications.

Public Sector Equality Duty (PSED)

Local authorities must have ‘due regard’ to the PSED.

Meeting accessibility needs

Suppliers and local authorities should:

• do research with potential users of the service with a range of accessibility needs, including visual, physical and other needs
• deliver appropriate training and support where necessary either in person or online
• gather evidence of user feedback on the accessibility and inclusivity of systems
• release updates to continually improve the accessibility of the system
• make sure there is a mechanism to raise issues with the system, particularly accessibility issues

Local authorities should have an understanding of the accessibility needs of their staff and have a plan in place to develop solutions for these users. This could be through a panel or a group of representative users, for example.

Read the service manual, which contains guidance on Testing with assistive technologies and Making your service accessible: an introduction.

There is also guidance on Understanding accessibility requirements for public sector bodies.

You should make sure suppliers and developers demonstrate how the system:

• works across different devices and is browser-based
• supports offline working
• meets accessibility standards
• works with the technology staff use to assist them, such as screen readers or voice to text

Local authorities must comply with the Equality Act and may want to seek legal advice on how to meet this.

Understanding system options

Explore what options are available and identify what is suitable for your circumstances and will allow for future growth and development. This could be done as part of a pre-market engagement exercise or something you do ahead of developing an existing system.

You should consider:

• whether the system will give you a suitable foundation that you can build upon
• if users can use the system in a way that meets their needs and if extra support is needed
• how you will recruit and retain the staff to support the system
• how you will migrate data
• the suppliers appetite for continued system developments
• how you will manage required changes
• where data will be stored and how it will be accessed
• how you can minimise the burden of data entry and any duplication of effort

You should think about how the wider context, such as behavioural or cultural factors, will support or potentially detract from delivering a system that meets user and service needs.

For example:

• cultural barriers to information sharing
• lack of workforce confidence in using new technology

In exploring the options you should consider and communicate what problems you are looking to solve, allow potential suppliers and developers to offer solutions and speak with other local authorities to get a comprehensive view of what is on offer and how it works in practice.

Read the guidance on Talking to suppliers before you buy and Conducting pre-tender market engagement.

Meeting future needs

Children’s social care is subject to changes in:

• policy
• legislation
• practice
• data reporting requirements

When procuring a system you should talk to potential suppliers about how changes will be managed and see examples of how they have addressed changes in the past. You may wish to speak to other local authorities to see how changes are managed to assess good and bad practice.

Make sure any system you invest in is flexible and scalable enough to meet your requirements. For example, an increase in the:

• amount of work and processes
• number of users
• information needing to be stored

Ensure your contracts and service level agreements cover expectations. This may be something you wish to research ahead of procurement or development.

Information sharing

Systems should enable the sharing of information for safeguarding purposes and allow joined up care and support for children and families. This should comply with information and data sharing requirements.

You should have a strategy and documented approach to information sharing. There should be a clear understanding of:

• what information needs to be shared and for what purpose
• whether the sharing is lawful
• who needs access to it and the associated risks

Engage with suppliers and developers to find solutions based on information sharing needs. This will help you to find appropriate solutions based on existing systems and capabilities.

Effective sharing of information between practitioners, local organisations and agencies is essential for early identification of need, assessment and service provision to keep children safe. Missed opportunities to record and share information in a timely manner can have consequences for the safety and welfare of children.

Systems should support practitioners to be proactive in sharing information as early as possible to help identify, assess and respond to risks or concerns.

When thinking about developing or purchasing new systems, consider:

• how the product will link with other systems in the local authority, such as early help
• how it will link with third party systems and applications, such as fostering agencies
• how it meets open application programming interfaces (API) standards
• examples of collaboration or integration (working with other local authorities and suppliers to deliver solutions)
• the appropriate and secure transfer of information between systems
• how it will support local authorities to meet data protection regulations

You should provide examples of information sharing cases with your potential suppliers and developers to enable them to identify the options available.

You should also follow the guidance set out in Information sharing advice for safeguarding practitioners and the Data Sharing: A Code of Practice.

Interoperability

Interoperability means the ability of computer systems or software to exchange and make use of information. Safeguarding and supporting vulnerable children requires many organisations to work together.

Information may need to be shared within and between local authorities and other safeguarding partners such as:

• the police
• health services
• schools or colleges
• adult social care
• other agencies

In addition, interoperability is needed to ensure systems can be joined up and enable the smooth and secure flow of information. It also means local authorities can integrate their systems with applications from a range of suppliers to best meet their service needs.

Applications, data and processes should work together to make the right information available to the right user at the right time.

Benefits of interoperability

Interoperability supports:

• the sharing of information between different systems to allow communication across local authorities and other organisations
• quick, appropriate and safe sharing of child and family data
• the integration of third-party applications

Using open application programming interfaces (APIs)

Using open APIs is one way of sharing information. It allows 2 applications to communicate with each another to access data and means organisations can integrate systems.

Sharing data between different systems, with appropriate controls in place, makes it easier for the multi-agency partnerships to work together to keep children safe, and for services to operate in a joined-up way to provide care and support for children families. It also allows for add-on products and services to be purchased and integrated with third-party supplier products.

APIs often allow this to be done quicker and cheaper than other methods. However, you should clearly communicate your use cases to potential suppliers or your in-house development team. Seek their support to identify the best options for your needs.

Read the guidance on Open standards for government data and technology and Describing RESTful APIs with OpenAPI 3.

Data requirements

Data should be used to inform decision-making at all levels, from frontline workers to strategic planners, and across the safeguarding partnership. You should make sure suppliers also show the efficiency of their case management system. For this purpose, they should demonstrate:

• that children’s social care expertise has been involved in the design, configuration, testing and sign-off of the product (including from social workers)
• the functions available in the system
• there is a plan to ensure the system remains up to date
• how they will minimise data entry for users and risks of data entry errors
• how they will monitor the system to identify issues and gather feedback
• how they will risk assess and prioritise improvements to ensure the system continues to meet user needs throughout the contract
• how the system ensures data security and adheres to data protection regulations

Local authorities should involve children and young people directly in the design and configuration of any part of the system or its outputs that they will interact with (for example records or letters). You should use assessment criteria that includes outcome and impact measures created from the child’s or young person’s perspective.

You can support this by designing and configuring systems collaboratively with users.

Ahead of procurement speak with other local authorities, and ideally see evidence from live systems and examples of ways of working from suppliers. When procuring, use evaluation and selection processes which are designed and funded to properly involve children and young people.

You should consider how you’ll measure the performance of the system and manage necessary updates through the life of the contract with the supplier. Guidance is available on Contract management standards.

Using data

Systems should collect data that:

• meets statutory guidance, in terms of collecting, sharing and reporting
• monitors performance
• is accessible to users
• helps social care professionals to work on their cases
• supports service planning and improvement

Local authorities need to understand and rationalise the data that they collect, be able to explain why they collect it and review what they collect on a regular basis. You should be aware of data requirements and limitations of your systems before identifying new systems, upgrades or developments.

When procuring or developing a system, you should:

• map out in detail any preparatory work that needs to be conducted to migrate data
• test migration and have an understanding of what will be available from day one
• test reports and reporting tools that meet user needs and make sure any training is completed
• identify how training will be delivered and managed
• understand how you can access and migrate data from the system

Make sure that suppliers and developers demonstrate:

• how the system provides appropriate controlled access to the data and the ability to generate reports
• how it runs reports directly from the system
• how it connects to a data warehouse and be used with other products, such as data mapping and visualisation tools
• that the reporting tool is not process intensive
• how changes in data requirements could be managed through the life of the contract
• how much autonomy you will have with the system
• how the systems supports the accurate recording and auditing
• how the systems supports the timely delivery of data

Information should be made available for decision-making as close to real-time as possible.

You may find the following guidance helpful:

• Make better use of data
• Choosing tools and infrastructure to make better use of your data

Data protection

Digital systems should enable data to be recorded in a way that helps decision-making, planning and oversight at all levels of the system, without data collection getting in the way of frontline delivery.

The amount of data and how it is collected needs to be considered from both the perspective of those inputting the data and those who need to work with it.

You should make sure systems are designed and configured in a way that makes it easy for those doing the recording, cutting out duplication or wasted effort due to inefficient processes. They also need to allow for data for analysis - for example, related information is stored together and organised in a way that supports frontline staff, service managers and strategic planners.

You should know how:

• the system meets the required standards and complies with UK General Data Protection Regulation (GDPR) and Data Protection Act 2018
• data can be accessed and shared across organisations as needed
• to manage permissions and access to the system
• the system manages alerts when access is attempted without permission
• the supplier assesses and protects the system from cyber attacks
• to record consent and the child’s wishes and feelings

Local authorities should:

• identify security and privacy risks and threats to the service
• have a plan and budget to manage security and ensure that these have visibility and oversight at the highest level
• collect and process personal information in a way that’s secure
• work with business and information risk teams, for example, senior information risk owners, to make sure the service meets security requirements without putting delivery at risk
• make sure appropriate vulnerability and penetration testing is conducted

Local authorities must make sure systems meet data protection regulation standards. Guidance is available from the Information Commissioner’s Office (ICO).

Measuring the performance of the system

Suppliers and developers should work with you to set out the measures that will be used to assess outcomes and set key performance indicators (KPIs).

Performance data should be available to monitor and improve the system. This information should be assessed against the KPIs to inform continuous improvement of the system.

Ideally, systems should have mechanism that allows users to raise issues and give feedback loops in the system at the point they encounter an issue.

There is guidance available in the service manual: Point 10: Define what success looks like.

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