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Understanding caseload and workload approaches

Standard 3: Safe workloads and case allocation

Safe workloads and case allocation

The caseload approach

This method focuses on the number of cases assigned to each social worker, often setting the complexity of cases in quite broad categories. An example of this is a three-point scale of low, medium and high complexity. 

People see this method more objective because it uses measurable data. It’s more appropriate where cases are relatively uniform in complexity and time demand. It is often used in administrative contexts or initial allocation stages. 

The workload approach 

This method measures the time and effort needed to manage cases, considering how complex and demanding they are, the resources needed, and the social worker’s experience. It works best in situations where cases differ a lot in complexity, as it helps ensure fair workloads and quality care. 

Advantages and disadvantages of the caseload approach 

Advantages 

Simple: counting the number of cases assigned to each practitioner is straightforward. 

Consistent: provides a standard way to track work across different teams. This could include counting cases, home visits, hours worked each week. 

Data insights: tracking can show trends, help plan use of resources, and measure how productive teams are. For example, checking how many service user interactions happen each month to see if more staff are needed. 

Performance tracking: data can be used in performance reviews and to improve operations. For example, comparing the time different workers' spend on paperwork and with clients. 

Disadvantages 

Not enough detail: case numbers alone cannot show the differences in how complex or time-consuming cases are, or when sudden, unpredictable situations need extra work. 

No insight into the quality of work: metrics like the number of cases closed do not capture the quality of interactions or the impact of support given, meaning important aspects of social work might be overlooked. 

Risk of stress and burnout: focusing too much on numbers without enough support can lead to stress and burnout. Managing too many cases in order to meet targets can leave social workers without time for self-care or professional development. 

Concerns about service quality: prioritising case numbers over the needs of the people concerned may reduce service quality. Social workers can feel pressured to close cases quickly, which might affect thorough, quality work. 

Advantages and disadvantages of the workload approach 

Advantages 

A rounded perspective: looks at all aspects of case work including administrative tasks, time spent with service users, and working with other services. It can also take into account the social worker’s own experience of managing their workload, stress levels, and job satisfaction. 

Provides context: gives insight into the emotional challenges of the work or how complex certain cases are. 

Fairer workloads: considering both the number of cases and how complex they are can help make sure work is shared fairly. 

Employee wellbeing: recognises actual workloads and their impact on work-life balance, emotional health, and job satisfaction. Social workers can talk about how they feel about their workload and what support they need in regular check-ins or supervision. 

Identifies support needs: shows when social workers need extra help, like more supervision, based on how complex their cases are.

Disadvantages 

Complex and time-consuming: this approach is harder to measure and manage because it needs detailed tracking of tasks and time spent. It also requires more resources to develop, maintain, and monitor, along with enough time to implement properly. 

Differences in judgement: people’s views can differ due to personal bias or how much stress they can handle, leading to varied perceptions of workload. 

Different expectations: social workers may have different ideas about what counts as a “heavy” workload or a “complex” case. 

Risk of under-reporting: social workers might downplay their stress or workload due to fear of being judged negatively. 

Combining the two approaches

Measurable data (number of cases, home visits and hours worked) can quantify the workload, while staff feedback (surveys or interviews) can give insight into social workers’ experiences of stress levels, job satisfaction, workload complexity and emotional reactions to particular situations.

Workload management

  • case count: Track the number of cases assigned to each social worker 
  • time tracking and task analysis: Break down tasks like direct work, admin, meetings, and travel time to get a detailed view of the workload 
  • complexity of the case: Use set criteria to assess how complex each case is, such as the severity of issues, required interventions, and level of coordination 
  • maturity of the case: Look at how many new cases practitioners are taking on 
  • social workers with older, more established caseloads may need extra time or support to manage them effectively 
  • type of intervention: Categorise interventions based on the time, expertise, and resources needed 

Support and resources 

  • surveys and self-reports: collect feedback on how workers feel about their workload, stress levels, and job satisfaction 
  • seniority: adjust workloads based on experience and responsibilities to ensure fairness 
  • supervision and continuing professional development (CPD): keep track of how complex and demanding each case is to decide how much supervision and support is needed 
  • the allocation of resources: review the support each social worker gets, such as admin help and training, and how this affects their ability to manage their caseload 
  • giving social workers enough time for these tasks without neglecting their other responsibilities 

Using diaries to track workload 

Social workers can record their tasks over a set period of time using diaries, which provide useful insights into the types of tasks they do. This provides useful insights about the intensity and complexity of their casework, and how stressful they feel.

Diaries also capture other important details, such as the availability of resources. Researchers have used diary methods to study social workers’ workloads and one study tracked how social workers used their time with handheld devices.

When gathering information about workloads through diaries or other methods, it’s important to handle the process carefully. Ensure social workers see it as a way to understand their work experience, not as surveillance or a threat to their independence. 

Find out more about using diaries for employee insights.

Evaluating employee capacity and skills: using a skills audit

When creating systems for managing workloads, you need to assess social workers’ skills and experience to match cases to their abilities and identify any training needs. Employer standard 2: Effective workload planning systems provides guidance on ensuring both current and future staff have the right skills and experience. 

Carrying out a skills audit can improve how well social workers perform by highlighting their existing skills, experience, and any gaps. This helps to ensure they are prepared to manage their roles and deliver high-quality services . You can also use a skills audit during supervision and to guide recruitment and succession planning.

A step-by-step guide to doing a skills audit 

Step 1: Define the competency requirements by: 

  • outlining the core knowledge, skills, and competencies needed, informed by national frameworks 
  • using local data, such as Joint Strategic Needs Assessments, to assess future challenges and opportunities, and identify the skills your workforce will need over the next 3 to 5 years 
  • considering the diversity of experience required, including economic, social, geographical backgrounds, and protected characteristics 

Step 2: Develop assessment tools, by creating questionnaires: 

  • for managers/supervisors to evaluate each social worker’s skills 
  • for self-assessment where social workers rate their proficiency on a scale
  • to explain how to score skills clearly, as some may overestimate or underestimate their abilities 

Step 3: Pilot the questionnaire by:

  • running a trial of the questionnaire with a small group of supervisors and social workers to gather feedback on clarity and relevance 
  • refining and improving the questionnaire based on feedback from the trial 

Step 4: Collect data by: 

  • distributing the supervisor evaluation and self-assessment questionnaires using online tools

Step 5: Compile and analyse the data by: 

  • identifying common themes and outliers
  • comparing the results of different teams and job roles to understand how skill requirements vary across the organisation 
  • mapping the data to your existing workforce development plan to identify gaps

Step 6: Identify skill gaps by:

  • comparing the results with the required competencies to identify strengths and skill gaps 
  • analysing the data at team, department, or organisation level, depending on the goals of the audit 

Step 7: Conduct training needs analysis by: 

  • assessing the impact of the identified skill gaps and prioritising areas for training and development 

Step 8: Create development plans by: 

  • planning team-wide training sessions to address common skill gaps 
  • developing individual plans for each social worker, outlining necessary training and support 

Step 9: Implement learning and development by: 

  • organising development programmes, workshops, and courses, ensuring they are relevant and accessible 
  • encouraging continuous professional development through seminars, conferences, and online learning 

Step 10: Track progress by: 

  • regularly reviewing each social worker’s progress through supervision, mentoring, and coaching, and adjust their development plans as needed 

Step 11: Review and update by: 

  • regularly reviewing the skills audit process and adjusting it based on feedback and new skill needs 

Step 12: Establish feedback mechanisms by: 

  • setting up channels for ongoing feedback from social workers and encourage them to self-assess periodically 

The resources for Employer standard 6: Continuing professional development and Employer standard 2: Effective workload planning systems provide advice on how to approach professional development.

The Employer standard 4: Wellbeing resource guides you in having inclusive conversations about wellbeing, which can help when discussing workloads.

Supervision helps you understand different experiences and needs by listening carefully (see Employer standard 5: Supervision).

For advice on setting up inclusive mentorship programmes, check Employer standard 6: Continuing Professional Development, and to create a supportive and inclusive work culture, refer to Employer standard 2: Effective workload planning systems

References

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The resources have been developed by Research in Practice in collaboration with DfE.
Published: 30 October 2024
Last updated: 04 November 2024