3.4.3 Looked After Reviews Resolution Protocol |
SCOPE OF THIS CHAPTER
The Resolution Protocol relates to resolution of issues relating to Looked After Reviews, it does not replace procedures or systems in place for resolving any other problems or conflicts in relation to a case or between other parties and is solely for use by the IRO to address matters with the Local Authority in relation to care planning or practice standards.
This Chapter should be read in conjunction with Looked After Reviews Procedure
AMENDMENTS
This chapter was amended in August 2011
Contents
1. Introduction
1.1 Why do we have a Resolution Process?
The children and young people Family and Children's Services work with are the most vulnerable in society. When we take on their care and protection, we are agreeing to act in partnership with their parents to ensure that young people are able to overcome any neglectful and abusive experiences of their past so that they can have the brightest future possible.
In order to facilitate children and young people reaching their full potential, central government sets out standards for social workers to follow when managing the needs of each individual young person. Social workers then use these standards to guide them in working with young people, their families, and other professionals who are supporting that young person's needs.
Sometimes, when trying to carry out the Parental Responsibilities of the Local Authority, social workers encounter difficulties in meeting all the needs of the young person. This can happen for a number of reasons, but unmet need is often evidenced in drift to the Care Plan leaving young people without action or response for long periods of time.
In order to ensure that drift and delay do not unduly affect the quality of care children receive from us, central government has tasked Independent Reviewing Officers (IRO's) with the responsibility of overseeing the needs and rights of each young person in care as outlined in the Care Planning, Placement and Case Review (England) Regulations 2010 and IRO Handbook 2010.
The primary task of the IRO is to ensure that the care plan for the child fully reflects the child's needs and that the actions set out in the plan are consistent with the local authority's legal responsibilities towards the child. IRO's have a duty to consult and obtain and ensure that the wishes and feelings of the child are given due consideration by the Local Authority through the Care Planning process, to participate in any review of the child's case and to monitor the performance of the local authority in relation to the child's case.A clear resolution protocol and alert system is therefore now required as a tool designed to advise team and senior managers where problems in care planning are identified by the IRO and aims to ensure that purposeful intervention is taken to resolve the matter in a timely manner from the young person's perspective.
The Resolution Protocol does not replace procedures or systems in place for resolving any other problems or conflicts in relation to a case or between other parties and is solely for use by the Independent Reviewing Officer to address matters with the Local Authority in relation to care planning or practice standards.The protocol requires that when a Level 1 email from an Independent Reviewing Officer is received (see Appendix C: Level 1 Formal Email Alert to Team Manager), a team manager will plan action to ensure a child's needs and or practice standards are met. Should, following this response, the IRO be of the view that the problem remains unresolved or should the team manager be of the view that they do not have the necessary authority or resources to resolve the matter, intervention from the Head of Operational Services will be requested. At this stage should the intervention not resolve the matter satisfactorily, communication will be progressed up through to the Director for Family and Children's services and where necessary up through the authority to the Chief Executive at the highest level (see Appendix A: Problem Resolution Flow Chart).
The new Care Planning, Placement and Case Review (England) Regulations 2010 and IRO Handbook 2010 (para 8.12) extend the authority of the IRO to refer a case to CAFCASS at any point in the resolution process if necessary including a concurrent referral at the same time that the Resolution Protocol is initiated. A referral is to be considered if the IRO is concerned that the Local Authority has failed in any significant respect to prepare the child's Care Plan, to effectively implement any decision in consequence of a review or are otherwise in breach of their duties to the child in any respect.
The IRO will consult with the Deputy Manager in the Reviewing team and either the Safeguarding and Reviewing Team Manager or Head of PARS prior to making a referral to CAFCASS. The IRO would also notify the nominated senior officer in the authority at the time of the referral.
2. Roles and Responsibilities
2.1 Roles and Responsibilities of the Local Authority
The Social Worker acts on behalf of the local authority through assessing, planning and providing intervention in relation to a child's individual needs.
The social worker is responsible for:
- Supporting the child/young person to prepare for Looked After Review;
- Ensure the child's wishes and feelings are concerned;
- Ensure that the LAC Care Plan and other documents are up to date, accessible on file and distributed;
- Ensure that the Review Part 1 is sent to the IRO at least 5 working days prior to the review along with any other relevant documents and ensure that documents evidence the decision making process within the Care Plan;
- Keeping the IRO informed of any significant between LAC Reviews (IRO Handbook 2010 para 3.74);
- Where the Team Manager makes a decision not to implement significant decisions from the Looked After Child Review they should notify the IRO within 5 working days of receiving the written review decisions or consult with the IRO should a decision not implement be made at a later stage;
- The Local Authority should circulate the decisions from the Review within 20 working days and ensure that the child and other significant persons are informed in a timely way of the decision not implement any review decisions.
2.2 Roles and Responsibilities of the Independent Reviewing Officer
The Independent Reviewing Officer (IRO) is responsible for:
- Ensuring that the wishes and feelings as well as the human rights of the child are being raised and considered in the LAC review process;
- Ensuring that Care Plans for Looked After Children are based upon a detailed and informed assessment, are up to date and effective and provide a real response to each child's needs;
- Chairing the LAC review and provide written minutes and recommendations to the social worker and team manager within 5 working days of the review taking place;
- Adjourning the LAC Review if they are concerned that it has not adequately been planned or prepared for (for example if there is a lack of key documentation or because the child has not been consulted for the purpose of the review;
- Monitor the child's case on an ongoing basis including identifying any areas of poor practice including general concerns around service delivery;
- Ensure that, despite any local resource issues at any particular time, the needs of the child are met without compromising their human rights;
- Communicate directly with the relevant team manager to resolve concerns informally and use the Resolution Protocol where there are significant concerns;
- The IRO will follow the Resolution Protocol process (Appendix A: Problem Resolution Flow Chart) in the vast majority of cases though may bypass any stage of the process and progress the Resolution Protocol to the level they consider most appropriate to swiftly resolve concerns (IRO Handbook 2010 para 6.2). The formal resolution process now should now total no more than 20 working days and and update of timescales is outlined in Appendix A.
As a result of use of the Resolution Protocol, a healthy 'conflict' may be created between the Local Authority and the child's IRO in relation to decisions about the Care Plan.
In the event that any issue(s) require use of the resolution protocol, the IRO must also ensure the child understands that, aside from the IRO's planned actions to seek resolution on the issue, the child is entitled to access independent advocacy and to make use of the Local Authority's complaints process to pursue resolution themselves.
2.3 Relationship between the IRO and the Complaints Procedure
The IRO has a responsibility to ensure that the child understands their right to make a complaint and to have an advocate to provide support with the complaint if they wish.
Should the child initiate a complaint independently or via the advocacy officer, the Independent Reviewing Officer (IRO) will become involved if the complaint is serious and with regards to their Care Plan. They should not usually need to get involved in more minor complaints about a child's day to day care. The IRO will need to make a judgement about whether a problem raised via a complaint is serious enough to constitute a breach of the child's human rights such as to justify making a referral to CAFCASS, or whether it would be reasonable to await a resolution through the formal complaints procedure, with or without the additional support of the IRO's own negotiation.
3. Resolution Protocol
Where the Independent Reviewing Officer (IRO) identifies a problem with practice standards or the care planning process during or outside of the Looked After Review process, and this cannot in the first instance be resolved through discussion with the social worker and making a recommendation at the review, the IRO will send a Level 1 formal email to the team manager notifying them of their concerns. The team manager is responsible for responding to this alert in writing within 5 days.
In the event that a conflict remains following the response from the team manager or a response is not received within the stated timeframe, the Independent Reviewing Officer (IRO) will proceed with sending a Level 2 alert to the Head of Operational Services and Head of Performance Audit and Review Team. Should the matter remain unresolved at this level the IRO will progress the Resolution Protocol through the staged process up to Chief Executive level as laid out in Appendix A. The IRO Handbook now stipulates that the formal resolution process should have timescales in total of no more than 20 working days (IRO Handbook para 6.2)
The IRO must consider whether to refer the matter to CAFCASS (IRO Handbook para 6.3 [Regulation 45]) if in their opinion the Local Authority has failed in any significant respect to prepare the child's Care Plan, review the child's case effectively or effectively implement any decision in consequence of a Review or are otherwise in breach of their duties to the child in any material respect. The IRO may need to consider seeking independent legal advice during any stages of the resolution process.The Independent Reviewing Officer guidance states that the resolution process should allow for no action prejudicial to the child (e.g. change of placement or de-accommodation) to be taken until a resolution has been reached. Depending on the outcome of this, it may be necessary to reconvene the child's Looked After Review to confirm any agreed changes to the Care Plan.
LEVEL 1 Formal email alert from Independent Review Officer to Team Manager cc. to Senior Social Worker (see Appendix C: Level 1 Formal Email Alert to Team Manager)
LEVEL 2 Formal email alert form sent by Independent Reviewing Officer to Head of Operational Services and Head of Performance Audit and Review Team (see Appendix D: Level 2 Formal Email Alert to Head of Operational Services)
LEVEL 3 Alert progressed to Director for Family and Children's Services
LEVEL 4 Alert progressed to Executive Director of Family and Children's Services and to Chief Executive simultaneously
ALL LEVELS Referral to CAFCASS if necessary
4. Quality Assurance
The IRO will ensure that copies of management alerts and resolutions are placed on the child's file for recording purposes.
The IRO will forward a copy of all resolution protocol management alerts and resolutions received to the LAC Support and Review team manager to be kept for monitoring purposes.
The Looked After Support and Review team manager will collate information from the resolution protocol and include this in the annual report. This will inform senior management of any themes, resource issues and concerns regarding care planning and the success or otherwise of the implementation and use of the protocol.
5. Appendix A: Problem Resolution Flow Chart
Click here to view Problem Resolution Flow Chart
6. Appendix B: Examples of Problems with Practice Standards and Examples of Problems in Care Planning
- Incomplete/ Poor standard documentation - including Care Plan; Review of Arrangements; Placement Plan; Essential Information; A&P Record; Pathway Plan;
- Statutory visits not maintained - where the social worker in the allocated team is not undertaking the agreed level of statutory visits to the child or providing full record on the statutory visit forms;
- Fragile Placements - where a placement is fragile but the Independent Reviewing Officer has not been informed and appropriate planning meetings have not been arranged;
- Personal Education Plan - where a child doesn't have an up to date Personal Education Plan or one not scheduled within appropriate timescale or there is a lack of effective decisions completed and acted upon;
- Statutory medical checks are overdue - where relevant medical, dental, hearing, optical assessments and immunisations haven't been undertaken in appropriate timescales or health assessment outstanding for more than one review or decisions of the Health Care Plan not acted upon or copy brought to the Looked After Review.
Examples of problems in Care planning
- Three or more different social workers in the last 12 months;
- One or more decisions carried forward in 2 consecutive reviews - where decisions from a review aren't acted upon in a timely manner-(this does not apply to decisions that have intentionally not been acted upon by the department and the Independent Reviewing Officer agrees it is not appropriate to take it further);
- Care Plan drifting - no clear Care Plan in place; drift/ delay in implementation; Care Plan not meeting the individual needs of the child; failure to implement a significant element of the child's Care Plan; failure to notify Independent Reviewing Officer of significant changes to the Care Plan;
- Absence of Permanence Plan proposal - not agreed and in place by the third review (n.b. this can include Parallel Planning);
- Significant events - failure to notify the Independent Reviewing Officer of significant events including:
- A proposed change of Care Plan;
- Where the decisions from the review are not carried out in the specified timescale;
- Major changes to contact arrangements;
- Changes of allocated social worker;
- Any safeguarding concerns which may lead to child protection enquiries being undertaken;
- Complaints from or on behalf of the child, parent or carer;
- Unexpected changes in the child's placement which may significantly impact upon stability or safeguarding;
- Significant changes in birth family circumstances;
- If the child is charged with any offence leading to a referral to Youth Offending Services;
- If the child is excluded from school;
- If the child has run away or is missing;
- Significant health events or diagnoses;
- Panel decisions in relation to permanency;
- Disrupted Placement - where a child has moved in an unplanned manner due to lack of support to the previous placement or where planning meeting not arranged when the placement was identified to be fragile;
- Independent Reviewing Officer significantly concerned about the rights and wellbeing of the child following the Looked After Review - any issue arising not addressed above including where child's needs not being met or child's views not being given sufficient weight in decision making;
- Failure to convene key planning meetings - where a Care Planning, Placement Planning, professionals, network or other meeting recommended at a Looked After Review has not been convened to address significant issues;
- Concern about provision of services/ resources - concern as to whether appropriate resources have been allocated to meet the child's individual needs, concern around the suitability of the placement, or concern around professional practice.
7. Appendix C: Level 1 Formal Email Alert to Team Manager
Dear (TM name),
Following the Looked After Review it has come to our attention that prompt action is needed to address the following issues:
| Child's name | D.o.b: | Date of last review: |
| SW | TM | IRO |
| Needs/ Rights outstanding | Decision at latest review | Reason for proceeding to RP |
Many thanks for your consideration of this matter. Please complete the attached form with your response to our concerns and I look forward to hearing from you by ................ (Within 5 days as per Resolution Protocol) what action is to be taken.
Regards
Independent Reviewing Officer
........................................................................................................
Action to be Taken by Team Manager on ....................................(Date)
(To be completed by Team manager)
Dear IRO,
Following consideration of the concerns you have raised I propose the following to resolve the matter:
| Child's Name | D.o.b: | Date of last review: |
| SW | TM | IRO |
| Action | By whom | By when |
Signed
Team manager
8.
Appendix D: Level 2
Solution Protocol Level 2 Head of Operational Services & Head of Pars/ 3 Director of Family Services/ 4 Executive Director for Family and Children Services/ 5 Chief Executive [DELETE AS APPROPRIATE]
Dear Name,
A resolution to an IRO's concern that remains outstanding after Level 1 was sent to Team manager on .......(date)
| Child's name | D.o.b: | Date of last review: |
| SW | TM | IRO |
| Needs/ Rights outstanding | Decision at latest review | Reason for proceeding to RP |
| Action agreed by TM | By whom | By when |
The action agreed by team manager and outlined above has not been carried out within timeframe's and remains outstanding.
Or
The team manager is not in agreement with recommendations of the IRO and concerns remain re matter stated above.
Our aim is to resolve the matter with minimum delay on behalf of .........(child /young persons name) and we thank you for your consideration of this matter and I look forward to your response regarding action to be taken by ...............(Within 5 days as per Resolution Protocol).
Yours sincerely
Independent Review Officer
Resolution Protocol Level 2 Response from Head of Operational Services/ 3 Director of Family Services/ 4 Executive Director for Family and Children Services/ 5 Chief Executive [DELETE AS APPROPRIATE]
Action to be Taken by Head of Operational Services Director of Family Services/ Executive Director for Family and Children Services; Chief Executive [DELETE AS APPROPRIATE]) on ................................(Date)
(To be completed by HoS)
Dear IRO,
Following consideration of the concerns you have raised I propose the following to resolve the matter:
| Child's Name | D.o.b: | Date of last review: |
| SW | TM | IRO |
| Action | By whom | By when |
Signed.......................................................................
Head of Operational Services/ Director of Family Services/ Executive Director for Family and Children Services/ Chief Executive [DELETE AS APPROPRIATE]
Date .............................................................................End