4.3.3 Dispute Resolution Protocol for Independent Reviewing Officers |
Contents
- Introduction and Legislative Framework
- Bromley IRO Local Dispute Resolution Process
- Referral to CAFCASS
- Recording and Communicating that a Child's Care Plan has been Subject to Alerts
- Informing the IRO of any Significant Change in the Child's Circumstances
- The Role of the Quality Assurance Group Manager and Deputy Manager During the Management Alert Process
Appendix 1 - IRO Alert Form
Appendix 2 - IRO Dispute Resolution Flow Chart
1. Introduction and Legislative Framework
Section 26 of the Children Act 1989 and the associated guidance and regulations recommended that Looked After Children's reviews should be chaired by officers of the local authority who are at a more senior level than the case-holding social workers. The intention was to bring a degree of objectivity and oversight to practice and decision-making for children in care, and to monitor the activity of the local authority as a corporate parent.
Section 118 of the Adoption and Children Act 2002 amended section 26 of the Children Act 1989 to make the Independent Reviewing Officer's role a legal requirement in Looked After Children's reviews. Local authorities are now required by regulations to appoint IROs to participate in the review of children's cases, monitor the authority's functions in respect of the review, and as a last resort refer a child's case to the Children and Family Court Advisory Service (CAFCASS) if the failure to implement aspects of a care plan might be considered in breach of the child's human rights. CAFCASS has the power to undertake legal action.
As with all the IRO's responsibilities and powers, the power to refer a case to CAFCASS applies to all Looked After Children, including those Looked After under a voluntary agreement (section 20 of the Children Act 1989) and those Looked After under a Care Order (section 31 of the Children Act 1989). Such legal proceedings might be further family proceedings (for example, for the discharge of a care order or for contact), a freestanding application under the Human Rights Act 1998, or an application for judicial review.
One of the IRO's key roles within this framework is in dispute resolution in cases where they have identified poor practice. In these situations, the IRO has the duty to negotiate with the local authority management up to the highest level, and ultimately to refer the case to CAFCASS if they believe this process has not resulted in the desired outcome. This protocol looks at this escalation process in dispute resolution.
Wherever possible, the IRO will attempt to resolve a problem concerning the child's care plan by negotiation, including contacting the team responsible for the child and attempting to resolve the problem directly with the team. If this proves unsuccessful, the IRO will take the case to senior management, then the Assistant Director, the Director, the Chief Executive, then in exceptional circumstances to CAFCASS if necessary. The IRO will also work with the local authority complaints officers and advocates where necessary for the resolution of a problem.
2. Bromley IRO Local Dispute Resolution Process
The IRO dispute resolution process in Bromley is knows as the "IRO management alert process". Examples of situations where an IRO might have concerns and initiate the management alert process include:
- Preparation for the Looked After Review
- Completion of decisions within timescales
- Assessments
- Anti-oppressive practice
- Supervision of a social worker
- Allocation history
- Family finding/placement search
- Health provision
- Education provision
- Placement choice/standard of care
- Endorsing care plan
There are six stages to the dispute resolution process. The IRO has the discretion to proceed directly to stage 3 in more serious or urgent cases. The stages are:
| Stage | Responsible Officer |
| Stage 1: | Deputy Manager |
| Stage 2: | Group Manager |
| Stage 3: | Head of Service |
| Stage 4: | Assistant Director, Children's Social Care |
| Stage 5: | Director of Children and Young People Service |
| Stage 6: | Chief Executive of the Council |
An IRO must submit the relevant form (please see appendix) to initiate stages 1 - 3 of the dispute resolution process. At each of these stages, a response is required within 5 working days of receipt.
Stages 4 - 6 will be managed through a meeting, which should be chaired by the officer who has received the alert. The meeting should be independently minuted. All key personnel should be invited to the meeting. The IRO does not attend the meeting but is required to provide a statement of what would be required to prevent the matter progressing to the next dispute resolution stage.
Should the IRO exhaust all stages of the dispute process (or deem that the time it is taking to exhaust the stages is unreasonable) and (s)he believes there is still a danger that the child's human rights may be being breached due to action or inaction of the local authority, (s)he may make a section 118 referral to CAFCASS. CAFCASS is able to bring legal proceedings to achieve a remedy.
Legal proceedings should only be considered as a last resort - i.e., in extreme cases where all other attempts to resolve the problem have failed. The additional delay associated with legal proceedings is not in the interest of the child, and every effort should be made to resolve the problem before such action is taken.
3. Referral to CAFCASS
The IRO should only make the referral to CAFCASS if:
- The IRO has made every attempt to resolve the problem with the local authority, up to the level of the Chief Executive, and there is still a risk of the child's human rights being breached.
- There is no other suitable adult able and willing to take the case on the child's behalf (when the child is under age 18) or the child is not of sufficient age and understanding and wanting to bring proceedings on their own behalf.
Where the child brings proceedings on his or her own behalf, the role of the IRO is only to assist the child in obtaining their own legal advice from a suitably qualified and experienced lawyer.
Where a suitable adult brings proceedings on behalf of the child, the role of the IRO is only to establish that this is done.
Where the child is not in a position to initiate proceedings on their own behalf, no adult is able or willing to do so on their behalf, and where there is a risk of the child's human rights being breached, the IRO should refer the matter to CAFCASS Legal at the following address:
CAFCASS Legal
8th floor, Wyndham House
South Quay Plaza
189 Marsh Wall
London
E14 9SH
Telephone: 020 7510-7000
Email: legal@cafcass.gov.uk
CAFCASS website
There is a duty lawyer each working day.
4. Recording and Communicating that a Child's Care Plan has Been Subject to Alerts
The IRO should verbally inform the members of a child's Looked After Review meeting of any management alerts they have initiated since the previous meeting or which they intend to initiate subsequent to the current meeting. The IRO should record details of any prior management alerts in the Background and Update section of the discussion summary in the Chair's Report. The IRO should record details of any intended future alerts in the Legal section of the discussion summary of the Chair's Report.
The IRO should record details of any management alert on the relevant form in the appendix. This form should be filed in the Looked After Children document section of the paper file. The IRO should also ensure that it is recorded in the Observations section of CareFirst that (s)he has initiated a management alert and how and when it is resolved.
The Group Manager of the Quality Assurance Unit will report on the number of management alerts that have been initiated and the timescales for resolving them. This information will be included in the annual IRO Management Report.
5. Informing the IRO of any Significant Change in the Child's Circumstances
Under the Adoption and Children Act 2002 IRO Guidance (Regulation 8), the Local Authority must inform the IRO of, "Any significant change of circumstances occurring after the review that affects arrangements".
Currently there is no statutory guidance on what constitutes a significant change.
Following is a list of changes that should be communicated by the case holder to IROs in Bromley:
- Outcomes of Joint Agency Panel applications
- Outcomes of presentations to the Fostering Panel
- Outcomes of presentations to the Adoption and Permanency Panel
- Change of placement requests
- Change of placements, including the relevant CSCI report if it is a residential provision
- Updates of Adoptions Action Plans
- Court Orders and outcomes from Directions hearings
- Significant delays in completing any child care review decisions
- Any period of more than three days missing from care (minutes of any missing from care meetings should also be forwarded to the IRO)
- Any period of exclusion from school for more than five days
- Outcomes from LAC or medical consultations with identify/confirm any serious previously undiagnosed conditions
- Unexpected changes in the child's family circumstances (births, deaths, etc.)
- Unexpected changes in the child's placement provision (which may significantly impact on placement stability)
- Arrests, bail, and convictions
- Serious accidents
- Changes of allocated social workers
- Unexpected proposed or actual discharge from care
- Complaints from or on behalf of the child, parent, or carer
As a result of receiving any of the above information, the IRO may decide to convene a review at an earlier date than was scheduled.
In the 2007 White Paper, "Care Matters: Time for Change", the Government announced its intention to strengthen the IRO role by specifying that a review must be held before any change in the Care Plan can be carried out. Following on from this requirement, Bromley has identified four circumstances under which a change in the Care Plan cannot take place before a review meeting is held and the change has been endorsed by the IRO:
- Wherever there is a proposal (which has not already been endorsed by the IRO) for the child to move from a regulated placement (e.g. foster care or children's home) to an unregulated placement (e.g. a semi-independent unit or "independent living" facility) before the age of 18.
- Wherever there is a proposal to move a child from a placement in residential care where reports have previously indicated that the placement is appropriate and the child is settled and going to school.
- Prior to a child being discharged from a secure children's home or leaving custody.
- Wherever any unplanned change is proposed to a child's accommodation that could significantly disrupt his or her education (e.g. having to move school during the academic year or during a programme leading to recognised qualifications such as during the run up to GCSEs in years 10 and 11).
6. The Role of the Quality Assurance Group Manager and Deputy Manager During the Management Alert Process
The Group Manager and Deputy Manager of the Quality Assurance Unit are responsible for management and supervision of the IROs.
The role of these managers during the management alert process shall be:
- To provide clear supervision to the IRO, taking into consideration the issue being raised and providing feedback on the strengths and weaknesses of the case being brought forward.
- To ensure that throughout the process, lines of communication remain open and clear and that the issue does not become clouded, personalised, or lost in other processes.
- To ensure that meetings take place on time and that they are present at all relevant meetings above the Group Manager level.
- To provide briefing to senior managers as to the view of the Quality Assurance Unit on the issue being raised and possible routes to resolving the issue.
- To ensure that legal advice has been sought by the IRO from the Legal department at the appropriate time; to discuss this advice in supervision and consider its possible implications for the issue being raised.
- Overall, to encourage resolution prior to the issue reaching the Group Manager stage.
These guidelines are not designed to hinder or minimise concerns. However, given the impact on the Division should the management alert process reach the referral to CAFCASS stage, it is crucial that there is clear and transparent evidence of the IRO management and supervision process for senior managers, the Chief Executive, and/or members.
Appendix 1 - IRO Alert Form
Click here to view IRO Alert Form.
Appendix 2 - IRO Dispute Resolution Flow Chart
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