Handbook

SWIA aims to inspect all local authority social work services on a three-year cycle, working in partnership with the authorities as they seek to bring about improvements.

Where it is necessary, we will keep in close contact with an authority and issue further reports. Our approach to inspection follow-up is designed to minimise the burdens placed on authorities, and to help them build their capacity to improve services.

Please click on the links below to download each section of the SWIA Handbook: 

SWIA Performance Inspection Handbook Contents, Foreword and Introduction

Link opens in new windowSWIA Performance Inspection Handbook Contents, Foreword and Introduction (PDF, 36Kb)

SWIA Performance Inspection Handbook Part 1, Phase 1 – Pre-Inspection

Link opens in new window1. Leaflets (PDF, 117Kb) (Revised April 2008)
        1.1 Information leaflet for general public
        1.2 Information leaflet for staff
        1.3 Information leaflet for partners and stakeholders
Link opens in new window2. Guide to performance inspections in local authorities (PDF, 177Kb)
Link opens in new window3. Summary guide for elected members (PDF, 78Kb) 
Link opens in new window4. Guide for the local authority inspection co-ordinator(PDF, 66Kb) (Revised Aug 2008)
Link opens in new window5. Evidence used in performance inspections (PDF, Kb) 
Link opens in new window6. Advance information(PDF, 1.42Mb)  (Revised Aug 2008)
        6.1 Advance Information Request List  
        6.2 Guidance to the Self Evaluation Questionnaire 
        6.3 Self Evaluation Questionnaire
Link opens in new window7. Letters (PDF, 21Kb) 
        7.1 Model letter for notification of inspection and introductory meeting 
Link opens in new window8. Meetings agendas (PDF, 27Kb) 
        8.1 Model agenda for introductory meeting with the local authority  
        8.2 Model agenda for first planning meeting with the local authority inspection co-ordinator 
Link opens in new window Link opens in new window9. Case file analysis(PDF, 359Kb)  (Revised April 2008)
        9.1 Guidance for the local authority on case file analysis (PDF, Kb) 
        9.2 Guidance for file readers – case file analysis (PDF, Kb) 
        9.3 Case file analysis template (PDF, Kb) 
        9.4 Case file analysis template explanatory notes (PDF, Kb) 
        9.5 Guidance on observed practice with individuals (PDF, Kb) 
        9.6 Observed practice: sample letter from the local authority (PDF, Kb)
Link opens in new window10. Involvement of people who use services and carers (PDF, 146Kb)  
        10.1 Guidance for the local authority on surveys
        10.2 Model letter for questionnaire for people who use services 
        10.3 Questionnaire for people who use services 
        10.4 Guidance for the local authority on surveys for carers (see 10.1) 
        10.5 Model letter for carers of people who use social work services 
        10.6 Model letter from local authorities to local carers’ support organisations 
        10.7 Questionnaire for carers of people who use social work services
Link opens in new window11. Staff survey (PDF, 82Kb) 
        11.1 Guidance for the local authority on surveys (see 10.1)  
        11.2 Model letter for staff 
        11.3 Social work services staff questionnaire
Link opens in new window12. Partner agencies and stakeholders survey (PDF, 83Kb) 
        12.1 Guidance for partners and stakeholders on surveys (see 10.1) 
        12.2 Model letter for partners and stakeholders 
        12.3 Questionnaire for partner and stakeholder organizations 
Link opens in new window13. Interim assessment at the end of Phase 1 – Pre-inspection (PDF, Kb)

SWIA Performance Inspection Handbook Part 2, Phase 2 – Fieldwork

Link opens in new window14. Planning for the fieldwork (PDF, 224Kb)
Link opens in new window15. Introductory meetings before the fieldwork (PDF, 20Kb)
Link opens in new window16. Withdrawn (PDF, 12Kb)
Link opens in new window17. Briefing material for fieldwork meetings and visits (PDF, Kb)
        17.1 People who use services and carers – groups   
        17.2 People who use services and carers – individuals   
        17.3 Service providers  
        17.4 Other organisations
Link opens in new window18. Arrangements for giving feedback to the local authority during fieldwork and for dealing with concerns (PDF, 23Kb)
Link opens in new window19. Headline feedback meeting at the end of the Phase 2 – Fieldwork (PDF, 16Kb)

SWIA Performance Inspection Handbook Part 3, Phase 3 – Analysis, Report Completion and Follow-Up

Link opens in new windowSWIA Performance Inspection Handbook Part 3, Phase 3 – Analysis, Report Completion and Follow-Up Introduction (PDF, 16Kb)
Link opens in new window20. Producing the report (PDF, 50Kb)
Link opens in new window21. Report publication, presentation and distribution (PDF, 25Kb)
Link opens in new window22. Guidance for preparing and agreeing the local authority action plan (PDF, 23Kb)
Link opens in new window23. Handover and follow up (PDF, 30Kb)
Link opens in new window24. Performance inspection evaluation questionnaire for the local authority (PDF, 87Kb)

SWIA Performance Inspection Handbook Part 4 – Evaluation of Performance in Local Authorities

Link opens in new window25. The Performance Inspection Model (PIM) (PDF, 513Kb)
Link opens in new window26. Evaluation and moderation (PDF, 57Kb)
        26.1 Evaluating performance and evaluation categories  
        26.2 The moderation process

SWIA Performance Inspection Handbook Part 5 – Performance Inspection Teams

Link opens in new window27. Roles and responsibilities of the SWIA inspection team (PDF, 76Kb)
        27.1 Membership of SWIA inspection teams 
        27.2 Roles and responsibilities in the performance inspection team 
        27.3 Role of the lay and carer inspector 
        27.4 Working with associate, sessional, lay and carer inspectors 
        27.5 Role of the link inspector 
Link opens in new window28. Code of Conduct for all members of SWIA performance inspection teams (PDF, 57Kb)

SWIA Performance Inspection Handbook Part 6 – Timetable for Performance Inspections

Link opens in new window29. Timetable for performance inspections (PDF, 31Kb)



Performance Inspections Completion date
Pilot performance inspections across three local authorities January 2006
Performance inspections across a further three local authorities August 2006
Performance inspection programme for the remaining 26 local authorities mid-2009
Performance inspection programme for local authority criminal justice services March 2007